K. Michael Conaway

Washington Mutual Inv FD SUbHOLDINg OF: JT E57 (Edward Jones) LOCATION: US DESCRIPTION: Washington Mutual Inv FD

Investment Company of America $100,000 SUbHOLDINg OF: JT E57 (Edward Jones) LOCATION: US DESCRIPTION: Investment Company of America

iShares Core Dividend growth ETF SUbHOLDINg OF: JT E57 (Edward Jones)

Capital World growth & Income Fund $100,000 gfedc SUbHOLDINg OF: JT E57 (Edward Jones) LOCATION: US DESCRIPTION: Capital World growth & Income Fund

AMCAP Fund SUbHOLDINg OF: JT E57 (Edward Jones) 12/17/2020 12/21/2020 $50,001 - LOCATION: US $100,000 gfedc DESCRIPTION: AMCAP Fund 12/17/2020 12/21/2020 $50,001 - gfedc American balanced Fund P $100,000 gfedc SUbHOLDINg OF: JT E57 (Edward Jones) $100,000 LOCATION: US DESCRIPTION: American balanced Fund 12/21/2020 12/24/2020 $15,001 - American Mutual Fund P SUbHOLDINg OF: JT E57 (Edward Jones) LOCATION: US DESCRIPTION: American Mutual Fund American New Economy Fund P SUbHOLDINg OF: JT E57 (Edward Jones) LOCATION: US DESCRIPTION: American New Economy Fund American Small Cap World Fund P ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains > $50,000 cdefg SUbHOLDINg OF: JT E57 (Edward Jones) gfedc LOCATION: US cdfge DESCRIPTION: American Small Cap World Fund efgdc

Fundamental Investors CL A SUbHOLDINg OF: JT E57 (Edward Jones) LOCATION: US DESCRIPTION: Fundamental Investors CL A

Vanguard Div Appreciation ETF ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains > SUbHOLDINg OF: WF 10 (Wells Fargo Financial) gcedf

goldman Sachs Activebeta U.S. Large Cap Equity ETF SUbHOLDINg OF: WF 10 (Wells Fargo Financial)

First Trust DJ Internet Index Fund SUbHOLDINg OF: WF 10 (Wells Fargo Financial)

Vanguard Div Appreciation ETF SUbHOLDINg OF: WF 10 (Wells Fargo Financial)

goldman Sachs Activebeta U.S. Large Cap Equity ETF SUbHOLDINg OF: WF 10 (Wells Fargo Financial)

First Trust DJ Internet Index Fund gcdef SUbHOLDINg OF: WF 10 (Wells Fargo Financial) egcfd

Southwest Airlines Company SUbHOLDINg OF: JT E57 (Edward Jones)

iShares Core Dividend growth ETF SUbHOLDINg OF: JT E57 (Edward Jones)

Darden Restaurants, Inc. SUbHOLDINg OF: JT E57 (Edward Jones)

American Airlines group, Inc. SUbHOLDINg OF: JT E57 (Edward Jones)

UIT First Trust Diversified W115 SUbHOLDINg OF: SP E62 (Edward Jones) LOCATION: US DESCRIPTION: UIT First Trust Diversified W115 Redemption

Vanguard Consumer Staples ETF SUbHOLdINg OF: WF 25 (Wells Fargo Financial)

The blackstone group Inc. Class A SUbHOLdINg OF: WF 25 (Wells Fargo Financial)

Johnson & Johnson SUbHOLdINg OF: WF 25 (Wells Fargo Financial)

Johnson & Johnson SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

First Trust Cloud Computing ETF iD owner asset transaction Date notification amount cap. type Date gains > SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

Chevron Corporation SUbHOLdINg OF: WF 25 (Wells Fargo Financial) dESCRIPTION: CVX result of merger with NbL

Apple Inc. SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

Apple Inc. SUbHOLdINg OF: WF 25 (Wells Fargo Financial)

