Daniel A. Guy jr

2017Annual

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Parts of this filing are redacted in the source. Gaps below are the filing's, not ours.

What was filed

  • 189

    investments

  • 1

    positions

  • 0

    gifts

  • 0

    agreements

  • 0

    debts

  • 0

    reimbursements

  • 0

    income

  • 0

    spouse income

Named parties

  • Cull-Simpson, Inc

As filed

Header-Ameritrade Joint Brokerage Acct

Amentrade Money Market Account — Interest

Amazon (Common) — None — Sold

Apache (Common) — Int/Div — Buy

Berkshire Hathaway (B-Common) — None — Buy (add'l)

Boeing (Common) — Int/Div — Buy

A Dorian LPG (Common) — None — Sold

Eaton (Common) — Int/Div — Buy

Google/Alphabet — None — Sold

HC2 Holdings (Common) — None — Sold

Ishares Biotech (ETF) — Int/Div

Kinder Morgan (Common) — Int/Div

Micron Technology (Common) — None

Monmouth Real Estate (REIT) — Distribution

Nordic American Tankers (Common) — Int/Div — Sold

Real Industry (Common) — None — Sold

Regeneron (Common) — None — Buy

Seritage (Common) — Int/Div — Buy

Slumberger (Common) — Int/Div — Sold

Southwest Airline (Common) — Int/Div — Buy

S&P Energy (ETF) — Int/Div — Buy (add'l)

S&P Health (E1¥) — Int/Div — Buy (add'l)

S&P Regional Banks (ETF) — Int/Div — Buy

Time Wamer (Common) — Int/Div — Sold

Teva (Common) — Int/Div — Sold

Third Point Remsurance (Common) — None — Sold

Vodaphone (Common) — Int/Div — Sold

VF Corp (Common) — Int/Div — Sold

Wisdom Tree Japan (ETF) — Int/Div — Buy

Burlington Northern (Corp Bond) — Interest

General Electric (Corp Bond) — Interest

Goldman Sachs (Corp Bond) — Interest

JP Morgan (Corp Bond) — Interest

Marsh & McClellan (Corp Bond) — Interest

Sysco (Corp Bond) — Interest

Wells Fargo (Corp Bond) — Interest

Amentrade Single Brokerage Acct. (Header) [

Ally Bank Jomt Money Market Account — Interest

Ally Bank Jomt 2-Year CD — Interest

Ally Joint Savings Account — Interest

Header-Inherited IRA (Baird & Co.) Account rollover to Schwab below

Baird Money Market/Cash — Interest — Closed

Abbvie (Common) — Int/Div — Sold

Akama (Common) — None — Sold

American Express (Common) — Int/Div — Sold

Apple (Common) — Int/Div — Sold

Chipotle (Common) — None — Sold

Devon Energy — Int/Div — Sold

Express Scripts (Common) — None — Sold

General Electric (Common) — Int/Div — Sold

Goldcorp (Common) — Int/Div — Sold

Harley Davidson (Common) — Int/Div — Sold

Halliburton (Common) — Int/Div — Sold

JP Morgan (Common) — Int/Div — Sold

Mead Johnson (Common) — Int/Div — Sold

Occidental (Common) — Int/Div — Sold

Oracle (Common) — Int/Div — Sold

Perrigo (Common) — Int/Div — Sold

Qualcomm (Common) — Int/Div — Sold

Sanofi (ADRs-Common ) — Int/Div — Sold

Transocean Limited (Common) — Int/Div — Sold

Umion Pacific (Common) — Int/Div — Sold

US Bankcorp (Common) — Int/Div — Sold

Anheuser Busch Note — Interest — Sold

Ford Motor Company: Bond due 8-1-18 — Interest — Sold

Hewlett Packard Note — Interest — Sold

JP Morgan (Corp Bond due 03/25/20) — Interest — Sold

JP Morgan Note — Interest — Sold

McDonald's Note — Interest — Sold

Oglethorpe Power (Corp. Bond due 03/1519) — Interest — Sold

Verizon Note — Interest — Sold

Header-Schwab Inherited IRA Account (was Baird) now managed by Almanac

Money market account — Interest — Sold (part)

