Walter Herbert Rice

What was filed

319
investments
9
positions
0
gifts
0
agreements
0
debts
0
reimbursements
0
income
1
spouse income

Named parties

Trust #1 (reportable assets are included in Part VII)
Trust #2 (reportable assets are included in Part VII)
Building Bridges
National Aviation Heritage Foundation
Wright Dunbar
University of Dayton School of Law
Dayton Dialogue on Race Relations
Ex-Offender Reentry Council
American Veterans Heritage Commission
Ohio Public Employees Retirement System (pension)

As filed

Individual Assets (H)

Fifth-Third Bank (cash) — Interest

KeyBank (cash) — Interest

Account #1 (H)

Comm Services Select Sector (XLC) — Dividend

Consumer Discretionary (XLY) — Dividend

First TR Exchange Traded (FDN) — None — Sold (part)

First Trust Cloud Computing ETF (SKYY) (X) — Dividend

Health Care Select SPDR (XLV) — Dividend — Buy (add'l)

IShares NASDAQ Biotech (IBB) — Dividend

IShares Core S&P US Growth ETF (IUSG) — Dividend

IShares Core S&P US Value ETF (IUSV) — Dividend

Ishares MSCI Emerging (EEMA) — Dividend

Materials Select Sector (XLB) (Y)

Real Estate Select (XLRE) (Y)

Sector SPDR Consmrs Stpl (XLP) — Dividend — Sold (part)

Sector SPDR Energy (XLE) (Y)

Sector SPDR Industrial (XLI) — Dividend

Sector SPDR Utilities (XLU) (Y)

Vanguard Financials ETF (VFH) — Dividend

Vanguard Information (VGT) — Dividend — Buy (add'l)

Vanguard FTSE Developed Markets ETF (VEA) — Dividend

Account #2 (H)

ML Bank Deposit Program (cash) — Interest

Abbott Labs (ABT) — Dividend — Buy

Abbott Labs (ABT) — Sold (part)

Air Products & Chem (APD) — Dividend — Buy (add'l)

Air Products & Chem (APD) — Sold (part)

Alphabet Inc Shs Cl A (GOOGL) — None — Buy

Amazon Com Inc Com (AMZN) — None — Buy

Amazon Com Inc Com (AMZN) — Sold (part)

Amer Express Company (AXP) — Dividend — Buy

Amer Express Company (AXP) — Buy (add'l)

Amer Express Company (AXP) — Sold

American Tower Reit Inc (AMT) — Dividend — Buy

Amgen Inc Com (AMGN) — Dividend — Sold (part)

Amgen Inc Com (AMGN) — Sold

Amn Elec Power (AEP) — Dividend — Sold (part)

Amn Elec Power (AEP) — Sold

AT&T Inc. (T) — Dividend — Buy (add'l)

AT&T Inc. (T) — Sold

Anthem Inc (ANTM) — Dividend — Buy

Aon Plc Reg Shs (AON) — Dividend — Buy

Apple Inc (AAPL) — Dividend — Buy

Apple Inc (AAPL) — Sold (part)

Apple Inc (AAPL) — Buy (add'l)

Ball Corp Com (BLL) — Dividend — Buy

Becton Dickinson Co (BDX) — Dividend — Buy

Becton Dickinson Co (BDX) — Sold (part)

Blackstone Group Inc Com Cl A (BX) — Dividend — Sold (part)

Blackstone Group Inc Com Cl A (BX) — Sold

Blackrock Inc (BLK) — Dividend — Buy

Blackrock Inc (BLK) — Buy (add'l)

Blackrock Inc (BLK) — Sold (part)

Bristol-Myers Squibb Co (BMY) — Dividend — Buy (add'l)

Bristol-Myers Squibb Co (BMY) — Sold

Broadcom Ltd (AVGO) — Dividend — Buy (add'l)

Broadcom Ltd (AVGO) — Buy (add'l)

Broadcom Ltd (AVGO) — Sold

Capital One Finl (COF) — Dividend — Buy

Carrier Global Corp Reg (CARR) — None — Spinoff (from line 185)

Carrier Global Corp Reg (CARR) — Sold

Caterpillar Inc Del (CAT) — Dividend — Sold (part)

Caterpillar Inc Del (CAT) — Sold

Chevron Corp (CVX) — Dividend — Sold

Chevron Corp (CVX) — Buy

Chevron Corp (CVX) — Buy (add'l)

Chevron Corp (CVX) — Sold (part)

Chubb Ltd (CB) — Dividend — Sold (part)

Chubb Ltd (CB) — Sold (part)

Chubb Ltd (CB) — Sold

Cisco Systems Inc Com (CSCO) — Dividend — Sold (part)

