# Theodore Alexander McKee

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/34101

## Record

- **Judge:** Theodore Alexander McKee
- **Year:** 2020
- **Pages:** 23

## Text

SAME — Buy
SAME — Closed
TRANSMEDICS (TMDX) — Dividend — Open
JOHNSON AND JOHNSON — Dividend
CISCO — Dividend
WASHINGTON MUTUAL FUND AWSHX — Dividend
FRANKLIN FLTG RATE FAFRX — Dividend
CALVERT INCOME FUND (CFICX) — Dividend
AMERICAN EURO PACIFIC (AEGFX) — Dividend
JOHN HANCOCK MUTUAL FUND (classic value - PZFVX) SEE SECTION VIII. — Dividend
DREYFUS FUND STRUCTRED MID CAP FD CL C (DPSCX) — Dividend
TOUCHSTONE FUNDS SS CORE (SEE EXPLANATION SEC VIII) — Dividend
TOUCHSTONE FUNDS SS MID CAP A — Dividend
MONEY MARKET ACCOUNT at PNC BANK (See Sec VIII) — Dividend
INTEL (INTC) — Dividend
AMERICAN EURO PACIFIC FUND (AEPGX) — Dividend
AMERICAN CENT MID CAP VALUE INV SHS (ACMVX) — Dividend
DELAWARE VALUE FUND DDVIX — Dividend
EATON VANCE FUND INSTITUTIONAL (EIGMX) — Dividend
ISHARES RUSSELL 2000 GROWTH ETF (IWO) — Dividend
MAINSTAY EPOCH GLOBAL EQUITY (EPSYX) — Dividend
OPPENHEIMER DEV MARKETS (ODVYX) — Dividend
OPENHEIMER INTL GROWTH DS Y (OIGYX) — Dividend — Closed
POWERSHARES FTS RAFI US 1000 ISIN (PRF) — Dividend
T. ROWE PRICE MID CAP GROWTH (RPMGX) — Dividend
T. ROW PRICE INTL DISCOVERY (PRIDX) — Dividend
AMERICAN CENTURY MID CAP VALUE INV SHS (ACMVX) — Dividend
ISHARES RUSSELL 1000 GROWTH ETF (IWF) — Dividend
ISHARES RUSSELL 2000 GROWTH (IWO) — Dividend
AMER CAPITAL GROWTH FUND (CWGIX) — Dividend
AMERICAN CENTRURY MID CAP VALUE INV SHS (ACMVX) — Dividend
ISHARESW MBS ETF ACTUAL PRICES (MBB) — Dividend
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
SAME — Buy (add'l)
ISHARES 20+ YR TREAS BON ETF TLT — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME
ISHARES INC CORE MSCI EMERGING MKTS (IEMG) — Dividend — Sold (part)
SAME — Sold (part)
SAME — Closed
AMERICAN WASHINGTON MUT INVESTORS FUND (AWSHX) — Dividend
FRANKLIN FLOATIG RATE DAILY ACCESS (FAFRX) — Dividend
ISHARES IBOXX $ INVT GRADE CORP BD (LQD) — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
ISHARES MSCI EAFE ACTUAL PRICES (EFA) — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
OPPENHEIMER INTL GROWTH FD OIGYX — Dividend
T. ROWE PRICE REAL ESTATE FUND TRREX — Dividend
EATON VANCE GLOBAL MACRO ABSLE TR CL I (EIGMX) — Dividend
PIMCO REAL RETURN FUND CL 12 PRLPX — Dividend
LORD ABBETT SHORT DURATION INCOME CL F — Dividend
AMAZON — Dividend
ISHARES EXPONENTIAL TECH (XT) — Dividend
ALIBABA (BABA) — Dividend — Sold (part)
AMERICAN TOWER (AMT) — Dividend
TELADOC (TDOC) — Dividend
GLOBAL X AUTONOM ELECTRIC ETF (DRIV) — Dividend — Buy
SAME — Buy (add'l)
SAME — Buy (add'l)
AI POWERED EQUITY ETF (AIEQ) — Dividend — Closed
Ishares us treas bond fonnd etf (GOVT) — Dividend — Sold (part)
SAME — Sold (part)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME 9 SEE SECTION VIII) — Closed
ISHARES CORE MSCI EMERG MARKETS ETF (IEMG) — Dividend — Sold (part)
SAME — Sold (part)
SAME — Closed
