SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 11-K
ANNUAL REPORT
(Mark One)
x | ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO-FEE REQUIRED] |
For the calendar year ended December 31, 2019
OR
¨ | TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 [NO FEE REQUIRED] |
For the transition period from to
Commission file number
CITY NATIONAL BANK PROFIT SHARING PLAN
555 South Flower Street, Eighteenth Floor
Los Angeles, California 90071
(Full title of the plan and the address of the plan)
CITY NATIONAL BANK
555 South Flower Street, Eighteenth Floor
Los Angeles, California 90071
(Name of issuer of the securities held pursuant to the plan
and the address of its principal executive office)
REQUIRED INFORMATION
Item 1. | Not Applicable |
Item 2. | Not Applicable |
Item 3. | Not Applicable |
Item 4. | In lieu of the requirements of Items 1-3 above, plan financial statements and supplemental information prepared in accordance with the financial reporting requirements of ERISA are attached. |
CITY NATIONAL BANK
PROFIT SHARING PLAN
Financial Statements and Supplemental Information
December 31, 2019 and 2018
(With Report of Independent Registered Public Accounting Firm Thereon)
CITY NATIONAL BANK
PROFIT SHARING PLAN
Table of Contents
All other supplemental information omitted are not applicable or are not required based on disclosure requirements of the Employee Retirement Income Security Act of 1974 and regulations issued by the Department of Labor.
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Benefits Committee
City National Bank Profit Sharing Plan
Opinion on the Financial Statements
We have audited the accompanying statements of net assets available for benefits of the City National Bank Profit Sharing Plan (the “Plan”) as of December 31, 2019 and 2018, the related statements of changes in net assets available for benefits for the years then ended, and the related notes (collectively referred to as the “financial statements”). In our opinion, the financial statements present fairly, in all material respects, the net assets available for benefits of the Plan as of December 31, 2019 and 2018, and the changes in net assets available for benefits for the years then ended in conformity with accounting principles generally accepted in the United States of America.
Basis for Opinion
These financial statements are the responsibility of the Plan’s management. Our responsibility is to express an opinion on the Plan’s financial statements based on our audits. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) (PCAOB) and are required to be independent with respect to the Plan in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB.
We conducted our audits in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement, whether due to error or fraud. The Plan is not required to have, nor were we engaged to perform, an audit of its internal control over financial reporting. As part of our audits, we are required to obtain an understanding of internal control over financial reporting but not for the purpose of expressing an opinion on the effectiveness of the Plan’s internal control over financial reporting. Accordingly, we express no such opinion.
Our audits included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures to respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audits also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audits provide a reasonable basis for our opinion.
Opinion on the Supplemental Information
The supplemental information included in Schedule H, Line 4(i) – Schedule of Assets (Held at End of Year) as of December 31, 2019, has been subjected to audit procedures performed in conjunction with the audit of the Plan’s financial statements. The supplemental information is the responsibility of the Plan’s management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information in the accompanying schedule, we evaluated whether the supplemental information, including its form and content, is presented in conformity with the Department of Labor's Rules and Regulations for Reporting and Disclosure under the Employee Retirement Income Security Act of 1974. In our opinion, the supplemental information in the accompanying schedule is fairly stated, in all material respects, in relation to the financial statements as a whole.
/s/ Moss Adams LLP
Irvine, California
June 26, 2020
We have served as the Plan’s auditor since 2016.
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CITY NATIONAL BANK
PROFIT SHARING PLAN
Statements of Net Assets Available for Benefits
December 31, 2019 and 2018
2019 | 2018 | |||||||
Assets: | ||||||||
Participant directed investments, at fair value: | ||||||||
Cash and cash equivalents | $ | 100,032,860 | $ | 90,928,099 | ||||
U.S.Government securities | 489,353 | 800,803 | ||||||
Corporate debt | 458,513 | 400,146 | ||||||
Preferred stock | 1,589,010 | 156,294 | ||||||
Common stock | 108,896,756 | 91,151,142 | ||||||
Partnerships | 234,591 | 661,642 | ||||||
Common collective trusts | 281,238,479 | 86,554,156 | ||||||
Mutual funds | 611,212,571 | 576,391,636 | ||||||
Other assets | 16,361 | 141,246 | ||||||
Total investments | 1,104,168,494 | 847,185,164 | ||||||
Receivables: | ||||||||
Employer contribution | 160,556 | 1,066 | ||||||
Participant contribution | 8,716 | 3,181 | ||||||
Notes receivable from participants | 15,191,072 | 14,967,605 | ||||||
Other | 6,275,253 | — | ||||||
Total receivables | 21,635,597 | 14,971,852 | ||||||
Noninterest-bearing cash | 131,486 | 50,926 | ||||||
Net assets available for benefits | $ | 1,125,935,577 | $ | 862,207,942 |
See accompanying notes to financial statements.
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CITY NATIONAL BANK
PROFIT SHARING PLAN
Statements of Changes in Net Assets Available for Benefits
Years ended December 31, 2019 and 2018
2019 | 2018 | |||||||
Additions to net assets attributable to: | ||||||||
Investment income: | ||||||||
Interest | $ | 833,558 | $ | 709,897 | ||||
Dividends | 27,764,348 | 32,961,531 | ||||||
Net appreciation (depreciation) in fair value of investments | 160,518,967 | (92,809,489 | ) | |||||
189,116,873 | (59,138,061 | ) | ||||||
Contributions: | ||||||||
Employer | 50,064,838 | 41,558,973 | ||||||
Participants | 55,529,000 | 50,152,773 | ||||||
Other Income: | 6,275,253 | — | ||||||
Total additions | 300,985,964 | 32,573,685 | ||||||
Deductions from net assets attributable to: | ||||||||
Benefits paid to participants | 69,137,903 | 58,022,609 | ||||||
Administrative expenses | 446,444 | 600,337 | ||||||
Total deductions | 69,584,347 | 58,622,946 | ||||||
Net increase (decrease) | 231,401,617 | (26,049,261 | ) | |||||
Transfer to this plan | 32,326,018 | — | ||||||
Net assets available for benefits: | ||||||||
Beginning of year | 862,207,942 | 888,257,203 | ||||||
End of year | $ | 1,125,935,577 | $ | 862,207,942 |
See accompanying notes to financial statements.
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CITY NATIONAL BANK
PROFIT SHARING PLAN
December 31, 2019 and 2018
(1) | Description of the Plan |
The following description of the City National Bank Profit Sharing Plan (the Plan) provides only general information. Participants should refer to the plan agreement for a complete description of the Plan’s provisions.
(a) | General |
The Plan is a defined contribution profit sharing plan with a 401(k) component, which provides retirement benefits for eligible employees of City National Bank (CNB) and its subsidiaries and certain affiliates (the Company) that have agreed to participate in the Plan. The Plan is administered by City National Bank (the Plan Sponsor) who acts by and through its administrative committee, the Benefits Committee. The Benefits Committee comprises officers of the Plan Sponsor, City National Bank, an indirect, wholly-owned subsidiary of Royal Bank of Canada (RBC). The Plan is subject to the provisions of the Employee Retirement Income Security Act of 1974 (ERISA), as amended.
On November 2, 2015, RBC completed its acquisition of City National Corporation (CNC), the former holding company for CNB. CNC was merged with and into RBC USA Holdco Corporation (Holdco), a Delaware corporation, with Holdco surviving the merger as a wholly-owned subsidiary of RBC. Prior to November 2, 2015, CNC was the Company or Plan Sponsor and the Plan was called the CNC Profit Sharing Plan. Effective January 1, 2019, the Convergent Capital Management (CCM) LLC 401(k) Plan was merged into the CNB Profit Sharing Plan. Total assets merged into the Plan were $32,326,018.
The Department of Labor (DOL) conducted an investigation of the Plan, which began during the year ended December 31, 2009 for plan years ended December 31, 2006 through December 31, 2011.
On April 24, 2015, the DOL filed a complaint against CNC and others in the U.S. District Court for the Central District of California Western Division. The DOL alleged the following causes of action: (1) disloyal, imprudent, and prohibited transactions between the Plan and plan service providers City National Bank and CNC, who were also Plan fiduciaries; (2) disloyal, imprudent and prohibited transactions between the Plan and City National Asset Management, a division of City National Bank; and City National Securities, a wholly owned subsidiary of City National Bank; and (3) co-fiduciary liability with alleged damages of approximately $4 million plus lost opportunity costs. CNC received the summons and complaint and engaged counsel. On April 5, 2016, the Court granted partial summary judgment in favor of the DOL and ordered CNB to retain an independent fiduciary to conduct an accounting of the amount of revenue sharing paid to CNB as a result of the Plan’s investments. CNB’s motion for reconsideration was denied on June 7, 2016. After a mutually agreed-upon independent fiduciary completed its accounting of revenue sharing, the parties filed cross motions for partial summary judgment on damages. On February 8, 2017, the district court ruled in favor of plaintiffs and entered judgment in the amount of $7.3 million. CNB filed an appeal in the Ninth Circuit Court of Appeals. On April 23, 2019, the Court of Appeals issued its opinion upholding the district court’s ruling in favor of plaintiffs with direction to the district court to recalculate a portion of the judgment. On December 2, 2019, the district court entered a revised judgment in the amount of $6,275,253.27 to be deposited by CNB as the Plan Sponsor into the Plan’s account for distribution to eligible Plan participants. On January 15, 2020, the revised judgment amount was deposited into the Plan’s account for distribution to eligible Plan participants [This amount is recorded as other receivable and other income on the statement of net assets available for benefits and statement of changes in net assets available for benefits as of and for the year ended December 31, 2019]. The impact on the Plan will be limited to gains that may be reported as a result of the payment made by the Plan Sponsor to the Plan. Such amounts cannot be determined at this time.
