Joseph L Falvey jr

IRA #1 (H)

DFA Emerging Markets Core Equity (DFCEX) — Int./Div.

DFA Enhanced US Large Company (DFELX) — Int./Div.

DFA Five Year Global Fixed (DFGBX) — Int./Div.

DFA International Core Equity (DFIEX) — Int./Div.

DFA US Large Cap Value (DFLVX) — Int./Div.

DFA US Small Cap Value (DFSTX) — Int./Div.

Fuller & Thale Behavioral Sm-Cp Eq Inst (FTHSX) — Int./Div.

Matthews Asia Dividend (MIPIX) — Int./Div.

Osterweis Strategic Income Fund (OSTIX) — Int./Div. — Sold (part)

Osterweis Strategic Income Fund (OSTIX) — Sold (part)

Prudential Absolute (PADZX) — Int./Div. — Sold (part)

Prudential Total Returns (PDBZX) — Int./Div. — Sold (part)

Touchstone Sands Capital Emerging Markets Growth (TSEMX) — Int./Div.

Vanguard Short-Term Investment-Grade Admiral Shares — Int./Div.

IRA #2 (H)

DFA Emerging Markets Core Equity (DFCEX) — Int./Div.

DFA Enhanced US Large Company (DFELX) — Int./Div.

DFA Five Year Global Fixed (DFGBX) — Int./Div.

DFA International Core Equity (DFIEX) — Int./Div. — Buy (add'l)

DFA US Large Cap Value (DFLVX) — Int./Div. — Buy (add'l)

DFA US Small Cap Value (DFSTX) — Int./Div. — Buy (add'l)

Fuller & Thale Behavioral Sm-Cp Eq Inst (FTHSX) — Int./Div.

Matthews Asia Dividend (MIPIX) — Int./Div.

Osterweis Strategic Income Fund (OSTIX) — Int./Div. — Sold (part)

Prudential Absolute (PADZX) — Int./Div.

Prudential Total Returns (PDBZX) — Int./Div. — Sold (part)

Touchstone Sands Capital Emerging Markets Growth (TSEMX) — Int./Div.

Vanguard Short-Term Investment-Grade Admiral Shares — Int./Div.

Universal Life Insurance (H)

USAA Flexible Premium Adjustable Life Insurance Policy #1 — Interest

USAA Flexible Premium Adjustable Life Insurance Policy #2 — Interest

529 #2 (H)

Michigan Education Savings Program Investment Age-Based Option — None — Sold (part)

Michigan Education Savings Program Investment Age-Based Option — Sold (part)

Michigan Education Savings Program Investment Age-Based Option — Sold (part)

Michigan Education Savings Program Investment Age-Based Option — Sold (part)

529 #3 (H)

Michigan Education Savings Program Investment Age-Based Option — None — Sold (part)

Michigan Education Savings Program Investment Age-Based Option — Sold (part)

529 #4 (H)

Michigan Education Savings Program Investment Age-Based Option — None

529 #5 (H)

Michigan Education Savings Program Investment Age-Based Option — None

Bank Accounts (H)

USAA FSB Cash Accounts — Interest

Citizens Bank Cash Account — Interest

Family Trust #1 (H)

Morgan Stanley Bank Cash Account — Interest — Closed

Trustee, Family Trust #1

Part I.

As noted, I am the Trustee for Family Trust #1. My spouse is one of several beneficiaries of this trust. She, and the other beneficiaries, received distributions in

equal amounts from this trust in 2019. These distributions depleted the trust account.