Congressional stock trades · Member
Dean Phillips
Former representative · MN-3 · Democrat
513 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 6 annual reports are below.
| Disclosed | Traded | Days | Owner | Asset | Type | Amount range (as filed) | Source |
|---|---|---|---|---|---|---|---|
| 2020-03-12 | 2020-02-28 | 13 | Member | Alliance Data systems Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-28 | 13 | Member | ABTAbbott laboratories | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-28 | 13 | Member | IRMIron Mountain Incorporated | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-28 | 13 | Member | BAXBaxter International Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-28 | 13 | Member | ViacomCBs Inc. - Class B | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-28 | 13 | Member | Viacom Inc Var Rt 02/28/2057 dtd 02/28/2017 | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-28 | 13 | Member | NTRSNorthern Trust Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-28 | 13 | Member | UPSUnited Parcel service, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-28 | 13 | Member | Aercap Holdings NV VAR Rt 10/10/2079 dtd 10/10/2019 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-27 | 14 | Member | BKNGBooking Holdings Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-27 | 14 | Member | Cerner Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-26 | 15 | Member | Discover Finl svs Var Rt Perp Mat dtd 10/31/2017 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-26 | 15 | Member | Cerner Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-25 | 16 | Member | Viacom Inc Var Rt 02/28/2057 dtd 02/28/2017 | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-24 | 17 | Member | SCHWCharles schwab Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-24 | 17 | Member | WFCWells Fargo & Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-24 | 17 | Member | LUVSouthwest airlines Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-21 | 20 | Member | WFCWells Fargo & Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-21 | 20 | Member | Wachovia Cap TR III Var Rt Perp Mat dtd 02/01/2006 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-21 | 20 | Member | WFCWells Fargo & Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-21 | 20 | Member | PHGKoninklijke Philips N.V. NY Registry shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-20 | 21 | Member | WFCWells Fargo & Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-20 | 21 | Member | Wachovia Cap TR III Var Rt Perp Mat dtd 02/01/2006 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-19 | 22 | Member | Wichita Ks Water & sewer util Rev Ref- ser B 5.0%; Due 10/01/2024 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-03-12 | 2020-02-19 | 22 | Member | Truist Fin Corp Var Rt Perp Mat dtd 12/09/2019 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-03-12 | 2020-02-19 | 22 | Member | Truist Fin Corp Var Rt Perp Mat dtd 12/09/2019 | Sale (partial) | $15,001 - $50,000 | Clerk → |
| 2020-03-12 | 2020-02-18 | 23 | Member | Lake Travis TX Indep sch Dist Perm sch gtd Fund unlimited Tax 5% Feb | Sale | $15,001 - $50,000 | Clerk → |
| 2020-03-12 | 2020-02-14 | 27 | Member | Cerner Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-14 | 27 | Member | PHGKoninklijke Philips N.V. NY Registry shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-13 | 28 | Member | PHGKoninklijke Philips N.V. NY Registry shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-12 | 29 | Member | AT&T Inc PFD | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-03-12 | 2020-02-12 | 29 | Member | Goldman sachs group, Inc Var Rt 11/10/2165 dtd 04/23/2015 | Sale (partial) | $15,001 - $50,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | NTRNutrien ltd. Common shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | BKNGBooking Holdings Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | DGDollar general Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | HD supply Holdings, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | ACNAccenture plc Class a ordinary shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | DLTRDollar Tree, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | TELTE Connectivity ltd. New switzerland Registered shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | DGXQuest Diagnostics Incorporated | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | Cerner Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | SCHWCharles schwab Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | OMCOmnicom group Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | BRK.BBerkshire Hathaway Inc. New | Sale (partial) | $15,001 - $50,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | ULUnilever PLC | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | PEPPepsico, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | JPMJP Morgan Chase & Co. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | CBChubb limited | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | MASMasco Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | SLBSchlumberger N.V. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | PCARPACCAR Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | UNHUnitedHealth group Incorporated Common stock | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | ETNEaton Corporation, PLC ordinary shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | EXPDExpeditors International of Washington, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | TJXTJX Companies, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | LUVSouthwest airlines Company | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | CMCSAComcast Corporation - Class a | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | PPGPPG Industries, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | SNNUFSmith & Nephew Plc ord ordinary shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | NTRSNorthern Trust Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | Nestle sa sponsored ADR representing Registered shares series B | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-03-12 | 2020-02-10 | 31 | Member | HONHoneywell International Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-28 | 10 | Member | JPMJP Morgan Chase & Co. