Thomas R. SuozziFiling

Transactions filing | Filed on 23 Sept 2021

This congressional financial disclosure from Thomas R. Suozzi (transactions filing) contains 453 stock trades. It was filed on 23 September 2021. Reported tickers include LYV, NVDA, MU, PPG, PCLN, and 155 more. Under the STOCK Act, members of Congress must disclose securities transactions within 45 days.

This filing contains 449 transactions disclosed beyond the 45-day STOCK Act deadline, with the latest filed 1722 days after the trade date. Only 1% of transactions met the disclosure requirement.

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STOCK Act Compliance Violation

This filing contains 449 transaction(s) that were filed more than 45 days after the transaction date, violating the STOCK Act requirement for timely disclosure.

1722

Days Late (Max)

Compliance Rate

449/453

Non-Compliant

About the STOCK Act: The Stop Trading on Congressional Knowledge Act requires members of Congress to disclose stock trades within 45 days of the transaction date. Late filings may result in fines and reduce transparency in congressional trading activities.

Politician Name

Thomas R. Suozzi

Filing Type

Transactions filing

Filed Date

23 Sept 2021

View Original Filing (PDF)

Transactions

453 transactions


BorgWarner Inc. (BWA) BWA	S	26 Aug 2021	$50,001 - $100,000	-
Spotify Technology S.A. O... SPOT	P	26 Aug 2021	$50,001 - $100,000	-
Real Estate Select Sector... XLRE	S	16 Aug 2021	$50,001 - $100,000	-
Amplify ETF Trust Amplify... IBUY	S	16 Aug 2021	$50,001 - $100,000	-
Weyerhaeuser Company (WY) WY	S	3 Aug 2021	$50,001 - $100,000	-
BorgWarner Inc. (BWA) BWA	P	3 Aug 2021	$50,001 - $100,000	-
Advanced Micro Devices, I... AMD	P	28 Jul 2021	$1,001 - $15,000	-
Apple Inc. (AAPL) AAPL	S	28 Jul 2021	$1,001 - $15,000	-
Roblox Corporation Class ... RBLX	S	30 Jun 2021	$15,001 - $50,000	-
Advanced Micro Devices, I... AMD	P	30 Jun 2021	$15,001 - $50,000	-
Roblox Corporation Class ... RBLX	P	21 Jun 2021	$15,001 - $50,000	-
Taiwan Semiconductor Manu... TSM	P	11 Jun 2021	$15,001 - $50,000	-
C3.ai, Inc. Class A (AI) AI	S	9 Jun 2021	$15,001 - $50,000	-
Marvell Technology, Inc. ... MRVL	P	9 Jun 2021	$1,001 - $15,000	-
iShares National Muni Bon... MUB	P	9 Jun 2021	$50,001 - $100,000	-
Fidelity Total Bond ETF (... FBND	P	9 Jun 2021	$50,001 - $100,000	-
Real Estate Select Sector... XLRE	P	9 Jun 2021	$50,001 - $100,000	-
Bristol-Myers Squibb Comp... BMY	S	7 Jun 2021	$1,001 - $15,000	-
PPg Industries, Inc. (PPG... PPG	S	4 Jun 2021	$15,001 - $50,000	-
Eaton Corporation, PLC Or... ETN	S	4 Jun 2021	$15,001 - $50,000	-
International Paper Compa... IP	S	4 Jun 2021	$1,001 - $15,000	-
Devon Energy Corporation ... DVN	S	4 Jun 2021	$15,001 - $50,000	-
Cigna Corporation (CI) CI	S	4 Jun 2021	$15,001 - $50,000	-
Weyerhaeuser Company (WY) WY	S	4 Jun 2021	$15,001 - $50,000	-
Advanced Micro Devices, I... AMD	S	4 Jun 2021	$1,001 - $15,000	-
Visa Inc. (V) V	S	4 Jun 2021	$15,001 - $50,000	-
Marvell Technology, Inc. ... MRVL	S	4 Jun 2021	$1,001 - $15,000	-
CVS Health Corporation (C... CVS	S	4 Jun 2021	$1,001 - $15,000	-
Microsoft Corporation (MS... MSFT	S	4 Jun 2021	$15,001 - $50,000	-
NVIDIA Corporation (NVDA) NVDA	S	4 Jun 2021	$15,001 - $50,000	-
General Motors Company (G... GM	S	4 Jun 2021	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	S	4 Jun 2021	$15,001 - $50,000	-
BorgWarner Inc. (BWA) BWA	S	4 Jun 2021	$1,001 - $15,000	-
Allstate Corporation (ALL... ALL	S	4 Jun 2021	$1,001 - $15,000	-
JP Morgan Chase & Co. (JP... JPM	S	4 Jun 2021	$1,001 - $15,000	-
United Rentals, Inc. (URI... URI	S	4 Jun 2021	$15,001 - $50,000	-
Splunk Inc. (SPLK) SPLK	S	4 Jun 2021	$1,001 - $15,000	-
Bristol-Myers Squibb Comp... BMY	S	4 Jun 2021	$1,001 - $15,000	-
