This database was last updated in October 2019 and should only be used as a historical snapshot. There may be new information that is not included here.
Shon J. Manasco
Defense (joined: Nov. 16, 2017)
Assistant Secretary of the Air Force for Manpower and Reserve Affairs | Financial Disclosure » | Resume »
Bio, via United States Air Force:
Prior to his confirmation, Mr. Manasco was the co–founder of a product design and engineering startup after having served as Executive Vice President at one of America's leading financial services companies. Throughout his career in the private sector, Mr. Manasco has held executive leadership roles in the retail and investment banking, insurance, and energy industries. He has led global teams across functional areas that include technology, digital design, cyber-security, corporate development, sales and service and human resources. Mr. Manasco is a U.S. Army veteran who held command and staff roles at Fort Bragg, North Carolina before becoming the director of finance for the Office of Military Support, Washington, D.C. While in uniform, he held numerous staff and leadership positions supporting worldwide operational activities for Joint Special Operations Forces. Mr. Manasco holds a Bachelor of Science degree from the U.S. Military Academy at West Point, and a Master of Business Administration degree from Southern Methodist University.
Former Positions Outside Government
- Haven for Hope Board Member (start date is an estimate)
- Innovative Breakthroughs, LLC. Managing Member (Innovative Breakthroughs, LLC is a product design and manufacturing startup that has yet to bring a product to market. I am the Co-Founder of this effort and my partner and I are working through final engineering specs on a product that is an extension of commercial HVAC systems. The company agreement has yet to be finalized but it is envisioned that I would be a 38% owner in company. While we have a provisional patent that is pending, there are no other real assets to speak of other than a couple of 3D printers.)
- McNay Art Museum Board Member (There is no compensation associated with this position.)
- USAA Chief Administrative Officer
Former Compensation Sources
- USAA Chief Administrative Officer
Employment Assets
| Description | Value | Income |
|---|---|---|
| IRA - Fidelity | ||
| Artisan International Inv | $15,001 - $50,000 | None (or less than $201) |
| Allianzgi high yield bond inst (AYBIX) | $1,001 - $15,000 | None (or less than $201) |
| Baron Growth (BGRFX) | $15,001 - $50,000 | None (or less than $201) |
| GOLDMAN SACHS FIN SQ GOVT FST INSTL (FGTXX) | $15,001 - $50,000 | None (or less than $201) |
| Fidelity Real Estate Investment | $15,001 - $50,000 | None (or less than $201) |
| AMERICAN GROWTH (GFAFX) | $50,001 - $100,000 | None (or less than $201) |
| Harbor International Instl | $15,001 - $50,000 | None (or less than $201) |
| COLUMBIA CONTRARIAN CORE FUND CL | $50,001 - $100,000 | None (or less than $201) |
| PIMCO EMERGING LOCAL BOND FD INST CL | $1,001 - $15,000 | None (or less than $201) |
| SOUND SHORE FD INC | $50,001 - $100,000 | None (or less than $201) |
| Wasatch Long/Short Fund Investor Class | None (or less than $1,001) | $1,001 - $2,500 |
| IRA - Goldman Sachs (all cash) | $250,001 - $500,000 | None (or less than $201) |
| USAA Long Term Bonus Plan, deferred compensation: cash receivable | $500,001 - $1,000,000 | None (or less than $201) |
| USAA | $1,883,078 | |
| USAA Supplemental Retirement Plan | ||
| Fixed Income Fund (income amount not readily ascertainable) | $500,001 - $1,000,000 | None (or less than $201) |
| Target 2030 (income amount not readily ascertainable) | $250,001 - $500,000 | None (or less than $201) |
| USAA Compensation received | $220,384 | |
| Innovative Breakthroughs, LLC(start up company looking to innovate in the workplace) | $1,001 - $15,000 | None (or less than $201) |
| USAA | ||
| VICTORY SYCAMOREESTABLISHED VALUEI | None (or less than $1,001) | $201 - $1,000 |
| ISHARESTR NAT AMTFREEBD | None (or less than $1,001) | $201 - $1,000 |
| iShares Core MSCI EAFE ETF | None (or less than $1,001) | $201 - $1,000 |
| SPDR Nuveen Barclays Capital Muni Bond | None (or less than $1,001) | $201 - $1,000 |
| VANGUARDINDEXFDSFORMERLY VANGUARDINDEXTR TO 05/24/2001 | None (or less than $1,001) | $201 - $1,000 |
| AQR SMALL CAP MULTI | None (or less than $1,001) | $201 - $1,000 |
| VICTORY SYCAMORE | None (or less than $1,001) | $201 - $1,000 |
| AQR SMALL CAP MULTI | None (or less than $1,001) | $201 - $1,000 |
| VICTORY SYCAMORE | None (or less than $1,001) | $201 - $1,000 |
| Wells Fargo & Co | None (or less than $1,001) | $201 - $1,000 |
| AQR SMALL CAP MULTI | None (or less than $1,001) | $2,501 - $5,000 |
| AT&T Inc | None (or less than $1,001) | $201 - $1,000 |
| AbbVie Inc. | None (or less than $1,001) | $201 - $1,000 |
| American Beacon International Equity Fund | None (or less than $1,001) | $201 - $1,000 |
| American Electric Power | None (or less than $1,001) | $201 - $1,000 |
| Apple Inc. - Common Stock | None (or less than $1,001) | None (or less than $201) |
| BB&T Corp | None (or less than $1,001) | $201 - $1,000 |
| CME Group Inc | None (or less than $1,001) | $201 - $1,000 |
| CMS Energy Corp | None (or less than $1,001) | $201 - $1,000 |
| Carnival Corp | None (or less than $1,001) | $201 - $1,000 |
| Cisco Systems Inc | None (or less than $1,001) | $201 - $1,000 |
| Comcast Corporation - Class A Common Stock | None (or less than $1,001) | $201 - $1,000 |
| Edison Intl | None (or less than $1,001) | $201 - $1,000 |
| Fifth Third Bancorp (OH) | None (or less than $1,001) | $201 - $1,000 |
| General Electric Co | None (or less than $1,001) | $201 - $1,000 |
| Hewlett-Packard Co | None (or less than $1,001) | $201 - $1,000 |
| Hartford Schroders Emerging Markets Equity Fund Class I (SEMNX:NASDAQ) | None (or less than $1,001) | $201 - $1,000 |
| Home Depot Inc | None (or less than $1,001) | $201 - $1,000 |
| Intel Corp | None (or less than $1,001) | $201 - $1,000 |
| iShares Russell 1000 Index | None (or less than $1,001) | $201 - $1,000 |
| JP Morgan Chase & Co | None (or less than $1,001) | $1,001 - $2,500 |
| Johnson & Johnson | None (or less than $1,001) | $201 - $1,000 |
| KeyCorp | None (or less than $1,001) | $201 - $1,000 |
| Merck & Co Inc | None (or less than $1,001) | $201 - $1,000 |
| Microsoft Corp | None (or less than $1,001) | $1,001 - $2,500 |
| Omnicom Group | None (or less than $1,001) | $201 - $1,000 |
| Oracle Corp | None (or less than $1,001) | $201 - $1,000 |
| PNC Finl Services Group | None (or less than $1,001) | $201 - $1,000 |
| People's United Financial Inc | None (or less than $1,001) | $201 - $1,000 |
| PepsiCo Inc | None (or less than $1,001) | $201 - $1,000 |
| Raytheon Co | None (or less than $1,001) | $201 - $1,000 |
| Republic Services Inc | None (or less than $1,001) | $201 - $1,000 |
| Stanley Black & Decker | None (or less than $1,001) | $201 - $1,000 |
| Texas Instruments Inc | None (or less than $1,001) | $201 - $1,000 |
| USAA Emerging Markets Instl | None (or less than $1,001) | $201 - $1,000 |
| UNILEVER N V N Y SHS | None (or less than $1,001) | $201 - $1,000 |
| Union Pacific Corp | None (or less than $1,001) | $201 - $1,000 |
| Unitedhealth Group Inc | None (or less than $1,001) | $201 - $1,000 |
| VANGUARD INTL EQUITY INDEX | None (or less than $1,001) | $1,001 - $2,500 |
| HARDING LOEVNER INTL EQUTIY | None (or less than $1,001) | $2,501 - $5,000 |
| VICTORY SYCAMORE FUND | None (or less than $1,001) | $2,501 - $5,000 |
| USAA | ||
| AQR SMALL CAP MUTLI | None (or less than $1,001) | $201 - $1,000 |
| DELAWARE VALUE FUND INST | None (or less than $1,001) | $201 - $1,000 |
| VICTORY SYCAMORE FUND | None (or less than $1,001) | $201 - $1,000 |
| AQR SMALL CAP MUTLI | None (or less than $1,001) | $1,001 - $2,500 |
| AMERICAN BEACON INTL EQUITY FUND | None (or less than $1,001) | $201 - $1,000 |
| DELAWARE VALUE FUND INST | None (or less than $1,001) | $1,001 - $2,500 |
| HARDING LOEVNER INTL EQUITY FUND | None (or less than $1,001) | $201 - $1,000 |
| LAZARD EMERGING MRKTS | None (or less than $1,001) | $201 - $1,000 |
| MFS GROWTH FUND CLASS I | None (or less than $1,001) | $1,001 - $2,500 |
| VICTORY SYCAMORE FUND | None (or less than $1,001) | $1,001 - $2,500 |
| USAA | $1,932,367 | |
| USAA | $2,220,139 | |
| Procter & Gamble | None (or less than $1,001) | $201 - $1,000 |
Other Income/Assets
| Description | Value | Income |
|---|---|---|
| Commercial Multi-Family; Atlanta, GA | ||
| Commercial Office; Radnor, PA | ||
| Commercial Multi-Family; Chapel Hill, NC | ||
| Commercial Multi-Family; Washington, DC | ||
