# David T. Schultz

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/20105

## Record

- **Judge:** David T. Schultz
- **Year:** 2018
- **Report type:** Annual
- **Pages:** 37

## Text

IRA Z(H)
UBS BANK USA DEP ACCT (cash) — Interest
ADOBE SYSTEMS INC (DELAWARE) (ADBE) — None
ALPHABET INC CL A (GOOGL) — None — Buy (add'l)
ALPHABET INCL C (GOOG) — None — Buy (add'l)
AMAZON.COM INC (AMZN) — None — Buy (add'l)
BANK OF AMERICA CORP (BAC) — Int/Div
CELGENE CORP (CELG) — None — Sold
FACEBOOK INC CL A (FB) — None — Buy (add'l)
FACEBOOK INC CL A (FB) — Sold (part)
FACEBOOK INC CL A (FB) — Sold (part)
FACEBOOK INC CL A (FB) — Sold
LOREAL CO ADR FRANCE ADR (LRLCY) — Int/Div
MICROSOFT CORP (MSKFI) — Int/Div
VISAINCCL AV) — None — Buy
CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF (XLY) — Int/Div
ENERGY SELECT SECTOR SPDR FUND (XLE) — Int/Div — Sold
FINANCIAL SELECT SECTOR SPDR FUND ETF (XLF) — Int/Div
HEALTH CARE SELECT SECTOR SPDR FUND ETF (XLV) — Int/Div
INDUSTRIAL SELECT SECTOR SPDR FUND ETF (XLD — Int/Div
ISHARES FACTOR SELECT MSC EMERGING ETF (EMGF) — None — Buy
ISHARES FACTOR SELECT MSC EMERGING ETF (EMGF) — Sold
ISHARES RUSSELL 2000 ETF (WM) — Int/Div
SPDR S&P HEALTH CARE EQUIPMENT ETF (XHE) — Int/Div — Buy
VANGUARD TOTAL STOCK MKT ETF vThH — Int/Div — Buy (add'l)
VANGUARD S&P S00 ETF (VOO) — Int/Div — Buy (add'l)
VANGUARD FTSE PAC ETF (VPL) — Int/Div
VANGUARD FTSE ELROPE ETF(VGK) — Int/Div — Sold
VANGUARD FTSE EMERGING MARKETS ETF (VWO) — Int/Div — Sold
VANGUARD FTSE ALL WORLD EX-US ETF (VEU) — None — Buy
HARTFORD SCHRODERS EMERGING MKTS EQUITY FUND (SEMNX) — None — Buy
VANGUARD DEVELOPED MARKETS INDEX FUND ADMIRAL (VIMGX) — Int/Div — Buy
OPPENHEIMER INTERNATIONAL GROWTH FUND (OIGY X) — Int/Div — Sold
PIMCO STOCKSPLUS INTERNATIONAL FUND (PPLPX) — Int/Div — Buy
PIMCO STOCKSPLUS INTERNATIONAL FUND (PPLPX) — Sold
ISHARES TIPS BOND ETF (TIP) — Int/Div
AMER FUNDS THE BOND FUND OF AMERICA FUND (ABNFX) — Int/Div — Buy (add'l)
AMER FUNDS THE BOND FUND OF AMERICA FUND (ABNFX) — Sold
ANGEL OAK FLEXIBLE INCOME FUND (ANFIX) — Int/Div
DREYFUS/STANDISH GLOBAL FIXED INCOME FUND (SDGIX) — Int/Div — Buy (add'l)
EATON VANCE SHORT DURATION GOVT INCOME FUND (EILDX) — Int/Div — Buy
EATON VANCE FLOATING RATE ADVANTAGE (EIFAX) — Int/Div — Sold
EV MULTISECTOR INCOME FUND {EVBIX) — Int/Div
PGIM (FORMERLY PRUDENTIAL) TOTAL RETURN BOND FUND (PDBZX) — Int/Div — Buy (add'l)
PIMCO PREFERRED AND CAPITAL SECURITIES FUND CLASS 12 (PFPNX) — Int/Div — Buy
LONGBOARD MANAGED FUTURES STRATEGY FUND (WAVIX) — Int/Div — Buy (add'l)
LONGBOARD MANAGED FUTURES STRATEGY FUND (WAVIX) — Sold
SPDR GOLD SHARES ETF DEA(GLD) — None — Buy (add'l)
IRA #2(H)
CITIGROUP GLOBAL MARKETS CB- GEARS SPX 08730072019 — None
JPMORGAN CHASE FINANCIAL CT GEARS RTY 09/3002020 — None
HSBC USA INC CT-GEARS EEM 09/30/2020 — None
CITIGROUP GLOBAL MARKETS CT GEARS RTY 01292021 — None — Buy
GS FINANCE CORP CT-GEARS EEM 022672021 — None — Buy
JPMORGAN CHASE FINANCIAL CT GEARS RTY 04/3002021 — None — Buy
GS FINANCE CORP CT-GEARS RTY 08312021 — None — Buy
CITIGROUP GLOBAL MARKETS L/O TACYN MXEA RTY 02/02/2023 — Int/Div — Buy
