Thomas D. Schroeder

2020

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What was filed

150
investments
4
positions
0
gifts
0
agreements
0
debts
0
reimbursements
0
income
0
spouse income

Named parties

Notre Dame Law Association
Chief Justice Joseph Branch Inn of Court

As filed

Brokerage #3 (H)

Wells Fargo Accounts (Wachovia) — Interest

US Treasury Series EE Bonds — None

First Tennessee Accounts — Interest

Valic Income Fixed Plus Annuity — Dividend

Brokerage #1 (H)

Invesco FTSE RAFI US 1000 — Dividend — Sold (part)

iShares Russell 1000 ETF — Dividend — Sold (part)

Inveso FTSE RAFI US 1500 Small-Mid ETF — Dividend — Buy

iShares MSCI EAFE ETF — Dividend — Buy (add'l)

Vanguard FTSE Developed Markets ETF — Dividend — Sold (part)

Vanguard FTSE Emerging Markets ETF — Dividend — Sold (part)

PIMCO All Asset All Authority Instl — Dividend

AQR Managed Futures Strategy Cl I — None — Sold

AQR Style Premia Alternative Cl I — None — Sold

Calamos Market Neutral Income I — Dividend — Buy

PIMCO Dynamci Bond Fund Instl — Dividend — Buy (add'l)

iShares 0-5 Year TIPS Bond ETF — Dividend — Buy

Vanguard Ltd-Term Tax Exempt Adm — Dividend — Sold

Vanguard Short-Term Bond ETF — Distribution

iShares Treasury Floating Rate Bond ETF — Dividend — Sold (part)

Fidelity Government Cash Reserve "Cash Account" — Dividend

Invesco FTSE RAFI US 1000 ETF — Dividend — Sold (part)

Invesco FTSE RAFI US 1000 ETF — Sold (part)

iShares Russell 1000 ETF — Dividend

iShares MSCI EAFE ETF — Dividend — Buy (add'l)

Vanguard FTSE Developed Markets ETF — Dividend — Sold (part)

Vanguard FTSE Emerging Markets ETF — Dividend

PIMCO All Asset All Authority Instl — Dividend

PIMCO Dynamic Bond Fund Instl — Dividend

Vanguard Short-Term Bond ETF — Dividend

iShares Treasury Floating Rate Bond ETF — Dividend

Fidelity Government Cash Reserve "Cash Account" — Dividend

IRA #1 (H)

PIMCO All Asset All Authority Instl — Dividend

Calamos Market Neutral Income I — Dividend — Buy

iShares Treasury Floating Rate Bond ETF — Dividend — Sold

Fidelity Government Cash Reserve "Cash Account" — Dividend

IRA #2 (H)

PIMCO All Asset All Authority Instl — Dividend

Eaton Vance Glbl Macro Absolute Ret Advtg I — Dividend — Buy

iShares Treasury Floating Rate Bond ETF — Dividend — Sold

Fidelity Government Cash Reserve "Cash Account" — Dividend

IRA #3 (H)

Invesco FTSE RAFI US 1000 — Dividend — Sold

Inveso FTSE RAFI US 1500 Small-Mid ETF — Dividend — Buy

Inveso FTSE RAFI US 1500 Small-Mid ETF — Sold (part)

iShares MSCI EAFE ETF — Dividend — Sold (part)

iShares MSCI Emerging Markets EFT — Dividend — Sold (part)

iShares MSCI Emerging Markets EFT — Sold (part)

PIMCO All Asset All Authority Instl — Dividend — Buy (add'l)

AQR Managed Futures Strategy Cl I — Dividend — Sold

AQR Managed Futures Strategy Cl I — Buy

AQR Style Premia Alternative Cl I — None

Calamos Market Neutral Income I — Dividend — Buy

Calamos Market Neutral Income I — Buy (add'l)

Eaton Vance Glbl Macro Absolute Ret Advtg I — Dividend — Buy

Eaton Vance Glbl Macro Absolute Ret Advtg I — Buy (add'l)

PIMCO Dynamic Bond Fund Instl — Dividend — Sold (part)

PIMCO Dynamic Bond Fund Instl — Buy (add'l)

iShares 0-5 Year TIPS Bond ETF — Dividend — Buy

Eaton Vance Emerging Markets Local Income Cl I — Dividend

RiverNorth/DoubleLine Strategic Income I — Dividend — Sold

RiverNorth/DoubleLine Strategic Income I — Buy

PIMCO Enhanced Short Maturity Active ETF — Dividend — Buy

PIMCO Enhanced Short Maturity Active ETF — Buy (add'l)

Vanguard Short-Term Bond ETF — Dividend — Sold

iShares Treasury Floating Rate Bond ETF — Dividend — Sold

iShares Treasury Floating Rate Bond ETF — Buy

Fidelity Government Cash Reserve "Cash Account" — Dividend

Mass Mutual Whole Life Insurance — Dividend

Loyal American Insurance Whole Life Policy — Dividend

Duke Univ. Faculty Retirement Plan (H)

Vanguard Inst. Target Retirement 2025 Fund — Dividend

Wells Fargo Accounts (Wachovia) — Interest

US Treasury Series EE Bonds — None

First Tennessee Accounts — Interest

Valic Income Fixed Plus Annuity — Dividend

Brokerage #1 (H)

