Gene E.K. Pratter

2016

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What was filed

197
investments
1
positions
0
gifts
0
agreements
1
debts
3
reimbursements
0
income
2
spouse income

Named parties

Section VII
Scetion VII
Trust #1
Bank of America
Duke University Law School
American Bar Association
Northwestem School of Law
Duane Mormns LLC (Attorney)
Cohen, Placitella & Roth (Attorney)

As filed

Lebenthal Lisanti Small Growth Retirement #5 — Int/Div

DFA US Small Cap Value - Retirement #3 — Int/Div

DFA US Large Cap Value - Retirement #5 — Int/Div — Buy (add'l)

Federated US Gov't Ultrashort - Retirement #5 — Int/Div

First Eagle Overseas - Retirement #3 — Int/Div

Janus Fund - Retirement #5 — Int/Div

Schwab Money Market - Retirement #5 — Int/Div

Westcore MIDCO Growth - Retirement #5 — None — Sold

William Blair Int'l Small Growth Retirement #5 — Int/Div

William Blair International Growth Retirement #5 — Int/Div

Federated Gov't Ultrashort - Retirement #6 — Int/Div

Baron Growth - Retirement #6 — Int/Div

First Eagle Overseas - Retirement #6 — Int/Div

Royce Opportunity - Retirement #6 — Int/Div

Schwab Money Market - Retirement #6 — Int/Div

Janus Fund - Retirement #6 — Int/Div

DFA Intemational Large Growth Retirement #6 — Int/Div

Baron Growth - Retirement #7 — Int/Div — Sold (part)

DFA US Micro Cap - Retirement #7 — Int/Div — Sold (part)

DFA Emerging Markets Core Equity Retirement #7 — Int/Div

DFA International Small Value - Retirement “7 — Int/Div — Sold (part)

DFA International Small Value - Retirement #7 — None — Sold (part)

DFA International Value - Retirement #7 — Int/Div

DFA One Year Fixed - Retirement #7 — Int/Div

DFA US Small Cap Value - Retirement #7 — Int/Div — Sold (part)

DFA US Large Cap Value - Retirement #7 — Int/Div — Sold (part)

DFA US Large Cap Value - Retirement #7 — None — Buy (add'l)

Dodge & Cox Stock - Retirement #7 — Int/Div

Federated Gov't Ultrashort - Retirement #7 — Int/Div — Sold (part)

First Eagle Overseas - Retirement #7 — Int/Div

Hotchkis & Wiley Mid Value - Retirement #7 — Int/Div

Morgan Stanley Intemational Equity Retirement #7 — Int/Div

Morgan Stanley Emerging Markets Retirement #7 — Int/Div — Sold (part)

Royce Opportunity - Retirement #7 — Int/Div

Schwab Money Market - Retirement #7 — Int/Div

Westcore Intl Small Cap - Retirement #7 — Int/Div

Westcore Mid Cap Value - Retirement #7 — Int/Div — Sold (part)

Westcore MIDCO Growth - Retirement #7 — None — Sold

William Blair International Growth Retirement #7 — Int/Div

Janus Fund - Retirement #7 — Int/Div — Buy (add'l)

Janus Fund - Retirement #7 — None — Sold (part)

Hotchkis & Wiley Large Cap Value Retirement #7 — Int/Div — Sold (part)

William Blair Large Growth - Retirement #7 — Int/Div — Buy (add'l)

William Blair Large Growth - Retirement #7 — None — Sold (part)

Lebenthal Lisanti Small Growth Retirement #7 — Int/Div

William Blair Int'l Small Growth Retirement #7 — Int/Div

Metropolitan West Total Return Retirement #7 — Int/Div

BlackRock Low Duration - Retirement #7 — Int/Div — Sold (part)

BlackRock Low Duration - Retirement #7 — None — Buy (add'l)

Ivy Mid Growth - Retirement #7 — Int/Div — Buy (add'l)

William Blair Mid Cap Growth - Retirement #7 — Int/Div — Buy (add'l)

DFA Global Real Estate - Retirement #7 — Int/Div — Sold (part)

DFA Global Real Estate - Retirement #7 — None — Sold (part)

Victory Global Natural Resources Retirement #7 — None — Buy (add'l) — Section VII

Ell Global Property - Retirement #7 — Int/Div — Sold (part)

MainGate MLP - Retirement #7 — Int/Div

MainStay Marketficld - Retirement #7 — None — Sold

William Blair Small Growth - Retirement #7 — None — Sold (part)

