EFD - Annual Report For 2016 - McCain, John

UnitedStatesSenate
FinancialDisclosures
AnnualReportforCalendar2016
TheHonorableJohnMcCain(McCain,John)
Filed05/15/2017@6:46PM
Thefollowingstatementswerecheckedbeforefiling:
IcertifythatthestatementsIhavemadeonthisformaretrue,completeandcorrecttothebestofmyknowledgeandbelief.
Iunderstandthatreportscannotbeeditedoncefiled.Tomakecorrections,Iwillsubmitanelectronicamendmenttothisreport.
Iomittedassetsbecausetheymeetthethreeparttestforexemption.
Part1.HonorariaPaymentsorPaymentstoCharityinLieuofHonoraria
Didanyindividualororganizationpayyouoryourspousemorethan$200ordonateanyamounttoacharityonyourbehalf,foran
article,speech,orappearance?No
Part2.EarnedandNonInvestmentIncome
Didyouoryourspousehavereportableearnedincomeornoninvestmentincome?Yes
WhoWas Amount
# Paid Type WhoPaid Paid
1 Self Pension USNavyFinanceCenter $73,488.00

Cleveland,OH
2 Self Royalties SterlingLordLiteristicInc./RandomHouseCharacterisDestinyContract $272.52
dated7/21/2004
NewYork,NY
3 Self Royalties SterlingLordLiteristicsInc./RandomHouseFaithofMyFathersContract $780.99

NewYork,NY
4 Spouse Salary Hensley&Co. >$1,000

Phoenix,AZ
Part3.Assets
Didyou,yourspouse,ordependentchildownanyassetworthmorethan$1000,haveadepositaccountwithabalanceover$5,000,
orreceiveincomeofmorethan$200fromanasset?Yes
Asset AssetType Owner Value IncomeType Income

1 USAA BankDeposit Self $1,001 Dividends, None(orless

(SanAntonio,TX) $15,000 than$201)
Type:MoneyMarketAccount,
2 JPMorganChaseBankNA BankDeposit Joint $15,001 Interest, None(orless

(Newark,DE) $50,000 than$201)
Type:Checking,Savings,
3 JPMorganChaseBankNA BankDeposit Spouse $100,001 Interest, None(orless

(Phoenix,AZ) $250,000 than$201)
Type:Checking,Savings,
4 WellsFargo&Co. BankDeposit Joint $1,001 None, None(orless

Type:Checking,
Filercomment:Acct#620
5 WellsFargo&Co. BankDeposit Joint $100,001 None, None(orless

Type:Checking,
6 "CindyHensleyMcCainFamTR Brokerage/Managed Spouse
11/09/88CombinedAccts Account
CharlesSchwab"
6.1 VIGAXVanguardGrowthIndex MutualFunds Spouse $250,001 Excepted $5,001
Adm MutualFund $500,000 Investment $15,000

Filercomment:Additionalassets Fund,
transferredfromWildRiver,LLC.
6.2 DFLVXDFAUSLargeCapValueI MutualFunds Spouse $250,001 Excepted $15,001

Filercomment:Additionalassets MutualFund $500,000 Investment $50,000
Fund,
6.3 VRSIXStoneRidgeU.S.Small MutualFunds Spouse $50,001 Excepted $201$1,000

CapVari MutualFund $100,000 Investment
6.4 DFFVXDFAUSTargetedValueI MutualFunds Spouse $250,001 Excepted $5,001

Fund,
6.5 VRFIXStoneRidgeIntl MutualFunds Spouse $100,001 Excepted $201$1,000

DevelopedMarkets MutualFund $250,000 Investment
6.6 DISVXDFAInternationalSmall MutualFunds Spouse $500,001 Excepted $15,001

CapValueI MutualFund $1,000,000 Investment $50,000
6.7 DFCEXDFAEmergingMarkets MutualFunds Spouse $250,001 Excepted $2,501

CoreEquityI MutualFund $500,000 Investment $5,000
6.8 VRMIXStoneRidgeEmerging MutualFunds Spouse $100,001 Excepted None(orless

MarketsVa MutualFund $250,000 Investment than$201)
6.9 PIMIXPIMCOIncomeInstl MutualFunds Spouse $500,001 Excepted $15,001

Filercomment:Additionalassets MutualFund $1,000,000 Investment $50,000
Fund,
6.10 MWTIXMetropolitanWestTotal MutualFunds Spouse $250,001 Excepted $5,001

ReturnBondI MutualFund $500,000 Investment $15,000
6.11 AQRIXAQRRiskParityI MutualFunds Spouse $100,001 Excepted $15,001

Fund,
6.12 QSPIXAQRStylePremia MutualFunds Spouse $500,001 Excepted $5,001

AlternativeI MutualFund $1,000,000 Investment $15,000
6.13 SHRIXStoneRidgeHighYield MutualFunds Spouse $250,001 Excepted $15,001
Reinsura MutualFund $500,000 Investment $50,000

6.14 SRRIXStoneRidgeReinsurance MutualFunds Spouse $500,001 Excepted $15,001

RiskPr MutualFund $1,000,000 Investment $50,000
6.15 SWXXXSchwabTaxExempt MutualFunds Spouse $250,001 Excepted $201$1,000

MoneyFundSw StableValue $500,000 Investment
Filercomment:Additionalassets Fund/Unit
Fund,
transferredfromWildRiver,LLC. InvestmentFund
6.16 AMJJPMorganAlerianMLPETN MutualFunds Spouse $250,001 Excepted $15,001

Filercomment:Additionalassets ExchangeTraded $500,000 Investment $50,000
transferredfromWildRiver,LLC. Funds/Notes
Fund,
6.17 SFLNXSchwabFundamentalUS MutualFunds Spouse $500,001 Excepted $50,001

LargeCompanyIdx MutualFund $1,000,000 Investment $100,000
7 Hensley&Co.AssetsHeldin Brokerage/Managed Spouse

RetirementPlan Account
7.1 ABNDXAmericanFundsBond MutualFunds Spouse $100,001 Excepted $5,001

FundofAmerA MutualFund $250,000 Investment $15,000
Fund,
7.2 AEPGXAmericanFunds MutualFunds Spouse $100,001 Excepted $1,001

EuropacificGrowthA MutualFund $250,000 Investment $2,500
Fund,
7.3 AGTHXAmericanFundsGrowth MutualFunds Spouse $250,001 Excepted $15,001

Fund,
7.4 AIBAXAmericanFundsInterm MutualFunds Spouse $100,001 Excepted $2,501
BdFdofAmerA MutualFund $250,000 Investment $5,000

Fund,
7.5 AIVSXAmericanFundsInvmtCo MutualFunds Spouse $250,001 Excepted $15,001
ofAmerA MutualFund $500,000 Investment $50,000

Fund,
7.6 ANWPXAmericanFundsNew MutualFunds Spouse $100,001 Excepted $2,501

PerspectiveA MutualFund $250,000 Investment $5,000
Fund,
7.7 AWSHXAmericanFunds MutualFunds Spouse $250,001 Excepted $15,001

WashingtonMutualA MutualFund $500,000 Investment $50,000
Fund,
7.8 FRSGXFranklinSmallMidCap MutualFunds Spouse $100,001 Excepted $5,001
GrowthA MutualFund $250,000 Investment $15,000

Fund,
7.9 LAVLXLordAbbettMidCap MutualFunds Spouse $100,001 Excepted $15,001
StockA MutualFund $250,000 Investment $50,000

Fund,
8 SterlingLordLiteristics/Random IntellectualProperty Self Unascertainable Rent/Royalties, $1,001

House,Inc.,NewYorkNY BookPublishing $2,500
Title:SterlingLordLiteristics,Inc Rights
RandomHouseBookRoyalties
Agreements.FaithofMyFathers
(RandomHouse,1999)Worththe
FightingFor(RandomHouse,
2002)WhyCourageMatters
(RandomHouse,2004)Character
isDestiny(RandomHouse,
2005).Publisher:SterlingLord
Literistics/RandomHouse.
9 SterlingLordLiteristics/Warner IntellectualProperty Self Unascertainable None, None(orless

Books,Inc.,asubsidiaryof BookPublishing than$201)
Rights
HachetteBookGroupUSA,Inc.,
NewYork,NY
Title:HardCall(Hachette
Literistics/WarnerBooks,Inc.,a
subsidiaryofHachetteBookGroup.
10 SterlingLordLiteristics/Gibson IntellectualProperty Self Unascertainable None, None(orless

SquareBooks,London,England BookPublishing than$201)
Title:SterlingLordLiteristics,Inc. Rights
GibsonSquareBooksLicensing
Agreement.HardCall(Hachette
Literistics/GibsonSquareBooks,
London,England.
11 SterlingLordLiteristics/Sallim IntellectualProperty Self Unascertainable None, None(orless

PublishingCo.LTD.,PajuCity, BookPublishing than$201)
Rights
SouthKorea
Title:SterlingLordLiteristics,Inc.
SallimPublishingCo.Licensing
Agreement.HardCall(Hachette
Literistics/SallimPublishingCo.
LTD.,PajuCity,SouthKorea.
12 SterlingLordLiteristics/Andrew IntellectualProperty Self Unascertainable None, None(orless

NurnbergAssociates BookPublishing than$201)
Rights
International,London,England,
AndrewNurnbergLiterary
Agency,Moscow,Russia,AST
RELaseHoldingsLTD.,Nicosia,
Cyprus
Title:SterlingLordLiteristics,Inc.
AndrewNurnbergAssociates
International,AndrewNurnberg
LiteraryAgency,andASTRelease
HoldingsLicensingAgreements.
HardCall(Hachette
Literistics/AndrewNurnberg
AssociatesInternational,London,
England,AndrewNurnbergLiteracy
Agency,Moscow,Russia,AST
RELeaseHoldingsLTD.,Nicosia,
Cyprus.
13 HoughtonMifflinHarcourt IntellectualProperty Self Unascertainable None, None(orless
Company,nonexclusivelicense BookPublishing than$201)

