Dennis M. Cota

Telus Corp (X) — None

Berkeley Calif CTFS X — Distribution — Matured

American National Universal Life Insurance — Interest

American National Value Locked Equity - [FIXED] Annity — Interest

Murrieta Vy Calif Uni Sch DistX — Int./Div. — Matured

Rancho Santa Margarita Calif P Ref Bds Rev CLBL X — Int./Div.

Redwood City Calif Pub Fing AU Wtr Rev Ref BDS CLBL X — Int./Div.

San Bernardino Cnty CA CTFS X — Int./Div. — Distributed

San Jose Calif Arpt Rev Rev Ref Bds CLBL — Int./Div.

Dennys Resturant, Lakewood CO Jefferson County — Rent — Sold — Part VIII

Northwest Mutual Income with Growth (H)

American Century CA High Yield Municipal Fund (Y) — Int./Div.

Blackrock CA Municipal Opportunities Fund Institutional Class (Y) — Int./Div.

Blackrock Ishares Russell 2000 Small Cap Index Fund Institl Class (Y) — Int./Div.

Nationwide Zieler NYSE ARCA Tech 110 Index FD Instl Service Class — Int./Div.

Northern Global Sustainability Fund — Int./Div.

Nuveen Preferred Securities and Income Fund Class I — Int./Div.

American Century Cal GH Yield Municpal Fund (Y) — Interest — Sold

Blackrock CA Municipal Fund Institutional Class (Y) — Interest — Sold

Ishares TR Morningst AP Growth ETF (Y) — Interest — Sold

Legg Mason ETF Equitolatility High Div ETF (Y) — Interest — Sold

Nuveen CA Quality E Fd Com (Y) — Interest — Sold

Prinicipal Preferred Fund Class I (Y) — Interest — Sold

Vanguard Tax-Manage Fund Admiral Class (Y) — Interest — Sold

TIAA-CREF Emerging Markets Equity Index Fund Advisor (X) — Int./Div.

Vanguard Dividend Appreciation Index Fund Admiral Shares (X) — Int./Div.

Vanguard CA Intermediate Term Exempt FD Admiral (X) Shares (X) — Int./Div.

Vanguard High Yield Tax Exempt Fund Admiral Shares (X) — Int./Div.

Vanguard Mid-Cap Index Fund Admiral Shares (X) — Int./Div.

Charles Schwab Investment Account (H)

Marysville CA Muni Bond (X) — None

San Luis Obispo County Bond (X) — None

San Francisco CA Muni Bond (X) — None

Centerpoint Energy Bond (X) — None

Southern CO (X) — None

Charles Schwab Inherited INH IRA Acct (H)

US Treasury Bond (x) — None

JPMorgan Chase (x) — None

Verizon New Jersey (x) — None

Walmart Inc (x) — None

A T &T Inc (x) — None

Apollo Investment Co (x) — None

Blackstone Group Inc (x) — None

Chevron Corp (x) — None

PJT Partners Inc (x) — None

Pioneer High income CF (x) — None

RMR Group Inc (x) — None

Sea Drill Limited (x) — None

Total SA (x) — None

Vodafone group (x) — None

Western Asset Emerging M (x) — None

AB Incm FD ADV (x) — None

GEO Group Inc New (x) — None

Service PPTYS TR (x) — None

AMR Corp (x) — None

Mechanics Bank — Interest

Lecturer, UC Davis School of Law

Agreement — 01/03/2017 — Lecturer UC Davis School of Law

Agreement — 08/31/2018 — Purchase and Sale Agreement of PArtnership Interest of Dennis M. Cota

Agreement — 07/14/2018 — Commercial Lease Agreement between Dennis Cota (Leasor) and TICI LLC (Leasee) for Investment purposes

Liability — Advantis Credit Union — Commercial Property Mortgage in Lakewood CO

Liability — Mereidth Jury — Loan secured against Commercial Property

Income — 08/31/2018 — Purchase and Sale Agreement of Dennis M. Cota Partnership Interest — $72,000.00

Income — 12/15/2018 — University of CA annual income — $26,000.00

2PART VII Investments and Trusts

Item 3: Cota Cole Partnership Interest was purchased by private parties Scott Huber and Derek Cole, in August 2018.

Item 4: Lava Ridge Office Building was rented by Cota Cole and Huber LLP until sold in May 2018 to attorneys Robert Sims, Cythia Lawrence, and John

Broghammer,

Item 5: Cota Cole and Huber LLP partnership interest was purchased by Scott Huber and Derek Cole at . Monthly

payments on balance remaining.

Item 12: Dennis M. Cota sold real property at on August 27,2019. Buyer was LFP&JP, LLC

20. American Century Cal GH-Yield Municipal Fund was purchased 3/29/19 and sold 04/08/19

21. Blackrock CA Municipalities Fund Institional Class was purchased 1/09/19 and sold 04/08/19

22. Ishares TR Morningst AP Growth ETF was purchased 12/03/18 and sold 04/09/19

23. Legg Mason ETF Equitolatility High Div ETF was purchased 12/10/18 and was sold 04/08/19

24. Nuveen CA Quality E Fd Com was purchased 01/23/19 and was sold 04/08/19

25. Principal Preferred Fund Class I was purchased 3/26/19 and was sold 04/08/19

26. Vanguard Tax Manage Fund Admiral Class was purchased 09/06/19 and was sold 10/30/19