# Laura Taylor Swain

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/33880

## Record

- **Judge:** Laura Taylor Swain
- **Year:** 2020
- **Pages:** 16

## Text

Individual Assets (H)
HSBC Bank (cash) — Interest
Citibank (cash) — Interest
Synchrony Bank (cash) — Interest
. Employees Stock Ownership Plan (no control) — Dividend
Account #1 (H)
Schwab Govt Money Fund (SWGXX) (cash) (Y)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — None — Buy (add'l)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — Sold (part)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — Sold (part)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — Sold (part)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — Sold
Fidelity MSCI Industrials (FIDU) — Dividend — Sold
Fidelity MSCI Comm SRV Index (FCOM) — Dividend — Sold (part)
Fidelity MSCI Comm SRV Index (FCOM) — Sold (part)
Fidelity MSCI Comm SRV Index (FCOM) — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Dividend — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Sold (part)
Fidelity MSCI Cons Stpls (FSTA) — Dividend — Buy (add'l)
Fidelity MSCI Cons Stpls (FSTA) — Sold (part)
Fidelity MSCI Cons Stpls (FSTA) — Buy (add'l)
Fidelity MSCI Health (FHLC) — Dividend — Sold (part)
Fidelity MSCI Health (FHLC) — Buy (add'l)
Fidelity MSCI Health (FHLC) — Sold (part)
Fidelity MSCI Health (FHLC) — Buy (add'l)
Fidelity MSCI Health (FHLC) — Buy (add'l)
Fidelity MSCI Infor Tech (FTEC) — Dividend — Sold (part)
Fidelity MSCI Infor Tech (FTEC) — Sold (part)
Fidelity MSCI Infor Tech (FTEC) — Sold (part)
Fidelity MSCI Utilities ETF (FUTY) — Dividend — Buy
Invesco Optimum Yield (PDBC) — None — Sold (part)
Invesco Optimum Yield (PDBC) — Buy (add'l)
Invesco Optimum Yield (PDBC) — Sold (part)
Invesco Optimum Yield (PDBC) — Sold (part)
Invesco Optimum Yield (PDBC) — Buy (add'l)
IShares Bond ETF Agency Bond (AGZ) — Dividend — Sold
Invesco Preferred ETF (PGX) — Dividend — Buy
Invesco QQQ Trust (QQQ) — Dividend — Buy
Ishares Broad Usd Hg Yld (USHY) — Dividend — Buy (add'l)
Ishares Broad Usd Hg Yld (USHY) — Sold (part)
Ishares Broad Usd Hg Yld (USHY) — Buy (add'l)
IShares CMBS ETF (CMBS) — Dividend — Sold
IShares Short Term Corp Bd ETF (IGSB) — Dividend — Buy
IShares Short Term Corp Bd ETF (IGSB) — Sold (part)
Ishares Intermediate-Term (IGIB) — Dividend — Sold (part)
Ishares Intermediate-Term (IGIB) — Sold (part)
Ishares Currency Holdings MSCI (HEZU) — None — Buy (add'l)
Ishares Currency Holdings MSCI (HEZU) — Sold
IShares TIPS Bond ETF (TIP) — None — Sold
SPDR Dow Jones REIT (RWR) — Dividend — Sold (part)
SPDR Dow Jones REIT (RWR) — Sold (part)
SPDR Dow Jones REIT (RWR) — Buy (add'l)
SPDR Intrmdt Trm Crprate Bnd ETF (SPIB) — Dividend — Sold (part)
SPDR Intrmdt Trm Crprate Bnd ETF (SPIB) — Sold (part)
SPDR Long Term Treasury (SPTL) — Dividend — Sold (part)
SPDR S&P 600 Small Cap ETF (SPSM) — Dividend — Sold (part)
SPDR S&P 600 Small Cap ETF (SPSM) — Buy (add'l)
SPDR S&P 600 Small Cap ETF (SPSM) — Sold (part)
Vaneck Vectors J.P. Morgan Em Local Currency Bond ETF (EMLC) — Dividend — Buy
Vaneck Vectors J.P. Morgan Em Local Currency Bond ETF (EMLC) — Buy (add'l)
Vaneck Vectors J.P. Morgan Em Local Currency Bond ETF (EMLC) — Sold (part)
Vaneck Vectors J.P. Morgan Em Local Currency Bond ETF (EMLC) — Sold (part)
Vanguard FTSE ETF Dev Mkts (VEA) — Dividend — Sold (part)
Vanguard FTSE ETF Dev Mkts (VEA) — Sold (part)
Vanguard FTSE ETF Dev Mkts (VEA) — Buy (add'l)