Rights
toreprintcopyrightedwork
Title:SterlingLordLiteristics,Inc
HoughtonMifflinHarcourtCompany
PermissionsAgreement.FaithofMy
Fathers(RandomHouse,1999)
.Publisher:HoughtonMifflin
HarcourtCompany,nonexclusive
licensetoreprintcopyrightedwork.
14 SterlingLordLiteristic,Inc./Simon IntellectualProperty Self Unascertainable None, None(orless
&Schuster,Inc.ThirteenSoldiers BookPublishing than$201)

Rights
Contractdated7/2/2013
Simon&Schuster,Inc.Publishing
Agreement.ThirteenSoldiers:A
PersonalHistoryofAmericansat
War(Simon&Schuster,
Literistic,Inc./Simon&Schuster,Inc.
ThirteenSoldiersContractdated
7/2/2013.
15 SterlingLordLiteristic,Inc./Easton IntellectualProperty Self Unascertainable Rent/Royalties, None(orless

PressThirteenSoldiersContract BookPublishing than$201)
Rights
dated6/9/14
EastonPressBookRoyalties
Agreement.ThirteenSoldiers:A
PersonalHistoryofAmericansat
War(EastonPress,
Literistic,Inc./EastonPressThirteen
SoldiersContractdated6/9/14.
16 PrincessMedicalCenter,LLC BusinessEntity Spouse None(orless Rent/Royalties, $100,001

Company:PrincessMedicalCenter, LimitedLiability than$1,001) Interest, $1,000,000
LLC(Peoria, Company(LLC)
CapitalGains,
AZ)Description:RentalMedical
OfficesFilercomment:Princess
MedicalCenter,LLCwasadebt
financedrealestateprojectwhich
wasliquidatedin2016andgain
wasrealizedatthetimeof
liquidation.
17 RemainderInterestinMarguerite Trust Spouse
Hensley'sResidenceTrustDated General(Trust)
06212000
Filercomment:Value
Unascertainable.
17.1 ResidentialPropertyLaJolla, RealEstate Spouse Over None, None(orless
CA Residential $1,000,000and than$201)

Description:ResidentialProperty held
(LaJolla,CA)
independently
byspouseor
dependentchild
17.2 JPMorganChaseBankNA BankDeposit Spouse $50,001 None, None(orless

Type:Checking,
18 RemainderInterestinMarguerite Trust Spouse

Hensley'sResidualTrustDated General(Trust)
06212000
Filercomment:Value
Unascertainable.
18.1 MiscellaneousHome PersonalProperty Spouse $15,001 None, None(orless
Furnishings Other $50,000 than$201)

Description:MiscellaneousHome
Furnishings
18.2 JPMorganChaseBankNA BankDeposit Spouse $1,001 Interest, None(orless

Type:Checking,
19 UnderlyingAssetsofHensley& Trust Spouse
Co.,otherthanPrimaryTradeof General(Trust)
Business
19.1 AZPB,LP BusinessEntity Spouse $500,001 Other,

Company:AZPBLP(Phoenix, LimitedPartnership $1,000,000 (Distributive Other
AZ)Description:Professional (LP)
shareof $46,564.50
BaseballTeam
ordinary
income.)
19.2 701/801,LLC(Investing BusinessEntity Spouse $500,001 Other,

UnderlyingAssetisParkingLot) LimitedLiability $1,000,000 (Distributive Other
Company(LLC)
Company:701/801LLC(Phoenix, Shareof $19,232.00
AZ)Description:ParkingGarage
Ordinary
Income)
19.3 ExploradorFund,LP BusinessEntity Spouse $15,001 Excepted $15,001

Company:ExploradorFund,LP LimitedPartnership $50,000 Investment $50,000
(SanFrancisco, (LP)
Fund,
Ca)Description:Equity
Investments
19.4 ARKANSASSTCOLLEGESVGS, Government Spouse $1,001 None, None(orless

0.00%,BOND,6/1/2017 Securities $15,000 than$201)
Rate/Coupon:0.00% MunicipalSecurity
Matures:6/1/2017
19.5 CROWLEYTXINDPTSCHOOL, Government Spouse $1,001 None, None(orless

Matures:8/1/2017
19.6 ILLINOISSTZEROCPN,0.00%, Government Spouse $1,001 None, None(orless
BOND,8/1/2017 Securities $15,000 than$201)

Matures:8/1/2017
19.7 KELLERTXINDEPSCHOOLDIST, Government Spouse $1,001 None, None(orless

Matures:8/15/2017
19.8 ANAHEIMCAPUBLIC Government Spouse None(orless CapitalGains, $201$1,000
FINANCINGAUTHORITYLEASE, Securities than$1,001)

0.00%,BOND,9/1/2017 MunicipalSecurity
Rate/Coupon:0.00%
Matures:9/1/2017
19.9 WESTVIRGINIASTINFRAST, Government Spouse $1,001 None, None(orless

Matures:11/1/2017
19.10 GRANDPRAIRIETXINDPTSCH Government Spouse $1,001 None, None(orless
DISTRFDG,0.00%,BOND, Securities $15,000 than$201)

2/15/2017 MunicipalSecurity
Rate/Coupon:0.00%
Matures:2/15/2017
19.11 WILLCOILCUSCHDISTRFDG, Government Spouse $1,001 None, None(orless

Matures:11/1/2017
19.12 UNITYTWPPAMUNICIPALAUTH Government Spouse $1,001 None, None(orless
SEWER,0.00%,BOND, Securities $15,000 than$201)

Rate/Coupon:0.00%
Matures:11/1/2018
19.13 SANJOAQUINHLSCATRANS Government Spouse $1,001 None, None(orless
AGYTOLL,0.00%,BOND, Securities $15,000 than$201)

Rate/Coupon:0.00%
Matures:1/1/2020
19.14 WASHINGTONGAWILKES Government Spouse $1,001 None, None(orless
PAYROLLDEV,0.00%,BOND, Securities $15,000 than$201)

Rate/Coupon:0.00%
Matures:12/1/2021
19.15 TEXASMUNIPOWERAGY,0.00%, Government Spouse $1,001 None, None(orless

Matures:9/1/2017
19.16 AUSTINTXUTILSYSREV,0.00%, Government Spouse $1,001 None, None(orless

Matures:5/15/2018
19.17 NEWJERSEYHCFACILITIESFIN, Government Spouse $1,001 None, None(orless

Matures:7/1/2018
19.18 GLENCOVENYIDACIVFAC, Government Spouse $1,001 None, None(orless

Matures:12/15/2019
19.19 GLENCOVENYIDACIVFAC, Government Spouse $1,001 None, None(orless

Matures:10/15/2019
19.20 WILLCOILCMNTYHIGHSCH Government Spouse None(orless CapitalGains, $201$1,000
DIST,0.00%,BOND,1/1/2021 Securities than$1,001)

Matures:1/1/2021
19.21 METROGOVTNASHVL&DAVID Government Spouse $1,001 None, None(orless
TNH&E,0.00%,BOND,6/1/2021 Securities $15,000 than$201)

Matures:6/1/2021
19.22 RICHMONDCNTYGADEVAUTH, Government Spouse None(orless CapitalGains, $201$1,000
0.00%,BOND,12/1/2021 Securities than$1,001)

Matures:12/1/2021
19.23 WILLCOILCMNTYHIGHSCH Government Spouse $1,001 None, None(orless
DIST,0.00%,BOND,1/1/2022 Securities $15,000 than$201)

Matures:1/1/2022
19.24 LEWISVILLETXINDPTSCHDIST, Government Spouse None(orless CapitalGains, $201$1,000

0.00%,BOND,8/15/2022 Securities than$1,001)
Matures:8/15/2022
19.25 NATOMASUSDCAELECT,0.00%, Government Spouse $1,001 None, None(orless

Matures:9/1/2022
19.26 HOUSTONTXWTR&SWR,0.00%, Government Spouse None(orless CapitalGains, $201$1,000
BOND,12/1/2022 Securities than$1,001)

Matures:12/1/2022
19.27 OREGONSTUNIV,2.477%,BOND, Government Spouse None(orless Interest, $1,001
8/1/2023 Securities than$1,001) CapitalGains, $2,500

Matures:8/1/2023
19.28 SUFFOLKNYPUBIMPT,2.125%, Government Spouse None(orless Interest, $1,001

BOND,10/15/2023 Securities than$1,001) CapitalGains, $2,500
Matures:10/15/2023
19.29 WILLCNTYILSCHDIST,0.00%, Government Spouse None(orless CapitalGains, $201$1,000

Matures:11/1/2023
19.30 EASTHILLSNYRFDG,2.00%, Government Spouse None(orless Interest, $201$1,000

BOND,12/1/2023 Securities than$1,001) CapitalGains,
Matures:12/1/2023
19.31 CARMELINREDEVAUTHLSE Government Spouse None(orless Interest, $201$1,000
RENT,2.85%,BOND,2/1/2024 Securities than$1,001) CapitalGains,

Matures:2/1/2024
19.32 MIDLANDPARKNJBRDED, Government Spouse None(orless Interest, $201$1,000

2.00%,BOND,8/15/2024 Securities than$1,001) CapitalGains,
Matures:8/15/2024
19.33 VOORHEESTWPNJMUNBLDG Government Spouse $1,001 Interest, None(orless

SWRUTIL,2.25%,BOND, Securities $15,000 than$201)
Rate/Coupon:2.25%
Matures:8/15/2024
19.34 WASHINGTONSTMOTOR Government Spouse None(orless CapitalGains, $201$1,000

VEHICLE,0.00%,BOND, Securities than$1,001)
Rate/Coupon:0.00%
Matures:12/1/2024
19.35 ARAPAHOECOSCHDIST,0.00%, Government Spouse None(orless CapitalGains, $1,001
BOND,12/1/2025 Securities than$1,001) $2,500

