9/13/2018 eFD: Annual Report for 2018 - Scott, Rick United States Senate Financial Disclosures Candidate Report The Honorable Rick Scott State of Candidacy: FL Candidacy Commenced: 03/26/2018  Filed 07/27/2018 @ 4 16 PM The following statements were checked before filing: I certify that the statements I have made on this form are true, complete and correct to the best of my knowledge and belief. I understand that reports cannot be edited once filed. To make corrections, I will submit an electronic amendment to this report. I omitted assets because they meet the three‑part test for exemption. Part 1. Honoraria Payments or Payments to Charity in Lieu of Honoraria Did any individual or organization pay you or your spouse more than $200 or donate any amount to a charity on your behalf, for an article, speech, or appearance? No Part 2. Earned and Non‑Investment Income Did you or your spouse have reportable earned income or non‑investment income? Yes # 1 Who Was Paid Self Type Salary Who Paid State of Florida Amount Paid $0.18 Tallahassee, Florida Part 3. Assets Did you, your spouse, or dependent child own any asset worth more than $1000, have a deposit account with a balance over $5,000, or receive income of more than $200 from an asset? Yes https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ I 1/121 Income Type Income Type None, Income Income None (or less than $201) $100,001 ‑ $250,000 None, None (or less than $201) Joint $1,000,001 ‑ $5,000,000 None, None (or less than $201) Accounts Receivable Self $1,001 ‑ $15,000 None, None (or less than $201) Accounts Receivable Self $50,001 ‑ $100,000 None, None (or less than $201) Trust Self Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $5,001 ‑ $15,000 Bank Deposit Self $1,001 ‑ $15,000 Interest, $201 ‑ $1,000 9/13/2018 1 2 3 4 5 6 6.1 6.2 eFD: Annual Report for 2018 - Scott, Rick Asset Asset Personal Residence ‑ Naples Description: Florida Parcel: 09380240002 (Naples, FL) Filer comment: Included for purposes of completeness. Boathouse ‑ Naples Description: Florida Parcel: 13420001922 (Naples, FL) Filer comment: Included for purposes of completeness. Personal Residence ‑ Montana Description: Geo Code: 4498‑ 34‑2‑01‑05‑0000 (Troy, MT) Filer comment: Included for purposes of completeness. Refundable Club Deposit 1 Company: Royal Poinciana (Naples, FL) Filer comment: Included for purposes of completeness. Refundable Club Deposit 2 Company: Red Sky (Wolcott, CO) Filer comment: Included for purposes of completeness. Richard L. Scott Blind Trust 2014 (Qualified under the laws of the State of Florida) Alaska ST International Airports Revenue Bond Rate/Coupon: 0.73% ‑ Variable Matures: 10/01/2030 BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Asset Type Asset Type Real Estate Residential Owner Value Owner Value Joint $5,000,001 ‑ $25,000,000 Real Estate Joint Real Estate Residential Residential From a Business From a Business General Trust Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 2/121 9/13/2018 6.3 6.4 6.5 6.6 6.7 6.8 6.9 6.10 6.11 Morgan Stanley (Los CA) AssetAngeles, Type: Brokerage Sweep Account, Morgan Stanley (Los Angeles, CA) Type: Money Market Account, San Antonio Texas Electric & Gas Revenue Bond Rate/Coupon: 4.75% Matures: 02/01/2028 Lower Colorado River Auth Texas Rev Bond Rate/Coupon: 4.0% Matures: 05/15/2019 Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 4.0% Matures: 08/15/2019 California St Variable Purpose G.O. Bond Rate/Coupon: 5.0% Matures: 09/01/2019 Metropolitan Washington DC Airports Auth Revenue Bond Rate/Coupon: 5.0% Matures: 10/01/2019 Massachusetts Variable Monthly Consolidated Loan Bond Rate/Coupon: 3.284% Floating Matures: 11/01/2019 Chicago Illinois O'Hare Intl Airport Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2022 Bank Deposit Asset Type eFD: Annual Report for 2018 - Scott, Rick Self $250,001 ‑ Owner $500,000 Value None, Income Type None (or less than $201) Income Bank Deposit Self $250,001 ‑ $500,000 Interest, $5,001 ‑ $15,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $50,001 ‑ $100,000 Government Securities Self $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $2,501 ‑ $5,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $50,001 ‑ $100,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $50,001 ‑ $100,000 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 3/121 9/13/2018 6.12 6.13 6.14 6.15 6.16 6.17 6.18 6.19 6.20 Texas A&M University Perm Univ AssetFd Bond 5.0% Rate/Coupon: Matures: 07/01/2025 Milwaukee Wisconsin Metro Sewer District Bond Rate/Coupon: 5.25% Matures: 10/01/2021 California St Public Works Revenue ‑ Cal St Univ Bond Rate/Coupon: 5.0% Matures: 12/01/2028 Triborough Bridge & Tunnel Auth New York Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2025 Massaschusetts Water Res Auth Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2028 California State G.O. Bond Rate/Coupon: 5.25% Matures: 09/01/2022 New York City NY Transition Fin Auth Bldg Revenue Bond Rate/Coupon: 5.0% Matures: 07/15/2023 York County South Carolina Water & Sewer Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2024 Canadian River Texas Muni Water Auth Revenue Bond Rate/Coupon: 5.0% Matures: 02/15/2025 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self $250,001 ‑ Owner $500,000 Value Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $50,001 ‑ $100,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $100,001 ‑ $1,000,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $100,001 ‑ $1,000,000 Government Securities Self $100,001 ‑ $250,000 Interest, $5,001 ‑ $15,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Self $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $100,001 ‑ $1,000,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $50,001 ‑ $100,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 4/121 9/13/2018 6.21 6.22 6.23 6.24 6.25 6.26 6.27 6.28 Grand Prairie Texas Independent School District Asset Bond Rate/Coupon: 5.0% Matures: 02/15/2025 Massachusetts State Dev Fin Agency Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2026 Port of Seattle Washington Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2026 New York State Urban Dev Corp Revenue Bond Rate/Coupon: 5.0% Matures: 03/15/2027 Las Vegas Valley Nevada Water District Bond Rate/Coupon: 5.0% Matures: 06/01/2027 Washington State Motor Vehicle Fuel Tax G.O. Bond Rate/Coupon: 5.25% Matures: 06/01/2027 Lower Alabama Gas Project Revenue Bond Rate/Coupon: 5.0% Matures: 09/01/2028 Salt River Proj Agric Power District Ariz Elec System Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2029 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self $500,001 ‑ Owner $1,000,000 Value Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Self $100,001 ‑ $250,000 Interest, $15,001 ‑ $50,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $50,001 ‑ $100,000 Government Securities Self $100,001 ‑ $250,000 Interest, $5,001 ‑ $15,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $100,001 ‑ $1,000,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 5/121 9/13/2018 6.29 6.30 6.31 6.32 6.33 6.34 6.35 6.36 6.37 North Texas Tollway Authority Revenue Asset Bond5.0% Rate/Coupon: Matures: 01/01/2030 Connecticut State Spec Tax Revenue Bond Rate/Coupon: 5.0% Matures: 09/01/2030 Chicago Illinois Met Water Reclamation District Bond Rate/Coupon: 5.0% Matures: 12/01/2030 Indiana Municipal Power Agency Power Supply System Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2031 New Mexico Mun Egy Acquisition Auth Gas Supply Revenue Bond Rate/Coupon: 2.078% ‑ Floating Matures: 11/01/2039 Black Belt Energy Gas Dist Ala Gas Supply Revenue Bond Rate/Coupon: 4.0% ‑ Floating Matures: 07/01/2046 California State G.O. Bond Rate/Coupon: 5.25% Matures: 09/01/2022 Neuberger Berman (New York, NY) Type: Brokerage Sweep Account, ARLP ‑ Alliance Resource Partners, L.P. Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self $500,001 ‑ Owner $1,000,000 Value Interest, Income Type $50,001 ‑ $100,000 Income Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $100,001 ‑ $1,000,000 Government Securities Self $250,001 ‑ $500,000 Interest, $5,001 ‑ $15,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Self $1,000,001 ‑ $5,000,000 Interest, $100,001 ‑ $1,000,000 Government Securities Self $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Bank Deposit Self $15,001 ‑ $50,000 Interest, $201 ‑ $1,000 Corporate Securities Self $50,001 ‑ $100,000 Dividends, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 6/121 9/13/2018 6.38 6.39 6.40 6.41 6.42 6.43 AM ‑ Antero Midstream Partners Asset LP FUN‑Cedar Fair, L.P. Corporate Securities Asset Type Stock Corporate Securities DM ‑ Dominion Energy Midstream Partners, LP ETE ‑ Energy Transfer Equity, L.P. EPD ‑ Enterprise Products Partners L.P. EQGP ‑ EQT GP Holdings, LP eFD: Annual Report for 2018 - Scott, Rick Self Owner Self $50,001 ‑ $100,000 Value $100,001 ‑ $250,000 Corporate Securities Self $15,001 ‑ $50,000 Corporate Securities Self $100,001 ‑ $250,000 Dividends, $15,001 ‑ $50,000 Corporate Securities Self $100,001 ‑ $250,000 Dividends, $5,001 ‑ $15,000 Corporate Securities Self $50,001 ‑ $100,000 Dividends, $2,501 ‑ $5,000 Corporate Securities Self $50,001 ‑ $100,000 Dividends, $5,001 ‑ $15,000 Corporate Securities Self $100,001 ‑ $250,000 Dividends, $5,001 ‑ $15,000 Corporate Securities Self $50,001 ‑ $100,000 Dividends, $5,001 ‑ $15,000 Corporate Securities Self $100,001 ‑ $250,000 Dividends, $5,001 ‑ $15,000 Stock Stock Stock Stock Stock Dividends, Income Type Dividends, Capital Gains, Dividends, $2,501 ‑ $5,000 Income $100,001 ‑ $1,000,000 $2,501 ‑ $5,000 6.46 EQM ‑ EQT Midstream Partners, LP NEP ‑ NextEra Energy Partners, LP NYLD ‑ NRG Yield, Inc. 6.47 OKE ‑ ONEOK, Inc. 6.48 SRE ‑ Sempra Energy Corporate Securities Self $50,001 ‑ $100,000 Dividends, $1,001 ‑ $2,500 6.49 TRGP ‑ Targa Resources Corp. Corporate Securities Stock Self $50,001 ‑ $100,000 Dividends, $5,001 ‑ $15,000 6.44 6.45 Stock Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 7/121 9/13/2018 WGP ‑ Western Gas Equity Partners, Asset LP 6.51 WMB ‑ The Williams Companies, Inc. 6.52 WTT ‑ Wireless Telecom Group, Inc. 6.53 Pershing Advisor Solutions ‑ BNY Mellon (New York, NY) Type: Brokerage Sweep Account, 6.54 Promissory Note Company: Pharmaca Investments, LLC (Rowayton, Connecticut)  6.55 AG Energy Partners II, L.P. Description: Private Investment Partnership (New York, NY)  6.56 AG Super Fund, L.P. Description: Private Investment Partnership (New York, NY)  6.57 AJ I Gainline LLC Description: Private Investment Partnership (New York, New York)  6.58 AJ 2 Elliott LLC Description: Private Investment Vehicle (New York, New York)  6.58.1 Ancora Catalyst SPV I L.P. Description: Private Investment Partnership (Cleveland, OH)  6.50 Corporate Securities Asset Type Stock Corporate Securities eFD: Annual Report for 2018 - Scott, Rick Self Owner Self $100,001 ‑ $250,000 Value $50,001 ‑ $100,000 Dividends, $15,001 ‑ $50,000 Income Type Income Dividends, $1,001 ‑ $2,500 Corporate Securities Self $1,000,001 ‑ $5,000,000 None, None (or less than $201) Bank Deposit Self $1,001 ‑ $15,000 None, None (or less than $201) Accounts Receivable Self $100,001 ‑ $250,000 None, None (or less than $201) Investment Fund Self $1,000,001 ‑ $5,000,000 Self $1,000,001 ‑ $5,000,000 Self $1,000,001 ‑ $5,000,000 Excepted $100,001 ‑ $1,000,000 Investment Fund, Excepted $50,001 ‑ $100,000 Investment Fund, None, None (or less than $201) Stock Stock From a Business Private Equity Fund Investment Fund Private Equity Fund Investment Fund Private Equity Fund Investment Fund Private Equity Fund Investment Fund Private Equity Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Self Self $500,001 ‑ $1,000,000 Dividends, $100,001 ‑ $1,000,000 8/121 9/13/2018 6.59 6.60 6.61 6.62 6.63 6.64 6.65 6.66 6.67 CAI Partners and Company IV L.P. Asset Description: Private Investment Partnership (New York, NY)  Canyon Laurel Fund L.P. Description: Private Investment Partnership (Los Angeles, CA)  Fortress Secured Lending Fund I (A) LP Description: Private Investment Partnership (New York, NY)  G. Scott Capital Partners Description: Private Investment Vehicle (Rowayton, Connecticut)  OVO Fund II, LLC Description: Private Investment Partnership (Los Altos, CA)  Pharmaca Investments, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  RLSI‑CSP Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  RLSI‑EMIDA Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  S&S Debt Partners I, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Private Equity Asset Type Fund eFD: Annual Report for 2018 - Scott, Rick Self $500,001 ‑ Owner $1,000,000 Value Excepted $50,001 ‑ $100,000 Income Investment Type Income Fund, Self $500,001 ‑ $1,000,000 Self $500,001 ‑ $1,000,000 Excepted $15,001 ‑ $50,000 Investment Fund, Excepted $15,001 ‑ $50,000 Investment Fund, Investment Fund Self $1,000,001 ‑ $5,000,000 Dividends, $1,000,001 ‑ $5,000,000 Interest, Investment Fund Self $100,001 ‑ $250,000 None, None (or less than $201) Self $250,001 ‑ $500,000 None, None (or less than $201) Investment Fund Self $1,000,001 ‑ $5,000,000 Dividends, Over $5,000,000 Capital Gains, Investment Fund Self $15,001 ‑ $50,000 None, None (or less than $201) Investment Fund Self None (or less than $1,001) Interest, $100,001 ‑ $1,000,000 Investment Fund Private Equity Fund Investment Fund Private Equity Fund Private Equity Fund Private Equity Fund Investment Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 9/121 9/13/2018 6.68 6.69 6.70 6.71 6.72 6.73 6.74 6.75 S&S Equity Partners I LLC Description: Private Investment Asset Vehicle (Rowayton, Connecticut)  S&S Sports, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Vestar Executive V, LP / Vestar Executives IV, LP / Vestar ‑ AIV Holdings B, LP Description: Private Investment Partnership (New York, NY)  VSS Structured Capital III, L.P. Description: Private Investment Partnership (New York, NY)  Columbia Collier Management, LLC Company: Columbia Collier Management, LLC (Naples, Florida) Description: Company set up for purpose of ownership of airplane  Account Receivable from Seabass Properties LLC Company: Seabass Properties LLC (Austin, TX)  Account Receivable from AJ I Gainline LLC Company: AJ I Gainline LLC (New York, New York)  California Pollution Control Authority Bond Rate/Coupon: 0.84% ‑ Variable Matures: 11/01/2026 Filer comment: No longer held Investment Fund Private Equity Asset Type Fund eFD: Annual Report for 2018 - Scott, Rick Self $500,001 ‑ Owner $1,000,000 Value Dividends, $100,001 ‑ $1,000,000 Income Interest, Type Income Investment Fund Self $1,000,001 ‑ $5,000,000 Dividends, Over $1,000,000 and held indepen‑ Interest, dently by spouse or dependent child Investment Fund Self $50,001 ‑ $100,000 Excepted $201 ‑ $1,000 Investment Fund, Investment Fund Self $250,001 ‑ $500,000 Excepted $15,001 ‑ $50,000 Investment Fund, Corporate Securities Self $500,001 ‑ $1,000,000 None, None (or less than $201) Accounts Receivable Self $1,000,001 ‑ $5,000,000 Interest, $15,001 ‑ $50,000 Accounts Receivable Self None (or less than $1,001) None, None (or less than $201) Government Securities Self None (or less than $1,001) Interest, $1,001 ‑ $2,500 Private Equity Fund Private Equity Fund Private Equity Fund Non‑Public Stock From a Business From a Business Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 10/121 9/13/2018 6.76 6.77 6.78 6.79 6.80 6.81 Clackamas County Oregon School Bond Asset District5.0% Rate/Coupon: Matures: 06/15/2017 Filer comment: No longer held Colorado State Educational Loan Bond Rate/Coupon: 5.0% Matures: 06/29/2017 Filer comment: No longer held Dallas Texas Performing Arts Muni Bond Rate/Coupon: 0.43% ‑ Variable Matures: 09/01/2041 Filer comment: No longer held Derry Township Pennsylvania Indl & Commercial Dev Revenue Bond Rate/Coupon: See note Matures: 11/01/2030 Filer comment: Combines multiple bonds with rates from 1.1%‑1.4% (variable); no longer held Douglas County Nebraska Hospital Bond Rate/Coupon: 0.08% ‑ Variable Matures: 08/15/2032 Filer comment: No longer held Dutchess County New York Indl Dev Agency Revenue Bond Rate/Coupon: 0.24% ‑ Variable Matures: 07/01/2038 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 11/121 9/13/2018 6.82 6.83 6.84 6.85 6.86 6.87 Forsyth Montana Pollution Control Bond Asset Revenue Rate/Coupon: 0.77% ‑ Variable Matures: 01/01/2018 Filer comment: No longer held Hamilton County Ohio Sewer System Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2017 Filer comment: No longer held Houston Texas Utility Sys Revenue Bond Rate/Coupon: 5.0% Matures: See note Filer comment: Combines multiple bonds each at 5% interest; maturity dates from 11/15/2018‑11/15/2033; no longer held Illinois State Financial Auth Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with maturity dates from 10/01/2030‑ 08/01/2044; variable interest rates from 0.75%‑1.12%; no longer held Illinois State Financial Auth Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2017 Filer comment: No longer held Indiana ST Fin Auth Bond Rate/Coupon: 0.2% ‑ Variable Matures: 10/01/2040 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 12/121 9/13/2018 6.88 6.89 6.90 6.91 6.92 6.93 6.94 Iowa Higher Ed LN Auth Revenue Asset Bond0.33% ‑ Variable Rate/Coupon: Matures: 10/01/2024 Filer comment: No longer held Iowa Fin Auth Health Muni Bond Rate/Coupon: 2.4% Matures: 06/01/2027 Filer comment: No longer held Irvine California Impt Bd Act 1915 Loc Muni Bond Rate/Coupon: 0.93% Matures: 09/02/2023 Filer comment: No longer held Kansas St Dev Fin Auth Muni Bond Rate/Coupon: 0.05% ‑ Variable Matures: 03/01/2041 Filer comment: No longer held King County Washington Hsg Auth Var‑Ref‑Pooled Bond Rate/Coupon: 0.75% ‑ Variable Matures: 07/01/2035 Filer comment: No longer held Manteca California Rede Bond Rate/Coupon: 0.27% ‑ Variable Matures: 10/01/2042 Filer comment: No longer held Maryland State Hlth & Higher Educational Facilities Revenue Bond Rate/Coupon: 0.64% ‑ Variable Matures: 07/01/2041 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Self None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Self