Stephani W. Humrickhouse

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

Fidelity Capital Appreciation Fund — Dividend

FMI 401K (H)

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

Harbor Capital Appreciation Inst Div HACAX — None — Sold

Hartford Int'l Opp R5 IHOTX — Dividend — Sold

John Hancock Disc. Value JDVWX — None — Sold

MFS International Value R4 MINHX — Dividend — Sold

Metropolitan West Total Return Bond MWTRX — Int./Div. — Sold

Principal Real Estate Securities Inst. PIREX — Dividend — Sold

Prudential Jennison Health Sciences PHSZX — Dividend — Sold

TRowe Price Science and Tech/Adv PRSCX — Dividend — Sold

Vanguard Mid Cap Index Admiral VIMAX — Dividend — Sold

Wells Fargo Stable Return Fund N — Interest — Sold

Wells Fargo/Blackrock S&P 500 Index — Dividend — Sold

Etrade (H)

1 Share S&P Midcap ETF (IJH) — Dividend

1 Share S&P Small Cap ETF (IJR) — Dividend

BXMT (Blackstone Mortgage Tr.) — Dividend — Buy

KBWP (Invesco Exe. Tr.) — Dividend — Buy

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

UTX (United Tech) — Dividend — Buy

Vanguard Brokerage Acct (H)

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

Vanguard Prime Money Mkt Fund VMMXX (checking) — Interest

Vanguard Large Capital ETF VV — Dividend

Capital One Bank CD — Interest

NOBL (ProsharesTrust S&P 500) — Dividend — Buy

AMRN (Amarin Corp) — None — Buy

AMRN (Amarin Corp) — Sold

ALPP (Alpine) — None — Buy

ALPP (Alpine) — Buy (add'l)

ALPP (Alpine) — Buy (add'l)

ALPP (Alpine) — Buy (add'l)

ALPP (Alpine) — Buy (add'l)

ALPP (Alpine) — Buy (add'l)

ALPP (Alpine) — Sold (part)

ALPP (Alpine) — Sold (part)

Edward Jones Joint - 1 (H)

SPDR High Yield ETF (JNK) — Dividend

EUFN (I Shares TR/MSCI) — Dividend — Sold

EWJ — Dividend

FBGX (UBS Ag London Brh) — None

FIEE (UBS AG London ETN) — None

IEV I Shares Europe ETF — Dividend

FIGY (Barclays) (Y) — *SEE NOTE

IXN (ETF) — Dividend

IXP — Dividend

Morgan Stanley Money Market — Interest

MBB (ETF) — Dividend

QQQ (ETF) — Dividend

TFI (ETF) — Dividend

XLG (ETF) — Dividend

XLF (ETF) — Dividend

XLP — Dividend

XLV (ETF) — Dividend

VIS — Dividend

VWO — Dividend

Wells Fargo CD — Interest — Matured

Janney, Montgomery, Scott (H)

BP Capital Twin MLP Fund (BPMAX) Name Change HMSFX — Dividend

BAEIX (mutual fund) — Dividend

Cullen High Div. Equity Classic (CHVCX) — Dividend

Federated Treasury Fund (cash acct) — Interest

Vanguard Value ETF VTV — Dividend

Merrill Lynch Wealth Management - CMA #1 (H)

ALLSTATE CORP. Preferred Stock ALLPRA — Dividend

Eli Lilly (LLY) — Dividend

Intel (INTC) — Dividend

Merrill Lynch (FIA Card Services) Bank Deposit Program (cash) — Interest

Powershares Variable Rate (VRP) — Dividend

Merrill Lynch Wealth Management - CMA #2 (H)

Merrill Lynch Bank Deposit Program — Interest

Wells Fargo CD — Interest — Matured

BMW Bank CD — Interest — Matured

JP Morgan Chase Preferred — Dividend

Morgan Stanley Preferred — Dividend

Preferred Deposit Cash Account — Interest

Federal Institution Prime MM (PVOXX) — Interest — Buy

Federal Institution Prime MM (PVOXX) — Buy (add'l)

Federal Institution Prime MM (PVOXX) — Sold (part)

Federal Institution Prime MM (PVOXX) — Sold (part)

