| MZMitchell M. ZaisExecutive | Victory Sycamore Established Value Fund Class R Shares (GETGX)fund | Buy | $1,001 – $15,000 | May 18, 2020 | Dec 11, 2020 | 207 | Filing for Mitchell M. Zais Victory Sycamore Established Value Fund Class R Shares (GETGX) trade |
| MZMitchell M. ZaisExecutive | Vanguard Growth & Income Fund Admiral Shares (VGIAX)fund | Buy | $1,001 – $15,000 | May 18, 2020 | Dec 11, 2020 | 207 | Filing for Mitchell M. Zais Vanguard Growth & Income Fund Admiral Shares (VGIAX) trade |
| MZMitchell M. ZaisExecutive | USAA Income Fund Institutional Shares (UIINX)fund | Buy | $1,001 – $15,000 | May 18, 2020 | Dec 11, 2020 | 207 | Filing for Mitchell M. Zais USAA Income Fund Institutional Shares (UIINX) trade |
| MZMitchell M. ZaisExecutive | USAA Managed Allocation Fund (UMAFX)fund | Buy | $1,001 – $15,000 | May 18, 2020 | Dec 11, 2020 | 207 | Filing for Mitchell M. Zais USAA Managed Allocation Fund (UMAFX) trade |
| MZMitchell M. ZaisExecutive | Harding Loevner International Equity Portfolio (HLMIX)fund | Buy | $1,001 – $15,000 | May 18, 2020 | Dec 11, 2020 | 207 | Filing for Mitchell M. Zais Harding Loevner International Equity Portfolio (HLMIX) trade |
| MZMitchell M. ZaisExecutive | Goldman Sachs International Small Cap Insights Fund (GICIX)fund | Buy | $1,001 – $15,000 | May 18, 2020 | Dec 11, 2020 | 207 | Filing for Mitchell M. Zais Goldman Sachs International Small Cap Insights Fund (GICIX) trade |
| MZMitchell M. ZaisExecutive | Baird Core Plus Bond Fund (BCOIX)fund | Buy | $1,001 – $15,000 | May 18, 2020 | Dec 11, 2020 | 207 | Filing for Mitchell M. Zais Baird Core Plus Bond Fund (BCOIX) trade |
| MZMitchell M. ZaisExecutive | BABoeing Company (The) | Sell | $1,001 – $15,000 | May 14, 2020 | Dec 11, 2020 | 211 | Filing for Mitchell M. Zais BA trade |
| MZMitchell M. ZaisExecutive | AAPLApple Inc. | Sell | $1,001 – $15,000 | May 14, 2020 | Dec 11, 2020 | 211 | Filing for Mitchell M. Zais AAPL trade |
| MZMitchell M. ZaisExecutive | TAT&T Inc. | Buy | $1,001 – $15,000 | May 14, 2020 | Dec 11, 2020 | 211 | Filing for Mitchell M. Zais T trade |
| MZMitchell M. ZaisExecutive | AAPLApple Inc. | Sell | $1,001 – $15,000 | May 12, 2020 | Dec 11, 2020 | 213 | Filing for Mitchell M. Zais AAPL trade |
| MZMitchell M. ZaisExecutive | TAT&T Inc. | Buy | $1,001 – $15,000 | May 12, 2020 | Dec 11, 2020 | 213 | Filing for Mitchell M. Zais T trade |
| MZMitchell M. ZaisExecutive | American Beacon International Equity Fund Class Y (ABEYX)fund | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais American Beacon International Equity Fund Class Y (ABEYX) trade |
| MZMitchell M. ZaisExecutive | Victory Sycamore Established Value Fund Class R6 Shares (VEVRX)fund | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais Victory Sycamore Established Value Fund Class R6 Shares (VEVRX) trade |
| MZMitchell M. ZaisExecutive | Vanguard Growth and Income Fund Admiral Shares (VGIAX)fund | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais Vanguard Growth and Income Fund Admiral Shares (VGIAX) trade |
| MZMitchell M. ZaisExecutive | USAA Income Fund Institutional Shares (UIINX)fund | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais USAA Income Fund Institutional Shares (UIINX) trade |