None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Self None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 13/121 9/13/2018 Massachusetts State G.O. Bond Asset Rate/Coupon: 4.0% Matures: 07/01/2017 Filer comment: No longer held 6.96 Massachusetts State G.O. Bond Rate/Coupon: 0.22% ‑ Variable Matures: 07/01/2026 Filer comment: No longer held 6.97 Massachusetts State Health Muni Bond Rate/Coupon: 5.5% Matures: 08/15/2040 Filer comment: No longer held 6.98 Massachusetts State Health & Educational Facilities Revenue Bond Rate/Coupon: 1.07% Matures: 12/01/2037 Filer comment: No longer held 6.99 Milford Connecticut BANS Bond Rate/Coupon: 2.0% Matures: 11/06/2017 Filer comment: No longer held 6.100 Milwaukee Wisconsin Area Technical College Promissory Notes Bond Rate/Coupon: 2.0% Matures: 12/01/2017 Filer comment: No longer held 6.95 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Self None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Self None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Self None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 14/121 9/13/2018 Mississippi State Business Finance Gulf Asset CorpZone Opportunity Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with maturity dates from 12/01/2030‑ 11/10/2035; all at variable interest from 0.07%‑0.24%. None are currently held. 6.102 Missouri State Health & Educational Facilities Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates from 0.97% (variable) to 5.375% (fixed) with maturity dates of 11/01/2031‑03/15/2039; no longer held. 6.103 Missouri State Development Finance Muni Bond Rate/Coupon: 0.16% ‑ Variable Matures: 12/01/2020 Filer comment: No longer held 6.104 Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with maturity dates from 04/01/2032‑ 02/01/2036; variable interest rates from 1.1%‑1.75%; no longer held 6.101 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Self None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 15/121 9/13/2018 6.105 6.106 6.107 6.108 6.109 Nantucket Massachusetts BANS Asset Bond 2.0% Rate/Coupon: Matures: 11/30/2017 Filer comment: No longer held Needham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/01/2017 Filer comment: No longer held New York City NY Muni Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with maturity dates from 08/01/2031‑ 04/01/2042; all at variable interest from 0.51%‑0.87%. None are currently held. New York City NY Hsg Dev Corp Multifamily Rent Revenue Bond Rate/Coupon: 2.25% Matures: 03/15/2036 Filer comment: No longer held New York City NY Transition Fin Auth Bldg Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with maturity dates from 11/01/2036‑ 02/01/2045; all at variable interest at 1.12%. None are currently held. Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 16/121 9/13/2018 New York City NY Muni Water Fin & Sewer AssetAuth Wtr Revenue Bond Rate/Coupon: 0.3% ‑ Variable Matures: 06/15/2048 Filer comment: No longer held 6.111 New York State Dorm Auth Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with maturity dates from 03/15/2020‑ 07/01/2031; all at variable interest (0.74%) or fixed interest (5.0%). None are currently held. 6.112 New York State Hsg Fin Agy Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with maturity dates from 05/01/2042‑ 11/01/2046; all at variable interest from 0.04%‑2.792%. None are currently held. 6.113 New York NY Municipal Bond Bank Agy Apl Sch Purp Revenue Bond Rate/Coupon: 4.0% Matures: 12/01/2017 Filer comment: No longer held 6.114 Nodaway County Missouri Indl Dev Auth Revenue Bond Rate/Coupon: 0.2% ‑ Variable Matures: 11/01/2028 Filer comment: No longer held 6.110 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Self None (or less than $1,001) Interest, $100,001 ‑ $1,000,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 17/121 9/13/2018 6.115 6.116 6.117 6.118 6.119 6.120 6.121 North Carolina Med CA Muni Bond Asset Rate/Coupon: 0.75% ‑ Variable Matures: 08/15/2034 Filer comment: No longer held Pennsylvania State High Educational Facility Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2017 Filer comment: No longer held Snohomish County Washington School District Bond Rate/Coupon: 4.0% Matures: 12/01/2017 Filer comment: No longer held Pennsylvania State Public School Building Muni Bond Rate/Coupon: 0.65% ‑ Variable Matures: 08/01/2030 Filer comment: No longer held Topeka Kansas ‑ Temp Nts‑ Gen Impts‑Ser A Rate/Coupon: 3.0% Matures: 10/01/2017 Filer comment: No longer held Valdez Alaska Marine Terminal Refinancing Bond Rate/Coupon: 0.88% ‑ Variable Matures: 12/01/2029 Filer comment: No longer held Washington State Hsg Fin Comm Nonprofit Revenue Bond Rate/Coupon: 3.85% Matures: 06/01/2032 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $1,001 ‑ $2,500 Income Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Self None (or less than $1,001) Interest, $2,501 ‑ $5,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 18/121 9/13/2018 6.122 6.123 6.124 6.125 6.126 6.127 West Windsor‑Plainsboro New AssetJersey Regional Sch Dist Bond Rate/Coupon: 4.0% Matures: 12/01/2017 Filer comment: No longer held Beacon NY BANS Bond Rate/Coupon: 2.0% Matures: 05/25/2018 Filer comment: No longer held Charleston County South Carolina School District Muni Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates from 2.0%‑5.0%; maturity dates from 11/16/2017‑03/30/2018; no longer held Framingham Massachusetts Muni Bond Rate/Coupon: 1.75% Matures: 12/08/2017 Filer comment: No longer held Fulton County Georgia General Fund ‑ Tax Antic Nts Bond Rate/Coupon: 2.0% Matures: 12/29/2017 Filer comment: No longer held Hingham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 05/17/2018 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $1,001 ‑ $2,500 Income Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 19/121 9/13/2018 6.128 6.129 6.130 6.131 6.132 6.133 Los Angeles California G.O. Bond Asset Rate/Coupon: 3.0% Matures: 06/29/2017 Filer comment: No longer held Salt Lake County Utah Tax & Rev Antic Nts Bond Rate/Coupon: 2.0% Matures: 08/11/2017 Filer comment: No longer held Westborough Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 08/11/2017 Filer comment: No longer held Arizona ST Health Facilities Auth Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with a rate of 1.1%‑5.375%; maturity dates ranging from 01/01/2032‑ 01/01/2046; no longer held. El Dorado California Irrigation District Revenue Bond Rate/Coupon: 4.25% Matures: 03/01/2018 Filer comment: No longer held Ohio ST G.O. Bond Rate/Coupon: 5.0% Matures: 09/01/2020 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 20/121 9/13/2018 6.134 Delaware Valley PA Regional Financial Bond Asset Revenue Rate/Coupon: See note Government Securities Asset Type Municipal 6.135 6.136 6.137 6.138 6.139 Matures: 06/01/2042 Filer comment: Combines multiple bonds with variable interest from 1.09%‑1.75%; no longer held Richland County South Carolina School Dist #1 Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Clarksville Tennessee Public Building Authority Municipal Bond Rate/Coupon: See note Matures: 01/01/2033 Filer comment: Combines multiple bonds between 1.1%‑1.75% variable; same maturity dates; no longer held Gallatin Tennessee Water & Sewer Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2033 Filer comment: No longer held Houston Texas Independent School District Ltd Tax‑ Schoolhouse Bond Rate/Coupon: 2.25% Matures: 02/15/2018 Filer comment: No longer held Wisconsin ST Environmental Impact Fund Revenue Bond Rate/Coupon: 3.0% Matures: 06/01/2018 Filer comment: No longer held eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 21/121 9/13/2018 6.140 Government National Mortgage Pool Asset AssnNone Rate/Coupon: Government Securities Asset Type US 6.141 6.142 6.143 6.144 6.145 6.146 Matures: None Filer comment: No longer held Ramsey New Jersey School Dist Ref Bond Rate/Coupon: 3% Matures: 01/15/2018 Filer comment: No longer held Collin County Texas G.O. Bond Rate/Coupon: 5% Matures: 02/15/2018 Filer comment: No longer held El Paso Texas Independent School District Utility Tax Bond Rate/Coupon: 4.125% Matures: 02/15/2018 Filer comment: No longer held Richardson Texas Independent School District Building Bond Rate/Coupon: 3.0% Matures: 02/15/2018 Filer comment: No longer held Lexington Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 02/16/2018 Filer comment: No longer held Beaufort County South Carolina School District Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $201 ‑ $1,000 Income Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Treasury/Agency Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 22/121 9/13/2018 6.147 6.148 6.149 6.150 6.151 6.152 Lexington County South Carolina Asset School District No. 1 Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Massachusetts State G.O. Bond Rate/Coupon: 5.0% Matures: See note Filer comment: Combines multiple bonds with maturity dates between 03/01/2018‑ 04/01/2018; no longer held. Seattle Washington Muni Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Union County New Jersey Muni Bond Rate/Coupon: 2.0% Matures: 03/01/2018 Filer comment: No longer held California St G.O. Bond Rate/Coupon: 5.0% Matures: 04/01/2018 Filer comment: No longer held San Antonio Texas Electric & Gas Revenue Bond Rate/Coupon: See note Matures: 02/01/2018 Filer comment: Combines bonds with rates of 4‑5%; no longer held. Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 23/121 9/13/2018 6.153 6.154 6.155 6.156 6.157 6.158 6.159 Park City Utah Sales Tax Revenue Asset Rate/Coupon: 5.0% Matures: 06/15/2018 Filer comment: No longer held Alpine Utah School District Building Bond Rate/Coupon: 4.25% Matures: 03/15/2019 Filer comment: No longer held Cleveland Ohio Waterworks Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2022 Filer comment: No longer held Texas State Transportation ‑ Commn Muni Bond Rate/Coupon: 5.0% Matures: 04/01/2022 Filer comment: No longer held Grand Rapids Michigan Sanitn Sewer System Bond Rate/Coupon: 4.8% Matures: 01/01/2026 Filer comment: No longer held Metropolitan Government of Nashville & Davidson Muni Bond Rate/Coupon: 5.0% Matures: 01/01/2028 Filer comment: No longer held Pennsylvania State Univ Bond Rate/Coupon: 5.0% Matures: 08/15/2028 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 24/121 9/13/2018 6.160 Ohio State Higher Educational Facilities Commission Asset Bond Revenue Government Securities Asset Type Municipal 6.161 6.162 6.163 6.164 6.165 6.166 Rate/Coupon: 5.25% Matures: 01/01/2033 Filer comment: No longer held Louisville & Jefferson County Kentucky Met Govt Health Facilities Revenue Bond Rate/Coupon: 6.125% Matures: 02/01/2037 Filer comment: No longer held Massachusetts State Water Pollution Abatement Bond Rate/Coupon: 5.25% Matures: 02/01/2018 Filer comment: No longer held Clark‑Shawnee Ohio Local Sch District BANS Bond Rate/Coupon: 1.75% Matures: 02/13/2018 Filer comment: No longer held Ithaca City New York Muni Bond Rate/Coupon: 2.0% Matures: 02/16/2018 Filer comment: No longer held Minnesota Public Facilities Auth Clean Water Muni Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held S C Association of Govt Organization Cops Bond Rate/Coupon: 3.0% Matures: 03/01/2018 Filer comment: No longer held eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $100,001 ‑ $1,000,000 Income Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 25/121 9/13/2018 6.167 6.168 6.169 6.170 6.171 6.172 6.173 Windsor Locks Connecticut BANS Asset Bond 2.0% Rate/Coupon: Matures: 03/22/2018 Filer comment: No longer held New York St Local Govt Assistance Bond Rate/Coupon: 5.0% Matures: 04/01/2018 Filer comment: No longer held New York Sr Tollway Auth Svc Contract Muni Bond Rate/Coupon: 5.0% Matures: 04/01/2018 Filer comment: No longer held Albany County NY BANS Bond Rate/Coupon: 4.0% Matures: 05/24/2018 Filer comment: No longer held Somerville Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 06/08/2018 Filer comment: No longer held Williamsville New York Central School District BANS Bond Rate/Coupon: 2.25% Matures: 06/13/2018 Filer comment: No longer held Georgetown County South Carolina School District Muni Bond Rate/Coupon: 3.0% Matures: 06/21/2018 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 26/121 9/13/2018 6.174 6.175 6.176 6.177 6.178 6.179 Rochester NY BANS Bond Rate/Coupon: 2.5% Asset 08/02/2018 Matures: Filer comment: No longer held Westborough Massachusetts BANS Bond Rate/Coupon: 2.5% Matures: 08/10/2018 Filer comment: No longer held Union Township Ohio BANS Bond Rate/Coupon: 2.0% Matures: 09/06/2018 Filer comment: No longer held City of Quincy Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 09/28/2018 Filer comment: No longer held Spartanburg County School District No. 7T BANS Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Filer comment: No longer held District of Columbia Hospital Revenue Bond ‑ Childrens Hosp Rate/Coupon: See note Matures: 08/15/2038 Filer comment: Combines multiple bonds with rates from 0.96%‑1.73% (variable); no longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Self None (or less than $1,001) Interest, $2,501 ‑ $5,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 27/121 9/13/2018 6.180 E Baton Rouge Parish Louisiana Bond Asset MuniSee Rate/Coupon: note Government Securities Asset Type Municipal 6.181 6.182 6.183 6.184 6.185 6.186 6.187 Matures: See note Filer comment: Combines multiple bonds with maturity dates from 08/01/2035‑ 12/01/2040; variable interest rates from 0.98%‑1.11%; no longer held Lancaster County PA Ho Muni Bond Rate/Coupon: 1.13% ‑ Variable Matures: 07/01/2034 Filer comment: No longer held Briarwood Capital Partners LP Description: Private Investment Vehicle (New York, New York)  Canyon Balanced Fund, L.P. Description: Private Investment Partnership (Los Angeles, California)  Oregon St Health & Science Muni Bond Rate/Coupon: 1.1% ‑ Variable Matures: 07/01/2042 Filer comment: No longer held University of Michigan Univ Bond Rate/Coupon: 5.0% Matures: 04/01/2018 Filer comment: No longer held Elliott Associates, L.P. Description: Private Investment Vehicle (New York, New York)  Engine Capital, LP Description: Private Investment Vehicle (New York, New York)  eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Investment Fund Self $1,000,001 ‑ $5,000,000 Investment Fund Self $5,000,001 ‑ $25,000,000 Excepted $100,001 ‑ $1,000,000 Investment Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, Government Securities Self None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Self None (or less than $1,001) Interest, $5,001 ‑ $15,000 Investment Fund Self $5,000,001 ‑ $25,000,000 Investment Fund Self $1,000,001 ‑ $5,000,000 Excepted $50,001 ‑ $100,000 Investment Fund, Dividends, $100,001 ‑ $1,000,000 Capital Gains, Security Municipal Security Hedge Fund Hedge Fund Municipal Security Municipal Security Hedge Fund Hedge Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 28/121 9/13/2018 6.188 Highline Capital Partners QP, Investment Fund Hedge Fund LP Asset Description: Private Investment Asset Type 6.189 6.190 6.191 6.192 6.193 6.194 6.195 6.196 6.197 6.198 Vehicle (New York, New York)  Mendon Capital QP LP Description: Private Investment Partnership (Chicago, Illinois)  Moab Partners, L.P. Description: Private Investment Partnership (New York, New York)  Nokomis Capital Partners, L.P. Description: Private Investment Vehicle (Dallas, Texas)  Overlook 3G Investments, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Overlook Partners Fund, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  ASYS ‑ Amtech Systems, Inc. Filer comment: No longer held CB ‑ Chubb Limited Filer comment: No longer held CABO‑Cable One, Inc. Filer comment: No longer held GS ‑ The Goldman Sachs Group, Inc. Filer comment: No longer held MMC ‑ Marsh & McLennan Companies, Inc. Filer comment: No longer held eFD: Annual Report for 2018 - Scott, Rick Self $1,000,001 ‑ Owner $5,000,000 Value Excepted $15,001 ‑ $50,000 Income Investment Type Income Fund, Investment Fund Self $1,000,001 ‑ $5,000,000 Investment Fund Self $1,000,001 ‑ $5,000,000 Excepted $100,001 ‑ $1,000,000 Investment Fund, None, None (or less than $201) Investment Fund Self $1,000,001 ‑ $5,000,000 Excepted $15,001 ‑ $50,000 Investment Fund, Investment Fund Self $250,001 ‑ $500,000 Investment Fund Self $1,000,001 ‑ $5,000,000 Corporate Securities Self None (or less than $1,001) Excepted $15,001 ‑ $50,000 Investment Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, Capital $100,001 ‑ $1,000,000 Gains, Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Hedge Fund Hedge Fund Hedge Fund Hedge Fund Hedge Fund Stock Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Dividends, $1,001 ‑ $2,500 Capital Gains, Capital $15,001 ‑ $50,000 Gains, Dividends, $15,001 ‑ $50,000 Capital Gains, Dividends, $1,001 ‑ $2,500 Capital Gains, 29/121 9/13/2018 6.199 NVGS ‑ Navigator Holdings Ltd. Assetcomment: No longer held Filer 6.200 GOOGL ‑ Alphabet Inc. Corporate Securities Asset Type Stock Corporate Securities 6.201 6.202 6.203 6.204 6.205 Filer comment: No longer held AAPL ‑ Apple Inc. Filer comment: No longer held GILD ‑ Gilead Sciences, Inc. Filer comment: No longer held MSFT ‑ Microsoft Corporation Filer comment: No longer held PFE ‑ Pfizer Inc. Filer comment: No longer held UTG ‑ Reaves Utility Income Fund Filer comment: No longer held 6.206 FUN ‑ Cedar Fair, L.P. Filer comment: No longer held 6.207 ABT ‑ Abbott Laboratories Filer comment: No longer held 6.208 BAC ‑ Bank of America Corporation Filer comment: No longer held 6.209 C ‑ Citigroup Inc. Filer comment: No longer held eFD: Annual Report for 2018 - Scott, Rick Self Owner Self None (or less than Value$1,001) None (or less than $1,001) Capital Income Gains, Type Capital Gains, $15,001 ‑ $50,000 Income $100,001 ‑ $1,000,000 Corporate Securities Self None (or less than $1,001) $100,001 ‑ $1,000,000 Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Capital Gains, Excepted Investment Fund, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Stock Stock Stock Stock Stock Mutual Funds Exchange Traded