Thomas Charles Rogers

2016Annual

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Pull out the substance of this filing.

What was filed

  • 108

    investments

  • 0

    positions

  • 0

    gifts

  • 0

    agreements

  • 0

    debts

  • 0

    reimbursements

  • 0

    income

  • 0

    spouse income

As filed

S10. — Sold

1.25a Florence C (1/2011. $10,000) — None

Brokerage account # (Marked as # )

First Clearing, LLC - Cash balance — None

1-AT&T Inc — Int/Div

1 -Aimmune Therapeutics Inc — Int/Div — Buy

1 -Aimmune Therapeutics Inc — Sold

4] «Verizon Communications Com — Int/Div

1-SC Jobs Econ DV Ath Stdnt 4.25% R124 "Y" — Int/Div

Brokerage account # 2 (Marked as # 2)

2 Cash balance - First Clearing, LLC — Int/Div

42 Exxon Mobil Corp — Int/Div — Sold (part)

Brokerage account # 3 (Marked as # 3)

3. Ameritrade MMDA Account - Cash balance — Int/Div

23-AT&T Inc Com (T) — None — Buy

23-AT&T Inc Com (T) — Sold

3 Aimmune Therapeutics Inc com (AIMT) — None — Buy

3 Aimmune Therapeutics Inc com (AIMT) — None — Sold

3 Aimmune Therapeutics Inc com (AIMT) — None — Buy

3 Aimmune Therapeutics Inc com (AIMT) — None — Sold

3 Aimmune Therapeutics Inc com (AIMT) — Buy

3 Aimmune Therapeutics Inc com (AIMT) — Sold

3 Aimmune Therapeutics Inc com (AIMT) — Buy

3 Aimmune Therapeutics Inc com (AIMT) — Sold

3 Aimmune Therapeutics Inc com (AIMT) — None — Buy

3 Aimmune Therapeutics Inc com (AIMT) — None — Sold

3 Aimmune Therapeutics Inc com (AIMT) — None — Buy

3 Aimmune Therapeutics Inc com (AIMT) — Sold

13. Pharmacvte Biotech Inc Com (PMCB) — None — Buy

13. Pharmacvte Biotech Inc Com (PMCB) — Sold

13. Pharmacvte Biotech Inc Com (PMCB) — None — Buy

13. Pharmacvte Biotech Inc Com (PMCB) — Sold

13. Pharmacvte Biotech Inc Com (PMCB) — Buy

13. Pharmacvte Biotech Inc Com (PMCB) — Sold

13. Pharmacvte Biotech Inc Com (PMCB) — Buy

13. Pharmacvte Biotech Inc Com (PMCB) — Sold

13. Pharmacvte Biotech Inc Com (PMCB) — Buy

13. Pharmacvte Biotech Inc Com (PMCB) — Sold

3. Restoration Hardware Hldgs Inc N/C — None — Buy

3. Restoration Hardware Hldgs Inc N/C — Sold

3. Sarepta Therapeutics Inc. Com (SRPT) — None — Buy

3. Sarepta Therapeutics Inc. Com (SRPT) — Sold

3. Sarepta Therapeutics Inc. Com (SRPT) — Buy

3. Sarepta Therapeutics Inc. Com (SRPT) — Sold

3. Sarepta Therapeutics Inc. Com (SRPT) — Buy

3. Sarepta Therapeutics Inc. Com (SRPT) — Sold

3. Sarepta Therapeutics Inc. Com (SRPT) — Buy

3. Sarepta Therapeutics Inc. Com (SRPT) — Sold

3. Sarepta Therapeutics Inc. Com (SRPT) — Buy

3. Sarepta Therapeutics Inc. Com (SRPT) — Sold

S10. — Buy

43. Summit Therapeutics PLC ADR (SMMT) — None — Buy

43. Summit Therapeutics PLC ADR (SMMT) — None — Sold

3. Synergy Pharmaceuticals Inc Com (SGYM — None — Buy

3. Synergy Pharmaceuticals Inc Com (SGYM — None — Sold

3 -Sarepta Therapeutics Inc SRPT Sep 02 206 (SRPT) — None — Buy

3 -Sarepta Therapeutics Inc SRPT Sep 02 206 (SRPT) — Sold

3. Sarepta Therapeutics Inc SRPT Jan 19 2018(SRPT) — None — Buy

3. Sarepta Therapeutics Inc SRPT Jan 19 2018(SRPT) — Sold

23. Pharmacvte Biotech Ine Com (PMCB) — None — Buy

3. Synergy Pharmaceuticals Inc Com ISGYM — None — Buy

South State Bank (also called South Carolina Bank & Trust) checking — None

NBSC (also called National Bank of South Carolina) — Interest

Wells Fargo, NA — Interest

Equitable Vanable: EQ Aggressive (whole life policy) — None

Jefferson-Pilot Adjustable Life policy — None

UGMA 2 A (Markedas ¥ A)

A - Capital World Growth & Income Fund Ine CIC (ICWGCX) — Int/Div — with line 69)

A - Capital World Growth & Income Fund «Class F<1 (CWGFX) — Int/Div

A - First Clearing , LLC - Cash balance — Interest

A American Fds Washmgton Mut (Edu Svs Acct no control) — Int/Div

UGMA # A. Trust (Marked as #2 AT!)

