# James S. Moody jr

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/32100

## Record

- **Judge:** James S. Moody jr
- **Year:** 2020
- **Pages:** 49

## Text

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) — Buy (add'l)
Sorrento Therapeutics (SRNE) — Sold (part)
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 (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) — Sold (part)
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 (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)
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)
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)
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) — Buy (add'l)
Shopify Inc (SHOP) — Sold (part)
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)
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)
Square Inc (SQ) — Sold (part)
Square Inc (SQ) — Sold (part)
Trade Desk Inc (TTD) — None — Buy
Trade Desk Inc (TTD) — Buy (add'l)
Trade Desk Inc (TTD) — Sold (part)
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) — 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)
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) — 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)
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) — 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) — 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) — Buy (add'l)
Wynn Resorts LTD (WYNN) — Sold (part)
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)
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)
Gossamer Bio Inc (GOSS) — Buy (add'l)
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.

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/32100. Public record. Not legal advice.