SKYBRIDGE MULTI-ADVISER HEDGE FD PORTFOLIOS LLC SER AO — Int/Div
ABBEY CAPITAL MULTI-MANAGER FUNDLTD — None
IRA 43 (H)
UBS BANK USA DEP ACCT (cash) — Interest
ACCENTURE PLC IRELAND CL A (ACN) — Int/Div
ALLERGAN PLC (AGN) — None — Buy
ALPHABET INC CL A (GOOGL) — None — Sold (part)
AMERICA TOWER CORP REIT (AMT) — Int/Div
APPLE INC (AAPL) — None — Buy
BROOKS ALTOMATION INC (BRKS) — None — Buy
CELGENE CORP (CELGH — None — Sold
CHEVRON CORP (CVX) — Int/Div — Buy (add'l)
GOGNEX CORP (CGNX) — None — Buy
COLGATE PALMOLIVE CO (CL) — Int/Div — Sold
DOLLAR TREE INC (DLTR) — None — Buy
DOLLAR TREE INC (DLTR) — Sold
EDWARDS LIFESCIENCES CORP (EW) — None
FACEBOOK INC CL A (FB) — None — Sold (part)
FACEBOOK INC CL A (FB) — Sold (part)
FEDEX CORP (FDX) — Int/Div — Sold
GILEAD SCIENCES INC (GILD) — None — Sold
INTEL CORP (INTC) — Int/Div — Sold (part)
INTERCONTINENTAL EXCHANGE GROUP (ICE) — Int/Div
JPMORGAN CHASE & CO (JPM) — Int/Div — Sold (part)
LAUDER ESTEE COSCL A DE (EL) — Int/Div — Buy (add'l)
LULULEMONATHLETICA INC(LLLL) — None — Sold (part)
MEDTRONIC PLC (MDT) — None — Buy
MICROCHIP TECHNOLOGY INC (IMCHM — None — Buy
MICROSOFT CORP (MSFT) — Int/Div
MONDELEZ INTL INC DE (MDLZ) — Int/Div
MYLANNV EUR DE (MYL) — None — Sold (part)
MYLANNV EUR DE (MYL) — Sold
OCCIDENTAL PETROLELM CRP (OXY) — Int/Div — Buy
OCCIDENTAL PETROLELM CRP (OXY) — Sold
PALO ALTO NETWORKS INC (PANW) — None — Sold (part)
PAYPAL HOLDINGS INC (PYPL) — None
PEPSICO INC (PEP) — Int/Div
PROCTOR & GAMBLE CO (PG) — None — Buy
PULTE GROUP INC DE (PHM) — Int/Div — Buy (add'l)
ROBO GLOBAL ROBOTICS & AUT INDEX ETF DE (ROBO) — Int/Div — Buy (add'l)
ROBO GLOBAL ROBOTICS & AUT INDEX ETF DE (ROBO) — Sold (part)
ROBO GLOBAL ROBOTICS & AUT INDEX ETF DE (ROBO) — Sold (part)
ROBO GLOBAL ROBOTICS & AUT INDEX ETF DE (ROBO) — Sold
SCHLUMBERGER LTD NETHERLANDS ANTILLES (SLB) — None — Buy
SPDR S&P AEROSPACE & DEFENSE ETF (XAR) — None — Buy
THERMO FISHER SCIENTIFIC INC (TMO) — Int/Div
UNTD TECHNOLOGIES CORP (UTX) — Int/Div — Buy (add'l)
UNTD TECHNOLOGIES CORP (UTX) — Sold
US BANCORP DEL (NEW) (LSB) — Int/Div — Sold
VISAINCCL AV) — None — Buy
VISAINCCL AV) — Buy (add'l)
WALT DISNEY CO DISNEY COM (DIS) — None — Buy
WHIRLPOOL CORP DE (WHR) — Int/Div — Sold
IM CO (MMM) — Int/Div
ISHARES RUSSELL 2000 GROWTH ETF (TWO) — Int/Div — Buy (add'l)
ISHARES CORE MSCI EAFE ETF (IEFA) — Int/Div — Buy
ISHARES CORE MSCI EAFE ETF (IEFA) — Sold
VANECK VECTORS MORNINGSTAR WIDE MOAT ETF (MOAT) — Int/Div
VANGUARD S&P 500 ETF (VOO) — Int/Div
IRA 24 (H)
UBS BANK USA DEP ACCT (cash) — Int/Div
ALIBABA GROUP HLDG LTD SPON ADR (BABA) — None
AMAZON.COM INC (AMZN) — None
AMERIPRISE FINANCIAL INC (AMP) — Int/Div — Sold
ANDEAVOR COM (ANDV) — None — Sold (part)
ANDEAVOR COM (ANDV) — with line 146)
BROADCOM LTD (AVGO) — Int/Div
CELGENE CORP (CELG) — None — Sold
CIGNA CORP (C1) — None
CITIGROUP INC (OC) — Int/Div
COHERENT INC (COHR) — None — Buy
COHERENT INC (COHR) — Sold
CTRIPCOM INTLLTD ADS (CTRP) — None — Sold
DANAHER CORP (DHR) — Int/Div
DENTSPLY SIRONA INC (XRAY) — Int/Div — Sold
ELECTRONIC ARTS (EA) — None — Sold
EXPEDIA INC (EXPE) — Int/Div
EXPRESS SCRIPTS HLDG CO (ERSX) — None — Sold (part)
