VERNON S AND ROWENA W GRIFFITH FOUNDATION: Form 990PF, tax year 2018
View the entire original 990 at ProPublica ↗
- Organization
- VERNON S AND ROWENA W GRIFFITH FOUNDATION (EIN 23-7135835)
- Tax period
- 2018-01-01 to 2018-12-31
- Filed
- 2019-05-14
- IRS object ID
- 201901349349102920
- Schema version
- 2018v3.1
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990-PF
- Accounting Fees Schedule
- Investments Corp Stock Schedule
- Land Etc Schedule2
- Legal Fees Schedule
- Other Assets Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2019-05-14T13:38:45-05:00 | ReturnTs |
| Tax Period End | 2018-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 830276355 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | HARKER MELLINGER CPAS LLC | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1811 S SHERIDAN AVE | AddressLine1Txt |
| City | SHERIDAN | CityNm |
| State Abbreviation | WY | StateAbbreviationCd |
| ZIP | 828016103 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2018-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 237135835 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | VERNON & ROWENA GRIFFITH FOUNDATION | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | VERN | BusinessNameControlTxt |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1811 S SHERIDAN AVE | AddressLine1Txt |
| City | SHERIDAN | CityNm |
| State Abbreviation | WY | StateAbbreviationCd |
| ZIP | 82801 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | KAREN GREEN | PersonNm |
| Person Title | TREASURER | PersonTitleTxt |
| Signature | 2019-04-15 | SignatureDt |
| Discuss With Paid Preparer | Yes (true) | DiscussWithPaidPreparerInd |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | STEVEN C HARKER CPA | PreparerPersonNm |
| PTIN | P00153235 | PTIN |
| Phone | 3076720785 | PhoneNum |
| Preparation | 2019-05-10 | PreparationDt |
Filing Security Information FilingSecurityInformation
IP Address IPAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| I Pv4 Address | 72.36.1.248 | IPv4AddressTxt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| IP | 2019-05-14 | IPDt |
| IP Tm | 13:38:45 | IPTm |
| IP Timezone | CD | IPTimezoneCd |
| Filing License Type | P | FilingLicenseTypeCd |
| At Submission Creation Device Id | E8361EECA14897DEDA015D3EFEA52A2D30B6F415 | AtSubmissionCreationDeviceId |
| At Submission Filing Device Id | 252EDCF91BDA184C44F398DB97BFDF0BAE62692F | AtSubmissionFilingDeviceId |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2018 | TaxYr |
| Build TS | 2019-02-21 02:37:17Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $14,416,659 | FMVAssetsEOYAmt |
| Method Of Accounting Cash | Yes (X) | MethodOfAccountingCashInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Schedule B Not Required | Yes (X) | ScheduleBNotRequiredInd |
| Interest On Sav Rev And Expnss | $148,695 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $148,695 | InterestOnSavNetInvstIncmAmt |
| Dividends Rev And Expnss | $342,596 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $342,596 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $989,667 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $17,402,268 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $989,667 | CapGainNetIncmNetInvstIncmAmt |
| Other Income Rev And Expnss | $286,057 | OtherIncomeRevAndExpnssAmt |
| Other Income Net Invst Incm | $286,057 | OtherIncomeNetInvstIncmAmt |
| Total Rev And Expnss | $1,767,015 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $1,767,015 | TotalNetInvstIncmAmt |
| Comp Ofcr Dir Trst Rev And Expnss | $35,000 | CompOfcrDirTrstRevAndExpnssAmt |
| Legal Fees Rev And Expnss | $609 | LegalFeesRevAndExpnssAmt |
| Legal Fees Net Invst Incm | $457 | LegalFeesNetInvstIncmAmt |
| Legal Fees Dsbrs Chrtbl | $152 | LegalFeesDsbrsChrtblAmt |
| Accounting Fees Rev And Expnss | $5,700 | AccountingFeesRevAndExpnssAmt |
| Accounting Fees Net Invst Incm | $4,275 | AccountingFeesNetInvstIncmAmt |
| Accounting Fees Chrtbl Prps | $1,425 | AccountingFeesChrtblPrpsAmt |
| Other Prof Fees Rev And Expnss | $67,736 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $50,802 | OtherProfFeesNetInvstIncmAmt |
| Other Prof Fees Dsbrs Chrtbl | $16,934 | OtherProfFeesDsbrsChrtblAmt |
| Taxes Rev And Expnss | $27,005 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $7,526 | TaxesNetInvstIncmAmt |
| Taxes Dsbrs Chrtbl | $2,508 | TaxesDsbrsChrtblAmt |
| Occupancy Rev And Expnss | $6,842 | OccupancyRevAndExpnssAmt |
| Occupancy Net Invst Incm | $5,132 | OccupancyNetInvstIncmAmt |
| Occupancy Dsbrs Chrtbl | $1,711 | OccupancyDsbrsChrtblAmt |
| Other Expenses Rev And Expnss | $2,358 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Net Invst Incm | $1,770 | OtherExpensesNetInvstIncmAmt |
| Other Expenses Dsbrs Chrtbl | $588 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $145,250 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $69,962 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $23,318 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $820,000 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $820,000 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $965,250 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $69,962 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Dsbrs Chrtbl | $843,318 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | $801,765 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $1,697,053 | NetInvestmentIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sav And Temp Cash Invst BOY | $556,874 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $295,534 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $295,534 | SavAndTempCashInvstEOYFMVAmt |
| Corporate Stock BOY | $13,907,909 | CorporateStockBOYAmt |
| Corporate Stock EOY | $14,974,862 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $13,947,686 | CorporateStockEOYFMVAmt |
| Land Bldg Equip Cost Or Other Bss | $25,853 | LandBldgEquipCostOrOtherBssAmt |
| Land Bldg Equip Accum Deprec | $25,853 | LandBldgEquipAccumDeprecAmt |
| Other Assets BOY | $88,218 | OtherAssetsBOYAmt |
| Other Assets EOY | $88,218 | OtherAssetsEOYAmt |
| Other Assets EOYFMV | $173,439 | OtherAssetsEOYFMVAmt |
| Total Assets BOY | $14,553,001 | TotalAssetsBOYAmt |
| Total Assets EOY | $15,358,614 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $14,416,659 | TotalAssetsEOYFMVAmt |
| Accounts Payable BOY | $3,126 | AccountsPayableBOYAmt |
| Accounts Payable EOY | $6,974 | AccountsPayableEOYAmt |
| Total Liabilities BOY | $3,126 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $6,974 | TotalLiabilitiesEOYAmt |
| Organization Follows SFAS117 | Yes (X) | OrganizationFollowsSFAS117Ind |
| Permanently Restricted BOY | $14,549,875 | PermanentlyRestrictedBOYAmt |
| Permanently Restricted EOY | $15,351,640 | PermanentlyRestrictedEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $14,549,875 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $15,351,640 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $14,553,001 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $15,358,614 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $14,549,875 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | $801,765 | ExcessRevenueOverExpensesAmt |
| Subtotal | $15,351,640 | SubtotalAmt |
| Tot Net Ast Or Fund Balances EOY | $15,351,640 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (642 entries)
| PropertyPropertyDesc | How AcquiredHowAcquiredCd | AcquiredAcquiredDt | SoldSoldDt | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt |
|---|---|---|---|---|---|---|---|
| ACCENTURE PLC IRELD CL A CLASS A NEW | P | 2018-03-28 | 2018-06-19 | $47,046 | $43,384 | $3,662 | $3,662 |
| BOEING COMPANY | P | 2017-11-06 | 2018-01-10 | $30,022 | $24,925 | $5,097 | $5,097 |
| COOPER COS INC NEW | P | 2017-03-06 | 2018-01-18 | $37,392 | $30,818 | $6,574 | $6,574 |
| HERSHEY COMPANY | P | 2017-07-06 | 2018-05-11 | $34,132 | $38,944 | -$4,812 | -$4,812 |
| LOCKHEED MARTIN CORP | P | 2018-03-23 | 2018-06-19 | $21,952 | $23,861 | -$1,909 | -$1,909 |
| PROGRESSIVE CORP OH | P | 2018-01-31 | 2018-06-19 | $51,935 | $45,573 | $6,362 | $6,362 |
| SONY CORP | P | 2018-03-05 | 2018-06-19 | $21,781 | $22,668 | -$887 | -$887 |
| ZOETIS INC CL A | P | 2017-08-21 | 2018-06-19 | $29,623 | $20,676 | $8,947 | $8,947 |
| BAYER A G SPONS ADR SPON ADR | P | 2018-04-10 | 2018-06-20 | $3,232 | $3,362 | -$130 | -$130 |
| CITY DEV LTD SPONS ADR | P | 2014-03-03 | 2018-06-20 | $5,252 | $4,756 | $496 | $496 |
| FLEX LTD | P | 2014-10-28 | 2018-06-20 | $2,287 | $1,546 | $741 | $741 |
| ISS A/S SPON ADR SPONSORED ADR | P | 2018-02-07 | 2018-06-20 | $3,247 | $3,639 | -$392 | -$392 |
| LUXOFT HLDGS CL A ORD CL A ORD | P | 2017-08-11 | 2018-06-20 | $1,762 | $2,074 | -$312 | -$312 |
| OVERSEA CHINESE BNKG CRP CORP LTD | P | 2015-09-04 | 2018-06-20 | $5,054 | $3,660 | $1,394 | $1,394 |
| ROCHE HLDNG LTD SPNS ADR SPONSORED A | P | 2015-03-19 | 2018-06-20 | $2,982 | $3,768 | -$786 | -$786 |
| ROYAL DUTCH SHELL ADR B SPONSORED AD | P | 2013-01-15 | 2018-06-20 | $1,353 | $1,359 | -$6 | -$6 |
| SK TELECOM LTD SPONS ADR SPON ADR | P | 2015-05-15 | 2018-06-20 | $963 | $1,040 | -$77 | -$77 |
| SIEMENS A G SPONS ADR | P | 2009-10-09 | 2018-06-20 | $8,880 | $6,053 | $2,827 | $2,827 |
| TELENOR ASA SPONS ADR SPON ADR | P | 2016-01-11 | 2018-06-20 | $2,660 | $2,122 | $538 | $538 |
| TEVA PHARMACEUTICAL ADR LTD ADR | P | 2012-12-12 | 2018-02-15 | $706 | $1,328 | -$622 | -$622 |
| TOYOTA MTR CORP SPON ADR SPON ADR | P | 2016-04-22 | 2018-06-20 | $2,293 | $1,815 | $478 | $478 |
| WACOAL HLDG CORP ADR NEW NEW | P | 2009-10-09 | 2018-06-20 | $12,427 | $10,786 | $1,641 | $1,641 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-23 | 2018-06-19 | $2,534 | $2,500 | $34 | $34 |
| BOFI HLDG INC SUB NT SUB NOTE 6.25% | P | 2016-02-25 | 2018-06-18 | $207,865 | $202,500 | $5,365 | $5,365 |
| HERCULES CAP INC 6.25% SR NOTE 6.25% | P | 2015-01-30 | 2018-06-18 | $60,458 | $59,900 | $558 | $558 |
| SENIOR HSG PTY SR NT PFD SR NOTE PFD | P | 2013-09-24 | 2018-06-18 | $2,475 | $2,105 | $370 | $370 |
| JEFFERIES 5.125 012023 SR NOTE CPN | P | 2013-06-26 | 2018-06-18 | $260,023 | $249,818 | $10,205 | $10,205 |
| ALLERGAN PLC | P | 2018-02-14 | 2018-06-19 | $18,399 | $17,427 | $972 | $972 |
| ANHEUSER BUSCH INBEV SA/NV | P | 2017-01-03 | 2018-06-19 | $21,168 | $22,955 | -$1,787 | -$1,787 |
| CVS HEALTH CORP | P | 2017-01-03 | 2018-03-15 | $3,079 | $3,666 | -$587 | -$587 |