Noble Energy Inc. (NbL) SUbHOLdINg OF: Wells Fargo > WF48 dESCRIPTION: Merger with CVX

Noble Energy Inc. (NbL) SUbHOLdINg OF: WF 25 (Wells Fargo Financial) dESCRIPTION: Merger with CVX

Chevron Corporation SUbHOLdINg OF: Wells Fargo > WF48 dESCRIPTION: Merger with NbL

Chevron Corporation SUbHOLdINg OF: WF 25 (Wells Fargo Financial) dESCRIPTION: Merger with NbL

JPMORgAN CHASE & CO FIX/FLT JR SbRdNTd PERP $50,000 MAT CLLb NRA TAXAbLE CPN 4.051% dUE 12/29/49 SUbHOLdINg OF: WF 25 (Wells Fargo Financial) LOCATION: US dESCRIPTION: JPMORgAN CHASE & CO FIX/FLT JR SbRdNTd PERP MAT CLLb NRA TAXAbLE CPN 4.051% dUE 12/29/49

Abbott Laboratories (AbT) SUbHOLdINg OF: WF 10 (Wells Fargo Financial) 09/28/2020 10/02/2020 $15,001 - Abbott Laboratories 09/08/2020 09/11/2020 $15,001 - bcdefg SUbHOLdINg OF: WF 25 (Wells Fargo Financial) bcdefg 09/08/2020 09/11/2020 $15,001 - Alphabet Inc. - Class A (gOOgL) P $50,000 gfedcb 09/08/2020 09/11/2020 $15,001 - SUbHOLdINg OF: WF 69 (Wells Fargo Financial) 09/24/2020 09/28/2020 $15,001 - Apple Inc. SUbHOLdINg OF: WF 10 (Wells Fargo Financial) Apple Inc. SUbHOLdINg OF: WF 69 (Wells Fargo Financial) bANK NOVA SCOTIA 0% 1Y: LKd S EURO STOXX 50 INdEX dUE 09/24/2020 CPN 0.000% dUE 09/24/20 iD owner asset transaction Date notification amount cap. type Date gains > SUbHOLdINg OF: WF 25 (Wells Fargo Financial) LOCATION: US dESCRIPTION: bANK NOVA SCOTIA 0% 1Y: LKd EURO STOXX 50 INdEX dUE 09/24/2020 CPN 0.000% dUE 09/24/20 Redemption

Principal U.S. Mega-Cap ETF iD owner asset transaction Date notification amount cap. type Date gains > bcdegf SUbHOLdINg OF: WF 25 (Wells Fargo Financial) bcdefg

First Trust NASdAQ Cybersecurity ETF SUbHOLdINg OF: WF 25 (Wells Fargo Financial)

Vanguard Consumer Staples ETF SUbHOLdINg OF: WF 53 (Wells Fargo Financial)

Vanguard Consumer Staples ETF SUbHOLdINg OF: WF 25 (Wells Fargo Financial)

Vanguard Consumer Staples ETF SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

FIFTH THIRd bANCORP FIX TO FLT JR SbRdNTd CALLAbLE PERPTL CPN 5.100% dUE $50,000 12/31/49 SUbHOLdINg OF: WF 10 (Wells Fargo Financial) LOCATION: US dESCRIPTION: FIFTH THIRd bANCORP FIX TO FLT JR SbRdNTd CALLAbLE PERPTL CPN 5.100% dUE 12/31/49

JP Morgan Chase & Co. $50,000 SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

Vanguard div Appreciation ETF SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

dR S&P 500 SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

Principal U.S. Mega-Cap ETF gedcbf SUbHOLdINg OF: WF 10 (Wells Fargo Financial) fedcbg

JP Morgan Chase & Co. $50,000 SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

Intuit Inc. SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

iShares Core dividend growth ETF SUbHOLdINg OF: SP E62 (Edward Jones)

FT divers Income & growth Fall 15 SUbHOLdINg OF: SP E62 (Edward Jones) LOCATION: US dESCRIPTION: FT divers Income & growth Fall 15 Redemption