| Commercial Office; Oakland, CA | ||
| Commercial Retail; Sunset Hills, MO | ||
| Goldman Sachs Group Inc. | ||
| U.S. investment account (cash) | $250,001 - $500,000 | None (or less than $201) |
| GOLD SACHS BANK DEPOSIT | $1,000,001 - $5,000,000 | None (or less than $201) |
| ALASKA MUNICIPAL BOND BANK REV 5.0000% 05/01/21 MN GENERAL OBLIGATION BONDS, 2017 SERIES TWO (AMT) | $50,001 - $100,000 | None (or less than $201) |
| BERNALILLO N MEX MUN SCH DIST, Bond | $15,001 - $50,000 | None (or less than $201) |
| CALIF ST FOR PREVIOUS ISSUES GO, Bond | $50,001 - $100,000 | None (or less than $201) |
| CLARK CNTY NEV SCH DIST GO, Bond | $15,001 - $50,000 | None (or less than $201) |
| CLARK CNTY WASH PUB UTIL DIST, Bond | $50,001 - $100,000 | None (or less than $201) |
| FLORIDA PORTS FING COMMN, Bond | $50,001 - $100,000 | None (or less than $201) |
| GLN PK TX IPT SCH DT FR ISS GO, Bond | $50,001 - $100,000 | None (or less than $201) |
| HTN TX UTL SYS FR ISS DTD, Bond | $50,001 - $100,000 | None (or less than $201) |
| IOWA ST SPL OBLIG REV, Bond | $50,001 - $100,000 | None (or less than $201) |
| LOUISIANA GO, Bond | $50,001 - $100,000 | None (or less than $201) |
| MASS ST GO, Bond | $50,001 - $100,000 | None (or less than $201) |
| METRO WASH DC AIRPORTS, Bond | $15,001 - $50,000 | None (or less than $201) |
| CITY OF NEW YORK RE: $900,065,000 GO, Bond | $50,001 - $100,000 | None (or less than $201) |
| RHODE ISLAND ST & PROVIDENCE GO, Bond | $50,001 - $100,000 | None (or less than $201) |
| ROCK RIV WTR RECLAMATION DIST, DB, Bond | $50,001 - $100,000 | None (or less than $201) |
| STATE OF CONNECTICUT GO, Bond | $50,001 - $100,000 | None (or less than $201) |
| TALLADEGA CNTY ALA, Bond | $50,001 - $100,000 | None (or less than $201) |
| PORT OF PORTLAND OREGON, Bond | $15,001 - $50,000 | None (or less than $201) |
| TULSA CNTY OKLA INDPT SCH DIST GO, Bond | $15,001 - $50,000 | None (or less than $201) |
| CORPORATE CREDIT INVESTMENT STRATEGIES LLC CLASS A SERIES 1 | $250,001 - $500,000 | None (or less than $201) |
| BOND: 1011778 B.C. UNLIMITED LIABILITY COMPANY, 05/15/24 4.25% 144A; 68245XAC3 | ||
| BOND:ACADIA HEALTHCARE COMPANY INC B, 02/15/23 5.625%; 00404AAJ8 | ||
| ACRISURE LLC TERM LOAN 11/22/23 | ||
| BOND: ADIENT GLOBAL HOLDINGS LTD, 08/15/26 4.875% 144A; 00687YAA3 | ||
| BOND:ALTICE FINANCING S.A., 02/15/23 6.625% 144A; 02154CAD5 | ||
| ALTICE TERM LOAN 07/15/25; L0178UAG1 | ||
| BOND:ALTICE US FINANCE I CORP, 05/15/26 5.5% 144A; 02155FAC9 | ||
| Bond; AMC ENTERTAINMENT HOLDINGS INC, 05/15/27 6.125% 144A; 00165CAC8 | ||
| BOND; AMC ENTERTAINMENT HOLDINGS INC, 11/15/26 5.875% 144A; 00165CAA2 | ||
| American Axle TERM LOAN 04/08/24; 02406MAP2 | ||
| Bond;AMERIGAS PARTNERS, L.P., 05/20/25 5.5%; 030981AK0 | ||
| Bond; APX GROUP INC WI, 12/01/22 7.875%; 00213MAK0 | ||
| Bond;ARDAGH PACKAGING FINANCE PUBLIC LIMITED COMPANY, 05/15/23 4.625% 144A; 03969AAH3 | ||
| ATI HOLDINGS ACQUISITION TERM LOAN 05/10/23; 00216HAB8 | ||
| BOND: AV HOMES INC, 05/15/22 6.625% 144A; 00234PAH5 | ||
| BJ'S WHOLESALE CLUB, INC. TERM LOAN 02/03/24; 09179FAU6 | ||
| BOND: BOMBARDIER INC, 10/15/22 6% 144A; 097751BJ9 | ||
| BOND; BOOZ ALLEN HAMILTON INC, 05/01/25 5.125% 144A; 099500AA8 | ||
| BOND; BUILDERS FIRSTSOURCE INC, 09/01/24 5.625% 144A; 12008RAJ6 | ||
| BUILDERS FIRSTSOURCE TERM LOAN 02/29/24 | ||
| BWAY HOLDING COMPANY TERM LOAN 04/03/24; 05604XAP1 | ||
| CABLE ONE TERM LOAN 05/01/24 | ||
| BOND; CAESARS GROWTH PROPERTIES HOLDINGS, LLC, 05/01/22 9.375%; 12768WAB2 | ||
| BOND; CARRIZO OIL & GAS INC, 09/15/20 7.5%; 144577AF0 | ||
| CBS RADIO TERM LOAN 10/17/23; 12506KAB5 | ||
| BOND; CCO HOLDINGS, LLC, 05/01/27 5.125% 144A; 1248EPBT9 | ||
| BOND; CENGAGE LEARNING INC, 06/15/24 9.5% 144A; 15137NAA1 | ||
| Centurytel TERM LOAN 01/31/25; 15670BAB8 | ||
| BOND; CEQUEL COMMUNICATIONS HOLDINGS I, LLC, 12/15/21 5.125% 144A; 15672WAE4 | ||
| CHANGE HEALTHCARE HOLDINGS LLC TERM LOAN 03/01/24; 15911AAC7 | ||
| BOND; CEQUEL COMMUNICATIONS HOLDINGS I, LLC, 12/15/21 5.125% 144A; 15672WAE4 | ||
| CHANGE HEALTHCARE HOLDINGS LLC TERM LOAN 03/01/24; 15911AAC7 | ||
| BOND; CHARTER COMMUNICATIONS OPERATING, LLC, 02/15/28 3.75% 144A; 161175BE3 | ||
| CHARTER NEX US TERM LOAN 05/16/24; 16125TAC6 | ||
| BOND; CHENIERE CORPUS CHRISTI HOLDINGS, LLC, 06/30/27 5.125% 144A; 16412XAE5 | ||
| BOND; CHOBANI, LLC, 04/15/25 7.5% 144A; 17027NAA0 | ||
| BOND; CHS/COMMUNITY HEALTH SYSTEMS INC, 03/31/23 6.25%; 12543DAY6 | ||
| COMFORT HOLDING LLC TERM LOAN 02/03/24; 20038GAB4 | ||
| COMMERCE MERGER SUB (BANK LOAN PLACEHOLDER) TERM LOAN 06/21/18 | ||
| BOND; COMMSCOPE INC, 06/15/24 5.5% 144A; 203372AM9 | ||
| BOND; CONCORDIA INTERNATIONAL CORP., 04/15/23 7% 144A; 206519AA8 | ||
| CONSOLIDATED COMMUNICATIONS TERM LOAN 10/05/23 | ||
| BOND; CONSOLIDATED ENERGY FINANCE SA, 06/15/25 6.875% 144A; 20914UAD8 | ||
| BOND; COOPER-STANDARD AUTOMOTIVE INC, 11/15/26 5.625% 144A; 216762AF1 | ||
| BOND; COVEY PARK ENERGY LLC, 05/15/25 7.5% 144A; 22304LAA8 | ||
| BOND; CROWN AMERICAS LLC, 09/30/26 4.25% 144A; 22819KAA8 | ||
| BOND; CROWNROCK, L.P., 04/15/21 7.125% 144A; 228701AC2 | ||
| BOND; DANA FINANCING LUXEMBOURG S.A R.L., 04/15/25 5.75% 144A; 235822AB9 | ||
| BOND; DANA INC, 09/15/21 5.375%; 235825AC0 | ||
| BOND; DEAN FOODS COMPANY, 03/15/23 6.5% 144A; 242370AD6 | ||
| BOND; DELL INTERNATIONAL L.L.C., 06/15/26 6.02% 144A; 25272KAK9 | ||
| Dole TERM LOAN 04/06/24 | ||
| BOND; DONNELLEY FINANCIAL SOLUTIONS INC WI, 10/15/24 8.25%; 25787GAC4 | ||
| BOND; E*TRADE FINANCIAL CORP, 09/15/23 4.625%; 269246BM5 | ||
| Emergency Medical Services TERM LOAN 12/01/23; 29414UAB8 | ||
| BOND; FAGE USA DAIRY INDUSTRY INC, 08/15/26 5.625% 144A; 30257WAA4 | ||
| Fairpoint TERM LOAN 02/14/19; 30555TAQ5 | ||
| BOND; FIRST DATA CORP, 01/15/24 5% 144A; 32008DAA4 | ||
| BOND; FRONTIER COMMUNICATIONS CORP B, 04/15/20 8.5%; 35906AAH1 | ||
| FRONTIER COMMUNICATIONS TERM LOAN 06/01/24 | ||
| BOND; FTS INTERNATIONAL INC, 06/15/20 L+7.5% 144A (CLD); 30283WAC8 | ||
| GARDA WORLD SECURITY TERM LOAN 05/24/24; C3602DAP9 | ||
| BOND; GENERAL MOTORS FINANCIAL COMPANY INC, 03/01/26 5.25%; 37045XBG0 | ||
| GREENWAY HEALTH LLC TERM LOAN 02/16/24; 39678DAC4 | ||
| BOND; GULFPORT ENERGY CORP, 05/01/23 6.625%; 402635AE6 | ||
| BOND; GULFPORT ENERGY CORP, 05/15/25 6.375% 144A; 402635AJ5 | ||
| BOND; HALCON RESOURCES CORP, 02/15/25 6.75% 144A; 40537QAN0 | ||
| BOND; HERTZ CORP (THE) B, 01/15/21 7.375%; 428040CG2 | ||
| BOND; HERTZ CORP (THE), 06/01/22 7.625% 144A; 428040CT4 | ||
| BOND; HUGHES SATELLITE SYSTEMS CORP WI, 08/01/26 5.25%; 444454AD4 | ||
| Commercial Office, Chicago, IL | ||
| BOND; INMARSAT FINANCE PLC, 05/15/22 4.875% 144A; 45763PAE6 | ||
| BOND; INMARSAT FINANCE PLC, 10/01/24 6.5% 144A; 45763PAF3 | ||
| BOND; INTELSAT JACKSON HOLDINGS S.A. B, 04/01/19 7.25%; 45824TAE5 | ||
| J C PENNEY TERM LOAN 06/23/23; 46611NAJ2 | ||
| Warrants:JACK COOPER ENTERPRISES, INC. | ||
| Kindred Health TERM LOAN 04/09/21; 49458FAK6 | ||
| BOND; KINROSS GOLD CORP, 07/15/27 4.5% 144A; 496902AP2 | ||
| Kraton Ploymers TERM LOAN 01/06/22; 50076WAK9 | ||
| KRONOS TERM LOAN 11/01/23; 50105JAM9 | ||
| BOND; LAMAR MEDIA CORP. B, 01/15/24 5.375%; 513075BH3 | ||
| BOND; LEAR CORP B, 01/15/23 4.75%; 521865AU9 | ||
| Equity:LIBERTY HARBOR PF LPR LLC | ||
| BOND; LIFEPOINT HEALTH INC, 12/01/23 5.875%; 53219LAN9 | ||
| BOND; LIONS GATE ENTERTAINMENT CORP., 11/01/24 5.875% 144A; 535919AL8 | ||
| LIONS GATE ENTERTAINMENT TERM LOAN 12/08/23 | ||
| MA FINANCECO LLC TERM LOAN 04/18/24 | ||
| MAXLINEAR TERM LOAN 04/12/24 | ||
| MONITRONICS INTERNATIONAL TERM LOAN 09/30/22; 60945LAS4 | ||
| BOND; NAVIENT CORP, 03/25/21 5.875%; 63938CAC2 | ||
| BOND; NAVIENT CORP, 06/25/25 6.75%; 63938CAH1 | ||
| BOND; NAVISTAR INTERNATIONAL CORP, 11/01/21 8.25%; 63934EAM0 | ||
| NEW ARCLIN US HOLDING TERM LOAN 02/14/24; 64200PAB4 | ||
| BOND; NEW HOME COMPANY INC (THE), 04/01/22 7.25% 144A; 645370AA5 | ||
| NEW RED FINANCE TERM LOAN 02/17/24; C6901LAE7 | ||
| BOND; NOVA CHEMICALS CORP, 06/01/24 4.875% 144A; 66977WAQ2 | ||
| BOND; NOVA CHEMICALS CORP, 06/01/27 5.25% 144A; 66977WAR0 | ||
| BOND; NOVA CHEMICALS CORP, 08/01/23 5.25% 144A; 66977WAN9 | ||
| OPTIV TERM LOAN 02/01/24; 68404XAB2 | ||
| BOND; ORCHESTRA BORROWER LLC (BANK LOAN PLACEHOLDER), 06/15/22 6.75% 144A; 68573DAA3 | ||
| BOND; PDC ENERGY INC, 09/15/24 6.125% 144A; 69327RAE1 | ||
| PETSMART TERM LOAN 03/11/22; 71677HAG0 | ||
| BOND; PETSMART,INC, 06/01/25 5.875% 144A; 716768AC0 | ||
| BOND; PETSMART,INC, 06/01/25 8.875% 144A; 716768AD8 | ||
| BOND; QEP RESOURCES INC, 05/01/23 5.25%; 74733VAC4 | ||
| BOND; QUALCOMM INC, 05/20/24 2.9%; 747525AT0 | ||
