Congress Trading

K. Michael Conaway Stock Trading Activity

Trades

Click on a trade for more details

Estimated excess return of the underlying stock since the transaction

Stock Transaction Politician Filed Traded Description
- AMERICAN NEW ECONOMY FUND OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 21, 2020

AMERICAN NEW ECONOMY FUND

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- AMERICAN SMALL CAP WORLD FUND None Purchase $15,001 K. Michael Conaway House / R Jan. 22, 2021 Dec. 21, 2020

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-
- INVESTMENT COMPANY OF AMERICA OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 18, 2020

INVESTMENT COMPANY OF AMERICA

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- WASHINGTON MUTUAL INV FD OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 18, 2020

WASHINGTON MUTUAL INV FD

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DGRO ISHARES CORE DIVIDEND GROWTH ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 17, 2020

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-6.32%
- AMERICAN MUTUAL FUND OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 17, 2020

AMERICAN MUTUAL FUND

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- CAPITAL WORLD GROWTH & INCOME FUND OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 17, 2020

CAPITAL WORLD GROWTH & INCOME FUND

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- AMCAP FUND OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 17, 2020

AMCAP FUND

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- AMERICAN BALANCED FUND OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 17, 2020

AMERICAN BALANCED FUND

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- FUNDAMENTAL INVESTORS CL A OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 16, 2020

FUNDAMENTAL INVESTORS CL A

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FDN FIRST TRUST DJ INTERNET INDEX FUND ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 10, 2020

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-41.67%
FDN FIRST TRUST DJ INTERNET INDEX FUND ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 25, 2021 Dec. 10, 2020

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-41.67%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 10, 2020

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-2.64%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 25, 2021 Dec. 10, 2020

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-2.64%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Mar. 25, 2021 Dec. 10, 2020

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-5.85%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 22, 2021 Dec. 10, 2020

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-5.85%
AAL AMERICAN AIRLINES GROUP, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 15, 2020 Nov. 30, 2020

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-29.76%
DGRO ISHARES CORE DIVIDEND GROWTH ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 15, 2020 Nov. 30, 2020

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-7.87%
DRI DARDEN RESTAURANTS, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 15, 2020 Nov. 30, 2020

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20.06%
LUV SOUTHWEST AIRLINES COMPANY ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 15, 2020 Nov. 30, 2020

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-64.41%
- UIT FIRST TRUST DIVERSIFIED W115 OT Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 15, 2020 Nov. 10, 2020

UIT FIRST TRUST DIVERSIFIED W115 REDEMPTION

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AAPL APPLE INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 16, 2020

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31.85%
AAPL APPLE INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 16, 2020

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31.85%
BX THE BLACKSTONE GROUP INC. CLASS A ST Sale $15,001 - $50,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 16, 2020

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69.23%
CVX CHEVRON CORPORATION ST Sale $15,001 - $50,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 16, 2020

CVX RESULT OF MERGER WITH NBL

65.40%
JNJ JOHNSON & JOHNSON ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 16, 2020

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-28.31%
JNJ JOHNSON & JOHNSON ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 16, 2020

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-28.31%
VDC VANGUARD CONSUMER STAPLES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 16, 2020

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-22.78%
- FIRST TRUST CLOUD COMPUTING ETF None Purchase $15,001 K. Michael Conaway House / R Dec. 04, 2020 Oct. 16, 2020

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-
CVX CHEVRON CORPORATION ST Exchange $15,001 - $50,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 06, 2020

MERGER WITH NBL

62.16%
CVX CHEVRON CORPORATION ST Exchange $1,001 - $15,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 06, 2020

MERGER WITH NBL

62.16%
NBL NOBLE ENERGY INC. ST Exchange $1,001 - $15,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 06, 2020

MERGER WITH CVX

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NBL NOBLE ENERGY INC. ST Exchange $15,001 - $50,000 K. Michael Conaway House / R Dec. 04, 2020 Oct. 06, 2020

MERGER WITH CVX

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ABT ABBOTT LABORATORIES ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 28, 2020

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-37.08%
ABT ABBOTT LABORATORIES ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 28, 2020

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-37.08%
- JPMORGAN CHASE & CO FIX/FLT JR SBRDNTD PERP MAT CLLB NRA TAXABLE CPN 4.051% DUE 12/29/49 OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 28, 2020

JPMORGAN CHASE & CO FIX/FLT JR SBRDNTD PERP MAT CLLB NRA TAXABLE CPN 4.051% DUE

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- BANK NOVA SCOTIA 0% 1Y: LKD EURO STOXX 50 INDEX DUE 09/24/2020 CPN 0.000% DUE 09/24/20 OT Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 24, 2020

BANK NOVA SCOTIA 0% 1Y: LKD EURO STOXX 50 INDEX DUE 09/24/2020 CPN 0.000% DUE 09/24/20

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CIBR FIRST TRUST NASDAQ CYBERSECURITY ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 21, 2020

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8.02%
VDC VANGUARD CONSUMER STAPLES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 21, 2020

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-24.34%
VDC VANGUARD CONSUMER STAPLES ETF ST Sale $50,001 - $100,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 21, 2020

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-24.34%
VDC VANGUARD CONSUMER STAPLES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 21, 2020

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-24.34%
- 12/29/49 PRINCIPAL U.S. MEGA-CAP ETF None Purchase $1,001 - $15,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 21, 2020

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-
- REDEMPTION FIFTH THIRD BANCORP FIX TO FLT JR SBRDNTD CALLABLE PERPTL CPN 5.100% DUE 12/31/49 OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 21, 2020

FIFTH THIRD BANCORP FIX TO FLT JR SBRDNTD CALLABLE PERPTL CPN 5.100% DUE 12/31/49

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JPM JP MORGAN CHASE & CO. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 09, 2020

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21.69%
AAPL APPLE INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 08, 2020

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35.34%
AAPL APPLE INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 08, 2020

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35.34%
GOOGL ALPHABET INC. - CLASS A ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 08, 2020

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39.07%
INTU INTUIT INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 08, 2020

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40.75%
JPM JP MORGAN CHASE & CO. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 08, 2020

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20.51%
SPY SPDR S&P 500 ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 08, 2020

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-0.02%
USMC PRINCIPAL U.S. MEGA-CAP ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 08, 2020

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1.25%
VIG VANGUARD DIV APPRECIATION ETF ST Sale $50,001 - $100,000 K. Michael Conaway House / R Oct. 05, 2020 Sep. 08, 2020

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-7.74%
- FT DIVERS INCOME & GROWTH FALL 15 OT Sale $100,001 - $250,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 11, 2020