Domino's Pizza Inc (DPZ) DPZ	S	4 Jun 2021	$1,001 - $15,000	-
TrueShares Technology, AI... LRNZ	P	3 Jun 2021	$15,001 - $50,000	-
Amplify ETF Trust Amplify... IBUY	P	3 Jun 2021	$15,001 - $50,000	-
Catalent, Inc. (CTLT) CTLT	S	3 Jun 2021	$1,001 - $15,000	-
C3.ai, Inc. Class A (AI) AI	P	3 Jun 2021	$15,001 - $50,000	-
Global X FinTech ETF (FIN... FINX	P	3 Jun 2021	$15,001 - $50,000	-
The Bank of New York Mell... BK	P	3 Jun 2021	$50,001 - $100,000	-
DexCom, Inc. (DXCM) DXCM	S	3 Jun 2021	$15,001 - $50,000	-
PTC Inc. (PTC) PTC	S	3 Jun 2021	$50,001 - $100,000	-
Waste Management, Inc. (W... WM	S	3 Jun 2021	$50,001 - $100,000	-
MGM Resorts International... MGM	P	3 Jun 2021	$15,001 - $50,000	-
IPg Photonics Corporation... IPGP	S	3 Jun 2021	$1,001 - $15,000	-
Invesco Dynamic Leisure a... PEJ	P	3 Jun 2021	$15,001 - $50,000	-
First Trust NASDAQ Cybers... CIBR	P	3 Jun 2021	$15,001 - $50,000	-
CRISPR Therapeutics AG - ... CRSP	P	3 Jun 2021	$50,001 - $100,000	-
WisdomTree Cloud Computin... WCLD	P	3 Jun 2021	$50,001 - $100,000	-
PayPal Holdings, Inc. (PY... PYPL	S	3 Jun 2021	$50,001 - $100,000	-
Apple Inc. (AAPL) AAPL	P	3 Jun 2021	$50,001 - $100,000	-
Ford Motor Company (F) F	P	3 Jun 2021	$15,001 - $50,000	-
Splunk Inc. (SPLK) SPLK	P	2 Jun 2021	$15,001 - $50,000	-
QUALCOMM Incorporated (QC... QCOM	S	2 Jun 2021	$50,001 - $100,000	-
ARK Innovation ETF (ARKK) ARKK	S	20 May 2021	$15,001 - $50,000	-
NIO Inc. American deposit... NIO	S	20 May 2021	$15,001 - $50,000	-
Southwest Airlines Compan... LUV	S	20 May 2021	$15,001 - $50,000	-
PayPal Holdings, Inc. (PY... PYPL	S	20 May 2021	$15,001 - $50,000	-
Carnival Corporation (CCL... CCL	S	20 May 2021	$15,001 - $50,000	-
Square, Inc. Class A (SQ) SQ	S	20 May 2021	$50,001 - $100,000	-
Uber Technologies, Inc. (... UBER	S	20 May 2021	$15,001 - $50,000	-
LendingTree, Inc. (TREE) TREE	S	5 May 2021	$15,001 - $50,000	-
Marvell Technology, Inc. ... MRVL	P	5 May 2021	$1,001 - $15,000	-
Eli Lilly and Company (LL... LLY	S	5 May 2021	$15,001 - $50,000	-
CVS Health Corporation (C... CVS	P	5 May 2021	$1,001 - $15,000	-
Devon Energy Corporation ... DVN	S	5 May 2021	$1,001 - $15,000	-
United Rentals, Inc. (URI... URI	S	5 May 2021	$15,001 - $50,000	-
C3.ai, Inc. Class A (AI) AI	S	5 May 2021	$50,001 - $100,000	-
Apple Inc. (AAPL) AAPL	S	5 May 2021	$1,001 - $15,000	-
Spotify Technology S.A. O... SPOT	S	5 May 2021	$50,001 - $100,000	-
NVIDIA Corporation (NVDA) NVDA	S	5 May 2021	$15,001 - $50,000	-
ARK Innovation ETF (ARKK) ARKK	P	20 Apr 2021	$15,001 - $50,000	-
IPg Photonics Corporation... IPGP	P	15 Apr 2021	$1,001 - $15,000	-
CVS Health Corporation (C... CVS	P	14 Apr 2021	$15,001 - $50,000	-
Spotify Technology S.A. O... SPOT	P	8 Apr 2021	$1,001 - $15,000	-
C3.ai, Inc. Class A (AI) AI	P	7 Apr 2021	$15,001 - $50,000	-
Tesla, Inc. (TSLA) TSLA	S	7 Apr 2021	$50,001 - $100,000	-
CVS Health Corporation (C... CVS	P	5 Apr 2021	$1,001 - $15,000	-
RH (RH) RH	S	1 Apr 2021	$50,001 - $100,000	-
BorgWarner Inc. (BWA) BWA	P	1 Apr 2021	$15,001 - $50,000	-
C3.ai, Inc. Class A (AI) AI	P	15 Mar 2021	$1,001 - $15,000	-
PayPal Holdings, Inc. (PY... PYPL	P	11 Mar 2021	$15,001 - $50,000	-
Spotify Technology S.A. O... SPOT	P	9 Mar 2021	$1,001 - $15,000	-
Carnival Corporation (CCL... CCL	P	4 Mar 2021	$15,001 - $50,000	-
International Paper Compa... IP	P	4 Mar 2021	$15,001 - $50,000	-
Allstate Corporation (ALL... ALL	P	4 Mar 2021	$15,001 - $50,000	-
C3.ai, Inc. Class A (AI) AI	P	4 Mar 2021	$15,001 - $50,000	-
Southwest Airlines Compan... LUV	P	4 Mar 2021	$15,001 - $50,000	-
Eli Lilly and Company (LL... LLY	P	3 Mar 2021	$50,001 - $100,000	-
QUALCOMM Incorporated (QC... QCOM	P	3 Mar 2021	$50,001 - $100,000	-
PTC Inc. (PTC) PTC	P	2 Mar 2021	$50,001 - $100,000	-
PayPal Holdings, Inc. (PY... PYPL	P	2 Mar 2021	$50,001 - $100,000	-