EXPRESS SCRIPTS HLDG CO (ERSX) — with line 127)
HANESBRANDS INC (HB) — Int/Div — Sold
INCYTE CORP (INCY) — None — Sold
IAC INTERACTIVE CORP (IAC) — None — Buy
INTERCONTINENTAL EXCHANGE GROUP (ICE) — Int/Div
INTERNATIONAL FLAVORS & FRAGRANCES (IFF) — None — Buy
INTUITIVE SURGICAL INC (ISR) — None — Buy
KLA-TENCOR CORP (KLAO) — None — Buy
LEAR CORP COM NEW (LEA) — Int/Div
MARATHON PETROLEUM CO (MPC) — Int/Div
MCKESSON CORP (MCK) — Int/Div
NVIDIA CORP (NVDA) — Int/Div
PVH CORP COM (PVH) — Int/Div
SERVICE CORP INTL (SCH — Int/Div
TAKE-TWO INTERACTIVE SOFTWARE (TTWO) — None — Buy
TIX COS INC NEW (TIX) — Int/Div
UNTD TECHNOLOGIES CORP (UTX) — Int/Div
VISTEON CORP COM NEW (VO) — None — Sold
ISHARES RUSSELL 2000 GROWTH ETF (IWO) — Int/Div — Buy (add'l)
ISHARES NASDAQ BIOTECHNOLOGY ETF (IBB) — None — Sold
ISHARES US AEROSPACE & DEFENSE ETF (ITA) — Int/Div
ROBO GLOBAL ROBOTICS & AUT INDEX ETF DE (ROBO) — Int/Div
VANECK VECTORS SEMICONDUCTOR (SMH) — None — Buy
VANGUARD TOTAL WORLD STK ETF wn — Int/Div — Buy
IRA #5 (H)
UBS BANK USA DEP ACCT (cash) — Interest
ADIENT PLC (ADNT) — Int/Div — Sold
BLACKROCK INC DE (BLK) — Int/Div
BRITISH AMER TABACCO PLC GB SPON ADR (BThH — Int/Div — Sold
CITIGROUP INC (OC) — Int/Div — Sold
CME GROUP INC (CME) — Int/Div
HOME DEPOT INC (HD) — Int/Div
HONEYWELL INTL INC (HON) — Int/Div
ILLNOIS TOOL WORKS INC (ITW) — Int/Div — Sold
INTEL CORP (INTC) — Int/Div
JOHNSON & JOHNSON COM (UND — Int/Div
LINDE PLC (LIN) — Int/Div
LOCKHEED MARTIN CORP (LMT) — Int/Div
MCDONALDS CORP (MCD) — None — Buy
MEDTRONIC PLC (MDT) — None — Buy
NEXTERA ENERGY INC COM (NEE) — Int/Div
PACCAR INC (PCAR) — Int/Div — Sold
PEPSICO INC (PEP) — Int/Div
PRAXAIR (PX) — Int/Div — with line 173)
ROCKWELL COLLINS (COL) — Int/Div — with line 191)
ROCKWELL ALTOMATION (ROK) — Int/Div — Sold
SUNTRUST BANKS INC (ST) — None — Buy
STARBUCKS CORP (SBLX) — Int/Div
SUNCOR ENERGY INC (SU) — Int/Div — Buy
TAIWAN SEMICONDUCTOR MFG CO LTD ADR (TSM) — Int/Div
TEXAS INSTRUMENTS (TXN) — Int/Div
IM CO (MMM) — Int/Div
ISHARES MSCI EAFE VAL ETF (EFV) — Int/Div — Sold
SPDR S&P DIVIDEND ETF (SDY) — Int/Div
UNTD TECHNOLOGIES CORP (UTX) — None
VANGUARD VALLE ETF(VTV) — Int/Div
VANGUARD DIVID APPRECIATION ETF (VIG) — None — Buy
VANGUARD REIT ETF (VNQ) — Int/Div — Sold
VF CORP (VFC) — None — Buy
IRA #6 (H)
ADOBE SYSTEMS INC (DELAWARE) (ADBE) — None
ALPHABET INC CL A (GOOGL) — None
ALPHABET INC CL C (GOOG) — None
AMAZON.COM INC (AMZN) — None
BANK OF AMER CORP (BAC) — Int/Div
CELGENE CORP (CELG) — None — Sold
FACEBOOK INC CL A (FB) — None — Sold (part)
FACEBOOK INC CL A (FB) — Sold
LOREAL CO ADR FRANCE ADR DE — Int/Div
MICROSOFT CORP (MSFT) — Int/Div
CONSUMER DICRESTIONARY SELECT SECTOR SPDR FUND ETF (XLY) — Int/Div
ENERGY SELECT SECTOR SPDR FUND ETF (XLE) — Int/Div — Sold
FINANCIAL SELECT SECTOR SPDR FUND ETF (XLF) — Int/Div
HEALTH CARE SELECT SECTOR SPDR FUND ETF (XLV) — Int/Div
INDUSTRIAL SELECT SECTOR SPDR FUND ETF (XLD — Int/Div
ISHARES RUSSELL 2000 ETF (1WM) — Int/Div
VANGUARD TOTAL STOCK MKT ETF vThH — Int/Div
VANGUARD S&P 500 ETF (VOO) — Int/Div
VANGUARD FISE PACETF DE(VPL) — Int/Div