FT DIVERS INCOME & GROWTH FALL 15 REDEMPTION

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AEP AMERICAN ELECTRIC POWER COMPANY, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-44.49%
AXP AMERICAN EXPRESS COMPANY ST Sale $15,001 - $50,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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28.58%
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-31.08%
DGRO ISHARES CORE DIVIDEND GROWTH ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-8.49%
DUK DUKE ENERGY CORPORATION ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-25.80%
JNJ JOHNSON & JOHNSON ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-32.84%
PNC PNC FINANCIAL SERVICES GROUP, INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-8.88%
PNC PNC FINANCIAL SERVICES GROUP, INC. ST Sale $50,001 - $100,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-8.88%
SDY SPDR S&P DIVIDEND ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-13.12%
SDY SPDR S&P DIVIDEND ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-13.12%
USB U.S. BANCORP ST Sale $50,001 - $100,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-29.26%
V VISA INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-7.20%
XLV SPDR SELECT SECTOR FUND - HEALTH CARE ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Sep. 08, 2020 Aug. 10, 2020

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-12.62%
- AMERICAN FUNDS THE TAX EXEMPT BOND FUND OF AMERICA OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Sep. 04, 2020 Jul. 20, 2020

AMERICAN FUNDS THE TAX EXEMPT BOND FUND OF AMERICA

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AAPL APPLE INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 04, 2020 Jul. 01, 2020

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66.80%
AMZN 05/15/16 CALL1 11/15/20 @ 100.000, CUSIP-172967KD2" AMAZON.COM, INC. ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Sep. 04, 2020 Jul. 01, 2020

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-45.78%
HD HOME DEPOT, INC. ST Sale $50,001 - $100,000 K. Michael Conaway House / R Sep. 04, 2020 Jul. 01, 2020

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-16.64%
PFE PFIZER, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 04, 2020 Jul. 01, 2020

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-62.90%
RTX RAYTHEON TECHNOLOGIES CORPORATION ST Sale $15,001 - $50,000 K. Michael Conaway House / R Sep. 04, 2020 Jul. 01, 2020

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-16.21%
- "CITIGROUP INC PERPETUAL FIX/FLT BONDS CALLABLE CPN 6.125% DUE 12/29/49 DTD 11/13/15 FC 05/15/16 CALL1 11/15/20 @ 100.000, CUSIP- 172967KD2" OT Purchase $100,001 - $250,000 K. Michael Conaway House / R Sep. 04, 2020 Jul. 01, 2020

"CITIGROUP INC PERPETUAL FIX/FLT BONDS CALLABLE CPN 6.125% DUE 12/29/49 DTD 11/13/15 FC

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- JPMORGAN FEDERAL MONEY MARKET FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 23, 2020

JPMORGAN FEDERAL MONEY MARKET FUND FILING ID #20016929

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INFR LEGG MASON GLOBAL INFRASTRUCTURE ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 10, 2020

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-58.38%
- JPMORGAN FEDERAL MONEY MARKET FUND OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 10, 2020

JPMORGAN FEDERAL MONEY MARKET FUND

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EFG ISHARES MSCI EAFE GROWTH ETF ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 09, 2020

-

-33.16%
EFV ISHARES MSCI EAFE VALUE ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 09, 2020

-

-24.25%
ISD PGIM HIGH YIELD BOND FUND, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 09, 2020

-

-56.25%
IWM ISHARES RUSSELL 2000 ETF ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 09, 2020

-

-19.02%
VV VANGUARD LARGE-CAP ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 09, 2020

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-1.00%
- JPMORGAN FEDERAL MONEY MARKET FUND S OT Sale $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 09, 2020

JPMORGAN FEDERAL MONEY MARKET FUND

-
PNC PNC FINANCIAL SERVICES GROUP, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 02, 2020

-

-26.82%
PNC PNC FINANCIAL SERVICES GROUP, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 01, 2020

-

-27.85%
PNC PNC FINANCIAL SERVICES GROUP, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 01, 2020

-

-27.85%
TJX TJX COMPANIES, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 01, 2020

-

16.61%
USB U.S. BANCORP ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 01, 2020

-

-40.33%
VDC VANGUARD CONSUMER STAPLES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Jul. 10, 2020 Jun. 01, 2020

-

-28.17%
BX THE BLACKSTONE GROUP INC. CLASS A ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

-

46.50%
BX THE BLACKSTONE GROUP INC. CLASS A ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

-

46.50%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

-

-3.70%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

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-3.70%
SKYY FIRST TRUST CLOUD COMPUTING ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

-

-31.93%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

-

0.67%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

-

0.67%
USMC 05/29/49 PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

-

0.67%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jun. 09, 2020 May. 26, 2020

-

0.67%
AAPL APPLE INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

92.50%
AMZN AMAZON.COM, INC. ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-37.12%
BDX BECTON, DICKINSON AND COMPANY ST Sale $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-69.24%
CARR CARRIER GLOBAL CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

153.53%
HD HOME DEPOT, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-20.39%
ITOT ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-1.92%
JPM JP MORGAN CHASE & CO. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

21.27%
JPM JP MORGAN CHASE & CO. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

21.27%
OTIS OTIS WORLDWIDE CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

9.77%
SKYY FIRST TRUST CLOUD COMPUTING ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-32.69%
SKYY FIRST TRUST CLOUD COMPUTING ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-32.69%
SKYY FIRST TRUST CLOUD COMPUTING ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-32.69%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-10.76%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-10.76%
VZ VERIZON COMMUNICATIONS INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

-

-87.16%
- PNC FINANCIAL SERVICES UNSECURED FIX TO FLOAT CALLABLE SER R PERPTL CPN 4.850% DUE 05/29/49 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jun. 09, 2020 May. 19, 2020

PNC FINANCIAL SERVICES UNSECURED FIX TO FLOAT CALLABLE SER R PERPTL CPN 4.850% DUE

-
- UIT FIRST TRUST DIVERSIFIED INCOME & GROWTH PORT SER 2015 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Jun. 09, 2020 May. 12, 2020

UIT FIRST TRUST DIVERSIFIED INCOME & GROWTH PORT SER 2015 REDEMPTION

-
DRI DARDEN RESTAURANTS, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 11, 2020

-

57.68%
JNJ JOHNSON & JOHNSON ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 11, 2020

-

-53.76%
PG PROCTER & GAMBLE COMPANY ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Jun. 09, 2020 May. 11, 2020

-

-31.45%
- BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 OT Sale $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 24, 2020

BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20

-
- BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 OT Sale $50,001 - $100,000 K. Michael Conaway House / R May. 04, 2020 Apr. 24, 2020

BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 REDEMPTION

-
- UIT INVESCO UNIT TRS CENT EQUITY TR DIVERSFED SER 2016- OT Sale $100,001 - $250,000 K. Michael Conaway House / R May. 04, 2020 Apr. 23, 2020

-

-
CVX CHEVRON CORPORATION ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

-

6.00%
DGRO ISHARES CORE DIVIDEND GROWTH ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

-

-15.42%
DUK DUKE ENERGY CORPORATION ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

-

-56.59%
EMR EMERSON ELECTRIC COMPANY ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

-

6.95%
MPC MARATHON PETROLEUM CORPORATION ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