| BOND; RITE AID CORP, 04/01/23 6.125% 144A; 767754CH5 | ||
| BOND; SABINE PASS LIQUEFACTION, LLC B, 05/15/24 5.75%; 785592AJ5 | ||
| BOND; SEAGATE HDD CAYMAN, 01/01/25 4.75%; 81180WAL5 | ||
| BOND; SEAGATE HDD CAYMAN, 06/01/27 4.875%; 81180WAR2 | ||
| BOND; SESI, L.L.C. B, 12/15/21 7.125%; 78412FAP9 | ||
| BOND; SIRIUS XM RADIO INC, 08/01/27 5% 144A; 82967NBA5 | ||
| BOND; SM ENERGY COMPANY B, 01/01/23 6.5%; 78454LAF7 | ||
| BOND; SPRINGLEAF FINANCE CORP, 05/15/22 6.125%; 85172FAK5 | ||
| Sprint Communications TERM LOAN 02/02/24; 85208EAB6 | ||
| BOND; SUBURBAN PROPANE PARTNERS, L.P., 06/01/24 5.5%; 864486AH8 | ||
| SURGERY CENTER HOLDINGS TERM LOAN 06/19/24 | ||
| Intereest Rate Swap 1-USD; Pay LIBOR; Rec Fixed 2.25%; 20Sep24 | ||
| BOND; TALEN ENERGY SUPPLY, LLC, 07/15/22 9.5% 144A; 87422VAB4 | ||
| TALEN ENERGY TERM LOAN 04/15/24 | ||
| BOND; TALLGRASS ENERGY PARTNERS, LP, 09/15/24 5.5% 144A; 87470LAA9 | ||
| TEAM HEALTH HOLDINGS TERM LOAN 02/06/24 | ||
| TECOSTAR HOLDINGS TERM LOAN 05/01/24 | ||
| Telesat TERM LOAN 11/17/23; 87951YAS0 | ||
| BOND; TENET HEALTHCARE CORP, 06/15/20 L+3.5%; 88033GCL2 | ||
| BOND; TENET HEALTHCARE CORP, 07/15/24 4.625% 144A; 88033GCR9 | ||
| BOND; TEREX CORP, 02/01/25 5.625% 144A; 880779AZ6 | ||
| BOND; THC ESCROW CORP III, 05/01/25 5.125% 144A; 87248NAC2 | ||
| BOND; THC ESCROW CORP III, 07/15/24 4.625% 144A; 87248NAA6 | ||
| BOND; ESCROW CORP III, 08/01/25 7% 144A; 87248NAE8 | ||
| TKC HOLDINGS TERM LOAN 02/01/23; 87256FAB0 | ||
| BOND; TRANSOCEAN INC, 07/15/23 9% 144A; 893830BE8 | ||
| BOND; TRANSOCEAN INC, 10/15/22 5.8% STEPUP; 893830BC2 | ||
| BOND; TRANSOCEAN PROTEUS LTD, 12/01/24 6.25% 144A; 893829AA9 | ||
| BOND; UNITI GROUP INC, 04/15/23 6% 144A; 20341WAA3 | ||
| BOND; GROUP INC, 12/15/24 7.125% 144A; 20341WAE5 | ||
| BOND; UNITI GROUP INC, 12/15/24 7.125% 144A; 91326LAA7 | ||
| BOND; UNIVISION COMMUNICATIONS INC, 02/15/25 5.125% 144A; 914906AS1 | ||
| BOND; UNIVISION COMMUNICATIONS INC, 05/15/23 5.125% 144A; 914906AR3 | ||
| BOND; VALEANT PHARMACEUTICALS INTERNATIONAL, 10/15/20 6.375% 144A; 91829KAA1 | ||
| BOND; VENATOR FINANCE S.A R.L., 07/15/25 5.75% 144A; 9226APAA3 | ||
| BOND; VERISIGN INC, 07/15/27 4.75% 144A; 92343EAJ1 | ||
| BOND; VIDEOTRON LTD., 04/15/27 5.125% 144A; 92660FAK0 | ||
| BOND; VIRGIN MEDIA SECURED FINANCE PLC, 08/15/26 5.5% 144A; 92769XAM7 | ||
| BOND; WEATHERFORD INTERNATIONAL LTD., 02/15/24 9.875% 144A; 947075AL1 | ||
| BOND; WEATHERFORD INTERNATIONAL LTD., 04/15/22 4.5%; 94707VAC4 | ||
| BOND; WEATHERFORD INTERNATIONAL LTD., 06/15/21 7.75%; 947075AJ6 | ||
| BOND; WEATHERFORD INTERNATIONAL LTD., 09/15/20 5.125%; 94707VAA8 | ||
| WideOpenWest TERM LOAN 08/06/23 | ||
| Windstream TERM LOAN 03/29/21; 97381HAR8 | ||
| BOND; ZAYO GROUP, LLC, 01/15/27 5.75% 144A; 989194AP0 | ||
| BOND; ZIGGO SECURED FINANCE B.V., 01/15/27 5.5% 144A; 98954NAA7 | ||
| ZIGGO SECURED FINANCE BV TERM LOAN 04/15/25; N9833RAE9 | ||
| GSAM: TAX ADVANTAGED LOSS HARVESTING | ||
| APPLE INC. CMN | $15,001 - $50,000 | None (or less than $201) |
| 3M COMPANY CMN | $1,001 - $15,000 | None (or less than $201) |
| ABBOTT LABORATORIES CMN | $1,001 - $15,000 | None (or less than $201) |
| ABBVIE INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| ACCENTURE PLC CMN | $1,001 - $15,000 | None (or less than $201) |
| ACTIVISION BLIZZARD INC CMN | $1,001 - $15,000 | None (or less than $201) |
| ADOBE SYSTEMS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| AETNA INC CMN | $1,001 - $15,000 | None (or less than $201) |
| ALLERGAN PLC CMN | $1,001 - $15,000 | None (or less than $201) |
| ALPHABET INC. CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| ALPHABET INC. CMN CLASS C | $1,001 - $15,000 | None (or less than $201) |
| ALTRIA GROUP, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| AMAZON.COM INC CMN | $1,001 - $15,000 | None (or less than $201) |
| AMERICAN EXPRESS CO. CMN | $1,001 - $15,000 | None (or less than $201) |
| AMERICAN INTL GROUP, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| AMERICAN TOWER CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| AMGEN INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| ANTHEM, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| APPLIED MATERIALS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| AT&T INC CMN | $1,001 - $15,000 | None (or less than $201) |
| AUTOMATIC DATA PROCESSING INC CMN | $1,001 - $15,000 | None (or less than $201) |
| BANK OF AMERICA CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| BECTON DICKINSON & CO CMN | $1,001 - $15,000 | None (or less than $201) |
| BERKSHIRE HATHAWAY INC. CLASS B | $1,001 - $15,000 | None (or less than $201) |
| BIOGEN INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| BLACKROCK, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| BOEING COMPANY CMN | $1,001 - $15,000 | None (or less than $201) |
| BRISTOL-MYERS SQUIBB COMPANY CMN | $1,001 - $15,000 | None (or less than $201) |
| BROADCOM LIMITED CMN | $1,001 - $15,000 | None (or less than $201) |
| CATERPILLAR INC (DELAWARE) CMN | $1,001 - $15,000 | None (or less than $201) |
| CELGENE CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| CHARLES SCHWAB CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| CHARTER COMMUNICATIONS, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| CHEVRON CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| CHUBB LTD CMN | $1,001 - $15,000 | None (or less than $201) |
| CIGNA CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| CISCO SYSTEMS, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| CITIGROUP INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| CMS ENERGY CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| COCA-COLA COMPANY (THE) CMN | $1,001 - $15,000 | None (or less than $201) |
| COGNIZANT TECHNOLOGY SOLUTIONS CORP CLASS A | $1,001 - $15,000 | None (or less than $201) |
| COLGATE-PALMOLIVE CO CMN | $1,001 - $15,000 | None (or less than $201) |
| COMCAST CORPORATION CMN CLASS A VOTING | $1,001 - $15,000 | None (or less than $201) |
| CONOCOPHILLIPS CMN | $1,001 - $15,000 | None (or less than $201) |
| COSTCO WHOLESALE CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| CVS HEALTH CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| DANAHER CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| DELTA AIR LINES, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| DOW CHEMICAL CO CMN | $1,001 - $15,000 | None (or less than $201) |
| DTE ENERGY COMPANY CMN | $1,001 - $15,000 | None (or less than $201) |
| DUKE ENERGY CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| E.I. DU PONT DE NEMOURS AND CO CMN | $1,001 - $15,000 | None (or less than $201) |
| ELI LILLY & CO CMN | None (or less than $1,001) | None (or less than $201) |
| EMERSON ELECTRIC CO. CMN | $1,001 - $15,000 | None (or less than $201) |
| EOG RESOURCES INC CMN | $1,001 - $15,000 | None (or less than $201) |
| EXXON MOBIL CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| FACEBOOK, INC. CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| FEDEX CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| FORD MOTOR COMPANY CMN | $1,001 - $15,000 | None (or less than $201) |
| GENERAL DYNAMICS CORP. CMN | $1,001 - $15,000 | None (or less than $201) |
| GENERAL ELECTRIC CO CMN | $1,001 - $15,000 | None (or less than $201) |
| GENERAL MILLS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| GILEAD SCIENCES CMN | $1,001 - $15,000 | None (or less than $201) |
| GOLDMAN SACHS BANK DEPOSIT (BDA) | $1,001 - $15,000 | None (or less than $201) |
| HONEYWELL INTL INC CMN | $1,001 - $15,000 | None (or less than $201) |
| ILLINOIS TOOL WORKS CMN | $1,001 - $15,000 | None (or less than $201) |
| INTEL CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| INTL BUSINESS MACHINES CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| JOHNSON & JOHNSON CMN | $1,001 - $15,000 | None (or less than $201) |
| JPMORGAN CHASE & CO CMN | $1,001 - $15,000 | None (or less than $201) |
| KROGER COMPANY CMN | $1,001 - $15,000 | None (or less than $201) |
| LOCKHEED MARTIN CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| MARSH & MCLENNAN CO INC CMN | $1,001 - $15,000 | None (or less than $201) |
| MASTERCARD INCORPORATED CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| MC DONALDS CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| MEDTRONIC PUBLIC LIMITED COMPA CMN | $1,001 - $15,000 | None (or less than $201) |
| MERCK & CO., INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| METLIFE, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| MICROSOFT CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| MONDELEZ INTERNATIONAL, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| MONSANTO COMPANY CMN | $1,001 - $15,000 | None (or less than $201) |
