New Entrant Report | U.S. Office of Government Ethics; 5 C.F.R. part 2634 | Form Approved: OMB No.

(3209-0001) (Updated Nov. 2021)

Executive Branch Personnel

Public Financial Disclosure Report (OGE Form 278e)

Filer's Information
Dunn, Anita B

Assistant to the President & Senior Advisor to the President, White House - Biden-Harris Administration

Date of Appointment: 05/09/2022

Other Federal Government Positions Held During the Preceding 12 Months:

Senior Advisor to the President (1/2021 - 8/2021)

Senior Advisor to the President (3/2022 - 3/2022)

Electronic Signature - I certify that the statements I have made in this form are true, complete and correct to the best of my knowledge.

/s/ Dunn, Anita B [electronically signed on 07/07/2022 by Dunn, Anita B in Integrity.gov] - Filer received a 29 day filing extension.

Agency Ethics Official's Opinion - On the basis of information contained in this report, I conclude that the filer is in compliance with applicable laws and regulations (subject to
any comments below).
/s/ Phillips, Anjali, Certifying Official [electronically signed on 07/22/2022 by Phillips, Anjali in Integrity.gov]

Other review conducted by

/s/ Phillips, Anjali, Ethics Official [electronically signed on 07/22/2022 by Phillips, Anjali in Integrity.gov]

Dunn, Anita B - Page 1

U.S. Office of Government Ethics Certification

Data Revised 07/22/2022

Dunn, Anita B - Page 2

1. Filer's Positions Held Outside United States Government
# ORGANIZATION NAME CITY, STATE ORGANIZATION POSITION FROM TO
TYPE HELD

1 SKDKnickerbocker Washington, LLC Managing 9/1993 3/2022

District of Director
Columbia

2 BEXC Inc. (Biden for President) Washington, Campaign Senior Advisor 8/2020 11/2020
District of
Columbia

3 PTT Biden/Harris Presidential Transition Team Washington, Presidential Co-Chair 9/2020 1/2021
District of Transition Team
Columbia

2. Filer's Employment Assets & Income and Retirement Accounts

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

1 SKDKnickerbocker No Salary $738,715

2 Washington University - November, 8, No Honorarium $2,000

2021

3 401(k) #1 No

3.1 Principal LifeTime Hybrid 2025 CIT Z Yes $1,000,001 - None (or less
$5,000,000 than $201)

4 IRA #1 No

4.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $1,001 - $15,000 None (or less
(BDA) (cash) than $201)

5 AXA Roth, Variable Annuity No

Dunn, Anita B - Page 3

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.1 MSCI EAFE 1 Year - 10% Buffer Yes $50,001 - None (or less
$100,000 than $201)

5.2 Energy SPDR 1 Year - 10% Buffer Yes $50,001 - None (or less
$100,000 than $201)

5.3 Financial SPDR 1 Year - 10% Buffer Yes $50,001 - None (or less
$100,000 than $201)

6 Stagwell, Inc. vested restricted stock units See Endnote N/A $1,000,001 - None (or less
$5,000,000 than $201)

3. Filer's Employment Agreements and Arrangements

None

4. Filer's Sources of Compensation Exceeding $5,000 in a Year

# SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES

1 1 SKDKnickerbocker Washington, Consulting services

District of
Columbia

2 1.1 ATT Washington, Consulting Services

District of
Columbia

3 1.2 Micron Washington, Consulting Services

District of
Columbia

4 1.3 American Clean Power Association Washiington, Consulting Services

District of
Columbia

Dunn, Anita B - Page 4

# SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES

5 1.4 Lyft Washington, Consulting Services

District of
Columbia

6 1.5 Pivotal Ventures Washington, Consulting Services

District of
Columbia

7 1.6 Pfizer Washington, Consulting Services

District of
Columbia

8 1.7 Center for American Progress Action Washington, Consulting Services

District of
Columbia

9 1.8 Future Forward d/b/a OpenLabs Washington, Consulting Services

District of
Columbia

10 1.9 Valerie Biden Owens Washington, Consulting Services

District of
Columbia

11 1.10 Ford Foundation Washington, Consulting Services

District of
Columbia

12 1.11 Debbie Dingell for Congress Washington, Consulting Services

District of
Columbia

13 1.12 PIC 2021, Inc. Washington, Consulting Services

District of
Columbia

14 1.13 Intra-Cellular Therapies Washington, Consulting Services

District of
Columbia

15 1.14 Salesforce Washington, Consulting Services

District of
Columbia

Dunn, Anita B - Page 5

# SOURCE NAME CITY, STATE BRIEF DESCRIPTION OF DUTIES

16 1.15 Amy McGrath for Senate Washington, Consulting Services

District of
Columbia

17 1.16 Biden for President Washington, Consulting Services

District of
Columbia

18 1.17 Reddit Washington, Consulting Services

District of
Columbia

19 1.18 Valerie Jarrett Washington, Consulting Services

District of
Columbia

5. Spouse's Employment Assets & Income and Retirement Accounts

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

1 New York Times Op-ed, June 4, 2021 N/A Op/ed payment $1,125

2 Lawfare Institute N/A Rent or Royalties $2,501 - $5,000

3 Perkins Coie LLP N/A Consulting fee

4 NYU University N/A Salary

5 DNC Services Corporation N/A Consulting fee

6 Bob Bauer PLLC N/A $1,001 - $15,000 Business income

7 Retirement Acct #1 No

7.1 Vang Target Ret 2015 Yes $50,001 - None (or less
$100,000 than $201)

8 IRA #1 No

Dunn, Anita B - Page 6

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $15,001 - None (or less
(BDA) (cash) $50,000 than $201)

8.2 LOCKHEED MARTIN CORPORATION 3.55% N/A $1,001 - $15,000 None (or less
01/15/2026 USD SER 10YR SR LIEN than $201)

8.3 SPECTRA ENERGY PARTNERS, L.P. 4.75% N/A $1,001 - $15,000 None (or less
03/15/2024 USD SR LIEN than $201)

8.4 NATIONAL RURAL UTILITIES COOPE 2.7% N/A $15,001 - None (or less
02/15/2023 USD $50,000 than $201)

8.5 PHILIP MORRIS INTERNATIONAL IN 2.75% N/A $1,001 - $15,000 None (or less
02/25/2026 USD SR LIEN than $201)

8.6 TARGET CORP 2.5% 04/15/2026 USD SR N/A $1,001 - $15,000 None (or less
LIEN than $201)

8.7 ROYAL BK SCOTLND GRP PLC 6.0% N/A $1,001 - $15,000 None (or less
12/19/2023 USD SUB LIEN than $201)

8.8 CROWN CASTLE INTERNATIONAL COR N/A $1,001 - $15,000 None (or less
4.0% 03/01/2027 USD SR LIEN than $201)

8.9 WESTPAC BANKING CORPORATION N/A $1,001 - $15,000 None (or less
HYBRID MTN 11/23/2031 USD SUB LIEN than $201)
CPN 11/23/16-11/22/26 4.322%

8.10 ENBRIDGE INC 4.25% 12/01/2026 USD SR N/A $1,001 - $15,000 None (or less
LIEN than $201)

8.11 CISCO SYSTEMS, INC. 3.625% 03/04/2024 N/A $15,001 - None (or less
USD SR LIEN $50,000 than $201)

8.12 EASTMAN CHEMICAL COMPANY 3.8% N/A $1,001 - $15,000 None (or less
03/15/2025 USD SR LIEN than $201)

8.13 BANK OF AMERICA CORPORATION MTN N/A $1,001 - $15,000 None (or less
4.25% 10/22/2026 USD SER L SUB LIEN than $201)

8.14 ORACLE CORPORATION 2.95% 05/15/2025 N/A $15,001 - None (or less
USD SR LIEN $50,000 than $201)

Dunn, Anita B - Page 7

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.15 WELLS FARGO & COMPANY HYBRID MTN N/A $15,001 - None (or less
05/22/2028 USD SR LIEN CPN 05/22/17 $50,000 than $201)
3.584%

8.16 APPLE INC. 3.0% 06/20/2027 USD SR LIEN N/A $1,001 - $15,000 None (or less
than $201)

8.17 SUMITOMO MITSUI FINANCIAL GROU N/A $1,001 - $15,000 None (or less
3.364% 07/12/2027 USD SR LIEN than $201)

8.18 DUKE ENERGY CORPORATION 3.15% N/A $15,001 - None (or less
08/15/2027 USD SR LIEN $50,000 than $201)

8.19 PROCTER & GAMBLE COMPANY (THE) N/A $1,001 - $15,000 None (or less
2.85% 08/11/2027 USD SR LIEN than $201)

8.20 VISA INC. 2.15% 09/15/2022 SER 5YR SR N/A $15,001 - None (or less
LIEN $50,000 than $201)

8.21 SUNOCO LOGISTICS PARTNER 4.0% N/A $1,001 - $15,000 None (or less
10/01/2027 USD SR LIEN than $201)

8.22 MPLX LP 3.375% 03/15/2023 USD SR LIEN N/A $1,001 - $15,000 None (or less
than $201)

8.23 MCDONALD'S CORPORATION MTN 3.35% N/A $1,001 - $15,000 None (or less
04/01/2023 USD SR LIEN than $201)

8.24 U.S. BANCORP MTN 3.9% 04/26/2028 USD N/A $15,001 - None (or less
SR LIEN $50,000 than $201)

8.25 GENERAL DYNAMICS CORPORATION N/A $15,001 - None (or less

3.75% 05/15/2028 USD SR LIEN $50,000 than $201)

8.26 AMAZON.COM, INC. 3.15% 08/22/2027 USD N/A $15,001 - None (or less
SER WI SR LIEN $50,000 than $201)

8.27 B.A.T. CAPITAL CORPORATION 3.222% N/A $1,001 - $15,000 None (or less
08/15/2024 USD SR LIEN M-W+20.00BP than $201)

8.28 ANHEUSER-BUSCH INBEV WORLDWIDE N/A $1,001 - $15,000 None (or less
4.75% 01/23/2029 USD SR LIEN than $201)

Dunn, Anita B - Page 8

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.29 BANK OF AMERICA CORPORATION N/A $1,001 - $15,000 None (or less
HYBRID MTN 02/07/2030 USD SER N SR than $201)
LIEN CPN 02/07/19 3.974%

8.30 CITIGROUP INC. HYBRID 03/20/2030 USD N/A $1,001 - $15,000 None (or less
SR LIEN CPN 03/20/19 3.98% than $201)

8.31 SYNCHRONY FINANCIAL 4.375% N/A $1,001 - $15,000 None (or less
03/19/2024 USD SR LIEN than $201)

8.32 ENERGY TRANSFER OPERATNG 4.25% N/A $1,001 - $15,000 None (or less
03/15/2023 USD SER * SR LIEN than $201)

8.33 BOEING CO 3.1% 05/01/2026 USD SR LIEN N/A $1,001 - $15,000 None (or less
than $201)

8.34 ALLY FINANCIAL INC 3.875% 05/21/2024 N/A $1,001 - $15,000 None (or less
USD SR LIEN than $201)

8.35 AMERICAN TOWER CORP 2.95% N/A $1,001 - $15,000 None (or less
01/15/2025 USD SR LIEN than $201)

8.36 DIGITAL REALTY TRUST LP 3.6% N/A $1,001 - $15,000 None (or less
07/01/2029 USD SR LIEN than $201)

8.37 FISERV, INC. 3.5% 07/01/2029 USD SR LIEN N/A $1,001 - $15,000 None (or less
than $201)

8.38 VERIZON COMMUNICATIONS, INC. 4.016% N/A $1,001 - $15,000 None (or less
12/03/2029 USD SER WI SR LIEN than $201)

8.39 ROPER TECHNOLOGIES INC 2.95% N/A $1,001 - $15,000 None (or less
09/15/2029 USD SR LIEN than $201)

8.40 BAT CAPITAL CORP 3.215% 09/06/2026 N/A $1,001 - $15,000 None (or less
USD SR LIEN than $201)

8.41 KEYCORP MTN 2.55% 10/01/2029 USD SR N/A $15,001 - None (or less
LIEN $50,000 than $201)

8.42 AON CORPORATION 2.2% 11/15/2022 USD N/A $1,001 - $15,000 None (or less
SR LIEN than $201)

Dunn, Anita B - Page 9

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.43 CROWN CASTLE INTL CORP 3.3% N/A $1,001 - $15,000 None (or less
07/01/2030 USD SR LIEN than $201)

8.44 TRANSCANADA PIPELINES 4.1% N/A $1,001 - $15,000 None (or less
04/15/2030 USD SR LIEN than $201)

8.45 CITIZENS FINANCIAL GROUP 3.25% N/A $1,001 - $15,000 None (or less
04/30/2030 USD SR LIEN than $201)

8.46 BOEING CO 5.04% 05/01/2027 USD SR LIEN N/A $1,001 - $15,000 None (or less
than $201)

8.47 REALTY INCOME CORPORATION 3.25% N/A $1,001 - $15,000 None (or less
01/15/2031 USD SR LIEN than $201)

8.48 GATX CORP 4.0% 06/30/2030 USD SR LIEN N/A $1,001 - $15,000 None (or less
than $201)

8.49 QUEST DIAGNOSTICS INCORPORATED N/A $1,001 - $15,000 None (or less
2.8% 06/30/2031 USD SR LIEN than $201)

8.50 EQUINIX, INC. 2.15% 07/15/2030 USD SR N/A $1,001 - $15,000 None (or less
LIEN than $201)

8.51 KINDER MORGAN INC 2.0% 02/15/2031 N/A $1,001 - $15,000 None (or less
USD SR LIEN than $201)

8.52 AIR LEASE CORP MTN 2.875% 01/15/2026 N/A $1,001 - $15,000 None (or less
USD SR LIEN than $201)

8.53 MPLX LP 2.65% 08/15/2030 USD SR LIEN N/A $1,001 - $15,000 None (or less
than $201)

8.54 WP CAREY INC 2.4% 02/01/2031 USD SR N/A $1,001 - $15,000 None (or less
LIEN than $201)

8.55 ILLUMINA, INC 2.55% 03/23/2031 USD SR N/A $1,001 - $15,000 None (or less
LIEN than $201)

8.56 BUNGE LIMITED FINANCE CORP. 2.75% N/A $1,001 - $15,000 None (or less
05/14/2031 USD SR LIEN than $201)

Dunn, Anita B - Page 10

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.57 SKYWORKS SOLUTIONS, INC. 3.0% N/A $1,001 - $15,000 None (or less
06/01/2031 USD SR LIEN than $201)

8.58 UNION PACIFIC CORP 2.375% 05/20/2031 N/A $1,001 - $15,000 None (or less
USD SR LIEN than $201)

8.59 T-MOBILE USA INC 2.25% 11/15/2031 USD N/A $1,001 - $15,000 None (or less
SER WI SR LIEN than $201)

8.60 T-MOBILE USA, INC. 3.875% 04/15/2030 N/A $1,001 - $15,000 None (or less
USD SER WI SR LIEN than $201)

8.61 BANK OF NOVA SCOTIA (THE) 1.35% N/A $1,001 - $15,000 None (or less
06/24/2026 USD SR LIEN than $201)

8.62 ROYALTY PHARMA PLC 2.15% 09/02/2031 N/A $1,001 - $15,000 None (or less
USD SR LIEN than $201)

8.63 AMGEN INC. 2.0% 01/15/2032 USD SR LIEN N/A $1,001 - $15,000 None (or less
than $201)

8.64 KIMCO REALTY CORP 2.25% 12/01/2031 SR N/A $1,001 - $15,000 None (or less
LIEN than $201)

8.65 JPMORGAN CHASE & CO. HYBRID N/A $1,001 - $15,000 None (or less
09/22/2027 USD SER FXD SR LIEN CPN than $201)
09/22/21-09/21/26 1.47%

8.66 CONSTELLATION BRANDS, INC. 4.75% N/A $1,001 - $15,000 None (or less
05/09/2032 SR LIEN than $201)

9 AXA Roth, Variable Annuity No

9.1 S&P 500 Annual Lock 5 Year-10% Yes $100,001 - None (or less
$250,000 than $201)

10 IRA #2 No

10.1 6 Year S&P 500 Cap 20% Protection Yes $250,001 - None (or less
10/1/2018-10/1/2024 $500,000 than $201)

10.2 6 Year MSCI EAFE Cap 10% Protection Yes $100,001 - None (or less
10/1/2018-10/1/2024 $250,000 than $201)

Dunn, Anita B - Page 11

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.3 7 Year Russell 2000 Cap 20% Protection Yes $100,001 - None (or less
10/1/2018-10/1/2024 $250,000 than $201)

6. Other Assets and Income

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

1 Trust #1 No

1.1 ISHARES CORE S&P 500 ETF (IVV) Yes $250,001 - $201 - $1,000
$500,000

1.2 BNY MELLON, N.A. (cash) N/A $15,001 - None (or less
$50,000 than $201)

1.3 BNY MELLON, N.A. (cash) N/A $1,001 - $15,000 None (or less
than $201)

1.4 DFA EMERG MKTS CORE EQUITY (DFCEX) Yes $50,001 - $1,001 - $2,500
$100,000

1.5 BNY MELLON M/C MULTI-STRATEGY FUND Yes $50,001 - None (or less
(MPMCX) $100,000 than $201)

1.6 BNY MELLON NATL INTM MUNI-M (MPNIX) Yes $100,001 - $2,501 - $5,000
$250,000

1.7 BNY MELLON S/C MULTI-STRATEGY FUND Yes $50,001 - None (or less
(MPSSX) $100,000 than $201)

1.8 GATEWAY FUND-Y (GTEYX) Yes $15,001 - None (or less

$50,000 than $201)

1.9 GOLDMAN SACHS ABS RETURN TR FUND Yes $1,001 - $15,000 None (or less
- I (GJRTX) than $201)

1.10 D F A COMMODITY STRATEGY PORT Yes $1,001 - $15,000 $2,501 - $5,000

(DCMSX)

Dunn, Anita B - Page 12

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

1.11 NEUBERGER BERMAN LONG SH-INS Yes $15,001 - None (or less
(NLSIX) $50,000 than $201)

1.12 ISHARES CORE MSCI EAFE ETF (IEFA) Yes $50,001 - $1,001 - $2,500
$100,000

1.13 FIDELITY ADV INTL SM CAP-Z (FIQIX) Yes $15,001 - $201 - $1,000
$50,000

1.14 BNYM GLBL RL EST SEC-Y (DRLYX) Yes $1,001 - $15,000 $201 - $1,000

1.15 BNY MELLON GLOBAL REAL RETURN Y Yes $15,001 - $201 - $1,000
(DRRYX) $50,000

1.16 BNYM YLD ENHAN STRAT-Y (DABJX) Yes $50,001 - $1,001 - $2,500
$100,000

1.17 BNY MELLON TAX-SEN L/C MS-M (MTSMX) Yes None (or less $2,501 - $5,000
than $1,001)

2 Brokerage Acct #1 No

2.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $15,001 - None (or less
(BDA) (cash) $50,000 than $201)

2.2 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $370, EXP 06/30/2022

2.3 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $420, EXP 06/30/2022

2.4 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $378, EXP 07/15/2022

2.5 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $415, EXP 07/15/2022

Dunn, Anita B - Page 13

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

2.6 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $385, EXP 07/29/2022

2.7 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $372, EXP 08/19/2022

2.8 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $390, EXP 08/19/2022

2.9 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $315, EXP 09/16/2022

2.10 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $385, EXP 09/16/2022

2.11 iShares Core S&P 500 Index ETF (XSP) open N/A None (or less
position for written put option; 100 shares, than $201)
strike $350, EXP 10/21/2022

2.12 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.13 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.14 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.15 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.16 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.17 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

Dunn, Anita B - Page 14

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

2.18 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.19 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.20 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.21 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.22 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.23 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.24 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.25 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.26 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.27 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.28 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.29 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.30 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.31 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

Dunn, Anita B - Page 15

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

2.32 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.33 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.34 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.35 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.36 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.37 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.38 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.39 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.40 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.41 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.42 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.43 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.44 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.45 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