-

414.36%
- FRANKLIN RISING DIVIDEND CL A OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

FRANKLIN RISING DIVIDEND CL A

-
- AMERICAN GROWTH FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

AMERICAN GROWTH FUND

-
- AMERICAN CAPITAL INCOME OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

AMERICAN CAPITAL INCOME

-
- AMERICAN NEW PERSPECTIVE CL A OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

AMERICAN NEW PERSPECTIVE CL A

-
- AMERICAN TAX-EXEMPT BOND FD OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

AMERICAN TAX-EXEMPT BOND FD

-
- AMERICAN FUNDAMENTAL INVESTORS OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 04, 2020 Apr. 22, 2020

AMERICAN FUNDAMENTAL INVESTORS FILING ID #20016520

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AAPL APPLE INC. ST Purchase $50,001 - $100,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

-

109.54%
AAPL APPLE INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

-

109.54%
AMZN AMAZON.COM, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

-

-37.93%
AMZN AMAZON.COM, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

-

-37.93%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

-

-16.05%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

-

-16.05%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

-

-16.05%
- 12/29/49 JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4.625% DUE 12/31/49 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4.625% DUE

-
- JPMORGAN CHASE & CO FIXED/FLOAT JR SBRDNTD CALLABLE PERPETUAL MAT CPN 88.875% DUE 12/29/49 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

JPMORGAN CHASE & CO FIXED/FLOAT JR SBRDNTD CALLABLE PERPETUAL MAT CPN 88.875% DUE

-
- 12/31/49 JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4.625% DUE 12/31/49 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R May. 04, 2020 Apr. 15, 2020

JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4.625% DUE

-
DRI DARDEN RESTAURANTS, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 13, 2020

-

94.01%
AEP AMERICAN ELECTRIC POWER COMPANY, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 06, 2020

-

-72.33%
DGRO ISHARES CORE DIVIDEND GROWTH ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 04, 2020 Apr. 06, 2020

-

-18.85%
DGRO ISHARES CORE DIVIDEND GROWTH ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 04, 2020 Apr. 06, 2020

-

-18.85%
DGRO ISHARES CORE DIVIDEND GROWTH ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 06, 2020

-

-18.85%
SO SOUTHERN COMPANY ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 04, 2020 Apr. 06, 2020

-

-44.60%
- 08/25/22 DTD 08/31/17 TRANSFER TO WF 10 HSBC USA INC 0% EDP NTS LKD TO EURO STOXX 50 INDEX MTY 03/27/20 CPN 0.000% DUE 03/27/20 OT Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 27, 2020

HSBC USA INC 0% EDP NTS LKD TO EURO STOXX 50 INDEX MTY 03/27/20 CPN 0.000% DUE 03/27/20

-
- BANK NOVA SCOTIA 0% EDP BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 27, 2020

BANK NOVA SCOTIA 0% EDP BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE

-
AEP AMERICAN ELECTRIC POWER COMPANY, INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-101.89%
DEO DIAGEO PLC ST Sale $1,001 - $15,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-55.66%
DEO WF 10 DIAGEO PLC ST Sale $1,001 - $15,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-55.66%
DIA SPDR DOW JONES INDUSTRIAL AVERAGE ETF ST Sale $1,001 - $15,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-9.99%
DIA SPDR DOW JONES INDUSTRIAL AVERAGE ETF ST Sale $1,001 - $15,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-9.99%
DIS WALT DISNEY COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-87.58%
LUV SOUTHWEST AIRLINES COMPANY ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-109.40%
LUV SOUTHWEST AIRLINES COMPANY ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-109.40%
NOC REDEMPTION NORTHROP GRUMMAN CORPORATION ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-44.66%
VEA VANGUARD FTSE DEVELOPED MARKETS ETF ST Sale $1,001 - $15,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-33.85%
VPU VANGUARD UTILITIES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-77.65%
VPU VANGUARD UTILITIES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-77.65%
VPU VANGUARD UTILITIES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 18, 2020

-

-77.65%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Sale $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-6.10%
MMM 3M COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-98.47%
SDY SPDR S&P DIVIDEND ETF ST Sale $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-30.84%
SDY SPDR S&P DIVIDEND ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-30.84%
SDY SPDR S&P DIVIDEND ETF ST Sale $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-30.84%
TRV THE TRAVELERS COMPANIES, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-7.70%
VDC VANGUARD CONSUMER STAPLES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-40.10%
VIG VANGUARD DIV APPRECIATION ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-16.90%
VIG VANGUARD DIV APPRECIATION ETF ST Sale $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 11, 2020

-

-16.90%
FDN FIRST TRUST DJ INTERNET INDEX FUND ST Sale $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 10, 2020

-

-26.80%
VDC VANGUARD CONSUMER STAPLES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 10, 2020

-

-38.22%
VPU VANGUARD UTILITIES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Mar. 10, 2020

-

-62.10%
- BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 28, 2020

BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 REDEMPTION

-
- BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 28, 2020

BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 REDEMPTION

-
FDL FIRST TRUST MORNINGSTAR ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 26, 2020

-

-27.96%
FDL FIRST TRUST MORNINGSTAR ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 25, 2020

-

-28.92%
VPU VANGUARD UTILITIES ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 25, 2020

-

-55.65%
FDL FIRST TRUST MORNINGSTAR ETF ST Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 TRANSFER TO

-28.32%
FDL WF 10 FIRST TRUST MORNINGSTAR ETF ST Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

-28.32%
FDN FIRST TRUST DJ INTERNET INDEX FUND ST Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER TO WF 10

-22.89%
FDN FIRST TRUST DJ INTERNET INDEX FUND ST Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

-22.89%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Exchange $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

-3.72%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Exchange $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER TO WF 10

-3.72%
SDY SPDR S&P DIVIDEND ETF ST Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER TO WF 10

-27.64%
SDY SPDR S&P DIVIDEND ETF ST Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

-27.64%
SPY SPDR S&P 500 ST Exchange $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

-0.03%
SPY SPDR S&P 500 ST Exchange $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER TO WF 10

-0.03%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Exchange $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER TO WF 10

2.08%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Exchange $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

2.08%
VDC VANGUARD CONSUMER STAPLES ETF ST Exchange $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

-26.86%
VDC VANGUARD CONSUMER STAPLES ETF ST Exchange $100,001 - $250,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER TO WF 10

-26.86%
VIG VANGUARD DIV APPRECIATION ETF ST Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER TO WF 10

-11.46%
VIG VANGUARD DIV APPRECIATION ETF ST Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

-11.46%
VPU VANGUARD UTILITIES ETF ST Exchange $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER FROM WF 95

-53.16%
VPU VANGUARD UTILITIES ETF ST Exchange $15,001 - $50,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

TRANSFER TO WF 10

-53.16%
- HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE 08/25/22 DTD 08/31/17 OT Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE

