Stephani W. Humrickhouse

2018Annual

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Pull out the substance of this filing.

What was filed

218
investments
2
positions
0
gifts
0
agreements
0
debts
3
reimbursements
0
income
2
spouse income

Named parties

Campbell University School of Law, Board of Visitors
North Caroling Museum of History Associates
Comell Law School
Eastern Bankruptcy Institute
Federal Judicial Center
FMI Corp W-2
FMI Corp 11208 K-1

As filed

FBGX — None

Am. Equity Inv. Life Ins. Co. Flex. Prem Deferred Ann — Interest

Fidelity Capital Appreciation Fund — Int/Div

FMI 301K

R6 Eagle Small Cap Growth (Carillon) HSRUX — Int/Div — Sold (part)

R6 Eagle Small Cap Growth (Carillon) HSRUX — Sold (part)

R6 Eagle Small Cap Growth (Carillon) HSRUX — Buy

Harbor Capital Appreciation Inst Diy HACAX — None — Sold (part)

Harbor Capital Appreciation Inst Diy HACAX — Sold (part)

Harbor Capital Appreciation Inst Diy HACAX — Buy

Hartford Int'l Opp RS IHOTX — Int/Div — Sold (part)

Hartford Int'l Opp RS IHOTX — Sold (part)

Hartford Int'l Opp RS IHOTX — Buy

John Hancock Disc. Value JDVWX — None — Sold (part)

John Hancock Disc. Value JDVWX — Sold (part)

John Hancock Disc. Value JDVWX — Buy

MFS International Value R4 MINHX — Int/Div — Sold (part)

MFS International Value R4 MINHX — Sold (part)

MFS International Value R4 MINHX — Buy

Metropolitan West Total Return Bond MWTRX — Int/Div — Sold (part)

Metropolitan West Total Return Bond MWTRX — Buy

Metropolitan West Total Return Bond MWTRX — Sold (part)

Principal Real Estate Securities Inst PIREX — Int/Div — Sold (part)

Principal Real Estate Securities Inst PIREX — Sold (part)

Principal Real Estate Securities Inst PIREX — Buy

Prudential Jennison Health Sciences PHSZX — Int/Div — Sold (part)

Prudential Jennison Health Sciences PHSZX — Sold (part)

TRowe Price Science and Tech/Ady PRSCX — Int/Div — Sold (part)

TRowe Price Science and Tech/Ady PRSCX — Sold (part)

TRowe Price Science and Tech/Ady PRSCX — Buy

Vanguard Mid Cap Index Admiral VIMAX — Int/Div — Buy

Vanguard Mid Cap Index Admiral VIMAX — Sold (part)

Vanguard Mid Cap Index Admiral VIMAX — Buy

Wells Fargo Stable Return Fund N — Interest — Buy

Wells Fargo Stable Return Fund N — Sold (part)

Wells Fargo/Blackrock S&P S00 Index — Int/Div — Buy

Frade

Share S&P Midcap ETF (11H) — Int/Div

1 Share S&P Small Cap ETF (JR) — Int/Div

BTCS (Bicoin) — None — Buy

BTCS (Bicoin) — Buy

BTCS (Bicoin) — Sold

Recall Studio Inc. BTOP — None — Buy

Recall Studio Inc. BTOP — Sold

SPDR S&P Small Capital Growth ETF (SLYG) — Int/Div — Buy

SPDR S&P Small Capital Growth ETF (SLYG) — Buy

Vanguard Brokerage Acct

Vanguard S&P 500 Index ETF (VOO) — Int/Div — Buy

Vanguard S&P 500 Index ETF (VOO) — Buy

Vanguard Short Term Tax Exempt VWSTX — Int/Div — Sold

Vanguard Prime Money Mkt Fund VMMXX (checking) — Interest

Vanguard Large Capital ETF VV — Int/Div — Buy

Capital One Bank CD — Interest

Edward Jones Joint -

SPDR High Yield ETF (JNK) — Int/Div

ELFN — Int/Div

EW) — Int/Div

FIEE UBS AG London BRIT — None

IEV Shares Europe ETF — Int/Div

FIGY — Int/Div

IXN (ETF) — Int/Div

IXpP — Int/Div

JP Morgan Municipal Fund (now called Morgan Stanley Money Market) — Interest

LQD (ETF) — Int/Div — Sold

MBB (ETF) — Int/Div

QOQQ (ETF) — Int/Div

TFI (ETF) — Int/Div

XLG(ETF) — Int/Div

XLF(E1¥) — Int/Div

XLP — Int/Div

XLV (ETF) — Int/Div

VIS — Int/Div

VWO — Int/Div

Wells Fargo CD — Interest — Buy

Janney, Montgomery, Scott (ka Scott&Stringfellow IRA -Managed Account

BP Capital Twin MLP Fund (BPMAX) Name Change HMSFX — Int/Div

BAEIX (mutual fund) — Int/Div

Cullen High Div. Equity Classic (CHVCX) — Int/Div — Sold (part)

