Richard M Neiter

IRA Z(H)

Tweedy Browne Global Value Fund (TBGVX) — None — Sold (part)

Touchstone Small Cap Core Fund -Y {TSFYX) — None — Sold (part)

ONR Fixed Income Opportunities Fund-N RIMOX — Int/Div — Sold (part)

ONR Fixed Income Opportunities Fund-N RIMOX — Buy (add'l)

CNR US Core Equity Fund Serv (CNRVX) — Int/Div — Sold (part)

CNR US Core Equity Fund Serv (CNRVX) — Sold (part)

Vanguard Short Term Corp Bond ETF (VSCH) — Int/Div

Vanguard Intermediate Term Govt. Bond Fund ETF (VCIT) — Int/Div

Vanguard Intermediate Term Corporate FTF (VCIT) — Int/Div

Vanguard Short-Term Govt Bond ETF (VGBH) — Int/Div

Vanguard REIT ETF (VNQ) — Int/Div

CNR Prime Money Market Fund Servicing. Class — Int/Div — Sold

CNR Govt Money Market Fund Servicing Class — Int./y — Buy

CNR Emerging Markets Fund CL N (RIMIX) — None — Sold (part)

CNR Dividend & Income Fund CL N (RIMHX) — Int/Div — Sold (part)

Vanguard Small Cap ETF (VB) — Int/Div — Sold (part)

Vanguard Global EX US Real Estate ETF (VNOQI) — Int/Div

lvy High Income Fund Class — Int/Div — Sold

Stone Ridge Runs Risk Premium Fund Ind Fd (SRRIX) — None — Buy

IRA 43 (H)

CNR Govt. MMkt CL N(CNGXX) — Int/Div

iShares Core Growth Allocation ETF (AOR)

City National Rochdale Fixed Income Opportunities Fund (RIMOX) — Int/Div

Trust #1{H)

U.S. Bank (Accounts) — Interest

Banc of California Inc. (BANC) Common Stock — Int/Div

Rental Property - Los Angeles Co, CA — Rent

Partial Interest m HOA — None

Co-Trustee, Trust #1

Agreement — 1997 — Employment agreement with ST&G for deferred compensation as a result of my retirement from that organization in 2/16. 1 have no control over the amounts paid.