Visa Inc. SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

U.S. bancorp (USb) SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

dR Select Sector Fund - Health Care SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

dR S&P dividend ETF (SdY) $50,000 SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

dR S&P dividend ETF (SdY) $50,000 SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

dR bloomberg barclays Convertible Securities ETF (CWb) SUbHOLdINg OF: WF 10 (Wells Fargo Financial)

PNC Financial Services group, Inc. SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

PNC Financial Services group, Inc. gfedc SUbHOLdINg OF: WF 10 (Wells Fargo Financial) gfedc gfedc

Johnson & Johnson iD owner asset transaction Date notification amount cap. type Date gains > SUbHOLdINg OF: SP E62 (Edward Jones) cdefg edcfg

duke Energy Corporation (dUK) SUbHOLdINg OF: SP E62 (Edward Jones)

American Express Company $50,000 gcfed SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

American Electric Power Company, Inc. SUbHOLdINg OF: SP E62 (Edward Jones) bcdefg

AMERICAN FUNdS THE TAX EXEMPT bONd FUNd OF AMERICA SUbHOLdINg OF: SP E62 (Edward Jones) LOCATION: US dESCRIPTION: AMERICAN FUNdS THE TAX EXEMPT bONd FUNd OF AMERICA

Raytheon Technologies Corporation SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

Pfizer, Inc. SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

Home depot, Inc. (Hd) SUbHOLdINg OF: WF 69 (Wells Fargo Financial) gfebcd

Apple Inc. SUbHOLdINg OF: WF 69 (Wells Fargo Financial) ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains >

Amazon.com, Inc. SUbHOLdINg OF: WF 69 (Wells Fargo Financial)

"CITIgROUP INC PERPETUAL FIX/FLT bONdS CALLAbLE CPN 6.125% dUE 12/29/49 dTd $250,000 11/13/15 FC 05/15/16 CALL1 11/15/20 @ 100.000, CUSIP- 172967Kd2" SUbHOLdINg OF: WF 95 (Wells Fargo Financial) LOCATION: US dESCRIPTION: "CITIgROUP INC PERPETUAL FIX/FLT bONdS CALLAbLE CPN 6.125% dUE 12/29/49 dTd 11/13/15 FC 05/15/16 CALL1 11/15/20 @ 100.000, CUSIP-172967Kd2"

JPMORgAN FEDERAL MONEY MARKET FUND SUbHOLDINg OF: SP E48 (Edward Jones) LOCATION: US DESCRIPTION: JPMORgAN FEDERAL MONEY MARKET FUND ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains >

Legg Mason global Infrastructure ETF SUbHOLDINg OF: SP E48 (Edward Jones)

JPMORgAN FEDERAL MONEY MARKET FUND SUbHOLDINg OF: SP E48 (Edward Jones) LOCATION: US DESCRIPTION: JPMORgAN FEDERAL MONEY MARKET FUND

Vanguard Large-Cap ETF SUbHOLDINg OF: SP E48 (Edward Jones)

PgIM High Yield bond Fund, Inc. SUbHOLDINg OF: SP E48 (Edward Jones)

JPMORgAN FEDERAL MONEY MARKET FUND $50,000 SUbHOLDINg OF: SP E48 (Edward Jones) LOCATION: US DESCRIPTION: JPMORgAN FEDERAL MONEY MARKET FUND

iShares Russell 2000 ETF SUbHOLDINg OF: SP E48 (Edward Jones)

iShares MSCI EAFE Value ETF SUbHOLDINg OF: SP E48 (Edward Jones)

iShares MSCI EAFE growth ETF SUbHOLDINg OF: SP E48 (Edward Jones)

PNC Financial Services group, Inc. SUbHOLDINg OF: WF 10 (Wells Fargo Financial)

Vanguard Consumer Staples ETF ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains > SUbHOLDINg OF: WF 10 (Wells Fargo Financial)