Dunn, Anita B - Page 16

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

2.46 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.47 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.48 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.49 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.50 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.51 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.52 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.53 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.54 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.55 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.56 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.57 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.58 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.59 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

Dunn, Anita B - Page 17

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

2.60 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.61 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $201 - $1,000
closed position for written put option than $1,001)

2.62 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.63 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.64 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.65 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.66 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.67 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.68 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.69 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.70 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.71 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.72 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.73 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

Dunn, Anita B - Page 18

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

2.74 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.75 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.76 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.77 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.78 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.79 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.80 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $1,001 - $2,500
closed position for written put option than $1,001)

2.81 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.82 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.83 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.84 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

2.85 iShares Core S&P 500 Index ETF (XSP) N/A None (or less Capital Gains $5,001 - $15,000
closed position for written put option than $1,001)

3 Brokerage Acct #2 No

3.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $15,001 - None (or less
(BDA) (cash) $50,000 than $201)

Dunn, Anita B - Page 19

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

3.2 NEW JERSEY ST TRANSN TR FD REV N/A $15,001 - Capital Gains $2,501 - $5,000
5.2500% 12/15/22 JD TRANSPORTATION $50,000 Interest
SYS BDS FSA BEO

3.3 METRO WASHINGTON DC ARPTS AUTH N/A $50,001 - Interest $2,501 - $5,000
REV 5.0000% 10/01/22 AO AIRPORT SYS $100,000
REV SER-A AMT BEO

3.4 CONN ST FOR ISSUES TO 10/19/10 GO N/A $100,001 - Interest $5,001 - $15,000
5.0000% 03/01/25-CA MS SER A BEO $250,000

3.5 CITY OF NY GEN OBLIGATION BDS GO N/A $100,001 - Interest $5,001 - $15,000
5.0000% 08/01/26-CA FA FISCAL 2015 $250,000
SERIES C AND D BEO

3.6 MET WASH ARPTS AUTH SYS REV 5% N/A $50,001 - Interest $5,001 - $15,000
10/01/29-CA AO AIRPORT SYS REV AND $100,000
REF BDS 2018 A AMT BEO

3.7 PRINCE GEORGES CNTY MD GO 5% N/A $250,001 - Interest $15,001 -

09/15/30 MS GO CONS PUB IMPT REF BDS $500,000 $50,000
2020 B LT BEO

3.8 ANNE ARUNDEL CNTY MD DB 5% 10/01/26 N/A $100,001 - Interest $2,501 - $5,000
AO GO CONSOLIDATED WTR SWR BDS $250,000
2020 LT BEO

3.9 ANNE ARUNDEL CNTY MD GO 5% 10/01/25 N/A $100,001 - Interest $5,001 - $15,000
AO GO CONSOLIDATED BDS 2016 LT BEO $250,000

3.10 BALTIMORE MD GO 4% 10/15/30 AO GO N/A $100,001 - Interest $5,001 - $15,000

CONSOLIDATED PUB IMPT BDS 2020A UT $250,000
BEO

3.11 BALTIMORE MD REV REV 5% 07/01/27-CA N/A $250,001 - Interest $15,001 -

JJ REF REV BDS WATER PROJS 2017 B $500,000 $50,000
BEO

3.12 BRECKINRIDGE CNTY KY SCH DIST REV N/A $15,001 - Interest $1,001 - $2,500
3% 04/01/30-CA AO FIN CORP SCH BLDG $50,000
REV REV BDS 2016 BEO SR LIEN S-T X-
ORD RDM

Dunn, Anita B - Page 20

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

3.13 BURLINGTON CNTY N J BRDG COMMN N/A $50,001 - Interest $2,501 - $5,000
REV 5.0000% 10/01/24-CA AO $100,000
BURLINGTON CNTY SOLID WASTE PROJ
BEO

3.14 CHARLES CNTY MD GO 5% 10/01/26 AO N/A $250,001 - Interest $15,001 -

GO CONS PUB IMPT BDS 2016 UT BEO $500,000 $50,000

3.15 CLARK CNTY NEV SCH DIST GO 5% N/A $50,001 - Interest $2,501 - $5,000
06/15/26-CA JD GO LTD TAX BLDG REF $100,000
BDS 2015 C LT BEO

3.16 COPPERAS COVE TEX GO 4% 08/15/26-CA N/A $100,001 - Interest $5,001 - $15,000
FA GO REF BDS 2016 LT BEO $250,000

3.17 EL PASO TEX DB 5% 08/15/24 FA COMB N/A $100,001 - Interest $5,001 - $15,000
TAX AND REV CTFS OBLIG 2014 LT BEO $250,000

3.18 FREDERICK MD GO 5% 12/01/29-CA JD N/A $250,001 - Interest $5,001 - $15,000

PUB IMPT BDS 2018 UT BEO $500,000

3.19 HOWARD CNTY MD GO 5% 02/15/27 FA GO N/A $100,001 - Interest $5,001 - $15,000

CONS PUB IMP REF BDS 2017 B UT BEO $250,000

3.20 JACKSONVILLE FLA SPL REV REV 5% N/A $100,001 - Interest $5,001 - $15,000
10/01/24 AO REV REF BDS A BEO $250,000

3.21 JACKSONVILLE FLA SPL REV REV 5% N/A $100,001 - Interest $5,001 - $15,000
10/01/26 AO REF BDS 2020 A BEO $250,000

3.22 KENOSHA WIS GO 4% 06/01/23 JD GO N/A $100,001 - Interest $2,501 - $5,000

PROM NTS 2014 UT BEO $250,000

3.23 KING CNTY WAS SCH DIST NO 401 GO 5% N/A $15,001 - Interest $1,001 - $2,500
06/01/23 JD HIGHLINE GO REF BDS 2011 $50,000
PRERE 06/01/22 UT BEO

3.24 KING CNTY WASH DB 4% 07/01/28-CA JJ N/A $50,001 - Interest $2,501 - $5,000
LTD TAX GO REF BDS 2017 LT BEO $100,000

3.25 KLEIN TEX INDPT SCH DIST GO 5% N/A $100,001 - Interest $5,001 - $15,000
02/01/28 FA ULTD TAX SCH HOUSE BDS $250,000
2018 UT BEO

Dunn, Anita B - Page 21

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

3.26 MARYLAND ST GO 5% 03/01/31 MS LOC N/A $100,001 - Interest $5,001 - $15,000

FACS LN GO BDS FIRST 2021 A UT BEO $250,000

3.27 MARYLAND ST GO 5% 03/15/28 MS GO ST N/A $50,001 - Interest $5,001 - $15,000

LOCAL FACS LN BDS 2018 A UT BEO $100,000

3.28 MARYLAND ST GO 5% 08/01/29 FA GO BDS N/A $100,001 - Interest $5,001 - $15,000

SECOND SERIES A UT BEO $250,000

3.29 MARYLAND ST GO 5% 08/01/29-CA FA BDS N/A $50,001 - Interest $5,001 - $15,000

2018 UT BEO $100,000

3.30 MICHIGAN ST UNIV REVS REV 5% N/A $50,001 - Interest $2,501 - $5,000
08/15/24-CA FA GEN REV BDS 2013A BEO $100,000
SR LIEN

3.31 MISSISSIPPI ST GO 5% 10/01/27 AO GO N/A $50,001 - Interest $5,001 - $15,000

REF BDS 2017 A UT BEO $100,000

3.32 MONTGOMERY CNTY MD GO 4% 08/01/32- N/A $100,001 - Interest $1,001 - $2,500

CA FA GO REF BDS CONSOLIDATED PUB $250,000
IMPT PROJ 2021 A UT BEO

3.33 MONTGOMERY CNTY MD GO 4% 11/01/29- N/A $100,001 - None (or less

CA MN GO CONSOLIDATED PUB IMPT REF $250,000 than $201)
BDS 2017 D UT BEO

3.34 MONTGOMERY CNTY MD GO 5% 11/01/25 N/A $100,001 - Interest $5,001 - $15,000

MN GO CONS PUB IMPT BDS 2018 A UT $250,000
BEO

3.35 MONTGOMERY CNTY MD GO 5% 11/01/28 N/A $100,001 - Interest $5,001 - $15,000

MN GO CONS PUB IMPT BDS 2014A $250,000
PRERE 11/01/24 UT BEO SR LIEN

3.36 MONTGOMERY CNTY MD GO 5% 11/01/29- N/A $100,001 - Interest $5,001 - $15,000

CA MN GO CONS PUB IMPT BDS 2018 A UT $250,000
BEO

3.37 MONTGOMERY CNTY MD REV REV 5% N/A $100,001 - Interest $5,001 - $15,000
04/01/31 AO REF BDS 2021 A BEO $250,000

Dunn, Anita B - Page 22

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

3.38 NEW BOSTON OHIO LOC SCH DIST GO 3% N/A $15,001 - Interest $201 - $1,000
11/01/28-CA MN GO REF BDS 2016 UT BNK $50,000
QUAL BEO MSF 11/01/27

3.39 NORTH CAROLINA ST LTD OBLIG REV 5% N/A $100,001 - Interest $5,001 - $15,000
06/01/22 JD LTD OBLIG REF BDS 2014 B $250,000
BEO

3.40 OCEAN CITY MD GO 5% 11/01/27 MN GO N/A $250,001 - Interest $5,001 - $15,000

REF BDS 2020 UT BEO $500,000

3.41 PERRYSBURG OHIO EXMP VLG SCH GO N/A $100,001 - Interest $5,001 - $15,000
5% 12/01/22 JD DIST GO ULTD TAX REF $250,000
BDS 2016 UT BEO

3.42 SAN ANTONIO TEX GO 5% 08/01/29 FA N/A $100,001 - Interest $5,001 - $15,000
GEN IMPT REF BDS 2019 LT BEO $250,000

3.43 ST MARYS CNTY MD GO 4% 07/15/28 JJ N/A $50,001 - Interest $2,501 - $5,000

PUB IMPT REF BDS 2017 UT BEO $100,000

3.44 TEMPE ARIZ EXCISE TAX REV REV 5% N/A $50,001 - Interest $5,001 - $15,000
07/01/23 JJ EXCISE TAX AND REV REF $100,000
OBLIG BDS 2012 PRERE 07/01/22 BEO

3.45 TRAVIS CNTY TEX WTR CTL & IMPT REV N/A $100,001 - Interest $5,001 - $15,000
4% 11/01/23 MN DIST NO 017 WTR &SWR $250,000
SYS REV REV REF BDS 2016 BEO

3.46 WASHINGTON CNTY MD GO 5% 07/01/29 N/A $250,001 - Interest $15,001 -

JJ GO REF BDS 2020 UT BEO $500,000 $50,000

3.47 WASHINGTON SUBN SAN DIST MD DB 5% N/A $250,001 - Interest $5,001 - $15,000
12/01/30 JD CONS PUB IMPT BDS 2020 UT $500,000
BEO

3.48 WEST JEFFERSON HILLS PA SCH GO 4% N/A $50,001 - Interest $2,501 - $5,000
08/01/23 FA DIST GO BDS B UT BEO SR $100,000
LIEN

3.49 CONN ST GO 5.0000% 07/15/21 JJ SER C N/A None (or less Interest $5,001 - $15,000
UT BEO than $1,001)

Dunn, Anita B - Page 23

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

3.50 INDIANAPOLIS IND LOC PUB IMPT REV 5% N/A None (or less Interest $1,001 - $2,500
02/01/21 FA BD BK BOND BANK BDS 2011C than $1,001)
INS BEO SR LIEN

3.51 MEMPHIS TENN SAN SEW SYS REV REV N/A None (or less Interest $1,001 - $2,500
5% 10/01/21 AO REV BDS 2011 BEO than $1,001)

3.52 MIAMI-DADE CNTY FLA SPL OBLIG REV 3% N/A None (or less Interest $2,501 - $5,000
04/01/21 AO CAP ASSET ACQUISITION BDS than $1,001)
2016 A BEO

3.53 MONTGOMERY CNTY MD REV REV 5% N/A None (or less Interest $5,001 - $15,000
04/01/31 AO REF BDS 2021 A BEO than $1,001)

3.54 NORTH CAROLINA HSG FIN AGY REV N/A None (or less Capital Gains $1,001 - $2,500
2.0000% 01/01/22-CA JJ HOMEOWNERSHIP than $1,001) Interest
REV REV REF BDS 37-A AMT S-T SPL RDM
S-T X-ORD

3.55 WILL CNTY ILL CMNTY UNIT SCH GO N/A None (or less Interest $1,001 - $2,500
5.6250% 11/01/30 MN DIST NO 365-U VY than $1,001)
VIEW GO REF SCH BDS 2011A PRERE
11/01/21

4 Brokerage Acct #3 No

4.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $1,001 - $15,000 None (or less
(BDA) (cash) than $201)

4.2 ALAMO GROUP INC. CMN (ALG) N/A $1,001 - $15,000 None (or less
than $201)

4.3 AMN HEALTHCARE SERVICES, INC. CMN N/A $1,001 - $15,000 Capital Gains $1,001 - $2,500
(AMN)

4.4 ARTISAN PARTNERS ASSET MGMT IN N/A $1,001 - $15,000 Dividends $201 - $1,000
CMN (APAM)

4.5 ANTERO RESOURCES CORPORATION N/A $1,001 - $15,000 None (or less
CMN (AR) than $201)

4.6 ASGN INCORPORATED CMN (ASGN) N/A $1,001 - $15,000 Capital Gains $201 - $1,000

Dunn, Anita B - Page 24

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

4.7 BALCHEM CORPORATION CMN (BCPC) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

4.8 BJ'S WHOLESALE CLUB HOLDINGS, CMN N/A $1,001 - $15,000 None (or less
(BJ) than $201)

4.9 AVIS BUDGET GROUP, INC. CMN (CAR) N/A $1,001 - $15,000 None (or less
than $201)

4.10 CAVCO INDUSTRIES INC CMN (CVCO) N/A $1,001 - $15,000 None (or less
than $201)

4.11 ENERSYS CMN (ENS) N/A $1,001 - $15,000 None (or less
than $201)

4.12 ENVESTNET, INC. CMN (ENV) N/A $1,001 - $15,000 None (or less
than $201)

4.13 EXPONENT, INC. CMN (EXPO) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

4.14 FOX FACTORY HOLDING CORP. CMN N/A $1,001 - $15,000 Capital Gains $1,001 - $2,500
(FOXF)

4.15 HELEN OF TROY LTD (NEW) CMN (HELE) N/A $1,001 - $15,000 None (or less
than $201)

4.16 INSTALLED BLDG PRODS INC CMN (IBP) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

4.17 JOHN BEAN TECHNOLOGIES CMN (JBT) N/A $1,001 - $15,000 None (or less
than $201)

4.18 LCI INDUSTRIES CMN (LCII) N/A $1,001 - $15,000 None (or less
than $201)

4.19 MEDPACE HOLDINGS, INC. CMN (MEDP) N/A $1,001 - $15,000 Capital Gains $1,001 - $2,500

4.20 MATADOR RES CO CMN (MTDR) N/A $1,001 - $15,000 None (or less
than $201)

4.21 MURPHY USA INC. CMN (MUSA) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 25

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

4.22 NEOGEN CORP CMN (NEOG) N/A $1,001 - $15,000 None (or less
than $201)

4.23 INSPERITY INC CMN (NSP) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

4.24 OMNICELL, INC. CMN (OMCL) N/A $1,001 - $15,000 None (or less
than $201)

4.25 OVINTIV INC. CMN (OVV) N/A $1,001 - $15,000 None (or less
than $201)

4.26 PATRICK INDUSTRIES, INC. CMN (PATK) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

4.27 RLI CORP CMN (RLI) N/A $1,001 - $15,000 None (or less
than $201)

4.28 SM ENERGY COMPANY CMN (SM) N/A $1,001 - $15,000 None (or less
than $201)

4.29 TENET HEALTHCARE CORP CMN (THC) N/A $1,001 - $15,000 None (or less
than $201)

4.30 UFP INDUSTRIES, INC. CMN (UFPI) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

4.31 WESCO INTERNATIONAL INC. CMN (WCC) N/A $1,001 - $15,000 None (or less
than $201)

4.32 ACACIA COMMUNICATIONS, INC. CMN N/A None (or less Capital Gains $201 - $1,000
(ACIA) than $1,001)

4.33 AZENTA INC CMN (AZTA) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.34 CAESARS ENTERTAINMENT INC CMN N/A None (or less Capital Gains $201 - $1,000
(CZR) than $1,001)

4.35 CITIZENS FINANCIAL GROUP, INC. CMN N/A None (or less Capital Gains $201 - $1,000
(CFG) than $1,001)

Dunn, Anita B - Page 26

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

4.36 CLEVELAND-CLIFFS INC. CMN (CLF) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.37 DECKERS OUTDOORS CORP CMN (DECK) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.38 ENVESTNET, INC. CMN (ENV) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.39 EPLUS INC. CMN (PLUS) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.40 GAMESTOP CORP. CMN CLASS A DTC N/A None (or less Capital Gains $1,001 - $2,500
ELIGIBLE (GME) than $1,001)

4.41 HOUGHTON MIFFLIN HARCOURT COMP N/A None (or less Capital Gains $201 - $1,000
CMN (HMHC) than $1,001)

4.42 KADMON HOLDINGS INC CMN (KDMN) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.43 LITHIA MOTORS INC CL-A CMN CLASS A N/A None (or less Capital Gains $2,501 - $5,000
(LAD) than $1,001) Dividends

4.44 LOUISIANA PACIFIC CORP CMN (LPX) N/A None (or less Capital Gains $201 - $1,000
than $1,001) Dividends

4.45 MEREDITH HOLDINGS CORP CMN (MDP) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.46 NATIONAL GENERAL HOLDINGS CORP N/A None (or less Capital Gains $1,001 - $2,500
CMN (NGHC) than $1,001) Dividends

4.47 NOVAVAX, INC. CMN (NVAX) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.48 RESTORATION HARDWARE CMN (RH) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.49 TRANSLATE BIO, INC. CMN (TBIO) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

Dunn, Anita B - Page 27

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

4.50 TRANSOCEAN LTD. CMN (RIG) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

4.51 UNITED STATES STEEL CORP CMN (X) N/A None (or less Capital Gains $201 - $1,000
than $1,001) Dividends

4.52 VERSO CORPORATION CMN CLASS A N/A None (or less Capital Gains $201 - $1,000
(VRS) than $1,001) Dividends

4.53 YETI HOLDINGS INC CMN (YETI) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

5 Brokerage Acct #4 No

5.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $1,001 - $15,000 None (or less
(BDA) (cash) than $201)

5.2 AGILENT TECHNOLOGIES, INC. CMN (A) N/A $1,001 - $15,000 None (or less
than $201)

5.3 APPLE INC. CMN (AAPL) N/A $15,001 - None (or less
$50,000 than $201)

5.4 ABBVIE INC CMN (ABBV) N/A $1,001 - $15,000 Dividends $201 - $1,000

5.5 ACCENTURE PLC CMN CLASS A (ACN) N/A $1,001 - $15,000 None (or less
than $201)

5.6 AUTOMATIC DATA PROCESSING INC CMN N/A $1,001 - $15,000 None (or less
(ADP) than $201)

5.7 AMERICAN INTL GROUP, INC. CMN (AIG) N/A $1,001 - $15,000 None (or less
than $201)

5.8 ALBEMARLE CORP CMN (ALB) N/A $1,001 - $15,000 None (or less
than $201)

5.9 APPLIED MATERIALS INC CMN (AMAT) N/A $1,001 - $15,000 None (or less
than $201)

5.10 ADVANCED MICRO DEVICES, INC. CMN N/A $1,001 - $15,000 None (or less
(AMD) than $201)

Dunn, Anita B - Page 28

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.11 AMETEK INC (NEW) CMN (AME) N/A $1,001 - $15,000 None (or less
than $201)