| CITRIX SYSTEMS INC | P | 2017-01-03 | 2018-06-19 | $36,864 | $24,585 | $12,279 | $12,279 |
| ECOLAB INC | P | 2017-01-03 | 2018-06-19 | $26,691 | $21,860 | $4,831 | $4,831 |
| HOME DEPOT INC | P | 2012-06-26 | 2018-06-19 | $18,456 | $4,840 | $13,616 | $13,616 |
| IONIS PHARMS INC INC | P | 2017-01-03 | 2018-06-19 | $12,746 | $14,292 | -$1,546 | -$1,546 |
| MICROSOFT CORP | P | 2017-01-03 | 2018-06-19 | $50,746 | $31,719 | $19,027 | $19,027 |
| PENTAIR PLC | P | 2017-01-03 | 2018-06-19 | $8,150 | $7,228 | $922 | $922 |
| REGENERON PHARMACEUTICAL PHARMACEUTI | P | 2017-01-06 | 2018-06-19 | $3,552 | $3,930 | -$378 | -$378 |
| SCHWAB CHARLES CORP NEW | P | 2016-05-02 | 2018-06-19 | $25,975 | $13,532 | $12,443 | $12,443 |
| VISA INC CLASS A CL A | P | 2012-09-04 | 2018-02-15 | $11,649 | $3,083 | $8,566 | $8,566 |
| ISHS MSCI BRIC ETF ETF | P | 2009-11-13 | 2018-07-02 | $186,641 | $208,575 | -$21,934 | -$21,934 |
| BERKLEY W R CORP | P | 2017-05-23 | 2018-06-19 | $40,775 | $37,166 | $3,609 | $3,609 |
| FLIR SYSTEMS INC | P | 2018-04-16 | 2018-06-19 | $35,296 | $34,186 | $1,110 | $1,110 |
| SCOTTS MIRACLE-GRO CO | P | 2018-04-25 | 2018-06-19 | $13,571 | $13,885 | -$314 | -$314 |
| ADOBE SYSTEMS INC DEL | P | 2017-03-23 | 2018-05-31 | $11,390 | $5,851 | $5,539 | $5,539 |
| BOEING COMPANY | P | 2017-11-06 | 2018-05-23 | $49,641 | $36,857 | $12,784 | $12,784 |
| CORNING INC | P | 2017-02-09 | 2018-02-13 | $60,974 | $55,710 | $5,264 | $5,264 |
| HERSHEY COMPANY | P | 2017-08-22 | 2018-05-11 | $21,321 | $24,434 | -$3,113 | -$3,113 |
| LA PAC CORP | P | 2017-11-08 | 2018-04-18 | $27,762 | $24,034 | $3,728 | $3,728 |
| PROGRESSIVE CORP OH | P | 2018-06-19 | 2018-06-19 | $24,758 | $24,654 | $104 | $104 |
| SYNOPSYS INC | P | 2018-01-02 | 2018-04-06 | $40,556 | $42,862 | -$2,306 | -$2,306 |
| ADECCO GROUP AG ADR ADR | P | 2016-11-30 | 2018-06-20 | $6,746 | $6,884 | -$138 | -$138 |
| BAYER A G SPONS ADR SPON ADR | P | 2018-05-04 | 2018-06-20 | $1,805 | $1,898 | -$93 | -$93 |
| CITY DEV LTD SPONS ADR | P | 2014-09-04 | 2018-06-20 | $3,138 | $3,082 | $56 | $56 |
| FLEX LTD | P | 2018-04-27 | 2018-06-20 | $500 | $491 | $9 | $9 |
| ISS A/S SPON ADR SPONSORED ADR | P | 2018-05-14 | 2018-06-20 | $4,067 | $4,170 | -$103 | -$103 |
| LUXOFT HLDGS CL A ORD CL A ORD | P | 2017-08-17 | 2018-06-20 | $1,835 | $2,415 | -$580 | -$580 |
| PANASONIC CORP ADR ADR | P | 2009-10-20 | 2018-06-20 | $5,241 | $5,495 | -$254 | -$254 |
| ROCHE HLDNG LTD SPNS ADR SPONSORED A | P | 2017-11-16 | 2018-06-20 | $2,928 | $3,117 | -$189 | -$189 |
| ROYAL DUTCH SHELL ADR B SPONSORED AD | P | 2013-02-05 | 2018-06-20 | $2,990 | $2,998 | -$8 | -$8 |
| SK TELECOM LTD SPONS ADR SPON ADR | P | 2015-05-18 | 2018-06-20 | $1,589 | $1,708 | -$119 | -$119 |
| SIEMENS A G SPONS ADR | P | 2011-09-27 | 2018-06-20 | $2,287 | $1,545 | $742 | $742 |
| TESCO PLC SPONSORED ADR | P | 2013-05-16 | 2018-04-17 | $3,387 | $5,827 | -$2,440 | -$2,440 |
| TEVA PHARMACEUTICAL ADR LTD ADR | P | 2013-01-15 | 2018-02-15 | $1,308 | $2,396 | -$1,088 | -$1,088 |
| TOYOTA MTR CORP SPON ADR SPON ADR | P | 2016-05-19 | 2018-06-20 | $2,023 | $1,498 | $525 | $525 |
| WOLTERS KLURWER N V ADR SPON ADR | P | 2009-10-09 | 2018-05-09 | $2,139 | $908 | $1,231 | $1,231 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-06-04 | 2018-06-19 | $11,073 | $10,926 | $147 | $147 |
| BOFI HLDG INC SUB NT ELN SUB NOTE 6. | P | 2016-02-25 | 2018-06-20 | $164,291 | $160,000 | $4,291 | $4,291 |
| HERCULES CAP INC 6.25% SR NOTE 6.25% | P | 2015-01-30 | 2018-06-18 | $10,093 | $10,000 | $93 | $93 |
| SENIOR HSG PTY SR NT PFD SR NOTE PFD | P | 2013-09-24 | 2018-06-18 | $2,475 | $2,115 | $360 | $360 |
| PPL ENERGY 6.0 121536 SR NOTE CPN | P | 2014-02-25 | 2018-06-18 | $96,744 | $172,391 | -$75,647 | -$75,647 |
| ALPHABET INC C CL C | P | 2017-01-03 | 2018-06-19 | $47,540 | $32,261 | $15,279 | $15,279 |
| ANHEUSER BUSCH INBEV SA/NV | P | 2017-11-01 | 2018-06-19 | $2,213 | $2,826 | -$613 | -$613 |
| CVS HEALTH CORP | P | 2017-01-03 | 2018-04-16 | $5,967 | $7,014 | -$1,047 | -$1,047 |
| COCA COLA COMPANY | P | 2017-01-03 | 2018-06-19 | $11,323 | $10,811 | $512 | $512 |
| EQUINIX INC PAR 0.001 PAR 0.001 | P | 2018-02-14 | 2018-06-19 | $14,841 | $16,048 | -$1,207 | -$1,207 |
| HOME DEPOT INC | P | 2015-09-21 | 2018-06-19 | $794 | $468 | $326 | $326 |
| JOHNSON CTLS INTL PLC PLC | P | 2017-01-03 | 2018-06-19 | $20,547 | $25,215 | -$4,668 | -$4,668 |
| MONSANTO COMPANY NEW | P | 2017-01-03 | 2018-02-12 | $7,404 | $6,543 | $861 | $861 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-02-09 | 2018-06-19 | $2,721 | $2,864 | -$143 | -$143 |
| ROCKWELL COLLINS INC DE DE | P | 2017-01-03 | 2018-02-05 | $8,638 | $5,887 | $2,751 | $2,751 |
| SEAGATE TECHNOLOGY PLC | P | 2017-01-03 | 2018-06-19 | $42,158 | $29,258 | $12,900 | $12,900 |
| VISA INC CLASS A CL A | P | 2012-09-04 | 2018-06-19 | $15,785 | $3,757 | $12,028 | $12,028 |
| ISHS CORE MSCI EAFE ETF EAFE ETF | P | 2018-07-02 | 2018-11-15 | $31,020 | $33,339 | -$2,319 | -$2,319 |
| CDW CORP | P | 2017-05-23 | 2018-06-19 | $68,918 | $46,844 | $22,074 | $22,074 |
| HENRY JACK & ASSOC INC | P | 2017-05-23 | 2018-06-19 | $44,474 | $34,699 | $9,775 | $9,775 |
| SIGNATURE BANK NEW YORK NEW YORK NY | P | 2017-05-23 | 2018-06-19 | $33,558 | $36,365 | -$2,807 | -$2,807 |
| ADOBE SYSTEMS INC DEL | P | 2017-03-23 | 2018-06-19 | $2,515 | $1,272 | $1,243 | $1,243 |
| CDK GLOBAL INC | P | 2018-06-12 | 2018-06-19 | $45,385 | $46,306 | -$921 | -$921 |
| DOMINOS PIZZA INC | P | 2016-12-19 | 2018-02-16 | $2,180 | $1,610 | $570 | $570 |
| HUMANA INC | P | 2017-10-10 | 2018-04-17 | $28,336 | $23,197 | $5,139 | $5,139 |
| LA PAC CORP | P | 2017-11-08 | 2018-06-19 | $17,163 | $16,604 | $559 | $559 |
| PULTEGROUP INC | P | 2018-02-01 | 2018-04-05 | $43,212 | $44,251 | -$1,039 | -$1,039 |
| T MOBILE US INC | P | 2017-07-11 | 2018-04-18 | $16,944 | $16,470 | $474 | $474 |
| ADECCO GROUP AG ADR ADR | P | 2018-04-17 | 2018-06-20 | $2,437 | $2,898 | -$461 | -$461 |
| CANADIAN NATURAL RES LTD | P | 2015-03-17 | 2018-06-20 | $6,814 | $6,298 | $516 | $516 |
| CITY DEV LTD SPONS ADR | P | 2014-11-18 | 2018-06-20 | $1,179 | $1,094 | $85 | $85 |
| FUJIFILM HLDGS CORP ADR ADR | P | 2009-11-25 | 2018-06-20 | $13,051 | $9,453 | $3,598 | $3,598 |
| ING GROEP NV SPONS ADR SPONSORED ADR | P | 2012-06-26 | 2018-06-20 | $206 | $84 | $122 | $122 |
| MS&AD INS GRP HLDGS ADR HOLDINGS ADR | P | 2010-08-13 | 2018-06-20 | $978 | $728 | $250 | $250 |
| PANASONIC CORP ADR ADR | P | 2010-09-27 | 2018-06-20 | $3,549 | $3,553 | -$4 | -$4 |
| ROHM COMPANY LTD ADR | P | 2011-12-19 | 2018-06-20 | $1,301 | $681 | $620 | $620 |
| ROYAL DUTCH SHELL ADR B SPONSORED AD | P | 2013-02-20 | 2018-06-20 | $3,132 | $2,988 | $144 | $144 |
| SK TELECOM LTD SPONS ADR SPON ADR | P | 2016-01-07 | 2018-06-20 | $4,092 | $3,330 | $762 | $762 |
| SIEMENS A G SPONS ADR | P | 2013-04-11 | 2018-06-20 | $3,094 | $2,398 | $696 | $696 |
| TESCO PLC SPONSORED ADR | P | 2013-06-05 | 2018-04-17 | $852 | $1,394 | -$542 | -$542 |
| TEVA PHARMACEUTICAL ADR LTD ADR | P | 2013-04-23 | 2018-02-15 | $747 | $1,363 | -$616 | -$616 |
| TURKCELL ILETISM ADR NEW HIZMETLERI | P | 2016-07-22 | 2018-06-20 | $925 | $1,304 | -$379 | -$379 |
| WOLTERS KLURWER N V ADR SPON ADR | P | 2009-10-09 | 2018-06-20 | $4,187 | $1,725 | $2,462 | $2,462 |
| AXIS CAP 1/100 E PFD PRP DEP SHS REP | P | 2017-06-29 | 2018-06-18 | $236,624 | $241,001 | -$4,377 | -$4,377 |
| CAPITAL PRODUCT PARTNERS LP REPRESEN | P | 2010-08-10 | 2018-06-19 | $26,951 | $37,438 | -$10,487 | -$10,487 |
| HERCULES CAP INC 6.25% SR NOTE 6.25% | P | 2015-01-30 | 2018-06-18 | $7,570 | $7,500 | $70 | $70 |
| SENIOR HSG PTY SR NT PFD SR NOTE PFD | P | 2013-09-24 | 2018-06-18 | $2,475 | $2,107 | $368 | $368 |
| PROSPECT CAP 5.75 051531 INTERNOTES | P | 2013-05-20 | 2018-06-18 | $188,521 | $200,000 | -$11,479 | -$11,479 |
| ALPHABET INC A CL A | P | 2013-01-23 | 2018-06-19 | $3,500 | $1,124 | $2,376 | $2,376 |
| APPLE INC | P | 2014-02-06 | 2018-06-19 | $8,895 | $3,519 | $5,376 | $5,376 |
| CVS HEALTH CORP | P | 2017-01-03 | 2018-05-10 | $9,649 | $12,274 | -$2,625 | -$2,625 |
| COMCAST CORP A NEW | P | 2017-01-03 | 2018-06-19 | $67,802 | $71,528 | -$3,726 | -$3,726 |
| EQUINIX INC PAR 0.001 PAR 0.001 | P | 2018-03-15 | 2018-06-19 | $6,418 | $6,599 | -$181 | -$181 |
| HOME DEPOT INC | P | 2015-12-01 | 2018-06-19 | $6,350 | $4,299 | $2,051 | $2,051 |
| JOHNSON & JOHNSON | P | 2017-01-03 | 2018-06-19 | $20,556 | $19,441 | $1,115 | $1,115 |
| MONSANTO COMPANY NEW | P | 2017-01-03 | 2018-02-21 | $7,330 | $6,437 | $893 | $893 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-02-24 | 2018-06-19 | $2,903 | $2,962 | -$59 | -$59 |
| ROCKWELL COLLINS INC DE DE | P | 2017-01-03 | 2018-02-05 | $4,369 | $2,990 | $1,379 | $1,379 |
| TE CONNECTIVITY LTD | P | 2017-01-03 | 2018-06-19 | $40,425 | $29,091 | $11,334 | $11,334 |
| VISA INC CLASS A CL A | P | 2015-08-19 | 2018-06-19 | $14,571 | $8,052 | $6,519 | $6,519 |
| ISHS 1-3YR TRS ETF 1-3 YR TREA | P | 2018-07-02 | 2018-07-13 | $301,158 | $301,126 | $32 | $32 |
| CARLISLE COMPANIES INC | P | 2017-05-23 | 2018-06-19 | $32,693 | $30,701 | $1,992 | $1,992 |
| LANDSTAR SYSTEM INC | P | 2015-09-23 | 2018-06-19 | $18,378 | $10,930 | $7,448 | $7,448 |
| SIGNATURE BANK NEW YORK NEW YORK NY | P | 2017-07-03 | 2018-06-19 | $15,608 | $17,424 | -$1,816 | -$1,816 |
| ADOBE SYSTEMS INC DEL | P | 2017-10-03 | 2018-06-19 | $43,757 | $25,816 | $17,941 | $17,941 |
| CIGNA CORP | P | 2017-08-15 | 2018-01-23 | $48,856 | $39,804 | $9,052 | $9,052 |
| DOMINOS PIZZA INC | P | 2017-04-19 | 2018-02-16 | $21,146 | $17,099 | $4,047 | $4,047 |
| HUMANA INC | P | 2017-10-10 | 2018-06-19 | $46,409 | $37,212 | $9,197 | $9,197 |
| LA PAC CORP | P | 2018-03-06 | 2018-06-19 | $22,930 | $23,488 | -$558 | -$558 |
| QUEST DIAGNOSTICS INC | P | 2017-01-31 | 2018-05-16 | $19,922 | $17,707 | $2,215 | $2,215 |
| T MOBILE US INC | P | 2017-07-11 | 2018-05-31 | $20,541 | $22,509 | -$1,968 | -$1,968 |
| ADECCO GROUP AG ADR ADR | P | 2018-06-01 | 2018-06-20 | $2,794 | $2,876 | -$82 | -$82 |
| CANADIAN NATURAL RES LTD | P | 2016-03-11 | 2018-06-20 | $3,407 | $2,908 | $499 | $499 |
| CITY DEV LTD SPONS ADR | P | 2014-11-19 | 2018-06-20 | $1,805 | $1,683 | $122 | $122 |
| GLAXOSMITHKLINE PLC ADR SPON ADR | P | 2010-04-22 | 2018-06-20 | $3,172 | $3,005 | $167 | $167 |
| ING GROEP NV SPONS ADR SPONSORED ADR | P | 2013-02-14 | 2018-06-20 | $4,686 | $2,827 | $1,859 | $1,859 |
| MS&AD INS GRP HLDGS ADR HOLDINGS ADR | P | 2011-04-19 | 2018-06-20 | $5,762 | $4,130 | $1,632 | $1,632 |
