Congressional stock trades · Member
Neal P. Dunn
Representative · FL-2 · Republican
86 published transactions from periodic transaction reports since 2020, shown as filed. Amounts are the ranges on the form. Each row links to its filing. Holdings from 10 annual reports are below.
Current committees: House Committee on Energy and Commerce; House Select Committee on the Strategic Competition Between the United States and the Chinese Communist Party.
| Disclosed | Traded | Days | Owner | Asset | Type | Amount range (as filed) | Source |
|---|---|---|---|---|---|---|---|
| 2026-06-23 | 2026-05-11 | 43 | Member | Regions Financial Corporation Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.45% Non-Cumulative Perpetual Preferred Stock, Series E (RF$E) | Sale | $50,001 - $100,000 | Clerk → |
| 2026-06-23 | 2026-05-11 | 43 | Member | AT&T Inc. Depositary Shares, each representing a 1/1,000th interest in a share of 5.000% Perpetual Preferred Stock, Series A (T$A) | Sale | $15,001 - $50,000 | Clerk → |
| 2026-06-23 | 2026-05-11 | 43 | Member | JP Morgan Chase & Co Depositary Shares Preferred Series GG | Sale | $50,001 - $100,000 | Clerk → |
| 2026-03-17 | 2026-02-02 | 43 | Member | Cadence Bank 5.50% Series A (CADE$A) | Exchange | $1,001 - $15,000 | Clerk → |
| 2026-03-17 | 2026-02-02 | 43 | Member | HBANZHuntington Bancshares Incorporated - Depositary Shares L Preferred Stock | Exchange | $1,001 - $15,000 | Clerk → |
| 2025-10-01 | 2025-09-04 | 27 | Member | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of JPMorgan Chase & Co. 4.75% Non-Cumulative Preferred Stock, Series GG (JPM$J) | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2025-08-13 | 2025-06-02 | 72 ·>45 | Member | Capital One Financial Corporation Depositary shares each representing a 1/40th interest in a share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I of the Issuer (COF$I) | Purchase | $1,001 - $15,000 | Clerk → |
| 2025-04-03 | 2025-03-03 | 31 | Member | Capital One Financial Corporation Depositary shares each representing a 1/40th interest in a share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I of the Issuer (COF$I) | Purchase | $1,001 - $15,000 | Clerk → |
| 2025-03-10 | 2024-12-24 | 76 ·>45 | Spouse | MSTRMicroStrategy Incorporated - Class A Common Stock | Purchase | $15,001 - $50,000 | Clerk → |
| 2024-12-16 | 2024-11-06 | 40 | Member | Cadence Bank 5.50% Series A (CADE$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-12-16 | 2024-11-06 | 40 | Member | Capital One Financial Corporation Depositary shares each representing a 1/40th interest in a share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I of the Issuer (COF$I) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-12-16 | 2024-11-06 | 40 | Member | U.S. Bancorp Depositary Shares each representing a 1/1,000th interest in a share of Series K Non-Cumulative Perpetual Preferred Stock (USB$P) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-12-16 | 2024-11-06 | 40 | Member | JP Morgan Chase & Co Depositary Shares Preferred Series GG | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-12-16 | 2024-11-06 | 40 | Member | Regions Financial Corporation Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.45% Non-Cumulative Perpetual Preferred Stock, Series E (RF$E) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-11-07 | 2024-09-27 | 41 | Member | Truist Financial Corporation Depositary Shares, each representing 1/1,000th interest in a share of Series R Non-Cumulative Perpetual Preferred Stock (TFC$R) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-11-07 | 2024-09-27 | 41 | Member | JP Morgan Chase & Co Depositary Shares Preferred Series GG | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-11-07 | 2024-09-27 | 41 | Member | Cadence Bank 5.50% Series A (CADE$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-11-07 | 2024-09-27 | 41 | Member | Regions Financial Corporation Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.45% Non-Cumulative Perpetual Preferred Stock, Series E (RF$E) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-11-07 | 2024-09-27 | 41 | Member | AT&T Inc. Depositary Shares, each representing a 1/1,000th interest in a share of 5.000% Perpetual Preferred Stock, Series A (T$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-11-07 | 2024-09-27 | 41 | Member | KeyCorp Depositary Shares each representing a 1/40th ownership interest in a share of Fixed Rate Perpetual Non-Cumulative Preferred Stock, Series F (KEY$J) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-11-07 | 2024-09-27 | 41 | Member | US Bancorp Preferred Series K | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-11-07 | 2024-09-27 | 41 | Member | Capital One Financial Corporation Depositary shares each representing a 1/40th interest in a share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I of the Issuer (COF$I) | Purchase | $1,001 - $15,000 | Clerk → |
| 2024-05-22 | 2024-04-24 | 28 | Member | Wells Fargo & Company Depositary Shares, each representing a 1/1,000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series DD (WFC$D) | Sale | $1,001 - $15,000 | Clerk → |
| 2024-05-22 | 2024-04-24 | 28 | Member | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of JPMorgan Chase & Co. 4.75% Non-Cumulative Preferred Stock, Series GG (JPM$J) | Sale | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Spouse | Wells Fargo & Company Depositary Shares, each representing a 1/1,000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series DD (WFC$D) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | Regions Financial Corporation Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.45% Non-Cumulative Perpetual Preferred Stock, Series E (RF$E) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | Truist Financial Corporation Depositary Shares, each representing 1/1,000th interest in a share of Series R Non-Cumulative Perpetual Preferred Stock (TFC$R) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of JPMorgan Chase & Co. 4.75% Non-Cumulative Preferred Stock, Series GG (JPM$J) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Spouse | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of JPMorgan Chase & Co. 4.75% Non-Cumulative Preferred Stock, Series GG (JPM$J) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | Capital One Financial Corporation Depositary shares each representing a 1/40th interest in a share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I of the Issuer (COF$I) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | KeyCorp Depositary Shares each representing a 1/40th ownership interest in a share of Fixed Rate Perpetual Non-Cumulative Preferred Stock, Series F (KEY$J) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | Wells Fargo & Company Depositary Shares, each representing a 1/1,000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series DD (WFC$D) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | Cadence Bank 5.50% Series A (CADE$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of JPMorgan Chase & Co. 4.75% Non-Cumulative Preferred Stock, Series GG (JPM$J) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-05-26 | 2023-05-05 | 21 | Member | U.S. Bancorp Depositary Shares each representing a 1/1,000th interest in a share of Series K Non-Cumulative Perpetual Preferred Stock (USB$P) | Purchase | $1,001 - $15,000 | Clerk → |
| 2023-02-17 | 2023-01-05 | 43 | Member | SOSouthern Company | Sale | $15,001 - $50,000 | Clerk → |
| 2023-02-17 | 2023-01-05 | 43 | Member | KeyCorp Depositary Shares each representing a 1/40th ownership interest in a share of Fixed Rate Perpetual Non-Cumulative Preferred Stock, Series F (KEY$J) | Sale | $1,001 - $15,000 | Clerk → |
| 2023-02-17 | 2023-01-05 | 43 | Member | Regions Financial Corporation Depositary Shares Representing 1/40th Perpetual Preferred Series A (RF$A) | Sale | $1,001 - $15,000 | Clerk → |