5.12 AMGEN INC. CMN (AMGN) N/A $1,001 - $15,000 None (or less
than $201)

5.13 AMERIPRISE FINANCIAL, INC. CMN (AMP) N/A $1,001 - $15,000 None (or less
than $201)

5.14 AMERICAN TOWER CORPORATION CMN N/A $1,001 - $15,000 None (or less
(AMT) than $201)

5.15 AMAZON.COM INC CMN (AMZN) N/A $1,001 - $15,000 None (or less
than $201)

5.16 ANSYS, INC. CMN (ANSS) N/A $1,001 - $15,000 None (or less
than $201)

5.17 ANTHEM, INC. CMN (ANTM) N/A $1,001 - $15,000 None (or less
than $201)

5.18 AON PUBLIC LIMITED COMPANY CMN N/A $1,001 - $15,000 None (or less
(AON) than $201)

5.19 AMPHENOL CORP CL-A (NEW) CMN N/A $1,001 - $15,000 None (or less
CLASS A (APH) than $201)

5.20 ACTIVISION BLIZZARD, INC CMN (ATVI) N/A $1,001 - $15,000 None (or less
than $201)

5.21 BROADCOM INC. CMN (AVGO) N/A $1,001 - $15,000 None (or less
than $201)

5.22 AMERICAN EXPRESS CO. CMN (AXP) N/A $1,001 - $15,000 None (or less
than $201)

5.23 BOEING COMPANY CMN (BA) N/A $1,001 - $15,000 None (or less
than $201)

5.24 BANK OF AMERICA CORP CMN (BAC) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 29

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.25 BECTON, DICKINSON AND COMPANY CMN N/A $1,001 - $15,000 None (or less
(BDX) than $201)

5.26 BRISTOL-MYERS SQUIBB COMPANY CMN N/A $1,001 - $15,000 None (or less
(BMY) than $201)

5.27 BERKSHIRE HATHAWAY INC. CLASS B N/A $1,001 - $15,000 None (or less
(BRKB) than $201)

5.28 BOSTON SCIENTIFIC CORP. COMMON N/A $1,001 - $15,000 None (or less
STOCK (BSX) than $201)

5.29 CITIGROUP INC. CMN (C) N/A $1,001 - $15,000 None (or less
than $201)

5.30 CATERPILLAR INC (DELAWARE) CMN N/A $1,001 - $15,000 None (or less
(CAT) than $201)

5.31 CHUBB LIMITED CMN (CB) N/A $1,001 - $15,000 None (or less
than $201)

5.32 CROWN CASTLE INTL CORP CMN (CCI) N/A $1,001 - $15,000 None (or less
than $201)

5.33 CADENCE DESIGN SYSTEMS INC CMN N/A $1,001 - $15,000 None (or less
(CDNS) than $201)

5.34 CIGNA CORP CMN (CI) N/A $1,001 - $15,000 None (or less
than $201)

5.35 COMCAST CORPORATION CMN CLASS A N/A $1,001 - $15,000 None (or less
VOTING (CMCSA) than $201)

5.36 CME GROUP INC. CMN CLASS A (CME) N/A $1,001 - $15,000 None (or less
than $201)

5.37 CHIPOTLE MEXICAN GRILL, INC. CMN N/A $1,001 - $15,000 None (or less
(CMG) than $201)

5.38 CENTENE CORPORATION CMN (CNC) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 30

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.39 CAPITAL ONE FINANCIAL CORP CMN N/A $1,001 - $15,000 None (or less
(COF) than $201)

5.40 CONOCOPHILLIPS CMN (COP) N/A $1,001 - $15,000 None (or less
than $201)

5.41 COSTCO WHOLESALE CORPORATION N/A $1,001 - $15,000 None (or less
CMN (COST) than $201)

5.42 CISCO SYSTEMS, INC. CMN (CSCO) N/A $1,001 - $15,000 None (or less
than $201)

5.43 CSX CORPORATION CMN (CSX) N/A $1,001 - $15,000 None (or less
than $201)

5.44 COGNIZANT TECHNOLOGY SOLUTIONS N/A $1,001 - $15,000 None (or less
CORP CLASS A (CTSH) than $201)

5.45 CVS HEALTH CORP CMN (CVS) N/A $1,001 - $15,000 None (or less
than $201)

5.46 CHEVRON CORPORATION CMN (CVX) N/A $1,001 - $15,000 None (or less
than $201)

5.47 DOMINION ENERGY INC CMN (D) N/A $1,001 - $15,000 None (or less
than $201)

5.48 DEERE & COMPANY CMN (DE) N/A $1,001 - $15,000 None (or less
than $201)

5.49 DOLLAR GENERAL CORPORATION CMN N/A $1,001 - $15,000 None (or less
(DG) than $201)

5.50 DANAHER CORPORATION CMN (DHR) N/A $1,001 - $15,000 None (or less
than $201)

5.51 DOW INC. CMN (DOW) N/A $1,001 - $15,000 None (or less
than $201)

5.52 DUKE ENERGY CORPORATION CMN (DUK) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 31

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.53 ECOLAB INC. CMN (ECL) N/A $1,001 - $15,000 None (or less
than $201)

5.54 ESTEE LAUDER COS INC CL-A CMN N/A $1,001 - $15,000 None (or less
CLASS A (EL) than $201)

5.55 EOG RESOURCES INC CMN (EOG) N/A $1,001 - $15,000 None (or less
than $201)

5.56 EQUINIX, INC. REIT (EQIX) N/A $1,001 - $15,000 None (or less
than $201)

5.57 EATON CORP PLC CMN (ETN) N/A $1,001 - $15,000 None (or less
than $201)

5.58 EDWARDS LIFESCIENCES CORPORATI N/A $1,001 - $15,000 None (or less
CMN (EW) than $201)

5.59 FORD MOTOR COMPANY CMN (F) N/A $1,001 - $15,000 None (or less
than $201)

5.60 META PLATFORMS INC CMN CLASS A (FB) N/A $1,001 - $15,000 None (or less
than $201)

5.61 FREEPORT-MCMORAN INC CMN (FCX) N/A $1,001 - $15,000 None (or less
than $201)

5.62 FIDELITY NATL INFO SVCS INC CMN (FIS) N/A $1,001 - $15,000 None (or less
than $201)

5.63 FISERV, INC. CMN (FISV) N/A $1,001 - $15,000 None (or less
than $201)

5.64 FLEETCOR TECHNOLOGIES, INC. CMN N/A $1,001 - $15,000 None (or less
(FLT) than $201)

5.65 FORTINET, INC. CMN (FTNT) N/A $1,001 - $15,000 None (or less
than $201)

5.66 GENERAL DYNAMICS CORP. CMN (GD) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 32

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.67 GILEAD SCIENCES CMN (GILD) N/A $1,001 - $15,000 None (or less
than $201)

5.68 GENERAL MILLS INC CMN (GIS) N/A $1,001 - $15,000 None (or less
than $201)

5.69 GENERAL MOTORS COMPANY CMN (GM) N/A $1,001 - $15,000 None (or less
than $201)

5.70 ALPHABET INC. CMN CLASS A (GOOGL) N/A $15,001 - None (or less
$50,000 than $201)

5.71 GLOBAL PAYMENTS INC. CMN (GPN) N/A $1,001 - $15,000 None (or less
than $201)

5.72 HALLIBURTON COMPANY CMN (HAL) N/A $1,001 - $15,000 None (or less
than $201)

5.73 HCA HEALTHCARE, INC CMN (HCA) N/A $1,001 - $15,000 None (or less
than $201)

5.74 THE HOME DEPOT, INC. CMN (HD) N/A $1,001 - $15,000 None (or less
than $201)

5.75 HESS CORPORATION CMN (HES) N/A $1,001 - $15,000 None (or less
than $201)

5.76 HONEYWELL INTL INC CMN (HON) N/A $1,001 - $15,000 None (or less
than $201)

5.77 HUMANA INC. CMN (HUM) N/A $1,001 - $15,000 None (or less
than $201)

5.78 INTL BUSINESS MACHINES CORP CMN N/A $1,001 - $15,000 None (or less
(IBM) than $201)

5.79 INTEL CORPORATION CMN (INTC) N/A $1,001 - $15,000 None (or less
than $201)

5.80 INTUIT INC CMN (INTU) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 33

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.81 ILLINOIS TOOL WORKS CMN (ITW) N/A $1,001 - $15,000 None (or less
than $201)

5.82 JACOBS ENGINEERING GRP CMN (J) N/A $1,001 - $15,000 None (or less
than $201)

5.83 JOHNSON CONTROLS INTERNATIONAL N/A $1,001 - $15,000 None (or less
CMN (JCI) than $201)

5.84 JOHNSON & JOHNSON CMN (JNJ) N/A $1,001 - $15,000 Dividends $201 - $1,000

5.85 JPMORGAN CHASE & CO CMN (JPM) N/A $1,001 - $15,000 None (or less
than $201)

5.86 KKR & CO. INC. CMN (KKR) N/A $1,001 - $15,000 None (or less
than $201)

5.87 COCA-COLA COMPANY (THE) CMN (KO) N/A $1,001 - $15,000 None (or less
than $201)

5.88 LIBERTY BROADBAND CORPORATION N/A $1,001 - $15,000 None (or less
CMN CLASS A (LBRDA) than $201)

5.89 L3HARRIS TECHNOLOGIES INC CMN (LHX) N/A $1,001 - $15,000 None (or less
than $201)

5.90 LINDE PLC CMN (LIN) N/A $1,001 - $15,000 None (or less
than $201)

5.91 ELI LILLY & CO CMN (LLY) N/A $1,001 - $15,000 None (or less
than $201)

5.92 LOCKHEED MARTIN CORPORATION CMN N/A $1,001 - $15,000 None (or less
(LMT) than $201)

5.93 LOWES COMPANIES INC CMN (LOW) N/A $1,001 - $15,000 None (or less
than $201)

5.94 LYONDELLBASELL INDUSTRIES N.V. CMN N/A $1,001 - $15,000 None (or less
CLASS A (LYB) than $201)

5.95 MASTERCARD INCORPORATED CMN N/A $1,001 - $15,000 None (or less
CLASS A (MA) than $201)

Dunn, Anita B - Page 34

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.96 MC DONALDS CORP CMN (MCD) N/A $1,001 - $15,000 None (or less
than $201)

5.97 MOODY'S CORPORATION CMN (MCO) N/A $1,001 - $15,000 None (or less
than $201)

5.98 MONDELEZ INTERNATIONAL, INC. CMN N/A $1,001 - $15,000 None (or less
(MDLZ) than $201)

5.99 MEDTRONIC PUBLIC LIMITED COMPA CMN N/A $1,001 - $15,000 None (or less
(MDT) than $201)

5.100 MARSH & MCLENNAN CO INC CMN (MMC) N/A $1,001 - $15,000 None (or less
than $201)

5.101 ALTRIA GROUP, INC. CMN (MO) N/A $1,001 - $15,000 None (or less
than $201)

5.102 MARATHON PETROLEUM CORPORATION N/A $1,001 - $15,000 None (or less
CMN (MPC) than $201)

5.103 MERCK & CO., INC. CMN (MRK) N/A $1,001 - $15,000 None (or less
than $201)

5.104 MORGAN STANLEY CMN (MS) N/A $1,001 - $15,000 None (or less
than $201)

5.105 MICROSOFT CORPORATION CMN (MSFT) N/A $15,001 - None (or less
$50,000 than $201)

5.106 METTLER-TOLEDO INTL CMN (MTD) N/A $1,001 - $15,000 None (or less
than $201)

5.107 NEXTERA ENERGY, INC. CMN (NEE) N/A $1,001 - $15,000 None (or less
than $201)

5.108 NEWMONT CORP CMN (NEM) N/A $1,001 - $15,000 None (or less
than $201)

5.109 NORTHROP GRUMMAN CORP CMN (NOC) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 35

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.110 SERVICENOW INC CMN (NOW) N/A $1,001 - $15,000 None (or less
than $201)

5.111 NVIDIA CORPORATION CMN (NVDA) N/A $1,001 - $15,000 None (or less
than $201)

5.112 NEWS CORPORATION CMN CLASS B N/A $1,001 - $15,000 None (or less
(NWS) than $201)

5.113 OMNICOM GROUP CMN (OMC) N/A $1,001 - $15,000 None (or less
than $201)

5.114 ORACLE CORPORATION CMN (ORCL) N/A $1,001 - $15,000 None (or less
than $201)

5.115 O'REILLY AUTOMOTIVE, INC. CMN (ORLY) N/A $1,001 - $15,000 None (or less
than $201)

5.116 OCCIDENTAL PETROLEUM CORP CMN N/A $1,001 - $15,000 None (or less
(OXY) than $201)

5.117 PACCAR INC CMN (PCAR) N/A $1,001 - $15,000 None (or less
than $201)

5.118 PEPSICO, INC. CMN (PEP) N/A $1,001 - $15,000 None (or less
than $201)

5.119 PFIZER INC. CMN (PFE) N/A $1,001 - $15,000 None (or less
than $201)

5.120 PRINCIPAL FINANCIAL GROUP, INC CMN N/A $1,001 - $15,000 None (or less
(PFG) than $201)

5.121 PROCTER & GAMBLE COMPANY (THE) N/A $1,001 - $15,000 None (or less
CMN (PG) than $201)

5.122 THE PROGRESSIVE CORPORATION CMN N/A $1,001 - $15,000 None (or less
(PGR) than $201)

5.123 PROLOGIS INC CMN (PLD) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 36

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.124 PHILIP MORRIS INTL INC CMN (PM) N/A $1,001 - $15,000 None (or less
than $201)

5.125 PNC FINANCIAL SERVICES GROUP, CMN N/A $1,001 - $15,000 None (or less
(PNC) than $201)

5.126 PRUDENTIAL FINANCIAL INC CMN (PRU) N/A $1,001 - $15,000 None (or less
than $201)

5.127 PUBLIC STORAGE CMN (PSA) N/A $1,001 - $15,000 None (or less
than $201)

5.128 PHILLIPS 66 CMN (PSX) N/A $1,001 - $15,000 None (or less
than $201)

5.129 PIONEER NATURAL RESOURCES CO CMN N/A $1,001 - $15,000 None (or less
(PXD) than $201)

5.130 QUALCOMM INC CMN (QCOM) N/A $1,001 - $15,000 None (or less
than $201)

5.131 QORVO, INC. CMN (QRVO) N/A $1,001 - $15,000 None (or less
than $201)

5.132 REGENERON PHARMACEUTICAL INC CMN N/A $1,001 - $15,000 None (or less
(REGN) than $201)

5.133 ROSS STORES,INC CMN (ROST) N/A $1,001 - $15,000 None (or less
than $201)

5.134 RAYTHEON TECHNOLOGIES CORPORAT N/A $1,001 - $15,000 None (or less
CMN (RTX) than $201)

5.135 STARBUCKS CORP. CMN (SBUX) N/A $1,001 - $15,000 None (or less
than $201)

5.136 CHARLES SCHWAB CORPORATION CMN N/A $1,001 - $15,000 None (or less
(SCHW) than $201)

5.137 SHERWIN-WILLIAMS CO CMN (SHW) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 37

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.138 SCHLUMBERGER LTD CMN (SLB) N/A $1,001 - $15,000 None (or less
than $201)

5.139 THE SOUTHERN CO. CMN (SO) N/A $1,001 - $15,000 None (or less
than $201)

5.140 S&P GLOBAL INC. CMN (SPGI) N/A $1,001 - $15,000 None (or less
than $201)

5.141 SEMPRA ENERGY CMN (SRE) N/A $1,001 - $15,000 None (or less
than $201)

5.142 STATE STREET CORPORATION (NEW) N/A $1,001 - $15,000 None (or less
CMN (STT) than $201)

5.143 CONSTELLATION BRANDS INC CMN N/A $1,001 - $15,000 None (or less
CLASS A (STZ) than $201)

5.144 STANLEY BLACK & DECKER, INC. CMN N/A $1,001 - $15,000 None (or less
(SWK) than $201)

5.145 STRYKER CORPORATION CMN (SYK) N/A $1,001 - $15,000 None (or less
than $201)

5.146 AT&T INC. CMN (T) N/A $1,001 - $15,000 None (or less
than $201)

5.147 TERADYNE INC CMN (TER) N/A $1,001 - $15,000 None (or less
than $201)

5.148 TARGET CORPORATION CMN (TGT) N/A $1,001 - $15,000 None (or less
than $201)

5.149 THERMO FISHER SCIENTIFIC INC CMN N/A $1,001 - $15,000 None (or less
(TMO) than $201)

5.150 T-MOBILE US, INC. CMN (TMUS) N/A $1,001 - $15,000 None (or less
than $201)

5.151 T. ROWE PRICE GROUP, INC. CMN (TROW) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 38

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.152 TESLA, INC. CMN (TSLA) N/A $1,001 - $15,000 None (or less
than $201)

5.153 TRANE TECHNOLOGIES PUBLIC LIMI CMN N/A $1,001 - $15,000 None (or less
(TT) than $201)

5.154 UNITEDHEALTH GROUP INCORPORATE N/A $1,001 - $15,000 None (or less
CMN (UNH) than $201)

5.155 UNION PACIFIC CORP. CMN (UNP) N/A $1,001 - $15,000 None (or less
than $201)

5.156 UNITED PARCEL SERVICE, INC. CLASS B N/A $1,001 - $15,000 None (or less
COMMON STOCK (UPS) than $201)

5.157 VISA INC. CMN CLASS A (V) N/A $1,001 - $15,000 None (or less
than $201)

5.158 VALERO ENERGY CORPORATION CMN N/A $1,001 - $15,000 None (or less
(VLO) than $201)

5.159 VERTEX PHARMACEUTICALS INCORPO N/A $1,001 - $15,000 None (or less
CMN (VRTX) than $201)

5.160 WEC ENERGY GROUP, INC. CMN (WEC) N/A $1,001 - $15,000 None (or less
than $201)

5.161 WELLTOWER INC. CMN (WELL) N/A $1,001 - $15,000 None (or less
than $201)

5.162 WELLS FARGO & CO (NEW) CMN (WFC) N/A $1,001 - $15,000 None (or less
than $201)

5.163 WASTE MANAGEMENT INC CMN (WM) N/A $1,001 - $15,000 None (or less
than $201)

5.164 THE WILLIAMS COMPANIES, INC. CMN N/A $1,001 - $15,000 None (or less
(WMB) than $201)

5.165 WALMART INC CMN (WMT) N/A $1,001 - $15,000 None (or less
than $201)

5.166 EXXON MOBIL CORPORATION CMN (XOM) N/A $1,001 - $15,000 Dividends $201 - $1,000

Dunn, Anita B - Page 39

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

5.167 ZOETIS INC. CMN CLASS A (ZTS) N/A $1,001 - $15,000 None (or less
than $201)

6 Brokerage Acct #5 No

6.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $1,001 - $15,000 None (or less
(BDA) (cash) than $201)