| MORGAN STANLEY CMN | $1,001 - $15,000 | None (or less than $201) |
| NETFLIX COM INC CMN | $1,001 - $15,000 | None (or less than $201) |
| NEXTERA ENERGY, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| NIKE CLASS-B CMN CLASS B | $1,001 - $15,000 | None (or less than $201) |
| NORTHROP GRUMMAN CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| NVIDIA CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| OCCIDENTAL PETROLEUM CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| ORACLE CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| PAYPAL HOLDINGS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| PEPSICO INC CMN | $1,001 - $15,000 | None (or less than $201) |
| PFIZER INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| PHILIP MORRIS INTL INC CMN | $1,001 - $15,000 | None (or less than $201) |
| PNC FINANCIAL SERVICES GROUP CMN | $1,001 - $15,000 | None (or less than $201) |
| PRICELINE GROUP INC/THE CMN | $1,001 - $15,000 | None (or less than $201) |
| PROCTER & GAMBLE COMPANY (THE) CMN | $1,001 - $15,000 | None (or less than $201) |
| PROLOGIS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| PRUDENTIAL FINANCIAL INC CMN | $1,001 - $15,000 | None (or less than $201) |
| QUALCOMM INC CMN | $1,001 - $15,000 | None (or less than $201) |
| RAYTHEON CO CMN | $1,001 - $15,000 | None (or less than $201) |
| ROSS STORES,INC CMN | $1,001 - $15,000 | None (or less than $201) |
| SALESFORCE.COM, INC CMN | $1,001 - $15,000 | None (or less than $201) |
| SCHLUMBERGER LTD CMN | $1,001 - $15,000 | None (or less than $201) |
| SIMON PROPERTY GROUP INC CMN | $1,001 - $15,000 | None (or less than $201) |
| STATE STREET CORPORATION (NEW) CMN | $1,001 - $15,000 | None (or less than $201) |
| STRYKER CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| THE BANK OF NY MELLON CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| THE HOME DEPOT, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| THE SOUTHERN CO. CMN | $1,001 - $15,000 | None (or less than $201) |
| THERMO FISHER SCIENTIFIC INC CMN | $1,001 - $15,000 | None (or less than $201) |
| TIME WARNER INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| U.S. BANCORP CMN | $1,001 - $15,000 | None (or less than $201) |
| UNITED PARCEL SERVICE, INC. CLASS B COMMON STOCK | $1,001 - $15,000 | None (or less than $201) |
| UNITED TECHNOLOGIES CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| UNITEDHEALTH GROUP INCORPORATE CMN | $1,001 - $15,000 | None (or less than $201) |
| VERIZON COMMUNICATIONS INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| VISA INC. CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| WALGREENS BOOTS ALLIANCE, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| WALT DISNEY COMPANY (THE) CMN | $1,001 - $15,000 | None (or less than $201) |
| WELLS FARGO & CO (NEW) CMN | $1,001 - $15,000 | None (or less than $201) |
| CAPITAL ONE FINANCIAL CORP CMN | None (or less than $1,001) | None (or less than $201) |
| ADVANCE AUTO PARTS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| ADVANCED MICRO DEVICES, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| AFLAC INCORPORATED CMN | None (or less than $1,001) | None (or less than $201) |
| AIR PRODUCTS & CHEMICALS INC CMN | None (or less than $1,001) | None (or less than $201) |
| ALBEMARLE CORP CMN | None (or less than $1,001) | None (or less than $201) |
| ALEXANDRIA REAL ESTATE EQUITIES, INC. | None (or less than $1,001) | None (or less than $201) |
| ALEXION PHARMACEUTICALS INC CMN | None (or less than $1,001) | None (or less than $201) |
| ALLSTATE CORPORATION COMMON STOCK | None (or less than $1,001) | None (or less than $201) |
| AMEREN CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| AMERICAN AIRLINES GROUP INC CMN | None (or less than $1,001) | None (or less than $201) |
| AMERICAN WATER WORKS CO, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| AMERIPRISE FINANCIAL, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| AMERISOURCEBERGEN CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| AMETEK INC (NEW) CMN | None (or less than $1,001) | None (or less than $201) |
| AMPHENOL CORP CL-A (NEW) CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| ANADARKO PETROLEUM CORP CMN | None (or less than $1,001) | None (or less than $201) |
| ANALOG DEVICES, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| ANDEAVOR CMN | None (or less than $1,001) | None (or less than $201) |
| AON PLC CMN | None (or less than $1,001) | None (or less than $201) |
| APACHE CORP. CMN | None (or less than $1,001) | None (or less than $201) |
| APACHE CORP. CMN | None (or less than $1,001) | None (or less than $201) |
| AVALONBAY COMMUNITIES INC CMN | None (or less than $1,001) | None (or less than $201) |
| BARD C R INC N J CMN | None (or less than $1,001) | None (or less than $201) |
| BAXTER INTERNATIONAL INC CMN | None (or less than $1,001) | None (or less than $201) |
| BB&T CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| BEST BUY CO INC CMN SERIES | None (or less than $1,001) | None (or less than $201) |
| BORGWARNER INC. CMN | None (or less than $1,001) | None (or less than $201) |
| BOSTON PROPERTIES INC COMMON STOCK | None (or less than $1,001) | None (or less than $201) |
| BOSTON SCIENTIFIC CORP. COMMON STOCK | None (or less than $1,001) | None (or less than $201) |
| BRITISH AMERICAN TOBACCO PLC SPONS ADR | None (or less than $1,001) | None (or less than $201) |
| C.H. ROBINSON WORLDWIDE INC. CMN | None (or less than $1,001) | None (or less than $201) |
| CAMPBELL SOUP CO CMN | None (or less than $1,001) | None (or less than $201) |
| CARDINAL HEALTH INC CMN | None (or less than $1,001) | None (or less than $201) |
| CARMAX, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| CARNIVAL CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| CBRE GROUP INC CMN | None (or less than $1,001) | None (or less than $201) |
| CENTENE CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| CHIPOTLE MEXICAN GRILL, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| CHURCH & DWIGHT CO., INC. CMN | None (or less than $1,001) | None (or less than $201) |
| CINCINNATI FINANCIAL CRP CMN | None (or less than $1,001) | None (or less than $201) |
| CINTAS CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| CLOROX CO (THE) (DELAWARE) CMN | None (or less than $1,001) | None (or less than $201) |
| CME GROUP INC. CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| COACH INC CMN | None (or less than $1,001) | None (or less than $201) |
| COMERICA INCORPORATED CMN | None (or less than $1,001) | None (or less than $201) |
| CONCHO RESOURCES INC. CMN | None (or less than $1,001) | None (or less than $201) |
| CONSTELLATION BRANDS INC CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| COOPER COMPANIES INC (NEW) CMN | None (or less than $1,001) | None (or less than $201) |
| CORNING INCORPORATED CMN | None (or less than $1,001) | None (or less than $201) |
| CROWN CASTLE INTL CORP CMN | None (or less than $1,001) | None (or less than $201) |
| CUMMINS INC COMMON STOCK | None (or less than $1,001) | None (or less than $201) |
| D.R. HORTON, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| DARDEN RESTAURANTS INC CMN | None (or less than $1,001) | None (or less than $201) |
| DEERE & COMPANY CMN | None (or less than $1,001) | None (or less than $201) |
| DELPHI AUTOMOTIVE PLC CMN | None (or less than $1,001) | None (or less than $201) |
| DEVON ENERGY CORPORATION (NEW) CMN | None (or less than $1,001) | None (or less than $201) |
| DIGITAL REALTY TRUST, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| DISCOVER FINANCIAL SERVICES CMN | None (or less than $1,001) | None (or less than $201) |
| DOLLAR GENERAL CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| DOLLAR TREE INC. CMN | None (or less than $1,001) | None (or less than $201) |
| DOVER CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| DR PEPPER SNAPPLE GROUP, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| DXC TECHNOLOGY COMPANY CMN | None (or less than $1,001) | None (or less than $201) |
| E*TRADE FINANCIAL CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| EASTMAN CHEM CO CMN | None (or less than $1,001) | None (or less than $201) |
| EATON CORP PLC CMN | None (or less than $1,001) | None (or less than $201) |
| EBAY INC. CMN | None (or less than $1,001) | None (or less than $201) |
| ECOLAB INC CMN | None (or less than $1,001) | None (or less than $201) |
| EDISON INTERNATIONAL CMN | None (or less than $1,001) | None (or less than $201) |