VANGUARD FTSE EUROPE ETF DE (VGK) — Int/Div — Sold
VANGUARD FTSE EMERGING MARKETS ETF (VWO) — Int/Div — Sold
VISAINCCL AV) — None — Buy
OPPENHEIMER INTERNATIONAL GROWTH FUND Y CLASS (01GYX) — Int/Div — Sold
PIMCO PREFERRED AND CAPITAL SECURITIES FUND CLASS 12 (PFNNX) — Int/Div — Buy
ISHARES TIPS BOND ETF (TIP) — Int/Div
AMER FUNDS THE BOND FUND OF AMERICA FUND CLASS F2 (ABNFX) — Int/Div — Sold
ANGEL OAK FLEXIBLE INCOME FUND CLASS (ANFIX) — Int/Div
DREYFUS/STANDISH GLOBAL FIXED INCOME FUND CLASS 1(SDGICY — Int/Div
EATON VANCE FLOATING RATE ADVANTAGE CL HEIFAX) — Int/Div — Sold
EV MULTISECTOR INCOME FUND CLASS LHHEVBIX) — Int/Div
EATON VANCE SHORT DURATION GOVT INC CL LHEILDX) — Int/Div — Buy
PRUDENTIAL TOTAL RETURN BOND FUND CLASS Z (PDBZX) — Int/Div
LONGBOARD MANAGED FUTURES STRATEGY FUND (WAVIX) — Int/Div — Sold
SPDR GOLD SHARES ETF (GLD) — None
SPDR S&P HEALTH CARE EQUIPMENT FTF (XHE) — None — Buy
IRA £7 (H)
UBS BANK DEPOSIT ACCOUNT (cash) — Interest
BLACKROCK ENHANCED CAPITAL & INCOME FUND. INC (CI — Int/Div — Buy (add'l)
BLACKROCK ENHANCED EQUITY DIVID TR (BD) — Int/Div — Buy (add'l)
EATON VANCE TAX MANAGED BUY WRITE INC FUND (ETB) — Int/Div — Buy (add'l)
EATON VANCE TAX MANAGED BUY WRITE INC FUND (ETB) — Sold
HEALTH CARE SELECT SECTOR SPDR FUND ETF (XLV) — Int/Div — Buy (add'l)
NUVEEN S&P 500 BUY-WRITE INCOME FUND (BXMX) — Int/Div — Buy (add'l)
PIMCO ENHANCED SHORT MAT ACTIVE ETF (MINT) — None — Buy
ROYCE VALLE TRUST INC (RVT) — Int/Div — Buy (add'l)
ROYCE VALLE TRUST INC (RVT) — Sold
SPDR S&P DIVIDEND ETF (SDY) — Int/Div — Buy (add'l)
SPDR S&P INTL DIVIDEND ETF (DW X) — Int/Div — Buy (add'l)
TEKLA HEALTHCARE INVESTORS FUND (HQH) — Int/Div — Buy (add'l)
TEKLA HEALTHCARE INVESTORS FUND (HQH) — Sold
VANGUARD SMALL-CAP VALUE ETF (VBR) — Int/Div — Buy (add'l)
BLACKROCK LTD DURATION INCOME TRUST (BLW) — Int/Div — Buy (add'l)
BLACKROCK MUNIYIELD QUALITY FUND (MY) — Int/Div — Buy
BLACKROCK CREDIT ALLOCATION INCOME TRUST (BTZ) — Int/Div — Buy (add'l)
EATON VANCE LTD DURATION INCOME FUND (EVV) — Int/Div — Buy (add'l)
NUVEEN PFD SECURITIES INCOME FUND UJPS) — Int/Div — Buy (add'l)
NUVEEN QUALITY MUNICIPAL INCOME FUND (NAD) — Int/Div — Sold (part)
PIONEER DIVERSIFIED HIGH INCOME TRUST (HNW) — Int/Div — Buy (add'l)
PIONEER DIVERSIFIED HIGH INCOME TRUST (HNW) — Buy (add'l)
PIONEER DIVERSIFIED HIGH INCOME TRUST (HNW) — Sold
PIONEER HIGH INCOME TRUST (PHT) — Int/Div — Buy
PIONEER HIGH INCOME TRUST (PHT) — Sold
SPDR DOUBLINE SHORT DURATIONS TOTAL RETURN TACT ETF(STOT) — Int/Div — Sold
VANGUARD INTER TERM GOVERNMENT BOND ETF (VGIT) — Int/Div — Buy (add'l)
WESTERN ASSET INVT GRADE DEFINED OPP TR INC UGH — Int/Div — Buy
WESTERN ASSET INVT GRADE DEFINED OPP TR INC UGH — Buy (add'l)
WESTERN ASSET INVT GRADE DEFINED OPP TR INC UGH — Buy (add'l)
WESTERN ASSET HIGH INCOME FUND 1 INC (HIX) — Int/Div — Buy (add'l)
BROKERAGE ACCOUNT #1 (H)
UBS CASH FLOW ACCOUNT (cash) — Interest
BROKERAGE ACCOUNT £2 (H)
VANGUARD TOTAL WORLD STK ETF vn — Int/Div
VANGUARD GLB EX-US REAL ESTATE (VNQI) — Int/Div — Buy
VANGUARD GLB EX-US REAL ESTATE (VNQI) — Sold
PIMCO STOCKPLUS INTL FUND (PIUHX) — Int/Div