6.2 AMERICAN TOWER CORPORATION CMN N/A $1,001 - $15,000 Dividends $1,001 - $2,500
(AMT) Capital Gains

6.3 ALEXANDRIA REAL ESTATE EQUITIES, N/A $15,001 - Dividends $201 - $1,000
INC. (ARE) $50,000

6.4 AVALONBAY COMMUNITIES INC CMN N/A $15,001 - Dividends $1,001 - $2,500
(AVB) $50,000 Capital Gains

6.5 BOSTON PROPERTIES, INC. COMMON N/A $1,001 - $15,000 Dividends $1,001 - $2,500
STOCK (BXP) Capital Gains

6.6 AMERICOLD REALTY TRUST CMN (COLD) N/A $1,001 - $15,000 None (or less
than $201)

6.7 CAMDEN PROPERTY TRUST CMN (CPT) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

6.8 CUBESMART CMN (CUBE) N/A $15,001 - Dividends $201 - $1,000

$50,000 Capital Gains

6.9 COUSINS PROPERTIES INCORPORATE N/A $1,001 - $15,000 Dividends $1,001 - $2,500
CMN (CUZ) Capital Gains

6.10 DIGITALBRIDGE GROUP, INC. CMN (DBRG) N/A $1,001 - $15,000 None (or less
than $201)

6.11 DIGITAL REALTY TRUST, INC. CMN (DLR) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

6.12 DUKE REALTY CORPORATION CMN (DRE) N/A $15,001 - Dividends $201 - $1,000
$50,000

6.13 EASTGROUP PROPERTIES INC CMN (EGP) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

Dunn, Anita B - Page 40

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

6.14 EQUITY LIFESTYLE PROPERTIES, I CMN N/A $15,001 - Dividends $201 - $1,000
(ELS) $50,000 Capital Gains

6.15 EQUINIX, INC. REIT (EQIX) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

6.16 EQUITY RESIDENTIAL CMN (EQR) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

6.17 ESSEX PROPERTY TRUST INC CMN (ESS) N/A $15,001 - Dividends $201 - $1,000
$50,000

6.18 HEALTHCARE REALTY TRUST INC CMN N/A $1,001 - $15,000 None (or less
(HR) than $201)

6.19 HOST HOTELS & RESORTS INC CMN (HST) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

6.20 INVITATION HOMES INC. CMN (INVH) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

6.21 KILROY REALTY CORPORATION COMMON N/A $1,001 - $15,000 Dividends $201 - $1,000
STOCK (KRC) Capital Gains

6.22 HEALTHPEAK PROPERTIES INC CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(PEAK)

6.23 PROLOGIS INC CMN (PLD) N/A $15,001 - Dividends $2,501 - $5,000
$50,000 Capital Gains

6.24 PUBLIC STORAGE CMN (PSA) N/A $15,001 - Dividends $2,501 - $5,000
$50,000 Capital Gains

6.25 RYMAN HOSPITALITY PPTYS INC CMN N/A $15,001 - Capital Gains $1,001 - $2,500
(RHP) $50,000

6.26 RLJ LODGING TRUST CMN (RLJ) N/A $1,001 - $15,000 None (or less
than $201)

6.27 SBA COMMUNICATIONS CORPORATION N/A $1,001 - $15,000 Dividends $1,001 - $2,500
CMN (SBAC) Capital Gains

Dunn, Anita B - Page 41

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

6.28 SUN COMMUNITIES, INC CMN (SUI) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

6.29 TERRENO REALTY CORPORATION CMN N/A $15,001 - Dividends $201 - $1,000
(TRNO) $50,000

6.30 VICI PROPERTIES INC. CMN (VICI) N/A $1,001 - $15,000 None (or less
than $201)

6.31 VENTAS, INC. CMN (VTR) N/A $1,001 - $15,000 Dividends $201 - $1,000

6.32 WEWORK INC CMN (WE) N/A $1,001 - $15,000 None (or less
than $201)

6.33 WELLTOWER INC. CMN (WELL) N/A $15,001 - Dividends $201 - $1,000
$50,000

6.34 CORESITE REALTY CORPORATION CMN N/A None (or less Dividends $2,501 - $5,000
than $1,001) Capital Gains

6.35 CROWN CASTLE INTL CORP CMN N/A None (or less Capital Gains $201 - $1,000
than $1,001)

6.36 DOUGLAS EMMETT, INC. CMN N/A None (or less Dividends $201 - $1,000
than $1,001) Capital Gains

6.37 HIGHWOODS PROPERTIES INC CMN N/A None (or less Dividends $201 - $1,000
than $1,001) Capital Gains

7 Brokerage Acct #6 No

7.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $15,001 - None (or less
(BDA) (cash) $50,000 than $201)

7.2 CENTURY TELEPHONE ENTERPRISES N/A $1,001 - $15,000 Interest $201 - $1,000
6.875000 01/15/2028 SER G SR LIEN

7.3 NEWELL RUBBERMAID INC. STEP N/A $1,001 - $15,000 Interest $201 - $1,000
04/01/2026 USD SR LIEN 4.45% 04/01/22-
04/01/26

7.4 JEFFERIES GROUP LLC 6.45% 06/08/2027 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

Dunn, Anita B - Page 42

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.5 THE BOEING COMPANY 2.25% 06/15/2026 N/A $1,001 - $15,000 None (or less
USD SR LIEN than $201)

7.6 MARRIOTT INTERNATIONAL 3.125% N/A $1,001 - $15,000 Interest $201 - $1,000
06/15/2026 USD SER R SR LIEN

7.7 GMAC INC. 8.0% 11/01/2031 USD SER B SR N/A $1,001 - $15,000 Interest $201 - $1,000
LIEN

7.8 PRUDENTIAL FINANCIAL, INC. HYBRID N/A $15,001 - Interest $1,001 - $2,500
06/15/2043 USD JRSUB LIEN CPN 11/19/12 $50,000
5.625%

7.9 EXPEDIA GROUP INC 5.0% 02/15/2026 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SER WI SR LIEN

7.10 MPLX LP 4.875% 06/01/2025 USD SER WI N/A $1,001 - $15,000 Interest $201 - $1,000
SR LIEN

7.11 PLAINS ALL AMER PIPELINE 4.5% N/A $1,001 - $15,000 Interest $201 - $1,000
12/15/2026 USD SR LIEN

7.12 MARRIOTT INTERNATIONAL, INC 3.75% N/A $1,001 - $15,000 Interest $201 - $1,000
03/15/2025 USD SER WI SR LIEN

7.13 ENERGY TRANSFER PARTNERS 4.2% N/A $1,001 - $15,000 Interest $201 - $1,000
04/15/2027 USD SR LIEN

7.14 GENERAL ELEC CAP CORP MTN 6.75% N/A $1,001 - $15,000 Interest $201 - $1,000
03/15/2032 USD SER A SR LIEN

7.15 PLAINS ALL AMERICAN PIPELINE, 3.6% N/A $1,001 - $15,000 Interest $201 - $1,000
11/01/2024 USD SR LIEN

7.16 TEXTRON INC 3.875% 03/01/2025 USD SR N/A $1,001 - $15,000 Interest $201 - $1,000
LIEN

7.17 SPRINT CORP 7.625% 02/15/2025 USD SR N/A $1,001 - $15,000 Interest $201 - $1,000
LIEN

7.18 SENSATA TECHNOLOGIES B.V. 5.0% N/A $1,001 - $15,000 Interest $201 - $1,000
10/01/2025 USD PVT REGS SR LIEN

Dunn, Anita B - Page 43

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.19 ALLY FINANCIAL INC. 4.625% 03/30/2025 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.20 ENERGY TRANSFER PARTNERS 4.75% N/A $1,001 - $15,000 Interest $201 - $1,000
01/15/2026 USD SR LIEN

7.21 SYNCHRONY FINANCIAL 4.5% 07/23/2025 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.22 SYNCHRONY FINANCIAL 3.7% 08/04/2026 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.23 TRANSCANADA TRUST HYBRID 08/15/2076 N/A $15,001 - Interest $1,001 - $2,500
USD SER 16-A SUB LIEN CPN 08/11/16 $50,000
5.875%

7.24 AECOM 5.125% 03/15/2027 USD SER WI SR N/A $1,001 - $15,000 Interest $201 - $1,000
LIEN

7.25 CROWN AMERICAS LLC 4.25% 09/30/2026 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SER WI SR LIEN

7.26 MPT OPERATING PARTNERSHIP, L.P 5.0% N/A $1,001 - $15,000 Interest $1,001 - $2,500
10/15/2027 USD SR LIEN

7.27 ALLISON TRANSMISSION INC 4.75% N/A $1,001 - $15,000 Interest $201 - $1,000
10/01/2027 USD PVT REGS SR LIEN

7.28 EXPEDIA GROUP, INC. 3.8% 02/15/2028 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SER WI SR LIEN

7.29 JEFFERIES GRP LLC / CAP 4.15% N/A $1,001 - $15,000 Interest $201 - $1,000
01/23/2030 USD SR LIEN

7.30 WESTERN DIGITAL CORP 4.75% N/A $1,001 - $15,000 Interest $201 - $1,000
02/15/2026 USD SR LIEN

7.31 E*TRADE FINANCIAL CORP 4.5% N/A $1,001 - $15,000 None (or less
06/20/2028 USD SR LIEN than $201)

7.32 NRG ENERGY, INC. 5.75% 01/15/2028 USD N/A $15,001 - Interest $1,001 - $2,500
SER WI SR LIEN $50,000

Dunn, Anita B - Page 44

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.33 GENERAL MOTORS FINL CO 5.65% N/A $1,001 - $15,000 Interest $201 - $1,000
01/17/2029 USD SR LIEN

7.34 HUNTSMAN INTERNATIONAL L 4.5% N/A $15,001 - Interest $201 - $1,000

05/01/2029 USD SR LIEN $50,000

7.35 AMKOR TECHNOLOGY INC 6.625% N/A $1,001 - $15,000 Interest $201 - $1,000
09/15/2027 USD PVT REGS SR LIEN

7.36 PRIME SECSRVC BRW/FINANC 5.25% N/A $1,001 - $15,000 Interest $201 - $1,000
04/15/2024 USD PVT REGS SR LIEN

7.37 ENPRO INDUSTRIES, INC. 5.75% N/A $1,001 - $15,000 Interest $1,001 - $2,500
10/15/2026 USD SR LIEN

7.38 GO DADDY OPERATING CO LLC / GD N/A $1,001 - $15,000 Interest $201 - $1,000
5.25% 12/01/2027 USD PVT REGS SR LIEN

7.39 ARCELORMITTAL SA 4.25% 07/16/2029 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.40 SUNOCO LP 6.0% 04/15/2027 USD SER WI N/A $1,001 - $15,000 Interest $1,001 - $2,500
SR LIEN

7.41 GLOBAL PAYMENTS INC. 3.2% 08/15/2029 N/A $1,001 - $15,000 None (or less
USD SR LIEN than $201)

7.42 TENET HEALTHCARE CORP 4.875% N/A $1,001 - $15,000 Interest $201 - $1,000
01/01/2026 USD PVT REGS SR LIEN

7.43 BAT CAPITAL CORP 3.462% 09/06/2029 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.44 BAUSCH HEALTH COS INC 5.75% N/A $1,001 - $15,000 Interest $201 - $1,000
08/15/2027 USD PVT REGS SR LIEN

7.45 MURPHY OIL USA, INC. 4.75% 09/15/2029 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.46 SPIRIT REALTY LP 3.4% 01/15/2030 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SR LIEN

Dunn, Anita B - Page 45

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.47 SENSATA TECHNOLOGIES B.V. 4.375% N/A $1,001 - $15,000 Interest $201 - $1,000
02/15/2030 USD PVT REGS SR LIEN

7.48 HILTON DOMESTIC OPERATING CO I N/A $15,001 - Interest $1,001 - $2,500

4.875% 01/15/2030 USD SER WI SR LIEN $50,000

7.49 NETFLIX, INC. 6.375% 05/15/2029 USD SR N/A $1,001 - $15,000 Interest $201 - $1,000
LIEN

7.50 NORDSTROM INC 4.375% 04/01/2030 USD N/A $15,001 - Interest $201 - $1,000
SR LIEN $50,000

7.51 SPRINGLEAF FINANCE CORPORATION N/A $15,001 - Interest $201 - $1,000

5.375% 11/15/2029 USD SR LIEN $50,000

7.52 SEALED AIR CORP 4.0% 12/01/2027 USD N/A $1,001 - $15,000 Interest $201 - $1,000
PVT REGS SR LIEN

7.53 HASBRO INC 3.9% 11/19/2029 USD SR LIEN N/A $15,001 - Interest $201 - $1,000
$50,000

7.54 1011778 BC / NEW RED FIN 3.875% N/A $1,001 - $15,000 Interest $201 - $1,000
01/15/2028 USD PVT REGS SR LIEN (bond)

7.55 FAIR ISAAC CORP 4.0% 06/15/2028 USD N/A $1,001 - $15,000 Interest $201 - $1,000
PVT REGS SR LIEN

7.56 PTC INC 3.625% 02/15/2025 USD PVT REGS N/A $1,001 - $15,000 Interest $201 - $1,000
SR LIEN

7.57 OPEN TEXT CORP 3.875% 02/15/2028 USD N/A $1,001 - $15,000 Interest $201 - $1,000
PVT REGS SR LIEN

7.58 HCA INC 3.5% 09/01/2030 USD SR LIEN N/A $1,001 - $15,000 Interest $201 - $1,000

7.59 B.A.T. CAPITAL CORPORATION 4.7% N/A $1,001 - $15,000 Interest $201 - $1,000
04/02/2027 USD SR LIEN

7.60 SYSCO CORPORATION 5.95% 04/01/2030 N/A $1,001 - $15,000 Capital Gains $1,001 - $2,500
USD SR LIEN Interest

7.61 WALGREENS BOOTS ALLIANCE 3.2% N/A $15,001 - Interest $201 - $1,000
04/15/2030 USD SR LIEN $50,000

Dunn, Anita B - Page 46

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.62 MGM RESORTS INTERNATIONAL 6.75% N/A $1,001 - $15,000 Capital Gains $201 - $1,000
05/01/2025 USD SR LIEN Interest

7.63 XPO LOGISTICS, INC. 6.25% 05/01/2025 N/A $1,001 - $15,000 Interest $201 - $1,000
USD PVT REGS SR LIEN

7.64 ARCONIC CORPORATION 6.0% 05/15/2025 N/A $1,001 - $15,000 Interest $201 - $1,000
USD PVT REGS SR LIEN

7.65 BOEING COMPANY (THE) 5.15% 05/01/2030 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.66 CENTENE CORPORATION 4.625% N/A $1,001 - $15,000 Interest $201 - $1,000
12/15/2029 USD SER WI SR LIEN

7.67 CMS ENERGY CORPORATION HYBRID N/A $1,001 - $15,000 Interest $201 - $1,000
06/01/2050 USD JRSUB LIEN CPN 05/28/20
4.75%

7.68 AUTONATION INC 4.75% 06/01/2030 USD N/A $15,001 - Interest $201 - $1,000
SR LIEN $50,000

7.69 HERBALIFE/HLF FINANCING 7.875% N/A $1,001 - $15,000 Interest $201 - $1,000
09/01/2025 USD PVT REGS SR LIEN

7.70 CLARK EQUIPMENT COMPANY 5.875% N/A $1,001 - $15,000 Interest $201 - $1,000
06/01/2025 USD PVT REGS SR LIEN

7.71 BANK OF NOVA SCOTIA (THE) HYBRID N/A $15,001 - Interest $201 - $1,000
PERPETUAL USD SUB LIEN CPN 06/04/20 $50,000
4.9%

7.72 WESCO DISTRIBUTION INC 7.125% N/A $1,001 - $15,000 Interest $201 - $1,000
06/15/2025 USD PVT REGS SR LIEN

7.73 TRI POINTE GROUP INC 5.7% 06/15/2028 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.74 HILLENBRAND INC 5.75% 06/15/2025 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SR LIEN

7.75 AIR LEASE CORP 3.375% 07/01/2025 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SR LIEN

Dunn, Anita B - Page 47

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.76 BP CAPITAL MARKETS P.L.C. HYBRID N/A $1,001 - $15,000 Interest $201 - $1,000
PERPETUAL USD SUB LIEN CPN 06/22/20
4.875%

7.77 CHENIERE ENERGY PARTNERS, L.P. 4.5% N/A $15,001 - Interest $1,001 - $2,500
10/01/2029 USD SER WI SR LIEN $50,000

7.78 OCCIDENTAL PETROLEUM COR 8.0% N/A $15,001 - Interest $1,001 - $2,500
07/15/2025 USD SR LIEN $50,000

7.79 ENBRIDGE INC. HYBRID 07/15/2080 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SER 20-A SUB LIEN CPN 07/08/20-07/14/30
5.75%

7.80 KIMCO REALTY CORPORATION 2.7% N/A $1,001 - $15,000 None (or less
10/01/2030 USD SR LIEN than $201)

7.81 QORVO, INC. 4.375% 10/15/2029 USD SER N/A $1,001 - $15,000 Interest $201 - $1,000
WI SR LIEN

7.82 SILGAN HOLDINGS INC 4.125% 02/01/2028 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SER WI SR LIEN

7.83 UNITED RENTALS NORTH AM 3.875% N/A $1,001 - $15,000 Interest $201 - $1,000
02/15/2031 USD SR LIEN

7.84 TEXTRON INC. 2.45% 03/15/2031 USD SR N/A $1,001 - $15,000 Interest $201 - $1,000
LIEN

7.85 SPIRIT REALTY LP 3.2% 02/15/2031 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SR LIEN

7.86 PENSKE AUTOMOTIVE GROUP 3.5% N/A $15,001 - Interest $201 - $1,000
09/01/2025 USD SRSUB LIEN $50,000

7.87 XEROX HOLDINGS CORP 5.0% 08/15/2025 N/A $1,001 - $15,000 Interest $201 - $1,000
USD PVT REGS SR LIEN

7.88 AIR LEASE CORP MTN 2.875% 01/15/2026 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.89 CDW LLC/CDW FINANCE 3.25% 02/15/2029 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

Dunn, Anita B - Page 48

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.90 BALL CORPORATION 2.875% 08/15/2030 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.91 BROADCOM INC 4.3% 11/15/2032 USD SER N/A $1,001 - $15,000 Interest $201 - $1,000
WI SR LIEN

7.92 BROADCOM INC. 4.15% 11/15/2030 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SER WI SR LIEN

7.93 CLEARWATER PAPER CORP 4.75% N/A $1,001 - $15,000 Interest $201 - $1,000
08/15/2028 USD PVT REGS SR LIEN

7.94 COVANTA HOLDING CORPORATION 5.0% N/A $1,001 - $15,000 Interest $201 - $1,000
09/01/2030 USD SR LIEN

7.95 ANGI GROUP, LLC 3.875% 08/15/2028 USD N/A $1,001 - $15,000 Interest $201 - $1,000
PVT REGS SR LIEN

7.96 TREEHOUSE FOODS INC 4.0% 09/01/2028 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.97 NUSTAR LOGISTICS LP 5.75% 10/01/2025 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.98 NUSTAR LOGISTICS LP 6.375% 10/01/2030 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.99 YUM! BRANDS, INC 3.625% 03/15/2031 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SR LIEN

7.100 HOLOGIC, INC. 3.25% 02/15/2029 USD PVT N/A $1,001 - $15,000 None (or less
REGS SR LIEN than $201)

7.101 SOUTHERN COMPANY (THE) HYBRID N/A $1,001 - $15,000 Interest $201 - $1,000
01/15/2051 USD SER B JRSUB LIEN CPN
09/18/20 4.0%

7.102 ENERGIZER HOLDINGS INC 4.375% N/A $1,001 - $15,000 Interest $201 - $1,000
03/31/2029 USD PVT REGS SR LIEN

7.103 QUANTA SERVICES INC 2.9% 10/01/2030 N/A $15,001 - Interest $201 - $1,000
USD SR LIEN $50,000

Dunn, Anita B - Page 49

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.104 CENTENE CORP 3.0% 10/15/2030 USD SR N/A $1,001 - $15,000 Interest $201 - $1,000
LIEN

7.105 PENNYMAC FIN SVCS INC 5.375% N/A $1,001 - $15,000 Interest $201 - $1,000
10/15/2025 USD PVT REGS SR LIEN

7.106 CENTRAL GARDEN & PET CO 4.125% N/A $1,001 - $15,000 Interest $201 - $1,000
10/15/2030 USD SR LIEN

7.107 TEGNA INC. 5.0% 09/15/2029 USD SR LIEN N/A $1,001 - $15,000 Interest $201 - $1,000

7.108 LAMAR MEDIA CORP 3.75% 02/15/2028 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SER WI SR LIEN

7.109 LD [LEAD DOLPHIN] HOLDINGS GROUP N/A $1,001 - $15,000 Interest $201 - $1,000
LLC 6.5% 11/01/2025 USD PVT REGS SR
LIEN

7.110 MPT OPERATING PARTNERSHIP, L.P 3.5% N/A $1,001 - $15,000 Interest $201 - $1,000
03/15/2031 USD SR LIEN MPT FINANCE
CORP

