Suzanne H. Bauknight

LPL Financial ROTH IRA #1 (H)

Cash - Goldman Sachs — Interest

PIMCO Income Cl A — Int/Div — Sold (part)

PIMCO Income Cl A — Sold (part)

PIMCO Income Cl A — Sold (part)

PIMCO Income Cl A — Sold (part)

Ishares Core S&P Total US Stock Market FFT — Int/Div — Sold

Franklin Federal Tax Free Income Cl A — Int/Div — Sold (part)

Franklin Federal Tax Free Income Cl A — Sold

Oppenheimer Cap Income C1 A — Int/Div — Sold (part)

Oppenheimer Cap Income C1 A — Sold

Oppenheimer Intl Diversified C1 A — None — Sold

Prudential Real Assets C1 A — Int/Div — Sold

American Funds American Balanced CI F1 — Int/Div — Buy

American Funds American Balanced CI F1 — Sold (part)

American Funds American Balanced CI F1 — Sold (part)

Capital Income Builder CI FI — Int/Div — Buy

Capital Income Builder CI FI — Sold (part)

Capital Income Builder CI FI — Sold (part)

Invesco Interm Mun Income — Int/Div — Buy

Invesco Interm Mun Income — Sold (part)

Invesco Interm Mun Income — Sold (part)

Invesco Equally Weighted S&P 500 C1 A — Int/Div — Buy

Invesco Equally Weighted S&P 500 C1 A — Sold (part)

Invesco Equally Weighted S&P 500 C1 A — Sold (part)

Ishares Russell Mid Cap Growth ETF — Int/Div — Buy

Ishares Russell Mid Cap Growth ETF — Sold (part)

Ishares Russell Mid Cap Growth ETF — Sold (part)

Lord Abbett Short Duration Income C1 A — Int/Div — Buy

Lord Abbett Short Duration Income C1 A — Sold (part)

Lord Abbett Short Duration Income C1 A — Sold (part)

Oppenheimer Intl Growth Cl A — Int/Div — Buy

Oppenheimer Intl Growth Cl A — Buy (add'l)

Oppenheimer Intl Growth Cl A — Sold (part)

Oppenheimer Intl Growth Cl A — Sold (part)

Oppenheimer Developing Markets Cl A — Int/Div — Buy

Oppenheimer Developing Markets Cl A — Sold (part)

Oppenheimer Developing Markets Cl A — Sold (part)

Pinco All Asset C1 A — None — Buy

Pinco All Asset C1 A — Sold (part)

Pinco All Asset C1 A — Sold (part)

Pinco All Asset C1 A — Sold

Powershares QQQ ETF — Int/Div — Buy

Powershares QQQ ETF — Sold (part)

Powershares QQQ ETF — Sold (part)

Prudential Global Real Estate C1 A — Int/Div — Buy

Prudential Global Real Estate C1 A — Sold (part)

Prudential Global Real Estate C1 A — Sold (part)

Prudential Jennison MLP C1 A — Int/Div — Buy

S10. — Sold (part)

S10. — Sold (part)

Ridgeworth SEIX Floating Rate High Income C1 A — Int/Div — Buy

Ridgeworth SEIX Floating Rate High Income C1 A — Sold (part)

Ridgeworth SEIX Floating Rate High Income C1 A — Sold (part)

Wisdomtree Mid Cap Divident ETF — Int/Div — Buy

Wisdomtree Mid Cap Divident ETF — Sold (part)

Wisdomtree Mid Cap Divident ETF — Sold (part)

Pimco All Asset All Authority Cl A — Int/Div — Buy

LPL Financial ROTH IRA 22 (H)

Cash - Goldman Sachs — Interest

Ishares Core S&P Total US Stock Market FTF — Int/Div

Blackrock Strategic Income Opptys Tavestors C1 A — Int/Div — Buy (add'l)

Pimco All Asset All Authority C1 A — Int/Div — Buy (add'l)

Holston Methodist Fed'l CU (Cash Accounts) — Interest

529 College: Rhode Island Hi Ed SVG CBF Age Aggressive Growth — Int/Div

LPL Financial Tradl IRA (H)

Cash - Goldman Sachs — Interest

Oppenheimer Developing Markets Cl A — Int/Div — Sold (part)

John Hancock Disciplined Val Mid Cap C1 A — None — Sold

PIMCO Income C1 A — Int/Div — Buy

Prudential Global Real Estate C1 A — Int/Div — Buy (add'l)

Ishares Russell Mid Cap Growth ETF — Int/Div — Sold (part)

Invesco Interm Term Mun Income C1 A — Int/Div

Blackrock Global Long Short Credit Investor C1 A — None — Sold

Eaton Vance National Mun Income Cl A — Int/Div — Sold

JPMorgan Intrepid C1 A — Int/Div — Sold

Lord Abbett Short Duration Income C1 A — Int/Div — Sold (part)

Oppenheimer Int'l Growth C1 A — Int/Div — Sold (part)

Prudential World Jennison Global Infra Cl A — Int/Div — Sold

Prudential Invt 18 Jennison MLP Cl A — Int/Div — Sold (part)

Pimco All Asset All Authority C1 A — Int/Div — Sold (part)

Pimco All Asset All Authority C1 A — Buy (add'l)

Natixis Asg Global Altermatives — None — Sold

Mainstay High Yield Corp Bond CI A — Int/Div — Sold

Mainstay Large Cap Growth C1 A — None — Sold

Ridgeworth SEIX Floating Rate High Income C1 A — Int/Div — Sold (part)

Powershares (QQ ETF — Int/Div — Buy

Wisdomtree Mid Cap Divident E11 — Int/Div — Buy

Invesco Equally Weighted S&P 500 Cl A — Int/Div — Buy

American Funds American Balanced Cl A — Int/Div — Buy

Capital Income Builder C1 Fi — Int/Div — Buy

Pinco All Asset C1 A — None — Buy

Pinco All Asset C1 A — Sold

LPL Fmancial (Cash Account) — Interest

Employee (adjunct professor), University of Tennessee College of Law, Knoxville, TN

Chur, Admimstrative Board, Powell United Methodist Church, Powell, TN

Officer (Immediate Past President) 1/16 - 5/16, Hamilton Bumertt Amencan Inn of Court, Knoxville, TN

Reimbursement — Tennessee Bar Association — 429/16 - 5/1/16 — Gatlinburg, TN — seminar faculty — lodging, meals, trunsportation

Reimbursement — National Conference of Bankruptcy Judges — 1025/16 - 10/29/16 — San Francisco, CA — SCs — portion of lodgmg

Reimbursement — Mud-South Commercial Law Institute — 113016 - 12/2/16 — Nashville, TN — sermnar faculty — lodgmg, meals, tuition

Income — 112016 — University of Tennessee College of Law - teaching — $3,300.00

Spouse's income — 2016 — Powell Umited Methodist Church

In the 2015 report, the partial sale dated 8/21/15 reported for Oppenheimer Senior Floating Rate C1 A in the LPL Financial Tradl IRA was a full sale.