| EDWARDS LIFESCIENCES CORP CMN | None (or less than $1,001) | None (or less than $201) |
| ELECTRONIC ARTS CMN | None (or less than $1,001) | None (or less than $201) |
| EQUIFAX INC CMN | None (or less than $1,001) | None (or less than $201) |
| EQUINIX, INC. REIT | None (or less than $1,001) | None (or less than $201) |
| EQUITY RESIDENTIAL CMN | None (or less than $1,001) | None (or less than $201) |
| ESSEX PROPERTY TRUST INC CMN | None (or less than $1,001) | None (or less than $201) |
| ESTEE LAUDER COS INC CL-A CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| EXELON CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| EXPEDIA, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| EXPEDITORS INTL WASH INC CMN | None (or less than $1,001) | None (or less than $201) |
| EXPRESS SCRIPTS HOLDINGS CMN | None (or less than $1,001) | None (or less than $201) |
| EXTRA SPACE STORAGE INC. CMN | None (or less than $1,001) | None (or less than $201) |
| FASTENAL CO CMN | None (or less than $1,001) | None (or less than $201) |
| FIDELITY NATL INFO SVCS INC CMN | None (or less than $1,001) | None (or less than $201) |
| FIFTH THIRD BANCORP CMN | None (or less than $1,001) | None (or less than $201) |
| FISERV INC CMN | None (or less than $1,001) | None (or less than $201) |
| FOOT LOCKER, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| FORTIVE CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| FRANKLIN RESOURCES INC CMN | None (or less than $1,001) | None (or less than $201) |
| GAP INC CMN | None (or less than $1,001) | None (or less than $201) |
| GARTNER, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| GENERAL MOTORS COMPANY CMN | None (or less than $1,001) | None (or less than $201) |
| GGP INC CMN | None (or less than $1,001) | None (or less than $201) |
| GLOBAL PMTS INC CMN | None (or less than $1,001) | None (or less than $201) |
| HALLIBURTON COMPANY CMN | None (or less than $1,001) | None (or less than $201) |
| HANESBRANDS INC. CMN | None (or less than $1,001) | None (or less than $201) |
| HARRIS CORP CMN | None (or less than $1,001) | None (or less than $201) |
| HARTFORD FINANCIAL SRVCS GROUP CMN | None (or less than $1,001) | None (or less than $201) |
| HASBRO, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| HCA HEALTHCARE, INC CMN | None (or less than $1,001) | None (or less than $201) |
| HCP, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| HESS CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| HEWLETT PACKARD ENTERPRISE CO CMN | None (or less than $1,001) | None (or less than $201) |
| HILTON WORLDWIDE HOLDINGS INC. CMN | None (or less than $1,001) | None (or less than $201) |
| HOLOGIC INCORPORATED CMN | None (or less than $1,001) | None (or less than $201) |
| HORMEL FOODS CORP CMN | None (or less than $1,001) | None (or less than $201) |
| HOST HOTELS & RESORTS INC CMN | None (or less than $1,001) | None (or less than $201) |
| HP INC. CMN | None (or less than $1,001) | None (or less than $201) |
| HUMANA INC. CMN | None (or less than $1,001) | None (or less than $201) |
| HUNTINGTON BANCSHARES INCORPOR CMN | None (or less than $1,001) | None (or less than $201) |
| ILLUMINA, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| INCYTE CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| INGERSOLL-RAND PLC CMN | None (or less than $1,001) | None (or less than $201) |
| INTERCONTINENTAL EXCHANGE INC CMN | None (or less than $1,001) | None (or less than $201) |
| INTERNATIONAL PAPER CO. CMN | None (or less than $1,001) | None (or less than $201) |
| INTUIT INC CMN | None (or less than $1,001) | None (or less than $201) |
| INTUITIVE SURGICAL, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| INVESCO LTD. CMN | None (or less than $1,001) | None (or less than $201) |
| IRON MOUNTAIN INCORPORATED CMN | None (or less than $1,001) | None (or less than $201) |
| J.M. SMUCKER CO. CMN | None (or less than $1,001) | None (or less than $201) |
| JOHNSON CONTROLS INTERNATIONAL CMN | None (or less than $1,001) | None (or less than $201) |
| KANSAS CITY SOUTHERN CMN | None (or less than $1,001) | None (or less than $201) |
| KELLOGG COMPANY CMN | None (or less than $1,001) | None (or less than $201) |
| KEYCORP CMN | None (or less than $1,001) | None (or less than $201) |
| KIMCO REALTY CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| KINDER MORGAN INC CMN CLASS P | None (or less than $1,001) | None (or less than $201) |
| KLA-TENCOR CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| KOHL'S CORP (WISCONSIN) CMN | None (or less than $1,001) | None (or less than $201) |
| LABORATORY CORPORATION OF AMER CMN | None (or less than $1,001) | None (or less than $201) |
| LAM RESEARCH CORP CMN | None (or less than $1,001) | None (or less than $201) |
| LEAR CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| LENNAR CORPORATION CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| LINCOLN NATL.CORP.INC. CMN | None (or less than $1,001) | None (or less than $201) |
| LKQ CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| LYONDELLBASELL INDUSTRIES N.V. CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| M&T BANK CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| MANPOWER GROUP CMN | None (or less than $1,001) | None (or less than $201) |
| MARATHON PETROLEUM CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| MASCO CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| MAXIM INTEGRATED PRODUCTS INC CMN | None (or less than $1,001) | None (or less than $201) |
| MCCORMICK & CO NON VTG SHRS CMN | None (or less than $1,001) | None (or less than $201) |
| MCKESSON CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| MGM RESORTS INTERNATIONAL CMN | None (or less than $1,001) | None (or less than $201) |
| MICROCHIP TECHNOLOGY INCORPORA CMN | None (or less than $1,001) | None (or less than $201) |
| MICRON TECHNOLOGY, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| MID-AMERICA APT CMNTYS INC CMN | None (or less than $1,001) | None (or less than $201) |
| MOHAWK INDUSTRIES INC COMMON STOCK | None (or less than $1,001) | None (or less than $201) |
| MOLSON COORS BREWING CO CMN CLASS B | None (or less than $1,001) | None (or less than $201) |
| MONSTER BEVERAGE CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| MOODYS CORP CMN | None (or less than $1,001) | None (or less than $201) |
| MOTOROLA SOLUTIONS INC CMN | None (or less than $1,001) | None (or less than $201) |
| NATIONAL OILWELL VARCO, INC. COMMON STOCK CMN | None (or less than $1,001) | None (or less than $201) |
| NETAPP, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| NEWELL BRANDS INC CMN | None (or less than $1,001) | None (or less than $201) |
| NEWMONT MINING CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| NIELSEN HLDGS PLC CMN | None (or less than $1,001) | None (or less than $201) |
| NISOURCE INC CMN | None (or less than $1,001) | None (or less than $201) |
| NOBLE ENERGY INC CMN | None (or less than $1,001) | None (or less than $201) |
| NUCOR CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| O'REILLY AUTOMOTIVE INC CMN | None (or less than $1,001) | None (or less than $201) |
| OMNICOM GROUP CMN | None (or less than $1,001) | None (or less than $201) |
| ONEOK INC CMN | None (or less than $1,001) | None (or less than $201) |
| P G & E CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| PACCAR INC CMN | None (or less than $1,001) | None (or less than $201) |
| PARKER-HANNIFIN CORP. CMN | None (or less than $1,001) | None (or less than $201) |
| PENTAIR PLC. CMN | None (or less than $1,001) | None (or less than $201) |
| PERRIGO CO PLC CMN | None (or less than $1,001) | None (or less than $201) |
| PHILLIPS 66 CMN | None (or less than $1,001) | None (or less than $201) |
| PIONEER NATURAL RESOURCES CO CMN | None (or less than $1,001) | None (or less than $201) |
| PRAXAIR, INC CMN SERIES | None (or less than $1,001) | None (or less than $201) |
| PRINCIPAL FINANCIAL GROUP, INC CMN | None (or less than $1,001) | None (or less than $201) |
| PROGRESSIVE CORPORATION (THE) CMN | None (or less than $1,001) | None (or less than $201) |
| PUBLIC STORAGE CMN | None (or less than $1,001) | None (or less than $201) |
| PUBLIC-SVC ENTERPRISE GROUP HOLDING CO | None (or less than $1,001) | None (or less than $201) |
| PVH CORP CMN | None (or less than $1,001) | None (or less than $201) |
| QUEST DIAGNOSTICS INCORPORATED CMN | None (or less than $1,001) | None (or less than $201) |
| RALPH LAUREN CORP CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| RAYMOND JAMES FINANCIAL INC CMN | None (or less than $1,001) | None (or less than $201) |