Vanguard FTSE ETF Dev Mkts (VEA) — Sold (part)
Vanguard FTSE Emerging Mkts (VWO) — Dividend — Sold (part)
Vanguard FTSE Emerging Mkts (VWO) — Sold (part)
Vanguard FTSE Emerging Mkts (VWO) — Buy (add'l)
Vanguard FTSE Emerging Mkts (VWO) — Buy (add'l)
Vanguard FTSE Emerging Mkts (VWO) — Sold (part)
Vanguard Large Cap ETF (VV) — Dividend — Sold (part)
Vanguard Large Cap ETF (VV) — Buy (add'l)
Vanguard Large Cap ETF (VV) — Sold (part)
Vanguard Large Cap ETF (VV) — Sold (part)
Vanguard Long Term Cor Bd ETF (VCLT) — Dividend — Sold (part)
Vanguard Mrtg-Backd ETF Mortg-Backed Secs (VMBS) — Dividend — Sold (part)
Vanguard Mrtg-Backd ETF Mortg-Backed Secs (VMBS) — Buy (add'l)
Vanguard Mrtg-Backd ETF Mortg-Backed Secs (VMBS) — Buy (add'l)
Vanguard Mrtg-Backd ETF Mortg-Backed Secs (VMBS) — Sold (part)
Account #2 (H)
Western Asset Instl Government Fund (INGXX) (cash) (Y)
IShares Gold TR (IAU) — None — Buy (add'l)
IShares Gold TR (IAU) — Sold (part)
IShares Tr Latin Amer 40 ETF (ILF) — Dividend — Buy
IShares Tr Latin Amer 40 ETF (ILF) — Buy (add'l)
IShares TR Russell 1000 Value ETF (IWD) — Dividend — Sold (part)
IShares TR Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares TR Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares TR Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares TR Russell 1000 Growth ETF (IWF) — Dividend — Sold (part)
IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)
IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)
IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)
IShares TR Russell 1000 Growth ETF (IWF) — Buy (add'l)
Ishares TR Russell 2000 ETF (IWM) — Dividend
IShares TR Core S&P Small-Cap ETF (IJR) — Dividend — Buy
IShares TR Core S&P Small-Cap ETF (IJR) — Sold (part)
IShares TR Core S&P Small-Cap ETF (IJR) — Sold (part)
IShares Trust MSCI EAFE Small Cap ETF (SCZ) — Dividend — Buy
IShares TR MSCI All Country Asia (AAXJ) — None — Buy (add'l)
IShares TR MSCI All Country Asia (AAXJ) — Sold
IShares TR JPMorgan Emerging Mkts (EMB) — Dividend — Sold
IShares Tr Global REIT ETF (REET) — Dividend — Buy
IShares Tr Mtg Real Estate ETF (REM) — Dividend — Buy
Pimco ETF TR Enhanced Short Mat (MINT) — Dividend — Sold (part)
Pimco ETF TR Enhanced Short Mat (MINT) — Buy (add'l)
Pimco ETF TR Enhanced Short Mat (MINT) — Sold (part)
SPDR Ser Tr Bloom Barc Hi Yield Bd ETF (JNK) — Dividend — Buy
SPDR Ser Tr Bloom Barc Hi Yield Bd ETF (JNK) — Sold (part)
Vanguard Spec Fds Dividend Appreciation (VIG) — Dividend — Buy
Vanguard Spec Fds Dividend Appreciation (VIG) — Buy (add'l)
Vanguard Bd Index Fds (BND) — Dividend — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Buy (add'l)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Dividend — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Charlotte Fds (BNDX) — Dividend — Sold
Vanguard Intl Equity Index (VWO) — Dividend — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Account #3 (H)
Western Asset Instl Govt (INGXX) (cash) (X) — Interest
IShares Gold Tr (IAU) — None — Buy (add'l)
IShares Gold Tr (IAU) — Sold (part)
IShares Tr Latin Amer 40 ETF (ILF) — Dividend — Buy
IShares Tr Latin Amer 40 ETF (ILF) — Buy (add'l)
IShares Tr Russell 1000 Value ETF (IWD) — Dividend — Sold (part)
IShares Tr Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares Tr Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares Tr Russell 1000 Value ETF (IWD) — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Dividend — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Buy (add'l)
