K. Michael ConawayFiling

Termination Report | Filed on 30 Apr 2021

This congressional financial disclosure from K. Michael Conaway (termination report) contains 222 stock trades. It was filed on 30 April 2021. Reported tickers include VIG, JPM, OTIS, PG, GSLC, and 57 more. Under the STOCK Act, members of Congress must disclose securities transactions within 45 days.

This filing contains 222 transactions disclosed beyond the 45-day STOCK Act deadline, with the latest filed 470 days after the trade date. Only 0% of transactions met the disclosure requirement.

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STOCK Act Compliance Violation

This filing contains 222 transaction(s) that were filed more than 45 days after the transaction date, violating the STOCK Act requirement for timely disclosure.

470

Days Late (Max)

Compliance Rate

222/222

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

K. Michael Conaway

Filing Type

Termination Report

Filed Date

30 Apr 2021

View Original Filing (PDF)

Transactions

222 transactions


American Small Cap World ...	P	21 Dec 2020	$15,001 - $50,000	-
American New Economy Fund	P	21 Dec 2020	$50,001 - $100,000	-
Washington Mutual Inv FD	P	18 Dec 2020	$50,001 - $100,000	-
Investment Company of Ame...	P	18 Dec 2020	$50,001 - $100,000	-
AMCAP Fund	P	17 Dec 2020	$50,001 - $100,000	-
American Balanced Fund	P	17 Dec 2020	$50,001 - $100,000	-
American Mutual Fund	P	17 Dec 2020	$50,001 - $100,000	-
iShares Core Dividend Gro... DGRO	P	17 Dec 2020	$50,001 - $100,000	-
Capital World Growth & In...	P	17 Dec 2020	$50,001 - $100,000	-
Fundamental Investors CL ...	P	16 Dec 2020	$50,001 - $100,000	-
Vanguard Div Appreciation... VIG	P	10 Dec 2020	$50,001 - $100,000	-
First Trust DJ Internet I... FDN	P	10 Dec 2020	$15,001 - $50,000	-
Goldman Sachs ActiveBeta ... GSLC	P	10 Dec 2020	$15,001 - $50,000	-
American Airlines Group, ... AAL	P	30 Nov 2020	$15,001 - $50,000	-
Darden Restaurants, Inc. ... DRI	P	30 Nov 2020	$15,001 - $50,000	-
iShares Core Dividend Gro... DGRO	P	30 Nov 2020	$15,001 - $50,000	-
Southwest Airlines Compan... LUV	P	30 Nov 2020	$15,001 - $50,000	-
UIT First Trust Diversifi...	S	10 Nov 2020	$1,001 - $15,000	UIT First Trust Diversified W115 Redemption
First Trust Cloud Computi... SKYY	P	16 Oct 2020	$15,001 - $50,000	-
Johnson & Johnson (JNJ) JNJ	P	16 Oct 2020	$50,001 - $100,000	-
Apple Inc. (AAPL) AAPL	P	16 Oct 2020	$15,001 - $50,000	-
Vanguard Consumer Staples... VDC	S	16 Oct 2020	$15,001 - $50,000	-
The Blackstone Group Inc.... BX	S	16 Oct 2020	$15,001 - $50,000	-
Chevron Corporation (CVX) CVX	S	16 Oct 2020	$15,001 - $50,000	CVX result of merger with NBL
Johnson & Johnson (JNJ) JNJ	P	16 Oct 2020	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	16 Oct 2020	$15,001 - $50,000	-
Chevron Corporation (CVX) CVX	E	6 Oct 2020	$15,001 - $50,000	Merger with NBL
Noble Energy Inc. (NBL) NBL	E	6 Oct 2020	$15,001 - $50,000	Merger with CVX
Noble Energy Inc. (NBL) NBL	E	6 Oct 2020	$1,001 - $15,000	Merger with CVX
Chevron Corporation (CVX) CVX	E	6 Oct 2020	$1,001 - $15,000	Merger with NBL