Fund/Note Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ $100,001 ‑ $1,000,000 $100,001 ‑ $1,000,000 $100,001 ‑ $1,000,000 $5,001 ‑ $15,000 $50,001 ‑ $100,000 $15,001 ‑ $50,000 $50,001 ‑ $100,000 $5,001 ‑ $15,000 30/121 9/13/2018 CCI ‑ Crown Castle International (REIT) Assetcomment:Corp. Filer No longer held 6.211 GSPKX ‑ Goldman Sachs US Eq Div and Prem Instl Filer comment: No longer held Corporate Securities Asset Type Stock Mutual Funds HASI ‑ Hannon Armstrong Sustainable Infrastructure Capita Filer comment: No longer held 6.213 DVY‑iShares Select Dividend ETF Filer comment: No longer held 6.214 EWJ‑iShares MSCI Japan ETF Filer comment: No longer held JNJ ‑ Johnson & Johnson Filer comment: No longer held KEY ‑ KeyCorp Filer comment: No longer held LMT ‑ Lockheed Martin Corporation Filer comment: No longer held LLDYX ‑ Lord Abbett Short Duration Income I Filer comment: No longer held PNC ‑ The PNC Financial Services Group, Inc. Filer comment: No longer held RTN ‑ Raytheon Company Filer comment: No longer held 6.210 6.212 6.215 6.216 6.217 6.218 6.219 6.220 eFD: Annual Report for 2018 - Scott, Rick Self Owner Self None (or less than Value$1,001) None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Mutual Fund Stock Stock Mutual Funds Exchange Traded Fund/Note Stock Stock Stock Mutual Funds Mutual Fund Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Dividends, Income Capital Type Gains, Capital Gains, Excepted Investment Fund, Dividends, Capital Gains, $15,001 ‑ $50,000 Income $15,001 ‑ $50,000 $1,001 ‑ $2,500 Excepted $15,001 ‑ $50,000 Investment Fund, Excepted $5,001 ‑ $15,000 Investment Fund, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Excepted Investment Fund, Dividends, Capital Gains, Dividends, Capital Gains, $50,001 ‑ $100,000 $5,001 ‑ $15,000 $5,001 ‑ $15,000 $5,001 ‑ $15,000 $15,001 ‑ $50,000 $15,001 ‑ $50,000 31/121 9/13/2018 6.221 PPA ‑ Invesco Aerospace & Defense ETF Assetcomment: Filer No longer held Mutual Funds Exchange Asset Type Traded Fund/Note eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Capital Income Gains, Type Excepted Investment Fund, Capital Gains, Excepted Investment Fund, Dividends, $15,001 ‑ $50,000 Income 6.222 KBWB ‑ Invesco KBW Bank Mutual Funds Self None (or less than $1,001) 6.223 BX ‑ The Blackstone Group Corporate Securities Self None (or less than $1,001) 6.224 Corporate Securities Self None (or less than $1,001) Dividends, $5,001 ‑ $15,000 Corporate Securities Self None (or less than $1,001) $50,001 ‑ $100,000 Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Capital Gains, Corporate Securities Self None (or less than $1,001) Capital Gains, $1,001 ‑ $2,500 American Depository Receipt Self None (or less than $1,001) Dividends, $5,001 ‑ $15,000 Capital Gains, ETF Filer comment: No longer held 6.225 6.226 6.227 6.228 6.229 6.230 L.P. Filer comment: No longer held ETP ‑ Energy Transfer Partners, L.P. Filer comment: No longer held EPD ‑ Enterprise Products Partners L.P. Filer comment: No longer held OAK‑Oaktree Capital Group, LLC Filer comment: No longer held WGP ‑ Western Gas Equity Partners, LP Filer comment: No longer held COMM ‑ CommScope Holding Company, Inc. Filer comment: No longer held AMAT ‑ Applied Materials, Inc. Filer comment: No longer held Mitsubishi UFJ Financial Group Inc. ‑ MTU Filer comment: No longer held Exchange Traded Fund/Note Stock Stock Stock Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ $50,001 ‑ $100,000 $1,001 ‑ $2,500 $2,501 ‑ $5,000 $5,001 ‑ $15,000 $15,001 ‑ $50,000 32/121 9/13/2018 6.231 GLD ‑ SPDR Gold Shares Filer Assetcomment: No longer held 6.232 Taiwan Semiconductor Mfg 6.233 6.234 6.235 6.236 6.237 6.238 6.239 Co. ‑ TSM Filer comment: No longer held ENB ‑ Enbridge Inc. Filer comment: No longer held SEP ‑ Spectra Energy Partners, LP Filer comment: No longer held Rimrock High Income Plus (QP) Fund, L.P. Description: Private Investment Vehicle (Irvine, California)  GQETX ‑ GMO Quality III Filer comment: No longer held Account Receivable from S&S Family Entertainment, LLC Company: S&S Family Entertainment, LLC (Rowayton, CT) Filer comment: No longer held JMB Capital Partners, L.P. Description: Private Investment Vehicle (Los Angeles, CA) Filer comment: No longer held Oscar S. Shafer & Partners II LP Description: Private Investment Vehicle (New York, NY) Filer comment: No longer held Mutual Funds Exchange Asset Type Traded eFD: Annual Report for 2018 - Scott, Rick Self None (or less Owner than Value$1,001) Capital Income Gains, Type $201 ‑ $1,000 Income American Depository Receipt Corporate Securities Self None (or less than $1,001) Capital Gains, $1,001 ‑ $2,500 Self None (or less than $1,001) Capital Gains, $15,001 ‑ $50,000 Corporate Securities Self None (or less than $1,001) Self $1,000,001 ‑ $5,000,000 Dividends, $2,501 ‑ $5,000 Capital Gains, Excepted $100,001 ‑ $1,000,000 Investment Fund, Mutual Funds Self None (or less than $1,001) Accounts Receivable Self None (or less than $1,001) Investment Fund Self None (or less than $1,001) Excepted $50,001 ‑ $100,000 Investment Fund, Investment Fund Self None (or less than $1,001) Excepted $5,001 ‑ $15,000 Investment Fund, Fund/Note Stock Stock Investment Fund Hedge Fund Mutual Fund From a Business Hedge Fund Hedge Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Excepted $100,001 ‑ $1,000,000 Investment Fund, Interest, $15,001 ‑ $50,000 33/121 9/13/2018 6.240 Pershing Advisor Solutions ‑ BNY AssetMellon (New York, NY) Type: Money Market Account, 6.241 Dreyfus ‑ BNY Mellon (New York, NY) Type: Money Market Account, 6.242 Fulton Chain Acquisition LLC Description: Private Investment Partnership (Rowayton, CT)  7 F. Annette Scott 2015 GRAT Trust 7.1 Alaska ST International Airports Revenue Bond Rate/Coupon: 1.5% ‑ Variable Matures: 10/01/2030 7.2 7.3 7.4 Athens‑Clarke County Georgia Unif University Georgia Athletic Revenue Bond Rate/Coupon: 1.5% ‑ Variable Matures: 07/01/2035 Delaware Valley PA Regional Financial Revenue Bond Rate/Coupon: 1.5% ‑ Variable Matures: 06/01/2042 Fairfax County VA Econ Dev Auth Revenue Bond Rate/Coupon: 1.5% ‑ Variable Matures: 12/01/2033 Bank Deposit Asset Type eFD: Annual Report for 2018 - Scott, Rick Self $25,000,001 ‑ Interest, Income Owner $50,000,000 Value Type $50,001 ‑ $100,000 Income Bank Deposit Self $15,001 ‑ $50,000 Interest, $1,001 ‑ $2,500 Investment Fund Self $1,001 ‑ $15,000 None, None (or less than $201) Private Equity Fund Trust General Trust Government Securities Spouse $15,001 ‑ $50,000 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ $15,001 ‑ $50,000 34/121 9/13/2018 eFD: Annual Report for 2018 - Scott, Rick Illinois State Financial Auth Revenue Bond ‑ University of Asset Med Chicago Rate/Coupon: 1.5% ‑ Variable Matures: 08/01/2043 Government Securities Asset Type Municipal 7.6 Illinois ST Health Facs Auth Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 10/01/2022 Government Securities Spouse 7.7 Indiana ST Fin Auth Environmental Bond Rate/Coupon: 1.5% ‑ Variable Matures: 12/01/2039 Government Securities Spouse 7.8 Jackson County Mississippi Pollution Control Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 06/01/2023 Government Securities Spouse 7.9 Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 04/01/2032 Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 02/01/2036 Government Securities Spouse Government Securities 7.5 7.10 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child $500,001 ‑ $1,000,000 Interest, Income Type $50,001 ‑ $100,000 Income Interest, $15,001 ‑ $50,000 Interest, $15,001 ‑ $50,000 Interest, $50,001 ‑ $100,000 Interest, $15,001 ‑ $50,000 Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child $15,001 ‑ $50,000 35/121 9/13/2018 New York City NY Hsg Dev Corp Bond Asset Revenue1.5% Rate/Coupon: ‑ Variable Matures: 03/15/2036 Government Securities Asset Type Municipal New York ST Hsg Fin Agy Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 05/01/2042 Triborough NY Bridge & Tunnel Auth Revenue Bond Rate/Coupon: 1.5% ‑ Variable Matures: 11/01/2035 Government Securities 7.14 Triborough NY Bridge & Tunnel Auth Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 01/01/2033 Government Securities 7.15 Wisconsin ST Health & Educational Facilities Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 07/15/2028 BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Massachusetts State G.O. Bond Rate/Coupon: 5.25% Matures: 08/01/2018 Government Securities 7.11 7.12 7.13 7.16 7.17 eFD: Annual Report for 2018 - Scott, Rick Interest, Income Type $15,001 ‑ $50,000 Income Interest, $15,001 ‑ $50,000 Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 $15,001 ‑ $50,000 Bank Deposit Spouse $15,001 ‑ $50,000 Interest, $201 ‑ $1,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Security Municipal Security Government Securities Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 $15,001 ‑ $50,000 $5,001 ‑ $15,000 36/121 9/13/2018 Guilford Connecticut BANS Bond Asset Rate/Coupon: 2.0% Matures: 08/08/2018 Government Securities Asset Type Municipal 7.19 Central Islip NY Union Free School District BANS Bond Rate/Coupon: 2.0% Matures: 08/16/2018 Government Securities 7.20 Kent Ohio BANS Bond Rate/Coupon: 2.0% Matures: 08/23/2018 Government Securities 7.21 East Hampton Town New York BANS Bond Rate/Coupon: 2.0% Matures: 08/24/2018 County of Loudoun Virginia Public Impact Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2018 Government Securities Framingham Massachusetts BANS Bond Rate/Coupon: 2.5% Matures: 12/07/2018 Government Securities 7.18 7.22 7.23 Security Municipal Security Municipal Security Municipal Security Government Securities Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Interest, Income Type $50,001 ‑ $100,000 Income Interest, $15,001 ‑ $50,000 Interest, $15,001 ‑ $50,000 Interest, $15,001 ‑ $50,000 Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child $50,001 ‑ $100,000 $15,001 ‑ $50,000 37/121 9/13/2018 7.24 7.25 7.26 7.27 7.28 7.29 Lexington Massachusetts BANS Asset Bond 3.0% Rate/Coupon: Matures: 02/15/2019 Government Securities Asset Type Municipal Cleveland‑Cuyahoga County Ohio ‑ Cleveland Museum Art Project Bond Rate/Coupon: 5.0% Matures: 10/01/2018 Massachusetts Bay MA Transportation Bond Rate/Coupon: 5.0% Matures: 07/01/2018 Campbell CA Union High School District Bond Rate/Coupon: 2.0% Matures: 08/01/2018 University of Utah Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2018 Rochester New York G.O. Bond Rate/Coupon: 2.5% Matures: 08/02/2018 Government Securities eFD: Annual Report for 2018 - Scott, Rick Interest, Income Type $50,001 ‑ $100,000 Income Government Securities Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $5,001 ‑ $15,000 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner $50,001 ‑ $100,000 $15,001 ‑ $50,000 38/121 9/13/2018 eFD: Annual Report for 2018 - Scott, Rick Westborough Massachusetts BANS Asset Bond 2.5% Rate/Coupon: Matures: 08/10/2018 Government Securities Asset Type Municipal 7.31 Texas State Bond Rate/Coupon: 4.0% Matures: 08/30/2018 Government Securities Spouse 7.32 Union Township Ohio Tax & Rev Antic Nts Bond Rate/Coupon: 2.0% Matures: 09/06/2018 Government Securities Spouse 7.33 Essex County New Jersey BANS Bond Rate/Coupon: 2.5% Matures: 09/12/2018 Government Securities Spouse 7.34 Arizona State Ctfs Partn Cops Bond Rate/Coupon: 4.0% Matures: 10/01/2018 Arizona State Cops ‑ Department of Administration Rate/Coupon: 3.0% Matures: 10/01/2018 Government Securities Spouse Government Securities 7.30 7.35 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child $250,001 ‑ $500,000 Interest, Income Type $50,001 ‑ $100,000 Income Interest, $100,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Interest, $50,001 ‑ $100,000 Interest, $15,001 ‑ $50,000 Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child $15,001 ‑ $50,000 39/121 9/13/2018 Maryland ST ‑ State and Local Facilities Asset LN Bond Rate/Coupon: 5.0% Matures: 11/01/2018 Government Securities Asset Type Municipal Milford Connecticut BANS Bond Rate/Coupon: 2.25% Matures: 11/05/2018 Brookfield Connecticut BANS Bond Rate/Coupon: 2.25% Matures: 11/15/2018 Government Securities 7.39 Michigan State Trunk Line Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Government Securities 7.40 Spartanburg County School District No. 7T BANS Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Government Securities 7.41 Akron Ohio Income Tax Revenue Bond Rate/Coupon: 3.0% Matures: 12/12/2018 Government Securities 7.36 7.37 7.38 Security Municipal Security Government Securities Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Interest, Income Type $50,001 ‑ $100,000 Income Interest, $15,001 ‑ $50,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Interest, $100,001 ‑ $1,000,000 Interest, $100,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 40/121 9/13/2018 eFD: Annual Report for 2018 - Scott, Rick New York ST Dorm Auth Bond Rate/Coupon: 5.0% Asset 12/15/2018 Matures: Government Securities Asset Type Municipal 7.43 City of Worcester Massachusetts BANS Bond Rate/Coupon: 4.0% Matures: 01/31/2019 Government Securities Spouse 7.44 Virginia ST Clg Bldg Auth ‑ 21st Century Clg & Equip Program Bond Rate/Coupon: 5.0% Matures: 02/01/2019 Government Securities Spouse 7.45 North Middlesex Massachusetts Regional School District BANS Bond Rate/Coupon: 2.5% Matures: 02/05/2019 Government Securities Spouse 7.46 Richland County South Carolina BANS Bond Rate/Coupon: 3.0% Matures: 02/27/2019 Government Securities Spouse 7.47 Baltimore County Maryland BANS Bond Rate/Coupon: 4.0% Matures: 03/18/2019 Government Securities Spouse 7.42 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child $500,001 ‑ $1,000,000 Interest, Income Type $50,001 ‑ $100,000 Income Interest, $100,001 ‑ $1,000,000 Interest, $100,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Interest, $50,001 ‑ $100,000 Interest, $15,001 ‑ $50,000 41/121 9/13/2018 New Bedford Massachusetts BANS Asset Bond 2.75% Rate/Coupon: Matures: 05/03/2019 Government Securities Asset Type Municipal 7.49 County of Middlesex New Jersey Rate/Coupon: 3.0% Matures: 06/11/2019 Government Securities 7.50 Williamsville New York Central School District BANS Bond Rate/Coupon: 3.0% Matures: 06/12/2019 Kenmore‑Tonawanda Union Free School District BANS Bond Rate/Coupon: 3.0% Matures: 06/13/2019 Mesa Arizona G.O. Bond Rate/Coupon: 3.0% Matures: 07/01/2019 Washington State Variable Purpose Bond Rate/Coupon: 5.0% Matures: 07/01/2020 Government Securities 7.48 7.51 7.52 7.53 eFD: Annual Report for 2018 - Scott, Rick Interest, Income Type $50,001 ‑ $100,000 Income Interest, $50,001 ‑ $100,000 Government Securities Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner $50,001 ‑ $100,000 $50,001 ‑ $100,000 42/121 9/13/2018 Harris County Texas Revenue Bond Asset Rate/Coupon: 5.75% Matures: 10/01/2020 Western Boone In Multi‑Sch Bldg Bond Rate/Coupon: 4.0% Matures: 07/10/2021 Long Island Power Authority NY Elec Sys G.O. Bond Rate/Coupon: 5.5% Matures: 05/01/2033 Government Securities Asset Type Municipal 7.57 University of Houston Texas University Revenue Bond Rate/Coupon: 4.9% ‑ Variable Matures: 02/15/2034 Government Securities 7.58 Crowley Texas Independent School District Bldg Bond Rate/Coupon: 5.0% Matures: 08/01/2036 Government Securities 7.59 Montana ST Board of Investment Rate/Coupon: 1.7% ‑ Variable Matures: 03/01/2042 Chippewa Falls Area Un Bond Rate/Coupon: 3.0% Matures: 1/10/2019 7.54 7.55 7.56 7.60 eFD: Annual Report for 2018 - Scott, Rick Spouse $500,001 ‑ Owner $1,000,000 Value Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Interest, $50,001 ‑ $100,000 Interest, $100,001 ‑ $1,000,000 Interest, $50,001 ‑ $100,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $500,001 ‑ $1,000,000 None, None (or less than $201) Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 43/121 9/13/2018 7.61 WTT ‑ Wireless Telecom Group, Asset Inc. Corporate Securities Asset Type Stock 7.62 Bank Deposit 7.65 BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Pershing Advisor Solutions ‑ BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Pershing Advisor Solutions ‑ BNY Mellon (New York, NY) Type: Brokerage Sweep Account, AMAT‑Applied Materials, Inc. 7.66 AAPL‑Apple Inc. 7.67 ABT‑Abbott Laboratories 7.68 BAC‑Bank of America Corporation C‑Citigroup Inc. 7.63 7.64 7.69 eFD: Annual Report for 2018 - Scott, Rick Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse None (or less than $1,001) None, Income Type None (or less than $201) Income None, None (or less than $201) Bank Deposit Spouse $15,001 ‑ $50,000 None, None (or less than $201) Bank Deposit Spouse $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Spouse $50,001 ‑ $100,000 None, None (or less than $201) Corporate Securities Spouse $100,001 ‑ $250,000 $100,001 ‑ $1,000,000 Corporate Securities Spouse $50,001 ‑ $100,000 Corporate Securities Spouse $100,001 ‑ $250,000 Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Stock Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner $50,001 ‑ $100,000 $100,001 ‑ $1,000,000 $15,001 ‑ $50,000 44/121 9/13/2018 7.70 CAT ‑ Caterpillar Inc. 7.71 7.74 CCI‑Crown Castle International Corp. (REIT) CDEV ‑ Centennial Resource Development, Inc. COMM‑CommScope Holding Company, Inc. CVX ‑ Chevron Corporation 7.75 EGN‑Energen Corporation 7.76 DVY‑iShares Select Dividend ETF 7.77 EMR ‑ Emerson Electric Co. 7.78 EOG ‑ EOG Resources, Inc. 7.79 EPD‑Enterprise Products Partners L.P. FUN‑Cedar Fair, L.P. 7.72 7.73 7.80 Asset Corporate Securities Asset Type Stock Corporate Securities Stock eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Spouse $15,001 ‑ $50,000 Value $50,001 ‑ $100,000 Dividends, Income Type Dividends, Capital Gains, Dividends, None (or less than $201) Income $15,001 ‑ $50,000 $15,001 ‑ $50,000 Corporate Securities Spouse $1,001 ‑ $15,000 Corporate Securities Spouse $15,001 ‑ $50,000 Capital Gains, Corporate Securities Spouse $1,001 ‑ $15,000 Dividends, None (or less than $201) Corporate Securities Spouse $15,001 ‑ $50,000 None, Spouse $50,001 ‑ $100,000 Excepted $15,001 ‑ $50,000 Investment Fund, Corporate Securities Spouse $1,001 ‑ $15,000 Dividends, None (or less than $201) Corporate Securities Spouse $15,001 ‑ $50,000 Dividends, None (or less than $201) Corporate Securities Spouse $100,001 ‑ $250,000 Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, $50,001 ‑ $100,000 Capital Gains, Dividends, $100,001 ‑ $1,000,000 Capital Gains, Stock Stock Stock Stock Mutual Funds Exchange Traded Fund/Note Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ None (or less than $201) None (or less than $201) 45/121 9/13/2018 GDX ‑ VanEck Vectors Gold Miners Asset ETF Mutual Funds Exchange Asset Type Traded 7.82 GILD‑Gilead Sciences, Inc. Corporate Securities 7.83 GLD ‑ SPDR Gold Shares 7.84 GOOGL‑Alphabet Inc. 7.81 7.85 7.86 7.87 7.88 7.89 7.90 7.91 Fund/Note Stock Mutual Funds Exchange Traded Fund/Note Corporate Securities Stock GSPKX‑Goldman Sachs US Eq Mutual Funds Mutual Fund Div and Prem Instl Mutual Funds LLDYX‑Lord Abbett Short Mutual Fund Duration Income I Corporate HASI‑Hannon Armstrong Securities Sustainable Infrastructure Stock Capita Corporate JNJ‑Johnson & Johnson Securities Stock KBWB‑Invesco KBW Bank ETF Mutual Funds Exchange Traded Fund/Note Corporate KEM‑KEMET Corporation Securities Stock Corporate KEY‑KeyCorp Securities Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse $15,001 ‑ Owner $50,000 Value Dividends, None (or less than $201) Income Type Income Spouse $50,001 ‑ $100,000 Dividends, $100,001 ‑ $1,000,000 Capital Gains, None, None (or less than $201) Spouse $50,001 ‑ $100,000 Spouse $50,001 ‑ $100,000 Capital Gains, Spouse $50,001 ‑ $100,000 Excepted $15,001 ‑ $50,000 Investment Fund, Excepted $15,001 ‑ $50,000 Investment Fund, Dividends, $2,501 ‑ $5,000 Spouse $100,001 ‑ $250,000 Spouse $15,001 ‑ $50,000 Spouse $50,001 ‑ $100,000 Spouse $100,001 ‑ $250,000 Spouse $15,001 ‑ $50,000 Spouse $15,001 ‑ $50,000 $100,001 ‑ $1,000,000 Dividends, $100,001 ‑ $1,000,000 Capital Gains, Capital $100,001 ‑ $1,000,000 Gains, Excepted Investment Fund, None, None (or less than $201) Dividends, $5,001 ‑ $15,000 Capital Gains, 46/121 9/13/2018 7.92 7.93 7.94 7.95 7.96 LMT‑Lockheed Martin Corporation Asset MMP ‑ Magellan Midstream Partners, L.P. MSFT‑Microsoft Corporation Corporate Securities Asset Type Stock Corporate Securities Corporate Securities Spouse $50,001 ‑ $100,000 PNC‑The PNC Financial Services Group, Inc. PPA‑Invesco Aerospace & Defense ETF Corporate Securities Spouse $15,001 ‑ $50,000 7.97 RTN‑Raytheon Company 7.98 SLV ‑ iShares Silver Trust 7.99 VICI‑VICI Properties Inc. 7.100 Taiwan Semiconductor Mfg Co. ‑ TSM UTG‑Reaves Utility Income Fund 7.101 7.102 eFD: Annual Report for 2018 - Scott, Rick WGP‑Western Gas Equity Partners, LP Stock Stock Stock Mutual Funds Exchange Traded Fund/Note Corporate Securities Stock Mutual Funds Exchange Traded Fund/Note Spouse Owner Spouse $15,001 ‑ $50,000 Value $50,001 ‑ $100,000 Spouse $50,001 ‑ $100,000 Spouse $15,001 ‑ $50,000 Spouse $15,001 ‑ $50,000 Dividends, $15,001 ‑ $50,000 Income Capital Type Income Gains, Dividends, None (or less than $201) Dividends, Capital Gains, Dividends, Capital Gains, Capital Gains, Excepted Investment Fund, Dividends, Capital Gains, None, $100,001 ‑ $1,000,000 $50,001 ‑ $100,000 $50,001 ‑ $100,000 $15,001 ‑ $50,000 None (or less than $201) Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, $201 ‑ $1,000 American Depository Receipt Mutual Funds Spouse $50,001 ‑ $100,000 Dividends, None (or less than $201) Spouse $15,001 ‑ $50,000 Corporate Securities Spouse $50,001 ‑ $100,000 Capital $15,001 ‑ $50,000 Gains, Excepted Investment Fund, Dividends, $5,001 ‑ $15,000 Stock Exchange Traded Fund/Note Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 47/121 9/13/2018 XOM ‑ Exxon Mobil Corporation Asset 7.104 ZBH ‑ Zimmer Biomet Holdings, Inc. 7.105 EWJ‑iShares MSCI Japan ETF Filer comment: No longer held Corporate Securities Asset Type Stock Corporate Securities Mitsubishi UFJ Financial Group Inc. Filer comment: No longer held 7.107 WMB ‑ The Williams Companies, Inc. Filer comment: No longer held 7.108 AG Energy Partners II, L.P. Description: Private Investment Partnership (New York, NY)  American Depository Receipt Corporate Securities 7.103 7.106 Stock Mutual Funds Exchange Traded Fund/Note Stock Investment Fund Private Equity Fund 7.109 Investment Fund AG Super Fund, L.P. Description: Private Investment Private Equity Fund Partnership (New York, NY)  7.110 Investment Fund AJ I Gainline LLC Description: Private Investment Private Equity Fund Partnership (New York, New York)  https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Spouse $15,001 ‑ $50,000 Value $1,001 ‑ $15,000 Dividends, None (or less than $201) Income Type Income Dividends, None (or less than $201) Spouse None (or less than $1,001) Excepted $15,001 ‑ $50,000 Investment Fund, Spouse None (or less than $1,001) Capital Gains, Spouse None (or less than $1,001) Dividends, None (or less than $201) Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted $100,001 ‑ $1,000,000 Investment Fund, $5,001 ‑ $15,000 Excepted $100,001 ‑ $1,000,000 Investment Fund, None, None (or less than $201) 48/121 9/13/2018 AJ 2 Elliott LLC Description: Private Investment Asset Vehicle (New York, NY)  7.111.1 Ancora Catalyst SPV I L.P. Description: Private Investment Partnership (Cleveland, OH)  7.111 Investment Fund Private Equity Asset Type Fund Investment Fund Private Equity Fund 7.112 Investment Fund Canyon Laurel Fund L.P. Description: Private Investment Private Equity Partnership (Los Angeles, CA)  Fund 7.113 Investment Fund Fortress Secured Lending Private Equity Fund I (A) LP Description: Private Investment Fund Partnership (New York, NY)  7.114 OVO Fund II, LLC Description: Private Investment Partnership (Los Altos, CA)  RLSI‑CSP Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  7.115 Investment Fund Private Equity Fund Investment Fund Private Equity Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Value Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $100,001 ‑ $250,000 Income Type Income Dividends, $100,001 ‑ $1,000,000 Excepted $15,001 ‑ $50,000 Investment Fund, Excepted $50,001 ‑ $100,000 Investment Fund, None, None (or less than $201) Spouse Over Dividends, Over $1,000,000 and held indepen‑ $1,000,000 Capital dently by spouse or dependent child and held Gains, independently by spouse or dependent child 49/121 9/13/2018 7.116 VSS Structured Capital III, L.P. Asset Description: Private Investment Partnership (New York, NY)  New York St Hsg Fin Auth Revenue Bond Rate/Coupon: 2.792% Matures: 05/01/2042 Filer comment: No longer held 7.118 Valdez Alaska Marine Terminal Refinancing Bond Rate/Coupon: 0.88% ‑ Variable Matures: 12/01/2029 7.119 Arizona ST Health Facilities Auth Revenue Bond Rate/Coupon: 5.375 Matures: 01/01/2032 7.120 California Pollution Control Authority Bond Rate/Coupon: 0.84% ‑ Variable Matures: 11/01/2026 Filer comment: No longer held 7.121 Irvine California Impt Bd Act Bond Rate/Coupon: 0.75% ‑ Variable Matures: 09/02/2023 Filer comment: No longer held 7.122 Los Angeles California G.O. Bond Rate/Coupon: 3.0% Matures: 06/29/2017 Filer comment: No longer held 7.117 Investment Fund Private Equity Asset Type Fund eFD: Annual Report for 2018 - Scott, Rick Excepted $50,001 ‑ $100,000 Income Investment Type Income Fund, Government Securities Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner 50/121 9/13/2018 7.123 7.124 7.125 7.126 7.127 7.128 7.129 7.130 Manteca California Rede Bond Rate/Coupon: 0.27% ‑ Variable Asset 10/01/2042 Matures: Filer comment: No longer held Colorado State Educational Loan Bond Rate/Coupon: 5.0% Matures: 06/29/2017 Filer comment: No longer held Milford Connecticut G.O. Bond Rate/Coupon: 2.0% Matures: 11/06/2017 Filer comment: No longer held Fulton County Georgia BANS Bond Rate/Coupon: 2.0% Matures: 12/29/2017 Illinois State Health Facs Auth Revenue Bond Rate/Coupon: 0.56% ‑ Variable Matures: 10/01/2022 Illinois State Financial Authority Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2017 Filer comment: No longer held Iowa Financial Auth Health Facs Bond Rate/Coupon: 2.4% Matures: 06/01/2027 Filer comment: No longer held Louisville & Jefferson County Kentucky Bond Rate/Coupon: 0.11% ‑ Variable Matures: 07/01/2041 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $201 ‑ $1,000 Income Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 51/121 9/13/2018 7.131 7.132 7.133 7.134 7.135 7.136 7.137 Illinois State Financial Authority Asset Bond0.75% ‑ Variable Rate/Coupon: Matures: 10/01/2030 Filer comment: No longer held Jackson County Mississippi Pollution Control Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 06/01/2023 Filer comment: No longer held Maryland ST Health & Hg Bond Rate/Coupon: 0.45% Matures: 07/01/2041 Filer comment: No longer held Maryland ST Health & Hg Bond Rate/Coupon: 0.64% ‑ Variable Matures: 07/01/2041 Filer comment: No longer held Framingham Massachusetts Muni Bond Rate/Coupon: 1.75% Matures: 12/08/2017 Filer comment: No longer held Massachusetts ST Muni Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates from 2.0%‑4.0%; maturity dates from 07/01/2017‑04/23/2018; no longer held Massachusetts ST Health Muni Bond Rate/Coupon: 0.22% ‑ Variable Matures: 07/01/2026 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 52/121 9/13/2018 7.138 7.139 7.140 7.141 7.142 7.143 7.144 Massachusetts ST Health Muni Asset Bond 5.5% Rate/Coupon: Matures: 08/15/2040 Filer comment: No longer held Massachusetts ST Health Muni Bond Rate/Coupon: 0.26% ‑ Variable Matures: 10/01/2049 Filer comment: No longer held Massachusetts ST Water Res Auth Muni Bond Rate/Coupon: 0.74% ‑ Variable Matures: 08/01/2020 Filer comment: No longer held Mississippi Business Fin Corp Muni Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates from 0.75%‑1.7% (variable); maturity dates from 12/01/2030‑ 11/01/2035; no longer held Missouri ST Health & Educational Facs Auth Bond Rate/Coupon: 5.375% Matures: 03/15/2039 Filer comment: No longer held Nodaway County Missouri Indl Muni Bond Rate/Coupon: 0.2% Matures: 11/01/2028 Filer comment: No longer held Forsyth Montana Pollution Control Revenue Bond Rate/Coupon: 0.77% ‑ Variable Matures: 01/01/2018 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $201 ‑ $1,000 Income Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 53/121 9/13/2018 7.145 7.146 7.147 7.148 7.149 7.150 New Hampshire ST Business Muni Asset Bond 0.06% ‑ Variable Rate/Coupon: Matures: 10/01/2042 Filer comment: No longer held Nantucket Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/30/2017 Filer comment: No longer held Westborough Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 08/11/2017 Filer comment: No longer held Charleston County South Carolina School District Muni Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates from 2.0%‑5.0%; maturity dates from 11/16/2017‑03/30/2018; no longer held New York NY Variable Muni Bond Rate/Coupon: 0.75% ‑ Variable Matures: 08/01/2031 Filer comment: No longer held New York NY Variable Muni Bond Rate/Coupon: 0.51% ‑ Variable Matures: 04/01/2042 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 54/121 9/13/2018 7.151 7.152 7.153 7.154 7.155 7.156 7.157 New York NY Variable Muni Bond Asset Rate/Coupon: 0.87% ‑ Variable Matures: 08/01/2036 Filer comment: No longer held New York NY Variable Muni Bond Rate/Coupon: 0.5% ‑ Variable Matures: 10/01/2038 Filer comment: No longer held New York City Hsg Fin Agy Revenue Bond Rate/Coupon: 2.25% Matures: 03/15/2036 Filer comment: No longer held New York City NY Transition Fin Auth Bldg Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates ranging from 0.87%‑1.72% (variable); maturity dates from 08/01/2039‑02/01/2045; no longer held New York City Muni Bond Rate/Coupon: 3.56% Matures: 05/01/2033 Filer comment: No longer held New York City NY Transition Fin Auth Bldg Revenue Bond Rate/Coupon: 0.3% ‑ Variable Matures: 02/01/45 Filer comment: No longer held New York City NY Muni Water FinAuth Bond Rate/Coupon: 0.01% ‑ Variable Matures: 06/15/2045 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 55/121 9/13/2018 7.158 7.159 7.160 7.161 7.162 7.163 7.164 New York City NY Muni Water FinAuth Asset Bond 0.3% ‑ Variable Rate/Coupon: Matures: 06/15/2048 Filer comment: No longer held New York ST Dorm Auth Bond Rate/Coupon: 0.74% ‑ Variable Matures: 07/01/2031 New York St Hsg Fin Auth Revenue Bond Rate/Coupon: 0.03% ‑ Variable Matures: 11/01/2046 Filer comment: No longer held Triborough Bridge & Tunnel Auth New York Revenue Bond Rate/Coupon: 0.34% ‑ Variable Matures: 01/01/2033 Filer comment: No longer held Ohio ST G.O. Bond Rate/Coupon: 5.0% Matures: 09/01/2020 Filer comment: No longer held Clackamas County Oregon School District Bond Rate/Coupon: 5.0% Matures: 06/15/2017 Filer comment: No longer held Delaware Valley Pennsylvania Regional Financial Revenue Bond Rate/Coupon: 0.76% ‑ Variable Matures: 06/01/2042 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 56/121 9/13/2018 7.165 7.166 7.167 7.168 7.169 7.170 Derry Twp Pennsylvania Indl Muni Asset Bond 0.63% ‑ Variable Rate/Coupon: Matures: 11/01/2030 Filer comment: No longer held Dutchess County New York Muni Bond Rate/Coupon: 0.24% ‑ Variable Matures: 07/01/2038 Filer comment: No longer held East Baton Rouge Parish Muni Bond Rate/Coupon: 0.002% ‑ Variable Matures: 12/01/2040 Filer comment: No longer held East Baton Rouge Parish Muni Bond Rate/Coupon: 0.32% ‑ Variable Matures: 12/01/2051 Filer comment: No longer held Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 0.24% ‑ Variable Matures: 11/15/2045 Filer comment: No longer held Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 0.47% Matures: 11/01/2035 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 57/121 9/13/2018 7.171 7.172 7.173 7.174 7.175 7.176 7.177 Metropolitan Transportation Authority of New York Asset Bond Revenue Rate/Coupon: 2.0% Matures: 08/01/2017 Filer comment: No longer held Salt Lake County Utah Muni Bond Rate/Coupon: 2.0% Matures: 12/28/2017 Filer comment: No longer held Washington State Hsg Fin Auth Bond Rate/Coupon: 3.85% Matures: 06/01/2032 Gallatin Tennessee Water & Sewer Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2033 Filer comment: No longer held Houston Texas Independent School District BANS Bond Rate/Coupon: 2.25% Matures: 02/15/2018 Filer comment: No longer held King County Washington Hsg Auth Var‑Ref‑Pooled Bond Rate/Coupon: 0.75% ‑ Variable Matures: 07/01/2035 Filer comment: No longer held WIsconsin State Environmental Impact Fund Revenue Bond Rate/Coupon: 3.0% Matures: 06/01/2018 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 58/121 9/13/2018 7.178 7.179 7.180 7.181 7.182 7.183 7.184 7.185 7.186 Wisconsin State Health Muni Bond Asset Rate/Coupon: 0.88% ‑ Variable Matures: 07/15/2028 Filer comment: No longer held ASYS ‑ Amtech Systems, Inc. Filer comment: No longer held CB ‑ Chubb Limited Filer comment: No longer held GS ‑ The Goldman Sachs Group, Inc. Filer comment: No longer held MMC ‑ Marsh & McLennan Companies, Inc. Filer comment: No longer held PFE ‑ Pfizer Inc. Filer comment: No longer held CABO ‑ Cable One, Inc. Filer comment: No longer held NVGS ‑ Navigator Holdings Ltd. Filer comment: No longer held Briarwood Capital Partners LP Description: Private Investment Vehicle (New York, New York)  Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $201 ‑ $1,000 Income Corporate Securities Spouse None (or less than $1,001) Capital Gains, $100,001 ‑ $1,000,000 Corporate Securities Spouse None (or less than $1,001) $2,501 ‑ $5,000 Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Capital Gains, Corporate Securities Spouse None (or less than $1,001) Capital Gains, $50,001 ‑ $100,000 Security Stock Stock Stock Stock Stock Stock Stock Investment Fund Hedge Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ $15,001 ‑ $50,000 $2,501 ‑ $5,000 $100,001 ‑ $1,000,000 $15,001 ‑ $50,000 Spouse Over Excepted $100,001 ‑ $1,000,000 $1,000,000 Investment and held Fund, independently by spouse or dependent child 59/121 9/13/2018 eFD: Annual Report for 2018 - Scott, Rick 7.187 Canyon Balanced Fund, L.P. Investment Fund Fund Description: Private Investment Hedge Asset Asset Type Vehicle (Los Angeles, California)  7.188 Investment Fund Engine Capital, LP Description: Private Investment Hedge Fund Vehicle (New York, New York)  Spouse 7.189 Highline Capital Partners QP, Investment Fund Hedge Fund LP Description: Private Investment Vehicle (New York, New York)  Spouse 7.190 Investment Fund Mendon Capital QP LP Description: Private Investment Hedge Fund Vehicle (Chicago, Illinois)  Spouse 7.191 Investment Fund Moab Partners, L.P. Description: Private Investment Hedge Fund Partnership (New York, New York)  Spouse https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Excepted $100,001 ‑ $1,000,000 Income Investment Type Income Fund, Dividends, $100,001 ‑ $1,000,000 Capital Gains, Excepted $15,001 ‑ $50,000 Investment Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, None, None (or less than $201) 60/121 9/13/2018 7.192 Investment Fund Nokomis Capital Partners, Hedge Fund L.P. Asset Description: Private Investment Asset Type Vehicle (Dallas, Texas)  7.193 Overlook Partners Fund, L.P. Investment Fund Description: Private Investment Hedge Fund Vehicle (Hong Kong, N/A)  7.194 Investment Fund Rimrock High Income Plus Hedge Fund (QP) Fund, L.P. Description: Private Investment Vehicle (Irvine, California)  Iowa Higher Ed LN Auth Revenue Bond Rate/Coupon: 1.7% ‑ Variable Matures: 10/01/2033 Filer comment: No longer held 7.196 Richardson Texas Independent School District Building Bond Rate/Coupon: 3.0% Matures: 02/15/2018 Filer comment: No longer held 7.197 Lexington Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 02/16/2018 Filer comment: No longer held 7.195 eFD: Annual Report for 2018 - Scott, Rick Excepted $50,001 ‑ $100,000 Income Investment Type Income Fund, Government Securities Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Excepted $100,001 ‑ $1,000,000 Investment Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, 61/121 9/13/2018 7.198 7.199 7.200 7.201 7.202 7.203 7.204 7.205 Portsmouth New Hampshire Muni Asset Bond 3.0% Rate/Coupon: Matures: 06/22/2018 Filer comment: No longer held Hingham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 05/17/2018 Filer comment: No longer held Albany County NY BANS Bond Rate/Coupon: 4.0% Matures: 05/24/2018 Filer comment: No longer held Beacon NY BANS Bond Rate/Coupon: 2.0% Matures: 05/25/2018 Filer comment: No longer held Bristol CT Bans Bond Rate/Coupon: 2.25% Matures: 05/29/2018 Filer comment: No longer held Somerville Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 06/08/2018 Filer comment: No longer held Williamsville New York Central School District BANS Bond Rate/Coupon: 2.25% Matures: 06/13/2018 Filer comment: No longer held Plymouth Massachusetts Muni Bond Rate/Coupon: 2.0% Matures: 06/15/2018 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 62/121 9/13/2018 7.206 City of Quincy Massachusetts BANS Asset Bond 2.0% Rate/Coupon: Matures: 06/15/2018 Filer comment: No longer held 7.207 Colorado State General Fund Revenue TANS Bond Rate/Coupon: 4.0% Matures: 06/27/2018 Filer comment: No longer held 7.208 Middle Country NY Central School District Bond Rate/Coupon: 2.0% Matures: 06/27/2018 Filer comment: No longer held 7.209 RILY ‑ B. Riley Financial, Inc. 7.210 KMT ‑ Kennametal Inc. BX ‑ The Blackstone Group L.P. Filer comment: No longer held 7.212 GQETX ‑ GMO Quality III 7.211 7.213 Pershing Advisor Solutions ‑ BNY Mellon (New York, NY) Type: Money Market Account, Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Corporate Securities Spouse $50,001 ‑ $100,000 Dividends, $201 ‑ $1,000 Corporate Securities Spouse $1,001 ‑ $15,000 Dividends, None (or less than $201) Corporate Securities Spouse None (or less than $1,001) Dividends, $2,501 ‑ $5,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Excepted $100,001 ‑ $1,000,000 Investment Fund, Security Municipal Security Municipal Security Stock Stock Stock Mutual Funds Mutual Fund Bank Deposit https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Interest, $100,001 ‑ $1,000,000 63/121 9/13/2018 7.214 Pershing Advisor Solutions ‑ BNY AssetMellon (New York, NY) Type: Money Market Account, Bank Deposit Asset Type 8 Richard L. Scott GRAT Continuing Trust Clarksville Tennessee Public Building Authority Municipal Bond Rate/Coupon: 1.6% ‑ Variable Matures: 01/01/2033 Clarksville Tennessee Public Building Authority Municipal Bond Rate/Coupon: 1.6% ‑ Variable Matures: 02/01/2038 E Baton Rouge Parish Louisiana Dev Brd Inc. Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 08/01/2035 Trust Spouse Government Securities Spouse $250,001 ‑ $500,000 Interest, $5,001 ‑ $15,000 Government Securities Spouse $50,001 ‑ $100,000 Interest, $1,001 ‑ $2,500 Government Securities Maryland State Hlth & Higher Educational Facilities Revenue Bond ‑ Univ MD Med Sys Rate/Coupon: 1.5% ‑ Variable Matures: 07/01/2041 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child 8.1 8.2 8.3 8.4 General Trust Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over Interest, Income $1,000,000 Value Type and held independently by spouse or dependent child $50,001 ‑ $100,000 Income $15,001 ‑ $50,000 $15,001 ‑ $50,000 64/121 9/13/2018 Montgomery County Tennessee Public Bldg Auth Asset Bond Revenue Rate/Coupon: 1.6% ‑ Variable Matures: 02/01/2036 Government Securities Asset Type Municipal 8.6 Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 04/01/2032 Government Securities 8.7 New York City NY Muni Water Fin Auth Wtr & Sewer Revenue Bond Rate/Coupon: 1.5% ‑ Variable Matures: 06/15/2035 New York City NY Muni Water Fin Auth Wtr & Sewer Revenue Bond Rate/Coupon: 1.5% ‑ Variable Matures: 06/15/2045 New York City NY Muni Water Fin Auth Wtr & Sewer Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 06/15/2048 New York ST Dorm Auth Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 07/01/2033 Wisconsin ST Health & Educational Facilities Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 07/15/2028 8.5 8.8 8.9 8.10 8.11 eFD: Annual Report for 2018 - Scott, Rick Interest, Income Type $15,001 ‑ $50,000 Income Interest, $15,001 ‑ $50,000 Government Securities Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $50,001 ‑ $100,000 Interest, $1,001 ‑ $2,500 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $5,001 ‑ $15,000 Government Securities Spouse $50,001 ‑ $100,000 Interest, $1,001 ‑ $2,500 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner 65/121 9/13/2018 BNY Mellon (New NY) Asset York, Type: Brokerage Sweep Account, Guilford Connecticut BANS Bond Rate/Coupon: 2.0% Matures: 08/08/2018 Bank Deposit Asset Type Katy Independent School District Bond Rate/Coupon: 3.0% Matures: 02/15/2019 Rochester Minnesota Health Care Facilities Bond Rate/Coupon: 4.0% Matures: 11/15/2030 District of Columbia Hospital Revenue Bond ‑ Childrens Hosp Rate/Coupon: 5.25% Matures: 07/15/2045 8.17 Georgia State G.O. Bond Rate/Coupon: 5.0% Matures: 07/01/2018 Government Securities 8.18 Gilbert Arizona Public Facilities Muni Property Bond Rate/Coupon: 3.0% Matures: 07/01/2018 Government Securities 8.12 8.13 8.14 8.15 8.16 Government Securities eFD: Annual Report for 2018 - Scott, Rick Spouse $1,001 ‑ Owner $15,000 Value Interest, Income Type None (or less than $201) Income $15,001 ‑ $50,000 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 Government Securities Spouse $500,001 ‑ $1,000,000 $15,001 ‑ $50,000 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Interest, $15,001 ‑ $50,000 $50,001 ‑ $100,000 $100,001 ‑ $1,000,000 $15,001 ‑ $50,000 66/121 9/13/2018 Massachusetts Bay MA Transportation Bond Asset Rate/Coupon: 5.0% Matures: 07/01/2018 Massachusetts State G.O. Bond Rate/Coupon: 5.5% Matures: 08/01/2018 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse $250,001 ‑ Owner $500,000 Value Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Interest, $50,001 ‑ $100,000 8.21 Rochester NY BANS Bond Rate/Coupon: 2.5% Matures: 08/02/2018 Government Securities Interest, $15,001 ‑ $50,000 8.22 Westborough Massachusetts BANS Bond Rate/Coupon: 2.5% Matures: 08/10/2018 Government Securities Interest, $15,001 ‑ $50,000 8.23 Texas State G.O. Bond Rate/Coupon: 4.0% Matures: 08/30/2018 Government Securities Interest, $100,001 ‑ $1,000,000 8.24 North Texas ST Muni Water Dist Bond Rate/Coupon: 5.0% Matures: 09/01/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 ‑ $100,000 8.19 8.20 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 67/121 9/13/2018 Essex County New Jersey BANS Asset Bond 2.5% Rate/Coupon: Matures: 09/12/2018 Government Securities Asset Type Municipal 8.26 City of Quincy Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 09/28/2018 Government Securities 8.27 Arizona State Ctfs Partn Cops Bond Rate/Coupon: 4.0% Matures: 10/01/2018 Wichita Kansas Temp Nts Bond Rate/Coupon: 1.1% Matures: 10/13/2018 Government Securities 8.29 Pittsfield Massachusetts G.O. Bond Rate/Coupon: 2.0% Matures: 10/26/2018 Government Securities 8.30 Milford Connecticut BANS Bond Rate/Coupon: 2.25% Matures: 11/05/2018 Government Securities 8.25 8.28 Security Municipal Security Municipal Security Government Securities Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Interest, Income Type $15,001 ‑ $50,000 Income Interest, $15,001 ‑ $50,000 Interest, $15,001 ‑ $50,000 Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 $15,001 ‑ $50,000 $15,001 ‑ $50,000 $15,001 ‑ $50,000 68/121 9/13/2018 Louisville & Jefferson County Kentucky Swr Dist Swr & Asset Sys Met Drain BANS Bond Rate/Coupon: 5.0% Matures: 11/12/2018 Government Securities Asset Type Municipal Cohasset Massachusetts Mun Purp LN Bond Rate/Coupon: 4.0% Matures: 11/15/2018 Houston Texas Utility Sys Revenue Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Government Securities 8.34 Spartanburg County School District No. 7T BANS Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Government Securities 8.35 Minneapolis Minnesota G.O. Bond Rate/Coupon: 5.0% Matures: 12/01/2018 Akron Ohio Income Tax Revenue Bond Rate/Coupon: 3 Matures: 12/12/2018 8.31 8.32 8.33 8.36 Security Municipal Security Government Securities eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $250,001 ‑ $500,000 Interest, Income Type $50,001 ‑ $100,000 Income Interest, $15,001 ‑ $50,000 $100,001 ‑ $1,000,000 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 Government Securities Spouse $500,001 ‑ $1,000,000 $15,001 ‑ $50,000 Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Interest, $100,001 ‑ $1,000,000 $50,001 ‑ $100,000 69/121 9/13/2018 New York ST Dorm Auth General Bond Asset Purpose Rate/Coupon: 5.0% Matures: 12/15/2018 Government Securities Asset Type Municipal Oregon Education Districts Short Term Cops Bond Rate/Coupon: 2.5% Matures: 12/31/2018 Gwinnett County Georgia School District Sales Tax Bond Rate/Coupon: 3.0% Matures: 02/01/2019 Government Securities 8.40 Richland County South Carolina BANS Bond Rate/Coupon: 3.0% Matures: 02/27/2019 Government Securities 8.41 Baltimore County Maryland BANS Bond Rate/Coupon: 4.0% Matures: 03/18/2019 Virginia ST Public Sch Auth Bond Rate/Coupon: 5.0% Matures: 04/15/2019 Government Securities 8.37 8.38 8.39 8.42 Security Municipal Security Government Securities Municipal Security Municipal Security Municipal Security Government Securities Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Interest, Income Type $50,001 ‑ $100,000 Income Interest, $15,001 ‑ $50,000 Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 $15,001 ‑ $50,000 Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child $50,001 ‑ $100,000 $50,001 ‑ $100,000 $15,001 ‑ $50,000 70/121 9/13/2018 8.43 8.44 8.45 8.46 8.47 8.48 8.49 Hamilton Twp New Jersey Mercer BANS Bond Asset County3.0% Rate/Coupon: Matures: 05/21/2019 Government Securities Asset Type Municipal Town of Dover New Jersey BANS Bond Rate/Coupon: 3.0% Matures: 05/31/2019 County of Middlesex New Jersey Bond Rate/Coupon: 3.0% Matures: 06/11/2019 Government Securities Williamsville New York Central School District BANS Bond Rate/Coupon: 3.0% Matures: 06/12/2019 Marlborough Massachusetts BANS Bond Rate/Coupon: 2.75% Matures: 06/14/2019 Town of Plymouth Massachusetts BANS Bond Rate/Coupon: 3.0% Matures: 06/14/2019 Town of Boxford Massachusetts BANS Bond Rate/Coupon: 2.25% Matures: 06/21/2019 eFD: Annual Report for 2018 - Scott, Rick Interest, Income Type $15,001 ‑ $50,000 Income Interest, $15,001 ‑ $50,000 $15,001 ‑ $50,000 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $5,001 ‑ $15,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $5,001 ‑ $15,000 Security Municipal Security Government Securities Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 $15,001 ‑ $50,000 71/121 9/13/2018 8.50 8.51 8.52 8.53 8.54 8.55 8.56 Massachusetts ST Dev Fin Agyre Asset Bond 5.25% Rate/Coupon: Matures: 11/15/2019 Intermountain Pwr Agy Utah Power Sys Bond Rate/Coupon: 5.0% Matures: 07/01/2020 Government Securities Asset Type Municipal Long Island Power Authority NY Elec Sys G.O. Bond Rate/Coupon: 5.5% Matures: 05/01/2033 University of Houston Texas University Revenue Bond Rate/Coupon: 4.9% ‑ Variable Matures: 02/15/2034 Government Securities Massachusetts ST Hlth & Education ‑ Massachusetts Institute Technology Bond Rate/Coupon: 5.5% Matures: 07/01/2036 Southern Columbia Pennsylvania Area School District Bond Rate/Coupon: 5.15% Matures: 04/01/2040 Montana ST Board of Investment Bond Rate/Coupon: 1.7% ‑ Variable Matures: 03/01/2042 Security Government Securities eFD: Annual Report for 2018 - Scott, Rick Spouse $250,001 ‑ Owner $500,000 Value Interest, Income Type $15,001 ‑ $50,000 Income Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Interest, $1,000,000 $100,001 ‑ $1,000,000 $100,001 ‑ $1,000,000 Government Securities Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $250,001 ‑ Interest, $500,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Municipal Security Municipal Security Government Securities Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ $15,001 ‑ $50,000 $15,001 ‑ $50,000 72/121 9/13/2018 8.57 8.58 Pershing Advisor Solutions ‑ BNY AssetMellon (New York, NY) Type: Brokerage Sweep Account, AG Energy Partners II, L.P. Description: Private Investment Partnership (New York, NY)  Bank Deposit Asset Type Investment Fund Private Equity Fund 8.59 Investment Fund AG Super Fund, L.P. Description: Private Investment Private Equity Fund Partnership (New York, NY)  8.60 Investment Fund AJ I Gainline LLC Description: Private Investment Private Equity Vehicle (New York, New York)  Fund AJ 2 Elliott LLC Description: Private Investment Vehicle (New York, NY)  8.61.1 Ancora Catalyst SPV I L.P. Description: Private Investment Partnership (Cleveland, OH)  8.61 Investment Fund Private Equity Fund Investment Fund Private Equity Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse $15,001 ‑ Owner $50,000 Value None, Income Type None (or less than $201) Income Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Excepted $100,001 ‑ $1,000,000 Investment Fund, Excepted $15,001 ‑ $50,000 Investment Fund, None, None (or less than $201) Spouse Over Dividends, $100,001 ‑ $1,000,000 $1,000,000 and held independently by spouse or dependent child 73/121 9/13/2018 8.62 Canyon Laurel Fund L.P. Description: Private Investment Asset Partnership (Los Angeles, CA)  8.63 Investment Fund Fortress Secured Lending Private Equity Fund I (A) LP Description: Private Investment Fund Partnership (New York, NY)  8.64 Investment Fund Mendon Capital QP, LP Description: Private Investment Private Equity Fund Partnership (Chicago, IL)  8.65 OVO Fund II, LLC Description: Private Investment Partnership (Los Altos, CA)  Richard L. and F. Annette Scott Family Partnership Description: Private Investment Partnership (Naples, FL) Filer comment: Assets disclosed elsewhere in this report VSS Structured Capital III, L.P. Description: Private Investment Partnership (New York, NY)  8.66 8.67 Investment Fund Private Equity Asset Type Fund Investment Fund Private Equity Fund Investment Fund Private Equity Fund Investment Fund Private Equity Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $100,001 ‑ $250,000 Excepted $15,001 ‑ $50,000 Income Investment Type Income Fund, Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Dividends, Over $1,000,000 and held indepen‑ Capital dently by spouse or dependent child Gains, Excepted $50,001 ‑ $100,000 Investment Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, None, None (or less than $201) Excepted $50,001 ‑ $100,000 Investment Fund, 74/121 9/13/2018 eFD: Annual Report for 2018 - Scott, Rick 8.68 Briarwood Capital Partners LP Investment Fund Fund Description: Private Investment Hedge Asset Vehicle (New York, New York)  Asset Type 8.69 Canyon Balanced Fund, L.P. Investment Fund Description: Private Investment Hedge Fund Vehicle (Los Angeles, California)  Spouse 8.70 Investment Fund Engine Capital, LP Description: Private Investment Hedge Fund Vehicle (New York, New York)  Spouse 8.71 Highline Capital Partners QP, Investment Fund Hedge Fund LP Description: Private Investment Vehicle (New York, New York)  Spouse 8.72 Investment Fund Moab Partners, L.P. Description: Private Investment Hedge Fund Partnership (New York, New York)  Spouse https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Excepted $100,001 ‑ $1,000,000 Income Investment Type Income Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, Dividends, $100,001 ‑ $1,000,000 Capital Gains, Excepted $15,001 ‑ $50,000 Investment Fund, None, None (or less than $201) 75/121 9/13/2018 8.73 Investment Fund Nokomis Capital Partners, Hedge Fund L.P. Asset Description: Private Investment Asset Type Vehicle (Dallas, Texas)  8.74 Overlook Partners Fund, L.P. Investment Fund Description: Private Investment Hedge Fund Vehicle (Hong Kong, N/A)  8.75 California Pollution Control Authority Bond Rate/Coupon: 0.84% Matures: 11/01/2026 Filer comment: No longer held Clackamas County Oregon School District Bond Rate/Coupon: 5.0% Matures: 06/15/2017 Filer comment: No longer held Colorado State Educational Loan Bond Rate/Coupon: 5.0% Matures: 06/29/2017 Filer comment: No longer held Derry Township Pennsylvania Indl & Commercial Dev Revenue Bond Rate/Coupon: 0.63% ‑ Variable Matures: 11/01/2030 Filer comment: No longer held 8.76 8.77 8.78 eFD: Annual Report for 2018 - Scott, Rick Excepted $15,001 ‑ $50,000 Income Investment Type Income Fund, Government Securities Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Excepted $100,001 ‑ $1,000,000 Investment Fund, 76/121 9/13/2018 8.79 8.80 8.81 8.82 8.83 8.84 8.85 Dutchess County New York Indl AssetDev Agency Revenue Bond Rate/Coupon: 0.24% ‑ Variable Matures: 07/01/2038 Filer comment: No longer held Forsyth Montana Pollution Control Revenue Bond Rate/Coupon: 0.77% ‑ Variable Matures: 01/01/2018 Filer comment: No longer held Framingham Massachusetts BANS Bond Rate/Coupon: 1.75% Matures: 12/08/2017 Filer comment: No longer held Illinois State Financial Auth Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2017 Filer comment: No longer held Indiana ST Fin Auth Environmental Bond Rate/Coupon: 0.2% ‑ Variable Matures: 10/01/2040 Filer comment: No longer held Irvine California Impt Bd Act 1915 Loc Muni Bond Rate/Coupon: 0.93% Matures: 09/02/2023 Filer comment: No longer held Jackson County Mississippi Port Fac Muni Bond Rate/Coupon: 0.96% ‑ Variable Matures: 06/01/2023 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $201 ‑ $1,000 Income Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 77/121 9/13/2018 8.86 8.87 8.88 8.89 8.90 King County Washington Hsg Auth Bond Asset Var‑Ref‑Pooled Rate/Coupon: 0.75% ‑ Variable Matures: 07/01/2035 Filer comment: No longer held Maryland State Hlth & Higher Educational Facilities Revenue Bond Rate/Coupon: 0.45% ‑ Variable Matures: 07/01/2041 Filer comment: No longer held Massachusetts State Revenue Antic Nts Bond Rate/Coupon: 4.0% Matures: 07/01/2017 Filer comment: No longer held Massachusetts State Health Muni Bond Rate/Coupon: See note Matures: See note Filer comment: Combines bonds with rates ranging from 0.22% (variable) to 5.5% (fixed); maturity dates ranging from 07/01/2026‑08/15/2040; no longer held. Massachusetts State Water Resource Auth Bond Rate/Coupon: 0.9% ‑ Variable Matures: 08/01/2020 