Ishares Tr Russell 2000 ETF (IWM) — Dividend
IShares Tr Core S&P Small-Cap ETF (IJR) — Dividend — Buy
IShares Tr Core S&P Small-Cap ETF (IJR) — Sold (part)
IShares Tr Core S&P Small-Cap ETF (IJR) — Sold (part)
IShares Tr MSCI All Country Asia (AAXJ) — None — Buy (add'l)
IShares Tr MSCI All Country Asia (AAXJ) — Sold
IShares Tr JPMorgan Emerging Mkts (EMB) — Dividend — Sold (part)
IShares Trust MSCI Small Cap ETF (SCZ) — Dividend — Buy
IShares Tr Global REIT ETF (REET) — Dividend — Buy
IShares Tr Mtg Real Estate ETF (REM) — Dividend — Buy
Pimco ETF Tr Enhanced Short Mat (MINT) — Dividend — Sold
Pimco ETF Tr Enhanced Short Mat (MINT) — Buy
Pimco ETF Tr Enhanced Short Mat (MINT) — Sold (part)
SPDR Ser Tr Bloom Barc Hi Yield Bd ETF (JNK) — Dividend — Buy
SPDR Ser Tr Bloom Barc Hi Yield Bd ETF (JNK) — Sold (part)
Vanguard Spec Fds Dividend Appreciation (VIG) — Dividend — Buy
Vanguard Spec Fds Dividend Appreciation (VIG) — Buy (add'l)
Vanguard Bd Index Fds (BND) — Dividend — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Buy (add'l)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Dividend — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Charlotte Fds (BNDX) — Dividend — Sold
Vanguard Intl Equity Index (VWO) — Dividend — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Individual Assets (H)
HSBC Bank (cash) — Interest
Citibank (cash) — Interest
Synchrony Bank (cash) — Interest
. Employees Stock Ownership Plan (no control) — Dividend
Account #1 (H)
Schwab Govt Money Fund (SWGXX) (cash) (Y)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — None — Buy (add'l)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — Sold (part)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — Sold (part)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — Sold (part)
Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — Sold
Fidelity MSCI Industrials (FIDU) — Dividend — Sold
Fidelity MSCI Comm SRV Index (FCOM) — Dividend — Sold (part)
Fidelity MSCI Comm SRV Index (FCOM) — Sold (part)
Fidelity MSCI Comm SRV Index (FCOM) — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Dividend — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Sold (part)
Fidelity MSCI Cons Discr (FDIS) — Sold (part)
Fidelity MSCI Cons Stpls (FSTA) — Dividend — Buy (add'l)
Fidelity MSCI Cons Stpls (FSTA) — Sold (part)
Fidelity MSCI Cons Stpls (FSTA) — Buy (add'l)
Fidelity MSCI Health (FHLC) — Dividend — Sold (part)
Fidelity MSCI Health (FHLC) — Buy (add'l)
Fidelity MSCI Health (FHLC) — Sold (part)
Fidelity MSCI Health (FHLC) — Buy (add'l)
Fidelity MSCI Health (FHLC) — Buy (add'l)
Fidelity MSCI Infor Tech (FTEC) — Dividend — Sold (part)
Fidelity MSCI Infor Tech (FTEC) — Sold (part)
Fidelity MSCI Infor Tech (FTEC) — Sold (part)
Fidelity MSCI Utilities ETF (FUTY) — Dividend — Buy
Invesco Optimum Yield (PDBC) — None — Sold (part)
Invesco Optimum Yield (PDBC) — Buy (add'l)
Invesco Optimum Yield (PDBC) — Sold (part)
Invesco Optimum Yield (PDBC) — Sold (part)
Invesco Optimum Yield (PDBC) — Buy (add'l)
IShares Bond ETF Agency Bond (AGZ) — Dividend — Sold
Invesco Preferred ETF (PGX) — Dividend — Buy
Invesco QQQ Trust (QQQ) — Dividend — Buy
Ishares Broad Usd Hg Yld (USHY) — Dividend — Buy (add'l)
Ishares Broad Usd Hg Yld (USHY) — Sold (part)
Ishares Broad Usd Hg Yld (USHY) — Buy (add'l)
IShares CMBS ETF (CMBS) — Dividend — Sold