Matures:12/1/2025
19.36 ARAPAHOECOSCHDIST,0.00%, Government Spouse None(orless CapitalGains, $201$1,000

Matures:6/1/2026
19.37 COLUMBIAMOSPLOBLIGRFDG Government Spouse None(orless Interest, $201$1,000

ELECUTIL,2.375%,BOND, Securities than$1,001) CapitalGains,
Rate/Coupon:2.375%
Matures:9/1/2026
19.38 AMCPXAmericanFunds MutualFunds Spouse $250,001 Excepted $50,001

AMCAPA MutualFund $500,000 Investment $100,000
Fund,
19.39 AMRMXAmericanFunds MutualFunds Spouse $250,001 Excepted $50,001

AmericanMutualA MutualFund $500,000 Investment $100,000
Fund,
19.40 CWGIXAmericanFundsCapital MutualFunds Spouse $500,001 Excepted $15,001

WorldGr&IncA MutualFund $1,000,000 Investment $50,000
Fund,
19.41 AMECXAmericanFundsIncome MutualFunds Spouse $50,001 Excepted $5,001

Fund,
19.42 SGOVXFirstEagleOverseasA MutualFunds Spouse $250,001 Excepted $5,001

MutualFund $500,000 Investment $15,000
Fund,
19.43 SGENXFirstEagleGlobalA MutualFunds Spouse $250,001 Excepted $15,001

MutualFund $500,000 Investment $50,000
Fund,
19.44 TEDIXFranklinMutualGlobal MutualFunds Spouse $250,001 Excepted $15,001

DiscoveryA MutualFund $500,000 Investment $50,000
Fund,
19.45 JPMorganChaseBank BankDeposit Spouse $15,001 Dividends, None(orless

Type:BrokerageSweepAccount,
19.46 WYLIETXINDPTSCHDIST, Government Spouse $1,001 None, None(orless

Matures:08/15/2022
19.47 WILLCOILCMNTYHIGHSCH Government Spouse $1,001 None, None(orless

DIST,0.00%,BOND,1/1/2023 Securities $15,000 than$201)
Matures:01/01/2023
19.48 FOOTHILLEASTERNTRANSN Government Spouse $1,001 None, None(orless

CORRIDORAGY,0.00%,BOND, Securities $15,000 than$201)
Rate/Coupon:0.00%
Matures:01/01/2024
19.49 LAKEDALLASTEXASINDPT Government Spouse $1,001 None, None(orless

SCHOOLDIST,0.00%,BOND, Securities $15,000 than$201)
Rate/Coupon:0.00%
Matures:08/15/2024
19.50 FRISCOTXINDPTSCHDIST, Government Spouse $1,001 None, None(orless

Matures:08/15/2024
19.51 SANANTONIOTXSCHDIST, Government Spouse $1,001 None, None(orless

Matures:08/15/2025
19.52 AZBaseballBroadcastHoldings, BusinessEntity Spouse $1,001 None, None(orless

LP LimitedPartnership $15,000 than$201)
Company:AZBaseballBroadcast (LP)
Holdings,LP(Phoenix,
Arizona)Description:Baseball
MediaRights
20 Hensley&Co.CommonStockin CorporateSecurities Spouse Over Dividends, Over

SCorp NonPublicStock $1,000,000and CapitalGains, $1,000,000
Company:HensleyBeverageCo. held andheld
(Phoenix,
independently independently
AZ)Description:Beverage
Distribution byspouseor byspouseor
dependentchild dependent
child
21 DreamCatcherFamilyLLC BusinessEntity Spouse
Company:DreamCatcherFamily LimitedLiability
LLC(Coronado, Company(LLC)
CA)Description:Securities/Property
InvestmentCompany
21.1 ResidentialRealEstate RealEstate Spouse $250,001 None, None(orless

Coronado,CA Residential $500,000 than$201)
Description:ResidentialReal
EstateHeldforInvestment
(Coronado,CA)
21.2 JPMorganChase BankDeposit Spouse $50,001 None, None(orless

Type:Checking,
21.3 Stifel BankDeposit Spouse None(orless Interest, None(orless

(Phoenix,AZ) than$1,001) than$201)
Filercomment:Assetwas
21.4 CWGIXAmericanFundsCapital MutualFunds Spouse $1,001 Excepted $201$1,000

WorldGr&IncA MutualFund $15,000 Investment
Filercomment:Securitywas Fund,
21.5 AEPGXAmericanFunds MutualFunds Spouse $1,001 Excepted None(orless
EuropacificGrowthA MutualFund $15,000 Investment than$201)

21.6 ANCFXAmericanFunds MutualFunds Spouse $15,001 Excepted $201$1,000

FundamentalInvsA MutualFund $50,000 Investment


21.9 SMCWXAmericanFunds MutualFunds Spouse $1,001 Excepted None(orless

SMALLCAPWorldA MutualFund $15,000 Investment than$201)

22 WildRiverLLC BusinessEntity Spouse
Company:WildRiverLLC LimitedLiability
(Phoenix, Company(LLC)
AZ)Description:Investment
Vehicle
22.1 SedonaVacantLand RealEstate Spouse $50,001 None, None(orless

Description:SedonaVacantLand UnimprovedLand $100,000 than$201)
(Cornville,AZ)
22.2 SedonaProperty,Cornville,AZ RealEstate Spouse Over None, None(orless

(twoparcels.Parcel1:Residence Residential $1,000,000and than$201)
andGuestHouse,Parcel2:Guest held
House) independently
Description:SedonaProperty byspouseor
(Cornville,AZ)
dependentchild
22.3 SedonaHiddenValleyLP BusinessEntity Spouse $50,001
Company:SedonaHiddenValley LimitedPartnership $100,000

LP(Peoria,AZ)Description:Land (LP)
Investment
22.3.1 GuestHouse&LandAdjustments RealEstate Spouse $500,001 None, None(orless

toResidentialProperty Residential $1,000,000 than$201)
Description:GuestHouse&Land
AdjustmentstoResidentialProperty
(Sedona,AZ)
22.3.2 UnimprovedLandAdjacentto RealEstate Spouse $100,001 None, None(orless
ResidentialProperty UnimprovedLand $250,000 than$201)

Description:UnimprovedLand
AdjacenttoResidentialProperty
(Sedona,AZ)
22.3.3 NationalBankofArizona BankDeposit Spouse $1,001 None, None(orless

(Phoenix,Arizona) $15,000 than$201)
Type:Checking,
22.4 SWXXXSchwabTaxExempt MutualFunds Spouse $1,001 Excepted None(orless

MoneyFundSw MutualFund $15,000 Investment than$201)
Filercomment:Assetwas Fund,
transferredtoCindyHensley
McCainFamTR11/09/88
22.5 CWGIXAmericanFundsCapital MutualFunds Spouse $50,001 Excepted $2,501

WorldGr&IncA MutualFund $100,000 Investment $5,000
partiallytransferredtoDream
CatcherFamilyLLC.
22.6 AEPGXAmericanFunds MutualFunds Spouse $50,001 Excepted $201$1,000
EuropacificGrowthA MutualFund $100,000 Investment

CatcherFamilyLLC.
22.7 ANCFXAmericanFunds MutualFunds Spouse $100,001 Excepted $5,001
FundamentalInvsA MutualFund $250,000 Investment $15,000

CatcherFamilyLLC.

CatcherFamilyLLC.

CatcherFamilyLLC.
22.10 SMCWXAmericanFunds MutualFunds Spouse $15,001 Excepted None(orless
SMALLCAPWorldA MutualFund $50,000 Investment than$201)

CatcherFamilyLLC.

CatcherFamilyLLC.
22.12 StifelNicolaus BankDeposit Spouse None(orless Interest, None(orless

(Phoenix,Arizona) than$1,001) than$201)
22.13 JPMorganChaseBank BankDeposit Spouse $15,001 None, None(orless

Type:Checking,
22.14 AMJJPMorganAlerianMLP MutualFunds Spouse None(orless Excepted $5,001

ETN ExchangeTraded than$1,001) Investment $15,000
Funds/Notes
McCainFamTR11/09/88
22.15 AMUUBSETRACSAlerianMLP MutualFunds Spouse None(orless Excepted None(orless
ETN ExchangeTraded than$1,001) Investment than$201)

Funds/Notes
Fund,
22.16 AQRIXAQRRiskParityI MutualFunds Spouse None(orless Excepted None(orless

Filercomment:Securitywas MutualFund than$1,001) Investment than$201)
Fund,
McCainFamTR11/09/88
22.17 DFCEXDFAEmergingMarkets MutualFunds Spouse None(orless Excepted $5,001

CoreEquityI MutualFund than$1,001) Investment $15,000
McCainFamTR11/09/88
22.18 DFFVXDFAUSTargetedValueI MutualFunds Spouse None(orless Excepted $2,501

Filercomment:Securitywas MutualFund than$1,001) Investment $5,000
Fund,
McCainFamTR11/09/88
22.19 DFLVXDFAUSLargeCapValueI MutualFunds Spouse None(orless Excepted $2,501

Fund,
McCainFamTR11/09/88
22.20 DISVXDFAInternationalSmall MutualFunds Spouse None(orless Excepted $1,001

CapValueI MutualFund than$1,001) Investment $2,500
McCainFamTR11/09/88
22.21 MWTIXMetropolitanWestTotal MutualFunds Spouse None(orless Excepted $2,501
ReturnBdI MutualFund than$1,001) Investment $5,000

McCainFamTR11/09/88
22.22 PIMIXPIMCOIncomeInstl MutualFunds Spouse None(orless Excepted $5,001

Fund,
McCainFamTR11/09/88
22.23 SFLNXSchwabFundamentalUS MutualFunds Spouse None(orless Excepted $5,001