VOYA GLOBAL REAL ESTATE FUND (IGLIX) — Int/Div — Sold
VOYA SMALLCAP OPPORTUNITIES FUND CLASS (NSPIX) — Int/Div — Sold
VANGUARD MORTGAGE BACKED SECURITIES ETF (VMBS) — Int/Div
ANGEL OAK MULTI-STRATEGY INCOME FUND CLASS INSTL (ANGIX) — Int/Div
LORD ABBETT BOND DEBENTURE FUND (LBDFX) — Int/Div — Sold
PIMCO DIVERSIFIED INCOME FUND (PDVPX) — Int/Div
PIMCO LOW DURATION INCOME FUND CLASS 12 (PFTPX) — Int/Div — Buy
TEMPLETON GLBAL BOND ADV (TGBAX) — Int/Div — Sold (part)
VANGUARD INTERMEDIATE TERM TREASURY FUND ADM (VFIUX) — Int/Div
VIRTUS MULTI-SECTOR SHORT TERM BOND FUND (PIMSX) — Int/Div
LONGBOARD MANAGED FUTURES STRATEGY FUND (WAVIX) — Int/Div — Buy (add'l)
RIVERPARK LONG/SHORT OPPORTUNITY FUND (RLSIX) — Int/Div
AMER FUNDS AMERICAN BALANCED FUND (AMBFX) — Int/Div — Sold (part)
SPDR GOLD SHARES ETF DE(GLD) — None
BROKERAGE ACCOUNT #3 (HY
UBS BANK USA DEP ACCT (cash) — Interest
BLACKROCK ENHANCED CAP & INCOME STRATEGIES FUND INC (CID — Int/Div — Buy (add'l)
BLACKROCK ENHANCED EQUITY DIVID TR (BD) — Int/Div
EATON VANCE TAX MANAGED BUY WRITE INC FUND (ETB) — Int/Div — Buy (add'l)
EATON VANCE TAX MANAGED BUY WRITE INC FUND (ETB) — Sold
HEALTH CARE SELECT SECTOR SPDR FUND ETF (XLV) — Int/Div — Sold (part)
HEALTH CARE SELECT SECTOR SPDR FUND ETF (XLV) — Buy (add'l)
NUVEEN S&P 500 BUY-WRITE INCOME FUND (BXMX) — Int/Div — Sold (part)
PIMCO ENHANCED SHORT MAT ACTIVE ETF (MINT) — None — Buy
ROYCE VALUE TRUST INC (RVT) — Int/Div — Sold
SPDR S&P DIVIDEND ETF (SDY) — Int/Div — Buy (add'l)
SPDR S&P INTL DIVIF(DWX) — Int/Div — Buy (add'l)
TELKA HEALTHCARE INVS (HOH) — Int/Div — Sold (part)
TELKA HEALTHCARE INVS (HOH) — Sold
VANGUARD SMALL-CAP VALUE ETF (VBR) — Int/Div — Buy (add'l)
BLACKROCK LTD DURATION INCOME TRUST (BLW) — Int/Div — Sold
BLACKROCK MUNIYIELD QUALITY FUND IH INC (MY) — Int/Div — Buy
BLACKROCK CREDIT ALLOCATION INCOME TRUST (BTZ) — Int/Div — Buy (add'l)
EATON VANCE LTD DURATION INCOME FUND (EVV) — Int/Div
NUVEEN PFD SECURITIES INCOME FUND UPS) — Int/Div
NUVEEN QUALITY MUNICIPAL INCOME FUND (NAD) — Int/Div — Sold (part)
PIONEER DIVERSIFIED HIGH INCOME TRUST (HNW) — Int/Div — Buy (add'l)
PIONEER DIVERSIFIED HIGH INCOME TRUST (HNW) — Buy (add'l)
PIONEER DIVERSIFIED HIGH INCOME TRUST (HNW) — Sold
PIONEER HIGH INCOME TRUST (PHT) — Int/Div — Buy
PIONEER HIGH INCOME TRUST (PHT) — Sold
PROSHARES HIGH YIELD INT RATE HEDGED ETF (HYHG) — Int/Div — Sold
VANGUARD INTER TERM GOVERNMENT BOND ETF (VGIT) — Int/Div — Buy (add'l)
WESTERN ASSET INVT GRADI: DEFINED OPP TR INC GH — Int/Div — Buy
WESTERN ASSET INVT GRADI: DEFINED OPP TR INC GH — Buy (add'l)
WESTERN ASSET INVT GRADI: DEFINED OPP TR INC GH — Buy (add'l)
WESTERN ASSET HIGH INCOME FUND INC (HIX) — Int/Div — Buy (add'l)
CALAMOS STRATEGIC TOTAL RETURN (CSQ) — Int/Div — Sold
BROKERAGE ACCOUNT #4 (HY
UBS BANK USA DEP ACCT (cash) (X) — Interest
JPMORGAN CHASE FINANCIAL CT-SS RTY — None — Redeemed
CREDIT SUISSE AG CB-GEARS SPX — None — Redeemed
UBS AG BUFFERED ROS SPY — None
UBS AG CB-GEARS SXSE — None
HSBC USA INC CT-GEARS EEM — None
CITIGROUP GLOBAL MARKETS CB- GEARS EEM (06/2020) — None — Buy
BARCLAYS BANK PLC CT-GEARS EEM (OR/3172021) — None — Buy