ETF--20 Year Treasury (TMV) — Interest — Buy

ETF-<Gold (SGOL) — Int/Div — Buy

ETF--Emerging Market (IEMG) — Int/Div — Buy

ETF--Emerging Market (DVYE) — Int/Div — Buy

ETF--Emerging Market (EEM) — Int/Div — Buy

ETF-<India (INDA) — Int/Div — Buy

ETF--Treasuries (LTPZ) — Interest — Buy

ETF--Emerging Markets (SCHE) — Int/Div — Buy

ETF-«Common Stocks (SCHB) — Int/Div — Buy

ErF-Common Stocks (SCHD) — Int/Div — Buy

ETF--Small Caps (SCHA) — Int/Div — Buy

ETF--Financials (KBE) — Int/Div — Buy

ETF-Natural Resources (GNR) — Int/Div — Buy

ETF--Emerging Market Bonds (HYEM) — Interest — Buy

ETF--Bouds (EDV) — Interest — Buy

ETF--Bonds (VCLT) — Interest — Buy

ETF--Imternational/Euro { ELSC) — Int/Div — Buy

ETF--International/Euro (HEDJ) — Int/Div — Buy

ETF--Japan (DXJS) — Int/Div — Buy

ETrF--Master Limited Ptr (MLPA) — Int/Div — Buy

ETrF--Master Limited Ptr (MLPA) — Sold

ETF--Treasuries (TBT) — Interest — Buy

ETF--Treasuries (TBT) — Sold

Header-Charles Schwab Trust Account

Charles Schwab Money Market/Cash — Interest — (part)

Bank United CD due 1/29/18 — Interest — Buy

Aflac Inc. (Bond due 2/15/22) — Interest

AT&T Inc (Bond due 2/15/17) — Interest — Matured

Bank of America (Bond due 1/22/24) — Interest

EMC Corp (Bond due 6/1/20) — Interest

Florida Power (Bond due 8/15/21) — Interest

Ford Motor Co (Bond due 801/18) — Interest

HCP Inc (Bond due 11/1523) — Interest

IBM Inc (Bond due 2/8/18) — Interest

Ryder System Inc (Bond due 2/26/19) — Interest

Annaly Capital (Preferred) — Int/Div — Sold

Berkshire Hathaway {Common-B) — None

Exxon Mobil (Common) — Int/Div — Sold

Johnson & Johnson (Common) — Int/Div

Merck (Common) — Int/Div

Pfizer (Commom) — Int/Div

Roval Dutch Shell (Common) — Int/Div — Sold

ETF: IVV — Int/Div

ETF: GDX — None

ETF: XLE — Int/Div

ETF: XLM — Int/Div

ETF: XLK — Int/Div

ETF: GLD — None

ETF: VWO — Int/Div

ETF: VGK — Int/Div

ETF: VO — Int/Div

ETF: VNQ — Int/Div

ETF: VNOI — Int/Div — Buy

ETF: VTIP — Int/Div

ETF: VB — Int/Div

ETF: VXUS — Int/Div

ETF: VT — Int/Div

ETF: BSC) — Interest — Buy

ETF: XBI — Int/Div — Buy

Header-Charles Schwab Joint Brokerage Acct: Almanac

shares ETF: TIP — Interest — Sold

PIMCOETF:LTPZ — Interest

Proshares ETF: EUO — Int/Div — Sold

Proshares ETF: RWM — Int/Div — Sold

Proshares ETF: SDS — Int/Div — Sold

Select Sector ETF: XLP — Int/Div — Sold

Select Sector ETF: TLO — Interest — Sold

Select Sector E11: GNR — Int/Div

shares E1r: HEEM — Int/Div — Sold

shares ETF: HEW) — Int/Div — Sold

shares ETF: HYG — Int/Div — Sold

shares ETF: UH — Int/Div — Sold

Ishares E1r: EEM — Int/Div — Sold (part)

shares ETF: RING — Int/Div — Buy

shares ETF: RING — Sold

ETF: OIL — Int/Div — Buy

ETF: OIL — Sold

Ishares E1r: EMB — Int/Div — Sold

Ishares ETF: LQD — Int/Div — Sold

shares ETF: IAL — None — Sold

Powershares ETF: BKLN — Int/Div — Sold

Vaneck ETF: HYEM — Interest — Sold (part)

