5/28/2019

eFD: Annual Report for 2018 - McConnell, A. Mitchell

United States Senate

Financial Disclosures
Annual Report for Calendar 2018
The Honorable A. Mitchell McConnell Jr. (McConnell, A. Mitchell Jr.)
 Filed 05/15/2019 @ 10:03 AM
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

Other

Mitch IRA MLPA

$8,480.00

2

Spouse

Other

Wells Fargo &
Company

> $1,000

(Required Minimum Distribution)
(Pay-out of Deferred Compensation - Deferred Stock
Units Vesting)

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

Louisville,
Kentucky

San Francisco, CA

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eFD: Annual Report for 2018 - McConnell, A. Mitchell

3#

Who
Was
Paid
Spouse

Type
Other

(Pay-out of Deferred Compensation - Deferred Stock
Units Vesting)

Who Paid
Vulcan
Materials

Birmingham, AL

Amount
>
$1,000 Paid

Part 3. Assets
Did you, your spouse, or dependent child own any asset worth more than $1000, have a deposit account with a balance over $5,000, or receive
income of more than $200 from an asset? Yes
Asset

Asset Type

Owner

Value

Income Type

Income

1

Republic Bank and Trust
(Louisville, KY)
Type: Checking,

Bank Deposit

Self

$15,001 $50,000

Interest,

None (or less than $201)

2

MNNAX - Victory Munder
Multi-Cap A

Trust

Self

$15,001 $50,000

Excepted
Investment
Fund,

$5,001 - $15,000

3

VHCAX-Vanguard Capital
Opportunity Adm (NASDAQ)

Trust

Self

$250,001 $500,000

Excepted
Investment
Fund,

$15,001 - $50,000

4

VSIAX-Vanguard Small Cap
Value Index Admiral
(NASDAQ)

Trust

Self

$250,001 $500,000

Excepted
Investment
Fund,

$5,001 - $15,000

5

VFIAX-Vanguard 500 Index
Admiral (NASDAQ)

Trust

Self

$250,001 $500,000

Excepted
Investment
Fund,

$5,001 - $15,000

6

A. Mitchell McConnell, Jr.
Revocable Trust

Trust

Self

6.1

Merrill Lynch
(Louisville, KY)
Type: Money Market Account,

Bank Deposit

Self

$15,001 $50,000

Dividends,

$201 - $1,000

7

Mitch IRA MLPA

Retirement

Self

General Trust
General Trust
General Trust

General Trust
General Trust

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

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eFD: Annual Report for 2018 - McConnell, A. Mitchell

Asset

Plans
Asset Type
IRA

Owner

Value

Income Type

Income

7.1

Bank of America
(Louisville, Kentucky)
Type: IRA Cash Accounts,

Bank Deposit

Self

$1,001 $15,000

Interest,

None (or less than $201)

7.2

SCPB-SPDR Barclays Short
Term Corp Bd ETF (NYSEArca)

Mutual Funds

Self

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

7.3

VCSH - Vanguard Short-Term
Corporate Bond ETF
(NASDAQ)

Mutual Funds

Self

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

7.4

IWM-iShares Russell 2000

Mutual Funds

Self

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

7.5

SPY - SPDR S&P 500 ETF

Mutual Funds

Self

$50,001 $100,000

Excepted
Investment
Fund,

None (or less than $201)

7.6

VO-Vanguard Mid-Cap ETF

Mutual Funds

Self

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

8

Vanguard 529 College
Savings Plan
Institution: Vanguard

Education
Savings Plans

Self

8.1

Vanguard Aggressive Growth
Portfolio (Age Based)

Mutual Funds

Self

$50,001 $100,000

None,

None (or less than $201)

9

Vanguard 529 College
Savings Plan
Institution: Vanguard

Education
Savings Plans

Self

9.1

Vanguard Aggressive Growth
Portfolio (Age Based)

Mutual Funds

Self

$50,001 $100,000

None,

None (or less than $201)

10

VMMXX-Vanguard Money

Mutual Funds

Joint

None (or

Excepted

None (or less than $201)

