Periodic Transaction Report
| Asset | Ticker | Category | Type | Transaction Date | Amount |
|---|---|---|---|---|---|
| baNK NoVa SCoTIa 0% 1Y: b C LKD S&P 500 MTY 01/31/20 CPN 0.000% DUE 01/31/20 | BOND | Redemption | Jan. 31, 2020 | $50,001 - $100,000 | |
| boFa FIN LLC 0% 1Y: aCCELERaTED RETURN NTS LKD To S&P MTY 01/31/20 CPN 0.000% DUE 01/31/20 | NOTE | Redemption | Jan. 31, 2020 | $100,001 - $250,000 | |
| american balanced Fund Class a | AMB AX | FUND | Purchase | Jan. 16, 2020 | $1,001 - $15,000 |
| Invesco Ltd (IVZ) | IVZ | STOCK | Purchase | Jan. 16, 2020 | $1,001 - $15,000 |