4 ATI - First Clearing, LLC - Cash balance — Int/Div

2ATI-AT&T Ine. (T) — Int/Div

ATI - Russell Invt Co Multi-stragegy (RMSSX) — None — Sold (part)

ATI - Russell Invt Co Multi-stragegy (RMSSX) — Sold

4 ATI - Russell Invt Co Global Infrastructure Fd Class S (RGISX) — Int/Div — Sold (part)

4 ATI - Russell Invt Co Global Infrastructure Fd Class S (RGISX) — Sold

ATI - Russell Invt Co Commodity Strategies Fd C1 S (RCCSX) — Int/Div — Sold (part)

ATI - Russell Invt Co Commodity Strategies Fd C1 S (RCCSX) — Sold

ATI - Russell Invt Co Global Opportunistic Cr Fd C1 S (RGCSX) — None — Sold

ATI - Russell Emerging Mkts C1 S (REMSX) — Int/Div — Sold (part)

ATI - Russell Emerging Mkts C1 S (REMSX) — Sold

ATI Russell Invt Co Global Real Estate Secs FA CIS (RRESX) — Int/Div — Sold (part)

ATI Russell Invt Co Global Real Estate Secs FA CIS (RRESX) — Sold

ATI - Russell GIbl Eqty Class § (RGESX) — Int/Div — Sold (part)

ATI - Russell GIbl Eqty Class § (RGESX) — Sold

ATI - Russell US Small Cap Equity Class S (RLESX) — Int/Div — Sold (part)

ATI - Russell US Small Cap Equity Class S (RLESX) — Sold

ATI - Russell Intl Develpd Mkts Fd Class S(RINTX) — Int/Div — Sold (part)

ATI - Russell Intl Develpd Mkts Fd Class S(RINTX) — Sold

ATI - Russell Invt Co US Strategic Equity Fd Class S (RSESX) — Int/Div — Sold (part)

ATI - Russell Invt Co US Strategic Equity Fd Class S (RSESX) — Sold

ATI - Thomburg Invt Tr Global Opportunities Fd (THOCX) — Int/Div — Buy

ATI - Thomburg Invt Tr Global Opportunities Fd (THOCX) — Sold (part)

2 ATI - Hartford Fortis Funds (HGOCX) — Int/Div — Buy

ATI - Hartford Mut Fds Inc (HIOCX) — Int/Div — Buy

2 ATI - Hartford Mut Fds (HDGCX) — Int/Div — Buy

ATI -MFS Ser Tr XH (DIFCX) — Int/Div — Buy

2 ATI « Principal Fds Inc (PMSCX) — Int/Div — Buy

2 ATI - Thorburg Invt Tr (THOCX) — Int/Div — Buy

UGMA 2B (Marked ad #2 B)

B - Capital Worl-Growth & Income Fund Ine. C1 CICWGCX) — Int/Div — with line 104)

2B - Capital World Growth & Income Fund «F-1 (CWGFX) — Int/Div

B First Clearing . LLC - Cash balance — Interest

B Columbia Mgmt Futre Schol 529 Collge Svng Pl (no control) — Int/Div

4B -BP PLC stock — Int/Div

1/2 condo Murrells Inlet, SC, Georgetown County Buver John J Fishkind — Rent — Sold

In Part VIL, page 4, line 1, Column B(1) for 1.25 acres Florence County received no rental income for the year therefore, column B{2) is "None".

Part VII Investmenst and Trust, line 62 South State Bank. SCB&T (also known as South Carolina Bank & Trust) changed names to South State Bank,

Part VII Investments and Trust, line 68 and 103 Capital World Growth & Income Fd Inc C1 C (CWGCX) converts to Class F-1 shares after 10 years. The

exchange took place on 12/13/2016 and they were combined with lines 69 and 104. The converted shares are called Capital World Growth & Income Fund-Class

F-1 (CWCFX).

Part VII, lines 3, 10, 13, 70,73, and 105 are the money market account portions of the brokerage accounts which uct as sweep accounts for uninvested cash in that

specific brokerage account. We believe these to be a widely held accounts because they are 4 part of the brokerage accounts.

Part VIL, lines 2, 9, 12, 67, 72, and 102 are header lines for the investments listed below the specific line.

Part VII, line 108 1/2 condo, Murrells Inlet, SC, Georgetown county. The parents gifted the condo in 2013 to the participant and his sister. The siblings then

placed the condo in un LLC of which each retained a 50% ownership. Since the condo was sold in 2016 the proceeds from this sale were distributed to the two

partners and the partnership (LLC) was dissolved. A final partnership retum was filed.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.

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