Scott H. PetersFiling

Annual Report | Filed on 03 Aug 2016

This congressional financial disclosure from Scott H. Peters (annual report) contains 523 stock trades. It was filed on 3 August 2016. Reported tickers include DIS, CSCO, TYC, WFC, EMC, and 63 more. Under the STOCK Act, members of Congress must disclose securities transactions within 45 days.

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Politician Name

Scott H. Peters

Filing Type

Annual Report

Filed Date

03 Aug 2016

View Original Filing (PDF)

Transactions

523 transactions


Ishares TR Bond (CSJ) CSJ	P	31 Dec 2015	$15,001 - $50,000	-
Ishares TR Bond (CSJ) CSJ	S (partial)	29 Dec 2015	Spouse/DC Over $1,000,000	-
Ishares S&P 500 (IVV) IVV	P	17 Dec 2015	Spouse/DC Over $1,000,000	-
Deutsch X Trk MSCI Eafe H...	P	17 Dec 2015	$250,001 - $500,000	-
Deutsch X Trk MSCI Eafe H...	P	17 Dec 2015	$50,001 - $100,000	-
Ishares S&P 500 (IVV) IVV	P	17 Dec 2015	$500,001 - $1,000,000	-
Ishares MSCI Eafe ETF	P	17 Dec 2015	$50,001 - $100,000	-
Ishares MSCI Eafe ETF	P	17 Dec 2015	$250,001 - $500,000	-
Ishares Russell Growth (I... IWP	P	17 Dec 2015	$500,001 - $1,000,000	-
Ishares Russell Growth (I... IWP	P	17 Dec 2015	$100,001 - $250,000	-
U.S. Treasury Bills	P	15 Dec 2015	Spouse/DC Over $1,000,000	-
U.S. Treasury Bills	P	15 Dec 2015	$1,000,001 - $5,000,000	-
Ishares MSCI Eafe ETF	P	14 Dec 2015	$100,001 - $250,000	-
Ishares S&P 500 (IVV) IVV	P	14 Dec 2015	Spouse/DC Over $1,000,000	-
Ishares Russell Growth (I... IWP	P	14 Dec 2015	$250,001 - $500,000	-
Deutsch X Trk MSCI Eafe H...	P	14 Dec 2015	$100,001 - $250,000	-
Ishares MSCI Eafe ETF	P	4 Dec 2015	$500,001 - $1,000,000	-
Deutsch X Trk MSCI Eafe H...	P	4 Dec 2015	$500,001 - $1,000,000	-
Harbor Intl (HAINX) HAINX	S	2 Dec 2015	Spouse/DC Over $1,000,000	-
Harbor Intl (HAINX) HAINX	S (partial)	1 Dec 2015	Spouse/DC Over $1,000,000	-
Deutsch X Trk MSCI Eafe H...	P	1 Dec 2015	$500,001 - $1,000,000	-
Ishares MSCI Eafe ETF	P	1 Dec 2015	$500,001 - $1,000,000	-
Ridgeworth Seix Float Rat...	S	29 Oct 2015	$250,001 - $500,000	-
T Rowe Price Inst. Float ...	P	29 Oct 2015	$250,001 - $500,000	-
Deutsch X Trk MSCI Eafe H...	S (partial)	29 Sept 2015	$500,001 - $1,000,000	-
Deutsch X Trk MSCI Eafe H...	S (partial)	29 Sept 2015	$1,001 - $15,000	-
Deutsch X Trk MSCI Eafe H...	S	29 Sept 2015	$1,001 - $15,000	-
Deutsch X Trk MSCI Eafe H...	S	24 Sept 2015	$250,001 - $500,000	-
Deutsch X Trk MSCI Eafe H...	S	24 Sept 2015	$15,001 - $50,000	-
Matthews Pacific Tiger Fd...	S	11 Sept 2015	$250,001 - $500,000	-
Matthews Pacific Tiger Fd...	S (partial)	10 Sept 2015	$1,001 - $15,000	-
Ishares TR Russell 1000 (... IWF	P	10 Sept 2015	$100,001 - $250,000	-
Matthews Pacific Tiger Fd...	S (partial)	10 Sept 2015	$100,001 - $250,000	-
Ishares Russell Growth (I... IWP	P	10 Sept 2015	$100,001 - $250,000	-
Matthews Pacific Tiger Fd...	S	10 Sept 2015	$1,001 - $15,000	-
Tweedy Browne Global Valu...	P	8 Sept 2015	$100,001 - $250,000	-
Atlantic Trust Disc Eqty	P	8 Sept 2015	Spouse/DC Over $1,000,000	-
Harbor Intl (HAINX) HAINX	P	8 Sept 2015	$250,001 - $500,000	-
At Mid Cap Eqty Fd Inst	P	8 Sept 2015	$100,001 - $250,000	-
Deutsch X Trk MSCI Eafe H...	P	4 Sept 2015	$50,001 - $100,000	-
Walt Disney Company (DIS) DIS	S	2 Sept 2015	$15,001 - $50,000	-
EMC Corporation (EMC) EMC	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Cisco Systems, Inc. (CSCO... CSCO	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Dollar General Corporatio... DG	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Apple Inc. (AAPL) AAPL	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Comcast Corporation - Cla... CMCSA	S	2 Sept 2015	$50,001 - $100,000	-
Automatic Data Processing... ADP	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Merck & Company, Inc. Com... MRK	S	2 Sept 2015	$50,001 - $100,000	-
Citrix Systems, Inc. (CTX... CTXS	S	2 Sept 2015	$15,001 - $50,000	-
NextEra Energy, Inc. (NEE... NEE	S	2 Sept 2015	$15,001 - $50,000	-
Express Scripts Holding C... ESRX	S	2 Sept 2015	$100,001 - $250,000	-
General Electric Company ... GE	S	2 Sept 2015	$50,001 - $100,000	-
EOG Resources, Inc. (EOG) EOG	S	2 Sept 2015	$15,001 - $50,000	-
Capital One Financial Cor... COF	S (partial)	2 Sept 2015	$50,001 - $100,000	-
EOG Resources, Inc. (EOG) EOG	S (partial)	2 Sept 2015	$15,001 - $50,000	-
Wells Fargo & Company (WF... WFC	S	2 Sept 2015	$50,001 - $100,000	-
EMC Corporation (EMC) EMC	S	2 Sept 2015	$50,001 - $100,000	-