JPMORGAN CHASE & CO FIX/F...	P	28 Sept 2020	$15,001 - $50,000	JPMORGAN CHASE & CO FIX/FLT JR SBRDNTD PERP MAT CLLB NRA TAXABLE CPN 4.051%...
Abbott Laboratories (ABT) ABT	P	28 Sept 2020	$15,001 - $50,000	-
Abbott Laboratories (ABT) ABT	P	28 Sept 2020	$50,001 - $100,000	-
BANK NOVA SCOTIA 0% 1Y: L...	S	24 Sept 2020	$15,001 - $50,000	BANK NOVA SCOTIA 0% 1Y: LKD EURO STOXX 50 INDEX DUE 09/24/2020 CPN 0.000% D...
First Trust NASDAQ Cybers... CIBR	P	21 Sept 2020	$15,001 - $50,000	-
Vanguard Consumer Staples... VDC	S	21 Sept 2020	$50,001 - $100,000	-
Vanguard Consumer Staples... VDC	S (partial)	21 Sept 2020	$15,001 - $50,000	-
FIFTH THIRD BANCORP FIX T...	P	21 Sept 2020	$15,001 - $50,000	FIFTH THIRD BANCORP FIX TO FLT JR SBRDNTD CALLABLE PERPTL CPN 5.100% DUE 12...
Principal U.S. Mega-Cap E... USMC	P	21 Sept 2020	$1,001 - $15,000	-
Vanguard Consumer Staples... VDC	S	21 Sept 2020	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	S	9 Sept 2020	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	S	8 Sept 2020	$15,001 - $50,000	-
Intuit Inc. (INTU) INTU	S	8 Sept 2020	$15,001 - $50,000	-
Vanguard Div Appreciation... VIG	S (partial)	8 Sept 2020	$50,001 - $100,000	-
SPDR S&P 500 (SPY) SPY	S (partial)	8 Sept 2020	$15,001 - $50,000	-
Principal U.S. Mega-Cap E... USMC	S (partial)	8 Sept 2020	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	S (partial)	8 Sept 2020	$15,001 - $50,000	-
Alphabet Inc. - Class A (... GOOGL	P	8 Sept 2020	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	S (partial)	8 Sept 2020	$15,001 - $50,000	-
FT Divers Income & Growth...	S	11 Aug 2020	$100,001 - $250,000	FT Divers Income & Growth Fall 15 Redemption
U.S. Bancorp (USB) USB	S	10 Aug 2020	$50,001 - $100,000	-
American Express Company ... AXP	S	10 Aug 2020	$15,001 - $50,000	-
PNC Financial Services Gr... PNC	S	10 Aug 2020	$15,001 - $50,000	-
Duke Energy Corporation (... DUK	P	10 Aug 2020	$15,001 - $50,000	-
SPDR Bloomberg Barclays C... CWB	P	10 Aug 2020	$50,001 - $100,000	-
SPDR Select Sector Fund -... XLV	P	10 Aug 2020	$50,001 - $100,000	-
PNC Financial Services Gr... PNC	S	10 Aug 2020	$50,001 - $100,000	-
Johnson & Johnson (JNJ) JNJ	P	10 Aug 2020	$15,001 - $50,000	-
SPDR S&P Dividend ETF (SD... SDY	P	10 Aug 2020	$15,001 - $50,000	-
Visa Inc. (V) V	S	10 Aug 2020	$15,001 - $50,000	-
iShares Core Dividend Gro... DGRO	P	10 Aug 2020	$50,001 - $100,000	-
American Electric Power C... AEP	P	10 Aug 2020	$15,001 - $50,000	-
SPDR S&P Dividend ETF (SD... SDY	P	10 Aug 2020	$15,001 - $50,000	-
AMERICAN FUNDS THE TAX EX...	P	20 Jul 2020	$1,001 - $15,000	AMERICAN FUNDS THE TAX EXEMPT BOND FUND OF AMERICA
"CITIGROUP INC PERPETUAL ...	P	1 Jul 2020	$100,001 - $250,000	"CITIGROUP INC PERPETUAL FIX/FLT BONDS CALLABLE CPN 6.125% DUE 12/29/49 DTD...
Amazon.com, Inc. (AMZN) AMZN	P	1 Jul 2020	$50,001 - $100,000	-
Pfizer, Inc. (PFE) PFE	P	1 Jul 2020	$15,001 - $50,000	-
Raytheon Technologies Cor... RTX	S	1 Jul 2020	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	1 Jul 2020	$15,001 - $50,000	-