| PANASONIC CORP ADR ADR | P | 2011-03-17 | 2018-06-20 | $1,830 | $1,575 | $255 | $255 |
| ROHM COMPANY LTD ADR | P | 2012-06-08 | 2018-06-20 | $1,931 | $818 | $1,113 | $1,113 |
| ROYAL DUTCH SHELL ADR B SPONSORED AD | P | 2013-06-14 | 2018-06-20 | $3,132 | $2,983 | $149 | $149 |
| SANOFI SPON ADR SPON ADR | P | 2009-03-13 | 2018-06-20 | $158 | $104 | $54 | $54 |
| SIEMENS A G SPONS ADR | P | 2018-03-15 | 2018-06-20 | $2,556 | $2,487 | $69 | $69 |
| TESCO PLC SPONSORED ADR | P | 2013-06-26 | 2018-04-17 | $1,132 | $1,719 | -$587 | -$587 |
| TEVA PHARMACEUTICAL ADR LTD ADR | P | 2013-10-03 | 2018-02-15 | $1,100 | $2,008 | -$908 | -$908 |
| TURKCELL ILETISM ADR NEW HIZMETLERI | P | 2016-07-25 | 2018-06-20 | $3,313 | $4,764 | -$1,451 | -$1,451 |
| WOLTERS KLURWER N V ADR SPON ADR | P | 2011-08-08 | 2018-06-20 | $8,043 | $2,643 | $5,400 | $5,400 |
| AXIS CAP 1/100 E PFD PRP DEP SHS REP | P | 2017-06-29 | 2018-06-18 | $24,861 | $25,320 | -$459 | -$459 |
| CAPITAL PRODUCT PARTNERS LP REPRESEN | P | 2013-11-20 | 2018-06-19 | $43,122 | $95,447 | -$52,325 | -$52,325 |
| HERCULES CAP INC 6.25% SR NOTE 6.25% | P | 2015-01-30 | 2018-06-18 | $2,523 | $2,500 | $23 | $23 |
| SENIOR HSG PTY SR NT PFD SR NOTE PFD | P | 2013-09-24 | 2018-06-18 | $1,460 | $1,246 | $214 | $214 |
| PROSPECT CAP 5.0 061520 INTERNOTES | P | 2013-06-10 | 2018-06-18 | $149,665 | $150,000 | -$335 | -$335 |
| ALPHABET INC A CL A | P | 2013-04-02 | 2018-06-19 | $17,502 | $6,102 | $11,400 | $11,400 |
| APPLE INC | P | 2015-12-01 | 2018-06-19 | $8,895 | $5,624 | $3,271 | $3,271 |
| CATERPILLAR INC | P | 2018-02-23 | 2018-06-19 | $9,588 | $10,769 | -$1,181 | -$1,181 |
| COSTCO WHOLESALE CORP | P | 2017-10-06 | 2018-06-19 | $13,053 | $9,943 | $3,110 | $3,110 |
| FACEBOOK INC CL A | P | 2015-08-19 | 2018-06-19 | $18,788 | $9,168 | $9,620 | $9,620 |
| HOME DEPOT INC | P | 2016-02-29 | 2018-06-19 | $3,771 | $2,371 | $1,400 | $1,400 |
| L3 TECHNOLOGIES INC | P | 2017-01-04 | 2018-06-19 | $32,744 | $25,427 | $7,317 | $7,317 |
| NVENT ELECTRIC PLC VOTING USD 0.01 | P | 2017-01-03 | 2018-06-19 | $5,082 | $3,664 | $1,418 | $1,418 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-03-01 | 2018-06-19 | $2,721 | $2,828 | -$107 | -$107 |
| ROCKWELL COLLINS INC DE DE | P | 2017-01-03 | 2018-02-12 | $5,458 | $3,831 | $1,627 | $1,627 |
| TWITTER INC | P | 2017-01-03 | 2018-02-15 | $26,823 | $13,100 | $13,723 | $13,723 |
| VISA INC CLASS A CL A | P | 2015-12-01 | 2018-06-19 | $6,071 | $3,589 | $2,482 | $2,482 |
| ISHS 3-7Y TRSY ETF 3-7YR TREAS | P | 2018-07-02 | 2018-08-23 | $102,644 | $102,284 | $360 | $360 |
| CHEESECAKE FACTORY INC | P | 2017-05-26 | 2018-06-19 | $22,480 | $22,955 | -$475 | -$475 |
| LANDSTAR SYSTEM INC | P | 2016-10-18 | 2018-06-19 | $17,025 | $9,927 | $7,098 | $7,098 |
| SNAP ON INC | P | 2017-05-23 | 2018-06-19 | $49,718 | $51,458 | -$1,740 | -$1,740 |
| ALCOA UPSTREAM CORP | P | 2017-12-04 | 2018-01-02 | $11,390 | $8,805 | $2,585 | $2,585 |
| CADENCE DESIGN SYS INC SYSTEMS INC | P | 2018-02-12 | 2018-06-19 | $49,648 | $42,454 | $7,194 | $7,194 |
| DOMINOS PIZZA INC | P | 2017-04-19 | 2018-06-14 | $10,636 | $6,875 | $3,761 | $3,761 |
| HUNTSMAN CORP | P | 2018-05-23 | 2018-06-19 | $44,258 | $45,329 | -$1,071 | -$1,071 |
| LA PAC CORP | P | 2018-06-18 | 2018-06-19 | $23,290 | $23,511 | -$221 | -$221 |
| QUEST DIAGNOSTICS INC | P | 2017-01-31 | 2018-06-19 | $23,385 | $19,251 | $4,134 | $4,134 |
| T MOBILE US INC | P | 2017-10-27 | 2018-05-31 | $19,149 | $21,220 | -$2,071 | -$2,071 |
| AGEAS ADR NEW SPONSORED ADR NEW | P | 2012-04-10 | 2018-06-20 | $6,740 | $2,640 | $4,100 | $4,100 |
| CANADIAN NATURAL RES LTD | P | 2018-02-12 | 2018-06-20 | $1,019 | $971 | $48 | $48 |
| CITY DEV LTD SPONS ADR | P | 2015-06-08 | 2018-06-20 | $3,520 | $3,167 | $353 | $353 |
| GLAXOSMITHKLINE PLC ADR SPON ADR | P | 2011-02-07 | 2018-06-20 | $4,985 | $4,711 | $274 | $274 |
| ING GROEP NV SPONS ADR SPONSORED ADR | P | 2013-02-25 | 2018-06-20 | $5,729 | $3,328 | $2,401 | $2,401 |
| MS&AD INS GRP HLDGS ADR HOLDINGS ADR | P | 2012-06-13 | 2018-06-20 | $2,795 | $1,367 | $1,428 | $1,428 |
| PANASONIC CORP ADR ADR | P | 2012-09-25 | 2018-06-20 | $6,218 | $3,100 | $3,118 | $3,118 |
| ROHM COMPANY LTD ADR | P | 2015-08-25 | 2018-06-20 | $5,120 | $3,071 | $2,049 | $2,049 |
| ROYAL DUTCH SHELL ADR B SPONSORED AD | P | 2014-10-16 | 2018-06-20 | $3,631 | $3,561 | $70 | $70 |
| SANOFI SPON ADR SPON ADR | P | 2009-06-12 | 2018-06-20 | $1,379 | $1,169 | $210 | $210 |
| SUMITOMO MITSUI TR ADR INC SPONSORED | P | 2011-04-04 | 2018-06-20 | $2,761 | $2,345 | $416 | $416 |
| TESCO PLC SPONSORED ADR | P | 2013-10-09 | 2018-04-17 | $230 | $394 | -$164 | -$164 |
| TEVA PHARMACEUTICAL ADR LTD ADR | P | 2015-10-23 | 2018-02-15 | $644 | $1,812 | -$1,168 | -$1,168 |
| TURKCELL ILETISM ADR NEW HIZMETLERI | P | 2017-01-03 | 2018-06-20 | $1,290 | $1,391 | -$101 | -$101 |
| WOLTERS KLURWER N V ADR SPON ADR | P | 2016-12-13 | 2018-06-20 | $4,572 | $2,988 | $1,584 | $1,584 |
| AXIS CAP 1/100 E PFD PRP DEP SHS REP | P | 2017-06-29 | 2018-06-18 | $18,273 | $18,647 | -$374 | -$374 |
| ENERGY TRANSFER NEW LP LTD PARTNER | P | 2010-08-18 | 2018-06-19 | $36,562 | $36,262 | $300 | $300 |
| 8HERCULES CAP INC 6.25% PARTIAL CALL | P | 2015-01-30 | 2018-04-02 | $95,625 | $95,625 | ||
| TCP CAPITAL CORP BDC | P | 2014-07-29 | 2018-06-19 | $216,597 | $259,950 | -$43,353 | -$43,353 |
| PROSPECT CAP 5.5 071521 INTERNOTES | P | 2016-07-25 | 2018-06-18 | $242,851 | $245,000 | -$2,149 | -$2,149 |
| ALPHABET INC A CL A | P | 2015-12-01 | 2018-06-19 | $4,667 | $3,136 | $1,531 | $1,531 |
| APPLE INC | P | 2016-02-29 | 2018-06-19 | $5,189 | $2,724 | $2,465 | $2,465 |
| CATERPILLAR INC | P | 2018-03-15 | 2018-06-19 | $6,869 | $7,395 | -$526 | -$526 |
| COSTCO WHOLESALE CORP | P | 2017-10-25 | 2018-06-19 | $6,009 | $4,701 | $1,308 | $1,308 |
| FACEBOOK INC CL A | P | 2015-12-01 | 2018-06-19 | $8,416 | $4,593 | $3,823 | $3,823 |
| HOME DEPOT INC | P | 2016-04-29 | 2018-06-19 | $2,381 | $1,598 | $783 | $783 |
| LBRTY MEDIA A SIRIUS XM DEL SER A SI | P | 2017-01-03 | 2018-06-19 | $4,936 | $3,630 | $1,306 | $1,306 |
| NATIONAL OILWELL VARCO VARCO INC | P | 2017-01-03 | 2018-06-19 | $15,785 | $14,427 | $1,358 | $1,358 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-03-09 | 2018-06-19 | $3,084 | $3,107 | -$23 | -$23 |
| ROCKWELL COLLINS INC DE DE | P | 2017-01-03 | 2018-02-23 | $5,356 | $3,645 | $1,711 | $1,711 |
| TWITTER INC | P | 2017-01-03 | 2018-06-19 | $23,760 | $8,679 | $15,081 | $15,081 |
| VISA INC CLASS A CL A | P | 2016-02-29 | 2018-06-19 | $3,778 | $2,041 | $1,737 | $1,737 |
| VNGRD FTSE EUROPE ETF | P | 2013-10-10 | 2018-07-02 | $499,404 | $490,950 | $8,454 | $8,454 |
| COOPER COS INC NEW | P | 2017-05-23 | 2018-06-19 | $56,590 | $53,149 | $3,441 | $3,441 |
| LENNOX INTL INC | P | 2017-05-23 | 2018-06-19 | $27,944 | $24,120 | $3,824 | $3,824 |
| TERADYNE INC | P | 2017-08-07 | 2018-06-19 | $33,661 | $29,317 | $4,344 | $4,344 |
| ALCOA UPSTREAM CORP | P | 2017-12-04 | 2018-04-11 | $42,714 | $33,323 | $9,391 | $9,391 |
| CADENCE DESIGN SYS INC SYSTEMS INC | P | 2018-03-19 | 2018-06-19 | $28,109 | $23,984 | $4,125 | $4,125 |
| DOMINOS PIZZA INC | P | 2017-04-19 | 2018-06-19 | $2,850 | $1,763 | $1,087 | $1,087 |
| INTEL CORP | P | 2017-08-16 | 2018-03-08 | $56,544 | $39,168 | $17,376 | $17,376 |
| HILTON WORLDWIDE NEW HOLDINGS INC NE | P | 2017-08-03 | 2018-01-02 | $12,593 | $9,874 | $2,719 | $2,719 |
| QUEST DIAGNOSTICS INC | P | 2018-03-06 | 2018-06-19 | $25,371 | $23,721 | $1,650 | $1,650 |
| TEXAS INSTRUMENTS INC | P | 2017-02-15 | 2018-01-03 | $14,319 | $10,120 | $4,199 | $4,199 |
| AGEAS ADR NEW SPONSORED ADR NEW | P | 2012-04-23 | 2018-06-20 | $7,608 | $2,739 | $4,869 | $4,869 |
| CARREFOUR SA SPONS ADR ADR | P | 2011-10-04 | 2018-06-20 | $1,609 | $2,069 | -$460 | -$460 |
| DAI NIPPON PRNTG LTD ADR JAPAN SPON | P | 2009-10-09 | 2018-06-20 | $13,781 | $16,088 | -$2,307 | -$2,307 |
| GLAXOSMITHKLINE PLC ADR SPON ADR | P | 2015-06-11 | 2018-06-20 | $1,318 | $1,385 | -$67 | -$67 |
| ING GROEP NV SPONS ADR SPONSORED ADR | P | 2013-03-26 | 2018-06-20 | $3,144 | $1,572 | $1,572 | $1,572 |
| MS&AD INS GRP HLDGS ADR HOLDINGS ADR | P | 2014-01-08 | 2018-06-20 | $2,904 | $2,418 | $486 | $486 |
| POSCO SPONS ADR SPON ADR | P | 2014-05-07 | 2018-06-20 | $5,845 | $5,532 | $313 | $313 |
| ROHM COMPANY LTD ADR | P | 2016-05-19 | 2018-06-20 | $2,098 | $967 | $1,131 | $1,131 |
| ROYAL DUTCH SHELL ADR B SPONSORED AD | P | 2016-02-04 | 2018-06-20 | $4,058 | $2,548 | $1,510 | $1,510 |
| SANOFI SPON ADR SPON ADR | P | 2009-10-09 | 2018-06-20 | $6,225 | $5,958 | $267 | $267 |
| SUMITOMO MITSUI TR ADR INC SPONSORED | P | 2012-09-13 | 2018-06-20 | $2,900 | $2,083 | $817 | $817 |
| TESCO PLC SPONSORED ADR | P | 2013-10-09 | 2018-06-20 | $782 | $1,318 | -$536 | -$536 |
| TEVA PHARMACEUTICAL ADR LTD ADR | P | 2017-10-03 | 2018-02-15 | $2,429 | $2,174 | $255 | $255 |
| TURKCELL ILETISM ADR NEW HIZMETLERI | P | 2017-09-18 | 2018-06-20 | $1,907 | $2,656 | -$749 | -$749 |
| AMTRUST FINL SVCS INC SERVICES INC S | P | 2015-06-11 | 2018-06-18 | $311,713 | $325,000 | -$13,287 | -$13,287 |
| AXIS CAP 1/100 E PFD PRP DEP SHS REP | P | 2017-06-29 | 2018-06-18 | $11,187 | $11,403 | -$216 | -$216 |
| ENERGY TRANSFER NEW LP LTD PARTNER | P | 2011-10-27 | 2018-06-19 | $136,405 | $140,049 | -$3,644 | -$3,644 |
| 8HERCULES CAP INC 6.25% PARTIAL CALL | P | 2015-01-30 | 2018-04-02 | $1,800 | $1,800 | ||
| WF CL A 8% SER J PERPTL NEW DEP SHS | P | 2009-01-26 | 2018-06-18 | $1,035 | $710 | $325 | $325 |
| U S WEST COM6.875 091533 DEBENTURE M | P | 2011-08-31 | 2018-06-18 | $93,102 | $94,203 | -$1,101 | -$1,101 |
| ALPHABET INC A CL A | P | 2016-02-29 | 2018-06-19 | $3,500 | $2,167 | $1,333 | $1,333 |
| APPLE INC | P | 2016-04-29 | 2018-06-19 | $3,150 | $1,593 | $1,557 | $1,557 |
| CELGENE CORP | P | 2011-11-28 | 2018-06-19 | $16,302 | $6,376 | $9,926 | $9,926 |
| CREE INC | P | 2017-01-03 | 2018-06-19 | $13,076 | $7,282 | $5,794 | $5,794 |
| FACEBOOK INC CL A | P | 2016-02-29 | 2018-06-19 | $4,893 | $2,683 | $2,210 | $2,210 |
| HONEYWELL INTL INC | P | 2017-03-08 | 2018-06-19 | $1,178 | $1,015 | $163 | $163 |
| LIBERTY MEDIA CORP C DEL SER C SIRIU | P | 2017-01-03 | 2018-06-19 | $10,143 | $7,293 | $2,850 | $2,850 |
| NUANCE COMMUNICATION INC | P | 2017-01-03 | 2018-06-19 | $6,869 | $7,249 | -$380 | -$380 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-04-25 | 2018-06-19 | $1,814 | $1,775 | $39 | $39 |