U.S. bancorp (USb) SUbHOLDINg OF: WF 10 (Wells Fargo Financial)

TJX Companies, Inc. SUbHOLDINg OF: WF 69 (Wells Fargo Financial)

PNC Financial Services group, Inc. SUbHOLDINg OF: WF 69 (Wells Fargo Financial)

PNC Financial Services group, Inc. SUbHOLDINg OF: WF 10 (Wells Fargo Financial)

The blackstone group Inc. Class a SUbHoLdINg oF: WF 25 (Wells Fargo Financial) cdefg

The blackstone group Inc. Class a SUbHoLdINg oF: WF 10 (Wells Fargo Financial) gfbcde

Principal U.S. Mega-Cap Multi- Factor Index ETF SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

Principal U.S. Mega-Cap Multi- Factor Index ETF SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

Principal U.S. Mega-Cap Multi- Factor Index ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

Principal U.S. Mega-Cap Multi- Factor Index ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

goldman Sachs activebeta U.S. Large Cap Equity ETF SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

goldman Sachs activebeta U.S. Large Cap Equity ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

First Trust Cloud Computing ETF iD owner asset transaction Date notification amount cap. type Date gains > SUbHoLdINg oF: WF 25 (Wells Fargo Financial) cdefg

Verizon Communications Inc. $50,000 SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

Vanguard div appreciation ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

Vanguard div appreciation ETF SUbHoLdINg oF: WF 31 (Wells Fargo Financial)

PNC FINaNCIaL SERVICES UNSECUREd FIX To FLoaT $100,000 CaLLabLE SER R PERPTL CPN 4.850% dUE 05/29/49 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: PNC FINaNCIaL SERVICES UNSECUREd FIX To FLoaT CaLLabLE SER R PERPTL CPN 4.850% dUE 05/29/49

otis Worldwide Corporation SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

JP Morgan Chase & Co. SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

JP Morgan Chase & Co. iD owner asset transaction Date notification amount cap. type Date gains > SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

iShares Core S&P Total U.S. Stock Market ETF SUbHoLdINg oF: WF 31 (Wells Fargo Financial)

Home depot, Inc. (Hd) SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

First Trust Cloud Computing ETF cdefg SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

First Trust Cloud Computing ETF dcgfe SUbHoLdINg oF: WF 31 (Wells Fargo Financial) fedcg

First Trust Cloud Computing ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial) gfedcb

Carrier global Corporation (CaRR) SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

becton, dickinson and Company SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

apple Inc. (aaPL) SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

amazon.com, Inc. (aMZN) SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

UIT FIRST TRUST dIVERSIFIEd INCoME & gRoWTH PoRT SER 2015 [oT] SUbHoLdINg oF: SP E62 (Edward Jones) LoCaTIoN: US dESCRIPTIoN: UIT FIRST TRUST dIVERSIFIEd INCoME & gRoWTH PoRT SER 2015 Redemption

Procter & gamble Company (Pg) $50,000 SUbHoLdINg oF: SP E62 (Edward Jones) iD owner asset transaction Date notification amount cap. type Date gains >

Johnson & Johnson SUbHoLdINg oF: SP E62 (Edward Jones)

darden Restaurants, Inc. (dRI) $50,000 SUbHoLdINg oF: SP E62 (Edward Jones)

boFa FIN LLC 0% 1Y: LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE 04/24/20 [oT] $50,000 SUbHoLdINg oF: WF 25 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: boFa FIN LLC 0% 1Y: LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE 04/24/20 ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains >

boFa FIN LLC 0% 1Y: LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE 04/24/20 [oT] $100,000 SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: boFa FIN LLC 0% 1Y: LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE 04/24/20 Redemption

UIT INVESCo UNIT TRS CENT EQUITY TR dIVERSFEd SER $250,000 2016- [oT] SUbHoLdINg oF: SP E62 (Edward Jones) ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains > LoCaTIoN: US dESCRIPTIoN: UIT INVESCo UNIT TRS CENT EQUITY TR dIVERSFEd SER 2016- Redemption dfgec