Home Depot, Inc. (HD) HD	S	1 Jul 2020	$50,001 - $100,000	-
JPMORGAN FEDERAL MONEY MA...	P	23 Jun 2020	$1,001 - $15,000	JPMORGAN FEDERAL MONEY MARKET FUND
JPMORGAN FEDERAL MONEY MA...	P	10 Jun 2020	$15,001 - $50,000	JPMORGAN FEDERAL MONEY MARKET FUND
Legg Mason Global Infrast... INFR	S	10 Jun 2020	$15,001 - $50,000	-
Vanguard Large-Cap ETF (V... VV	P	9 Jun 2020	$1,001 - $15,000	-
iShares Russell 2000 ETF ... IWM	S (partial)	9 Jun 2020	$1,001 - $15,000	-
iShares MSCI EAFE Value E... EFV	P	9 Jun 2020	$15,001 - $50,000	-
JPMORGAN FEDERAL MONEY MA...	S (partial)	9 Jun 2020	$15,001 - $50,000	JPMORGAN FEDERAL MONEY MARKET FUND
PGIM High Yield Bond Fund... ISD	P	9 Jun 2020	$15,001 - $50,000	-
iShares MSCI EAFE Growth ... EFG	S (partial)	9 Jun 2020	$1,001 - $15,000	-
PNC Financial Services Gr... PNC	P	2 Jun 2020	$15,001 - $50,000	-
U.S. Bancorp (USB) USB	P	1 Jun 2020	$50,001 - $100,000	-
PNC Financial Services Gr... PNC	P	1 Jun 2020	$15,001 - $50,000	-
PNC Financial Services Gr... PNC	P	1 Jun 2020	$15,001 - $50,000	-
Vanguard Consumer Staples... VDC	S (partial)	1 Jun 2020	$15,001 - $50,000	-
TJX Companies, Inc. (TJX) TJX	S	1 Jun 2020	$1,001 - $15,000	-
Principal U.S. Mega-Cap M... USMC	P	26 May 2020	$15,001 - $50,000	-
Principal U.S. Mega-Cap M... USMC	P	26 May 2020	$1,001 - $15,000	-
First Trust Cloud Computi... SKYY	P	26 May 2020	$15,001 - $50,000	-
The Blackstone Group Inc.... BX	P	26 May 2020	$50,001 - $100,000	-
Principal U.S. Mega-Cap M... USMC	P	26 May 2020	$15,001 - $50,000	-
Goldman Sachs ActiveBeta ... GSLC	S	26 May 2020	$15,001 - $50,000	-
The Blackstone Group Inc.... BX	P	26 May 2020	$15,001 - $50,000	-
Goldman Sachs ActiveBeta ... GSLC	S	26 May 2020	$15,001 - $50,000	-
Principal U.S. Mega-Cap M... USMC	P	26 May 2020	$1,001 - $15,000	-
Otis Worldwide Corporatio... OTIS	S	19 May 2020	$1,001 - $15,000	OTIS spinoff from UTX 04/03/20 Spinoff and sale in 2020
Verizon Communications In... VZ	P	19 May 2020	$15,001 - $50,000	-
Becton, Dickinson and Com... BDX	S	19 May 2020	$15,001 - $50,000	-
First Trust Cloud Computi... SKYY	P	19 May 2020	$15,001 - $50,000	-
Amazon.com, Inc. (AMZN) AMZN	P	19 May 2020	$50,001 - $100,000	-
iShares Core S&P Total U.... ITOT	P	19 May 2020	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	P	19 May 2020	$1,001 - $15,000	-
Home Depot, Inc. (HD) HD	P	19 May 2020	$15,001 - $50,000	-
Vanguard Div Appreciation... VIG	P	19 May 2020	$15,001 - $50,000	-
JP Morgan Chase & Co. (JP... JPM	P	19 May 2020	$15,001 - $50,000	-
Apple Inc. (AAPL) AAPL	P	19 May 2020	$15,001 - $50,000	-
Vanguard Div Appreciation... VIG	P	19 May 2020	$15,001 - $50,000	-
Carrier Global Corporatio... CARR	S	19 May 2020	$1,001 - $15,000	-
First Trust Cloud Computi... SKYY	P	19 May 2020	$15,001 - $50,000	-
PNC FINANCIAL SERVICES UN...	P	19 May 2020	$50,001 - $100,000	PNC FINANCIAL SERVICES UNSECURED FIX TO FLOAT CALLABLE SER R PERPTL CPN 4.8...
First Trust Cloud Computi... SKYY	P	19 May 2020	$15,001 - $50,000	-
UIT FIRST TRUST DIVERSIFI...	S	12 May 2020	$50,001 - $100,000	UIT FIRST TRUST DIVERSIFIED INCOME & GROWTH PORT SER 2015 Redemption