Allstate Preferred Stock #1 — Dividend — Buy

AT&T Preferred Stock — Dividend — Buy

Bank of America Preferred Stock #1 — Dividend — Buy

Bank of America Preferred Stock #2 — Dividend — Buy

Duke Energy — Dividend — Buy

Allstate Preferred Stock #2 — Dividend — Buy

Neighbors Ind. — Interest — Buy

Merrill Lynch Wealth Management - IRA (H) — None

Alger Spectra (ASPZX) — None — Sold

AMBFX — Dividend

Bank of America, NA, RAST (FIA Card Svc Cash (11AXX)) — Interest

BLACK ROCK CREDIT (BCX) — Dividend

CSCO — Dividend

Credit Suisse — None — Sold

First Eagle (SG11X) — Dividend — Sold

Googl — None — Buy

Googl — Sold

Intel INTC — Dividend

MTUM — Dividend — Sold

Oppenheimer Dev (ODVYX) — Dividend — Sold

Oppenheimer Int'l (OIGYX) — Dividend — Sold

Oppenheimer (RDIV) — Dividend

Powershares Preferred Portfolio (PGX) — Dividend

Proctor & Gamble (PG) — Dividend — Sold (part)

Royal Dutch Shell RDSB — Dividend

Royal Dutch Shell RDSA — Dividend

SPDR (Y) — * SEE NOTE

XLK — Dividend

XOM — Dividend

Federated Ins't Prime MM (PVOXX) (cash acct) — Interest — Open

Bank of America Cash Acct. — Interest

Kinder Morgan — Dividend — Buy

Energy Transfer (ET) — Dividend — Buy

Energy Transfer (ET) — Sold

Edward Jones IRA #1 (H)

AT&T — Dividend

Cash Account — Interest

Conoco Phillips — Dividend

Johnson & Johnson — Dividend

Tiffany & Co. — Dividend — Sold

PWB (Invesco Exc. Traded Lg Cap) — Dividend — Buy

NOBL (Proshares S&P 500 Div Anst) — Dividend — Buy

Edward Jones IRA #2 (H)

Edward Jones Cash Account — Interest

Tiffany & Co. — Dividend — Sold

Trust Energy Spyder ETF (XLE) — Dividend

PWB (Invesco Exc. Traded Lg. Cap) — Dividend — Buy

NOBL (Proshares S&P 500 Div Anst) — Dividend — Buy

Edward Jones Single One (H)

Edward Jones Cash Account — Interest

American Funds TAIAX — Dividend

Goldman Sachs CD — Interest — Matured

Lincoln Life Ins. — Dividend

Prudential Prem. Ret. Contract Annuity — Dividend

Raleigh Durham Airport Bond — Interest

NC Med Care Comm Bond — Interest — Buy

Edward Jones Single 4 (H)

Edward Jones Cash Account (backed by PNC) — Interest

Amazon (AMZN) — None

APY — None — Sold

AT&T (T) — Dividend

DollarGen (DG) — Dividend

Dover Corp (DOV) — Dividend

Emerson Electric (EMR) — Dividend

Exxon Mobile (XOM) — Dividend

Johnson & Johnson (JNJ) — Dividend — Sold

LINDE PLC (LIN) — Dividend

Microsoft (MSFT) — Dividend

Proctor & Gamble (PG) — Dividend

Target (TGT) — Dividend

United Tech (UTX) — Dividend

Ventas (VTR) — Dividend — Sold

Verizon (VZ) — Dividend

Invesco XSLV — Dividend

Invesco XMLV — Dividend

Ishares DGRO — Dividend

Ishares ITA — Dividend

Ishares IBB — Dividend

Spyder XLP — Dividend

Spyder XLU — Dividend

Vanguard VFH — Dividend

Danaher (DHR) — Dividend — Buy

PWB (Invesco Exc Tr. Dynamic) — Dividend — Buy

NOBL (Proshares S&P 500 Div Anst) — Dividend — Buy

Durham Arvin Partnership — None

FMI Corp. Stock — Distribution — Sold

Nationwide Whole Life Insurance — None

North State Bank Acct — Interest

Bank of America Account — Interest

Equitable Life Insurance (cash value) — Dividend

Charter Small Cap Value — Dividend

Eq/500 Managed Volatility — Dividend

Eq/Commom Stock Index — Dividend

Eq/Large Cap Value Managed Volatility — Dividend

Guaranteed Interest Acct. — Interest

Multimanager Mid-Cap Growth — Dividend

Alpine 4 Technologies Ltd — Dividend

AXA Advisors (H)