OneAmerica Retirement Services LLC is the recordkeeper for the Plan. CNB was the directed trustee for the Plan through March 31, 2017 and Matrix Trust Company was appointed directed trustee effective April 1, 2017. Matrix Trust Company is also the custodian for assets of the Plan. Plan participant Individually Directed Accounts (IDAs) are held at TD Ameritrade, unless a participant requests a different provider.
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(b) | Contributions |
Employees of the Company who are entitled to paid vacation time and have completed one hour of service are eligible to participate in the Plan as of their hire date. Company profit sharing contributions to the Plan (referenced as “Employer Contributions” in the Plan) for eligible employees of City National Bank and First American Equipment Finance are equal to a percentage of employee eligible compensation based on the change in Net Profit (as defined by the Plan) over the prior fiscal year, subject to an overall maximum Company contribution of 8% of Consolidated Net Profit reduced by matching contributions made for such fiscal year (which are not made by forfeitures). For Plan years 2019 and 2018, a profit sharing contribution of 6.989% and 6.798%, respectively, of each participant’s eligible compensation was made by the Company. For Plan year 2019, and separate from the contribution above, an Affiliate profit sharing contribution of 6% of each Affiliate participant’s eligible compensation was made by the Affiliate Employer. Participants direct the investment of their contributions into various investment options offered by the Plan. Company contributions are invested at the participant’s discretion in the same manner as the salary reduction contributions described below.
Under the 401(k) feature of the Plan, participants can contribute up to 50% of their eligible compensation as defined, but not to exceed the dollar amount allowed by law, which was $19,000 and $18,500, respectively, for the years ended December 31, 2019 and 2018. Effective January 1, 2019, the Company increased its match on employee deferrals from 50% to 60% of the first 6% of eligible compensation contributed to the Plan each payroll period. Participants age 50 and over may make unmatched “catch-up” deferrals in accordance with Internal Revenue Code (IRC) regulations and limitations, not to exceed the dollar amount allowed by law, which was $6,000 for the years ended December 31, 2019 and 2018. Participants may also contribute amounts representing distributions (rollovers) from other tax-favored plans.
(c) | Participant Accounts |
Each participant account is credited with the participant’s contributions, allocations of the Company’s matching contribution and profit sharing contribution (if any), earnings or losses and administrative expenses as applicable. Earnings of the various funds are allocated to the participant balances according to the ratio that a participant’s account balance or shares held in a given fund bears to the total of all account balances or shares held in the fund.
(d) | Vesting |
Participant contributions and the Company’s matching contributions are immediately fully vested. A participant shall become fully vested in his or her entire accrued benefit upon the participant’s normal retirement date (as defined by the Plan), death, or total disability (as defined by the Plan). The Company’s profit sharing contributions, for participants whose employment terminates prior to his or her normal retirement date for reasons other than death or total disability shall vest in accordance with the following schedule:
Vested | ||||
Years of service | percentage | |||
Less than 2 years | 0 | % | ||
2 | 25 | |||
3 | 50 | |||
4 | 75 | |||
5 or more | 100 |
Any non-vested amounts in a terminated participant’s account will be forfeited in accordance with Plan provisions and used in the following sequence: first, to make any Plan contributions due to participants that have returned from qualified military service that are consistent with applicable law and the terms of the Plan; second, to make any Plan contributions required to correct administrative errors; third, to reduce matching contributions otherwise payable by the Company in the year that the forfeiture first becomes available; fourth, to restore previously forfeited account balances, if any; and fifth, to reduce matching contributions in the following year. During 2019 and 2018, forfeitures in the amounts of $1,338,837 and $1,334,352, respectively, were used in accordance with plan provisions as summarized above. As of December 31, 2019 and 2018, forfeited non-vested accounts totaled $7,160 and $11,371, respectively.
(e) | Benefit Payments |
In accordance with Plan provisions, a participant may elect to receive a distribution of his or her entire vested accrued benefit upon the participant’s separation of service or attainment of age 59 ½. Under certain other conditions, such as for financial hardships defined by the Plan, a participant may request a withdrawal of his or her contributions.
In general, for distributions other than for financial hardship or withdrawal of employee after-tax contributions, the method of payment shall be based on the participant’s election and may be made in the form of a lump-sum payment, installments, or direct transfer to an Individual Retirement Account (IRA) or tax-favored plan that accepts the transfer. A participant may also elect a combination of lump-sum payment and direct transfer. Distributions shall be made in cash or in-kind in accordance with the participant’s election and Plan provisions.
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(f) | Notes Receivable from Participants |
In accordance with provisions of the Plan’s Loan Program, loans to participants may be made in an amount not less than $1,000 and not to exceed the lesser of 50% of the participant’s vested account balance, or $50,000 reduced by the highest outstanding balance during the previous 12 months. Participants may only have one loan outstanding at a time. Such loans are collateralized by the participant’s vested balance in the Plan and bear the prevailing interest rate used by lending institutions for loans made under similar circumstances. Interest rates ranged from 3.5% to 9.25% and maturity dates ranged from January 2020 to January 2035 as of December 31, 2019. The terms of these loans cannot exceed five years except that if the loan is used to purchase the principal residence of the participant, the loan term may be extended for up to a period of 15 years. Principal and interest are paid ratably through payroll deductions.
(g) | Plan Termination |
The Company has not expressed any intent to terminate the Plan; however, it may do so at any time, subject to the provisions of ERISA. In the event of Plan termination, participants automatically become fully vested in their accrued benefits.
(h) | Plan Amendments |
The Plan was amended for provisions effective January 1, 2019 to: (1) increase the Company Match from 50% to 60% of the first 6% of compensation contributed by a participant to the Plan in a payroll period; (2) allow for the merger of an affiliate 401k plan (Convergent Capital Management LLC 401(k) Plan) into the Plan [as referenced in note (1)(a)], (3) remove certain restrictions applicable to distributions for alignment with protected benefits of the Convergent Capital Management plan and to enhance provisions for all participants; and (4) for compliance with certain mandated regulatory changes.
The Plan was amended effective January 1, 2020 to allow for the merger of the FilmTrack Inc. 401(k) Profit Sharing Plan into the Plan [as referenced in note (7)] and to account for certain protected benefits of FilmTrack Participants.
(2) | Significant Accounting Policies |
(a) | Basis of Presentation |
The financial statements of the Plan have been prepared on the accrual basis of accounting in accordance with U.S. generally accepted accounting principles (U.S. GAAP).
(b) | Use of Estimates |
The preparation of financial statements in conformity with U.S. GAAP requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities in the statements of net assets available for benefits and the additions and deductions in the statements of changes in net assets available for benefits, as well as the disclosure of contingent assets and liabilities at the date of the financial statements. Actual results could differ from those estimates.
(c) | Investment Valuation and Income Recognition |
Publicly traded securities are carried at fair value based on the published market quotations. Shares of mutual funds are valued at quoted market prices, which represent the net asset value (NAV) of shares held by the Plan at year-end. Common collective trust funds are valued at the NAV of units of the collective trust. Refer to Note 3 for a discussion of fair value measurements. Purchases and sales of investments are recorded on a settlement-date basis, which does not materially differ from trade-date basis. Interest income is recorded on the accrual basis. Dividends are recorded on the ex-dividend date. Net appreciation or depreciation in fair value of investments includes both realized and unrealized gains and losses.
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(d) | Notes Receivable from Participants |
Notes receivable from participants are measured at their unpaid principal balance plus any accrued but unpaid interest. Interest income is recorded on the accrual basis. If a participant ceases to make loan repayments and the plan administrator deems the participant loan to be in default, the participant loan balance is reduced and a benefit payment is recorded.
(e) | Payment of Participant Benefits |
Participant benefits are recorded when paid.
(f) | Administrative Expenses |
A portion of the administrative expenses of the Plan are paid by participants, and a portion is paid by the Company. A participant’s share of the administrative expense is charged on a per capita basis and allocated quarterly.
Individual expenses, such as loan and Individually Directed Account (IDA) fees, are charged to the applicable participant accounts based on whether a participant takes advantage of certain Plan features. For example, the Plan’s service providers charge a fee for processing loan applications and IDA transactions.
(g) | Risks and Uncertainties |
The Plan provides for various investment options in money market funds, mutual funds, common stocks, corporate debt, and government securities. Investment securities are exposed to various risks such as interest rate, market, and credit. Due to the level of uncertainty related to changes in the value of investment securities, it is at least reasonably possible that changes in the various risk factors, in the near term, could materially affect participants’ account balances and the amounts reported in the financial statements.
(h) | Concentrations |
Investment in the common stock of Royal Bank of Canada comprises 7.6% and 8.6% of the Plan’s investments as of December 31, 2019 and 2018, respectively.
(3) | Fair Value Measurements |
Accounting guidance defines fair value as the price that would be received from selling an asset or paid to transfer a liability in an orderly transaction between market participants at the measurement date. When determining the fair value measurements for assets and liabilities required to be recorded at fair value, the Plan considers the principal or most advantageous market in which it would transact and considers assumptions that market participants would use when pricing the asset or liability, such as inherent risk, transfer restrictions, and risk of nonperformance. The inputs used in valuation techniques are prioritized as follows:
· | Level 1: Inputs to the valuation methodology are unadjusted quoted prices for identical assets or liabilities in active markets that the Plan has the ability to access. |
· | Level 2: Inputs to the valuation methodology include: |
· | Quoted prices for similar assets or liabilities in active markets |
· | Quoted prices for identical or similar assets or liabilities in inactive markets |
· | Inputs other than quoted prices that are observable for the asset or liability |
· | Inputs that are derived principally from or corroborated by observable market data by correlation or other means |
If the asset or liability has a specified (contractual) term, the Level 2 input must be observable for substantially the full term of the asset or liability.
