| 1 | 2023-03-14 | USB | U.S. Bancorp | Purchase | Self | $15,001 - $50,000 | 20021081 | |
| 2 | 2022-08-03 | TROW | T. Rowe Price Group, Inc. | Purchase | Self | $15,001 - $50,000 | 20021081 | |
| 3 | 2021-05-10 | FDN | First Trust DJ Internet Index Fund | Sale | Self | $15,001 - $50,000 | 20021081 | |
| 4 | 2021-05-10 | FDN | First Trust DJ Internet Index Fund | Sale (partial) | Self | $15,001 - $50,000 | 20018773 | |
| 5 | 2021-03-18 | AAL | American Airlines Group, Inc. | Purchase | Self | $1,001 - $15,000 | 20021081 | |
| 6 | 2021-03-18 | AAL | American Airlines group, Inc. | Purchase | Self | $1,001 - $15,000 | 20018508 | |
| 7 | 2021-01-13 | GOLD | D.A. Davidson/Stifel Barrick Gold Corporation Common Stock | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 8 | 2021-01-13 | BHP | BHP Group Limited American Depositary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 9 | 2021-01-13 | CEMCF | Cia Energetica De Minas Gerais Cemig Pref Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 10 | 2021-01-13 | EQNR | Equinor ASA | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 11 | 2021-01-13 | ERIC | Ericsson - American Depositary Shares each representing 1 underlying Class B share | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 12 | 2021-01-13 | JGCCF | J G C Corp | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 13 | 2021-01-13 | MJDLF | Major Drilling Grp Intl Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 14 | 2021-01-13 | MLYNF | Malayan Banking Ord Singapore Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 15 | 2021-01-13 | NCMGF | Newcrest Mining Ltd Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 16 | 2021-01-13 | NEM | Newmont Corporation | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 17 | 2021-01-13 | OGFGF | Origin Energy Ltd Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 18 | 2021-01-13 | PDS | Precision Drilling Corporation | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 19 | 2021-01-13 | VIV.V | Telefonica Brasil S.A. American Depositary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 20 | 2021-01-13 | TSCDF | Tesco Plc Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 21 | 2021-01-13 | TKC | Turkcell Iletisim Hizmetleri AS | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 22 | 2021-01-13 | WOLWF | Woolworths Ltd Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 23 | 2021-01-13 | AUY | Yamana Gold Inc. Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20021081 | |
| 24 | 2021-01-12 | JGCCF | J g C Corp | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 25 | 2021-01-12 | MLYNF | Malayan banking Ord Singapore Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 26 | 2021-01-12 | OGFGF | Origin Energy ltd Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 27 | 2021-01-11 | — | barrick gold Corporation Common Stock (gOld) | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 28 | 2021-01-11 | BHP | BHP group limited American depositary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 29 | 2021-01-11 | CIG | Comp En de Mn Cemig ADS American depositary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 30 | 2021-01-11 | EQNR | Equinor ASA | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 31 | 2021-01-11 | ERIC | Ericsson - American depositary Shares each representing 1 underlying Class b share | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 32 | 2021-01-11 | MJDLF | Major drilling grp Intl Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 