ISHARES EDGE MSCI USA QUALITY FACTOR ETF (QUAL) — Dividend — Sold (part)
SAME — Buy (add'l)
SAME — Closed
ISHARES EDGE MSCI MIN VOLATIITY ETF (USMV) — Dividend — Sold (part)
SAME — Closed
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
SAME — Buy (add'l)
ISHARES CORE S&P 500 ETF (IVV) — Dividend — Sold (part)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
SAME — Buy (add'l)
ISHARES S&P TOTAL US STOCK MKT ETF (ITOT) — Dividend — Closed
ISHARES US TREAS BOND ETF (GOVT) — Dividend
ISHARES US SHORT MTURITY BOND ETF (NEAR) — Dividend — Closed
INTENTIONALLY LEFT BLANK
PACER BENCHMARK DT AND INF FL EST ETF (SRVR) — Dividend
ALIBABA (BABA) — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
APPLE (AAPL) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
APOLLO MEDICAL HLDGS (AMEH) — None — Buy
SAME — None — Closed
APTIV PLC F (APTV) — None — Open
SAME — Buy (add'l)
ARK GENOMIC REVOLUTION ETF (ARKG) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
ARK INNOVATION ETF (ARKK) — Dividend — Open
ALLIANZ GL WATER FD A (AWTAX) — Dividend — Closed
ASTRAZENECA PLC SPONS A (AZN) — Dividend — Open
SAME — Closed
BECTON DICKINSON (BDX) — Dividend — Open
SAME — Sold (part)
AMPLIFY TRNSFRMTNL DATA (BLOK) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
BOTON TRUST WALDEN SMALL CAP (BOSOX) — Dividend — Open
SAME — Closed
GLOBAL X ROBOTICS ARTIFICIAL INTELLEG (BOTZ) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy
CARA THERAPEUTICS (CARA) — None — Open
SPDR S7P CLEAN POWER FUND (CNRG) — Dividend — Open
COSTCO CORP (COST) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy
SAME — Buy (add'l)
CRISPR THERAPEUTICS F (CRSP) — None — Open
SAME — Buy (add'l)
CROWDSTRIKE HLGS INC (CRWD) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
ISHARES ESG US AGGREGATE BOND FUND (EAGG) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
SAME — Closed
VANGUARD ESG US STOCK ETF (ESGV) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
GILEAD SCIENCES INC (GILD) — Dividend — Open
SAME — Closed
ETFMG PRIME CYBERSECURITY EGF (HACK) — Dividend — Open
SAME — Buy (add'l)
ROBO GLBL HEALTHCR TECH AND INOVATION (HTEC) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
ISHARES GOLD ETF (IAU) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
IDRIV — Dividend — Open
INFINERA CORP (INFN) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
INOVIO PHARMA (INO) — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
KENSINGTON CAPITAL ACQ CLASS (KCAC) (SEE SECTION VIII) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
GLOBAL X LITHIUM BATTERY TECH (LIT) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
LIVONGO HEATHCARE (LVGO) (SEE SECTION VIII) — None — Buy (add'l)
SAME — Closed
MATTHEWS CHINA DIVIDEND FUND INV (MCDFX) — Dividend — Open
SAME — Closed
MEDALLIA INC (MDLA) — None — Open
SAME — Buy (add'l)
SAME — Closed
MEDTRONIC PLC F (MDT) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Closed
MORGAN STANLEY INTL ADVANTAGE (MFAPX) — Dividend — Open
SAME — Closed
MFS MASS INV GROWTH STOCK A (MIGFX) — None — Open