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-28 | 10 | Member | BKNGBooking Holdings Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-27 | 11 | Member | JPMJP Morgan Chase & Co. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-27 | 11 | Member | BKNGBooking Holdings Inc. | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-23 | 15 | Member | Goldman sachs group Inc. Var Rt Perp Mat dtd 01/28/2020 | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-22 | 16 | Member | SYFSynchrony Financial | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-17 | 21 | Member | DGXQuest Diagnostics Incorporated | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-17 | 21 | Member | SCHWCharles schwab Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-15 | 23 | Member | WFCWells Fargo & Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-15 | 23 | Member | TJXTJX Companies, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-15 | 23 | Member | WFCWells Fargo & Company | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-15 | 23 | Member | NTRSNorthern Trust Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-14 | 24 | Member | NTRSNorthern Trust Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-13 | 25 | Member | SWKStanley black & Decker, Inc. | Sale | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-10 | 28 | Member | SWKStanley black & Decker, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-10 | 28 | Member | PEPPepsico, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-10 | 28 | Member | ETNEaton Corporation, PLC Ordinary shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-09 | 29 | Member | ACNAccenture plc Class a Ordinary shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-09 | 29 | Member | ETNEaton Corporation, PLC Ordinary shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-09 | 29 | Member | LUVSouthwest airlines Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-09 | 29 | Member | CMCSAComcast Corporation - Class a | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-09 | 29 | Member | SCHWCharles schwab Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-09 | 29 | Member | DGDollar general Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-09 | 29 | Member | PPGPPG Industries, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-09 | 29 | Member | Nestle sa sponsored ADR representing Registered shares series b | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | LUVSouthwest airlines Company | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | ACNAccenture plc Class a Ordinary shares | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | ETNEaton Corporation, PLC Ordinary shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | Nestle sa sponsored ADR representing Registered shares series b | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | PPGPPG Industries, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | SCHWCharles schwab Corporation | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | SWKStanley black & Decker, Inc. | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | DGDollar general Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | SCHWCharles schwab Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-08 | 30 | Member | CMCSAComcast Corporation - Class a | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-07 | 31 | Member | CBChubb limited | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-07 | 31 | Member | BRK.BBerkshire Hathaway Inc. New | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-07 | 31 | Member | ETNEaton Corporation, PLC Ordinary shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-07 | 31 | Member | DGDollar general Corporation | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-02-07 | 2020-01-07 | 31 | Member | Nestle sa sponsored ADR representing Registered shares series b | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-01-09 | 2019-12-30 | 10 | Member | CMCSAComcast Corporation - Class a | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-09 | 2019-12-27 | 13 | Member | CMCSAComcast Corporation - Class a | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-09 | 2019-12-26 | 14 | Member | CMCSAComcast Corporation - Class a | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-09 | 2019-12-03 | 37 | Member | Three Rivers MN PK Dist ser a unlimited Tax 5.0% 02/01/2025 dtd 12/12/2019 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-01-09 | 2019-12-03 | 37 | Member | ETNEaton Corporation, PLC ordinary shares | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-09 | 2019-12-02 | 38 | Member | Citigroup Inc Var Rt 05/15/2166 dtd 11/13/2015 | Sale (partial) | $1,001 - $15,000 | Clerk → |
| 2020-01-09 | 2019-12-02 | 38 | Member | State street Corp Var Rt 09/15/2165 dtd 05/21/2015 | Sale (partial) | $15,001 - $50,000 | Clerk → |
| 2020-01-09 | 2019-12-02 | 38 | Member | SVB Financial group PFD | Purchase | $1,001 - $15,000 | Clerk → |
| 2020-01-09 | 2019-12-02 | 38 | Member | HI st Prerefunded - ser DZ unlimited Tax 5% 12/01/2019 dtd 12/07/2011 | Sale | $15,001 - $50,000 | Clerk → |
| 2020-01-09 | 2019-12-02 | 38 | Member | Dominion Energy Inc Var Rt Perp Mat dtd 12/13/2019 | Purchase | $15,001 - $50,000 | Clerk → |
| 2020-01-09 | 2019-12-02 | 38 | Member | ETNEaton Corporation, PLC ordinary shares | Purchase | $1,001 - $15,000 | Clerk → |
How these are read and published: methodology.
Holdings · annual financial disclosure
Assets listed on the 2023 report.