Exchange
Traded
Fund/Note
Exchange
Traded
Fund/Note
Exchange
Traded
Fund/Note
Exchange
Traded
Fund/Note
Exchange
Traded
Fund/Note

529 College
Savings Plan
Mutual Fund

529 College
Savings Plan
Mutual Fund

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

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g
y
Market Reserves (NASDAQ)
Asset

eFD: Annual Report for 2018 - McConnell, A. Mitchell

Mutual Fund
Asset Type

Owner

less than
Value
$1,001)

Investment
Income Type
Fund,

Income

11

VMSXX - Vanguard Municipal
Money Market Fund

Mutual Funds

Joint

$1,000,001
$5,000,000

Excepted
Investment
Fund,

$15,001 - $50,000

12

VFIAX-Vanguard 500 Index
Admiral (NASDAQ)

Mutual Funds

Joint

$5,000,001
$25,000,000

Excepted
Investment
Fund,

$100,001 - $1,000,000

13

Real Property with Carriage
House Rental
Description: Real Property with
Carriage House Rental
(Washington, DC) 

Real Estate

Joint

$1,000,001
$5,000,000

Rent/Royalties,

$15,001 - $50,000

14

UBS Pension Trust (9 items)

Trust

Spouse

14.1

UBS (uninvested cash held by
UBS)
(Washington, DC)
Type: Checking,

Bank Deposit

Spouse

None (or
less than
$1,001)

Interest,

None (or less than $201)

14.2

WGIFX-American Funds
Capital World Gr&Inc F2
(NASDAQ)

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

14.3

SDSCX-Dreyfus/The Boston
Co Sm/Md Cp Gr I (NASDAQ)

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

14.4

FEGIX-First Eagle Gold I
(NASDAQ)

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

14.5

PEQPX-Principal Equity
Income P (NASDAQ)

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

14.6

GFFFX-American Funds
Growth Fund of Amer F2
(NASDAQ)

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

14.7

DPFFX-Delaware Diversified
Income Instl (NASDAQ)

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

14.8

TGBAX-Templeton Global

Mutual Funds

Spouse

$1,001 -

Excepted

None (or less than $201)

Mutual Fund
Mutual Fund
Residential

General Trust

Mutual Fund

Mutual Fund
Mutual Fund
Mutual Fund
Mutual Fund

Mutual Fund

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

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p
Bond Adv (NASDAQ)
Asset

eFD: Annual Report for 2018 - McConnell, A. Mitchell

Mutual Fund
Asset Type

Owner

$15,000
Value

Investment
Income Type
Fund,

Income

14.9

PGDPX - Principal Global Div
Inc P (NASDAQ)

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

15

(Heritage Foundation 403(b))
SWGXX - Schwab
Government Money Fund -

Mutual Funds

Spouse

$100,001 $250,000

Excepted
Investment
Fund,

None (or less than $201)

16

(Heritage Foundation 403(b))
VFIAX-Vanguard 500 Index
Admiral

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

17

(Heritage Foundation 403(b))
PREIX-T. Rowe Price Equity
Index 500 (NASDAQ)
Filer comment: Previously only
noted as "Retirement;" but also
part of "Heritage Foundation
403(b)."

Mutual Funds

Spouse

$100,001 $250,000

Excepted
Investment
Fund,

None (or less than $201)

18

(Heritage Foundation
Retirement) SWGXX - Schwab
Government Money Fund

Mutual Funds

Spouse

None (or
less than
$1,001)

Excepted
Investment
Fund,

None (or less than $201)

19

(Heritage Foundation
Retirement) ARTKX-Artisan
International Value Investor

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

20

(Heritage Foundation
Retirement) BARAX-Baron
Asset Retail

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

21

(Heritage Foundation
Retirement) FAIRX-Fairholme

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

22

(Heritage Foundation
Retirement) LSBDX-Loomis
Sayles Bond Instl

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

23

(Heritage Foundation
Retirement) OAKMXOakmark I

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

24

(Heritage Foundation

Mutual Funds

Spouse

$1,001 -

Excepted

None (or less than $201)