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $2,501 ‑ $5,000 Income Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 78/121 9/13/2018 8.91 8.92 8.93 8.94 8.95 Metropolitan Transportation Authority of New York Asset Bond Revenue Rate/Coupon: See note Matures: See note Filer comment: Combines bonds with rates from 0.24% (variable) to 2.0% (fixed); maturity dates ranging from 08/01/2017‑011/15/2045; no longer held Metropolitan Washington DC Airports Auth Revenue Bond Rate/Coupon: 0.94% ‑ Variable Matures: 10/01/2039 Filer comment: No longer held Milford Connecticut BANS Bond Rate/Coupon: 2.0% Matures: 11/06/2017 Filer comment: No longer held Minnesota ST Agriculture Muni Bond Rate/Coupon: 0.75% ‑ Variable Matures: 09/01/2021 Filer comment: No longer held Mississippi State Business Finance Corp Gulf Opportunity Zone Bond Rate/Coupon: 0.24% ‑ Variable Matures: 12/01/2030 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 79/121 9/13/2018 Missouri State Health & Educational Facilities Revenue Asset Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates from 0.89% (variable)‑5.375% (fixed); maturity dates ranging from 10/01/2024‑03/15/2039; no longer held 8.97 Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 3.9% Matures: 07/01/2034 Filer comment: No longer held 8.98 Nantucket Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/30/2017 Filer comment: No longer held 8.99 Needham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/01/2017 Filer comment: No longer held 8.100 New York NY Muni Bond Rate/Coupon: See note Matures: See note Filer comment: Combines bonds with rates from 0.51% (variable) to 0.87% (fixed); maturity dates ranging from 08/01/2036‑04/01/2042; no longer held 8.96 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $50,001 ‑ $100,000 Income Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 80/121 9/13/2018 8.101 8.102 8.103 8.104 8.105 New York City NY Transition Fin Revenue Bond AssetAuth Bldg See Rate/Coupon: note Matures: See note Filer comment: Combines multiple bonds with rates between 0.3%‑0.72% (variable); maturity dates of 08/01/2039‑ 08/01/2043; no longer held New York City NY Muni Water Fin Auth Wtr & Sewer Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates between 0.01‑0.3% (variable); maturity dates of 06/15/2045‑ 06/15/2050; no longer held New York State Dorm Auth Revenue Bond Rate/Coupon: 0.74% ‑ Variable Matures: 07/01/2031 New York ST Hsg Fin Agy Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates between 0.03%‑2.792% (variable); maturity dates of 05/01/2042‑11/01/2046; no longer held Nodaway County Missouri Indl Dev Auth Revenue Bond Rate/Coupon: 0.2% ‑ Variable Matures: 11/01/2028 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 81/121 9/13/2018 8.106 San Antonio Texas Independent Sch Dist Bond Asset Rate/Coupon: 2.0% Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $1,001 ‑ $2,500 Income 8.107 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 8.108 8.109 8.110 8.111 8.112 Matures: 08/01/2044 Filer comment: No longer held Triborough NY Bridge & Tunnel Auth Revenue Bond Rate/Coupon: 0.34% ‑ Variable Matures: 01/01/2033 Filer comment: No longer held Valdez Alaska Marine Terminal Bond Rate/Coupon: 0.88% ‑ Variable Matures: 12/01/2029 Filer comment: No longer held Wisconsin ST Health & Educational Facilities Revenue Bond Rate/Coupon: 0.48% ‑ Variable Matures: 07/15/2028 Filer comment: No longer held Charleston County South Carolina School District Muni Bond Rate/Coupon: 2.0% Matures: 11/16/2017 Filer comment: No longer held Fulton County Georgia General Fund ‑ Tax Antic Nts Bond Rate/Coupon: 2.0% Matures: 12/29/2017 Filer comment: No longer held Los Angeles California G.O. Bond Rate/Coupon: 3.0% Matures: 06/29/2017 Filer comment: No longer held Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 82/121 9/13/2018 Salt Lake County Utah Tax & Rev Bond AssetAntic Nts 2.0% Rate/Coupon: Matures: 12/28/2017 Filer comment: No longer held 8.114 Westborough Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 08/11/2017 Filer comment: No longer held 8.115 Rimrock High Income Plus (QP) Fund, L.P. Description: Private Investment Partnership (Irvine, California)  Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Investment Fund None (or less than $201) Tuscaloosa County Alabama Muni Bond Rate/Coupon: 0.75% ‑ Variable Matures: 04/01/2028 Filer comment: No longer held 8.117 Alaska ST International Airports Revenue Bond Rate/Coupon: 0.73% ‑ Variable Matures: 10/01/2030 Filer comment: No longer held 8.118 Arizona ST Health Facilities Auth Revenue Bond Rate/Coupon: 5.375% Matures: 01/01/2032 Filer comment: No longer held 8.119 Ohio ST G.O. Bond Rate/Coupon: 5.0% Matures: 09/01/2020 Filer comment: No longer held Government Securities Spouse Over None, $1,000,000 and held independently by spouse or dependent child Spouse None (or less Interest, than $1,001) Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 8.113 8.116 Security Municipal Security Hedge Fund Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ $2,501 ‑ $5,000 83/121 9/13/2018 8.120 8.121 8.122 8.123 8.124 8.125 8.126 Delaware Valley PA Regional Financial Bond Asset Revenue Rate/Coupon: 1.6% ‑ Variable Matures: 06/01/2042 Filer comment: No longer held Gallatin Tennessee Water & Sewer Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2033 Filer comment: No longer held Houston Texas Independent School District Ltd Tax‑ Schoolhouse Bond Rate/Coupon: 2.25% Matures: 02/15/2018 Filer comment: No longer held Wisconsin State Environmental Impact Fund Revenue Bond Rate/Coupon: 3.0% Matures: 06/01/2018 Filer comment: No longer held Albany County NY BANS Bond Rate/Coupon: 4.0% Matures: 05/24/2018 Filer comment: No longer held Delaware Valley PA Regional Financial Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 06/01/2042 Filer comment: No longer held Richardson Texas Independent School District Building Bond Rate/Coupon: 3.0% Matures: 02/15/2018 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 84/121 9/13/2018 8.127 8.128 8.129 8.130 8.131 8.132 8.133 Lexington Massachusetts BANS Asset Bond 2.0% Rate/Coupon: Matures: 02/16/2018 Filer comment: No longer held Granite Utah School District Salt Lake County Muni Bond Rate/Coupon: 4.0% Matures: 06/01/2018 Filer comment: No longer held Portsmouth New Hampshire Muni Bond Rate/Coupon: 3.0% Matures: 06/22/2018 Filer comment: No longer held Arizona ST Health Facilities Auth Revenue Bond Rate/Coupon: 5.375% Matures: 01/01/2032 Filer comment: No longer held Minnesota Public Facilities Auth Clean Water Muni Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Massachusetts State G.O. Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds ranging from 2.0%‑4.0%; maturity dates from 4/23/18‑6/01/2018; no longer held Hingham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 05/17/2018 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 85/121 9/13/2018 8.134 Beacon NY BANS Bond Rate/Coupon: 2.0% Asset 05/25/2018 Matures: Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income 8.135 Government Securities Spouse None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 8.136 8.137 8.138 8.139 8.140 Filer comment: No longer held Somerville Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 06/08/2018 Filer comment: No longer held Williamsville New York Central School District BANS Bond Rate/Coupon: 2.25% Matures: 06/13/2018 Filer comment: No longer held Plymouth Massachusetts Muni Bond Rate/Coupon: 2.0% Matures: 06/15/2018 Filer comment: No longer held Colorado State General Fund Revenue TANS Bond Rate/Coupon: 4.0% Matures: 06/27/2018 Filer comment: No longer held Middle Country NY Central School District Bond Rate/Coupon: 2.0% Matures: 06/27/2018 Filer comment: No longer held Manhasset NY Union Free Tax Antic Nts Bond Rate/Coupon: 2.0% Matures: 06/29/2018 Filer comment: No longer held Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 86/121 9/13/2018 8.141 8.142 8.143 8.144 8.145 8.146 Colorado State Educational Loan Asset Bond 4.0% Rate/Coupon: Matures: 06/27/2018 Filer comment: No longer held E Baton Rouge Parish Louisiana Muni Bond Rate/Coupon: 1.6% ‑ Variable Matures: 12/01/2040 Filer comment: No longer held Guttenberg New Jersey Muni Bond Rate/Coupon: 2.5% Matures: 06/18/2018 Filer comment: No longer held Illinois State Financial Auth Revenue Bond Rate/Coupon: See note Matures: See note Filer comment: Combines multiple bonds with rates from 0.89%‑1.12% (variable); maturity dates of 08/01/2043‑ 08/01/2044; no longer held Iowa Higher Ed LN Auth Revenue Bond Rate/Coupon: 1.6% ‑ Variable Matures: 10/01/2024 Filer comment: No longer held Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 1.16% ‑ Variable Matures: 11/01/2035 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 87/121 9/13/2018 Oregon St Health & Science Muni Asset Bond 1.1% ‑ Variable Rate/Coupon: Matures: 07/01/2042 Filer comment: No longer held 8.148 Willoughby Ohio Muni Bond Rate/Coupon: 2.25% Matures: 05/24/2018 Filer comment: No longer held 8.149 Pershing Advisor Solutions ‑ BNY Mellon (New York, NY) Type: Money Market Account, 8.147 9 9.1 9.2 9.3 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $201 ‑ $1,000 Income Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Bank Deposit Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $50,001 ‑ $100,000 Bank Deposit Spouse $100,001 ‑ $250,000 $15,001 ‑ $50,000 Mutual Funds Spouse Over Dividends, $15,001 ‑ $50,000 $1,000,000 and held independently by spouse or dependent child Spouse Over Interest, $50,001 ‑ $100,000 $1,000,000 and held independently by spouse or dependent child Security Municipal Security F. Annette Scott Revocable Trust Merrill Lynch (Bank of America) (New York, NY) Type: Brokerage Sweep Account, BIF Money Fund Trust Oregon State Tax Antic Nts G.O. Bond Rate/Coupon: 5.0% Matures: 09/28/2018 Government Securities General Trust Stable Value Fund Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Interest, 88/121 9/13/2018 Bay Area Toll at California Bridge Bond Asset Revenue Rate/Coupon: 2.62% ‑ Variable Matures: 04/01/2036 Government Securities Asset Type Municipal 9.5 Bay Area Toll Auth California Revenue Bond Rate/Coupon: 2.36% ‑ Variable Matures: 11/01/2022 Government Securities 9.6 Los Angeles California Transportation Bond Rate/Coupon: 5.0% Matures: 06/28/2018 Morgan Stanley (Los Angeles, CA) Type: Brokerage Sweep Account, Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None FHLMC 30 Year Gold Rate/Coupon: None Matures: None Government Securities 9.4 9.7 9.8 9.9 9.10 eFD: Annual Report for 2018 - Scott, Rick Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse None (or less than $1,001) Interest, Income Type $15,001 ‑ $50,000 Income Interest, $15,001 ‑ $50,000 Interest, $100,001 ‑ $1,000,000 Bank Deposit Spouse $1,001 ‑ $15,000 Interest, None (or less than $201) Government Securities Spouse None (or less than $1,001) Interest, None (or less than $201) Government Securities Spouse $1,001 ‑ $15,000 Interest, None (or less than $201) Government Securities Spouse None (or less than $1,001) Interest, None (or less than $201) Security Municipal Security Municipal Security US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner 89/121 9/13/2018 9.11 9.12 9.13 9.14 9.15 9.16 9.17 Federal National Mortgage Assn Asset Pool None Rate/Coupon: Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Asset Type US eFD: Annual Report for 2018 - Scott, Rick Spouse $15,001 ‑ Owner $50,000 Value Interest, Income Type $201 ‑ $1,000 Income Government Securities Spouse $15,001 ‑ $50,000 Interest, None (or less than $201) Government Securities Spouse $1,001 ‑ $15,000 Interest, None (or less than $201) Government Securities Spouse $1,001 ‑ $15,000 Interest, None (or less than $201) Government Securities Spouse $1,001 ‑ $15,000 Interest, None (or less than $201) Government Securities Spouse $1,001 ‑ $15,000 Interest, None (or less than $201) Government Securities Spouse $15,001 ‑ $50,000 Interest, None (or less than $201) Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 90/121 9/13/2018 9.18 9.19 9.20 9.21 9.22 9.23 9.24 9.25 Government National Mortgage Pool Asset AssnNone Rate/Coupon: Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Illinois Fin A Revenue Bond Rate/Coupon: 5.375% Matures: 04/01/2044 Morgan Stanley Active Assets Govt Trust Lower Colorado River Auth Texas Revenue Bond Rate/Coupon: 4.0% Matures: 05/15/2019 California Muni Fin Auth Solid Waste District Revenue Bond Rate/Coupon: 2.0% ‑ Floating Matures: 12/01/2044 Canadian River Texas Municipal Water Auth Contract Revenue Bond Rate/Coupon: 5.0% Matures: 02/15/2025 Government Securities Asset Type US eFD: Annual Report for 2018 - Scott, Rick Spouse $1,001 ‑ Owner $15,000 Value Interest, Income Type None (or less than $201) Income Government Securities Spouse $15,001 ‑ $50,000 Interest, None (or less than $201) Government Securities Spouse $15,001 ‑ $50,000 Interest, None (or less than $201) Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $15,001 ‑ $50,000 Spouse $15,001 ‑ $50,000 None, None (or less than $201) Government Securities Spouse $1,001 ‑ $15,000 Interest, $2,501 ‑ $5,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $5,001 ‑ $15,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security Municipal Security Mutual Funds Stable Value Fund Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 91/121 9/13/2018 9.26 9.27 9.28 9.29 9.30 9.31 9.32 9.33 9.34 9.35 Texas A&M University Fd Bond Asset Rate/Coupon: 5.0% Matures: 07/01/2025 Black Belt Energy Gas Dist Algas Revenue Bond Rate/Coupon: 4.0% Matures: 08/01/2047 Massachusetts Water Res Auth General Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2028 Municipal Electric Auth Georgia Revenue Bond Rate/Coupon: 6.0% Matures: 01/01/2023 Seattle Washington Solid Waste Revenue Bond Rate/Coupon: 4.0% Matures: 06/01/2032 Hudson Yds Infrastructure Corp NY Revenue Bond Rate/Coupon: 5.0% Matures: 02/15/2029 California State Public Works Revenue Bond Rate/Coupon: 5.0% Matures: 10/01/2030 ARLP ‑ Alliance Resource Partners, L.P. AM ‑ Antero Midstream Partners LP FUN ‑ Cedar Fair, L.P. Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse $500,001 ‑ Owner $1,000,000 Value Interest, Income Type $50,001 ‑ $100,000 Income Government Securities Spouse $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $500,001 ‑ $1,000,000 Interest, $50,001 ‑ $100,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $100,001 ‑ $250,000 Interest, $1,001 ‑ $2,500 Government Securities Spouse $250,001 ‑ $500,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $250,001 ‑ $500,000 Interest, $5,001 ‑ $15,000 Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, $15,001 ‑ $50,000 Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, $5,001 ‑ $15,000 Corporate Securities Spouse $250,001 ‑ $500,000 Dividends, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 92/121 9/13/2018 DM ‑ Dominion Energy Midstream Partners, LP Asset ETE ‑ Energy Transfer Equity, L.P. EPD ‑ Enterprise Products Partners L.P. EQGP ‑ EQT GP Holdings, LP Corporate Securities Asset Type Stock Corporate Securities 9.42 EQM ‑ EQT Midstream Partners, LP NEP ‑ NextEra Energy Partners, LP NYLD ‑ NRG Yield, Inc. 9.43 OKE ‑ ONEOK, Inc. 9.44 SRE ‑ Sempra Energy 9.45 9.36 9.37 9.38 9.39 9.40 9.41 9.46 9.47 Stock eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Spouse $50,001 ‑ $100,000 Value $500,001 ‑ $1,000,000 Dividends, $5,001 ‑ $15,000 Income Type Income Dividends, $50,001 ‑ $100,000 Corporate Securities Spouse $250,001 ‑ $500,000 Dividends, $15,001 ‑ $50,000 Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, $5,001 ‑ $15,000 Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, $15,001 ‑ $50,000 Corporate Securities Spouse $250,001 ‑ $500,000 Dividends, $15,001 ‑ $50,000 Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, $2,501 ‑ $5,000 Corporate Securities Spouse $250,001 ‑ $500,000 Dividends, $15,001 ‑ $50,000 Corporate Securities Spouse $100,001 ‑ $250,000 Dividends, $5,001 ‑ $15,000 TRGP ‑ Targa Resources Corp. Corporate Securities Stock Corporate WGP ‑ Western Gas Equity Securities Partners, LP Stock Corporate WMB ‑ The Williams Securities Companies, Inc. Stock Spouse $100,001 ‑ $250,000 Dividends, $15,001 ‑ $50,000 Spouse $250,001 ‑ $500,000 Dividends, $15,001 ‑ $50,000 Spouse $100,001 ‑ $250,000 Dividends, $1,001 ‑ $2,500 Stock Stock Stock Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 93/121 9/13/2018 Pershing Advisor Solutions ‑ BNY AssetMellon (New York, NY) Type: Brokerage Sweep Account, 9.49 Pershing Advisors ‑ F. Annette Scott IRA 9.49.1 Pershing Treasury Account Fund ‑ PTA 9.49.2 OEF‑iShares S&P 100 ETF 9.48 9.50 9.51 9.52 9.53 9.54 Wells Fargo Bank, N.A. (Tallahassee, FL) Type: Checking, Mutual of Omaha Bank (Naples, FL) Type: Checking, Loan to Cathy Gellatly Debtor: Cathy Gellatly  Account Receivable from Pharmaca Investments, LLC Company: Pharmaca Investments, LLC (Rowayton, Connecticut)  Account Receivable from S&S Equity Partners I LLC Company: S&S Equity Partners I LLC (Rowayton, Connecticut)  Bank Deposit Asset Type eFD: Annual Report for 2018 - Scott, Rick None, Income Type None (or less than $201) Income Spouse $1,001 ‑ $15,000 None, None (or less than $201) Spouse $50,001 ‑ $100,000 None, None (or less than $201) Bank Deposit Spouse $50,001 ‑ $100,000 None, None (or less than $201) Bank Deposit Spouse $100,001 ‑ $250,000 None, None (or less than $201) Accounts Receivable Spouse $100,001 ‑ $250,000 Interest, $2,501 ‑ $5,000 Accounts Receivable Spouse $50,001 ‑ $100,000 None, None (or less than $201) Accounts Receivable Spouse $15,001 ‑ $50,000 None, None (or less than $201) Retirement Plans IRA Mutual Funds Stable Value Fund Mutual Funds Exchange Traded Fund/Note From an Individual From a Business From a Business https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse $15,001 ‑ Owner $50,000 Value Spouse 94/121 9/13/2018 9.55 AG Energy Partners II, L.P. Description: Private Investment Asset Partnership (New York, New York)  9.56 Investment Fund AG Super Fund, L.P. Description: Private Investment Private Equity Fund Partnership (New York, New