| REALTY INCOME CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| RED HAT, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| REGENCY CTRS CORP CMN | None (or less than $1,001) | None (or less than $201) |
| REGENERON PHARMACEUTICAL INC CMN | None (or less than $1,001) | None (or less than $201) |
| REGIONS FINANCIAL CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| REPUBLIC SERVICES INC CMN | None (or less than $1,001) | None (or less than $201) |
| ROBERT HALF INTL INC CMN | None (or less than $1,001) | None (or less than $201) |
| ROCKWELL AUTOMATION INC CMN | None (or less than $1,001) | None (or less than $201) |
| ROCKWELL COLLINS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| ROPER TECHNOLOGIES INC CMN | None (or less than $1,001) | None (or less than $201) |
| ROYAL CARIBBEAN CRUISES LTD ISIN: LR0008862868 | None (or less than $1,001) | None (or less than $201) |
| S&P GLOBAL INC. CMN | None (or less than $1,001) | None (or less than $201) |
| SCANA CORP CMN | None (or less than $1,001) | None (or less than $201) |
| SEAGATE TECHNOLOGY PLC CMN | None (or less than $1,001) | None (or less than $201) |
| SEMPRA ENERGY CMN | None (or less than $1,001) | None (or less than $201) |
| SHERWIN-WILLIAMS CO CMN | None (or less than $1,001) | None (or less than $201) |
| SKYWORKS SOLUTIONS INC CMN | None (or less than $1,001) | None (or less than $201) |
| SOUTHERN COPPER CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| SOUTHWEST AIRLINES CO CMN | None (or less than $1,001) | None (or less than $201) |
| STANLEY BLACK & DECKER INC CMN | None (or less than $1,001) | None (or less than $201) |
| STAPLES, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| STEEL DYNAMICS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| SUNTRUST BANKS INC CMN | None (or less than $1,001) | None (or less than $201) |
| SYMANTEC CORP CMN | None (or less than $1,001) | None (or less than $201) |
| SYNCHRONY FINANCIAL CMN | None (or less than $1,001) | None (or less than $201) |
| SYNOPSYS INC CMN | None (or less than $1,001) | None (or less than $201) |
| SYSCO CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| TARGET CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| TE CONNECTIVITY LTD CMN | None (or less than $1,001) | None (or less than $201) |
| TELEFLEX INC. CMN | None (or less than $1,001) | None (or less than $201) |
| TEXAS INSTRUMENTS INC. CMN | None (or less than $1,001) | None (or less than $201) |
| TEXTRON INC.DEL. CMN | None (or less than $1,001) | None (or less than $201) |
| THE HERSHEY COMPANY CMN | None (or less than $1,001) | None (or less than $201) |
| THE TRAVELERS COMPANIES, INC CMN | None (or less than $1,001) | None (or less than $201) |
| THE WILLIAMS COMPANIES, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| TIFFANY & CO CMN | None (or less than $1,001) | None (or less than $201) |
| TERADYNE INC CMN | None (or less than $1,001) | None (or less than $201) |
| TOTAL SYS SVC INC. CMN | None (or less than $1,001) | None (or less than $201) |
| TRANSDIGM GROUP INCORPORATED CMN | None (or less than $1,001) | None (or less than $201) |
| TWENTY-FIRST CENTURY FOX, INC. CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| TWENTY-FIRST CENTURY FOX, INC. CMN CLASS B | None (or less than $1,001) | None (or less than $201) |
| TYSON FOODS INC CL-A CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| ULTA BEAUTY INC CMN | None (or less than $1,001) | None (or less than $201) |
| UNION PACIFIC CORP. CMN | None (or less than $1,001) | None (or less than $201) |
| UNITED CONTINENTAL HOLDING INC CMN | None (or less than $1,001) | None (or less than $201) |
| UNITED RENTALS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| UNIVERSAL HEALTH SVC CL B CMN CLASS B | None (or less than $1,001) | None (or less than $201) |
| UNUM GROUP CMN | None (or less than $1,001) | None (or less than $201) |
| VALERO ENERGY CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| VENTAS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| VERISK ANALYTICS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| VERTEX PHARMACEUTICALS INC CMN | None (or less than $1,001) | None (or less than $201) |
| VF CORP CMN | None (or less than $1,001) | None (or less than $201) |
| VIACOM INC CMN CLASS B | None (or less than $1,001) | None (or less than $201) |
| WAL MART STORES INC CMN | None (or less than $1,001) | None (or less than $201) |
| WASTE MANAGEMENT INC CMN | None (or less than $1,001) | None (or less than $201) |
| WEC ENERGY GROUP, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| WELLTOWER, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| WESTERN DIGITAL CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| WESTERN UNION COMPANY (THE) CMN | None (or less than $1,001) | None (or less than $201) |
| WESTROCK COMPANY CMN | None (or less than $1,001) | None (or less than $201) |
| WEYERHAEUSER COMPANY CMN | None (or less than $1,001) | None (or less than $201) |
| WHIRLPOOL CORP. CMN | None (or less than $1,001) | None (or less than $201) |
| WILLIS TOWERS WATSON PLC CMN | None (or less than $1,001) | None (or less than $201) |
| WYNDHAM WORLDWIDE CORP. CMN | None (or less than $1,001) | None (or less than $201) |
| XCEL ENERGY INC CMN | None (or less than $1,001) | None (or less than $201) |
| XILINX INCORPORATED CMN | None (or less than $1,001) | None (or less than $201) |
| XL GROUP LIMITED CMN | None (or less than $1,001) | None (or less than $201) |
| YUM BRANDS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| ZIMMER BIOMET HOLDINGS INC | None (or less than $1,001) | None (or less than $201) |
| ZOETIS INC. CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| U.S. REAL PROPERTY INCOME FUND | $100,001 - $250,000 | None (or less than $201) |
| Commercial Office; Boulder, CO | ||
| Commercial Office; Austin, TX | ||
| Commercial Retail; Phoenix, AZ | ||
| Commercial industrial; Oaks, PA | ||
| Commercial Office; Scottsdale, AZ | ||
| Commercial Office; Charlotte, NC | ||
| Commercial Multi-Family; Tampa, FL | ||
| Commercial Office; Minneapolis, MN | ||
| Commercial Office; Plano, TX | ||
| Commercial office; Newport Beach, CA | ||
| Commercial Retail; Miami, FL | ||
| Commercial Retail; Dallas, TX | ||
| GS: US EQUITY BUFFERED YIELD | ||
| UBS AG LINKED TO S&P 500 INDEX CNTNGNT CPN W BUFFER, 2360.16 STRUCTURED NOTE DUE 05/24/2018 | $50,001 - $100,000 | $1,001 - $2,500 |
| SOCIETE GENERALE LINKED TO S&P 500 INDEX CNTNGNT CPN W BUFFER,2353.78 STRUCTURED NOTE DUE 07/09/2018 | $50,001 - $100,000 | $1,001 - $2,500 |
| CITIGROUP INC. LINKED TO S&P 500 INDEX CNTNGNT CPN W BUFFER, 2338.17 STRUCTURED NOTE DUE 04/05/2019 | $50,001 - $100,000 | $1,001 - $2,500 |
| CREDIT SUISSE AG LINKED TO S&P 500 INDEX CNTNGNT CPN W BUFFER, 2389.52 STRUCTURED NOTE DUE 10/05/2018 | $50,001 - $100,000 | $1,001 - $2,500 |
| JPMORGAN CHASE & CO. LINKED TO S&P 500 INDEX CNTNGNT CPN W BUFFER, 2388.77 STRUCTURED NOTE DUE 07/09/2019 | $50,001 - $100,000 | $1,001 - $2,500 |
| CANADIAN IMPERIAL BANK OF COMM LINKED TO S&P 500 INDEX CNTNGNT CPN W BUFFER, 2390.90 STRUCTURED NOTE DUE 01/09/2019 | $50,001 - $100,000 | $1,001 - $2,500 |
| CAMBIAR: NON US EQUITY | ||
| BAIDU, INC. SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| BHP BILLITON PLC SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| ROYAL DUTCH SHELL PLC SPONSORED ADR CMN SERIES A | $1,001 - $15,000 | None (or less than $201) |
| AERCAP HOLDINGS NV ORD CMN | $1,001 - $15,000 | None (or less than $201) |
| ROCHE HOLDING AG ADR B SHS(NOM CHF 100) VAL 224.184 | $1,001 - $15,000 | None (or less than $201) |
| SUMITOMO MITSUI FINANCIAL GRP SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| SCHLUMBERGER LTD CMN | $1,001 - $15,000 | None (or less than $201) |
| GOLDMAN SACHS BANK DEPOSIT (BDA) | $1,001 - $15,000 | None (or less than $201) |
| E.ON AG SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| AEGON N V AMER REG ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| SEIKO EPSON CORPORATION ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| CARREFOUR SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| ENGIE SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| AMBEV S A SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| JULIUS BAER GROUP LTD. ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| CHINA MOBILE LIMITED SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| TOTAL SA SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| CARLSBERG A/S SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| KONINKLIJKE KPN N.V. SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| MAZDA MOTOR CORPORATION UNSPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| ROYAL DSM NV SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| BANCO BILBAO VIZCAYA S A ADR SPONSORED ADR CMN USD0.3296 | $1,001 - $15,000 | None (or less than $201) |