33 | 2021-01-11 | NCMGF | Newcrest Mining ltd Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 34 | 2021-01-11 | NEM | Newmont Corporation | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 35 | 2021-01-11 | PDS | Precision drilling Corporation | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 36 | 2021-01-11 | VIV | Telefonica brasil S.A. American depositary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 37 | 2021-01-11 | TSCDF | Tesco Plc Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 38 | 2021-01-11 | TKC | Turkcell Iletisim Hizmetleri AS | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 39 | 2021-01-11 | WOLWF | Woolworths ltd Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 40 | 2021-01-11 | AUY | Yamana gold Inc. Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20018114 | |
| 41 | 2021-01-04 | QQXT | Sector Index Fund | Sale | Self | $15,001 - $50,000 | 20021081 | |
| 42 | 2021-01-04 | — | First Trust Innovative Tech 22 | Sale | Self | $15,001 - $50,000 | 20018028 | |
| 43 | 2020-08-27 | FTA | First Trust large Cap Value AlphaDEX Fund | Sale | Self | $15,001 - $50,000 | 20017295 | |
| 44 | 2020-06-12 | TROW | T. Rowe Price group, Inc. | Purchase | Self | $15,001 - $50,000 | 20016803 | |
| 45 | 2020-03-26 | FEI | First Trust MLP and Energy Income Fund Common Shares of beneficial Interest | Purchase | Self | $1,001 - $15,000 | 20016694 | |
| 46 | 2020-03-26 | UAL | United Airlines Holdings, Inc. | Purchase | Self | $1,001 - $15,000 | 20016694 | |
| 47 | 2020-03-25 | — | boeing Company (bA) | Purchase | Self | $1,001 - $15,000 | 20016694 | |
| 48 | 2020-03-25 | CIM | Chimera Investment Corporation | Purchase | Self | $1,001 - $15,000 | 20016694 | |
| 49 | 2020-03-25 | PSX | Phillips 66 | Purchase | Self | $1,001 - $15,000 | 20016694 | |
| 50 | 2019-04-08 | — | First Trust Innovative Tech 22 SA RE [oT] | Purchase | Self | $1,001 - $15,000 | 20008955 | |
| 51 | 2017-11-10 | FDN | First Trust DJ Internet Index Fund | Purchase | Self | $1,001 - $15,000 | 20008571 | |
| 52 | 2017-11-10 | BOTZ | D.A. Davidson global X Robotics & Artificial Intelligence ETF | Purchase | Self | $1,001 - $15,000 | 20008571 | |
| 53 | 2017-08-15 | TROW | D.A. Davidson T. Rowe Price group, Inc. | Purchase | Self | $1,001 - $15,000 | 20007987 | |
| 54 | 2017-08-14 | SRF | Cushing Energy Income Fund Common Shares of beneficial Interest | Sale | Self | $1,001 - $15,000 | 20007987 | |
| 55 | 2017-08-14 | FXD | D.A. Davidson First Trust Cons. Discret. AlphaDEX | Sale | Self | $15,001 - $50,000 | 20007987 | |
| 56 | 2017-08-14 | TROW | T. Rowe Price group, Inc. | Purchase | Self | $1,001 - $15,000 | 20007987 | |
| 57 | 2017-05-12 | JHB | Nuveen High Income November 2021 Target Term Fund Nuveen High Income November 2021 Target Term Fund | Purchase | Self | $1,001 - $15,000 | 20007483 | |
| 58 | 2017-02-15 | FEI | First Trust MLP and Energy Income Fund Common Shares of beneficial Interest | Purchase | Self | $15,001 - $50,000 | 20006912 | |
| 59 | 2017-02-15 | TROW | D.A. Davidson T. Rowe Price group, Inc. | Purchase | Self | $15,001 - $50,000 | 20006912 | |
| 60 | 2016-03-17 | FXH | D.A. Davidson First Trust Health Care AlphaDEX | Sale | Self | $15,001 - $50,000 | 20006913 | |
| 61 | 2016-03-17 | FXH | D.A. Davidson First Trust Health Care AlphaDEX | Sale | Self | $15,001 - $50,000 | 20004890 | |
| 62 | 2016-03-16 | FXN | D.A. Davidson First Trust Energy AlphaDEX Fund | Purchase | Self | $15,001 - $50,000 | 20006913 | |