SAME — Closed
MODERNA INC (MRNA) — Dividend — Open
MRNA — Closed
MICROSOFT (MSFT) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
CLOUDFARE (NET) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
NANO X IMAGING LTD F (NNOX) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
NOVOCURE LTD F (NVCR) — Dividend — Open
NOVOCURE LTD F (NVCR) — Buy (add'l)
PARNASSUS MID CAP FUND (PARMX) (SEE SECT VIII) — Dividend — Open
PARNASSUS MID CAP FUND (PARMX) (SEE SECT VIII) — Dividend — Closed
P.G. & E. CORP. ( PCG) — Dividend — Open
P.G. & E. CORP. ( PCG) — Buy (add'l)
INVESCO SMALLCAP INFORMATION FUND (PSCT) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
FT NAS CL ED ETF DV (QCLN) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
QUANTUMSCAPE CORP CLASS A (QS) (SEE SECT VIII) — Dividend — Open
QUANTUMSCAPE CORP CLASS A (QS) (SEE SECT VIII) — Sold (part)
STARBUCKS CORP (SBUX) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Closed
FIRST TRUST CLOUD COMPUTING ETF (SKYY) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
PACER BNCHMRK DT AND INFR RL (SRVR) — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
INVESCO SOLAR ETF (TAN) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
TELEDOC INC (TDOC) — Dividend
WORKHORSE GRP INC (WKHS) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
TECHNOLOGY SEECT SPECTOR SPDR (XLK) — Dividend — Open
SAME — Closed
ISHARES EXPONENTIAL TECHNOLOGY ETF (XT) — Dividend — Buy (add'l)
ZOOM VIDEO COMMUNICATIONS (ZM) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
SAME — Sold (part)
TIAA-CREF (SEE SEC VIII)
TRANSMEDICS (TMDX) — Dividend — Open
JOHNSON AND JOHNSON — Dividend
CISCO — Dividend
WASHINGTON MUTUAL FUND AWSHX — Dividend
FRANKLIN FLTG RATE FAFRX — Dividend
CALVERT INCOME FUND (CFICX) — Dividend
AMERICAN EURO PACIFIC (AEGFX) — Dividend
JOHN HANCOCK MUTUAL FUND (classic value - PZFVX) SEE SECTION VIII. — Dividend
DREYFUS FUND STRUCTRED MID CAP FD CL C (DPSCX) — Dividend
TOUCHSTONE FUNDS SS CORE (SEE EXPLANATION SEC VIII) — Dividend
TOUCHSTONE FUNDS SS MID CAP A — Dividend
MONEY MARKET ACCOUNT at PNC BANK (See Sec VIII) — Dividend
INTEL (INTC) — Dividend
AMERICAN EURO PACIFIC FUND (AEPGX) — Dividend
AMERICAN CENT MID CAP VALUE INV SHS (ACMVX) — Dividend
DELAWARE VALUE FUND DDVIX — Dividend
EATON VANCE FUND INSTITUTIONAL (EIGMX) — Dividend
ISHARES RUSSELL 2000 GROWTH ETF (IWO) — Dividend
MAINSTAY EPOCH GLOBAL EQUITY (EPSYX) — Dividend
OPPENHEIMER DEV MARKETS (ODVYX) — Dividend
OPENHEIMER INTL GROWTH DS Y (OIGYX) — Dividend — Closed
POWERSHARES FTS RAFI US 1000 ISIN (PRF) — Dividend
T. ROWE PRICE MID CAP GROWTH (RPMGX) — Dividend
T. ROW PRICE INTL DISCOVERY (PRIDX) — Dividend
AMERICAN CENTURY MID CAP VALUE INV SHS (ACMVX) — Dividend
ISHARES RUSSELL 1000 GROWTH ETF (IWF) — Dividend
ISHARES RUSSELL 2000 GROWTH (IWO) — Dividend
AMER CAPITAL GROWTH FUND (CWGIX) — Dividend
AMERICAN CENTRURY MID CAP VALUE INV SHS (ACMVX) — Dividend
ISHARESW MBS ETF ACTUAL PRICES (MBB) — Dividend
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
