Thomas D. Schroeder

Wells Fargo Accounts (Wachovia) — Interest

US Treasury Series EE Bonds — None

First Tennessee Accounts — Interest

Valic Fixed Income Plus Annuity — Int/Div

Brokerage #1 (H)

Invesco FTSE RAFI US 1000 (formerly named PowerShares) — Int/Div

iShares Russell 1000 ETF — Int/Div

iShares MSCI EAFE ETF — Int/Div

Vanguard FTSE Developed Markets ETF — Int/Div

Vanguard FTSE Emerging Markets ETF — Int/Div

PIMCO Low Duration Fund Inst] — Int/Div — Sold

Vanguard Ltd-Term Tax Exempt Adm — Int/Div

Vanguard Short-Term Bond ETF — Int/Div — Buy

Eaton Vance Floating Rate Instl — Int/Div — Sold

iShares Treasury Floating Rate Bond ETF — Int/Div — Buy

Fudelity Cash "Cash Account” — Int/Div — Sold

Fidelity Government Cash Reserve "Cash Accoum™ — Int/Div — Buy

Brokerage #2 (H)

Invesco FTSE RAFI US 1000 (formerly named PowerShares) — Int/Div

iShares Russell 1000 ETF — Int/Div

iShares MSCI EAFE ETF — Int/Div

Vanguard FISE Developed Markets ETF — Int/Div

Vanguard FTSE Emerging Markets ETF — Int/Div

PIMCO All Asset All Authority Inst — Int/Div

AQR Managed Futures Strategy C1 — None

AQR Style Premia Alternative C1 1 — Int/Div

PIMCO Dynamic Bond Fund Inst! (formerly named Unconstrained Bond) — Int/Div

RiverNorth/DoubleLine Strategic Income — Int/Div

Vanguard Short-Term Bond ETF — Int/Div — Buy

Vanguard Short-Term Investment-Grade Adm — Int/Div — Sold

Eaton Vance Floating Rate Inst] — Int/Div — Sold (part)

Eaton Vance Floating Rate Inst] — Sold

iShares Treasury Floating Rate Bond ETF — Int/Div — Buy

iShares Treasury Floating Rate Bond ETF — Buy (add'l)

Fidelity Cash "Cash Account™ — Int/Div — Sold

Fidelity Government Cash Reserve "Cash Account” — Int/Div — Buy

Brokerage #3 (H)

ACQR Managed Futures Strategy C1 — None

Eaton Vance Floating Rate Inst — Int/Div — Sold (part)

Eaton Vance Floating Rate Inst — Sold

iShares Treasury Floating Rate Bond ETF — Int/Div — Buy

iShares Treasury Floating Rate Bond ETF — Buy (add'l)

iShares Treasury Floating Rate Bond ETF — Buy (add'l)

Fidelity Cash "Cash Account” — None — Sold

Fidelhity Government Cash Reserve "Cash Account” — Int/Div — Buy

IRA #1 (H)

Invesco FTSE RAFI US 1000 (formerly named PowerShares) — Int/Div

iShares Russell 1000 ETF — Int/Div

iShares MSC EAFE ETF — Int/Div

iShares MSCI Emerging Markets ETF — Int/Div

PIMCO All Asset All Authority Inst] — Int/Div

Eaton Vance Floating Rate Instl — Int/Div — Sold

iShares Treasury Floating Rate Bond ETF — Int/Div — Buy

Fidelity Government Cash Reserve "Cash Account" — Int/Div — Buy

Fidelity Treasury Daily Money Market "Cash Account” — Int/Div — Sold

IRA 22 (H)

PIMCO All Asset All Authority Instl — Int/Div

Eaton Vance Floating Rate Inst] — Int/Div — Sold (part)

Eaton Vance Floating Rate Inst] — Sold

iShares Treasury Floating Rate Bond ETF — Int/Div — Buy

iShares Treasury Floating Rate Bond ETF — Buy (add'l)

Fidelity Government Cash Reserve "Cash Account” — Int/Div — Buy

Fidelity Treasury Daily Money Market "Cash Account” — Int/Div — Sold

IRA 43 (H)

Invesco FTSE RAFI US 1000 (formerly named PowerShares) — Int/Div

iShares MSCI EAFE ETF — Int/Div

iShares MSC Emerging Markets EFT — Int/Div

PIMCO All Asset All Authority Inst — Int/Div

AQR Managed Futures Strategy C1 — None

AQR Style Premia Alternative Cl — Int/Div

PIMCO Dynamic Bond Fund Inst! (formerly named Unconstraimed Bond) — Int/Div

Eaton Vance Emerging Markets Local Income C11 — Int/Div

RiverNorth/DoubleLine Strategic Income — Int/Div

PIMCO Low Duration Fund Inst) — Int/Div

Eaton Vance Floating Rate Instl — Int/Div — Sold

iShares Treasury Floating Rate Bond ETF — Int/Div — Buy

Fidelity Government Cash Reserve "Cash Account” — Int/Div — Buy

Fidehty Treasury Daily Money Market “Cash Account” — Int/Div — Sold

Mass Mutual Whole Life Insurance — Int/Div

Mass Mutual Whole Life Insurance — Int/Div

Loval Amencan Insurance — Int/Div

Vanguard 529 -Vanguard Interest Accumulation Portfolio — Interest

Vanguard 529 -Vanguard Interest Accumulation Portfolio — Interest

NC College Foundation 529 Dependable Income Fund — Interest

Duke Univ. Faculty Retirement Plan

Vanguard Inst. Target Retirement 2025 Rund — Int/Div

IRA (dependent) (Y)

Principal Lifetime 2050 Fund — Int/Div — Sold

Russell Global Equity Fund — Int/Div — Buy

Board Member, Notre Dame Law Association

Board Member & President, Chief Justice Joseph Branch Inn of Court

Agreement — 2017 — Apartment lease (dependent was responsible)

Liability — Umversity of North Carohina/Chapel Hill {School of Medicine) — Tuition for 2018 academic vear

Liability — Jan Smith — Apartment lease (dependent was responsible)

Part VII. Line 81: The Loyal Amencan Life Insurance Company policy appears to be affiliated with and/or admimstered by The Great American Life Insurance

Company.

Part VII. Lines 87-88: The IRA (dependent) was created for a dependent who was no longer a dependent after approximately June 2018,