| JTJohn TienExecutive | Fuller & Thaler Behavioral Small-Cap Equity Fund Institutional Class Shares (FTHSX)fund | Buy | $1,001 – $15,000 | Nov 18, 2021 | Sep 2, 2022 | 288 | Filing for John Tien Fuller & Thaler Behavioral Small-Cap Equity Fund Institutional Class Shares (FTHSX) trade |
| JTJohn TienExecutive | Edgewood Growth Fund Institutional Class Shares (EGFIX)fund | Buy | $1,001 – $15,000 | Nov 18, 2021 | Sep 2, 2022 | 288 | Filing for John Tien Edgewood Growth Fund Institutional Class Shares (EGFIX) trade |
| JTJohn TienExecutive | ClearBridge Large Cap Growth Fund Class I Shares (SBLYX)fund | Sell | $1,001 – $15,000 | Nov 18, 2021 | Sep 2, 2022 | 288 | Filing for John Tien ClearBridge Large Cap Growth Fund Class I Shares (SBLYX) trade |
| JTJohn TienExecutive | T Rowe PriceEmerging Markets Stock Fund (PRMSX)fund | Buy | $1,001 – $15,000 | Nov 18, 2021 | Sep 2, 2022 | 288 | Filing for John Tien T Rowe PriceEmerging Markets Stock Fund (PRMSX) trade |
| JTJohn TienExecutive | TCW Total Return Bond Fund Class I Shares (TGLMX)fund | Sell | $1,001 – $15,000 | Oct 28, 2021 | Sep 2, 2022 | 309 | Filing for John Tien TCW Total Return Bond Fund Class I Shares (TGLMX) trade |
| JTJohn TienExecutive | DoubleLine Total Return Bond Fund Class I Shares (DBLTX)fund | Buy | $1,001 – $15,000 | Oct 28, 2021 | Sep 2, 2022 | 309 | Filing for John Tien DoubleLine Total Return Bond Fund Class I Shares (DBLTX) trade |
| JTJohn TienExecutive | MFS Value Fund Class I Shares (MEIIX)fund | Sell | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien MFS Value Fund Class I Shares (MEIIX) trade |
| JTJohn TienExecutive | PIMCO Investment Grade Credit Bond Fund Class I-2 Shares (PBDPX)fund | Buy | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien PIMCO Investment Grade Credit Bond Fund Class I-2 Shares (PBDPX) trade |
| JTJohn TienExecutive | MADVXstock | Buy | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien MADVX trade |
| JTJohn TienExecutive | Fuller & Thaler Behavioral Small-Cap Equity Fund Institutional Class Shares (FTHSX)fund | Sell | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien Fuller & Thaler Behavioral Small-Cap Equity Fund Institutional Class Shares (FTHSX) trade |
| JTJohn TienExecutive | T Rowe PriceEmerging Markets Stock Fund (PRMSX)fund | Buy | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien T Rowe PriceEmerging Markets Stock Fund (PRMSX) trade |
| JTJohn TienExecutive | Edgewood Growth Fund Institutional Class Shares (EGFIX)fund | Sell | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien Edgewood Growth Fund Institutional Class Shares (EGFIX) trade |
| JTJohn TienExecutive | Oakmark International Fund Institutional Class Shares (OANIX)fund | Buy | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien Oakmark International Fund Institutional Class Shares (OANIX) trade |
| JTJohn TienExecutive | ClearBridge Large Cap Growth Fund Class I Shares (SBLYX)fund | Sell | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien ClearBridge Large Cap Growth Fund Class I Shares (SBLYX) trade |
| JTJohn TienExecutive | TCW Total Return Bond Fund Class I Shares (TGLMX)fund | Buy | $1,001 – $15,000 | Sep 13, 2021 | Sep 2, 2022 | 354 | Filing for John Tien TCW Total Return Bond Fund Class I Shares (TGLMX) trade |
