James S. Moody jr

2020

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Pull out the substance of this filing.

What was filed

735
investments
1
positions
0
gifts
0
agreements
2
debts
0
reimbursements
0
income
0
spouse income

Named parties

Farms, LLC
Gift Trust
*
kk
Rk:
¥k
E33
Xk
kkk
KEK
WERE
kK
Trust #1 (reportable assets are included in Part VII)
Memill Lynch
Moody Investments, LP

As filed

CALL DTIL — None — Buy

CALL OKTA — None — Buy

CALL KPTI — None — Buy

CALL AKTS — None — Buy

CALL SWKS — None — Buy

CALL NTNX — None — Buy

CALL MU — None — Buy

CALL FEYE — None — Buy

CALL GOSS — None — Buy

Individual Assets (H)

Suntrust (cash) — Interest

Moody Investments Family Limited Partnership — Int/Div

First Tampa Alexander (Y)

Missouri Midway — None

Investment Property #1, Valrico, FL — None

Investment Property #2, Longboat Key, FL — Rent

Investment Property #3, Hillsborough Co FL — Rent — Sold — Farms, LLC

Investment Property #4, Celo, NC — None

Investment Property #5, Highlands, NC — None

Investment Property #6, Highlands, NC — Rent

Investment Property #7, Plant City, FL — Rent

Investment Property #3, Tampa, FL — Rent

Investment Property #9, Tampa FL — Rent

Investment Property #10, Tampa FL — Rent

Investment Property #11, Tampa FL — Rent

Investment Property #12, Tampa FL — Rent

Investment Property #13, Tampa FL — Rent

Investment Property #14, Treasure Island, FL — Rent

Investment Property #15, Treasure Island FL — Rent

Investment Property #16, Gainesville, FL — None

Investment Property #17, Highlands, NC — None — Buy — Gift Trust

Gulf to Bay Partners, LLC (real estate, Clearwater, FL) — None

Account #1 (H)

ML Bank Deposit Program (cash) — Interest

Akoustis Technologies (AKTS) — None

Ambarella Inc (AMBA) — None — Sold

Ambarella Inc (AMBA) — Buy

Ambarella Inc (AMBA) — Buy (add'l)

Ambarella Inc (AMBA) — Sold

Aphria Inc SHS (APHQF) — None — Buy (add'l)

Ardelyx Inc SH A (ARDX) — None

Bank of America (BAC) (X) — None — Sold

Calyxt Inc Reg SHS (CLXT) — None

Cerence Inc Reg SHS (CRNC) (X) — None

ClouderaInc (CLDR) — None — Buy (add'l)

ClouderaInc (CLDR) — Sold (part)

ClouderaInc (CLDR) — Buy (add'l)

Docusign Inc (DOCU) — None — Sold

Editas Medicine Inc Shs (EDIT) — None — Buy (add'l)

Eventbrite Inc Reg Shs C1 A (EB) — None

Everspin Technologies (MRAM) — None — Buy (add'l)

Exxon Mobil Corp (XOM) — Int/Div — Buy

Exxon Mobil Corp (XOM) — Buy (add'l)

Exxon Mobil Corp (XOM) — Sold

Forescout Technologies (FSCT) — None — Sold

Heron Therapeutics Inc (HRTX) — None — Buy

Heron Therapeutics Inc (HRTX) — Sold

Heron Therapeutics Inc (HRTX) — Buy (add'l)

Heron Therapeutics Inc (HRTX) — Sold

Intellia Therapeutics (NTLA) — None — Sold

Intellia Therapeutics (NTLA) — Buy

Intellia Therapeutics (NTLA) — Sold

Intellia Therapeutics (NTLA) — Buy

Kaleido Biosciences Inc (KLDO) — None

Lumentum Holdings Inc (LITE) — None — Sold

Lumentum Holdings Inc (LITE) — Buy

Lumentum Holdings Inc (LITE) — Sold (part)

Lumentum Holdings Inc (LITE) — Sold

Lumentum Holdings Inc (LITE) — Buy

Macom Technology (MTSI) — None — Buy (add'l)

Macom Technology (MTSI) — Sold

Macom Technology (MTSI) — Buy

Macom Technology (MTSI) — Sold

Macom Technology (MTSI) — Buy

Macom Technology (MTSI) — Sold

Marriott Intl Inc (MAR) — None — Buy

Marriott Intl Inc (MAR) — Buy (add'l)

Marriott Intl Inc (MAR) — Sold

New Gold Inc CDA (NGD) — None — Sold

OKTA Inc Reg SHS (OKTA) — None — Sold

OKTA Inc Reg SHS (OKTA) — Buy

OKTA Inc Reg SHS (OKTA) — Sold

OKTA Inc Reg SHS (OKTA) — Buy

OKTA Inc Reg SHS (OKTA) — Sold

OKTA Inc Reg SHS (OKTA) — Buy

OKTA Inc Reg SHS (OKTA) — Buy (add'l)

OKTA Inc Reg SHS (OKTA) — Sold (part)