Macy's Inc (M) M	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Johnson & Johnson (JNJ) JNJ	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Dollar General Corporatio... DG	S	2 Sept 2015	$50,001 - $100,000	-
Simon Ppty Group	S	2 Sept 2015	$50,001 - $100,000	-
Bank of America Corporati... BAC	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Fiserv, Inc. (FISV) FISV	S	2 Sept 2015	$50,001 - $100,000	-
CVS Health Corporation (C... CVS	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Citigroup, Inc. (C) C	S (partial)	2 Sept 2015	$50,001 - $100,000	-
QUALCOMM Incorporated (QC... QCOM	S (partial)	2 Sept 2015	$15,001 - $50,000	-
Aetna Inc. (AET) AET	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Williams Companies, Inc. ... WMB	S	2 Sept 2015	$50,001 - $100,000	-
Tyco International plc (T... TYC	S (partial)	2 Sept 2015	$15,001 - $50,000	-
EQT Corporation (EQT) EQT	S	2 Sept 2015	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Automatic Data Processing... ADP	S	2 Sept 2015	$100,001 - $250,000	-
Citigroup, Inc. (C) C	S	2 Sept 2015	$50,001 - $100,000	-
Visa Inc. (V) V	S	2 Sept 2015	$50,001 - $100,000	-
Allergan plc Ordinary Sha... AGN	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Praxair, Inc. (PX) PX	S	2 Sept 2015	$50,001 - $100,000	-
Medtronic plc. Ordinary S... MDT	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Oracle Corporation (ORCL) ORCL	S	2 Sept 2015	$50,001 - $100,000	-
Boeing Company (BA) BA	S	2 Sept 2015	$50,001 - $100,000	-
Citrix Systems, Inc. (CTX... CTXS	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Allergan plc Ordinary Sha... AGN	S	2 Sept 2015	$50,001 - $100,000	-
Prudential Financial, Inc... PRU	S (partial)	2 Sept 2015	$100,001 - $250,000	-
General Electric Company ... GE	S (partial)	2 Sept 2015	$100,001 - $250,000	-
JP Morgan Chase & Co. (JP... JPM	S	2 Sept 2015	$50,001 - $100,000	-
Verizon Communications In... VZ	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Medtronic plc. Ordinary S... MDT	S	2 Sept 2015	$100,001 - $250,000	-
Stryker Corporation (SYK) SYK	S	2 Sept 2015	$50,001 - $100,000	-
Aetna Inc. (AET) AET	S	2 Sept 2015	$100,001 - $250,000	-
Prudential Financial, Inc... PRU	S	2 Sept 2015	$50,001 - $100,000	-
Pepsico, Inc. (PEP) PEP	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Google Inc. - Class C Cap... GOOG	S (partial)	2 Sept 2015	$100,001 - $250,000	-
QUALCOMM Incorporated (QC... QCOM	S	2 Sept 2015	$15,001 - $50,000	-
Omnicom Group Inc. (OMC) OMC	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Home Depot, Inc. (HD) HD	S (partial)	2 Sept 2015	$100,001 - $250,000	-
V.F. Corporation (VFC) VFC	S	2 Sept 2015	$50,001 - $100,000	-
Capital One Financial Cor... COF	S	2 Sept 2015	$100,001 - $250,000	-
Alliance Data Systems Cor... ADS	S	2 Sept 2015	$15,001 - $50,000	-
TJX Companies, Inc. (TJX) TJX	S	2 Sept 2015	$50,001 - $100,000	-
Anadarko Petroleum Corpor... APC	S (partial)	2 Sept 2015	$50,001 - $100,000	-
U.S. Bancorp (USB) USB	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Pepsico, Inc. (PEP) PEP	S	2 Sept 2015	$50,001 - $100,000	-
Oracle Corporation (ORCL) ORCL	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Union Pacific Corporation... UNP	S (partial)	2 Sept 2015	$15,001 - $50,000	-
Tyco International plc (T... TYC	S	2 Sept 2015	$15,001 - $50,000	-
Bank of America Corporati... BAC	S	2 Sept 2015	$15,001 - $50,000	-
Wells Fargo & Company (WF... WFC	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Google Inc. - Class C Cap... GOOG	S	2 Sept 2015	$100,001 - $250,000	-
United Technologies Corpo... UTX	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Danaher Corporation (DHR) DHR	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Apple Inc. (AAPL) AAPL	S	2 Sept 2015	$100,001 - $250,000	-
Fiserv, Inc. (FISV) FISV	S (partial)	2 Sept 2015	$100,001 - $250,000	-
EQT Corporation (EQT) EQT	S (partial)	2 Sept 2015	$15,001 - $50,000	-
Thermo Fisher Scientific ... TMO	S	2 Sept 2015	$15,001 - $50,000	-
Fidelity National Informa... FIS	S	2 Sept 2015	$15,001 - $50,000	-
Merck & Company, Inc. Com... MRK	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Ishares S&P 500 (IVV) IVV	P	2 Sept 2015	Spouse/DC Over $1,000,000	-
Visa Inc. (V) V	S (partial)	2 Sept 2015	$50,001 - $100,000	-
BlackRock, Inc. (BLK) BLK	S (partial)	2 Sept 2015	$50,001 - $100,000	-
UnitedHealth Group Incorp... UNH	S	2 Sept 2015	$50,001 - $100,000	-
Alliance Data Systems Cor... ADS	S (partial)	2 Sept 2015	$50,001 - $100,000	-