Marathon Petroleum Corporation SUbHoLdINg oF: SP E62 (Edward Jones)

iShares Core dividend growth ETF SUbHoLdINg oF: SP E62 (Edward Jones)

Emerson Electric Company $50,000 SUbHoLdINg oF: SP E62 (Edward Jones)

duke Energy Corporation (dUK) $50,000 SUbHoLdINg oF: SP E62 (Edward Jones)

Chevron Corporation SUbHoLdINg oF: SP E62 (Edward Jones)

american Tax-exempt bond Fd [oT] SUbHoLdINg oF: SP E62 (Edward Jones) LoCaTIoN: US dESCRIPTIoN: american Tax-exempt bond Fd

american New Perspective Cl a [oT] SUbHoLdINg oF: SP E62 (Edward Jones) LoCaTIoN: US dESCRIPTIoN: american New Perspective Cl a

american growth Fund [oT] SUbHoLdINg oF: SP E62 (Edward Jones) LoCaTIoN: US dESCRIPTIoN: american growth Fund

american Fundamental Investors [oT] SUbHoLdINg oF: SP E62 (Edward Jones) LoCaTIoN: US dESCRIPTIoN: american Fundamental Investors ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains >

american Capital Income [oT] SUbHoLdINg oF: SP E62 (Edward Jones) LoCaTIoN: US dESCRIPTIoN: american Capital Income

Franklin Rising dividend Cl a [oT] SUbHoLdINg oF: SP E62 (Edward Jones) LoCaTIoN: US dESCRIPTIoN: Franklin Rising dividend Cl a

Vanguard div appreciation ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

Vanguard div appreciation ETF SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

Vanguard div appreciation ETF fedcg SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

JPMoRgaN CHaSE & Co JR SUboRdINaTEd FIX/FLT $100,000 CaLLabLE PERP MaT SER CC CPN 4.625% dUE 12/31/49 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: JPMoRgaN CHaSE & Co JR SUboRdINaTEd FIX/FLT CaLLabLE PERP MaT SER CC CPN 4.625% dUE 12/31/49

JPMoRgaN CHaSE & Co JR SUboRdINaTEd FIX/FLT $100,000 CaLLabLE PERP MaT SER CC CPN 4.625% dUE 12/31/49 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: JPMoRgaN CHaSE & Co JR SUboRdINaTEd FIX/FLT CaLLabLE PERP MaT SER CC CPN 4.625% dUE 12/31/49

JPMoRgaN CHaSE & Co FIXEd/FLoaT JR SbRdNTd $100,000 CaLLabLE PERPETUaL MaT CPN 88.875% dUE 12/29/49 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: JPMoRgaN CHaSE & Co FIXEd/FLoaT JR SbRdNTd CaLLabLE PERPETUaL MaT CPN 88.875% dUE 12/29/49

apple Inc. (aaPL) SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

apple Inc. (aaPL) SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

amazon.com, Inc. (aMZN) SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

amazon.com, Inc. (aMZN) SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

darden Restaurants, Inc. (dRI) $50,000 SUbHoLdINg oF: SP E62 (Edward Jones)

iShares Core dividend growth ETF SUbHoLdINg oF: SP E62 (Edward Jones)

Southern Company (So) SUbHoLdINg oF: SP E62 (Edward Jones)

iShares Core dividend growth ETF ID Owner Asset Transaction Date Notification Amount Cap. Type Date Gains > SUbHoLdINg oF: SP E62 (Edward Jones)

iShares Core dividend growth ETF SUbHoLdINg oF: SP E62 (Edward Jones)

american Electric Power Company, Inc. SUbHoLdINg oF: SP E62 (Edward Jones)