| SPLUNK INC | P | 2017-05-26 | 2018-02-15 | $4,800 | $3,120 | $1,680 | $1,680 |
| TWITTER INC | P | 2017-03-22 | 2018-06-19 | $10,490 | $3,437 | $7,053 | $7,053 |
| VISA INC CLASS A CL A | P | 2016-04-29 | 2018-06-19 | $2,294 | $1,313 | $981 | $981 |
| VNGRD FTSE EUROPE ETF | P | 2013-10-10 | 2018-07-02 | $27,746 | $27,260 | $486 | $486 |
| COPART INC | P | 2017-07-07 | 2018-06-19 | $43,200 | $22,554 | $20,646 | $20,646 |
| LENNOX INTL INC | P | 2017-09-01 | 2018-06-19 | $21,780 | $17,624 | $4,156 | $4,156 |
| TERADYNE INC | P | 2018-06-06 | 2018-06-19 | $13,051 | $13,177 | -$126 | -$126 |
| ALLIANCE DATA SYS CORP SYSTEMS CORP | P | 2018-01-30 | 2018-04-05 | $36,611 | $45,101 | -$8,490 | -$8,490 |
| CATERPILLAR INC | P | 2017-05-15 | 2018-01-02 | $51,655 | $33,451 | $18,204 | $18,204 |
| DOMINOS PIZZA INC | P | 2017-08-03 | 2018-06-19 | $43,036 | $29,662 | $13,374 | $13,374 |
| INTERCONTINENTAL EXCH EXCHANGE INC | P | 2017-10-26 | 2018-06-19 | $45,521 | $40,174 | $5,347 | $5,347 |
| HILTON WORLDWIDE NEW HOLDINGS INC NE | P | 2017-08-03 | 2018-06-19 | $32,694 | $24,467 | $8,227 | $8,227 |
| ROYAL CARIBBEAN CRUISES CRUISES LIMI | P | 2017-11-17 | 2018-02-22 | $43,181 | $40,683 | $2,498 | $2,498 |
| TEXAS INSTRUMENTS INC | P | 2017-08-11 | 2018-01-03 | $32,139 | $24,507 | $7,632 | $7,632 |
| AGEAS ADR NEW SPONSORED ADR NEW | P | 2013-12-11 | 2018-06-20 | $1,736 | $1,379 | $357 | $357 |
| CARREFOUR SA SPONS ADR ADR | P | 2012-01-12 | 2018-06-20 | $2,349 | $2,848 | -$499 | -$499 |
| EMBRAER S A SPON ADR SPON ADR REPSTG | P | 2016-03-21 | 2018-01-05 | $563 | $560 | $3 | $3 |
| GLAXOSMITHKLINE PLC ADR SPON ADR | P | 2017-08-09 | 2018-06-20 | $1,360 | $1,303 | $57 | $57 |
| ING GROEP NV SPONS ADR SPONSORED ADR | P | 2015-01-08 | 2018-06-20 | $3,305 | $2,881 | $424 | $424 |
| MS&AD INS GRP HLDGS ADR HOLDINGS ADR | P | 2014-05-01 | 2018-06-20 | $2,407 | $1,774 | $633 | $633 |
| POSCO SPONS ADR SPON ADR | P | 2014-06-09 | 2018-06-20 | $1,169 | $1,078 | $91 | $91 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2015-04-02 | 2018-06-20 | $553 | $832 | -$279 | -$279 |
| ROYAL DSM NV SPONS ADR SPONSORED ADR | P | 2013-04-03 | 2018-05-29 | $2,714 | $1,655 | $1,059 | $1,059 |
| SANOFI SPON ADR SPON ADR | P | 2013-08-02 | 2018-06-20 | $1,064 | $1,376 | -$312 | -$312 |
| SUMITOMO MITSUI TR ADR INC SPONSORED | P | 2012-09-24 | 2018-06-20 | $1,557 | $1,161 | $396 | $396 |
| TESCO PLC SPONSORED ADR | P | 2013-12-05 | 2018-06-20 | $1,269 | $2,068 | -$799 | -$799 |
| TENARIS S A SPONS ADR SPON ADR | P | 2015-05-21 | 2018-04-25 | $2,781 | $2,262 | $519 | $519 |
| UBS GROUP AG | P | 2009-10-09 | 2018-06-20 | $1,585 | $1,806 | -$221 | -$221 |
| APOLLO INVESTMENT OLDCHG CORP | P | 2014-06-26 | 2018-06-19 | $109,645 | $146,530 | -$36,885 | -$36,885 |
| AXIS CAP 1/100 E PFD PRP DEP SHS REP | P | 2017-06-29 | 2018-06-18 | $6,141 | $6,257 | -$116 | -$116 |
| FLAHERTY&CRUMRINE DYNAM DYNAMIC PFD | P | 2013-05-23 | 2018-06-19 | $9,380 | $10,000 | -$620 | -$620 |
| KCAP FINANCIAL INC | P | 2013-03-26 | 2018-06-20 | $60,129 | $181,958 | -$121,829 | -$121,829 |
| WF CL A 8% SER J PERPTL NEW DEP SHS | P | 2009-02-04 | 2018-06-18 | $647 | $425 | $222 | $222 |
| VERIZN MRYLD5.125 061533 DEBENTURE S | P | 2011-06-27 | 2018-06-18 | $199,995 | $196,698 | $3,297 | $3,297 |
| ALPHABET INC A CL A | P | 2016-04-29 | 2018-06-19 | $2,334 | $1,420 | $914 | $914 |
| AUTODESK INC | P | 2017-01-03 | 2018-06-19 | $29,347 | $16,034 | $13,313 | $13,313 |
| CELGENE CORP | P | 2015-12-01 | 2018-06-19 | $4,590 | $6,360 | -$1,770 | -$1,770 |
| DENTSPLY SIRONA INC | P | 2017-01-03 | 2018-06-19 | $10,577 | $13,618 | -$3,041 | -$3,041 |
| FACEBOOK INC CL A | P | 2016-04-29 | 2018-06-19 | $2,936 | $1,753 | $1,183 | $1,183 |
| HONEYWELL INTL INC | P | 2017-03-09 | 2018-06-19 | $3,241 | $2,795 | $446 | $446 |
| LIBERTY BROADBAND CORP A SER A | P | 2017-01-03 | 2018-06-19 | $1,130 | $1,078 | $52 | $52 |
| NUANCE COMMUNICATION INC | P | 2018-05-10 | 2018-06-19 | $5,244 | $4,950 | $294 | $294 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-05-04 | 2018-06-19 | $1,634 | $1,483 | $151 | $151 |
| SPLUNK INC | P | 2017-05-26 | 2018-06-19 | $4,421 | $2,371 | $2,050 | $2,050 |
| TEXAS INSTRUMENTS INC | P | 2017-01-03 | 2018-06-19 | $24,910 | $16,302 | $8,608 | $8,608 |
| WEATHERFORD INTL PLC | P | 2017-01-03 | 2018-06-19 | $18,092 | $28,957 | -$10,865 | -$10,865 |
| VNGRD FTSE EUROPE ETF | P | 2017-08-29 | 2018-07-02 | $294,093 | $299,131 | -$5,038 | -$5,038 |
| CORE LABORATORIES NV | P | 2017-05-23 | 2018-06-06 | $14,724 | $12,707 | $2,017 | $2,017 |
| MSCI INC CL A | P | 2017-05-23 | 2018-06-19 | $61,530 | $35,550 | $25,980 | $25,980 |
| THOR INDUSTRIES INC | P | 2018-06-06 | 2018-06-19 | $27,046 | $26,678 | $368 | $368 |
| ALLSTATE CORP | P | 2017-05-18 | 2018-06-19 | $63,433 | $57,390 | $6,043 | $6,043 |
| CHEVRON CORP | P | 2016-06-08 | 2018-06-19 | $18,276 | $15,142 | $3,134 | $3,134 |
| EXPRESS SCRIPTS HLDG CO HOLDING CO | P | 2017-03-22 | 2018-06-19 | $69,827 | $55,653 | $14,174 | $14,174 |
| INTERACTIVE BROKERS GRP INC | P | 2018-06-15 | 2018-06-19 | $44,595 | $45,829 | -$1,234 | -$1,234 |
| HILTON WORLDWIDE NEW HOLDINGS INC NE | P | 2017-08-11 | 2018-06-19 | $33,441 | $24,698 | $8,743 | $8,743 |
| ROYAL CARIBBEAN CRUISES CRUISES LIMI | P | 2017-12-08 | 2018-02-22 | $22,241 | $21,390 | $851 | $851 |
| TEXTRON INC | P | 2017-10-13 | 2018-06-13 | $21,811 | $17,146 | $4,665 | $4,665 |
| AGEAS ADR NEW SPONSORED ADR NEW | P | 2014-05-13 | 2018-06-20 | $2,144 | $1,756 | $388 | $388 |
| CARREFOUR SA SPONS ADR ADR | P | 2012-07-25 | 2018-06-20 | $2,485 | $2,341 | $144 | $144 |
| EMBRAER S A SPON ADR SPON ADR REPSTG | P | 2016-06-24 | 2018-01-05 | $1,484 | $1,240 | $244 | $244 |
| HSBC HLDGS PLC SPONS ADR SPONSORED A | P | 2014-01-22 | 2018-06-20 | $3,159 | $3,626 | -$467 | -$467 |
| ING GROEP NV SPONS ADR SPONSORED ADR | P | 2016-02-09 | 2018-06-20 | $2,013 | $1,448 | $565 | $565 |
| MS&AD INS GRP HLDGS ADR HOLDINGS ADR | P | 2014-05-02 | 2018-06-20 | $544 | $400 | $144 | $144 |
| POSCO SPONS ADR SPON ADR | P | 2014-06-10 | 2018-06-20 | $2,728 | $2,540 | $188 | $188 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2015-04-06 | 2018-06-20 | $657 | $1,002 | -$345 | -$345 |
| ROYAL DSM NV SPONS ADR SPONSORED ADR | P | 2014-02-11 | 2018-05-29 | $2,714 | $1,850 | $864 | $864 |
| SANOFI SPON ADR SPON ADR | P | 2014-02-07 | 2018-06-20 | $1,458 | $1,792 | -$334 | -$334 |
| SUMITOMO MITSUI TR ADR INC SPONSORED | P | 2013-05-24 | 2018-06-20 | $1,895 | $2,167 | -$272 | -$272 |
| TESCO PLC SPONSORED ADR | P | 2014-03-14 | 2018-06-20 | $974 | $1,462 | -$488 | -$488 |
| TENARIS S A SPONS ADR SPON ADR | P | 2015-05-21 | 2018-06-20 | $5,214 | $4,524 | $690 | $690 |
| UBS GROUP AG | P | 2010-01-22 | 2018-06-20 | $1,339 | $1,243 | $96 | $96 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-22 | 2018-06-18 | $35,479 | $35,000 | $479 | $479 |
| AXIS CAP 1/100 E PFD PRP DEP SHS REP | P | 2017-06-29 | 2018-06-18 | $4,251 | $4,340 | -$89 | -$89 |
| FLAHERTY&CRUMRINE DYNAM DYNAMIC PFD | P | 2013-05-23 | 2018-06-20 | $272,016 | $290,000 | -$17,984 | -$17,984 |
| MEDLEY CAP 6.125% SR NOTE 6.125% DUE | P | 2015-03-31 | 2018-06-18 | $15,679 | $16,000 | -$321 | -$321 |
| WF CL A 8% SER J PERPTL NEW DEP SHS | P | 2009-03-02 | 2018-06-18 | $259 | $131 | $128 | $128 |
| AKAMAI TECHNOLOGIES INC | P | 2017-01-03 | 2018-05-03 | $6,780 | $6,456 | $324 | $324 |
| AMAZON.COM INC | P | 2015-08-27 | 2018-03-15 | $14,226 | $4,660 | $9,566 | $9,566 |
| BIOGEN INC | P | 2017-01-03 | 2018-06-19 | $68,559 | $62,141 | $6,418 | $6,418 |
| CELGENE CORP | P | 2016-02-29 | 2018-06-19 | $1,820 | $2,332 | -$512 | -$512 |
| DENTSPLY SIRONA INC | P | 2017-01-17 | 2018-06-19 | $990 | $1,276 | -$286 | -$286 |
| FACEBOOK INC CL A | P | 2018-04-26 | 2018-06-19 | $3,523 | $3,136 | $387 | $387 |
| HONEYWELL INTL INC | P | 2017-03-10 | 2018-06-19 | $3,388 | $2,918 | $470 | $470 |
| LIBERTY BROADBAND CORP C SER C | P | 2017-01-03 | 2018-06-19 | $2,199 | $2,134 | $65 | $65 |
| NOW INC | P | 2017-01-03 | 2018-06-19 | $4,655 | $7,245 | -$2,590 | -$2,590 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-05-05 | 2018-06-19 | $1,633 | $1,519 | $114 | $114 |
| SPLUNK INC | P | 2017-06-15 | 2018-06-19 | $5,933 | $2,890 | $3,043 | $3,043 |
| THERMO FISHER SCIENTIFIC SCIENTIFIC | P | 2017-01-03 | 2018-06-19 | $31,778 | $21,776 | $10,002 | $10,002 |
| WESTERN DIGITAL CORP | P | 2017-01-03 | 2018-06-19 | $16,666 | $14,517 | $2,149 | $2,149 |
| VNGRD INTRM CORP BD ETF TERM CORP B | P | 2017-12-13 | 2018-08-23 | $576,775 | $599,359 | -$22,584 | -$22,584 |
| CORE LABORATORIES NV | P | 2017-05-23 | 2018-06-19 | $18,231 | $15,615 | $2,616 | $2,616 |
| MANHATTAN ASSOCS INC ASSOCIATES INC | P | 2017-05-23 | 2018-04-16 | $29,465 | $32,778 | -$3,313 | -$3,313 |
| WABCO HOLDINGS INC | P | 2017-05-23 | 2018-06-19 | $49,728 | $48,851 | $877 | $877 |
| ALPHABET INC A CL A | P | 2016-07-05 | 2018-01-09 | $11,129 | $7,054 | $4,075 | $4,075 |
| CHEVRON CORP | P | 2017-01-04 | 2018-06-19 | $26,538 | $25,111 | $1,427 | $1,427 |
| FIDELITY NATL INFO SVCS INFORMATION | P | 2017-08-10 | 2018-05-16 | $22,405 | $19,128 | $3,277 | $3,277 |
| INTUIT INC | P | 2016-08-29 | 2018-03-12 | $37,917 | $23,681 | $14,236 | $14,236 |
| MARATHON PETROLEUM CORP | P | 2018-01-02 | 2018-04-17 | $30,798 | $26,710 | $4,088 | $4,088 |
| SHERWIN WILLIAMS CO | P | 2015-09-22 | 2018-01-04 | $1,668 | $949 | $719 | $719 |
| TEXTRON INC | P | 2017-10-13 | 2018-06-19 | $28,469 | $22,755 | $5,714 | $5,714 |
| AGEAS ADR NEW SPONSORED ADR NEW | P | 2014-07-29 | 2018-06-20 | $4,187 | $3,051 | $1,136 | $1,136 |
| CARREFOUR SA SPONS ADR ADR | P | 2012-08-06 | 2018-06-20 | $303 | $222 | $81 | $81 |
| EMBRAER S A SPON ADR SPON ADR REPSTG | P | 2016-06-24 | 2018-04-12 | $1,135 | $898 | $237 | $237 |
| HSBC HLDGS PLC SPONS ADR SPONSORED A | P | 2014-01-23 | 2018-06-20 | $5,540 | $6,315 | -$775 | -$775 |
| JAPAN TOBACCO INC ADR ADR | P | 2015-01-22 | 2018-06-20 | $3,117 | $3,103 | $14 | $14 |
| MS&AD INS GRP HLDGS ADR HOLDINGS ADR | P | 2016-04-19 | 2018-06-20 | $2,159 | $1,878 | $281 | $281 |
| POSCO SPONS ADR SPON ADR | P | 2014-11-05 | 2018-06-20 | $2,805 | $2,423 | $382 | $382 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2015-04-07 | 2018-06-20 | $3,006 | $4,569 | -$1,563 | -$1,563 |
| ROYAL DSM NV SPONS ADR SPONSORED ADR | P | 2014-03-21 | 2018-05-29 | $122 | $82 | $40 | $40 |
| SANOFI SPON ADR SPON ADR | P | 2014-10-28 | 2018-06-20 | $2,246 | $2,725 | -$479 | -$479 |