American Express Company ... AXP	S	2 Sept 2015	$15,001 - $50,000	-
Amazon.com, Inc. (AMZN) AMZN	S	2 Sept 2015	$100,001 - $250,000	-
TJX Companies, Inc. (TJX) TJX	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Fidelity National Informa... FIS	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Thermo Fisher Scientific ... TMO	S (partial)	2 Sept 2015	$15,001 - $50,000	-
Stryker Corporation (SYK) SYK	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Microsoft Corporation (MS... MSFT	S	2 Sept 2015	$50,001 - $100,000	-
Walt Disney Company (DIS) DIS	S (partial)	2 Sept 2015	$15,001 - $50,000	-
Boeing Company (BA) BA	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Johnson & Johnson (JNJ) JNJ	S	2 Sept 2015	$50,001 - $100,000	-
Omnicom Group Inc. (OMC) OMC	S	2 Sept 2015	$50,001 - $100,000	-
BlackRock, Inc. (BLK) BLK	S	2 Sept 2015	$15,001 - $50,000	-
Verizon Communications In... VZ	S	2 Sept 2015	$50,001 - $100,000	-
Colgate-Palmolive Company... CL	S (partial)	2 Sept 2015	$50,001 - $100,000	-
CVS Health Corporation (C... CVS	S	2 Sept 2015	$50,001 - $100,000	-
V.F. Corporation (VFC) VFC	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Microsoft Corporation (MS... MSFT	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Colgate-Palmolive Company... CL	S	2 Sept 2015	$15,001 - $50,000	-
Anadarko Petroleum Corpor... APC	S	2 Sept 2015	$50,001 - $100,000	-
United Technologies Corpo... UTX	S	2 Sept 2015	$50,001 - $100,000	-
Union Pacific Corporation... UNP	S	2 Sept 2015	$15,001 - $50,000	-
UnitedHealth Group Incorp... UNH	S (partial)	2 Sept 2015	$100,001 - $250,000	-
U.S. Bancorp (USB) USB	S	2 Sept 2015	$50,001 - $100,000	-
Home Depot, Inc. (HD) HD	S	2 Sept 2015	$50,001 - $100,000	-
Amazon.com, Inc. (AMZN) AMZN	S (partial)	2 Sept 2015	$100,001 - $250,000	-
Comcast Corporation - Cla... CMCSA	S (partial)	2 Sept 2015	$100,001 - $250,000	-
NextEra Energy, Inc. (NEE... NEE	S (partial)	2 Sept 2015	$15,001 - $50,000	-
Danaher Corporation (DHR) DHR	S	2 Sept 2015	$50,001 - $100,000	-
Express Scripts Holding C... ESRX	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Macy's Inc (M) M	S	2 Sept 2015	$50,001 - $100,000	-
Cisco Systems, Inc. (CSCO... CSCO	S	2 Sept 2015	$50,001 - $100,000	-
Praxair, Inc. (PX) PX	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Williams Companies, Inc. ... WMB	S (partial)	2 Sept 2015	$100,001 - $250,000	-
American Express Company ... AXP	S (partial)	2 Sept 2015	$50,001 - $100,000	-
Massachusetts State Bonds	S	1 Sept 2015	$500,001 - $1,000,000	-
Minnesota Public Faciliti...	S	1 Sept 2015	$250,001 - $500,000	-
East Bay Calif Regl. Bond...	S	1 Sept 2015	$250,001 - $500,000	-
Atlantic Trust Disc Eqty	P	31 Aug 2015	Spouse/DC Over $1,000,000	-
Ishares S&P 500 (IVV) IVV	P	28 Aug 2015	Spouse/DC Over $1,000,000	-
Simon Ppty Group	S (partial)	28 Aug 2015	$50,001 - $100,000	-
NextEra Energy, Inc. (NEE... NEE	P	27 Aug 2015	$15,001 - $50,000	-
TJX Companies, Inc. (TJX) TJX	S (partial)	27 Aug 2015	$15,001 - $50,000	-
Ishares Russell Growth (I... IWP	P	27 Aug 2015	$100,001 - $250,000	-
Ishares TR Russell 1000 (... IWF	P	27 Aug 2015	Spouse/DC Over $1,000,000	-
Ishares Russell Growth (I... IWP	P	27 Aug 2015	$500,001 - $1,000,000	-
Ishares TR Bond (CSJ) CSJ	S (partial)	27 Aug 2015	$250,001 - $500,000	-
UnitedHealth Group Incorp... UNH	S (partial)	27 Aug 2015	$15,001 - $50,000	-
Allergan plc Ordinary Sha... AGN	P	27 Aug 2015	$15,001 - $50,000	-
Ishares TR Russell 1000 (... IWF	P	27 Aug 2015	$100,001 - $250,000	-
Deutsch X Trk MSCI Eafe H...	P	27 Aug 2015	$15,001 - $50,000	-
Deutsch X Trk MSCI Eafe H...	P	27 Aug 2015	$100,001 - $250,000	-
Ishares TR Bond (CSJ) CSJ	S (partial)	27 Aug 2015	$100,001 - $250,000	-
At Mid Cap Eqty Fd Inst	P	25 Aug 2015	$100,001 - $250,000	-
At Mid Cap Eqty Fd Inst	P	25 Aug 2015	$500,001 - $1,000,000	-
Tweedy Browne Global Valu...	P	25 Aug 2015	$50,001 - $100,000	-
Harbor Intl (HAINX) HAINX	P	25 Aug 2015	$100,001 - $250,000	-
Harbor Intl (HAINX) HAINX	P	25 Aug 2015	$500,001 - $1,000,000	-
Tweedy Browne Global Valu...	P	24 Aug 2015	$100,001 - $250,000	-
Ishares Russell Growth (I... IWP	P	24 Aug 2015	$250,001 - $500,000	-
Ishares TR Russell 1000 (... IWF	P	24 Aug 2015	$500,001 - $1,000,000	-
Deutsch X Trk MSCI Eafe H...	P	24 Aug 2015	$50,001 - $100,000	-
Ishares TR Bond (CSJ) CSJ	S (partial)	24 Aug 2015	$500,001 - $1,000,000	-
Vanguard Short Term Inves...	S (partial)	24 Aug 2015	Spouse/DC Over $1,000,000	-