HSbC USa INC 0% EdP NTS LKd To EURo SToXX 50 INdEX MTY 03/27/20 CPN 0.000% dUE $50,000 03/27/20 [oT] SUbHoLdINg oF: WF 53 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: HSbC USa INC 0% EdP NTS LKd To EURo SToXX 50 INdEX MTY 03/27/20 CPN 0.000% dUE 03/27/20 Redemption

baNK NoVa SCoTIa 0% EdP bC CaPPEd LEVERagEd INdX $100,000 cefgd RETURN MTY 03/27/20 CPN 0.000% dUE 03/27/20 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: baNK NoVa SCoTIa 0% EdP bC CaPPEd LEVERagEd INdX RETURN MTY 03/27/20 CPN 0.000% dUE 03/27/20 Redemption

Walt disney Company (dIS) SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

Vanguard Utilities ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

Vanguard Utilities ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial) iD owner asset transaction Date notification amount cap. type Date gains >

Vanguard Utilities ETF SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

Vanguard FTSE developed Markets ETF SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

dR dow Jones Industrial average ETF SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

dR dow Jones Industrial average ETF SUbHoLdINg oF: WF 53 (Wells Fargo Financial)

Southwest airlines Company SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

Southwest airlines Company SUbHoLdINg oF: WF 31 (Wells Fargo Financial)

Northrop grumman Corporation iD owner asset transaction Date notification amount cap. type Date gains > SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

diageo plc (dEo) SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

diageo plc (dEo) SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

american Electric Power Company, Inc. SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

Vanguard div appreciation ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

Vanguard div appreciation ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

Vanguard Consumer Staples ETF SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

The Travelers Companies, Inc. SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

dR S&P dividend ETF (SdY) SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

dR S&P dividend ETF (SdY) SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

dR S&P dividend ETF (SdY) SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

goldman Sachs activebeta U.S. Large Cap Equity ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial) iD owner asset transaction Date notification amount cap. type Date gains >

3M Company SUbHoLdINg oF: WF 69 (Wells Fargo Financial)

Vanguard Utilities ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

Vanguard Consumer Staples ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

First Trust dJ Internet Index Fund SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

baRCLaYS bK PLC 0% bLS CaPPEd LEVERagE INdEX $100,000 RETURN NT MTY 02/28/2020 [oT] SUbHoLdINg oF: WF 25 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: baRCLaYS bK PLC 0% bLS CaPPEd LEVERagE INdEX RETURN NT MTY 02/28/2020 Redemption

baRCLaYS bK PLC 0% bLS CaPPEd LEVERagE INdEX $100,000 RETURN NT MTY 02/28/2020 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: baRCLaYS bK PLC 0% bLS CaPPEd LEVERagE INdEX RETURN NT MTY 02/28/2020 Redemption

First Trust Morningstar ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

Vanguard Utilities ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

Vanguard Utilities ETF SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: Transfer to WF 10

Vanguard Utilities ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

Vanguard div appreciation ETF SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: Transfer to WF 10

Vanguard div appreciation ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

Vanguard Consumer Staples ETF iD owner asset transaction Date notification amount cap. type Date gains > SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: Transfer to WF 10

Vanguard Consumer Staples ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

dR S&P dividend ETF (SdY) SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: Transfer to WF 10

dR S&P dividend ETF (SdY) $100,000 defgc SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

dR S&P 500 SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: Transfer to WF 10 iD owner asset transaction Date notification amount cap. type Date gains >

dR S&P 500 SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

Principal U.S. Mega-Cap Multi- Factor Index ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

Principal U.S. Mega-Cap Multi- Factor Index ETF SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: Transfer to WF 10

HSbC USa INC 0% bLS aUToCaLL LKd EURo SToXX $100,000 50 IdX dUE 08/25/2022 CPN 0.000% dUE 08/25/22 dTd 08/31/17 [oT] SUbHoLdINg oF: WF 95 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: HSbC USa INC 0% bLS aUToCaLL LKd EURo SToXX 50 IdX dUE 08/25/2022 CPN 0.000% dUE 08/25/22 dTd 08/31/17 Transfer to WF 10