SAME — Buy (add'l)
ISHARES 20+ YR TREAS BON ETF TLT — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME
ISHARES INC CORE MSCI EMERGING MKTS (IEMG) — Dividend — Sold (part)
SAME — Sold (part)
SAME — Closed
AMERICAN WASHINGTON MUT INVESTORS FUND (AWSHX) — Dividend
FRANKLIN FLOATIG RATE DAILY ACCESS (FAFRX) — Dividend
ISHARES IBOXX $ INVT GRADE CORP BD (LQD) — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
ISHARES MSCI EAFE ACTUAL PRICES (EFA) — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Buy (add'l)
OPPENHEIMER INTL GROWTH FD OIGYX — Dividend
T. ROWE PRICE REAL ESTATE FUND TRREX — Dividend
EATON VANCE GLOBAL MACRO ABSLE TR CL I (EIGMX) — Dividend
PIMCO REAL RETURN FUND CL 12 PRLPX — Dividend
LORD ABBETT SHORT DURATION INCOME CL F — Dividend
AMAZON — Dividend
ISHARES EXPONENTIAL TECH (XT) — Dividend
ALIBABA (BABA) — Dividend — Sold (part)
AMERICAN TOWER (AMT) — Dividend
TELADOC (TDOC) — Dividend
GLOBAL X AUTONOM ELECTRIC ETF (DRIV) — Dividend — Buy
SAME — Buy (add'l)
SAME — Buy (add'l)
AI POWERED EQUITY ETF (AIEQ) — Dividend — Closed
Ishares us treas bond fonnd etf (GOVT) — Dividend — Sold (part)
SAME — Sold (part)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME 9 SEE SECTION VIII) — Closed
ISHARES CORE MSCI EMERG MARKETS ETF (IEMG) — Dividend — Sold (part)
SAME — Sold (part)
SAME — Closed
ISHARES EDGE MSCI USA QUALITY FACTOR ETF (QUAL) — Dividend — Sold (part)
SAME — Buy (add'l)
SAME — Closed
ISHARES EDGE MSCI MIN VOLATIITY ETF (USMV) — Dividend — Sold (part)
SAME — Closed
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
SAME — Buy (add'l)
ISHARES CORE S&P 500 ETF (IVV) — Dividend — Sold (part)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
SAME — Buy (add'l)
ISHARES S&P TOTAL US STOCK MKT ETF (ITOT) — Dividend — Closed
ISHARES US TREAS BOND ETF (GOVT) — Dividend
ISHARES US SHORT MTURITY BOND ETF (NEAR) — Dividend — Closed
INTENTIONALLY LEFT BLANK
PACER BENCHMARK DT AND INF FL EST ETF (SRVR) — Dividend
ALIBABA (BABA) — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
APPLE (AAPL) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
APOLLO MEDICAL HLDGS (AMEH) — None — Buy
SAME — None — Closed
APTIV PLC F (APTV) — None — Open
SAME — Buy (add'l)
ARK GENOMIC REVOLUTION ETF (ARKG) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
ARK INNOVATION ETF (ARKK) — Dividend — Open
ALLIANZ GL WATER FD A (AWTAX) — Dividend — Closed
ASTRAZENECA PLC SPONS A (AZN) — Dividend — Open
SAME — Closed
BECTON DICKINSON (BDX) — Dividend — Open
SAME — Sold (part)
AMPLIFY TRNSFRMTNL DATA (BLOK) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
BOTON TRUST WALDEN SMALL CAP (BOSOX) — Dividend — Open
SAME — Closed
GLOBAL X ROBOTICS ARTIFICIAL INTELLEG (BOTZ) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy
CARA THERAPEUTICS (CARA) — None — Open
SPDR S7P CLEAN POWER FUND (CNRG) — Dividend — Open
COSTCO CORP (COST) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
CRISPR THERAPEUTICS F (CRSP) — None — Open
SAME — Buy (add'l)
