Ronald H. Sargis

What was filed

230
investments
1
positions
0
gifts
0
agreements
0
debts
3
reimbursements
1
income
2
spouse income

Named parties

See Part VIII, Note 1
See Part VIII Note 2
See Part VII - Note 3
Trust #1 Family Member 1
Loyola Law School
California Bankruptcy Forum
California Association of Collectors
University of Pacific, McGeorge School of Law -- Co-Teaching Bankruptcy Course
State of California, California Department of Public Health --- Retired Annuitant Salary
CalPERS - State of California Retirement

As filed

Rental Property, Sacramento, California — Rent

Bank of America Demand Accounts — Interest

Golden 1 Credit Union Demand Account — Interest

Bank of the West Demand Account — Interest

State Farm Whole Life Insurance — Interest

Mineral Rights, Livingston, CA — None

(H) XXXXXXX XXXXXX

(H) BROKERAGE ACCOUNT #1

Merril Lynch Direct Deposit (Cash) Account) — Int./Div.

Adient PLC SHS -- ADNT — None

Johnson Controls Inter -- JCI — Dividend

Mallinckrodt PLC -- MNK (X) — None

Medtronic PLC -- MDT (fka Covidien PLC) — Int./Div.

Nokia Corp -- NOK — Int./Div.

Oracle Corp -- ORCL — Int./Div. — Sold (part)

Pentair PLC -- PNR — Int./Div.

NVENT Elec PLC Reg — Int./Div. — Spinoff (from line 16) — See Part VIII, Note 1

Sirus SM -- SIRI — Int./Div.

TE Connectivity -- TEL — Int./Div.

(H) XXXXXXXXX

(H) BROKERAGE ACCOUNT #3

Insured Bank Deposit U.S. Bank — Int./Div.

Dreyfus Technology Growth -- DTGRX — Distribution

(H) Investments Completed Disposed of

Gateway CL C Reinvestments -- GTECX — Int./Div. — Sold

(H) XXXXXXXXXX

(H) BROKERAGE ACCOUNT #8 IRA ROLLOVER — See Part VIII Note 2

General MMKT Class A Cash Fund — Int./Div. — Closed

First Trust Senior Loan Fund - FTSL — Dividend — Sold

First Trust Utilities Alphadex -- FXU — Dividend — Sold (part)

First Trust Utilities Alphadex -- FXU — Sold (part)

First Trust Utilities Alphadex -- FXU — Sold

Consumer Discretionary Select Sector SPDR ETF - XYL — Dividend — Sold (part)

Consumer Discretionary Select Sector SPDR ETF - XYL — Buy (add'l)

Consumer Discretionary Select Sector SPDR ETF - XYL — Sold

Global X US Infrastructure Dev. ETF -- PAVE — Dividend — Sold (part)

Global X US Infrastructure Dev. ETF -- PAVE — Sold (part)

Global X US Infrastructure Dev. ETF -- PAVE — Sold

Goldman Sachs Activebeta US Large Cap Equity ETF -- GSLC — Dividend — Sold (part)

Goldman Sachs Activebeta US Large Cap Equity ETF -- GSLC — Sold (part)

Goldman Sachs Activebeta US Large Cap Equity ETF -- GSLC — Buy (add'l)

Goldman Sachs Activebeta US Large Cap Equity ETF -- GSLC — Sold

Ishares MSCI Australia ETF -- EWA — Dividend — Sold (part)

Ishares MSCI Australia ETF -- EWA — Sold (part)

Ishares MSCI Australia ETF -- EWA — Sold

Ishares MSCI Canada ETF-EWC — Dividend — Sold (part)

Ishares MSCI Canada ETF-EWC — Sold (part)

Ishares MSCI Canada ETF-EWC — Sold

Ishares Core MSCI EAFE ETF - IEFA — Dividend — Sold (part)

Ishares Core MSCI EAFE ETF - IEFA — Sold (part)

Ishares Core MSCI EAFE ETF - IEFA — Buy (add'l)

Ishares Core MSCI EAFE ETF - IEFA — Sold (part)

Ishares Core MSCI EAFE ETF - IEFA — Sold

Ishares Core MSCI Emerging Markets ETF -- IEMG — Dividend — Buy (add'l)

Ishares Core MSCI Emerging Markets ETF -- IEMG — Sold (part)

Ishares Core MSCI Emerging Markets ETF -- IEMG — Sold

Ishares Core S&P 500 ETF -- IVV — Dividend — Sold (part)

Ishares Core S&P 500 ETF -- IVV — Sold (part)

Ishares Core S&P 500 ETF -- IVV — Buy (add'l)

Ishares Core S&P 500 ETF -- IVV — Sold (part)

Ishares Core S&P 500 ETF -- IVV — Sold

Ishares Technology ETF -- IYW — Dividend — Sold (part)

Ishares Technology ETF -- IYW — Sold (part)

