Cathy L. Waldor

2020

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What was filed

684
investments
0
positions
0
gifts
0
agreements
0
debts
0
reimbursements
0
income
3
spouse income

Named parties

Rex Vinegar Company - self employed business executive

As filed

(H) Brokerage Account #1 (44)

Clearbridge Tactical Dividend Income Fund Cl C — Dividend

Gugenheim Small Cap Value Fund Cl C — None

Mainstay Epoch Global Equity Yield Cl C — Dividend — Sold

Franklin Templeton Income Fund Cl C — Dividend — Sold (part)

Thornburg Income Builder Cl C (X) — Dividend

Thornburg Income Builder Cl A (X) — Dividend

Vaneck Vectors High Yield Muni ETF — Dividend

(H) AIG Sun America Polaris Choice IV Variable Annuity (X)

SA VCP Dynamic Allocation Portfolio — None

SA VCP Dynamic Strategy Portfolio — None

Secure Value Account — None

(H) Brighthouse Life Ins Co Series L Variable Annuity (X)

American Funds Growth Portfolio — None

Baillie Gifford International Stock Portfolio — None

BH Small Cap Value Portfolio — None

Invesco Small Cap Growth Portfolio — None

JP Morgan Core Bond Portfolio — None

MetLife Stock Index Portfolio — None

MFS Value Portfolio B — None

PIMCO Total Return Portfolio B — None

T Rowe Price MId Cap Growth Portfolio B — None

VanEck Global Natural Resources B — None

Bernstein All Asset Strategy Fund C — Dividend

Janus Henderson Balanced Fund C — Dividend

JP Morgan Income Builder Class C (X) — Dividend — Sold (part)

JP Morgan Income Builder Class A (X) — None

Mainstay MacKay High Yield Muni Bond Fund Cl C (X) — Dividend

Principal Small Cap Dividend Income Fund C — Dividend — Sold (part)

Principal Small Cap Dividend Income Fund C — Sold

AIG Focused Dividend Strategy Fund C — Dividend — Sold (part)

Cohen & Steers Preferred Sec & Inc Fund Cl C (X) — None

Cohen & Steers Preferred Sec & Inc Fund Cl A (X) — Dividend

Mainstay Mackay Tax Free Bond Cl A (X) — Dividend

Nuveen Large Cap Core Fund Cl C — Dividend — Sold (part)

Principal Global Diversified Income Fund Cl C — Dividend — Sold (part)

Putman Multi-Cap Core Fd Cl C — Dividend

(H) Transamerica Life Insurance Co B- Share - Variable Annuity (X)

Fidelity - VIP Contrafund Portfolio — None

TA Janus Balanced — None

TA Managed Risk - Growth ETF — None

American Funds Growth Fund — None

American Funds Growth - Income Fund — None

Janus Henderson Enterprise Fund Cl C — Dividend

Units FT US EQ C/E Ser 26 — None — Redeemed

UBS Bank UT US 3.5% Mat 10/30/20 Fixed Rate CD — Interest — Matured

Goldman Sachs Access Treas 0-1 Year ETF — Dividend

Principal Blue Chip Fund Cl C — Dividend — Buy (add'l)

Principal Blue Chip Fund Cl C — Buy (add'l)

American Funds American Balanced Fd Cl C — Dividend

BNY Mellon Equity Income FD Cl C — Dividend

Allianz Artificial Intelligence & Technology — Dividend

Vanguard Growth ETF — None — Buy

AIG Focused Growth Fund Cl C — Dividend — Buy

FT - Franklin Dynatech C — None — Buy

JP Morgan Equity Income Fund Cl A — Dividend — Buy

UNTS FT Div Strength PRTFO Ser 47 — Dividend — Buy

UNTS FT Mega-Cap PRTFO Ser 58 — Dividend — Buy

Mainstay Income Builder Fund Cl C — Dividend — Buy

Nuveen Large Cap Value Fund Cl C (X) — Dividend — Buy

Nuveen Dividend Value Fund Cl C (X) — None

(H) Brokerage Account #2 (45)

iShares Trust Russell 2000 Index ETF — Dividend — Sold (part)

iShares Trust Core S&P Mid Cap ETF — Dividend — Sold (part)

iShares TIPS Bond ETF — Dividend

Vanguard Index Funds Vanguard Growth ETF — Dividend

Vanguard Total Stock Market ETF — Dividend

Vanguard Index Fund S&P 500 ETF — Dividend

Vanguard Divid Appreciation ETF — Dividend

Vanguard Mega Cap ETF — Dividend

Vaneck Vectors AMT-Free Short Municipal Index ETF — Dividend

Vaneck Vectors High Yield Municipal Index ETF — Dividend — Sold (part)

Vaneck Vectors High Yield Municipal Index ETF — Sold (part)

First Trust Dorsey Wright FO ETF — Dividend

Principal Small Mid Cap Div Inst — Dividend — Sold (part)

Principal Small Mid Cap Div Inst — Sold (part)

Principal Small Mid Cap Div Inst — Sold

First Trust Preferred Security & Inc ETF — Dividend

Vaneck Vectors AMT-Free Inter ETF — Dividend

Wisdomtree Trust Small Cap Dividend Fund ETF — Dividend — Sold

First Trust Morningstar Div Leader Index Fund — Dividend — Buy (add'l)

