Jeffrey I. Cummings

Individual Assets (H)

Bank of America (cash) — Interest

MONY Life Ins Policy #1 (whole) — Dividend

MONY Life Ins Policy #2 (whole) — Dividend

NWM Life Ins Policy #1 (whole) — Dividend

NWM Life Ins Policy #2 (whole) — Dividend

NWM Life Ins Policy #3 (whole) — Dividend

Account #1 (H)

Adv Bank Dep Ally Bank (ABDXX) (cash) — Interest

Invesco Endeavor Fd Cl Y (ATDYX) — None — Buy (add'l)

Invesco Endeavor Fd Cl Y (ATDYX) — Sold (part)

Invesco Endeavor Fd Cl Y (ATDYX) — Sold

Invesco Van Kampen Comstock Fd Y (ACSDX) — Dividend — Sold (part)

Invesco Van Kampen Comstock Fd Y (ACSDX) — Buy (add'l)

Invesco Van Kampen Comstock Fd Y (ACSDX) — Buy (add'l)

Invesco Van Kampen Comstock Fd Y (ACSDX) — Buy (add'l)

DWS RREEF Glbl Infrastr Fd A (TOLLX) — Dividend — Buy (add'l)

Federated Hermes Strategic Income Fd Cl R6 (STILX) — Dividend — Buy

Federated Hermes Strategic Income Fd Cl R6 (STILX) — Buy (add'l)

Federated Hermes Kaufmann Lg Cap Fd Cl R6 (KLCSX) — Dividend — Buy

Federated Hermes Kaufmann Lg Cap Fd Cl R6 (KLCSX) — Sold (part)

Federated Hermes Total Ret Bd Fd Cl R6 (FTRLX) — Dividend — Buy

Federated Hermes Total Ret Bd Fd Cl R6 (FTRLX) — Buy (add'l)

Federated Intl Leaders Cl R6 (FGRSX) — Dividend — Sold (part)

Federated Intl Leaders Cl R6 (FGRSX) — Buy (add'l)

Account #2 (H)

Xanthus Fund, LLC — None — Buy

Jackson National Life Perspective II S&P Aggressive Growth Portfolio — None — Buy

Account #3 (H)

American Funds, Capital World Growth & Income Fund Class A (CWGIX) — Dividend

American Funds, Europacific Growth Fund Class A (AEPGX) — Dividend

American Funds, The Growth Fund Of America Class A (AGTHX) — Dividend

American Funds, The Income Fund Of America Class A (AMECX) — Dividend

American Funds, Intermediate Bond Fund Of America Class A (AIBAX) — Dividend

Account #4 (H)

AF Trgt Date 2030 R6 (RFETX) — Dividend — Sold

FID 500 Index (FXAIX) — Dividend — Sold

FA Balanced Z (FZAAX) — Dividend — Sold

Account #5 (H)

Adv Bank Dep Ally Bank (ABDXX) (cash) — Interest

Amazon Com Inc (AMZN) — Dividend

Apple Inc (AAPL) — Dividend

Berkshire Hathaway (BRK.B) — None — Sold

CVS Health Corp (CVS) — Dividend — Sold

McDonalds Corp (MCD) — Dividend

Federated Kaufmann Large Cap-A (KLCAX) — Dividend — Buy (add'l)