· | Level 3: Inputs to the valuation methodology are unobservable and significant to the fair value measurement. |
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If the determination of fair value measurement for a particular asset or liability is based on inputs from different levels of the fair value hierarchy, the level in the fair value hierarchy within which the entire fair value measurement falls is based on the lowest level input that is significant to the fair value measurement in its entirety. Valuation techniques used need to maximize the use of observable inputs and minimize the use of unobservable inputs.
Following is a description of the valuation methodologies used for assets measured at fair value. There have been no changes in the methodologies used as of December 31, 2019 and 2018.
Mutual funds and cash equivalents: Valued at the quoted NAV of shares held by the Plan at year-end.
U.S. Government securities: Valued using quoted prices and other inputs directly or indirectly observable for the asset. Prices for securities without market feeds are obtained through a third-party valuation source.
Common and preferred stock: Valued at the closing prices reported in active markets on which the individual securities are traded. Prices for securities without market feeds are obtained through a third-party valuation source using quoted prices.
Corporate debt: Valued using pricing models maximizing the use of observable inputs for similar securities. This includes basing value on yields currently available on comparable securities of issuers with similar credit ratings.
Partnerships: Valued at the closing prices reported in active markets on which the individual securities are traded.
Other assets: Primarily consist of collaterized mortgage options, which are valued by third-party vendors based on observable market inputs.
Common collective trust fund: Valued at the NAV of units of the collective trust. The NAV, as provided by the trustee of the common collective trust fund, is used as a practical expedient to estimate fair value. The NAV is based on the fair value of the underlying investments held by the fund less its liabilities. This practical expedient is not used when it is determined to be probable that the fund will sell the investments for an amount different than the reported NAV. Participant transactions (purchases and sales) may occur daily. If the Plan initiates a full redemption of the collective trust, the issuer reserves the right to temporarily delay withdrawal from the trust in order to ensure that securities liquidations will be carried out in an orderly business manner.
The methods described above may produce a fair value calculation that may not be indicative of net realizable value or reflective of future fair values. Furthermore, while the Plan believes its valuation methods are appropriate and consistent with other market participants, the use of different methodologies or assumptions to determine the fair values of certain financial instruments could result in a different fair value measurement at the reporting date.
As of December 31, 2019 and 2018, the Plan’s investments measured at fair value consisted of the following instruments and classifications within the fair value hierarchy:
Fair Value Measurement as of | |||||||||||||||
December 31, 2019, Using Input Type | |||||||||||||||
Asset Type | Level 1 | Level 2 | Level 3 | Total | |||||||||||
Cash and cash equivalents | $ | 98,077,644 | $ | 1,955,216 | $ | — | $ | 100,032,860 | |||||||
U.S. Government securities | — | 489,353 | — | 489,353 | |||||||||||
Mutual funds | 611,212,571 | — | — | 611,212,571 | |||||||||||
Common stock | 108,896,752 | 4 | — | 108,896,756 | |||||||||||
Preferred stock | 1,589,010 | — | — | 1,589,010 | |||||||||||
Corporate debt | — | 458,513 | — | 458,513 | |||||||||||
Partnerships | 234,591 | — | — | 234,591 | |||||||||||
Other assets | — | 16,361 | — | 16,361 | |||||||||||
Total assets in the fair value hierarchy | 820,010,568 | 2,919,447 | — | 822,930,015 | |||||||||||
Investments measured at net asset value (a) | — | — | — | 281,238,479 | |||||||||||
Total investments, at fair value | $ | 820,010,568 | $ | 2,919,447 | $ | — | $ | 1,104,168,494 |
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Fair Value Measurement as of | ||||||||||||||||
December 31, 2018, Using Input Type | ||||||||||||||||
Asset Type | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Cash equivalents | $ | 89,861,407 | $ | 1,066,692 | $ | — | $ | 90,928,099 | ||||||||
U.S. Government securities | — | 800,803 | — | 800,803 | ||||||||||||
Mutual funds | 576,384,604 | — | 7,032 | 576,391,636 | ||||||||||||
Common stock | 90,848,714 | 256,018 | 46,410 | 91,151,142 | ||||||||||||
Preferred stock | 156,294 | — | — | 156,294 | ||||||||||||
Corporate debt | — | 400,146 | — | 400,146 | ||||||||||||
Partnerships | 661,642 | — | — | 661,642 | ||||||||||||
Other assets | — | 141,246 | — | 141,246 | ||||||||||||
Total assets in the fair value hierarchy | 757,912,661 | 2,664,905 | 53,442 | 760,631,008 | ||||||||||||
Investments measured at net asset value (a) | — | — | — | 86,554,156 | ||||||||||||
Total investments, at fair value | $ | 757,912,661 | $ | 2,664,905 | $ | 53,442 | $ | 847,185,164 |
(a) | In accordance with Topic 820, certain investments that are measured at fair value using the net asset value per share (or its equivalent), as a practical expedient have not been classified in the fair value hierarchy. The fair value amounts presented in the table are intended to permit reconciliation of the fair value hierarchy to the amounts presented in the statements of net assets available for benefits. |
(4) | Party-in-Interest Transactions |
Certain Plan investments are shares of CNR Mutual Funds managed by City National Rochdale and shares of common stock of Royal Bank of Canada. CNR is a wholly owned subsidiary of City National Bank, which is an indirect, wholly-owned subsidiary of Royal Bank of Canada, and thus, these are party-in-interest transactions.
(5) | Income Taxes |
The Company received a favorable tax determination letter on May 8, 2017 from the IRS stating that the Plan is qualified under IRC Section 401(a) and that the Trust is exempt from federal income taxes under provisions of Section 501(a). Although the determination received in 2017 did not include Plan amendments executed after January 7, 2016, the Plan administrator and the Plan’s counsel believe that the Plan is designed and is currently being operated in compliance with the applicable requirements of the IRC.
U.S. GAAP requires plan management to evaluate tax positions taken by the plan and recognize a tax liability (or asset) if the plan has taken an uncertain position that more likely than not would not be sustained upon examination by the IRS. The Plan administrator has concluded that as of December 31, 2019 and 2018, there are no uncertain positions taken or expected to be taken that would require recognition of a liability (or asset) or disclosure in the financial statements. The Plan may be subject to audits by taxing jurisdictions; however, there are currently no audits for any tax periods in progress.
(6) | Reconciliation of Financial Statements to Form 5500 |
The following is a reconciliation of the net assets available for benefits between the financial statements and Form 5500 as of December 31, 2019 and 2018:
2019 | 2018 | |||||||
Net assets available for benefits per the financial statements | $ | 1,125,935,577 | $ | 862,207,942 | ||||
Less interest income on notes receivable from participants | 0 | 7,962 | ||||||
Net assets available for benefits per Form 5500 | $ | 1,125,935,577 | $ | 862,199,980 |
The following is a reconciliation of the net increase (decrease) in net assets available for benefits between the financial statements and the Form 5500 for the years ended December 31, 2019 and 2018:
2019 | 2018 | |||||||
Net increase (decrease) in net assets available for benefits per the financial statements | $ | 231,401,617 | $ | (26,049,261 | ) | |||
Less interest income on notes receivable from participants | (7,962 | ) | 3,545 | |||||
Net increase (decrease) in net assets available for benefits per Form 5500 | $ | 231,409,579 | $ | (26,052,806 | ) |
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(7) | Subsequent Events |
During 2019, CNB acquired FilmTrack Inc. and effective January 1, 2020, the FilmTrack Inc. 401(k) Profit Sharing Plan was merged with and into the CNB Plan, and participants in the Plan became governed by the CNB Plan. Total assets merged into the Plan during January 2020 were approximately $3,719,000.
In January 2020, the World Health Organization ("WHO") announced a global health emergency due to COVID-19 and subsequently, in March 2020, the WHO classified the emergency as a pandemic (the "Pandemic"). The Pandemic has triggered volatility in financial markets and an overall negative impact on the global economy. As of the date of this report, the Plan has not incurred a significant decline in fair value since December 31, 2019, however because the values of the Plan's individual investments have and will fluctuate in response to changing market conditions, the amount of losses that could be recognized in subsequent periods, if any, cannot be determined. The full impact of the Pandemic continues to evolve as of the date of this report.
Effective January 1, 2020, and in accordance with the Setting Every Community Up for Retirement Enhancement Act of 2019 (the SECURE Act), the Plan recognized the mandated change in the Required Minimum Distribution beginning date from age 70 1/2 to age 72. Also during 2020, the Benefits Committee approved certain provisions for distributions and loans in accordance with the Coronavirus Aid, Relief and Economic Security Act (CARES Act). Applicable Plan provisions will be documented in Plan Amendment(s) in accordance with the SECURE and CARES Acts.