| NFNuria FernandezExecutive | ROKRockwell Automation Inc. | Buy | $1,001 – $15,000 | Jul 22, 2022 | Aug 23, 2022 | 32 | Filing for Nuria Fernandez ROK trade |
| NFNuria FernandezExecutive | TGTTarget Corporation | Buy | $1,001 – $15,000 | Jul 19, 2022 | Aug 23, 2022 | 35 | Filing for Nuria Fernandez TGT trade |
| NFNuria FernandezExecutive | AZNAstraZeneca PLC | Buy | $1,001 – $15,000 | Jul 13, 2022 | Aug 23, 2022 | 41 | Filing for Nuria Fernandez AZN trade |
| NFNuria FernandezExecutive | LZAGY LONZA GROUPstock | Sell | $1,001 – $15,000 | Jul 11, 2022 | Aug 23, 2022 | 43 | Filing for Nuria Fernandez LZAGY LONZA GROUP trade |
| NFNuria FernandezExecutive | ADYEY N Vstock | Buy | $1,001 – $15,000 | Jul 11, 2022 | Aug 23, 2022 | 43 | Filing for Nuria Fernandez ADYEY N V trade |
| NFNuria FernandezExecutive | MTDMettler-Toledo International Inc. | Sell | $1,001 – $15,000 | Jul 5, 2022 | Aug 23, 2022 | 49 | Filing for Nuria Fernandez MTD trade |
| NFNuria FernandezExecutive | CSSLY CSL LTDstock | Sell | $1,001 – $15,000 | Jul 1, 2022 | Aug 23, 2022 | 53 | Filing for Nuria Fernandez CSSLY CSL LTD trade |
| NFNuria FernandezExecutive | TGTTarget Corporation | Buy | $1,001 – $15,000 | Jun 17, 2022 | Aug 23, 2022 | 67 | Filing for Nuria Fernandez TGT trade |
| NFNuria FernandezExecutive | ROKRockwell Automation Inc. | Buy | $1,001 – $15,000 | Jun 17, 2022 | Aug 23, 2022 | 67 | Filing for Nuria Fernandez ROK trade |
| NFNuria FernandezExecutive | TGTTarget Corporation | Buy | $1,001 – $15,000 | Jun 13, 2022 | Aug 23, 2022 | 71 | Filing for Nuria Fernandez TGT trade |
| NFNuria FernandezExecutive | ROKRockwell Automation Inc. | Buy | $1,001 – $15,000 | Jun 13, 2022 | Aug 23, 2022 | 71 | Filing for Nuria Fernandez ROK trade |
| NFNuria FernandezExecutive | BACBank of America Corporation | Sell | $1,001 – $15,000 | Jun 13, 2022 | Aug 23, 2022 | 71 | Filing for Nuria Fernandez BAC trade |
| CMCarlos A. MonjeExecutive | Schwab Target 2045 Fund (SWMRX)fund | Sell | $15,001 – $50,000 | Dec 30, 2021 | Aug 20, 2022 | 233 | Filing for Carlos A. Monje Schwab Target 2045 Fund (SWMRX) trade |
| SPSethuraman PanchanathanExecutive | Value Line Asset Allocation Fund, Inc Investorfund | Buy | $15,001 – $50,000 | Dec 14, 2021 | Aug 20, 2022 | 249 | Filing for Sethuraman Panchanathan Value Line Asset Allocation Fund, Inc Investor trade |
| SPSethuraman PanchanathanExecutive | GeorgePutnam Balanced Fund Class Afund | Buy | $100,001 – $250,000 | Dec 1, 2021 | Aug 20, 2022 | 262 | Filing for Sethuraman Panchanathan GeorgePutnam Balanced Fund Class A trade |
| SPSethuraman PanchanathanExecutive | Fidelity Balanced Fund (FBALX)fund | Buy | $100,001 – $250,000 | Nov 29, 2021 | Aug 20, 2022 | 264 | Filing for Sethuraman Panchanathan Fidelity Balanced Fund (FBALX) trade |
| SPSethuraman PanchanathanExecutive | Fidelity Balanced Fund (FBALX)fund | Buy | $50,001 – $100,000 | Sep 30, 2021 | Aug 20, 2022 | 324 | Filing for Sethuraman Panchanathan Fidelity Balanced Fund (FBALX) trade |
| CMCarlos A. MonjeExecutive | Schwab Target 2045 Fund (SWMRX)fund | Buy | $100,001 – $250,000 | May 27, 2021 | Aug 20, 2022 | 450 | Filing for Carlos A. Monje Schwab Target 2045 Fund (SWMRX) trade |
| CMCarlos A. MonjeExecutive | Twitter (TWTR) Stockstock | Sell | $50,001 – $100,000 | May 27, 2021 | Aug 20, 2022 | 450 | Filing for Carlos A. Monje Twitter (TWTR) Stock trade |