115 assets with a value on the report filed 2024-08-13, 29 of them shares or options of a listed company. 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) |
|---|---|---|---|
| Artwork | Other | Member | $100,001 - $250,000 |
| Baird - Cash | Other | Member | $100,001 - $250,000 |
| Cash in JP Morgan checking accounts | Other | Member | $1,000,001 - $5,000,000 |
| Cash in JP Morgan investment accounts | Other | Member | $500,001 - $1,000,000 |
| Cash in U.S. Bank checking accounts | Other | Member | $1,001 - $15,000 |
| AIF VI Private Investors LLC | Other | Member | $1,001 - $15,000 |
| AP Europe VII (APAX) Private Investors Onshore LLC | Other | Member | $100,001 - $250,000 |
| Carlyle Asia Partners II Private Investors LLC | Other | Member | None |
| Cash in JP Morgan checking account | Other | Member | $1,001 - $15,000 |
| Cash in JP Morgan investment account | Other | Member | $100,001 - $250,000 |
| Highbridge Mezzanine Partners, LP | Other | Member | None |
| JP Morgan Alternative Property Fund Domestic 1 LP | Other | Member | $15,001 - $50,000 |
| JP Morgan India Property Fund, LP | Other | Member | $15,001 - $50,000 |
| KKR 2006 Private Investors, LLC (Onshore) | Other | Member | $50,001 - $100,000 |
| Outsell, Inc. | Other | Member | $250,001 - $500,000 |
| Penny's Coffee LLC | Other | Member | $1,001 - $15,000 |
| Rational Energies LLC | Other | Member | $250,001 - $500,000 |
| Cash in JP Morgan checking account | Other | Member | $1,001 - $15,000 |
| Artwork | Other | Member | $1,001 - $15,000 |
| Geniecast, LLC | Other | Member | None |
| MyMeds, Inc. | Other | Member | $50,001 - $100,000 |
| Penny's Coffee LLC | Other | Member | $1 - $1,000 |
| Rational Energies LLC | Other | Member | $250,001 - $500,000 |
| Fidelity Freedom 2035 Fund: Class K | Fund | Member | $15,001 - $50,000 |
| Fidelity Target Date 2035 Fund | Fund | Member | $15,001 - $50,000 |
| ACGLArch Capital Group Ltd. | Stock | Member | None |
| BRK.BBerkshire Hathaway Inc. New | Stock | Member | None |
| BlackRock High Yield Bond Portfolio - Class K | Fund | Member | None |
| BKNGBooking Holdings Inc. | Stock | Member | None |
| Cash in JP Morgan investment account | Other | Member | None |
| SCHWCharles Schwab Corporation | Stock | Member | None |
| CBChubb Limited | Stock | Member | None |
| CMCSAComcast Corporation - Class A | Stock | Member | None |
| DGDollar General Corporation | Stock | Member | None |
| DLTRDollar Tree, Inc. | Stock | Member | None |
| ETNEaton Corporation, PLC Ordinary Shares | Stock | Member | None |
| EMREmerson Electric Company | Stock | Member | None |
| EXPDExpeditors International of Washington, Inc. | Stock | Member | None |
| Fidelity 500 Index Fund | Fund | Member | None |
| Fidelity International Index Fund | Fund | Member | None |
| FMSFresenius Medical Care AG | Stock | Member | None |
| HONHoneywell International Inc. | Stock | Member | None |
| iShares 3-7 Year Treasury Bond ETF | Fund | Member | None |
| iShares Core MSCI Emerging Markets ETF | Fund | Member | None |
| iShares MSCI ACWI ETF | Fund | Member | None |
| iShares MSCI EAFE ETF | Fund | Member | None |
| iShares MSCI Japan Index Fund | Fund | Member | None |
| iShares Russell 1000 Growth ETF | Fund | Member | None |
| iShares S&P 500 Growth ETF | Fund | Member | None |
| iShares S&P 500 Value ETF | Fund | Member | None |
| JPMJP Morgan Chase & Co. | Stock | Member | None |
| JPM Tax Free MMkt Inst Sweep Fd | Other | Member | None |
| JPMorgan BetaBuilders Canada ETF | Fund | Member | None |
| JPMorgan BetaBuilders Developed Asia Pacific-ex Japan ETF | Fund | Member | None |
| JPMorgan BetaBuilders Europe ETF | Fund | Member | None |
| JPMorgan BetaBuilders Japan ETF | Fund | Member | None |
| PHGKoninklijke Philips N.V. NY Registry Shares | Stock | Member | None |
| MASMasco Corporation | Stock | Member | None |
| Matthews Pacific Tiger Fund Insti Class | Fund | Member | None |