York)  9.57 Investment Fund AJ I Gainline LLC Description: Private Investment Private Equity Fund Partnership (New York, New York)  Investment Fund Private Equity Asset Type Fund AJ 2 Elliott LLC Description: Private Investment Vehicle (New York, NY)  9.58.1 Ancora Catalyst SPV I L.P. Description: Private Investment Partnership (Cleveland, OH)  Investment Fund CAI Partners and Company IV L.P. Description: Private Investment Partnership (New York, New York)  Canyon Laurel Fund L.P. Description: Private Investment Partnership (Los Angeles, CA)  Investment Fund 9.58 9.59 9.60 Private Equity Fund Investment Fund Private Equity Fund Private Equity Fund Investment Fund Private Equity Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Excepted $100,001 ‑ $1,000,000 Income Investment Type Income Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, None, None (or less than $201) Spouse Over Dividends, $100,001 ‑ $1,000,000 $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ Excepted $50,001 ‑ $100,000 $1,000,000 Investment Fund, Spouse $500,001 ‑ $1,000,000 Excepted $15,001 ‑ $50,000 Investment Fund, 95/121 9/13/2018 9.61 G. Scott Capital Partners Description: Private Investment Asset Vehicle (Rowayton, Connecticut)  Investment Fund Private Equity Asset Type Fund 9.62 OVO Fund II, LLC Description: Private Investment Partnership (Los Altos, CA)  Pharmaca Investments, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Richard L. and F. Annette Scott Family Partnership Description: Private Investment Partnership (Naples, FL) Filer comment: Underlying assets disclosed elsewhere in this report RLSI‑EMIDA Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  S&S Debt Partners I, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  S&S Equity Partners I LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund 9.63 9.64 9.65 9.66 9.67 eFD: Annual Report for 2018 - Scott, Rick Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $100,001 ‑ $250,000 Dividends, Over $1,000,000 and held indepen‑ Income Interest, dently Type Incomeby spouse or dependent child None, None (or less than $201) Spouse $500,001 ‑ $1,000,000 None, None (or less than $201) Investment Fund Spouse $250,001 ‑ $500,000 Dividends, $100,001 ‑ $1,000,000 Capital Gains, Investment Fund Spouse $50,001 ‑ $100,000 None, None (or less than $201) Investment Fund Spouse $1,001 ‑ $15,000 Interest, $100,001 ‑ $1,000,000 Investment Fund Spouse Over Dividends, Over $1,000,000 and held indepen‑ $1,000,000 Interest, dently by spouse or dependent child and held independently by spouse or dependent child Private Equity Fund Investment Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner 96/121 9/13/2018 9.68 S&S Sports, LLC Description: Private Investment Asset Vehicle (Rowayton, Connecticut)  Investment Fund Private Equity Asset Type Fund 9.69 VSS Structured Capital III, L.P. Description: Private Investment Partnership (New York, NY)  Columbia Collier Management, LLC Company: Columbia Collier Management, LLC (Naples, Florida) Description: Company set up for purpose of ownership of airplane  Mesa Arizona Excise Tax Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2027 Filer comment: No longer held Washington State Health Care Facilities Auth Revenue Bond Rate/Coupon: 5.0% Matures: 10/01/2017 Filer comment: No longer held North Carolina ST Grant Antic Revenue Bond Rate/Coupon: 2.0% ‑ Variable Matures: 03/01/2023 Filer comment: No longer held Fremont California Unified School District Alameda County Rate/Coupon: 3.25% Matures: 08/01/2039 Filer comment: No longer held Investment Fund 9.70 9.71 9.72 9.73 9.74 Private Equity Fund Corporate Securities eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Dividends, Over $1,000,000 and held indepen‑ Income Interest, dently Type Incomeby spouse or dependent child Excepted $100,001 ‑ $1,000,000 Investment Fund, None (or less than $201) Government Securities Spouse Over None, $1,000,000 and held independently by spouse or dependent child Spouse None (or less Interest, than $1,001) Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Non‑Public Stock Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ $5,001 ‑ $15,000 97/121 9/13/2018 9.75 9.76 9.77 9.78 9.79 9.80 9.81 Seattle Washington Municipal Light Revenue Bond Asset & Power5.25% Rate/Coupon: Matures: 04/01/2020 Filer comment: No longer held San Diego California Unified School District Tax & Revenue Bond Rate/Coupon: 2.0% Matures: 06/30/2017 Filer comment: No longer held Pennsylvania State Turnpike Commission Muni Bond Rate/Coupon: Variable Matures: 12/01/2019 Filer comment: No longer held California State Public Works Revenue Bond Rate/Coupon: 5.25% Matures: 11/01/2027 Filer comment: No longer held District of Columbia G.O. Bond Rate/Coupon: 5.0% Matures: 06/01/2024 Filer comment: No longer held Bay Area Toll Auth California Toll Bridge Revenue Bond Rate/Coupon: Variable Matures: 04/01/2045 Filer comment: No longer held Bay Area Toll Auth California Toll Bridge Revenue Bond Rate/Coupon: Variable Matures: 04/01/2047 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $50,001 ‑ $100,000 Income Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 98/121 9/13/2018 9.82 9.83 9.84 9.85 9.86 9.87 9.88 Metropolitan Transportation Authority of New York Asset Bond Revenue Rate/Coupon: 5.0% Matures: 11/15/2023 Filer comment: No longer held Denver Colorado City & County Airport Revenue Bond Rate/Coupon: 5.25% Matures: 11/15/2026 Filer comment: No longer held Sales Tax Asset Receivable New York Bond Rate/Coupon: 5.0% Matures: 10/15/2025 Filer comment: No longer held Arizona State Transportation Board Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2022 Filer comment: No longer held Mesa Arizona Street & Highway Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2021 Filer comment: No longer held Alvin Texas Independent BE Muni Bond Rate/Coupon: 3.0% Matures: 02/15/2036 Filer comment: No longer held California State Variable Purpose Bond Rate/Coupon: 5.0 Matures: 09/01/2019 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse $15,001 ‑ $50,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse $15,001 ‑ $50,000 Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 99/121 9/13/2018 9.89 9.90 9.91 9.92 9.93 9.94 9.95 9.96 California St G.O. Bond Rate/Coupon: 5.25% Asset 09/01/2022 Matures: Filer comment: No longer held Chicago Airport BE Bond Rate/Coupon: 5.25% Matures: 01/01/2018 Filer comment: No longer held Chicago General BE Bond Rate/Coupon: 5.0% Matures: 01/01/2022 Filer comment: No longer held Grand Prairie Texas Independent School District Bond Rate/Coupon: 5.0% Matures: 02/15/2025 Filer comment: No longer held Connecticut State Spec Tax Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2020 Filer comment: No longer held Illinois ST Sales Tax & Revenue Bond Rate/Coupon: 5.0% Matures: 06/15/2021 Filer comment: No longer held Lower Alabama Gas Project Revenue Bond Rate/Coupon: 5.0% Matures: 09/01/2028 Filer comment: No longer held Massachusetts State BE Bond Rate/Coupon: 1.38% ‑ Variable Matures: 11/01/2019 Filer comment: No longer held Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $50,001 ‑ $100,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 100/121 9/13/2018 9.97 9.98 9.99 9.100 9.101 9.102 9.103 Massachusetts State BE Bond Rate/Coupon: 5.0% Asset 07/01/2026 Matures: Filer comment: No longer held Metropolitan Washington DC Airports Auth Revenue Bond Rate/Coupon: 5.0% Matures: 10/01/2019 Filer comment: No longer held Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2017 Filer comment: No longer held Michigan State Hospital Bond Rate/Coupon: 5.0% Matures: 11/01/2031 Filer comment: No longer held Milwaukee Wisconsin Metro Sewer District Bond Rate/Coupon: 5.25% Matures: 10/01/2021 Filer comment: No longer held New Mexico Mun Egy Acquisition Auth Gas Supply Revenue Bond Rate/Coupon: 1.27% ‑ Variable Matures: 11/01/2039 Filer comment: No longer held New York State Muni Bond Rate/Coupon: 5.0% Matures: 03/15/2027 Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $201 ‑ $1,000 Income Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Government Securities Spouse None (or less than $1,001) Interest, $201 ‑ $1,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $2,501 ‑ $5,000 Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 101/121 9/13/2018 9.104 New York City NY Transition Fin Revenue Bond AssetAuth Bldg 5.0% Rate/Coupon: Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $15,001 ‑ $50,000 Income 9.105 Government Securities Spouse None (or less than $1,001) Interest, $1,001 ‑ $2,500 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Government Securities Spouse None (or less than $1,001) Interest, $5,001 ‑ $15,000 Corporate Securities Spouse None (or less than $1,001) Dividends, $50,001 ‑ $100,000 Capital Gains, Government Securities Spouse None (or less than $1,001) Interest, 9.106 9.107 9.108 9.109 9.110 Matures: 07/15/2023 Filer comment: No longer held Port of Seattle Washington Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2026 Filer comment: No longer held San Antonio Texas Electric & Gas Revenue Bond Rate/Coupon: 4.75% Matures: 02/01/2028 Filer comment: No longer held Connecticut State Spec Tax Revenue Bond Rate/Coupon: 5.0% Matures: 09/01/2030 Filer comment: No longer held Triborough Bridge & Tunnel Auth New York Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2025 Filer comment: No longer held ENB‑Enbridge Inc. Filer comment: No longer held. A portion of the capital gains and all dividends were prior to an exchange for common stock of Spectra Energy Corp. Massachusetts State G.O. Bond Rate/Coupon: 1.413% ‑ Variable Matures: 05/21/2018 Filer comment: No longer held Security Municipal Security Municipal Security Municipal Security Municipal Security Stock Municipal Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ $5,001 ‑ $15,000 102/121 9/13/2018 9.111 9.112 9.113 9.114 9.115 9.116 Illinois Fin Auth Revenue Bond Rate/Coupon: 6.5% Asset 11/01/2038 Matures: Filer comment: No longer held Illinois State Sales Tax Revenue Bond Rate/Coupon: 5.0% Matures: 06/15/2021 Filer comment: No longer held AHGP ‑ Alliance Holdings GP, L.P. Filer comment: No longer held MPLX ‑ MPLX LP Filer comment: No longer held NSH ‑ NuStar GP Holdings, LLC Filer comment: No longer held Briarwood Capital Partners LP Description: Private Investment Partnership (New York, New York)  Government Securities Asset Type Municipal eFD: Annual Report for 2018 - Scott, Rick Spouse None (or less Owner than Value$1,001) Interest, Income Type $5,001 ‑ $15,000 Income Government Securities Spouse None (or less than $1,001) Interest, $15,001 ‑ $50,000 Corporate Securities Spouse None (or less than $1,001) Dividends, $15,001 ‑ $50,000 Corporate Securities Spouse None (or less than $1,001) Dividends, $5,001 ‑ $15,000 Corporate Securities Spouse None (or less than $1,001) Dividends, $15,001 ‑ $50,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted $100,001 ‑ $1,000,000 Investment Fund, Security Municipal Security Stock Stock Stock Investment Fund Hedge Fund 9.117 Canyon Balanced Fund, L.P. Investment Fund Description: Private Investment Hedge Fund Partnership (Los Angeles, California)  9.118 Investment Fund Elliott Associates, L.P. Description: Private Investment Hedge Fund Partnership (New York, New York)  https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Excepted Over $1,000,000 and held indepen‑ Investment dently by spouse or dependent child Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, 103/121 9/13/2018 eFD: Annual Report for 2018 - Scott, Rick 9.119 Investment Fund Engine Capital, LP Hedge Fund Description: Private Investment Asset Vehicle (New York, New York)  Asset Type 9.120 Highline Capital Partners QP, Investment Fund Hedge Fund LP Description: Private Investment Partnership (New York, New York)  Spouse 9.121 Investment Fund Mendon Capital QP LP Description: Private Investment Hedge Fund Partnership (Chicago, Illinois)  Spouse 9.122 Investment Fund Moab Partners, L.P. Description: Private Investment Hedge Fund Partnership (New York, New York)  Spouse 9.123 Investment Fund Nokomis Capital Partners, Hedge Fund L.P. Description: Private Investment Partnership (Dallas, Texas)  Spouse https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Over $1,000,000 Valueheld and independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Over $1,000,000 and held independently by spouse or dependent child Dividends, Over $1,000,000 and held indepen‑ Income Capital dently Type Incomeby spouse or dependent child Gains, Excepted $15,001 ‑ $50,000 Investment Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, None, None (or less than $201) Excepted $100,001 ‑ $1,000,000 Investment Fund, 104/121 9/13/2018 9.124 Overlook 3G Investments, L.P. Investment Fund Fund Description: Private Investment Hedge Asset Asset Type Vehicle (Hong Kong, N/A)  9.125 Overlook Partners Fund, L.P. Investment Fund Description: Private Investment Hedge Fund Vehicle (Hong Kong, N/A)  Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse $500,001 ‑ $1,000,000 Excepted $50,001 ‑ $100,000 Income Investment Type Income Fund, Investment Fund Spouse None (or less than $1,001) Excepted $100,001 ‑ $1,000,000 Investment Fund, Bank Deposit Spouse Over Interest, $1,000,000 and held independently by spouse or dependent child Spouse $50,001 ‑ None, $100,000 Fortress Secured Lending Fund I (A) LP Description: Private Investment Partnership (New York, NY)  9.127 JMB Capital Partners, L.P. Description: Private Investment Vehicle (Los Angeles, CA) Filer comment: No longer held 9.128 Pershing Advisor Solutions ‑ BNY Mellon (New York, NY) Type: Money Market Account, Investment Fund Dreyfus ‑ BNY Mellon (New York, NY) Type: Money Market Account, 9.130 G. Scott Holding, LLC Company: G. Scott Holding, LLC (Rowayton, CT) Description: Investment Management  Bank Deposit 9.126 9.129 eFD: Annual Report for 2018 - Scott, Rick Private Equity Fund Hedge Fund Corporate Securities Non‑Public Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Spouse $500,001 ‑ $1,000,000 Excepted $100,001 ‑ $1,000,000 Investment Fund, Excepted $15,001 ‑ $50,000 Investment Fund, $50,001 ‑ $100,000 None (or less than $201) Dividends, $2,501 ‑ $5,000 105/121 9/13/2018 9.131 10 10.1 10.2 10.3 10.4 10.5 10.6 Fulton Chain Acquisition LLC Description: Private Investment Asset Partnership (Rowayton, CT)  Richard L. And F. Annette Scott Family Partnership, Ltd. Company: Richard L. And F. Annette Scott Family Partnership, Ltd. (Naples, Florida) Description: Investment Limited Partnership  Morgan Stanley (Los Angeles, CA) Type: Brokerage Sweep Account, Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Neuberger Berman (New York, NY) Type: Brokerage Sweep Account, Investment Fund Private Equity Asset Type Fund Business Entity eFD: Annual Report for 2018 - Scott, Rick Spouse $1,001 ‑ Owner $15,000 Value Spouse None, Income Type None (or less than $201) Income Bank Deposit Spouse $1,001 ‑ $15,000 Interest, None (or less than $201) Government Securities Spouse None (or less than $1,001) Interest, None (or less than $201) Government Securities Spouse None (or less than $1,001) Interest, None (or less than $201) Government Securities Spouse None (or less than $1,001) None, None (or less than $201) Government Securities Spouse $15,001 ‑ $50,000 Interest, $1,001 ‑ $2,500 Bank Deposit Spouse None (or less than $1,001) None, None (or less than $201) Limited Partnership (LP) US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 106/121 9/13/2018 10.7 10.8 10.9 10.10 10.11 10.12 Pershing Advisor Solutions ‑ BNY AssetMellon (New York, NY) Type: Brokerage Sweep Account, WTT‑Wireless Telecom Group, Inc. Bank Deposit Asset Type Spouse $1,001 ‑ Owner $15,000 Value Spouse Over $1,000,000 and held Stock independently by spouse or dependent child Accounts Spouse Over Account Receivable from Receivable $1,000,000 Nokomis Capital Partners, and held From a Business L.P. independently Company: Nokomis Capital by spouse or Partners, L.P. (Dallas, Texas)  dependent child Investment Fund Spouse Over AG Super Fund, L.P. $1,000,000 Description: Private Investment Private Equity and held Fund Partnership (New York, NY)  independently by spouse or dependent child Investment Fund Spouse Over G. Scott Capital Partners $1,000,000 Description: Private Investment Private Equity and held Fund Vehicle (Rowayton, independently Connecticut)  by spouse or dependent child Pharmaca Investments, LLC Investment Fund Spouse $250,001 ‑ $500,000 Description: Private Investment Private Equity Vehicle (Rowayton, Connecticut)  Corporate Securities eFD: Annual Report for 2018 - Scott, Rick Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ None, Income Type None (or less than $201) Income None, None (or less than $201) None, None (or less than $201) Excepted $50,001 ‑ $100,000 Investment Fund, Dividends, Over $1,000,000 and held indepen‑ Interest, dently by spouse or dependent child None, None (or less than $201) 107/121 9/13/2018 RLSI‑CSP Capital Partners, LLC Asset Description: Private Investment Vehicle (Rowayton, CT)  Investment Fund Private Equity Asset Type Fund RLSI‑EMIDA Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  10.15 S&S Equity Partners I LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund 10.13 10.14 10.16 Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse $15,001 ‑ $50,000 Capital Income Gains, Type Over $1,000,000 and held indepen‑ dently Incomeby spouse or dependent child None, None (or less than $201) Dividends, Over $1,000,000 and held indepen‑ Interest, dently by spouse or dependent child Corporate Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Dividends, $50,001 ‑ $100,000 Corporate Securities Spouse None (or less than $1,001) Dividends, $2,501 ‑ $5,000 Private Equity Fund Investment Fund Private Equity Fund Investment Fund S&S Sports, LLC Description: Private Investment Private Equity Fund Vehicle (Rowayton, Connecticut)  ENB ‑ Enbridge Inc. Filer comment: No longer held. A portion of the capital gains and all dividends were prior to an exchange for common stock of Spectra