Weyerhaeuser Company (WY) WY	P	2 Mar 2021	$50,001 - $100,000	-
Tesla, Inc. (TSLA) TSLA	P	2 Mar 2021	$50,001 - $100,000	-
Marvell Technology, Inc. ... MRVL	P	1 Mar 2021	$15,001 - $50,000	-
C3.ai, Inc. Class A (AI) AI	P	1 Mar 2021	$15,001 - $50,000	-
PPg Industries, Inc. (PPG... PPG	P	1 Mar 2021	$50,001 - $100,000	-
Domino's Pizza Inc (DPZ) DPZ	P	1 Mar 2021	$50,001 - $100,000	-
RH (RH) RH	P	1 Mar 2021	$15,001 - $50,000	-
Spotify Technology S.A. O... SPOT	P	1 Mar 2021	$15,001 - $50,000	-
Allstate Corporation (ALL... ALL	P	1 Mar 2021	$15,001 - $50,000	-
QuantumScape Corporation ... QS	S	24 Feb 2021	$15,001 - $50,000	-
QuantumScape Corporation ... QS	P	19 Feb 2021	$15,001 - $50,000	-
Electrameccanica Vehicles... SOLO	S	16 Feb 2021	$15,001 - $50,000	-
Live Nation Entertainment... LYV	S	10 Feb 2021	$15,001 - $50,000	-
Norwegian Cruise Line Hol... NCLH	S	10 Feb 2021	$15,001 - $50,000	-
Boeing Company (BA) BA	S	29 Jan 2021	$15,001 - $50,000	-
Live Nation Entertainment... LYV	P	21 Jan 2021	$15,001 - $50,000	-
Norwegian Cruise Line Hol... NCLH	P	21 Jan 2021	$15,001 - $50,000	-
Eaton Corporation, PLC Or... ETN	P	15 Jan 2021	$50,001 - $100,000	-
U.S. Global Jets ETF (JET... JETS	S	15 Jan 2021	$15,001 - $50,000	-
Dana Incorporated (DAN) DAN	S	15 Jan 2021	$50,001 - $100,000	-
Uber Technologies, Inc. (... UBER	P	13 Jan 2021	$15,001 - $50,000	-
Electrameccanica Vehicles... SOLO	P	11 Jan 2021	$15,001 - $50,000	-
Li Auto Inc. - American D... LI	S	7 Jan 2021	$15,001 - $50,000	-
Zscaler, Inc. (ZS) ZS	S	6 Jan 2021	$15,001 - $50,000	-
LendingTree, Inc. (TREE) TREE	S	23 Dec 2020	$1,001 - $15,000	-
Catalent, Inc. (CTLT) CTLT	P	18 Dec 2020	$1,001 - $15,000	-
Marvell Technology, Inc. ... MRVL	P	18 Dec 2020	$1,001 - $15,000	-
Zscaler, Inc. (ZS) ZS	P	11 Dec 2020	$15,001 - $50,000	-
U.S. Global Jets ETF (JET... JETS	P	11 Dec 2020	$15,001 - $50,000	-
Li Auto Inc. - American D... LI	P	8 Dec 2020	$15,001 - $50,000	-
FuelCell Energy, Inc. (FC... FCEL	S	1 Dec 2020	$100,001 - $250,000	-
FuelCell Energy, Inc. (FC... FCEL	P	25 Nov 2020	$100,001 - $250,000	-
Apple Inc. (AAPL) AAPL	S	24 Nov 2020	$50,001 - $100,000	-
Marvell Technology, Inc. ... MRVL	P	19 Nov 2020	$15,001 - $50,000	-
Inphi Corporation (IPHI) IPHI	S	19 Nov 2020	$1,001 - $15,000	-
fuboTV Inc. (FUBO) FUBO	S	18 Nov 2020	$15,001 - $50,000	-
fuboTV Inc. (FUBO) FUBO	P	16 Nov 2020	$15,001 - $50,000	-
Pinterest, Inc. Class A (... PINS	S	16 Nov 2020	$15,001 - $50,000	-
Pinterest, Inc. Class A (... PINS	P	3 Nov 2020	$15,001 - $50,000	-
TrueShares Technology, AI... LRNZ	S	26 Oct 2020	$1,001 - $15,000	-
WisdomTree Cloud Computin... WCLD	S	26 Oct 2020	$1,001 - $15,000	-
NIO Inc. American deposit... NIO	P	5 Oct 2020	$15,001 - $50,000	-
Workhorse Group, Inc. (WK... WKHS	S	5 Oct 2020	$15,001 - $50,000	-
Workhorse Group, Inc. (WK... WKHS	P	24 Sept 2020	$15,001 - $50,000	-
WisdomTree Cloud Computin... WCLD	P	17 Sept 2020	$1,001 - $15,000	-
TrueShares Technology, AI... LRNZ	P	17 Sept 2020	$1,001 - $15,000	-
NIO Inc. American deposit... NIO	P	2 Sept 2020	$1,001 - $15,000	-
Chegg, Inc. (CHGG) CHGG	S	1 Sept 2020	$15,001 - $50,000	-
Lowe's Companies, Inc. (L... LOW	S	25 Aug 2020	$15,001 - $50,000	-
Marriott International - ... MAR	S	21 Aug 2020	$1,001 - $15,000	-
Devon Energy Corporation ... DVN	P	3 Aug 2020	$1,001 - $15,000	-
Chegg, Inc. (CHGG) CHGG	P	3 Aug 2020	$15,001 - $50,000	-
TJX Companies, Inc. (TJX) TJX	S	31 Jul 2020	$1,001 - $15,000	-
ZoomInfo Technologies Inc... ZI	S	31 Jul 2020	$1,001 - $15,000	-
Devon Energy Corporation ... DVN	P	30 Jul 2020	$15,001 - $50,000	-
Dana Incorporated (DAN) DAN	S	30 Jul 2020	$15,001 - $50,000	-
International Paper Compa... IP	S	10 Jul 2020	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	S	10 Jul 2020	$1,001 - $15,000	-
ZoomInfo Technologies Inc... ZI	P	15 Jun 2020	$1,001 - $15,000	-