HSbC USa INC 0% bLS aUToCaLL LKd EURo SToXX $100,000 50 IdX dUE 08/25/2022 CPN 0.000% dUE 08/25/22 dTd 08/31/17 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: HSbC USa INC 0% bLS aUToCaLL LKd EURo SToXX 50 IdX dUE 08/25/2022 CPN 0.000% dUE 08/25/22 dTd 08/31/17 Transfer from WF 95

goldman Sachs activebeta U.S. Large Cap Equity ETF SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

goldman Sachs activebeta U.S. Large Cap Equity ETF SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: Transfer to WF 10

First Trust Morningstar ETF (FdL) SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

First Trust Morningstar ETF (FdL) SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: boFa FIN LLC 0% bLS LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE 04/24/20 Transfer to WF 10

First Trust dJ Internet Index Fund SUbHoLdINg oF: WF 10 (Wells Fargo Financial) dESCRIPTIoN: Transfer from WF 95

First Trust dJ Internet Index Fund SUbHoLdINg oF: WF 95 (Wells Fargo Financial) dESCRIPTIoN: Transfer to WF 10

boFa FIN LLC 0% bLS LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE $100,000 04/24/20 [oT] SUbHoLdINg oF: WF 95 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: boFa FIN LLC 0% bLS LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE 04/24/20 Transfer to WF 10 iD owner asset transaction Date notification amount cap. type Date gains >

boFa FIN LLC 0% bLS LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE $100,000 04/24/20 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: boFa FIN LLC 0% bLS LKd To S&P 500 INdEX dUE 04/24/2020 CPN 0.000% dUE 04/24/20 Transfer from WF 95

baRCLaYS bK PLC 0% bLS CaPPEd LEVERagE INdEX $100,000 RETURN NT MTY 02/28/2020 CPN 0.000% dUE 02/28/20 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: baRCLaYS bK PLC 0% bLS CaPPEd LEVERagE INdEX RETURN NT MTY 02/28/2020 CPN 0.000% dUE 02/28/20 Transfer from WF 95

baRCLaYS bK PLC 0% bLS CaPPEd LEVERagE INdEX $100,000 RETURN NT MTY 02/28/2020 [oT] SUbHoLdINg oF: WF 95 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: baRCLaYS bK PLC 0% bLS CaPPEd LEVERagE INdEX RETURN NT MTY 02/28/2020 Transfer to WF 10

baNK NoVa SCoTIa 0% bLS bC CaPPEd LEVERagEd INdX RETURN MTY 03/27/20 CPN $100,000 0.000% dUE 03/27/20 [oT] SUbHoLdINg oF: WF 95 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: baNK NoVa SCoTIa 0% bLS bC CaPPEd LEVERagEd INdX RETURN MTY 03/27/20 CPN 0.000% dUE 03/27/20 Transfer to WF 10 iD owner asset transaction Date notification amount cap. type Date gains >

baNK NoVa SCoTIa 0% bLS bC CaPPEd LEVERagEd INdX RETURN MTY 03/27/20 CPN $100,000 0.000% dUE 03/27/20 [oT] SUbHoLdINg oF: WF 10 (Wells Fargo Financial) LoCaTIoN: US dESCRIPTIoN: baNK NoVa SCoTIa 0% bLS bC CaPPEd LEVERagEd INdX RETURN MTY 03/27/20 CPN 0.000% dUE 03/27/20 Transfer from WF 95

First Trust Morningstar ETF iD owner asset transaction Date notification amount cap. type Date gains > SUbHoLdINg oF: WF 10 (Wells Fargo Financial)

Vanguard Utilities ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

goldman Sachs activebeta U.S. Large Cap Equity ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

First Trust Morningstar ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)

First Trust Morningstar ETF SUbHoLdINg oF: WF 25 (Wells Fargo Financial)