1

U.S. brokerage – IRA 3A

1.1

Berkshire Hathaway Inc. Class b(3a)

$50,001 - $100,000

None (or less than $201)

1.2

First Eagle Global Fund Class I (SGIIX)(3a)

$15,001 - $50,000

None (or less than $201)

1.3

Goldman Sachs Income Builder Fund(3a)

$15,001 - $50,000

None (or less than $201)

1.4

T. Rowe Price International Discovery Fund (PRIDX)(3a)

$15,001 - $50,000

None (or less than $201)

1.5

iShares Core MSCI Emerging Markets ETF (IEMG)(3a)

$15,001 - $50,000

None (or less than $201)

1.6

ETFMG Prime Cyber Security ETF (HACK)(3a)

$15,001 - $50,000

None (or less than $201)

1.7

T Rowe Price Capital Appreciation Fund (PRWCX)(IRA 3a)

$15,001 - $50,000

None (or less than $201)

1.8

U.S. brokerage - IRA #3A (cash)

$1,001 - $15,000

None (or less than $201)

1.9

GQG PartnersEmerging Markets Equity Fund Institutional Class Shares (GQGIX)(IRA 3a)

$15,001 - $50,000

None (or less than $201)

1

New York, New York

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

8/2009

2

New York, New York

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

11/2013

1

U.S. brokerage – IRA #2

1.1

U.S. brokerage - IRA #2 (cash)

$1,001 - $15,000

None (or less than $201)

1.2

Kayne Anderson MLP Midstream Investment Co (KYN) (closed-end fund)

$15,001 - $50,000

$1,001 - $2,500

1.3

JPMorgan 100% US Treasury Securities Money Market Fund Capital Shares (CJTXX)(IRA2)

$1,001 - $15,000

None (or less than $201)

1.4

JPMorgan Diversified ReturnEmerging Markets Equity ETF (JPEM)(IRA2)

$15,001 - $50,000

None (or less than $201)

1.5

SPDR S&PEmerging Markets Small Cap ETF (EWX)(IRA2)

$15,001 - $50,000

None (or less than $201)

2

U.S. brokerage – IRA #4

2.1

Fidelity Government Cash Reserves (FDRXX)

$15,001 - $50,000

None (or less than $201)

2.2

Costco Corp

$50,001 - $100,000

None (or less than $201)

2.3

Enbridge Inc (ENB)

$1,001 - $15,000

None (or less than $201)

1

U.S. brokerage account - #2(spouse)

1.1

Fidelity Investments Money Market Government Portfolio - Institutional Class (FRGXX)(brok 2)

$250,001 - $500,000

$15,001 - $50,000

1.2

Cash account (Brok #2)

$1,001 - $15,000

$201 - $1,000

1.3

JPMorgan 100% US Treasury Securities Money Market Fund Capital Shares (CJTXX)(brok2)

$15,001 - $50,000

$2,501 - $5,000

1.4

Global X NASDAQ 100 Covered Call ETF (QYLD)(brok 2)

$15,001 - $50,000

$2,501 - $5,000

1.5

Invesco DWA Momentum ETF (PDP)(brok 2)

$15,001 - $50,000

None (or less than $201)

1.6

Invesco S&P 500 Low Volatility ETF (SPLV)(brok 2)

$50,001 - $100,000

$1,001 - $2,500

1.7

iShares Russell 2000 ETF (IWM)(brok 2)

$15,001 - $50,000

$201 - $1,000

2

U.S. brokerage account - #3

2.1

BTAS, Inc. (brok 3)(privately held - Federal and commercial customers with business and technological solutions for program management, engineering, information technology, security, communications, and marketing) (ibtas4)

$100,001 - $250,000

None (or less than $201)

1

Lyft, Inc. (LYFT) (brok 3)

Sale

01/26/2023

$15,001 - $50,000

2

Life Storage, Inc. (LSI) (brok 6)

Sale

02/06/2023

$50,001 - $100,000

3

SPDR S&P Emerging Markets Small Cap ETF (EWX) (IRA 3a)

Purchase

01/24/2023

$15,001 - $50,000

4

Entergy Louisiana bond 4/1/28 (brok 16)

Purchase

04/19/2023

$15,001 - $50,000

2

2.2

No ticker symbol associated with this asset under a Morgan Stanley 401(k) plan.

2

3.2

Name reported is exactly as provided in the account statement and no ticker symbol was provided.

6

4.33

Prior to June 2022, Elevance Health was named Anthem, Inc. (ANTM).