Mutual Fund
Mutual Fund

Mutual Fund

Mutual Fund

Mutual Fund

Mutual Fund

Mutual Fund

Mutual Fund
Mutual Fund

Mutual Fund

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

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(
g
Retirement) RSEIX-Royce
Asset
Special
Equity Instl

eFD: Annual Report for 2018 - McConnell, A. Mitchell

Mutual Fund
Asset Type

Owner

$15,000
Value

Investment
Income Type
Fund,

Income

25

(Heritage Foundation
Retirement) SLASX-Selected
American Shares S

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

26

(Heritage Foundation
Retirement) PRMSX-T. Rowe
Price Emerging Markets
Stock

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

27

(Heritage Foundation
Retirement) VGSLX-Vanguard
REIT Index Adm

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

28

(Heritage Foundation
Retirement) WIIBX - Segall
Bryant & Hamill Plus Bond
Fund Institutional
Filer comment: Security name
change in 2018; formerly "
(Heritage Foundation
Retirement) WIIBX-Westcore
Plus Bond Institutional"

Mutual Funds

Spouse

$1,001 $15,000

Excepted
Investment
Fund,

None (or less than $201)

29

(Retirement) Deutsch VSI
Capital Growth - Mutual of
America
Filer comment: Tax Deferred
Annuity

Mutual Funds

Spouse

$100,001 $250,000

Excepted
Investment
Fund,

None (or less than $201)

30

SunTrust Solid Choice
Banking
(Washington, DC)
Type: Checking,

Bank Deposit

Spouse

$1,001 $15,000

Interest,

None (or less than $201)

31

SunTrust Advantage Money
Market Account
(Washington, DC)
Type: Money Market Account,

Bank Deposit

Joint

$250,001 $500,000

Interest,

$201 - $1,000

32

Suntrust Business Checking

Bank Deposit

Spouse

$250,001 -

None,

None (or less than $201)

Mutual Fund

Mutual Fund

Mutual Fund

Mutual Fund

Mutual Fund

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

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g
(Firebird International LLC)
Asset
(Washington,
DC)
Type: Checking,
Filer comment: Firebird
International LLC is a single
member LLC and this entity
does not have any value other
than the cumulative value of its
individual assets.

eFD: Annual Report for 2018 - McConnell, A. Mitchell

Asset Type

Owner

$500,000
Value

Income Type

Income

33

Suntrust Business Money
Market Performance (Firebird
International LLC)
(Washington, DC)
Type: Money Market Account,
Filer comment: Firebird
International LLC is a single
member LLC and this entity
does not have any value other
than the cumulative value of its
individual assets.

Bank Deposit

Spouse

$50,001 $100,000

Interest,

$201 - $1,000

34

Suntrust Personal Savings
Account
(Washington, DC)
Type: Savings,

Bank Deposit

Spouse

$1,001 $15,000

Interest,

None (or less than $201)

35

UBS IRA (7 items)

Retirement
Plans

Spouse

IRA
35.1

WGIFX-American Funds
Capital World Gr&Inc F2
(NASDAQ)

Mutual Funds

Spouse

$50,001 $100,000

Excepted
Investment
Fund,

None (or less than $201)

35.2

FEGIX-First Eagle Gold I
(NASDAQ)

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

35.3

PEQPX-Principal Equity
Income P (NASDAQ)

Mutual Funds

Spouse

$50,001 $100,000

Excepted
Investment
Fund,

None (or less than $201)

35.4

RSPYX-RS Partners Y

Mutual Funds

Spouse

$15,001 -

Excepted

None (or less than $201)

Mutual Fund

Mutual Fund
Mutual Fund

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

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eFD: Annual Report for 2018 - McConnell, A. Mitchell

(NASDAQ)

Mutual Fund
Asset Type

Owner

35.5

GFFFX-American Funds
Growth Fund of Amer F2
(NASDAQ)

Mutual Funds

35.6

DPFFX-Delaware Diversified
Income Instl (NASDAQ)

35.7

$50,000
Value

Investment
Income Type
Fund,

Spouse

$50,001 $100,000

Excepted
Investment
Fund,

None (or less than $201)

