Dale L. Somers

What was filed

356
investments
0
positions
0
gifts
0
agreements
0
debts
0
reimbursements
0
income
0
spouse income

Named parties

See Note in Part VIII

As filed

BJD Somers Family LLC — Distribution — See Note in Part VIII

C.M. Life Insurance Company - Whole Life — Int./Div.

Fidelity Brokerage Services LLC - IRA Account #1 (H) — See Note in Part VIII

Claymore Securities Defined Portfolios — Dividend

Fidelity Cash Reserves — Int./Div.

Ishares S&P Midcap 400 Growth — Dividend — Buy (add'l)

Ishares S&P Midcap 400 Growth — Buy (add'l)

Ishares S&P Midcap 400 Growth — Sold (part)

Doubleline Total Rt Bond Fd — Dividend — Sold (part)

Doubleline Total Rt Bond Fd — Buy (add'l)

Doubleline Total Rt Bond Fd — Sold (part)

Doubleline Total Rt Bond Fd — Buy (add'l)

Doubleline Total Rt Bond Fd — Sold (part)

Metropolitan West Total Return — Dividend — Sold (part)

Metropolitan West Total Return — Buy (add'l)

Metropolitan West Total Return — Sold (part)

Metropolitan West Total Return — Buy (add'l)

Metropolitan West Total Return — Sold (part)

Oakmark Intl Advisor Fund — Dividend — Sold (part)

Oakmark Intl Advisor Fund — Buy (add'l)

Oakmark Intl Advisor Fund — Sold (part)

Oakmark Intl Advisor Fund — Buy (add'l)

Oakmark Intl Advisor Fund — Sold (part)

Oakmark Intl Advisor Fund — Buy (add'l)

Ishares S&P 500 Value ETF — Dividend — Sold (part)

Ishares S&P 500 Value ETF — Buy (add'l)

Ishares S&P 500 Value ETF — Sold (part)

Ishares S&P 500 Value ETF — Buy (add'l)

Ishares S&P 500 Value ETF — Sold (part)

Ishares S&P 500 Value ETF — Buy (add'l)

Ishares Trust Core MSCI EAFE ETF — Dividend — Sold (part)

Ishares Trust Core MSCI EAFE ETF — Buy (add'l)

Ishares Trust Core MSCI EAFE ETF — Sold (part)

Ishares Trust Core MSCI EAFE ETF — Buy (add'l)

Ishares Trust Core MSCI EAFE ETF — Sold (part)

Ishares Trust Core MSCI EAFE ETF — Buy (add'l)

Wells Fargo Special Mid Cap CL I — None — Sold

Baird Aggregate Bond Fund Investor Cl — Dividend — Sold (part)

Baird Aggregate Bond Fund Investor Cl — Buy (add'l)

Baird Aggregate Bond Fund Investor Cl — Sold (part)

Baird Aggregate Bond Fund Investor Cl — Buy (add'l)

Baird Aggregate Bond Fund Investor Cl — Sold (part)

Ishares Core U.S. Aggregate Bond ETF — Dividend — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Sold (part)

Ishares Core U.S. Aggregate Bond ETF — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Sold (part)

Ishares Core U.S. Aggregate Bond ETF — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Sold (part)

Ishares Core U.S. Aggregate Bond ETF — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Sold (part)

Ishares Inc Core MSCI Emerging Mkts — Dividend — Buy (add'l)

Ishares Inc Core MSCI Emerging Mkts — Sold (part)

Ishares Inc Core MSCI Emerging Mkts — Buy (add'l)

Ishares Core S&P Small-Cap ETF — Dividend — Sold (part)

Ishares Core S&P Small-Cap ETF — Sold (part)

Ishares Core S&P Small-Cap ETF — Buy (add'l)

Ishares S&P Midcap 400 Value ETF — Dividend — Buy (add'l)

Ishares S&P Midcap 400 Value ETF — Buy (add'l)

Ishares S&P Midcap 400 Value ETF — Sold (part)

