1

Capital One Financial Corp. 401k

1.1

BlackRock LifePath 2040 Index Fund (LIKIX)

$500,001 - $1,000,000

None (or less than $201)

2

IRA #1

2.1

Vanguard Targeted Retirement 2040 (VFORX)

$250,001 - $500,000

None (or less than $201)

3

IRA #2 (Roth)

3.1

COMM SERVICES SELECT SECTOR SPDR ETF (XLC)

$1,001 - $15,000

None (or less than $201)

3.2

INVESCO QQQ TRUST ETF (QQQ)

$1,001 - $15,000

None (or less than $201)

3.3

ISHARES CORE MSCI EMERGING MARKETS ETF (IEMG)

$1,001 - $15,000

None (or less than $201)

3.4

ISHARES CORE S&P MIDCAP ETF (IJH)

$1,001 - $15,000

None (or less than $201)

3.5

ISHARES CORE S&P SMALL-CAP ETF (IJR)

$1,001 - $15,000

None (or less than $201)

1

McLean, Virginia

I will continue to participate in this defined contribution plan, but the plan sponsor no longer makes contributions.

7/2019

1

Johns Hopkins University

salary

2

John Hopkins University, 401(k) plan:

2.1

Vanguard LifeStrategy Growth Fund (VASGX)

$15,001 - $50,000

None (or less than $201)

2.2

Vanguard Institutional Target Retirmnt 2040 Fund (VIRSX)

$1,001 - $15,000

None (or less than $201)

1

Brokerage Account #1

$1,001 - $15,000

Dividends

$1,001 - $2,500

2

U.S. bank #1 (cash)

$250,001 - $500,000

Interest

$201 - $1,000

3

U.S. bank #2 (cash)

$1,001 - $15,000

Interest

None (or less than $201)

4

Maryland 529 College Savings Plan

4.1

Maryland 529 College Saving Portfolio for Education Today

$50,001 - $100,000

None (or less than $201)

5

Maryland 529 College Savings Plan

5.1

Maryland 529 College Savings Portfolio 2024

$50,001 - $100,000

None (or less than $201)

6

Vanguard Total Bond Market Index Fund Admiral (VBTLX)

$50,001 - $100,000

$5,001 - $15,000

7

Vanguard 500 Index Fund Admiral (VFIAX)

$250,001 - $500,000

$15,001 - $50,000

8

U.S. bank #3 (cash)

None (or less than $1,001)

None (or less than $201)

1

PGIM Absolute Return Bond Fund Class Z Shares (PADZX)

Sale

12/28/2022

$1,001 - $15,000

2

PGIM Absolute Return Bond Fund Class Z Shares (PADZX)

Sale

12/28/2022

$50,001 - $100,000

3

iShares Core Total USD Bond Market ETF (IUSB)

Purchase

12/29/2022

$50,001 - $100,000

4

Virtus KAR Small-Cap Growth Fund Class I Shares (PXSGX)

Sale

12/09/2022

$15,001 - $50,000

5

iShares Russell 2000 Growth ETF (IWO)

Purchase

12/12/2022

$15,001 - $50,000

6

WILMINGTON INTERNATIONAL FUND-I

Purchase

12/13/2022

$1,001 - $15,000

7

Nuveen High Yield Municipal Bond Fund Class I Shares (NHMRX)

Purchase

12/15/2022

$1,001 - $15,000

8

wilmington global alpha equities fund

Purchase

12/15/2022

$1,001 - $15,000

9

BlackRock Event Driven Equity Fund Institutional Shares (BILPX)

Purchase

12/15/2022

$1,001 - $15,000

10

baillie gifford emerging markets class k

Purchase

12/15/2022

$1,001 - $15,000

6

1

Accounts contains only cash

6

11

There are no substantive changes to the underlying trust assets from prior disclosures, however, this year's report adopts a new strategy of breaking out separate sub-accounts within the trust for ease of reporting.

6

14

The holdings of this trust account were inadvertently omitted from last year's report.

6

15

Consistent with the endnote to Trust #1, this reflects this year's report's new strategy of breaking out separate sub-accounts within the trust for ease of reporting.

7

26

Updated: This sale should instead reflect a sale of iShares Core S&P 500 Growth ETF (IVW), not IVV.

7

28

Updated: This purchase of T Rowe Price Large-Cap Growth Fund Investor Class Share (TRGOX) should instead reflect a purchase of T Rowe Price Large-Cap Growth Fund Class I (TRLGX).

7

86

This purchase was made by the investment advisor managing this trust contrary to prior instructions that the trust could not own any bank stocks. The purchase was discovered by the filer on September 7, 2022 when reviewing the August monthly statement. That same day, the filer instructed the advisor to sell the stock and to take steps to ensure compliance going forward, and the advisor acknowledged receipt and sold the stock.

7

87

Stock sold immediately upon discovery by filer. As noted with respect to the purchase of this stock, the purchase was made by the investment advisor managing this trust contrary to prior instructions that the trust could not own any bank stocks. The purchase was discovered by the filer on September 7, 2022 when reviewing the August monthly statement. That same day, the filer instructed the advisor to sell the stock and to take steps to ensure compliance going forward, and the advisor acknowledged receipt and sold the stock.

7

88

This purchase was made by the investment advisor managing this trust contrary to prior instructions that the trust could not own any bank stocks. The purchase was discovered by the filer on September 7, 2022 when reviewing the August monthly statement. That same day, the filer instructed the advisor to sell the stock and to take steps to ensure compliance going forward, and the advisor acknowledged receipt and sold the stock.

7

89

Stock sold immediately upon discovery by filer. As noted with respect to the purchase of this stock, the purchase was made by the investment advisor managing this trust contrary to prior instructions that the trust could not own any bank stocks. The purchase was discovered by the filer on September 7, 2022 when reviewing the August monthly statement. That same day, the filer instructed the advisor to sell the stock and to take steps to ensure compliance going forward, and the advisor acknowledged receipt and sold the stock.