Harbor Intl (HAINX) HAINX	P	24 Aug 2015	$250,001 - $500,000	-
Atlantic Trust Disc Eqty	P	24 Aug 2015	$500,001 - $1,000,000	-
At Mid Cap Eqty Fd Inst	P	24 Aug 2015	$250,001 - $500,000	-
NextEra Energy, Inc. (NEE... NEE	P	17 Aug 2015	$15,001 - $50,000	-
NextEra Energy, Inc. (NEE... NEE	P	17 Aug 2015	$15,001 - $50,000	-
Walt Disney Company (DIS) DIS	S (partial)	17 Aug 2015	$15,001 - $50,000	-
Walt Disney Company (DIS) DIS	S (partial)	17 Aug 2015	$15,001 - $50,000	-
Ishares TR Bond (CSJ) CSJ	S (partial)	6 Aug 2015	$50,001 - $100,000	-
Express Scripts Holding C... ESRX	S (partial)	5 Aug 2015	$15,001 - $50,000	-
Automatic Data Processing... ADP	P	5 Aug 2015	$15,001 - $50,000	-
Express Scripts Holding C... ESRX	S (partial)	5 Aug 2015	$15,001 - $50,000	-
Automatic Data Processing... ADP	P	5 Aug 2015	$15,001 - $50,000	-
EOG Resources, Inc. (EOG) EOG	P	3 Aug 2015	$15,001 - $50,000	-
Marathon Oil Corporation ... MRO	S (partial)	3 Aug 2015	$15,001 - $50,000	-
Anadarko Petroleum Corpor... APC	P	3 Aug 2015	$15,001 - $50,000	-
EOG Resources, Inc. (EOG) EOG	P	3 Aug 2015	$1,001 - $15,000	-
Marathon Oil Corporation ... MRO	S	3 Aug 2015	$15,001 - $50,000	-
Anadarko Petroleum Corpor... APC	P	3 Aug 2015	$1,001 - $15,000	-
Pajaro Valley CA Bonds	S	1 Aug 2015	$250,001 - $500,000	-
Riverside CA Bonds	S	1 Aug 2015	$250,001 - $500,000	-
Virginia Public Sch. Bond...	S	1 Aug 2015	$250,001 - $500,000	-
Madison Adams Investments...	P	31 Jul 2015	$1,001 - $15,000	-
Thermo Fisher Scientific ... TMO	P	17 Jul 2015	$15,001 - $50,000	-
Thermo Fisher Scientific ... TMO	P	17 Jul 2015	$15,001 - $50,000	-
Bank of America Corporati... BAC	S (partial)	17 Jul 2015	$15,001 - $50,000	-
Bank of America Corporati... BAC	S (partial)	17 Jul 2015	$15,001 - $50,000	-
Telos Corporation Preferr... TLSRP	S	15 Jul 2015	$500,001 - $1,000,000	-
Tyco International plc (T... TYC	P	10 Jul 2015	$15,001 - $50,000	-
Wells Fargo & Company (WF... WFC	P	10 Jul 2015	$15,001 - $50,000	-
QUALCOMM Incorporated (QC... QCOM	P	10 Jul 2015	$15,001 - $50,000	-
Praxair, Inc. (PX) PX	P	10 Jul 2015	$15,001 - $50,000	-
Citigroup, Inc. (C) C	P	10 Jul 2015	$15,001 - $50,000	-
UnitedHealth Group Incorp... UNH	P	10 Jul 2015	$50,001 - $100,000	-
United Technologies Corpo... UTX	P	10 Jul 2015	$15,001 - $50,000	-
Amazon.com, Inc. (AMZN) AMZN	P	10 Jul 2015	$50,001 - $100,000	-
Bank of America Corporati... BAC	P	10 Jul 2015	$15,001 - $50,000	-
Williams Companies, Inc. ... WMB	P	10 Jul 2015	$15,001 - $50,000	-
U.S. Bancorp (USB) USB	P	10 Jul 2015	$15,001 - $50,000	-
Walt Disney Company (DIS) DIS	P	10 Jul 2015	$15,001 - $50,000	-
Dollar General Corporatio... DG	P	10 Jul 2015	$15,001 - $50,000	-
Simon Ppty Group	P	10 Jul 2015	$15,001 - $50,000	-
Omnicom Group Inc. (OMC) OMC	P	10 Jul 2015	$15,001 - $50,000	-
Union Pacific Corporation... UNP	P	10 Jul 2015	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	10 Jul 2015	$50,001 - $100,000	-
Dollar General Corporatio... DG	P	10 Jul 2015	$15,001 - $50,000	-
Johnson & Johnson (JNJ) JNJ	P	10 Jul 2015	$15,001 - $50,000	-
Colgate-Palmolive Company... CL	P	10 Jul 2015	$15,001 - $50,000	-
General Electric Company ... GE	P	10 Jul 2015	$50,001 - $100,000	-
Visa Inc. (V) V	P	10 Jul 2015	$15,001 - $50,000	-
EMC Corporation (EMC) EMC	P	10 Jul 2015	$15,001 - $50,000	-
Danaher Corporation (DHR) DHR	P	10 Jul 2015	$15,001 - $50,000	-
Cisco Systems, Inc. (CSCO... CSCO	P	10 Jul 2015	$15,001 - $50,000	-
Medtronic plc. Ordinary S... MDT	P	10 Jul 2015	$50,001 - $100,000	-
Citrix Systems, Inc. (CTX... CTXS	P	10 Jul 2015	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	P	10 Jul 2015	$15,001 - $50,000	-
Pepsico, Inc. (PEP) PEP	P	10 Jul 2015	$15,001 - $50,000	-
Boeing Company (BA) BA	P	10 Jul 2015	$15,001 - $50,000	-
Wells Fargo & Company (WF... WFC	P	10 Jul 2015	$50,001 - $100,000	-
Visa Inc. (V) V	P	10 Jul 2015	$15,001 - $50,000	-
Google Inc. - Class C Cap... GOOG	P	10 Jul 2015	$50,001 - $100,000	-
Williams Companies, Inc. ... WMB	P	10 Jul 2015	$50,001 - $100,000	-
General Electric Company ... GE	P	10 Jul 2015	$50,001 - $100,000	-
Capital One Financial Cor... COF	P	10 Jul 2015	$15,001 - $50,000	-
Aetna Inc. (AET) AET	P	10 Jul 2015	$50,001 - $100,000	-
CVS Health Corporation (C... CVS	P	10 Jul 2015	$50,001 - $100,000	-
Aetna Inc. (AET) AET	P	10 Jul 2015	$15,001 - $50,000	-
Fidelity National Informa... FIS	P	10 Jul 2015	$15,001 - $50,000	-
Boeing Company (BA) BA	P	10 Jul 2015	$15,001 - $50,000	-