BROKERAGE ACCOUNT #5 (H)
UBS BANK USA DEP ACCT (cash) — Interest
ACCENTURE PLC IRELAND CL A (ACN) — Int/Div
ALLERGAN PLC (AGN) — None — Buy
ALPHABET INC CL A (GOOGL) — None
AMERICAN TOWER CORP REIT (AMT) — Int/Div
APPLE INC (AAPL) — None — Buy
BROOKS ALTOMATION INC (BRKS) — None — Buy
CELGENE CORP (CELG) — None — Sold
CHEVRON CORP (CVX) — Int/Div — Buy (add'l)
COGNEX CORP (CGNX) — None — Buy
COLGATE PALMOLIVE CO (CL) — Int/Div — Sold
DOLLAR TREE INC (DLTR) — None — Buy
DOLLAR TREE INC (DLTR) — Sold
EDWARDS LIFESCIENCES CORP (EW) — None
FACEBOOK INC CL A (FB) — None — Sold (part)
FACEBOOK INC CL A (FB) — Sold (part)
FEDEX CORP (FDX) — Int/Div — Sold
GILEAD SCIENCES INC (GILD) — None — Sold
INTEL CORP (INTC) — Int/Div — Sold (part)
INTERCONTINENTAL EXCHANGE GROUP (ICE) — Int/Div
JPMORGAN CHASE & CO (JPM) — Int/Div
LAUDER ESTEE COS CL A DE(EL) — Int/Div
LULULEMON ATHLETICA INC (LLLL) — None — Sold (part)
MEDTRONIC PLC (MDT) — None — Buy
MICROCHIP TECHNOLOGY INC (IMCHM — None — Buy
MICROSOFT CORP (MSFT) — Int/Div
MONDELEZ INTL INC DE (MDLZ) — Int/Div
MYLANNV EUR DE (MYL) — None — Sold
OCCIDENTAL PETROLELM CRP (OXY) — Int/Div — Buy
OCCIDENTAL PETROLELM CRP (OXY) — Sold
PALO ALTO NETWORKS INC (PANW) — None — Sold (part)
PAYPAL HOLDINGS INC (PYPL) — None
PEPSICO INC (PEP) — Int/Div
PROCTOR & GAMBLE CO (PG) — None — Buy
PULTE GROUP INC DE (PHM) — Int/Div
ROBO GLOBAL ROBOTICS & AT INDEX ETF DE (ROBO) — Int/Div — Sold (part)
ROBO GLOBAL ROBOTICS & AT INDEX ETF DE (ROBO) — Sold (part)
ROBO GLOBAL ROBOTICS & AT INDEX ETF DE (ROBO) — Sold
SCHLUMBERGER LTD NETHERLANDS ANTILLES (SLB) — None — Buy
SPDR S&P AEROSPACE & DEFENSE ETF (XAR) — None — Buy
THERMO FISHER SCIENTIFIC INC (TMO) — Int/Div
UNTD TECHNOLOGIES CORP (UTX) — Int/Div — Sold
US BANCORP DEL (NEW) (USB) — Int/Div — Sold
VISAINCCL AW) — None — Buy
ARO. — Buy (add'l)
WHIRLPOOL CORP DE (WHR) — Int/Div — Sold
WALT DISNEY CO (DIS) — None — Buy
IM CO (MMM) — Int/Div
ISHARES RUSSELL 2000 GROWTH ETF (IWO) — Int/Div — Buy (add'l)
ISHARES CORE MSCI EAFE ETF UIEFA) — Int/Div — Buy
ISHARES CORE MSCI EAFE ETF UIEFA) — Sold
VANECK VECTORS MORNINGSTAR WIDE MOAT ETF (MOAT) — Int/Div
VANGUARD S&P S00 ETF (VOO) — Int/Div
BROKERAGE ACCOUNT #6 (H)
UBS BANK DEPOSIT ACCOUNT (cash) — Int/Div
ADOBE SYSTEMS INC (ADBE) — None — Buy
ALPHABET INC CL A (GOOGL) — None — Buy
ALPHABET INC CL C (GOOG) — None — Buy
AMAZON.COM INC (AMZN) — None — Buy
BANK OF AMERICA CORP (BAC) — Int/Div — Buy
BRISTOL MYERS SQUIBB (BMY) — Int/Div — Sold
WP CAREY INC REIT (WPCC) — Int/Div — Sold
AMER FUNDS AMCAP F2 (AMCFX) — None — Sold
AMER FUNDS CAPITAL WORLD GR & INC F2(WGIFX) — None — Sold
AMER FUNDS NEW PERSPECTIVE F2 (ANWFX) — None — Sold
AMER FUNDS NEW WORLD FUND F2 INFFFX) — None — Sold
AMER FUNDS THE BOND FUND OF AMERICA FUND CLASS F2 (ABNFX) — Int/Div — Buy
AMER FUNDS THE BOND FUND OF AMERICA FUND CLASS F2 (ABNFX) — Sold
ANGEL OAK FLEXIBLE INCOME FUND ({ABNFX) — Int/Div — Buy
CELGENE CORP (CELG) — None — Buy
CELGENE CORP (CELG) — Sold
COHEN & STEERS REALTY SHARES (CSRSX) — None — Sold
CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF (XLY) — Int/Div — Buy