Cisco Systems Inc Com (CSCO) — Sold (part)

Citigroup Inc Com New (C) — Dividend — Buy (add'l)

Citigroup Inc Com New (C) — Buy (add'l)

Citigroup Inc Com New (C) — Sold (part)

Citigroup Inc Com New (C) — Buy (add'l)

Clorox Co Del Com (CLX) — Dividend — Buy

Clorox Co Del Com (CLX) — Sold

Comcast Corp New Cl A (CMCSA) — None — Buy

Comcast Corp New Cl A (CMCSA) — Buy (add'l)

Constellation Brands Inc (STZ) — Dividend — Buy

Constellation Brands Inc (STZ) — Sold (part)

Costco Wholesale Crp Del (COST) — Dividend — Buy

Costco Wholesale Crp Del (COST) — Buy (add'l)

Coca Cola Com (KO) — Dividend — Sold (part)

Coca Cola Com (KO) — Sold (part)

Coca Cola Com (KO) — Sold

Crown Castle REIT Inc (CCI) — Dividend — Buy (add'l)

Crown Castle REIT Inc (CCI) — Sold

CSX Corp (CSX) — None — Buy

CSX Corp (CSX) — Buy (add'l)

CSX Corp (CSX) — Sold

Danaher Corp Del Com (DHR) — Dividend — Buy

Digital Rlty Tr Inc. (DLR) — Dividend — Buy (add'l)

Digital Rlty Tr Inc. (DLR) — Buy (add'l)

Digital Rlty Tr Inc. (DLR) — Sold (part)

Digital Rlty Tr Inc. (DLR) — Sold

Disney (Walt) Co Com Stk (DIS) — None — Buy

Disney (Walt) Co Com Stk (DIS) — Buy (add'l)

Disney (Walt) Co Com Stk (DIS) — Sold (part)

Eli Lilly & Co (LLY) — Dividend — Buy

Eli Lilly & Co (LLY) — Buy (add'l)

Entergy Corp New (ETR) — Dividend — Sold

Equinix Inc (EQIX) — Dividend — Buy

Exxon Mobile Corp (XOM) — Dividend — Sold (part)

Exxon Mobile Corp (XOM) — Sold

FedEx Corp Delaware Com (FDX.DE) — Dividend — Buy

FedEx Corp Delaware Com (FDX.DE) — Buy (add'l)

Fidelity Natl Info Svcs (FIS) — Dividend — Buy

Fidelity Natl Info Svcs (FIS) — Buy (add'l)

Fifth Third Bancorp (FITB) — Dividend — Sold

Fiserv Inc Wisc (FISV) — None — Buy

Fiserv Inc Wisc (FISV) — Buy (add'l)

Hilton Worldwide (HLT) — None — Buy

Hilton Worldwide (HLT) — Buy (add'l)

Home Depot Inc (HD) — Dividend

Honeywell Intl Inc Del (HON) — Dividend — Buy

Intel Corp (INTC) — Dividend — Buy

Intel Corp (INTC) — Buy (add'l)

Intel Corp (INTC) — Sold

Intercontinental Exchange Inc (ICE) — Dividend — Buy

Intercontinental Exchange Inc (ICE) — Buy (add'l)

Intuit Inc Com (INTU) — Dividend — Buy

Johnson and Johnson Com (JNJ) — None — Buy

Johnson and Johnson Com (JNJ) — Buy (add'l)

Johnson and Johnson Com (JNJ) — Sold

JP Morgan Chase & Co (JPM) — Dividend — Sold (part)

JP Morgan Chase & Co (JPM) — Buy (add'l)

Kansas City Southern (KSU) — None — Buy

Kinder Morgan Inc. (KMI) — Dividend — Buy (add'l)

Kinder Morgan Inc. (KMI) — Buy (add'l)

Kinder Morgan Inc. (KMI) — Sold

Lockheed Martin Corp (LMT) — Dividend — Buy (add'l)

Lockheed Martin Corp (LMT) — Sold (part)

Lockheed Martin Corp (LMT) — Buy (add'l)

Lockheed Martin Corp (LMT) — Sold (part)

McDonalds Corp. (MCD) — Dividend — Sold (part)

Medtronic Plc SHS (MDT) — Dividend — Buy (add'l)

Medtronic Plc SHS (MDT) — Sold

Merk and Co Ins SHS (MRK) — Dividend — Sold (part)

Merk and Co Ins SHS (MRK) — Sold (part)

Merk and Co Ins SHS (MRK) — Sold

Microchip Technology Inc (MCHIP) — Dividend — Buy

Microsoft Corp (MSFT) — Dividend — Buy (add'l)