Fidelity National Informa... FIS	P	10 Jul 2015	$15,001 - $50,000	-
Omnicom Group Inc. (OMC) OMC	P	10 Jul 2015	$15,001 - $50,000	-
Amazon.com, Inc. (AMZN) AMZN	P	10 Jul 2015	$50,001 - $100,000	-
TJX Companies, Inc. (TJX) TJX	P	10 Jul 2015	$15,001 - $50,000	-
Google Inc. - Class C Cap... GOOG	P	10 Jul 2015	$50,001 - $100,000	-
EOG Resources, Inc. (EOG) EOG	P	10 Jul 2015	$1,001 - $15,000	-
Union Pacific Corporation... UNP	P	10 Jul 2015	$15,001 - $50,000	-
Alliance Data Systems Cor... ADS	P	10 Jul 2015	$15,001 - $50,000	-
Oracle Corporation (ORCL) ORCL	P	10 Jul 2015	$15,001 - $50,000	-
BlackRock, Inc. (BLK) BLK	P	10 Jul 2015	$15,001 - $50,000	-
Citigroup, Inc. (C) C	P	10 Jul 2015	$15,001 - $50,000	-
Citrix Systems, Inc. (CTX... CTXS	P	10 Jul 2015	$15,001 - $50,000	-
EOG Resources, Inc. (EOG) EOG	P	10 Jul 2015	$15,001 - $50,000	-
Marathon Oil Corporation ... MRO	P	10 Jul 2015	$15,001 - $50,000	-
Allergan plc Ordinary Sha... AGN	P	10 Jul 2015	$50,001 - $100,000	-
Allergan plc Ordinary Sha... AGN	P	10 Jul 2015	$15,001 - $50,000	-
Comcast Corporation - Cla... CMCSA	P	10 Jul 2015	$15,001 - $50,000	-
Danaher Corporation (DHR) DHR	P	10 Jul 2015	$50,001 - $100,000	-
Cisco Systems, Inc. (CSCO... CSCO	P	10 Jul 2015	$15,001 - $50,000	-
Home Depot, Inc. (HD) HD	P	10 Jul 2015	$50,001 - $100,000	-
Praxair, Inc. (PX) PX	P	10 Jul 2015	$15,001 - $50,000	-
Prudential Financial, Inc... PRU	P	10 Jul 2015	$15,001 - $50,000	-
Alliance Data Systems Cor... ADS	P	10 Jul 2015	$15,001 - $50,000	-
Anadarko Petroleum Corpor... APC	P	10 Jul 2015	$15,001 - $50,000	-
U.S. Bancorp (USB) USB	P	10 Jul 2015	$50,001 - $100,000	-
Macy's Inc (M) M	P	10 Jul 2015	$50,001 - $100,000	-
Stryker Corporation (SYK) SYK	P	10 Jul 2015	$15,001 - $50,000	-
Macy's Inc (M) M	P	10 Jul 2015	$15,001 - $50,000	-
Stryker Corporation (SYK) SYK	P	10 Jul 2015	$15,001 - $50,000	-
Capital One Financial Cor... COF	P	10 Jul 2015	$50,001 - $100,000	-
Tyco International plc (T... TYC	P	10 Jul 2015	$15,001 - $50,000	-
CVS Health Corporation (C... CVS	P	10 Jul 2015	$15,001 - $50,000	-
Home Depot, Inc. (HD) HD	P	10 Jul 2015	$15,001 - $50,000	-
American Express Company ... AXP	P	10 Jul 2015	$15,001 - $50,000	-
V.F. Corporation (VFC) VFC	P	10 Jul 2015	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	P	10 Jul 2015	$50,001 - $100,000	-
American Express Company ... AXP	P	10 Jul 2015	$15,001 - $50,000	-
Fiserv, Inc. (FISV) FISV	P	10 Jul 2015	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	10 Jul 2015	$50,001 - $100,000	-
Automatic Data Processing... ADP	P	10 Jul 2015	$15,001 - $50,000	-
EQT Corporation (EQT) EQT	P	10 Jul 2015	$1,001 - $15,000	-
Verizon Communications In... VZ	P	10 Jul 2015	$15,001 - $50,000	-
Merck & Company, Inc. Com... MRK	P	10 Jul 2015	$15,001 - $50,000	-
BlackRock, Inc. (BLK) BLK	P	10 Jul 2015	$15,001 - $50,000	-
EMC Corporation (EMC) EMC	P	10 Jul 2015	$15,001 - $50,000	-
Fiserv, Inc. (FISV) FISV	P	10 Jul 2015	$15,001 - $50,000	-
United Technologies Corpo... UTX	P	10 Jul 2015	$15,001 - $50,000	-
Express Scripts Holding C... ESRX	P	10 Jul 2015	$50,001 - $100,000	-
Comcast Corporation - Cla... CMCSA	P	10 Jul 2015	$50,001 - $100,000	-
Automatic Data Processing... ADP	P	10 Jul 2015	$50,001 - $100,000	-
Oracle Corporation (ORCL) ORCL	P	10 Jul 2015	$50,001 - $100,000	-
Express Scripts Holding C... ESRX	P	10 Jul 2015	$50,001 - $100,000	-
Microsoft Corporation (MS... MSFT	P	10 Jul 2015	$15,001 - $50,000	-
Pepsico, Inc. (PEP) PEP	P	10 Jul 2015	$15,001 - $50,000	-
Colgate-Palmolive Company... CL	P	10 Jul 2015	$15,001 - $50,000	-
Merck & Company, Inc. Com... MRK	P	10 Jul 2015	$15,001 - $50,000	-
Medtronic plc. Ordinary S... MDT	P	10 Jul 2015	$50,001 - $100,000	-
Microsoft Corporation (MS... MSFT	P	10 Jul 2015	$50,001 - $100,000	-
TJX Companies, Inc. (TJX) TJX	P	10 Jul 2015	$15,001 - $50,000	-
QUALCOMM Incorporated (QC... QCOM	P	10 Jul 2015	$1,001 - $15,000	-
Prudential Financial, Inc... PRU	P	10 Jul 2015	$50,001 - $100,000	-
Johnson & Johnson (JNJ) JNJ	P	10 Jul 2015	$15,001 - $50,000	-
Anadarko Petroleum Corpor... APC	P	10 Jul 2015	$15,001 - $50,000	-
Verizon Communications In... VZ	P	10 Jul 2015	$15,001 - $50,000	-
Bank of America Corporati... BAC	P	10 Jul 2015	$15,001 - $50,000	-
UnitedHealth Group Incorp... UNH	P	10 Jul 2015	$15,001 - $50,000	-
V.F. Corporation (VFC) VFC	P	10 Jul 2015	$15,001 - $50,000	-
Walt Disney Company (DIS) DIS	P	10 Jul 2015	$15,001 - $50,000	-