Ishares Technology ETF -- IYW — Sold

Ishares MSCI EAFE ETF - EFA — Dividend — Sold (part)

Ishares MSCI EAFE ETF - EFA — Sold (part)

Ishares MSCI EAFE ETF - EFA — Sold

Ishares MSCI EAFE Growth ETF - EFG — Dividend — Sold (part)

Ishares MSCI EAFE Growth ETF - EFG — Sold (part)

Ishares MSCI EAFE Growth ETF - EFG — Sold

Ishares U S Medical Devices ETF - IHI — Dividend — Sold (part)

Ishares U S Medical Devices ETF - IHI — Sold (part)

Ishares U S Medical Devices ETF - IHI — Sold

Ishares MSCI All Country Asia Ex Japan - AAXJ — None — Sold (part)

Ishares MSCI All Country Asia Ex Japan - AAXJ — Sold (part)

Ishares MSCI All Country Asia Ex Japan - AAXJ — Sold

Ishares U S Financial Services ETF - IYG — Dividend — Sold (part)

Ishares U S Financial Services ETF - IYG — Sold (part)

Ishares U S Financial Services ETF - IYG — Sold

Ishares Core S&P Small Cap ETF -- IJR — Dividend — Buy (add'l)

Ishares Core S&P Small Cap ETF -- IJR — Sold (part)

Ishares Core S&P Small Cap ETF -- IJR — Sold

Ishares U S Consumer Goods ETF - IYK — Dividend — Sold (part)

Ishares U S Consumer Goods ETF - IYK — Sold (part)

Ishares U S Consumer Goods ETF - IYK — Sold

Invesco Aerospace & Defense - PPA — Dividend — Sold (part)

Invesco Aerospace & Defense - PPA — Sold (part)

Invesco Aerospace & Defense - PPA — Sold

Invesco QQQ EFT - QQQ — Dividend — Sold (part)

Invesco QQQ EFT - QQQ — Sold (part)

Invesco QQQ EFT - QQQ — Sold

Invesco Exchange S&P 500 Equal Weight Energy -- RYE — Dividend — Sold (part)

Invesco Exchange S&P 500 Equal Weight Energy -- RYE — Sold (part)

Invesco Exchange S&P 500 Equal Weight Energy -- RYE — Sold

Oppenheimver Russell 1000 Dynamic Multifactor — Dividend — Buy

Oppenheimver Russell 1000 Dynamic Multifactor — Sold (part)

Oppenheimver Russell 1000 Dynamic Multifactor — Distributed — See Part VII - Note 3

Invesco Russell 1000 Dynamic Multifactor — Dividend — Spinoff (from line 127)

Invesco Russell 1000 Dynamic Multifactor — Sold (part)

Invesco Russell 1000 Dynamic Multifactor — Sold

Invesco Exchange FTSE RAFI Emerging Market ETF - PXH — Dividend — Sold (part)

Invesco Exchange FTSE RAFI Emerging Market ETF - PXH — Sold (part)

Invesco Exchange FTSE RAFI Emerging Market ETF - PXH — Sold

JP Morgan Betabuilders Japan ETF - BBJP — None — Sold (part)

JP Morgan Betabuilders Japan ETF - BBJP — Sold (part)

JP Morgan Betabuilders Japan ETF - BBJP — Sold

JP Morgan Diversified Return Intl Equity ETF — Dividend — Buy

JP Morgan Diversified Return Intl Equity ETF — Sold (part)

JP Morgan Diversified Return Intl Equity ETF — Sold

Sector Healthcare Select Sector SPDR ETF- XLV — Dividend — Sold (part)

Sector Healthcare Select Sector SPDR ETF- XLV — Sold (part)

Sector Healthcare Select Sector SPDR ETF- XLV — Sold

Sector Financial Select Sector SPDR ETF - XLF — Dividend — Sold (part)

Sector Financial Select Sector SPDR ETF - XLF — Sold (part)

Sector Financial Select Sector SPDR ETF - XLF — Sold

SPDR Blackstone GSO SR LN - SRLN — Dividend — Sold (part)

SPDR Blackstone GSO SR LN - SRLN — Sold

Vaneck Vectors JPM Emerg Mkts Loc Currency BD New ETF — Dividend — Buy

Vaneck Vectors JPM Emerg Mkts Loc Currency BD New ETF — Sold (part)

Vaneck Vectors JPM Emerg Mkts Loc Currency BD New ETF — Sold

Vanguard Large Cap ETF - VV — None — Sold (part)

Vanguard Large Cap ETF - VV — Sold (part)

Vanguard Large Cap ETF - VV — Sold

Wisdomtree Japan Small Cap Dividend ETF - DJF — None — Sold (part)

Wisdomtree Japan Small Cap Dividend ETF - DJF — Sold

Ishares 20+ Treasury Bond ETF - TLT — Dividend — Sold

Ishares 10-20 Yr Treasury Bond ETF - TLH — Dividend — Sold (part)