First Trust Value Line Divid Index Fund — Dividend

Goldman Sachs Active Beta US Large Cap Equity ETF — Dividend

iShares EDGE MSCI Min Vol USA ETF — Dividend

SPDR Nuveen S&P High Yield Municipal Bond ETF — Dividend

Vanguard Financials ETF — Dividend — Sold

Vanguard Health Care ETF — Dividend — Buy (add'l)

Vanguard Health Care ETF — Buy (add'l)

Vanguard Value ETF — Dividend — Buy (add'l)

First Trust Dow Jones Internet Index Fund ETF — None — Buy (add'l)

First Trust Dow Jones Internet Index Fund ETF — Buy (add'l)

First Trust SToxx European Select Divd Index Fund ETF — None — Sold

Wisdomtree Intl High Divid Fund ETF — None — Sold

Schwab US Mid-Cap ETF — None — Buy (add'l)

Schwab US Mid-Cap ETF — Sold

SPDR S&P Aerospace & Defense ETF — Dividend

Vanguard High Divid Yield ETF — Dividend — Buy (add'l)

Franklin Short Duration US Govt ETF — Dividend

Thornburg Limited Term Municipal Fund Cl I — Dividend — Buy (add'l)

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

iShares Core S&P Small-Cap ETF — Sold

iShares Core MSCI Emerging Markets ETF — None — Sold

Goldman Sachs Access TREAS 0-1 Year ETF — Dividend

First Trust NASDAQ Clean Edge Green Energy Index Fd ETF — Dividend — Buy

Vanguard Information Technology ETF — Dividend — Buy

Vanguard Information Technology ETF — Buy (add'l)

First Trust Enhanced Short Mat Fund ETF — Dividend — Buy

First Trust Enhanced Short Mat Fund ETF — Buy (add'l)

IQ Mackay Municipal Insd ETF — Dividend — Buy

IQ Mackay Municipal Insd ETF — Buy (add'l)

SPDR Gold Shares ETF — None — Buy

Wisdomtree US Midcap — Dividend — Buy

Wisdomtree US Midcap — Sold

Proshares Russell 2000 — Dividend — Buy

Proshares Russell 2000 — Sold (part)

Proshares Russell 2000 — Sold

(H) Brokerage Account #5 (51)

Principal MidCap Fund Class A — Dividend

Franklin Mutual Global Discover Fund Cl A — None — Sold (part)

Franklin Mutual Global Discover Fund Cl A — Sold

Franklin Templeton Income Cl A — Dividend

American Funds American Balanced Fund Cl R4 — Dividend

First Eagle Global Fund Cl A — Dividend

Thornburg Income Builder Cl C (X) — Dividend

Thornburg Income Builder Cl A (X) — Dividend

Goldman Sachs Income Builder Funds Cl IR — Dividend

iShares Edge MSCI Min Vol USA EFT — Dividend

Putnam Equity Income Fund Cl C — Dividend

UNTS FT HI DIV EQ PORT SER 42 — Dividend

First Trust Enhanced Short Mat Fund ETF — Dividend

Vanguard Growth ETF — Dividend — Buy

FT Franklin Dynatech A — None — Buy

FT Franklin Rising Dividends A — Dividend — Buy

(H) Brokerage Account #6 (52)

iShares Russell MidCap ETF — Dividend — Buy (add'l)

SPDR S&P 500 ETF TR — Dividend — Sold (part)

SPDR S&P 500 ETF TR — Buy (add'l)

John Hancock Disciplined Value Mid Cap Fund Cl A — Dividend — Buy (add'l)

Baird MidCap Fund Institutional Class — Dividend — Sold (part)

Chartwell Small Cap Value I Share — Dividend — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Dividend — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Sold (part)

Ashmore Emerging Markets Total Ret Fund Cl I — Dividend — Buy (add'l)

Ashmore Emerging Markets Total Ret Fund Cl I — Buy (add'l)

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

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

iShares CORE MSCI EAFE ETF — Sold (part)

iShares CORE MSCI Emerging Markets ETF — Dividend — Buy (add'l)

iShares CORE MSCI Emerging Markets ETF — Sold (part)

iShares Core S&P US Growth ETF — Dividend — Sold (part)

iShares Core S&P US Growth ETF — Sold (part)

Pear Tree Polaris Foreign Value Fund Instl — Dividend — Buy (add'l)

Pear Tree Polaris Foreign Value Fund Instl — Buy (add'l)

Pimco Investment Grade Corporate Bond Fund P — Dividend — Sold (part)

Pimco Investment Grade Corporate Bond Fund P — Buy (add'l)

AQR US Defensive Equity Fund Cl I — Dividend — Buy (add'l)

LSV Value Equity Fund CL NL — None — Buy (add'l)

LSV Value Equity Fund CL NL — Sold

iShares 20+ Year Treasury Bond ETF — Dividend — Sold (part)

iShares 20+ Year Treasury Bond ETF — Buy (add'l)

iShares 20+ Year Treasury Bond ETF — Sold (part)

iShares 20+ Year Treasury Bond ETF — Buy (add'l)

iShares JP Morgan USD Emerging Market Bond ETF — Dividend — Sold (part)

iShares JP Morgan USD Emerging Market Bond ETF — Buy (add'l)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Dividend — Buy (add'l)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Sold (part)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Sold

Lord Abbett High Yield Fund Cl F — Dividend — Buy (add'l)