CROWDSTRIKE HLGS INC (CRWD) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
ISHARES ESG US AGGREGATE BOND FUND (EAGG) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
SAME — Closed
VANGUARD ESG US STOCK ETF (ESGV) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
GILEAD SCIENCES INC (GILD) — Dividend — Open
SAME — Closed
ETFMG PRIME CYBERSECURITY EGF (HACK) — Dividend — Open
SAME — Buy (add'l)
ROBO GLBL HEALTHCR TECH AND INOVATION (HTEC) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
ISHARES GOLD ETF (IAU) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
IDRIV — Dividend — Open
INFINERA CORP (INFN) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
INOVIO PHARMA (INO) — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
KENSINGTON CAPITAL ACQ CLASS (KCAC) (SEE SECTION VIII) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
GLOBAL X LITHIUM BATTERY TECH (LIT) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
LIVONGO HEATHCARE (LVGO) (SEE SECTION VIII) — None — Buy (add'l)
SAME — Closed
MATTHEWS CHINA DIVIDEND FUND INV (MCDFX) — Dividend — Open
SAME — Closed
MEDALLIA INC (MDLA) — None — Open
SAME — Buy (add'l)
SAME — Closed
MEDTRONIC PLC F (MDT) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Closed
MORGAN STANLEY INTL ADVANTAGE (MFAPX) — Dividend — Open
MFS MASS INV GROWTH STOCK A (MIGFX) — None — Open
SAME — Closed
MODERNA INC (MRNA) — Dividend — Open
MRNA — Closed
MICROSOFT (MSFT) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
CLOUDFARE (NET) — None — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
NANO X IMAGING LTD F (NNOX) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
NOVOCURE LTD F (NVCR) — Dividend — Open
NOVOCURE LTD F (NVCR) — Buy (add'l)
PARNASSUS MID CAP FUND (PARMX) (SEE SECT VIII) — Dividend — Open
PARNASSUS MID CAP FUND (PARMX) (SEE SECT VIII) — Dividend — Closed
P.G. & E. CORP. ( PCG) — Dividend — Open
P.G. & E. CORP. ( PCG) — Buy (add'l)
INVESCO SMALLCAP INFORMATION FUND (PSCT) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
FT NAS CL ED ETF DV (QCLN) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
QUANTUMSCAPE CORP CLASS A (QS) (SEE SECT VIII) — Dividend — Open
QUANTUMSCAPE CORP CLASS A (QS) (SEE SECT VIII) — Sold (part)
STARBUCKS CORP (SBUX) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Closed
FIRST TRUST CLOUD COMPUTING ETF (SKYY) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
PACER BNCHMRK DT AND INFR RL (SRVR) — Dividend — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
INVESCO SOLAR ETF (TAN) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
TELEDOC INC (TDOC) — Dividend
WORKHORSE GRP INC (WKHS) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
TECHNOLOGY SEECT SPECTOR SPDR (XLK) — Dividend — Open
SAME — Closed
ISHARES EXPONENTIAL TECHNOLOGY ETF (XT) — Dividend — Buy (add'l)
ZOOM VIDEO COMMUNICATIONS (ZM) — Dividend — Open
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Buy (add'l)
SAME — Sold (part)
SAME — Sold (part)
SAME — Sold (part)