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CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
CASH EQUIVALENTS | ||||||||||||||
CNB Cash | 141 | CNB Cash | ^ | 141 | ||||||||||
Schwab Cash Account | 14,254 | Schwab Cash Account | ^ | 14,254 | ||||||||||
TD Asset Management Money Market Portfolio | 6,317,676 | TD Asset Management Money Market Portfolio | ^ | 6,317,676 | ||||||||||
Vanguard Federal Money Market | 91,116,454 | Vanguard Federal Money Market | ^ | 91,116,454 | ||||||||||
* | CNB Deposit Sweep | 529,872 | CNB Deposit Sweep | ^ | 529,872 | |||||||||
Federated Institutional Prime Value Obligations Fund Inst | 95,241 | Federated Institutional Prime Value Obligations Fund Inst | ^ | 95,241 | ||||||||||
Federated US Treasury Cash Reserves Svc | 4,006 | Federated US Treasury Cash Reserves Svc | ^ | 4,006 | ||||||||||
TOTAL CASH EQUIVALENTS | 98,077,644 | |||||||||||||
SAVINGS AND CD'S | ||||||||||||||
Ameris Bank | 125,000 | Ameris Bank | ^ | 125,013 | ||||||||||
Bank Leumi USA NY NY | 85,000 | Bank Leumi USA NY NY | ^ | 85,007 | ||||||||||
Bar Harbor Bank & Trust | 250,000 | Bar Harbor Bank & Trust | ^ | 250,023 | ||||||||||
BMO Harris Bank Na | 50,000 | BMO Harris Bank Na | ^ | 50,041 | ||||||||||
Citizens Bank Na/Ri | 36,000 | Citizens Bank Na/Ri | ^ | 36,005 | ||||||||||
East-West Bank | 250,000 | East-West Bank | ^ | 250,028 | ||||||||||
First Natl Bank Long Isl | 1,000 | First Natl Bank Long Isl | ^ | 1,000 | ||||||||||
First Republic Bank | 251,000 | First Republic Bank | ^ | 250,992 | ||||||||||
First Republic Bank | 345,000 | First Republic Bank | ^ | 344,976 | ||||||||||
Luther Burbank Savings | 250,000 | Luther Burbank Savings | ^ | 250,027 | ||||||||||
Merchants Bnk Of Indiana | 148,000 | Merchants Bnk Of Indiana | ^ | 148,069 | ||||||||||
Pacific Western Bank | 2,000 | Pacific Western Bank | ^ | 2,000 | ||||||||||
Republic Bank & Trust Ky | 26,000 | Republic Bank & Trust Ky | ^ | 25,998 | ||||||||||
Santander Bank Na | 9,000 | Santander Bank Na | ^ | 9,002 | ||||||||||
SB One Bank | 1,000 | SB One Bank | ^ | 1,000 | ||||||||||
Suntrust Bank | 125,000 | Suntrust Bank | ^ | 125,035 | ||||||||||
Texas Capital Bank Na | 1,000 | Texas Capital Bank Na | ^ | 1,000 | ||||||||||
TOTAL SAVINGS AND CD'S | 1,955,216 | |||||||||||||
GOVERNMENT SECURITIES | ||||||||||||||
Fannie Mae Al5866 | 16,859 | Fannie Mae Al5866 | ^ | 17,176 | ||||||||||
Federal Home Loan Note | 30,000 | Federal Home Loan Note | ^ | 30,129 | ||||||||||
Federal Home Loan Note | 25,000 | Federal Home Loan Note | ^ | 25,612 | ||||||||||
FHLMC Note | 30,000 | FHLMC Note | ^ | 30,257 | ||||||||||
FNMA Note | 45,000 | FNMA Note | ^ | 45,347 | ||||||||||
FNMA Note | 25,000 | FNMA Note | ^ | 25,161 | ||||||||||
FNMA Note | 45,000 | FNMA Note | ^ | 46,016 | ||||||||||
FNMA Note | 20,000 | FNMA Note | ^ | 20,303 | ||||||||||
FNMA Note | 30,000 | FNMA Note | ^ | 31,232 | ||||||||||
US Treasury Bill | 35,000 | US Treasury Bill | ^ | 34,792 | ||||||||||
US Treasury Bill | 40,000 | US Treasury Bill | ^ | 39,809 | ||||||||||
US Treasury Note/Bond | 25,000 | US Treasury Note/Bond | ^ | 27,918 | ||||||||||
US Treasury Note/Bond | 30,000 | US Treasury Note/Bond | ^ | 30,112 | ||||||||||
US Treasury Note/Bond | 50,000 | US Treasury Note/Bond | ^ | 49,463 | ||||||||||
US Treasury Note/Bond | 15,000 | US Treasury Note/Bond | ^ | 15,800 | ||||||||||
US Treasury Note/Bond | 20,000 | US Treasury Note/Bond | ^ | 20,226 | ||||||||||
TOTAL GOVERNMENT SECURITIES | 489,353 | |||||||||||||
CORPORATE OBLIGATIONS | ||||||||||||||
Abbvie Inc | 20,000 | Abbvie Inc | ^ | 21,130 | ||||||||||
Goldman Sachs Group Inc | 15,000 | Goldman Sachs Group Inc | ^ | 15,623 | ||||||||||
Unitedhealth Group Inc | 20,000 | Unitedhealth Group Inc | ^ | 20,391 | ||||||||||
American Express Co | 25,000 | American Express Co | ^ | 25,959 | ||||||||||
Bank Of America Corp | 25,000 | Bank Of America Corp | ^ | 25,117 | ||||||||||
Bank Of Montreal | 25,000 | Bank Of Montreal | ^ | 26,060 | ||||||||||
CBL & Associates LP | 27,000 | CBL & Associates LP | ^ | 16,200 | ||||||||||
DowDupont Inc | 15,000 | DowDupont Inc | ^ | 16,049 | ||||||||||
General Dynamics Corp | 15,000 | General Dynamics Corp | ^ | 15,252 | ||||||||||
Gilead Sciences Inc | 25,000 | Gilead Sciences Inc | ^ | 25,824 | ||||||||||
JC Penney Corp Inc | 20,000 | JC Penney Corp Inc | ^ | 18,800 | ||||||||||
Jpmorgan Chase & Co | 25,000 | Jpmorgan Chase & Co | ^ | 25,866 | ||||||||||
Morgan Stanley | 25,000 | Morgan Stanley | ^ | 26,122 | ||||||||||
Nbcuniversal Media LLC | 15,000 | Nbcuniversal Media LLC | ^ | 15,470 | ||||||||||
Qwest Corporation | 25,000 | Qwest Corporation | ^ | 28,764 |
11
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Reliance Steel & Alum | 25,000 | Reliance Steel & Alum | ^ | 26,426 | ||||||||||
Santander UK PLC | 15,000 | Santander UK PLC | ^ | 16,036 | ||||||||||
Simon Property Group LP | 20,000 | Simon Property Group LP | ^ | 21,296 | ||||||||||
Sumitomo Mitsui Finl Grp | 15,000 | Sumitomo Mitsui Finl Grp | ^ | 15,234 | ||||||||||
United Technologies Corp | 15,000 | United Technologies Corp | ^ | 15,360 | ||||||||||
Wells Fargo & Company | 25,000 | Wells Fargo & Company | ^ | 26,433 | ||||||||||
Westpac Banking Corp | 15,000 | Westpac Banking Corp | ^ | 15,101 | ||||||||||
TOTAL CORPORATE OBLIGATIONS | 458,513 | |||||||||||||
PREFERRED STOCKS | ||||||||||||||
Annaly Capita 6.95% Pfd Ser F | 1,455 | Annaly Capita 6.95% Pfd Ser F | ^ | 37,763 | ||||||||||
Anthracite Capital Inc 9.375 (delisted 12/03/19) | 1,000 | Anthracite Capital Inc 9.375 (delisted 12/03/19) | ^ | 0 | ||||||||||
Assoc Banc Corp 5.875 | 1,500 | Assoc Banc Corp 5.875 | ^ | 39,615 | ||||||||||
Bank Of America Corp | 10,000 | Bank Of America Corp | ^ | 266,000 | ||||||||||
Bank Of America Corp 5.875% | 1,500 | Bank Of America Corp 5.875% | ^ | 40,575 | ||||||||||
Capital One Financial Co 5 | 10,000 | Capital One Financial Co 5 | ^ | 250,900 | ||||||||||
CBL & Associates Prop 7.375% | 17,000 | CBL & Associates Prop 7.375% | ^ | 84,150 | ||||||||||
Citigroup Capital XIII 7.875 10/30/2040 | 1,000 | Citigroup Capital XIII 7.875 10/30/2040 | ^ | 27,800 | ||||||||||
Colony Capital Inc 8.25% (delisted 01/10/20) | 3,000 | Colony Capital Inc 8.25% (delisted 01/10/20) | ^ | 75,900 | ||||||||||
Fifth Third Bancorp 6% | 1,426 | Fifth Third Bancorp 6% | ^ | 39,058 | ||||||||||
Gaslog Partners Pp 8.625% | 200 | Gaslog Partners Pp 8.625% | ^ | 5,066 | ||||||||||
Istar Finl Inc Pfd Ser D | 2,000 | Istar Finl Inc Pfd Ser D | ^ | 51,320 | ||||||||||
JPMorgan Chase SER DD | 1,000 | JPMorgan Chase SER DD | ^ | 27,330 | ||||||||||
Keycorp | 2,000 | Keycorp | ^ | 54,060 | ||||||||||