The Hartford Intl Oppt Fd — Dividend — Sold (part)

The Hartford Intl Oppt Fd — Buy (add'l)

The Hartford Intl Oppt Fd — Sold (part)

The Hartford Intl Oppt Fd — Buy (add'l)

Pimco Total Return Fund — Dividend — Sold (part)

Pimco Total Return Fund — Buy (add'l)

Pimco Total Return Fund — Sold (part)

Harding Loevner Inst Emerging Mkts — Dividend — Buy (add'l)

Harding Loevner Inst Emerging Mkts — Buy (add'l)

Pimco Intl Bond (US Dollar Hedged) — Dividend — Sold (part)

Pimco Intl Bond (US Dollar Hedged) — Sold (part)

Pimco Intl Bond (US Dollar Hedged) — Buy (add'l)

Ishares Intl Aggregate Bond — Dividend — Sold (part)

Ishares Intl Aggregate Bond — Buy (add'l)

Ishares Intl Aggregate Bond — Sold (part)

Ishares Intl Aggregate Bond — Buy (add'l)

Ishares Gold Trust — None — Buy

Ishares Gold Trust — Sold (part)

Ishares Gold Trust — Sold

Ishares TIPS Bond ETF — Dividend — Buy

Ishares TIPS Bond ETF — Sold (part)

Ishares TIPS Bond ETF — Buy (add'l)

Ishares TIPS Bond ETF — Sold

Ishares S&P 500 Growth ETF — Dividend — Buy

Ishares S&P 500 Growth ETF — Buy (add'l)

Ishares S&P 500 Growth ETF — Sold (part)

Ishares S&P 500 Growth ETF — Buy (add'l)

Ishares S&P 500 Growth ETF — Sold (part)

Ishares S&P 500 Growth ETF — Sold

Fidelity Brokerage Services LLC - IRA Account #2 (H) — See Note in Part VIII

Fidelity Cash Reserves — Int./Div.

Harbor Bond — Dividend

Baird Aggregate Bond Fund Investor Cl — Dividend

Ishares Trust Core MSCI EAFE ETF — Dividend

Ishares S&P 500 Growth ETF — Dividend — Buy

Ishares S&P 500 Growth ETF — Sold

Ishares Core S&P Smallcap ETF — Dividend — Buy

Fidelity Brokerage Services LLC - Non IRA Acct (H) — See Note in Part VIII

Fidelity Government Cash Reserves — Dividend

Ishares Russell 1000 Value — Dividend — Sold (part)

Ishares Core S&P Smallcap ETF — Dividend — Buy

Ishares Core S&P Smallcap ETF — Sold (part)

Ishares Core S&P Smallcap ETF — Buy (add'l)

Ishares S&P Midcap 400 Value ETF — Dividend — Buy

Ishares S&P Midcap 400 Value ETF — Sold (part)

Ishares S&P Midcap 400 Growth ETF — Dividend — Buy

Ishare S&P 500 Value ETF — Dividend — Buy (add'l)

Ishare S&P 500 Value ETF — Sold (part)

Ishare S&P 500 Value ETF — Sold

Ishare S&P 500 Growth ETF — Dividend — Buy (add'l)

Ishare S&P 500 Growth ETF — Buy (add'l)

Ishare S&P 500 Growth ETF — Sold (part)

Ishare S&P 500 Growth ETF — Buy (add'l)

Ishare S&P 500 Growth ETF — Sold (part)

Principal Blue Chip I Shares — None — Buy

Principal Blue Chip I Shares — Sold (part)

Principal Equity Income Instl — Dividend — Buy

Principal Equity Income Instl — Sold (part)