Microsoft Corp (MSFT) — Buy (add'l)

Microsoft Corp (MSFT) — Sold (part)

Nextera Energy Inc Shs (NEE) — Dividend — Buy

Nike Inc Cl B (NKE) — Dividend — Buy

Nike Inc Cl B (NKE) — Buy (add'l)

Northrop Grumman Corp (NOC) — Dividend — Buy

Northrop Grumman Corp (NOC) — Sold (part)

Otis Worldwide Corp Reg (OTIS) — None — Spinoff (from line 185)

Otis Worldwide Corp Reg (OTIS) — Sold

Parker Hannifin Corp (PH) — None — Buy

Parker Hannifin Corp (PH) — Buy (add'l)

Pepsico Inc (PEP) — Dividend — Buy (add'l)

Pfizer Inc. (PFE) — Dividend — Sold (part)

Pfizer Inc. (PFE) — Sold

Procter & Gamble Co (PG) — Dividend — Buy (add'l)

Procter & Gamble Co (PG) — Sold (part)

Progressive Corp Ohio (PGR) — None — Buy

Prudential Financial Inc (PRU) — Dividend — Buy (add'l)

Prudential Financial Inc (PRU) — Sold

Prologis Inc (PLD) — Dividend — Buy

Qualcomm Inc (QCOM) — Dividend — Buy

Qualcomm Inc (QCOM) — Buy (add'l)

Raytheon Technologies (RTX) — Dividend — Sold (part)

Raytheon Technologies (RTX) — Sold

Raytheon Technologies (RTX) — Buy

Raytheon Technologies (RTX) — Sold (part)

Raytheon Technologies (RTX) — Sold

Realty Incom Crp Md (O) — Dividend — Buy

Realty Incom Crp Md (O) — Buy (add'l)

Realty Incom Crp Md (O) — Sold

Ross Stores Inc Com (ROST) — None — Buy

Royal Bank Canada (RY) — Dividend — Sold

Royal Dutch Shell PLC Spons ADR B (RDSB) — Dividend — Sold (part)

Royal Dutch Shell PLC Spons ADR B (RDSB) — Sold (part)

Royal Dutch Shell PLC Spons ADR B (RDSB) — Sold

Salesforce Com Inc (CRM) — None — Buy

Stryker Corp (SYK) — Dividend — Buy

Target Corp (TGT) — Dividend — Sold

Texas Instruments (TXN) — None — Buy

Thermo Fisher Scientific (TMO) — Dividend — Buy

Thermo Fisher Scientific (TMO) — Sold (part)

Thomson Reuters Corp Reg (TRI) — Dividend — Buy

TJX Cos Inc New (TJX) — None — Buy

TJX Cos Inc New (TJX) — Buy (add'l)

Toronto Dominion Bank (TD) — Dividend — Sold

Total SE (TOT) — None — Buy

Total SE (TOT) — Buy (add'l)

Trane Technologies PLC (TT) — None — Buy

Trane Technologies PLC (TT) — Buy (add'l)

Trane Technologies PLC (TT) — Sold

Truist Finl Corp (TFC) — Dividend — Sold (part)

Truist Finl Corp (TFC) — Sold (part)

Union Pacific Corp (UNP) — Dividend — Buy

United Health Group Inc (UNH) — Dividend — Buy

United Parcel Svc CL B (UPS) — Dividend — Sold

United Techs Corp Com (UTX) — Dividend — Sold (part)

United Techs Corp Com (UTX) — Merged (with line 185)

V F Corporation (VFC) — Dividend — Buy (add'l)

V F Corporation (VFC) — Buy (add'l)

V F Corporation (VFC) — Sold (part)

V F Corporation (VFC) — Sold

Verizon Communicatns Com (VZ) — Dividend — Buy (add'l)

Verizon Communicatns Com (VZ) — Sold (part)

Visa Inc Cl A Shrs (V) — Dividend — Buy

Walmart Inc (WMT) — Dividend — Sold (part)

Walmart Inc (WMT) — Sold (part)

Walmart Inc (WMT) — Buy (add'l)

Walmart Inc (WMT) — Sold (part)

Walmart Inc (WMT) — Buy (add'l)

Waste Mangement Inc New (WM) — Dividend — Buy

Waste Mangement Inc New (WM) — Sold (part)

Waste Mangement Inc New (WM) — Sold

Zoetis Inc (ZTS) — Dividend — Buy

Comm Services Select (XLC) — Dividend — Buy (add'l)

Comm Services Select (XLC) — Sold (part)

Comm Services Select (XLC) — Buy (add'l)

Comm Services Select (XLC) — Sold (part)

