Bruce A. Harwood

Common AMLP - ALERIAN MLP ETF — Dividend — Buy (add'l)

Common AMLP - ALERIAN MLP ETF — Buy (add'l)

Common AMLP - ALERIAN MLP ETF — Buy (add'l)

Common AMLP - ALERIAN MLP ETF — Buy (add'l)

Common AMLP - ALERIAN MLP ETF — Sold (part)

AHLYX- AMER BEACON AHL MNGD FUT FUND — None — Sold (part)

AHLYX- AMER BEACON AHL MNGD FUT FUND — Buy (add'l)

AHLYX- AMER BEACON AHL MNGD FUT FUND — Sold

AQMIX - AQR MANAGED FUTURES STRATEGY I FUND — None — Sold (part)

AQMIX - AQR MANAGED FUTURES STRATEGY I FUND — Buy (add'l)

AQMIX - AQR MANAGED FUTURES STRATEGY I FUND — Sold (part)

AQMIX - AQR MANAGED FUTURES STRATEGY I FUND — Sold

BGCIX - BLACKROCK GLOBAL L/S CREDIT I FUND — Dividend — Buy (add'l)

BGCIX - BLACKROCK GLOBAL L/S CREDIT I FUND — Buy (add'l)

BGCIX - BLACKROCK GLOBAL L/S CREDIT I FUND — Sold (part)

BGCIX - BLACKROCK GLOBAL L/S CREDIT I FUND — Sold (part)

CMNIX - CALAMOS MARKET NEUTRAL INC I FUND — Dividend — Buy (add'l)

CMNIX - CALAMOS MARKET NEUTRAL INC I FUND — Buy (add'l)

CMNIX - CALAMOS MARKET NEUTRAL INC I FUND — Buy (add'l)

CMNIX - CALAMOS MARKET NEUTRAL INC I FUND — Buy (add'l)

Common CVX - CHEVRON CORP — Dividend

FT NORTH AMER ENERGY ETF — Dividend — Sold

FT NORTH AMER ENERGY ETF — Buy

GJRTX GOLDMAN SACHS ABSOLUTE RETURN TRACKER FUND — Distribution — Buy (add'l)

GJRTX GOLDMAN SACHS ABSOLUTE RETURN TRACKER FUND — Dividend — Buy (add'l)

PDBC INVESCO OPTIMUM YIELD DIVERSIFIED FUND — None — Sold

IPPXX INVESCO PREMIER INST"L MONEY MARKET FUND — Dividend — Buy

IPPXX INVESCO PREMIER INST"L MONEY MARKET FUND — Buy (add'l)

IPPXX INVESCO PREMIER INST"L MONEY MARKET FUND — Buy (add'l)

IQ HEDGE MUTLI-STRAT TRACKER ETF — Dividend — Sold

ICF ISHARES COHEN & STEERS REIT ETF — None — Sold

AOC ISHARES CORE CONSERVATIVE ETF — Dividend — Sold

IEF ISHARES 7-10 YEAR TREASURY BOND ETF — Dividend — Buy

IEF ISHARES 7-10 YEAR TREASURY BOND ETF — Buy (add'l)

TLT ISHARES 20+ YEAR TREASURY BOND ETF — Dividend — Buy

TLT ISHARES 20+ YEAR TREASURY BOND ETF — Buy (add'l)

Common TIP - ISHARES BARCLAYS TIPS BD ETF — Dividend — Buy (add'l)

Common TIP - ISHARES BARCLAYS TIPS BD ETF — Sold (part)

Common TIP - ISHARES BARCLAYS TIPS BD ETF — Sold (part)

EEM - ISHARES MSCI EMERGING MARKETS ETF — Dividend — Sold

Common SCZ - ISHARES TR MSCI SMALL CAP — Dividend — Sold (part)

Common MERFX - MERGER FUND - changed to MERIX - MERGER FUND 9/27/19 — Dividend — Buy (add'l)

Common MERFX - MERGER FUND - changed to MERIX - MERGER FUND 9/27/19 — Distribution — Buy (add'l)

Common - STPZ - PIMCO 1-5 YEAR US TIPS INDEX FUND — Dividend — Buy (add'l)

Common - STPZ - PIMCO 1-5 YEAR US TIPS INDEX FUND — Sold (part)

Common - STPZ - PIMCO 1-5 YEAR US TIPS INDEX FUND — Sold (part)

PALPX - PIMCO ALL ASSET P FUND — Dividend — Buy (add'l)