| SUMITOMO MITSUI TR ADR INC SPONSORED | P | 2013-06-04 | 2018-06-20 | $2,480 | $2,519 | -$39 | -$39 |
| TESCO PLC SPONSORED ADR | P | 2014-10-17 | 2018-06-20 | $4,060 | $3,367 | $693 | $693 |
| TENARIS S A SPONS ADR SPON ADR | P | 2015-06-10 | 2018-06-20 | $3,719 | $3,203 | $516 | $516 |
| UBS GROUP AG | P | 2011-08-03 | 2018-06-20 | $1,447 | $1,479 | -$32 | -$32 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-22 | 2018-06-18 | $27,876 | $27,500 | $376 | $376 |
| AXIS CAP 1/100 E PFD PRP DEP SHS REP | P | 2017-06-29 | 2018-06-18 | $3,207 | $3,269 | -$62 | -$62 |
| HANCOCK WHITNET NOTE EL SUB NOTE CP | P | 2015-04-23 | 2018-06-18 | $76,837 | $75,002 | $1,835 | $1,835 |
| MEDLEY CAP 6.125% SR NOTE 6.125% DUE | P | 2015-03-31 | 2018-06-18 | $26,948 | $27,500 | -$552 | -$552 |
| WF CL A 8% SER J PERPTL NEW DEP SHS | P | 2009-08-28 | 2018-06-18 | $1,630 | $1,544 | $86 | $86 |
| AKAMAI TECHNOLOGIES INC | P | 2017-01-03 | 2018-06-19 | $29,461 | $24,669 | $4,792 | $4,792 |
| AMAZON.COM INC | P | 2015-08-27 | 2018-06-19 | $49,730 | $15,015 | $34,715 | $34,715 |
| BIOVERATIV INC | P | 2017-01-03 | 2018-01-22 | $7,085 | $3,038 | $4,047 | $4,047 |
| CELGENE CORP | P | 2016-04-29 | 2018-06-19 | $1,108 | $1,446 | -$338 | -$338 |
| DENTSPLY SIRONA INC | P | 2017-02-17 | 2018-06-19 | $2,070 | $2,854 | -$784 | -$784 |
| FLUOR CORP NEW NEW | P | 2017-01-03 | 2018-06-19 | $20,004 | $21,726 | -$1,722 | -$1,722 |
| HONEYWELL INTL INC | P | 2017-03-13 | 2018-06-19 | $3,388 | $2,915 | $473 | $473 |
| LBRTY MEDIA A FORMLA ONE LIBERTY FOR | P | 2017-01-03 | 2018-06-19 | $732 | $736 | -$4 | -$4 |
| NUCOR CORP | P | 2017-01-03 | 2018-06-19 | $19,587 | $18,083 | $1,504 | $1,504 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-05-08 | 2018-06-19 | $2,358 | $2,235 | $123 | $123 |
| SPLUNK INC | P | 2017-06-16 | 2018-06-19 | $3,490 | $1,743 | $1,747 | $1,747 |
| THERMO FISHER SCIENTIFIC SCIENTIFIC | P | 2017-01-23 | 2018-06-19 | $418 | $289 | $129 | $129 |
| YUM CHINA HOLDINGS | P | 2017-01-03 | 2018-06-19 | $20,230 | $13,227 | $7,003 | $7,003 |
| VNGRD S&P 500 ETF INDEX ETF | P | 2018-07-02 | 2018-08-23 | $514,450 | $487,329 | $27,121 | $27,121 |
| CORE LABORATORIES NV | P | 2017-09-14 | 2018-06-19 | $21,374 | $16,286 | $5,088 | $5,088 |
| MANHATTAN ASSOCS INC ASSOCIATES INC | P | 2017-10-25 | 2018-04-16 | $17,139 | $18,062 | -$923 | -$923 |
| WYNN RESORTS LIMITED | P | 2017-05-23 | 2018-01-30 | $19,855 | $15,171 | $4,684 | $4,684 |
| ALPHABET INC A CL A | P | 2016-11-22 | 2018-01-09 | $35,613 | $25,254 | $10,359 | $10,359 |
| CHEVRON CORP | P | 2017-10-19 | 2018-06-19 | $25,036 | $23,669 | $1,367 | $1,367 |
| FIDELITY NATL INFO SVCS INFORMATION | P | 2017-08-10 | 2018-06-19 | $24,135 | $20,200 | $3,935 | $3,935 |
| INTUIT INC | P | 2016-08-29 | 2018-06-19 | $21,951 | $11,619 | $10,332 | $10,332 |
| MARATHON PETROLEUM CORP | P | 2018-01-02 | 2018-06-19 | $18,252 | $16,360 | $1,892 | $1,892 |
| SHERWIN WILLIAMS CO | P | 2016-04-28 | 2018-01-04 | $20,438 | $14,601 | $5,837 | $5,837 |
| TEXTRON INC | P | 2018-02-05 | 2018-06-19 | $24,459 | $21,615 | $2,844 | $2,844 |
| ALLIANZ SE SPONS ADR ADR REPSTG 1/10 | P | 2015-10-22 | 2018-06-20 | $11,311 | $9,392 | $1,919 | $1,919 |
| CARREFOUR SA SPONS ADR ADR | P | 2014-06-11 | 2018-06-20 | $124 | $259 | -$135 | -$135 |
| EMBRAER S A SPON ADR SPON ADR REPSTG | P | 2016-08-04 | 2018-04-12 | $1,595 | $1,066 | $529 | $529 |
| HSBC HLDGS PLC SPONS ADR SPONSORED A | P | 2014-02-04 | 2018-06-20 | $3,208 | $3,381 | -$173 | -$173 |
| JAPAN TOBACCO INC ADR ADR | P | 2015-01-28 | 2018-06-20 | $3,160 | $3,144 | $16 | $16 |
| NN GROUP NV | P | 2017-08-03 | 2018-06-20 | $7,114 | $7,093 | $21 | $21 |
| PUBLICIS SA NEW SPON ADR SPON ADR | P | 2016-03-02 | 2018-06-20 | $2,436 | $2,213 | $223 | $223 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2015-04-13 | 2018-06-20 | $2,384 | $3,584 | -$1,200 | -$1,200 |
| ROYAL DSM NV SPONS ADR SPONSORED ADR | P | 2014-03-21 | 2018-06-20 | $2,520 | $1,655 | $865 | $865 |
| SANOFI SPON ADR SPON ADR | P | 2018-02-23 | 2018-06-20 | $3,704 | $3,785 | -$81 | -$81 |
| SUMITOMO MITSUI TR ADR INC SPONSORED | P | 2014-05-22 | 2018-06-20 | $1,924 | $1,896 | $28 | $28 |
| TESCO PLC SPONSORED ADR | P | 2016-04-13 | 2018-06-20 | $2,568 | $1,981 | $587 | $587 |
| TENARIS S A SPONS ADR SPON ADR | P | 2016-03-04 | 2018-06-20 | $5,805 | $3,988 | $1,817 | $1,817 |
| UBS GROUP AG | P | 2012-02-08 | 2018-06-20 | $3,186 | $2,986 | $200 | $200 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-22 | 2018-06-18 | $25,342 | $24,970 | $372 | $372 |
| BB&T CRP 1/1000 E PERPTL 1/1000TH SE | P | 2012-07-24 | 2018-06-18 | $305,622 | $300,000 | $5,622 | $5,622 |
| HANCOCK WHITNET NOTE EL SUB NOTE CP | P | 2015-04-23 | 2018-06-18 | $55,451 | $54,125 | $1,326 | $1,326 |
| MEDLEY CAP 6.125% SR NOTE 6.125% DUE | P | 2015-03-31 | 2018-06-19 | $56,622 | $57,900 | -$1,278 | -$1,278 |
| NUSTAR ENERGY LP PARTNERSHIP | P | 2011-12-06 | 2018-06-19 | $16,815 | $22,432 | -$5,617 | -$5,617 |
| AKAMAI TECHNOLOGIES INC | P | 2017-04-04 | 2018-06-19 | $8,684 | $6,330 | $2,354 | $2,354 |
| AMAZON.COM INC | P | 2015-09-21 | 2018-06-19 | $8,574 | $2,744 | $5,830 | $5,830 |
| BIOMARIN PHARMACEUTICAL INC | P | 2018-05-02 | 2018-06-19 | $5,850 | $5,178 | $672 | $672 |
| CELGENE CORP | P | 2017-01-26 | 2018-06-19 | $2,058 | $2,933 | -$875 | -$875 |
| DENTSPLY SIRONA INC | P | 2018-01-24 | 2018-06-19 | $2,250 | $3,095 | -$845 | -$845 |
| FREEPORT MCMORAN INC | P | 2017-01-03 | 2018-06-19 | $21,398 | $18,060 | $3,338 | $3,338 |
| HONEYWELL INTL INC | P | 2017-03-15 | 2018-06-19 | $3,388 | $2,915 | $473 | $473 |
| LBRTY FORMULA ONE C SER C | P | 2017-01-03 | 2018-06-19 | $1,139 | $1,084 | $55 | $55 |
| ORACLE CORP | P | 2017-12-11 | 2018-06-19 | $9,515 | $10,290 | -$775 | -$775 |
| PIONEER NATL RES COMPANY RESOURCES C | P | 2017-08-02 | 2018-06-19 | $3,810 | $3,065 | $745 | $745 |
| SPLUNK INC | P | 2017-06-29 | 2018-06-19 | $11,052 | $5,401 | $5,651 | $5,651 |
| UPS INC B INC CL B | P | 2017-01-03 | 2018-06-19 | $21,498 | $21,808 | -$310 | -$310 |
| YUM CHINA HOLDINGS | P | 2017-07-07 | 2018-06-19 | $4,598 | $4,280 | $318 | $318 |
| AMN HEALTHCARE SVCS INC INC | P | 2018-01-30 | 2018-06-19 | $47,664 | $43,095 | $4,569 | $4,569 |
| COTIVITI HOLDINGS INC INC | P | 2017-05-23 | 2018-06-19 | $24,784 | $21,951 | $2,833 | $2,833 |
| NORDSON CORP | P | 2017-05-23 | 2018-06-19 | $56,662 | $53,988 | $2,674 | $2,674 |
| WYNN RESORTS LIMITED | P | 2017-05-23 | 2018-06-19 | $41,970 | $30,593 | $11,377 | $11,377 |
| ARISTA NETWORKS INC | P | 2018-05-30 | 2018-06-19 | $47,971 | $44,621 | $3,350 | $3,350 |
| COGNIZANT TECH SLTNS A SOLUTIONS COR | P | 2017-11-06 | 2018-06-19 | $65,036 | $61,664 | $3,372 | $3,372 |
| FIDELITY NATL INFO SVCS INFORMATION | P | 2017-08-21 | 2018-06-19 | $21,892 | $18,497 | $3,395 | $3,395 |
| INTUIT INC | P | 2017-10-03 | 2018-06-19 | $30,940 | $21,015 | $9,925 | $9,925 |
| MARATHON PETROLEUM CORP | P | 2018-02-05 | 2018-06-19 | $24,585 | $21,868 | $2,717 | $2,717 |
| SHERWIN WILLIAMS CO | P | 2016-08-23 | 2018-01-04 | $29,614 | $20,557 | $9,057 | $9,057 |
| TOLL BROTHERS INC | P | 2017-12-19 | 2018-04-16 | $47,333 | $53,031 | -$5,698 | -$5,698 |
| AXIS CAPITAL HLDGS LTD LIMITED | P | 2009-10-16 | 2018-06-20 | $10,018 | $5,317 | $4,701 | $4,701 |
| CARREFOUR SA SPONS ADR ADR | P | 2014-09-30 | 2018-06-20 | $1,434 | $2,573 | -$1,139 | -$1,139 |
| EMBRAER S A SPON ADR SPON ADR REPSTG | P | 2016-08-04 | 2018-06-20 | $380 | $271 | $109 | $109 |
| HSBC HLDGS PLC SPONS ADR SPONSORED A | P | 2014-11-17 | 2018-06-20 | $3,256 | $3,350 | -$94 | -$94 |
| JAPAN TOBACCO INC ADR ADR | P | 2015-10-05 | 2018-06-20 | $2,182 | $2,363 | -$181 | -$181 |
| NN GROUP NV | P | 2017-08-08 | 2018-06-20 | $3,453 | $3,423 | $30 | $30 |
| PUBLICIS SA NEW SPON ADR SPON ADR | P | 2016-03-03 | 2018-06-20 | $3,863 | $3,567 | $296 | $296 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2015-05-28 | 2018-06-20 | $2,004 | $3,115 | -$1,111 | -$1,111 |
| ROYAL DSM NV SPONS ADR SPONSORED ADR | P | 2015-01-21 | 2018-06-20 | $2,944 | $1,513 | $1,431 | $1,431 |
| SAP SE SPONS ADR SPON ADR | P | 2015-02-03 | 2018-06-20 | $5,321 | $3,074 | $2,247 | $2,247 |
| SUMITOMO MITSUI TR ADR INC SPONSORED | P | 2016-02-17 | 2018-06-20 | $2,332 | $1,670 | $662 | $662 |
| TESCO PLC SPONSORED ADR | P | 2017-03-24 | 2018-06-20 | $3,116 | $2,195 | $921 | $921 |
| TENARIS S A SPONS ADR SPON ADR | P | 2017-08-04 | 2018-06-20 | $3,858 | $3,181 | $677 | $677 |
| UBS GROUP AG | P | 2012-07-13 | 2018-06-20 | $2,031 | $1,407 | $624 | $624 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-23 | 2018-06-18 | $55,550 | $54,800 | $750 | $750 |
| BLACKROCK CAPITAL INVESTMENT CORP | P | 2014-06-23 | 2018-06-19 | $37,461 | $52,826 | -$15,365 | -$15,365 |
| HANCOCK WHITNEY NT ELN SUB NOTE CP | P | 2015-04-23 | 2018-06-20 | $21,459 | $20,875 | $584 | $584 |
| MEDLEY CAP 6.125% SR NOTE 6.125% DUE | P | 2015-03-31 | 2018-06-19 | $33,250 | $34,000 | -$750 | -$750 |
| NUSTAR ENERGY LP PARTNERSHIP | P | 2011-12-29 | 2018-06-19 | $100,889 | $150,359 | -$49,470 | -$49,470 |
| AMC NETWORKS INC CL A | P | 2017-01-03 | 2018-06-19 | $8,992 | $7,266 | $1,726 | $1,726 |
| AMAZON.COM INC | P | 2015-12-01 | 2018-06-19 | $15,433 | $6,115 | $9,318 | $9,318 |
| BIOMARIN PHARMACEUTICAL INC | P | 2018-05-24 | 2018-06-19 | $5,946 | $5,505 | $441 | $441 |
| CHIPOTLE MEXICAN GRILL A INC CL A | P | 2017-01-03 | 2018-06-14 | $6,391 | $5,289 | $1,102 | $1,102 |
| DISCOVERY INC A SER A | P | 2017-01-03 | 2018-06-19 | $10,563 | $10,858 | -$295 | -$295 |
| GCI LIBERTY INC CL A CL A | P | 2017-01-03 | 2018-06-19 | $3,084 | $2,550 | $534 | $534 |
| HONEYWELL INTL INC | P | 2017-03-16 | 2018-06-19 | $3,388 | $2,911 | $477 | $477 |
| LIONS GATE ENTMNT CORP B CORP CL B N | P | 2017-01-30 | 2018-06-19 | $3,535 | $3,709 | -$174 | -$174 |
| ORACLE CORP | P | 2017-12-15 | 2018-06-19 | $10,394 | $10,657 | -$263 | -$263 |
| PRAXAIR INC | P | 2018-02-05 | 2018-06-19 | $16,452 | $16,400 | $52 | $52 |
| SCHLUMBERGER LTD | P | 2014-08-11 | 2018-06-19 | $8,469 | $14,170 | -$5,701 | -$5,701 |
| UPS INC B INC CL B | P | 2017-02-07 | 2018-06-19 | $2,859 | $2,647 | $212 | $212 |
| ZOETIS INC CL A | P | 2017-01-03 | 2018-06-19 | $34,598 | $21,435 | $13,163 | $13,163 |
| ANSYS INC | P | 2017-05-23 | 2018-06-19 | $29,554 | $20,790 | $8,764 | $8,764 |
| COTIVITI HOLDINGS INC INC | P | 2017-08-08 | 2018-06-19 | $23,419 | $19,524 | $3,895 | $3,895 |