Morgan Stanley AIP - Retirement #7 — Int/Div

DFA International Large Growth Retirement #7 — Int/Div

Schwab Money Market - Trust #1 — Int/Div

Dodge & Cox Stock - Trust #1 — Int/Div

Baron Growth - Trust #1 — Int/Div

Federated Short Term Muni - Trust #1 — Int/Div

First Eagle Overseas - Trust #1 — Int/Div

Hotchkis & Wiley Large Cap Value - Trust #1 — Int/Div

Hotchkis & Wiley Mid Cap Value - Trust #1 — Int/Div

Janus Fund - Trust #1 — Int/Div

Morgan Stanley International Equity - Trust #1 — Int/Div

Royce Opportunity - Trust #1 — Int/Div

Westcore Mid Cap Value - Trust #1 — Int/Div

Westcore MIDCO Growth - Trust #1 — None — Sold

DFA Tax Managed Marketwide Value Trust #1 — Int/Div

DFA US Micro Cap - Trust #1 — Int/Div

DFA Intl Small Cap Value - Trust #1 — Int/Div — Sold (part)

Waestcore Intl Small Cap - Trust #1 — Int/Div

DFA Int'l Value - Trust #1 — Int/Div

DFA US Small Value - Trust #1 — Int/Div

William Blair Mid Growth - Trust #1 — Int/Div

DFA Short Term Muni - Trust #1 — Int/Div

Metropolitan West Total Return - Trust #1 — Int/Div

William Blair Small Cap Growth - Trust #1 — Int/Div

DFA Global Real Estate - Trust #1 — Int/Div

EI Global Property - Trust #1 — Int/Div — Buy

MainGate MLP - Trust #1 — Int/Div — Buy (add'l)

Victory Global Resources - Trust #1 — None — Buy — Scetion VII

MainStay Marketficld - Trust #1] — None — Sold

William Blair International Growth - Trust #1 — Int/Div

DFA Emerging Markets - Trust #1 — Int/Div

DFA Intemational Large Growth - Trust #1 — Int/Div

T.Rowe Price New Era - Trust #1 — None — Sold

Ivy Mid Growth - Trust #1 — Int/Div — Buy

William Blair Large Growth - Trust #1 — Int/Div — Buy

Baron Growth - Brokerage #1 — Int/Div

DFA Tax Mgd US Marketwide Value Brokerage #1 — Int/Div — Sold (part)

DFA US Small Value - Brokerage #1 — Int/Div

DFA Emerging Markets Core Equity Brokerage #1 — Int/Div — Sold (part)

DFA Tax Mgd Intemational Value Brokerage #1 — Int/Div

East River Bank Stock - Brokerage #1 — None — Sold

Federated Short Term Muni - Brokerage #1 — Int/Div

First Eagle Overseas - Brokerage #1 — Int/Div

Janus Fund - Brokerage #1 — Int/Div — Sold (part)

Janus Overseas - Brokerage #1 — None — Sold

Morgan Stanley Intemational Equity Brokerage #1 — Int/Div

Schwab Money Market - Brokerage #1 — Int/Div

Westcore MIDCO Growth - Brokerage #1 — None — Sold

Hothckis & Wiley Large Cap Value Brokerage #1 — Int/Div

Hotchkis & Wiley Mid Cap Value Brokerage #1 — Int/Div — Sold (part)

William Blair Int'l Small Growth Brokerage #1 — Int/Div

William Blair Large Growth - Brokerage #1 — Int/Div

William Blair Mid Cap Growth - Brokerage #1 — Int/Div — Sold (part)

William Blair Small Cap Growth Brokerage #1 — Int/Div — Sold (part)

Westcore Mid Cap Value - Brokerage #1 — Int/Div — Sold (part)

DFA Int'l Small Value - Brokerage #1 — Int/Div — Sold (part)

DFA Short Term Muni - Brokerage #1 — Int/Div — Sold (part)

Metropolitan West Total Return - Brokerage #1 — Int/Div — Sold (part)

William Blair Int'l Growth - Brokerage #1 — Int/Div

Thornburg Limitd Term Municipal Brokerage #1 — Int/Div

DFA Global Real Estate - Brokerage #1 — Int/Div

Dodge & Cox Stock - Brokerage #1 — Int/Div

MainGate MLP - Brokerage #1 — Int/Div

Royce Opportunity - Brokerage #1 — Int/Div — Sold (part)