| 2023-02-17 | 2023-01-05 | 43 | Spouse | SOSouthern Company | Sale | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | Truist Financial Corporation Depositary Shares, each representing 1/1,000th interest in a share of Series R Non-Cumulative Perpetual Preferred Stock (TFC$R) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | Cadence Bank 5.50% Series A (CADE$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | U.S. Bancorp Depositary Shares each representing a 1/1,000th interest in a share of Series K Non-Cumulative Perpetual Preferred Stock (USB$P) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | Wells Fargo & Company Depositary Shares, each representing a 1/1,000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series Y (WFC$Y) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | AT&T Inc. Depositary Shares, each representing a 1/1,000th interest in a share of 5.000% Perpetual Preferred Stock, Series A (T$A) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of JPMorgan Chase & Co. 4.75% Non-Cumulative Preferred Stock, Series GG (JPM$J) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | KeyCorp Depositary Shares each representing a 1/40th ownership interest in a share of Fixed Rate Perpetual Non-Cumulative Preferred Stock, Series F (KEY$J) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | Capital One Financial Corporation Depositary shares each representing a 1/40th interest in a share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I of the Issuer (COF$I) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-15 | 25 | Member | Regions Financial Corporation Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.45% Non-Cumulative Perpetual Preferred Stock, Series E (RF$E) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-10 | 30 | Member | Capital One Financial Corporation Depositary shares each representing a 1/40th interest in a share of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I of the Issuer (COF$I) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-10 | 30 | Member | KeyCorp Depositary Shares each representing a 1/40th ownership interest in a share of Fixed Rate Perpetual Non-Cumulative Preferred Stock, Series F (KEY$J) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-10 | 30 | Member | Regions Financial Corporation Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.45% Non-Cumulative Perpetual Preferred Stock, Series E (RF$E) | Purchase | $1,001 - $15,000 | Clerk → |
| 2022-09-09 | 2022-08-10 | 30 | Member | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of JPMorgan Chase & Co. 4.75% Non-Cumulative Preferred Stock, Series GG (JPM$J) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-10 | 30 | Member | Wells Fargo & Company Depositary Shares, each representing a 1/1,000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series Y (WFC$Y) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-10 | 30 | Member | KeyCorp Depositary Shares each representing a 1/40th ownership interest in a share of Fixed Rate Perpetual Non-Cumulative Preferred Stock, Series F (KEY$J) | Purchase | $1,001 - $15,000 | Clerk → |
| 2022-09-09 | 2022-08-10 | 30 | Member | Cadence Bank 5.50% Series A (CADE$A) | Purchase | $15,001 - $50,000 | Clerk → |
| 2022-09-09 | 2022-08-10 | 30 | Member | Regions Financial Corporation Depositary Shares, Each Representing a 1/40th Interest in a Share of 4.45% Non-Cumulative Perpetual Preferred Stock, Series E (RF$E) | Purchase | $15,001 - $50,000 | Clerk → |
| 2021-03-24 | 2021-03-11 | 13 | Member | BancorpSouth bank 5.50% Series A Non-Cumulative Perpetual Preferred Stock (BXS$A) | Sale | $100,001 - $250,000 | Clerk → |
| 2021-03-24 | 2021-02-22 | 30 | Member | BancorpSouth bank 5.50% Series A Non-Cumulative Perpetual Preferred Stock (BXS$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2021-01-15 | 2020-12-15 | 31 | Member | Wells Fargo & Company Depositary Shares, each representing a 1/1,000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series V (WFC$V) | Sale | $15,001 - $50,000 | Clerk → |
| 2021-01-15 | 2020-12-15 | 31 | Member | BancorpSouth Bank | Sale | $50,001 - $100,000 | Clerk → |