| MZMitchell M. ZaisExecutive | USAA Managed Allocation Fund (UMAFX)fund | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais USAA Managed Allocation Fund (UMAFX) trade |
| MZMitchell M. ZaisExecutive | Harding Loevner International Equity Portfolio (HLMIX)fund | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais Harding Loevner International Equity Portfolio (HLMIX) trade |
| MZMitchell M. ZaisExecutive | Goldman Sachs International Small Cap Insights Fund (GICIX)fund | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais Goldman Sachs International Small Cap Insights Fund (GICIX) trade |
| MZMitchell M. ZaisExecutive | Baird Core Plus Bond (BCOIX)stock | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais Baird Core Plus Bond (BCOIX) trade |
| MZMitchell M. ZaisExecutive | American Beacon AHL Managed Futures Strategy F (AHLIX)stock | Buy | $1,001 – $15,000 | May 6, 2020 | Dec 11, 2020 | 219 | Filing for Mitchell M. Zais American Beacon AHL Managed Futures Strategy F (AHLIX) trade |
| MZMitchell M. ZaisExecutive | Goldman Sachs International Small Cap Insights Fund Class R6 Shares (GICUX)fund | Sell | $1,001 – $15,000 | Apr 24, 2020 | Dec 11, 2020 | 231 | Filing for Mitchell M. Zais Goldman Sachs International Small Cap Insights Fund Class R6 Shares (GICUX) trade |
| MZMitchell M. ZaisExecutive | American Beacon International Equity Fund Class Y Shares (ABEYX)fund | Sell | $1,001 – $15,000 | Apr 24, 2020 | Dec 11, 2020 | 231 | Filing for Mitchell M. Zais American Beacon International Equity Fund Class Y Shares (ABEYX) trade |
| MZMitchell M. ZaisExecutive | USAA Income Fund Institutional Class Shares (UIINX)fund | Buy | $1,001 – $15,000 | Apr 24, 2020 | Dec 11, 2020 | 231 | Filing for Mitchell M. Zais USAA Income Fund Institutional Class Shares (UIINX) trade |
| MZMitchell M. ZaisExecutive | USAA Short-Term Bond Fund Institutional Class Shares (UISBX)fund | Buy | $1,001 – $15,000 | Apr 24, 2020 | Dec 11, 2020 | 231 | Filing for Mitchell M. Zais USAA Short-Term Bond Fund Institutional Class Shares (UISBX) trade |
| MZMitchell M. ZaisExecutive | Baird Core Plus Bond Fund Institutional Class Shares (BCOIX)fund | Buy | $1,001 – $15,000 | Apr 24, 2020 | Dec 11, 2020 | 231 | Filing for Mitchell M. Zais Baird Core Plus Bond Fund Institutional Class Shares (BCOIX) trade |
| MZMitchell M. ZaisExecutive | American Beacon AHL Managed Futures Strategy Fund Class R5 Shares (AHLIX)fund | Buy | $1,001 – $15,000 | Apr 24, 2020 | Dec 11, 2020 | 231 | Filing for Mitchell M. Zais American Beacon AHL Managed Futures Strategy Fund Class R5 Shares (AHLIX) trade |
| MZMitchell M. ZaisExecutive | AQR Style Premia Alternative Fund Class R6 Shares (QSPRX)fund | Buy | $1,001 – $15,000 | Apr 24, 2020 | Dec 11, 2020 | 231 | Filing for Mitchell M. Zais AQR Style Premia Alternative Fund Class R6 Shares (QSPRX) trade |
| MZMitchell M. ZaisExecutive | IEFAiShares Core MSCI EAFE ETF | Sell | $1,001 – $15,000 | Apr 3, 2020 | Dec 11, 2020 | 252 | Filing for Mitchell M. Zais IEFA trade |
| MZMitchell M. ZaisExecutive | EMBiShares J.P. Morgan USD Emerging Markets Bond ETF | Buy | $1,001 – $15,000 | Apr 3, 2020 | Dec 11, 2020 | 252 | Filing for Mitchell M. Zais EMB trade |
| MZMitchell M. ZaisExecutive | WECWEC Energy Group Inc. | Sell | $1,001 – $15,000 | Apr 2, 2020 | Dec 11, 2020 | 253 | Filing for Mitchell M. Zais WEC trade |