OKTA Inc Reg SHS (OKTA) — Sold

OKTA Inc Reg SHS (OKTA) — Buy

On SemiConductor Crp Com (X) — None

Regeneron Pharmaceuticals (REGN) — None — Sold

Splunk Inc (SPLK) — None — Sold

Square Inc (SQ) — None — Sold

Square Inc (SQ) — Buy

Square Inc (SQ) — Sold

Sorrento Therapeutics (SRNE) — None — Buy

Sorrento Therapeutics (SRNE) — Buy (add'l)

Sorrento Therapeutics (SRNE) — Sold (part)

Sorrento Therapeutics (SRNE) — Buy (add'l)

Sorrento Therapeutics (SRNE) — Sold (part)

Sorrento Therapeutics (SRNE) — Buy (add'l)

Torex Gold Resources Inc (TORXF) — None — Sold

Valero Energy Corp (VLO) — None — Buy

Valero Energy Corp (VLO) — Sold

YextInc(YEXT) — None — Buy (add'l)

YextInc(YEXT) — Sold

YextInc(YEXT) — Buy

YextInc(YEXT) — Sold (part)

YextInc(YEXT) — Buy (add'l)

YextInc(YEXT) — Sold

YextInc(YEXT) — Buy

Zendesk Inc Shs (ZEN) — None — Sold

Zendesk Inc Shs (ZEN) — Buy

Zendesk Inc Shs (ZEN) — Sold

Zuoralnc Cl A (ZUO) — None — Buy (add'l)

Calamos Strat Tot Return (CSQ) — Int/Div

CALL LITE — None — Buy

CALL EDIT — None — Buy

CALL EB — None — Buy

CALL OKTA — None — Buy

CALL AKTS — None — Buy

CALL CLDR — None — Buy

CALL NTLA — None — Buy

CALL ARDX — None — Buy

Account #2 (H)

ML Bank Deposit Program (cash) — Interest

AlectorInc (ALEC) — None

Annaly Cap Mgmnt (NLY) — Int/Div

Aphria Inc SHS (APHQF) — None

Ares Capital Corp (ARCC) — Int/Div

Aurora Cannabis Inc (ACB) (Y)

Bank of America Corp (BAC) — Int/Div — Sold (part)

Beam Therapeutics Inc (BEAM) — None — Buy

BP PLC (BP) — Int/Div

Calyxt Inc Reg Shs (CLXT) — None

Canopy Growth Corp (CGC) — None

Hookipa Pharma Inc (HOOK) — None

Spero Therapeutics Inc (SPRO) — Int/Div

Vivendi SHS UNSP ADR (VIVHY) — Int/Div

Yiren Digital Ltd (YRD) — None — Buy

Calamos Strat Tot Return (CSQ) — Int/Div — Buy (add'l)

PUT OKTA — None — Buy

Account #3 (H)

ML Bank Deposit Program (cash) — Interest

BP PLC (BP) — Int/Div

Exxon Mobil Corp (XOM) — Int/Div — Buy

Valero Energy Corp (VLO) — Int/Div

Wells Fargo & Co (WFC) — Int/Div

Account # (H)

ML Bank Deposit Program (cash) — Interest

BP PLC (BP) — Int/Div — Buy (add'l)

Exxon Mobil Corp (XOM) — Int/Div — Buy

Truist Finl Corp (TFC) — Int/Div — Buy

Valero Energy Corp (VLO) — Int/Div

Wells Fargo & Co (WFC) — Int/Div — Buy (add'l)

Account # (H)

ML Bank Deposit Program (cash) — Interest

Akero Therapeutics (AKRO) — None — Buy

Akero Therapeutics (AKRO) — Sold

Akero Therapeutics (AKRO) — Buy

Akero Therapeutics (AKRO) — Sold

Akero Therapeutics (AKRO) — Buy

Akero Therapeutics (AKRO) — Sold

Akoustis Technologies (AKTS) — None — Sold (part)

Akoustis Technologies (AKTS) — Buy (add'l)

Ambarella Inc (AMBA) — None — Sold

Ambarella Inc (AMBA) — Buy

Ambarella Inc (AMBA) — Sold

Aphria Inc Shs (APHA) — None — Sold

Ardelyx Inc Shs (ARDX) — None — Buy (add'l)

Aurora Cannabis Inc (ACB) — None

Axos Finl Inc (AX) — None — Sold

Belo Sun Mining Corp (VNNHF) — None — Sold

BP PLC (BP) — Int/Div — Buy

Cerence Inc Reg Shs (CRNC) — None — Buy (add'l)

Cerence Inc Reg Shs (CRNC) — Buy (add'l)

Cerence Inc Reg Shs (CRNC) — Sold

Cloudera Inc (CLDR) — None — Buy (add'l)

Cloudera Inc (CLDR) — Buy (add'l)

Cloudera Inc (CLDR) — Sold

Cloudera Inc (CLDR) — Buy

Crispr Therapeutics AG (CRSP) — None — Buy (add'l)