| SEVEN & I HOLDINGS CO., LTD. UNSPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| MURATA MANUFACTURING CO., LTD. UNSPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| ARCELORMITTAL SA CMN | $1,001 - $15,000 | None (or less than $201) |
| ORANGE ADR | $1,001 - $15,000 | None (or less than $201) |
| AXA-UAP AMERICAN DEPOSITARY SHARES | $1,001 - $15,000 | None (or less than $201) |
| CANADIAN NATURAL RESOURCES CMN | $1,001 - $15,000 | None (or less than $201) |
| CK HUTCHISON HLDGS LTD ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| SMITH & NEPHEW PLC ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| AIRBUS S.E. ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| TATA MOTORS LIMITED SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| PANASONIC CORPORATION ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| INTESA SANPAOLO SPA SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| AIA GROUP LIMITED SPONSORED ADR CMN SERIES | $1,001 - $15,000 | None (or less than $201) |
| HSBC HOLDINGS PLC SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| MITSUBISHI ESTATE LTD ADR ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| OTSUKA HOLDINGS CO., LTD. ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| SECOM LTD (ADR) ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| KOMATSU LTD ADR (NEW) SPONSORED GDS CMN | $1,001 - $15,000 | None (or less than $201) |
| DNB ASA SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| ADECCO GRP AG ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| FRESENIUS MEDICAL CARE AG & CO KGAA SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| ACS, ACTIVIDADES DE CONSTRUCCI UNSPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| ESSILOR INTERNATIONAL SA ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| DBS GROUP HOLDINGS SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| BROWN: SMALL CAP GROWTH | ||
| GOLDMAN SACHS BANK DEPOSIT (BDA) | $1,001 - $15,000 | None (or less than $201) |
| WASTE CONNECTIONS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| BRIGHT HORIZONS FAMILY SOL INC CMN | $1,001 - $15,000 | None (or less than $201) |
| COGENT COMMUNICATIONS HLDGS CMN | $1,001 - $15,000 | None (or less than $201) |
| BROADSOFT, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| CHARLES RIV LABS INTL INC CMN | $1,001 - $15,000 | None (or less than $201) |
| CATALENT, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| LIBERTY TRIPADVISOR HLDGS INC CMN SERIES A | $1,001 - $15,000 | None (or less than $201) |
| BROADRIDGE FINANCIAL SOLUTIONS IN CMN | $1,001 - $15,000 | None (or less than $201) |
| HEICO CORPORATION (NEW) CMN | $1,001 - $15,000 | None (or less than $201) |
| HEXCEL CORPORATION (NEW) CMN | $1,001 - $15,000 | None (or less than $201) |
| BLACKBAUD INC CMN | $1,001 - $15,000 | None (or less than $201) |
| CAVIUM INC CMN | $1,001 - $15,000 | None (or less than $201) |
| GENPACT LIMITED CMN | $1,001 - $15,000 | None (or less than $201) |
| HEALTHCARE SVCS GROUP INC CMN | $1,001 - $15,000 | None (or less than $201) |
| WOODWARD INC CMN | $1,001 - $15,000 | None (or less than $201) |
| MACOM TECHNOLOGY SOLUTIONS CMN | $1,001 - $15,000 | None (or less than $201) |
| ESCO TECHNOLOGIES INC CMN | $1,001 - $15,000 | None (or less than $201) |
| KNIGHT TRANSPORTATION INC CMN | $1,001 - $15,000 | None (or less than $201) |
| IDEX CORPORATION COMMON STOCK | $1,001 - $15,000 | None (or less than $201) |
| HENRY SCHEIN INC COMMON STOCK | $1,001 - $15,000 | None (or less than $201) |
| MAXIMUS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| FAIR ISAAC INC CMN | $1,001 - $15,000 | None (or less than $201) |
| MIMECAST LTD CMN | $1,001 - $15,000 | None (or less than $201) |
| ASPEN TECHNOLOGY INC CMN | $1,001 - $15,000 | None (or less than $201) |
| LIBERTY VENTURES CMN | $1,001 - $15,000 | None (or less than $201) |
| TREEHOUSE FOODS, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| COTIVITI HOLDINGS, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| PAPA JOHN'S INTERNATIONAL INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| ENVESTNET, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| GUIDEWIRE SOFTWARE INC CMN | $1,001 - $15,000 | None (or less than $201) |
| CORE-MARK HOLDING COMPANY, INC CMN | $1,001 - $15,000 | None (or less than $201) |
| ACXIOM CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| CASEY'S GENERAL STORES,INC CMN | $1,001 - $15,000 | None (or less than $201) |
| SITEONE LANDSCAPE SUPPLY, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| MEDIDATA SOLUTIONS, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| LIBERTY MEDIA CORP LIBERTY FORMULA ONE COMMON STOCK | $1,001 - $15,000 | None (or less than $201) |
| ULTIMATE SOFTWARE GROUP INC CMN | $1,001 - $15,000 | None (or less than $201) |
| PROSPERITY BANCSHARES, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| CARROLS RESTAURANT GROUP INC CMN | $1,001 - $15,000 | None (or less than $201) |
| CONNECTONE BANCORP INC CMN | $1,001 - $15,000 | None (or less than $201) |
| 2U INC CMN | $1,001 - $15,000 | None (or less than $201) |
| GLOBAL PMTS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| DIGITALGLOBE, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| WEX INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| BEIGENE, LTD. SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| PRICESMART INC CMN | $1,001 - $15,000 | None (or less than $201) |
| CORELOGIC INC CMN | $1,001 - $15,000 | None (or less than $201) |
| ULTRAGENYX PHARMACEUTICAL INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| HABIT RESTAURANTS, INC. (THE) CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| MAKEMYTRIP LIMITED CMN | None (or less than $1,001) | None (or less than $201) |
| ACCELERON PHARMA INC CMN | None (or less than $1,001) | None (or less than $201) |
| AGIOS PHARMACEUTICALS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| PROOFPOINT INC CMN | $1,001 - $15,000 | None (or less than $201) |
| LINDBLAD EXPEDITIONS HLDGS INC CMN | None (or less than $1,001) | None (or less than $201) |
| NEUROCRINE BIOSCIENCES INC CMN | None (or less than $1,001) | None (or less than $201) |
| IDEXX LABORATORIES CMN | None (or less than $1,001) | None (or less than $201) |
| EXPEDIA, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| KEYW HOLDING CORP CMN | None (or less than $1,001) | None (or less than $201) |
| GLOBAL EAGLE ENTERTAINMENT INC CMN | None (or less than $1,001) | None (or less than $201) |
| PAYLOCITY HOLDING CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| SPS COMMERCE CMN | None (or less than $1,001) | None (or less than $201) |
| NOVADAQ TECHNOLOGIES INC CMN | None (or less than $1,001) | None (or less than $201) |
| U S DOLLAR | None (or less than $1,001) | None (or less than $201) |
| WAGEWORKS INC CMN | None (or less than $1,001) | None (or less than $201) |
| COHERUS BIOSCIENCES INC CMN | None (or less than $1,001) | None (or less than $201) |
| CARVANA CO. CMN CLASS A | None (or less than $1,001) | None (or less than $201) |
| JOUNCE THERAPEUTICS INC CMN | None (or less than $1,001) | None (or less than $201) |
| BWX TECHNOLOGIES, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| ALDER BIOPHARMACEUTICALS, INC. CMN | None (or less than $1,001) | None (or less than $201) |
| BEIGENE, LTD. SPONSORED ADR CMN | None (or less than $1,001) | $201 - $1,000 |
| BEIGENE, LTD. SPONSORED ADR CMN | None (or less than $1,001) | $201 - $1,000 |
| CARDINAL: SMALL CAP VALUE | ||
| GOLDMAN SACHS BANK DEPOSIT (BDA) | $1,001 - $15,000 | None (or less than $201) |
| LIGAND PHARMACEUTICALS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| COLUMBIA BKG SYS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| MB FINANCIAL INC NEW CMN | $1,001 - $15,000 | None (or less than $201) |
| BWX TECHNOLOGIES, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| GENESEE & WYOMING INC CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| NEW YORK REIT, INC. CONV CMN | $1,001 - $15,000 | None (or less than $201) |
| MEDICAL PROPERTIES TRUST INC CMN | $1,001 - $15,000 | None (or less than $201) |
| SILGAN HOLDINGS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| BGC PARTNERS, INC CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| KAR AUCTION SERVICES, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| IAC/INTERACTIVECORP CMN | $1,001 - $15,000 | None (or less than $201) |