IShares Short Term Corp Bd ETF (IGSB) — Dividend — Buy
IShares Short Term Corp Bd ETF (IGSB) — Sold (part)
Ishares Intermediate-Term (IGIB) — Dividend — Sold (part)
Ishares Intermediate-Term (IGIB) — Sold (part)
Ishares Currency Holdings MSCI (HEZU) — None — Buy (add'l)
Ishares Currency Holdings MSCI (HEZU) — Sold
IShares TIPS Bond ETF (TIP) — None — Sold
SPDR Dow Jones REIT (RWR) — Dividend — Sold (part)
SPDR Dow Jones REIT (RWR) — Sold (part)
SPDR Dow Jones REIT (RWR) — Buy (add'l)
SPDR Intrmdt Trm Crprate Bnd ETF (SPIB) — Dividend — Sold (part)
SPDR Intrmdt Trm Crprate Bnd ETF (SPIB) — Sold (part)
SPDR Long Term Treasury (SPTL) — Dividend — Sold (part)
SPDR S&P 600 Small Cap ETF (SPSM) — Dividend — Sold (part)
SPDR S&P 600 Small Cap ETF (SPSM) — Buy (add'l)
SPDR S&P 600 Small Cap ETF (SPSM) — Sold (part)
Vaneck Vectors J.P. Morgan Em Local Currency Bond ETF (EMLC) — Dividend — Buy
Vaneck Vectors J.P. Morgan Em Local Currency Bond ETF (EMLC) — Buy (add'l)
Vaneck Vectors J.P. Morgan Em Local Currency Bond ETF (EMLC) — Sold (part)
Vaneck Vectors J.P. Morgan Em Local Currency Bond ETF (EMLC) — Sold (part)
Vanguard FTSE ETF Dev Mkts (VEA) — Dividend — Sold (part)
Vanguard FTSE ETF Dev Mkts (VEA) — Sold (part)
Vanguard FTSE ETF Dev Mkts (VEA) — Buy (add'l)
Vanguard FTSE ETF Dev Mkts (VEA) — Sold (part)
Vanguard FTSE Emerging Mkts (VWO) — Dividend — Sold (part)
Vanguard FTSE Emerging Mkts (VWO) — Sold (part)
Vanguard FTSE Emerging Mkts (VWO) — Buy (add'l)
Vanguard FTSE Emerging Mkts (VWO) — Buy (add'l)
Vanguard FTSE Emerging Mkts (VWO) — Sold (part)
Vanguard Large Cap ETF (VV) — Dividend — Sold (part)
Vanguard Large Cap ETF (VV) — Buy (add'l)
Vanguard Large Cap ETF (VV) — Sold (part)
Vanguard Large Cap ETF (VV) — Sold (part)
Vanguard Long Term Cor Bd ETF (VCLT) — Dividend — Sold (part)
Vanguard Mrtg-Backd ETF Mortg-Backed Secs (VMBS) — Dividend — Sold (part)
Vanguard Mrtg-Backd ETF Mortg-Backed Secs (VMBS) — Buy (add'l)
Vanguard Mrtg-Backd ETF Mortg-Backed Secs (VMBS) — Buy (add'l)
Vanguard Mrtg-Backd ETF Mortg-Backed Secs (VMBS) — Sold (part)
Account #2 (H)
Western Asset Instl Government Fund (INGXX) (cash) (Y)
IShares Gold TR (IAU) — None — Buy (add'l)
IShares Gold TR (IAU) — Sold (part)
IShares Tr Latin Amer 40 ETF (ILF) — Dividend — Buy
IShares Tr Latin Amer 40 ETF (ILF) — Buy (add'l)
IShares TR Russell 1000 Value ETF (IWD) — Dividend — Sold (part)
IShares TR Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares TR Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares TR Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares TR Russell 1000 Growth ETF (IWF) — Dividend — Sold (part)
IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)
IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)
IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)
IShares TR Russell 1000 Growth ETF (IWF) — Buy (add'l)
Ishares TR Russell 2000 ETF (IWM) — Dividend
IShares TR Core S&P Small-Cap ETF (IJR) — Dividend — Buy
IShares TR Core S&P Small-Cap ETF (IJR) — Sold (part)
IShares TR Core S&P Small-Cap ETF (IJR) — Sold (part)
IShares Trust MSCI EAFE Small Cap ETF (SCZ) — Dividend — Buy
IShares TR MSCI All Country Asia (AAXJ) — None — Buy (add'l)
IShares TR MSCI All Country Asia (AAXJ) — Sold
IShares TR JPMorgan Emerging Mkts (EMB) — Dividend — Sold
IShares Tr Global REIT ETF (REET) — Dividend — Buy
IShares Tr Mtg Real Estate ETF (REM) — Dividend — Buy
Pimco ETF TR Enhanced Short Mat (MINT) — Dividend — Sold (part)