LargeCompanyIdx MutualFund than$1,001) Investment $15,000
McCainFamTR11/09/88
22.24 SHRIXStoneRidgeHighYield MutualFunds Spouse None(orless Excepted $201$1,000

Reinsura MutualFund than$1,001) Investment
McCainFamTR11/09/88
22.25 VIGAXVanguardGrowthIndex MutualFunds Spouse None(orless Excepted $5,001

Admiral MutualFund than$1,001) Investment $15,000
McCainFamTR11/09/88
22.26 VRSIXStoneRidgeU.S.Small MutualFunds Spouse None(orless Excepted None(orless

CapVari MutualFund than$1,001) Investment than$201)
McCainFamTR11/09/88
23 NoteReceivableMeghan Accounts Spouse Over Interest, $100,001
MargueriteMcCainIrrevTrust Receivable $1,000,000and $1,000,000

Debtor:MeghanMargueriteMcCain FromanIndividual held
IrrevTrust
independently
byspouseor
dependentchild
24 NoteReceivableJohnSidney Accounts Spouse $500,001 Interest, $15,001

McCainIVIrrevTrust Receivable $1,000,000 $50,000
Debtor:JohnSidneyMcCainIV FromanIndividual
IrrevTrust
25 NoteReceivableJamesHensley Accounts Spouse Over Interest, $50,001
McCainIrrevTrust Receivable $1,000,000and $100,000

Debtor:JamesHensleyMcCain FromanIndividual held
IrrevTrust
independently
byspouseor
dependentchild
26 NoteReceivableBridgetLeela Accounts Spouse $250,001 Interest, $5,001

McCainIrrevTrust Receivable $500,000 $15,000
Debtor:BridgetLeelaMcCainIrrev FromanIndividual
Trust
27 RemainderInterestinJames Trust Spouse

HensleyQualifiedGSTNon General(Trust)
ExemptTrust05/17/2001
Filercomment:Note:Several
marketablesecuritiesthathada
12/31/16valuationbelow$1,001
andincomelessthan$201have
notbeenincludedaspartofthis
attachment.
27.1 SEEGXJPMorganLargeCap MutualFunds Spouse None(orless Excepted $201$1,000

GrowthSelect MutualFund than$1,001) Investment
Fund,
27.2 FMIHXFMILargeCap MutualFunds Spouse $1,001 Excepted None(orless

MutualFund $15,000 Investment than$201)
Fund,
27.3 JLPSXJPMorganUSLargeCap MutualFunds Spouse $1,001 Excepted $1,001
CorePlusSelect MutualFund $15,000 Investment $2,500

Fund,
27.4 SPYSPDRS&P500ETF MutualFunds Spouse $15,001 Excepted $201$1,000

ExchangeTraded $50,000 Investment
Funds/Notes
Fund,
27.5 IJHiSharesCoreS&PMidCap MutualFunds Spouse $1,001 Excepted None(orless

ExchangeTraded $15,000 Investment than$201)
Funds/Notes
Fund,
27.6 PGMIXJPMorganMarket MutualFunds Spouse None(orless Excepted $201$1,000

ExpansionEnhIdxSelect MutualFund than$1,001) Investment
Fund,
27.7 APDKXArtisanInternational MutualFunds Spouse $1,001 Excepted None(orless
ValueAdvisor MutualFund $15,000 Investment than$201)

Fund,
27.8 HEFAiSharesCurrencyHedged MutualFunds Spouse $1,001 Excepted None(orless

MSCIEAFE MutualFund $15,000 Investment than$201)
Fund,
27.9 MINIXMFSInternationalValueI MutualFunds Spouse $1,001 Excepted $201$1,000

MutualFund $15,000 Investment
Fund,
27.10 EFAiSharesMSCIEAFE MutualFunds Spouse None(orless Excepted None(orless

MutualFund than$1,001) Investment than$201)
Fund,
27.11 OAKIXOakmarkInternationalI MutualFunds Spouse $1,001 Excepted None(orless

Fund,
27.12 VGKVanguardFTSEEuropeETF MutualFunds Spouse None(orless Excepted None(orless

ExchangeTraded than$1,001) Investment than$201)
Funds/Notes
Fund,
27.13 BAFJXBrownAdvisoryWMC MutualFunds Spouse $1,001 Excepted None(orless
JPNAlphaOppsInstl MutualFund $15,000 Investment than$201)

Fund,
27.14 JEITXJPMorganGlobal MutualFunds Spouse $1,001 Excepted None(orless
ResearchEnhIdxSelect MutualFund $15,000 Investment than$201)

Fund,
27.15 EQIPXEquinoxIPMSystematic MutualFunds Spouse $1,001 Excepted None(orless

MacroI MutualFund $15,000 Investment than$201)
Fund,
27.16 EBSIXEquinoxCampbell MutualFunds Spouse $1,001 Excepted None(orless

StrategyI MutualFund $15,000 Investment than$201)
Fund,
27.17 GTEYXGatewayY MutualFunds Spouse $1,001 Excepted None(orless

Fund,
27.18 GARIXGothamAbsoluteReturn MutualFunds Spouse None(orless Excepted None(orless

Institutional MutualFund than$1,001) Investment than$201)
Fund,
27.19 PUCPXPIMCOUnconstrained MutualFunds Spouse $1,001 Excepted None(orless

BondP MutualFund $15,000 Investment than$201)
Fund,
27.20 PADZXPrudentialAbsolute MutualFunds Spouse None(orless Excepted None(orless

ReturnBondZ MutualFund than$1,001) Investment than$201)
Fund,
27.21 DODIXDodge&CoxIncome MutualFunds Spouse $1,001 Excepted None(orless

Fund,
27.22 JSOSXJPMorganStrategic MutualFunds Spouse None(orless Excepted None(orless

IncomeOppsSel MutualFund than$1,001) Investment than$201)
Fund,
27.23 OHYFXJPMorganHighYield MutualFunds Spouse None(orless Excepted None(orless

Select MutualFund than$1,001) Investment than$201)
Fund,
27.24 JSISXJPMorganUnconstrained MutualFunds Spouse None(orless Excepted None(orless
DebtSelect MutualFund than$1,001) Investment than$201)

Fund,
27.25 JITIXJPMorganIntermediateTax MutualFunds Spouse $1,001 Excepted None(orless
FreeBdInstl MutualFund $15,000 Investment than$201)

Fund,
27.26 TXRIXJPMorganTaxAwareReal MutualFunds Spouse $1,001 Excepted None(orless
ReturnInstl MutualFund $15,000 Investment than$201)
Fund,
27.27 JIMIXJPMorganShrtIntrmdt MutualFunds Spouse None(orless Excepted None(orless

MuncplBdInstl MutualFund than$1,001) Investment than$201)
Fund,
27.28 DBLTXDoubleLineTotalReturn MutualFunds Spouse $1,001 Excepted None(orless
BondI MutualFund $15,000 Investment than$201)

Fund,
27.29 JPMorganChaseBank BankDeposit Spouse $1,001 Interest, None(orless

Type:BrokerageSweepAccount,
27.30 LTRYXLordAbbettTotalReturn MutualFunds Spouse $1,001 Excepted None(orless

I MutualFund $15,000 Investment than$201)
Fund,
27.31 PCMMXPIMCOFdsPacificInv MutualFunds Spouse $1,001 Excepted None(orless
MgtSrsC MutualFund $15,000 Investment than$201)

Fund,
27.32 VFICXVanguardIntermTerm MutualFunds Spouse $1,001 Excepted None(orless

InvmtGradeInv MutualFund $15,000 Investment than$201)
Fund,
27.33 EMBiSharesJPMorganUSD MutualFunds Spouse $1,001 Excepted None(orless
EmergMarketsBond ExchangeTraded $15,000 Investment than$201)

Funds/Notes
Fund,
28 NoteReceivableHensley&Co. Accounts Spouse Over Interest, $15,001

Company:Hensley&Co.(Phoenix, Receivable $1,000,000and $50,000
Arizona)
FromaBusiness held
independently
byspouseor
dependentchild
Part4a.PeriodicTransactionReportSummary
Inthissection,electronicallyfiledperiodictransactionreport(PTR)transactionsaredisplayedforyou.Haveyoufiledanypaperbased
PTRsinthisperiod?No
Transaction
# Date Owner Ticker AssetName Type Amount Comment
1 02/16/2016 Spouse DALLASCNTYTXUTILITY& Sale $1,001
RECLAMATIONDIST,0.00%,BOND, (Full) $15,000
2/15/2016GeneralObligation
Rate/Coupon:0%
Matures:2/15/2016
2 02/01/2016 Spouse KENDALLCNTYILCUSD88PLANO Purchase $1,001

AMBAC,0.00%,BOND,12/1/2020 $15,000
Revenue
Rate/Coupon:0%
Matures:2/1/2020
3 02/01/2016 Spouse COOKCNTYILSCHDIST,0.00%, Purchase $1,001

BOND,12/1/2021GeneralObligation $15,000
Rate/Coupon:0%
Matures:12/1/2021
4 02/05/2016 Spouse WILLCOILCMNTYHIGHSCHDIST, Purchase $1,001
0.00%,BOND,1/1/2022General $15,000
Obligation
Rate/Coupon:0%
Matures:1/1/2022
Transaction
5 01/28/2016 Spouse COMALTXINDEPTSCHDIST,0.00%, Purchase $1,001
Rate/Coupon:0%
Matures:2/1/2022
6 02/19/2016 Spouse WYLIETXINDPTSCHDIST,0%, Purchase $1,001