Federated Treasury Fund (cash acct) — Interest

Vanguard Value ETF VI'V — Int/Div — Buy

Merrill Lynch Wealth Management - CMA Fi

ALLSTATE CORP. Preferred Stock ALLPRA — Int/Div

Eli Lilly (LLY) — Int/Div

Intel (INTC) — Int/Div

Mermrill Lynch (FIA Card Services) Bank Deposit Program (cash) — Int/Div

Nuveen Float Rate (JFR) — Int/Div — Sold

Powershares Variable Rate (VRP) — Int/Div

Mermill Lynch Wealth Management - CMA 2

Merrill Lynch Bank Deposit Program — Interest

Wells Fargo CD — Interest — Buy

BMW Bank CD — Interest — Buy

JP Morgan Chase Preferred — Int/Div — Buy

Morgan Stanley Preferred — Int/Div — Buy

Memill Lynch Wealth Management - IRA

Alger Spectra (ASPZX) — None

AMBFX — Int/Div — Buy

Bank of America, NA, RAST (FIA Card Sve Cash (11AXX) — Int/Div

BLACK ROCK CREDIT (BCX) — Int/Div

BLACK ROCK CREDIT (BTZ) — Int/Div — Sold

BLACK ROCK CREDIT (BTZ) — Int/Div — Buy

Clearbridge Energy (CEM) — Int/Div — Sold

Credit Suisse — None

First Eagle (SG11X) — Int/Div

Googl — None — Buy

Highland Global (HCOYX) — Int/Div — Sold

Imtel INTC — Int/Div

INVESCO (VVR) — Int/Div — Sold

Johnson & Johnson — Int/Div — Sold

JFR-Nuveen Float — Interest — Sold

JP Morgan Globel GAOSK — Int/Div — Buy

JP Morgan Globel GAOSK — Sold

Morgan Stanley Emerging -(EDD) — Int/Div — Sold

MTUM — Int/Div — Buy

Oakmark Int'l OAKIX — Int/Div — Buy

Oakmark Int'l OAKIX — Sold

Oppenheimer Dev (ODVYX) — Int/Div

Oppenheimer Int (OIGYX) — Int/Div — Sold (part)