New Residential Inv Corp 7.125 | 100 | New Residential Inv Corp 7.125 | ^ | 2,592 | ||||||||||
Nextera Energy Capital | 4,177 | Nextera Energy Capital | ^ | 114,993 | ||||||||||
Pebblebrook Hotel Trust 6.375% | 320 | Pebblebrook Hotel Trust 6.375% | ^ | 8,128 | ||||||||||
Peoples United Financial Inc Pfd Ser A | 1,834 | Peoples United Financial Inc Pfd Ser A | ^ | 51,645 | ||||||||||
Regions Financial Corporation Dep Shs Repstg | 960 | Regions Financial Corporation Dep Shs Repstg | ^ | 27,091 | ||||||||||
Seaspan Corp 8.25% | 100 | Seaspan Corp 8.25% | ^ | 2,589 | ||||||||||
Southern Co 6.25 10/15/2075 | 2,200 | Southern Co 6.25 10/15/2075 | ^ | 58,014 | ||||||||||
Two Hbrs Invt Corp Pfd 7.625 Ser B | 2,000 | Two Hbrs Invt Corp Pfd 7.625 Ser B | ^ | 54,880 | ||||||||||
Two Harbors Inv Corp 7.75% | 100 | Two Harbors Inv Corp 7.75% | ^ | 2,532 | ||||||||||
Two Hbrs Invt Corp Pfd | 2,000 | Two Hbrs Invt Corp Pfd | ^ | 55,500 | ||||||||||
Wells Fargo & Company 7.5% | 146 | Wells Fargo & Company 7.5% | ^ | 211,509 | ||||||||||
TOTAL PREFERRED STOCKS | 1,589,010 | |||||||||||||
COMMON STOCKS | ||||||||||||||
1933 Industries Inc | 500 | 1933 Industries Inc | ^ | 76 | ||||||||||
58.Com Inc-ADR | 5 | 58.Com Inc-ADR | ^ | 324 | ||||||||||
98212N107 | 100 | 98212N107 | ^ | 639 | ||||||||||
Abbott Laboratories | 188 | Abbott Laboratories | ^ | 16,322 | ||||||||||
Abbvie Inc | 141 | Abbvie Inc | ^ | 12,519 | ||||||||||
Abiomed Inc | 30 | Abiomed Inc | ^ | 5,118 | ||||||||||
Acadia Pharmaceuticals Inc | 25 | Acadia Pharmaceuticals Inc | ^ | 1,069 | ||||||||||
Accenture PLC | 363 | Accenture PLC | ^ | 76,458 | ||||||||||
Acreage Holdings Inc Sub | 750 | Acreage Holdings Inc Sub | ^ | 4,437 | ||||||||||
Adamis Pharmaceuticals Corp | 1,425 | Adamis Pharmaceuticals Corp | ^ | 998 | ||||||||||
Adobe Inc | 513 | Adobe Inc | ^ | 169,192 | ||||||||||
ADT Inc | 2,500 | ADT Inc | ^ | 19,825 | ||||||||||
Advanced Micro Devices | 2,175 | Advanced Micro Devices | ^ | 99,745 | ||||||||||
Advaxis Inc | 23 | Advaxis Inc | ^ | 20 | ||||||||||
Aerie Pharmaceuticals Inc | 50 | Aerie Pharmaceuticals Inc | ^ | 1,208 | ||||||||||
Aerovironment Inc | 5 | Aerovironment Inc | ^ | 309 | ||||||||||
Aflac Inc | 208 | Aflac Inc | ^ | 10,991 | ||||||||||
Agenus Inc | 1,000 | Agenus Inc | ^ | 4,070 | ||||||||||
AGNC Investment Corp | 312 | AGNC Investment Corp | ^ | 5,509 | ||||||||||
Air Lease Corp A | 4 | Air Lease Corp A | ^ | 190 | ||||||||||
Aircastle Ltd (acquired 03/30/20) | 500 | Aircastle Ltd (acquired 03/30/20) | ^ | 16,005 | ||||||||||
Akamai Technologies | 607 | Akamai Technologies | ^ | 52,432 | ||||||||||
Akebia Therapeutics Inc | 500 | Akebia Therapeutics Inc | ^ | 3,160 | ||||||||||
Akoustis Technologies Inc | 705 | Akoustis Technologies Inc | ^ | 5,640 | ||||||||||
Alarm.Com Holdings Inc | 20 | Alarm.Com Holdings Inc | ^ | 858 | ||||||||||
Alcoa Inc | 11 | Alcoa Inc | ^ | 236 | ||||||||||
Alcon Inc | 68 | Alcon Inc | ^ | 3,847 | ||||||||||
Aleafia Health Inc | 250 | Aleafia Health Inc | ^ | 116 | ||||||||||
Alector Inc | 50 | Alector Inc | ^ | 862 | ||||||||||
Alexion Pharmaceutical | 100 | Alexion Pharmaceutical | ^ | 10,815 | ||||||||||
Alibaba Group Holding-Sp ADR | 1,524 | Alibaba Group Holding-Sp ADR | ^ | 323,240 | ||||||||||
Allstate Corp | 5 | Allstate Corp | ^ | 562 | ||||||||||
Alphabet Inc CL A | 264 | Alphabet Inc CL A | ^ | 353,599 | ||||||||||
Alphabet Inc Cl C | 44 | Alphabet Inc Cl C | ^ | 58,829 | ||||||||||
Alteryx Inc - Class A | 20 | Alteryx Inc - Class A | ^ | 2,001 | ||||||||||
Altria Group Inc | 1,716 | Altria Group Inc | ^ | 85,633 | ||||||||||
Amarin Corporation Plc -ADR | 3,605 | Amarin Corporation Plc -ADR | ^ | 77,291 | ||||||||||
Amazon Com Inc | 380 | Amazon Com Inc | ^ | 702,178 | ||||||||||
Ambarella Inc | 100 | Ambarella Inc | ^ | 6,056 | ||||||||||
American Electric Power Co | 240 | American Electric Power Co | ^ | 22,682 | ||||||||||
American Express Co. | 202 | American Express Co. | ^ | 25,159 | ||||||||||
American International Group | 500 | American International Group | ^ | 25,665 | ||||||||||
American Water Works Co Inc | 529 | American Water Works Co Inc | ^ | 64,987 | ||||||||||
American Xtal Tech Inc. | 100 | American Xtal Tech Inc. | ^ | 435 |
12
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Amgen Inc | 68 | Amgen Inc | ^ | 16,476 | ||||||||||
Amico Games Corp (delisted 11/10/14) | 250 | Amico Games Corp (delisted 11/10/14) | ^ | 0 | ||||||||||
Amphenol Cl A | 486 | Amphenol Cl A | ^ | 52,599 | ||||||||||
Analog Devices Inc | 52 | Analog Devices Inc | ^ | 6,183 | ||||||||||
Anglo American Plc ADR | 199 | Anglo American Plc ADR | ^ | 2,858 | ||||||||||
Anheuser Busch Inbev | 23 | Anheuser Busch Inbev | ^ | 1,846 | ||||||||||
Anixa Biosciences Inc | 240 | Anixa Biosciences Inc | ^ | 787 | ||||||||||
Annaly Capital Management Inc | 6,933 | Annaly Capital Management Inc | ^ | 65,311 | ||||||||||
Anthem Inc | 5 | Anthem Inc | ^ | 1,510 | ||||||||||
Apache Corp | 4,600 | Apache Corp | ^ | 117,714 | ||||||||||
Aphria Inc | 320 | Aphria Inc | ^ | 1,670 | ||||||||||
Apple Hospitality REIT Inc | 350 | Apple Hospitality REIT Inc | ^ | 5,687 | ||||||||||
Apple Inc | 4,343 | Apple Inc | ^ | 1,275,461 | ||||||||||
Applied Material | 274 | Applied Material | ^ | 16,728 | ||||||||||
Aptiv PLC | 73 | Aptiv PLC | ^ | 6,934 | ||||||||||
Aquabounty Technologies Inc | 1 | Aquabounty Technologies Inc | ^ | 2 | ||||||||||
Arbor Realty Trust Inc | 485 | Arbor Realty Trust Inc | ^ | 6,956 | ||||||||||
Archer Daniels Midland | 200 | Archer Daniels Midland | ^ | 9,270 | ||||||||||
Arcimoto Inc | 400 | Arcimoto Inc | ^ | 644 | ||||||||||
Arconic Inc (hwm 04/01/20) | 83 | Arconic Inc (hwm 04/01/20) | ^ | 2,554 | ||||||||||
Ardelyx Inc | 155 | Ardelyx Inc | ^ | 1,163 | ||||||||||
Arena Pharmaceuticals | 145 | Arena Pharmaceuticals | ^ | 6,586 | ||||||||||
Ares Capital Corp | 25,169 | Ares Capital Corp | ^ | 469,404 | ||||||||||
Ares Management Corp | 1 | Ares Management Corp | ^ | 39 | ||||||||||
Arista Networks Inc | 60 | Arista Networks Inc | ^ | 12,204 | ||||||||||
Armour Residential Reit Inc | 33 | Armour Residential Reit Inc | ^ | 590 | ||||||||||
Arthur J Gallagher | 120 | Arthur J Gallagher | ^ | 11,428 | ||||||||||
Artistdirect Inc (Delisted 8/5/2009) | 80 | Artistdirect Inc (Delisted 8/5/2009) | ^ | 0 | ||||||||||
Asanko Gold Inc (gau 05/05/20) | 50 | Asanko Gold Inc (gau 05/05/20) | ^ | 47 | ||||||||||
AT&T Inc | 17,575 | AT&T Inc | ^ | 686,840 | ||||||||||
Athenex Inc | 200 | Athenex Inc | ^ | 3,054 | ||||||||||
Atlassian Corp Plc Cl A | 100 | Atlassian Corp Plc Cl A | ^ | 12,034 | ||||||||||
Aurora Cannabis Inc | 216 | Aurora Cannabis Inc | ^ | 467 | ||||||||||