-
- 02/28/20 TRANSFER FROM WF 95 BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 OT Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 TRANSFER

-
- BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20 OT Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE

-
- 03/27/20 REDEMPTION BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 OT Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 TRANSFER TO WF 10

-
- BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 CPN 0.000% DUE 02/28/20 OT Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 CPN 0.000% DUE

-
- FROM WF 95 BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 OT Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 TRANSFER TO

-
- 03/27/20 TRANSFER FROM WF 95 BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20 OT Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE

-
- 08/25/22 DTD 08/31/17 TRANSFER FROM WF 95 HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE 08/25/22 DTD 08/31/17 OT Exchange $50,001 - $100,000 K. Michael Conaway House / R Apr. 06, 2020 Feb. 24, 2020

HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE

-
FDL FIRST TRUST MORNINGSTAR ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 18, 2020

-

-25.50%
FDL FIRST TRUST MORNINGSTAR ETF ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 18, 2020

-

-25.50%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 18, 2020

-

-3.19%
VPU VANGUARD UTILITIES ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 18, 2020

-

-48.94%
CSQ CALAMOS STRATEGIC TOTAL RETURN FUND ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-36.68%
DIA SPDR DOW JONES INDUSTRIAL AVERAGE ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-13.57%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-2.87%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-2.87%
QQQ INVESCO QQQ TRUST, SERIES 1 ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

31.53%
SDY SPDR S&P DIVIDEND ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-24.99%
SPY SPDR S&P 500 ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-0.02%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

1.92%
VDC VANGUARD CONSUMER STAPLES ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-24.09%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-9.58%
VPU VANGUARD UTILITIES ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-47.17%
VPU VANGUARD UTILITIES ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 10, 2020 Feb. 10, 2020

-

-47.17%
- BOFA FIN LLC 0% 1Y: ACCELERATED RETURN NTS LKD TO S&P MTY 01/31/20 CPN 0.000% DUE 01/31/20 OT Sale $100,001 - $250,000 K. Michael Conaway House / R Feb. 07, 2020 Jan. 31, 2020

BOFA FIN LLC 0% 1Y: ACCELERATED RETURN NTS LKD TO S&P MTY 01/31/20 CPN 0.000% DUE

-
- BANK NOVA SCOTIA 0% 1Y: B C LKD S&P 500 MTY 01/31/2020 CPN 0.000% DUE 01/31/20 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Feb. 07, 2020 Jan. 31, 2020

BANK NOVA SCOTIA 0% 1Y: B C LKD S&P 500 MTY 01/31/2020 CPN 0.000% DUE 01/31/20 REDEMPTION

-
IVZ INVESCO LTD ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Feb. 07, 2020 Jan. 16, 2020

-

-55.81%
- AMERICAN BALANCED FUND CLASS A OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Feb. 07, 2020 Jan. 16, 2020

AMERICAN BALANCED FUND CLASS A

-
- JPMORGAN FEDERAL MONEY MARKET FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 30, 2019

JPMORGAN FEDERAL MONEY MARKET FUND

-
- JPMORGAN FEDERAL MONEY MARKET FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 23, 2019

JPMORGAN FEDERAL MONEY MARKET FUND

-
- BANK NOVA SCOTIA B 0EDP C ACLRTD RTRN NT LKD S&P 500 IDX DUE 12/20/2019 CPN 0.000% OT Sale $50,001 - $100,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 20, 2019

BANK NOVA SCOTIA B 0EDP C ACLRTD RTRN NT LKD S&P 500 IDX DUE 12/20/2019 CPN 0.000%

-
IVZ INVESCO LTD ST Sale $1,001 - $15,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 12, 2019

-

-59.29%
- CREDIT SUISSE AG 0% EDP LONDON BRH LKD TO EURO STOXX 50 INDEX 1/30/2020 CPN 0.000% DUE 11/30/20 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 12, 2019

CREDIT SUISSE AG 0% EDP LONDON BRH LKD TO EURO STOXX 50 INDEX 1/30/2020 CPN 0.000%

-
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Sale $50,001 - $100,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 10, 2019

-

-19.31%
GSLC DUE 11/30/20 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 10, 2019

-

-2.82%
VPU VANGUARD UTILITIES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 10, 2019

-

-48.49%
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 03, 2019

-

-20.68%
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Sale $50,001 - $100,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 03, 2019

-

-20.68%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 03, 2019

-

-3.22%
GSLC GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 03, 2019

-

-3.22%
SDY SPDR S&P DIVIDEND ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 03, 2019

-

-33.18%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 03, 2019

-

-11.81%
VIG VANGUARD DIV APPRECIATION ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Feb. 07, 2020 Dec. 03, 2019

-

-11.81%
- CREDIT SUISSE AG 0% EDP LKD EURO STOXX 50 INDEX DUE 11/27/2020 CPN 0.000% DUE 11/27/20 OT Sale $15,001 - $50,000 K. Michael Conaway House / R Dec. 16, 2019 Nov. 29, 2019

CREDIT SUISSE AG 0% EDP LKD EURO STOXX 50 INDEX DUE 11/27/2020 CPN 0.000% DUE 11/27/20

-
FDL REDEMPTION FIRST TRUST MORNINGSTAR ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 16, 2019 Nov. 07, 2019

-

-41.32%
SDY SPDR S&P DIVIDEND ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 16, 2019 Nov. 07, 2019

-

-35.17%
SPY SPDR S&P 500 ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 16, 2019 Nov. 07, 2019

-

-0.06%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 16, 2019 Nov. 07, 2019

-

1.81%
VPU VANGUARD UTILITIES ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Dec. 16, 2019 Nov. 07, 2019

-

-49.81%
SDY SPDR S&P DIVIDEND ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 21, 2019

-

-36.72%
SDY SPDR S&P DIVIDEND ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 21, 2019

-

-36.72%
SDY SPDR S&P DIVIDEND ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 21, 2019

-

-36.72%
- R2000 STEPUP ISSUER BARC STEP 35.00% SV 1,488.786 DUE 09/30/22 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 19, 2019

R2000 STEPUP ISSUER BARC STEP 35.00% SV 1,488.786 DUE 09/30/22 REDEMPTION

-
ACN ACCENTURE PLC CLASS A ORDINARY SHARES ST Sale $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

26.41%
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-23.86%
DD DUPONT DE NEMOURS, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-44.76%
FDL FIRST TRUST MORNINGSTAR ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-41.88%
FDL FIRST TRUST MORNINGSTAR ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-41.88%
FDN FIRST TRUST DJ INTERNET INDEX FUND ST Sale $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-24.07%
JNJ JOHNSON & JOHNSON ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-37.38%
JNJ JOHNSON & JOHNSON ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-37.38%
NEE NEXTERA ENERGY, INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-54.10%
PNC PNC FINANCIAL SERVICES GROUP, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-55.41%
PNC PNC FINANCIAL SERVICES GROUP, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-55.41%
RDS.B ROYAL DUTCH SHELL PLC ROYAL DUTCH SHELL PLC AMERICAN DEPOSITARY SHARES ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-62.45%
SDY SPDR S&P DIVIDEND ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-36.04%
SPY SPDR S&P 500 ST Sale $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-0.10%
VDC VANGUARD CONSUMER STAPLES ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-36.81%
VPU VANGUARD UTILITIES ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-60.76%
XOM EXXON MOBIL CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-11.17%
- SPDR DOW JONES INDUSTRIAL None Sale $50,001 - $100,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 10, 2019