Lord Abbett High Yield Fund Cl F — Buy (add'l)

Lord Abbett High Yield Fund Cl F — Sold (part)

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

Harding Loevner International Equity Fund — Dividend

Schwab US TIPS ETF — Dividend — Buy (add'l)

Vanguard Total World Stock ETF — Dividend — Buy

iShares US Treasury Bond ETF — Dividend — Buy

iShares US Treasury Bond ETF — Sold

iShares MSCI EAFE Small Cap ETF — Dividend — Buy

Vanguard Mid-Cap ETF — Dividend — Buy

Vanguard Mid-Cap ETF — Buy (add'l)

Vanguard Mid-Cap ETF — Sold (part)

Vanguard Russell 1000 Value ETF — Dividend — Buy

Vanguard Russell 1000 Value ETF — Buy (add'l)

Vanguard Russell 1000 Value ETF — Sold (part)

Vanguard Russell 2000 ETF — Dividend — Buy

GQG Partners Emerging Markets Equity Fd Cl Inst — Dividend — Buy

Invesco Optimum Yield — None — Buy

Invesco Optimum Yield — Sold

(H) IRA #1 (42)

First Eagle Global Fund Class C — Dividend

First Eagle Global Fund Class A — Dividend

Blackrock Equity Dividend Fund C (X) — Dividend

Blackrock Equity Dividend Fund A (X) — Dividend

Franklin Templeton Mutual Global Discovery Fund Cl A — None — Sold

Franklin Templeton Income C — Dividend

Franklin Templeton Income Fund Class A — Dividend

American Funds American Balanced Fund Cl C (X) — Dividend

American Funds American Balanced Fund Cl A (X) — Dividend

American Funds American Balanced F-1 — Dividend

UNTSFT HI DIV EQ PORT SER 42 REIN 10/21/21 — Dividend

Goldman Sachs Access Invt Grade Corp Bond ETF — Dividend

FT Franklin Dynatech A — None — Buy

(H) IRA #2 (43)

American Funds American Balanced F-1 — Dividend

UNITS FT HI DIV EQ PORT SER 42 — Dividend

First Trust Enhanced Short Mat Fund ETF — Dividend

(H) IRA #3 (13)

JP Morgan Income Builder Cl C (X) — Dividend

JP Morgan Income Builder Cl A (X) — Dividend

Janus Henderson Balanced Fund C — Dividend

(H) AXA Equitable Flexible Premium Variable Life Insurance #4

AXA Moderate Allocation Fund — None

Nationwide Life Insurance #2 (Whole Life) — None

(H) Cash Accounts #1

Santander Cash Accounts — Int./Div.

Wells Fargo Cash Accounts — Int./Div.

UBS Cash Accounts — Int./Div.

TD Bank Cash Account — Int./Div.

Real Estate - Rental Property - Verona, Essex County, NJ — Rent

(H) Brokerage Account #1 (44)

Clearbridge Tactical Dividend Income Fund Cl C — Dividend

Gugenheim Small Cap Value Fund Cl C — None

Mainstay Epoch Global Equity Yield Cl C — Dividend — Sold

Franklin Templeton Income Fund Cl C — Dividend — Sold (part)

Thornburg Income Builder Cl C (X) — Dividend

Thornburg Income Builder Cl A (X) — Dividend

Vaneck Vectors High Yield Muni ETF — Dividend

(H) AIG Sun America Polaris Choice IV Variable Annuity (X)

SA VCP Dynamic Allocation Portfolio — None

SA VCP Dynamic Strategy Portfolio — None

Secure Value Account — None

(H) Brighthouse Life Ins Co Series L Variable Annuity (X)

American Funds Growth Portfolio — None

Baillie Gifford International Stock Portfolio — None

BH Small Cap Value Portfolio — None

Invesco Small Cap Growth Portfolio — None

JP Morgan Core Bond Portfolio — None

MetLife Stock Index Portfolio — None

MFS Value Portfolio B — None

PIMCO Total Return Portfolio B — None

T Rowe Price MId Cap Growth Portfolio B — None

VanEck Global Natural Resources B — None

Bernstein All Asset Strategy Fund C — Dividend

Janus Henderson Balanced Fund C — Dividend

JP Morgan Income Builder Class C (X) — Dividend — Sold (part)

JP Morgan Income Builder Class A (X) — None

Mainstay MacKay High Yield Muni Bond Fund Cl C (X) — Dividend

Principal Small Cap Dividend Income Fund C — Dividend — Sold (part)

Principal Small Cap Dividend Income Fund C — Sold

AIG Focused Dividend Strategy Fund C — Dividend — Sold (part)

Cohen & Steers Preferred Sec & Inc Fund Cl C (X) — None

Cohen & Steers Preferred Sec & Inc Fund Cl A (X) — Dividend

Mainstay Mackay Tax Free Bond Cl A (X) — Dividend

Nuveen Large Cap Core Fund Cl C — Dividend — Sold (part)

Principal Global Diversified Income Fund Cl C — Dividend — Sold (part)

Putman Multi-Cap Core Fd Cl C — Dividend

(H) Transamerica Life Insurance Co B- Share - Variable Annuity (X)