| 2021-01-15 | 2020-12-15 | 31 | Member | BancorpSouth Bank | Sale | $250,001 - $500,000 | Clerk → |
| 2021-01-15 | 2020-12-15 | 31 | Member | BancorpSouth Bank | Sale | $50,001 - $100,000 | Clerk → |
| 2020-12-23 | 2020-12-07 | 16 | Member | BancorpSouth Bank 5.50% Series A Non-Cumulative Perpetual Preferred Stock (BXS$A) | Sale | $100,001 - $250,000 | Clerk → |
| 2020-12-23 | 2020-12-07 | 16 | Member | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of 6.10% Non-Cumulative Preferred Stock, Series AA (JPM$G) | Sale | $1,001 - $15,000 | Clerk → |
| 2020-12-23 | 2020-11-20 | 33 | Member | BancorpSouth Bank 5.50% Series A Non-Cumulative Perpetual Preferred Stock (BXS$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-12-23 | 2020-11-20 | 33 | Member | BancorpSouth Bank 5.50% Series A Non-Cumulative Perpetual Preferred Stock (BXS$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-12-23 | 2020-11-17 | 36 | Member | BancorpSouth Bank 5.50% Series A Non-Cumulative Perpetual Preferred Stock (BXS$A) | Sale (partial) | $50,001 - $100,000 | Clerk → |
| 2020-11-05 | 2020-10-01 | 35 | Member | BancorpSouth bank | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-09 | 2020-08-20 | 20 | Member | BancorpSouth Bank 5.50% Series A Non-Cumulative Perpetual Preferred Stock (BXS$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-09 | 2020-08-20 | 20 | Member | BancorpSouth Bank 5.50% Series A Non-Cumulative Perpetual Preferred Stock (BXS$A) | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-09-09 | 2020-08-07 | 33 | Member | Bank of America Corporation Depositary Shares, each representing a 1/1,000th interest in a share of 5.875% Non- Cumulative Preferred Stock, Series HH (BAC$K) | Sale | $1,001 - $15,000 | Clerk → |
| 2020-09-09 | 2020-08-07 | 33 | Member | Bank of America Corporation Depositary Shares, each representing a 1/1,000th interest in a share of 5.875% Non- Cumulative Preferred Stock, Series HH (BAC$K) | Sale | $15,001 - $50,000 | Clerk → |
| 2020-07-18 | 2020-07-01 | 17 | Member | BancorpSouth bank | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-07-18 | 2020-06-22 | 26 | Member | Regions Financial Corporation Depositary Shares Representing 1/40th Perpetual Preferred Series A (RF$A) | Purchase | $50,001 - $100,000 | Clerk → |
| 2020-06-23 | 2020-05-26 | 28 | Member | Bank of America Corporation Depositary Shares, each representing a 1/1,000th interest in a share of 5.875% Non- Cumulative Preferred Stock, Series HH (BAC$K) | Sale | $1,001 - $15,000 | Clerk → |
| 2020-06-23 | 2020-05-26 | 28 | Member | J P Morgan Chase & Co Depositary Shares, each representing a 1/400th interest in a share of 6.10% Non-Cumulative Preferred Stock, Series AA (JPM$G) | Sale | $1,001 - $15,000 | Clerk → |
| 2020-06-23 | 2020-05-26 | 28 | Member | Wells Fargo & Company Depositary Shares, each representing a 1/1,000th interest in a share of Non-Cumulative Perpetual Class A Preferred Stock, Series V (WFC$V) | Sale | $1,001 - $15,000 | Clerk → |
| 2020-05-01 | 2020-04-01 | 30 | Member | BancorpSouth bank | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-19 | 2020-02-20 | 28 | Member | Bancorpsouth Bank | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-30 | 2019-12-30 | 31 | Member | BancorpSouth bank | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-30 | 2019-12-30 | 31 | Member | BancorpSouth bank | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-30 | 2019-12-30 | 31 | Member | BancorpSouth bank | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-20 | 2019-12-12 | 39 | Member | BancorpSouth bank | Sale (partial) | $250,001 - $500,000 | Clerk → |
| 2020-01-20 | 2019-12-12 | 39 | Member | BancorpSouth bank | Sale (partial) | $50,001 - $100,000 | Clerk → |
| 2020-01-20 | 2019-12-12 | 39 | Member | BancorpSouth bank | Sale (partial) | $50,001 - $100,000 | Clerk → |
| 2020-01-20 | 2019-12-12 | 39 | Spouse | BancorpSouth bank | Sale (partial) | $50,001 - $100,000 | Clerk → |
How these are read and published: methodology.
Holdings · annual financial disclosure
Assets listed on the 2017 report.
