Michael K. Simpson

g fedcF IlINg S TATUS : New S UbHolDINg o F : D.A. Davidson D ESCRIPTIoN : First Trust MlP & Energy Income Fund Phillips 66 (PSX)

ranSactionS iD owner asset transaction type notification Date amount First Trust DJ Interne t Index Fund(FDN)

ranSactionS iD owner asset transaction type notification Date amount First Trust Energy AlphaDEX Fund (FXN)

ranSactionS iD owner asset transaction type notification Date amount First Trust Amex biotech Index Fund(FbT) S 02/2/2016 02/5/2016 $15,001 - $50,000 F IlINg S TATuS : New S ubHOlDINg O F : D.A. Davidson First Trust Energy AlphaDEX Fund (FXN)

F S : New S O : Euro Pacific Capital IRA U.S. Bancorp (USB)

g fedcF IlINg S TATUS : New S UbHolDINg o F : D.A. Davidson D ESCRIPTIoN : boeing Company Chimera Investment Corporation (CIM)

F S : New S O : Euro Pacific Capital IRA T. Rowe Price Group, Inc. (TROW)

ranSactionS iD owner asset transaction type notification Date amount cap. gains > American Airlines group, Inc.(AAl)

American Airlines Group, Inc. (AAL)

ranSactionS iD owner asset transaction type notification Date amount cap. gains > T. Rowe Price group, Inc. (TROW)

F IlINg S TATUS : New S UbHOlDINg O F : D.A. Davidson T. Rowe Price group, Inc. (TROW)

F IlINg S TATuS : New S ubHolDINg o F : D.A. Davidson T. Rowe Price group, Inc. (TRoW)

F S : New S O : Euro Pacific Capital IRA U.S. Bancorp (USB)

F S : New S O : Euro Pacific Capital IRA T. Rowe Price Group, Inc. (TROW)

First Trust DJ Internet Index Fund (FDN)

ranSactionS iD owner asset transaction type notification Date amount cap. gains > First Trust DJ Interne t Index Fund(FDN)

American Airlines Group, Inc. (AAL)

F S : New S O : Euro Pacific Capital IRA Newmont Corporation (NEM)

F S : New S O : Euro Pacific Capital IRA Yamana Gold Inc. Ordinary Shares (AUY)

F S : New S O : Euro Pacific Capital IRA BHP Group Limited American Depositary Shares (BHP)

F S : New S O : Euro Pacific Capital IRA Cia Energetica De Minas Gerais Cemig Pref Shares (CEMCF)

F S : New S O : Euro Pacific Capital IRA Equinor ASA (EQNR)

F S : New S O : Euro Pacific Capital IRA Ericsson - American Depositary Shares each representing 1 underlying Class B share (ERIC)

F S : New S O : D.A. Davidson/Stifel Barrick Gold Corporation Common Stock (GOLD)

F S : New S O : D.A. Davidson/Stifel D : This fund terminated on 3/13/2021 J G C Corp (JGCCF)

F S : New S O : Euro Pacific Capital IRA Major Drilling Grp Intl Ordinary Shares (MJDLF)

F S : New S O : Euro Pacific Capital IRA Malayan Banking Ord Singapore Ordinary Shares (MLYNF)

F S : New S O : Euro Pacific Capital IRA Newcrest Mining Ltd Ord Ordinary Shares (NCMGF)

F S : New S O : Euro Pacific Capital IRA Origin Energy Ltd Ordinary Shares (OGFGF)

F S : New S O : Euro Pacific Capital IRA Precision Drilling Corporation (PDS)

F S : New S O : Euro Pacific Capital IRA Turkcell Iletisim Hizmetleri AS (TKC)

F S : New S O : Euro Pacific Capital IRA Tesco Plc Ord Ordinary Shares (TSCDF)

F S : New S O : D.A. Davidson/Stifel D : T ROWE PRICE - TRBCX BLUE CHIP GROWTH FUND Telefonica Brasil S.A. American Depositary Shares (VIV.V)

F S : New S O : D.A. Davidson/Stifel D : Money Market Fund - US Bancorp Woolworths Ltd Ord Ordinary Shares (WOLWF)

g fedcF IlINg S TATuS : New S ubHOldINg O F : Euro Pacific Capital IRA Turkcell Iletisim H izmetleri AS(TKC)

g fedcbF IlINg S TATuS : New S ubHOldINg O F : Euro Pacific Capital IRA Newmont Corporation (NEM)

g fedcbF IlINg S TATuS : New S ubHOldINg O F : Euro Pacific Capital IRA Ericsson - American depos itaryShares each representing 1underlying Class b s hare (ERIC)