Fidelity - VIP Contrafund Portfolio — None

TA Janus Balanced — None

TA Managed Risk - Growth ETF — None

American Funds Growth Fund — None

American Funds Growth - Income Fund — None

Janus Henderson Enterprise Fund Cl C — Dividend

Units FT US EQ C/E Ser 26 — None — Redeemed

UBS Bank UT US 3.5% Mat 10/30/20 Fixed Rate CD — Interest — Matured

Goldman Sachs Access Treas 0-1 Year ETF — Dividend

Principal Blue Chip Fund Cl C — Dividend — Buy (add'l)

Principal Blue Chip Fund Cl C — Buy (add'l)

American Funds American Balanced Fd Cl C — Dividend

BNY Mellon Equity Income FD Cl C — Dividend

Allianz Artificial Intelligence & Technology — Dividend

Vanguard Growth ETF — None — Buy

AIG Focused Growth Fund Cl C — Dividend — Buy

FT - Franklin Dynatech C — None — Buy

JP Morgan Equity Income Fund Cl A — Dividend — Buy

UNTS FT Div Strength PRTFO Ser 47 — Dividend — Buy

UNTS FT Mega-Cap PRTFO Ser 58 — Dividend — Buy

Mainstay Income Builder Fund Cl C — Dividend — Buy

Nuveen Large Cap Value Fund Cl C (X) — Dividend — Buy

Nuveen Dividend Value Fund Cl C (X) — None

(H) Brokerage Account #2 (45)

iShares Trust Russell 2000 Index ETF — Dividend — Sold (part)

iShares Trust Core S&P Mid Cap ETF — Dividend — Sold (part)

iShares TIPS Bond ETF — Dividend

Vanguard Index Funds Vanguard Growth ETF — Dividend

Vanguard Total Stock Market ETF — Dividend

Vanguard Index Fund S&P 500 ETF — Dividend

Vanguard Divid Appreciation ETF — Dividend

Vanguard Mega Cap ETF — Dividend

Vaneck Vectors AMT-Free Short Municipal Index ETF — Dividend

Vaneck Vectors High Yield Municipal Index ETF — Dividend — Sold (part)

Vaneck Vectors High Yield Municipal Index ETF — Sold (part)

First Trust Dorsey Wright FO ETF — Dividend

Principal Small Mid Cap Div Inst — Dividend — Sold (part)

Principal Small Mid Cap Div Inst — Sold (part)

Principal Small Mid Cap Div Inst — Sold

First Trust Preferred Security & Inc ETF — Dividend

Vaneck Vectors AMT-Free Inter ETF — Dividend

Wisdomtree Trust Small Cap Dividend Fund ETF — Dividend — Sold

First Trust Morningstar Div Leader Index Fund — Dividend — Buy (add'l)

First Trust Value Line Divid Index Fund — Dividend

Goldman Sachs Active Beta US Large Cap Equity ETF — Dividend

iShares EDGE MSCI Min Vol USA ETF — Dividend

SPDR Nuveen S&P High Yield Municipal Bond ETF — Dividend

Vanguard Financials ETF — Dividend — Sold

Vanguard Health Care ETF — Dividend — Buy (add'l)

Vanguard Health Care ETF — Buy (add'l)

Vanguard Value ETF — Dividend — Buy (add'l)

First Trust Dow Jones Internet Index Fund ETF — None — Buy (add'l)

First Trust Dow Jones Internet Index Fund ETF — Buy (add'l)

First Trust SToxx European Select Divd Index Fund ETF — None — Sold

Wisdomtree Intl High Divid Fund ETF — None — Sold

Schwab US Mid-Cap ETF — None — Buy (add'l)

Schwab US Mid-Cap ETF — Sold

SPDR S&P Aerospace & Defense ETF — Dividend

Vanguard High Divid Yield ETF — Dividend — Buy (add'l)

Franklin Short Duration US Govt ETF — Dividend

Thornburg Limited Term Municipal Fund Cl I — Dividend — Buy (add'l)

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

iShares Core S&P Small-Cap ETF — Sold

iShares Core MSCI Emerging Markets ETF — None — Sold

Goldman Sachs Access TREAS 0-1 Year ETF — Dividend

First Trust NASDAQ Clean Edge Green Energy Index Fd ETF — Dividend — Buy

Vanguard Information Technology ETF — Dividend — Buy

Vanguard Information Technology ETF — Buy (add'l)

First Trust Enhanced Short Mat Fund ETF — Dividend — Buy

First Trust Enhanced Short Mat Fund ETF — Buy (add'l)

IQ Mackay Municipal Insd ETF — Dividend — Buy

IQ Mackay Municipal Insd ETF — Buy (add'l)

SPDR Gold Shares ETF — None — Buy

Wisdomtree US Midcap — Dividend — Buy

Wisdomtree US Midcap — Sold

Proshares Russell 2000 — Dividend — Buy

Proshares Russell 2000 — Sold (part)

Proshares Russell 2000 — Sold

(H) Brokerage Account #5 (51)

Principal MidCap Fund Class A — Dividend

Franklin Mutual Global Discover Fund Cl A — None — Sold (part)