-

-
- JPMORGAN FEDERAL MONEY MARKET FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2019 Oct. 02, 2019

JPMORGAN FEDERAL MONEY MARKET FUND

-
- REDEMPTION BOFA FIN LLC 0% EDP STEP UP NOT LKD TO EURO STOXX 50 DUE 09/27/2019 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Oct. 08, 2019 Sep. 27, 2019

BOFA FIN LLC 0% EDP STEP UP NOT LKD TO EURO STOXX 50 DUE 09/27/2019 REDEMPTION

-
- BOFA FIN LLC 0% EDP LKD TO S&P 500 INDEX DUE 09/27/2019 CPN 0.000% DUE 09/27/19 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Oct. 08, 2019 Sep. 27, 2019

BOFA FIN LLC 0% EDP LKD TO S&P 500 INDEX DUE 09/27/2019 CPN 0.000% DUE 09/27/19

-
AMZN AMAZON.COM, INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 08, 2019 Sep. 26, 2019

-

14.43%
VDC VANGUARD CONSUMER STAPLES ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Oct. 08, 2019 Sep. 26, 2019

-

-35.87%
VPU VANGUARD UTILITIES ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Oct. 08, 2019 Sep. 26, 2019

-

-59.96%
- HARTFORD FORTIS FUNDS �* GRWTH OPPTYS OT Sale $50,001 - $100,000 K. Michael Conaway House / R Oct. 08, 2019 Sep. 26, 2019

HARTFORD FORTIS FUNDS �* GRWTH OPPTYS FILING ID #20012439

-
- REDEMPTION CANADIAN IMPRL BK 0%EDP COMM TRNT BRH RTN NT LKD S&P500 IDX DUE08/30/2019 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 30, 2019

CANADIAN IMPRL BK 0%EDP COMM TRNT BRH RTN NT LKD S&P500 IDX DUE08/30/2019 REDEMPTION

-
- CANADIAN IMPERIAL BKEDP 0% COMM TORONTO BRH LKD MSCI EMRGNG DUE 08/30/19 OT Sale $15,001 - $50,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 30, 2019

CANADIAN IMPERIAL BKEDP 0% COMM TORONTO BRH LKD MSCI EMRGNG DUE 08/30/19

-
- BANK NOVA SCOTIA 0% 1Y: ACCL RTRN LKD RUSSELL 2000 IDX MTY 08/30/19 OT Sale $15,001 - $50,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 30, 2019

BANK NOVA SCOTIA 0% 1Y: ACCL RTRN LKD RUSSELL 2000 IDX MTY 08/30/19 REDEMPTION

-
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 14, 2019

-

-28.67%
SPY SPDR S&P 500 ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 14, 2019

-

-0.21%
VDC VANGUARD CONSUMER STAPLES ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 14, 2019

-

-38.05%
CTVA CORTEVA, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 06, 2019

-

-9.80%
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 06, 2019

-

-26.78%
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 06, 2019

-

-26.78%
DOW DOW INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 06, 2019

-

-45.44%
FDL FIRST TRUST MORNINGSTAR ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 06, 2019

-

-42.42%
FDL FIRST TRUST MORNINGSTAR ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 06, 2019

-

-42.42%
WM WASTE MANAGEMENT, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 06, 2019

-

-11.47%
WMT WALMART INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Sep. 17, 2019 Aug. 06, 2019

-

-19.42%
- FIN BASKET ARN ISS BOFA CAP 18.06% OT Sale $50,001 - $100,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 29, 2019

FIN BASKET ARN ISS BOFA CAP 18.06%

-
KO COCA-COLA COMPANY ST Sale $15,001 - $50,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 26, 2019

-

-44.27%
- AMERICAN FUNDS DEVELOPING: WORLD GROWTH & INCOME FD OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 26, 2019

AMERICAN FUNDS DEVELOPING: WORLD GROWTH & INCOME FD

-
- AMERICAN MUTUAL FUND INC CLASS A OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 26, 2019

AMERICAN MUTUAL FUND INC CLASS A

-
CWB SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

-24.72%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

0.73%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

0.73%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

0.73%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

0.73%
USMC PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

0.73%
VDC VANGUARD CONSUMER STAPLES ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

-30.92%
VDC VANGUARD CONSUMER STAPLES ETF ST Purchase $50,001 - $100,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

-30.92%
VDC VANGUARD CONSUMER STAPLES ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

-30.92%
VPU VANGUARD UTILITIES ETF ST Sale $1,001 - $15,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 24, 2019

-

-50.03%
SPG SIMON PROPERTY GROUP, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Aug. 05, 2019 Jul. 23, 2019

-

-69.55%
- JPMORGAN FEDERAL MONEY MARKET FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Jul. 08, 2019 Jun. 21, 2019

JPMORGAN FEDERAL MONEY MARKET FUND

-
- BOFA FIN LLC 0% EDP MKT LKD STP NTS LKD EURO STOXX 50 INDX 05/31/2019 CPN 0.000% DUE 05/31/19 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Jul. 08, 2019 Jun. 03, 2019

BOFA FIN LLC 0% EDP MKT LKD STP NTS LKD EURO STOXX 50 INDX 05/31/2019 CPN 0.000% DUE

-
- R2000 CLIRN ISSUER CIBC CAP 16.00% SV 1,417.127 DUE 04/26/19 OT Sale $100,001 - $250,000 K. Michael Conaway House / R May. 06, 2019 Apr. 26, 2019

R2000 CLIRN ISSUER CIBC CAP 16.00% SV 1,417.127 DUE 04/26/19 REDEMPTION

-
- AAPL ARN ISSUER HSBC CAP 21.60% SV 172.95 DUE 04/26/19 OT Sale $50,001 - $100,000 K. Michael Conaway House / R May. 06, 2019 Apr. 26, 2019

AAPL ARN ISSUER HSBC CAP 21.60% SV 172.95 DUE 04/26/19 REDEMPTION

-
AAPL APPLE INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

225.22%
ADP AUTOMATIC DATA PROCESSING, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

-17.65%
BDX BECTON, DICKINSON AND COMPANY ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

-56.85%
DIS WALT DISNEY COMPANY ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

-88.71%
HD HOME DEPOT, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

-0.05%
INTU INTUIT INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

63.85%
JPM JP MORGAN CHASE & CO. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

-19.08%
PFE PFIZER, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

-85.71%
VZ VERIZON COMMUNICATIONS INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 18, 2019