Doubleline Total Return Bond Fund — Dividend — Buy

Doubleline Total Return Bond Fund — Sold

Fidelity Brokerage Services LLC - Roth IRA Account (H) — See Note in Part VIII

Fidelity Government Cash Reserves — Dividend

Baird Aggregate Bond Fund — Dividend

Ishares S&P Mid Cap 400 Growth ETF — Dividend

Ishares S&P 500 Growth ETF — Dividend — Buy

Ishares S&P 500 Growth ETF — Sold

Ishares Core S&P Smallcap ETF — Dividend — Buy

Fidelity Brokerage Services LLC - IRA Account #3 (H) — See Note in Part VIII

Fidelity Government Cash Reserves — Dividend

Doubleline Total RT Bond Fund — Dividend — Buy (add'l)

The Hartford Intl Oppt Fund — Dividend — Sold (part)

Ishares Core US Aggr Bond ETF — Dividend — Buy (add'l)

Ishares Core US Aggr Bond ETF — Buy (add'l)

Ishares Inc Core MSCI Emerging Mkts — Dividend

Ishares S&P Midcap 400 Value — Dividend

Ishares S&P 500 Value ETF — None — Sold

Baird Aggregate Bond Fund — Dividend — Buy (add'l)

Pimco Total Return Fund — Dividend

Pimco Intl Bond (US Dollar Hedged) — Dividend — Buy (add'l)

Pimco Intl Bond (US Dollar Hedged) — Buy (add'l)

Ishares Core S&P Small Cap EFT — Dividend — Buy (add'l)

Ishares Intl Aggregate Bond — Dividend — Buy (add'l)

Ishares Trust Core MSCI EAFE EFT — Dividend

Metropolitan West Total Return Bond — Dividend — Buy

Ishares TIPS Bond ETF — Dividend — Buy

Ishares TIPS Bond ETF — Sold

Ishares S&P 500 Growth ETF — Dividend — Buy

Ishares S&P 500 Growth ETF — Sold

BJD Somers Family LLC — Distribution — See Note in Part VIII

C.M. Life Insurance Company - Whole Life — Int./Div.

Fidelity Brokerage Services LLC - IRA Account #1 (H) — See Note in Part VIII

Claymore Securities Defined Portfolios — Dividend

Fidelity Cash Reserves — Int./Div.

Ishares S&P Midcap 400 Growth — Dividend — Buy (add'l)

Ishares S&P Midcap 400 Growth — Buy (add'l)

Ishares S&P Midcap 400 Growth — Sold (part)

Doubleline Total Rt Bond Fd — Dividend — Sold (part)

Doubleline Total Rt Bond Fd — Buy (add'l)

Doubleline Total Rt Bond Fd — Sold (part)

Doubleline Total Rt Bond Fd — Buy (add'l)

Doubleline Total Rt Bond Fd — Sold (part)

Metropolitan West Total Return — Dividend — Sold (part)

Metropolitan West Total Return — Buy (add'l)

Metropolitan West Total Return — Sold (part)

Metropolitan West Total Return — Buy (add'l)

Metropolitan West Total Return — Sold (part)

Oakmark Intl Advisor Fund — Dividend — Sold (part)

Oakmark Intl Advisor Fund — Buy (add'l)

Oakmark Intl Advisor Fund — Sold (part)

Oakmark Intl Advisor Fund — Buy (add'l)

Oakmark Intl Advisor Fund — Sold (part)

Oakmark Intl Advisor Fund — Buy (add'l)

Ishares S&P 500 Value ETF — Dividend — Sold (part)

Ishares S&P 500 Value ETF — Buy (add'l)

Ishares S&P 500 Value ETF — Sold (part)

Ishares S&P 500 Value ETF — Buy (add'l)

Ishares S&P 500 Value ETF — Sold (part)

Ishares S&P 500 Value ETF — Buy (add'l)

Ishares Trust Core MSCI EAFE ETF — Dividend — Sold (part)

Ishares Trust Core MSCI EAFE ETF — Buy (add'l)

Ishares Trust Core MSCI EAFE ETF — Sold (part)

Ishares Trust Core MSCI EAFE ETF — Buy (add'l)

Ishares Trust Core MSCI EAFE ETF — Sold (part)

