| KMKatharine MacGregorExecutive | AMZNAmazon.com Inc. | Sell | $1,001 – $15,000 | Apr 14, 2020 | Mar 20, 2021 | 340 | Filing for Katharine MacGregor AMZN trade |
| KMKatharine MacGregorExecutive | Vanguard 500 Index Fund Admiral Shares (VFIAX)etf | Buy | $1,001 – $15,000 | Apr 12, 2020 | Mar 20, 2021 | 342 | Filing for Katharine MacGregor Vanguard 500 Index Fund Admiral Shares (VFIAX) trade |
| KMKatharine MacGregorExecutive | Vanguard 500 Index Fund Admiral Shares (VFIAX)etf | Buy | $1,001 – $15,000 | Mar 22, 2020 | Mar 20, 2021 | 363 | Filing for Katharine MacGregor Vanguard 500 Index Fund Admiral Shares (VFIAX) trade |
| KMKatharine MacGregorExecutive | Vanguard 500 Index Fund Admiral Sharesetf | Buy | $15,001 – $50,000 | Mar 15, 2020 | Mar 20, 2021 | 370 | Filing for Katharine MacGregor Vanguard 500 Index Fund Admiral Shares trade |
| ELEllen McCausland LordExecutive | T Rowe Price New Horizons Fund, Inc (PRNHX)fund | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord T Rowe Price New Horizons Fund, Inc (PRNHX) trade |
| ELEllen McCausland LordExecutive | T Rowe Price Tax-Free Short-Intermediate Fund, Inc (PRFSX)fund | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord T Rowe Price Tax-Free Short-Intermediate Fund, Inc (PRFSX) trade |
| ELEllen McCausland LordExecutive | Janus Henderson European Focus Fund Class I Shares (HFEIX)fund | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord Janus Henderson European Focus Fund Class I Shares (HFEIX) trade |
| ELEllen McCausland LordExecutive | Abbey Capital Futures Strategy Fund Class I Shares (ABYIX)fund | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord Abbey Capital Futures Strategy Fund Class I Shares (ABYIX) trade |
| ELEllen McCausland LordExecutive | VWOVanguard FTSE Emerging Markets ETF | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord VWO trade |
| ELEllen McCausland LordExecutive | Morgan Stanley Institutional Fund Trust Growth Portfolio Class I Shares (MSEQX)fund | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord Morgan Stanley Institutional Fund Trust Growth Portfolio Class I Shares (MSEQX) trade |
| ELEllen McCausland LordExecutive | IJRiShares Core S&P Small-Cap ETF | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord IJR trade |
| ELEllen McCausland LordExecutive | Lyrical US Value Equity Fund Institutional Class Shares (LYRIX)fund | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord Lyrical US Value Equity Fund Institutional Class Shares (LYRIX) trade |
| ELEllen McCausland LordExecutive | TPYPTortoise North American Pipeline ETF | Sell | $1,001 – $15,000 | Sep 14, 2020 | Mar 18, 2021 | 185 | Filing for Ellen McCausland Lord TPYP trade |
| ELEllen McCausland LordExecutive | Neuberger Berman Long Short Fundfund | Buy | $50,001 – $100,000 | Jun 26, 2020 | Mar 18, 2021 | 265 | Filing for Ellen McCausland Lord Neuberger Berman Long Short Fund trade |
| ELEllen McCausland LordExecutive | Neuberger Berman MLP and Energy Incomestock | Sell | $50,001 – $100,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord Neuberger Berman MLP and Energy Income trade |
| ELEllen McCausland LordExecutive | AQR Managed Futures Strategy Fund Class I Shares (AQMIX)fund | Buy | $1,001 – $15,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord AQR Managed Futures Strategy Fund Class I Shares (AQMIX) trade |
| ELEllen McCausland LordExecutive | IJHiShares Core S&P Mid-Cap ETF | Buy | $1,001 – $15,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord IJH trade |
| ELEllen McCausland LordExecutive | IJKiShares S&P Mid-Cap 400 Growth ETF | Buy | $15,001 – $50,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord IJK trade |
| ELEllen McCausland LordExecutive | Eaton VanceTax-ManagedGlobal Diversifiedstock | Buy | $15,001 – $50,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord Eaton VanceTax-ManagedGlobal Diversified trade |
| ELEllen McCausland LordExecutive | Janus Henderson European Focus Fundfund | Buy | $15,001 – $50,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord Janus Henderson European Focus Fund trade |
| ELEllen McCausland LordExecutive | TPYPTortoise North American Pipeline ETF | Buy | $15,001 – $50,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord TPYP trade |
| ELEllen McCausland LordExecutive | RSPInvesco S&P 500 Equal Weight ETF | Buy | $15,001 – $50,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord RSP trade |
| ELEllen McCausland LordExecutive | VanguardEmerging Markets Stock Index Fundfund | Buy | $15,001 – $50,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord VanguardEmerging Markets Stock Index Fund trade |
| ELEllen McCausland LordExecutive | Morgan Stanley Institutional Fund Trustfund | Buy | $50,001 – $100,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord Morgan Stanley Institutional Fund Trust trade |
| ELEllen McCausland LordExecutive | Abbey Capital Futures Strategy Fund Class Ifund | Buy | $15,001 – $50,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord Abbey Capital Futures Strategy Fund Class I trade |