WisdomTree ETF: EUSC — Int/Div — Sold (part)

Wisdomtree ETF: HED) — Int/Div — Sold (part)

Direxon ETF: TMV — Interest — Buy

Schwab ETF: SCHE — Int/Div — Buy

Schwab ETF: SCHB — Int/Div — Buy

Schwab ETF: SCHA — Int/Div — Buy

Deutche ETF: DBAW — Int/Div — Buy

Wisdomtree ETF: DXJS — Int/Div — Buy

S&P ETF: KBE — Int/Div — Buy

Fidelity ETF: FENY — Int/Div — Buy

Vanguard ETF: EDV — Int/Div — Buy

Vanguard E1r: VCLT — Int/Div — Buy

ETFS ETF: SGOL — Int/Div — Buy

iShares ETF: IEMG — Int/Div — Buy

iShares ETF: PICK — Int/Div — Buy

iShares ETF: INDA — Int/Div — Buy

Navy Federal Credit Union Money Market Acct, — Interest

Header-Amenitrade IRA

Amazon (Common) — None

Apend (Common) — None — Buy

Bames & Noble (Common) — Int/Div — Buy

Peabody Energy (Common) — Int/Div — Buy

Peabody Energy (Common) — Sold

Occular (Common) — None — Buy

Occular (Common) — Sold

Panera (Common) — Int/Div — Sold

Amentratde Money Market — Interest

ING Variable Annuity (Growth Fund of America) — Int/Div

Header: Maryland College Investment Plan ]

Header: Maryland Prepaid College Trust A aI

Mass Mutual Universal Life Policy — Int/Div

Mass Mutual Universal Life Policy — Int/Div

Gill-Simpson, Inc. (Common) — None — Closed

MFS Growth Fund (Inherited IRA) — Distribution — Sold (part)

Director (Company operations wound up in Dec. 2017), Cull-Simpson, Inc

The following is a response to the Committee on Fmancial Disclosure letter dated December 7, 2018:

The second paragraph of the letter states that "In Part VII, lines 73, 116-120, 122-124, 127, 129 and 130, you listed various assets which were not in your prior

(2016 amended) report.” Tn fact, | reported these same assets on lines 63-64, lines 122-123, 125, and lines 127-137 of my 2016 amended report. The difference

is that in my original report for 2017, 1 dropped the practice of providing a generic description of each exchange traded fund (ETF) in Column A, Description of

Assets, and instead reported the asset as an ETF, followed by the ticker symbol, e.g, "ETF: IVV". ETF: IVV, reported on line 116 of my 2017 original report was

formerly reported on line 122 of my 2016 amended report as "iShares S&P Index".

As suggested in the third paragraph of the letter, 1 have reported "None™ in Column B{2) for the income associated with the each of the assets in question.

The fourth paragraph of the letter states that "In Part VII, lines 40-44, 46, 47, 49, 50, 53-57, 59, 122, 123, 125, 127-137, and 186-188, in your prior (2016

amended) report you listed various assets, but you did not list these assets in your current (2017) report.”

A. Lines 39-60, and [86-188 of my 2016 amended report identify assets owned by

in a brokerage account and college savings plans,

respectively. Because the

in 2017, as reported in the headers on lines 37 and 184-185 of my original 2017 report, 1 deleted those

assets from the report. 1 now understand that | was expected to have reported the assets with a (Y) in Column A. As | no longer [NN this

specific issue will not reoccur in the future.

B. As for lines 122, 123, 125, and 127-137 reported in my 2016 amended report, these same assets are reported on lines 116-130 of my original 2017 report. The

difference is (as explained above) that in my original report for 2017, 1 dropped the practice of providing a generic description of each exchange traded fund (ETF)

in Column A, Description of Assets, and instead reported the asset as an ETF, followed by the ticker symbol, e.g. "ETF: IVV".

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.

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Daniel A. Guy jr | Frix