Oppenheimer (RDIV) — Int/Div — Buy

Powershares Preferred Portfolio (PGX) — Int/Div

Proctor & Gamble (PG) — Int/Div — Buy

Roval Dutch Shell RDSB — Int/Div

Roval Dutch Shell RDSA — Int/Div

SPDR — None — Buy

Whirlpool WHR — Int/Div — Sold

Whirlpool WHR — Int/Div — Buy

Edward Jones IRA #1

AT&T — Int/Div

Edward Jones Cash Account — Interest

Conoco Phillips — Int/Div

Johnson & Johnson — Int/Div

Tiffany & Co. — Int/Div

Edwards Jones IRA £2

Edwards Jones Cash Account — Interest

Tiffany & Co — Int/Div — Buy

Trust Energy Spyder ETF — Int/Div — Buy

Vanguard GNMA Inv. Share — Int/Div — Sold

Edward Jones Single One

Edward Jones Cash Account — Interest

Amenican Funds TAIAX — Int/Div

Goldman Sachs CD — Interest

Lincoln Life Ins. — Int/Div

Prudential Prem. Ret. Contract Annuity — Int/Div

Raleigh Durham Airport Bond — Interest

Edward Jones Single Two — Closed

John Hancock Bond Fund JHBIX) — Int/Div — Sold

Lord Abbott Short Duration (LDLFX) — Int/Div — Sold

Edward Jones Single Three

Edwards Jones Cash Account (Transferred 10 EJ Single 4) — Interest — Closed

Edwards Jones Cash Account (Transferred 10 EJ Single 4) — Closed

BellSouth Corp Bond — Int/Div — Sold

Dallas Co. Tex Hosp Bond — Int/Div — Sold

Dallas Tex Transit Bid American Bonds — Int/Div — Sold

GE Cap Bond — Int/Div — Sold

McDonald's Corp. Bond — Int/Div — Sold

Metro Transit Auth Rev Bond — Int/Div — Sold

Edward Jones Single 4

Edward Jones Cash Account (backed by PNC Bank) — Interest

Amazon (AMZN) — None — Buy

AT&T(T) — Int/Div — Buy

DollarGen (DG) — Int/Div — Buy

Dover Corp (DOV) — Int/Div — Buy

Emerson Electric (EMR) — Int/Div — Buy

Exxon Mobile (XOM) — Int/Div — Buy

Johnson & Johnson (JNJ) — Int/Div — Buy

Johnson & Johnson (JNJ) — Buy

LINDE PLC (LIN) — Int/Div — Buy

Microsoft (MSFT) — Int/Div — Buy

Microsoft (MSFT) — Buy

Praxar (PX) — Int/Div — Buy

Praxar (PX) — Sold

Proctor & Gamble (PG) — Int/Div — Buy

Target (TGT) — Int/Div — Buy

United Tech (UTX) — Int/Div — Buy

Ventas (VTR) — Int/Div — Buy

Verizon (VZ) — Int/Div — Buy

Invesco XSLV — Int/Div — Buy

Invesco XMLV — Int/Div — Buy

Ishares DGRO — Int/Div — Buy

shares ITA — Int/Div — Buy

Ishares IBB — Int/Div — Buy

Spyder XLP — Int/Div — Buy

Spyder XLU — Int/Div — Buy

Vanguard VFH — Int/Div — Buy

Durham Arvin Partnership — None

FMI Corp. Stock — Distribution

Nationwide Whole Life Insurance — None

North State Bank Acct — Interest

Bank of America Bank Account — Interest

Equitable Life Insurance (Cash value) — Int/Div

Charter Small Cap Value — Int/Div

Eq / S00 Managed Volatility — Int/Div

Eq / Commom Stock Index — Int/Div

Eq/ Large Cap Value Managed Volatility — Int/Div

Guaranteed Interest Acct — Interest

Multimanager Mid-Cap Growth — Int/Div

Alpine 4 Technologies Ltd — Int/Div

AXA Advisors

JP Morgan CD 48128FAXO — Interest — Buy

JP Morgan CD 48126Y7K3 — Interest — Buy

JP Morgan CD 48126Y7L1 — Interest — Buy

JP Morgan CD 48126Y7N7 — Interest — Buy

JP Morgan CD - Contingent Yield (8730/19) — Interest — Buy

JP Morgan CD - Contingent Yield (10/31/19) — Interest — Buy

Board Member, Campbell University School of Law, Board of Visitors

Board Member, North Caroling Museum of History Associates

Reimbursement — Comell Law School — 132018 - 4152018 — Ithaca, NY — Comell Moot Court — Lodgmg, Meals

Reimbursement — Eastern Bankruptcy Institute — May 31, 2018 - June 2,2018 — N. Myrtle Beach, SC — Eastern Bankruptcy Institute — Lodging

Reimbursement — Federal Judicial Center — 1112018 — Washington, DX — Mentor Luncheon for New Chief Judges Workshop — Travel

Spouse's income — 2018 — FMI Corp W-2

Spouse's income — 2018 — FMI Corp 11208 K-1

Part VII

Line 66 - All holdings in Fisher/Morgan Stanley Man. Inv, Acct transferred into new Edward Jones Joint = | Acct. on January 31, 2018. No sales of stock, just

transfers.

Line 76 - Funds m money market converted to cash and used for purchases in Edward Jones accounts.

Line 102 - Cash transferred into account from personal savings,

Line 152 - Cash trunsferred from Edward Jones Single One account into Edward Jones Single Four account.

Line 158 = All assets, except John Hancock Bond Fund (JHBIX) and Lord Abbott Short Duration (LDLFX), transferred to Edward Jones Single Four. JHBIX and

LDLFX sold while held in Edward Jones Single One,

Line 162 - Sce explanation for Line 158, above.

Lines 102, 142. 147, 152, 162 and 171 - These are cash accounts kept with the respective investment venders. The cash is the result of the sale of stocks, bonds,

ete. without immediate reinvestment for the purchase of other stocks, bonds, ete. Line 102 is a cash account with Merrill Lynch entitled "Merrill Lynch Bank

Deposit Program.” Lines 142, 147, 152, 162, and 171 represent cash accounts held within Edward Jones for each separate investment, There are no other

financial stitutions involved, except that the Edward Jones cash account on Line 171 is backed by PNC Bank.

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.