Crispr Therapeutics AG (CRSP) — Sold (part)

Crispr Therapeutics AG (CRSP) — Sold

Crispr Therapeutics AG (CRSP) — Buy

Crispr Therapeutics AG (CRSP) — Sold

Disney Co (DIS) — None — Buy

Disney Co (DIS) — Buy (add'l)

Disney Co (DIS) — Sold

Docusign Inc (DOCU) — None — Sold

Editas Medicine Inc Shs (EDIT) — None — Buy (add'l)

Editas Medicine Inc Shs (EDIT) — Sold (part)

Editas Medicine Inc Shs (EDIT) — Buy (add'l)

Eldorado Gold Corp (EGO) — None — Sold

Endo Intl PLC Shs (ENDP) — None

Energous Corp Shs (WATT) — None

Equity Commonwealth (EQC) — None — Sold

Eventbrite Inc Reg Shs (EB) — None — Buy (add'l)

Eventbrite Inc Reg Shs (EB) — Buy (add'l)

Everspin Technologies (MRAM) — None

Forescout Technologies (FSCT) — None — Sold

Gilead Sciences Inc Com (GILD) — None — Sold

Heron Therapeutics Inc (HRTX) — None — Buy

Impinj Inc (PI) — None — Buy

Impinj Inc (PI) — Sold

Impinj Inc (PI) — Buy

Impinj Inc (PI) — Sold

Impinj Inc (PI) — Buy

Impinj Inc (PI) — Sold

Impinj Inc (PI) — Buy

Impinj Inc (PI) — Sold

Intellia Therapeutics (NTLA) — None — Sold

Intellia Therapeutics (NTLA) — Buy

Intellia Therapeutics (NTLA) — Sold

Intellia Therapeutics (NTLA) — Buy

Invitae Corp (NVTA) — None — Sold

Invitae Corp (NVTA) — Buy

Invitae Corp (NVTA) — Sold

Invitae Corp (NVTA) — Buy

Invitae Corp (NVTA) — Sold

Invitae Corp (NVTA) — Buy

Invitae Corp (NVTA) — Sold

Invitae Corp (NVTA) — Buy

Invitae Corp (NVTA) — Sold (part)

Invitae Corp (NVTA) — Buy (add'l)

Invitae Corp (NVTA) — Sold

Invitae Corp (NVTA) — Buy

Kaleido Biosciences Inc (KLDO) — None

Karyopharm Therapeutics (KPTI) — None — Buy

Karyopharm Therapeutics (KPTI) — Buy (add'l)

Lumentum Holdings Inc (LITE) — None — Sold

Lumentum Holdings Inc (LITE) — Buy

Lumentum Holdings Inc (LITE) — Sold (part)

Lumentum Holdings Inc (LITE) — Sold

Lumentum Holdings Inc (LITE) — Buy

Macom Technology (MTSI) — None — Sold

Macom Technology (MTSI) — Buy

Macom Technology (MTSI) — Sold

Macom Technology (MTSI) — Buy

Macom Technology (MTSI) — Sold

Macom Technology (MTSI) — Buy

Macom Technology (MTSI) — Sold

Marriott Intl Inc (MAR) — None — Buy

Marriott Intl Inc (MAR) — Sold

Microvision Inc (MVIS) — None — Sold (part)

Microvision Inc (MVIS) — Sold

Microvision Inc (MVIS) — Buy

New Gold Inc CDA (NGD) — None — Sold

New Relic Inc (NEWR) — None — Sold

New Relic Inc (NEWR) — Buy

New Relic Inc (NEWR) — Buy (add'l)

New Relic Inc (NEWR) — Sold

New Relic Inc (NEWR) — Buy

New Relic Inc (NEWR) — Sold

New Relic Inc (NEWR) — Buy

Nuance Communications Inc (NUAN) — None — Sold

Okta Inc Reg Shs C1 A (OKTA) — None — Sold

Okta Inc Reg Shs C1 A (OKTA) — Buy

Okta Inc Reg Shs C1 A (OKTA) — Sold (part)

Okta Inc Reg Shs C1 A (OKTA) — Sold

Okta Inc Reg Shs C1 A (OKTA) — Buy

Okta Inc Reg Shs C1 A (OKTA) — Buy (add'l)

Okta Inc Reg Shs C1 A (OKTA) — Sold (part)

Okta Inc Reg Shs C1 A (OKTA) — Buy (add'l)

Overstock.Com Inc (OSTK) — Int/Div — Buy (add'l)

Overstock.Com Inc (OSTK) — Sold

Pagerduty Inc Reg Shs (PD) — None — Sold

Pagerduty Inc Reg Shs (PD) — Buy

Pagerduty Inc Reg Shs (PD) — Buy (add'l)