| MFS International Value Fund Class R6 | Fund | Member | None |
| MUMicron Technology, Inc. | Stock | Member | None |
| Nestle SA Sponsored ADR representing Registered Shares Series B | Stock | Member | None |
| NTRSNorthern Trust Corporation | Stock | Member | None |
| OMCOmnicom Group Inc. | Stock | Member | None |
| PCARPACCAR Inc. | Stock | Member | None |
| PEPPepsico, Inc. | Stock | Member | None |
| PGIM High Yield Fund Class R6 | Fund | Member | None |
| PIMCO Funds High Yield Fund Institutional Shares | Fund | Member | None |
| PPGPPG Industries, Inc. | Stock | Member | None |
| PGRProgressive Corporation | Stock | Member | None |
| Amount owed to the filer (debtor not shown) | Other | Member | None |
| DGXQuest Diagnostics Incorporated | Stock | Member | None |
| SLBSchlumberger N.V. | Stock | Member | None |
| Six Circles International Unconstrained Equity Fund | Fund | Member | None |
| Six Circles Tax Aware Bond Fund | Fund | Member | None |
| Six Circles US Unconstrained Equity Fund | Fund | Member | None |
| SNNSmith & Nephew SNATS, Inc. | Stock | Member | None |
| Sony Corporation | Stock | Member | None |
| SPYSPDR S&P 500 | Fund | Member | None |
| The Tax-Exempt Bond Fund of America - Class F-3 | Fund | Member | None |
| TJXTJX Companies, Inc. | Stock | Member | None |
| ULUnilever PLC | Stock | Member | None |
| UNHUnitedHealth Group Incorporated Common Stock | Stock | Member | None |
| Vanguard Intermediate-Term Tax-Exempt Fd Admiral Shs | Fund | Member | None |
| Cash in JP Morgan investment account | Other | Member | None |
| iShares MSCI ACWI ETF | Fund | Member | None |
| JPMorgan Investor Growth Fund I Class | Fund | Member | None |
| Cash in JP Morgan investment account | Other | Member | $1,001 - $15,000 |
| North American Life Insurance Policy | Other | Member | $250,001 - $500,000 |
| John Hancock Life Insurance Policy | Other | Member | $500,001 - $1,000,000 |
| American United Life Insurance Company - Policy 1 | Other | Member | $15,001 - $50,000 |
| American United Life Insurance Company - Policy 2 | Other | Member | $15,001 - $50,000 |
| Apollo EPF III Private Investors, LLC (Onshore) | Other | Member | $250,001 - $500,000 |
| Benefit Street Partners IV LLC (Providence Onshore) | Other | Member | $500,001 - $1,000,000 |
| Blackstone Partners Investment Fund LP Class B | Other | Member | $250,001 - $500,000 |
| Carlyle Asia Partners II Private Investors LLC | Other | Member | None |
| CD&R Fund X Private Investors, Cayman LP | Other | Member | $1,000,001 - $5,000,000 |
| Cerberus VI Private Investors, LLC | Other | Member | $500,001 - $1,000,000 |
| Corbin Capital Partners - Pinehurst Partners LP | Other | Member | $250,001 - $500,000 |
| Cushing MLP Opportunity Fund 1 LP | Other | Member | $15,001 - $50,000 |
| E-T Energy Ltd. | Other | Member | $1,001 - $15,000 |
| GIF IV Private Investors Onshore LLC Class A | Other | Member | $15,001 - $50,000 |
| GSO Private Investors II, LLC Class B | Other | Member | $1,001 - $15,000 |
| Highbridge Mezzanine Partners LP | Other | Member | $1,001 - $15,000 |
| HPS Mezzanine Private Investors II LLC | Other | Member | $1,001 - $15,000 |
| HPS Mezzanine Private Investors III LLC Onshore | Other | Member | $500,001 - $1,000,000 |
| JP Morgan | Other | Spouse | $15,001 - $50,000 |
| Optum Bank - HSA Account | Other | Member | $1,001 - $15,000 |
| PEG Secondary Private Equity Investors III LP | Other | Member | $100,001 - $250,000 |
| Phillips Adam Smith Partners, LLC (f/k/a Adam Smith Fund, LLC) | Other | Member | $1,001 - $15,000 |
| Starwood SOF XI Private Investors | Other | Member | $500,001 - $1,000,000 |
| The Dean B. Phillips 1992 GST Trust | Other | Member | $5,000,001 - $25,000,000 |
| The Dean B. Phillips 2001 GST Trust | Other | Member | $1,000,001 - $5,000,000 |
| The Phillips Qualified Blind Trust | Other | Member | $5,000,001 - $25,000,000 |
| US Bank - Checking | Other | Spouse | $15,001 - $50,000 |
How reports are read: holdings methodology.