| THE HOWARD HUGHES CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| TELEDYNE TECHNOLOGIES INC CMN | $1,001 - $15,000 | None (or less than $201) |
| CBIZ, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| PACWEST BANCORP CMN | $1,001 - $15,000 | None (or less than $201) |
| PACIFIC PREMIER BANCORP CMN | $1,001 - $15,000 | None (or less than $201) |
| KAMAN CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| ACI WORLDWIDE INC CMN | $1,001 - $15,000 | None (or less than $201) |
| LAKELAND BANCORP INC (DEL) CMN | $1,001 - $15,000 | None (or less than $201) |
| LITHIA MOTORS INC CL-A CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| PDF SOLUTIONS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| MGP INGREDIENTS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| J2 GLOBAL INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| CALLON PETROLEUM CO CMN | $1,001 - $15,000 | None (or less than $201) |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR CMN | $1,001 - $15,000 | None (or less than $201) |
| STARWOOD WAYPOINT HOMES CMN REIT | $1,001 - $15,000 | None (or less than $201) |
| OXFORD IND INC CMN | $1,001 - $15,000 | None (or less than $201) |
| CTS CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| FIRSTCASH INC CMN | $1,001 - $15,000 | None (or less than $201) |
| COMMERCEHUB, INC. CMN SERIES C | $1,001 - $15,000 | None (or less than $201) |
| SLM CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| SOUTH STATE CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| VALVOLINE INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| ADVISORY BRD CO CMN | $1,001 - $15,000 | None (or less than $201) |
| UNITED BANKSHARES INC W V CMN | $1,001 - $15,000 | None (or less than $201) |
| LAREDO PETROLEUM INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| DEL FRISCOS RESTAURANT GROUP INC CMN | $1,001 - $15,000 | None (or less than $201) |
| SIX FLAGS ENTERTAINMENT CORPOR CMN | $1,001 - $15,000 | None (or less than $201) |
| HOSTESS BRANDS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| MATCH GROUP, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| GOLUB CAPITAL BDC LLC MUTUAL FUND | $1,001 - $15,000 | None (or less than $201) |
| CALAVO GROWERS INC CMN | $1,001 - $15,000 | None (or less than $201) |
| NEXSTAR MEDIA GROUP INC CMN | $1,001 - $15,000 | None (or less than $201) |
| RESOLUTE ENERGY CORPORATION CMN | $1,001 - $15,000 | None (or less than $201) |
| ANGIE'S LIST, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| HERSHA HOSPITALITY TRUST CMN CLASS A | $1,001 - $15,000 | None (or less than $201) |
| PARK STERLING CORP CMN | $1,001 - $15,000 | None (or less than $201) |
| BOINGO WIRELESS, INC. CMN | $1,001 - $15,000 | None (or less than $201) |
| COMMUNITY HEALTHCARE TRUST INC CMN | $1,001 - $15,000 | None (or less than $201) |
| INNERWORKINGS INC CMN | None (or less than $1,001) | None (or less than $201) |
| CONVERGYS CORPORATION CMN | None (or less than $1,001) | None (or less than $201) |
| CHEMED CORP CMN | None (or less than $1,001) | None (or less than $201) |
| HERCULES CAPITAL INC . | $1,001 - $15,000 | None (or less than $201) |
| GS: Uncovered US Equity Yield Enhancement (Put Writing) | ||
| PUT/XSP @ 230 EXP 04/21/2017; Closed Put Option Position | None (or less than $1,001) | $1,001 - $2,500 |
| PUT/XSP @ 226 EXP 05/19/2017;Closed Put Option Position | None (or less than $1,001) | $1,001 - $2,500 |
| PUT/XSP @ 225 EXP 06/16/2017;Closed Put Option Position | None (or less than $1,001) | $1,001 - $2,500 |
| PUT/XSP @ 227 EXP 06/30/2017;Closed Put Option Position | None (or less than $1,001) | $1,001 - $2,500 |
| PUT/XSP @ 227 EXP 06/30/2017;Closed Put Option Position | None (or less than $1,001) | $201 - $1,000 |
| PUT/XSP @ 238 EXP 07/07/2017;Closed Put Option Position | None (or less than $1,001) | $201 - $1,000 |
| PUT/XSP @ 232 EXP 07/21/2017;Closed Put Option Position | None (or less than $1,001) | $1,001 - $2,500 |
| PUT/XSP @ 224 EXP 07/21/2017;Closed Put Option Position | None (or less than $1,001) | $2,501 - $5,000 |
| PUT/XSP @ 232 EXP 07/21/2017;Closed Put Option Position | None (or less than $1,001) | $201 - $1,000 |
| PUT/XSP @ 239 EXP 08/04/2017;Closed Put Option Position | None (or less than $1,001) | $201 - $1,000 |
| GOLDEN ENTERTAINMENT | $15,001 - $50,000 | None (or less than $201) |
| AMAZON | $15,001 - $50,000 | None (or less than $201) |
| APPLE | $1,001 - $15,000 | None (or less than $201) |
| Johnson & Johnson | None (or less than $1,001) | None (or less than $201) |
| SPDR S&P 500 ETF TRUST | $250,001 - $500,000 | None (or less than $201) |
| iShares Russell Midcap Index | $50,001 - $100,000 | None (or less than $201) |
| iShares Russell 2000 Index | $50,001 - $100,000 | None (or less than $201) |
| BNP PARIBAS structured note linked to iShares US Real Estate ETF (iShares U.S. Real Estate ETF-Linked Notes Due December 19, 2019; taken from the Prospectus.) | $100,001 - $250,000 | None (or less than $201) |
| The Goldman Sachs Group, Inc. Structured Note Linked to s&p 500 | $100,001 - $250,000 | None (or less than $201) |
| ISHARES MSCI EAFE ETF | $50,001 - $100,000 | None (or less than $201) |
| NOBILIS HEALTH CORP CMN | $15,001 - $50,000 | None (or less than $201) |
| FERRARI N.V. CMN | None (or less than $1,001) | None (or less than $201) |
| The Goldman Sachs Group, Inc. Linked to basket of indices upside levered capped w buffer structured note due 10/04/2017 (Weighted basket comprised of the EURO STOXX 50 Index (37.00% weighting), the FTSE 100 Index (23.00% weighting), Tokyo Price Index TOPIX (23.00% weighting), the Swiss Market Index (9.00% weighting) and the S&P/ASX 200 Index (8.00% weighting); taken from the Prospectus.) | $250,001 - $500,000 | None (or less than $201) |
| Fidelity | ||
| AKRE Focus Fund | $15,001 - $50,000 | None (or less than $201) |
| AQR Managed Futures | $15,001 - $50,000 | None (or less than $201) |
| Arbitrage Fund Class R | $15,001 - $50,000 | None (or less than $201) |
| BlackRock Strategic Income Opps Instl | $15,001 - $50,000 | None (or less than $201) |
| Calamos market neutral Income | $15,001 - $50,000 | None (or less than $201) |
| John Hancock ABSO Return | $1,001 - $15,000 | None (or less than $201) |
| Johcm International Select | $15,001 - $50,000 | None (or less than $201) |
| LM BW Absolute Return Opportunities Fund | $15,001 - $50,000 | None (or less than $201) |
| Loomis Sayles Bond Retail | $15,001 - $50,000 | None (or less than $201) |
| Columbia High Yield Bond Fund | $1,001 - $15,000 | None (or less than $201) |
| AMG Yacktman Focused | $15,001 - $50,000 | None (or less than $201) |
| AKRE FOCUS FUND RETAIL | None (or less than $1,001) | $1,001 - $2,500 |
| JOHCM INTL SELECT FD CL II | None (or less than $1,001) | $201 - $1,000 |
| 529 Plans (individual income amounts are not readily ascertainable) | ||
| USAA College Savings Plan: Aggressive Growth: Nevada | $100,001 - $250,000 | None (or less than $201) |
| USAA College Savings Plan: Aggressive Growth; Nevada | $100,001 - $250,000 | None (or less than $201) |
| USAA College Savings Plan: Aggressive Growth; Nevada | $100,001 - $250,000 | None (or less than $201) |
| U.S. bank Account (Cash) | $500,001 - $1,000,000 | None (or less than $201) |
| Florida Home Rental income (Watersound, FL) | $1,000,001 - $5,000,000 | $50,001 - $100,000 |
| USAA, Universal Life Policy | $15,001 - $50,000 | $201 - $1,000 |
Employment Agreements and Arrangements
| Employer or Party | City, State | Status and Terms | Date |
|---|---|---|---|
| USAA Long Term Bonus Plan | San Antonio, Texas | I have one remaining deferred compensation payment due in February 2018. The underlying assets are in cash and controlled by usaa. These monies are being paid out in accordance with 409a laws governing nonqualified deferred compensation plans. The payment is not discretionary. | Sept. 16, 2016 |
| USAA Supplemental Retirement Plan | San Antonio, Texas | Payments from the supplemental retirement plan will be made at the end of February of 2018, 2019, 2020, and 2021 (four equal installments). These payments will made pursuant to the company policy governing such payments. There are no contingencies tied to these payments and are taxable events. | Nov. 15, 2010 |
Liabilities
| Creditor Name | Creditor Type | Amount | Rate | Year Incurred |
|---|---|---|---|---|
| Goldman | Mortgage on Personal Residence | $250,001 - $500,000 | 2.95 | 2010 |
| BB&T | Mortgage (investment/ren tal property) | $250,001 - $500,000 | 3.25 | 2012 |
Do you know something about Shon J. Manasco? Send us an email at [email protected] or send a Signal message to 347-244-2134.
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