7.111 MDC HOLDINGS INC 2.5% 01/15/2031 USD N/A $1,001 - $15,000 Interest $201 - $1,000
SR LIEN

7.112 WELLS FARGO & COMPANY HYBRID N/A $15,001 - Interest $201 - $1,000
PERPETUAL USD SER BB JRSUB LIEN $50,000
CPN 01/26/21 3.9%

7.113 NAVIENT CORP 4.875% 03/15/2028 USD SR N/A $15,001 - Interest $1,001 - $2,500
LIEN $50,000

7.114 TRINET GROUP INC 3.5% 03/01/2029 USD N/A $15,001 - Interest $201 - $1,000
PVT REGS SR LIEN $50,000

7.115 TWILIO INC. 3.625% 03/15/2029 USD SR N/A $1,001 - $15,000 Interest $201 - $1,000
LIEN

7.116 T-MOBILE USA, INC. 3.375% 04/15/2029 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.117 MICROCHIP TECHNOLOGY INCORPORA N/A $1,001 - $15,000 Interest $201 - $1,000
4.25% 09/01/2025 USD

Dunn, Anita B - Page 50

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

7.118 AMERICAN AXLE & MANUFACTURING, N/A $1,001 - $15,000 Interest $201 - $1,000
5.0% 10/01/2029 USD SR LIEN

7.119 HOWMET AEROSPACE INC. 3.0% N/A $15,001 - Capital Gains $1,001 - $2,500
01/15/2029 USD SR LIEN $50,000 Interest

7.120 FORD MOTOR COMPANY 3.25% 02/12/2032 N/A $15,001 - Interest $201 - $1,000
USD SR LIEN $50,000

7.121 REALTY INCOME CORP 3.4% 01/15/2028 N/A $15,001 - Interest $201 - $1,000
USD SR LIEN $50,000

7.122 SOUTHWESTERN ENERGY COMPANY N/A $1,001 - $15,000 None (or less
4.75% 02/01/2032 SR LIEN than $201)

7.123 BALL CORPORATION 3.125% 09/15/2031 N/A $1,001 - $15,000 Interest $201 - $1,000
USD SR LIEN

7.124 CIT GROUP INC. 5.25% 03/07/2025 SR LIEN N/A None (or less Interest $201 - $1,000
than $1,001)

7.125 JEFFERIES GROUP INC. 6.45% 06/08/2027 N/A None (or less Interest $201 - $1,000
USD SR LIEN than $1,001)

7.126 KRAFT HEINZ FOODS CO 4.625% N/A None (or less Capital Gains $1,001 - $2,500
01/30/2029 USD SR LIEN than $1,001) Interest

7.127 NEWELL RUBBERMAID INC. STEP N/A None (or less Interest $201 - $1,000
04/01/2026 USD SR LIEN 4.7% 04/01/20- than $1,001)
04/01/26 Gross Coupon Interest On 14,000 @
0.02350000 NEWELL RUBBERMAID INC.
STEP

7.128 VEREIT OPERATING PARTNERSHIP LP N/A None (or less Capital Gains $201 - $1,000
3.4% 01/15/2028 USD SR LIEN than $1,001) Interest

7.129 W. R. GRACE & CO.-CONN. 4.875% N/A None (or less Capital Gains $201 - $1,000
06/15/2027 USD PVT REGS SR LIEN than $1,001) Interest

7.130 ZIMMER BIOMET HOLDINGS 3.55% N/A None (or less Capital Gains $1,001 - $2,500
03/20/2030 USD SR LIEN than $1,001) Interest

8 Brokerage Acct #7 No

Dunn, Anita B - Page 51

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $1,001 - $15,000 None (or less
(BDA) (cash) than $201)

8.2 AARON'S CO INC/THE CMN (AAN) N/A $1,001 - $15,000 None (or less
than $201)

8.3 ACADIA HEALTHCARE COMPANY INC CMN N/A $1,001 - $15,000 Capital Gains $1,001 - $2,500
(ACHC)

8.4 ACI WORLDWIDE, INC. CMN (ACIW) N/A $1,001 - $15,000 None (or less
than $201)

8.5 ADAPTHEALTH CORP CMN (AHCO) N/A $1,001 - $15,000 None (or less
than $201)

8.6 ALTRA INDUSTRIAL MOTION CORP CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(AIMC) Capital Gains

8.7 APPLIED INDUSTRIAL TECHNOLOGY INC N/A $1,001 - $15,000 Dividends $201 - $1,000
(AIT) Capital Gains

8.8 ALTAIR ENGINEERING INC. CMN CLASS A N/A $1,001 - $15,000 None (or less
(ALTR) than $201)

8.9 AMERISAFE, INC CMN (AMSF) N/A $1,001 - $15,000 Capital Gains $201 - $1,000

8.10 AVIENT COR CMN (AVNT) N/A $1,001 - $15,000 Dividends $201 - $1,000

8.11 AZENTA INC CMN (AZTA) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

8.12 BARNES GROUP INC. CMN (B) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

8.13 BUCKLE INC COM CMN (BKE) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

8.14 BLACKLINE, INC. CMN (BL) N/A $1,001 - $15,000 Capital Gains $201 - $1,000

8.15 BIOLIFE SOLUTIONS, INC. CMN (BLFS) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 52

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.16 BLACKBAUD, INC CMN (BLKB) N/A $1,001 - $15,000 None (or less
than $201)

8.17 BRUKER CORPORATION CMN (BRKR) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

8.18 CHEESECAKE FACTORY INCORPORATE N/A $1,001 - $15,000 None (or less
CMN (CAKE) than $201)

8.19 AVID BIOSERVICES, INC. CMN (CDMO) N/A $1,001 - $15,000 None (or less
than $201)

8.20 CULLEN FROST BANKERS INC CMN (CFR) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

8.21 COMMERCIAL METALS CO CMN (CMC) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

8.22 COMPASS MINERALS INTL, INC. CMN N/A $1,001 - $15,000 None (or less
(CMP) than $201)

8.23 CORSAIR GAMING, INC. CMN (CRSR) N/A $1,001 - $15,000 None (or less
than $201)

8.24 CSG SYSTEMS INTL INC CMN (CSGS) N/A $1,001 - $15,000 None (or less
than $201)

8.25 CASTLE BIOSCIENCES INC CMN (CSTL) N/A $1,001 - $15,000 None (or less
than $201)

8.26 COUSINS PROPERTIES INCORPORATE N/A $1,001 - $15,000 Dividends $201 - $1,000
CMN (CUZ)

8.27 COVETRUS INC CMN (CVET) N/A $1,001 - $15,000 None (or less
than $201)

8.28 EASTERLY GOVERNMENT PROPERTIES N/A $1,001 - $15,000 None (or less
CMN (DEA) than $201)

8.29 DECKERS OUTDOORS CORP CMN (DECK) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 53

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.30 EMERGENT BIOSOLUTIONS INC. CMN N/A $1,001 - $15,000 None (or less
(EBS) than $201)

8.31 EASTGROUP PROPERTIES INC CMN (EGP) N/A $1,001 - $15,000 Dividends $201 - $1,000

8.32 FULTON FINANCIAL CORPORATION CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(FULT) Capital Gains

8.33 GROUP 1 AUTOMOTIVE, INC. CMN (GPI) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

8.34 HEALTHCARE SVCS GROUP INC CMN N/A $1,001 - $15,000 None (or less
(HCSG) than $201)

8.35 HORACE MANN EDUCATORS CORP CMN N/A $1,001 - $15,000 None (or less
(HMN) than $201)

8.36 HANGER INC CMN (HNGR) N/A $1,001 - $15,000 None (or less
than $201)

8.37 HERON THERAPEUTICS INC CMN (HRTX) N/A $1,001 - $15,000 None (or less
than $201)

8.38 IAA, INC. CMN (IAA) N/A $1,001 - $15,000 None (or less
than $201)

8.39 IDACORP, INC. CMN (IDA) N/A $1,001 - $15,000 Dividends $201 - $1,000

8.40 INDEPENDENT BANK CORP. CMN (INDB) N/A $1,001 - $15,000 None (or less
than $201)

8.41 QUAKER HOUGHTON CMN (KWR) N/A $1,001 - $15,000 None (or less
than $201)

8.42 LITTELFUSE, INC. CMN (LFUS) N/A $1,001 - $15,000 Dividends $201 - $1,000

8.43 LKQ CORPORATION CMN (LKQ) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

8.44 STRIDE INC CMN (LRN) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 54

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.45 MATTHEWS INTL CORP CL-A CMN CLASS N/A $1,001 - $15,000 None (or less
A (MATW) than $201)

8.46 MEDNAX INC CMN (MD) N/A $1,001 - $15,000 None (or less
than $201)

8.47 MUELLER INDUSTRIES INC CMN (MLI) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

8.48 MONRO, INC. CMN (MNRO) N/A $1,001 - $15,000 None (or less
than $201)

8.49 MSA SAFETY INC CMN (MSA) N/A $1,001 - $15,000 None (or less
than $201)

8.50 NATIONAL INSTRUMENTS CORP CMN N/A $1,001 - $15,000 None (or less
(NATI) than $201)

8.51 INGEVITY CORPORATION CMN (NGVT) N/A $1,001 - $15,000 None (or less
than $201)

8.52 OIL STATES INTERNATIONAL, INC. CMN N/A $1,001 - $15,000 None (or less
(OIS) than $201)

8.53 ONTO INNOVATION INC. CMN (ONTO) N/A $1,001 - $15,000 Capital Gains $201 - $1,000

8.54 ONESPAWORLD HOLDINGS LIMITED CMN N/A $1,001 - $15,000 None (or less
(OSW) than $201)

8.55 PROSPERITY BANCSHARES, INC. CMN N/A $1,001 - $15,000 None (or less
(PB) than $201)

8.56 PDC ENERGY INC CMN (PDCE) N/A $1,001 - $15,000 None (or less
than $201)

8.57 PERFORMANCE FOOD GROUP COMPANY N/A $1,001 - $15,000 None (or less
CMN (PFGC) than $201)

8.58 PING IDENTITY HOLDING CORP. CMN N/A $1,001 - $15,000 None (or less
(PING) than $201)

8.59 PROG HOLDINGS, INC. CMN (PRG) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 55

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.60 PRIMO WATER CORPORATION CMN N/A $1,001 - $15,000 None (or less
(PRMW) than $201)

8.61 RITCHIE BROS. AUCTIONEERS INC CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(RBA) Capital Gains

8.62 REPLIGEN CORP CMN (RGEN) N/A $1,001 - $15,000 Capital Gains $2,501 - $5,000

8.63 RESOURCES CONNECTION, INC. CMN N/A $1,001 - $15,000 None (or less
(RGP) than $201)

8.64 RAYMOND JAMES FINANCIAL, INC. CMN N/A $1,001 - $15,000 None (or less
(RJF) than $201)

8.65 RLI CORP CMN (RLI) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

8.66 RLJ LODGING TRUST CMN (RLJ) N/A $1,001 - $15,000 None (or less
than $201)

8.67 RENASANT CORPORATION CMN (RNST) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

8.68 GIBRALTAR INDUSTRIES INC CMN (ROCK) N/A $1,001 - $15,000 None (or less
than $201)

8.69 REVOLVE GROUP INC CMN CLASS A N/A $1,001 - $15,000 Capital Gains $2,501 - $5,000
(RVLV)

8.70 SAIA, INC. CMN (SAIA) N/A $1,001 - $15,000 Capital Gains $1,001 - $2,500

8.71 SEMTECH CORP CMN (SMTC) N/A $1,001 - $15,000 Capital Gains $201 - $1,000

8.72 SYNEOS HEALTH INC CMN (SYNH) N/A $1,001 - $15,000 Capital Gains $201 - $1,000

8.73 TAYLOR MORRISON HOME CORP. CMN N/A $1,001 - $15,000 None (or less
(TMHC) than $201)

8.74 TRUPANION, INC. CMN (TRUP) N/A $1,001 - $15,000 Capital Gains $201 - $1,000

8.75 TEXAS ROADHOUSE, INC. CMN (TXRH) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

Dunn, Anita B - Page 56

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.76 UNISYS CORPORATION CMN (UIS) N/A $1,001 - $15,000 None (or less
than $201)

8.77 VERTEX, INC. CMN (VERX) N/A $1,001 - $15,000 None (or less
than $201)

8.78 VERRA MOBILITY CORPORATION CMN N/A $1,001 - $15,000 None (or less
(VRRM) than $201)

8.79 WESTAMERICA BANCORP CMN (WABC) N/A $1,001 - $15,000 None (or less
than $201)

8.80 WESTERN ALLIANCE BANCORP CMN N/A $1,001 - $15,000 Dividends $2,501 - $5,000
(WAL) Capital Gains

8.81 WILEY JOHN & SONS CL-A CMN CLASS A N/A $1,001 - $15,000 Dividends $201 - $1,000
(WLY)

8.82 WSFS FINANCIAL CORP CMN (WSFS) N/A $1,001 - $15,000 None (or less
than $201)

8.83 WOODWARD INC CMN (WWD) N/A $1,001 - $15,000 None (or less
than $201)

8.84 BIOTELEMETRY INC CMN (BEAT) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001)

8.85 BURLINGTON STORES INC CMN (BURL) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

8.86 CORESITE REALTY CORPORATION CMN N/A None (or less Capital Gains $1,001 - $2,500
(COR) than $1,001) Dividends

8.87 CORNERSTONE ONDEMAND, INC. CMN N/A None (or less Capital Gains $1,001 - $2,500
(CSOD) than $1,001)

8.88 CRACKER BARREL OLD COUNTRY STO N/A None (or less Capital Gains $201 - $1,000
CMN (CBRL) than $1,001) Dividends
Interest

8.89 HMS HOLDINGS CORP. CMN (HMSY) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

Dunn, Anita B - Page 57

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

8.90 ICON PUBLIC LIMITED COMPANY CMN N/A None (or less Capital Gains $2,501 - $5,000
(ICLR) than $1,001)

8.91 INTRICON CORPORATION CMN (IIN) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

8.92 MERITOR INC CMN (MTOR) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001)

8.93 NIC INC CMN (EGOV) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001)

8.94 PLANTRONICS INC CMN (POLY) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001)

8.95 REALPAGE, INC CMN (RP) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001)

8.96 TELEDYNE TECHNOLOGIES INCORPOR N/A None (or less Capital Gains $201 - $1,000
CMN (TDY) than $1,001)

9 Brokerage Acct #8 No

9.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $15,001 - None (or less
(BDA) (cash) $50,000 than $201)

9.2 ADOBE INC CMN (ADBE) N/A $15,001 - None (or less
$50,000 than $201)

9.3 ANALOG DEVICES, INC. CMN (ADI) N/A $15,001 - Dividends $201 - $1,000
$50,000

9.4 AUTOZONE, INC. CMN (AZO) N/A $15,001 - None (or less
$50,000 than $201)

9.5 BECTON, DICKINSON AND COMPANY CMN N/A $15,001 - Dividends $201 - $1,000
(BDX) $50,000

9.6 CARRIER GLOBAL CORPORATION CMN N/A $15,001 - Dividends $201 - $1,000
(CARR) $50,000

9.7 COLGATE-PALMOLIVE CO CMN (CL) N/A $15,001 - Dividends $201 - $1,000

$50,000

Dunn, Anita B - Page 58

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

9.8 CME GROUP INC. CMN CLASS A (CME) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

9.9 FACTSET RESEARCH SYSTEMS INC CMN N/A $15,001 - Dividends $201 - $1,000
(FDS) $50,000

9.10 GRACO INC. CMN (GGG) N/A $15,001 - Dividends $201 - $1,000
$50,000

9.11 ALPHABET INC. CMN CLASS A (GOOGL) N/A $50,001 - None (or less
$100,000 than $201)

9.12 JOHNSON & JOHNSON CMN (JNJ) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

9.13 LINDE PLC CMN (LIN) N/A $15,001 - Dividends $201 - $1,000
$50,000

9.14 LOWES COMPANIES INC CMN (LOW) N/A $15,001 - Dividends $201 - $1,000
$50,000

9.15 MASTERCARD INCORPORATED CMN N/A $15,001 - Dividends $201 - $1,000

CLASS A (MA) $50,000 Capital Gains

9.16 MOODY'S CORPORATION CMN (MCO) N/A $50,001 - Dividends $201 - $1,000
$100,000

9.17 MIDDLEBY CORPORATION (THE) CMN N/A $15,001 - None (or less
(MIDD) $50,000 than $201)

9.18 MSCI INC. CMN (MSCI) N/A $15,001 - Dividends $5,001 - $15,000
$50,000 Capital Gains

9.19 MICROSOFT CORPORATION CMN (MSFT) N/A $50,001 - Dividends $201 - $1,000
$100,000

9.20 METTLER-TOLEDO INTL CMN (MTD) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

9.21 NIKE CLASS-B CMN CLASS B (NKE) N/A $15,001 - Dividends $201 - $1,000
$50,000

Dunn, Anita B - Page 59

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

9.22 ORACLE CORPORATION CMN (ORCL) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

9.23 OTIS WORLDWIDE CORPORATION CMN N/A $15,001 - Dividends $201 - $1,000
(OTIS) $50,000

9.24 PEPSICO, INC. CMN (PEP) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

9.25 SHERWIN-WILLIAMS CO CMN (SHW) N/A $15,001 - Dividends $201 - $1,000

$50,000

9.26 TJX COMPANIES INC (NEW) CMN (TJX) N/A $15,001 - Dividends $201 - $1,000
$50,000

9.27 UNITEDHEALTH GROUP INCORPORATE N/A $50,001 - Dividends $201 - $1,000

CMN (UNH) $100,000

9.28 U.S. BANCORP CMN (USB) N/A None (or less Dividends $5,001 - $15,000
than $1,001) Capital Gains

10 Brokerage Acct #9 No

10.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $15,001 - None (or less
(BDA) (cash) $50,000 than $201)

10.2 American Tower Corporation (AMT) open N/A None (or less
position for written call option; 100 shares, than $201)
strike $265, exp 5/2022

10.3 Air Products and Chemicals, Inc. (APD) open N/A None (or less
position for written call option; 100 shares, than $201)
strike $260, exp 5/2022

10.4 AvalonBay Communities, Inc. (AVB) open N/A None (or less
position for written call option; 100 shares, than $201)
strike $265, exp 5/2022

10.5 Bristol-Myers Squibb Co (BMY) open position N/A None (or less
for written call option; 100 shares, strike $76, than $201)
exp 6/2022

Dunn, Anita B - Page 60

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.6 Bristol-Myers Squibb Co (BMY) open position N/A None (or less
for written call option; 100 shares, strike $77, than $201)
exp 6/2022

10.7 Bristol-Myers Squibb Co (BMY) open position N/A None (or less
for written call option; 100 shares, strike $83, than $201)
exp 6/2022

10.8 ConocoPhillips (COP) open position for written N/A None (or less
call option; 100 shares, strike $116, exp than $201)
5/2022

10.9 ConocoPhillips (COP) open position for written N/A None (or less
call option; 100 shares, strike $120, exp than $201)
6/2022

10.10 Salesforce, Inc. (CRM) open position for N/A None (or less
written call option; 100 shares, strike $245, than $201)
exp 5/2022

10.11 Salesforce, Inc. (CRM) open position for N/A None (or less
written call option; 100 shares, strike $215, than $201)
exp 6/2022

10.12 Cisco Systems, Inc. (CSCO) open position for N/A None (or less
written call option; 100 shares, strike $61, exp than $201)
5/2022

10.13 Cisco Systems, Inc. (CSCO) open position for N/A None (or less
written call option; 100 shares, strike $56, exp than $201)
6/2022

10.14 CVS Health Corporation (CVS) open position N/A None (or less
for written call option; 100 shares, strike than $201)
$117.50, exp 5/2022

10.15 CVS Health Corporation (CVS) open position N/A None (or less
for written call option; 100 shares, strike than $201)
$112.50, exp 6/2022

10.16 Eaton Corporation plc (ETN) open position for N/A None (or less
written call option; 100 shares, strike $167.50, than $201)
exp 5/2022

Dunn, Anita B - Page 61

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.17 Eaton Corporation plc (ETN) open position for N/A None (or less
written call option; 100 shares, strike $152.50, than $201)
exp 6/2022