TIAA-CREF (SEE SEC VIII)
GENERAL PARTNER, PUJKEE ASSOCIATES (see section viii for information)*
TRUSTEE, SYRACUSE UNIVERSITY
DIRECTOR, VERA INSTTUTE OF JUSTICE
BOARD OF VISITORS, TEMPLE UNIVERSITY COLLEGE OF LAW
BOARD OF VISITORS (honorary member), SYRACUSE UNIVERSITY COLLEGE OF LAW
GENERAL PARTNER, PUJKEE ASSOCIATES (see section viii for information)*
TRUSTEE, SYRACUSE UNIVERSITY
DIRECTOR, VERA INSTTUTE OF JUSTICE
BOARD OF VISITORS, TEMPLE UNIVERSITY COLLEGE OF LAW
BOARD OF VISITORS (honorary member), SYRACUSE UNIVERSITY COLLEGE OF LAW
Income — 2020 — ADMINISTRATIVE OFFICE OF THE PENNSYLVANIA COURTS — $12,000.00
Income — `
Income — 2020 — ADMINISTRATIVE OFFICE OF THE PENNSYLVANIA COURTS — $12,000.00
Income — `
Spouse's income — 2020 — Rental Property in New York
Spouse's income — 2020 — salary with employer. She is employed as a health care professional doing administrative work on the execuive level.
Spouse's income — 2020 — Rental Property in New York
Spouse's income — 2020 — salary with employer. She is employed as a health care professional doing administrative work on the execuive level.
2020

SECTION I - POSITIONS
I contiue to list Pujkee Assoc as explained in prior reports. However, the 4 unit residential dwelling that was the sole assest of that informal partnership was
sold in 2019. Thus, the partnership continues in name only.
SECTION VII LINE 7 - NOTE CORRECTED TICKER FOR JOHN HANCOCK CLASSIC VALUE CL A FUND (PZFVX)
SECTION VII LINE 9 - TOUCHSTONE FUNDS WERE PREVIOUSLY REPORTED AS SENTINEL FUNDS. I NOTED THE NAME CHANGE ON MY 2019
FDR.
SECTION VII LINE 171 - KENSINGTON CAPITQL ACQ WAS A SPAC THAT I PURCHASED IN ANTICIPATION OF IT LATER ACQUIRING
QUANTUM SPACE (QS) A DEVELOPER AND MANACTURER OF BATTERIES FOR EVS.
SECTION VII LINE 204 (PARNASSUS MID CAP FUND (PARMX) - IN PREPARING THIS YEAR'S REPORT, I DISCOVERED THAT THIS
INVESTMENT WAS INADVERTENTLY OMITTED FROM MY 2019 FDR. I AM REPORTING IT HERE WHICH IS WHY THE ENTRY FOR
PURCHASING THE OPENING POSITION IS LAST YEAR.
SECTION VII LINE 217 - QUANTUMSCAPE (QS): THIS COMPANY WAS CREATED FROM KENSINGTON CAPITAL ACQUISICTION - A SPAC - AS
LISTED HERE ON LINE 171. THE SOFTWARE DOES NOT ALLOW ME TO ENTER THE LINE NUMBER I N THE SPINOFF WINDOW THAT POPPED
UP WHEN I TRID TO ENTER "BUY" "SPINOFF" UNDER COLUMN D1. I AM THEREFORE REPORTING THIS AS AN ACQUISITION, "OPEN."
HOWEVER, NOTE THAT BECAUSE THIS COMPANY WAS CREATED USING A SPAC (KCAC), I AM NOT SURE THAT IT IS REALLY A SPINOFF
N THE TRADITIONAL SENSE. THE BROKERGE CATEGORIZES IT AS A "MERGER" I AM COMPLETING THE COLUMNS UNDER D3 AND D4 AS
THOUGH THERE WAS NO "GAIN"
SECTION VII LINE 179 (LVGO) - LIVONGO MERGED WITH TELEDOC (TDOC) ON NOVEMBVER 4/2020. WE ALREADY OWNED SHARES OF
TDOC AS REPORTED ON LINE 56. (ALSO LISTED ON LINE 254). I FOR THE 111/4 MERGER DATE I SIMPLY MARKED THE POSITOIN "CLOSED"
AS THE SOFTWARE DOES NOT ALLOW ME TO ENTER ANY DATA IN TO THE "MERGED WITH LINE" WINDOW THAT POPS UP. I ASSUME
THIS WILL BE FIXED FOR FUTURE VERSIONS OF THIS SOFTWARE.
