Rom A. Trader

What was filed

103
investments
0
positions
0
gifts
1
agreements
0
debts
0
reimbursements
1
income
0
spouse income

Named parties

State of Hawaii (pension)

As filed

INDIVIDUAL ASSETS (H)

AMERICAN SAVINGS BANK OF HAWAII (cash) — Interest

HAWAII STATE FEDERAL CREDIT UNION (cash) — Interest

ACCOUNT #1 (H)

BANK OF AMERICA NA RASP (CASH) (Y)

ALPHABET INC SHS CL C (GOOG) — None

AMAZON COM INC (AMZN) — None — Buy

AMAZON COM INC (AMZN) — Buy (add'l)

APPLE INC (APPL) — Dividend — Buy

MICROSOFT CORP (MSFT) — Dividend — Buy

COLUMBIA THERMOSTAT FUND (COTZX) — Dividend — Buy

DOUBLELINE SHILLER ENH CAPE FD I (DSEEX) — Dividend — Buy (add'l)

DOUBLELINE SHILLER ENH CAPE FD I (DSEEX) — Sold

JANUS HENDERSON ENTERPRISE FUND I (JMGRX) — Dividend — Buy (add'l)

INVESCO OPPENHEIMER DEVELOPING MRKT FD CL Y (ODVYX) — None — Buy

INVESCO OPPENHEIMER DEVELOPING MRKT FD CL Y (ODVYX) — Sold

MORGAN STANLEY GRWTH PORT CL I (MSEQX) — Dividend — Buy

PIMCO INVESTMENT GRADE (PBDPX) — Dividend — Buy (add'l)

PIMCO INCOME FD CL I2 (PONPX) — Dividend — Buy

PIMCO INCOME FD CL I2 (PONPX) — Sold

T ROWE PRICE DIVIDEND (PRDGX) — Dividend

T ROWE PRICE HLTH SCI FD INV CL (PRHSX) — Dividend

ACCOUNT #2 (H)

BANK OF AMERICA NA RASP (CASH) (Y)

ABBOTT LABS (ABT) — Dividend — Buy

AMAZON COM INC (AMZN) — None — Buy

APPLE INC (APPL) — Dividend — Buy

APPLE INC (APPL) — Buy (add'l)

CLOROX CO DEL COM (CLX) — Dividend — Buy

MICROSOFT CORP (MSFT) — Dividend — Buy

NVIDIA (NVDA) — Dividend — Buy

COHEN & STEERS REAL (CSDIX) — Dividend

FIRST EAGLE GLOBAL CL I (SGIIX) — None — Buy (add'l)

FIRST EAGLE GLOBAL CL I (SGIIX) — Sold

JANUS HEND BAL FUND I (JBALX) — Dividend

JANUS HEND ENT FUND (JMGRX) — Dividend — Sold

MORGAN STANLEY GRWTH PORT CL I (MSEQX) — Dividend — Buy (add'l)

PIMCO INVESTMENT GRADE (PBDPX) — Dividend — Buy (add'l)

PIMCO INCOME FD CL I2 (PONPX) — Dividend — Sold

T. ROWE PRICE COMM (PRMTX) — Dividend

ACCOUNT #3 (H)

AZL MVP T. ROWE PRICE CAPITAL APP PLUS — None

ACCOUNT #4 (H)

HONOLULU HAWAII CITY & CNTY SER A RF (438670X30) — Interest

ACCOUNT #5 (H)

BLKRK EQ DIV PORT A (MDDVX) (X) — None

BLKRK EQ DIV PORT C (MCDVX) — None — Sold

FRANKTEMP BALANCED C (FBMCX) — None — Buy (add'l)

FRANKTEMP BALANCED C (FBMCX) — Buy (add'l)

FRANKTEMP BALANCED C (FBMCX) — Sold (part)

FRANKTEMP BALANCED C (FBMCX) — Buy (add'l)

FRANKTEMP SM MID CAP GR A (X) — None

FRANKTEMP SM MID CAP GR C (FRSGX) — None — Buy (add'l)

FRANKTEMP SM MID CAP GR C (FRSGX) — Buy (add'l)

FRANKTEMP SM MID CAP GR C (FRSGX) — Sold (part)

FRANKTEMP SM MID CAP GR C (FRSGX) — Buy (add'l)

MAINSTAY LGCAP GRWTH A (MLAAX) (X) — None — Buy (add'l)

MAINSTAY LGCAP GRWTH C (MLACX) — None — Buy (add'l)

MAINSTAY LGCAP GRWTH C (MLACX) — Buy (add'l)

MFS EQUITY PORT C (MRGCX) — None — Buy (add'l)

MFS EQUITY PORT C (MRGCX) — Buy (add'l)

MFS EQUITY PORT C (MRGCX) — Sold (part)

MFS EQUITY PORT C (MRGCX) — Buy (add'l)

PRINCIPAL PLUS PORT A (X) — None — Sold

PRINCIPAL PLUS PORT C — None — Buy

PRINCIPAL PLUS PORT C — Sold

Agreement — 1997 — State of Hawaii Retirement Pension (defined benefit plan)

Income — 2020 — State of Hawaii (pension) — $124,383.42

Part VII, Account #3 is an Allianz Vision Bonus Variable Annuity. The underlying investment is listed in Part VII.

Part VII, Account #5 is a NextGen 529 Account. Underlying investments are listed in Part VII.

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.