PALPX - PIMCO ALL ASSET P FUND — Buy (add'l)

PALPX - PIMCO ALL ASSET P FUND — Buy (add'l)

PALPX - PIMCO ALL ASSET P FUND — Buy (add'l)

PALPX - PIMCO ALL ASSET P FUND — Buy (add'l)

PCRPX - PIMCO COMMOD REAL RET STRAT FUND — Dividend — Buy (add'l)

PCRPX - PIMCO COMMOD REAL RET STRAT FUND — Buy (add'l)

PCRPX - PIMCO COMMOD REAL RET STRAT FUND — Sold (part)

PCRPX - PIMCO COMMOD REAL RET STRAT FUND — Sold

Common RWX - SPDR DJ WILSHIRE INTL REAL EST — Dividend — Buy (add'l)

Common RWX - SPDR DJ WILSHIRE INTL REAL EST — Buy (add'l)

Common RWX - SPDR DJ WILSHIRE INTL REAL EST — Buy (add'l)

Common TFI - SPDR NUVEEN BBG BARCLAYS MUN B ETF - — Dividend — Buy (add'l)

Common TFI - SPDR NUVEEN BBG BARCLAYS MUN B ETF - — Buy (add'l)

Common SHM - SPDR NUVEEN BARCLAYS SHRT TERM — Dividend — Sold (part)

Common VEA - VANGUARD FTSE DEVELOPED MARKETS ETF — Dividend — Buy (add'l)

Common VWO - VANGUARD FTSE EMERGING MARKETS E — Dividend — Buy (add'l)

Common VUG - VANGUARD GROWTH ETF — Dividend — Sold (part)

Common VNQ - VANGUARD REIT ETF — Dividend — Sold (part)

Common BSV - VANGUARD SHORT TERM BND — Dividend — Buy (add'l)

Common BSV - VANGUARD SHORT TERM BND — Buy (add'l)

Common BSV - VANGUARD SHORT TERM BND — Buy (add'l)

Common VBK - VANGUARD SM CAP GROWTH ETF — Dividend — Sold (part)

Common VBK - VANGUARD SM CAP GROWTH ETF — Sold (part)

Common VBR - VANGUARD SM VALUE ETF — Dividend — Sold (part)

Common VBR - VANGUARD SM VALUE ETF — Sold (part)

Common BND - VANGUARD TOTAL BOND MARKET — Dividend — Buy (add'l)

Common VTV - VANGUARD VALUE ETF INDEX — Dividend — Sold (part)

Morgan Stanley Bank N.A. Money Market Account (Bank Deposit Program) — Interest

CITIZENS BANK - deposit accounts — Interest

Common BENGUET CORP — None

Common ENERGIZER HOLDINGS INC (Custodian) — None

Common BOEING COMPANY (Custodian) — None

Trust #1 (H)

CITIZENS BANK - bank accunt — Interest

Trust #3 (H)

CITIZENS BANK - bank account — Interest

NBT Bank f/k/a HAMPSHIRE FIRST BANK - bank account — Interest — Closed

Trust #4 (H)

NBT BANK f/k/a HAMPSHIRE FIRST BANK - bank account — Interest — Closed

Trust #5 (H)

NBT Bank f/k/a HAMPSHIRE FIRST BANK - bank account — Interest

Trust # 6 (H)

NBT BANK f/k/a HAMPSHIRE FIRST BANK - bank account — Interest — Closed

Common PRINCIPAL FINANCIAL GROUP INC — Dividend

Director and Officer, American Bankruptcy Institute

Trustee, Trust #1 ( member sole beneficiary)

Trustee, Trust #2 ( member sole beneficiary)

Trustee, Trust #3 ( member sole beneficiary)

Trustee, Trust #4 ( member sole beneficiary)

Trustee, Trust #5 ( member sole beneficiary)

Trustee, Trust #6 ( member sole beneficiary)

Reimbursement — American Bankruptcy Institute — April 11-14, 2019 — Washington, DC — Educational seminar and board of directors meeting — Transportation, Lodging, Meals

Reimbursement — Association of Insolvency & Resstructuring Advisors — June 6-9, 2019 — Boston, MA — Educational seminar and annual meeting — Transportation, Lodging, Meals

Reimbursement — American Bankruptcy Institute — July 11-13, 2019 — Newport, RI — Educational seminar — Transportation, Lodging, Meals

Part VII, Line 42: MERFX Merger Fund changed to MERIX Merger Fund on September 27, 2019 in an exchange transaction.