Energy Corp. 10.18 OKE ‑ ONEOK, Inc. Filer comment: No longer held 10.19 AHGP ‑ Alliance Holdings GP, L.P. Filer comment: No longer held 10.17 eFD: Annual Report for 2018 - Scott, Rick Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner Dividends, Over $1,000,000 and held indepen‑ Interest, dently by spouse or dependent child Dividends, $15,001 ‑ $50,000 Capital Gains, 108/121 9/13/2018 10.20 10.21 10.22 10.23 10.24 10.25 10.26 10.27 10.28 10.29 10.30 10.31 AM ‑ Antero Midstream Partners LP Assetcomment: Filer No longer held DM ‑ Dominion Energy Midstream Partners, LP Filer comment: No longer held ETE ‑ Energy Transfer Equity, L.P. Filer comment: No longer held EPD‑Enterprise Products Partners L.P. Filer comment: No longer held EQGP ‑ EQT GP Holdings, LP Filer comment: No longer held EQM ‑ EQT Midstream Partners, LP Filer comment: No longer held MPLX ‑ MPLX LP Filer comment: No longer held NEP ‑ NextEra Energy Partners, LP Filer comment: No longer held SRE ‑ Sempra Energy Filer comment: No longer held TRGP ‑ Targa Resources Corp. Filer comment: No longer held WGP ‑ Western Gas Equity Partners, LP Filer comment: No longer held WMB ‑ The Williams Companies, Inc. Filer comment: No longer held Corporate Securities Asset Type Stock Corporate Securities Stock eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Spouse None (or less than Value$1,001) None (or less than $1,001) Dividends, $2,501 ‑ $5,000 Income Capital Type Income Gains, Dividends, $1,001 ‑ $2,500 Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Dividends, $1,001 ‑ $2,500 Corporate Securities Spouse None (or less than $1,001) Dividends, $2,501 ‑ $5,000 Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Dividends, $50,001 ‑ $100,000 Capital Gains, Dividends, $2,501 ‑ $5,000 Capital Gains, Dividends, $2,501 ‑ $5,000 Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Stock Stock Stock Stock Stock Stock Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Dividends, $50,001 ‑ $100,000 Capital Gains, Dividends, $15,001 ‑ $50,000 Capital Gains, Dividends, $1,001 ‑ $2,500 Dividends, $5,001 ‑ $15,000 Capital Gains, Dividends, $201 ‑ $1,000 109/121 9/13/2018 ASYS ‑ Amtech Systems, Inc. Filer Assetcomment: No longer held 10.33 NSH ‑ NuStar GP Holdings, LLC Filer comment: No longer held 10.34 ABT ‑ Abbott Laboratories Filer comment: No longer held 10.35 GOOGL ‑ Alphabet Inc. 10.32 10.36 10.37 10.38 10.39 10.40 10.41 10.42 AAPL ‑ Apple Inc. Filer comment: No longer held BAC ‑ Bank of America Corporation Filer comment: No longer held FUN ‑ Cedar Fair, L.P. Filer comment: No longer held CCI ‑ Crown Castle International Corp. (REIT) Filer comment: No longer held COMM ‑ CommScope Holding Company, Inc. Filer comment: No longer held DVY‑iShares Select Dividend ETF Filer comment: No longer held GILD ‑ Gilead Sciences, Inc. Filer comment: No longer held Corporate Securities Asset Type Stock Corporate Securities Stock eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Spouse None (or less than Value$1,001) None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Stock Stock Stock Stock Stock Stock Stock Mutual Funds Exchange Traded Fund/Note Corporate Securities Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse None (or less than $1,001) Spouse None (or less than $1,001) Capital Income Gains, Type Capital Gains, $100,001 ‑ $1,000,000 Income $5,001 ‑ $15,000 Dividends, $15,001 ‑ $50,000 Capital Gains, Capital $50,001 ‑ $100,000 Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Excepted Investment Fund, $100,001 ‑ $1,000,000 $50,001 ‑ $100,000 $100,001 ‑ $1,000,000 $5,001 ‑ $15,000 $15,001 ‑ $50,000 $15,001 ‑ $50,000 Dividends, $50,001 ‑ $100,000 Capital Gains, 110/121 9/13/2018 eFD: Annual Report for 2018 - Scott, Rick 10.43 GSPKX ‑ Goldman Sachs US Eq Div and Prem Instl Asset Filer comment: No longer held Mutual Funds Mutual Fund Asset Type 10.44 HASI ‑ Hannon Armstrong Corporate Securities Spouse None (or less than $1,001) 10.45 Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) 10.46 10.47 10.48 Sustainable Infrastructure Capita Filer comment: No longer held JNJ ‑ Johnson & Johnson Filer comment: No longer held MSFT ‑ Microsoft Corporation Filer comment: No longer held PNC ‑ The PNC Financial Services Group, Inc. Filer comment: No longer held KBWB ‑ Invesco KBW Bank ETF Filer comment: No longer held 10.49 LLDYX ‑ Lord Abbett Short Duration Income I Filer comment: No longer held 10.50 PPA ‑ Invesco Aerospace & Defense ETF Filer comment: No longer held C ‑ Citigroup Inc. Filer comment: No longer held 10.52 UTG ‑ Reaves Utility Income Fund Filer comment: No longer held 10.51 Stock Stock Stock Stock Mutual Funds Exchange Traded Fund/Note Spouse None (or less Owner than Value$1,001) Spouse None (or less than $1,001) Mutual Funds Mutual Fund Spouse None (or less than $1,001) Mutual Funds Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Exchange Traded Fund/Note Stock Mutual Funds Exchange Traded Fund/Note https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse None (or less than $1,001) Capital $15,001 ‑ $50,000 Income Gains, Type Income Excepted Investment Fund, Dividends, $2,501 ‑ $5,000 Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Capital Gains, Excepted Investment Fund, Excepted Investment Fund, Capital Gains, Excepted Investment Fund, Dividends, Capital Gains, Excepted Investment Fund, $50,001 ‑ $100,000 $100,001 ‑ $1,000,000 $15,001 ‑ $50,000 $50,001 ‑ $100,000 $5,001 ‑ $15,000 $15,001 ‑ $50,000 $2,501 ‑ $5,000 $5,001 ‑ $15,000 111/121 9/13/2018 CAT ‑ Caterpillar Inc. Filer Assetcomment: No longer held 10.54 EMR ‑ Emerson Electric Co. Filer comment: No longer held 10.55 EOG ‑ EOG Resources, Inc. Filer comment: No longer held 10.56 EWJ‑iShares MSCI Japan ETF Filer comment: No longer held 10.53 10.57 10.58 10.59 10.60 10.61 10.62 10.63 10.64 KEM ‑ KEMET Corporation Filer comment: No longer held KEY ‑ KeyCorp Filer comment: No longer held LMT ‑ Lockheed Martin Corporation Filer comment: No longer held MMP ‑ Magellan Midstream Partners, L.P. Filer comment: No longer held Mitsubishi UFJ Financial Group Inc. ‑ MTU Filer comment: No longer held RILY ‑ B. Riley Financial, Inc. Filer comment: No longer held RTN ‑ Raytheon Company Filer comment: No longer held VICI ‑ VICI Properties Inc. Filer comment: No longer held Corporate Securities Asset Type Stock Corporate Securities Stock Corporate Securities Stock Mutual Funds Exchange Traded Fund/Note eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Spouse None (or less than Value$1,001) None (or less than $1,001) Spouse None (or less than $1,001) Spouse None (or less than $1,001) Dividends, Income Capital Type Gains, Dividends, Capital Gains, Dividends, Capital Gains, Excepted Investment Fund, $2,501 ‑ $5,000 Income $1,001 ‑ $2,500 $201 ‑ $1,000 $2,501 ‑ $5,000 Corporate Securities Spouse None (or less than $1,001) Capital Gains, $2,501 ‑ $5,000 Corporate Securities Spouse None (or less than $1,001) $2,501 ‑ $5,000 Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) American Depository Receipt Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Stock Stock Stock Stock Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse None (or less than $1,001) $5,001 ‑ $15,000 $5,001 ‑ $15,000 $2,501 ‑ $5,000 $2,501 ‑ $5,000 $15,001 ‑ $50,000 $201 ‑ $1,000 112/121 9/13/2018 10.65 10.66 10.67 10.68 10.69 10.70 10.71 10.72 10.73 WMB ‑ The Williams Companies, Inc. Assetcomment: Filer No longer held CB ‑ Chubb Limited Filer comment: No longer held CABO ‑ Cable One, Inc. Filer comment: No longer held GS ‑ The Goldman Sachs Group, Inc. Filer comment: No longer held MMC ‑ Marsh & McLennan Companies, Inc. Filer comment: No longer held NVGS‑Navigator Holdings Ltd. Filer comment: No longer held PFE ‑ Pfizer Inc. Filer comment: No longer held Canyon Balanced Fund, L.P. Description: Private Investment Vehicle (Los Angeles, California)  Corporate Securities Asset Type Stock Corporate Securities Stock eFD: Annual Report for 2018 - Scott, Rick Spouse Owner Spouse None (or less than Value$1,001) None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Corporate Securities Spouse None (or less than $1,001) Stock Stock Stock Stock Stock Investment Fund Hedge Fund Investment Fund Engine Capital, LP Description: Private Investment Hedge Fund Vehicle (New York, New York)  https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Dividends, $201 ‑ $1,000 Income Type Income Capital $201 ‑ $1,000 Gains, Dividends, Capital Gains, Dividends, Capital Gains, Dividends, Capital Gains, Capital Gains, $5,001 ‑ $15,000 $15,001 ‑ $50,000 $1,001 ‑ $2,500 $15,001 ‑ $50,000 Dividends, $50,001 ‑ $100,000 Capital Gains, Excepted $100,001 ‑ $1,000,000 Investment Fund, Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over Dividends, $100,001 ‑ $1,000,000 $1,000,000 Capital and held Gains, independently by spouse or dependent child 113/121 9/13/2018 Nokomis Capital Partners, L.P. Asset Description: Private Investment Vehicle (Dallas, Texas)  10.75 Overlook 3G Investments, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  10.76 Overlook Partners Fund, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  10.74 10.77 Spouse $50,001 ‑ Owner $100,000 Value Excepted $50,001 ‑ $100,000 Income Investment Type Income Fund, Investment Fund Spouse $250,001 ‑ $500,000 Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse Over $1,000,000 and held independently by spouse or dependent child Spouse None (or less than $1,001) Excepted $15,001 ‑ $50,000 Investment Fund, Excepted $100,001 ‑ $1,000,000 Investment Fund, Hedge Fund Hedge Fund Investment Fund Rimrock High Income Plus Hedge Fund (QP) Fund, L.P. Description: Private Investment Vehicle (Irvine, California)  Account Receivable from S&S Equity Partners I, LLC Company: S&S Equity Partners I, LLC (Naples, FL)  10.79 GQETX ‑ GMO Quality III Filer comment: No longer held 10.80 JMB Capital Partners, L.P. Description: Private Investment Vehicle (Los Angeles, CA) Filer comment: No longer held 10.81 S&S Debt Partners I, LLC Description: Private Investment Vehicle (Rowayton, CT)  10.78 Investment Fund Hedge Fund Asset Type eFD: Annual Report for 2018 - Scott, Rick Accounts Receivable From a Business Mutual Funds Mutual Fund Spouse None (or less than $1,001) Investment Fund Hedge Fund Spouse None (or less than $1,001) Investment Fund Spouse None (or less than $1,001) Private Equity Fund https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Excepted $100,001 ‑ $1,000,000 Investment Fund, Interest, $100,001 ‑ $1,000,000 Excepted $100,001 ‑ $1,000,000 Investment Fund, Excepted $15,001 ‑ $50,000 Investment Fund, Interest, $100,001 ‑ $1,000,000 114/121 9/13/2018 10.82 Pershing Advisor Solutions ‑ BNY AssetMellon (New York, NY) Type: Money Market Account, Bank Deposit Asset Type 10.83 Bank Deposit 13.2 Dreyfus ‑ BNY Mellon (New York, NY) Type: Money Market Account, Wells Fargo Bank, N.A. (Tallahassee, FL) Type: Checking, Mutual of Omaha Bank (Naples, FL) Type: Checking, Pershing Advisor Solutions LLC IRA Pershing Advisor Solutions ‑ BNY Mellon (New York, NY) Type: Brokerage Sweep Account, AAPL‑Apple Inc. 13.3 ABT‑Abbott Laboratories 13.4 11 12 13 13.1 13.5 eFD: Annual Report for 2018 - Scott, Rick Over $1,000,000 Valueheld and independently by spouse or dependent child Spouse None (or less than $1,001) Interest, Income Type $5,001 ‑ $15,000 Income None, None (or less than $201) Bank Deposit Self $15,001 ‑ $50,000 None, None (or less than $201) Bank Deposit Self $50,001 ‑ $100,000 None, None (or less than $201) Retirement Plans Self Bank Deposit Self $100,001 ‑ $250,000 None, None (or less than $201) Corporate Securities Self $15,001 ‑ $50,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) AMAT‑Applied Materials, Inc. Corporate Securities Stock Corporate BAC‑Bank of America Securities Corporation Stock Self $1,001 ‑ $15,000 None, None (or less than $201) Self $15,001 ‑ $50,000 None, None (or less than $201) IRA Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Spouse Owner 115/121 9/13/2018 13.6 C‑Citigroup Inc. 13.7 CAT‑Caterpillar Inc. Asset CCI‑Crown Castle International Corp. (REIT) 13.9 CDEV‑Centennial Resource Development, Inc. 13.10 COMM‑CommScope Holding Company, Inc. 13.11 CVX‑Chevron Corporation 13.8 13.12 EGN‑Energen Corporation 13.13 DVY‑iShares Select Dividend ETF 13.14 EMR‑Emerson Electric Co. 13.15 EOG‑EOG Resources, Inc. 13.16 FUN‑Cedar Fair, L.P. Corporate Securities Asset Type Stock Corporate Securities eFD: Annual Report for 2018 - Scott, Rick Self Owner Self $15,001 ‑ $50,000 Value $1,001 ‑ $15,000 None, Income Type None, None (or less than $201) Income None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self $15,001 ‑ $50,000 None, None (or less than $201) Stock Stock Stock Stock Stock Stock Mutual Funds Exchange Traded Fund/Note Stock Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 116/121 9/13/2018 13.17 13.18 GDX‑VanEck Vectors Gold Miners Asset ETF Mutual Funds Exchange Asset Type Traded GILD‑Gilead Sciences, Inc. HASI‑Hannon Armstrong Sustainable Infrastructure Capita 13.20 GLD ‑ SPDR Gold Shares 13.19 13.21 13.22 13.23 13.24 13.25 13.26 13.27 13.28 GOOGL‑Alphabet Inc. eFD: Annual Report for 2018 - Scott, Rick Self $1,001 ‑ Owner $15,000 Value None, Income Type None (or less than $201) Income Corporate Securities Self $15,001 ‑ $50,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Self $15,001 ‑ $50,000 None, None (or less than $201) Self None, None (or less than $201) Self $15,001 ‑ $50,000 $15,001 ‑ $50,000 None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Self $15,001 ‑ $50,000 $1,001 ‑ $15,000 None, None (or less than $201) None, None (or less than $201) Fund/Note Stock Stock Mutual Funds Exchange Traded Fund/Note Corporate Securities Stock GSPKX‑Goldman Sachs US Eq Mutual Funds Mutual Fund Div and Prem Instl Corporate JNJ‑Johnson & Johnson Securities Stock Corporate KEM‑KEMET Corporation Securities Stock Corporate KEY‑KeyCorp Securities Stock Corporate KMT‑Kennametal Inc. Securities Stock Mutual Funds LLDYX‑Lord Abbett Short Mutual Fund Duration Income I Corporate LMT‑Lockheed Martin Securities Corporation Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Self 117/121 9/13/2018 MMP‑Magellan Midstream Partners, Asset L.P. 13.30 MSFT‑Microsoft Corporation Corporate Securities Asset Type Stock Corporate Securities PNC‑The PNC Financial Services Group, Inc. 13.32 PPA‑Invesco Aerospace & Defense ETF Corporate Securities 13.29 13.31 Pershing Treasury Account ‑ PTA 13.34 RTN‑Raytheon Company 13.33 13.35 SLV ‑ iShares Silver Trust Taiwan Semiconductor Mfg Co. ‑ TSM 13.37 UTG‑Reaves Utility Income Fund 13.36 13.38 VICI‑VICI Properties Inc. 13.39 WGP‑Western Gas Equity Partners, LP eFD: Annual Report for 2018 - Scott, Rick Self Owner Self $15,001 ‑ $50,000 Value $15,001 ‑ $50,000 None, Income Type None, None (or less than $201) Income None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Self $15,001 ‑ $50,000 None, None (or less than $201) Self $100,001 ‑ $250,000 None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) American Depository Receipt Mutual Funds Self $1,001 ‑ $15,000 None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self $15,001 ‑ $50,000 None, None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) Stock Stock Mutual Funds Exchange Traded Fund/Note Mutual Funds Stable Value Fund Corporate Securities Stock Mutual Funds Exchange Traded Fund/Note Exchange Traded Fund/Note Stock Stock https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 118/121 9/13/2018 13.40 XOM‑Exxon Mobil Corporation Asset 13.41 ZBH‑Zimmer Biomet Holdings, Inc. 13.42 RILY ‑ B. Riley Financial, Inc. 13.43 Mitsubishi UFJ Financial Group Inc. ‑ MTU Filer comment: No longer held 13.44 SLV ‑ iShares Silver Trust 13.45 13.46 13.47 13.48 13.49 13.50 GS ‑ The Goldman Sachs Group, Inc. Filer comment: No longer held MMC ‑ Marsh & McLennan Companies, Inc. Filer comment: No longer held PFE ‑ Pfizer Inc. Filer comment: No longer held EWJ ‑ iShares MSCI Japan ETF Filer comment: No longer held NVGS ‑ Navigator Holdings Ltd. Filer comment: No longer held KBWB ‑ Invesco KBW Bank ETF Corporate Securities Asset Type Stock Corporate Securities eFD: Annual Report for 2018 - Scott, Rick Self Owner Self $1,001 ‑ $15,000 Value $1,001 ‑ $15,000 None, Income Type None, None (or less than $201) Income None (or less than $201) Corporate Securities Self $1,001 ‑ $15,000 None, None (or less than $201) American Depository Receipt Mutual Funds Self None (or less than $1,001) None, None (or less than $201) Self $1,001 ‑ $15,000 None, None (or less than $201) Corporate Securities Self None (or less than $1,001) None, None (or less than $201) Corporate Securities Self None (or less than $1,001) None, None (or less than $201) Corporate Securities Self None (or less than $1,001) None, None (or less than $201) Self None (or less than $1,001) None, None (or less than $201) Self None (or less than $1,001) None, None (or less than $201) Self $15,001 ‑ $50,000 None, None (or less than $201) Stock Stock Exchange Traded Fund/Note Stock Stock Stock Mutual Funds Exchange Traded Fund/Note Corporate Securities Stock Mutual Funds Exchange Traded Fund/Note Part 4a. Periodic Transaction Report Summary https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 119/121 9/13/2018 Not required eFD: Annual Report for 2018 - Scott, Rick Part 4b. Transactions Not required Part 5. Gifts Not required Part 6. Travel Not required Part 7. Liabilities Did you, your spouse, or dependent child have a liability worth more than $10,000 at any time? No Part 8. Positions Did you hold any outside positions during the reporting period? No Part 9. Agreements Did you have any reportable agreement or arrangement with an outside entity? No Part 10. Compensation If this is your first report, or you are a candidate did you receive compensation of more than $5,000 from a single source in the two prior years? No https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 120/121 9/13/2018 Attachments & Comments eFD: Annual Report for 2018 - Scott, Rick No attachments added. No comments added. https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 121/121