JP Morgan CD 48128FAXO — Interest

JP Morgan CD 48126Y7K3 — Interest

JP Morgan CD 48126Y7L1 — Interest

JP Morgan CD 48126Y7N7 — Interest

JP Morgan CD - Contingent Yield (8/30/19) — Interest — Sold

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

Cash Acct - Discover — Interest — Open

Delaware Life Annuity — Interest — Buy

Vanguard Rolloever IRA (H)

Federal Money Market Fund (Settlement Fund) — Interest — Open

VMGXX Money Market (cash acct.) — Interest — Buy

VFIAX (500 Index) — Dividend — Buy

VTTVX (Target Retirement 2025) — Dividend — Buy

VTTVX (Target Retirement 2025) — Buy (add'l)

VWEAX (High Yield Corp Bond) — Dividend — Buy

QQQ (Nasdeq 500) — Dividend — Buy

QQQ (Nasdeq 500) — Sold (part)

NOBL (Proshares Trust S&P Aris) — Dividend — Buy

CZZ (Cosan Ltd) — Dividend — Buy

LX (LexinFintech) — None — Buy

MRVL (Marvel Tech) — Dividend — Buy

MOMO — Dividend — Buy

ZTO (Express Cayman) — None — Buy

AMD (Adv. Micro Devices) — None — Buy

AMD (Adv. Micro Devices) — Sold

E-Trade Rollover IRA (H)

Cash Account — Interest — Open

DLTH (Duluth) — None — Buy

HNHPF(Hon Hai Precision) — Dividend — Buy

PWB (Invesco Exc. Lg. Cap ETF) — Dividend — Buy

NEO (Neogenomics) — None — Buy

OSTK (Overstock) — None — Buy

NOBL (Proshares S&P Ans) — Dividend — Buy

VHT (Vanguard Healthcare ETF) — Dividend — Buy

VHT (Vanguard Healthcare ETF) — Sold (part)

SPY (SPDR S&P 500 ETF) — Dividend — Buy

SPY (SPDR S&P 500 ETF) — Sold

ARLO (Arlo Tech) — None — Buy

ARLO (Arlo Tech) — Sold (part)

ARLO (Arlo Tech) — Sold

DSX (Dianne Shipping) — None — Buy

DSX (Dianne Shipping) — Sold

MR (Mortgage Resources) — None — Buy

MR (Mortgage Resources) — Sold

MYOK (Myokardia) — None — Buy

MYOK (Myokardia) — Sold

TVIX (Velocity Shares) — None — Buy

TVIX (Velocity Shares) — Buy (add'l)

TVIX (Velocity Shares) — Buy (add'l)

TVIX (Velocity Shares) — Buy (add'l)

TVIX (Velocity Shares) — Sold

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

Board Member, North Carolina Museum of History Associates

Reimbursement — Eastern BAnkruptcy Institute — 5/30/2019 - 6/1/2019 — N. Myrtle Beach, SC — Eastern Bankruptcy Institute — Lodging

Reimbursement — Federal Judicial Center — 7/7/2019 - 7/10/2019 — New York — FJC Judges' Workshop — Lodging, Travel, Meals

Reimbursement — American Bankruptcy Institute — 7/18/2019 - 7/20/2019 — Amelia Island, FL — ABI - Southeastern Workshop — Lodging, Travel, Meals

Reimbursement — North Carolina Bar Association — 11/22/2019 - 11/112/2019 — Wilmington, NC — Annual North Carolina Bar Bankruptcy Institute — Lodging, Meals

Reimbursement — Turnaround Management Association — 12/2/2019 - 12/3/2019 — Charlotte, NC — TMA Annual Judges' Panel — Lodging, Travel, Meals

Income — 08/15/2019 — Matthew Bender & Co / Colliers Author — $1,200.00

Income — 12/27/2019 — Matthew Bender & Co / Colliers Author — $2,800.00

Spouse's income — 2019 — FMI Corp W-2

Spouse's income — 2019 — FMI Corp 1120S K-1

Spouse's income — 2019 — FMI Corp 1099