Marriott International - ... MAR	P	15 Jun 2020	$1,001 - $15,000	-
Lowe's Companies, Inc. (L... LOW	P	15 Jun 2020	$1,001 - $15,000	-
Chegg, Inc. (CHGG) CHGG	P	15 Jun 2020	$1,001 - $15,000	-
TJX Companies, Inc. (TJX) TJX	P	15 Jun 2020	$1,001 - $15,000	-
General Motors Company (G... GM	P	3 Jun 2020	$1,001 - $15,000	-
Boeing Company (BA) BA	S	3 Jun 2020	$15,001 - $50,000	-
Advanced Micro Devices, I... AMD	S	3 Jun 2020	$15,001 - $50,000	-
Federal National Mortgage... FNMA	S	11 May 2020	$1,001 - $15,000	-
Walt Disney Company (DIS) DIS	S	11 May 2020	$1,001 - $15,000	-
JP Morgan Chase & Co. (JP... JPM	S	11 May 2020	$1,001 - $15,000	-
American Express Company ... AXP	S	5 May 2020	$15,001 - $50,000	-
HollyFrontier Corporation... HFC	P	5 May 2020	$15,001 - $50,000	-
HollyFrontier Corporation... HFC	S	5 May 2020	$15,001 - $50,000	-
Delta Air Lines, Inc. (DA... DAL	S	4 May 2020	$1,001 - $15,000	-
Inphi Corporation (IPHI) IPHI	P	29 Apr 2020	$1,001 - $15,000	-
International Paper Compa... IP	P	29 Apr 2020	$15,001 - $50,000	-
DuPont de Nemours, Inc. (... DD	S	29 Apr 2020	$15,001 - $50,000	-
Ford Motor Company (F) F	S	14 Apr 2020	$1,001 - $15,000	-
Corning Incorporated (GLW... GLW	P	14 Apr 2020	$1,001 - $15,000	-
General Motors Company (G... GM	P	14 Apr 2020	$1,001 - $15,000	-
LendingTree, Inc. (TREE) TREE	P	14 Apr 2020	$15,001 - $50,000	-
Caterpillar, Inc. (CAT) CAT	S	14 Apr 2020	$15,001 - $50,000	-
International Paper Compa... IP	P	14 Apr 2020	$1,001 - $15,000	-
Dana Incorporated (DAN) DAN	P	14 Apr 2020	$1,001 - $15,000	-
United Rentals, Inc. (URI... URI	P	20 Mar 2020	$1,001 - $15,000	-
Waste Management, Inc. (W... WM	S	20 Mar 2020	$1,001 - $15,000	-
Corning Incorporated (GLW... GLW	S	20 Mar 2020	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	P	20 Mar 2020	$1,001 - $15,000	-
Microsoft Corporation (MS... MSFT	P	20 Mar 2020	$1,001 - $15,000	-
NVIDIA Corporation (NVDA) NVDA	P	20 Mar 2020	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	10 Mar 2020	$1,001 - $15,000	-
Square, Inc. Class A (SQ) SQ	P	10 Mar 2020	$1,001 - $15,000	-
JMP Group LLC Common Shar... JMP	P	10 Mar 2020	$1,001 - $15,000	-
Delta Air Lines, Inc. (DA... DAL	P	10 Mar 2020	$1,001 - $15,000	-
Advanced Micro Devices, I... AMD	P	3 Mar 2020	$1,001 - $15,000	-
Square, Inc. Class A (SQ) SQ	P	3 Mar 2020	$1,001 - $15,000	-
LendingTree, Inc. (TREE) TREE	P	3 Mar 2020	$15,001 - $50,000	-
Federal National Mortgage... FNMA	P	3 Mar 2020	$1,001 - $15,000	-
NVIDIA Corporation (NVDA) NVDA	P	3 Mar 2020	$15,001 - $50,000	-
Visa Inc. (V) V	P	2 Mar 2020	$1,001 - $15,000	-
CVS Health Corporation (C... CVS	P	2 Mar 2020	$1,001 - $15,000	-
LendingTree, Inc. (TREE) TREE	P	2 Mar 2020	$1,001 - $15,000	-
Boeing Company (BA) BA	P	2 Mar 2020	$15,001 - $50,000	-
General Motors Company (G... GM	P	2 Mar 2020	$15,001 - $50,000	-
Dana Incorporated (DAN) DAN	P	2 Mar 2020	$1,001 - $15,000	-
iShares TIPS Bond ETF (TI... TIP	S	2 Mar 2020	$100,001 - $250,000	-
NVIDIA Corporation (NVDA) NVDA	S	2 Mar 2020	$100,001 - $250,000	-
NVIDIA Corporation (NVDA) NVDA	P	2 Mar 2020	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	2 Mar 2020	$1,001 - $15,000	-
Walmart Inc. (WMT) WMT	S (partial)	2 Mar 2020	$1,001 - $15,000	-
MetLife, Inc. (MET) MET	S	25 Feb 2020	$1,001 - $15,000	-
FireEye, Inc. (FEYE) FEYE	S	25 Feb 2020	$1,001 - $15,000	-
General Electric Company ... GE	S	24 Feb 2020	$1,001 - $15,000	-
CyberArk Software Ltd. - ... CYBR	S	24 Feb 2020	$1,001 - $15,000	-
General Electric Company ... GE	S	24 Feb 2020	$1,001 - $15,000	-
AstraZeneca PLC - America... AZN	S	24 Feb 2020	$15,001 - $50,000	-
Cisco Systems, Inc. (CSCO... CSCO	S	13 Feb 2020	$15,001 - $50,000	-
NVIDIA Corporation (NVDA) NVDA	P	13 Feb 2020	$1,001 - $15,000	-
LendingTree, Inc. (TREE) TREE	P	13 Feb 2020	$1,001 - $15,000	-
