| MZMitchell M. ZaisExecutive | MMM3M Company | Sell | $1,001 – $15,000 | Jan 8, 2021 | Nov 10, 2021 | 306 | Filing for Mitchell M. Zais MMM trade |
| MZMitchell M. ZaisExecutive | VODVodafone Group Plc ADR | Sell | $1,001 – $15,000 | Jan 7, 2021 | Nov 10, 2021 | 307 | Filing for Mitchell M. Zais VOD trade |
| MZMitchell M. ZaisExecutive | TAT&T Inc. | Sell | $1,001 – $15,000 | Jan 5, 2021 | Nov 10, 2021 | 309 | Filing for Mitchell M. Zais T trade |
| MZMitchell M. ZaisExecutive | Vanguard Growth & Income Fund Admiralfund | Sell | $15,001 – $50,000 | Jan 4, 2021 | Nov 10, 2021 | 310 | Filing for Mitchell M. Zais Vanguard Growth & Income Fund Admiral trade |
| MZMitchell M. ZaisExecutive | RTXRTX Corporation | Buy | $1,001 – $15,000 | Dec 22, 2020 | Nov 10, 2021 | 323 | Filing for Mitchell M. Zais RTX trade |
| MZMitchell M. ZaisExecutive | PEGPublic Service Enterprise Group Incorporated | Buy | $1,001 – $15,000 | Dec 22, 2020 | Nov 10, 2021 | 323 | Filing for Mitchell M. Zais PEG trade |
| MZMitchell M. ZaisExecutive | ENBEnbridge Inc | Buy | $1,001 – $15,000 | Dec 22, 2020 | Nov 10, 2021 | 323 | Filing for Mitchell M. Zais ENB trade |
| MZMitchell M. ZaisExecutive | American Beacon International Equity Fundfund | Sell | $15,001 – $50,000 | Oct 20, 2020 | Nov 10, 2021 | 386 | Filing for Mitchell M. Zais American Beacon International Equity Fund trade |
| MZMitchell M. ZaisExecutive | GLPIGaming and Leisure Properties Inc. | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais GLPI trade |
| MZMitchell M. ZaisExecutive | Lazard Global Listed Infrastructure Portfolio Institutional Shares (GLIFX)fund | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais Lazard Global Listed Infrastructure Portfolio Institutional Shares (GLIFX) trade |
| MZMitchell M. ZaisExecutive | AQR Style Premia Alternative Fund Class R6 Shares (QSPRX)fund | Sell | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais AQR Style Premia Alternative Fund Class R6 Shares (QSPRX) trade |
| MZMitchell M. ZaisExecutive | American Beacon AHL Managed Futures Strategy Fund Class R5 Shares (AHLIX)fund | Sell | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais American Beacon AHL Managed Futures Strategy Fund Class R5 Shares (AHLIX) trade |
| MZMitchell M. ZaisExecutive | USAA Short-Term Bond Fund Institutionalfund | Sell | $15,001 – $50,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais USAA Short-Term Bond Fund Institutional trade |
| MZMitchell M. ZaisExecutive | USAA Intermediate-Term Bond Fund Institutional Class Shares (UIITX)fund | Sell | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais USAA Intermediate-Term Bond Fund Institutional Class Shares (UIITX) trade |
| MZMitchell M. ZaisExecutive | USAA Income Fund Institutional Class Sharesfund | Sell | $50,001 – $100,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais USAA Income Fund Institutional Class Shares trade |
| MZMitchell M. ZaisExecutive | USAA High Income Fund Institutional Class Shares (UIHIX)fund | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais USAA High Income Fund Institutional Class Shares (UIHIX) trade |
| MZMitchell M. ZaisExecutive | QUALiShares MSCI USA Quality Factor ETF | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais QUAL trade |
| MZMitchell M. ZaisExecutive | EMLPFirst Trust North American Energy Infrastructure Fund | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais EMLP trade |
| MZMitchell M. ZaisExecutive | MMM3M Company | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais MMM trade |
| MZMitchell M. ZaisExecutive | WestRock Co. (WRK)stock | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais WestRock Co. (WRK) trade |
| MZMitchell M. ZaisExecutive | VODstock | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais VOD trade |
| MZMitchell M. ZaisExecutive | VZVerizon Communications Inc. | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais VZ trade |
| MZMitchell M. ZaisExecutive | USBU.S. Bancorp | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais USB trade |
| MZMitchell M. ZaisExecutive | Total s e disc comlstock | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais Total s e disc coml trade |
| MZMitchell M. ZaisExecutive | TempletonGlobal Income Fund (GIM)fund | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais TempletonGlobal Income Fund (GIM) trade |
| MZMitchell M. ZaisExecutive | TRPTC Energy Corporation | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais TRP trade |