Rate/Coupon:0%
Matures:8/15/2022
7 02/19/2016 Spouse WILLCOILCMNTYHIGHSCHDIST, Purchase $1,001
0.00%,BOND,1/1/2023General $15,000
Obligation
Rate/Coupon:0%
Matures:1/1/2023
8 02/19/2016 Spouse FOOTHILLEASTERNTRANSN Purchase $1,001
CORRIDORAGY,0.00%,BOND, $15,000
1/1/2024Revenue
Rate/Coupon:0%
Matures:1/1/2024
9 02/19/2016 Spouse FRISCOTXINDPTSCHDIST,0.00%, Purchase $1,001
BOND,8/15/2024,GeneralObligation $15,000
Rate/Coupon:0%
Matures:8/15/2024
10 02/23/2016 Spouse SANANTONIOTXSCHDIST,0.00%, Purchase $15,001

Rate/Coupon:0%
Matures:8/15/2025
11 02/04/2016 Spouse WAXAHACHIETXINDPTSCHDIST, Purchase $1,001
0.00%,BOND,8/15/2026General $15,000
Obligation
Rate/Coupon:0%
Matures:8/15/2026
12 03/04/2016 Spouse SOMERSETHILLSNJREGLSCHOOL Purchase $1,001
DIST,2.00%,BOND,9/15/2026 $15,000
GeneralObligation
Rate/Coupon:2.00%
Matures:9/15/2026
13 03/10/2016 Spouse LAKEDALLASTEXASINDPTSCHOOL Purchase $1,001
DIST,0.00%,BOND,8/15/2024 $15,000
GeneralObligation
Rate/Coupon:2.00%
Matures:8/15/2024
Transaction
14 08/09/2016 Spouse ANAHEIMCAPUBLICFINANCING Sale $1,001 Security
AUTHORITYLEASE,0%,BOND, (Full) $15,000 Heldby
9/1/2017Revenue Hensley&
Rate/Coupon:0% Co
Matures:9/1/2017
15 08/09/2016 Spouse WYLIETXINDPTSCHDIST,00.00%, Sale $1,001 Security
BOND,8/15/2018GeneralObligation (Full) $15,000 Heldby

Rate/Coupon:0% Hensley&
Matures:8/15/2018
Co
16 08/09/2016 Spouse WASHINGTONSTMOTORVEHICLE, Sale $1,001 Security
0.00%,BOND,12/1/2018Double (Full) $15,000 Heldby
Barreled Hensley&
Rate/Coupon:0% Co
Matures:12/01/2018
17 08/09/2016 Spouse FOOTHILLEASTERNTRANSN Sale $1,001 Security
CORRIDORAGY,0.00%,BOND, (Full) $15,000 Heldby
Rate/Coupon:0% Co
Matures:01/01/2019
18 08/09/2016 Spouse HUNTINGTONPKCAREDEVAGY Sale $1,001 Security
SALES&USETAX,0.00%,BOND, (Full) $15,000 Heldby
Rate/Coupon:0% Co
Matures:01/01/2019
19 08/09/2016 Spouse ILLINOISDEVFINAUTH,0.00%, Sale $15,001 Security
BOND,4/15/2020Revenue (Full) $50,000 Heldby

Matures:04/15/2020
Co
20 08/09/2016 Spouse NEBRASKAINVTFINAUTHSINGL Sale $1,001 Security
FAM,1.80%,BOND,9/1/2020 (Full) $15,000 Heldby

Revenue Hensley&
Rate/Coupon:1.80% Co
Matures:09/01/2020
21 08/09/2016 Spouse KENDALLCNTYILCUSD88PLANO Sale $1,001 Security
AMBAC,0.00%,BOND,12/1/2020 (Full) $15,000 Heldby

Revenue Hensley&
Rate/Coupon:0% Co
Matures:12/01/2020
Transaction
22 08/09/2016 Spouse FOOTHILLEASTERNTRANSN Sale $15,001 Security

CORRIDORAGY,0.00%,BOND, (Full) $50,000 Heldby
Rate/Coupon:0% Co
Matures:01/01/2021
23 08/09/2016 Spouse WILLCOILCMNTYHIGHSCHDIST, Sale $15,001 Security

0.00%,BOND,1/1/2021General (Full) $50,000 Heldby
Obligation Hensley&
Rate/Coupon:0% Co
Matures:01/01/2021
24 08/09/2016 Spouse METPIER&EXPOSITNATH,0.00%, Sale $1,001 Security

Matures:06/15/2021
Co
25 08/09/2016 Spouse TEXASSTTPKAUTHCENT,0.00%, Sale $1,001 Security

Matures:08/15/2021
Co
26 08/09/2016 Spouse BOONEILMCHENRY&DEKALB Sale $1,001 Security
CNTY,0.00%,BOND,12/1/2021 (Full) $15,000 Heldby

GeneralObligation Hensley&
Rate/Coupon:0% Co
Matures:12/01/2021
27 08/09/2016 Spouse COOKCNTYILSCHDIST,0.00%, Sale $1,001 Security

Matures:12/01/2021
Co
28 08/09/2016 Spouse LITCHFIELDCT,0.00%,BOND, Sale $1,001 Security
2/1/2022GeneralObligation (Full) $15,000 Heldby

Matures:02/01/2022
Co
29 08/09/2016 Spouse COMALTXINDEPTSCHDIST,0.00%, Sale $1,001 Security

Matures:02/01/2022
Co
Transaction
30 08/09/2016 Spouse SANMARCOSCACTFPARTN,0.00%, Sale $1,001 Security

Matures:02/15/2022
Co
31 08/09/2016 Spouse COPPELLTXINDPTSCHDIST,0.00%, Sale $1,001 Security

Matures:08/15/2022
Co
32 08/09/2016 Spouse LEWISVILLETXINDPTSCHDIST, Sale $1,001 Security
0.00%,BOND,8/15/2022General (Full) $15,000 Heldby

Obligation Hensley&
Rate/Coupon:0% Co
Matures:08/15/2022
33 08/09/2016 Spouse HOUSTONTXWTR&SWR,0.00%, Sale $15,001 Security

Matures:12/01/2022
Co
34 08/09/2016 Spouse SUFFOLKNYPUBIMPT,2.125%, Sale $15,001 Security

Rate/Coupon:2.125% Hensley&
Matures:10/15/2023
Co
35 08/09/2016 Spouse WILLCNTYILSCHDIST,0.00%, Sale $1,001 Security

Matures:11/01/2023
Co
36 08/09/2016 Spouse CARMELINREDEVAUTHLSERENT, Sale $1,001 Security
2.85%,BOND,2/1/2024Revenue (Full) $15,000 Heldby

Rate/Coupon:2.85% Hensley&
Matures:02/01/2024
Co
37 08/09/2016 Spouse LUCASPLAZAHSGDEVCORPOH, Sale $1,001 Security

Matures:6/01/2024
Co
38 08/09/2016 Spouse MIDLANDPARKNJBRDED,2.00%, Sale $1,001 Security

Matures:08/15/2024
Co
Transaction
39 08/09/2016 Spouse WASHINGTONSTMOTORVEHICLE, Sale $1,001 Security

0.00%,BOND,12/1/2024Double (Full) $15,000 Heldby
Barreled Hensley&
Rate/Coupon:0% Co
Matures:12/01/2024
40 08/09/2016 Spouse COLUMBIAMOSPLOBLIGRFDG Sale $1,001 Security

ELECUTIL,2.375%,BOND,9/1/2026 (Full) $15,000 Heldby
Revenue Hensley&
Rate/Coupon:2.375% Co
Matures:09/01/2026
41 08/09/2016 Spouse SOMERSETHILLSNJREGLSCHOOL Sale $1,001 Security

DIST,2.00%,BOND,9/15/2026 (Full) $15,000 Heldby
GeneralObligation Hensley&
Rate/Coupon:2% Co
Matures:09/15/2026
42 04/27/2016 Spouse CENTERTWPPASWRAUTH,0%, Sale $1,001 Security

Matures:4/15/2018
Co
43 04/26/2016 Spouse MISSOURISTHLTH&EFA,0.00%, Sale $15,001 Security

Matures:9/1/2018
Co
44 04/26/2016 Spouse LEANDERTXINDPTSCHDIST,0.00%, Sale $15,001 Security

Matures:8/15/2019
Co
45 04/26/2016 Spouse SANMARCOSCAPUBFACSAUTH, Sale $15,001 Security

Matures:9/1/2019
Co
46 04/27/2016 Spouse COLORADOHFARETIREFACS,0.00%, Sale $15,001 Security

Matures:7/15/2020
Co
Transaction
47 04/27/2016 Spouse HOUSTONTXWTR&SWR,0.00%, Sale $1,001 Security

Matures:12/1/2020
Co
48 04/27/2016 Spouse RICHMONDCNTYGADEVAUTH, Sale $1,001 Security

Matures:12/1/2021
Co
49 04/27/2016 Spouse OREGONSTUNIV,2.477%,BOND, Sale $15,001 Security

Matures:8/1/2023
Co
50 04/27/2016 Spouse EASTHILLSNYRFDG,2.00%,BOND, Sale $15,001 Security

Matures:12/1/2023
Co
51 04/27/2016 Spouse SANANTONIOTXSCHDIST,0.00%, Sale $15,001 Security

BOND,8/15/2025GeneralObligation (Partial) $50,000 Heldby
Matures:8/15/2025
Co
52 04/27/2016 Spouse ARAPAHOECOSCHDIST,0.00%, Sale $15,001 Security

Matures:12/1/2025
Co
53 04/27/2016 Spouse ARAPAHOECOSCHDIST,0.00%, Sale $1,001 Security

Matures:6/1/2026
Co
54 04/27/2016 Spouse WAXAHACHIETXINDPTSCHDIST, Sale $1,001 Security
0.00%,BOND,8/15/2026General (Partial) $15,000 Heldby

Obligation Hensley&
Rate/Coupon:0% Co
Matures:8/15/2026
Transaction
55 08/01/2016 Spouse WildRiver,LLC Purchase $5,000,001 Purchase