Mutual Funds

Spouse

$50,001 $100,000

Excepted
Investment
Fund,

None (or less than $201)

TGBAX-Templeton Global
Bond Adv (NASDAQ)

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

36

Scottrade
(Washington, DC)
Type: Brokerage Sweep
Account, Checking,

Bank Deposit

Spouse

None (or
less than
$1,001)

Interest,

None (or less than $201)

37

TRBCX-T. Rowe Price Blue
Chip Growth (NASDAQ)

Mutual Funds

Spouse

$250,001 $500,000

Excepted
Investment
Fund,

$5,001 - $15,000

38

PRITX-T. Rowe Price
International Stock Fd
(NASDAQ)

Mutual Funds

Spouse

$50,001 $100,000

Excepted
Investment
Fund,

$2,501 - $5,000

39

RPMGX-T. Rowe Price MidCap Growth (NASDAQ)

Mutual Funds

Spouse

$250,001 $500,000

Excepted
Investment
Fund,

$15,001 - $50,000

40

PRSCX-T. Rowe Price Science
& Tech (NASDAQ)

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

$5,001 - $15,000

41

OTCFX-T. Rowe Price SmallCap Stock (NASDAQ)

Mutual Funds

Spouse

$50,001 $100,000

Excepted
Investment
Fund,

$5,001 - $15,000

42

(Pension Trust) VUSXX -

Mutual Funds

Spouse

$1,000,001

Excepted

None (or less than $201)

Asset

Mutual Fund

Mutual Fund
Mutual Fund

Mutual Fund
Mutual Fund

Mutual Fund
Mutual Fund
Mutual Fund

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

Income

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(
)
Vanguard Treasury Money
Asset
Market
Filer comment: Converted
within the Pension Trust from
Vanguard 500 Index to
Vanguard Treasury Money
Market in 2018.

eFD: Annual Report for 2018 - McConnell, A. Mitchell

Mutual Fund
Asset Type

Owner

Value
$5,000,000

Investment
Income Type
Fund,

Income

43

VGIAX-Vanguard Growth &
Income Adm (NASDAQ)

Mutual Funds

Spouse

$250,001 $500,000

Excepted
Investment
Fund,

$5,001 - $15,000

44

VMSXX - Vanguard Municipal
Money Market Fund

Mutual Funds

Spouse

$100,001 $250,000

Excepted
Investment
Fund,

$5,001 - $15,000

45

VFIAX-Vanguard 500 Index
Admiral (NASDAQ)

Mutual Funds

Spouse

$1,000,001
$5,000,000

Excepted
Investment
Fund,

$15,001 - $50,000

46

(IRA) VFIAX-Vanguard 500
Index Admiral (NASDAQ)

Mutual Funds

Spouse

$100,001 $250,000

Excepted
Investment
Fund,

None (or less than $201)

47

WFC-Wells Fargo & Company
(NYSE)

Corporate
Securities

Spouse

$500,001 $1,000,000

Dividends,

$15,001 - $50,000

48

Wells Fargo &
Company/phantom stock
(Director Deferred
Compensation)
Company: Wells Fargo &
Company (San Francisco,
CA) Description: Phantom stock
(Director Deferred
Compensation) 

Deferred
Compensation

Spouse

$250,001 $500,000

None,

None (or less than $201)

49

Vulcan Materials Deferred
Compensation
Filer comment: All vested in
April 2018 - no more deferred
compensation.