| 63 | 2016-03-16 | FXN | First Trust Energy AlphaDEX Fund | Purchase | Self | $15,001 - $50,000 | 20004890 | |
| 64 | 2016-03-07 | FEI | D.A. Davidson First Trust MLP and Energy Income Fund Common Shares of beneficial Interest | Purchase | Self | $1,001 - $15,000 | 20004890 | |
| 65 | 2016-02-02 | FBT | First Trust Amex biotech Index Fund | Sale | Self | $15,001 - $50,000 | 20006913 | |
| 66 | 2016-02-02 | QQXT | D.A. Davidson First Trust NASDAQ-100 Ex-Technology Sector Index Fund | Purchase | Self | $15,001 - $50,000 | 20006913 | |
| 67 | 2016-02-02 | QQXT | First Trust NASDAQ-100 Ex-Technology Sector Index Fund | Sale | Self | $15,001 - $50,000 | 20004748 | |
| 68 | 2016-01-27 | CNRAF | Federation Centres Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20004748 | |
| 69 | 2015-09-28 | ATAZF | Atea ASA Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003938 | |
| 70 | 2015-09-21 | FBT | First Trust Amex Biotech Index Fund | Purchase | Self | $1,001 - $15,000 | 20003938 | |
| 71 | 2015-09-21 | FXD | D.A. Davidson First Trust Cons. Discret. AlphaDEX | Purchase | Self | $1,001 - $15,000 | 20003938 | |
| 72 | 2015-09-21 | FXG | D.A. Davidson First Trust Cons. Staples AlphaDEX | Purchase | Self | $1,001 - $15,000 | 20003938 | |
| 73 | 2015-09-21 | FDN | D.A. Davidson First Trust DJ Internet Index Fund | Purchase | Self | $1,001 - $15,000 | 20003938 | |
| 74 | 2015-09-21 | FXH | D.A. Davidson First Trust Health Care AlphaDEX | Purchase | Self | $1,001 - $15,000 | 20003938 | |
| 75 | 2015-09-21 | FTA | D.A. Davidson Filing ID #20003938 First Trust large Cap Value AlphaDEX Fund | Purchase | Self | $1,001 - $15,000 | 20003938 | |
| 76 | 2015-09-21 | RDVY | D.A. Davidson First Trust NASDAQ Rising Dividend Achievers ETF | Purchase | Self | $1,001 - $15,000 | 20003938 | |
| 77 | 2015-09-21 | FVD | D.A. Davidson First Trust Vl Dividend | Purchase | Self | $1,001 - $15,000 | 20003938 | |
| 78 | 2015-08-12 | RDS.A | 2000011734 Royal dutch Shell PLC Royal dutch Shell American depositary Shares | Sale | Self | $1,001 - $15,000 | 20003892 | |
| 79 | 2015-08-12 | RDS.A | Royal Dutch Shell PLC Royal Dutch Shell American Depositary Shares | Sale | Self | $1,001 - $15,000 | 20003779 | |
| 80 | 2015-08-05 | ITOCF | 2000011576 Itochu Corp Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003891 | |
| 81 | 2015-08-05 | CHLKF | 2000011580 China Mobile Hong Kong ltd Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003892 | |
| 82 | 2015-08-05 | ISUZF | 2000011575 Isuzu Motors ltd Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003892 | |
| 83 | 2015-08-05 | KWIPF | 2000011577 Kiwi Income Property Trust uts Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003892 | |
| 84 | 2015-08-05 | SNGNF | 2000011581 Singapore Telecommunications ltd Ordinary Shares board lot 1000 | Sale | Self | $1,001 - $15,000 | 20003892 | |
| 85 | 2015-08-05 | NZTCF | 2000011578 Spark New Zealand ltd. Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003892 | |
| 86 | 2015-08-05 | TELNF | 2000011579 Telenor ASA Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003892 | |
| 87 | 2015-08-05 | CHLKF | China Mobile Hong Kong ltd ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003773 | |
| 88 | 2015-08-05 | ISUZF | Euro Pacific Capital Inc. Isuzu Motors ltd ord ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003773 | |
| 89 | 2015-08-05 | ITOCF | Euro Pacific Capital Inc. Itochu Corp ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003773 | |
