eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 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 # Who Was Paid Type Who Paid Amount Paid 1 Self Salary State of Florida $0.18 Tallahassee, Florida Part 3. Assets 1 of 132 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 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 Income Type Income $5,000,001 $25,000,000 None, None (or less than $201) Joint $100,001 $250,000 None, None (or less than $201) Real Estate Joint $1,000,001 $5,000,000 None, None (or less than $201) Refundable Club Deposit 1 Company: Royal Poinciana (Naples, FL) Filer comment: Included for purposes of completeness. Accounts Receivable Self $1,001 $15,000 None, None (or less than $201) Refundable Club Deposit 2 Company: Red Sky (Wolcott, CO) Filer comment: Included for purposes of completeness. Accounts Receivable Self $50,001 $100,000 None, None (or less than $201) 6 Richard L. Scott Blind Trust 2014 (Qualified under the laws of the State of Florida) Trust Self 6.1 Alaska ST International Airports Revenue Bond Rate/Coupon: 0.73% - Variable Matures: 10/01/2030 Government Securities Self $1,000,001 $5,000,000 Interest, $5,001 - $15,000 Asset Asset Type Owner Value 1 Personal Residence - Naples Description: Florida Parcel: 09380240002 (Naples, FL) Filer comment: Included for purposes of completeness. Real Estate Joint 2 Boathouse - Naples Description: Florida Parcel: 13420001922 (Naples, FL) Filer comment: Included for purposes of completeness. Real Estate 3 Personal Residence Montana Description: Geo Code: 4498-34-2-01-05-0000 (Troy, MT) Filer comment: Included for purposes of completeness. 4 5 2 of 132 Residential Residential Residential From a Business From a Business General Trust Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income $1,001 $15,000 Interest, $201 - $1,000 Self $250,001 $500,000 None, None (or less than $201) Bank Deposit Self $250,001 $500,000 Interest, $5,001 - $15,000 San Antonio Texas Electric & Gas Revenue Bond Rate/Coupon: 4.75% Matures: 02/01/2028 Government Securities Self $1,000,001 $5,000,000 Interest, $50,001 - $100,000 Lower Colorado River Auth Texas Rev Bond Rate/Coupon: 4.0% Matures: 05/15/2019 Government Securities Self $250,001 $500,000 Interest, $15,001 - $50,000 Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 4.0% Matures: 08/15/2019 Government Securities Self $500,001 $1,000,000 Interest, $2,501 - $5,000 California St Variable Purpose G.O. Bond Rate/Coupon: 5.0% Matures: 09/01/2019 Government Securities Self $500,001 $1,000,000 Interest, $15,001 - $50,000 Metropolitan Washington DC Airports Auth Revenue Bond Rate/Coupon: 5.0% Matures: 10/01/2019 Government Securities Self $1,000,001 $5,000,000 Interest, $50,001 - $100,000 Asset Asset Type Owner Value 6.2 BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Self 6.3 Morgan Stanley (Los Angeles, CA) Type: Brokerage Sweep Account, Bank Deposit 6.4 Morgan Stanley (Los Angeles, CA) Type: Money Market Account, 6.5 6.6 6.7 6.8 6.9 3 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.10 6.11 6.12 6.13 6.14 6.15 6.16 6.17 4 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $500,001 $1,000,000 Interest, $15,001 - $50,000 Self $1,000,001 $5,000,000 Interest, $50,001 - $100,000 Government Securities Self $250,001 $500,000 Interest, $15,001 - $50,000 Milwaukee Wisconsin Metro Sewer District Bond Rate/Coupon: 5.25% Matures: 10/01/2021 Government Securities Self $1,000,001 $5,000,000 Interest, $50,001 - $100,000 California St Public Works Revenue - Cal St Univ Bond Rate/Coupon: 5.0% Matures: 12/01/2028 Government Securities Self $1,000,001 $5,000,000 Interest, $100,001 - $1,000,000 Triborough Bridge & Tunnel Auth New York Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2025 Government Securities Self $1,000,001 $5,000,000 Interest, $100,001 - $1,000,000 Massaschusetts Water Res Auth Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2028 Government Securities Self $100,001 $250,000 Interest, $5,001 - $15,000 California State G.O. Bond Rate/Coupon: 5.25% Matures: 09/01/2022 Government Securities Self $500,001 $1,000,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value Massachusetts Variable Monthly Consolidated Loan Bond Rate/Coupon: 3.284% Floating Matures: 11/01/2019 Government Securities Self Chicago Illinois O'Hare Intl Airport Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2022 Government Securities Texas A&M University Perm Univ Fd Bond Rate/Coupon: 5.0% Matures: 07/01/2025 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.18 6.19 6.20 6.21 6.22 6.23 6.24 6.25 5 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $250,001 $500,000 Interest, $15,001 - $50,000 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 Grand Prairie Texas Independent School District Bond Rate/Coupon: 5.0% Matures: 02/15/2025 Government Securities Self $500,001 $1,000,000 Interest, $15,001 - $50,000 Massachusetts State Dev Fin Agency Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2026 Government Securities Self $100,001 $250,000 Interest, $15,001 - $50,000 Port of Seattle Washington Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2026 Government Securities Self $500,001 $1,000,000 Interest, $15,001 - $50,000 New York State Urban Dev Corp Revenue Bond Rate/Coupon: 5.0% Matures: 03/15/2027 Government Securities Self $500,001 $1,000,000 Interest, $15,001 - $50,000 Las Vegas Valley Nevada Water District Bond Rate/Coupon: 5.0% Matures: 06/01/2027 Government Securities Self $1,000,001 $5,000,000 Interest, $50,001 - $100,000 Asset Asset Type Owner Value New York City NY Transition Fin Auth Bldg Revenue Bond Rate/Coupon: 5.0% Matures: 07/15/2023 Government Securities Self York County South Carolina Water & Sewer Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2024 Government Securities Canadian River Texas Muni Water Auth Revenue Bond Rate/Coupon: 5.0% Matures: 02/15/2025 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.26 6.27 6.28 6.29 6.30 6.31 6.32 6 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $100,001 $250,000 Interest, $5,001 - $15,000 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 North Texas Tollway Authority Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2030 Government Securities Self $500,001 $1,000,000 Interest, $50,001 - $100,000 Connecticut State Spec Tax Revenue Bond Rate/Coupon: 5.0% Matures: 09/01/2030 Government Securities Self $500,001 $1,000,000 Interest, $15,001 - $50,000 Chicago Illinois Met Water Reclamation District Bond Rate/Coupon: 5.0% Matures: 12/01/2030 Government Securities Self $1,000,001 $5,000,000 Interest, $100,001 - $1,000,000 Indiana Municipal Power Agency Power Supply System Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2031 Government Securities Self $250,001 $500,000 Interest, $5,001 - $15,000 Asset Asset Type Owner Value Washington State Motor Vehicle Fuel Tax G.O. Bond Rate/Coupon: 5.25% Matures: 06/01/2027 Government Securities Self Lower Alabama Gas Project Revenue Bond Rate/Coupon: 5.0% Matures: 09/01/2028 Government Securities Salt River Proj Agric Power District Ariz Elec System Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2029 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $500,001 $1,000,000 Interest, $15,001 - $50,000 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 Neuberger Berman (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Self $15,001 $50,000 Interest, $201 - $1,000 ARLP - Alliance Resource Partners, L.P. Corporate Securities Self $50,001 $100,000 Dividends, $5,001 - $15,000 AM - Antero Midstream Partners LP Corporate Securities Self $50,001 $100,000 Dividends, $2,501 - $5,000 FUN-Cedar Fair, L.P. Corporate Securities Self $100,001 $250,000 Dividends, Capital Gains, $100,001 - $1,000,000 DM - Dominion Energy Midstream Partners, LP Corporate Securities Self $15,001 $50,000 Dividends, $2,501 - $5,000 ETE - Energy Transfer Equity, L.P. Corporate Securities Self $100,001 $250,000 Dividends, $15,001 - $50,000 Asset Asset Type Owner Value New Mexico Mun Egy Acquisition Auth Gas Supply Revenue Bond Rate/Coupon: 2.078% Floating Matures: 11/01/2039 Government Securities Self Black Belt Energy Gas Dist Ala Gas Supply Revenue Bond Rate/Coupon: 4.0% - Floating Matures: 07/01/2046 Government Securities California State G.O. Bond Rate/Coupon: 5.25% Matures: 09/01/2022 6.36 6.37 6.33 6.34 6.35 6.38 6.39 Municipal Security Municipal Security Municipal Security Stock Stock Stock 6.40 6.41 7 of 132 Stock Stock 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.42 6.43 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $100,001 $250,000 Dividends, $5,001 - $15,000 Self $50,001 $100,000 Dividends, $2,501 - $5,000 Corporate Securities Self $50,001 $100,000 Dividends, $5,001 - $15,000 NEP - NextEra Energy Partners, LP Corporate Securities Self $100,001 $250,000 Dividends, $5,001 - $15,000 NYLD - NRG Yield, Inc. 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, $1,001 - $2,500 TRGP - Targa Resources Corp. Corporate Securities Self $50,001 $100,000 Dividends, $5,001 - $15,000 WGP - Western Gas Equity Partners, LP Corporate Securities Self $100,001 $250,000 Dividends, $15,001 - $50,000 WMB - The Williams Companies, Inc. Corporate Securities Self $50,001 $100,000 Dividends, $1,001 - $2,500 WTT - Wireless Telecom Group, Inc. Corporate Securities Self $1,000,001 $5,000,000 None, None (or less than $201) Asset Asset Type Owner Value EPD - Enterprise Products Partners L.P. Corporate Securities Self EQGP - EQT GP Holdings, LP Corporate Securities EQM - EQT Midstream Partners, LP Stock Stock 6.44 6.45 6.46 Stock Stock Stock 6.47 OKE - ONEOK, Inc. Stock 6.48 SRE - Sempra Energy Stock 6.49 6.50 6.51 6.52 8 of 132 Stock Stock Stock Stock 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $1,001 $15,000 None, None (or less than $201) Self $100,001 $250,000 None, None (or less than $201) Investment Fund Self $1,000,001 $5,000,000 Excepted Investment Fund, $100,001 - $1,000,000 AG Super Fund, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Self $1,000,001 $5,000,000 Excepted Investment Fund, $50,001 - $100,000 6.57 AJ I Gainline LLC Description: Private Investment Partnership (New York, New York)  Investment Fund Self $1,000,001 $5,000,000 None, None (or less than $201) 6.58 AJ 2 Elliott LLC Description: Private Investment Vehicle (New York, New York)  Investment Fund Self 6.58.1 Ancora Catalyst SPV I L.P. Description: Private Investment Partnership (Cleveland, OH)  Investment Fund Self $500,001 $1,000,000 Dividends, $100,001 - $1,000,000 6.59 CAI Partners and Company IV L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Self $500,001 $1,000,000 Excepted Investment Fund, $50,001 - $100,000 6.60 Canyon Laurel Fund L.P. Description: Private Investment Partnership (Los Angeles, CA)  Investment Fund Self $500,001 $1,000,000 Excepted Investment Fund, $15,001 - $50,000 Asset Asset Type Owner Value 6.53 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Self 6.54 Promissory Note Company: Pharmaca Investments, LLC (Rowayton, Connecticut)  Accounts Receivable 6.55 AG Energy Partners II, L.P. Description: Private Investment Partnership (New York, NY)  6.56 From a Business Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value Fortress Secured Lending Fund I (A) LP Description: Private Investment Partnership (New York, NY)  Investment Fund Self $500,001 $1,000,000 Excepted Investment Fund, $15,001 - $50,000 6.62 G. Scott Capital Partners Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Self $1,000,001 $5,000,000 Dividends, Interest, $1,000,001 - $5,000,000 6.63 OVO Fund II, LLC Description: Private Investment Partnership (Los Altos, CA)  Investment Fund Self $100,001 $250,000 None, None (or less than $201) 6.64 Pharmaca Investments, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Self $250,001 $500,000 None, None (or less than $201) 6.65 RLSI-CSP Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Self $1,000,001 $5,000,000 Dividends, Capital Gains, Over $5,000,000 6.66 RLSI-EMIDA Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Self $15,001 $50,000 None, None (or less than $201) 6.67 S&S Debt Partners I, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Self None (or less than $1,001) Interest, $100,001 - $1,000,000 6.68 S&S Equity Partners I LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Self $500,001 $1,000,000 Dividends, Interest, $100,001 - $1,000,000 6.61 10 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Asset Asset Type Owner Value Income Type 6.69 S&S Sports, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Self $1,000,001 $5,000,000 Dividends, Interest, Over $1,000,000 and held independently by spouse or dependent child 6.70 Vestar Executive V, LP / Vestar Executives IV, LP / Vestar - AIV Holdings B, LP Description: Private Investment Partnership (New York, NY)  Investment Fund Self $50,001 $100,000 Excepted Investment Fund, $201 - $1,000 6.71 VSS Structured Capital III, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Self $250,001 $500,000 Excepted Investment Fund, $15,001 - $50,000 6.72 Columbia Collier Management, LLC Company: Columbia Collier Management, LLC (Naples, Florida) Description: Company set up for purpose of ownership of airplane  Corporate Securities Self $500,001 $1,000,000 None, None (or less than $201) Account Receivable from Seabass Properties LLC Company: Seabass Properties LLC (Austin, TX)  Accounts Receivable Self $1,000,001 $5,000,000 Interest, $15,001 - $50,000 Account Receivable from AJ I Gainline LLC Company: AJ I Gainline LLC (New York, New York)  Accounts Receivable Self None (or less than $1,001) None, None (or less than $201) California Pollution Control Authority Bond Rate/Coupon: 0.84% - Variable Matures: 11/01/2026 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $1,001 - $2,500 6.73 6.74 6.75 11 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Private Equity Fund Private Equity Fund Private Equity Fund Non-Public Stock From a Business From a Business Municipal Security Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.76 6.77 6.78 6.79 6.80 6.81 12 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $2,501 - $5,000 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 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 Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Douglas County Nebraska Hospital Bond Rate/Coupon: 0.08% - Variable Matures: 08/15/2032 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $1,001 - $2,500 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 Self None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Clackamas County Oregon School District Bond Rate/Coupon: 5.0% Matures: 06/15/2017 Filer comment: No longer held Government Securities Self Colorado State Educational Loan Bond Rate/Coupon: 5.0% Matures: 06/29/2017 Filer comment: No longer held Government Securities Dallas Texas Performing Arts Muni Bond Rate/Coupon: 0.43% - Variable Matures: 09/01/2041 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.82 6.83 6.84 6.85 6.86 13 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 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 Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Illinois State Financial Auth Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2017 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Forsyth Montana Pollution Control Revenue Bond Rate/Coupon: 0.77% - Variable Matures: 01/01/2018 Filer comment: No longer held Government Securities Self Hamilton County Ohio Sewer System Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2017 Filer comment: No longer held Government Securities 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 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.87 Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 Self None (or less than $1,001) Interest, $2,501 - $5,000 Government Securities Self None (or less than $1,001) Interest, $1,001 - $2,500 Irvine California Impt Bd Act 1915 Loc Muni Bond Rate/Coupon: 0.93% Matures: 09/02/2023 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $2,501 - $5,000 Kansas St Dev Fin Auth Muni Bond Rate/Coupon: 0.05% - Variable Matures: 03/01/2041 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $2,501 - $5,000 King County Washington Hsg Auth Var-Ref-Pooled Bond Rate/Coupon: 0.75% - Variable Matures: 07/01/2035 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Manteca California Rede Bond Rate/Coupon: 0.27% - Variable Matures: 10/01/2042 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $201 - $1,000 Asset Asset Type Owner Value Indiana ST Fin Auth Bond Rate/Coupon: 0.2% - Variable Government Securities Self Iowa Higher Ed LN Auth Revenue Bond Rate/Coupon: 0.33% - Variable Matures: 10/01/2024 Filer comment: No longer held Government Securities Iowa Fin Auth Health Muni Bond Rate/Coupon: 2.4% Matures: 06/01/2027 Filer comment: No longer held Matures: 10/01/2040 Filer comment: No longer held 6.88 6.89 6.90 6.91 6.92 6.93 14 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.94 6.95 6.96 6.97 6.98 6.99 15 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 Massachusetts State Health Muni Bond Rate/Coupon: 5.5% Matures: 08/15/2040 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $201 - $1,000 Massachusetts State Health & Educational Facilities Revenue Bond Rate/Coupon: 1.07% Matures: 12/01/2037 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $201 - $1,000 Milford Connecticut BANS Bond Rate/Coupon: 2.0% Matures: 11/06/2017 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value Maryland State Hlth & Higher Educational Facilities Revenue Bond Rate/Coupon: 0.64% - Variable Matures: 07/01/2041 Filer comment: No longer held Government Securities Self Massachusetts State G.O. Bond Rate/Coupon: 4.0% Matures: 07/01/2017 Filer comment: No longer held Government Securities Massachusetts State G.O. Bond Rate/Coupon: 0.22% - Variable Matures: 07/01/2026 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.100 6.101 6.102 6.103 16 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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, $1,001 - $2,500 Asset Asset Type Owner Value Milwaukee Wisconsin Area Technical College Promissory Notes Bond Rate/Coupon: 2.0% Matures: 12/01/2017 Filer comment: No longer held Government Securities Self Mississippi State Business Finance Corp Gulf Opportunity Zone 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. Government Securities 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. Missouri State Development Finance Muni Bond Rate/Coupon: 0.16% - Variable Matures: 12/01/2020 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.104 6.105 6.106 6.107 6.108 17 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 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. Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 New York City NY Hsg Dev Corp Multifamily Rent Revenue Bond Rate/Coupon: 2.25% Matures: 03/15/2036 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value 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 Government Securities Self Nantucket Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/30/2017 Filer comment: No longer held Government Securities Needham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/01/2017 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.109 6.110 6.111 6.112 18 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 Self None (or less than $1,001) Interest, $2,501 - $5,000 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 Asset Asset Type Owner Value 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 Self New York City NY Muni Water Fin Auth Wtr & Sewer Revenue Bond Rate/Coupon: 0.3% - Variable Matures: 06/15/2048 Filer comment: No longer held Government Securities 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. 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. Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.113 6.114 6.115 6.116 6.117 6.118 19 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $2,501 - $5,000 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 Pennsylvania State High Educational Facility Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2017 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Snohomish County Washington School District Bond Rate/Coupon: 4.0% Matures: 12/01/2017 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $1,001 - $2,500 Pennsylvania State Public School Building Muni Bond Rate/Coupon: 0.65% - Variable Matures: 08/01/2030 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value 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 Government Securities Self Nodaway County Missouri Indl Dev Auth Revenue Bond Rate/Coupon: 0.2% - Variable Matures: 11/01/2028 Filer comment: No longer held Government Securities North Carolina Med CA Muni Bond Rate/Coupon: 0.75% - Variable Matures: 08/15/2034 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.119 6.120 6.121 6.122 6.123 6.124 20 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 West Windsor-Plainsboro New Jersey Regional Sch Dist Bond Rate/Coupon: 4.0% Matures: 12/01/2017 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $1,001 - $2,500 Beacon NY BANS Bond Rate/Coupon: 2.0% Matures: 05/25/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 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 Government Securities Self None (or less than $1,001) Interest, $50,001 - $100,000 Asset Asset Type Owner Value Topeka Kansas - Temp NtsGen Impts-Ser A Rate/Coupon: 3.0% Matures: 10/01/2017 Filer comment: No longer held Government Securities Self Valdez Alaska Marine Terminal Refinancing Bond Rate/Coupon: 0.88% - Variable Matures: 12/01/2029 Filer comment: No longer held Government Securities Washington State Hsg Fin Comm Nonprofit Revenue Bond Rate/Coupon: 3.85% Matures: 06/01/2032 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.125 6.126 6.127 6.128 6.129 6.130 21 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Los Angeles California G.O. Bond Rate/Coupon: 3.0% Matures: 06/29/2017 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Salt Lake County Utah Tax & Rev Antic Nts Bond Rate/Coupon: 2.0% Matures: 08/11/2017 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Westborough Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 08/11/2017 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Framingham Massachusetts Muni Bond Rate/Coupon: 1.75% Matures: 12/08/2017 Filer comment: No longer held Government Securities Self Fulton County Georgia General Fund - Tax Antic Nts Bond Rate/Coupon: 2.0% Matures: 12/29/2017 Filer comment: No longer held Government Securities Hingham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 05/17/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.131 6.132 6.133 6.134 6.135 22 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $50,001 - $100,000 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 Delaware Valley PA Regional Financial Revenue Bond Rate/Coupon: See note Matures: 06/01/2042 Filer comment: Combines multiple bonds with variable interest from 1.09%-1.75%; no longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Richland County South Carolina School Dist #1 Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value 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. Government Securities Self El Dorado California Irrigation District Revenue Bond Rate/Coupon: 4.25% Matures: 03/01/2018 Filer comment: No longer held Government Securities Ohio ST G.O. Bond Rate/Coupon: 5.0% Matures: 09/01/2020 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.136 6.137 6.138 6.139 6.140 6.141 23 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $2,501 - $5,000 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 Wisconsin ST Environmental Impact Fund Revenue Bond Rate/Coupon: 3.0% Matures: 06/01/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $50,001 - $100,000 Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $201 - $1,000 Ramsey New Jersey School Dist Ref Bond Rate/Coupon: 3% Matures: 01/15/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value 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 Government Securities Self Gallatin Tennessee Water & Sewer Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2033 Filer comment: No longer held Government Securities Houston Texas Independent School District Ltd TaxSchoolhouse Bond Rate/Coupon: 2.25% Matures: 02/15/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security US Treasury/Agency Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.142 6.143 6.144 6.145 6.146 6.147 24 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Lexington Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 02/16/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Beaufort County South Carolina School District Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Lexington County South Carolina School District No. 1 Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value Collin County Texas G.O. Bond Rate/Coupon: 5% Matures: 02/15/2018 Filer comment: No longer held Government Securities Self El Paso Texas Independent School District Utility Tax Bond Rate/Coupon: 4.125% Matures: 02/15/2018 Filer comment: No longer held Government Securities Richardson Texas Independent School District Building Bond Rate/Coupon: 3.0% Matures: 02/15/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.148 6.149 6.150 6.151 6.152 6.153 25 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $50,001 - $100,000 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 California St G.O. Bond Rate/Coupon: 5.0% Matures: 04/01/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $50,001 - $100,000 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 Self None (or less than $1,001) Interest, $5,001 - $15,000 Park City Utah Sales Tax Revenue Rate/Coupon: 5.0% Matures: 06/15/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value 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. Government Securities Self Seattle Washington Muni Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Government Securities Union County New Jersey Muni Bond Rate/Coupon: 2.0% Matures: 03/01/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.154 6.155 6.156 6.157 6.158 6.159 26 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Grand Rapids Michigan Sanitn Sewer System Bond Rate/Coupon: 4.8% Matures: 01/01/2026 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Metropolitan Government of Nashville & Davidson Muni Bond Rate/Coupon: 5.0% Matures: 01/01/2028 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Pennsylvania State Univ Bond Rate/Coupon: 5.0% Matures: 08/15/2028 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $50,001 - $100,000 Asset Asset Type Owner Value Alpine Utah School District Building Bond Rate/Coupon: 4.25% Matures: 03/15/2019 Filer comment: No longer held Government Securities Self Cleveland Ohio Waterworks Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2022 Filer comment: No longer held Government Securities Texas State Transportation Commn Muni Bond Rate/Coupon: 5.0% Matures: 04/01/2022 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.160 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $100,001 - $1,000,000 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 Clark-Shawnee Ohio Local Sch District BANS Bond Rate/Coupon: 1.75% Matures: 02/13/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Ithaca City New York Muni Bond Rate/Coupon: 2.0% Matures: 02/16/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Minnesota Public Facilities Auth Clean Water Muni Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $50,001 - $100,000 Asset Asset Type Owner Value Ohio State Higher Educational Facilities Commission Revenue Bond Rate/Coupon: 5.25% Government Securities Self Louisville & Jefferson County Kentucky Met Govt Health Facilities Revenue Bond Rate/Coupon: 6.125% Matures: 02/01/2037 Filer comment: No longer held Government Securities Massachusetts State Water Pollution Abatement Bond Rate/Coupon: 5.25% Matures: 02/01/2018 Filer comment: No longer held Municipal Security Matures: 01/01/2033 Filer comment: No longer held 6.161 6.162 6.163 6.164 6.165 27 of 132 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.166 6.167 6.168 6.169 6.170 6.171 28 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 New York Sr Tollway Auth Svc Contract Muni Bond Rate/Coupon: 5.0% Matures: 04/01/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Albany County NY BANS Bond Rate/Coupon: 4.0% Matures: 05/24/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $50,001 - $100,000 Somerville Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 06/08/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value S C Association of Govt Organization Cops Bond Rate/Coupon: 3.0% Matures: 03/01/2018 Filer comment: No longer held Government Securities Self Windsor Locks Connecticut BANS Bond Rate/Coupon: 2.0% Matures: 03/22/2018 Filer comment: No longer held Government Securities New York St Local Govt Assistance Bond Rate/Coupon: 5.0% Matures: 04/01/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.172 6.173 6.174 6.175 6.176 6.177 29 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Westborough Massachusetts BANS Bond Rate/Coupon: 2.5% Matures: 08/10/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Union Township Ohio BANS Bond Rate/Coupon: 2.0% Matures: 09/06/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 City of Quincy Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 09/28/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value Williamsville New York Central School District BANS Bond Rate/Coupon: 2.25% Matures: 06/13/2018 Filer comment: No longer held Government Securities Self Georgetown County South Carolina School District Muni Bond Rate/Coupon: 3.0% Matures: 06/21/2018 Filer comment: No longer held Government Securities Rochester NY BANS Bond Rate/Coupon: 2.5% Matures: 08/02/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.178 6.179 6.180 6.181 6.182 30 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 Lancaster County PA Ho Muni Bond Rate/Coupon: 1.13% - Variable Matures: 07/01/2034 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 Briarwood Capital Partners LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Self $1,000,001 $5,000,000 Excepted Investment Fund, $100,001 - $1,000,000 Asset Asset Type Owner Value Spartanburg County School District No. 7T BANS Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Filer comment: No longer held Government Securities Self 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 E Baton Rouge Parish Louisiana Muni Bond Rate/Coupon: See note 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 Municipal Security Municipal Security Municipal Security Municipal Security Hedge Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value Canyon Balanced Fund, L.P. Description: Private Investment Partnership (Los Angeles, Investment Fund Self $5,000,001 $25,000,000 Excepted Investment Fund, $100,001 - $1,000,000 Oregon St Health & Science Muni Bond Rate/Coupon: 1.1% - Variable Matures: 07/01/2042 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $1,001 - $2,500 University of Michigan Univ Bond Rate/Coupon: 5.0% Matures: 04/01/2018 Filer comment: No longer held Government Securities Self None (or less than $1,001) Interest, $5,001 - $15,000 6.186 Elliott Associates, L.P. Description: Private Investment Vehicle (New York, New York)  Investment Fund Self $5,000,001 $25,000,000 Excepted Investment Fund, $50,001 - $100,000 6.187 Engine Capital, LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Self $1,000,001 $5,000,000 Dividends, Capital Gains, $100,001 - $1,000,000 6.188 Highline Capital Partners QP, LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Self $1,000,001 $5,000,000 Excepted Investment Fund, $15,001 - $50,000 6.189 Mendon Capital QP LP Description: Private Investment Partnership (Chicago, Illinois)  Investment Fund Self $1,000,001 $5,000,000 Excepted Investment Fund, $100,001 - $1,000,000 6.190 Moab Partners, L.P. Description: Private Investment Partnership (New York, New York)  Investment Fund Self $1,000,001 $5,000,000 None, None (or less than $201) 6.183 Hedge Fund Income California)  6.184 6.185 31 of 132 Municipal Security Municipal Security Hedge Fund Hedge Fund Hedge Fund Hedge Fund Hedge Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 6.191 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value Nokomis Capital Partners, L.P. Description: Private Investment Investment Fund Self $1,000,001 $5,000,000 Excepted Investment Fund, $15,001 - $50,000 Hedge Fund Income Vehicle (Dallas, Texas)  6.192 Overlook 3G Investments, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Investment Fund Self $250,001 $500,000 Excepted Investment Fund, $15,001 - $50,000 6.193 Overlook Partners Fund, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Investment Fund Self $1,000,001 $5,000,000 Excepted Investment Fund, $100,001 - $1,000,000 6.194 ASYS - Amtech Systems, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Capital Gains, $100,001 - $1,000,000 CB - Chubb Limited Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $1,001 - $2,500 CABO-Cable One, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Capital Gains, $15,001 - $50,000 GS - The Goldman Sachs Group, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 MMC - Marsh & McLennan Companies, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $1,001 - $2,500 NVGS - Navigator Holdings Ltd. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Capital Gains, $15,001 - $50,000 GOOGL - Alphabet Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Capital Gains, $100,001 - $1,000,000 6.195 6.196 6.197 6.198 6.199 6.200 32 of 132 Hedge Fund Hedge Fund Stock Stock Stock Stock Stock Stock Stock 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value AAPL - Apple Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $100,001 - $1,000,000 GILD - Gilead Sciences, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $100,001 - $1,000,000 MSFT - Microsoft Corporation Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $100,001 - $1,000,000 PFE - Pfizer Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $100,001 - $1,000,000 6.205 UTG - Reaves Utility Income Fund Filer comment: No longer held Mutual Funds Self None (or less than $1,001) Capital Gains, Excepted Investment Fund, $5,001 - $15,000 6.206 FUN - Cedar Fair, L.P. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 ABT - Abbott Laboratories Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 BAC - Bank of America Corporation Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 C - Citigroup Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 CCI - Crown Castle International Corp. (REIT) Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 6.201 6.202 6.203 6.204 6.207 6.208 6.209 6.210 33 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Stock Stock Stock Stock Exchange Traded Fund/Note Stock Stock Stock Stock Stock Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value 6.211 GSPKX - Goldman Sachs US Eq Div and Prem Instl Filer comment: No longer held Mutual Funds Self None (or less than $1,001) Capital Gains, Excepted Investment Fund, $15,001 - $50,000 6.212 HASI - Hannon Armstrong Sustainable Infrastructure Capita Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $1,001 - $2,500 DVY-iShares Select Dividend ETF Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Excepted Investment Fund, $15,001 - $50,000 6.214 EWJ-iShares MSCI Japan ETF Filer comment: No longer held Mutual Funds Self None (or less than $1,001) Excepted Investment Fund, $5,001 - $15,000 6.215 JNJ - Johnson & Johnson Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 KEY - KeyCorp Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 LMT - Lockheed Martin Corporation Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 6.218 LLDYX - Lord Abbett Short Duration Income I Filer comment: No longer held Mutual Funds Self None (or less than $1,001) Excepted Investment Fund, $5,001 - $15,000 6.219 PNC - The PNC Financial Services Group, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 RTN - Raytheon Company Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 6.213 6.216 6.217 6.220 34 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Mutual Fund Stock Stock Exchange Traded Fund/Note Stock Stock Stock Mutual Fund Stock Stock Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value 6.221 PPA - Invesco Aerospace & Defense ETF Filer comment: No longer held Mutual Funds Self None (or less than $1,001) Capital Gains, Excepted Investment Fund, $15,001 - $50,000 6.222 KBWB - Invesco KBW Bank ETF Filer comment: No longer held Mutual Funds Self None (or less than $1,001) Capital Gains, Excepted Investment Fund, $50,001 - $100,000 6.223 BX - The Blackstone Group L.P. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, $1,001 - $2,500 ETP - Energy Transfer Partners, L.P. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, $5,001 - $15,000 EPD - Enterprise Products Partners L.P. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 OAK-Oaktree Capital Group, LLC Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 WGP - Western Gas Equity Partners, LP Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 COMM - CommScope Holding Company, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Capital Gains, $15,001 - $50,000 AMAT - Applied Materials, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Capital Gains, $1,001 - $2,500 Mitsubishi UFJ Financial Group Inc. - MTU Filer comment: No longer held American Depository Receipt Self None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 6.224 6.225 6.226 6.227 6.228 6.229 6.230 35 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Exchange Traded Fund/Note Exchange Traded Fund/Note Stock Stock Stock Stock Stock Stock Stock Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Asset Asset Type Owner Value Income Type 6.231 GLD - SPDR Gold Shares Filer comment: No longer held Mutual Funds Self None (or less than $1,001) Capital Gains, $201 - $1,000 6.232 Taiwan Semiconductor Mfg Co. - TSM Filer comment: No longer held American Depository Receipt Self None (or less than $1,001) Capital Gains, $1,001 - $2,500 6.233 ENB - Enbridge Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Capital Gains, $15,001 - $50,000 SEP - Spectra Energy Partners, LP Filer comment: No longer held Corporate Securities Self None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 6.235 Rimrock High Income Plus (QP) Fund, L.P. Description: Private Investment Vehicle (Irvine, California)  Investment Fund Self $1,000,001 $5,000,000 Excepted Investment Fund, $100,001 - $1,000,000 6.236 GQETX - GMO Quality III Filer comment: No longer held Mutual Funds Self None (or less than $1,001) Excepted Investment Fund, $100,001 - $1,000,000 6.237 Account Receivable from S&S Family Entertainment, LLC Company: S&S Family Entertainment, LLC (Rowayton, CT) Filer comment: No longer held Accounts Receivable Self None (or less than $1,001) Interest, $15,001 - $50,000 6.238 JMB Capital Partners, L.P. Description: Private Investment Vehicle (Los Angeles, CA) Filer comment: No longer held Investment Fund Self None (or less than $1,001) Excepted Investment Fund, $50,001 - $100,000 6.239 Oscar S. Shafer & Partners II LP Description: Private Investment Vehicle (New York, NY) Filer comment: No longer held Investment Fund Self None (or less than $1,001) Excepted Investment Fund, $5,001 - $15,000 6.234 36 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Exchange Traded Fund/Note Stock Stock Hedge Fund Mutual Fund From a Business Hedge Fund Hedge Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income $25,000,001 $50,000,000 Interest, $50,001 - $100,000 Self $15,001 $50,000 Interest, $1,001 - $2,500 Investment Fund Self $1,001 $15,000 None, None (or less than $201) F. Annette Scott 2015 GRAT Trust Trust Spouse Alaska ST International Airports Revenue Bond Rate/Coupon: 1.5% - Variable Matures: 10/01/2030 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Athens-Clarke County Georgia Unif University Georgia Athletic Revenue Bond Rate/Coupon: 1.5% - Variable Matures: 07/01/2035 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Delaware Valley PA Regional Financial Revenue Bond Rate/Coupon: 1.5% - Variable Matures: 06/01/2042 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Fairfax County VA Econ Dev Auth Revenue Bond Rate/Coupon: 1.5% - Variable Matures: 12/01/2033 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value 6.240 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Money Market Account, Bank Deposit Self 6.241 Dreyfus - BNY Mellon (New York, NY) Type: Money Market Account, Bank Deposit 6.242 Fulton Chain Acquisition LLC Description: Private Investment Partnership (Rowayton, CT)  7 7.1 7.2 7.3 7.4 37 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Private Equity Fund General Trust Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.5 7.6 7.7 7.8 7.9 38 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Jackson County Mississippi Pollution Control Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 06/01/2023 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 04/01/2032 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value Illinois State Financial Auth Revenue Bond - University of Chicago Med Rate/Coupon: 1.5% - Variable Matures: 08/01/2043 Government Securities Spouse Illinois ST Health Facs Auth Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 10/01/2022 Government Securities Indiana ST Fin Auth Environmental Bond Rate/Coupon: 1.5% - Variable Matures: 12/01/2039 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.10 7.11 7.12 7.13 7.14 39 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Triborough NY Bridge & Tunnel Auth Revenue Bond Rate/Coupon: 1.5% - Variable Matures: 11/01/2035 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Triborough NY Bridge & Tunnel Auth Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 01/01/2033 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Asset Asset Type Owner Value Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 02/01/2036 Government Securities Spouse New York City NY Hsg Dev Corp Revenue Bond Rate/Coupon: 1.5% - Variable Matures: 03/15/2036 Government Securities New York ST Hsg Fin Agy Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 05/01/2042 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.15 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $500,001 $1,000,000 Interest, $5,001 - $15,000 Asset Asset Type Owner Value Wisconsin ST Health & Educational Facilities Revenue Bond Rate/Coupon: 1.6% - Variable Government Securities Spouse Municipal Security Matures: 07/15/2028 7.16 BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Spouse $15,001 $50,000 Interest, $201 - $1,000 7.17 Massachusetts State G.O. Bond Rate/Coupon: 5.25% Matures: 08/01/2018 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Guilford Connecticut BANS Bond Rate/Coupon: 2.0% Matures: 08/08/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Central Islip NY Union Free School District BANS Bond Rate/Coupon: 2.0% Matures: 08/16/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Kent Ohio BANS Bond Rate/Coupon: 2.0% Matures: 08/23/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 7.18 7.19 7.20 40 of 132 Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.21 7.22 7.23 7.24 7.25 7.26 41 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $500,001 $1,000,000 Interest, $15,001 - $50,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Lexington Massachusetts BANS Bond Rate/Coupon: 3.0% Matures: 02/15/2019 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Cleveland-Cuyahoga County Ohio - Cleveland Museum Art Project Bond Rate/Coupon: 5.0% Matures: 10/01/2018 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Massachusetts Bay MA Transportation Bond Rate/Coupon: 5.0% Matures: 07/01/2018 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value East Hampton Town New York BANS Bond Rate/Coupon: 2.0% Matures: 08/24/2018 Government Securities Spouse 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 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.27 7.28 7.29 7.30 7.31 42 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $500,001 $1,000,000 Interest, $5,001 - $15,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Westborough Massachusetts BANS Bond Rate/Coupon: 2.5% Matures: 08/10/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Texas State Bond Rate/Coupon: 4.0% Matures: 08/30/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Asset Asset Type Owner Value Campbell CA Union High School District Bond Rate/Coupon: 2.0% Matures: 08/01/2018 Government Securities Spouse University of Utah Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2018 Government Securities Rochester New York G.O. Bond Rate/Coupon: 2.5% Matures: 08/02/2018 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.32 7.33 7.34 7.35 7.36 7.37 43 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Arizona State Cops Department of Administration Rate/Coupon: 3.0% Matures: 10/01/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Maryland ST - State and Local Facilities LN Bond Rate/Coupon: 5.0% Matures: 11/01/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Milford Connecticut BANS Bond Rate/Coupon: 2.25% Matures: 11/05/2018 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value Union Township Ohio Tax & Rev Antic Nts Bond Rate/Coupon: 2.0% Matures: 09/06/2018 Government Securities Spouse Essex County New Jersey BANS Bond Rate/Coupon: 2.5% Matures: 09/12/2018 Government Securities Arizona State Ctfs Partn Cops Bond Rate/Coupon: 4.0% Matures: 10/01/2018 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.38 7.39 7.40 7.41 7.42 44 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Akron Ohio Income Tax Revenue Bond Rate/Coupon: 3.0% Matures: 12/12/2018 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 New York ST Dorm Auth Bond Rate/Coupon: 5.0% Matures: 12/15/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Asset Asset Type Owner Value Brookfield Connecticut BANS Bond Rate/Coupon: 2.25% Matures: 11/15/2018 Government Securities Spouse Michigan State Trunk Line Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Government Securities Spartanburg County School District No. 7T BANS Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.43 7.44 7.45 7.46 7.47 45 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Richland County South Carolina BANS Bond Rate/Coupon: 3.0% Matures: 02/27/2019 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Baltimore County Maryland BANS Bond Rate/Coupon: 4.0% Matures: 03/18/2019 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value City of Worcester Massachusetts BANS Bond Rate/Coupon: 4.0% Matures: 01/31/2019 Government Securities Spouse Virginia ST Clg Bldg Auth 21st Century Clg & Equip Program Bond Rate/Coupon: 5.0% Matures: 02/01/2019 Government Securities North Middlesex Massachusetts Regional School District BANS Bond Rate/Coupon: 2.5% Matures: 02/05/2019 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.48 7.49 7.50 7.51 7.52 46 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Kenmore-Tonawanda Union Free School District BANS Bond Rate/Coupon: 3.0% Matures: 06/13/2019 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Mesa Arizona G.O. Bond Rate/Coupon: 3.0% Matures: 07/01/2019 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Asset Asset Type Owner Value New Bedford Massachusetts BANS Bond Rate/Coupon: 2.75% Matures: 05/03/2019 Government Securities Spouse County of Middlesex New Jersey 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 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.53 7.54 7.55 7.56 7.57 7.58 47 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Long Island Power Authority NY Elec Sys G.O. Bond Rate/Coupon: 5.5% Matures: 05/01/2033 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 University of Houston Texas University Revenue Bond Rate/Coupon: 4.9% - Variable Matures: 02/15/2034 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Crowley Texas Independent School District Bldg Bond Rate/Coupon: 5.0% Matures: 08/01/2036 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Asset Asset Type Owner Value Washington State Variable Purpose Bond Rate/Coupon: 5.0% Matures: 07/01/2020 Government Securities Spouse Harris County Texas Revenue Bond Rate/Coupon: 5.75% Matures: 10/01/2020 Government Securities Western Boone In Multi-Sch Bldg Bond Rate/Coupon: 4.0% Matures: 07/10/2021 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $500,001 $1,000,000 Interest, $15,001 - $50,000 Spouse $500,001 $1,000,000 None, None (or less than $201) Corporate Securities Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Spouse None (or less than $1,001) None, None (or less than $201) 7.63 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Spouse $15,001 $50,000 None, None (or less than $201) 7.64 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Spouse $1,001 $15,000 None, None (or less than $201) 7.65 AMAT-Applied Materials, Inc. Corporate Securities Spouse $50,001 $100,000 None, None (or less than $201) Corporate Securities Spouse $100,001 $250,000 Dividends, Capital Gains, $100,001 - $1,000,000 Asset Asset Type Owner Value Montana ST Board of Investment Rate/Coupon: 1.7% - Variable Matures: 03/01/2042 Government Securities Spouse Chippewa Falls Area Un Bond Rate/Coupon: 3.0% Matures: 1/10/2019 Government Securities WTT - Wireless Telecom Group, Inc. 7.62 7.59 7.60 7.61 Municipal Security Municipal Security Stock Stock 7.66 AAPL-Apple Inc. Stock 48 of 132 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.67 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Type Owner Value ABT-Abbott Laboratories Corporate Securities Spouse $50,001 $100,000 Dividends, Capital Gains, $50,001 - $100,000 BAC-Bank of America Corporation Corporate Securities Spouse $100,001 $250,000 Dividends, Capital Gains, $100,001 - $1,000,000 C-Citigroup Inc. Corporate Securities Spouse $100,001 $250,000 Dividends, Capital Gains, $15,001 - $50,000 Corporate Securities Spouse $15,001 $50,000 Dividends, None (or less than $201) CCI-Crown Castle International Corp. (REIT) Corporate Securities Spouse $50,001 $100,000 Dividends, Capital Gains, $15,001 - $50,000 CDEV - Centennial Resource Development, Inc. Corporate Securities Spouse $1,001 $15,000 Dividends, None (or less than $201) COMM-CommScope Holding Company, Inc. Corporate Securities Spouse $15,001 $50,000 Capital Gains, $15,001 - $50,000 CVX - Chevron Corporation Corporate Securities Spouse $1,001 $15,000 Dividends, None (or less than $201) Corporate Securities Spouse $15,001 $50,000 None, None (or less than $201) Stock 7.68 7.69 Stock Stock 7.70 CAT - Caterpillar Inc. Stock 7.71 7.72 7.73 7.74 Stock Stock Stock Stock 7.75 EGN-Energen Corporation Stock Income 7.76 DVY-iShares Select Dividend ETF Mutual Funds Spouse $50,001 $100,000 Excepted Investment Fund, $15,001 - $50,000 7.77 EMR - Emerson Electric Co. Corporate Securities Spouse $1,001 $15,000 Dividends, None (or less than $201) Exchange Traded Fund/Note Stock 49 of 132 Income Type Asset 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.78 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $15,001 $50,000 Dividends, None (or less than $201) Spouse $100,001 $250,000 Dividends, Capital Gains, $50,001 - $100,000 Corporate Securities Spouse $100,001 $250,000 Dividends, Capital Gains, $100,001 - $1,000,000 Asset Asset Type Owner Value EOG - EOG Resources, Inc. Corporate Securities Spouse EPD-Enterprise Products Partners L.P. Corporate Securities FUN-Cedar Fair, L.P. Stock 7.79 7.80 Stock Stock 7.81 GDX - VanEck Vectors Gold Miners ETF Mutual Funds Spouse $15,001 $50,000 Dividends, None (or less than $201) 7.82 GILD-Gilead Sciences, Inc. Corporate Securities Spouse $50,001 $100,000 Dividends, Capital Gains, $100,001 - $1,000,000 Exchange Traded Fund/Note Stock 7.83 GLD - SPDR Gold Shares Mutual Funds Spouse $50,001 $100,000 None, None (or less than $201) 7.84 GOOGL-Alphabet Inc. Corporate Securities Spouse $50,001 $100,000 Capital Gains, $100,001 - $1,000,000 Exchange Traded Fund/Note Stock 50 of 132 7.85 GSPKX-Goldman Sachs US Eq Div and Prem Instl Mutual Funds Spouse $50,001 $100,000 Excepted Investment Fund, $15,001 - $50,000 7.86 LLDYX-Lord Abbett Short Duration Income I Mutual Funds Spouse $100,001 $250,000 Excepted Investment Fund, $15,001 - $50,000 7.87 HASI-Hannon Armstrong Sustainable Infrastructure Capita Corporate Securities Spouse $15,001 $50,000 Dividends, $2,501 - $5,000 Mutual Fund Mutual Fund Stock 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.88 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Type Owner Value JNJ-Johnson & Johnson Corporate Securities Spouse $50,001 $100,000 Dividends, Capital Gains, $100,001 - $1,000,000 Stock Income 7.89 KBWB-Invesco KBW Bank ETF Mutual Funds Spouse $100,001 $250,000 Capital Gains, Excepted Investment Fund, $100,001 - $1,000,000 7.90 KEM-KEMET Corporation Corporate Securities Spouse $15,001 $50,000 None, None (or less than $201) Corporate Securities Spouse $15,001 $50,000 Dividends, Capital Gains, $5,001 - $15,000 LMT-Lockheed Martin Corporation Corporate Securities Spouse $15,001 $50,000 Dividends, Capital Gains, $15,001 - $50,000 MMP - Magellan Midstream Partners, L.P. Corporate Securities Spouse $50,001 $100,000 Dividends, None (or less than $201) MSFT-Microsoft Corporation Corporate Securities Spouse $50,001 $100,000 Dividends, Capital Gains, $100,001 - $1,000,000 PNC-The PNC Financial Services Group, Inc. Corporate Securities Spouse $15,001 $50,000 Dividends, Capital Gains, $50,001 - $100,000 7.96 PPA-Invesco Aerospace & Defense ETF Mutual Funds Spouse $50,001 $100,000 Capital Gains, Excepted Investment Fund, $50,001 - $100,000 7.97 RTN-Raytheon Company Corporate Securities Spouse $15,001 $50,000 Dividends, Capital Gains, $15,001 - $50,000 Exchange Traded Fund/Note Stock 7.91 KEY-KeyCorp Stock 7.92 7.93 7.94 Stock Stock Stock 7.95 Stock Exchange Traded Fund/Note Stock 51 of 132 Income Type Asset 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $15,001 $50,000 None, None (or less than $201) Spouse $100,001 $250,000 Dividends, $201 - $1,000 Asset Asset Type Owner Value 7.98 SLV - iShares Silver Trust Mutual Funds Spouse 7.99 VICI-VICI Properties Inc. Corporate Securities Exchange Traded Fund/Note Stock 7.100 Taiwan Semiconductor Mfg Co. - TSM American Depository Receipt Spouse $50,001 $100,000 Dividends, None (or less than $201) 7.101 UTG-Reaves Utility Income Fund Mutual Funds Spouse $15,001 $50,000 Capital Gains, Excepted Investment Fund, $15,001 - $50,000 7.102 WGP-Western Gas Equity Partners, LP Corporate Securities Spouse $50,001 $100,000 Dividends, $5,001 - $15,000 XOM - Exxon Mobil Corporation Corporate Securities Spouse $15,001 $50,000 Dividends, None (or less than $201) ZBH - Zimmer Biomet Holdings, Inc. Corporate Securities Spouse $1,001 $15,000 Dividends, None (or less than $201) 7.105 EWJ-iShares MSCI Japan ETF Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Excepted Investment Fund, $15,001 - $50,000 7.106 Mitsubishi UFJ Financial Group Inc. Filer comment: No longer held American Depository Receipt Spouse None (or less than $1,001) Capital Gains, $5,001 - $15,000 7.107 WMB - The Williams Companies, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, None (or less than $201) 7.103 7.104 52 of 132 Exchange Traded Fund/Note Stock Stock Stock Exchange Traded Fund/Note Stock 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 53 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 7.108 AG Energy Partners II, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 7.109 AG Super Fund, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 7.110 AJ I Gainline LLC Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) 7.111 AJ 2 Elliott LLC Description: Private Investment Vehicle (New York, NY)  Investment Fund Spouse 7.111.1 Ancora Catalyst SPV I L.P. Description: Private Investment Partnership (Cleveland, OH)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, $100,001 - $1,000,000 Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 54 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 7.112 Canyon Laurel Fund L.P. Description: Private Investment Partnership (Los Angeles, CA)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $15,001 - $50,000 7.113 Fortress Secured Lending Fund I (A) LP Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $50,001 - $100,000 7.114 OVO Fund II, LLC Description: Private Investment Partnership (Los Altos, CA)  Investment Fund Spouse $100,001 $250,000 None, None (or less than $201) 7.115 RLSI-CSP Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Capital Gains, Over $1,000,000 and held independently by spouse or dependent child 7.116 VSS Structured Capital III, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $50,001 - $100,000 7.117 New York St Hsg Fin Auth Revenue Bond Rate/Coupon: 2.792% Matures: 05/01/2042 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Municipal Security Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.118 7.119 7.120 7.121 7.122 7.123 7.124 55 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $1,001 - $2,500 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 Irvine California Impt Bd Act Bond Rate/Coupon: 0.75% - Variable Matures: 09/02/2023 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Los Angeles California G.O. Bond Rate/Coupon: 3.0% Matures: 06/29/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Manteca California Rede Bond Rate/Coupon: 0.27% - Variable Matures: 10/01/2042 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 Colorado State Educational Loan Bond Rate/Coupon: 5.0% Matures: 06/29/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Asset Asset Type Owner Value Valdez Alaska Marine Terminal Refinancing Bond Rate/Coupon: 0.88% - Variable Matures: 12/01/2029 Government Securities Spouse Arizona ST Health Facilities Auth Revenue Bond Rate/Coupon: 5.375 Matures: 01/01/2032 Government Securities California Pollution Control Authority Bond Rate/Coupon: 0.84% - Variable Matures: 11/01/2026 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.125 7.126 7.127 7.128 7.129 7.130 7.131 56 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Illinois State Financial Authority Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Iowa Financial Auth Health Facs Bond Rate/Coupon: 2.4% Matures: 06/01/2027 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Louisville & Jefferson County Kentucky Bond Rate/Coupon: 0.11% - Variable Matures: 07/01/2041 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Illinois State Financial Authority Bond Rate/Coupon: 0.75% - Variable Matures: 10/01/2030 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Asset Asset Type Owner Value Milford Connecticut G.O. Bond Rate/Coupon: 2.0% Matures: 11/06/2017 Filer comment: No longer held Government Securities Spouse Fulton County Georgia BANS Bond Rate/Coupon: 2.0% Matures: 12/29/2017 Government Securities Illinois State Health Facs Auth Revenue Bond Rate/Coupon: 0.56% - Variable Matures: 10/01/2022 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.132 7.133 7.134 7.135 7.136 7.137 57 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $201 - $1,000 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 Framingham Massachusetts Muni Bond Rate/Coupon: 1.75% Matures: 12/08/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 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 Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Massachusetts ST Health Muni Bond Rate/Coupon: 0.22% - Variable Matures: 07/01/2026 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Asset Asset Type Owner Value Jackson County Mississippi Pollution Control Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 06/01/2023 Filer comment: No longer held Government Securities Spouse Maryland ST Health & Hg Bond Rate/Coupon: 0.45% Matures: 07/01/2041 Filer comment: No longer held Government Securities Maryland ST Health & Hg Bond Rate/Coupon: 0.64% - Variable Matures: 07/01/2041 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.138 7.139 7.140 7.141 7.142 7.143 58 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $201 - $1,000 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 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 Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Missouri ST Health & Educational Facs Auth Bond Rate/Coupon: 5.375% Matures: 03/15/2039 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Nodaway County Missouri Indl Muni Bond Rate/Coupon: 0.2% Matures: 11/01/2028 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Asset Asset Type Owner Value Massachusetts ST Health Muni Bond Rate/Coupon: 5.5% Matures: 08/15/2040 Filer comment: No longer held Government Securities Spouse Massachusetts ST Health Muni Bond Rate/Coupon: 0.26% - Variable Matures: 10/01/2049 Filer comment: No longer held Government Securities Massachusetts ST Water Res Auth Muni Bond Rate/Coupon: 0.74% - Variable Matures: 08/01/2020 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.144 7.145 7.146 7.147 7.148 7.149 59 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $2,501 - $5,000 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 Westborough Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 08/11/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 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 Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 New York NY Variable Muni Bond Rate/Coupon: 0.75% - Variable Matures: 08/01/2031 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Asset Asset Type Owner Value Forsyth Montana Pollution Control Revenue Bond Rate/Coupon: 0.77% - Variable Matures: 01/01/2018 Filer comment: No longer held Government Securities Spouse New Hampshire ST Business Muni Bond Rate/Coupon: 0.06% - Variable Matures: 10/01/2042 Filer comment: No longer held Government Securities Nantucket Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/30/2017 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.150 7.151 7.152 7.153 7.154 7.155 60 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $1,001 - $2,500 Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 New York City Hsg Fin Agy Revenue Bond Rate/Coupon: 2.25% Matures: 03/15/2036 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 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 Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 New York City Muni Bond Rate/Coupon: 3.56% Matures: 05/01/2033 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Asset Asset Type Owner Value New York NY Variable Muni Bond Rate/Coupon: 0.51% - Variable Matures: 04/01/2042 Filer comment: No longer held Government Securities Spouse New York NY Variable Muni Bond Rate/Coupon: 0.87% - Variable Matures: 08/01/2036 Filer comment: No longer held Government Securities New York NY Variable Muni Bond Rate/Coupon: 0.5% - Variable Matures: 10/01/2038 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.156 7.157 7.158 7.159 7.160 7.161 7.162 61 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $2,501 - $5,000 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 New York ST Dorm Auth Bond Rate/Coupon: 0.74% - Variable Matures: 07/01/2031 Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 New York St Hsg Fin Auth Revenue Bond Rate/Coupon: 0.03% - Variable Matures: 11/01/2046 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Triborough Bridge & Tunnel Auth New York Revenue Bond Rate/Coupon: 0.34% - Variable Matures: 01/01/2033 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 Ohio ST G.O. Bond Rate/Coupon: 5.0% Matures: 09/01/2020 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value New York City NY Transition Fin Auth Bldg Revenue Bond Rate/Coupon: 0.3% - Variable Matures: 02/01/45 Filer comment: No longer held Government Securities Spouse New York City NY Muni Water FinAuth Bond Rate/Coupon: 0.01% - Variable Matures: 06/15/2045 Filer comment: No longer held Government Securities New York City NY Muni Water FinAuth Bond Rate/Coupon: 0.3% - Variable Matures: 06/15/2048 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.163 7.164 7.165 7.166 7.167 7.168 62 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $2,501 - $5,000 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 Dutchess County New York Muni Bond Rate/Coupon: 0.24% - Variable Matures: 07/01/2038 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 East Baton Rouge Parish Muni Bond Rate/Coupon: 0.002% Variable Matures: 12/01/2040 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 East Baton Rouge Parish Muni Bond Rate/Coupon: 0.32% - Variable Matures: 12/01/2051 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 Asset Asset Type Owner Value Clackamas County Oregon School District Bond Rate/Coupon: 5.0% Matures: 06/15/2017 Filer comment: No longer held Government Securities Spouse Delaware Valley Pennsylvania Regional Financial Revenue Bond Rate/Coupon: 0.76% - Variable Matures: 06/01/2042 Filer comment: No longer held Government Securities Derry Twp Pennsylvania Indl Muni Bond Rate/Coupon: 0.63% - Variable Matures: 11/01/2030 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.169 7.170 7.171 7.172 7.173 7.174 63 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $1,001 - $2,500 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 Salt Lake County Utah Muni Bond Rate/Coupon: 2.0% Matures: 12/28/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Washington State Hsg Fin Auth Bond Rate/Coupon: 3.85% Matures: 06/01/2032 Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 Gallatin Tennessee Water & Sewer Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2033 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 0.24% - Variable Matures: 11/15/2045 Filer comment: No longer held Government Securities Spouse Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 0.47% Matures: 11/01/2035 Filer comment: No longer held Government Securities Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 2.0% Matures: 08/01/2017 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.175 7.176 7.177 7.178 7.179 7.180 7.181 7.182 64 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 Wisconsin State Health Muni Bond Rate/Coupon: 0.88% - Variable Matures: 07/15/2028 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 ASYS - Amtech Systems, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Capital Gains, $100,001 - $1,000,000 CB - Chubb Limited Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 GS - The Goldman Sachs Group, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 MMC - Marsh & McLennan Companies, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 Asset Asset Type Owner Value Houston Texas Independent School District BANS Bond Rate/Coupon: 2.25% Government Securities Spouse Matures: 02/15/2018 Filer comment: No longer held Security King County Washington Hsg Auth Var-Ref-Pooled Bond Rate/Coupon: 0.75% - Variable Matures: 07/01/2035 Filer comment: No longer held Government Securities WIsconsin State Environmental Impact Fund Revenue Bond Rate/Coupon: 3.0% Matures: 06/01/2018 Filer comment: No longer held Municipal Municipal Security Municipal Security Municipal Security Stock Stock Stock Stock 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value PFE - Pfizer Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $100,001 - $1,000,000 CABO - Cable One, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Capital Gains, $15,001 - $50,000 NVGS - Navigator Holdings Ltd. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Capital Gains, $50,001 - $100,000 7.186 Briarwood Capital Partners LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 7.187 Canyon Balanced Fund, L.P. Description: Private Investment Vehicle (Los Angeles, California)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 7.188 Engine Capital, LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Capital Gains, $100,001 - $1,000,000 7.183 7.184 7.185 65 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Stock Stock Stock Hedge Fund Hedge Fund Hedge Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 66 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 7.189 Highline Capital Partners QP, LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $15,001 - $50,000 7.190 Mendon Capital QP LP Description: Private Investment Vehicle (Chicago, Illinois)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 7.191 Moab Partners, L.P. Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) 7.192 Nokomis Capital Partners, L.P. Description: Private Investment Vehicle (Dallas, Texas)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $50,001 - $100,000 7.193 Overlook Partners Fund, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 Hedge Fund Hedge Fund Hedge Fund Hedge Fund Hedge Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value 7.194 Rimrock High Income Plus (QP) Fund, L.P. Description: Private Investment Vehicle (Irvine, California)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 7.195 Iowa Higher Ed LN Auth Revenue Bond Rate/Coupon: 1.7% - Variable Matures: 10/01/2033 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Richardson Texas Independent School District Building Bond Rate/Coupon: 3.0% Matures: 02/15/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Lexington Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 02/16/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Portsmouth New Hampshire Muni Bond Rate/Coupon: 3.0% Matures: 06/22/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Hingham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 05/17/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 7.196 7.197 7.198 7.199 67 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Hedge Fund Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 7.200 7.201 7.202 7.203 7.204 7.205 7.206 68 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Somerville Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 06/08/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Williamsville New York Central School District BANS Bond Rate/Coupon: 2.25% Matures: 06/13/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Plymouth Massachusetts Muni Bond Rate/Coupon: 2.0% Matures: 06/15/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 City of Quincy Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 06/15/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value Albany County NY BANS Bond Rate/Coupon: 4.0% Matures: 05/24/2018 Filer comment: No longer held Government Securities Spouse Beacon NY BANS Bond Rate/Coupon: 2.0% Matures: 05/25/2018 Filer comment: No longer held Government Securities Bristol CT Bans Bond Rate/Coupon: 2.25% Matures: 05/29/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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) BX - The Blackstone Group L.P. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $2,501 - $5,000 7.212 GQETX - GMO Quality III Mutual Funds Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 7.213 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Money Market Account, Bank Deposit Spouse $500,001 $1,000,000 Interest, $100,001 - $1,000,000 7.207 7.208 7.209 Asset Asset Type Owner Value Colorado State General Fund Revenue TANS Bond Rate/Coupon: 4.0% Matures: 06/27/2018 Filer comment: No longer held Government Securities Spouse Middle Country NY Central School District Bond Rate/Coupon: 2.0% Matures: 06/27/2018 Filer comment: No longer held Government Securities RILY - B. Riley Financial, Inc. Municipal Security Municipal Security Stock 7.210 KMT - Kennametal Inc. Stock 7.211 69 of 132 Stock Mutual Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Spouse $250,001 $500,000 Interest, $5,001 - $15,000 Government Securities Spouse $50,001 $100,000 Interest, $1,001 - $2,500 E Baton Rouge Parish Louisiana Dev Brd Inc. Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 08/01/2035 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 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 $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Asset Asset Type Owner Value 7.214 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Money Market Account, Bank Deposit Spouse 8 Richard L. Scott GRAT Continuing Trust Trust Spouse 8.1 Clarksville Tennessee Public Building Authority Municipal Bond Rate/Coupon: 1.6% - Variable Matures: 01/01/2033 Government Securities Clarksville Tennessee Public Building Authority Municipal Bond Rate/Coupon: 1.6% - Variable Matures: 02/01/2038 8.2 8.3 8.4 70 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ General Trust Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.5 8.6 8.7 8.8 8.9 8.10 71 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Government Securities Spouse $50,001 $100,000 Interest, $1,001 - $2,500 New York City NY Muni Water Fin Auth Wtr & Sewer Revenue Bond Rate/Coupon: 1.5% - Variable Matures: 06/15/2045 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 New York City NY Muni Water Fin Auth Wtr & Sewer Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 06/15/2048 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 New York ST Dorm Auth Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 07/01/2033 Government Securities Spouse $250,001 $500,000 Interest, $5,001 - $15,000 Asset Asset Type Owner Value Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 02/01/2036 Government Securities Spouse Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 04/01/2032 Government Securities New York City NY Muni Water Fin Auth Wtr & Sewer Revenue Bond Rate/Coupon: 1.5% - Variable Matures: 06/15/2035 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income $50,001 $100,000 Interest, $1,001 - $2,500 Spouse $1,001 $15,000 Interest, None (or less than $201) Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Katy Independent School District Bond Rate/Coupon: 3.0% Matures: 02/15/2019 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Rochester Minnesota Health Care Facilities Bond Rate/Coupon: 4.0% Matures: 11/15/2030 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 District of Columbia Hospital Revenue Bond - Childrens Hosp Rate/Coupon: 5.25% Matures: 07/15/2045 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Asset Asset Type Owner Value Wisconsin ST Health & Educational Facilities Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 07/15/2028 Government Securities Spouse 8.12 BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit 8.13 Guilford Connecticut BANS Bond Rate/Coupon: 2.0% Matures: 08/08/2018 8.11 8.14 8.15 8.16 72 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.17 8.18 8.19 8.20 8.21 8.22 73 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Massachusetts State G.O. Bond Rate/Coupon: 5.5% Matures: 08/01/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Rochester NY BANS Bond Rate/Coupon: 2.5% Matures: 08/02/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Westborough Massachusetts BANS Bond Rate/Coupon: 2.5% Matures: 08/10/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Asset Asset Type Owner Value Georgia State G.O. Bond Rate/Coupon: 5.0% Matures: 07/01/2018 Government Securities Spouse Gilbert Arizona Public Facilities Muni Property Bond Rate/Coupon: 3.0% Matures: 07/01/2018 Government Securities Massachusetts Bay MA Transportation Bond Rate/Coupon: 5.0% Matures: 07/01/2018 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.23 8.24 8.25 8.26 8.27 74 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 City of Quincy Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 09/28/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Arizona State Ctfs Partn Cops Bond Rate/Coupon: 4.0% Matures: 10/01/2018 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value Texas State G.O. Bond Rate/Coupon: 4.0% Matures: 08/30/2018 Government Securities Spouse North Texas ST Muni Water Dist Bond Rate/Coupon: 5.0% Matures: 09/01/2018 Government Securities Essex County New Jersey BANS Bond Rate/Coupon: 2.5% Matures: 09/12/2018 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.28 8.29 8.30 8.31 8.32 8.33 75 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Louisville & Jefferson County Kentucky Met Swr Dist Swr & Drain Sys BANS Bond Rate/Coupon: 5.0% Matures: 11/12/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Cohasset Massachusetts Mun Purp LN Bond Rate/Coupon: 4.0% Matures: 11/15/2018 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Houston Texas Utility Sys Revenue Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Asset Asset Type Owner Value Wichita Kansas Temp Nts Bond Rate/Coupon: 1.1% Matures: 10/13/2018 Government Securities Spouse Pittsfield Massachusetts G.O. Bond Rate/Coupon: 2.0% Matures: 10/26/2018 Government Securities Milford Connecticut BANS Bond Rate/Coupon: 2.25% Matures: 11/05/2018 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.34 8.35 8.36 8.37 8.38 8.39 76 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Spouse $500,001 $1,000,000 Interest, $50,001 - $100,000 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 New York ST Dorm Auth General Purpose Bond Rate/Coupon: 5.0% Matures: 12/15/2018 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Oregon Education Districts Short Term Cops Bond Rate/Coupon: 2.5% Matures: 12/31/2018 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Gwinnett County Georgia School District Sales Tax Bond Rate/Coupon: 3.0% Matures: 02/01/2019 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Asset Asset Type Owner Value Spartanburg County School District No. 7T BANS Bond Rate/Coupon: 5.0% Matures: 11/15/2018 Government Securities Spouse Minneapolis Minnesota G.O. Bond Rate/Coupon: 5.0% Matures: 12/01/2018 Government Securities Akron Ohio Income Tax Revenue Bond Rate/Coupon: 3 Matures: 12/12/2018 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.40 8.41 8.42 8.43 8.44 8.45 77 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Hamilton Twp New Jersey Mercer County BANS Bond Rate/Coupon: 3.0% Matures: 05/21/2019 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Town of Dover New Jersey BANS Bond Rate/Coupon: 3.0% Matures: 05/31/2019 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 County of Middlesex New Jersey Bond Rate/Coupon: 3.0% Matures: 06/11/2019 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Asset Asset Type Owner Value Richland County South Carolina BANS Bond Rate/Coupon: 3.0% Matures: 02/27/2019 Government Securities Spouse Baltimore County Maryland BANS Bond Rate/Coupon: 4.0% Matures: 03/18/2019 Government Securities Virginia ST Public Sch Auth Bond Rate/Coupon: 5.0% Matures: 04/15/2019 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.46 8.47 8.48 8.49 8.50 8.51 8.52 78 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $500,001 $1,000,000 Interest, $15,001 - $50,000 Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Government Securities Spouse $250,001 $500,000 Interest, $5,001 - $15,000 Town of Boxford Massachusetts BANS Bond Rate/Coupon: 2.25% Matures: 06/21/2019 Government Securities Spouse $500,001 $1,000,000 Interest, $5,001 - $15,000 Massachusetts ST Dev Fin Agyre Bond Rate/Coupon: 5.25% Matures: 11/15/2019 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Intermountain Pwr Agy Utah Power Sys Bond Rate/Coupon: 5.0% Matures: 07/01/2020 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Long Island Power Authority NY Elec Sys G.O. Bond Rate/Coupon: 5.5% Matures: 05/01/2033 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value Williamsville New York Central School District BANS Bond Rate/Coupon: 3.0% Matures: 06/12/2019 Government Securities Spouse Marlborough Massachusetts BANS Bond Rate/Coupon: 2.75% Matures: 06/14/2019 Government Securities Town of Plymouth Massachusetts BANS Bond Rate/Coupon: 3.0% Matures: 06/14/2019 Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $100,001 - $1,000,000 Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Montana ST Board of Investment Bond Rate/Coupon: 1.7% - Variable Matures: 03/01/2042 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 8.57 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Spouse $15,001 $50,000 None, None (or less than $201) 8.58 AG Energy Partners II, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 8.53 8.54 8.55 8.56 79 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Asset Type Owner Value University of Houston Texas University Revenue Bond Rate/Coupon: 4.9% - Variable Government Securities Spouse Matures: 02/15/2034 Security Massachusetts ST Hlth & Education - Massachusetts Institute Technology Bond Rate/Coupon: 5.5% Matures: 07/01/2036 Government Securities Southern Columbia Pennsylvania Area School District Bond Rate/Coupon: 5.15% Matures: 04/01/2040 Municipal Municipal Security Municipal Security Municipal Security Private Equity Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 80 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 8.59 AG Super Fund, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $15,001 - $50,000 8.60 AJ I Gainline LLC Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) 8.61 AJ 2 Elliott LLC Description: Private Investment Vehicle (New York, NY)  Investment Fund Spouse 8.61.1 Ancora Catalyst SPV I L.P. Description: Private Investment Partnership (Cleveland, OH)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, $100,001 - $1,000,000 8.62 Canyon Laurel Fund L.P. Description: Private Investment Partnership (Los Angeles, CA)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $15,001 - $50,000 Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 81 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 8.63 Fortress Secured Lending Fund I (A) LP Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $50,001 - $100,000 8.64 Mendon Capital QP, LP Description: Private Investment Partnership (Chicago, IL)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 8.65 OVO Fund II, LLC Description: Private Investment Partnership (Los Altos, CA)  Investment Fund Spouse $100,001 $250,000 None, None (or less than $201) 8.66 Richard L. and F. Annette Scott Family Partnership Description: Private Investment Partnership (Naples, FL) Filer comment: Assets disclosed elsewhere in this report Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Capital Gains, Over $1,000,000 and held independently by spouse or dependent child 8.67 VSS Structured Capital III, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse $500,001 $1,000,000 Excepted Investment Fund, $50,001 - $100,000 8.68 Briarwood Capital Partners LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Hedge Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 82 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 8.69 Canyon Balanced Fund, L.P. Description: Private Investment Vehicle (Los Angeles, California)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 8.70 Engine Capital, LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Capital Gains, $100,001 - $1,000,000 8.71 Highline Capital Partners QP, LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $15,001 - $50,000 8.72 Moab Partners, L.P. Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) 8.73 Nokomis Capital Partners, L.P. Description: Private Investment Vehicle (Dallas, Texas)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $15,001 - $50,000 Hedge Fund Hedge Fund Hedge Fund Hedge Fund Hedge Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value 8.74 Overlook Partners Fund, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 8.75 California Pollution Control Authority Bond Rate/Coupon: 0.84% Matures: 11/01/2026 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Clackamas County Oregon School District Bond Rate/Coupon: 5.0% Matures: 06/15/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Colorado State Educational Loan Bond Rate/Coupon: 5.0% Matures: 06/29/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Derry Township Pennsylvania Indl & Commercial Dev Revenue Bond Rate/Coupon: 0.63% - Variable Matures: 11/01/2030 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 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 Spouse None (or less than $1,001) Interest, $201 - $1,000 8.76 8.77 8.78 8.79 83 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Hedge Fund Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.80 8.81 8.82 8.83 8.84 8.85 8.86 84 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $2,501 - $5,000 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 Indiana ST Fin Auth Environmental Bond Rate/Coupon: 0.2% - Variable Matures: 10/01/2040 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Irvine California Impt Bd Act 1915 Loc Muni Bond Rate/Coupon: 0.93% Matures: 09/02/2023 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Jackson County Mississippi Port Fac Muni Bond Rate/Coupon: 0.96% - Variable Matures: 06/01/2023 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 King County Washington Hsg Auth Var-Ref-Pooled Bond Rate/Coupon: 0.75% - Variable Matures: 07/01/2035 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Asset Asset Type Owner Value Forsyth Montana Pollution Control Revenue Bond Rate/Coupon: 0.77% - Variable Matures: 01/01/2018 Filer comment: No longer held Government Securities Spouse Framingham Massachusetts BANS Bond Rate/Coupon: 1.75% Matures: 12/08/2017 Filer comment: No longer held Government Securities Illinois State Financial Auth Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2017 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.87 8.88 8.89 8.90 85 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 Asset Asset Type Owner Value Maryland State Hlth & Higher Educational Facilities Revenue Bond Rate/Coupon: 0.45% - Variable Matures: 07/01/2041 Filer comment: No longer held Government Securities Spouse Massachusetts State Revenue Antic Nts Bond Rate/Coupon: 4.0% Matures: 07/01/2017 Filer comment: No longer held Government Securities 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 Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.91 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 Minnesota ST Agriculture Muni Bond Rate/Coupon: 0.75% - Variable Matures: 09/01/2021 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 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 Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Metropolitan Transportation Authority of New York Revenue Bond 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 Government Securities Spouse Metropolitan Washington DC Airports Auth Revenue Bond Rate/Coupon: 0.94% - Variable Matures: 10/01/2039 Filer comment: No longer held Government Securities Milford Connecticut BANS Bond Rate/Coupon: 2.0% Matures: 11/06/2017 Filer comment: No longer held Municipal Security longer held 8.92 8.93 8.94 8.95 86 of 132 Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.96 8.97 8.98 8.99 8.100 87 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $50,001 - $100,000 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 Needham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/01/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 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 Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Missouri State Health & Educational Facilities Revenue 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 Government Securities Spouse Montgomery County Tennessee Public Bldg Auth Revenue Bond Rate/Coupon: 3.9% Matures: 07/01/2034 Filer comment: No longer held Government Securities Nantucket Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 11/30/2017 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.101 8.102 8.103 8.104 88 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Asset Asset Type Owner Value New York City NY Transition Fin Auth Bldg Revenue Bond Rate/Coupon: See 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 Government Securities Spouse 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 Government Securities 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 Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.105 8.106 8.107 8.108 8.109 8.110 89 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 Valdez Alaska Marine Terminal Bond Rate/Coupon: 0.88% - Variable Matures: 12/01/2029 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Wisconsin ST Health & Educational Facilities Revenue Bond Rate/Coupon: 0.48% - Variable Matures: 07/15/2028 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Charleston County South Carolina School District Muni Bond Rate/Coupon: 2.0% Matures: 11/16/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value Nodaway County Missouri Indl Dev Auth Revenue Bond Rate/Coupon: 0.2% - Variable Matures: 11/01/2028 Filer comment: No longer held Government Securities Spouse San Antonio Texas Independent Sch Dist Bond Rate/Coupon: 2.0% Matures: 08/01/2044 Filer comment: No longer held Government Securities Triborough NY Bridge & Tunnel Auth Revenue Bond Rate/Coupon: 0.34% - Variable Matures: 01/01/2033 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Westborough Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 08/11/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 8.115 Rimrock High Income Plus (QP) Fund, L.P. Description: Private Investment Partnership (Irvine, California)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) 8.116 Tuscaloosa County Alabama Muni Bond Rate/Coupon: 0.75% - Variable Matures: 04/01/2028 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 8.111 8.112 8.113 8.114 90 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Asset Type Owner Value Fulton County Georgia General Fund - Tax Antic Nts Bond Rate/Coupon: 2.0% Matures: 12/29/2017 Filer comment: No longer held Government Securities Spouse Los Angeles California G.O. Bond Rate/Coupon: 3.0% Matures: 06/29/2017 Filer comment: No longer held Government Securities Salt Lake County Utah Tax & Rev Antic Nts Bond Rate/Coupon: 2.0% Matures: 12/28/2017 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Hedge Fund Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.117 8.118 8.119 8.120 8.121 8.122 91 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $2,501 - $5,000 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 Delaware Valley PA Regional Financial Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 06/01/2042 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Gallatin Tennessee Water & Sewer Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2033 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Houston Texas Independent School District Ltd TaxSchoolhouse Bond Rate/Coupon: 2.25% Matures: 02/15/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Alaska ST International Airports Revenue Bond Rate/Coupon: 0.73% - Variable Matures: 10/01/2030 Filer comment: No longer held Government Securities Spouse Arizona ST Health Facilities Auth Revenue Bond Rate/Coupon: 5.375% Matures: 01/01/2032 Filer comment: No longer held Government Securities Ohio ST G.O. Bond Rate/Coupon: 5.0% Matures: 09/01/2020 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.123 8.124 8.125 8.126 8.127 8.128 92 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Richardson Texas Independent School District Building Bond Rate/Coupon: 3.0% Matures: 02/15/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Lexington Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 02/16/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Granite Utah School District Salt Lake County Muni Bond Rate/Coupon: 4.0% Matures: 06/01/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Wisconsin State Environmental Impact Fund Revenue Bond Rate/Coupon: 3.0% Matures: 06/01/2018 Filer comment: No longer held Government Securities Spouse Albany County NY BANS Bond Rate/Coupon: 4.0% Matures: 05/24/2018 Filer comment: No longer held Government Securities Delaware Valley PA Regional Financial Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 06/01/2042 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.129 8.130 8.131 8.132 8.133 8.134 93 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 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 Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Hingham Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 05/17/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Beacon NY BANS Bond Rate/Coupon: 2.0% Matures: 05/25/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value Portsmouth New Hampshire Muni Bond Rate/Coupon: 3.0% Government Securities Spouse Matures: 06/22/2018 Filer comment: No longer held Security Arizona ST Health Facilities Auth Revenue Bond Rate/Coupon: 5.375% Matures: 01/01/2032 Filer comment: No longer held Government Securities Minnesota Public Facilities Auth Clean Water Muni Bond Rate/Coupon: 5.0% Matures: 03/01/2018 Filer comment: No longer held Municipal Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.135 8.136 8.137 8.138 8.139 8.140 94 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $50,001 - $100,000 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 Colorado State General Fund Revenue TANS Bond Rate/Coupon: 4.0% Matures: 06/27/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Middle Country NY Central School District Bond Rate/Coupon: 2.0% Matures: 06/27/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Manhasset NY Union Free Tax Antic Nts Bond Rate/Coupon: 2.0% Matures: 06/29/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value Somerville Massachusetts BANS Bond Rate/Coupon: 2.0% Matures: 06/08/2018 Filer comment: No longer held Government Securities Spouse Williamsville New York Central School District BANS Bond Rate/Coupon: 2.25% Matures: 06/13/2018 Filer comment: No longer held Government Securities Plymouth Massachusetts Muni Bond Rate/Coupon: 2.0% Matures: 06/15/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 8.141 8.142 8.143 8.144 8.145 8.146 95 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 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 Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Iowa Higher Ed LN Auth Revenue Bond Rate/Coupon: 1.6% - Variable Matures: 10/01/2024 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 1.16% - Variable Matures: 11/01/2035 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 Asset Asset Type Owner Value Colorado State Educational Loan Bond Rate/Coupon: 4.0% Matures: 06/27/2018 Filer comment: No longer held Government Securities Spouse E Baton Rouge Parish Louisiana Muni Bond Rate/Coupon: 1.6% - Variable Matures: 12/01/2040 Filer comment: No longer held Government Securities Guttenberg New Jersey Muni Bond Rate/Coupon: 2.5% Matures: 06/18/2018 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income None (or less than $1,001) Interest, $201 - $1,000 Spouse None (or less than $1,001) Interest, $1,001 - $2,500 Bank Deposit Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 F. Annette Scott Revocable Trust Trust Spouse 9.1 Merrill Lynch (Bank of America) (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Spouse $100,001 $250,000 Interest, $15,001 - $50,000 9.2 BIF Money Fund Mutual Funds Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, $15,001 - $50,000 Asset Asset Type Owner Value Oregon St Health & Science Muni Bond Rate/Coupon: 1.1% - Variable Matures: 07/01/2042 Filer comment: No longer held Government Securities Spouse Willoughby Ohio Muni Bond Rate/Coupon: 2.25% Matures: 05/24/2018 Filer comment: No longer held Government Securities 8.149 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Money Market Account, 9 8.147 8.148 96 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Municipal Security Municipal Security General Trust Stable Value Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Government Securities Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $15,001 - $50,000 Los Angeles California Transportation Bond Rate/Coupon: 5.0% Matures: 06/28/2018 Government Securities Spouse None (or less than $1,001) Interest, $100,001 - $1,000,000 9.7 Morgan Stanley (Los Angeles, CA) Type: Brokerage Sweep Account, Bank Deposit Spouse $1,001 $15,000 Interest, None (or less than $201) 9.8 Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse None (or less than $1,001) Interest, None (or less than $201) 9.3 9.4 9.5 9.6 97 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Asset Type Owner Value Oregon State Tax Antic Nts G.O. Bond Rate/Coupon: 5.0% Matures: 09/28/2018 Government Securities Spouse Bay Area Toll at California Bridge Revenue Bond Rate/Coupon: 2.62% - Variable Matures: 04/01/2036 Government Securities Bay Area Toll Auth California Revenue Bond Rate/Coupon: 2.36% - Variable Matures: 11/01/2022 Municipal Security Municipal Security Municipal Security Municipal Security US Treasury/Agency Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.9 9.10 9.11 9.12 9.13 9.14 9.15 98 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $1,001 $15,000 Interest, None (or less than $201) Spouse None (or less than $1,001) Interest, None (or less than $201) Government Securities Spouse $15,001 $50,000 Interest, $201 - $1,000 Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse $15,001 $50,000 Interest, None (or less than $201) Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse $1,001 $15,000 Interest, None (or less than $201) Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse $1,001 $15,000 Interest, None (or less than $201) Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse $1,001 $15,000 Interest, None (or less than $201) Asset Asset Type Owner Value Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse FHLMC 30 Year Gold Rate/Coupon: None Matures: None Government Securities Federal National Mortgage Assn Pool Rate/Coupon: None Matures: None US 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 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.16 9.17 9.18 9.19 9.20 9.21 9.22 99 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $1,001 $15,000 Interest, None (or less than $201) 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 National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse $15,001 $50,000 Interest, None (or less than $201) Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse $15,001 $50,000 Interest, None (or less than $201) Illinois Fin A Revenue Bond Rate/Coupon: 5.375% Matures: 04/01/2044 Government Securities Spouse $500,001 $1,000,000 Interest, $15,001 - $50,000 Morgan Stanley Active Assets Govt Trust Mutual Funds Spouse $15,001 $50,000 None, None (or less than $201) Asset Asset Type Owner Value Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Government National Mortgage Assn Pool Rate/Coupon: None Matures: None US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security US Treasury/Agency Security Municipal Security Stable Value Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.23 Income Type Income $1,001 $15,000 Interest, $2,501 - $5,000 Spouse $250,001 $500,000 Interest, $5,001 - $15,000 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Texas A&M University Fd Bond Rate/Coupon: 5.0% Matures: 07/01/2025 Government Securities Spouse $500,001 $1,000,000 Interest, $50,001 - $100,000 Black Belt Energy Gas Dist Algas Revenue Bond Rate/Coupon: 4.0% Matures: 08/01/2047 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Massachusetts Water Res Auth General Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2028 Government Securities Spouse $500,001 $1,000,000 Interest, $50,001 - $100,000 Municipal Electric Auth Georgia Revenue Bond Rate/Coupon: 6.0% Matures: 01/01/2023 Government Securities Spouse $250,001 $500,000 Interest, $15,001 - $50,000 Seattle Washington Solid Waste Revenue Bond Rate/Coupon: 4.0% Matures: 06/01/2032 Government Securities Spouse $100,001 $250,000 Interest, $1,001 - $2,500 Asset Asset Type Owner Value Lower Colorado River Auth Texas Revenue Bond Rate/Coupon: 4.0% Government Securities Spouse California Muni Fin Auth Solid Waste District Revenue Bond Rate/Coupon: 2.0% - Floating Matures: 12/01/2044 Government Securities Canadian River Texas Municipal Water Auth Contract Revenue Bond Rate/Coupon: 5.0% Matures: 02/15/2025 Matures: 05/15/2019 9.24 9.25 9.26 9.27 9.28 9.29 9.30 100 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.31 9.32 9.33 9.34 9.35 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $250,001 $500,000 Interest, $15,001 - $50,000 Spouse $250,001 $500,000 Interest, $5,001 - $15,000 Corporate Securities Spouse $100,001 $250,000 Dividends, $15,001 - $50,000 AM - Antero Midstream Partners LP Corporate Securities Spouse $100,001 $250,000 Dividends, $5,001 - $15,000 FUN - Cedar Fair, L.P. Corporate Securities Spouse $250,001 $500,000 Dividends, $15,001 - $50,000 DM - Dominion Energy Midstream Partners, LP Corporate Securities Spouse $50,001 $100,000 Dividends, $5,001 - $15,000 ETE - Energy Transfer Equity, L.P. Corporate Securities Spouse $500,001 $1,000,000 Dividends, $50,001 - $100,000 EPD - Enterprise Products Partners L.P. Corporate Securities Spouse $250,001 $500,000 Dividends, $15,001 - $50,000 EQGP - EQT GP Holdings, LP Corporate Securities Spouse $100,001 $250,000 Dividends, $5,001 - $15,000 Corporate Securities Spouse $100,001 $250,000 Dividends, $15,001 - $50,000 Asset Asset Type Owner Value Hudson Yds Infrastructure Corp NY Revenue Bond Rate/Coupon: 5.0% Matures: 02/15/2029 Government Securities Spouse California State Public Works Revenue Bond Rate/Coupon: 5.0% Matures: 10/01/2030 Government Securities ARLP - Alliance Resource Partners, L.P. Municipal Security Municipal Security Stock Stock Stock 9.36 9.37 9.38 9.39 Stock Stock Stock Stock 9.40 101 of 132 EQM - EQT Midstream Partners, LP Stock 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $250,001 $500,000 Dividends, $15,001 - $50,000 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 Spouse $100,001 $250,000 Dividends, $15,001 - $50,000 WGP - Western Gas Equity Partners, LP Corporate Securities Spouse $250,001 $500,000 Dividends, $15,001 - $50,000 WMB - The Williams Companies, Inc. Corporate Securities Spouse $100,001 $250,000 Dividends, $1,001 - $2,500 9.48 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Spouse $15,001 $50,000 None, None (or less than $201) 9.49 Pershing Advisors - F. Annette Scott IRA Retirement Plans Spouse 9.49.1 Pershing Treasury Account Fund - PTA Mutual Funds Spouse $1,001 $15,000 None, None (or less than $201) 9.41 9.42 Asset Asset Type Owner Value NEP - NextEra Energy Partners, LP Corporate Securities Spouse NYLD - NRG Yield, Inc. Corporate Securities Stock Stock 9.43 OKE - ONEOK, Inc. Stock 9.44 SRE - Sempra Energy Stock 9.45 9.46 9.47 102 of 132 Stock Stock Stock IRA Stable Value Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.49.2 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $50,001 $100,000 None, None (or less than $201) Asset Asset Type Owner Value OEF-iShares S&P 100 ETF Mutual Funds Spouse Exchange Traded Fund/Note 9.50 Wells Fargo Bank, N.A. (Tallahassee, FL) Type: Checking, Bank Deposit Spouse $50,001 $100,000 None, None (or less than $201) 9.51 Mutual of Omaha Bank (Naples, FL) Type: Checking, Bank Deposit Spouse $100,001 $250,000 None, None (or less than $201) 9.52 Loan to Cathy Gellatly Debtor: Cathy Gellatly  Accounts Receivable Spouse $100,001 $250,000 Interest, $2,501 - $5,000 Account Receivable from Pharmaca Investments, LLC Company: Pharmaca Investments, LLC (Rowayton, Connecticut)  Accounts Receivable Spouse $50,001 $100,000 None, None (or less than $201) Account Receivable from S&S Equity Partners I LLC Company: S&S Equity Partners I LLC (Rowayton, Connecticut)  Accounts Receivable Spouse $15,001 $50,000 None, None (or less than $201) AG Energy Partners II, L.P. Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 9.53 9.54 9.55 103 of 132 From an Individual From a Business From a Business Private Equity Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 104 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 9.56 AG Super Fund, L.P. Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 9.57 AJ I Gainline LLC Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) 9.58 AJ 2 Elliott LLC Description: Private Investment Vehicle (New York, NY)  Investment Fund Spouse 9.58.1 Ancora Catalyst SPV I L.P. Description: Private Investment Partnership (Cleveland, OH)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, $100,001 - $1,000,000 9.59 CAI Partners and Company IV L.P. Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse $500,001 $1,000,000 Excepted Investment Fund, $50,001 - $100,000 9.60 Canyon Laurel Fund L.P. Description: Private Investment Partnership (Los Angeles, CA)  Investment Fund Spouse $500,001 $1,000,000 Excepted Investment Fund, $15,001 - $50,000 Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 105 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 9.61 G. Scott Capital Partners Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Interest, Over $1,000,000 and held independently by spouse or dependent child 9.62 OVO Fund II, LLC Description: Private Investment Partnership (Los Altos, CA)  Investment Fund Spouse $100,001 $250,000 None, None (or less than $201) 9.63 Pharmaca Investments, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse $500,001 $1,000,000 None, None (or less than $201) 9.64 Richard L. and F. Annette Scott Family Partnership Description: Private Investment Partnership (Naples, FL) Filer comment: Underlying assets disclosed elsewhere in this report Investment Fund Spouse $250,001 $500,000 Dividends, Capital Gains, $100,001 - $1,000,000 9.65 RLSI-EMIDA Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse $50,001 $100,000 None, None (or less than $201) 9.66 S&S Debt Partners I, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse $1,001 $15,000 Interest, $100,001 - $1,000,000 Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value 9.67 S&S Equity Partners I LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Interest, Over $1,000,000 and held independently by spouse or dependent child 9.68 S&S Sports, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Interest, Over $1,000,000 and held independently by spouse or dependent child 9.69 VSS Structured Capital III, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse $500,001 $1,000,000 Excepted Investment Fund, $100,001 - $1,000,000 9.70 Columbia Collier Management, LLC Company: Columbia Collier Management, LLC (Naples, Florida) Description: Company set up for purpose of ownership of airplane  Corporate Securities Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) Mesa Arizona Excise Tax Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2027 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Washington State Health Care Facilities Auth Revenue Bond Rate/Coupon: 5.0% Matures: 10/01/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 9.71 9.72 106 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Private Equity Fund Private Equity Fund Private Equity Fund Non-Public Stock Municipal Security Municipal Security Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.73 9.74 9.75 9.76 9.77 9.78 107 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 San Diego California Unified School District Tax & Revenue Bond Rate/Coupon: 2.0% Matures: 06/30/2017 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Pennsylvania State Turnpike Commission Muni Bond Rate/Coupon: Variable Matures: 12/01/2019 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 California State Public Works Revenue Bond Rate/Coupon: 5.25% Matures: 11/01/2027 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $50,001 - $100,000 Asset Asset Type Owner Value North Carolina ST Grant Antic Revenue Bond Rate/Coupon: 2.0% - Variable Matures: 03/01/2023 Filer comment: No longer held Government Securities Spouse Fremont California Unified School District Alameda County Rate/Coupon: 3.25% Matures: 08/01/2039 Filer comment: No longer held Government Securities Seattle Washington Municipal Light & Power Revenue Bond Rate/Coupon: 5.25% Matures: 04/01/2020 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.79 9.80 9.81 9.82 9.83 9.84 108 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $15,001 - $50,000 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 Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 5.0% Matures: 11/15/2023 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Denver Colorado City & County Airport Revenue Bond Rate/Coupon: 5.25% Matures: 11/15/2026 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Sales Tax Asset Receivable New York Bond Rate/Coupon: 5.0% Matures: 10/15/2025 Filer comment: No longer held Government Securities Spouse $15,001 $50,000 Interest, $15,001 - $50,000 Asset Asset Type Owner Value District of Columbia G.O. Bond Rate/Coupon: 5.0% Government Securities Spouse Matures: 06/01/2024 Filer comment: No longer held Security Bay Area Toll Auth California Toll Bridge Revenue Bond Rate/Coupon: Variable Matures: 04/01/2045 Filer comment: No longer held Government Securities Bay Area Toll Auth California Toll Bridge Revenue Bond Rate/Coupon: Variable Matures: 04/01/2047 Filer comment: No longer held Municipal Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.85 9.86 9.87 9.88 9.89 9.90 9.91 109 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $15,001 $50,000 Interest, $15,001 - $50,000 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 California State Variable Purpose Bond Rate/Coupon: 5.0 Matures: 09/01/2019 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 California St G.O. Bond Rate/Coupon: 5.25% Matures: 09/01/2022 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Chicago Airport BE Bond Rate/Coupon: 5.25% Matures: 01/01/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Chicago General BE Bond Rate/Coupon: 5.0% Matures: 01/01/2022 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Asset Asset Type Owner Value Arizona State Transportation Board Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2022 Filer comment: No longer held Government Securities Spouse Mesa Arizona Street & Highway Revenue Bond Rate/Coupon: 5.0% Matures: 07/01/2021 Filer comment: No longer held Government Securities Alvin Texas Independent BE Muni Bond Rate/Coupon: 3.0% Matures: 02/15/2036 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.92 9.93 9.94 9.95 9.96 9.97 110 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $1,001 - $2,500 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 Lower Alabama Gas Project Revenue Bond Rate/Coupon: 5.0% Matures: 09/01/2028 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Massachusetts State BE Bond Rate/Coupon: 1.38% - Variable Matures: 11/01/2019 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 Massachusetts State BE Bond Rate/Coupon: 5.0% Matures: 07/01/2026 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $201 - $1,000 Asset Asset Type Owner Value Grand Prairie Texas Independent School District Bond Rate/Coupon: 5.0% Matures: 02/15/2025 Filer comment: No longer held Government Securities Spouse Connecticut State Spec Tax Revenue Bond Rate/Coupon: 5.0% Matures: 12/01/2020 Filer comment: No longer held Government Securities Illinois ST Sales Tax & Revenue Bond Rate/Coupon: 5.0% Matures: 06/15/2021 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.98 9.99 9.100 9.101 9.102 9.103 9.104 111 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 Milwaukee Wisconsin Metro Sewer District Bond Rate/Coupon: 5.25% Matures: 10/01/2021 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 New Mexico Mun Egy Acquisition Auth Gas Supply Revenue Bond Rate/Coupon: 1.27% - Variable Matures: 11/01/2039 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $1,001 - $2,500 New York State Muni Bond Rate/Coupon: 5.0% Matures: 03/15/2027 Government Securities Spouse None (or less than $1,001) Interest, $2,501 - $5,000 New York City NY Transition Fin Auth Bldg Revenue Bond Rate/Coupon: 5.0% Matures: 07/15/2023 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $15,001 - $50,000 Asset Asset Type Owner Value Metropolitan Washington DC Airports Auth Revenue Bond Rate/Coupon: 5.0% Matures: 10/01/2019 Filer comment: No longer held Government Securities Spouse Metropolitan Transportation Authority of New York Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2017 Filer comment: No longer held Government Securities Michigan State Hospital Bond Rate/Coupon: 5.0% Matures: 11/01/2031 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.105 9.106 9.107 9.108 9.109 9.110 112 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Interest, $1,001 - $2,500 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 Triborough Bridge & Tunnel Auth New York Revenue Bond Rate/Coupon: 5.0% Matures: 01/01/2025 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 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. Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 Massachusetts State G.O. Bond Rate/Coupon: 1.413% - Variable Matures: 05/21/2018 Filer comment: No longer held Government Securities Spouse None (or less than $1,001) Interest, $5,001 - $15,000 Asset Asset Type Owner Value Port of Seattle Washington Revenue Bond Rate/Coupon: 5.0% Matures: 08/01/2026 Filer comment: No longer held Government Securities Spouse San Antonio Texas Electric & Gas Revenue Bond Rate/Coupon: 4.75% Matures: 02/01/2028 Filer comment: No longer held Government Securities Connecticut State Spec Tax Revenue Bond Rate/Coupon: 5.0% Matures: 09/01/2030 Filer comment: No longer held Municipal Security Municipal Security Municipal Security Municipal Security Stock Municipal Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income None (or less than $1,001) Interest, $5,001 - $15,000 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 MPLX - MPLX LP Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $5,001 - $15,000 NSH - NuStar GP Holdings, LLC Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $15,001 - $50,000 9.116 Briarwood Capital Partners LP Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 9.117 Canyon Balanced Fund, L.P. Description: Private Investment Partnership (Los Angeles, California)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, Over $1,000,000 and held independently by spouse or dependent child 9.111 9.112 9.113 9.114 9.115 113 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Asset Type Owner Value Illinois Fin Auth Revenue Bond Rate/Coupon: 6.5% Matures: 11/01/2038 Filer comment: No longer held Government Securities Spouse Illinois State Sales Tax Revenue Bond Rate/Coupon: 5.0% Matures: 06/15/2021 Filer comment: No longer held Government Securities AHGP - Alliance Holdings GP, L.P. Filer comment: No longer held Municipal Security Municipal Security Stock Stock Stock Hedge Fund Hedge Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 9.118 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Type Owner Value Elliott Associates, L.P. Description: Private Investment Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 Hedge Fund Partnership (New York, New York)  114 of 132 Income Type Asset Income 9.119 Engine Capital, LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Capital Gains, Over $1,000,000 and held independently by spouse or dependent child 9.120 Highline Capital Partners QP, LP Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $15,001 - $50,000 9.121 Mendon Capital QP LP Description: Private Investment Partnership (Chicago, Illinois)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 9.122 Moab Partners, L.P. Description: Private Investment Partnership (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) Hedge Fund Hedge Fund Hedge Fund Hedge Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 115 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 9.123 Nokomis Capital Partners, L.P. Description: Private Investment Partnership (Dallas, Texas)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 9.124 Overlook 3G Investments, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $50,001 - $100,000 9.125 Overlook Partners Fund, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 9.126 Fortress Secured Lending Fund I (A) LP Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse $500,001 $1,000,000 Excepted Investment Fund, $15,001 - $50,000 9.127 JMB Capital Partners, L.P. Description: Private Investment Vehicle (Los Angeles, CA) Filer comment: No longer held Investment Fund Spouse None (or less than $1,001) Excepted Investment Fund, $100,001 - $1,000,000 9.128 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Money Market Account, Bank Deposit Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $50,001 - $100,000 Hedge Fund Hedge Fund Hedge Fund Private Equity Fund Hedge Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income $50,001 $100,000 None, None (or less than $201) Spouse $500,001 $1,000,000 Dividends, $2,501 - $5,000 Investment Fund Spouse $1,001 $15,000 None, None (or less than $201) 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  Business Entity Spouse 10.1 Morgan Stanley (Los Angeles, CA) Type: Brokerage Sweep Account, Bank Deposit Spouse $1,001 $15,000 Interest, None (or less than $201) 10.2 Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse None (or less than $1,001) Interest, None (or less than $201) Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse None (or less than $1,001) Interest, None (or less than $201) Asset Asset Type Owner Value 9.129 Dreyfus - BNY Mellon (New York, NY) Type: Money Market Account, Bank Deposit Spouse 9.130 G. Scott Holding, LLC Company: G. Scott Holding, LLC (Rowayton, CT) Description: Investment Management  Corporate Securities 9.131 Fulton Chain Acquisition LLC Description: Private Investment Partnership (Rowayton, CT)  10 10.3 116 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Non-Public Stock Private Equity Fund Limited Partnership (LP) US Treasury/Agency Security US Treasury/Agency Security 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income None (or less than $1,001) None, None (or less than $201) 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) Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Spouse $1,001 $15,000 None, None (or less than $201) WTT-Wireless Telecom Group, Inc. Corporate Securities Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) Account Receivable from Nokomis Capital Partners, L.P. Company: Nokomis Capital Partners, L.P. (Dallas, Texas)  Accounts Receivable Spouse Over $1,000,000 and held independently by spouse or dependent child None, None (or less than $201) Asset Asset Type Owner Value Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities Spouse Government National Mortgage Assn Pool Rate/Coupon: None Matures: None Government Securities 10.6 Neuberger Berman (New York, NY) Type: Brokerage Sweep Account, 10.7 10.8 10.4 10.5 10.9 117 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ US Treasury/Agency Security US Treasury/Agency Security Stock From a Business 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 118 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value 10.10 AG Super Fund, L.P. Description: Private Investment Partnership (New York, NY)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $50,001 - $100,000 10.11 G. Scott Capital Partners Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Interest, Over $1,000,000 and held independently by spouse or dependent child 10.12 Pharmaca Investments, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse $250,001 $500,000 None, None (or less than $201) 10.13 RLSI-CSP Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, CT)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Capital Gains, Over $1,000,000 and held independently by spouse or dependent child 10.14 RLSI-EMIDA Capital Partners, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse $15,001 $50,000 None, None (or less than $201) Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Private Equity Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value 10.15 S&S Equity Partners I LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Interest, Over $1,000,000 and held independently by spouse or dependent child 10.16 S&S Sports, LLC Description: Private Investment Vehicle (Rowayton, Connecticut)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Interest, Over $1,000,000 and held independently by spouse or dependent child 10.17 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. Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 OKE - ONEOK, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $50,001 - $100,000 AHGP - Alliance Holdings GP, L.P. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $2,501 - $5,000 AM - Antero Midstream Partners LP Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 DM - Dominion Energy Midstream Partners, LP Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $1,001 - $2,500 ETE - Energy Transfer Equity, L.P. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 10.18 10.19 10.20 10.21 10.22 119 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Private Equity Fund Private Equity Fund Stock Stock Stock Stock Stock Stock Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 10.23 10.24 10.25 10.26 10.27 10.28 10.29 10.30 10.31 10.32 10.33 120 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Asset Asset Type Owner Value EPD-Enterprise Products Partners L.P. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 EQGP - EQT GP Holdings, LP Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $1,001 - $2,500 EQM - EQT Midstream Partners, LP Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $1,001 - $2,500 MPLX - MPLX LP Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $2,501 - $5,000 NEP - NextEra Energy Partners, LP Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 SRE - Sempra Energy Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 TRGP - Targa Resources Corp. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $2,501 - $5,000 WGP - Western Gas Equity Partners, LP Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 WMB - The Williams Companies, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, $201 - $1,000 ASYS - Amtech Systems, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Capital Gains, $100,001 - $1,000,000 NSH - NuStar GP Holdings, LLC Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Capital Gains, $5,001 - $15,000 Stock Stock Stock Stock Stock Stock Stock Stock Stock Stock Stock Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Type Owner Value ABT - Abbott Laboratories Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 GOOGL - Alphabet Inc. Corporate Securities Spouse None (or less than $1,001) Capital Gains, $50,001 - $100,000 AAPL - Apple Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $100,001 - $1,000,000 BAC - Bank of America Corporation Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 FUN - Cedar Fair, L.P. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $100,001 - $1,000,000 CCI - Crown Castle International Corp. (REIT) Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 COMM - CommScope Holding Company, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 10.41 DVY-iShares Select Dividend ETF Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Excepted Investment Fund, $15,001 - $50,000 10.42 GILD - Gilead Sciences, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 GSPKX - Goldman Sachs US Eq Div and Prem Instl Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Capital Gains, Excepted Investment Fund, $15,001 - $50,000 10.34 10.35 Stock Stock 10.36 10.37 10.38 10.39 10.40 10.43 121 of 132 Income Type Asset Stock Stock Stock Stock Stock Exchange Traded Fund/Note Stock Mutual Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Income None (or less than $1,001) Dividends, $2,501 - $5,000 Spouse None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $100,001 - $1,000,000 PNC - The PNC Financial Services Group, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 10.48 KBWB - Invesco KBW Bank ETF Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Capital Gains, Excepted Investment Fund, $50,001 - $100,000 10.49 LLDYX - Lord Abbett Short Duration Income I Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Excepted Investment Fund, $5,001 - $15,000 10.50 PPA - Invesco Aerospace & Defense ETF Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Capital Gains, Excepted Investment Fund, $15,001 - $50,000 10.51 C - Citigroup Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 UTG - Reaves Utility Income Fund Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Excepted Investment Fund, $5,001 - $15,000 10.44 10.45 10.46 10.47 10.52 122 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Asset Type Owner Value HASI - Hannon Armstrong Sustainable Infrastructure Capita Filer comment: No longer held Corporate Securities Spouse JNJ - Johnson & Johnson Filer comment: No longer held Corporate Securities MSFT - Microsoft Corporation Filer comment: No longer held Stock Stock Stock Stock Exchange Traded Fund/Note Mutual Fund Exchange Traded Fund/Note Stock Exchange Traded Fund/Note 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value CAT - Caterpillar Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 EMR - Emerson Electric Co. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $1,001 - $2,500 EOG - EOG Resources, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $201 - $1,000 10.56 EWJ-iShares MSCI Japan ETF Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Excepted Investment Fund, $2,501 - $5,000 10.57 KEM - KEMET Corporation Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Capital Gains, $2,501 - $5,000 KEY - KeyCorp Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 LMT - Lockheed Martin Corporation Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 MMP - Magellan Midstream Partners, L.P. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 10.61 Mitsubishi UFJ Financial Group Inc. - MTU Filer comment: No longer held American Depository Receipt Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 10.62 RILY - B. Riley Financial, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $2,501 - $5,000 RTN - Raytheon Company Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 10.53 10.54 10.55 10.58 10.59 10.60 10.63 123 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Stock Stock Stock Exchange Traded Fund/Note Stock Stock Stock Stock Stock Stock Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 10.64 10.65 10.66 10.67 10.68 10.69 10.70 10.71 10.72 124 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income None (or less than $1,001) Dividends, $201 - $1,000 Spouse None (or less than $1,001) Dividends, $201 - $1,000 Corporate Securities Spouse None (or less than $1,001) Capital Gains, $201 - $1,000 CABO - Cable One, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $5,001 - $15,000 GS - The Goldman Sachs Group, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $15,001 - $50,000 MMC - Marsh & McLennan Companies, Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $1,001 - $2,500 NVGS-Navigator Holdings Ltd. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Capital Gains, $15,001 - $50,000 PFE - Pfizer Inc. Filer comment: No longer held Corporate Securities Spouse None (or less than $1,001) Dividends, Capital Gains, $50,001 - $100,000 Canyon Balanced Fund, L.P. Description: Private Investment Vehicle (Los Angeles, California)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 Asset Asset Type Owner Value VICI - VICI Properties Inc. Filer comment: No longer held Corporate Securities Spouse WMB - The Williams Companies, Inc. Filer comment: No longer held Corporate Securities CB - Chubb Limited Filer comment: No longer held Stock Stock Stock Stock Stock Stock Stock Stock Hedge Fund 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick Income Type Asset Asset Type Owner Value 10.73 Engine Capital, LP Description: Private Investment Vehicle (New York, New York)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Dividends, Capital Gains, $100,001 - $1,000,000 10.74 Nokomis Capital Partners, L.P. Description: Private Investment Vehicle (Dallas, Texas)  Investment Fund Spouse $50,001 $100,000 Excepted Investment Fund, $50,001 - $100,000 10.75 Overlook 3G Investments, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Investment Fund Spouse $250,001 $500,000 Excepted Investment Fund, $15,001 - $50,000 10.76 Overlook Partners Fund, L.P. Description: Private Investment Vehicle (Hong Kong, N/A)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 10.77 Rimrock High Income Plus (QP) Fund, L.P. Description: Private Investment Vehicle (Irvine, California)  Investment Fund Spouse Over $1,000,000 and held independently by spouse or dependent child Excepted Investment Fund, $100,001 - $1,000,000 10.78 Account Receivable from S&S Equity Partners I, LLC Company: S&S Equity Partners I, LLC (Naples, FL)  Accounts Receivable Spouse None (or less than $1,001) Interest, $100,001 - $1,000,000 GQETX - GMO Quality III Filer comment: No longer held Mutual Funds Spouse None (or less than $1,001) Excepted Investment Fund, $100,001 - $1,000,000 10.79 125 of 132 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Hedge Fund Hedge Fund Hedge Fund Hedge Fund Hedge Fund From a Business Mutual Fund Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Asset Type Owner Value 10.80 JMB Capital Partners, L.P. Description: Private Investment Vehicle (Los Angeles, CA) Filer comment: No longer held Investment Fund Spouse None (or less than $1,001) Excepted Investment Fund, $15,001 - $50,000 10.81 S&S Debt Partners I, LLC Description: Private Investment Vehicle (Rowayton, CT)  Investment Fund Spouse None (or less than $1,001) Interest, $100,001 - $1,000,000 10.82 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Money Market Account, Bank Deposit Spouse Over $1,000,000 and held independently by spouse or dependent child Interest, $5,001 - $15,000 10.83 Dreyfus - BNY Mellon (New York, NY) Type: Money Market Account, Bank Deposit Spouse None (or less than $1,001) None, None (or less than $201) 11 Wells Fargo Bank, N.A. (Tallahassee, FL) Type: Checking, Bank Deposit Self $15,001 $50,000 None, None (or less than $201) 12 Mutual of Omaha Bank (Naples, FL) Type: Checking, Bank Deposit Self $50,001 $100,000 None, None (or less than $201) 13 Pershing Advisor Solutions LLC IRA Retirement Plans Self 13.1 Pershing Advisor Solutions BNY Mellon (New York, NY) Type: Brokerage Sweep Account, Bank Deposit Self $100,001 $250,000 None, None (or less than $201) 13.2 AAPL-Apple Inc. Corporate Securities Self $15,001 $50,000 None, None (or less than $201) Hedge Fund Private Equity Fund IRA Stock 126 of 132 Income Type Asset Income 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 13.3 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $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 $15,001 $50,000 None, None (or less than $201) Corporate Securities Self $1,001 $15,000 None, None (or less than $201) CCI-Crown Castle International Corp. (REIT) Corporate Securities Self $1,001 $15,000 None, None (or less than $201) CDEV-Centennial Resource Development, Inc. Corporate Securities Self $1,001 $15,000 None, None (or less than $201) COMM-CommScope Holding Company, Inc. Corporate Securities Self $1,001 $15,000 None, None (or less than $201) CVX-Chevron Corporation 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) Mutual Funds Self $1,001 $15,000 None, None (or less than $201) Asset Asset Type Owner Value ABT-Abbott Laboratories Corporate Securities Self Corporate Securities BAC-Bank of America Corporation C-Citigroup Inc. Stock 13.4 AMAT-Applied Materials, Inc. Stock 13.5 13.6 Stock Stock 13.7 CAT-Caterpillar Inc. Stock 13.8 13.9 13.10 13.11 Stock Stock Stock Stock 13.12 EGN-Energen Corporation Stock 13.13 127 of 132 DVY-iShares Select Dividend ETF Exchange Traded Fund/Note 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 13.14 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $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) Asset Asset Type Owner Value EMR-Emerson Electric Co. Corporate Securities Self Corporate Securities Stock 13.15 EOG-EOG Resources, Inc. Stock 13.16 FUN-Cedar Fair, L.P. Stock 13.17 GDX-VanEck Vectors Gold Miners ETF Mutual Funds Self $1,001 $15,000 None, None (or less than $201) 13.18 GILD-Gilead Sciences, Inc. Corporate Securities Self $15,001 $50,000 None, None (or less than $201) HASI-Hannon Armstrong Sustainable Infrastructure Capita Corporate Securities Self $1,001 $15,000 None, None (or less than $201) 13.20 GLD - SPDR Gold Shares Mutual Funds Self $1,001 $15,000 None, None (or less than $201) 13.21 GOOGL-Alphabet Inc. Corporate Securities Self $15,001 $50,000 None, None (or less than $201) Exchange Traded Fund/Note Stock 13.19 Stock Exchange Traded Fund/Note Stock 13.22 GSPKX-Goldman Sachs US Eq Div and Prem Instl Mutual Funds Self $15,001 $50,000 None, None (or less than $201) 13.23 JNJ-Johnson & Johnson 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) Mutual Fund Stock 13.24 KEM-KEMET Corporation Stock 128 of 132 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick 13.25 https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $1,001 $15,000 None, None (or less than $201) Self $1,001 $15,000 None, None (or less than $201) Asset Asset Type Owner Value KEY-KeyCorp Corporate Securities Self Corporate Securities Stock 13.26 KMT-Kennametal Inc. Stock 13.27 LLDYX-Lord Abbett Short Duration Income I Mutual Funds Self $15,001 $50,000 None, None (or less than $201) 13.28 LMT-Lockheed Martin Corporation Corporate Securities Self $1,001 $15,000 None, None (or less than $201) MMP-Magellan Midstream Partners, L.P. Corporate Securities Self $15,001 $50,000 None, None (or less than $201) MSFT-Microsoft Corporation Corporate Securities Self $15,001 $50,000 None, None (or less than $201) PNC-The PNC Financial Services Group, Inc. Corporate Securities Self $1,001 $15,000 None, None (or less than $201) 13.32 PPA-Invesco Aerospace & Defense ETF Mutual Funds Self $15,001 $50,000 None, None (or less than $201) 13.33 Pershing Treasury Account PTA Mutual Funds Self $100,001 $250,000 None, None (or less than $201) 13.34 RTN-Raytheon Company Corporate Securities Self $1,001 $15,000 None, None (or less than $201) Mutual Funds Self $1,001 $15,000 None, None (or less than $201) 13.29 13.30 Mutual Fund Stock Stock Stock 13.31 Stock Exchange Traded Fund/Note Stable Value Fund Stock 13.35 129 of 132 SLV - iShares Silver Trust Exchange Traded Fund/Note 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income $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) WGP-Western Gas Equity Partners, LP Corporate Securities Self $1,001 $15,000 None, None (or less than $201) XOM-Exxon Mobil Corporation Corporate Securities Self $1,001 $15,000 None, None (or less than $201) ZBH-Zimmer Biomet Holdings, Inc. Corporate Securities Self $1,001 $15,000 None, None (or less than $201) RILY - B. Riley Financial, Inc. Corporate Securities Self $1,001 $15,000 None, None (or less than $201) Asset Asset Type Owner Value 13.36 Taiwan Semiconductor Mfg Co. - TSM American Depository Receipt Self 13.37 UTG-Reaves Utility Income Fund Mutual Funds 13.38 VICI-VICI Properties Inc. Exchange Traded Fund/Note Stock 13.39 13.40 13.41 13.42 Stock Stock Stock Stock 130 of 132 13.43 Mitsubishi UFJ Financial Group Inc. - MTU Filer comment: No longer held American Depository Receipt Self None (or less than $1,001) None, None (or less than $201) 13.44 SLV - iShares Silver Trust Mutual Funds Self $1,001 $15,000 None, None (or less than $201) 13.45 GS - The Goldman Sachs Group, Inc. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) None, None (or less than $201) Exchange Traded Fund/Note Stock 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ Income Type Income 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) Mutual Funds Self None (or less than $1,001) None, None (or less than $201) NVGS - Navigator Holdings Ltd. Filer comment: No longer held Corporate Securities Self None (or less than $1,001) None, None (or less than $201) KBWB - Invesco KBW Bank ETF Mutual Funds Self $15,001 $50,000 None, None (or less than $201) Asset Asset Type Owner Value MMC - Marsh & McLennan Companies, Inc. Filer comment: No longer held Corporate Securities Self PFE - Pfizer Inc. Filer comment: No longer held Corporate Securities 13.48 EWJ - iShares MSCI Japan ETF Filer comment: No longer held 13.49 13.46 13.47 13.50 Stock Stock Exchange Traded Fund/Note Stock Exchange Traded Fund/Note Part 4a. Periodic Transaction Report Summary Not required Part 4b. Transactions Not required Part 5. Gifts Not required 131 of 132 10/12/18, 1:53 PM eFD: Annual Report for 2018 - Scott, Rick https://efdsearch.senate.gov/search/view/annual/cb39f3c0-8852-4c2c-9194-6be97c6f087e/ 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 Attachments & Comments No attachments added. No comments added. 132 of 132 10/12/18, 1:53 PM