| POOL CORP | P | 2017-12-12 | 2018-06-19 | $42,920 | $35,587 | $7,333 | $7,333 |
| BASIS ADJUSTMENT | P | 2015-10-31 | 2018-12-31 | $43,950 | -$43,950 | -$43,950 | |
| BANK AMERICA CORP | P | 2016-09-30 | 2018-06-19 | $51,438 | $27,645 | $23,793 | $23,793 |
| COMCAST CORP A NEW | P | 2017-07-03 | 2018-02-20 | $34,513 | $33,984 | $529 | $529 |
| F5 NETWORKS INC | P | 2016-04-25 | 2018-03-01 | $15,909 | $11,280 | $4,629 | $4,629 |
| JPMORGAN CHASE & COMPANY | P | 2017-10-16 | 2018-06-19 | $44,550 | $40,288 | $4,262 | $4,262 |
| MARATHON PETROLEUM CORP | P | 2018-06-13 | 2018-06-19 | $25,628 | $25,763 | -$135 | -$135 |
| SHIRE PLC SPON ADR SPON ADR | P | 2018-01-18 | 2018-03-28 | $27,019 | $25,435 | $1,584 | $1,584 |
| TOTAL SYSTEMS SVC INC INC | P | 2018-02-02 | 2018-06-19 | $43,923 | $44,549 | -$626 | -$626 |
| AXIS CAPITAL HLDGS LTD LIMITED | P | 2010-02-04 | 2018-06-20 | $5,977 | $2,987 | $2,990 | $2,990 |
| CARREFOUR SA SPONS ADR ADR | P | 2016-12-08 | 2018-06-20 | $2,638 | $3,721 | -$1,083 | -$1,083 |
| EMBRAER S A SPON ADR SPON ADR REPSTG | P | 2017-04-25 | 2018-06-20 | $2,485 | $1,908 | $577 | $577 |
| HSBC HLDGS PLC SPONS ADR SPONSORED A | P | 2015-11-20 | 2018-06-20 | $3,499 | $2,900 | $599 | $599 |
| KINGFISHER PLC SPON ADR SPON ADR PAR | P | 2017-11-09 | 2018-03-01 | $1,524 | $1,303 | $221 | $221 |
| NIPPON TEL&TEL SPONS ADR TELEPHONE C | P | 2009-10-09 | 2018-06-20 | $13,956 | $6,436 | $7,520 | $7,520 |
| PUBLICIS SA NEW SPON ADR SPON ADR | P | 2016-03-04 | 2018-06-20 | $3,115 | $2,888 | $227 | $227 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2015-08-04 | 2018-06-20 | $2,336 | $3,546 | -$1,210 | -$1,210 |
| ROYAL DSM NV SPONS ADR SPONSORED ADR | P | 2015-07-28 | 2018-06-20 | $5,165 | $2,959 | $2,206 | $2,206 |
| SAP SE SPONS ADR SPON ADR | P | 2015-08-24 | 2018-06-20 | $6,385 | $3,589 | $2,796 | $2,796 |
| TELENOR ASA SPONS ADR SPON ADR | P | 2014-03-24 | 2018-06-20 | $4,330 | $4,477 | -$147 | -$147 |
| TESCO PLC SPONSORED ADR | P | 2017-06-21 | 2018-06-20 | $2,791 | $1,771 | $1,020 | $1,020 |
| TOYOTA MTR CORP SPON ADR SPON ADR | P | 2010-09-09 | 2018-06-20 | $1,079 | $559 | $520 | $520 |
| UBS GROUP AG | P | 2012-07-31 | 2018-06-20 | $2,524 | $1,745 | $779 | $779 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-23 | 2018-06-19 | $53,413 | $52,700 | $713 | $713 |
| BLACKROCK CAPITAL INVESTMENT CORP | P | 2014-06-23 | 2018-06-20 | $125,737 | $177,955 | -$52,218 | -$52,218 |
| HERCULES CAPITAL INC BDC | P | 2010-11-10 | 2018-06-19 | $92,354 | $74,000 | $18,354 | $18,354 |
| 8MEDLEY CAP 6.125% PARTIAL CALL 5850 | P | 2015-03-31 | 2018-03-12 | $19,600 | $19,600 | ||
| MARTIN MIDSTREAM PTNR LP LTD PARTNER | P | 2014-05-06 | 2018-06-19 | $41,701 | $92,153 | -$50,452 | -$50,452 |
| ADOBE SYSTEMS INC DEL | P | 2016-09-20 | 2018-02-15 | $13,328 | $6,621 | $6,707 | $6,707 |
| AMAZON.COM INC | P | 2016-02-29 | 2018-06-19 | $8,574 | $2,781 | $5,793 | $5,793 |
| BLACKROCK INC | P | 2015-12-02 | 2018-06-19 | $24,687 | $16,862 | $7,825 | $7,825 |
| CHIPOTLE MEXICAN GRILL A INC CL A | P | 2017-01-03 | 2018-06-19 | $7,007 | $5,667 | $1,340 | $1,340 |
| WALT DISNEY CO | P | 2017-01-03 | 2018-06-19 | $26,999 | $27,068 | -$69 | -$69 |
| GRAINGER W W INC | P | 2017-01-03 | 2018-06-19 | $25,513 | $19,118 | $6,395 | $6,395 |
| HONEYWELL INTL INC | P | 2017-03-27 | 2018-06-19 | $3,388 | $2,835 | $553 | $553 |
| LOGMEIN INC | P | 2017-01-03 | 2018-06-19 | $3,611 | $3,550 | $61 | $61 |
| ORACLE CORP | P | 2018-01-31 | 2018-06-19 | $4,434 | $4,943 | -$509 | -$509 |
| QURATE RETAIL INC A SER A | P | 2017-01-03 | 2018-06-19 | $15,417 | $14,548 | $869 | $869 |
| SCHLUMBERGER LTD | P | 2015-12-01 | 2018-06-19 | $1,641 | $1,948 | -$307 | -$307 |
| UNITEDHEALTH GROUP INC | P | 2017-01-03 | 2018-06-19 | $120,097 | $76,310 | $43,787 | $43,787 |
| FT EUROPE ALPHADX ETF ALPHADEX ET | P | 2014-06-26 | 2018-07-02 | $355,418 | $326,180 | $29,238 | $29,238 |
| ASPEN TECHNOLOGY INC | P | 2017-05-23 | 2018-06-06 | $15,920 | $9,972 | $5,948 | $5,948 |
| COTIVITI HOLDINGS INC INC | P | 2018-01-30 | 2018-06-19 | $12,194 | $9,709 | $2,485 | $2,485 |
| PRIMERICA INC | P | 2017-05-23 | 2018-06-19 | $53,840 | $39,038 | $14,802 | $14,802 |
| P | |||||||
| BAXTER INTL INC | P | 2016-08-19 | 2018-01-08 | $16,778 | $11,633 | $5,145 | $5,145 |
| COMCAST CORP A NEW | P | 2017-08-03 | 2018-02-20 | $23,812 | $24,010 | -$198 | -$198 |
| F5 NETWORKS INC | P | 2016-04-25 | 2018-03-09 | $14,105 | $10,120 | $3,985 | $3,985 |
| JABIL INC | P | 2017-10-04 | 2018-01-05 | $37,148 | $40,477 | -$3,329 | -$3,329 |
| NVIDIA CORP | P | 2018-06-04 | 2018-06-19 | $45,290 | $45,807 | -$517 | -$517 |
| SHIRE PLC SPON ADR SPON ADR | P | 2018-01-18 | 2018-06-19 | $20,337 | $18,537 | $1,800 | $1,800 |
| ZOETIS INC CL A | P | 2017-02-24 | 2018-02-27 | $11,584 | $7,541 | $4,043 | $4,043 |
| AXIS CAPITAL HLDGS LTD LIMITED | P | 2017-10-26 | 2018-06-20 | $2,163 | $2,089 | $74 | $74 |
| CHINA PETE&CHEM SPON ADR CORP SPONSO | P | 2017-06-01 | 2018-05-04 | $2,347 | $1,991 | $356 | $356 |
| EMBRAER S A SPON ADR SPON ADR REPSTG | P | 2017-10-30 | 2018-06-20 | $3,753 | $2,787 | $966 | $966 |
| HSBC HLDGS PLC SPONS ADR SPONSORED A | P | 2016-09-28 | 2018-06-20 | $243 | $186 | $57 | $57 |
| KINGFISHER PLC SPON ADR SPON ADR PAR | P | 2017-11-09 | 2018-06-20 | $9,024 | $9,304 | -$280 | -$280 |
| NIPPON TEL&TEL SPONS ADR TELEPHONE C | P | 2010-12-15 | 2018-06-20 | $4,135 | $2,002 | $2,133 | $2,133 |
| PUBLICIS SA NEW SPON ADR SPON ADR | P | 2017-09-19 | 2018-06-20 | $2,888 | $2,839 | $49 | $49 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2016-01-22 | 2018-06-20 | $1,417 | $1,556 | -$139 | -$139 |
| ROYAL DSM NV SPONS ADR SPONSORED ADR | P | 2015-09-25 | 2018-06-20 | $5,713 | $2,677 | $3,036 | $3,036 |
| SEKISUI HOUSE LTD ADR SPON ADR | P | 2009-10-09 | 2018-06-20 | $4,750 | $2,349 | $2,401 | $2,401 |
| TELENOR ASA SPONS ADR SPON ADR | P | 2014-04-22 | 2018-06-20 | $2,165 | $2,306 | -$141 | -$141 |
| TESCO PLC SPONSORED ADR | P | 2017-12-04 | 2018-06-20 | $6,415 | $4,961 | $1,454 | $1,454 |
| TOYOTA MTR CORP SPON ADR SPON ADR | P | 2010-09-10 | 2018-06-20 | $2,562 | $1,342 | $1,220 | $1,220 |
| UBS GROUP AG | P | 2013-11-08 | 2018-06-20 | $1,308 | $1,544 | -$236 | -$236 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-23 | 2018-06-19 | $29,468 | $29,040 | $428 | $428 |
| BLACKROCK CAPITAL INVESTMENT CORP | P | 2014-06-23 | 2018-06-21 | $28,035 | $39,722 | -$11,687 | -$11,687 |
| HERCULES CAPITAL INC BDC | P | 2017-05-19 | 2018-06-19 | $44,929 | $48,685 | -$3,756 | -$3,756 |
| QWEST CORP PFD SER A 7.5% 09/15/51 C | P | 2011-09-14 | 2018-06-18 | $64,358 | $63,575 | $783 | $783 |
| BLOCK FINL 5.5 110122 GTD NOTE CP | P | 2012-10-23 | 2018-06-18 | $300,658 | $291,223 | $9,435 | $9,435 |
| ADOBE SYSTEMS INC DEL | P | 2016-09-20 | 2018-06-19 | $31,678 | $12,640 | $19,038 | $19,038 |
| AMAZON.COM INC | P | 2016-04-29 | 2018-06-19 | $3,430 | $1,317 | $2,113 | $2,113 |
| BLACKROCK INC | P | 2016-02-29 | 2018-06-19 | $3,677 | $2,187 | $1,490 | $1,490 |
| CHIPOTLE MEXICAN GRILL A INC CL A | P | 2017-07-18 | 2018-06-19 | $5,606 | $4,433 | $1,173 | $1,173 |
| DOLBY LABORATORIES INC CL A | P | 2017-01-03 | 2018-06-19 | $20,673 | $14,603 | $6,070 | $6,070 |
| GRAINGER W W INC | P | 2017-06-12 | 2018-06-19 | $8,819 | $5,030 | $3,789 | $3,789 |
| HONEYWELL INTL INC | P | 2017-09-15 | 2018-06-19 | $4,567 | $4,291 | $276 | $276 |
| MC CORMICK & COMPANY INC NON VOTING | P | 2017-08-09 | 2018-06-19 | $8,550 | $7,794 | $756 | $756 |
| PALO ALTO NETWORKS INC | P | 2017-01-03 | 2018-06-19 | $19,964 | $12,122 | $7,842 | $7,842 |
| QUALCOMM INC | P | 2018-05-24 | 2018-06-19 | $10,782 | $10,878 | -$96 | -$96 |
| SCHLUMBERGER LTD | P | 2015-12-02 | 2018-06-19 | $11,357 | $13,246 | -$1,889 | -$1,889 |
| VMWARE INC CLASS A CL A | P | 2017-01-03 | 2018-03-15 | $6,890 | $4,354 | $2,536 | $2,536 |
| FT EUROPE ALPHADX ETF ALPHADEX ET | P | 2017-08-29 | 2018-07-02 | $317,607 | $303,576 | $14,031 | $14,031 |
| ASPEN TECHNOLOGY INC | P | 2017-05-23 | 2018-06-19 | $60,971 | $37,617 | $23,354 | $23,354 |
| DRIL-QUIP INC | P | 2016-12-12 | 2018-04-25 | $4,433 | $6,944 | -$2,511 | -$2,511 |
| RBC BEARINGS INC | P | 2017-05-23 | 2018-01-25 | $13,992 | $11,176 | $2,816 | $2,816 |
| BAXTER INTL INC | P | 2016-11-15 | 2018-01-08 | $39,218 | $25,657 | $13,561 | $13,561 |
| CONOCOPHILLIPS | P | 2018-02-13 | 2018-04-10 | $36,537 | $31,339 | $5,198 | $5,198 |
| F5 NETWORKS INC | P | 2017-04-19 | 2018-03-09 | $29,093 | $26,970 | $2,123 | $2,123 |
| JABIL INC | P | 2017-10-27 | 2018-01-05 | $22,278 | $22,528 | -$250 | -$250 |
| PACCAR INC | P | 2017-10-31 | 2018-04-09 | $38,236 | $40,769 | -$2,533 | -$2,533 |
| SHIRE PLC SPON ADR SPON ADR | P | 2018-01-26 | 2018-06-19 | $25,382 | $23,797 | $1,585 | $1,585 |
| ZOETIS INC CL A | P | 2017-03-08 | 2018-02-27 | $9,941 | $6,441 | $3,500 | $3,500 |
| BANK IRELAND GRP PLC ADR UNSPON ADR | P | 2018-01-25 | 2018-06-20 | $6,137 | $7,913 | -$1,776 | -$1,776 |
| CHINA PETE&CHEM SPON ADR CORP SPONSO | P | 2017-06-01 | 2018-06-20 | $5,211 | $4,729 | $482 | $482 |
| FLEX LTD | P | 2014-01-29 | 2018-06-20 | $3,787 | $2,035 | $1,752 | $1,752 |
| HSBC HLDGS PLC SPONS ADR SPONSORED A | P | 2016-09-28 | 2018-06-25 | $8 | $6 | $2 | $2 |
| KINGFISHER PLC SPON ADR SPON ADR PAR | P | 2018-03-23 | 2018-06-20 | $2,938 | $3,124 | -$186 | -$186 |
| OVERSEA CHINESE BNKG CRP CORP LTD | P | 2015-09-03 | 2018-05-04 | $3,358 | $2,054 | $1,304 | $1,304 |
| PUBLICIS SA NEW SPON ADR SPON ADR | P | 2017-10-24 | 2018-06-20 | $2,627 | $2,482 | $145 | $145 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2016-04-20 | 2018-06-20 | $2,440 | $2,549 | -$109 | -$109 |
| SK TELECOM LTD SPONS ADR SPON ADR | P | 2009-10-09 | 2018-06-20 | $4,982 | $3,554 | $1,428 | $1,428 |
| SEKISUI HOUSE LTD ADR SPON ADR | P | 2014-03-05 | 2018-06-20 | $4,011 | $2,954 | $1,057 | $1,057 |
| TELENOR ASA SPONS ADR SPON ADR | P | 2014-10-07 | 2018-06-20 | $3,773 | $3,891 | -$118 | -$118 |
| TEVA PHARMACEUTICAL ADR LTD ADR | P | 2012-09-24 | 2018-02-15 | $332 | $642 | -$310 | -$310 |
| TOYOTA MTR CORP SPON ADR SPON ADR | P | 2010-10-21 | 2018-06-20 | $6,069 | $3,221 | $2,848 | $2,848 |
| UBS GROUP AG | P | 2014-07-01 | 2018-06-20 | $708 | $853 | -$145 | -$145 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-23 | 2018-06-19 | $8,260 | $8,150 | $110 | $110 |
| BLACKROCK CAPITAL INVESTMENT CORP | P | 2014-06-23 | 2018-06-22 | $25,622 | $36,562 | -$10,940 | -$10,940 |
| HECO CAP TR III 6.5% PFD 6.5% CUMULA | P | 2004-03-11 | 2018-06-18 | $31,006 | $30,000 | $1,006 | $1,006 |