Pagerduty Inc Reg Shs (PD) — Sold

Pagerduty Inc Reg Shs (PD) — Buy

Pagerduty Inc Reg Shs (PD) — Sold

Pagerduty Inc Reg Shs (PD) — Buy

Precision Biosciences (DTIL) — None — Buy (add'l) — *

Regeneron Pharmactcls (REGN) — None — Sold

Regeneron Pharmactcls (REGN) — Buy

Regeneron Pharmactcls (REGN) — Sold

Snap Inc C1 A (SNAP) — None — Sold

Snap Inc C1 A (SNAP) — Buy

Snap Inc C1 A (SNAP) — Sold (part)

Snap Inc C1 A (SNAP) — Sold

Sorrento Therapeutics (SRNE) — None — Buy

Sorrento Therapeutics (SRNE) — Buy (add'l)

Sorrento Therapeutics (SRNE) — Sold (part)

Sorrento Therapeutics (SRNE) — Buy (add'l)

Sorrento Therapeutics (SRNE) — Sold (part)

Sorrento Therapeutics (SRNE) — Buy (add'l)

Splunk Inc (SPLK) — None — Sold

Splunk Inc (SPLK) — Buy (add'l)

Splunk Inc (SPLK) — Sold

Stoke Therapeutics Inc (STOK) — None — Buy

Stoke Therapeutics Inc (STOK) — Buy (add'l)

Stoke Therapeutics Inc (STOK) — Sold

Stoke Therapeutics Inc (STOK) — Buy

Stoke Therapeutics Inc (STOK) — Sold

Stoke Therapeutics Inc (STOK) — Buy

Stoke Therapeutics Inc (STOK) — Sold

Stoke Therapeutics Inc (STOK) — Buy

Stoke Therapeutics Inc (STOK) — Sold

Talend SA (TLND) — None

TCR2 Therapeutics Inc (TCRR) — None — Sold

Torex Gold Resources Inc (TORFX) — None — Sold

Truist Finl Corp (TFC) — None — Buy

Truist Finl Corp (TFC) — Buy (add'l)

Truist Finl Corp (TFC) — Sold

Valero Energy (VLO) — None — Buy

Valero Energy (VLO) — Sold

Vmware Inc (VMW) — None

Wix Com LTD (WIX) — None — Sold

Wix Com LTD (WIX) — Buy

Wix Com LTD (WIX) — Sold

YextInc (YEXT) — None — Sold

YextInc (YEXT) — Buy

YextInc (YEXT) — Sold

YextInc (YEXT) — Buy

YextInc (YEXT) — Sold

YextInc (YEXT) — Buy

YextInc (YEXT) — Sold (part)

YextInc (YEXT) — Buy (add'l)

YextInc (YEXT) — Sold

YextInc (YEXT) — Buy

Zuoralnc CIA (ZUO) — None — Sold

Zuoralnc CIA (ZUO) — Buy

Vaneck Vectors Gold (GDX) — None — Sold

Vivendi Shs Unsp ADR (VIVHY) (X) — None — Sold

CALL MVIS — None — Buy

CALL NEWR — None — Buy

CALL LITE — None — Expired

CALL LITE — Buy

CALL PD — None — Buy

CALL EDIT — None — Expired

CALL EDIT — Buy

CALL EDIT — Buy (add'l)

CALL CLDR — None — Buy

CALL NTLA — None — Buy

CALL EB — None — Buy

CALL NVTA — None — Buy (add'l)

CALL ARDX — None — Buy

CALLACB — None — Buy

CALL VMW — None — Expired

CALL SNAP — None — Expired

CALL SPLK — None — Expired

CALL AMBA — None — Expired

CALL DOCU — None — Expired

CALL NUAN — None — Expired

CALL TLND — None — Expired

CALL MTSI — None — Expired

CALL WYNN — None — Expired

CALL CRSP — None — Expired

CALL GDX — None — Expired

CALL NTNX — None — Expired

Account #6 (H)

ML Bank Deposit Program (cash) — Interest

Alector Inc (ALEC) — None — Buy (add'l)

Alector Inc (ALEC) — Sold

Alector Inc (ALEC) — Buy

AirLease Corp CL A (AL) (Y)

Ares Capital Corp (ARCC) — Int/Div — Buy (add'l) — kk

Astellas Pharma Inc Shs (ALPMY) — Int/Div — Rk:

BP PLC (BP) — Int/Div — Buy

Cabaletta Bio Inc Reg (CABA) — None — Buy

Calyxt Inc Reg Shs (CLXT) — None

CIE Financiere Richemont (CFRUY) — None — Sold

Fairfax Finl Hldgs LTD (FRFHF) — Int/Div — Sold (part)

Fairfax Finl Hldgs LTD (FRFHF) — Sold (part)

Fairfax Finl Hldgs LTD (FRFHF) — Sold

Harpoon Therapeutics Inc (HARP) — None

Heron Therapeutics (HRTX) — None — Buy

Hookipa Pharma Inc (HOOK) — None

Kinder Morgan Inc Del (KMI) — Int/Div — Buy (add'l) — ¥k

Passage Bio Inc (PASG) — None — Buy

Prevail Therapeutics (PRVL) — None — Buy

Revolution Medicines Inc (RVMD) — None — Buy

Spero Therapeutics Inc (SPRO) — Int/Div

Vivendi Shs Unsp ADR (VIVHY) — Int/Div — Sold

Wells Fargo & Co New Del (WFC) — Int/Div — Buy (add'l) — E33

Wells Fargo & Co New Del (WFC) — Buy (add'l)