| MZMitchell M. ZaisExecutive | SYYSysco Corporation | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais SYY trade |
| MZMitchell M. ZaisExecutive | STXSeagate Technology Holdings PLC | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais STX trade |
| MZMitchell M. ZaisExecutive | PSXPhillips 66 | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais PSX trade |
| MZMitchell M. ZaisExecutive | MCYMercury General Corporation | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais MCY trade |
| MZMitchell M. ZaisExecutive | IPInternational Paper Company | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais IP trade |
| MZMitchell M. ZaisExecutive | GBDCGolub Capital BDC Inc. | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais GBDC trade |
| MZMitchell M. ZaisExecutive | GMGeneral Motors Company | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais GM trade |
| MZMitchell M. ZaisExecutive | GISGeneral Mills Inc. | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais GIS trade |
| MZMitchell M. ZaisExecutive | XOMExxonMobil Holdings Corporation | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais XOM trade |
| MZMitchell M. ZaisExecutive | DOWDow Inc. | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais DOW trade |
| MZMitchell M. ZaisExecutive | ARCCAres Capital Corporation | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais ARCC trade |
| MZMitchell M. ZaisExecutive | Tstock | Buy | $1,001 – $15,000 | Oct 15, 2020 | Nov 10, 2021 | 391 | Filing for Mitchell M. Zais T trade |
| MZMitchell M. ZaisExecutive | Vanguard Growth & Income Fund Admiral Shares (VGIAX)fund | Buy | $1,001 – $15,000 | Sep 15, 2020 | Nov 10, 2021 | 421 | Filing for Mitchell M. Zais Vanguard Growth & Income Fund Admiral Shares (VGIAX) trade |
| MZMitchell M. ZaisExecutive | AQR Small Cap Multi-Style Fund Class R6 Shares (QSERX)fund | Buy | $1,001 – $15,000 | Sep 15, 2020 | Nov 10, 2021 | 421 | Filing for Mitchell M. Zais AQR Small Cap Multi-Style Fund Class R6 Shares (QSERX) trade |
| MZMitchell M. ZaisExecutive | American Beacon International Equity Fund Class Y Shares (ABEYX)fund | Buy | $1,001 – $15,000 | Sep 15, 2020 | Nov 10, 2021 | 421 | Filing for Mitchell M. Zais American Beacon International Equity Fund Class Y Shares (ABEYX) trade |
| MZMitchell M. ZaisExecutive | USAA Short-Term Bond Fund Institutional Class Shares (UISBX)fund | Buy | $1,001 – $15,000 | Sep 15, 2020 | Nov 10, 2021 | 421 | Filing for Mitchell M. Zais USAA Short-Term Bond Fund Institutional Class Shares (UISBX) trade |
| MZMitchell M. ZaisExecutive | USAA Income Fund Institutional Class Shares (UIINX)fund | Buy | $1,001 – $15,000 | Sep 15, 2020 | Nov 10, 2021 | 421 | Filing for Mitchell M. Zais USAA Income Fund Institutional Class Shares (UIINX) trade |
| MZMitchell M. ZaisExecutive | Baird Core Plus Bond Fund Institutional Class Shares (BCOIX)fund | Buy | $1,001 – $15,000 | Sep 15, 2020 | Nov 10, 2021 | 421 | Filing for Mitchell M. Zais Baird Core Plus Bond Fund Institutional Class Shares (BCOIX) trade |
| MZMitchell M. ZaisExecutive | Victory Sycamore Established Value Fund Class R6 Shares (VEVRX)fund | Buy | $1,001 – $15,000 | Sep 14, 2020 | Nov 10, 2021 | 422 | Filing for Mitchell M. Zais Victory Sycamore Established Value Fund Class R6 Shares (VEVRX) trade |
| MZMitchell M. ZaisExecutive | Vanguard Growth & Income Fund Admiral Shares (VGIAX)fund | Buy | $1,001 – $15,000 | Sep 14, 2020 | Nov 10, 2021 | 422 | Filing for Mitchell M. Zais Vanguard Growth & Income Fund Admiral Shares (VGIAX) trade |
| MZMitchell M. ZaisExecutive | USAA Managed Allocation Fund (UMAFX)fund | Buy | $1,001 – $15,000 | Sep 14, 2020 | Nov 10, 2021 | 422 | Filing for Mitchell M. Zais USAA Managed Allocation Fund (UMAFX) trade |
| MZMitchell M. ZaisExecutive | Hartford Schroders Emerging Markets Equity Fund Class F Shares (HHHFX)fund | Buy | $1,001 – $15,000 | Sep 14, 2020 | Nov 10, 2021 | 422 | Filing for Mitchell M. Zais Hartford Schroders Emerging Markets Equity Fund Class F Shares (HHHFX) trade |
| MZMitchell M. ZaisExecutive | International Equity Portfolio Institutional Class Z Shares (HLIZX)fund | Buy | $1,001 – $15,000 | Sep 14, 2020 | Nov 10, 2021 | 422 | Filing for Mitchell M. Zais International Equity Portfolio Institutional Class Z Shares (HLIZX) trade |
| MZMitchell M. ZaisExecutive | International Equity Portfolio Institutional Class Z Shares (HLIZX)fund | Buy | $1,001 – $15,000 | Sep 14, 2020 | Nov 10, 2021 | 422 | Filing for Mitchell M. Zais International Equity Portfolio Institutional Class Z Shares (HLIZX) trade |