10.18 Honeywell International Inc. (HON) open N/A None (or less
position for written call option; 100 shares, than $201)
strike $207.50, exp 5/2022

10.19 International Business Machines Corporation N/A None (or less

(IBM) open position for written call option; 100 than $201)
shares, strike $137.50, exp 5/2022

10.20 International Business Machines Corporation N/A None (or less

(IBM) open position for written call option; 100 than $201)
shares, strike $137.50, exp 6/2022

10.21 Johnson & Johnson (JNJ) open position for N/A None (or less
written call option; 100 shares, strike $187.50, than $201)
exp 5/2022

10.22 Johnson & Johnson (JNJ) open position for N/A None (or less
written call option; 100 shares, strike $190, than $201)
exp 6/2022

10.23 JPMorgan Chase & Co. (JPM) open position N/A None (or less
for written call option; 100 shares, strike $150, than $201)
exp 5/2022

10.24 JPMorgan Chase & Co. (JPM) open position N/A None (or less
for written call option; 100 shares, strike $170, than $201)
exp 5/2022

10.25 JPMorgan Chase & Co. (JPM) open position N/A None (or less
for written call option; 100 shares, strike $140, than $201)
exp 6/2022

10.26 KLA Corporation (KLAC) open position for N/A None (or less
written call option; 100 shares, strike $415, than $201)
exp 5/2022

10.27 The Coca-Cola Company (KO) open position N/A None (or less
for written call option; 100 shares, strike $65, than $201)
exp 5/2022

Dunn, Anita B - Page 62

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.28 The Coca-Cola Company (KO) open position N/A None (or less
for written call option; 100 shares, strike $67, than $201)
exp 5/2022

10.29 The Coca-Cola Company (KO) open position N/A None (or less
for written call option; 100 shares, strike $68, than $201)
exp 6/2022

10.30 McDonald's Corporation (MCD) open position N/A None (or less
for written call option; 100 shares, strike $255, than $201)
exp 5/2022

10.31 McDonald's Corporation (MCD) open position N/A None (or less
for written call option; 100 shares, strike $265, than $201)
exp 6/2022

10.32 Medtronic plc (MDT) open position for written N/A None (or less
call option; 100 shares, strike $117.50, exp than $201)
5/2022

10.33 Medtronic plc (MDT) open position for written N/A None (or less
call option; 100 shares, strike $117.50, exp than $201)
6/2022

10.34 Microsoft Corporation (MSFT) open position N/A None (or less
for written call option; 100 shares, strike $325, than $201)
exp 5/2022

10.35 Microsoft Corporation (MSFT) open position N/A None (or less
for written call option; 100 shares, strike $310, than $201)
exp 6/2022

10.36 The Procter & Gamble Company (PG) open N/A None (or less
position for written call option; 100 shares, than $201)
strike $160, exp 5/2022

10.37 The Procter & Gamble Company (PG) open N/A None (or less
position for written call option; 100 shares, than $201)
strike $167.50, exp 6/2022

10.38 Sempra (SRE) open position for written call N/A None (or less
option; 100 shares, strike $167.50, exp 5/2022 than $201)

Dunn, Anita B - Page 63

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.39 Sempra (SRE) open position for written call N/A None (or less
option; 100 shares, strike $185, exp 6/2022 than $201)

10.40 AT&T Inc. (T) open position for written call N/A None (or less
option; 100 shares, strike $21, exp 5/2022 than $201)

10.41 AT&T Inc. (T) open position for written call N/A None (or less
option; 100 shares, strike $21, exp 6/2022 than $201)

10.42 Target Corporation (TGT) open position for N/A None (or less
written call option; 100 shares, strike $250, than $201)
exp 5/2022

10.43 Target Corporation (TGT) open position for N/A None (or less
written call option; 100 shares, strike $265, than $201)
exp 6/2022

10.44 Texas Instruments Incorporated (TXN) open N/A None (or less
position for written call option; 100 shares, than $201)
strike $197.50, exp 5/2022

10.45 Texas Instruments Incorporated (TXN) open N/A None (or less
position for written call option; 100 shares, than $201)
strike $192.50, exp 6/2022

10.46 Union Pacific Corporation (UNP) open position N/A None (or less
for written call option; 100 shares, strike $285, than $201)
exp 5/2022

10.47 Union Pacific Corporation (UNP) open position N/A None (or less
for written call option; 100 shares, strike $265, than $201)
exp 6/2022

10.48 Xcel Energy Inc. (XEL) open position for N/A None (or less
written call option; 100 shares, strike $74, exp than $201)
5/2022

10.49 Xcel Energy Inc. (XEL) open position for N/A None (or less
written call option; 100 shares, strike $78, exp than $201)
5/2022

10.50 McDonald's Corporation (MCD) closed N/A None (or less Capital Gains $201 - $1,000
position for written call option than $1,001)

Dunn, Anita B - Page 64

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.51 Salesforce, Inc. (CRM) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.52 Texas Instruments Incorporated (TXN) closed N/A None (or less Capital Gains $201 - $1,000
position for written call option than $1,001)

10.53 Target Corporation (TGT) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.54 Microsoft Corporation (MSFT) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.55 The Procter & Gamble Company (PG) closed N/A None (or less Capital Gains $201 - $1,000
position for written call option than $1,001)

10.56 AT&T Inc. (T) closed position for written call N/A None (or less Capital Gains $201 - $1,000
option than $1,001)

10.57 CVS Health Corporation (CVS) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.58 JPMorgan Chase & Co. (JPM) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.59 Cisco Systems, Inc. (CSCO) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.60 Salesforce, Inc. (CRM) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.61 ConocoPhillips (COP) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.62 AT&T Inc. (T) closed position for written call N/A None (or less Capital Gains $201 - $1,000
option than $1,001)

10.63 International Business Machines Corporation N/A None (or less Capital Gains $201 - $1,000
(IBM) closed position for written call option than $1,001)

10.64 ConocoPhillips (COP) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

Dunn, Anita B - Page 65

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.65 Microsoft Corporation (MSFT) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.66 Texas Instruments Incorporated (TXN) closed N/A None (or less Capital Gains $201 - $1,000
position for written call option than $1,001)

10.67 Air Products and Chemicals, Inc. (APD) N/A None (or less Capital Gains $201 - $1,000
closed position for written call option than $1,001)

10.68 KLA Corporation (KLAC) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.69 Cisco Systems, Inc. (CSCO) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.70 Target Corporation (TGT) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.71 The Procter & Gamble Company (PG) closed N/A None (or less Capital Gains $201 - $1,000
position for written call option than $1,001)

10.72 Union Pacific Corporation (UNP) closed N/A None (or less Capital Gains $201 - $1,000
position for written call option than $1,001)

10.73 The Coca-Cola Company (KO) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.74 Cisco Systems, Inc. (CSCO) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.75 Microsoft Corporation (MSFT) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.76 CVS Health Corporation (CVS) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.77 Chevron Corporation (CVX) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.78 JPMorgan Chase & Co. (JPM) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

Dunn, Anita B - Page 66

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.79 KLA Corporation (KLAC) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.80 Target Corporation (TGT) closed position for N/A None (or less Capital Gains $201 - $1,000
written call option than $1,001)

10.81 AT&T Inc. (T) closed position for written call N/A None (or less Capital Gains $201 - $1,000
option than $1,001)

10.82 Microsoft Corporation (MSFT) closed position N/A None (or less Capital Gains $201 - $1,000
for written call option than $1,001)

10.83 AMERICAN TOWER CORPORATION CMN N/A $15,001 - None (or less
(AMT) $50,000 than $201)

10.84 AIR PRODUCTS & CHEMICALS INC CMN N/A $15,001 - None (or less
(APD) $50,000 than $201)

10.85 AVALONBAY COMMUNITIES INC CMN N/A $15,001 - Dividends $2,501 - $5,000
(AVB) $50,000 Capital Gains

10.86 BLACKROCK, INC. CMN (BLK) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

10.87 BRISTOL-MYERS SQUIBB COMPANY CMN N/A $50,001 - Dividends $2,501 - $5,000
(BMY) $100,000 Capital Gains

10.88 CONOCOPHILLIPS CMN (COP) N/A $15,001 - None (or less

$50,000 than $201)

10.89 SALESFORCE INC CMN (CRM) N/A $15,001 - None (or less
$50,000 than $201)

10.90 CISCO SYSTEMS, INC. CMN (CSCO) N/A $50,001 - Dividends $2,501 - $5,000
$100,000

10.91 CVS HEALTH CORP CMN (CVS) N/A $15,001 - Dividends $201 - $1,000
$50,000

10.92 EATON CORP PLC CMN (ETN) N/A $15,001 - Dividends $2,501 - $5,000
$50,000 Capital Gains

Dunn, Anita B - Page 67

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.93 HONEYWELL INTL INC CMN (HON) N/A $15,001 - Dividends $5,001 - $15,000
$50,000 Capital Gains

10.94 INTL BUSINESS MACHINES CORP CMN N/A $50,001 - Dividends $1,001 - $2,500
(IBM) $100,000

10.95 JOHNSON & JOHNSON CMN (JNJ) N/A $50,001 - Dividends $1,001 - $2,500
$100,000

10.96 JPMORGAN CHASE & CO CMN (JPM) N/A $50,001 - Dividends $5,001 - $15,000
$100,000 Capital Gains

10.97 KLA CORP CMN (KLAC) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

10.98 COCA-COLA COMPANY CMN (KO) N/A $50,001 - Capital Gains $5,001 - $15,000
$100,000 Dividends

10.99 MC DONALDS CORP CMN (MCD) N/A $50,001 - Dividends $1,001 - $2,500
$100,000 Capital Gains

10.100 MEDTRONIC PLC CMN (MDT) N/A $15,001 - Capital Gains $2,501 - $5,000
$50,000 Dividends

10.101 MICROSOFT CORPORATION CMN (MSFT) N/A $50,001 - Dividends $2,501 - $5,000
$100,000 Capital Gains

10.102 PROCTER & GAMBLE COMPANY CMN (PG) N/A $50,001 - Capital Gains $1,001 - $2,500
$100,000 Dividends

10.103 SEMPRA ENERGY CMN (SRE) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

10.104 AT&T INC. CMN (T) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

10.105 TARGET CORPORATION CMN (TGT) N/A $15,001 - None (or less
$50,000 than $201)

10.106 TEXAS INSTRUMENTS INC. CMN (TXN) N/A $50,001 - Dividends $1,001 - $2,500
$100,000 Capital Gains

Dunn, Anita B - Page 68

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

10.107 UNION PACIFIC CORP. CMN (UNP) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

10.108 XCEL ENERGY INC. CMN (XEL) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

10.109 ACCENTURE PLC CMN CLASS A (ACN) N/A None (or less Capital Gains $5,001 - $15,000
than $1,001) Dividends

10.110 CHEVRON CORPORATION CMN (CVX) N/A None (or less Capital Gains $15,001 -
than $1,001) Dividends $50,000

10.111 COMCAST CORPORATION CMN CLASS A N/A None (or less Capital Gains $15,001 -
(CMCSA) than $1,001) Dividends $50,000

10.112 ILLINOIS TOOL WORKS CMN (ITW) N/A None (or less Capital Gains $5,001 - $15,000
than $1,001) Dividends

10.113 INTERNATIONAL PAPER CO. CMN (IP) N/A None (or less Capital Gains $5,001 - $15,000
than $1,001) Dividends

10.114 QUALCOMM INC CMN (QCOM) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001) Dividends

10.115 SYLVAMO CORPORATION CMN (SLVM) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

10.116 THE HOME DEPOT, INC. CMN (HD) N/A None (or less Capital Gains $15,001 -
than $1,001) Dividends $50,000

10.117 VENTAS, INC. CMN (VTR) N/A None (or less Capital Gains $2,501 - $5,000
than $1,001) Dividends

11 Brokerage Acct #10 No

11.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $15,001 - None (or less
(BDA) (cash) $50,000 than $201)

11.2 MONTGOMERY&PRINCE GEORGE CTY GO N/A $100,001 - Interest $5,001 - $15,000

5.0000% 06/01/23 JD CONS PUB IMPT UT $250,000
BEO

Dunn, Anita B - Page 69

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

11.3 MARYLAND ST GO 5.0000% 08/01/22 FA ST N/A $50,001 - Interest $5,001 - $15,000

& LOCAL FACS LN-SECOND SER SER 2018 $100,000
UT BEO

11.4 CALVERT CNTY MD GO 5% 07/01/22 JJ GO N/A $15,001 - Interest $1,001 - $2,500

CONS PUB IMPT AND REF BDS 2016 UT $50,000
BEO

11.5 CLEVELAND CNTY OKLA INDPT SCH GO N/A $100,001 - Interest $1,001 - $2,500
1.2500% 03/01/24 MS DIST NO 029 $250,000
NORMAN GO COMBINED PURP BDS 2021
UT BEO

11.6 FLORIDA ST TPK AUTH TPK REV REV 5% N/A $100,001 - Interest $5,001 - $15,000
07/01/23 JJ TPK REV BDS 2013C BEO $250,000

11.7 FREDERICK CNTY MD GO 5% 08/01/22 FA N/A $50,001 - Interest $5,001 - $15,000

GO PUB FACS BDS 2019A UT BEO $100,000

11.8 GLENDALE ARIZ WTR & SWR REV REV N/A $50,001 - Interest $2,501 - $5,000
2.5000% 07/01/23 JJ SR LIEN WTR AND $100,000
SWR REF BDS 2015 BEO SR LIEN

11.9 HOWARD CNTY MD GO 5% 08/15/24 FA GO N/A $50,001 - None (or less

BDS CONSOLIDATED PUB IMPT PROJ $100,000 than $201)
2022A UT BEO

11.10 KING CNTY WASH GO 5% 07/01/22 JJ LTD N/A $15,001 - Interest $2,501 - $5,000
TAX GO BDS 2019 B LT BEO $50,000

11.11 MARYLAND ST DEPT TRANSN CONS REV N/A $15,001 - Interest $1,001 - $2,500
5% 02/15/23 FA TRANSN CONS TRANS $50,000
BDS 2015 BEO SR LIEN

11.12 MARYLAND ST DEPT TRANSN CONS REV N/A $100,001 - Interest $2,501 - $5,000
5% 10/01/24 AO TRANSN BDS 2021 A BEO $250,000

11.13 MARYLAND ST FOR ISSUES DATED GO N/A $50,001 - Interest $5,001 - $15,000
5.0000% 08/01/23-CA FA PRIOR TO 08/05/11 $100,000
SEE 574192 ST & LOC FACS LN-SECOND-B
BEO

Dunn, Anita B - Page 70

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

11.14 MARYLAND ST GO 5% 08/01/22 FA GO BDS N/A $100,001 - Interest $5,001 - $15,000

2017 B UT BEO $250,000

11.15 MARYLAND ST GO 5% 08/01/24 FA GO BDS N/A $50,001 - Interest $1,001 - $2,500

SECOND SERIES A UT BEO $100,000

11.16 MD ST FOR ISSUES DTD PR TO GO N/A $50,001 - Interest $2,501 - $5,000

5.0000% 03/15/24 MS RFDG-ST & LOC $100,000
FACS LN-FIRST SER A BEO

11.17 MONTGOMERY CNTY MD GO 5% 12/01/23 N/A $50,001 - Interest $2,501 - $5,000

JD GO CONS PUB IMPT BDS 2016 A UT $100,000
BEO

11.18 SEWARD CNTY KANS UNI SCH DIST GO N/A $50,001 - Interest $2,501 - $5,000
5.0000% 09/01/30 MS NO 480 GO REF AND $100,000
IMPT BDS 2014 PRERE 09/01/22 UT BEO
SR

11.19 UNIVERSITY MD SYS AUXILIARY REV 5% N/A $50,001 - Interest $2,501 - $5,000
04/01/23 AO FAC & TUITION REV REV REF $100,000
BDS 2016 B BEO SR LIEN

11.20 WASHINGTON CNTY MD GO 5% 07/01/23 N/A $100,001 - Interest $2,501 - $5,000

JJ GO REF BDS 2020 UT BEO $250,000

11.21 BALTIMORE CNTY MD GO 5% 02/01/21 FA N/A None (or less Interest $2,501 - $5,000
CONSOLIDATED PUB IMPT BDS 2014 UT than $1,001)
BEO SR LIEN

11.22 BEXAR CNTY TEX DB 4.0000% 06/15/36 JD N/A None (or less Interest $2,501 - $5,000
CTFS OF OBLIG 2013 A PRERE 06/15/23 LT than $1,001)
BEO MSF

11.23 CALVERT CNTY MD GO 5% 07/01/21 JJ N/A None (or less Interest $2,501 - $5,000
CONSOLIDATED PUB IMPT GO BDS than $1,001)
COMMISSIONERS 2019 UT BEO

11.24 CLARK CNTY NEV DB 5% 11/01/22 MN GO N/A None (or less Interest $2,501 - $5,000
LTD TAX FLOOD CTL BDS 2020B LT BEO than $1,001)

11.25 DUMONT N J GO 2% 06/04/21 JD BD ANTIC N/A None (or less Interest $2,501 - $5,000
NTS UT BEO than $1,001)

Dunn, Anita B - Page 71

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

11.26 LEXINGTON & RICHLAND CNTYS S C GO N/A None (or less Interest $2,501 - $5,000
5% 03/01/22 MS SCH DIST NO 005 GO BDS than $1,001)
2019 B UT BEO

11.27 MD ST HEALTH & HIGHER EDL FACS REV N/A None (or less Interest $2,501 - $5,000
5.5000% 07/01/31-CA JJ BDS GTR than $1,001)
BALTIMORE MED CTR 2011 PRERE
07/01/21 OID SR LIEN HIGHER EDL FA

11.28 MD ST HLTH & HIGHR EDL FACS AU REV N/A None (or less Interest $2,501 - $5,000
5.0000% 11/15/51-CA MN ASCENSION than $1,001)
HEALTH-SER B MSF 11/15/48 S-T SPL RDM
S-TX FACS

11.29 METROPOLITAN TRAN AUTH N Y REV N/A None (or less Interest $1,001 - $2,500
5.0000% 05/15/21 MN - BEO than $1,001)

11.30 NYC TRANSITIONAL FINANCE AUTH REV N/A None (or less Interest $2,501 - $5,000
5.0000% 08/01/21 MN FUTURE TAX than $1,001)
SECURED SUB BONDS FISCAL 2019 B-1

11.31 PENNSYLVANIA ST GO 5% 02/01/21 FA GO N/A None (or less Interest $1,001 - $2,500
BDS 2016 UT BEO SR LIEN than $1,001)

11.32 PORT AUTH N Y & N J REV 5% 12/01/21 JD N/A None (or less Interest $2,501 - $5,000
CONSOLIDATED BDS 178 AMT BEO SR than $1,001)
LIEN

11.33 PRINCE GEORGES CNTY MD CTFS COPS N/A None (or less Interest $1,001 - $2,500
5.0000% 10/01/21 AO PARTN CTFS OF than $1,001)
PARTN MARYLAND CPL REGION 2018
CERTS PARTNMD CTFS

11.34 TEXAS ST GO 5% 08/01/21 FA GO N/A None (or less Interest $2,501 - $5,000
COLLEGE STUDENT LN BDS 2015 AMT UT than $1,001)
BEO

12 Brokerage Acct #11 No

12.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $1,001 - $15,000 None (or less
(BDA) (cash) than $201)