Franklin Mutual Global Discover Fund Cl A — Sold

Franklin Templeton Income Cl A — Dividend

American Funds American Balanced Fund Cl R4 — Dividend

First Eagle Global Fund Cl A — Dividend

Thornburg Income Builder Cl C (X) — Dividend

Thornburg Income Builder Cl A (X) — Dividend

Goldman Sachs Income Builder Funds Cl IR — Dividend

iShares Edge MSCI Min Vol USA EFT — Dividend

Putnam Equity Income Fund Cl C — Dividend

UNTS FT HI DIV EQ PORT SER 42 — Dividend

First Trust Enhanced Short Mat Fund ETF — Dividend

Vanguard Growth ETF — Dividend — Buy

FT Franklin Dynatech A — None — Buy

FT Franklin Rising Dividends A — Dividend — Buy

(H) Brokerage Account #6 (52)

iShares Russell MidCap ETF — Dividend — Buy (add'l)

SPDR S&P 500 ETF TR — Dividend — Sold (part)

SPDR S&P 500 ETF TR — Buy (add'l)

John Hancock Disciplined Value Mid Cap Fund Cl A — Dividend — Buy (add'l)

Baird MidCap Fund Institutional Class — Dividend — Sold (part)

Chartwell Small Cap Value I Share — Dividend — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Dividend — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Sold (part)

Ashmore Emerging Markets Total Ret Fund Cl I — Dividend — Buy (add'l)

Ashmore Emerging Markets Total Ret Fund Cl I — Buy (add'l)

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

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

iShares CORE MSCI EAFE ETF — Sold (part)

iShares CORE MSCI Emerging Markets ETF — Dividend — Buy (add'l)

iShares CORE MSCI Emerging Markets ETF — Sold (part)

iShares Core S&P US Growth ETF — Dividend — Sold (part)

iShares Core S&P US Growth ETF — Sold (part)

Pear Tree Polaris Foreign Value Fund Instl — Dividend — Buy (add'l)

Pear Tree Polaris Foreign Value Fund Instl — Buy (add'l)

Pimco Investment Grade Corporate Bond Fund P — Dividend — Sold (part)

Pimco Investment Grade Corporate Bond Fund P — Buy (add'l)

AQR US Defensive Equity Fund Cl I — Dividend — Buy (add'l)

LSV Value Equity Fund CL NL — None — Buy (add'l)

LSV Value Equity Fund CL NL — Sold

iShares 20+ Year Treasury Bond ETF — Dividend — Sold (part)

iShares 20+ Year Treasury Bond ETF — Buy (add'l)

iShares 20+ Year Treasury Bond ETF — Sold (part)

iShares 20+ Year Treasury Bond ETF — Buy (add'l)

iShares JP Morgan USD Emerging Market Bond ETF — Dividend — Sold (part)

iShares JP Morgan USD Emerging Market Bond ETF — Buy (add'l)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Dividend — Buy (add'l)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Sold (part)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Sold

Lord Abbett High Yield Fund Cl F — Dividend — Buy (add'l)

Lord Abbett High Yield Fund Cl F — Buy (add'l)

Lord Abbett High Yield Fund Cl F — Sold (part)

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

Harding Loevner International Equity Fund — Dividend

Schwab US TIPS ETF — Dividend — Buy (add'l)

Vanguard Total World Stock ETF — Dividend — Buy

iShares US Treasury Bond ETF — Dividend — Buy

iShares US Treasury Bond ETF — Sold

iShares MSCI EAFE Small Cap ETF — Dividend — Buy

Vanguard Mid-Cap ETF — Dividend — Buy

Vanguard Mid-Cap ETF — Buy (add'l)

Vanguard Mid-Cap ETF — Sold (part)

Vanguard Russell 1000 Value ETF — Dividend — Buy

Vanguard Russell 1000 Value ETF — Buy (add'l)

Vanguard Russell 1000 Value ETF — Sold (part)

Vanguard Russell 2000 ETF — Dividend — Buy

GQG Partners Emerging Markets Equity Fd Cl Inst — Dividend — Buy

Invesco Optimum Yield — None — Buy

Invesco Optimum Yield — Sold

(H) IRA #1 (42)

First Eagle Global Fund Class C — Dividend

First Eagle Global Fund Class A — Dividend

Blackrock Equity Dividend Fund C (X) — Dividend

Blackrock Equity Dividend Fund A (X) — Dividend

Franklin Templeton Mutual Global Discovery Fund Cl A — None — Sold

Franklin Templeton Income C — Dividend

Franklin Templeton Income Fund Class A — Dividend

American Funds American Balanced Fund Cl C (X) — Dividend

American Funds American Balanced Fund Cl A (X) — Dividend

American Funds American Balanced F-1 — Dividend

UNTSFT HI DIV EQ PORT SER 42 REIN 10/21/21 — Dividend

Goldman Sachs Access Invt Grade Corp Bond ETF — Dividend

FT Franklin Dynatech A — None — Buy

(H) IRA #2 (43)

American Funds American Balanced F-1 — Dividend

UNITS FT HI DIV EQ PORT SER 42 — Dividend

First Trust Enhanced Short Mat Fund ETF — Dividend

(H) IRA #3 (13)

JP Morgan Income Builder Cl C (X) — Dividend

JP Morgan Income Builder Cl A (X) — Dividend

Janus Henderson Balanced Fund C — Dividend

(H) AXA Equitable Flexible Premium Variable Life Insurance #4

AXA Moderate Allocation Fund — None

Nationwide Life Insurance #2 (Whole Life) — None

(H) Cash Accounts #1

Santander Cash Accounts — Int./Div.

Wells Fargo Cash Accounts — Int./Div.

UBS Cash Accounts — Int./Div.

TD Bank Cash Account — Int./Div.