Pimco ETF TR Enhanced Short Mat (MINT) — Buy (add'l)
Pimco ETF TR Enhanced Short Mat (MINT) — Sold (part)
SPDR Ser Tr Bloom Barc Hi Yield Bd ETF (JNK) — Dividend — Buy
SPDR Ser Tr Bloom Barc Hi Yield Bd ETF (JNK) — Sold (part)
Vanguard Spec Fds Dividend Appreciation (VIG) — Dividend — Buy
Vanguard Spec Fds Dividend Appreciation (VIG) — Buy (add'l)
Vanguard Bd Index Fds (BND) — Dividend — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Buy (add'l)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Dividend — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Charlotte Fds (BNDX) — Dividend — Sold
Vanguard Intl Equity Index (VWO) — Dividend — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Account #3 (H)
Western Asset Instl Govt (INGXX) (cash) (X) — Interest
IShares Gold Tr (IAU) — None — Buy (add'l)
IShares Gold Tr (IAU) — Sold (part)
IShares Tr Latin Amer 40 ETF (ILF) — Dividend — Buy
IShares Tr Latin Amer 40 ETF (ILF) — Buy (add'l)
IShares Tr Russell 1000 Value ETF (IWD) — Dividend — Sold (part)
IShares Tr Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares Tr Russell 1000 Value ETF (IWD) — Buy (add'l)
IShares Tr Russell 1000 Value ETF (IWD) — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Dividend — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Sold (part)
IShares Tr Russell 1000 Growth ETF (IWF) — Buy (add'l)
Ishares Tr Russell 2000 ETF (IWM) — Dividend
IShares Tr Core S&P Small-Cap ETF (IJR) — Dividend — Buy
IShares Tr Core S&P Small-Cap ETF (IJR) — Sold (part)
IShares Tr Core S&P Small-Cap ETF (IJR) — Sold (part)
IShares Tr MSCI All Country Asia (AAXJ) — None — Buy (add'l)
IShares Tr MSCI All Country Asia (AAXJ) — Sold
IShares Tr JPMorgan Emerging Mkts (EMB) — Dividend — Sold (part)
IShares Trust MSCI Small Cap ETF (SCZ) — Dividend — Buy
IShares Tr Global REIT ETF (REET) — Dividend — Buy
IShares Tr Mtg Real Estate ETF (REM) — Dividend — Buy
Pimco ETF Tr Enhanced Short Mat (MINT) — Dividend — Sold
Pimco ETF Tr Enhanced Short Mat (MINT) — Buy
Pimco ETF Tr Enhanced Short Mat (MINT) — Sold (part)
SPDR Ser Tr Bloom Barc Hi Yield Bd ETF (JNK) — Dividend — Buy
SPDR Ser Tr Bloom Barc Hi Yield Bd ETF (JNK) — Sold (part)
Vanguard Spec Fds Dividend Appreciation (VIG) — Dividend — Buy
Vanguard Spec Fds Dividend Appreciation (VIG) — Buy (add'l)
Vanguard Bd Index Fds (BND) — Dividend — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Buy (add'l)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Bd Index Fds (BND) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Dividend — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Sold (part)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Intl Fd FTSE Developed Mkts (VEA) — Buy (add'l)
Vanguard Charlotte Fds (BNDX) — Dividend — Sold
Vanguard Intl Equity Index (VWO) — Dividend — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Vanguard Intl Equity Index (VWO) — Buy (add'l)
Board Member, Havens Relief Fund Society
Trustee, Trust #1 (no reportable assets)
Board Member, Havens Relief Fund Society
Trustee, Trust #1 (no reportable assets)
Part VII, . Employees Stock Ownership Plan: The investments of this ESOP, which was established in 2009, are not participant-directed.
The information reported is the most recent available information, which is as of 12/31/2016.
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.

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/33880. Public record. Not legal advice.