Robert Michael Dow jr

Principal High Yield Fund Class P (Y)

Northern Trust Bank accounts — Interest

Northern Trust Bank IRA (CD) — Interest

First Commuity Bank accounts — Interest

Prudential Individual Retirement Annuity (Y)

Harris Bank accounts — Interest

GCG Mutual Fund (Y)

GCG 529 Fund #1 (Y)

GCG 529 Fund #2

American Funds Capital World G/I 529A — Dividend — Distributed (part)

American Funds Capital World G/I 529A — Distributed (part)

American Funds Growth Fund of America 529A — Dividend — Distributed (part)

American Funds Growth Fund of America 529A — Distributed (part)

GCG 529 Fund #3

New Perspective Fund 529A — Dividend — Distributed (part)

American Funds Fundamental Investors 529A — Dividend — Distributed (part)

GCG 529 Fund #4

American Funds SmallCap World Fund 529A — Dividend — Distributed (part)

American Funds Capital Income Builder 529A — Dividend — Distributed (part)

TD Ameritrade (HSA Bank) — None

Sauk Valley Community Bank Common Stock — Dividend

Buffalo International Fund #1449 — Dividend — Sold

Buffalo Balanced (Flexible Income) Fund — Dividend — Sold

Buffalo Small Cap Fund — Dividend — Sold

Buffalo Science & Tech (Discovery) Fund — Dividend — Sold

Buffalo Large Cap Fund — Dividend — Sold

Buffalo USA Growth Fund — Dividend — Sold

Northern Inst. Tax - Exempt — None — Closed

Securian Rollover IRA Account

Federated Prime Cash Oblig Svc (Y)

Invesco Convertible Sec Fund (Y)

Dodge & Cox Intl Fund (Y)

Homestead Value Fund (Y)

JP Morgan Small-Cap Growth Fund (Y)

Loomis Sayles Strat Income Fund (Y)

Northern Small Cap Value Fund (Y)

Oppenheimer Developing Markets (Y)

Primecap Odyssey Growth Fund (Y)

Prudential Global Real Estate Fund (Y)

T Rowe Price Blue Chip Growth (Y)

Templeton Global Bond Fund Advisor (Y)

AQR (Y)

Columbia Commodity (Y)

Victory (Y)

Diamond Hill (Y)

Fidelity Advisor Intl Growth Class (Y)

Ivy Emerging Markets (Y)

Nuveen Small Cap (Y)

Virtus Kar Small Cap Growth (Y)

Alger Small Cap Focus — Dividend — Sold

Columbia Overseas Value — Dividend — Sold

Goldman Sachs Intl Sm Cap — Dividend — Sold

MFS New Discovery Value Fund — Dividend — Sold

American New World Fund — Dividend — Sold

T Rowe Price Intnatl Discovery Fund — Dividend — Sold

Vanguard Intl Growth Port Inv — Dividend — Sold

Doubleline Low Duration Bond — Dividend — Sold

Pimco Intl Bd — Dividend — Sold

Pimco Income Fund Inst Fund — Dividend — Sold

Vanguard Short Term Invmt Grade — Dividend — Sold

Vanguard Inflation Protected — Dividend — Sold

Wells Fargo Ultra Short Term — Dividend — Sold

Western Asset Core Plus Bond Fund — Dividend — Sold

Ishares Russell 1000 Value — Dividend — Sold

Ishares Russell 1000 Growth — Dividend — Sold

Ishares Russell 2000 ETF — Dividend — Sold

Vanguard FTSE Developed Market — Dividend — Sold

Vanguard Intl Equity Index Fund — Dividend — Sold

Sequella, Inc. — None

IRX Therapeutics, Inc. — None

Jackson National Life Annuity

JNL/American Growth — None

JNL/Double Line CAPE — None

JNL/Vanguard Small CoGr — None

JNL/American GlGrowth — None

JNL/MC Hthcare Sector — None

JNL/T.Rowe Price MidCapGr — None

JNL/MC Info Tech Sector — None

JNL/MC Sm Cap Inded — None

JNL/American Global SmCap — None

JNL/WestchesterCapEventDr — None

Transamerica Life Annuity

TA Jennison Growth — None

TA Morgan Stanley Capital Growth — None

TA WMC US Growth — None

TA T. Rowe Price Small Cap — None

TA Torrey Concentrated Growth — None

TA Janus Mid-Cap Growth — None

American Funds Growth Fund — None

American Funds Growth - Income Fund — None

Director, Arthur J. Schmitt Foundation

Liability — Chase Bank — credit card

Reimbursement — Emory University Law School — 2/27/19 to 3/2/19 — Newport Beach, CA — Attend and present at complex litigation conference — transportation, food, lodging

Reimbursement — University of Haifa — 3/27/19 to 3/29/19 — Haifa, Israel — Attend and present at class action conference — transportation, food, lodging

Reimbursement — Lawyers for Civil Justice — 5/2/19 to 5/3/19 — Washington, DC — Attend and present on MDL topics at annual meeting — transportation, food, lodging

Reimbursement — Emory University Law School — 5/8/19 to 5/10/19 — Boston, MA — Attend and present on MDL topics at conference — transportation, food, lodging

Reimbursement — Duke University Law School — 6/21/19 to 6/22/19 — Washington, DC — Attend and present at conference on FRCP amendments — transportation, food, lodging

Spouse's income — 2019 — State of Illinois - income as Associate Judge for the 12th Judicial Circuit of Illinois

Part IV. (continued)

Source Dates Location Purpose Items Paid or Provided

6. American Association for Justice 7/26/19 to 7/27/19 San Diego, CA Discussion of possible amendments to FRCP transportation, food, lodging

7. Vanderbilt University Law School 8/23/19 to 8/24/19 Nashville, TN Attend and present at class action conference transportation, food, lodging

8. Emory University Law School 10/1/19 Washington, DC Discussion of possible amendments to FRCP transportation, food

9. Tarleton University 10/16/19 to 10/17/19 Fort Worth, TX Attend conference on police consent decrees transportation, food, lodging

10. American Bar Association 10/18/19 Nashville, TN Attend and present at class action institute transportation, food

11. American Bar Association 10/24/19 to 10/25/19 New York, NY Attend and present at litigation conference transportation, food, lodging

12. Pound Civil Justice Institute 11/1/19 to 11/3/19 Portland, OR Attend and present at class action conference transportation, food, lodging

Part VII.

1. Lines 8, 13, 16, 28, 71, and 82 are headers.

2. Line 42 is a HSA account tht has a zero balance and I will try to close it this year. I am having difficulty contacting my original contact at TD Ameritrade and

may need to try a general number to close the account.

3. For lines 6 and 7, the (Y) indicates assets (a rollover IRA and a 529 account) that were closed in 2018 and thus no longer need to be reported for 2019.

4. For lines 29 through 49, the funds in the Securian IRA were transferred to new funds in 2018 (and thus now indicated with a Y) and then the new funds in lines

50 through 68 were liquidated in October 2019 to pay for college expenses.