Calamos Stra Tot Return (CSQ) — Int/Div — Buy (add'l)

Calamos Stra Tot Return (CSQ) — Sold

PUT CRSP — None — Buy

PUT OKTA — None — Buy

Account #7 (H)

ML Bank Deposit Program (cash) — Interest — Open

Amazon.com Inc (AMZN) — None — Buy

Amazon.com Inc (AMZN) — Buy (add'l)

Amazon.com Inc (AMZN) — Sold

Airbnb Inc Cl A (ABNB) — None — Buy

Carvana Co (CVNA) — None — Buy

Carvana Co (CVNA) — Buy (add'l)

Carvana Co (CVNA) — Sold (part)

Chewy Inc (CHWY) — None — Buy

Cloudflare Inc (NET) — None — Buy

Cloudflare Inc (NET) — Buy (add'l)

Cloudflare Inc (NET) — Sold (part)

Costco Wholesale Crp Del (COST) — None — Buy

Coupa Software (COUP) — None — Buy

Coupa Software (COUP) — Buy (add'l)

Doordash Inc Reg Shs C1 A (DASH) — None — Buy

Datadog Inc (DDOG) — None — Buy

Datadog Inc (DDOG) — Sold

Dexcom Inc (DXCM) — None — Buy

Dexcom Inc (DXCM) — Sold

Facebook Inc (FB) — None — Buy

Fastly Inc (FSLY) — None — Buy

Guardant Health Inc (GH) — None — Buy

Illumina Inc (ILMN) — None — Buy

Intuitive Surgical (ISRG) — None — Buy

Intuitive Surgical (ISRG) — Buy (add'l)

MongoDB Inc (MDB) — None — Buy

Netflix Inc (NFLX) — None — Buy

Netflix Inc (NFLX) — Sold

Nvidia (NVDA) — Int/Div — Buy

Nvidia (NVDA) — Buy (add'l)

Nvidia (NVDA) — Sold

Okta Inc (OKTA) — None — Buy

Okta Inc (OKTA) — Buy (add'l)

Pinterest Inc (PINS) — None — Buy

Pinterest Inc (PINS) — Buy (add'l)

RTY Pharma Plc SHS CI A (RPRX) — Int/Div — Buy

Shopify Inc (SHOP) — None — Buy

Shopify Inc (SHOP) — Buy (add'l)

Shopify Inc (SHOP) — Sold (part)

Slack Technologies Inc (WORK) — None — Buy

Slack Technologies Inc (WORK) — Buy (add'l)

Slack Technologies Inc (WORK) — Sold

Snap Inc (SNAP) — None — Buy

Snap Inc (SNAP) — Buy (add'l)

Snowflake Inc (SNOW) — None — Buy

Snowflake Inc (SNOW) — Buy (add'l)

Spotify Tech (SPOT) — None — Buy

Spotify Tech (SPOT) — Buy (add'l)

Square Inc (SQ) — None — Buy

Square Inc (SQ) — Buy (add'l)

Square Inc (SQ) — Sold (part)

Trade Desk Inc (TTD) — None — Buy

Trade Desk Inc (TTD) — Buy (add'l)

Trade Desk Inc (TTD) — Sold (part)

Twilio Inc (TWLO) — None — Buy

Twilio Inc (TWLO) — Buy (add'l)

Twitter Inc (TWTR) — None — Buy

Twitter Inc (TWTR) — Buy (add'l)

Uber Technologies Inc (UBER) — None — Buy

Uber Technologies Inc (UBER) — Buy (add'l)

Unity Software Inc (U) — None — Buy

Veeva Sys Inc (VEEV) — None — Buy

Veeva Sys Inc (VEEV) — Buy (add'l)

Veeva Sys Inc (VEEV) — Sold

Wayfair Inc (W) — None — Buy

Wayfair Inc (W) — Sold

Zillow Group Inc (Z) — None — Buy

Zillow Group Inc (Z) — Buy (add'l)

Zoom Video Comm (ZM) — None — Buy

Zoom Video Comm (ZM) — Buy (add'l)

Zoom Video Comm (ZM) — Sold

10x Genomics Inc (TXG) — None — Buy

iShares Russell 1000 (IWF) — Int/Div — Buy

Account #8 (H)

Proctor & Gamble (PG) — Int/Div

Starbucks Corp (SBUX) — Int/Div

Travelers Cos Inc (TRV) — Int/Div

Valero Energy Corp (VLO) — Int/Div

Calamos Strat Tot Return (CSQ) — Int/Div

Account #9 (H)

