| ELEllen McCausland LordExecutive | Hartford Growth Opportunities Fund Class Ifund | Buy | $15,001 – $50,000 | Feb 13, 2020 | Mar 18, 2021 | 399 | Filing for Ellen McCausland Lord Hartford Growth Opportunities Fund Class I trade |
| ELEllen McCausland LordExecutive | Franklin K2 Alternative Strategies Fundfund | Sell | $15,001 – $50,000 | Feb 13, 2020 | Mar 18, 2021 | 399 | Filing for Ellen McCausland Lord Franklin K2 Alternative Strategies Fund trade |
| ELEllen McCausland LordExecutive | Hartford Growth Opportunities Fund Class Ifund | Sell | $15,001 – $50,000 | Feb 13, 2020 | Mar 18, 2021 | 399 | Filing for Ellen McCausland Lord Hartford Growth Opportunities Fund Class I trade |
| ELEllen McCausland LordExecutive | Highland Long/Short Equity Fund Class Zfund | Sell | $100,001 – $250,000 | Feb 13, 2020 | Mar 18, 2021 | 399 | Filing for Ellen McCausland Lord Highland Long/Short Equity Fund Class Z trade |
| ELEllen McCausland LordExecutive | PGIM Total Return Bond Fund Class Zfund | Sell | $15,001 – $50,000 | Feb 13, 2020 | Mar 18, 2021 | 399 | Filing for Ellen McCausland Lord PGIM Total Return Bond Fund Class Z trade |
| ELEllen McCausland LordExecutive | Franklin K2 Alternative Strategies Fund Advisor Class Shares (FABZX)fund | Buy | $1,001 – $15,000 | Feb 4, 2020 | Mar 18, 2021 | 408 | Filing for Ellen McCausland Lord Franklin K2 Alternative Strategies Fund Advisor Class Shares (FABZX) trade |
| JYJanet L. YellenExecutive | Vanguard 500 Index Fund Admiral Shares (VFIAX)etf | Buy | $250,001 – $500,000 | Feb 19, 2021 | Mar 11, 2021 | 20 | Filing for Janet L. Yellen Vanguard 500 Index Fund Admiral Shares (VFIAX) trade |
| JYJanet L. YellenExecutive | TAT&T Inc. | Sell | $1,001 – $15,000 | Feb 9, 2021 | Mar 11, 2021 | 30 | Filing for Janet L. Yellen T trade |
| JYJanet L. YellenExecutive | BNY Mellon Dynamic Value Fund Class I Shares (DRGVX)fund | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen BNY Mellon Dynamic Value Fund Class I Shares (DRGVX) trade |
| JYJanet L. YellenExecutive | VTRSViatris Inc. | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen VTRS trade |
| JYJanet L. YellenExecutive | RTXRTX Corporation | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen RTX trade |
| JYJanet L. YellenExecutive | TDCTeradata Corporation | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen TDC trade |
| JYJanet L. YellenExecutive | PFEPfizer Inc. | Sell | $50,001 – $100,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen PFE trade |
| JYJanet L. YellenExecutive | PSXPhillips 66 | Sell | $15,001 – $50,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen PSX trade |
| JYJanet L. YellenExecutive | Office Depot, Inc. (ODP)stock | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen Office Depot, Inc. (ODP) trade |
| JYJanet L. YellenExecutive | NSCNorfolk Southern Corporation | Sell | $100,001 – $250,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen NSC trade |
| JYJanet L. YellenExecutive | NCR Corp. (NCR)stock | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen NCR Corp. (NCR) trade |
| JYJanet L. YellenExecutive | DDDuPont de Nemours Inc. | Sell | $15,001 – $50,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen DD trade |
| JYJanet L. YellenExecutive | DOWDow Inc. | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen DOW trade |
| JYJanet L. YellenExecutive | CCChemours Company (The) | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen CC trade |
| JYJanet L. YellenExecutive | COPConocoPhillips | Sell | $15,001 – $50,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen COP trade |
| JYJanet L. YellenExecutive | CTVACorteva Inc. | Sell | $1,001 – $15,000 | Feb 8, 2021 | Mar 11, 2021 | 31 | Filing for Janet L. Yellen CTVA trade |
| BCBenjamin S. CarsonExecutive | Blackrock High Yield Portfolio Services Sharesfund | Buy | $100,001 – $250,000 | Feb 19, 2021 | Mar 10, 2021 | 19 | Filing for Benjamin S. Carson Blackrock High Yield Portfolio Services Shares trade |
| BCBenjamin S. CarsonExecutive | Undiscovered Mgr Behavioral Value Astock | Sell | $100,001 – $250,000 | Jan 5, 2021 | Mar 10, 2021 | 64 | Filing for Benjamin S. Carson Undiscovered Mgr Behavioral Value A trade |
| BCBenjamin S. CarsonExecutive | Baron Growthstock | Sell | $100,001 – $250,000 | Jan 5, 2021 | Mar 10, 2021 | 64 | Filing for Benjamin S. Carson Baron Growth trade |