SECTION VII LINE 258 TIAA-CREFF IN PAST YEARS I HAVE BEEN ABLE TO LIST THE INVESTMENTS HELD AT TIAA-CREFF. AS EXPLAINED,
THESE ACCOUNTS WERE NOT ACCOUNTS THAT WE EXERCISED ANY CONTROL OVER. RATHER, WE WOULD SIMPLY TELL OUR ACCT
REP THE LEVEL OF RISK AND OBJECTIVE AND TIAA-CREF THEN PUT TOGETHER A PORTFOLIO. WE WERE NOT THEREAFTER CONSULTED
ON ANY SPECIFIC TRADES OTHER THAN A PERIODIC (QUARTERLY) REVEIW OF OUR INVESTMENT/RETIREMENT OBJECTIVE.S. OUR
ACCT REP HAS SINCE LEFT TIAA-CREF TO FORM HIS OWN COMPANY AND THE ACCT REP WHO TOOK HIS PLACE HAS NOT BEEN EASY
TO REACH. ACCORDINGLY, I DO NOT NOW HAVE THAT INFORMATION. I HAVE REQUESTED IT AND WILL FILE AN AMENDED FDR ONCE I
HAVE THAT INFORMATION.
SECTION VII LINE 12- I HAVE DECLARED THE INSTITUTION WHERE OUR MONEY MARKET FUND IS HELD AS REQUESTED. I HAVE
PREVIOUSLY EXPRESSED CONCERN OVER ANY INTERPRETATION OF DISCLOSURE REQUIREMENTS THAT RESULTS IN DISCLOSURE
OF SPECIFIC INSTITUTIONS WHERE WE DO BANKING. THAT CONCERN HAS ONLY INCREASED. I CONTINUE TO APPRECIATE THE
IMPORTANCE OF DISCLOSING INFORMATION WHICHASSURES THE PUBLIC THAT OUR ACTIONS ARE IN NO WAY INFLUENCED BY
PERSONAL GAIN. CLEARL, DISCLOSING COMPANIES AND INSTITUTIONS THAT WE HAVE A FINANCIAL INTEREST IN IS CONSISTENT WTIH
THAT OBJECTIVE AND ADVANCES IT. HOWEVER, WHETHER WE HAVE ACCOUNTS AT A GIVEN INSTITUTION IN NO WAY ADVANCES
THAT LAUDABLE OBJECTIVE.