Autolus Therapeutics PLC | 175 | Autolus Therapeutics PLC | ^ | 2,310 | ||||||||||
Auxly Cannabis Group Inc | 1,480 | Auxly Cannabis Group Inc | ^ | 632 | ||||||||||
Avangrid Inc | 305 | Avangrid Inc | ^ | 15,604 | ||||||||||
Aveo Pharmaceuticals Inc (aveo 2/20/20) | 40,600 | Aveo Pharmaceuticals Inc (aveo 2/20/20) | ^ | 25,347 | ||||||||||
Avid Technology Inc. | 8 | Avid Technology Inc. | ^ | 69 | ||||||||||
Axa Equitable Holdings Inc (eqh 01/14/20) | 200 | Axa Equitable Holdings Inc (eqh 01/14/20) | ^ | 4,956 | ||||||||||
Axis Capital Holdings Ltd | 53 | Axis Capital Holdings Ltd | ^ | 3,177 | ||||||||||
Axon Enterprise Inc | 25 | Axon Enterprise Inc | ^ | 1,832 | ||||||||||
Axos Financial Inc | 1 | Axos Financial Inc | ^ | 30 | ||||||||||
B&G Foods Inc A | 375 | B&G Foods Inc A | ^ | 6,724 | ||||||||||
Baidu Inc | 1,010 | Baidu Inc | ^ | 127,664 | ||||||||||
Banco Bilbao Vizcaya ADR | 1 | Banco Bilbao Vizcaya ADR | ^ | 6 | ||||||||||
Banco Santander Adr | 9,502 | Banco Santander Adr | ^ | 39,336 | ||||||||||
Bank Of America Corp | 22,521 | Bank Of America Corp | ^ | 793,203 | ||||||||||
Barclays Plc ADR | 1 | Barclays Plc ADR | ^ | 10 | ||||||||||
Barrick Gold Corp | 30 | Barrick Gold Corp | ^ | 559 | ||||||||||
BASF AG Spons ADR | 150 | BASF AG Spons ADR | ^ | 2,835 | ||||||||||
Bausch Health Cos Inc | 3,802 | Bausch Health Cos Inc | ^ | 113,756 | ||||||||||
Bayer Ag Sponsored ADR | 40 | Bayer Ag Sponsored ADR | ^ | 817 | ||||||||||
Bce Inc Com | 280 | Bce Inc Com | ^ | 12,978 | ||||||||||
Becton Dickinson & Co | 142 | Becton Dickinson & Co | ^ | 38,620 | ||||||||||
Bed Bath And Beyond Inc | 1,845 | Bed Bath And Beyond Inc | ^ | 31,912 | ||||||||||
Belo Sun Mining Corp | 750 | Belo Sun Mining Corp | ^ | 289 | ||||||||||
Berkshire Hathaway Inc Cl B | 3,756 | Berkshire Hathaway Inc Cl B | ^ | 850,734 | ||||||||||
Best Buy Co | 100 | Best Buy Co | ^ | 8,780 | ||||||||||
Beyond Meat Inc | 300 | Beyond Meat Inc | ^ | 22,680 | ||||||||||
BHP Billiton Plc-Adr | 50 | BHP Billiton Plc-Adr | ^ | 2,346 | ||||||||||
BHP Limited | 98 | BHP Limited | ^ | 5,361 |
13
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Bio-Techne Corp | 1 | Bio-Techne Corp | ^ | 220 | ||||||||||
Black Iron Inc | 20,000 | Black Iron Inc | ^ | 1,320 | ||||||||||
Blackrock 2001 Term Tr Inc | 20 | Blackrock 2001 Term Tr Inc | ^ | 10,054 | ||||||||||
Blackrock Science & Tech Tr | 203 | Blackrock Science & Tech Tr | ^ | 6,755 | ||||||||||
Blackstone Group Inc | 25,535 | Blackstone Group Inc | ^ | 1,428,408 | ||||||||||
Bloom Energy Corp- A | 20,040 | Bloom Energy Corp- A | ^ | 149,699 | ||||||||||
Bluelinx Holdings Inc | 100 | Bluelinx Holdings Inc | ^ | 1,425 | ||||||||||
Boeing Company | 190 | Boeing Company | ^ | 61,979 | ||||||||||
Boingo Wireless Inc | 800 | Boingo Wireless Inc | ^ | 8,760 | ||||||||||
Booking Holdings Inc | 9 | Booking Holdings Inc | ^ | 18,484 | ||||||||||
Borg Warner Automotive Inc | 20 | Borg Warner Automotive Inc | ^ | 868 | ||||||||||
Box Inc - Class A | 220 | Box Inc - Class A | ^ | 3,692 | ||||||||||
Boyd Gaming Corp | 75 | Boyd Gaming Corp | ^ | 2,246 | ||||||||||
Bp Plc Spons Adr | 551 | Bp Plc Spons Adr | ^ | 20,807 | ||||||||||
Bristol-Myers Squibb Co | 726 | Bristol-Myers Squibb Co | ^ | 46,584 | ||||||||||
Broadcom Ltd | 16 | Broadcom Ltd | ^ | 5,153 | ||||||||||
Brooks Automation Inc | 15 | Brooks Automation Inc | ^ | 629 | ||||||||||
Cabot Oil & Gas Corp. Class A | 430 | Cabot Oil & Gas Corp. Class A | ^ | 7,486 | ||||||||||
Callon Petroleum Co | 2,000 | Callon Petroleum Co | ^ | 9,660 | ||||||||||
Cameco Corp | 70 | Cameco Corp | ^ | 623 | ||||||||||
Camping World Holdings Inc-A | 48 | Camping World Holdings Inc-A | ^ | 706 | ||||||||||
Canada Goose Holdings Inc | 270 | Canada Goose Holdings Inc | ^ | 9,785 | ||||||||||
Cannabix Technologies Inc | 65 | Cannabix Technologies Inc | ^ | 19 | ||||||||||
Cannlabs Inc | 550 | Cannlabs Inc | ^ | 28 | ||||||||||
CannTrust Holdings Inc | 74 | CannTrust Holdings Inc | ^ | 69 | ||||||||||
Canon Adr Inc. | 210 | Canon Adr Inc. | ^ | 5,734 | ||||||||||
Canopy Growth Corp | 1,960 | Canopy Growth Corp | ^ | 41,336 | ||||||||||
Capital One Financial Corp Com | 70 | Capital One Financial Corp Com | ^ | 7,204 | ||||||||||
Capricor Therapeutics Inc | 1 | Capricor Therapeutics Inc | ^ | 1 | ||||||||||
Cara Therapeutics Inc | 4,000 | Cara Therapeutics Inc | ^ | 64,440 | ||||||||||
Carnival Corp. | 20 | Carnival Corp. | ^ | 1,017 | ||||||||||
Catalyst Pharmaceuticals Inc | 800 | Catalyst Pharmaceuticals Inc | ^ | 3,000 | ||||||||||
Cbl & Associates Properties | 11,000 | Cbl & Associates Properties | ^ | 11,550 | ||||||||||
Celldex Therapeutics Inc | 1 | Celldex Therapeutics Inc | ^ | 2 | ||||||||||
Centene Corp | 140 | Centene Corp | ^ | 8,802 | ||||||||||
Centerpoint Energy Inc | 405 | Centerpoint Energy Inc | ^ | 11,044 | ||||||||||
CenturyLinkl Inc | 30 | CenturyLinkl Inc | ^ | 396 | ||||||||||
Cerence Inc | 6 | Cerence Inc | ^ | 136 | ||||||||||
Ceva Inc | 25 | Ceva Inc | ^ | 674 | ||||||||||
Champion Iron Ltd | 500 | Champion Iron Ltd | ^ | 915 | ||||||||||
Charles Riv Labs Intl | 274 | Charles Riv Labs Intl | ^ | 41,856 | ||||||||||
Charles Schwab Corporation | 20 | Charles Schwab Corporation | ^ | 951 | ||||||||||
Charlottes Web Holdings Inc | 150 | Charlottes Web Holdings Inc | ^ | 1,152 | ||||||||||
Charter Communications New Cl A | 15 | Charter Communications New Cl A | ^ | 7,276 | ||||||||||
Chemocentryx Inc | 300 | Chemocentryx Inc | ^ | 11,865 | ||||||||||
Cheniere Energy Inc | 20 | Cheniere Energy Inc | ^ | 1,221 | ||||||||||
Chesapeake Energy Corp (chk 04/15/20) | 700 | Chesapeake Energy Corp (chk 04/15/20) | ^ | 578 | ||||||||||
Chevron Corp | 1,110 | Chevron Corp | ^ | 133,793 | ||||||||||
Chimera Investment Corp | 30 | Chimera Investment Corp | ^ | 617 | ||||||||||
China Lending Corp (rahg.f 01/08/20) | 1 | China Lending Corp (rahg.f 01/08/20) | ^ | 0 | ||||||||||
China Mobile Ltd ADR | 470 | China Mobile Ltd ADR | ^ | 19,857 | ||||||||||
China Pete&chem Cp Ads | 25 | China Pete&chem Cp Ads | ^ | 1,504 | ||||||||||
China Rapid Finance Ltd ADR | 300 | China Rapid Finance Ltd ADR | ^ | 1,107 | ||||||||||
Chineseinvestors.Com Inc | 2,600 | Chineseinvestors.Com Inc | ^ | 416 | ||||||||||
Chubb Ltd | 237 | Chubb Ltd | ^ | 36,891 | ||||||||||
Cigna Corp | 76 | Cigna Corp | ^ | 15,541 | ||||||||||
Cincinnatti Financial Corp | 180 | Cincinnatti Financial Corp | ^ | 18,927 | ||||||||||
Cintas Corp | 335 | Cintas Corp | ^ | 90,142 | ||||||||||
Cisco Systems Inc | 1,394 | Cisco Systems Inc | ^ | 66,869 | ||||||||||
Citigroup Inc | 1,928 | Citigroup Inc | ^ | 154,025 | ||||||||||
Cleveland Cliffs Inc | 1,500 | Cleveland Cliffs Inc | ^ | 12,600 | ||||||||||