Deferred
Compensation

Spouse

VMC - Vulcan Materials

Corporate

Spouse

$250,001 -

Dividends,

$2,501 - $5,000

49.1

Mutual Fund
Mutual Fund
Mutual Fund
Mutual Fund

Stock

Deferred
Compensation
- Other

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

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50

50.1

eFD: Annual Report for 2018 - McConnell, A. Mitchell

Company
Asset

Securities
Asset Type
Stock

UBS CSSP (via IngersollRand)

Deferred
Compensation

Spouse

IR-Ingersoll-Rand Plc

Corporate
Securities

Spouse

Owner

$500,000
Value

Income Type

Income

$100,001 $250,000

Dividends,

$2,501 - $5,000

$15,001 $50,000

Excepted
Investment
Fund,

$201 - $1,000

Deferred
Compensation
- Other
Stock

51

MNNAX-Victory Munder
Growth Opportunities A
(NASDAQ)

Mutual Funds

Spouse

52

UBS PSP

Trust

Spouse

52.1

UBS (uninvested cash held by
UBS)
(Washington, D.C.)
Type: Checking,

Bank Deposit

Spouse

$1,001 $15,000

Interest,

None (or less than $201)

52.2

JHIGX - JHancock
International Growth R2

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

52.3

JDVPX - JHancock Disciplined
Value R2

Mutual Funds

Spouse

$15,001 $50,000

Excepted
Investment
Fund,

None (or less than $201)

53

Elaine L Chao Revocable Trust
Filer comment: Electron Global
was the underlying asset.
Redeemed in 2016.

Trust

Spouse

None (or
less than
$1,001)

None,

None (or less than $201)

Mutual Fund

General Trust

Mutual Fund
Mutual Fund
General Trust

Part 4a. Periodic Transaction Report Summary
In this section, electronically filed periodic transaction report (PTR) transactions are displayed for you. Have you filed any paper-based PTRs in this
period? No

Transaction
#
D
O
Ti k
A
N
https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

T

A

C

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eFD: Annual Report for 2018 - McConnell, A. Mitchell

#

Owner

Ticker

Asset Name

Type

Amount

Comment

1#

Date
Transaction
03/05/2018
Date

Spouse
Owner

WFC
Ticker

Wells
Asset Fargo
Name& Company

Purchase
Type

$1,001
- $15,000
Amount

Dividend
CommentReinvestment

2

06/01/2018

Spouse

WFC

Wells Fargo & Company

Purchase

$1,001 - $15,000

Dividend Reinvestment

3

09/06/2018

Spouse

WFC

Wells Fargo & Company

Purchase

$1,001 - $15,000

Dividend Reinvestment

4

12/05/2018

Spouse

WFC

Wells Fargo & Company

Purchase

$1,001 - $15,000

Dividend Reinvestment

Part 4b. Transactions
Did you, your spouse, or dependent child buy, sell, or exchange an asset that exceeded $1,000? Yes
Transacti
on Type

Transactio
n Date

Victory Munder Multi-Cap
Fund Class A

Purchase

MNNAX

Victory Munder Multi-Cap
Fund Class A

Self

--

4

Self

5

#

Owner

Ticker

Asset Name

Amount

Comment

1

Self

MNNAX

12/19/2018

$1,001 $15,000

Capital Gains Reinvestment

2

Self

Purchase

12/19/2018

$1,001 $15,000

Dividend Reinvestment

3

Vanguard Aggressive Growth
Portfolio (Age Based)

Purchase

12/03/2018

$1,001 $15,000

--

--

Vanguard Aggressive Growth
Portfolio (Age Based)

Purchase

12/03/2018

$1,001 $15,000

--

Self

VHCAX

Vanguard Capital Opportunity
Fund Admiral Shares

Purchase

12/18/2018

$1,001 $15,000

Dividend Reinvestment

6

Self

VHCAX

Vanguard Capital Opportunity
Fund Admiral Shares

Purchase

12/18/2018

$15,001 $50,000

Capital Gains Reinvestment

7

Self

VSIAX

Vanguard Small Cap Value
Index Fund Admiral Shares

Purchase

03/21/2018

$1,001 $15,000

Dividend Reinvestment

8

Self

VSIAX

Vanguard Small Cap Value
Index Fund Admiral Shares

Purchase

06/21/2018

$1,001 $15,000

Dividend Reinvestment

9

Self

VSIAX

Vanguard Small Cap Value
Index Fund Admiral Shares

Purchase

09/27/2018

$1,001 $15,000

Dividend Reinvestment

10

Self

VSIAX

Vanguard Small Cap Value
Index Fund Admiral Shares

Purchase

12/21/2018

$1,001 $15,000

Dividend Reinvestment

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eFD: Annual Report for 2018 - McConnell, A. Mitchell