Dunn, Anita B - Page 72

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

12.2 ADOBE INC CMN (ADBE) N/A $1,001 - $15,000 None (or less
than $201)

12.3 ANALOG DEVICES, INC. CMN (ADI) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

12.4 ARMSTRONG WORLD INDUSTRIES, INC N/A $1,001 - $15,000 Dividends $1,001 - $2,500
CMN (AWI) Capital Gains

12.5 CROWN CASTLE INTL CORP CMN (CCI) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

12.6 DOLLAR TREE STORES, INC. CMN (DLTR) N/A $15,001 - Capital Gains $5,001 - $15,000
$50,000

12.7 ELECTRONIC ARTS CMN (EA) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

12.8 FISERV, INC. CMN (FISV) N/A $15,001 - Capital Gains $201 - $1,000
$50,000

12.9 ALPHABET INC. CMN CLASS A (GOOGL) N/A $15,001 - Capital Gains $5,001 - $15,000
$50,000

12.10 INTERCONTINENTAL EXCHANGE INC CMN N/A $15,001 - Dividends $201 - $1,000
(ICE) $50,000 Capital Gains

12.11 LKQ CORPORATION CMN (LKQ) N/A $15,001 - Dividends $201 - $1,000
$50,000

12.12 LOWES COMPANIES INC CMN (LOW) N/A $15,001 - Dividends $5,001 - $15,000
$50,000 Capital Gains

12.13 MEDTRONIC PLC CMN (MDT) N/A $15,001 - Capital Gains $5,001 - $15,000
$50,000 Dividends

12.14 VAIL RESORTS, INC. CMN (MTN) N/A $15,001 - None (or less
$50,000 than $201)

12.15 OTIS WORLDWIDE CORPORATION CMN N/A $15,001 - None (or less
(OTIS) $50,000 than $201)

Dunn, Anita B - Page 73

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

12.16 LIVERAMP HOLDINGS, INC. CMN (RAMP) N/A $1,001 - $15,000 None (or less
than $201)

12.17 SOTERA HEALTH COMPANY CMN (SHC) N/A $1,001 - $15,000 None (or less
than $201)

12.18 S&P GLOBAL INC. CMN (SPGI) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

12.19 SKYWORKS SOLUTIONS, INC. CMN N/A $15,001 - Dividends $2,501 - $5,000
(SWKS) $50,000 Capital Gains

12.20 SYSCO CORPORATION CMN (SYY) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

12.21 VISA INC. CMN CLASS A (V) N/A $15,001 - None (or less
$50,000 than $201)

12.22 VULCAN MATERIALS CO CMN (VMC) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

12.23 VERISK ANALYTICS, INC. CMN (VRSK) N/A $1,001 - $15,000 None (or less
than $201)

12.24 VERISIGN, INC. CMN (VRSN) N/A $1,001 - $15,000 None (or less
than $201)

12.25 WASTE MANAGEMENT INC CMN (WM) N/A $15,001 - Dividends $2,501 - $5,000
$50,000 Capital Gains

12.26 WARBY PARKER INC CMN (WRBY) N/A $1,001 - $15,000 None (or less
than $201)

12.27 BAXTER INTERNATIONAL INC CMN (BAX) N/A None (or less Capital Gains $2,501 - $5,000
than $1,001) Dividends

12.28 BRUNSWICK CORP. CMN (BC) N/A None (or less Capital Gains $5,001 - $15,000
than $1,001) Dividends

12.29 CDW CORPORATION CMN (CDW) N/A None (or less Capital Gains $2,501 - $5,000
than $1,001) Dividends

Dunn, Anita B - Page 74

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

12.30 MC DONALDS CORP CMN (MCD) N/A None (or less Capital Gains $5,001 - $15,000
than $1,001) Dividends

12.31 NORFOLK SOUTHERN CORP CMN (NSC) N/A None (or less Capital Gains $5,001 - $15,000
than $1,001) Dividends

12.32 PUBLIC STORAGE CMN (PSA) N/A None (or less Capital Gains $5,001 - $15,000
than $1,001) Dividends

12.33 STARBUCKS CORP. CMN (SBUX) N/A None (or less Capital Gains $5,001 - $15,000
than $1,001) Dividends

12.34 ZEBRA TECHNOLOGIES INC CMN CLASS A N/A None (or less Capital Gains $5,001 - $15,000
(ZBRA) than $1,001)

13 Brokerage Acct #12 No

13.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $15,001 - None (or less
(BDA) (cash) $50,000 than $201)

13.2 AIA GROUP LIMITED SPONSORED ADR N/A $15,001 - Dividends $201 - $1,000
CMN SERIES (AAGIY) $50,000

13.3 AMBEV S.A. SPONSORED ADR CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(ABEV)

13.4 ADYEN N.V. ADR CMN (ADYEY) N/A $15,001 - Capital Gains $5,001 - $15,000
$50,000

13.5 AIR LIQUIDE SA ADR CMN (AIQUY) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

13.6 ALCON, INC. CMN (ALC) N/A $1,001 - $15,000 None (or less
than $201)

13.7 ALFA LAVAL AB UNSPONSORED ADR CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(ALFVY)

13.8 ALLIANZ SE ADR CMN (ALIZY) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

13.9 ATLAS COPCO AB SPONS ADR NEW N/A $15,001 - Dividends $201 - $1,000
REPSTG COM SER-A (ATLKY) $50,000

Dunn, Anita B - Page 75

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

13.10 BANCO BILBAO VIZCAYA S A ADR N/A $1,001 - $15,000 Dividends $1,001 - $2,500
SPONSORED ADR CMN USD0.3296 (BBVA) Capital Gains

13.11 BHP GROUP LTD SPONSORED ADR CMN N/A $15,001 - Dividends $1,001 - $2,500
(BHP) $50,000

13.12 CHUGAI PHARMACEUTICAL CO., LTD N/A $1,001 - $15,000 Dividends $201 - $1,000
UNSPONSORED ADR CMN (CHGCY)

13.13 CHECK POINT SOFTWARE TECH. LTD N/A $15,001 - None (or less
ORDINARY SHARES (CHKP) $50,000 than $201)

13.14 CANADIAN NATIONAL RAILWAY CO. CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(CNI)

13.15 CSPC PHARMACEUTICAL GROUP LIMI N/A $1,001 - $15,000 None (or less
ADR CMN (CSPCY) than $201)

13.16 DASSAULT SYSTEMES SPONSORED ADR N/A $1,001 - $15,000 Dividends $2,501 - $5,000
CMN (DASTY) Capital Gains

13.17 DBS GROUP HOLDINGS SPONSORED ADR N/A $15,001 - Dividends $201 - $1,000
CMN (DBSDY) $50,000

13.18 DIAGEO PLC SPON ADR (NEW) N/A $1,001 - $15,000 Dividends $201 - $1,000
SPONSORED ADR CMN (DEO) Capital Gains

13.19 EPIROC AB ADR CMN (EPOKY) N/A $1,001 - $15,000 Dividends $201 - $1,000

13.20 FANUC CORPORATION UNSPONSORED N/A $1,001 - $15,000 Dividends $201 - $1,000
ADR CMN (FANUY) Capital Gains

13.21 FOMENTO ECONOMICO MEXICANO SAB N/A $1,001 - $15,000 None (or less
DE C.V. NEW SPONS ADR (FMX) than $201)

13.22 HDFC BANK LIMITED SPONSORED ADR N/A $1,001 - $15,000 None (or less
CMN (HDB) than $201)

13.23 HAIER SMART HOME CO.,LTD. ADR CMN N/A $1,001 - $15,000 None (or less
(HSHCY) than $201)

13.24 ICICI BANK LIMITED SPONS ADR (IBN) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 76

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

13.25 INFINEON TECHNOLOGIES AG - ADR N/A $15,001 - Dividends $2,501 - $5,000

SPONSORED ADR CMN 1 ADR = 1 SHARE $50,000 Capital Gains
(IFNNY)

13.26 KOMATSU LTD ADR (NEW) SPONSORED N/A $1,001 - $15,000 Dividends $201 - $1,000
GDS CMN (KMTUY) Capital Gains

13.27 KUBOTA CORP ADR ADR CMN (KUBTY) N/A $1,001 - $15,000 Dividends $201 - $1,000

13.28 LINDE PLC CMN (LIN) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

13.29 L'OREAL CO (ADR) ADR CMN (LRLCY) N/A $15,001 - Dividends $201 - $1,000
$50,000

13.30 LUKOIL PJSC SPONSORED ADR CMN N/A None (or less Dividends $1,001 - $2,500
(LUKOY) than $1,001)

13.31 LONZA GROUP AG UNSPONSORED ADR N/A $1,001 - $15,000 Dividends $1,001 - $2,500
CMN (LZAGY) Capital Gains

13.32 NITORI HOLDINGS CO., LTD. ADR CMN N/A $1,001 - $15,000 None (or less
(NCLTY) than $201)

13.33 NESTLE SA SPONSORED ADR (NSRGY) N/A $1,001 - $15,000 Dividends $201 - $1,000

13.34 NOVOZYMES AS UNSPONSORED ADR N/A $1,001 - $15,000 None (or less
CMN (NVZMY) than $201)

13.35 PING AN INS GRP CO OF CHINA N/A $1,001 - $15,000 Dividends $201 - $1,000
SPONSORED ADR CMN (PNGAY)

13.36 ROCHE HOLDING AG ADR B SHS (RHHBY) N/A $15,001 - Dividends $1,001 - $2,500
$50,000

13.37 RIO TINTO PLC SPONSORED ADR (RIO) N/A $1,001 - $15,000 Dividends $1,001 - $2,500

13.38 SAP SE (SPON ADR) (SAP) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

Dunn, Anita B - Page 77

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

13.39 SCHNEIDER ELECTRIC SE N/A $1,001 - $15,000 Dividends $201 - $1,000

UNSPONSORED ADR (FRANCE)
SCHNEIDER ELECTRIC SE UNSPONSO
(SBGSY)

13.40 SHIONOGI & CO., LTD. UNSPONSORED N/A $1,001 - $15,000 None (or less
ADR CMN (SGIOY) than $201)

13.41 SGS SA ADR CMN (SGSOY) N/A $1,001 - $15,000 Dividends $201 - $1,000

13.42 SHELL PLC SPONSORED ADR CMN (SHEL) N/A $1,001 - $15,000 None (or less
than $201)

13.43 SONOVA HOLDING AG (THE) N/A $1,001 - $15,000 Dividends $2,501 - $5,000
UNSPONSORED ADR CMN (SONVY)

13.44 SHISEIDO CO., LTD. SPONSORED ADR N/A $1,001 - $15,000 None (or less
CMN (SSDOY) than $201)

13.45 SYSMEX CORPORATION ADR CMN N/A $1,001 - $15,000 None (or less
(SSMXY) than $201)

13.46 SYMRISE AG UNSPONSORED ADR CMN N/A $1,001 - $15,000 None (or less
(SYIEY) than $201)

13.47 TENCENT HOLDINGS LIMITED N/A $1,001 - $15,000 Dividends $201 - $1,000
UNSPONSORED ADR CMN (TCEHY)

13.48 P.T. TELEKOMUNIKASI INDONESIA ADS N/A $1,001 - $15,000 None (or less
(TLK) than $201)

13.49 TAIWAN SEMICONDUCTOR MFG ADS LTD N/A $15,001 - Capital Gains $5,001 - $15,000
ADS (TSM) $50,000 Dividends

13.50 UNICHARM CORP. SPONSORED ADR CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(UNICY) Capital Gains

13.51 ENN ENERGY HOLDINGS LIMITED ADR N/A $1,001 - $15,000 None (or less
CMN (XNGSY) than $201)

13.52 XP INC CMN CLASS A (XP) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 78

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

13.53 ADECCO GRP AG ADR CMN (AHEXY) N/A None (or less Capital Gains $201 - $1,000
than $1,001) Dividends

13.54 ADIDAS AG ADR CMN (ADDYY) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001)

13.55 AIRBUS S.E. ADR CMN (EADSY) N/A None (or less Capital Gains $2,501 - $5,000
than $1,001)

13.56 ANGLO AMERICAN PLC SPONSORED ADR N/A None (or less Capital Gains $2,501 - $5,000
CMN (NGLOY) than $1,001)

13.57 ASML HOLDING N.V. ADR CMN (ASML) N/A None (or less Capital Gains $2,501 - $5,000
than $1,001)

13.58 BAE SYSTEMS PLC SPONSORED ADR N/A None (or less Capital Gains $201 - $1,000
CMN (BAESY) than $1,001)

13.59 CAPGEMINI ADR CMN (CGEMY) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001)

13.60 CARLSBERG A/S SPONSORED ADR CMN N/A None (or less Capital Gains $2,501 - $5,000
(CABGY) than $1,001)

13.61 COMPAGNIE DE SAINT-GOBAIN N/A None (or less Capital Gains $2,501 - $5,000
UNSPONSORED ADR CMN (CPDYY) than $1,001)

13.62 DANONE SPONSORED ADR CMN (DANOY) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

13.63 DEUTSCHE BOERSE AG UNPOSNORED N/A None (or less Capital Gains $1,001 - $2,500
ADR CMN (DBOEY) than $1,001)

13.64 DEUTSCHE POST AG SPONSORED ADR N/A None (or less Capital Gains $1,001 - $2,500
CMN (DPSGY) than $1,001)

13.65 ENEL SOCIETA PER AZIONI ADR CMN N/A None (or less Capital Gains $1,001 - $2,500
(ENLAY) than $1,001)

13.66 ENTAIN PLC ADR CMN (GMVHY) N/A None (or less Capital Gains $1,001 - $2,500
than $1,001)

Dunn, Anita B - Page 79

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

13.67 HITACHI LTD (ADR 10 COM) ADR CMN N/A None (or less Capital Gains $1,001 - $2,500
(HTHIY) than $1,001)

13.68 ISHARES MSCI ACWI EX US EXCHANGE- N/A None (or less Capital Gains $201 - $1,000
TRADED FUND (ACWX) than $1,001)

13.69 JULIUS BAER GRUPPE AG ADR CMN N/A None (or less Capital Gains $1,001 - $2,500
(JBAXY) than $1,001)

13.70 KBC GROUP NV UNSPONSORED ADR N/A None (or less Capital Gains $201 - $1,000
CMN (KBCSY) than $1,001)

13.71 KONINKLIJKE PHILIPS N.V. ADR CMN N/A None (or less Capital Gains $1,001 - $2,500
(PHG) than $1,001)

13.72 MERCK KGAA SPONSORED ADR CMN N/A None (or less Capital Gains $1,001 - $2,500
(MKKGY) than $1,001)

13.73 MURATA MANUFACTURING CO., LTD. N/A None (or less Capital Gains $1,001 - $2,500
UNSPONSORED ADR CMN (MRAAY) than $1,001)

13.74 NORDEA BANK ABP SPONSORED ADR N/A None (or less Capital Gains $1,001 - $2,500
CMN (NRDBY) than $1,001)

13.75 P.T. TELEKOMUNIKASI INDONESIA ADS N/A None (or less Dividends $201 - $1,000
(TLK) than $1,001)

13.76 PERNOD RICARD UNSPONSORRED ADR N/A None (or less Capital Gains $1,001 - $2,500
CMN (PRNDY) than $1,001)

13.77 PROSUS NV SPONSORED ADR CMN N/A None (or less Capital Gains $2,501 - $5,000
(PROSY) than $1,001)

13.78 RECKITT BENCKISER GROUP PLC N/A None (or less Capital Gains $201 - $1,000
SPONSORED ADR CMN (RBGLY) than $1,001)

13.79 ROYAL DUTCH SHELL PLC SPONSORED N/A None (or less Dividends $201 - $1,000
ADR CMN SERIES B (RDS/B) than $1,001)

13.80 SANDS CHINA LTD ADR CMN (SCHYY) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

Dunn, Anita B - Page 80

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

13.81 SIEMENS AKTIENGESELLSCHAFT N/A None (or less Capital Gains $1,001 - $2,500
SPONSORED ADR CMN (SIEGY) than $1,001)

13.82 SMITH & NEPHEW PLC ADR CMN (SNN) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

13.83 YUM CHINA HOLDINGS, INC. CMN (YUMC) N/A None (or less Capital Gains $201 - $1,000
than $1,001)

13.84 ZURICH INS GROUP LTD SPONSORED N/A None (or less Capital Gains $201 - $1,000
ADR CMN (ZURVY) than $1,001)

14 Brokerage Acct #13 No

14.1 GOLDMAN SACHS BANK USA DEPOSIT N/A None (or less None (or less
(BDA) (cash) than $1,001) than $201)

14.2 BNP PARIBAS LINKED TO BASKET OF N/A $100,001 - None (or less
INDICES UPSIDE LEVERED CAPPED W $250,000 than $201)
BUFFER STRUCTURED NOTE DUE
09/14/2022

14.3 BNP PARIBAS LINKED TO BASKET OF N/A $50,001 - None (or less
INDICES UPSIDE LEVERED CAPPED W $100,000 than $201)
BUFFER STRUCTURED NOTE DUE
01/12/2024

14.4 HSBC USA INC. LINKED TO BASKET OF N/A $100,001 - None (or less
INDICES UPSIDE LEVERED CAPPED W $250,000 than $201)
BUFFER STRUCTURED NOTE DUE
06/22/2022

14.5 CITIGROUP INC. LINKED TO BASKET OF N/A $100,001 - None (or less
INDICES UPSIDE LEVERED CAPPED W $250,000 than $201)
BUFFER STRUCTURED NOTE DUE
07/26/2024

14.6 JPMORGAN CHASE & CO. LINKED TO N/A $100,001 - None (or less
BASKET OF INDICES UPSIDE LEVERED $250,000 than $201)
CAPPED W BUFFER STRUCTURED NOTE
DUE 01/12/2023

Dunn, Anita B - Page 81

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

14.7 MORGAN STANLEY FINANCE LLC LINKED N/A $50,001 - None (or less
TO BASKET OF INDICES UPSIDE LEVERED $100,000 than $201)
CAPPED W BUFFER STRUCTURED NOTE
DUE 06/08/2023

14.8 TORONTO DOMINION BANK LINKED TO N/A $100,001 - None (or less
BASKET OF INDICES UPSIDE LEVERED $250,000 than $201)
CAPPED W BUFFER STRUCTURED NOTE
DUE 04/12/2024

14.9 UBS AG LINKED TO BASKET OF INDICES N/A $100,001 - None (or less
UPSIDE LEVERED CAPPED W BUFFER $250,000 than $201)
STRUCTURED NOTE DUE 10/18/2023

14.10 CANADIAN IMPERIAL BANK OF COMM N/A $100,001 - None (or less
LINKED TO BASKET OF INDICES UPSIDE $250,000 than $201)
LEVERED CAPPED W BUFFER
STRUCTURED NOTE DUE 07/12/2024

14.11 THE BANK OF NOVA SCOTIA LINKED TO N/A None (or less Capital Gains $5,001 - $15,000
BASKET OF INDICES UPSIDE LEVERED than $1,001)
CAPPED W BUFFER STRUCTURED NOTE
DUE 04/29/2022

14.12 CREDIT SUISSE AG LINKED TO BASKET N/A None (or less Capital Gains $50,001 -
OF INDICES UPSIDE LEVERED CAPPED W than $1,001) $100,000
BUFFER STRUCTURED NOTE DUE
04/21/2022

14.13 THE BANK OF NOVA SCOTIA LINKED TO N/A None (or less Capital Gains $15,001 -
BASKET OF INDICES UPSIDE LEVERED than $1,001) $50,000
CAPPED W BUFFER STRUCTURED NOTE
DUE 03/31/2022

14.14 CITIGROUP INC. LINKED TO BASKET OF N/A None (or less Capital Gains $15,001 -
INDICES UPSIDE LEVERED CAPPED W than $1,001) $50,000
BUFFER STRUCTURED NOTE DUE
12/27/2021

14.15 SOCIETE GENERALE LINKED TO BASKET N/A None (or less Capital Gains $15,001 -
OF INDICES UPSIDE LEVERED CAPPED W than $1,001) $50,000
BUFFER STRUCTURED NOTE DUE
06/03/2021

Dunn, Anita B - Page 82

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

15 Brokerage Acct #14 No

15.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $1,001 - $15,000 None (or less
(BDA) (cash) than $201)

15.2 ABBVIE INC CMN (ABBV) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

15.3 ABBOTT LABORATORIES CMN (ABT) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.4 AUTOMATIC DATA PROCESSING INC CMN N/A $1,001 - $15,000 Dividends $1,001 - $2,500
(ADP) Capital Gains