Cloudera Inc | 11,984 | Cloudera Inc | ^ | 139,374 | ||||||||||
Clovis Oncology Inc | 100 | Clovis Oncology Inc | ^ | 1,043 | ||||||||||
CME Group Inc | 266 | CME Group Inc | ^ | 53,392 | ||||||||||
Cms Energy Corp | 397 | Cms Energy Corp | ^ | 24,948 | ||||||||||
Cnooc Ltd Spd Adr | 35 | Cnooc Ltd Spd Adr | ^ | 5,862 | ||||||||||
Coca-Cola Company | 1,100 | Coca-Cola Company | ^ | 60,904 | ||||||||||
Cognex Corp | 130 | Cognex Corp | ^ | 7,300 | ||||||||||
Cognizant Tech Solutns Cl. A | 32 | Cognizant Tech Solutns Cl. A | ^ | 1,985 | ||||||||||
Coherus Biosciences Inc | 200 | Coherus Biosciences Inc | ^ | 3,601 | ||||||||||
Colgate-Palmolive | 648 | Colgate-Palmolive | ^ | 44,608 | ||||||||||
Columbia Bkg Sys Inc. | 300 | Columbia Bkg Sys Inc. | ^ | 12,206 |
14
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Comcast Corp Cl A | 3,586 | Comcast Corp Cl A | ^ | 161,262 | ||||||||||
Commscope Holding Co Inc | 200 | Commscope Holding Co Inc | ^ | 2,838 | ||||||||||
Community Healthcare Trust I | 1,555 | Community Healthcare Trust I | ^ | 66,663 | ||||||||||
Comstock Resources Inc | 450 | Comstock Resources Inc | ^ | 3,704 | ||||||||||
Conagra Brands Inc | 700 | Conagra Brands Inc | ^ | 23,968 | ||||||||||
Conocophillips | 974 | Conocophillips | ^ | 63,319 | ||||||||||
Constellation Brands Cl. A | 174 | Constellation Brands Cl. A | ^ | 33,022 | ||||||||||
Constellium SE- Class A | 100 | Constellium SE- Class A | ^ | 1,340 | ||||||||||
Core One Labs Inc | 44 | Core One Labs Inc | ^ | 14 | ||||||||||
Corning Inc | 176 | Corning Inc | ^ | 5,121 | ||||||||||
Corteva Inc | 40 | Corteva Inc | ^ | 1,188 | ||||||||||
Costco Wholesale Corp-New | 529 | Costco Wholesale Corp-New | ^ | 155,596 | ||||||||||
Covetrus Inc | 160 | Covetrus Inc | ^ | 2,112 | ||||||||||
Credit Suisse Group Spon Adr | 1 | Credit Suisse Group Spon Adr | ^ | 14 | ||||||||||
Cresco Labs Inc Subordinate | 60 | Cresco Labs Inc Subordinate | ^ | 411 | ||||||||||
Crispr Therapeutics AG | 52 | Crispr Therapeutics AG | ^ | 3,167 | ||||||||||
Criteo SA-Spon ADR | 1,480 | Criteo SA-Spon ADR | ^ | 25,648 | ||||||||||
Cronos Group Inc | 10,385 | Cronos Group Inc | ^ | 79,653 | ||||||||||
Crown Castle Intl Corp | 1,637 | Crown Castle Intl Corp | ^ | 232,700 | ||||||||||
Curaleaf Holdings Inc | 425 | Curaleaf Holdings Inc | ^ | 2,682 | ||||||||||
CV Sciences Inc | 200 | CV Sciences Inc | ^ | 193 | ||||||||||
CVS Health Corp | 547 | CVS Health Corp | ^ | 40,631 | ||||||||||
Cyber-Ark Software Ltd/Israe | 76 | Cyber-Ark Software Ltd/Israe | ^ | 8,860 | ||||||||||
Cypress Semiconductor Corp (acquired 04/17/20) | 135 | Cypress Semiconductor Corp (acquired 04/17/20) | ^ | 3,150 | ||||||||||
Daimlerchrysler Ag | 50 | Daimlerchrysler Ag | ^ | 2,724 | ||||||||||
Danaher Corp Del | 400 | Danaher Corp Del | ^ | 61,392 | ||||||||||
Dbs Group Hldgs Ltd. Spon Adr | 100 | Dbs Group Hldgs Ltd. Spon Adr | ^ | 7,699 | ||||||||||
Dean Foods Co New | 11,550 | Dean Foods Co New | ^ | 693 | ||||||||||
Deep Rock Oil & Gas Inc (delisted) | 101 | Deep Rock Oil & Gas Inc (delisted) | ^ | 0 | ||||||||||
Deere & Co. | 5 | Deere & Co. | ^ | 866 | ||||||||||
Dell Technologies -C | 99 | Dell Technologies -C | ^ | 5,088 | ||||||||||
Delta Air Lines Inc | 105 | Delta Air Lines Inc | ^ | 6,118 | ||||||||||
Dermtech Inc | 100 | Dermtech Inc | ^ | 1,240 | ||||||||||
Deutsche Bank Ag Ord | 463 | Deutsche Bank Ag Ord | ^ | 3,606 | ||||||||||
Devon Energy Corp New | 201 | Devon Energy Corp New | ^ | 5,232 | ||||||||||
Dexcom Inc | 50 | Dexcom Inc | ^ | 10,937 | ||||||||||
Digatrade Financial Corp | 101 | Digatrade Financial Corp | ^ | 0 | ||||||||||
Disney Walt Co | 1,438 | Disney Walt Co | ^ | 207,949 | ||||||||||
DNIB Unwind Inc (delisted 10/11/16) | 15,000 | DNIB Unwind Inc (delisted 10/11/16) | ^ | 0 | ||||||||||
Docusign Inc | 216 | Docusign Inc | ^ | 16,008 | ||||||||||
Dolby Laboratories Inc A | 248 | Dolby Laboratories Inc A | ^ | 17,062 | ||||||||||
Dominion Energy Inc | 142 | Dominion Energy Inc | ^ | 11,760 | ||||||||||
Donnelley Financial Solutions Inc | 400 | Donnelley Financial Solutions Inc | ^ | 4,188 | ||||||||||
Dow Inc | 45 | Dow Inc | ^ | 2,454 | ||||||||||
Dragon Victory International | 1 | Dragon Victory International | ^ | 1 | ||||||||||
Dropbox Inc Class A | 350 | Dropbox Inc Class A | ^ | 6,269 | ||||||||||
Duke Energy Corp | 275 | Duke Energy Corp | ^ | 25,083 | ||||||||||
DuPont de Nemours Inc | 42 | DuPont de Nemours Inc | ^ | 2,708 | ||||||||||
DXC Technology Co | 40 | DXC Technology Co | ^ | 1,504 | ||||||||||
Dynacor Gold Mines Inc | 800 | Dynacor Gold Mines Inc | ^ | 1,008 | ||||||||||
Eaton Corp PLC | 135 | Eaton Corp PLC | ^ | 12,787 | ||||||||||
Ebay Inc | 400 | Ebay Inc | ^ | 14,444 | ||||||||||
Ecolab Inc | 50 | Ecolab Inc | ^ | 9,650 | ||||||||||
Edison Intl | 25 | Edison Intl | ^ | 1,885 | ||||||||||
Editas Medicine Inc | 110 | Editas Medicine Inc | ^ | 3,257 | ||||||||||
Edwards Lifesciences | 611 | Edwards Lifesciences | ^ | 142,540 | ||||||||||
Elanco Animal Health Inc | 499 | Elanco Animal Health Inc | ^ | 14,696 | ||||||||||
Elanco Animal Health Inc | 500 | Elanco Animal Health Inc | ^ | 0 | ||||||||||
Emerald Health Therapeutics | 1,015 | Emerald Health Therapeutics | ^ | 245 | ||||||||||
Energous Corp | 115 | Energous Corp | ^ | 204 | ||||||||||
Eni SPA Sponsored ADR | 170 | Eni SPA Sponsored ADR | ^ | 5,263 | ||||||||||
Enphase Energy Inc | 10 | Enphase Energy Inc | ^ | 261 | ||||||||||
Epam Systems Inc | 20 | Epam Systems Inc | ^ | 4,243 | ||||||||||
Epizyme Inc | 1 | Epizyme Inc | ^ | 25 | ||||||||||
EPR Properties | 215 | EPR Properties | ^ | 15,188 | ||||||||||
Equifax Inc. | 1 | Equifax Inc. | ^ | 140 | ||||||||||
Equinix Inc | 51 | Equinix Inc | ^ | 29,769 |
15
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Equinox Gold Corp | 50 | Equinox Gold Corp | ^ | 385 | ||||||||||
Essex Property Trust Inc | 126 | Essex Property Trust Inc | ^ | 37,908 | ||||||||||
Eton Pharmaceuticals Inc | 460 | Eton Pharmaceuticals Inc | ^ | 3,312 | ||||||||||
Etsy Inc | 187 | Etsy Inc | ^ | 8,284 | ||||||||||
Eurobank Ergasias Sa-Uns ADR (29873d104 4/13/20) | 4,685 | Eurobank Ergasias Sa-Uns ADR (29873d104 4/13/20) | ^ | 2,263 | ||||||||||
Eventbrite Inc-Class A | 215 | Eventbrite Inc-Class A | ^ | 4,337 | ||||||||||
Eversource Energy | 230 | Eversource Energy | ^ | 19,566 | ||||||||||
Everspin Technologies Inc | 100 | Everspin Technologies Inc | ^ | 526 | ||||||||||
Evolent Health Inc - A | 286 | Evolent Health Inc - A | ^ | 2,588 | ||||||||||
Exact Sciences Corp | 19,078 | Exact Sciences Corp | ^ | 1,764,333 | ||||||||||
Exelixis Inc | 800 | Exelixis Inc | ^ | 14,096 | ||||||||||