| CMCarlos A. MonjeExecutive | Schwab Target 2045 Fund (SWMRX)fund | Buy | $100,001 – $250,000 | May 26, 2021 | Aug 20, 2022 | 451 | Filing for Carlos A. Monje Schwab Target 2045 Fund (SWMRX) trade |
| CMCarlos A. MonjeExecutive | Twitter (TWTR) Stockstock | Sell | $15,001 – $50,000 | May 26, 2021 | Aug 20, 2022 | 451 | Filing for Carlos A. Monje Twitter (TWTR) Stock trade |
| CMCarlos A. MonjeExecutive | Twitter (TWTR) Stockstock | Sell | $50,001 – $100,000 | May 25, 2021 | Aug 20, 2022 | 452 | Filing for Carlos A. Monje Twitter (TWTR) Stock trade |
| CMCarlos A. MonjeExecutive | Schwab Target 2045 Fund (SWMRX)fund | Buy | $100,001 – $250,000 | May 24, 2021 | Aug 20, 2022 | 453 | Filing for Carlos A. Monje Schwab Target 2045 Fund (SWMRX) trade |
| CMCarlos A. MonjeExecutive | Twitter (TWTR) Stockstock | Sell | $100,001 – $250,000 | May 24, 2021 | Aug 20, 2022 | 453 | Filing for Carlos A. Monje Twitter (TWTR) Stock trade |
| CMCarlos A. MonjeExecutive | Twitter (TWTR) Stockstock | Sell | $100,001 – $250,000 | May 20, 2021 | Aug 20, 2022 | 457 | Filing for Carlos A. Monje Twitter (TWTR) Stock trade |
| SPSethuraman PanchanathanExecutive | Fidelity Balanced Fund (FBALX) Multiplefund | Buy | $15,001 – $50,000 | Apr 5, 2021 | Aug 20, 2022 | 502 | Filing for Sethuraman Panchanathan Fidelity Balanced Fund (FBALX) Multiple trade |
| SPSethuraman PanchanathanExecutive | Janus Henderson Balanced Fund Class T Shares (JABAX) Multiplefund | Buy | $1,001 – $15,000 | Mar 31, 2021 | Aug 20, 2022 | 507 | Filing for Sethuraman Panchanathan Janus Henderson Balanced Fund Class T Shares (JABAX) Multiple trade |
| SPSethuraman PanchanathanExecutive | Vanguard Balanced Index Fund Admiral Shares (VBIAX) Multipleetf | Buy | $1,001 – $15,000 | Mar 24, 2021 | Aug 20, 2022 | 514 | Filing for Sethuraman Panchanathan Vanguard Balanced Index Fund Admiral Shares (VBIAX) Multiple trade |
| SPSethuraman PanchanathanExecutive | American Balanced Fund Class F1 Shares (BALFX) Multiplefund | Buy | $1,001 – $15,000 | Mar 16, 2021 | Aug 20, 2022 | 522 | Filing for Sethuraman Panchanathan American Balanced Fund Class F1 Shares (BALFX) Multiple trade |
| SPSethuraman PanchanathanExecutive | George Putnam Balanced Fund (PGEOX)fund | Buy | $15,001 – $50,000 | Mar 8, 2021 | Aug 20, 2022 | 530 | Filing for Sethuraman Panchanathan George Putnam Balanced Fund (PGEOX) trade |
| SPSethuraman PanchanathanExecutive | Fidelity Balanced Fund (FBALX)fund | Buy | $15,001 – $50,000 | Mar 5, 2021 | Aug 20, 2022 | 533 | Filing for Sethuraman Panchanathan Fidelity Balanced Fund (FBALX) trade |
| SPSethuraman PanchanathanExecutive | George Putnam Balanced Fund Class Afund | Buy | $15,001 – $50,000 | Feb 26, 2021 | Aug 20, 2022 | 540 | Filing for Sethuraman Panchanathan George Putnam Balanced Fund Class A trade |
| SPSethuraman PanchanathanExecutive | WMTWalmart Inc. | Sell | $1,001 – $15,000 | Jan 4, 2021 | Aug 20, 2022 | 593 | Filing for Sethuraman Panchanathan WMT trade |
| SPSethuraman PanchanathanExecutive | WHRWhirlpool Corporation | Sell | $15,001 – $50,000 | Jan 4, 2021 | Aug 20, 2022 | 593 | Filing for Sethuraman Panchanathan WHR trade |
| SPSethuraman PanchanathanExecutive | Varian Medical Systems, Inc. (VAR)stock | Sell | $1,001 – $15,000 | Jan 4, 2021 | Aug 20, 2022 | 593 | Filing for Sethuraman Panchanathan Varian Medical Systems, Inc. (VAR) trade |