Thomas J. Rooney

butler Cnty Ohio Swr Sys Rev Rfdg 2% 12/1/20

Government security or agency debt · 2% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

Trussville Ala go Wts 2014A 5% 10/1/21

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000

Mc Kinney Tex go Ref And Impt bds 2016 5% 8/15/24

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

butler Cnty Ohio Swr Sys Rev Rfdg 2% 12/1/20

Government security or agency debt · 2% coupon

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000

Washington St Var Purp g.O. bds 1998-C 5.5% 7/1/23

Government security or agency debt · 5.5% coupon

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000

Trussville Ala go Wts 2014A 5% 10/1/21

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

Texas St go Mobility Fund Ref bds 2014 5% 10/1/24

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000

Oakland Cnty Mich bldg Auth bldg Auth bds 2015 3% 11/1/23

Government security or agency debt · 3% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $50,001 – $100,000

West bloomfield Twp Mich Rec Fac Cap Impt bds 2008 5% 5/1/21

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000

Ankeny Iowa Wtr Rev bds 2018 5% 6/1/25

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer purchased · $15,001 – $50,000

$MMM3M Company (MMM)

Rep. Thomas J. Rooney disclosed that the filer purchased · $1,001 – $15,000

$THOThor Industries, Inc. (THO)

Rep. Thomas J. Rooney disclosed that the filer purchased · $1,001 – $15,000

$AMATApplied Materials, Inc. (AMAT)

Rep. Thomas J. Rooney disclosed that the filer purchased · $1,001 – $15,000

$NXPINXP Semiconductors N.V. (NXPI)

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

blackRock Capital Investment Corporation (bKCC)

Rep. Thomas J. Rooney disclosed that the filer purchased · $100,001 – $250,000

Coppell Tex Indpt Sch Dist ultd Tax Sch bldg bds 2016 5% 8/15/26

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer purchased · $15,001 – $50,000

$HHCHoward Hughes Corporation (HHC)

Rep. Thomas J. Rooney disclosed that the filer sold · $50,001 – $100,000

Walled lake Mich Cons Sch Dist Sch bldg and Site bds 2014 5% 5/1/27

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer purchased · $15,001 – $50,000

The Madison Square garden Company Class A Common Stock (MSg)

Rep. Thomas J. Rooney disclosed that the filer sold · $50,001 – $100,000

Hudsonville Mich Pub Schs bldg and Sit bds 2011 5% 5/1/18

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

St Johns Mich Pub Schs Ref bds 2014 4% 5/1/18

Government security or agency debt · 4% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

Trenton Mich Pub Schs Sch Dist Sch bldg and Site bds 2008 4.75% 5/1/18

Government security or agency debt · 4.75% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

$ARCCAres Capital Corporation - Closed End Fund (ARCC)

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000

blackRock Capital Investment Corporation (bKCC)

Rep. Thomas J. Rooney disclosed that the filer partially sold · $50,001 – $100,000

Allergan plc Ordinary Shares (AgN)

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

lamb Weston Holdings, Inc. (lW)

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000

North Tex Mun Wtr Dist Tex Sys Rev Rev Ref And Impt bDS 2016 5% 9/1/25

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

King Cnty Wash Pub Hosp Dist No 002 Ref bDS Evergreen Healthcare 2013 4% 12/1/20

Government security or agency debt · 4% coupon

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000

King Cnty Wash Pub Hosp Dist No 002 Ref bDS Evergreen Healthcare 2013 4% 12/1/20

Government security or agency debt · 4% coupon

Rep. Thomas J. Rooney disclosed that the filer sold · $15,001 – $50,000

North Tex Mun Wtr Dist Tex Sys Rev Rev Ref And Impt bDS 2016 5% 9/1/25

Government security or agency debt · 5% coupon

Rep. Thomas J. Rooney disclosed that the filer partially sold · $15,001 – $50,000