-

-92.89%
- SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21 OT Sale $50,001 - $100,000 K. Michael Conaway House / R May. 06, 2019 Apr. 11, 2019

SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21 REDEMPTION

-
- SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21 OT Sale $50,001 - $100,000 K. Michael Conaway House / R May. 06, 2019 Apr. 11, 2019

-

-
- VANGUARD TOTAL BOND MARKET EFT S OT Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 08, 2019

VANGUARD TOTAL BOND MARKET EFT

-
- JPMORGAN HIGN YIELD FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 08, 2019

JPMORGAN HIGN YIELD FUND

-
GOOGL ALPHABET INC. - CLASS A ST Purchase $15,001 - $50,000 K. Michael Conaway House / R May. 06, 2019 Apr. 04, 2019

-

61.04%
JNJ JOHNSON & JOHNSON ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 04, 2019

-

-46.45%
RTN RAYTHEON COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 04, 2019

-

-21.66%
UNH UNITEDHEALTH GROUP INCORPORATED COMMON STOCK ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 06, 2019 Apr. 04, 2019

-

61.87%
- R2000 ARN ISSUER RBC CAP 12.75% SV 1,601.669 DUE 03/29/19 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Apr. 02, 2019 Mar. 29, 2019

R2000 ARN ISSUER RBC CAP 12.75% SV 1,601.669 DUE 03/29/19 REDEMPTION

-
- JPMORGAN FEDERAL MONEY MARKET FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Apr. 02, 2019 Mar. 28, 2019

JPMORGAN FEDERAL MONEY MARKET FUND FILING ID #20011362

-
GE GENERAL ELECTRIC COMPANY ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Apr. 02, 2019 Mar. 25, 2019

-

-12.49%
T AT&T INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Apr. 02, 2019 Mar. 25, 2019

-

-123.52%
- ISHARES CORE DIVIDEND GROWTH: ETF OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Apr. 02, 2019 Mar. 25, 2019

ISHARES CORE DIVIDEND GROWTH: ETF

-
TRV THE TRAVELERS COMPANIES, INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Apr. 02, 2019 Mar. 04, 2019

-

-27.50%
XOM EXXON MOBIL CORPORATION ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Apr. 02, 2019 Mar. 04, 2019

-

-40.71%
- R2000 ARN ISSUER SEK CAP 11.55% SV 1,547.107 DUE 02/22/19 OT Sale $15,001 - $50,000 K. Michael Conaway House / R Mar. 05, 2019 Feb. 22, 2019

R2000 ARN ISSUER SEK CAP 11.55% SV 1,547.107 DUE 02/22/19 REDEMPTION

-
- SX5E CLIRN ISSUER BOFA CAP 25.90% SV 3,333.96 DUE 02/22/19 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Mar. 05, 2019 Feb. 22, 2019

SX5E CLIRN ISSUER BOFA CAP 25.90% SV 3,333.96 DUE 02/22/19

-
- SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Mar. 05, 2019 Feb. 21, 2019

SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20

-
- SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20 OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Mar. 05, 2019 Feb. 21, 2019

SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20

-
TRV THE TRAVELERS COMPANIES, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 31, 2019

-

-26.14%
XOM EXXON MOBIL CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 31, 2019

-

-34.68%
- R2000 ARN ISSUER HSBC CAP 12.75% SV 1,518.89 DUE 01/24/19 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 24, 2019

R2000 ARN ISSUER HSBC CAP 12.75% SV 1,518.89 DUE 01/24/19 REDEMPTION

-
- SP500 CLIRNS ISSUER BNS CAP 11.50% SV 2,642.33 DUE 03/27/20 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 24, 2019

SP500 CLIRNS ISSUER BNS CAP 11.50% SV 2,642.33 DUE 03/27/20

-
AAPL APPLE INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 08, 2019

-

340.03%
INTU INTUIT INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 08, 2019

-

102.39%
JNJ JOHNSON & JOHNSON ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 08, 2019

-

-60.44%
MSFT MICROSOFT CORPORATION ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 08, 2019

-

184.77%
PEP PEPSICO, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 08, 2019

-

-29.44%
WMT WALMART INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 08, 2019

-

-20.80%
ZTS ZOETIS INC. CLASS A ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 08, 2019

-

34.05%
NOC NORTHROP GRUMMAN CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 04, 2019

-

9.75%
SPG SIMON PROPERTY GROUP, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 04, 2019

-

-102.98%
XOM EXXON MOBIL CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Mar. 04, 2019 Jan. 04, 2019

-

-42.45%
- JPMORGAN FEDERAL MONEY MARKET FD OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 26, 2018

JPMORGAN FEDERAL MONEY MARKET FD

-
BNS BANK NOVA SCOTIA HALIFAX PFD 3 ORDINARY SHARES ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 24, 2018

-

-105.40%
DIA SPDR DOW JONES INDUSTRIAL AVERAGE ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 24, 2018

-

-30.15%
FDN FIRST TRUST DJ INTERNET INDEX FUND ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 24, 2018

-

-32.83%
QQQ INVESCO QQQ TRUST, SERIES 1 ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 24, 2018

-

76.65%
SPY SPDR S&P 500 ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 24, 2018

-

-0.26%
VCR VANGUARD CONSUMER DISCRETION ETF ST Sale $15,001 - $50,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 24, 2018

-

13.07%
AEP AMERICAN ELECTRIC POWER COMPANY, INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 21, 2018

-

-87.03%
AXP AMERICAN EXPRESS COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 21, 2018

-

-6.81%
BNS BANK NOVA SCOTIA HALIFAX PFD 3 ORDINARY SHARES ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 21, 2018

-

-100.54%
PFE PFIZER, INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 21, 2018

-

-122.59%
VZ VERIZON COMMUNICATIONS INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 21, 2018

-

-121.58%
WM WASTE MANAGEMENT, INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 21, 2018

-

4.77%
- SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 21, 2018

SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18

-
- SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 21, 2018

SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18

-
- SP500 CLIRN ISS BARC CAP 14.02% SV 2,467.42 DUE 02/28/20 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 20, 2018

SP500 CLIRN ISS BARC CAP 14.02% SV 2,467.42 DUE 02/28/20

-
- SP500 CLIRN ISS BARC CAP 14.02% SV 2,467.42 DUE 02/28/20 OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 20, 2018

-

-
T AT&T INC. ST Sale $15,001 - $50,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 17, 2018

-

-138.53%
- INVESCO AMERICAN FRANCHISE FUND A OT Sale $15,001 - $50,000 K. Michael Conaway House / R Jan. 03, 2019 Dec. 12, 2018

INVESCO AMERICAN FRANCHISE FUND A

-
- SX5E STEPUP ISSUER CS STEP 35.00% SV 3,174.16 DUE 11/19/21 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 29, 2018