International Paper Compa... IP	P	12 Feb 2020	$15,001 - $50,000	-
Visa Inc. (V) V	P	29 Jan 2020	$15,001 - $50,000	-
McDonald's Corporation (M... MCD	S	29 Jan 2020	$15,001 - $50,000	-
McDonald's Corporation (M... MCD	P	28 Jan 2020	$15,001 - $50,000	-
Dana Incorporated (DAN) DAN	P	15 Jan 2020	$1,001 - $15,000	-
DexCom, Inc. (DXCM) DXCM	P	10 Jan 2020	$1,001 - $15,000	-
Dana Incorporated (DAN) DAN	P	9 Jan 2020	$15,001 - $50,000	-
American Express Company ... AXP	P	9 Jan 2020	$15,001 - $50,000	-
Visa Inc. (V) V	P	9 Jan 2020	$15,001 - $50,000	-
Bristol-Myers Squibb Comp... BMY	P	9 Jan 2020	$50,001 - $100,000	-
DuPont de Nemours, Inc. (... DD	P	9 Jan 2020	$15,001 - $50,000	-
Boeing Company (BA) BA	P	9 Jan 2020	$15,001 - $50,000	-
Microsoft Corporation (MS... MSFT	P	9 Jan 2020	$1,001 - $15,000	-
Cigna Corporation (CI) CI	P	9 Jan 2020	$15,001 - $50,000	-
Corning Incorporated (GLW... GLW	P	9 Jan 2020	$15,001 - $50,000	-
DexCom, Inc. (DXCM) DXCM	P	9 Jan 2020	$15,001 - $50,000	-
Bristol-Myers Squibb Comp... BMY	S	9 Jan 2020	$15,001 - $50,000	-
iShares TIPS Bond ETF (TI... TIP	P	9 Jan 2020	$50,001 - $100,000	-
MetLife, Inc. (MET) MET	P	7 Jan 2020	$1,001 - $15,000	-
FireEye, Inc. (FEYE) FEYE	P	7 Jan 2020	$1,001 - $15,000	-
AstraZeneca PLC - America... AZN	P	7 Jan 2020	$15,001 - $50,000	-
General Electric Company ... GE	P	7 Jan 2020	$1,001 - $15,000	-
CyberArk Software Ltd. - ... CYBR	P	7 Jan 2020	$1,001 - $15,000	-
SPDR S&P Retail ETF (XRT) XRT	S	3 Jan 2020	$1,001 - $15,000	-
Ford Motor Company (F) F	P	3 Jan 2020	$1,001 - $15,000	-
JPMorgan Chase Capital XV... AMJ	S	1 Jan 2020	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	P	1 Jan 2020	$15,001 - $50,000	-
CrowdStrike Holdings, Inc... CRWD	S	2 Dec 2019	$1,001 - $15,000	-
NVIDIA Corporation (NVDA) NVDA	S	2 Dec 2019	$15,001 - $50,000	-
Square, Inc. Class A (SQ) SQ	S	2 Dec 2019	$15,001 - $50,000	-
Cigna Corporation (CI) CI	S	18 Nov 2019	$50,001 - $100,000	-
iShares TIPS Bond ETF (TI... TIP	P	18 Nov 2019	$100,001 - $250,000	-
ConocoPhillips (COP) COP	S	18 Nov 2019	$1,001 - $15,000	-
Apple Inc. (AAPL) AAPL	S	18 Nov 2019	$15,001 - $50,000	-
Merck & Company, Inc. Com... MRK	S	18 Nov 2019	$15,001 - $50,000	-
Encana Corporation (ECA) ECA	S	18 Nov 2019	$1,001 - $15,000	-
Halliburton Company (HAL) HAL	S	18 Nov 2019	$15,001 - $50,000	-
Eli Lilly and Company (LL... LLY	S	18 Nov 2019	$15,001 - $50,000	-
Advanced Micro Devices, I... AMD	S (partial)	18 Nov 2019	$15,001 - $50,000	-
Dana Incorporated (DAN) DAN	P	15 Nov 2019	$1,001 - $15,000	-
NVIDIA Corporation (NVDA) NVDA	P	15 Nov 2019	$1,001 - $15,000	-
International Paper Compa... IP	P	15 Nov 2019	$1,001 - $15,000	-
Walt Disney Company (DIS) DIS	P	13 Nov 2019	$1,001 - $15,000	-
Encana Corporation (ECA) ECA	P	12 Nov 2019	$1,001 - $15,000	-
American Express Company ... AXP	P	12 Nov 2019	$1,001 - $15,000	-
ConocoPhillips (COP) COP	P	12 Nov 2019	$1,001 - $15,000	-
Corning Incorporated (GLW... GLW	S	12 Nov 2019	$15,001 - $50,000	-
Oracle Corporation Ordina... OCLCF	S	21 Oct 2019	$1,001 - $15,000	-
Chevron Corporation (CVX) CVX	S	21 Oct 2019	$1,001 - $15,000	-
Johnson & Johnson (JNJ) JNJ	S	21 Oct 2019	$1,001 - $15,000	-
Cisco Systems, Inc. (CSCO... CSCO	S	17 Oct 2019	$1,001 - $15,000	-
Apple Inc. (AAPL) AAPL	S (partial)	17 Oct 2019	$1,001 - $15,000	-
Crown Holdings, Inc. (CCK... CCK	S	17 Oct 2019	$15,001 - $50,000	-
Advanced Micro Devices, I... AMD	S (partial)	17 Oct 2019	$50,001 - $100,000	-
Crown Holdings, Inc. (CCK... CCK	S	24 Sept 2019	$15,001 - $50,000	-
Halliburton Company (HAL) HAL	P	24 Sept 2019	$15,001 - $50,000	-
Beyond Meat, Inc. - Commo... BYND	S	24 Sept 2019	$1,001 - $15,000	-
Regeneron Pharmaceuticals... REGN	S	16 Sept 2019	$50,001 - $100,000	-
General Motors Company (G... GM	S	16 Sept 2019	$1,001 - $15,000	-