Company:WildRiver,LLC(Phoenix, $25,000,000 oftheLLC
AZ)
interests
Description:InvestmentVehicle
fromthe
other
partners.
Part4b.Transactions
Didyou,yourspouse,ordependentchildbuy,sell,orexchangeanassetthatexceeded$1,000?Yes
Transaction Transaction
# Owner Ticker AssetName Type Date Amount Comment
1 Spouse SHRIX StoneRidgeHighYieldReinsura Sale 12/15/2016 $15,001 Security
(Partial) $50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
2 Spouse SRRIX StoneRidgeReinsuranceRiskPr Purchase 12/15/2016 $15,001 Security
$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
5 Spouse SHRIX StoneRidgeHighYieldReinsura Purchase 12/01/2016 $1,001 Security

$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
7 Spouse QSPIX AQRStylePremiaAlternativeI Purchase 11/16/2016 $50,001 Security
$100,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
8 Spouse DFFVX DFAUSTargetedValueI Purchase 11/16/2016 $15,001 Security

$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
9 Spouse AQRIX AQRRiskParityI Purchase 11/16/2016 $50,001 Security
$100,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
10 Spouse DFCEX DFAEmergingMarketsCore Purchase 11/16/2016 $15,001 Security

EquityI $50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
11 Spouse VIGAX VanguardGrowthIndexAdmiral Purchase 11/16/2016 $15,001 Security
$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$100,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
13 Spouse SFLNX SchwabFundamentalUSLarge Purchase 11/16/2016 $15,001 Security

CompanyIdx $50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
14 Spouse DISVX DFAInternationalSmallCap Purchase 11/16/2016 $50,001 Security
ValueI $100,000 Heldby

Cindy
Hensley
McCain
FamTR
11/09/88
15 Spouse DFLVX DFAUSLargeCapValueI Purchase 11/16/2016 $15,001 Security

$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
16 Spouse AMJ JPMorganAlerianMLPETN Purchase 11/16/2016 $1,001 Security
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
31 Spouse QSPIX AQRStylePremiaAlternativeI Sale 07/26/2016 $15,001 Security

Cindy
Hensley
McCain
FamTR
11/09/88
32 Spouse DFFVX DFAUSTargetedValueI Sale 07/26/2016 $1,001 Security
Cindy
Hensley
McCain
FamTR
11/09/88
33 Spouse MWTIX MetropolitanWestTotalReturnBd Sale 07/26/2016 $15,001 Security
I (Partial) $50,000 Heldby

Cindy
Hensley
McCain
FamTR
11/09/88
34 Spouse DFCEX DFAEmergingMarketsCore Sale 07/26/2016 $1,001 Security
EquityI (Partial) $15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
35 Spouse DISVX DFAInternationalSmallCap Sale 07/26/2016 $1,001 Security
ValueI (Partial) $15,000 Heldby

Cindy
Hensley
McCain
FamTR
11/09/88
36 Spouse DFLVX DFAUSLargeCapValueI Sale 07/26/2016 $15,001 Security

Cindy
Hensley
McCain
FamTR
11/09/88
37 Spouse AMJ JPMorganAlerianMLPETN Sale(Full) 07/26/2016 $1,001 Security
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
38 Spouse AMJ JPMorganAlerianMLPETN Sale(Full) 07/26/2016 $1,001 Security
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
40 Spouse AQRIX AQRRiskParityI Sale 06/16/2016 $1,001 Security
Cindy
Hensley
McCain
FamTR
11/09/88
41 Spouse SFLNX SchwabFundamentalUSLarge Sale 06/16/2016 $1,001 Security
CompanyIdx (Partial) $15,000 Heldby

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
43 Spouse PIMIX PIMCOIncomeInstl Sale 06/16/2016 $15,001 Security

Cindy
Hensley
McCain
FamTR
11/09/88
44 Spouse AMJ JPMorganAlerianMLPETN Sale 06/16/2016 $15,001 Security

Cindy
Hensley
McCain
FamTR
11/09/88
$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
Cindy
Hensley
McCain
FamTR
11/09/88
49 Spouse VIGAX VanguardGrowthIndexAdmiral Sale 04/08/2016 $15,001 Security

Cindy
Hensley
McCain
FamTR
11/09/88
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
Cindy
Hensley
McCain
FamTR
11/09/88
54 Spouse VRSIX StoneRidgeU.S.SmallCapVari Sale 04/08/2016 $1,001 Security

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
$100,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
67 Spouse AMU UBSETRACSAlerianMLPETN Sale(Full) 01/22/2016 $50,001 Security
$100,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC
90 Spouse AMJ JPMorganAlerianMLPETN Sale 07/20/2016 $1,001 Security

WildRiver,
LLC

$15,000 Heldby
WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

$15,000 Heldby
WildRiver,
LLC
$50,000 Heldby
WildRiver,
LLC

WildRiver,
LLC

$50,000 Heldby
WildRiver,
LLC
103 Spouse VRSIX StoneRidgeU.S.SmallCapVari Sale 02/19/2016 $1,001 Security

WildRiver,
LLC

WildRiver,
LLC

WildRiver,
LLC

$15,000 Heldby
WildRiver,
LLC
$50,000 Heldby
WildRiver,
LLC
108 Spouse AMU UBSETRACSAlerianMLPETN Sale(Full) 01/22/2016 $15,001 Security

$50,000 Heldby
WildRiver,
LLC
109 Spouse HEFA iSharesCurrencyHedgedMSCI Purchase 04/12/2016 $1,001 Security

EAFE $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
110 Spouse HEFA iSharesCurrencyHedgedMSCI Sale 07/18/2016 $1,001 Security
EAFE (Partial) $15,000 Heldby

James
Hensley
GSTNon
Exempt
Trust
111 Spouse HEFA iSharesCurrencyHedgedMSCI Sale 09/19/2016 $1,001 Security

EAFE (Partial) $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
112 Spouse EFA iSharesMSCIEAFE Purchase 04/12/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
113 Spouse EFA iSharesMSCIEAFE Purchase 09/19/2016 $1,001 Security
$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
114 Spouse EFA iSharesMSCIEAFE Sale 10/06/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
115 Spouse EFA iSharesMSCIEAFE Sale(Full) 11/11/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
116 Spouse MINIX MFSInternationalValueI Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
117 Spouse OAKIX OakmarkInternationalInvestor Sale 03/04/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
118 Spouse OAKIX OakmarkInternationalInvestor Purchase 04/12/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust

James
Hensley
GSTNon
Exempt
Trust

James
Hensley
GSTNon
Exempt
Trust
121 Spouse VGK VanguardFTSEEuropeETF Sale(Full) 07/18/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
122 Spouse FMIHX FMILargeCap Sale 10/06/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
123 Spouse IJH iSharesCoreS&PMidCap Sale 02/02/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
124 Spouse IJH iSharesCoreS&PMidCap Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
125 Spouse JLPSX JPMorganUSLargeCapCore Purchase 04/12/2016 $1,001 Security

PlusI $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
126 Spouse JLPSX JPMorganUSLargeCapCore Sale 10/06/2016 $1,001 Security
PlusI (Partial) $15,000 Heldby

James
Hensley
GSTNon
Exempt
Trust
127 Spouse JLPSX JPMorganUSLargeCapCore Sale 11/11/2016 $1,001 Security

PlusI (Partial) $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
128 Spouse PGMIX JPMorganMarketExpansionEnh Sale(Full) 02/02/2016 $1,001 Security

IdxI $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
129 Spouse SPY SPDRS&P500ETF Purchase 02/02/2016 $1,001 Security
$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
132 Spouse SPY SPDRS&P500ETF Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
133 Spouse JEITX JPMorganGlobalResearch Sale 03/17/2016 $1,001 Security
EnhancedIdxI (Partial) $15,000 Heldby

James
Hensley
GSTNon
Exempt
Trust
134 Spouse JEITX JPMorganGlobalResearch Purchase 04/12/2016 $1,001 Security

EnhancedIdxI $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust

James
Hensley
GSTNon
Exempt
Trust

James
Hensley
GSTNon
Exempt
Trust
137 Spouse OHYFX JPMorganHighYieldI Sale(Full) 03/17/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
138 Spouse JSISX JPMorganUnconstrainedDebtI Sale(Full) 03/17/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
139 Spouse JITIX JPMorganIntermediateTaxFree Purchase 04/12/2016 $1,001 Security
BondI $15,000 Heldby

James
Hensley
GSTNon
Exempt
Trust
140 Spouse JITIX JPMorganIntermediateTaxFree Sale 10/06/2016 $1,001 Security

BondI (Partial) $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
141 Spouse JITIX JPMorganIntermediateTaxFree Sale 11/11/2016 $1,001 Security

BondI (Partial) $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
142 Spouse DODIX Dodge&CoxIncome Purchase 06/03/2016 $1,001 Security
$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
143 Spouse DODIX Dodge&CoxIncome Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
144 Spouse JSOSX JPMorganStrategicIncome Sale(Full) 03/17/2016 $1,001 Security

OpportsI $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
145 Spouse DBLTX DoubleLineTotalReturnBondI Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
146 Spouse LTRYX LordAbbettTotalReturnI Purchase 03/17/2016 $1,001 Security
$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
147 Spouse LTRYX LordAbbettTotalReturnI Purchase 04/12/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
148 Spouse LTRYX LordAbbettTotalReturnI Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
149 Spouse PCMMX PIMCOFdsPacificInvMgtSrsC Purchase 03/17/2016 $1,001 Security
$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
150 Spouse PCMMX PIMCOFdsPacificInvMgtSrsC Purchase 04/12/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
151 Spouse PCMMX PIMCOFdsPacificInvMgtSrsC Sale 10/06/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
152 Spouse PCMMX PIMCOFdsPacificInvMgtSrsC Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
153 Spouse VFICX VanguardIntermTermInvmt Purchase 03/17/2016 $1,001 Security

GradeInv $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
154 Spouse VFICX VanguardIntermTermInvmt Sale 11/11/2016 $1,001 Security

GradeInv (Partial) $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
155 Spouse EMB iSharesJPMorganUSDEmerg Purchase 07/18/2016 $1,001 Security
MarketsBond $15,000 Heldby