11

Self

VFIAX

#
12

Owner
Self

Ticker

VFIAX

Vanguard 500 Index Fund
Admiral Shares

13

Self

VFIAX

14

Self

15

Vanguard 500 Index Fund
Admiral
Shares
Asset Name

Purchase
Transacti
on Type
Purchase

03/23/2018
Transactio
n Date
06/27/2018

$1,001 $15,000
Amount

Vanguard 500 Index Fund
Admiral Shares

Purchase

09/25/2018

$1,001 $15,000

Dividend Reinvestment

VFIAX

Vanguard 500 Index Fund
Admiral Shares

Purchase

12/14/2018

$1,001 $15,000

Dividend Reinvestment

Spouse

TRBCX

T. Rowe Price Blue Chip
Growth Fund

Purchase

12/13/2018

$1,001 $15,000

Dividend Reinvestment

16

Spouse

PRITX

T. Rowe Price International
Stock Fund

Purchase

12/17/2018

$1,001 $15,000

Dividend Reinvestment

17

Spouse

RPMGX

T. Rowe Price Mid-Cap Growth
Fund

Purchase

12/13/2018

$15,001 $50,000

Dividend Reinvestment

18

Spouse

PRSCX

T. Rowe Price Science and
Technology Fund

Purchase

12/14/2018

$1,001 $15,000

Dividend Reinvestment

19

Spouse

OTCFX

T. Rowe Price Small-Cap Stock
Fund

Purchase

12/13/2018

$1,001 $15,000

Dividend Reinvestment

20

Joint

VFIAX

Vanguard 500 Index Fund
Admiral Shares

Purchase

03/23/2018

$15,001 $50,000

Dividend Reinvestment

21

Joint

VFIAX

Vanguard 500 Index Fund
Admiral Shares

Purchase

06/27/2018

$15,001 $50,000

Dividend Reinvestment

22

Joint

VFIAX

Vanguard 500 Index Fund
Admiral Shares

Purchase

09/25/2018

$15,001 $50,000

Dividend Reinvestment

23

Joint

VFIAX

Vanguard 500 Index Fund
Admiral Shares

Purchase

12/14/2018

$15,001 $50,000

Dividend Reinvestment

24

Spouse

VGIAX

Vanguard Growth and Income
Fund Admiral Shares

Purchase

06/15/2018

$1,001 $15,000

Dividend Reinvestment

25

Spouse

VGIAX

Vanguard Growth and Income
Fund Admiral Shares

Purchase

12/18/2018

$15,001 $50,000

Dividend Reinvestment

26

Spouse

--

(IRA) VFIAX - Vanguard 500
Index Admiral

Purchase

03/23/2018

$1,001 $15,000

Dividend Reinvestment

27

Spouse

--

(IRA) VFIAX - Vanguard 500
Index Admiral

Purchase

06/27/2018

$1,001 $15,000

Dividend Reinvestment

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

$1,001 $15,000

Dividend Reinvestment
Comment
Dividend Reinvestment

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eFD: Annual Report for 2018 - McConnell, A. Mitchell

28

Spouse

--

#
29

Owner
Spouse

Ticker
--

30

Spouse

--

31

Spouse

32

(IRA) VFIAX - Vanguard 500
Index
Asset Admiral
Name

Purchase
Transacti
on Type
Purchase

09/25/2018
Transactio
n Date
12/14/2018

$1,001 $15,000
Amount

JDVPX - John Hancock Funds
Disciplined Value Fund Class
R2 (UBS PSP)

Purchase

12/17/2018

$1,001 $15,000

Dividend Reinvestment

--

WGIFX - American Funds
Capital World Gr&Inc F2 (UBS
Pension Trust)

Purchase

12/19/2018

$1,001 $15,000

Dividend Reinvestment

Spouse

--

GFFFX - American Funds The
Growth Fund of America Class
F2 (UBS Pension Trust)