DREYFUS/STANDISH GLOBAL FIXED INCOME FUND CLASS 1(SDGIX) — Int/Div — Buy
EATON VANCE SHORT DURATION GOVT (EILDX) — Int/Div — Buy
EATON VANCE FLOATING RATE ADVANTAGE CL L(EIFAX) — Int/Div — Buy
EATON VANCE FLOATING RATE ADVANTAGE CL L(EIFAX) — Sold
EATON VANCE LARGE CAP VALLE FUND H{EILVX) — None — Sold
ENERGY SELECT SECTOR SPDR FUND ETF (XLE) — Int/Div — Buy
ENERGY SELECT SECTOR SPDR FUND ETF (XLE) — Sold
EV MULTISECTOR INCOME FUND CLASS HHEVBIX) — Int/Div — Buy
FACEBOOK INCCL A (FB) — None — Buy
FACEBOOK INCCL A (FB) — Sold (part)
FACEBOOK INCCL A (FB) — Sold (part)
FACEBOOK INCCL A (FB) — Sold
FINANCIAL SELECT SECTOR SPDR FUND ETF (XLF) — Int/Div — Buy
HEALTH CARE SELECT SECTOR SPDR FUND ETF (XLV) — Int/Div — Buy
INDUSTRIAL SELECT SECTOR SPDR FUND ETF (XLD — Int/Div — Buy
ISHARES RUSSELL 2000 ETF (1WM) — Int/Div — Buy
ISHARES FACTORSELECT MSCI EMERGING ETF (EMGF)y — Int/Div — Buy
ISHARES FACTORSELECT MSCI EMERGING ETF (EMGF)y — Sold
ISHARES TIPS BOND ETF (TIM — Int/Div — Buy
ROYCE PREMIER FUND (RYPRX) — None — Sold
LONGBOARD MANAGED FUTURES STRATEGY FUND CLASS 1 IWAVIX) — Int/Div — Buy
LONGBOARD MANAGED FUTURES STRATEGY FUND CLASS 1 IWAVIX) — Sold
LOREAL CO ADR FRANCE ADR {LRLCY) — Int/Div — Buy
MICROSOFT CORP (MSFT) — Int/Div — Buy
OPPENHEIMER INTERNATIONAL GROWTH FUND Y CLASS (O1GY X) — Int/Div — Buy
OPPENHEIMER INTERNATIONAL GROWTH FUND Y CLASS (O1GY X) — Sold
PIMCO PREFERRED AND CAPITAL SECURITIES FUND CLASS 12 (PFPNX) — Int/Div — Buy
PIMCO STOCKPLUS INTL FUND (PFUPX) — Int/Div — Buy
PIMCO STOCKPLUS INTL FUND (PFUPX) — Sold
PRUDENTIAL TOTAL RETURN BOND FUND CLASS Z (PDBZX) — Int/Div — Buy
SPDR GOLD SHARES ETF (GLD) — None — Buy
SPDR S&P HEALTH CARE EQUIPMENT ETF (XHE) — Int/Div — Buy
VANGUARD DEVELOPED MARKETS INDEX ADMIRAL (VTMGX) — Int/Div — Buy
VANGUARD FTSE ALL WORLD (VEL) — None — Buy
VANGUARD FTSE EMERGING MARKETS ETF(VWO) — Int/Div — Buy
VANGUARD FTSE EMERGING MARKETS ETF(VWO) — Sold
VANGUARD FTSE ELROPE ETF (VGK) — Int/Div — Buy
VANGUARD FTSE ELROPE ETF (VGK) — Sold
VANGUARD FTSE PACETF (VPL) — Int/Div — Buy
VANGUARD S&P 500 ETF (VOO) — Int/Div — Buy
VANGUARD TOTAL STOCK MKT ETF wrn — Int/Div — Buy
VISA INCCL AW) — None — Buy
VISA INCCL AW) — Sold
THORNBURG INTL VAL FUND 1 (TGVIX) — None — Sold
FRANKLIN FEDERAL TAX-FREE INC FUND (FAFTX) — Int/Div — Sold
FRANKLIN FEDERAL INTERIM TAX FREE INCOME FUND (FITZX) — Int/Div — Sold
NUVEEN LIMITED TERM MUN BOND (FLTRX) — Int/Div — Sold
THORNBURG LIMITED TERM MUN FUND L{LTMIX) — Int/Div — Sold
AMER FUNDS CAPITAL INC BUILDER F2 (CAIFX) — None — Sold
BLACKROCK MULTI-ASSET INC PORT INST (BHCX) — Int/Div — Sold
BLACKROCK GLOBAL ALLOCATION FUND INST (MALOX) — None — Sold
FIRST EAGLE GLOBAL FUNDS (SGIX) — None — Sold
FRANKLIN INC ADV (FRIAX) — Int/Div — Sold
OAKMARK EQUITY & INCOME {OAKBX) — None — Sold
THE INCOME FUND OF AMERICA F2 (AMEFX) — None — Sold
BROKERAGE ACCOUNT £7 (H)
UBS BANK DEPOSIT ACCT (cash) — Interest
ALIBABA GROUP HLDG LTD (BABA) — None
AMAZON.COM (AMZN) — None
AMERIPRISE FINANCIAL (AMP) — Int/Div — Sold
BROADCOM LTD (AVGO) — Int/Div
CELGENE CORP (CELG) — None — Sold
COHERENT INC (COHR) — None — Buy
COHERENT INC (COHR) — Sold