15.5 AMERICAN TOWER CORPORATION CMN N/A $1,001 - $15,000 Dividends $201 - $1,000
(AMT) Capital Gains

15.6 AIR PRODUCTS & CHEMICALS INC CMN N/A $15,001 - Dividends $201 - $1,000
(APD) $50,000 Capital Gains

15.7 BROADCOM INC. CMN (AVGO) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

15.8 BEST BUY CO INC CMN (BBY) N/A $1,001 - $15,000 Dividends $201 - $1,000

15.9 BLACKROCK, INC. CMN (BLK) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

15.10 CROWN CASTLE INTL CORP CMN (CCI) N/A $15,001 - Dividends $1,001 - $2,500
$50,000 Capital Gains

15.11 COMCAST CORPORATION CMN CLASS A N/A $1,001 - $15,000 Dividends $201 - $1,000
VOTING (CMCSA) Capital Gains

15.12 CISCO SYSTEMS, INC. CMN (CSCO) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.13 CHEVRON CORPORATION CMN (CVX) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

15.14 EVERSOURCE ENERGY CMN (ES) N/A $1,001 - $15,000 None (or less
than $201)

Dunn, Anita B - Page 83

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

15.15 EATON CORP PLC CMN (ETN) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.16 CORNING INCORPORATED CMN (GLW) N/A $1,001 - $15,000 None (or less
than $201)

15.17 THE HOME DEPOT, INC. CMN (HD) N/A $1,001 - $15,000 Dividends $2,501 - $5,000
Capital Gains

15.18 ILLINOIS TOOL WORKS CMN (ITW) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.19 JPMORGAN CHASE & CO CMN (JPM) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

15.20 KEURIG DR PEPPER INC CMN (KDP) N/A $1,001 - $15,000 None (or less
than $201)

15.21 ELI LILLY & CO CMN (LLY) N/A $1,001 - $15,000 Dividends $2,501 - $5,000
Capital Gains

15.22 LOCKHEED MARTIN CORPORATION CMN N/A $1,001 - $15,000 Dividends $1,001 - $2,500
(LMT) Capital Gains

15.23 MC DONALDS CORP CMN (MCD) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.24 MONDELEZ INTERNATIONAL, INC. CMN N/A $15,001 - Dividends $201 - $1,000
(MDLZ) $50,000 Capital Gains

15.25 MEDTRONIC PLC CMN (MDT) N/A $1,001 - $15,000 Capital Gains $201 - $1,000
Dividends

15.26 MARSH & MCLENNAN CO INC CMN (MMC) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.27 MERCK & CO., INC. CMN (MRK) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

15.28 MICROSOFT CORPORATION CMN (MSFT) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

Dunn, Anita B - Page 84

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

15.29 NEXTERA ENERGY, INC. CMN (NEE) N/A $15,001 - Dividends $2,501 - $5,000
$50,000 Capital Gains

15.30 REALTY INCOME CORPORATION CMN (O) N/A $1,001 - $15,000 Dividends $201 - $1,000

15.31 PAYCHEX, INC. CMN (PAYX) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

15.32 PEPSICO, INC. CMN (PEP) N/A $15,001 - Dividends $201 - $1,000
$50,000 Capital Gains

15.33 PROCTER & GAMBLE COMPANY CMN (PG) N/A $15,001 - Capital Gains $201 - $1,000
$50,000 Dividends

15.34 PROLOGIS INC CMN (PLD) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.35 PNC FINANCIAL SERVICES GROUP, CMN N/A $15,001 - Dividends $201 - $1,000
(PNC) $50,000 Capital Gains

15.36 PHILLIPS 66 CMN (PSX) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.37 QUALCOMM INC CMN (QCOM) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.38 STARBUCKS CORP. CMN (SBUX) N/A $1,001 - $15,000 Dividends $1,001 - $2,500
Capital Gains

15.39 SEMPRA ENERGY CMN (SRE) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.40 TRUIST FINANCIAL CORPORATION CMN N/A $15,001 - Dividends $201 - $1,000
(TFC) $50,000 Capital Gains

15.41 TEXAS INSTRUMENTS INC. CMN (TXN) N/A $15,001 - Dividends $2,501 - $5,000
$50,000 Capital Gains

15.42 UNITED PARCEL SERVICE, INC. CLASS B N/A $1,001 - $15,000 Dividends $201 - $1,000
COMMON STOCK (UPS) Capital Gains

15.43 U.S. BANCORP CMN (USB) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

Dunn, Anita B - Page 85

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

15.44 WEC ENERGY GROUP, INC. CMN (WEC) N/A $1,001 - $15,000 Dividends $201 - $1,000
Capital Gains

15.45 AMGEN INC. CMN (AMGN) N/A None (or less Capital Gains $201 - $1,000
than $1,001) Dividends

15.46 HONEYWELL INTL INC CMN (HON) N/A None (or less Capital Gains $2,501 - $5,000
than $1,001) Dividends

15.47 JOHNSON & JOHNSON CMN (JNJ) N/A None (or less Capital Gains $201 - $1,000
than $1,001) Dividends

15.48 VERIZON COMMUNICATIONS, INC. CMN N/A None (or less Capital Gains $201 - $1,000
(VZ) than $1,001) Dividends

16 Brokerage Acct #15 No

16.1 GOLDMAN SACHS BANK USA DEPOSIT N/A $50,001 - None (or less
(BDA) (cash) $100,000 than $201)

16.2 GS SHORT DURATION TAX FREE FUND Yes None (or less $15,001 -
CLASS P (GANPX) than $1,001) $50,000

17 TPG TECH ADJACENCIES II ACCESS LLC Yes $15,001 - None (or less
(Private Equity) $50,000 than $201)

18 PRIVATE EQUITY MANAGERS (2020) LP Yes $50,001 - None (or less

(Private Equity) $100,000 than $201)

19 PRIVATE EQUITY MANAGERS (2017) LP Yes $100,001 - $15,001 -

(Private Equity) $250,000 $50,000

20 WEST STREET PRIVATE MARKETS 2022, Yes $100,001 - None (or less
L.P. (Private Equity) $250,000 than $201)

21 U.S. REAL PROPERTY INCOME FUND, L.P. Yes $250,001 - $15,001 -

(Real Estate) $500,000 $50,000

22 WEST STREET SENIOR CREDIT Yes $250,001 - $201 - $1,000

PARTNERS III, L.P. $500,000

23 WEST STREET STRATEGIC SOLUTIONS Yes $250,001 - $2,501 - $5,000

FUND I, L.P. $500,000

Dunn, Anita B - Page 86

# DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

24 HEDGE FUND SELECT: MILLENNIUM LLC Yes $50,001 - None (or less
COMMITMENT CLASS A2 SERIES 2 $100,000 than $201)

25 Knights of Columbus, whole life N/A $15,001 - None (or less

$50,000 than $201)

26 Lincoln Financial Group, whole life See Endnote N/A $50,001 - None (or less
$100,000 than $201)

27 Pacific Life, whole life See Endnote N/A $50,001 - None (or less
$100,000 than $201)

28 US bank #1 (cash) N/A $500,001 - Interest $201 - $1,000

$1,000,000

29 Brighthouse Financial, variable life No

29.1 American Funds Growth Portfolio Yes $250,001 - None (or less
$500,000 than $201)

29.2 Brighthouse/Aberdeen Emerging Markets Yes $100,001 - None (or less

Equity Portfolio (Class B) $250,000 than $201)

29.3 Brighthouse/Franklin Low Duration Total Yes $100,001 - None (or less
Return Portfolio $250,000 than $201)

29.4 Brighthouse/Wellington Core Equity Yes $250,001 - None (or less

Opportunities Portfolio (Class E) $500,000 than $201)

29.5 MetLife MSCI EAFE Index Portfolio Yes $100,001 - None (or less
$250,000 than $201)

29.6 Western Asset Management U.S. Government Yes $100,001 - None (or less
Portfolio (B) $250,000 than $201)

30 Jackson National Life Ins. Co., variable life No

30.1 JNL/MC S&P 500 Index Yes $500,001 - None (or less
$1,000,000 than $201)

30.2 JNL/American Growth-Inc Yes $500,001 - None (or less

$1,000,000 than $201)

Dunn, Anita B - Page 87

 # DESCRIPTION EIF VALUE INCOME TYPE INCOME
AMOUNT

30.3 JNL/MultiMgr Small Cap Value Fund Yes $100,001 - None (or less
$250,000 than $201)

30.4 JNL/MC Small Cap Index Yes $50,001 - None (or less
$100,000 than $201)

30.5 JNL/MC Intl Index Yes $100,001 - None (or less

$250,000 than $201)

30.6 JNL/American International Yes $100,001 - None (or less

$250,000 than $201)

31 Trust #2 No

31.1 John Hancock, universal life No $500,001 - None (or less

$1,000,000 than $201)

32 Lincoln Financial Group, variable life No

32.1 6 Year S&P 500 Cap 20% Protection Yes $500,001 - None (or less
6/29/2020-6/29/2026 $1,000,000 than $201)

32.2 6 Year Capital Strength Cap 20% Protect Yes $500,001 - None (or less
6/29/2020-6/29/2026 $1,000,000 than $201)

7. Transactions

(N/A) - Not required for this type of report

8. Liabilities
# CREDITOR NAME TYPE AMOUNT YEAR RATE TERM
INCURRED

1 PRIVATE EQUITY MANAGERS (2020) LP Capital Call $100,001 - 2019 N/A On Demand
(Private Equity) $250,000

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 # CREDITOR NAME TYPE AMOUNT YEAR RATE TERM
INCURRED

2 PRIVATE EQUITY MANAGERS (2017) LP Capital Call $15,001 - 2017 N/A On Demand
(Private Equity) $50,000

3 WEST STREET PRIVATE MARKETS 2022, Capital Call $100,001 - 2021 N/A On Demand
L.P. (Private Equity) $250,000

4 TPG TECH ADJACENCIES II ACCESS LLC Capital Call $250,001 - 2021 N/A On Demand
(Private Equity) $500,000

5 WEST STREET SENIOR CREDIT Capital Call $500,001 - 2021 N/A On Demand
PARTNERS III, L.P. $1,000,000

6 WEST STREET STRATEGIC SOLUTIONS Capital Call $250,001 - 2020 N/A On Demand
FUND I, L.P. $500,000

7 HEDGE FUND SELECT: MILLENNIUM LLC Capital Call $500,001 - 2021 N/A On Demand
COMMITMENT CLASS A2 SERIES 2 $1,000,000

9. Gifts and Travel Reimbursements

(N/A) - Not required for this type of report

Endnotes
PART # ENDNOTE

2. 6 In connection with the acquisition of SKDKnickerbocker, I entered into a three-year employment agreement
with Stagwell, which has since terminated. The agreement included the right to receive shares of Stagwell
upon certain events which are the shares reported here.

6. 26 Also has long-term care benefit

6. 27 Also has long-term care benefit

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Summary of Contents

1. Filer's Positions Held Outside United States Government

Part 1 discloses positions that the filer held at any time during the reporting period (excluding positions with the United States Government). Positions are reportable even if the
filer did not receive compensation.

This section does not include the following: (1) positions with religious, social, fraternal, or political organizations; (2) positions solely of an honorary nature; (3) positions held as
part of the filer's official duties with the United States Government; (4) mere membership in an organization; and (5) passive investment interests as a limited partner or non-
managing member of a limited liability company.

2. Filer's Employment Assets & Income and Retirement Accounts

Part 2 discloses the following:

● Sources of earned and other non-investment income of the filer totaling more than $200 during the reporting period (e.g., salary, fees, partnership share, honoraria,
scholarships, and prizes)
● Assets related to the filer's business, employment, or other income-generating activities (1) that ended the reporting period with a value greater than $1,000 or (2) from
which more than $200 in income was received during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and their
underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents)

This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's business, employment, or
other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of income is $0 - $200 or if the
asset qualifies as an excepted investment fund (EIF).

3. Filer's Employment Agreements and Arrangements

Part 3 discloses agreements or arrangements that the filer had during the reporting period with an employer or former employer (except the United States Government), such as
the following:

● Future employment
● Leave of absence
● Continuing payments from an employer, including severance and payments not yet received for previous work (excluding ordinary salary from a current employer)
● Continuing participation in an employee welfare, retirement, or other benefit plan, such as pensions or a deferred compensation plan
● Retention or disposition of employer-awarded equity, sharing in profits or carried interests (e.g., vested and unvested stock options, restricted stock, future share of a
company's profits, etc.)

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4. Filer's Sources of Compensation Exceeding $5,000 in a Year

Part 4 discloses sources (except the United States Government) that paid more than $5,000 in a calendar year for the filer's services during any year of the reporting period.

The filer discloses payments both from employers and from any clients to whom the filer personally provided services. The filer discloses a source even if the source made its
payment to the filer's employer and not to the filer. The filer does not disclose a client's payment to the filer's employer if the filer did not provide the services for which the client
is paying.

5. Spouse's Employment Assets & Income and Retirement Accounts

Part 5 discloses the following:

● Sources of earned income (excluding honoraria) for the filer's spouse totaling more than $1,000 during the reporting period (e.g., salary, consulting fees, and partnership
share)
● Sources of honoraria for the filer's spouse greater than $200 during the reporting period
● Assets related to the filer's spouse's employment, business activities, other income-generating activities (1) that ended the reporting period with a value greater than $1,000
or (2) from which more than $200 in income was received during the reporting period (e.g., equity in business or partnership, stock options, retirement plans/accounts and
their underlying holdings as appropriate, deferred compensation, and intellectual property, such as book deals and patents)

This section does not include assets or income from United States Government employment or assets that were acquired separately from the filer's spouse's business,
employment, or other income-generating activities (e.g., assets purchased through a brokerage account). Note: The type of income is not required if the amount of income is $0
- $200 or if the asset qualifies as an excepted investment fund (EIF). Amounts of income are not required for a spouse's earned income (excluding honoraria).

6. Other Assets and Income

Part 6 discloses each asset, not already reported, (1) that ended the reporting period with a value greater than $1,000 or (2) from which more than $200 in investment income
was received during the reporting period. For purposes of the value and income thresholds, the filer aggregates the filer's interests with those of the filer's spouse and dependent
children.

This section does not include the following types of assets: (1) a personal residence (unless it was rented out during the reporting period); (2) income or retirement benefits
associated with United States Government employment (e.g., Thrift Savings Plan); and (3) cash accounts (e.g., checking, savings, money market accounts) at a single financial
institution with a value of $5,000 or less (unless more than $200 in income was received). Additional exceptions apply. Note: The type of income is not required if the amount of
income is $0 - $200 or if the asset qualifies as an excepted investment fund (EIF).

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7. Transactions

Part 7 discloses purchases, sales, or exchanges of real property or securities in excess of $1,000 made on behalf of the filer, the filer's spouse or dependent child during the
reporting period.

This section does not include transactions that concern the following: (1) a personal residence, unless rented out; (2) cash accounts (e.g., checking, savings, CDs, money
market accounts) and money market mutual funds; (3) Treasury bills, bonds, and notes; and (4) holdings within a federal Thrift Savings Plan account. Additional exceptions
apply.

8. Liabilities

Part 8 discloses liabilities over $10,000 that the filer, the filer's spouse or dependent child owed at any time during the reporting period.

This section does not include the following types of liabilities: (1) mortgages on a personal residence, unless rented out (limitations apply for PAS filers); (2) loans secured by a
personal motor vehicle, household furniture, or appliances, unless the loan exceeds the item's purchase price; and (3) revolving charge accounts, such as credit card balances,
if the outstanding liability did not exceed $10,000 at the end of the reporting period. Additional exceptions apply.

9. Gifts and Travel Reimbursements

This section discloses:

● Gifts totaling more than $415 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period.
● Travel reimbursements totaling more than $415 that the filer, the filer's spouse, and dependent children received from any one source during the reporting period.

For purposes of this section, the filer need not aggregate any gift or travel reimbursement with a value of $166 or less. Regardless of the value, this section does not include the
following items: (1) anything received from relatives; (2) anything received from the United States Government or from the District of Columbia, state, or local governments; (3)
bequests and other forms of inheritance; (4) gifts and travel reimbursements given to the filer's agency in connection with the filer's official travel; (5) gifts of hospitality (food,
lodging, entertainment) at the donor's residence or personal premises; and (6) anything received by the filer's spouse or dependent children totally independent of their
relationship to the filer. Additional exceptions apply.

Dunn, Anita B - Page 92

Privacy Act Statement

Title I of the Ethics in Government Act of 1978, as amended (the Act), 5 U.S.C. app. § 101 et seq., as amended by the Stop Trading on Congressional Knowledge Act of 2012
(Pub. L. 112-105) (STOCK Act), and 5 C.F.R. Part 2634 of the U. S. Office of Government Ethics regulations require the reporting of this information. Failure to provide the
requested information may result in separation, disciplinary action, or civil action. The primary use of the information on this report is for review by Government officials to
determine compliance with applicable Federal laws and regulations. This report may also be disclosed upon request to any requesting person in accordance with sections 105
and 402(b)(1) of the Act or as otherwise authorized by law. You may inspect applications for public access of your own form upon request. Additional disclosures of the
information on this report may be made: (1) to any requesting person, subject to the limitation contained in section 208(d)(1) of title 18, any determination granting an exemption
pursuant to sections 208(b)(1) and 208(b)(3) of title 18; (2) to a Federal, State, or local law enforcement agency if the disclosing agency becomes aware of violations or potential
violations of law or regulation; (3) to a source when necessary to obtain information relevant to a conflict of interest investigation or determination; (4) to the National Archives
and Records Administration or the General Services Administration in records management inspections; (5) to the Office of Management and Budget during legislative
coordination on private relief legislation; (6) when the disclosing agency determines that the records are arguably relevant to a proceeding before a court, grand jury, or
administrative or adjudicative body, or in a proceeding before an administrative or adjudicative body when the adjudicator determines the records to be relevant to the
proceeding; (7) to reviewing officials in a new office, department or agency when an employee transfers or is detailed from one covered position to another, a public financial
disclosure report and any accompanying documents, including statements notifying an employee's supervising ethics office of the commencement of negotiations for future
employment or compensation or of an agreement for future employment or compensation; (8) to a Member of Congress or a congressional office in response to an inquiry made
on behalf of and at the request of an individual who is the subject of the record; (9) to contractors and other non-Government employees working on a contract, service or
assignment for the Federal Government when necessary to accomplish a function related to this system of records; (10) on the OGE Website and to any person, department or
agency, any written ethics agreement, including certifications of ethics agreement compliance, filed with OGE by an individual nominated by the President to a position requiring
Senate confirmation; (11) on the OGE Website and to any person, department or agency, any certificate of divestiture issued by OGE; (12) on the OGE Website and to any
person, department or agency, any waiver of the restrictions contained in Executive Order 13770 or any superseding executive order; (13) to appropriate agencies, entities and
persons when there has been a suspected or confirmed breach of the system of records, the agency maintaining the records has determined that there is a risk of harm to
individuals, the agency, the Federal Government, or national security, and the disclosure is reasonably necessary to assist in connection with the agency's efforts to respond to
the suspected or confirmed breach or to prevent, minimize, or remedy such harm; and (14) to another Federal agency or Federal entity, when the agency maintaining the record
determines that information from this system of records is reasonably necessary to assist the recipient agency or entity in responding to a suspected or confirmed breach or in
preventing, minimizing, or remedying the risk of harm to individuals, the recipient agency or entity, the Federal Government, or national security. See also the OGE/GOVT-1
executive branch-wide Privacy Act system of records.

Public Burden Information

This collection of information is estimated to take an average of ten hours per response, including time for reviewing the instructions, gathering the data needed, and completing
the form. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Program
Counsel, U.S. Office of Government Ethics (OGE), Suite 500, 1201 New York Avenue, N.W., Washington, DC 20005-3917.

Pursuant to the Paperwork Reduction Act, as amended, an agency may not conduct or sponsor, and no person is required to respond to, a collection of information unless it
displays a currently valid OMB control number (that number, 3209-0001, is displayed here and at the top of the first page of this OGE Form 278e).

Dunn, Anita B - Page 93