| BCBenjamin S. CarsonExecutive | Oppenheimer Developing Markets Astock | Sell | $100,001 – $250,000 | Jan 5, 2021 | Mar 10, 2021 | 64 | Filing for Benjamin S. Carson Oppenheimer Developing Markets A trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge All Asset VRPstock | Sell | $15,001 – $50,000 | Dec 9, 2020 | Mar 10, 2021 | 91 | Filing for Benjamin S. Carson Stone Ridge All Asset VRP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge All Asset VRPstock | Sell | $50,001 – $100,000 | Dec 9, 2020 | Mar 10, 2021 | 91 | Filing for Benjamin S. Carson Stone Ridge All Asset VRP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge Reinsurance RPstock | Sell | $1,001 – $15,000 | Nov 20, 2020 | Mar 10, 2021 | 110 | Filing for Benjamin S. Carson Stone Ridge Reinsurance RP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge Reinsurance RPstock | Sell | $15,001 – $50,000 | Nov 20, 2020 | Mar 10, 2021 | 110 | Filing for Benjamin S. Carson Stone Ridge Reinsurance RP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge All Asset VRPstock | Sell | $15,001 – $50,000 | Oct 9, 2020 | Mar 10, 2021 | 152 | Filing for Benjamin S. Carson Stone Ridge All Asset VRP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge All Asset VRPstock | Sell | $100,001 – $250,000 | Oct 9, 2020 | Mar 10, 2021 | 152 | Filing for Benjamin S. Carson Stone Ridge All Asset VRP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge Reinsurance RPstock | Sell | $1,001 – $15,000 | Aug 21, 2020 | Mar 10, 2021 | 201 | Filing for Benjamin S. Carson Stone Ridge Reinsurance RP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge Reinsurance RPstock | Sell | $15,001 – $50,000 | Aug 21, 2020 | Mar 10, 2021 | 201 | Filing for Benjamin S. Carson Stone Ridge Reinsurance RP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge All Asset VRPstock | Sell | $50,001 – $100,000 | Jul 10, 2020 | Mar 10, 2021 | 243 | Filing for Benjamin S. Carson Stone Ridge All Asset VRP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge All Asset VRPstock | Sell | $100,001 – $250,000 | Jul 10, 2020 | Mar 10, 2021 | 243 | Filing for Benjamin S. Carson Stone Ridge All Asset VRP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge Reinsurance RPstock | Sell | $1,001 – $15,000 | May 29, 2020 | Mar 10, 2021 | 285 | Filing for Benjamin S. Carson Stone Ridge Reinsurance RP trade |
| BCBenjamin S. CarsonExecutive | Stone Ridge Reinsurnace RPstock | Sell | $15,001 – $50,000 | May 29, 2020 | Mar 10, 2021 | 285 | Filing for Benjamin S. Carson Stone Ridge Reinsurnace RP trade |
| BCBenjamin S. CarsonExecutive | Kellogg Co (K)stock | Sell | $500,001 – $1,000,000 | Mar 18, 2020 | Mar 10, 2021 | 357 | Filing for Benjamin S. Carson Kellogg Co (K) trade |
| BCBenjamin S. CarsonExecutive | GS Fin Corp Medium Term Notestock | Sell | $50,001 – $100,000 | Feb 28, 2020 | Mar 10, 2021 | 376 | Filing for Benjamin S. Carson GS Fin Corp Medium Term Note trade |
| BCBenjamin S. CarsonExecutive | GS Fin Corp Medium Term Notestock | Buy | $250,001 – $500,000 | Feb 28, 2020 | Mar 10, 2021 | 376 | Filing for Benjamin S. Carson GS Fin Corp Medium Term Note trade |
| BCBenjamin S. CarsonExecutive | GS Fin Corp Medium Term Notestock | Sell | $500,001 – $1,000,000 | Feb 28, 2020 | Mar 10, 2021 | 376 | Filing for Benjamin S. Carson GS Fin Corp Medium Term Note trade |
| BCBenjamin S. CarsonExecutive | AllianzGI Small-Cap Fund Class A Sharesfund | Sell | $15,001 – $50,000 | Feb 19, 2020 | Mar 10, 2021 | 385 | Filing for Benjamin S. Carson AllianzGI Small-Cap Fund Class A Shares trade |
| BCBenjamin S. CarsonExecutive | PIMCO CommodityRealReturn Strategy Fundfund | Sell | $50,001 – $100,000 | Feb 19, 2020 | Mar 10, 2021 | 385 | Filing for Benjamin S. Carson PIMCO CommodityRealReturn Strategy Fund trade |
| BCBenjamin S. CarsonExecutive | Thornburg Limited Term Municipal Fund Classfund | Sell | $50,001 – $100,000 | Feb 19, 2020 | Mar 10, 2021 | 385 | Filing for Benjamin S. Carson Thornburg Limited Term Municipal Fund Class trade |
| BCBenjamin S. CarsonExecutive | AllianzGI Small-Cap Fund Class A Sharesfund | Sell | $100,001 – $250,000 | Feb 19, 2020 | Mar 10, 2021 | 385 | Filing for Benjamin S. Carson AllianzGI Small-Cap Fund Class A Shares trade |
| BCBenjamin S. CarsonExecutive | MetWest High Yield Bond Fund Class Mfund | Sell | $100,001 – $250,000 | Feb 19, 2020 | Mar 10, 2021 | 385 | Filing for Benjamin S. Carson MetWest High Yield Bond Fund Class M trade |
| BCBenjamin S. CarsonExecutive | PIMCO CommodityRealReturn Strategy Fundfund | Sell | $50,001 – $100,000 | Feb 4, 2020 | Mar 10, 2021 | 400 | Filing for Benjamin S. Carson PIMCO CommodityRealReturn Strategy Fund trade |
| BMBrian D. MontgomeryExecutive | Dodge & Cox Income Fund DODIXfund | Sell | $1,001 – $15,000 | Oct 9, 2020 | Mar 2, 2021 | 144 | Filing for Brian D. Montgomery Dodge & Cox Income Fund DODIX trade |
| BMBrian D. MontgomeryExecutive | Bridge Builder Small/Mid Cap Growth Fund BBGSXfund | Sell | $1,001 – $15,000 | Sep 3, 2020 | Mar 2, 2021 | 180 | Filing for Brian D. Montgomery Bridge Builder Small/Mid Cap Growth Fund BBGSX trade |