Real Estate - Rental Property - Verona, Essex County, NJ — Rent

(H) Brokerage Account #1 (44)

Clearbridge Tactical Dividend Income Fund Cl C — Dividend

Gugenheim Small Cap Value Fund Cl C — None

Mainstay Epoch Global Equity Yield Cl C — Dividend — Sold

Franklin Templeton Income Fund Cl C — Dividend — Sold (part)

Thornburg Income Builder Cl C (X) — Dividend

Thornburg Income Builder Cl A (X) — Dividend

Vaneck Vectors High Yield Muni ETF — Dividend

(H) AIG Sun America Polaris Choice IV Variable Annuity (X)

SA VCP Dynamic Allocation Portfolio — None

SA VCP Dynamic Strategy Portfolio — None

Secure Value Account — None

(H) Brighthouse Life Ins Co Series L Variable Annuity (X)

American Funds Growth Portfolio — None

Baillie Gifford International Stock Portfolio — None

BH Small Cap Value Portfolio — None

Invesco Small Cap Growth Portfolio — None

JP Morgan Core Bond Portfolio — None

MetLife Stock Index Portfolio — None

MFS Value Portfolio B — None

PIMCO Total Return Portfolio B — None

T Rowe Price MId Cap Growth Portfolio B — None

VanEck Global Natural Resources B — None

Bernstein All Asset Strategy Fund C — Dividend

Janus Henderson Balanced Fund C — Dividend

JP Morgan Income Builder Class C (X) — Dividend — Sold (part)

JP Morgan Income Builder Class A (X) — None

Mainstay MacKay High Yield Muni Bond Fund Cl C (X) — Dividend

Principal Small Cap Dividend Income Fund C — Dividend — Sold (part)

Principal Small Cap Dividend Income Fund C — Sold

AIG Focused Dividend Strategy Fund C — Dividend — Sold (part)

Cohen & Steers Preferred Sec & Inc Fund Cl C (X) — None

Cohen & Steers Preferred Sec & Inc Fund Cl A (X) — Dividend

Mainstay Mackay Tax Free Bond Cl A (X) — Dividend

Nuveen Large Cap Core Fund Cl C — Dividend — Sold (part)

Principal Global Diversified Income Fund Cl C — Dividend — Sold (part)

Putman Multi-Cap Core Fd Cl C — Dividend

(H) Transamerica Life Insurance Co B- Share - Variable Annuity (X)

Fidelity - VIP Contrafund Portfolio — None

TA Janus Balanced — None

TA Managed Risk - Growth ETF — None

American Funds Growth Fund — None

American Funds Growth - Income Fund — None

Janus Henderson Enterprise Fund Cl C — Dividend

Units FT US EQ C/E Ser 26 — None — Redeemed

UBS Bank UT US 3.5% Mat 10/30/20 Fixed Rate CD — Interest — Matured

Goldman Sachs Access Treas 0-1 Year ETF — Dividend

Principal Blue Chip Fund Cl C — Dividend — Buy (add'l)

Principal Blue Chip Fund Cl C — Buy (add'l)

American Funds American Balanced Fd Cl C — Dividend

BNY Mellon Equity Income FD Cl C — Dividend

Allianz Artificial Intelligence & Technology — Dividend

Vanguard Growth ETF — None — Buy

AIG Focused Growth Fund Cl C — Dividend — Buy

FT - Franklin Dynatech C — None — Buy

JP Morgan Equity Income Fund Cl A — Dividend — Buy

UNTS FT Div Strength PRTFO Ser 47 — Dividend — Buy

UNTS FT Mega-Cap PRTFO Ser 58 — Dividend — Buy

Mainstay Income Builder Fund Cl C — Dividend — Buy

Nuveen Large Cap Value Fund Cl C (X) — Dividend — Buy

Nuveen Dividend Value Fund Cl C (X) — None

(H) Brokerage Account #2 (45)

iShares Trust Russell 2000 Index ETF — Dividend — Sold (part)

iShares Trust Core S&P Mid Cap ETF — Dividend — Sold (part)

iShares TIPS Bond ETF — Dividend

Vanguard Index Funds Vanguard Growth ETF — Dividend

Vanguard Total Stock Market ETF — Dividend

Vanguard Index Fund S&P 500 ETF — Dividend

Vanguard Divid Appreciation ETF — Dividend

Vanguard Mega Cap ETF — Dividend

Vaneck Vectors AMT-Free Short Municipal Index ETF — Dividend

Vaneck Vectors High Yield Municipal Index ETF — Dividend — Sold (part)

Vaneck Vectors High Yield Municipal Index ETF — Sold (part)

First Trust Dorsey Wright FO ETF — Dividend

Principal Small Mid Cap Div Inst — Dividend — Sold (part)

Principal Small Mid Cap Div Inst — Sold (part)

Principal Small Mid Cap Div Inst — Sold

First Trust Preferred Security & Inc ETF — Dividend

Vaneck Vectors AMT-Free Inter ETF — Dividend

Wisdomtree Trust Small Cap Dividend Fund ETF — Dividend — Sold

First Trust Morningstar Div Leader Index Fund — Dividend — Buy (add'l)

First Trust Value Line Divid Index Fund — Dividend

Goldman Sachs Active Beta US Large Cap Equity ETF — Dividend

iShares EDGE MSCI Min Vol USA ETF — Dividend

SPDR Nuveen S&P High Yield Municipal Bond ETF — Dividend

Vanguard Financials ETF — Dividend — Sold

Vanguard Health Care ETF — Dividend — Buy (add'l)