SECTION VII, LINE 75. THE LETTER OF JANUARY 11, 2O22 STATES THAT I "LISTED TEH SALE OR DISPOSITON OF [GOVT]" ON LINE 75
AND INCORRECTLY COMPLETED COLULMN C WHICH WAS NOT NECESSARY BECAUSE I DID NOT HOLD GOVT AT THE END OF THE
REPORTING YEAR. HOWEVER, THAT IS AN ERROR IN YOUR AUDIT. I DID NOT COMPLETE ANY COLUMN IN SECTION C FOR GOVT ON LINE
75. ACCORDINGLY, I HAVE NOT MADE ANY CHANGE TO LINE 75

SECTION VII, LINE 280 (TIAA-CREF) I AM ENTERING BELOW THE INVESTMENTS THAT WERE HELD AT ANYTIME IN OUR TIAA-CREFF
ACCOUNTS. AS I HAVE EXPLAINED, WE DO NOT EXERCISE ANY CONTROL OVER THOSE ACCOUNTS. RATHER, WE MEET ONCE OR TWICE
A YEAR WITH OUR CREFF ADVISOR AND CONFIRM INVETMENT OBJECTIVES AND RISK TOLERANCE. WE ARE NOT CONSULTED BEFORE
OR AFTER ANYTRADES ARE MADE AND WE ARE NOT INFORMED OF WHAT IS HELD IN THE ACCOUNT UNLESS WE MAKE A SPECIFIC
INQUIRY. NONE WAS MADE DURING 2020. THE SOFTWARE DOES NOT ALLOW ME TO PASTE THE INFORMATION INTO THIS REPORT AND
I WILL THEREFORE INDIVIDUALLY TYPE THE TICKER SUYMBOL AS OPPOSED TO THE FULL NAME OF THE ASSETS HELD IN TIAA DURING
2020:
TIAA TRADITOINAL
TIAA REAL ESTATE
CREF BOND MARKET R2
VANG TTL MKT IDX ADM
T-C LFCYCE IDX 2015 RTMT
VANGUARD TTL BD MKT IDX ADM
CREF STOCK R2
CREF GLOBAL EQUITIES R2
TIAA REAL ESTATE
CREF BOND MARKET R2
CREF STOCK R2
CREF MONEY MARKET R2
CREF LINF-LINKED BOND R2
PLEASE NOTE: THE TIAA CREF HOLDINGS ARE AND HELD IN A SAVINGS PLAN. AS OF NOVEMBER 24, 2020 TIAA CREF
TRANSFERRED ALMOST ALL OF PLAN WERE TRANSFERRED TO THE UNIVERSITY OF PENNSYLVANIA RETIREMENT SAVINGS PLAN.
IN ADDITION, I DO NOT HAVE ANY MORE INFORMATION FOR ANY OF THESE ASSETS. NOTE, HOWEVER, THAT THE COMBINED INCOME
FOR TIAA CREF/UNIV. OF PA. SAVINGS PLAN AT THE END OF 2020 WAS VALUE CODE "J."
I HOPE THIS IS SATISFACTORY TO THE COMMITTEE. AS I HAVE SAID NUMEROUS TIMES, WE DO NOT EXERCISE ANY CONTROL OVER
THE TIAA CREF/UNIV OF PA SAVINGS PLAN ACCOUNT. YOUR LETTER SUGGEST THAT THE COMMITTEE MAY NOW WANT ADDITONAL
INFORMATION FOR SOME OF THESE ASSETS, SUCH AS INDIVIDUAL STOCKS OR BONDS IN A PARTICULAR FUND. FRANKLY, I DO NOT
HAVE ANY WAY OF RETRIEVING THAT AND I DOUBT THAT OUR ACCOUNT REP HAS ANY WAY OF RETRIEVING IT. AS I AM SURE YOU
APPRECIATE, THE HOLDINGS IN THESE FUNDS IS NOT A CONSTANT. I WO0ULD HAVE TO CONTACT THE INDIVDUAL FUND FOR WHICH
YOU INDICATE YOU MAY WANT A BREAK DOWN OF HOLDINGS, AND TRY TO HAVE THE MANAGERS THERE ASCERTAIN WHAT ASSETS
WERE IN THE FUND AS OF CERTAIN DATES . I AM NOT THE LEAST BIT SURE I COULD GET THAT INFORMATION FROM THE FUNDS AND I
AM EVEN MORE CERTAIN THAT THE ACCOUNT MANAGER WHO HANDLES THE FEW ASSETS REMAINING AT TIAA CREF WOULD BE ABLE
TO OR BE WILLING TO. ACCORDINGLY, I AM HOPING THAT THIS SUBMISSION SATISFIES THE REPORTING REQUIREMENTS. FRANKLY,
THERE IS NOT MUCH MORE THAT I CAN DO TO COMPLY.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/34101. Public record. Not legal advice.