| MZMitchell M. ZaisExecutive | DGXQuest Diagnostics Incorporated | Sell | $1,001 – $15,000 | Apr 2, 2020 | Dec 11, 2020 | 253 | Filing for Mitchell M. Zais DGX trade |
| MZMitchell M. ZaisExecutive | TSNTyson Foods Inc. | Buy | $1,001 – $15,000 | Apr 2, 2020 | Dec 11, 2020 | 253 | Filing for Mitchell M. Zais TSN trade |
| MZMitchell M. ZaisExecutive | TRVThe Travelers Companies Inc. | Buy | $1,001 – $15,000 | Apr 2, 2020 | Dec 11, 2020 | 253 | Filing for Mitchell M. Zais TRV trade |
| MZMitchell M. ZaisExecutive | EXCExelon Corporation | Buy | $1,001 – $15,000 | Apr 2, 2020 | Dec 11, 2020 | 253 | Filing for Mitchell M. Zais EXC trade |
| MZMitchell M. ZaisExecutive | IEFAiShares Core MSCI EAFE ETF | Buy | $1,001 – $15,000 | Mar 26, 2020 | Dec 11, 2020 | 260 | Filing for Mitchell M. Zais IEFA trade |
| MZMitchell M. ZaisExecutive | Victory Sycamore Established Value Fund Class R6 Shares (VEVRX)fund | Buy | $1,001 – $15,000 | Mar 25, 2020 | Dec 11, 2020 | 261 | Filing for Mitchell M. Zais Victory Sycamore Established Value Fund Class R6 Shares (VEVRX) trade |
| MZMitchell M. ZaisExecutive | USAA High Income Fund INSTL (UIHIX)fund | Buy | $1,001 – $15,000 | Mar 25, 2020 | Dec 11, 2020 | 261 | Filing for Mitchell M. Zais USAA High Income Fund INSTL (UIHIX) trade |
| MZMitchell M. ZaisExecutive | IEFiShares 7-10 Year Treasury Bond ETF | Sell | $1,001 – $15,000 | Mar 21, 2020 | Dec 11, 2020 | 265 | Filing for Mitchell M. Zais IEF trade |
| MZMitchell M. ZaisExecutive | AQR Small Cap Multi Style FD CL (QSMLX)fund | Sell | $1,001 – $15,000 | Mar 19, 2020 | Dec 11, 2020 | 267 | Filing for Mitchell M. Zais AQR Small Cap Multi Style FD CL (QSMLX) trade |
| BBBarbara M. BarrettExecutive | IYWiShares U.S. Technology ETF | Sell | $15,001 – $50,000 | Oct 30, 2020 | Dec 4, 2020 | 35 | Filing for Barbara M. Barrett IYW trade |
| BBBarbara M. BarrettExecutive | IYTiShares U.S. Transportation ETF | Sell | $15,001 – $50,000 | Oct 30, 2020 | Dec 4, 2020 | 35 | Filing for Barbara M. Barrett IYT trade |
| BBBarbara M. BarrettExecutive | IYTiShares U.S. Transportation ETF | Sell | $15,001 – $50,000 | Oct 30, 2020 | Dec 4, 2020 | 35 | Filing for Barbara M. Barrett IYT trade |
| BBBarbara M. BarrettExecutive | Impele Holdings LLCother | Buy | $50,001 – $100,000 | Oct 6, 2020 | Dec 4, 2020 | 59 | Filing for Barbara M. Barrett Impele Holdings LLC trade |
| ASAndrew SaulExecutive | CACCCredit Acceptance Corporation | Buy | $1,001 – $15,000 | Sep 30, 2020 | Nov 19, 2020 | 50 | Filing for Andrew Saul CACC trade |
| ASAndrew SaulExecutive | CACCCredit Acceptance Corporation | Buy | $1,001 – $15,000 | Sep 30, 2020 | Nov 19, 2020 | 50 | Filing for Andrew Saul CACC trade |
| ASAndrew SaulExecutive | CACCCredit Acceptance Corporation | Buy | $1,001 – $15,000 | Sep 30, 2020 | Nov 19, 2020 | 50 | Filing for Andrew Saul CACC trade |
| ASAndrew SaulExecutive | Vivendi Shs (VIVEF)stock | Sell | $1,001 – $15,000 | Sep 30, 2020 | Nov 19, 2020 | 50 | Filing for Andrew Saul Vivendi Shs (VIVEF) trade |
| ASAndrew SaulExecutive | Vivendi Shs (VIVEF)stock | Sell | $1,001 – $15,000 | Sep 30, 2020 | Nov 19, 2020 | 50 | Filing for Andrew Saul Vivendi Shs (VIVEF) trade |
| ASAndrew SaulExecutive | CACCCredit Acceptance Corporation | Buy | $1,001 – $15,000 | Sep 29, 2020 | Nov 19, 2020 | 51 | Filing for Andrew Saul CACC trade |