Anheuser-Busch Inbev ADR (BUD) — Int/Div

BP PLC (BP) — Int/Div

Canopy Growth Corp (CGC) — None

Carnival Corp Paired Shs (CCL) — None — Buy

II-VI Inc (IVI) — None

Norweigan Crusie Line (NCLH) — None — Buy

Starbucks Corp (SBUX) — Int/Div

Vivendi SHS UNSP ADR (VIVHY) — Int/Div

Calamos Strat Tot Return (CSQ) — Int/Div

Account #10 (H)

Anheuser-Busch Inbev ADR (BUD) — Int/Div

BP PLC (BP) — Int/Div

Canopy Growth Corp (CGC) — None

Carnival Corp Paired Shs (CCL) — None — Buy

1I-VI Inc (ITV) — None

Norweigan Crusie Line (NCLH) — None — Buy

Starbucks Corp (SBUX) — Int/Div

Vivendi SHS UNSP ADR (VIVHY) — Int/Div

Calamos Strat Tot Return (CSQ) — Int/Div

Account #11 (H)

Anheuser-Busch Inbev ADR (BUD) — Int/Div

BP PLC (BP) — Int/Div

Canopy Growth Corp (CGC) — None

Carnival Corp Paired Shs (CCL) — None — Buy

II-VI Inc (IIVID) — None

Norweigan Crusie Line (NCLH) — None — Buy

Starbucks Corp (SBUX) — Int/Div

Vivendi SHS UNSP ADR (VIVHY) — Int/Div

Calamos Strat Tot Return (CSQ) — Int/Div

Account #12 (H)

Anheuser-Busch Inbev ADR (BUD) — Int/Div

BP PLC (BP) — Int/Div

Canopy Growth Corp (CGC) — None

Carnival Corp Paired Shs (CCL) — None — Buy

II-VI Inc (IVI) — None

Norweigan Crusie Line (NCLH) — None — Buy

Starbucks Corp (SBUX) — Int/Div

Vivendi SHS UNSP ADR (VIVHY) — Int/Div

Calamos Strat Tot Return (CSQ) — Int/Div

Account #13 (H)

Anheuser-Busch Inbev ADR (BUD) — Int/Div

BP PLC (BP) — Int/Div

Canopy Growth Corp (CGC) — None

Carnival Corp Paired Shs (CCL) — None — Buy

II-VI Inc (IIVI) — None

Norweigan Crusie Line (NCLH) — None — Buy

Starbucks Corp (SBUX) — Int/Div

Vivendi SHS UNSP ADR (VIVHY) — Int/Div

Calamos Strat Tot Return (CSQ) — Int/Div

Account #14 (H)

Anheuser-Busch Inbev ADR (BUD) — Int/Div

BP PLC (BP) — Int/Div

Canopy Growth Corp (CGC) — None

Carnival Corp Paired Shs (CCL) — None — Buy

II-VI Inc (IVD) — None

Norweigan Crusie Line (NCLH) — None — Buy

Starbucks Corp (SBUX) — Int/Div

Vivendi SHS UNSP ADR (VIVHY) — Int/Div

Calamos Strat Tot Return (CSQ) — Int/Div

Account #15 (H)

Anheuser-Busch Inhev ADR (BUD) — Int/Div

BP PLC (BP) — Int/Div

Canopy Growth Corp (CGC) — None

Carnival Corp Paired Shs (CCL) — None — Buy

II-VI Inc (IVI) — None

Norweigan Crusie Line (NCLH) — None — Buy

Starbucks Corp (SBUX) — Int/Div

Valero Energy Corp (VLO) — Int/Div

Account #16 (H)

Carnival Corp (CCL) (X) — None

Exxon Mobil (XOM) — Int/Div — Buy

Account #19 (H)

ML Bank Deposit Program (X) — Interest

Arista Networks Inc (ANET) — None — Buy (add'l) — Xk

Biomarin Pharmaceuticals (BMRN) — None — Buy

Biomarin Pharmaceuticals (BMRN) — Sold

Biomarin Pharmaceuticals (BMRN) — Buy

Biomarin Pharmaceuticals (BMRN) — Buy (add'l)

Biomarin Pharmaceuticals (BMRN) — Sold

Biomarin Pharmaceuticals (BMRN) — Buy

Biomarin Pharmaceuticals (BMRN) — Sold

Biomarin Pharmaceuticals (BMRN) — Buy

Biomarin Pharmaceuticals (BMRN) — Buy (add'l)

Canopy Growth Corp (CGC) — None — kk

Carnival Corp (CCL) — None — Buy

Carnival Corp (CCL) — Buy (add'l)

Carnival Corp (CCL) — Sold

Carnival Corp (CCL) — Buy

Cisco Systems (CSCO) — None — Buy

Corning Inc (GLW) — Int/Div — Buy (add'l) — Xk

Corning Inc (GLW) — Sold

Corning Inc (GLW) — Buy

Desktop Metal Inc (DM) — None — Buy

Exxon Mobil Corp (XOM) — Int/Div — Buy

Exxon Mobil Corp (XOM) — Buy (add'l)