Marathon Oil Corporation ... MRO	P	10 Jul 2015	$15,001 - $50,000	-
EQT Corporation (EQT) EQT	P	10 Jul 2015	$15,001 - $50,000	-
At Mid Cap Eqty Fd Inst	P	9 Jul 2015	$250,001 - $500,000	-
Matthews Pacific Tiger Fd...	S (partial)	9 Jul 2015	$250,001 - $500,000	-
At Mid Cap Eqty Fd Inst	P	8 Jul 2015	$1,001 - $15,000	-
Matthews Pacific Tiger Fd...	S (partial)	8 Jul 2015	$1,001 - $15,000	-
Matthews Pacific Tiger Fd...	S (partial)	8 Jul 2015	$100,001 - $250,000	-
Matthews Pacific Tiger Fd...	S (partial)	8 Jul 2015	$1,001 - $15,000	-
At Mid Cap Eqty Fd Inst	P	8 Jul 2015	$100,001 - $250,000	-
At Mid Cap Eqty Fd Inst	P	8 Jul 2015	$1,001 - $15,000	-
Simon Ppty Group	P	7 Jul 2015	$15,001 - $50,000	-
Sequoia CA Bonds	S	1 Jul 2015	$500,001 - $1,000,000	-
EOG Resources, Inc. (EOG) EOG	P	29 Jun 2015	$1,001 - $15,000	-
Macy's Inc (M) M	P	26 Jun 2015	$50,001 - $100,000	-
Verizon Communications In... VZ	P	26 Jun 2015	$15,001 - $50,000	-
Visa Inc. (V) V	P	26 Jun 2015	$15,001 - $50,000	-
BlackRock, Inc. (BLK) BLK	P	26 Jun 2015	$15,001 - $50,000	-
Prudential Financial, Inc... PRU	P	26 Jun 2015	$50,001 - $100,000	-
Comcast Corporation - Cla... CMCSA	P	26 Jun 2015	$50,001 - $100,000	-
Deutsch X Trk MSCI Eafe H...	P	26 Jun 2015	$1,001 - $15,000	-
Medtronic plc. Ordinary S... MDT	P	26 Jun 2015	$50,001 - $100,000	-
U.S. Bancorp (USB) USB	P	26 Jun 2015	$50,001 - $100,000	-
Home Depot, Inc. (HD) HD	P	26 Jun 2015	$50,001 - $100,000	-
Capital One Financial Cor... COF	P	26 Jun 2015	$50,001 - $100,000	-
QUALCOMM Incorporated (QC... QCOM	P	26 Jun 2015	$15,001 - $50,000	-
Automatic Data Processing... ADP	P	26 Jun 2015	$50,001 - $100,000	-
EQT Corporation (EQT) EQT	P	26 Jun 2015	$15,001 - $50,000	-
Colgate-Palmolive Company... CL	P	26 Jun 2015	$15,001 - $50,000	-
TJX Companies, Inc. (TJX) TJX	P	26 Jun 2015	$15,001 - $50,000	-
Fiserv, Inc. (FISV) FISV	P	26 Jun 2015	$15,001 - $50,000	-
UnitedHealth Group Incorp... UNH	P	26 Jun 2015	$50,001 - $100,000	-
Williams Companies, Inc. ... WMB	P	26 Jun 2015	$50,001 - $100,000	-
JP Morgan Chase & Co. (JP... JPM	P	26 Jun 2015	$50,001 - $100,000	-
Merck & Company, Inc. Com... MRK	P	26 Jun 2015	$15,001 - $50,000	-
Tyco International plc (T... TYC	P	26 Jun 2015	$15,001 - $50,000	-
Omnicom Group Inc. (OMC) OMC	P	26 Jun 2015	$15,001 - $50,000	-
Praxair, Inc. (PX) PX	P	26 Jun 2015	$15,001 - $50,000	-
Cisco Systems, Inc. (CSCO... CSCO	P	26 Jun 2015	$50,001 - $100,000	-
CVS Health Corporation (C... CVS	P	26 Jun 2015	$50,001 - $100,000	-
Anadarko Petroleum Corpor... APC	P	26 Jun 2015	$15,001 - $50,000	-
Deutsch X Trk MSCI Eafe H...	P	26 Jun 2015	$1,001 - $15,000	-
Microsoft Corporation (MS... MSFT	P	26 Jun 2015	$50,001 - $100,000	-
Amazon.com, Inc. (AMZN) AMZN	P	26 Jun 2015	$50,001 - $100,000	-
Citigroup, Inc. (C) C	P	26 Jun 2015	$15,001 - $50,000	-
Oracle Corporation (ORCL) ORCL	P	26 Jun 2015	$50,001 - $100,000	-
Bank of America Corporati... BAC	P	26 Jun 2015	$50,001 - $100,000	-
Danaher Corporation (DHR) DHR	P	26 Jun 2015	$50,001 - $100,000	-
Wells Fargo & Company (WF... WFC	P	26 Jun 2015	$50,001 - $100,000	-
Boeing Company (BA) BA	P	26 Jun 2015	$15,001 - $50,000	-
V.F. Corporation (VFC) VFC	P	26 Jun 2015	$15,001 - $50,000	-
Express Scripts Holding C... ESRX	P	26 Jun 2015	$50,001 - $100,000	-
Google Inc. - Class C Cap... GOOG	P	26 Jun 2015	$50,001 - $100,000	-
General Electric Company ... GE	P	26 Jun 2015	$50,001 - $100,000	-
Stryker Corporation (SYK) SYK	P	26 Jun 2015	$15,001 - $50,000	-
Marathon Oil Corporation ... MRO	P	26 Jun 2015	$15,001 - $50,000	-
Walt Disney Company (DIS) DIS	P	26 Jun 2015	$15,001 - $50,000	-
Pepsico, Inc. (PEP) PEP	P	26 Jun 2015	$15,001 - $50,000	-
Union Pacific Corporation... UNP	P	26 Jun 2015	$15,001 - $50,000	-
Dollar General Corporatio... DG	P	26 Jun 2015	$15,001 - $50,000	-
Johnson & Johnson (JNJ) JNJ	P	26 Jun 2015	$15,001 - $50,000	-
Alliance Data Systems Cor... ADS	P	26 Jun 2015	$15,001 - $50,000	-
EMC Corporation (EMC) EMC	P	26 Jun 2015	$15,001 - $50,000	-
Fidelity National Informa... FIS	P	26 Jun 2015	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	26 Jun 2015	$50,001 - $100,000	-
United Technologies Corpo... UTX	P	26 Jun 2015	$15,001 - $50,000	-
Aetna Inc. (AET) AET	P	26 Jun 2015	$50,001 - $100,000	-
American Express Company ... AXP	P	26 Jun 2015	$15,001 - $50,000	-
Citrix Systems, Inc. (CTX... CTXS	P	26 Jun 2015	$15,001 - $50,000	-
Simon Ppty Group	P	26 Jun 2015	$15,001 - $50,000	-
Allergan plc Ordinary Sha... AGN	P	26 Jun 2015	$50,001 - $100,000	-