SX5E STEPUP ISSUER CS STEP 35.00% SV 3,174.16 DUE 11/19/21

-
- SP500 CLIRNS ISSUER BNS CAP 10.96% SV 2,737.76 DUE 01/31/20 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 29, 2018

SP500 CLIRNS ISSUER BNS CAP 10.96% SV 2,737.76 DUE 01/31/20

-
- SP500 ARN ISSUER BOFA CAP 13.92% SV 2,737.76 DUE 01/31/20 OT Purchase $100,001 - $250,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 29, 2018

SP500 ARN ISSUER BOFA CAP 13.92% SV 2,737.76 DUE 01/31/20

-
- SX5E STEPUP ISSUER BAC STEP 27.90% SV 3,044.33 DUE 11/26/18 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 26, 2018

SX5E STEPUP ISSUER BAC STEP 27.90% SV 3,044.33 DUE 11/26/18 REDEMPTION

-
- SPX/SX5E STEPUP ISS HSBC STEP 22.80% SV 100.00 DUE 11/23/18 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 23, 2018

SPX/SX5E STEPUP ISS HSBC STEP 22.80% SV 100.00 DUE 11/23/18

-
AEP AMERICAN ELECTRIC POWER COMPANY, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

-68.35%
BDX BECTON, DICKINSON AND COMPANY ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

-77.65%
DIA SPDR DOW JONES INDUSTRIAL AVERAGE ETF ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

-25.20%
DWDP DOWDUPONT INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

-50.24%
FDN FIRST TRUST DJ INTERNET INDEX FUND ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

-24.97%
PFE PFIZER, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

-106.85%
QQQ INVESCO QQQ TRUST, SERIES 1 ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

70.91%
RTN RAYTHEON COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

-27.13%
SPG SIMON PROPERTY GROUP, INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

-101.02%
SPY SPDR S&P 500 ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

0.02%
SYK STRYKER CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

-

2.29%
- R2000 CLIRN ISSUER BAC CAP 17.92% SV 1,334.341 DUE 11/21/18 OT Sale $100,001 - $250,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 21, 2018

R2000 CLIRN ISSUER BAC CAP 17.92% SV 1,334.341 DUE 11/21/18 REDEMPTION

-
DIS WALT DISNEY COMPANY ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-88.71%
HD HOME DEPOT, INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

12.15%
JNJ JOHNSON & JOHNSON ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-59.53%
JPM JP MORGAN CHASE & CO. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-23.03%
MCD MCDONALD'S CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-7.75%
NEE NEXTERA ENERGY, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-27.28%
NOC NORTHROP GRUMMAN CORPORATION ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

4.64%
PEP PEPSICO, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-20.26%
UTX UNITED TECHNOLOGIES CORPORATION ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-25.15%
VZ VERIZON COMMUNICATIONS INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-101.75%
WM WASTE MANAGEMENT, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

28.98%
WMT WALMART INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Dec. 05, 2018 Nov. 02, 2018

-

-20.43%
AAPL APPLE INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 26, 2018

-

188.42%
AMZN AMAZON.COM, INC. ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 26, 2018

-

5.97%
IBM INTERNATIONAL BUSINESS MACHINES CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 26, 2018

-

-43.71%
NOC NORTHROP GRUMMAN CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 26, 2018

-

2.99%
PNC PNC FINANCIAL SERVICES GROUP, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 26, 2018

-

-55.73%
IBM INTERNATIONAL BUSINESS MACHINES CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 25, 2018

-

-42.35%
DIA SPDR DOW JONES INDUSTRIAL AVERAGE ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 16, 2018

-

-23.40%
FDN FIRST TRUST DJ INTERNET INDEX FUND ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 16, 2018

-

-30.53%
SPY SPDR S&P 500 ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 16, 2018

-

-0.07%
- SX5E STEPUP ISSUER BOFA STEP 15.20% SV 3,521.76 DUE 07/25/19 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 12, 2018

SX5E STEPUP ISSUER BOFA STEP 15.20% SV 3,521.76 DUE 07/25/19

-
QQQ INVESCO QQQ TRUST, SERIES 1 ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 11, 2018

-

62.21%
SPY SPDR S&P 500 ST Purchase $15,001 - $50,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 11, 2018

-

0.07%
- SX5E STEPUP ISSUER BNS STEP 30.00% SV 3,563.64 DUE 09/24/20 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 11, 2018

-

-
- JPMORGAN FEDERAL MONEY MARKET FUND OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Nov. 12, 2018 Oct. 03, 2018

JPMORGAN FEDERAL MONEY MARKET FUND

-
- R2000 CLIRN ISSUER CIBC CAP 18.04% SV 1,237.751 DUE 09/28/18 OT Sale $15,001 - $50,000 K. Michael Conaway House / R Oct. 04, 2018 Sep. 28, 2018

R2000 CLIRN ISSUER CIBC CAP 18.04% SV 1,237.751 DUE 09/28/18 REDEMPTION

-
GE GENERAL ELECTRIC COMPANY ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Oct. 04, 2018 Sep. 27, 2018

-

-27.61%
- ISHARES CORE DIVIDEND GROWTH EXCHANGE TRADED FUND OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Oct. 04, 2018 Sep. 27, 2018

ISHARES CORE DIVIDEND GROWTH EXCHANGE TRADED FUND

-
- SX5E ARN ISSUER BOFA CAP 19.23% SV 3,579.32 DUE 01/25/19 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Oct. 04, 2018 Sep. 21, 2018

SX5E ARN ISSUER BOFA CAP 19.23% SV 3,579.32 DUE 01/25/19 FILING ID #20010415

-
- SX5E STEPUP ISSUER BOFA STEP 27.00% SV 3,584.55 DUE 05/31/19 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Oct. 04, 2018 Sep. 21, 2018

SX5E STEPUP ISSUER BOFA STEP 27.00% SV 3,584.55 DUE 05/31/19

-
DE DEERE & COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R Sep. 04, 2018 Aug. 30, 2018

-

95.18%
EMR EMERSON ELECTRIC COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R Sep. 04, 2018 Aug. 30, 2018

-

-41.30%
GE GENERAL ELECTRIC COMPANY ST Sale $15,001 - $50,000 K. Michael Conaway House / R Sep. 04, 2018 Aug. 30, 2018

-

-40.53%
KO COCA-COLA COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R Sep. 04, 2018 Aug. 30, 2018

-

-28.18%
MSFT MICROSOFT CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Sep. 04, 2018 Aug. 30, 2018

-

175.71%
- AMERICAN MUTUAL FUND CL A OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 04, 2018 Aug. 30, 2018

AMERICAN MUTUAL FUND CL A

-
- VANGUARD CONSUMER DISCRETIONARY ETF OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Sep. 04, 2018 Aug. 28, 2018

VANGUARD CONSUMER DISCRETIONARY ETF

-
- FIRST TR EXCHANGE TRADED FD DOW JONES IN OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Sep. 04, 2018 Aug. 28, 2018