Vanguard Health Care ETF — Buy (add'l)

Vanguard Value ETF — Dividend — Buy (add'l)

First Trust Dow Jones Internet Index Fund ETF — None — Buy (add'l)

First Trust Dow Jones Internet Index Fund ETF — Buy (add'l)

First Trust SToxx European Select Divd Index Fund ETF — None — Sold

Wisdomtree Intl High Divid Fund ETF — None — Sold

Schwab US Mid-Cap ETF — None — Buy (add'l)

Schwab US Mid-Cap ETF — Sold

SPDR S&P Aerospace & Defense ETF — Dividend

Vanguard High Divid Yield ETF — Dividend — Buy (add'l)

Franklin Short Duration US Govt ETF — Dividend

Thornburg Limited Term Municipal Fund Cl I — Dividend — Buy (add'l)

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

iShares Core S&P Small-Cap ETF — Sold

iShares Core MSCI Emerging Markets ETF — None — Sold

Goldman Sachs Access TREAS 0-1 Year ETF — Dividend

First Trust NASDAQ Clean Edge Green Energy Index Fd ETF — Dividend — Buy

Vanguard Information Technology ETF — Dividend — Buy

Vanguard Information Technology ETF — Buy (add'l)

First Trust Enhanced Short Mat Fund ETF — Dividend — Buy

First Trust Enhanced Short Mat Fund ETF — Buy (add'l)

IQ Mackay Municipal Insd ETF — Dividend — Buy

IQ Mackay Municipal Insd ETF — Buy (add'l)

SPDR Gold Shares ETF — None — Buy

Wisdomtree US Midcap — Dividend — Buy

Wisdomtree US Midcap — Sold

Proshares Russell 2000 — Dividend — Buy

Proshares Russell 2000 — Sold (part)

Proshares Russell 2000 — Sold

(H) Brokerage Account #5 (51)

Principal MidCap Fund Class A — Dividend

Franklin Mutual Global Discover Fund Cl A — None — Sold (part)

Franklin Mutual Global Discover Fund Cl A — Sold

Franklin Templeton Income Cl A — Dividend

American Funds American Balanced Fund Cl R4 — Dividend

First Eagle Global Fund Cl A — Dividend

Thornburg Income Builder Cl C (X) — Dividend

Thornburg Income Builder Cl A (X) — Dividend

Goldman Sachs Income Builder Funds Cl IR — Dividend

iShares Edge MSCI Min Vol USA EFT — Dividend

Putnam Equity Income Fund Cl C — Dividend

UNTS FT HI DIV EQ PORT SER 42 — Dividend

First Trust Enhanced Short Mat Fund ETF — Dividend

Vanguard Growth ETF — Dividend — Buy

FT Franklin Dynatech A — None — Buy

FT Franklin Rising Dividends A — Dividend — Buy

(H) Brokerage Account #6 (52)

iShares Russell MidCap ETF — Dividend — Buy (add'l)

SPDR S&P 500 ETF TR — Dividend — Sold (part)

SPDR S&P 500 ETF TR — Buy (add'l)

John Hancock Disciplined Value Mid Cap Fund Cl A — Dividend — Buy (add'l)

Baird MidCap Fund Institutional Class — Dividend — Sold (part)

Chartwell Small Cap Value I Share — Dividend — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Dividend — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Buy (add'l)

iShares IBOXX $ Invt Grade Corporate Bond ETF — Sold (part)

Ashmore Emerging Markets Total Ret Fund Cl I — Dividend — Buy (add'l)

Ashmore Emerging Markets Total Ret Fund Cl I — Buy (add'l)

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

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

iShares CORE MSCI EAFE ETF — Sold (part)

iShares CORE MSCI Emerging Markets ETF — Dividend — Buy (add'l)

iShares CORE MSCI Emerging Markets ETF — Sold (part)

iShares Core S&P US Growth ETF — Dividend — Sold (part)

iShares Core S&P US Growth ETF — Sold (part)

Pear Tree Polaris Foreign Value Fund Instl — Dividend — Buy (add'l)

Pear Tree Polaris Foreign Value Fund Instl — Buy (add'l)

Pimco Investment Grade Corporate Bond Fund P — Dividend — Sold (part)

Pimco Investment Grade Corporate Bond Fund P — Buy (add'l)

AQR US Defensive Equity Fund Cl I — Dividend — Buy (add'l)

LSV Value Equity Fund CL NL — None — Buy (add'l)

LSV Value Equity Fund CL NL — Sold

iShares 20+ Year Treasury Bond ETF — Dividend — Sold (part)

iShares 20+ Year Treasury Bond ETF — Buy (add'l)

iShares 20+ Year Treasury Bond ETF — Sold (part)

iShares 20+ Year Treasury Bond ETF — Buy (add'l)

iShares JP Morgan USD Emerging Market Bond ETF — Dividend — Sold (part)

iShares JP Morgan USD Emerging Market Bond ETF — Buy (add'l)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Dividend — Buy (add'l)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Sold (part)

PIMCO Enhanced Short Mat Active Ex- Traded FD — Sold

Lord Abbett High Yield Fund Cl F — Dividend — Buy (add'l)

Lord Abbett High Yield Fund Cl F — Buy (add'l)