Cisco Systems, Inc. (CSCO... CSCO	P	23 Jun 2015	$15,001 - $50,000	-
Verizon Communications In... VZ	P	23 Jun 2015	$15,001 - $50,000	-
Prudential Financial, Inc... PRU	P	23 Jun 2015	$15,001 - $50,000	-
Citrix Systems, Inc. (CTX... CTXS	P	23 Jun 2015	$15,001 - $50,000	-
American Express Company ... AXP	P	23 Jun 2015	$15,001 - $50,000	-
Medtronic plc. Ordinary S... MDT	P	23 Jun 2015	$50,001 - $100,000	-
Colgate-Palmolive Company... CL	P	23 Jun 2015	$15,001 - $50,000	-
AMG Timessquare Mid Cap	S	23 Jun 2015	$500,001 - $1,000,000	-
Aetna Inc. (AET) AET	P	23 Jun 2015	$15,001 - $50,000	-
Comcast Corporation - Cla... CMCSA	P	23 Jun 2015	$15,001 - $50,000	-
Danaher Corporation (DHR) DHR	P	23 Jun 2015	$15,001 - $50,000	-
Anadarko Petroleum Corpor... APC	P	23 Jun 2015	$15,001 - $50,000	-
V.F. Corporation (VFC) VFC	P	23 Jun 2015	$15,001 - $50,000	-
General Electric Company ... GE	P	23 Jun 2015	$50,001 - $100,000	-
U.S. Bancorp (USB) USB	P	23 Jun 2015	$15,001 - $50,000	-
Capital One Financial Cor... COF	P	23 Jun 2015	$15,001 - $50,000	-
Stryker Corporation (SYK) SYK	P	23 Jun 2015	$15,001 - $50,000	-
Citigroup, Inc. (C) C	P	23 Jun 2015	$15,001 - $50,000	-
Tyco International plc (T... TYC	P	23 Jun 2015	$15,001 - $50,000	-
Williams Companies, Inc. ... WMB	P	23 Jun 2015	$15,001 - $50,000	-
Allergan plc Ordinary Sha... AGN	P	23 Jun 2015	$15,001 - $50,000	-
Express Scripts Holding C... ESRX	P	23 Jun 2015	$50,001 - $100,000	-
Microsoft Corporation (MS... MSFT	P	23 Jun 2015	$15,001 - $50,000	-
Merck & Company, Inc. Com... MRK	P	23 Jun 2015	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	P	23 Jun 2015	$15,001 - $50,000	-
Amazon.com, Inc. (AMZN) AMZN	P	23 Jun 2015	$15,001 - $50,000	-
Johnson & Johnson (JNJ) JNJ	P	23 Jun 2015	$15,001 - $50,000	-
United Technologies Corpo... UTX	P	23 Jun 2015	$15,001 - $50,000	-
Bank of America Corporati... BAC	P	23 Jun 2015	$15,001 - $50,000	-
EQT Corporation (EQT) EQT	P	23 Jun 2015	$15,001 - $50,000	-
Fiserv, Inc. (FISV) FISV	P	23 Jun 2015	$15,001 - $50,000	-
Wells Fargo & Company (WF... WFC	P	23 Jun 2015	$15,001 - $50,000	-
TJX Companies, Inc. (TJX) TJX	P	23 Jun 2015	$15,001 - $50,000	-
Google Inc. - Class C Cap... GOOG	P	23 Jun 2015	$50,001 - $100,000	-
Praxair, Inc. (PX) PX	P	23 Jun 2015	$15,001 - $50,000	-
Union Pacific Corporation... UNP	P	23 Jun 2015	$15,001 - $50,000	-
Boeing Company (BA) BA	P	23 Jun 2015	$15,001 - $50,000	-
Oracle Corporation (ORCL) ORCL	P	23 Jun 2015	$15,001 - $50,000	-
Walt Disney Company (DIS) DIS	P	23 Jun 2015	$15,001 - $50,000	-
QUALCOMM Incorporated (QC... QCOM	P	23 Jun 2015	$15,001 - $50,000	-
Macy's Inc (M) M	P	23 Jun 2015	$15,001 - $50,000	-
AMG Yacktman Focused Fund	S	23 Jun 2015	Spouse/DC Over $1,000,000	-
Home Depot, Inc. (HD) HD	P	23 Jun 2015	$15,001 - $50,000	-
Marathon Oil Corporation ... MRO	P	23 Jun 2015	$15,001 - $50,000	-
Visa Inc. (V) V	P	23 Jun 2015	$15,001 - $50,000	-
Alliance Data Systems Cor... ADS	P	23 Jun 2015	$15,001 - $50,000	-
Omnicom Group Inc. (OMC) OMC	P	23 Jun 2015	$15,001 - $50,000	-
BlackRock, Inc. (BLK) BLK	P	23 Jun 2015	$15,001 - $50,000	-
CVS Health Corporation (C... CVS	P	23 Jun 2015	$15,001 - $50,000	-
Dollar General Corporatio... DG	P	23 Jun 2015	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	23 Jun 2015	$50,001 - $100,000	-
UnitedHealth Group Incorp... UNH	P	23 Jun 2015	$15,001 - $50,000	-
Automatic Data Processing... ADP	P	23 Jun 2015	$15,001 - $50,000	-
EMC Corporation (EMC) EMC	P	23 Jun 2015	$15,001 - $50,000	-
Pepsico, Inc. (PEP) PEP	P	23 Jun 2015	$15,001 - $50,000	-
Fidelity National Informa... FIS	P	23 Jun 2015	$15,001 - $50,000	-
Mainstay Epoch Eqty Yield...	S (partial)	18 Jun 2015	$1,001 - $15,000	-
Mainstay Epoch Global Eqt...	S	18 Jun 2015	$1,001 - $15,000	-
Harbor Intl (HAINX) HAINX	P	18 Jun 2015	$15,001 - $50,000	-
Simon Ppty Group	P	18 Jun 2015	$15,001 - $50,000	-
Harbor Intl (HAINX) HAINX	P	18 Jun 2015	$1,001 - $15,000	-
Tweedy Browne Global Valu...	S	18 Jun 2015	$15,001 - $50,000	-
Ishares Russell Growth (I... IWP	S (partial)	17 Jun 2015	$100,001 - $250,000	-
Harbor Intl (HAINX) HAINX	P	17 Jun 2015	$250,001 - $500,000	-
Deutsch X Trk MSCI Eafe H...	P	17 Jun 2015	$100,001 - $250,000	-
AMG Yacktman Focused Fund	S (partial)	17 Jun 2015	$500,001 - $1,000,000	-
Tweedy Browne Global Valu...	P	17 Jun 2015	$50,001 - $100,000	-
Vanguard Total Stock Mark...	S (partial)	17 Jun 2015	$100,001 - $250,000	-
Stralem Equity Fund Inst.	S	17 Jun 2015	$500,001 - $1,000,000	-