James
Hensley
GSTNon
Exempt
Trust
156 Spouse TXRIX JPMorganTaxAwareRealReturn Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
157 Spouse JIMIX JPMorganShortIntermMuncplBd Sale(Full) 03/17/2016 $1,001 Security

I $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
158 Spouse EQIPX EquinoxIPMSystematicMacroI Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
159 Spouse GARIX GothamAbsoluteReturn Sale(Full) 07/18/2016 $1,001 Security

Institutional $15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
160 Spouse GTEYX GatewayY Purchase 03/17/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
161 Spouse GTEYX GatewayY Purchase 04/12/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
162 Spouse GTEYX GatewayY Sale 10/06/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
163 Spouse GTEYX GatewayY Sale 11/11/2016 $1,001 Security

James
Hensley
GSTNon
Exempt
Trust
164 Spouse PUCPX PIMCOUnconstrainedBondP Purchase 04/12/2016 $1,001 Security

$15,000 Heldby
James
Hensley
GSTNon
Exempt
Trust
165 Spouse AMCPX AmericanFundsAMCAPA Sale 04/26/2016 $100,001 Security

Hensley&
Co
166 Spouse AMCPX AmericanFundsAMCAPA Sale 08/09/2016 $100,001 Security

Hensley&
Co
167 Spouse AMRMX AmericanFundsAmericanMutual Sale 04/26/2016 $50,001 Security

A (Partial) $100,000 Heldby
Hensley&
Co
168 Spouse AMRMX AmericanFundsAmericanMutual Sale 08/09/2016 $100,001 Security

Hensley&
Co
169 Spouse CWGIX AmericanFundsCapitalWorld Sale 04/26/2016 $50,001 Security

Gr&IncA (Partial) $100,000 Heldby
Hensley&
Co
170 Spouse AMECX AmericanFundsIncomeFundof Sale 04/26/2016 $250,001 Security

AmerA (Partial) $500,000 Heldby
Hensley&
Co
171 Spouse TEDIX FranklinMutualGlobalDiscovery Sale 04/26/2016 $15,001 Security

Hensley&
Co

Cindy
Hensley
McCain
FamTR
11/09/88
173 Spouse DFCEX DFAEmergingMarketsCore Purchase 11/16/2016 $100,001 Security

EquityI $250,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
174 Spouse DFFVX DFAUSTargetedValueI Purchase 11/16/2016 $100,001 Security

$250,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
175 Spouse DFLVX DFAUSLargeCapValueI Purchase 11/16/2016 $50,001 Security
$100,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
176 Spouse DISVX DFAInternationalSmallCap Purchase 11/16/2016 $100,001 Security

ValueI $250,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
180 Spouse SFLNX SchwabFundamentalUSLarge Purchase 11/16/2016 $100,001 Security

CompanyIdx $250,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88
182 Spouse VIGAX VanguardGrowthIndexAdmiral Purchase 11/16/2016 $50,001 Security

$100,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

$15,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
185 Spouse MWTIX MetropolitanWestTotalReturnBd Sale(Full) 12/12/2016 $100,001 Security

I $250,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
186 Spouse VRFIXStoneRidgeIntl Purchase 12/12/2016 $50,001 Security

DevelopedMarkets $100,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
187 Spouse VRMIX StoneRidgeEmergingMarkets Purchase 12/12/2016 $15,001 Security
Va $50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
188 Spouse VRSIX StoneRidgeU.S.SmallCapVari Purchase 12/12/2016 $15,001 Security
$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88

Cindy
Hensley
McCain
FamTR
11/09/88

$50,000 Heldby
Cindy
Hensley
McCain
FamTR
11/09/88
191 Spouse Hensley&CompanySCorp Sale 07/01/2016 $1,000,001 Security
Shares (Partial) Heldby

$5,000,000 Cindy
Hensley
McCain
FamTR
11/09/88
192 Spouse SHRIX StoneRidgeHighYieldReinsura Purchase 08/01/2016 $250,001 Proportional

$500,000 shareof
underlying
assetof
WildRiver
LLC
193 Spouse SRRIX StoneRidgeReinsuranceRiskPr Purchase 08/01/2016 $250,001 Proportional

$500,000 shareof
underlying
assetof
WildRiver
LLC
194 Spouse VRFIXStoneRidgeIntl Purchase 08/01/2016 $50,001 Proportional

DevelopedMarkets $100,000 shareof
underlying
assetof
WildRiver
LLC
195 Spouse DFCEX DFAEmergingMarketsCore Purchase 08/01/2016 $100,001 Proportional

EquityI $250,000 shareof
underlying
assetof
WildRiver
LLC
196 Spouse VRMIX StoneRidgeEmergingMarkets Purchase 08/01/2016 $50,001 Proportional

Va $100,000 shareof
underlying
assetof
WildRiver
LLC
197 Spouse DISVX DFAInternationalSmallCap Purchase 08/01/2016 $100,001 Proportional

ValueI $250,000 shareof
underlying
assetof
WildRiver
LLC
198 Spouse AMJ JPMorganAlerianMLPETN Purchase 08/01/2016 $100,001 Proportional

$250,000 shareof
underlying
assetof
WildRiver
LLC
199 Spouse PIMIX PIMCOIncomeInstl Purchase 08/01/2016 $250,001 Proportional

$500,000 shareof
underlying
assetof
WildRiver
LLC
200 Spouse AQRIX AQRRiskParityI Purchase 08/01/2016 $250,001 Proportional

$500,000 shareof
underlying
assetof
WildRiver
LLC
201 Spouse QSPIX AQRStylePremiaAlternativeI Purchase 08/01/2016 $250,001 Proportional

$500,000 shareof
underlying
assetof
WildRiver
LLC
202 Spouse MWTIX MetropolitanWestTotalReturnBd Purchase 08/01/2016 $250,001 Proportional

I $500,000 shareof
underlying
assetof
WildRiver
LLC
203 Spouse SFLNX SchwabFundamentalUSLarge Purchase 08/01/2016 $100,001 Proportional

CompanyIdx $250,000 shareof
underlying
assetof
WildRiver
LLC
204 Spouse VIGAX VanguardGrowthIndexAdmiral Purchase 08/01/2016 $100,001 Proportional

$250,000 shareof
underlying
assetof
WildRiver
LLC
205 Spouse DFLVX DFAUSLargeCapValueI Purchase 08/01/2016 $100,001 Proportional

$250,000 shareof
underlying
assetof
WildRiver
LLC
206 Spouse VRSIX StoneRidgeU.S.SmallCapVari Purchase 08/01/2016 $15,001 Proportional

$50,000 shareof
underlying
assetof
WildRiver
LLC
207 Spouse DFFVX DFAUSTargetedValueI Purchase 08/01/2016 $100,001 Proportional

$250,000 shareof
underlying
assetof
WildRiver
LLC
208 Spouse CWGIX AmericanFundsCapitalWorld Purchase 08/01/2016 $50,001 Proportional

Gr&IncA $100,000 shareof
underlying
assetof
WildRiver
LLC
209 Spouse AEPGX AmericanFundsEuropacific Purchase 08/01/2016 $15,001 Proportional

GrowthA $50,000 shareof
underlying
assetof
WildRiver
LLC
210 Spouse ANCFXAmericanFunds Purchase 08/01/2016 $100,001 Proportional

FundamentalInvsA $250,000 shareof
underlying
assetof
WildRiver
LLC
211 Spouse AIVSX AmericanFundsInvmtCoofAmer Purchase 08/01/2016 $100,001 Proportional

A $250,000 shareof
underlying
assetof
WildRiver
LLC
212 Spouse ANWPX AmericanFundsNewPerspective Purchase 08/01/2016 $250,001 Proportional

A $500,000 shareof
underlying
assetof
WildRiver
LLC
213 Spouse SMCWX AmericanFundsSMALLCAP Purchase 08/01/2016 $1,001 Proportional

WorldA $15,000 shareof
underlying
assetof
WildRiver
LLC
214 Spouse AWSHX AmericanFundsWashington Purchase 08/01/2016 $100,001 Proportional

MutualA $250,000 shareof
underlying
assetof
WildRiver
LLC
215 Spouse SWGXX SchwabGovernmentMoneyFund Purchase 08/01/2016 $15,001 Proportional

$50,000 shareof
underlying
assetof
WildRiver
LLC
216 Spouse SedonaProperty,Corville,AZ(two Purchase 08/01/2016 $1,000,001 Proportional

parcels:Parcel1:Residenceand shareof
GuestHouse,Parcel2:Guest $5,000,000 underlying
House) assetof
WildRiver
LLC
217 Spouse GuesthouseandLand Purchase 08/01/2016 $100,001 Proportional
AdjustmentstoResidential $250,000 shareof

Property underlying
assetof
WildRiver
LLC
218 Spouse UnimprovedLandAdjacentto Purchase 08/01/2016 $50,001 Proportional
ResidentialProperty $100,000 shareof

underlying
assetof
WildRiver
LLC
219 Spouse SedonaVacantLand(Cornville, Purchase 08/01/2016 $50,001 Proportional
AZ) $100,000 shareof

underlying
assetof
WildRiver
LLC
Part5.Gifts
Didyou,yourspouse,ordependentchildreceiveanyreportablegiftduringthereportingperiod?No
Part6.Travel
Didyou,yourspouse,ordependentchildreceiveanyreportabletravelorreimbursementsfortravel?No
Part7.Liabilities
Didyou,yourspouse,ordependentchildhavealiabilityworthmorethan$10,000atanytime?Yes
Rate
# Incurred Debtor Type Points (Term) Amount Creditor Comments
1 2016 Spouse Revolving 0% $100,001 AmericanExpress

Charge (NA) $250,000 LosAngeles,CA
2 2016 Spouse Revolving 0% $15,001 AmericanExpress