Exxon Mobil Corp (XOM) — Sold (part)

Exxon Mobil Corp (XOM) — Buy (add'l)

FireEye Inc (FEYE) — None — E33

Gossamer Bio Inc (GOSS) — None — Buy (add'l) — ¥k

Gossamer Bio Inc (GOSS) — Buy

Gossamer Bio Inc (GOSS) — Buy (add'l)

Homology Medicines Inc (FIXX) — None — Buy

Homology Medicines Inc (FIXX) — Buy (add'l)

II-VI Inc (IIVI) — None — Buy (add'l) — E33

II-VI Inc (IIVI) — Sold

II-VI Inc (IIVI) — Buy

II-VI Inc (IIVI) — Buy (add'l)

II-VI Inc (IIVI) — Sold (part)

Micron Technology (MU) — None — Buy

Micron Technology (MU) — Sold

Micron Technology (MU) — Buy

Norwegian Cruise Line (NCLH) — None — Buy

Norwegian Cruise Line (NCLH) — Sold

Norwegian Cruise Line (NCLH) — Buy

Norwegian Cruise Line (NCLH) — Buy (add'l)

Norwegian Cruise Line (NCLH) — Sold (part)

Norwegian Cruise Line (NCLH) — Buy (add'l)

Norwegian Cruise Line (NCLH) — Sold

Norwegian Cruise Line (NCLH) — Buy

Nutanix Inc (NTNX) — None — Sold — E33

Nutanix Inc (NTNX) — Buy

Palo Alto Networks (PALN) — None — Buy

Palo Alto Networks (PALN) — Sold

Palo Alto Networks (PALN) — Buy

Ping Identity Hldg Corp (PING) — None — Buy

Skyworks Solutions Inc (SWKS) — Int/Div — Buy

Skyworks Solutions Inc (SWKS) — Buy (add'l)

Skyworks Solutions Inc (SWKS) — Sold

Skyworks Solutions Inc (SWKS) — Buy

Skyworks Solutions Inc (SWKS) — Sold

Skyworks Solutions Inc (SWKS) — Buy

Skyworks Solutions Inc (SWKS) — Sold

Skyworks Solutions Inc (SWKS) — Buy

Southwest Airlines (LUV) — None — Buy

Southwest Airlines (LUV) — Sold

Southwest Airlines (LUV) — Buy (add'l)

Southwest Airlines (LUV) — Sold (part)

Southwest Airlines (LUV) — Buy (add'l)

Surgery Partners Inc (SGRY) — None — Buy

Trine Acquisition Corp (TRNE) — None — Buy

Trine Acquisition Corp (TRNE) — Sold

United Airlines Hldgs (UAL) — None — Buy

Wynn Resorts LTD (WYNN) — Int/Div — Sold — kk

Wynn Resorts LTD (WYNN) — Buy

Wynn Resorts LTD (WYNN) — Buy (add'l)

Wynn Resorts LTD (WYNN) — Sold (part)

Wynn Resorts LTD (WYNN) — Buy (add'l)

Xilinx Inc (XLNX) — Int/Div — Buy

Xilinx Inc (XLNX) — Sold

CALL NCLH — None — Buy

CALL UAL — None — Buy

CALL CCL — None — Buy

CALL SGRY — None — Buy

CALL WYNN — None — Buy

CALL PANW — None — Buy

CALL NTNX — None — Buy

CALL MU — None — Buy

CALLLUV — None — Buy

CALL FEYE — None — Buy

CALL ANET — None — Buy

CALL GOSS — None — Buy

CALL DM — None — Buy

CALL IIVI — None — Buy

CALL BMRN — None — Buy

Account #0 (H)

ML Bank Deposit Program (cash) (X) — Interest

Arista Networks Inc (ANET) — None — kkk

BioMarin Pharmaceutical Inc (BMRN) — None — Buy

BioMarin Pharmaceutical Inc (BMRN) — Sold

BioMarin Pharmaceutical Inc (BMRN) — Buy

BioMarin Pharmaceutical Inc (BMRN) — Buy (add'l)

BioMarin Pharmaceutical Inc (BMRN) — Sold (part)

BioMarin Pharmaceutical Inc (BMRN) — Buy (add'l)

BioMarin Pharmaceutical Inc (BMRN) — Sold (part)

BioMarin Pharmaceutical Inc (BMRN) — Buy (add'l)

Canopy Growth Corp (CGC) — None — kkk

Carnival Corp (CCL) — None — Buy

Carnival Corp (CCL) — Sold

Carnival Corp (CCL) — Buy

Carnival Corp (CCL) — Buy (add'l)

Corning Inc (GLW) — Int/Div — kkk

Crispr Therapeutics AG (CRSP) — None — Sold — KEK

Crispr Therapeutics AG (CRSP) — Buy

Crispr Therapeutics AG (CRSP) — Sold

Crispr Therapeutics AG (CRSP) — Buy

FireEye Inc (FEYE) — None — WERE

Gossamer Bio Inc (GOSS) — None — Buy (add'l) — kK

Gossamer Bio Inc (GOSS) — Buy (add'l)