General Motors Company (G... GM	S	16 Sept 2019	$15,001 - $50,000	-
DuPont de Nemours, Inc. (... DD	S	23 Aug 2019	$1,001 - $15,000	-
Corteva, Inc. (CTVA) CTVA	S	23 Aug 2019	$1,001 - $15,000	-
Boeing Company (BA) BA	P	21 Aug 2019	$1,001 - $15,000	-
United Rentals, Inc. (URI... URI	P	21 Aug 2019	$1,001 - $15,000	-
Dow Inc. (DOW) DOW	S	21 Aug 2019	$1,001 - $15,000	-
Beyond Meat, Inc. - Commo... BYND	P	20 Aug 2019	$15,001 - $50,000	-
Square, Inc. Class A (SQ) SQ	P	20 Aug 2019	$15,001 - $50,000	-
Corning Incorporated (GLW... GLW	P	19 Aug 2019	$1,001 - $15,000	-
Lyft, Inc. - Class A (LYF... LYFT	S	5 Aug 2019	$1,001 - $15,000	-
Boeing Company (BA) BA	S (partial)	30 Jul 2019	$1,001 - $15,000	-
Boeing Company (BA) BA	S (partial)	29 Jul 2019	$15,001 - $50,000	-
NVIDIA Corporation (NVDA) NVDA	P	29 Jul 2019	$15,001 - $50,000	-
CrowdStrike Holdings, Inc... CRWD	P	26 Jul 2019	$15,001 - $50,000	-
Lyft, Inc. - Class A (LYF... LYFT	P	8 Jul 2019	$1,001 - $15,000	-
NVIDIA Corporation (NVDA) NVDA	P	8 Jul 2019	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	8 Jul 2019	$15,001 - $50,000	-
Intel Corporation (INTC) INTC	S	18 Jun 2019	$1,001 - $15,000	-
Walmart Inc. (WMT) WMT	S	18 Jun 2019	$1,001 - $15,000	-
Walmart Inc. (WMT) WMT	S	18 Jun 2019	$15,001 - $50,000	-
Texas Instruments Incorpo... TXN	S	18 Jun 2019	$15,001 - $50,000	-
Costco Wholesale Corporat... COST	S	18 Jun 2019	$15,001 - $50,000	-
Caterpillar, Inc. (CAT) CAT	S	18 Jun 2019	$1,001 - $15,000	-
Verizon Communications In... VZ	S	18 Jun 2019	$1,001 - $15,000	-
Verizon Communications In... VZ	S	18 Jun 2019	$15,001 - $50,000	-
Intel Corporation (INTC) INTC	S	18 Jun 2019	$15,001 - $50,000	-
Caterpillar, Inc. (CAT) CAT	S (partial)	18 Jun 2019	$15,001 - $50,000	-
Deere & Company (DE) DE	S	6 Jun 2019	$15,001 - $50,000	-
United Rentals, Inc. (URI... URI	P	23 May 2019	$1,001 - $15,000	-
Control4 Corporation (CTR... CTRL	S	23 May 2019	$1,001 - $15,000	-
Intel Corporation (INTC) INTC	S	23 May 2019	$1,001 - $15,000	-
Apple Inc. (AAPL) AAPL	P	13 May 2019	$15,001 - $50,000	-
Control4 Corporation (CTR... CTRL	S	13 May 2019	$1,001 - $15,000	-
Boeing Company (BA) BA	P	13 May 2019	$1,001 - $15,000	-
Control4 Corporation (CTR... CTRL	S	13 May 2019	$50,001 - $100,000	-
Boeing Company (BA) BA	P	13 May 2019	$15,001 - $50,000	-
Deere & Company (DE) DE	P	13 May 2019	$15,001 - $50,000	-
Corning Incorporated (GLW... GLW	P	11 May 2019	$15,001 - $50,000	-
Weyerhaeuser Company (WY) WY	S	8 May 2019	$50,001 - $100,000	-
Corning Incorporated (GLW... GLW	P	8 May 2019	$15,001 - $50,000	-
Caterpillar, Inc. (CAT) CAT	P	8 May 2019	$15,001 - $50,000	-
Cigna Corporation (CI) CI	P	8 May 2019	$15,001 - $50,000	-
Regeneron Pharmaceuticals... REGN	P	2 May 2019	$50,001 - $100,000	-
International Paper Compa... IP	S	2 May 2019	$50,001 - $100,000	-
Cigna Corporation (CI) CI	P	12 Apr 2019	$50,001 - $100,000	-
Micron Technology, Inc. (... MU	S	8 Apr 2019	$15,001 - $50,000	-
Texas Instruments Incorpo... TXN	S	8 Apr 2019	$1,001 - $15,000	-
ConocoPhillips (COP) COP	S	8 Apr 2019	$1,001 - $15,000	-
Bristol-Myers Squibb Comp... BMY	S	8 Apr 2019	$15,001 - $50,000	-
Pfizer, Inc. (PFE) PFE	S	8 Apr 2019	$1,001 - $15,000	-
Winnebago Industries, Inc... WGO	S	8 Apr 2019	$50,001 - $100,000	-
DowDuPont Inc. (DWDP) DWDP	S	29 Mar 2019	$1,001 - $15,000	-
Micron Technology, Inc. (... MU	P	29 Mar 2019	$15,001 - $50,000	-
Superior Industries Inter... SUP	S	29 Mar 2019	$1,001 - $15,000	-
Texas Instruments Incorpo... TXN	P	5 Mar 2019	$1,001 - $15,000	-
Caterpillar, Inc. (CAT) CAT	P	5 Mar 2019	$15,001 - $50,000	-
DowDuPont Inc. (DWDP) DWDP	P	5 Mar 2019	$1,001 - $15,000	-
Weyerhaeuser Company (WY) WY	P	25 Feb 2019	$15,001 - $50,000	-
AT&T Inc. (T) T	S	21 Feb 2019	$1,001 - $15,000	-