Charge (NA) $50,000 LosAngeles,CA
Rate
# Incurred Debtor Type Points (Term) Amount Creditor Comments
3 2016 Spouse Promissory 1.22% $1,000,001 MeghanMargueriteMcCain

Note (8Years $5,000,000 IrrevocableTrustDated
11 11/03/2004
Months) Phoenix,Arizona
4 2016 Spouse Promissory 1.22% $1,000,001 JohnSidneyMcCainIV

5 11/03/2004
5 2016 Spouse Promissory 1.22% $1,000,001 JamesHensleyMcCain

7 08/24/2009
6 2016 Spouse Promissory 1.22% $500,001 BridgetLeelaMcCain

10 08/01/2013
Part8.Positions
Didyouholdanyoutsidepositionsduringthereportingperiod?Yes
# PositionDates PositionHeld Entity EntityType Comments
1 Feb1993to Other(ChairmanoftheBoardof InternationalRepublican Nonprofit

present Directors) Institute Organization
Washington,D.C.
2 Oct2003to Trustee IntrepidFoundation Other(Museam)

present NewYork,NY
3 Mar2005to Other(ChairmanofNational TranslationalGenomics Nonprofit

present AdvisoryCouncil) ResearchInstitute Organization
Phoenix,AZ
Part9.Agreements
Didyouhaveanyreportableagreementorarrangementwithanoutsideentity?Yes
Parties
# Date Involved Type StatusandTerms
Parties
1 Jan Random Royalty SeveralAgreementswithRandomHousePublishingtowritebooks.Willreceive
2006 House Agreement paymentscustomaryintradefromSterlingLordLiteristics.

Publishing
NewYork,
NY
2 Apr Warner Royalty AgreementwithWarnerBooks,Inc.towriteanonfictionwork.Willreceive

2006 Books Agreement paymentscustomaryintradefromSterlingLordLIteristics.
(Hachette
Books)
NewYork,
NY
3 Mar Gibson Royalty Publishingagreement(HardCallbyJohnMcCain)withGibsonSquareBooks.

2008 Square Agreement WillreceivepaymentcustomaryintradeformSterlingLordLiteristics.
Books
London,
England
4 Feb Sallim Royalty Publishingagreement(HardCallbyJohnMcCain)withSallimPublishingCo.,
2008 Publishing Agreement LTD.WillreceivepaymentcustomaryintradeformSterlingLordLiteristics.

Co.,LTD
PajuCity,
SouthKorea
5 Dec Andrew Royalty Publishingagreement(HardCallbyJohnMcCain)withAndrewNurnberg

2008 Nurnberg Agreement AssociatesInternational,LTD.,AndrewNurnbergLiteraryAgencyof21Tsventnoy
Associates BlvdandASTReleaseHoldings,LTD.ofAgiouPavlou.Willreceivepayments
International, customaryintradefromSterlingLordLiteristics.
LTD
London,
England
6 Jun Houghton Royalty AgreementwithHoughtonMifflinHarcourtCompanygrantingnonexclusive

2010 Mifflin Agreement licensetoreprintcopyrightedwork(FaithofMyFathersbyJohnMcCain).Will
Harcourt receivepermissionsfeecustomaryintradefromSterlingLordLiteristics.
Evanston,IL
7 Jun Simon& Royalty Publishingagreement(ThirteenSoldiersbyJohnMcCainandMarkSalter)with
2013 Schuster, Agreement Simon&Schuster,Inc.WillreceivepaymentscustomaryintradefromSterling

Inc.,New LordLiteristics.
York,NY
Nicosia,
Cyprus
Parties
8 Jun Easton Royalty Rightsagreement(ThirteenSoldiers:APersonalHistoryofAmericansatWar)

2014 Press Agreement withEastonPress.WillreceivepaymentscustomaryintradefromSterlingLord
Norwalk,CT Literistics.
Part10.Compensation
Ifthisisyourfirstreport,oryouareacandidatedidyoureceivecompensationofmorethan$5,000fromasinglesourceinthetwo
prioryears?Thisisnotmyfirstreport.
Attachments&Comments
Noattachmentsadded.
Nocommentsadded.

EFD - Annual Report For 2016 - McCain, John

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EFD - Annual Report For 2016 - McCain, John

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UnitedStatesSenate

# Paid Type WhoPaid Paid

1 Self Pension USNavyFinanceCenter $73,488.00

2 Self Royalties SterlingLordLiteristicInc./RandomHouseCharacterisDestinyContract $272.52

3 Self Royalties SterlingLordLiteristicsInc./RandomHouseFaithofMyFathersContract $780.99

4 Spouse Salary Hensley&Co. >$1,000

Asset AssetType Owner Value IncomeType Income

1 USAA BankDeposit Self $1,001 Dividends, None(orless

2 JPMorganChaseBankNA BankDeposit Joint $15,001 Interest, None(orless

3 JPMorganChaseBankNA BankDeposit Spouse $100,001 Interest, None(orless

4 WellsFargo&Co. BankDeposit Joint $1,001 None, None(orless

5 WellsFargo&Co. BankDeposit Joint $100,001 None, None(orless

6 "CindyHensleyMcCainFamTR Brokerage/Managed Spouse

6.1 VIGAXVanguardGrowthIndex MutualFunds Spouse $250,001 Excepted $5,001

Adm MutualFund $500,000 Investment $15,000

6.2 DFLVXDFAUSLargeCapValueI MutualFunds Spouse $250,001 Excepted $15,001

6.3 VRSIXStoneRidgeU.S.Small MutualFunds Spouse $50,001 Excepted $201$1,000

6.4 DFFVXDFAUSTargetedValueI MutualFunds Spouse $250,001 Excepted $5,001

6.5 VRFIXStoneRidgeIntl MutualFunds Spouse $100,001 Excepted $201$1,000

6.6 DISVXDFAInternationalSmall MutualFunds Spouse $500,001 Excepted $15,001

6.7 DFCEXDFAEmergingMarkets MutualFunds Spouse $250,001 Excepted $2,501

6.8 VRMIXStoneRidgeEmerging MutualFunds Spouse $100,001 Excepted None(orless

6.9 PIMIXPIMCOIncomeInstl MutualFunds Spouse $500,001 Excepted $15,001

6.10 MWTIXMetropolitanWestTotal MutualFunds Spouse $250,001 Excepted $5,001

6.11 AQRIXAQRRiskParityI MutualFunds Spouse $100,001 Excepted $15,001

6.12 QSPIXAQRStylePremia MutualFunds Spouse $500,001 Excepted $5,001

6.13 SHRIXStoneRidgeHighYield MutualFunds Spouse $250,001 Excepted $15,001

Reinsura MutualFund $500,000 Investment $50,000

6.14 SRRIXStoneRidgeReinsurance MutualFunds Spouse $500,001 Excepted $15,001

6.15 SWXXXSchwabTaxExempt MutualFunds Spouse $250,001 Excepted $201$1,000

6.16 AMJJPMorganAlerianMLPETN MutualFunds Spouse $250,001 Excepted $15,001

6.17 SFLNXSchwabFundamentalUS MutualFunds Spouse $500,001 Excepted $50,001

7 Hensley&Co.AssetsHeldin Brokerage/Managed Spouse

7.1 ABNDXAmericanFundsBond MutualFunds Spouse $100,001 Excepted $5,001

7.2 AEPGXAmericanFunds MutualFunds Spouse $100,001 Excepted $1,001

7.3 AGTHXAmericanFundsGrowth MutualFunds Spouse $250,001 Excepted $15,001

7.4 AIBAXAmericanFundsInterm MutualFunds Spouse $100,001 Excepted $2,501

BdFdofAmerA MutualFund $250,000 Investment $5,000

7.5 AIVSXAmericanFundsInvmtCo MutualFunds Spouse $250,001 Excepted $15,001

ofAmerA MutualFund $500,000 Investment $50,000

7.6 ANWPXAmericanFundsNew MutualFunds Spouse $100,001 Excepted $2,501

7.7 AWSHXAmericanFunds MutualFunds Spouse $250,001 Excepted $15,001

7.8 FRSGXFranklinSmallMidCap MutualFunds Spouse $100,001 Excepted $5,001

GrowthA MutualFund $250,000 Investment $15,000

7.9 LAVLXLordAbbettMidCap MutualFunds Spouse $100,001 Excepted $15,001

StockA MutualFund $250,000 Investment $50,000

8 SterlingLordLiteristics/Random IntellectualProperty Self Unascertainable Rent/Royalties, $1,001

9 SterlingLordLiteristics/Warner IntellectualProperty Self Unascertainable None, None(orless

10 SterlingLordLiteristics/Gibson IntellectualProperty Self Unascertainable None, None(orless

11 SterlingLordLiteristics/Sallim IntellectualProperty Self Unascertainable None, None(orless

12 SterlingLordLiteristics/Andrew IntellectualProperty Self Unascertainable None, None(orless

13 HoughtonMifflinHarcourt IntellectualProperty Self Unascertainable None, None(orless

Company,nonexclusivelicense BookPublishing than$201)

14 SterlingLordLiteristic,Inc./Simon IntellectualProperty Self Unascertainable None, None(orless

&Schuster,Inc.ThirteenSoldiers BookPublishing than$201)

15 SterlingLordLiteristic,Inc./Easton IntellectualProperty Self Unascertainable Rent/Royalties, None(orless

16 PrincessMedicalCenter,LLC BusinessEntity Spouse None(orless Rent/Royalties, $100,001

17 RemainderInterestinMarguerite Trust Spouse

17.1 ResidentialPropertyLaJolla, RealEstate Spouse Over None, None(orless

CA Residential $1,000,000and than$201)

17.2 JPMorganChaseBankNA BankDeposit Spouse $50,001 None, None(orless

18 RemainderInterestinMarguerite Trust Spouse

18.1 MiscellaneousHome PersonalProperty Spouse $15,001 None, None(orless