Invesco FTSE RAFI US 1000 — Dividend — Sold (part)

iShares Russell 1000 ETF — Dividend — Sold (part)

Inveso FTSE RAFI US 1500 Small-Mid ETF — Dividend — Buy

iShares MSCI EAFE ETF — Dividend — Buy (add'l)

Vanguard FTSE Developed Markets ETF — Dividend — Sold (part)

Vanguard FTSE Emerging Markets ETF — Dividend — Sold (part)

PIMCO All Asset All Authority Instl — Dividend

AQR Managed Futures Strategy Cl I — None — Sold

AQR Style Premia Alternative Cl I — None — Sold

Calamos Market Neutral Income I — Dividend — Buy

PIMCO Dynamci Bond Fund Instl — Dividend — Buy (add'l)

iShares 0-5 Year TIPS Bond ETF — Dividend — Buy

Vanguard Ltd-Term Tax Exempt Adm — Dividend — Sold

Vanguard Short-Term Bond ETF — Distribution

iShares Treasury Floating Rate Bond ETF — Dividend — Sold (part)

Fidelity Government Cash Reserve "Cash Account" — Dividend

Brokerage #3 (H)

Invesco FTSE RAFI US 1000 ETF — Dividend — Sold (part)

Invesco FTSE RAFI US 1000 ETF — Sold (part)

iShares Russell 1000 ETF — Dividend

iShares MSCI EAFE ETF — Dividend — Buy (add'l)

Vanguard FTSE Developed Markets ETF — Dividend — Sold (part)

Vanguard FTSE Emerging Markets ETF — Dividend

PIMCO All Asset All Authority Instl — Dividend

PIMCO Dynamic Bond Fund Instl — Dividend

Vanguard Short-Term Bond ETF — Dividend

iShares Treasury Floating Rate Bond ETF — Dividend

Fidelity Government Cash Reserve "Cash Account" — Dividend

IRA #1 (H)

PIMCO All Asset All Authority Instl — Dividend

Calamos Market Neutral Income I — Dividend — Buy

iShares Treasury Floating Rate Bond ETF — Dividend — Sold

Fidelity Government Cash Reserve "Cash Account" — Dividend

IRA #2 (H)

PIMCO All Asset All Authority Instl — Dividend

Eaton Vance Glbl Macro Absolute Ret Advtg I — Dividend — Buy

iShares Treasury Floating Rate Bond ETF — Dividend — Sold

Fidelity Government Cash Reserve "Cash Account" — Dividend

IRA #3 (H)

Invesco FTSE RAFI US 1000 — Dividend — Sold

Inveso FTSE RAFI US 1500 Small-Mid ETF — Dividend — Buy

Inveso FTSE RAFI US 1500 Small-Mid ETF — Sold (part)

iShares MSCI EAFE ETF — Dividend — Sold (part)

iShares MSCI Emerging Markets EFT — Dividend — Sold (part)

iShares MSCI Emerging Markets EFT — Sold (part)

PIMCO All Asset All Authority Instl — Dividend — Buy (add'l)

AQR Managed Futures Strategy Cl I — Dividend — Sold

AQR Managed Futures Strategy Cl I — Buy

AQR Style Premia Alternative Cl I — None

Calamos Market Neutral Income I — Dividend — Buy

Calamos Market Neutral Income I — Buy (add'l)

Eaton Vance Glbl Macro Absolute Ret Advtg I — Dividend — Buy

Eaton Vance Glbl Macro Absolute Ret Advtg I — Buy (add'l)

PIMCO Dynamic Bond Fund Instl — Dividend — Sold (part)

PIMCO Dynamic Bond Fund Instl — Buy (add'l)

iShares 0-5 Year TIPS Bond ETF — Dividend — Buy

Eaton Vance Emerging Markets Local Income Cl I — Dividend

RiverNorth/DoubleLine Strategic Income I — Dividend — Sold

RiverNorth/DoubleLine Strategic Income I — Buy

PIMCO Enhanced Short Maturity Active ETF — Dividend — Buy

PIMCO Enhanced Short Maturity Active ETF — Buy (add'l)

Vanguard Short-Term Bond ETF — Dividend — Sold

iShares Treasury Floating Rate Bond ETF — Dividend — Sold

iShares Treasury Floating Rate Bond ETF — Buy

Fidelity Government Cash Reserve "Cash Account" — Dividend

Mass Mutual Whole Life Insurance — Dividend

Loyal American Insurance Whole Life Policy — Dividend

Duke Univ. Faculty Retirement Plan (H)

Vanguard Inst. Target Retirement 2025 Fund — Dividend

Board Member, President Elect, Notre Dame Law Association

Board Member, Chief Justice Joseph Branch Inn of Court

Board Member, President Elect, Notre Dame Law Association

Board Member, Chief Justice Joseph Branch Inn of Court

Part VII :

Lines 5-33: Accounts in lines 5 through 33 were reorganized twice during 2020 as identical assets moved between the accounts; all purchases/sales are disclosed.

Lines 52, 63, and 68: Assets were sold and fully repurchased on the dates noted, and all assets were held at year end.

Line 73: The Loyal American Life Insurance Company policy appears to be affiliated with and/or administered by The Great American Life Insurance Company.

As per the November 24,2021 letter of inquiry by the Judicial Conference of the U.S. Committee on Financial Disclosure, the report is amended to reflect that this

policy is a Whole Life policy.

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.