CONSTELLATION BRANDS INC (STZ) — None — Buy
CIRIPCOM INTLLTD(CTRP) — None — Sold
DANAHER CORP (DHR) — Int/Div
DENTSPLY SIRONA INC (XRAY) — Int/Div — Sold
ELECTRONIC ARTS (EA) — None — Sold
EXPEDIA INC (EXPE) — Int/Div
FORTIVE CORP (FTV) — Int/Div
IAC INTERACTIVE CORP (IAC) — None — Buy
INCYTE CORP (INCY) — None — Sold
INTERCONTINENTAL EXCHANGE GROUP UICE)Y — Int/Div
INTERNATIONAL FLAVORS AND FRAGRANCES (IFF) — None — Buy
INTUITIVE SURGICAL INC (ISRGH — None — Buy
KLA-TENCOR (KLAC) — None — Buy
LEAR CORP (LEA) — Int/Div
MARATHON PETROLEUM CO (MPC) — Int/Div
MCKESSON CORP (MCK) — Int/Div — Sold
NVIDIA CORP (NVDA) — Int/Div
PVH CORP (PVH) — Int/Div
SCOTTS MIRACLE-GRO (SMG) — Int/Div — Sold
SERVICE CORP INTL (SCH — Int/Div
ANDEAVOR (ANDV) — Int/Div — with line 489)
TAKE-TWO INTERACTIVE SOFTWRE (TTWO) — None — Buy
TIX COS INC(TIX) — Int/Div
UNITED TECHNOLOGIES (UTX) — Int/Div
VISTEON CORP (VO) — None — Sold
ISHARES RUSSELL 2000 GROWTH {IW — Int/Div — Buy (add'l)
ISHARES NASDAQ BIOTECH (1BB) — None — Sold
ISHARES US AEROSPACE & DEFENSE (ITA) — Int/Div
ROBO GLOBAL ROBOTICS & AUTOMATION INDEX (ROBO) — Int/Div
VANECK VECTORS SEMICONDUCTOR ETF (SMH) — None — Buy
VANGUARD TOTAL WORLD STK ETF vn — Int/Div — Buy
EDUCATION ACCOUNT #1 (H)
LEGG MASON SCHOLARS CHOICE 529 AGE BASED 79 C — None
EDUCATION ACCOUNT #22 (H)
LEGG MASON SCHOLARS CHOICE 529 AGE BASED 13.15 C — None
EDUCATION ACCOUNT #3 (H)
LEGG MASON SCHOLARS CHOICE 529 AGE BASED 10-12 C — None
EDUCATION ACCOUNT 24 (H)
COLLEGE AMERICA 529 CAPITAL INCOME BUILDER CIB A — Int/Div
COLLEGE AMERICA 529 THE GROWTH FUND OF AMERICA - GFA A — Int/Div
COLLEGE AMERICA 529 NEW PERSPECTIVE FUND NPF A — Int/Div
EDUCATION ACCOUNT #5 (H)
COLLEGE AMERICA 529 CAPITAL INCOME BUILDER CIB A — Int/Div
COLLEGE AMERICA 529 THE GROWTH FUND OF AMERICA - GFA A — Int/Div
COLLEGE AMERICA 529 NEW PERSPECTIVE FUND NPF A — Int/Div
EDUCATION ACCOUNT #6 (H)
COLLEGE AMERICA 529 CAPITAL INCOME BUILDER CIB A — Int/Div
COLLEGE AMERICA 529 THE GROWTH FUND OF AMERICA - GFA A — Int/Div
COLLEGE AMERICA 529 NEW PERSPECTIVE FUND NPF A — Int/Div
RETIREMENT SAVINGS PLAN 21 (H)
MASLON CASH BALANCE PENSION PLAN (NO CONTROL) — Interest
Agreement — 2017 — Retirement savings plan with Maslon (former employer)
Reimbursement — Network of Trial Luw Firms — October 25 - 28. 2018 — Half Moon Bay, CA — CLE panclist — Transportation, meals, lodging
Spouse's income — 2018 — Fairview Health Systems (salary)
Part VII, lines 275 and 293: Name/ticker symbol changes only: not indicative of reportable transactions.

Part VII, Column B: Lines reflecting no income are so reported because none was attributed to those particular holdings during the reporting period, whether

taxable, tax exempt, or tax deferred, or because the investments do not allocate income to individual holdings, but instead are credited only in unit value, per

page 42 of the filing instructions.

Part VII, lines 4, 6, 91, and 352 of the 2017 report became unreportable in 2018 without corresponding reportable transactions.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/20105. Public record. Not legal advice.