DFA US Micro Cap - Brokerage #1 — Int/Div

DFA Int'l Large Growth - Brokerage #1 — Int/Div — Buy

Ivy Mid Growth - Brokerage #1 — Int/Div — Buy

Baron Growth - Brokerage #2 — Int/Div

DFA US Micro Cap - Brokerage #2 — Int/Div

DFA Tax Mgd Marketwide Value Brokerage #2 — Int/Div

DFA US Small Value - Brokerage #2 — Int/Div

Dodge & Cox Stock - Brokerage #2 — Int/Div

Federated Short Term Muni - Brokerage #2 — Int/Div

First Eagle Overseas - Brokerage #2 — Int/Div

Hotchkis & Wiley Large Cap Value Brokerage #2 — Int/Div

Hotchkis & Wiley Mid Cap Value Brokerage #2 — Int/Div

Janus Fund - Brokerage #2 — Int/Div

Janus Overseas - Brokerage #2 — None — Sold

Morgan Stanley International Equity Brokerage #2 — Int/Div

Royce Opportunity - Brokerage #2 — Int/Div

Schwab Money Market - Brokerage #2 — Int/Div

Westcore Mid Cap Value - Brokerage #2 — Int/Div

Westcore International Small Cap Brokerage #2 — Int/Div

Metropolitan West Total Return - Brokerage #2 — Int/Div

DFA Short Term Muni - Brokerage #2 — Int/Div

DFA Global Real Estate - Brokerage #2 — Int/Div

MainGate MLP - Brokerage #2 — Int/Div

MainStay Marketficld - Brokerage #2 — None — Sold

DFA Intl Small Cap Value - Brokerage #2 — Int/Div

William Blair International Growth Brokerage #2 — Int/Div

DFA Emerging Markets Core Equity Brokerage #2 — Int/Div

DFA International Value - Brokerage #2 — Int/Div

Ivy Mid Cap Gowth - Brokerage #2 — Int/Div

DFA Int'l Large Growth - Brokerage #2 — Int/Div — Buy

William Large Growth - Brokerage #2 — Int/Div — Buy

DFA One Year Fixed - Retirement #8 — Int/Div

Federated Gov't Ultrashort - Retirement #8 — Int/Div

Lebenthal Lisanti Small Growth Retirement #8 — Int/Div

Baron Growth - Retirement #8 — Int/Div

DFA Emerging Markets Core Equity Retirement #8 — Int/Div

DFA International Value - Retirement #8 — Int/Div

DFA US Large Value - Retirement #8 — Int/Div

DFA US Small Value - Retirement #8 — Int/Div

DFA US Micro Cap - Retirement #8 — Int/Div

Dodge & Cox Stock - Retirement #8 — Int/Div

DFA Int'l Small Cap Value - Retirement #8 — Int/Div

First Eagle Overseas - Retirement #8 — Int/Div

Hotchkis & Wiley Large Cap Value Retirement #8 — Int/Div

Hotchkis & Wiley Mid Cap Value Retirement #8 — Int/Div

Janus Fund - Retirement #8 — Int/Div — Buy (add'l)

Morgan Stanley Emerging Markets Retirement #8 — Int/Div

Morgan Stanley International Equity Retirement #8 — Int/Div

Royce Opportunity - Retirement #8 — Int/Div

Schwab Money Market - Retirement #8 — Int/Div

Westcore Intl Small Cap - Retirement #8 — Int/Div

Westcore Mid Cap Value - Retirement #8 — Int/Div

Westcore MIDCO Growth - Retirement #8 — None — Sold

William Blair International Growth Retirment #8 — Int/Div

William Blair Large Cap Growth Retirement #8 — Int/Div — Buy (add'l)

William Blair Intl Small Growth Retirement #8 — Int/Div

BlackRock Low Duration - Retirement #8 — Int/Div

Metropolitan West Total retum - Retirement #8 — Int/Div

William Blair Small Growth - Retirement #8 — Int/Div

William Blair Mid Growth - Retirement #8 — Int/Div — Buy (add'l)

Ivy Mid Growth - Retirement #8 — Int/Div — Buy (add'l)

DFA Global Real Estate - Retirement #8 — Int/Div

EI Global Property - Retirement #8 — Int/Div

MainGate MLP - Retirement #8 — Int/Div

MainStay Marketficld - Retirement #8 — None — Sold

Victory Global Resources - Retirement #8 — None — Buy (add'l) — Section VII

Morgan Stanley AIP - Retirement #8 — Int/Div

DFA Intemational Large Growth Retirement #8 — Int/Div — Buy (add'l)

Equitable Variable Life - Alliance Common Stock — None

Equitable Variable Life - Alliance International — None

PNC Bank Accounts — Interest

Nantucket Bank Account — Interest

401K Plan (X)

John Hancock Balanced — None

Co-Trustee, Trust #1

Liability — Bank of America — Credit Card

Reimbursement — Duke University Law School — October 6-7. 2016 — San Diego, CA — Duke Law School Conference — Transportation, lodging, meals

Reimbursement — American Bar Association — October 18-20, 2016 — Las Vegas, NV — National Institute on Class Actions Conference — Transportation, lodging, meals

Reimbursement — Northwestem School of Law — November 16-17 2016 — Chicago, IL — Complex Litigation Conference — Transportation, lodging, meals

Spouse's income — 2016 — Duane Mormns LLC (Attorney)

Spouse's income — 2016 — Cohen, Placitella & Roth (Attorney)

Line 55, 88 and 189. RS Global Natural Resources changed its name to Victory Global Natural Resources in 2016,

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.