Purchase

12/24/2018

$1,001 $15,000

Dividend Reinvestment

33

Spouse

--

PEQPX - Principal Equity
Income (UBS Pension Trust)

Purchase

12/20/2018

$1,001 $15,000

Dividend Reinvestment

34

Spouse

--

PEQPX - Principal Equity
Income (UBS IRA)

Purchase

12/20/2018

$1,001 $15,000

Dividend Reinvestment

35

Spouse

--

WGIFX - American Funds
Capital World Gr&Inc F2 (UBS
IRA)

Purchase

12/19/2018

$1,001 $15,000

Dividend Reinvestment

36

Spouse

--

RSPYX - Victory RS Partners
Fund Class Y (UBS IRA)

Purchase

12/20/2018

$1,001 $15,000

Dividend Reinvestment

37

Spouse

--

GFFFX - American Funds The
Growth Fund of America Class
F2 (UBS IRA)

Purchase

12/24/2018

$1,001 $15,000

Dividend Reinvestment

38

Spouse

MNNAX

Victory Munder Multi-Cap
Fund Class A

Purchase

12/19/2018

$1,001 $15,000

Capital Gains Reinvestment

39

Spouse

MNNAX

Victory Munder Multi-Cap
Fund Class A

Purchase

12/19/2018

$1,001 $15,000

Dividend Reinvestment

40

Spouse

--

(Pension Trust) VFIAX Vanguard 500 Index Fund
Admiral Shares

Sale (Full)

04/02/2018

$1,000,001
$5,000,000

Converted within the Pension Trust from
Vanguard 500 Index to Vanguard Treasury
Money Market

(IRA) VFIAX - Vanguard 500
Index Admiral

$1,001 $15,000

Dividend Reinvestment
Comment
Dividend Reinvestment

Part 5. Gifts
Did you, your spouse, or dependent child receive any reportable gift during the reporting period? Yes
#

Date

Recipient

Gift

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

Value

From

13/15

 5/28/2019

#

Date

Recipient

Gift

#
1

Date
02/14/2018

Recipient
Self

2

10/20/2018

Self

eFD: Annual Report for 2018 - McConnell, A. Mitchell

Value

From

Gift
17th Annual Waterways Council Inc. Leadership Award
plaque

Value
$468.97

From
Waterways Council

Veterans of Foreign Wars (VFW) Gold Medal of Merit

$398.00

The Veterans of Foreign Wars of the United
States

Washington, DC
Kansas City, Mo

3

09/06/2018

Self

Plaque from Minor League Baseball in recognition of
leadership and public service

$826.28

Minor League Baseball

St. Petersburg, FL

Part 6. Travel
Did you, your spouse, or dependent child receive any reportable travel? No

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? Yes

#
1

Position
Dates

Position Held

Entity

Entity Type

Comments

Jun 1994
to present

Other (Member, Visiting
Committee (Uncompensated))

University of Kentucky
College of Law

Other (Public
University/Law
School)

None

Lexington,
Kentucky

Part 9. Agreements
Did you have any reportable agreement or arrangement with an outside entity? Yes

#

Date

Parties Involved

https://efdsearch.senate.gov/search/view/annual/66c4c741-97c8-405c-9440-7a5bb16f2765/

Type

Status and Terms
14/15

 5/28/2019

ate
1#

Date
Oct
2015

a t es

o ed

eFD: Annual Report for 2018 - McConnell, A. Mitchell

Parties Involved
Sentinel,
an imprint of Penguin Publishing Group, a division
of Penguin Random House LLC (Sentinel)

New York, New York

ype

Type
Other

(Compensation and
Royalty Agreement)

Status a d e

s

andin
Terms
AStatus
contract
which the undersigned agreed to
complete a manuscript in exchange for
publication and $325,000 in compensation,
payable in installments, by Sentinel. The contract
also provides for royalty payments in the
following manner: 15% of the retail price for all
hardcover editions of the book sold; 7.5% to 10%
of the retail price for all trade edition and mass
market paperback copies sold; and 25% of the
receipts for e-book edition sales.

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? This is not my first report.

Attachments & Comments
No attachments added.
No comments added.

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