Rebecca Buehler Connelly

jCornerstone Bank bank accounts (various accounts) — Interest

Cornerstone Bank stock — Dividend

SunTrust Bank (various accounts) — Interest

GWPAX American funds Growth Portfolio Cl A — Dividend

SDGIX Dreyfus/Standish Global Fixed Inc Fund I — Dividend — Sold (part)

JHME John Hancock Multifactor Energy ETF — Dividend — Sold (part)

JHME John Hancock Multifactor Energy ETF — Sold (part)

JHME John Hancock Multifactor Energy ETF — Sold

XMLV Invesco S&P Mid-Cap Low Vol EFT — Dividend — Buy (add'l)

XSLV Invesco S&P Small Cap Low Vol EFT — Dividend — Buy (add'l)

XSLV Invesco S&P Small Cap Low Vol EFT — Sold (part)

MTUM iShares Edge MSCI USA Momentum Factor ETF — Dividend — Buy (add'l)

EMPL First Trust North Amer Energy Infrastructure Fund — Dividend — Sold (part)

EMPL First Trust North Amer Energy Infrastructure Fund — Sold (part)

EMPL First Trust North Amer Energy Infrastructure Fund — Sold (part)

DGS Wisdom Tree Emerging Markets Small Cap — Dividend — Buy (add'l)

DGS Wisdom Tree Emerging Markets Small Cap — Sold (part)

CSHIX Credit Suiss Floating Rate High Inc Fund — Dividend — Sold (part)

AHMFX Amer High Inc Municipal Bond Fund — Dividend — Sold (part)

SDY SPDR SER TR S&P Dividend EFT — Dividend — Buy (add'l)

RPSIX T Rowe Price Spectrum Income Fund — Dividend — Sold (part)

FDT First Trust Developed Markts ex-US Alpha DEX fund — Dividend — Buy (add'l)

EMLP First Trust North Amer Energy Infrastructure Fund — Dividend — Merged (with line 13)

SCZ iShares MSCI EAFE small cap ETF — Dividend — Sold (part)

SCZ iShares MSCI EAFE small cap ETF — Sold (part)

VNQI Vanguard Global Ex- US Real Estate Index Fund — Dividend — Sold (part)

MANLX BlackRock Nat Mun Fund Inst Shares — Dividend — Sold (part)

TRP Mid Cap Growth fund — Dividend

TRP Spectrum Income fund — Dividend

Vanguard Wellesley Inc Fund mutual fund — Dividend

(Y) JPMorgan Income Builder UGTMA

(Y) Prudential Jennison Equity Income UGTMA

(Y) Janney Montgomery Sweep Acct UGTMA

Janney Montgomery Sweep Acct — Interest

ASPZX Alger Spectra — Dividend

MINIX MFS International Value CL I — Dividend

OGIYX Oppenheimer Global Opportunities Cl C — Dividend

Van Kampen Invest Grade Mun Trust CUSIP 92116Y160 — Dividend

Royal Bank Canada - 3Z8 formerly of Montreal Russell Index Note — Interest — Redeemed

BNP PARIBAS US Note CUSIP 05579TVY9 — Interest — Redeemed

Barclays Bank PLC Note CUSIP 06744C5E7 — Interest

Royal Bank of Canada Note - KM8 — Interest — Redeemed

JP Morgan Chase Note CUSIP 48129HCA3 — Interest

JP Morgan Chase Finl Co Cont Note 48129MAP1 — Interest

GS Finance Corp Cont CPN NDX 40055QD82 — Interest

Societe Generale Worst Non Prin Pronote Lkd Xop CUSIP 83369FSV0 — Interest — Buy

BOFA Finance LLC ContT Incm Note Lkd Indu Rty CUSIP 09709TQK0 — Interest — Buy

Citigroup Glbl Mkts Hldg Eqty Lkd Contn Cpn CUSIP 17327TEX0 — Interest — Buy

Torontp Dominion Bank Contin Int Bar Lkd Try SX5E CUSIP 89114R4S2 — Interest — Buy

Government I Bonds — Dividend — Redeemed (part)

Government I Bond — Dividend

TIAA CREF Retirement Account (H)

TI|AA Traditional fixed annunity — Interest

CREF Stock R2 — Dividend

CREF Growth R2 — Dividend

MainStay Lrg Cap Growth I — Dividend

Adjunct Professor, Washington and Lee University School of Law

Reimbursement — Virginia Bar Association — 5/2019 — Williamsburg — speaking at Bankruptcy Law Conference — hotel and mileage

Reimbursement — ABI — 7/2019 — Amelia Island — speaking at Southeastern Bankruptcy Conference — hotel, airfare, and taxi

Reimbursement — ABI — 9/2019 — Washington, DC — speaking at Views from the Bench — hotel and mileage

Reimbursement — NCBJ — 10/2019 — Washington, DC — speaking at Annual Conference of Bankruptcy Judges — hotel and mileage

Income — 2019 — Washington and Lee Univerity School of Law salary — $11,000.00

Spouse's income — 2019 — Washington and Lee University Salary

Part VII:

Line 5 SDIX Dreyfus Standish shares sold 4/3/19 at a loss

Line 7 JHME John Hancock Mult Eng ETF shares sold 11/20/19 at a loss

Lne 21 RPSIX T Rowe Price Spectrum Inc shares sold 4/3/19 at a loss

Line 25 SCZ iShares MSCI EAFC shares sold 8/6/19 at a loss

Line 26 VNQI Vanguard Global Ex-US shares sold 4/15/19 at a loss

Line 27 MaNLx Blackrock Nat Mun Fund shares sold 4/3/19 at a loss

Lines 31, 32, 33 are assets that had been previously owned under a UGMA account and in 2019 the beneficiary became of majority age, therefore the account was

transferred to the adult child. I no longer have any ownership interest in the account.

Lines 72, 73, 74, 75 and 76 are assets held in retirement account of spouse. I have no ownership interest in or control over these retirement assets.