Ishares Trust Core MSCI EAFE ETF — Buy (add'l)

Wells Fargo Special Mid Cap CL I — None — Sold

Baird Aggregate Bond Fund Investor Cl — Dividend — Sold (part)

Baird Aggregate Bond Fund Investor Cl — Buy (add'l)

Baird Aggregate Bond Fund Investor Cl — Sold (part)

Baird Aggregate Bond Fund Investor Cl — Buy (add'l)

Baird Aggregate Bond Fund Investor Cl — Sold (part)

Ishares Core U.S. Aggregate Bond ETF — Dividend — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Sold (part)

Ishares Core U.S. Aggregate Bond ETF — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Sold (part)

Ishares Core U.S. Aggregate Bond ETF — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Sold (part)

Ishares Core U.S. Aggregate Bond ETF — Buy (add'l)

Ishares Core U.S. Aggregate Bond ETF — Sold (part)

Ishares Inc Core MSCI Emerging Mkts — Dividend — Buy (add'l)

Ishares Inc Core MSCI Emerging Mkts — Sold (part)

Ishares Inc Core MSCI Emerging Mkts — Buy (add'l)

Ishares Core S&P Small-Cap ETF — Dividend — Sold (part)

Ishares Core S&P Small-Cap ETF — Sold (part)

Ishares Core S&P Small-Cap ETF — Buy (add'l)

Ishares S&P Midcap 400 Value ETF — Dividend — Buy (add'l)

Ishares S&P Midcap 400 Value ETF — Buy (add'l)

Ishares S&P Midcap 400 Value ETF — Sold (part)

The Hartford Intl Oppt Fd — Dividend — Sold (part)

The Hartford Intl Oppt Fd — Buy (add'l)

The Hartford Intl Oppt Fd — Sold (part)

The Hartford Intl Oppt Fd — Buy (add'l)

Pimco Total Return Fund — Dividend — Sold (part)

Pimco Total Return Fund — Buy (add'l)

Pimco Total Return Fund — Sold (part)

Harding Loevner Inst Emerging Mkts — Dividend — Buy (add'l)

Harding Loevner Inst Emerging Mkts — Buy (add'l)

Pimco Intl Bond (US Dollar Hedged) — Dividend — Sold (part)

Pimco Intl Bond (US Dollar Hedged) — Sold (part)

Pimco Intl Bond (US Dollar Hedged) — Buy (add'l)

Ishares Intl Aggregate Bond — Dividend — Sold (part)

Ishares Intl Aggregate Bond — Buy (add'l)

Ishares Intl Aggregate Bond — Sold (part)

Ishares Intl Aggregate Bond — Buy (add'l)

Ishares Gold Trust — None — Buy

Ishares Gold Trust — Sold (part)

Ishares Gold Trust — Sold

Ishares TIPS Bond ETF — Dividend — Buy

Ishares TIPS Bond ETF — Sold (part)

Ishares TIPS Bond ETF — Buy (add'l)

Ishares TIPS Bond ETF — Sold

Ishares S&P 500 Growth ETF — Dividend — Buy

Ishares S&P 500 Growth ETF — Buy (add'l)

Ishares S&P 500 Growth ETF — Sold (part)

Ishares S&P 500 Growth ETF — Buy (add'l)

Ishares S&P 500 Growth ETF — Sold (part)

Ishares S&P 500 Growth ETF — Sold

Fidelity Brokerage Services LLC - IRA Account #2 (H) — See Note in Part VIII

Fidelity Cash Reserves — Int./Div.