Procter & Gamble Company ... PG	P	11 May 2020	$15,001 - $50,000	-
Darden Restaurants, Inc. ... DRI	P	11 May 2020	$15,001 - $50,000	-
Johnson & Johnson (JNJ) JNJ	P	11 May 2020	$15,001 - $50,000	-
BOFA FIN LLC 0% 1Y: LKD T...	S	24 Apr 2020	$50,001 - $100,000	BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/2...
BOFA FIN LLC 0% 1Y: LKD T...	S	24 Apr 2020	$15,001 - $50,000	BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/2...
UIT INVESCO UNIT TRS CENT...	S	23 Apr 2020	$100,001 - $250,000	UIT INVESCO UNIT TRS CENT EQUITY TR DIVERSFED SER 2016- Redemption
Franklin Rising Dividend ...	P	22 Apr 2020	$1,001 - $15,000	Franklin Rising Dividend Cl A
American Capital Income	P	22 Apr 2020	$1,001 - $15,000	American Capital Income
Marathon Petroleum Corpor... MPC	P	22 Apr 2020	$15,001 - $50,000	-
American Fundamental Inve...	P	22 Apr 2020	$1,001 - $15,000	American Fundamental Investors
Emerson Electric Company ... EMR	P	22 Apr 2020	$15,001 - $50,000	-
Duke Energy Corporation (... DUK	P	22 Apr 2020	$15,001 - $50,000	-
American New Perspective ...	P	22 Apr 2020	$1,001 - $15,000	American New Perspective Cl A
iShares Core Dividend Gro... DGRO	P	22 Apr 2020	$15,001 - $50,000	-
American Growth Fund	P	22 Apr 2020	$1,001 - $15,000	American Growth Fund
Chevron Corporation (CVX) CVX	P	22 Apr 2020	$15,001 - $50,000	-
American Tax-exempt Bond ...	P	22 Apr 2020	$1,001 - $15,000	American Tax-exempt Bond Fd
Apple Inc. (AAPL) AAPL	P	15 Apr 2020	$15,001 - $50,000	-
JPMORGAN CHASE & CO FIXED...	P	15 Apr 2020	$50,001 - $100,000	JPMORGAN CHASE & CO FIXED/FLOAT JR SBRDNTD CALLABLE PERPETUAL MAT CPN 88.87...
Amazon.com, Inc. (AMZN) AMZN	P	15 Apr 2020	$15,001 - $50,000	-
JPMORGAN CHASE & CO JR SU...	P	15 Apr 2020	$50,001 - $100,000	JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4....
Apple Inc. (AAPL) AAPL	P	15 Apr 2020	$50,001 - $100,000	-
Amazon.com, Inc. (AMZN) AMZN	P	15 Apr 2020	$15,001 - $50,000	-
Vanguard Div Appreciation... VIG	P	15 Apr 2020	$15,001 - $50,000	-
Vanguard Div Appreciation... VIG	P	15 Apr 2020	$50,001 - $100,000	-
JPMORGAN CHASE & CO JR SU...	P	15 Apr 2020	$50,001 - $100,000	JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4....
Vanguard Div Appreciation... VIG	P	15 Apr 2020	$50,001 - $100,000	-
Darden Restaurants, Inc. ... DRI	P	13 Apr 2020	$15,001 - $50,000	-
iShares Core Dividend Gro... DGRO	P	6 Apr 2020	$1,001 - $15,000	-
iShares Core Dividend Gro... DGRO	P	6 Apr 2020	$1,001 - $15,000	-
American Electric Power C... AEP	P	6 Apr 2020	$15,001 - $50,000	-
Southern Company (SO) SO	P	6 Apr 2020	$15,001 - $50,000	-
iShares Core Dividend Gro... DGRO	P	6 Apr 2020	$15,001 - $50,000	-
HSBC USA INC 0% EDP NTS L...	S	27 Mar 2020	$15,001 - $50,000	HSBC USA INC 0% EDP NTS LKD TO EURO STOXX 50 INDEX MTY 03/27/20 CPN 0.000% ...
BANK NOVA SCOTIA 0% EDP B...	S	27 Mar 2020	$50,001 - $100,000	BANK NOVA SCOTIA 0% EDP BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0....
Vanguard Utilities ETF (V... VPU	S	18 Mar 2020	$15,001 - $50,000	-