| SELECTIVE INS SR NT GRP INC SENIOR N | P | 2013-09-24 | 2018-06-18 | $251,747 | $214,184 | $37,563 | $37,563 |
| CLIFFS NAT 6.25 100140 SR NOTE CPN | P | 2012-08-31 | 2018-06-18 | $124,495 | $150,897 | -$26,402 | -$26,402 |
| ALEXION PHARMS INC INC | P | 2017-01-03 | 2018-06-19 | $18,383 | $18,921 | -$538 | -$538 |
| AMERN EXPRESS CO | P | 2017-01-03 | 2018-06-19 | $24,577 | $19,134 | $5,443 | $5,443 |
| BLACKROCK INC | P | 2016-04-29 | 2018-06-19 | $2,101 | $1,424 | $677 | $677 |
| CHIPOTLE MEXICAN GRILL A INC CL A | P | 2017-07-28 | 2018-06-19 | $4,671 | $3,555 | $1,116 | $1,116 |
| EBAY INC | P | 2017-01-03 | 2018-05-24 | $7,421 | $5,907 | $1,514 | $1,514 |
| HOME DEPOT INC | P | 2012-06-26 | 2018-02-05 | $3,663 | $989 | $2,674 | $2,674 |
| IMMUNOGEN INC | P | 2017-01-03 | 2018-03-23 | $691 | $106 | $585 | $585 |
| MC CORMICK & COMPANY INC NON VOTING | P | 2017-10-04 | 2018-06-19 | $7,389 | $6,963 | $426 | $426 |
| PALO ALTO NETWORKS INC | P | 2017-04-07 | 2018-06-19 | $5,464 | $2,923 | $2,541 | $2,541 |
| RED HAT INC | P | 2017-01-03 | 2018-06-19 | $38,106 | $15,701 | $22,405 | $22,405 |
| SCHLUMBERGER LTD | P | 2016-02-29 | 2018-06-19 | $1,641 | $1,797 | -$156 | -$156 |
| VMWARE INC CLASS A CL A | P | 2017-01-03 | 2018-06-19 | $19,611 | $10,370 | $9,241 | $9,241 |
| FT TECH ALPHADX ETF ALPAHDEX ET | P | 2013-10-10 | 2018-07-02 | $292,457 | $141,062 | $151,395 | $151,395 |
| BANK OF THE OZARKS INC INC | P | 2017-05-23 | 2018-06-19 | $27,307 | $27,467 | -$160 | -$160 |
| DRIL-QUIP INC | P | 2017-03-01 | 2018-04-25 | $17,293 | $23,527 | -$6,234 | -$6,234 |
| RBC BEARINGS INC | P | 2017-05-23 | 2018-06-19 | $60,485 | $47,854 | $12,631 | $12,631 |
| BIOGEN INC | P | 2018-03-26 | 2018-06-19 | $48,047 | $43,810 | $4,237 | $4,237 |
| CONOCOPHILLIPS | P | 2018-02-13 | 2018-06-19 | $47,911 | $38,297 | $9,614 | $9,614 |
| HERBALIFE NUTRITION LTD USD | P | 2018-05-31 | 2018-06-19 | $49,339 | $46,417 | $2,922 | $2,922 |
| LOCKHEED MARTIN CORP | P | 2018-02-07 | 2018-06-19 | $38,416 | $43,196 | -$4,780 | -$4,780 |
| PACCAR INC | P | 2017-11-27 | 2018-04-09 | $22,822 | $22,982 | -$160 | -$160 |
| SONY CORP | P | 2018-02-08 | 2018-06-19 | $41,019 | $41,424 | -$405 | -$405 |
| ZOETIS INC CL A | P | 2017-03-08 | 2018-06-19 | $30,934 | $18,844 | $12,090 | $12,090 |
| BAYER A G SPONS ADR SPON ADR | P | 2015-05-08 | 2018-06-20 | $5,358 | $6,706 | -$1,348 | -$1,348 |
| CHINA PETE&CHEM SPON ADR CORP SPONSO | P | 2017-08-18 | 2018-06-20 | $3,291 | $2,618 | $673 | $673 |
| FLEX LTD | P | 2014-02-03 | 2018-06-20 | $4,645 | $2,624 | $2,021 | $2,021 |
| ISS A/S SPON ADR SPONSORED ADR | P | 2018-01-30 | 2018-06-20 | $6,682 | $7,957 | -$1,275 | -$1,275 |
| LUXOFT HLDGS CL A ORD CL A ORD | P | 2016-09-22 | 2018-06-20 | $4,074 | $6,079 | -$2,005 | -$2,005 |
| OVERSEA CHINESE BNKG CRP CORP LTD | P | 2015-09-03 | 2018-06-20 | $2,536 | $1,853 | $683 | $683 |
| ROCHE HLDNG LTD SPNS ADR SPONSORED A | P | 2015-01-23 | 2018-06-20 | $7,130 | $9,319 | -$2,189 | -$2,189 |
| ROYAL BK SCOTLND GRP PLC GROUP PLC S | P | 2016-06-28 | 2018-06-20 | $4,644 | $3,216 | $1,428 | $1,428 |
| SK TELECOM LTD SPONS ADR SPON ADR | P | 2011-03-01 | 2018-06-20 | $3,755 | $2,746 | $1,009 | $1,009 |
| SEVEN & I HLDGS CO ADR COMPANY LTD A | P | 2009-10-09 | 2018-06-20 | $14,305 | $7,759 | $6,546 | $6,546 |
| TELENOR ASA SPONS ADR SPON ADR | P | 2015-11-18 | 2018-06-20 | $2,228 | $1,912 | $316 | $316 |
| TEVA PHARMACEUTICAL ADR LTD ADR | P | 2012-10-10 | 2018-02-15 | $581 | $1,109 | -$528 | -$528 |
| TOYOTA MTR CORP SPON ADR SPON ADR | P | 2015-08-24 | 2018-06-20 | $5,394 | $4,597 | $797 | $797 |
| UBS GROUP AG | P | 2016-10-05 | 2018-06-20 | $2,647 | $2,427 | $220 | $220 |
| APOLLO INVT SR 6.875 SR NOTE B/E 6.8 | P | 2014-05-23 | 2018-06-19 | $4,409 | $4,350 | $59 | $59 |
| BLACKROCK CAPITAL INVESTMENT CORP | P | 2014-06-23 | 2018-06-22 | $10,080 | $14,282 | -$4,202 | -$4,202 |
| HECO CAP TR III 6.5% PFD 6.5% CUMULA | P | 2004-03-11 | 2018-06-19 | $123,476 | $120,000 | $3,476 | $3,476 |
| SENIOR HSG PTY SR NT PFD SR NOTE PFD | P | 2013-09-24 | 2018-06-18 | $238,607 | $204,844 | $33,763 | $33,763 |
| HOMESTREET IN 6.5 060126 SR NOTE CPN | P | 2017-12-05 | 2018-06-18 | $126,870 | $133,294 | -$6,424 | -$6,424 |
| ALLERGAN PLC | P | 2017-01-03 | 2018-06-19 | $31,984 | $40,019 | -$8,035 | -$8,035 |
| ANADARKO PETROLEUM CORP | P | 2017-01-03 | 2018-06-19 | $35,268 | $36,383 | -$1,115 | -$1,115 |
| BROADCOM INC | P | 2017-01-03 | 2018-06-19 | $23,640 | $16,340 | $7,300 | $7,300 |
| CHIPOTLE MEXICAN GRILL A INC CL A | P | 2017-08-03 | 2018-06-19 | $3,270 | $2,481 | $789 | $789 |
| EBAY INC | P | 2017-01-03 | 2018-06-19 | $11,178 | $8,620 | $2,558 | $2,558 |
| HOME DEPOT INC | P | 2012-06-26 | 2018-03-15 | $1,782 | $520 | $1,262 | $1,262 |
| IMMUNOGEN INC | P | 2017-01-03 | 2018-06-19 | $3,275 | $604 | $2,671 | $2,671 |
| MEDTRONIC PLC | P | 2017-01-03 | 2018-06-19 | $13,467 | $10,942 | $2,525 | $2,525 |
| PAYPAL HLDGS INC | P | 2017-01-03 | 2018-06-19 | $28,103 | $13,595 | $14,508 | $14,508 |
| REGENERON PHARMACEUTICAL PHARMACEUTI | P | 2017-01-03 | 2018-06-19 | $12,272 | $14,309 | -$2,037 | -$2,037 |
| SCHLUMBERGER LTD | P | 2016-04-29 | 2018-06-19 | $985 | $1,190 | -$205 | -$205 |
| VERTEX PHARMACEUTICALS INC | P | 2017-01-03 | 2018-06-19 | $28,264 | $13,670 | $14,594 | $14,594 |
| FT TECH ALPHADX ETF ALPAHDEX ET | P | 2017-08-21 | 2018-07-02 | $140,605 | $111,375 | $29,230 | $29,230 |
| BANK OF THE OZARKS INC INC | P | 2017-09-14 | 2018-06-19 | $17,711 | $16,081 | $1,630 | $1,630 |
| EXPEDITORS INTL WASH INC | P | 2017-05-23 | 2018-06-19 | $56,674 | $41,149 | $15,525 | $15,525 |
| SCOTTS MIRACLE-GRO CO | P | 2018-02-02 | 2018-06-19 | $24,312 | $26,393 | -$2,081 | -$2,081 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $989,667 | CapitalGainNetIncomeAmt |
| Net Short Term Capital Gain Loss | $343,118 | NetShortTermCapitalGainLossAmt |
Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable Section4942 Tax | false | LiableSection4942TaxInd |
| Adjusted Qlfy Distri Yr1 | $1,118,504 | AdjustedQlfyDistriYr1Amt |
| Net Vl Noncharitable Assets Yr1 | $15,137,495 | NetVlNoncharitableAssetsYr1Amt |
| Distribution Yr1 | 0.073890 | DistributionYr1Rt |
| Adjusted Qlfy Distri Yr2 | $735,141 | AdjustedQlfyDistriYr2Amt |
| Net Vl Noncharitable Assets Yr2 | $14,433,620 | NetVlNoncharitableAssetsYr2Amt |
| Distribution Yr2 | 0.050933 | DistributionYr2Rt |
| Adjusted Qlfy Distri Yr3 | $747,842 | AdjustedQlfyDistriYr3Amt |
| Net Vl Noncharitable Assets Yr3 | $15,602,017 | NetVlNoncharitableAssetsYr3Amt |
| Distribution Yr3 | 0.047932 | DistributionYr3Rt |
| Adjusted Qlfy Distri Yr4 | $833,172 | AdjustedQlfyDistriYr4Amt |
| Net Vl Noncharitable Assets Yr4 | $16,599,172 | NetVlNoncharitableAssetsYr4Amt |
| Distribution Yr4 | 0.050194 | DistributionYr4Rt |
| Adjusted Qlfy Distri Yr5 | $538,471 | AdjustedQlfyDistriYr5Amt |
| Net Vl Noncharitable Assets Yr5 | $15,645,104 | NetVlNoncharitableAssetsYr5Amt |
| Distribution Yr5 | 0.034418 | DistributionYr5Rt |
| Total Distribution | 0.257367 | TotalDistributionRt |
| Average Distribution | 0.051473 | AverageDistributionRt |
| Net Vl Noncharitable Assets | $15,167,363 | NetVlNoncharitableAssetsAmt |
| Adj Net Vl Noncharitable Assets | $780,710 | AdjNetVlNoncharitableAssetsAmt |
| Net Investment Income Pct | $16,971 | NetInvestmentIncomePctAmt |
| Adj Nonchrtbl Net Invst Incm Pct | $797,681 | AdjNonchrtblNetInvstIncmPctAmt |
| Qualifying Distributions | $843,318 | QualifyingDistributionsAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Domestic Org Meeting Sect4940e | Yes (X) | DomesticOrgMeetingSect4940eInd |
| Investment Income Excise Tax | $16,971 | InvestmentIncomeExciseTaxAmt |
| Subtotal | $16,971 | SubtotalAmt |
| Tax Based On Investment Income | $16,971 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $10,000 | EstimatedPlusOvpmtIncmTxAmt |
| Total Payments And Credits | $10,000 | TotalPaymentsAndCreditsAmt |
| Tax Due | $6,971 | TaxDueAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | false | LegislativePoliticalActyInd |
| More Than100 Spent | false | MoreThan100SpentInd |
| Form1120 POL Filed | false | Form1120POLFiledInd |
| Activities Not Previously Rpt | false | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | false | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | false | UnrelatedBusIncmOverLimitInd |
| Organization Dissolved Etc | false | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (true) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (true) | AtLeast5000InAssetsInd |
| Form990 PF Filed With Atty Gen | Yes (true) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | false | PrivateOperatingFoundationInd |
| New Substantial Contributors | false | NewSubstantialContributorsInd |
| Own Controlled Entity | false | OwnControlledEntityInd |
| Donor Advised Fund | false | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (true) | ComplyWithPublicInspRqrInd |
| Website Address | N/A | WebsiteAddressTxt |
Persons With Books Name PersonsWithBooksName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | HARKER MELLINGER CPAS LLC | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 3076720785 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1811 S SHERIDAN AVE | AddressLine1Txt |
| City | SHERIDAN | CityNm |
| State Abbreviation | WY | StateAbbreviationCd |
| ZIP | 82801 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | false | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | false | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | false | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | false | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | false | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | false | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | false | PaymentToGovernmentOfficialInd |
| Undistributed Income PY | false | UndistributedIncomePYInd |
| Business Holdings | false | BusinessHoldingsInd |
| Jeopardy Investments | false | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | false | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | false | InfluenceLegislationInd |
| Influence Election | false | InfluenceElectionInd |
| Grants To Individuals | false | GrantsToIndividualsInd |
| Grants To Organizations | false | GrantsToOrganizationsInd |