Harbor Bond — Dividend

Baird Aggregate Bond Fund Investor Cl — Dividend

Ishares Trust Core MSCI EAFE ETF — Dividend

Ishares S&P 500 Growth ETF — Dividend — Buy

Ishares S&P 500 Growth ETF — Sold

Ishares Core S&P Smallcap ETF — Dividend — Buy

Fidelity Brokerage Services LLC - Non IRA Acct (H) — See Note in Part VIII

Fidelity Government Cash Reserves — Dividend

Ishares Russell 1000 Value — Dividend — Sold (part)

Ishares Core S&P Smallcap ETF — Dividend — Buy

Ishares Core S&P Smallcap ETF — Sold (part)

Ishares Core S&P Smallcap ETF — Buy (add'l)

Ishares S&P Midcap 400 Value ETF — Dividend — Buy

Ishares S&P Midcap 400 Value ETF — Sold (part)

Ishares S&P Midcap 400 Growth ETF — Dividend — Buy

Ishare S&P 500 Value ETF — Dividend — Buy (add'l)

Ishare S&P 500 Value ETF — Sold (part)

Ishare S&P 500 Value ETF — Sold

Ishare S&P 500 Growth ETF — Dividend — Buy (add'l)

Ishare S&P 500 Growth ETF — Buy (add'l)

Ishare S&P 500 Growth ETF — Sold (part)

Ishare S&P 500 Growth ETF — Buy (add'l)

Ishare S&P 500 Growth ETF — Sold (part)

Principal Blue Chip I Shares — None — Buy

Principal Blue Chip I Shares — Sold (part)

Principal Equity Income Instl — Dividend — Buy

Principal Equity Income Instl — Sold (part)

Doubleline Total Return Bond Fund — Dividend — Buy

Doubleline Total Return Bond Fund — Sold

Fidelity Brokerage Services LLC - Roth IRA Account (H) — See Note in Part VIII

Fidelity Government Cash Reserves — Dividend

Baird Aggregate Bond Fund — Dividend

Ishares S&P Mid Cap 400 Growth ETF — Dividend

Ishares S&P 500 Growth ETF — Dividend — Buy

Ishares S&P 500 Growth ETF — Sold

Ishares Core S&P Smallcap ETF — Dividend — Buy

Fidelity Brokerage Services LLC - IRA Account #3 (H) — See Note in Part VIII

Fidelity Government Cash Reserves — Dividend

Doubleline Total RT Bond Fund — Dividend — Buy (add'l)

The Hartford Intl Oppt Fund — Dividend — Sold (part)

Ishares Core US Aggr Bond ETF — Dividend — Buy (add'l)

Ishares Core US Aggr Bond ETF — Buy (add'l)

Ishares Inc Core MSCI Emerging Mkts — Dividend

Ishares S&P Midcap 400 Value — Dividend

Ishares S&P 500 Value ETF — None — Sold

Baird Aggregate Bond Fund — Dividend — Buy (add'l)

Pimco Total Return Fund — Dividend

Pimco Intl Bond (US Dollar Hedged) — Dividend — Buy (add'l)

Pimco Intl Bond (US Dollar Hedged) — Buy (add'l)

Ishares Core S&P Small Cap EFT — Dividend — Buy (add'l)

Ishares Intl Aggregate Bond — Dividend — Buy (add'l)

Ishares Trust Core MSCI EAFE EFT — Dividend

Metropolitan West Total Return Bond — Dividend — Buy

Ishares TIPS Bond ETF — Dividend — Buy

Ishares TIPS Bond ETF — Sold

Ishares S&P 500 Growth ETF — Dividend — Buy

Ishares S&P 500 Growth ETF — Sold

A. Item #1 BJD Somers Family LLC - I am a member, I am not an officer or board member and I have no managerial responsibilities.

B. Items listed in #6 through #114 are all assets of Fidelity Brokerage Services LLC IRA account identified in #5 above.

C. Items listed in #116 through #122 are all assets of Fidelity Brokerage Services LLC IRA account identified in #115 above.

D. Items listed in #124 through #150 are all assets of Fidelity Brokerage Services LLC non-IRA account identified in #123 above.

E. Items listed in #152 though #157 are all assets of Fidelity Brokerage Services LLC Roth IRA account identified in #151 above.

F. Items listed in #159 though #178 are all assets of Fidelity Brokerage Services LLC IRA account identified in #158 above.