89 assets with a value on the amended report filed 2020-08-13. Values are the ranges on the form. Assets are held by the member, a spouse or a dependent child, as reported. Open the report.
| Asset | Type | Owner | Value (as filed) |
|---|---|---|---|
| AB High Income Fund Advisor Share N/L | Fund | Member | $50,001 - $100,000 |
| AB Large Cap Growth FD Advisor Class N/L | Fund | Member | $100,001 - $250,000 |
| Advisory Research MLP and Energy Income FD Class I N/L | Fund | Member | $100,001 - $250,000 |
| American Outdoor Brands Corporation | Fund | Member | $1,001 - $15,000 |
| Apple Incorporated | Fund | Member | $15,001 - $50,000 |
| Clearbridge Aggressive Growth Fund Class II | Fund | Member | None |
| Delaware small cap core fund institutional class N/L | Fund | Member | $50,001 - $100,000 |
| Delaware Value Fund Institutional Class N/L | Fund | Member | $15,001 - $50,000 |
| Eventide Gilead Fund Class I N/L | Fund | Member | None |
| IVY Emerging Markets Equity Fund Class I N/L | Fund | Member | $15,001 - $50,000 |
| John Hancock Fundamental Large Cap Core Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| Johnson & Johnson | Fund | Member | $15,001 - $50,000 |
| Loomis Sayles Growth Fund Class Y N/L-Natixis Advisor | Fund | Member | $50,001 - $100,000 |
| MFS International Value Fund Class I N/L | Fund | Member | $100,001 - $250,000 |
| MSIF International Advantage Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| Oakmark International Fund Investor Class N/L | Fund | Member | None |
| Parnassus Core Equity Fund Investor Class N/L | Fund | Member | None |
| Principal MID Cap Fund Institutional Shares N/L | Fund | Member | $50,001 - $100,000 |
| Raymond James Bank | Other | Member | $1,001 - $15,000 |
| Summit Financial Enterprises Incorporated | Other | Member | $100,001 - $250,000 |
| T. Rowe Price Health Sciences Fund Investor Class N/L | Fund | Member | $250,001 - $500,000 |
| T. Rowe Price QM U.S. Small Cap Growth EQ FD Invest | Fund | Member | $50,001 - $100,000 |
| T.Rowe Price Capital Appreciation Fund Investor Cla | Fund | Member | $50,001 - $100,000 |
| Tweedy Browne Global Value Fund N/L | Fund | Member | $15,001 - $50,000 |
| Vanguard Wellesley Income Fund Investor Class N/L | Fund | Member | None |
| Victory Sycamore Established Value Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| Wells Fargo Special Mid Cap Value FD Class I N/L | Fund | Member | None |
| Raymond James Bank | Other | Member | $1,001 - $15,000 |
| Southern Company | Other | Member | $15,001 - $50,000 |
| Summit Financial Enterprises Incorporated | Other | Member | $250,001 - $500,000 |
| T. Rowe Price Health Sciences Fund Investor Class N/L | Fund | Member | $1,001 - $15,000 |
| Raymond James Deposit | Other | Spouse | $1,001 - $15,000 |
| Southern Company | Other | Spouse | $15,001 - $50,000 |
| Summit Financial Enterprises Incorporated | Other | Spouse | $100,001 - $250,000 |
| T. Rowe Price Health Sciences Fund Investor Class N/L | Fund | Spouse | $1,001 - $15,000 |
| AB High Income Fund Advisor Shares N/L | Fund | Member | $15,001 - $50,000 |
| AB Large Cap Growth FD Advisor Class N/L | Fund | Member | $1,001 - $15,000 |
| Advisory Research MLP and Energy Income FD Class I N/L | Fund | Member | $15,001 - $50,000 |
| Clearbridge Aggressive Growth Fund Class I N/L | Fund | Member | None |
| Columbia Seligman Global Technology FD Inst CL N/L | Fund | Member | $1,001 - $15,000 |
| Delaware value fund institutional class N/L | Fund | Member | $1,001 - $15,000 |
| IVY Emerging Markets Equity Fund Class I N/L | Fund | Member | $1,001 - $15,000 |
| John Hancock Fundamental Large Cap Core Fund Class I N/L | Fund | Member | $1,001 - $15,000 |