Matthews Pacific Tiger Fd...	P	17 Jun 2015	$50,001 - $100,000	-
Mainstay Epoch Global Eqt...	S	17 Jun 2015	$50,001 - $100,000	-
Vanguard Total Stock Mark...	P	3 Jun 2015	$1,001 - $15,000	-
Deutsch X Trk MSCI Eafe H...	P	21 May 2015	$500,001 - $1,000,000	-
Ishares TR Russell 1000 (... IWF	P	21 May 2015	$500,001 - $1,000,000	-
GSE Systems, Inc. (GVP) GVP	S	19 May 2015	$15,001 - $50,000	-
Ishares TR Bond (CSJ) CSJ	P	18 May 2015	$500,001 - $1,000,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	18 May 2015	$1,001 - $15,000	-
Matthews Pacific Tiger Fd...	P	18 May 2015	$500,001 - $1,000,000	-
Harbor Intl (HAINX) HAINX	P	18 May 2015	$500,001 - $1,000,000	-
At Mid Cap Eqty Fd Inst	P	18 May 2015	Spouse/DC Over $1,000,000	-
Ishares TR Russell 1000 (... IWF	P	18 May 2015	$500,001 - $1,000,000	-
Matthews Pacific Tiger Fd...	P	15 May 2015	$250,001 - $500,000	-
MFS Muni High Income Fund	P	15 May 2015	$250,001 - $500,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	15 May 2015	$1,001 - $15,000	-
At Mid Cap Eqty Fd Inst	P	15 May 2015	$500,001 - $1,000,000	-
Ridgeworth Seix Float Rat...	P	15 May 2015	$100,001 - $250,000	-
Harbor Intl (HAINX) HAINX	P	15 May 2015	$250,001 - $500,000	-
Vanguard Short Term Inves...	P	15 May 2015	Spouse/DC Over $1,000,000	-
University of CA Rev. Bon...	S (partial)	15 May 2015	$250,001 - $500,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	14 May 2015	$1,001 - $15,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	13 May 2015	$15,001 - $50,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	12 May 2015	$1,001 - $15,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	11 May 2015	$15,001 - $50,000	-
PMFG, Inc. (PMFG) PMFG	S (partial)	11 May 2015	Spouse/DC Over $1,000,000	-
PMFG, Inc. (PMFG) PMFG	S (partial)	8 May 2015	Spouse/DC Over $1,000,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	8 May 2015	$1,001 - $15,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	7 May 2015	$1,001 - $15,000	-
GSE Systems, Inc. (GVP) GVP	S (partial)	5 May 2015	$1,001 - $15,000	-
San Diego County, CA Bond...	S (partial)	1 May 2015	$100,001 - $250,000	-
Santa Clara Valley Var Bo...	S (partial)	1 Apr 2015	$100,001 - $250,000	-
Matthews Pacific Tiger Fd...	P	19 Mar 2015	$1,001 - $15,000	-
Matthews Pacific Tiger Fd...	S (partial)	19 Mar 2015	$1,001 - $15,000	-
Inrad Optics, Inc. (INRD) INRD	S	3 Mar 2015	$100,001 - $250,000	-
Harding Loevner Emerging ...	S (partial)	25 Feb 2015	$1,001 - $15,000	-
Matthews Pacific Tiger Fd...	P	25 Feb 2015	$1,001 - $15,000	-
Apco Oil and Gas Internat... APAGF	S	30 Jan 2015	Spouse/DC Over $1,000,000	-
At Mid Cap Eqty Fd Inst	P	29 Jan 2015	$1,001 - $15,000	-
Ecology and Environment, ... EEI	S	29 Jan 2015	$15,001 - $50,000	-
amg Timessquare Mid Cap G...	S	28 Jan 2015	$1,001 - $15,000	-
PMFG, Inc. (PMFG) PMFG	S (partial)	28 Jan 2015	$15,001 - $50,000	-
PMFG, Inc. (PMFG) PMFG	S	28 Jan 2015	$15,001 - $50,000	-
Ecology and Environment, ... EEI	S (partial)	28 Jan 2015	$15,001 - $50,000	-
Ecology and Environment, ... EEI	S (partial)	27 Jan 2015	$15,001 - $50,000	-
Matthews Pacific Tiger Fd...	P	26 Jan 2015	$100,001 - $250,000	-
Tortoise Energy Capital	S (partial)	23 Jan 2015	$1,001 - $15,000	-
Ishares TR Russell 1000 (... IWF	P	23 Jan 2015	$1,001 - $15,000	-
Matthews Pacific Tiger Fd...	P	23 Jan 2015	$15,001 - $50,000	-
Tortoise Energy Capital	S	23 Jan 2015	$1,001 - $15,000	-
Ishares S&P 500 (IVV) IVV	P	23 Jan 2015	$1,001 - $15,000	-
Matthews Pacific Tiger Fd...	P	23 Jan 2015	$1,001 - $15,000	-
Harding Loevner Emerging	S (partial)	22 Jan 2015	$100,001 - $250,000	-
Harding Loevner Emerging ...	S	22 Jan 2015	$1,001 - $15,000	-
Harding Loevner Emerging ...	S	22 Jan 2015	$15,001 - $50,000	-
Tweedy Browne Global Valu...	P	20 Jan 2015	$15,001 - $50,000	-
Angel Oak Multi Strategy ...	P	20 Jan 2015	$1,001 - $15,000	-
Matthews Pacific Tiger Fd...	P	20 Jan 2015	$1,001 - $15,000	-
Ridgeworth Seix Float Rat...	S (partial)	20 Jan 2015	$1,001 - $15,000	-
MFS Muni High Income Fund	P	20 Jan 2015	$1,001 - $15,000	-
Mainstay Epoch Global Yie...	S (partial)	20 Jan 2015	$1,001 - $15,000	-
Tortoise Energy Capital	S (partial)	12 Jan 2015	$1,001 - $15,000	-
Tortoise Energy Capital	S	8 Jan 2015	$50,001 - $100,000	-
Tortoise Energy Capital	S (partial)	7 Jan 2015	$50,001 - $100,000	-
Tortoise Energy Capital	S (partial)	7 Jan 2015	$15,001 - $50,000	-
Tortoise Energy Capital	S (partial)	7 Jan 2015	$50,001 - $100,000	-