Lord Abbett High Yield Fund Cl F — Sold (part)

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

Harding Loevner International Equity Fund — Dividend

Schwab US TIPS ETF — Dividend — Buy (add'l)

Vanguard Total World Stock ETF — Dividend — Buy

iShares US Treasury Bond ETF — Dividend — Buy

iShares US Treasury Bond ETF — Sold

iShares MSCI EAFE Small Cap ETF — Dividend — Buy

Vanguard Mid-Cap ETF — Dividend — Buy

Vanguard Mid-Cap ETF — Buy (add'l)

Vanguard Mid-Cap ETF — Sold (part)

Vanguard Russell 1000 Value ETF — Dividend — Buy

Vanguard Russell 1000 Value ETF — Buy (add'l)

Vanguard Russell 1000 Value ETF — Sold (part)

Vanguard Russell 2000 ETF — Dividend — Buy

GQG Partners Emerging Markets Equity Fd Cl Inst — Dividend — Buy

Invesco Optimum Yield — None — Buy

Invesco Optimum Yield — Sold

(H) IRA #1 (42)

First Eagle Global Fund Class C — Dividend

First Eagle Global Fund Class A — Dividend

Blackrock Equity Dividend Fund C (X) — Dividend

Blackrock Equity Dividend Fund A (X) — Dividend

Franklin Templeton Mutual Global Discovery Fund Cl A — None — Sold

Franklin Templeton Income C — Dividend

Franklin Templeton Income Fund Class A — Dividend

American Funds American Balanced Fund Cl C (X) — Dividend

American Funds American Balanced Fund Cl A (X) — Dividend

American Funds American Balanced F-1 — Dividend

UNTSFT HI DIV EQ PORT SER 42 REIN 10/21/21 — Dividend

Goldman Sachs Access Invt Grade Corp Bond ETF — Dividend

FT Franklin Dynatech A — None — Buy

(H) IRA #2 (43)

American Funds American Balanced F-1 — Dividend

UNITS FT HI DIV EQ PORT SER 42 — Dividend

First Trust Enhanced Short Mat Fund ETF — Dividend

(H) IRA #3 (13)

JP Morgan Income Builder Cl C (X) — Dividend

JP Morgan Income Builder Cl A (X) — Dividend

Janus Henderson Balanced Fund C — Dividend

(H) AXA Equitable Flexible Premium Variable Life Insurance #4

AXA Moderate Allocation Fund — None

Nationwide Life Insurance #2 (Whole Life) — None

(H) Cash Accounts #1

Santander Cash Accounts — Int./Div.

Wells Fargo Cash Accounts — Int./Div.

UBS Cash Accounts — Int./Div.

TD Bank Cash Account — Int./Div.

Real Estate - Rental Property - Verona, Essex County, NJ — Rent

Spouse's income — 2020 — Rex Vinegar Company - self employed business executive

Lines 6-7 - On 10/13/20, 291.16 shares of Class C (Line 6) were exchanged to 290.86 shares of Class A (Line7).

Line 9 - This variable annuity does not show or report any dividends, income, or short-term or long-term capital gains on its statements. The value of each

investment in the annuity will increase or decrease in any year based upon the performance of each investment. No distributions were made from the annuity.

Line 13 - This variable annuity does not show or report any dividends, income, or short-term or long-term capital gains on its statements. The value of each

investment in the annuity will increase or decrease in any year based upon the performance of each investment. No distributions were made from the annuity.

Lines 26-27 - On 4/16/20, 621.12 shares of Class C (Line 26) were exchanged to 608.07 shares of Class A (Line 27). On 10/15/20, 1307.81 shares of Class C

(Line 26) were exchanged to 1304.08 shares of Class A (Line 27).

Line 28 - The name of this asset changed from Mainstay High Yield Muni Bond Fund Cl C to Mainstay Mackay High Yield Muni Bond Fund Cl C.

Lines 32-33 - On 9/16/20, 3525.572 shares of Class C (Line 32) were exchanged to 3502.908 shares of Class A (Line 33).

Line 34 - The name of this asset changed from Mainstay Funds Tax Free Bond Cl A to Mainstay Mackay Tax Free Bond Cl A.

Line 38 - This variable annuity does not show or report any dividends, income, or short-term or long-term capital gains on its statements. The value of each

investment in the annuity will increase or decrease in any year based upon the performance of each investment. No distributions were made from the annuity.

Lines 60-61 - On 12/9/20, 6472.509 shares of Nuveen Large Cap Value Fund Cl C (Line 60) were exchanged to 10411.19 shares of Nuveen Dividend Value Fund

Cl C (Line 61).

Lines 130-131 - On 10/13/20, 2260.028 shares of Class C (Line 130) were exchanged to 2257.703 shares of Class A (Line 131).

Lines 205-206 - On 01/09/20, 1545.399 shares of Class C (Line 205) were exchanged to 1475.660 shares of Class A (Line 206). On 12/09/20, 1982.534 shares of

Class C (Line 205) were exchanged to 1890.208 shares of Class A (Line 206).

Lines 210-211 - On 7/13/20, 1369.161shares of Class C (Line 210) were exchanged to 1359.468 shares of Class A (Line 211).

Lines 223-224 - On 10/15/20, 5854.877 shares of Class C (Line 223) were exchanged to 5838.165 shares of Class A (Line 224).

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.