Federated Fltg Rate Strat Inc A (FRSAX) — Dividend

Federated Hermes Total Return Bond Fd Cl A (TLRAX) — Dividend — Buy

Federated Intl Leaders Fd A (FGFAX) — None — Sold

John Hancock Financial Ind Cl A (FIDAX) — None — Sold

Voya Eq Tr Midcap Opptys Fd Cl A (NMCAX) — Dividend

First Trust ETF NASDAQ Cybersecurity ETF (CIBR) — Dividend — Buy

IShares Tr US Broker-Dealers & SE ETF (IAI) — Dividend — Buy

Financial Select Sector SPDR (XLF) — Dividend — Buy

ETF Managers TR Prime Cyber Security (HACK) — Dividend — Sold

Vanguard Index FDS S&P 500 ETF (VOO) — Dividend

FT Cybersecurity #11 (30307C431) — None — Redeemed

FT Water Utility Infra Sel #51 (30309W757) — Dividend — Redeemed

FT Banking Oppty #32 (30310H294) — Dividend — Redeemed

FT Dow Target (30310M630) — Dividend — Redeemed

Top Picks Ser 24 Jan 2019 Port (30310N572) — Dividend — Redeemed

FT Global Dividend #58 (30310R110) — Dividend

Top Picks Ser 26 Jul 2019 Port (30311C27B) — Dividend — Sold

FT Cybersecurity #18 (30312A594) — None — Buy

FT Cybersecurity #18 (30312A594) — Sold

FT Water Utility Sel #56 (30312E679) — Dividend

FT Water Utility Infra Sel #59 (30315G556) — Dividend — Buy

Invesco QQQ Tr Ser 1 ETF (QQQ) — None — Buy

Invesco QQQ Tr Ser 1 ETF (QQQ) — Sold

Inv Divid Sustain 18-2 (46141B314) — Interest — Redeemed

Inv Select 10 Indus 19-1 (46142X539) — Interest — Redeemed

Inv Divid Sustain 19-1 (46143A35S) — Interest

Inv Turnaround Strat 19-1 (46143C476) — None — Sold

Inv Select 10 Indus 19-2 (46143E191) — Interest — Sold

Jackson National Life Perspective II S&P Aggressive Growth Portfolio — None

Account #6 (H)

Adv Bank Dep Ally Bank (ABDXX) (cash) — Interest

Invesco Endeavor Fd Cl Y (ATDYX) — Dividend — Buy (add'l)

Invesco Endeavor Fd Cl Y (ATDYX) — Sold (part)

Invesco Endeavor Fd Cl Y (ATDYX) — Sold (part)

Invesco Van Kampen Comstock Fd Y (ACSDX) — Dividend — Buy (add'l)

DWS RREEF Glbl Infrastr Fd A (TOLLX) — Dividend — Sold (part)

Federated Intl Leaders Cl R6 (FGRSX) — Dividend — Sold (part)

Account #7 (H)

Adv Bank Dep Ally Bank (ABDXX) (cash) — Interest

Alps ETF Tr Alerian MLP SBI/CBI ETF (AMLP) — Dividend — Buy (add'l)

Global X Cloud Computing ETF (CLOU) — None — Buy

Invesco Powershs Nasdaq Internet Port ETF (PNQI) — None

Invesco Powershs Golden Dragon China (PGJ) — None — Sold

iShares Tr Select Divid (DVY) — Dividend — Buy (add'l)

iShares Tr US Aer Def (ITA) — Dividend — Sold

iShares Tr IBOXX Inv Cp ETF (LQD) — Dividend — Buy

iShares Tr Mortg (REM) — Dividend — Buy (add'l)

SPDR Gold Trust Gold Shs (GLD) — None — Buy

SPDR Ser Trust S&P Transn (XTN) — None — Sold

SPDR Ser Trust S&P Biotech Closed End SBI/CBI ETF (XBI) — Dividend — Buy (add'l)

SPDR Ser Trust S&P Biotech Closed End SBI/CBI ETF (XBI) — Buy (add'l)

Select Sect SPDR Tr SBI Healthcare (XLV) — Dividend — Buy (add'l)

Select Sect SPDR Tr SBI Int-Finl (XLF) — Dividend

Select Sect SPDR Tr Tech (XLK) — Dividend — Buy (add'l)

Vaneck Vectors ETF Gold Miners (GDX) — Dividend

Vaneck Vectors ETF Semiconductors (SMH) — None — Sold

Vanguard Intl Eq Indx Fd FTSE Emr Mkt (VWO) — Dividend

Vanguard Index Fds Real Estate ETF (VNQ) — Dividend

Account #8 (H)

NM FDIC Insured Deposit Program (cash) — Dividend

Thornburg Value Class A (TVAFX) — Dividend

Agreement — 1995 — Self-directed retirement account at Miner, Barnhill & Galland, P.C. (reportable assets are listed in Part VII)

Liability — Navient — Student loan

Spouse's income — 2020 — HERE Technologies (salary)

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.