Consumer Discretionary SPDR (XLY) — Dividend — Buy (add'l)

Consumer Discretionary SPDR (XLY) — Sold (part)

First Trust Dow Jones (FDN) — None — Sold (part)

First Trust Dow Jones (FDN) — Sold (part)

First Trust Cloud Comp ETF (SKYY) — Dividend — Sold (part)

First Trust Cloud Comp ETF (SKYY) — Sold (part)

Health Care Select SPDR (XLV) — Dividend — Sold (part)

Health Care Select SPDR (XLV) — Sold (part)

Health Care Select SPDR (XLV) — Buy (add'l)

Health Care Select SPDR (XLV) — Sold (part)

Ishares Nasdaq Biotech (IBB) — Dividend — Sold (part)

Ishares Nasdaq Biotech (IBB) — Sold (part)

IShares S&P Small Cap 600 Growth (IJT) — Dividend

IShares S&P Small Cap 600 Value (IJS) — Dividend — Buy (add'l)

IShares Core S&P US Growth ETF (IUSG) — Dividend — Sold (part)

IShares Core S&P US Growth ETF (IUSG) — Sold (part)

IShares Core S&P US Value ETF (IUSV) — Dividend

Pacer Benchmark Data and Infrastructure (SRVR) — Dividend — Buy

Proshares Online Retail ETF (ONLN) — Dividend — Buy

Real Estate Select Sector SPDR FD SHS (XLRE) — Dividend — Sold (part)

Real Estate Select Sector SPDR FD SHS (XLRE) — Sold

SPDR Financial Sector (XLF) — Dividend — Sold (part)

SPDR Financial Sector (XLF) — Buy (add'l)

SPDR Financial Sector (XLF) — Sold (part)

Vanguard Consumer (VDC) — Dividend — Buy (add'l)

Vanguard Materials (VAW) — Dividend

Vanguard Information Tech (VGT) — Dividend — Sold (part)

Vanguard Information Tech (VGT) — Sold (part)

Vanguard Industrial (VIS) — Dividend — Buy (add'l)

Vanguard Industrial (VIS) — Sold (part)

Vanguard Industrial (VIS) — Buy (add'l)

Vanguard Industrial (VIS) — Sold (part)

Vanguard FTSE Developed Markets ETF (VEA) — Dividend — Buy (add'l)

Account #3 (H)

ML Bank Deposit Program (cash) (was BIF Money Fund (cash)) — Interest

Alburquerque NM Mun SD (013595TG8) — Interest — Redeemed

Delaware Cnty PA Auth Rev Villanova Univ (245913LA4) — Interest — Redeemed

North Dakota Pub Fin (65887PRK3) — Interest — Redeemed

Milwaukee Wis Sew Rev (60242MCD3) — Interest

Massachusetts ST Dev Fin (57584XUB5) — Interest

Wake Cnty NC Ltd Oblig (930876CL9) — Interest

Met Gvt Nashville-Davidson Co Tn Rf (592112LW4) — Interest

Delaware St Ser B RF (246381FC6) — Interest

Chicago Ill O Hare Intl (167593B92) — Interest

Honolulu HI CY-CO WWTR Sys Rev Sr- First BD (438701J96) — Interest

New York St Dorm Auth St Pers Income Tax Rev D RF (64990E5P8) — Interest

Granite Sch Dist Utah Salt Lake Cnty (387460QJ0) — None — Buy

Sioux Falls SD Sales Tax (829594LQ1) — Interest

Minnesota St. Ser D (60412AGR8) — Interest

Orlando Fla Utils Commn Util Sys Rev Ref BDS (686507JP0) — None — Buy

Denver Colo City & Cnty Sch Dist NO1 Sch GTD (249174VF7) — Interest

New Jersey St Tpk Auth (646139B20) — Interest

District Columbia Income (25477GQB4) — Interest — Buy

Fort Bend Tex Indpt Sch Dist (346843QN8) — Interest

Mississippi St Lt SER B (605581HZ3) — Interest

Washington St Var Purp (93974D2S6) — Interest

Account #4 (H)

ML Bank Deposit - BOA (cash) — Interest

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

Trustee, Trust #2 (reportable assets are included in Part VII)

Board of Directors, Building Bridges

Trustee, National Aviation Heritage Foundation

Trustee, Wright Dunbar

Board of Advisors, University of Dayton School of Law

Chairperson, Dayton Dialogue on Race Relations

Co-chair, Ex-Offender Reentry Council

Chairman of the Board, American Veterans Heritage Commission

Spouse's income — 2020 — Ohio Public Employees Retirement System (pension)

Part VII, line 139: Consolidation of lines 124 and 179 of the prior 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.