Weyerhaeuser Company (WY) WY	P	21 Feb 2019	$1,001 - $15,000	-
NVIDIA Corporation (NVDA) NVDA	S	29 Jan 2019	$1,001 - $15,000	-
Advanced Micro Devices, I... AMD	P	29 Jan 2019	$15,001 - $50,000	-
Citigroup, Inc. (C) C	S	25 Jan 2019	$1,001 - $15,000	-
Citigroup, Inc. (C) C	S	25 Jan 2019	$15,001 - $50,000	-
Control4 Corporation (CTR... CTRL	P	25 Jan 2019	$1,001 - $15,000	-
iShares Global Comm Servi... IXP	S	24 Jan 2019	$1,001 - $15,000	-
International Business Ma... IBM	S	24 Jan 2019	$1,001 - $15,000	-
Intel Corporation (INTC) INTC	P	24 Jan 2019	$1,001 - $15,000	-
NVIDIA Corporation (NVDA) NVDA	P	14 Jan 2019	$15,001 - $50,000	-
TE Connectivity Ltd. New ... TEL	S	14 Jan 2019	$1,001 - $15,000	-
Medtronic plc. Ordinary S... MDT	S	14 Jan 2019	$1,001 - $15,000	-
NextEra Energy, Inc. (NEE... NEE	P	7 Jan 2019	$1,001 - $15,000	-
Pacific Gas & Electric Co... PCG	S	7 Jan 2019	$1,001 - $15,000	-
Superior Industries Inter... SUP	S	2 Jan 2019	$1,001 - $15,000	-
Superior Industries Inter... SUP	S	28 Dec 2018	$15,001 - $50,000	-
United Rentals, Inc. (URI... URI	P	19 Dec 2018	$15,001 - $50,000	-
Intrexon Corporation (XON... XON	S	14 Dec 2018	$1,001 - $15,000	-
Winnebago Industries, Inc... WGO	P	18 Nov 2018	$50,001 - $100,000	-
Weyerhaeuser Company (WY) WY	P	8 Nov 2018	$50,001 - $100,000	-
Regeneron Pharmaceuticals... REGN	S	7 Nov 2018	$15,001 - $50,000	-
Martin Marietta Materials... MLM	S	7 Nov 2018	$50,001 - $100,000	-
Regeneron Pharmaceuticals... REGN	P	5 Nov 2018	$15,001 - $50,000	-
Walmart Inc. (WMT) WMT	P	4 Nov 2018	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	S	2 Nov 2018	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	1 Nov 2018	$15,001 - $50,000	-
Crown Holdings, Inc. (CCK... CCK	P	15 Oct 2018	$50,001 - $100,000	-
Martin Marietta Materials... MLM	P	15 Oct 2018	$50,001 - $100,000	-
Superior Industries Inter... SUP	P	15 Oct 2018	$50,001 - $100,000	-
INTL PAPER CO	P	2 Oct 2018	$50,001 - $100,000	-
General Motors Company (G... GM	P	1 Oct 2018	$15,001 - $50,000	-
Boeing Company (BA) BA	P	1 Oct 2018	$15,001 - $50,000	-
Bristol-Myers Squibb Comp... BMY	P	1 Oct 2018	$15,001 - $50,000	-
Exxon Mobil Corporation (... XOM	P	25 Jul 2018	$1,001 - $15,000	-
Exxon Mobil Corporation (... XOM	S	25 Jul 2018	$1,001 - $15,000	-
Cigna Corporation (CI) CI	S	25 Jul 2018	$1,001 - $15,000	-
COCA COLA COM	S	25 Jul 2018	$1,001 - $15,000	-
MetLife, Inc. (MET) MET	S	25 Jul 2018	$1,001 - $15,000	-
New York ST DORM ATRV	S	24 Jul 2018	$50,001 - $100,000	-
BlackRock Municipal Incom... BAF	S	24 Jul 2018	$1,001 - $15,000	-
Westchester CNTY NY GO	S	24 Jul 2018	$15,001 - $50,000	-
Blackrock NY Municipal	S	24 Jul 2018	$15,001 - $50,000	-
Procter & Gamble Company ... PG	S	24 Jul 2018	$1,001 - $15,000	-
Consolidated Edison, Inc.... ED	S	5 Jul 2018	$1,001 - $15,000	-
Vanguard NY Long Term	S	28 Jun 2018	$15,001 - $50,000	-
Dominion Energy, Inc. (D) D	S	27 Jun 2018	$1,001 - $15,000	-
BlackRock Municipal Incom... BAF	P	27 Jun 2018	$1,001 - $15,000	-
Intel Corporation (INTC) INTC	S	27 Jun 2018	$1,001 - $15,000	-
PPL Corporation (PPL) PPL	S	30 Apr 2018	$1,001 - $15,000	-
Henry Schein, Inc. (HSIC) HSIC	S	17 Apr 2018	$15,001 - $50,000	-
AT&T Inc. (T) T	S	17 Apr 2018	$1,001 - $15,000	-
Cigna Corporation (CI) CI	P	17 Apr 2018	$1,001 - $15,000	-
Superior Industries Inter... SUP	P	21 Dec 2017	$1,001 - $15,000	-
Pacific Gas & Electric Co... PCG	S	21 Dec 2017	$1,001 - $15,000	-
Johnson Controls Internat... JCI	S	6 Dec 2017	$1,001 - $15,000	-
Henry Schein, Inc. (HSIC) HSIC	S	6 Dec 2017	$15,001 - $50,000	-
Advanced Micro Devices, I... AMD	P	6 Dec 2017	$1,001 - $15,000	-
Intrexon Corporation (XON... XON	P	6 Dec 2017	$1,001 - $15,000	-
Waste Management, Inc. (W... WM	P	5 Sept 2017	$1,001 - $15,000	-
Mallinckrodt plc Ordinary... MNK	S	5 Sept 2017	$1,001 - $15,000	-
