Scott H. PetersDéclaration

Annual Report | Déposée le 03 Aug 2016

Cette déclaration financière du Congrès déposée par Scott H. Peters (annual report) contient 523 transactions boursières. Elle a été déposée le 3 août 2016. Les titres déclarés incluent DIS, CSCO, TYC, WFC, EMC et 63 autres. En vertu du STOCK Act, les membres du Congrès sont tenus de divulguer leurs transactions sur titres sous 45 jours.

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Nom du politicien

Scott H. Peters

Type de déclaration

Annual Report

Date de dépôt

03 Aug 2016

Voir la déclaration originale (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	-