Diageo plc (DEO) DEO	S (partial)	18 Mar 2020	$1,001 - $15,000	-
Vanguard Utilities ETF (V... VPU	S	18 Mar 2020	$15,001 - $50,000	-
American Electric Power C... AEP	S	18 Mar 2020	$15,001 - $50,000	-
SPDR Dow Jones Industrial... DIA	S	18 Mar 2020	$1,001 - $15,000	-
Southwest Airlines Compan... LUV	S	18 Mar 2020	$15,001 - $50,000	-
Walt Disney Company (DIS) DIS	S	18 Mar 2020	$1,001 - $15,000	-
Vanguard FTSE Developed M... VEA	S	18 Mar 2020	$1,001 - $15,000	-
SPDR Dow Jones Industrial... DIA	S (partial)	18 Mar 2020	$1,001 - $15,000	-
Northrop Grumman Corporat... NOC	S	18 Mar 2020	$15,001 - $50,000	-
Diageo plc (DEO) DEO	S	18 Mar 2020	$1,001 - $15,000	-
Southwest Airlines Compan... LUV	S	18 Mar 2020	$15,001 - $50,000	-
Vanguard Utilities ETF (V... VPU	S	18 Mar 2020	$15,001 - $50,000	-
Vanguard Div Appreciation... VIG	S	11 Mar 2020	$50,001 - $100,000	-
SPDR S&P Dividend ETF (SD... SDY	S	11 Mar 2020	$100,001 - $250,000	-
The Travelers Companies, ... TRV	S	11 Mar 2020	$1,001 - $15,000	-
Vanguard Div Appreciation... VIG	S	11 Mar 2020	$15,001 - $50,000	-
Goldman Sachs ActiveBeta ... GSLC	S	11 Mar 2020	$50,001 - $100,000	-
SPDR S&P Dividend ETF (SD... SDY	S	11 Mar 2020	$15,001 - $50,000	-
3M Company (MMM) MMM	S	11 Mar 2020	$1,001 - $15,000	-
Vanguard Consumer Staples... VDC	S	11 Mar 2020	$15,001 - $50,000	-
SPDR S&P Dividend ETF (SD... SDY	S (partial)	11 Mar 2020	$50,001 - $100,000	-
Vanguard Utilities ETF (V... VPU	S	10 Mar 2020	$15,001 - $50,000	-
Vanguard Consumer Staples... VDC	S (partial)	10 Mar 2020	$15,001 - $50,000	-
First Trust DJ Internet I... FDN	S	10 Mar 2020	$50,001 - $100,000	-
BARCLAYS BK PLC 0% BLS CA...	S	28 Feb 2020	$50,001 - $100,000	BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 Redem...
BARCLAYS BK PLC 0% BLS CA...	S	28 Feb 2020	$50,001 - $100,000	BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 Redem...
First Trust Morningstar E... FDL	S	26 Feb 2020	$15,001 - $50,000	-
Vanguard Utilities ETF (V... VPU	P	25 Feb 2020	$50,001 - $100,000	-
First Trust Morningstar E... FDL	S (partial)	25 Feb 2020	$15,001 - $50,000	-
Vanguard Div Appreciation... VIG	E	24 Feb 2020	$50,001 - $100,000	Transfer to WF 10
Principal U.S. Mega-Cap M... USMC	E	24 Feb 2020	$100,001 - $250,000	Transfer from WF 95
First Trust DJ Internet I... FDN	E	24 Feb 2020	$50,001 - $100,000	Transfer from WF 95
SPDR S&P Dividend ETF (SD... SDY	E	24 Feb 2020	$50,001 - $100,000	Transfer from WF 95
BARCLAYS BK PLC 0% BLS CA...	E	24 Feb 2020	$50,001 - $100,000	BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 CPN 0...
SPDR S&P 500 (SPY) SPY	E	24 Feb 2020	$100,001 - $250,000	Transfer to WF 10
SPDR S&P Dividend ETF (SD... SDY	E	24 Feb 2020	$50,001 - $100,000	Transfer to WF 10
Goldman Sachs ActiveBeta ... GSLC	E	24 Feb 2020	$100,001 - $250,000	Transfer from WF 95
HSBC USA INC 0% BLS AUTOC...	E	24 Feb 2020	$50,001 - $100,000	HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000...
SPDR S&P 500 (SPY) SPY	E	24 Feb 2020	$100,001 - $250,000	Transfer from WF 95
Vanguard Consumer Staples... VDC	E	24 Feb 2020	$100,001 - $250,000	Transfer from WF 95