Ishares 10-20 Yr Treasury Bond ETF - TLH — Sold

Pimco Investment Grade Corporate Bond Index ETF - COPR — Dividend — Sold (part)

Pimco Investment Grade Corporate Bond Index ETF - COPR — Sold (part)

Pimco Investment Grade Corporate Bond Index ETF - COPR — Sold

Vanguard Total Bond Market ETF - BND — Dividend — Sold (part)

Vanguard Total Bond Market ETF - BND — Buy (add'l)

Vanguard Total Bond Market ETF - BND — Sold (part)

Vanguard Total Bond Market ETF - BND — Buy (add'l)

Vanguard Total Bond Market ETF - BND — Sold

Vanguard Short Term Corporate Bond Fund — Dividend — Buy

Vanguard Short Term Corporate Bond Fund — Sold

Vanguard Intermediate Term Treasury Index — Dividend — Sold (part)

Vanguard Intermediate Term Treasury Index — Sold (part)

Vanguard Intermediate Term Treasury Index — Sold

(H) XXXXXXXXX

(H) Brokerage Account 9 IRA Rollover

CASH/MMONEY MARKET -- RW Baird Genal MMKt Class A — Int./Div.

Blackrock Event Driven Equity Instl CL Reinvestments - BILPX — Dividend — Buy

Blackrock Strategic Income Opptys BSIXX — Dividend

Bluerock Total Income Plus Real Estate - TIPWX — Dividend — Buy

Cullen High Dividend Equity - CHDVX — Dividend — Buy

Davis Global - DGFYX — Dividend — Buy

FMI Instl - FMIYX — Dividend — Buy

Ishares Russell 1000 Growth EFT IWF — Dividend

Ishares Russell Mid Cap - IWR — Dividend — Sold (part)

Ishares Russell Mid Cap - IWR — Buy (add'l)

Oakmark Intl — Dividend

Principal Mid Cap Instl - PCBIX — Dividend — Sold (part)

Principal Global Divversifed Income PGPDX — Dividend — Buy (add'l)

SPDR Series Trust S&P Dividend SDY — Dividend

Sterling Capital Stratton Small Cap STSCX — Distribution

Eaton Vance Global Macro Absolute Return EIGMX — Dividend — Buy (add'l)

Loomis Sayles Bond Instl LSBDX — Dividend

Templeton Global Bond Advisor TGBAX — Dividend

Vanguard Short Term Investment Grade Admiral --VFSUX — Dividend — Sold (part)

Western Asset Core Bond — Dividend — Buy

(H) --------------------

(H) Acct 9 Investments Completely Disposed of in 2019 From Account 9

Advisory Research MLP & Energy Income INFIX — Dividend — Sold (part)

Advisory Research MLP & Energy Income INFIX — Sold

Gateway CL A Reinvestments GTEYX — Dividend — Sold (part)

Gateway CL A Reinvestments GTEYX — Sold (part)

Gateway CL A Reinvestments GTEYX — Sold

(H) XXXXXXXXX

(H) Trust #1

Bank of America -- Deposit Accounts — Interest

US Goverment Bonds — Interest

Trustee - Trust #1 -, Trust #1 Family Member 1

Reimbursement — Loyola Law School — 06/06/2019 — Los Angeles, Cal — Cal-9th Cir Joint Judicial Council Presentation at Journalist Law School Program — Airfare, Car Rental, Airport Parking

Reimbursement — California Bankruptcy Forum — 05/17-19/2019 — Palm Springs, Cal — Annual Forum Educational Conference — Airfare, Car Rental, Hotel, Airport Parking

Reimbursement — California Association of Collectors — 07/13-15/2019 — San Diego, Cal — Annual Conference, Educational Panel Presentation — Airfare, Uber, Hotel, Airport Parking

Income — 2019 — University of Pacific, McGeorge School of Law -- Co-Teaching Bankruptcy Course — $3,087.00

Spouse's income — 2019 — State of California, California Department of Public Health --- Retired Annuitant Salary

Spouse's income — 2019 — CalPERS - State of California Retirement

Note 1: Part VII Line 18 - NVENT Elec PLC was a 5 share spin off from Pentair PLC on April 30, 2018 that was reported as a dividend by Merrill. The value

as of May 2018 was $135.40. As of December 31, 2019 the value of the five (5) shares is stated to be $127.90. Though of di minimis value, because the Merrill

Account statements list thus dividend as five (5) shares of stock, these five (5) shares of stock resulting from the dividend in 2018 are now separately reported so

they may be tracked and any increases in value properly reported.

Note 2: Part VII Line 27 - Brokerage Account No. 8 IRA was closed and the proceeds from disposition of assets were transferred int Brokerage Account No. 9

IRA.

Note 3: Part VII Line 127 - The Oppenheimer Russell 1000 Dynamic shares were exchanged for the Invesco Russell 1000 Dynamic Multifactor shares.