Target Corporation (TGT) TGT	P	5 Sept 2017	$1,001 - $15,000	-
New York Community Bancor... NYCB	S	5 Sept 2017	$15,001 - $50,000	-
Target Corporation (TGT) TGT	S	5 Sept 2017	$1,001 - $15,000	-
Total SE (TOT) TOT	S	5 Sept 2017	$1,001 - $15,000	-
Pentair plc. Ordinary Sha... PNR	S	5 Sept 2017	$1,001 - $15,000	-
Mallinckrodt plc Ordinary... MNK	P	25 Aug 2017	$1,001 - $15,000	-
New York Community Bancor... NYCB	P	25 Aug 2017	$15,001 - $50,000	-
Johnson Controls Internat... JCI	P	25 Aug 2017	$1,001 - $15,000	-
Texas Instruments Incorpo... TXN	P	17 Aug 2017	$1,001 - $15,000	-
Pfizer, Inc. (PFE) PFE	P	17 Aug 2017	$1,001 - $15,000	-
Intel Corporation (INTC) INTC	P	17 Aug 2017	$1,001 - $15,000	-
Total SE (TOT) TOT	P	17 Aug 2017	$1,001 - $15,000	-
Exxon Mobil Corporation (... XOM	P	17 Aug 2017	$1,001 - $15,000	-
Coca-Cola Company (KO) KO	P	17 Aug 2017	$1,001 - $15,000	-
Verizon Communications In... VZ	P	17 Aug 2017	$1,001 - $15,000	-
Medtronic plc. Ordinary S... MDT	P	17 Aug 2017	$1,001 - $15,000	-
Consolidated Edison, Inc.... ED	P	17 Aug 2017	$1,001 - $15,000	-
International Business Ma... IBM	P	17 Aug 2017	$1,001 - $15,000	-
Microsoft Corporation (MS... MSFT	P	17 Aug 2017	$15,001 - $50,000	-
PPL Corporation (PPL) PPL	P	17 Aug 2017	$1,001 - $15,000	-
Blackrock NY Municipal	P	17 Aug 2017	$15,001 - $50,000	-
New York ST DORM ATRV	P	17 Aug 2017	$50,001 - $100,000	-
Costco Wholesale Corporat... COST	P	17 Aug 2017	$1,001 - $15,000	-
JP Morgan Chase & Co. (JP... JPM	P	17 Aug 2017	$1,001 - $15,000	-
Vanguard NY Long Term	P	17 Aug 2017	$15,001 - $50,000	-
Henry Schein, Inc. (HSIC) HSIC	P	17 Aug 2017	$15,001 - $50,000	-
Caterpillar, Inc. (CAT) CAT	P	17 Aug 2017	$1,001 - $15,000	-
Eli Lilly and Company (LL... LLY	P	17 Aug 2017	$1,001 - $15,000	-
Westchester CNTY NY GO	P	17 Aug 2017	$15,001 - $50,000	-
Pentair plc. Ordinary Sha... PNR	P	17 Aug 2017	$1,001 - $15,000	-
MetLife, Inc. (MET) MET	P	17 Aug 2017	$1,001 - $15,000	-
Cisco Systems, Inc. (CSCO... CSCO	P	17 Aug 2017	$1,001 - $15,000	-
Citigroup, Inc. (C) C	P	17 Aug 2017	$1,001 - $15,000	-
TE Connectivity Ltd. New ... TEL	P	17 Aug 2017	$1,001 - $15,000	-
Dominion Energy, Inc. (D) D	P	17 Aug 2017	$1,001 - $15,000	-
Merck & Company, Inc. Com... MRK	P	17 Aug 2017	$15,001 - $50,000	-
ConocoPhillips (COP) COP	P	17 Aug 2017	$1,001 - $15,000	-
Control4 Corporation (CTR... CTRL	P	17 Aug 2017	$1,001 - $15,000	-
Pacific Gas & Electric Co... PCG	P	17 Aug 2017	$1,001 - $15,000	-
AT&T Inc. (T) T	P	17 Aug 2017	$15,001 - $50,000	-
Procter & Gamble Company ... PG	P	17 Aug 2017	$1,001 - $15,000	-
The Priceline Group Inc. ... PCLN	S	5 Jan 2017	$15,001 - $50,000	-
Mastercard Incorporated (... MA	S	5 Jan 2017	$50,001 - $100,000	-
Discover Financial Servic... DFS	S	5 Jan 2017	$1,001 - $15,000	-
Baidu, Inc. - American De... BIDU	S	5 Jan 2017	$15,001 - $50,000	-
Amerisourcebergen Corpora... ABC	S	5 Jan 2017	$15,001 - $50,000	-
Time Warner Inc. New (TWX... TWX	S	5 Jan 2017	$50,001 - $100,000	-
CME Group Inc. - Class A ... CME	S	5 Jan 2017	$1,001 - $15,000	-
Alphabet Inc. - Class A (... GOOGL	S	5 Jan 2017	$15,001 - $50,000	-
PayPal Holdings, Inc. (PY... PYPL	S	5 Jan 2017	$15,001 - $50,000	-
Facebook, Inc. - Class A ... FB	S	5 Jan 2017	$15,001 - $50,000	-
Cerner Corporation (CERN) CERN	S	5 Jan 2017	$15,001 - $50,000	-
eBay Inc. (EBAY) EBAY	S	5 Jan 2017	$15,001 - $50,000	-
Express Scripts Holding C... ESRX	S	5 Jan 2017	$15,001 - $50,000	-
Lowe's Companies, Inc. (L... LOW	S	5 Jan 2017	$15,001 - $50,000	-
CarMax Inc (KMX) KMX	S	5 Jan 2017	$15,001 - $50,000	-
Alphabet Inc. - Class C C... GOOG	S	5 Jan 2017	$15,001 - $50,000	-
Compass Minerals Intl Inc... CMP	S	5 Jan 2017	$15,001 - $50,000	-
The Cooper Companies, Inc... COO	S	5 Jan 2017	$15,001 - $50,000	-
BlackRock, Inc. (BLK) BLK	S	5 Jan 2017	$1,001 - $15,000	-