| ELEllen McCausland LordExecutive | PGIM Short-Term Corporate Bond Fund Classfund | Buy | $50,001 – $100,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord PGIM Short-Term Corporate Bond Fund Class trade |
| ELEllen McCausland LordExecutive | Lyrical US Value Equity Fund Institutionalfund | Buy | $50,001 – $100,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord Lyrical US Value Equity Fund Institutional trade |
| ELEllen McCausland LordExecutive | IJRiShares Core S&P Small-Cap ETF | Buy | $50,001 – $100,000 | Apr 14, 2020 | Mar 18, 2021 | 338 | Filing for Ellen McCausland Lord IJR trade |
| ELEllen McCausland LordExecutive | Virtus Newfleet Multi-Sector Short Term Bondstock | Sell | $50,001 – $100,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord Virtus Newfleet Multi-Sector Short Term Bond trade |
| ELEllen McCausland LordExecutive | Franklin Mutual European Fund Class Zfund | Sell | $15,001 – $50,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord Franklin Mutual European Fund Class Z trade |
| ELEllen McCausland LordExecutive | T Rowe Price Japan Fund (PRJPX)fund | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord T Rowe Price Japan Fund (PRJPX) trade |
| ELEllen McCausland LordExecutive | AQR Managed Futures Strategy Fund Class I Shares (AQMIX)fund | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord AQR Managed Futures Strategy Fund Class I Shares (AQMIX) trade |
| ELEllen McCausland LordExecutive | EXGEaton Vance Tax-Managed Global Diversified Equity Income Fund | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord EXG trade |
| ELEllen McCausland LordExecutive | T Rowe Price Tax-Free Short-Intermediate Fund, Inc (PRFSX)fund | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord T Rowe Price Tax-Free Short-Intermediate Fund, Inc (PRFSX) trade |
| ELEllen McCausland LordExecutive | Cullen International High Dividend Fund Class I Shares (CIHIX)fund | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord Cullen International High Dividend Fund Class I Shares (CIHIX) trade |
| ELEllen McCausland LordExecutive | VBKVanguard Morningstar Small-Cap Growth ETF | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord VBK trade |
| ELEllen McCausland LordExecutive | Virtus VontobelEmerging Marketsstock | Sell | $15,001 – $50,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord Virtus VontobelEmerging Markets trade |
| ELEllen McCausland LordExecutive | DoubleLine Total Return Bond Fund Class I Shares (DBLTX)fund | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord DoubleLine Total Return Bond Fund Class I Shares (DBLTX) trade |
| ELEllen McCausland LordExecutive | IJKiShares S&P Mid-Cap 400 Growth ETF | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord IJK trade |
| ELEllen McCausland LordExecutive | FTAFirst Trust Large Cap Value AlphaDEX Fund | Sell | $50,001 – $100,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord FTA trade |
| ELEllen McCausland LordExecutive | IJHiShares Core S&P Mid-Cap ETF | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord IJH trade |
| ELEllen McCausland LordExecutive | Calamos Market Neutral Income Fund Class I Shares (CMNIX)fund | Sell | $1,001 – $15,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord Calamos Market Neutral Income Fund Class I Shares (CMNIX) trade |
| ELEllen McCausland LordExecutive | PGIM Short-Term Corporate Bond Fund Classfund | Sell | $15,001 – $50,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord PGIM Short-Term Corporate Bond Fund Class trade |
| ELEllen McCausland LordExecutive | ISCViShares Morningstar Small-Cap Value ETF | Sell | $15,001 – $50,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord ISCV trade |
| ELEllen McCausland LordExecutive | RSPInvesco S&P 500 Equal Weight ETF | Sell | $15,001 – $50,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord RSP trade |
| ELEllen McCausland LordExecutive | Neuberger Berman Equity Income Fundfund | Sell | $100,001 – $250,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord Neuberger Berman Equity Income Fund trade |
| ELEllen McCausland LordExecutive | EuroPacific Growth Fund Class F2 Sharesfund | Sell | $100,001 – $250,000 | Mar 4, 2020 | Mar 18, 2021 | 379 | Filing for Ellen McCausland Lord EuroPacific Growth Fund Class F2 Shares trade |
| ELEllen McCausland LordExecutive | PGIM Total Return Bond Fund Class Z Shares (PDBZX)fund | Buy | $1,001 – $15,000 | Feb 24, 2020 | Mar 18, 2021 | 388 | Filing for Ellen McCausland Lord PGIM Total Return Bond Fund Class Z Shares (PDBZX) trade |
| ELEllen McCausland LordExecutive | Neuberger Berman Equity Income Fund Institutional Class Shares (NBHIX)fund | Buy | $1,001 – $15,000 | Feb 24, 2020 | Mar 18, 2021 | 388 | Filing for Ellen McCausland Lord Neuberger Berman Equity Income Fund Institutional Class Shares (NBHIX) trade |
| ELEllen McCausland LordExecutive | DoubleLine Total Return Bond Fund Class I Shares (DBLTX)fund | Buy | $1,001 – $15,000 | Feb 13, 2020 | Mar 18, 2021 | 399 | Filing for Ellen McCausland Lord DoubleLine Total Return Bond Fund Class I Shares (DBLTX) trade |