Homology Medicines Inc (FIXX) — None — Buy

Homology Medicines Inc (FIXX) — Buy (add'l)

II-VI Inc (IVI) — None — Buy (add'l) — kK

II-VI Inc (IVI) — Sold

II-VI Inc (IVI) — Buy

II-VI Inc (IVI) — Sold (part)

Impinj Inc (PI) — None — Buy

Impinj Inc (PI) — Sold (part)

Impinj Inc (PI) — Buy (add'l)

Impinj Inc (PI) — Sold

Impinj Inc (PI) — Buy (add'l)

Impinj Inc (PI) — Sold (part)

Impinj Inc (PI) — Buy (add'l)

Impinj Inc (PI) — Sold (part)

Invitae Corp (NVTA) — None — Buy (add'l) — kkk

Invitae Corp (NVTA) — Sold

Invitae Corp (NVTA) — Buy

Invitae Corp (NVTA) — Sold

Invitae Corp (NVTA) — Buy

Invitae Corp (NVTA) — Sold

Invitae Corp (NVTA) — Buy

Invitae Corp (NVTA) — Sold (part)

Invitae Corp (NVTA) — Buy (add'l)

Invitae Corp (NVTA) — Sold

Invitae Corp (NVTA) — Buy

Micron Technology (X) — None

New Relic Inc (NEWR) — None — Buy (add'l) — kkk

New Relic Inc (NEWR) — Sold

New Relic Inc (NEWR) — Buy

New Relic Inc (NEWR) — Sold

New Relic Inc (NEWR) — Buy

Norwegian Cruise Line (NCHL) (X) — None

Nutanix Inc (NTNX) — None — Buy

Occidental Pete Corp Cal (OXY) (X) — None

Palo Alto Networks Inc (PANW) — None — Buy

Palo Alto Networks Inc (PANW) — Buy (add'l)

Palo Alto Networks Inc (PANW) — Sold

Palo Alto Networks Inc (PANW) — Buy

Palo Alto Networks Inc (PANW) — Buy (add'l)

Palo Alto Networks Inc (PANW) — Sold (part)

Ping Identity Hldg Corp (PING) — None — Buy

Ping Identity Hldg Corp (PING) — Buy (add'l)

Regions Finl Corp (RF) — Int/Div — KEK

Sorrento Therapeutics Inc (SRNE) — None — Buy

Truist Finl Corp (TFC) — Int/Div — Buy (add'l) — kK

Truist Finl Corp (TFC) — Buy (add'l)

United Airlines Hldgs (UAL) (X) — None

Wells Fargo & Co (WFC) — Int/Div — Buy (add'l) — kK

Wynn Resorts Ltd (WY NN) — Int/Div — Buy

CALL ANET — None — Buy

CALL NCLH — None — Buy

CALL SRNE — None — Buy

CALL NEWR — None — Buy

CALL WYNN — None — Buy

CALL PANW — None — Buy

CALL CRSP — None — Buy

CALL IIVI — None — Buy

CALL BMRN — None — Buy

Trustee, Trust #1 (reportable assets are included in Part VII)

Liability — Memill Lynch — Margin Loan

Liability — Moody Investments, LP — Loan

Part VII, line 3: This entry represents a limited partnership interest. The entity was duly registered in the state of Florida. Its business offices and operations are

located in another state and run by an individual whose information is not subject to this disclosure. As a limited partner, the filer has no knowledge of. and no

control over, the specific assets or activities of the limited partnership; his interest is reported per page 24 of the Alphabetical Reference. All holdings in which the

filer, or any other individual subject to this disclosure, has a personal ownership share are separately identified in Part VIL.

Individual Assets, Other Holdings, and Real Property holdings of the prior report have been consolidated under Individual Assets in this report.

Options #1 of the prior report has been consolidated with Account #5 in this report.

Part VII, Column B: Lines reflecting no income are so reported because none was attributed to those particular holdings during the reporting period, whether

taxable, tax exempt, or tax deferred, or because the investments do not allocate income to individual holdings, but instead are credited only in unit value, per

page 42 of the filing instructions.

Each put or call transaction is an independent contract creating the right, but not the obligation, to make future sales or purchases of specific assets. They are not

fixed assets, therefore either purchases or sales of individual puts and calls can be used to either open or close contracts; they do not generate income. Options

devalue based upon market conditions and expiration dates, therefore they routinely do not have value at the end of a reporting period; this occurs without any

type of reportable transaction. Those options which have value at the end of the reporting period are reflected accordingly in Column C. Purchases and sales of

any optioned holdings are reported separately from these contracts.

Part VII, Column D(5):

denotes an asset transferred from Brokerage Account #5 of the prior report.

denotes an asset transferred from Brokerage Account #4 of the prior report.

*** denotes an asset transferred from Trust #1 of the prior report.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.