FIRST TR EXCHANGE TRADED FD DOW JONES IN FILING ID #20010197

-
- SP500 ARN ISSUER BOFA CAP 10.00% SV 2,415.07 DUE 07/27/18 S OT Sale $50,001 - $100,000 K. Michael Conaway House / R Aug. 10, 2018 Jul. 27, 2018

SP500 ARN ISSUER BOFA CAP 10.00% SV 2,415.07 DUE 07/27/18 REDEMPTION FILING ID #20010072

-
- SP500 ARN ISSUER BOFA CAP 10.09% SV 2837.44 DUE 09/27/19 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Sep. 04, 2018 Jul. 26, 2018

SP500 ARN ISSUER BOFA CAP 10.09% SV 2837.44 DUE 09/27/19

-
- GENERATION PK MGMT DIST TEX ULTD TAX RD A OID APR16 03.750%SEP01 2036 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Aug. 10, 2018 Jul. 13, 2018

GENERATION PK MGMT DIST TEX ULTD TAX RD A OID APR16 03.750%SEP01 2036

-
- FIRST TR EXCHANGE TRADED FD DOW JONES IN OT Purchase $1,001 - $15,000 K. Michael Conaway House / R Aug. 10, 2018 Jul. 12, 2018

FIRST TR EXCHANGE TRADED FD DOW JONES IN

-
- HARTFORD GROWTH OPPORTUNITIES FD OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Aug. 10, 2018 Jul. 12, 2018

HARTFORD GROWTH OPPORTUNITIES FD

-
- SP500 ARN ISSUER BOFA CAP 10.00% SV 2,388.77 DUE 06/29/18 OT Sale $100,001 - $250,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 29, 2018

SP500 ARN ISSUER BOFA CAP 10.00% SV 2,388.77 DUE 06/29/18

-
- SP500 CLIRN ISSUER BAC CAP 15.36% SV 2,097.90 DUE 06/29/18 OT Sale $50,001 - $100,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 29, 2018

SP500 CLIRN ISSUER BAC CAP 15.36% SV 2,097.90 DUE 06/29/18

-
BNS BANK NOVA SCOTIA HALIFAX PFD 3 ORDINARY SHARES ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 28, 2018

-

-90.74%
TRV THE TRAVELERS COMPANIES, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 28, 2018

-

-21.90%
- R2000 ARNS ISSUER BNS CAP 13.17% SV 1,645.017 DUE 08/30/19 OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 28, 2018

R2000 ARNS ISSUER BNS CAP 13.17% SV 1,645.017 DUE 08/30/19

-
- MSCI EM ARN ISSUER CIBC CAP 18.78% SV 1,046.71 DUE 08/30/19 OT Purchase $15,001 - $50,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 28, 2018

MSCI EM ARN ISSUER CIBC CAP 18.78% SV 1,046.71 DUE 08/30/19

-
- JPMORGAN FEDERAL MONEY MARKET FUND S OT Sale $1,001 - $15,000 K. Michael Conaway House / R Aug. 05, 2019 Jun. 27, 2018

JPMORGAN FEDERAL MONEY MARKET FUND

-
INTU INTUIT INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 21, 2018

-

106.46%
MMM 3M COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 21, 2018

-

-114.21%
NOC NORTHROP GRUMMAN CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 21, 2018

-

-15.14%
TJX TJX COMPANIES, INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 21, 2018

-

18.05%
UTX UNITED TECHNOLOGIES CORPORATION ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 21, 2018

-

-21.78%
V VISA INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jul. 09, 2018 Jun. 21, 2018

-

23.02%
- ISHARES MSCI EAFE ETF S OT Sale $15,001 - $50,000 K. Michael Conaway House / R Aug. 05, 2019 Jun. 20, 2018

ISHARES MSCI EAFE ETF

-
- SX5E CLIRN ISSUER BAC CAP 24.90% OT Sale $100,001 - $250,000 K. Michael Conaway House / R Jun. 04, 2018 May. 25, 2018

SX5E CLIRN ISSUER BAC CAP 24.90% REDEMPTION

-
- FIN BASKET ARN ISS BOFA CAP 18.06% OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jun. 04, 2018 May. 24, 2018

FIN BASKET ARN ISS BOFA CAP 18.06%

-
- SX5E STEPUP ISSUER BOFA STEP 15.20% OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jun. 04, 2018 May. 24, 2018

SX5E STEPUP ISSUER BOFA STEP 15.20%

-
ADP AUTOMATIC DATA PROCESSING, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jun. 04, 2018 May. 07, 2018

-

10.08%
NEE NEXTERA ENERGY, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R Jun. 04, 2018 May. 07, 2018

-

-26.31%
NOC NORTHROP GRUMMAN CORPORATION ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jun. 04, 2018 May. 07, 2018

-

-22.33%
DEO DIAGEO PLC ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jun. 04, 2018 May. 01, 2018

-

-73.62%
DIS WALT DISNEY COMPANY ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jun. 04, 2018 May. 01, 2018

-

-80.96%
PEP PEPSICO, INC. ST Purchase $1,001 - $15,000 K. Michael Conaway House / R Jun. 04, 2018 May. 01, 2018

-

-6.59%
- SX5E ARN ISSUER BOFA CAP 19.80% SV 3,333.96 DUE 04/27/18 OT Sale $50,001 - $100,000 K. Michael Conaway House / R May. 10, 2018 Apr. 27, 2018

SX5E ARN ISSUER BOFA CAP 19.80% SV 3,333.96 DUE 04/27/18 REDEMPTION

-
- R2000 STEPUP ISSUER BNS STEP 30.00% OT Purchase $50,001 - $100,000 K. Michael Conaway House / R Jun. 04, 2018 Apr. 26, 2018

R2000 STEPUP ISSUER BNS STEP 30.00%

-
PG PROCTER & GAMBLE COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 25, 2018

-

26.12%
PG PROCTER & GAMBLE COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 24, 2018

-

25.12%
MO ALTRIA GROUP, INC. ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 23, 2018

-

-99.69%
NOC NORTHROP GRUMMAN CORPORATION ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 23, 2018

-

-38.96%
PG PROCTER & GAMBLE COMPANY ST Sale $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 23, 2018

-

26.14%
SYK STRYKER CORPORATION ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 23, 2018

-

0.64%
VPU VANGUARD UTILITIES ETF ST Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 11, 2018

-

-51.10%
- CALAMOS STRAT TOT RETURN FD OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 11, 2018

CALAMOS STRAT TOT RETURN FD

-
- FIRST TR EXCHANGE TRADED FD OT Purchase $1,001 - $15,000 K. Michael Conaway House / R May. 10, 2018 Apr. 11, 2018

FIRST TR EXCHANGE TRADED FD

-
- FIRST TR EXCHANGE TRADED FD DOW JONES IN ACTUAL PRICES None Purchase $1,001 - $15,000 K. Michael Conaway