HSBC USA INC 0% BLS AUTOC...	E	24 Feb 2020	$50,001 - $100,000	HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000...
Vanguard Utilities ETF (V... VPU	E	24 Feb 2020	$15,001 - $50,000	Transfer from WF 95
BARCLAYS BK PLC 0% BLS CA...	E	24 Feb 2020	$50,001 - $100,000	BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 Trans...
Principal U.S. Mega-Cap M... USMC	E	24 Feb 2020	$100,001 - $250,000	Transfer to WF 10
First Trust Morningstar E... FDL	E	24 Feb 2020	$50,001 - $100,000	BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/2...
First Trust DJ Internet I... FDN	E	24 Feb 2020	$50,001 - $100,000	Transfer to WF 10
First Trust Morningstar E... FDL	E	24 Feb 2020	$50,001 - $100,000	Transfer from WF 95
Vanguard Div Appreciation... VIG	E	24 Feb 2020	$50,001 - $100,000	Transfer from WF 95
Vanguard Utilities ETF (V... VPU	E	24 Feb 2020	$15,001 - $50,000	Transfer to WF 10
BOFA FIN LLC 0% BLS LKD T...	E	24 Feb 2020	$50,001 - $100,000	BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/2...
BANK NOVA SCOTIA 0% BLS B...	E	24 Feb 2020	$50,001 - $100,000	BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0....
BOFA FIN LLC 0% BLS LKD T...	E	24 Feb 2020	$50,001 - $100,000	BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/2...
BANK NOVA SCOTIA 0% BLS B...	E	24 Feb 2020	$50,001 - $100,000	BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0....
Vanguard Consumer Staples... VDC	E	24 Feb 2020	$100,001 - $250,000	Transfer to WF 10
Goldman Sachs ActiveBeta ... GSLC	E	24 Feb 2020	$100,001 - $250,000	Transfer to WF 10
Goldman Sachs ActiveBeta ... GSLC	P	18 Feb 2020	$15,001 - $50,000	-
Vanguard Utilities ETF (V... VPU	P	18 Feb 2020	$15,001 - $50,000	-
First Trust Morningstar E... FDL	S	18 Feb 2020	$1,001 - $15,000	-
First Trust Morningstar E... FDL	S (partial)	18 Feb 2020	$15,001 - $50,000	-
Goldman Sachs ActiveBeta ... GSLC	P	10 Feb 2020	$15,001 - $50,000	-
Calamos Strategic Total R... CSQ	S	10 Feb 2020	$1,001 - $15,000	-
Invesco QQQ Trust, Series... QQQ	P	10 Feb 2020	$15,001 - $50,000	-
SPDR S&P Dividend ETF (SD... SDY	P	10 Feb 2020	$15,001 - $50,000	-
Vanguard Utilities ETF (V... VPU	P	10 Feb 2020	$15,001 - $50,000	-
Vanguard Div Appreciation... VIG	P	10 Feb 2020	$15,001 - $50,000	-
Principal U.S. Mega-Cap M... USMC	P	10 Feb 2020	$15,001 - $50,000	-
Vanguard Consumer Staples... VDC	P	10 Feb 2020	$15,001 - $50,000	-
Goldman Sachs ActiveBeta ... GSLC	P	10 Feb 2020	$15,001 - $50,000	-
SPDR S&P 500 (SPY) SPY	P	10 Feb 2020	$15,001 - $50,000	-
Vanguard Utilities ETF (V... VPU	P	10 Feb 2020	$15,001 - $50,000	-
SPDR Dow Jones Industrial... DIA	P	10 Feb 2020	$1,001 - $15,000	-
BANK NOVA SCOTIA 0% 1Y: B...	S	31 Jan 2020	$50,001 - $100,000	BANK NOVA SCOTIA 0% 1Y: B C LKD S&P 500 MTY 01/31/2020 CPN 0.000% DUE 01/31...
BOFA FIN LLC 0% 1Y: ACCEL...	S	31 Jan 2020	$100,001 - $250,000	BOFA FIN LLC 0% 1Y: ACCELERATED RETURN NTS LKD TO S&P MTY 01/31/20 CPN 0.00...
Invesco Ltd (IVZ) IVZ	P	16 Jan 2020	$1,001 - $15,000	-
American Balanced Fund Cl...	P	16 Jan 2020	$1,001 - $15,000	American Balanced Fund Class A