| Noncharitable Purpose | false | NoncharitablePurposeInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | false | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | false | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTransInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | false | SubjToTaxRmnrtnExPrchtPymtInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (5 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt | Employee Benefit ProgramEmployeeBenefitProgramAmt | Expense Account Other AllwncExpenseAccountOtherAllwncAmt |
|---|---|---|---|---|---|---|---|---|
| STEVEN C HARKER | ||||||||
| 1678 COLONY PARK DR | SHERIDAN | WY | 82801 | PRESIDENT | 1.00 | $7,200 | $0 | $0 |
| RICHARD KILPATRICK | ||||||||
| 114 SCOTT DRIVE | SHERIDAN | WY | 82801 | SECRETARY | 1.00 | $7,200 | $0 | $0 |
| RONALD J DESTEFANO | ||||||||
| 1110 ABSARAKA | SHERIDAN | WY | 82801 | DIRECTOR | 1.00 | $6,700 | $0 | $0 |
| ROMAN SKATULA | ||||||||
| 222 2ND WEST PARKWAY | SHERIDAN | WY | 82801 | DIRECTOR | 1.00 | $7,200 | $0 | $0 |
| KAREN GREEN | ||||||||
| 5 CESSNA RD | SHERIDAN | WY | 82801 | TREASURER | 1.00 | $6,700 | $0 | $0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Hghst Pd Empl Or NONE | NONE | CompOfHghstPdEmplOrNONETxt |
| Comp Of Hghst Pd Cntrct Or NONE | NONE | CompOfHghstPdCntrctOrNONETxt |
Summary Of Direct Chrtbl Acty SummaryOfDirectChrtblActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description1 | SHERIDAN SENIOR CENTER, SHERIDAN WYOMING SUPPORT FOR GENERAL CENTER OPERATIONS | Description1Txt |
| Description2 | ST PETERS EPISCOPAL CHURCH - PROVIDE FUNDS FOR GENERAL FUNCTIONS | Description2Txt |
| Description3 | SHERIDAN COLLEGE, SHERIDAN, WYOMING - SUPPORT FOR GENERAL EDUCATION AND SCHOOL FUNCTIONS | Description3Txt |
| Description4 | MEMORIAL HOSPITAL OF SHERIDAN COUNTY, SHERIDAN, WYOMING - SUPPORT FOR GENERAL HOSPITAL/MEDICAL FUNCTIONS | Description4Txt |
Sum Of Program Related Invst SumOfProgramRelatedInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description1 | N/A | Description1Txt |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $13,762,454 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $1,635,884 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $15,398,338 | TotalFMVOfUnusedAssetsAmt |
| Adjusted Total FMV Of Unused Ast | $15,398,338 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $230,975 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $15,167,363 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $758,368 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $758,368 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $16,971 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $16,971 | TotalTaxAmt |
| Distributable Before Adj | $741,397 | DistributableBeforeAdjAmt |
| Distributable Before Ded | $741,397 | DistributableBeforeDedAmt |
| Distributable As Adjusted | $741,397 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $843,318 | ExpensesAndContributionsAmt |
| Qualifying Distributions | $843,318 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $16,971 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $826,347 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $741,397 | DistributableAsAdjustedAmt |
| Excess Distribution Cyov Yr4 | $14,320 | ExcessDistributionCyovYr4Amt |
| Excess Distribution Cyov Yr2 | $26,694 | ExcessDistributionCyovYr2Amt |
| Excess Distribution Cyov Yr1 | $381,117 | ExcessDistributionCyovYr1Amt |
| Total Excess Distribution Cyov | $422,131 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $843,318 | QualifyingDistributionsAmt |
| Applied To Current Year | $741,397 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $101,921 | RemainingDistriFromCorpusAmt |
| Total Corpus | $524,052 | TotalCorpusAmt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Excess Distri Cyov To Next Yr | $524,052 | ExcessDistriCyovToNextYrAmt |
| Excess From Year4 | $14,320 | ExcessFromYear4Amt |
| Excess From Year2 | $26,694 | ExcessFromYear2Amt |
| Excess From Year1 | $381,117 | ExcessFromYear1Amt |
| Excess From Current Year | $101,921 | ExcessFromCurrentYearAmt |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Application Submission Info ApplicationSubmissionInfoGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Recipient Person | GRIFFITH FOUNDATION | RecipientPersonNm |
Recipient US Address RecipientUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | STEVEN C HARKER | AddressLine1Txt |
| Address Line2 | 1811 SO SHERIDAN AVE | AddressLine2Txt |
| City | SHERIDAN | CityNm |
| State Abbreviation | WY | StateAbbreviationCd |
| ZIP | 82801 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Recipient Phone | 3076720785 | RecipientPhoneNum |
| Form And Info And Materials | LETTER FORMAT TO THE GRIFFITH FOUNDATION BOARD OF TRUSTEES | FormAndInfoAndMaterialsTxt |
| Submission Deadlines | THERE ARE NO SPECIFIC DEADLINES | SubmissionDeadlinesTxt |
| Restrictions On Awards | ALL AWARDS AND GRANTS ARE AT THE TOTAL DISCRETION OF THE BOARD OF TRUSTEES | RestrictionsOnAwardsTxt |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (10 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient RelationshipRecipientRelationshipTxt | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt | Address Line2RecipientUSAddress/AddressLine2Txt |
|---|---|---|---|---|---|---|---|---|
| FREE CLINIC | ||||||||
| PO BOX 682 | SHERIDAN | WY | 82801 | NONE | 501(C)(3) | SUPPORT PROVIDING FREE HEALTH CARE | $17,500 | |
| GIRL SCOUTS | ||||||||
| 244 NORTH MAIN | SHERIDAN | WY | 82801 | NONE | 501(C)(3) | SUPPORT GIRL SCOUT PROGRAM | $5,000 | |
| YOUTH INC | ||||||||
| C/O T SMITH | STORY | WY | 82801 | NONE | 501(C)(3) | SUPPORT YOUTH CAMPING | $10,000 | 31 WAGON BOX |
| ST PETERS EPISCOPAL CHURCH | ||||||||
| 1 S TSCIGRI | SHERIDAN | WY | 82801 | NONE | CHURCH | SUPPORT CHURCH ACTIVITES | $25,000 | |
| SHERIDAN COUNTY SENIOR CENTER | ||||||||
| 211 SMITH | SHERIDAN | WY | 82801 | NONE | 501(C)(3) | SUPPORT COMMUNITY SENIOR CENTER | $375,000 | |
| SHERIDAN COLLEGE | ||||||||
| 3059 COFFEEN AVE | SHERIDAN | WY | 82801 | NONE | PUBLIC | SUPPORT FOR SCHOOL FUNCTIONS | $317,500 | |
| SHERIDAN MEMORIAL HOSPITAL | ||||||||
| 1404 WEST 5TH | SHERIDAN | WY | 82801 | NONE | PUBLIC | SUPPORT HOSPITAL FUNCTIONS | $25,000 | |
| SHERIDAN CHAPTER AAUW | ||||||||
| 2 NORTH MAIN STE 401 | SHERIDAN | WY | 82801 | SUPPORT ORGANIZATION'S OPERATIONS | $10,000 | |||
| VOA - YOUTH SERVICES | ||||||||
| 1876 S SHERIDAN AVE | SHERIDAN | WY | 82801 | NONE | PUBLIC | SUPPORT VOLUNTEER ACTIVITES | $10,000 | |
| WYO THEATER INC | ||||||||
| 42 N MAIN ST | SHERIDAN | WY | 82801 | NONE | PUBLIC | SUPPORT PUBLIC THEATER FUNCTIONS | $25,000 | |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $820,000 | TotalGrantOrContriPdDurYrAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $148,695 | ExclusionAmt |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $342,596 | ExclusionAmt |
Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $286,057 | ExclusionAmt |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $989,667 | ExclusionAmt |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | $1,767,015 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $1,767,015 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | false | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | false | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | false | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | false | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | false | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | false | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | false | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | false | RelationshipsNonchrtblEOInd |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees Detail AccountingFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | INDIRECT ACCOUNTING FEES | CategoryTxt |
| Amt | $5,700 | Amt |
| Net Investment Income | $4,275 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $1,425 | DisbursementsCharitablePrpsAmt |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| EOY Book Value | $14,974,862 | EOYBookValueAmt |
| EOYFMV | $13,947,686 | EOYFMVAmt |
Land Etc Schedule2 LandEtcSchedule2
Land Etc LandEtcGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Cost Or Other Basis | $25,853 | CostOrOtherBasisAmt |
| Accumulated Depreciation | $25,853 | AccumulatedDepreciationAmt |
Legal Fees Schedule LegalFeesSchedule
Legal Fees LegalFeesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | INDIRECT LEGAL FEES | CategoryTxt |
| Legal Fees | $609 | LegalFeesAmt |
| Net Investment Income | $457 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $152 | DisbursementsCharitablePrpsAmt |
Other Assets Schedule OtherAssetsSchedule
Other Assets Schedule OtherAssetsScheduleGrp (5 entries)
| DescDesc | BOY Book ValueBOYBookValueAmt | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|---|
| 5TH STREET LAND | $1 | $1 | |
| BRANDS | $100 | $100 | $100 |
| MINERAL RIGHTS | $87,278 | $87,278 | $172,500 |
| PICTURES | $839 | $839 | $839 |
| ROUNDING |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (12 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|
| EXPENSES | |||
| INSURANCE | $830 | $623 | $207 |
| LICENSES AND PERMITS | $25 | $19 | $6 |
| MEMORIALS | |||
| MISCELLANEOUS | $97 | $73 | $24 |
| OFFICE SUPPLIES | $41 | $31 | $10 |
| SECRETARIAL SERVICES | $875 | $656 | $219 |
| SUPPLIES | |||
| TELEPHONE | $60 | $45 | $15 |
| REPAIRS & MAINTENANCE | |||
| JANITORIAL SERVICE | $430 | $323 | $107 |
| POSTAGE |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail (6 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| LAMAR SIGN LEASE | $180 | $180 |
| LITIGATION PROCEEDS | $138 | $138 |
| MISCELLANEOUS | $1,866 | $1,866 |
| OTHER INCOME | $183 | $183 |
| OTHER INVESTMENT INCOME | $971 | $971 |
| ORDINARY INCOME - SALE OF PTP | $282,719 | $282,719 |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees Detail OtherProfessionalFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | MANAGEMENT FEE - STIFEL NICOLAUS | CategoryTxt |
| Amt | $67,736 | Amt |
| Net Investment Income | $50,802 | NetInvestmentIncomeAmt |
| Disbursements Charitable Prps | $16,934 | DisbursementsCharitablePrpsAmt |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (2 entries)
| CategoryCategoryTxt | AmtAmt | Net Investment IncomeNetInvestmentIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|
| FOREIGN TAX | $10,034 | $7,526 | $2,508 |
| FEDERAL EXCISE TAXES | $16,971 |
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