| 90 | 2015-08-05 | KWIPF | Euro Pacific Capital Inc. Kiwi Income Property Trust uts ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003773 | |
| 91 | 2015-08-05 | SNGNF | Euro Pacific Capital Inc. Singapore Telecommunications ltd ordinary Shares Board lot 1000 | Sale | Self | $1,001 - $15,000 | 20003773 | |
| 92 | 2015-08-05 | NZTCF | Euro Pacific Capital Inc. Filing ID #20003773 Spark New Zealand ltd. ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003773 | |
| 93 | 2015-08-05 | TELNF | Euro Pacific Capital Inc. Telenor ASA ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003773 | |
| 94 | 2015-08-04 | NSRGY | 2000011582 Nestle SA Sponsored ADR representing Registered Shares Series | Sale | Self | $1,001 - $15,000 | 20003892 | |
| 95 | 2015-08-04 | NSRGY | Euro Pacific Capital Inc. Nestle SA Sponsored ADR representing Registered Shares Series B | Sale | Self | $1,001 - $15,000 | 20003773 | |
| 96 | 2015-07-21 | VNR | Vanguard Natural Resources llC - Common units | Sale | Self | $1,001 - $15,000 | 20003616 | |
| 97 | 2015-05-13 | AOZOF | aozora Bank ltd Ordinary shares | Sale | Self | $1,001 - $15,000 | 20003231 | |
| 98 | 2015-04-28 | CUAEF | China Shenhua Energy Company ltd Shares -H- | Sale | Self | $1,001 - $15,000 | 20003013 | |
| 99 | 2015-04-28 | TBVPF | Thai Beverage Public Co ltd Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003013 | |
| 100 | 2015-04-27 | AOZOF | aozora Bank ltd Ordinary shares | Sale | Self | $1,001 - $15,000 | 20003013 | |
| 101 | 2015-04-27 | FOEAF | Fred Olsen Energy asa Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003013 | |
| 102 | 2015-04-23 | IPKW | PowerShares International BuyBack achievers Portfolio | Purchase | Self | $1,001 - $15,000 | 20003013 | |
| 103 | 2015-03-25 | SRF | The Cushing Royalty & Income Fund Common Shares of Beneficial Interest | Purchase | Self | $1,001 - $15,000 | 20002862 | |
| 104 | 2015-01-28 | VNR | Vanguard Natural Resources llC - Common units | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 105 | 2015-01-16 | AKCPF | asustek Computer Inc Ord Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20002572 | |
| 106 | 2015-01-08 | FBT | First Trust amex Biotech Index Fund | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 107 | 2015-01-08 | FXD | First Trust Cons. Discret. alphaDEX | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 108 | 2015-01-08 | FXG | First Trust Cons. Staples alphaDEX | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 109 | 2015-01-08 | FDN | First Trust DJ Internet Index Fund | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 110 | 2015-01-08 | FXH | First Trust Health Care alphaDEX | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 111 | 2015-01-08 | FTA | First Trust large Cap Value alphaDEX Fund | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 112 | 2015-01-08 | — | First Trust NASDAQ Rising Dividend | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 113 | 2015-01-08 | FVD | First Trust Vl Dividend | Purchase | Self | $1,001 - $15,000 | 20002572 | |
| 114 | 2014-12-09 | AOZOF | aozora Bank ltd Ordinary shares | Sale | Self | $1,001 - $15,000 | 20002370 | |
| 115 | 2014-11-07 | — | Euro Pacific Capital International Bond Fund | Sale | Self | $1,001 - $15,000 | 20002230 | |
| 116 | 2014-11-05 | VIV | Telefonica Brasil, S.a. ADS | Sale | Self | $1,001 - $15,000 | 20002230 | |
| 117 | 2014-02-05 | LYSFF | 2000001150 leroy Seafood group Asa Ordinary Shares | Sale | Self | $1,001 - $15,000 | 20003060 | |