| Loomis Sayles Growth Fund Class Y N/L-Natixis Advisor | Fund | Member | $1,001 - $15,000 |
| MFS International Value Fund Class I N/L | Fund | Member | $1,001 - $15,000 |
| MSIF International Advantage Fund Class I N/L | Fund | Member | $1,001 - $15,000 |
| Parnassus Core Equity Fund Investor Class N/L | Fund | Member | None |
| Principal MID Cap Fund Institutional Shares N/L | Fund | Member | $15,001 - $50,000 |
| T. Rowe Price Health Sciences Fund Investor Class N/L | Fund | Member | $15,001 - $50,000 |
| T. Rowe Price New Horizons Fund Investor Class N/L | Fund | Member | $15,001 - $50,000 |
| Vanguard Wellesley Income Fund Investor Class N/L | Fund | Member | None |
| Victory Sycamore Established Value Fund Class I N/L | Fund | Member | $1,001 - $15,000 |
| Southern Company | Other | Spouse | $1,001 - $15,000 |
| USAA Whole Life Insurance Policy | Other | Member | $250,001 - $500,000 |
| Options to purchase shares of Summit Financial Enterprises | Option | Member | None |
| SUMMIT BANK ACCOUNT | Other | Joint | $50,001 - $100,000 |
| Eaton Vance National Municipal Income Fund Class I N/L | Fund | Spouse | $1,001 - $15,000 |
| Nuveen High Yield Municipal Bond Fund Class I N/L | Fund | Spouse | $1,001 - $15,000 |
| Vacant Industrial Park Lot | Other | Spouse | $100,001 - $250,000 |
| Small Strip Mall | Other | Spouse | $1,000,001 - $5,000,000 |
| SUMMIT BANK ACCOUNT | Other | Spouse | $1,001 - $15,000 |
| Miniature Golf Course | Other | Spouse | $100,001 - $250,000 |
| AB High Income Fund Advisor Shares N/L | Fund | Member | $50,001 - $100,000 |
| AB Large Cap Growth FD Advisor Class N/L | Fund | Member | $50,001 - $100,000 |
| Columbia Seligman Global Technology FD Inst CL N/L | Fund | Member | $15,001 - $50,000 |
| Destra Flaherty & Crumrine Preferred & INC FD CLS I N/L | Fund | Member | $50,001 - $100,000 |
| DFPFlaherty & Crumrine DYN Preferred SHS | Fund | Member | $50,001 - $100,000 |
| IVY Emerging Markets Equity Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| IVY International Core Equity Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| John Hancock Fundamental Large Cap Core Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| MFS Value Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| MSIF International Advantage Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| Nuveen High Yield Municipal Bond Fund Class I N/L | Fund | Member | $50,001 - $100,000 |
| Nuveen Preferred Securities and Income FD CL I N/L | Fund | Member | $50,001 - $100,000 |
| NWM Life Insurance Policy | Other | Member | $15,001 - $50,000 |
| PTYPimco Corporate & Income OPP F | Fund | Member | $50,001 - $100,000 |
| Principal Mid Cap Fund Institutional Shares N/L | Fund | Member | $50,001 - $100,000 |
| SUMMIT BANK ACCOUNT | Other | Member | $1,001 - $15,000 |
| Summit Financial Enterprises Inc. | Other | Member | $500,001 - $1,000,000 |
| T. Rowe Price Health Sciences Fund Investor Class N/L | Fund | Member | $15,001 - $50,000 |
| T. Rowe Price QM U.S. Small Cap Growth EQ FD Invest | Fund | Member | $15,001 - $50,000 |
| Vaneck Vectors Fallen Angel High Yield Bond ETF | Fund | Member | $50,001 - $100,000 |
| Patient Practitioners LLC | Other | Member | $1,001 - $15,000 |
| Jenks Ave Commercial Rental Property | Other | Member | $100,001 - $250,000 |
| SUMMIT BANK ACCOUNT | Other | Member | $50,001 - $100,000 |
| Wilson Ave Commercial Rental Property | Other | Member | $100,001 - $250,000 |
| Commercial Rental Building | Other | Member | $500,001 - $1,000,000 |
| SUMMIT BANK ACCOUNT | Other | Member | $1,001 - $15,000 |
| Warrants to purchase shares of Summit Financial Enterprises | Option | Member | None |
How reports are read: holdings methodology.