Expedia Group Inc | 5 | Expedia Group Inc | ^ | 541 | ||||||||||
Exxon-Mobil Corporation | 5,906 | Exxon-Mobil Corporation | ^ | 412,147 | ||||||||||
Facebook Inc-A | 4,783 | Facebook Inc-A | ^ | 981,711 | ||||||||||
Fate Therapeutics Inc | 100 | Fate Therapeutics Inc | ^ | 1,957 | ||||||||||
Fedex Corp | 2 | Fedex Corp | ^ | 302 | ||||||||||
Fidelity National Information | 85 | Fidelity National Information | ^ | 11,884 | ||||||||||
Fifth Third Bancorp | 203 | Fifth Third Bancorp | ^ | 6,253 | ||||||||||
Fireeye Inc | 1,000 | Fireeye Inc | ^ | 16,530 | ||||||||||
First Majestic Silver Corp | 275 | First Majestic Silver Corp | ^ | 3,372 | ||||||||||
First Mining Gold Corp | 2,000 | First Mining Gold Corp | ^ | 386 | ||||||||||
First Regional Bancorp/Cal (delisted 11/5/14) | 250 | First Regional Bancorp/Cal (delisted 11/5/14) | ^ | 0 | ||||||||||
First Solar Inc | 5 | First Solar Inc | ^ | 280 | ||||||||||
Fluor Corp | 100 | Fluor Corp | ^ | 1,888 | ||||||||||
FMC Corp | 30 | FMC Corp | ^ | 2,995 | ||||||||||
Ford Motor Co New | 1,674 | Ford Motor Co New | ^ | 15,570 | ||||||||||
Fortive Corp | 15 | Fortive Corp | ^ | 1,146 | ||||||||||
Fortuna Silver Mines Inc | 125 | Fortuna Silver Mines Inc | ^ | 510 | ||||||||||
Franco Nevada Corp | 6 | Franco Nevada Corp | ^ | 631 | ||||||||||
Franklin Resources Inc | 390 | Franklin Resources Inc | ^ | 10,132 | ||||||||||
Freddie Mac | 275 | Freddie Mac | ^ | 826 | ||||||||||
Freeport-Mcmoran Inc | 21,768 | Freeport-Mcmoran Inc | ^ | 285,600 | ||||||||||
Freeseas Inc | 1 | Freeseas Inc | ^ | 0 | ||||||||||
Fuelcell Energy Corp | 33 | Fuelcell Energy Corp | ^ | 83 | ||||||||||
Future Farm Technologies Inc | 400 | Future Farm Technologies Inc | ^ | 10 | ||||||||||
Galapagos Nv Spon ADR | 13 | Galapagos Nv Spon ADR | ^ | 2,689 | ||||||||||
GB Sciences Inc | 265 | GB Sciences Inc | ^ | 11 | ||||||||||
GBT Technologies Inc | 2 | GBT Technologies Inc | ^ | 1 | ||||||||||
General Cannabis Corp | 3,571 | General Cannabis Corp | ^ | 2,254 | ||||||||||
General Electric Co | 7,848 | General Electric Co | ^ | 87,583 | ||||||||||
General Mills | 128 | General Mills | ^ | 6,876 | ||||||||||
Generation Alpha Inc | 300 | Generation Alpha Inc | ^ | 4 | ||||||||||
Gildan Activewear Inc Cl A | 150 | Gildan Activewear Inc Cl A | ^ | 4,430 | ||||||||||
Gilead Sciences Inc | 374 | Gilead Sciences Inc | ^ | 24,300 | ||||||||||
Glencore International PLC | 143 | Glencore International PLC | ^ | 438 | ||||||||||
Glencore Xstrata -Unsp ADR | 776 | Glencore Xstrata -Unsp ADR | ^ | 4,798 | ||||||||||
Global Blood Therapeutics In | 100 | Global Blood Therapeutics In | ^ | 7,949 | ||||||||||
Global Cannabis Applications Corp | 8,000 | Global Cannabis Applications Corp | ^ | 200 | ||||||||||
Glu Mobile Inc | 90 | Glu Mobile Inc | ^ | 545 | ||||||||||
Glycomimetics Inc | 800 | Glycomimetics Inc | ^ | 4,232 | ||||||||||
Gold Fields Ltd New Spd Adr | 150 | Gold Fields Ltd New Spd Adr | ^ | 990 | ||||||||||
Gold Standard Ventures Corp | 500 | Gold Standard Ventures Corp | ^ | 428 | ||||||||||
Goldmining Inc | 430 | Goldmining Inc | ^ | 439 | ||||||||||
Gossamer Bio Inc | 25 | Gossamer Bio Inc | ^ | 391 | ||||||||||
Graphite Energy Corp | 240 | Graphite Energy Corp | ^ | 0 | ||||||||||
Green Dot Corp A | 51 | Green Dot Corp A | ^ | 1,188 | ||||||||||
Green Organic Dutchman Holdi | 1,675 | Green Organic Dutchman Holdi | ^ | 972 | ||||||||||
Green Thumb Industries Inc | 550 | Green Thumb Industries Inc | ^ | 5,363 | ||||||||||
Grow Solutions Holdings Inc | 6,000 | Grow Solutions Holdings Inc | ^ | 9 | ||||||||||
Growgeneration Corp | 110 | Growgeneration Corp | ^ | 451 | ||||||||||
Gs Enviroservices Inc (delisted 10/04/17) | 250 | Gs Enviroservices Inc (delisted 10/04/17) | ^ | 0 | ||||||||||
GTT Communications Inc | 100 | GTT Communications Inc | ^ | 1,135 | ||||||||||
Guidewire Software Inc | 100 | Guidewire Software Inc | ^ | 10,977 | ||||||||||
GW Pharmaceuticals -ADR | 40 | GW Pharmaceuticals -ADR | ^ | 4,182 | ||||||||||
Hain Food Group Inc | 676 | Hain Food Group Inc | ^ | 17,546 | ||||||||||
Halliburton Company | 91 | Halliburton Company | ^ | 2,219 | ||||||||||
Halo Labs Inc | 750 | Halo Labs Inc | ^ | 161 | ||||||||||
Hanni Financial Corp | 100 | Hanni Financial Corp | ^ | 2,000 | ||||||||||
Harpoon Therapeutics Inc | 40 | Harpoon Therapeutics Inc | ^ | 592 | ||||||||||
Hartford Financial Services Group | 1 | Hartford Financial Services Group | ^ | 61 | ||||||||||
Harvest Health & Recreation | 175 | Harvest Health & Recreation | ^ | 552 | ||||||||||
HD Supply Holdings Inc | 140 | HD Supply Holdings Inc | ^ | 5,631 | ||||||||||
HDFC Bank Ltd Adr | 100 | HDFC Bank Ltd Adr | ^ | 6,337 | ||||||||||
Healthcare Trust Of America | 460 | Healthcare Trust Of America | ^ | 13,929 | ||||||||||
Healthpeak Properties Inc | 11 | Healthpeak Properties Inc | ^ | 379 | ||||||||||
Helix Tcs Inc | 250 | Helix Tcs Inc | ^ | 115 | ||||||||||
Hemacare Corp (acq/del 1/06/20) | 478 | Hemacare Corp (acq/del 1/06/20) | ^ | 12,070 | ||||||||||
Henry Schein Inc | 400 | Henry Schein Inc | ^ | 26,688 |
16
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Hercules Capital Inc | 2,000 | Hercules Capital Inc | ^ | 28,040 | ||||||||||
Heron Therapeutics Inc | 600 | Heron Therapeutics Inc | ^ | 14,100 | ||||||||||
Hewlette Packard Enterprise | 350 | Hewlette Packard Enterprise | ^ | 5,551 | ||||||||||
Hexo Corp | 60 | Hexo Corp | ^ | 95 | ||||||||||
Himax Technologies Inc- ADR | 5,000 | Himax Technologies Inc- ADR | ^ | 13,300 | ||||||||||
Home Depot Incorporated | 655 | Home Depot Incorporated | ^ | 143,031 | ||||||||||
Hon Hai Precision-Gdr Reg S | 77 | Hon Hai Precision-Gdr Reg S | ^ | 470 | ||||||||||
Honeywell International | 701 | Honeywell International | ^ | 124,077 | ||||||||||
Houghton Mifflin Harcourt Co | 300 | Houghton Mifflin Harcourt Co | ^ | 1,875 | ||||||||||
Hsbc Hldgs PLC | 1 | Hsbc Hldgs PLC | ^ | 39 | ||||||||||
Hudson Pacific Properties In | 225 | Hudson Pacific Properties In | ^ | 8,471 | ||||||||||
Huntington Bancshares | 584 | Huntington Bancshares | ^ | 8,807 | ||||||||||
IAC/InteractiveCorp | 10 | IAC/InteractiveCorp | ^ | 2,491 | ||||||||||
Identiv Inc | 800 | Identiv Inc | ^ | 4,512 | ||||||||||
Idexx Laboratories Inc | 40 | Idexx Laboratories Inc | ^ | 10,445 | ||||||||||
II VI Inc | 200 | II VI Inc | ^ | 6,734 | ||||||||||
Illumina Inc | 106 | Illumina Inc | ^ | 35,164 | ||||||||||
Immunocellular Therapeutics | 58,750 | Immunocellular Therapeutics | ^ | 2,009 | ||||||||||
Impala Platinum Spon Adr | 200 | Impala Platinum Spon Adr | ^ | 2,048 | ||||||||||
Impinj Inc | 45 | Impinj Inc | ^ | 1,164 | ||||||||||
Ingersoll Rand PLC (tt 03/02/20) | 266 | Ingersoll Rand PLC (tt 03/02/20) | ^ | 35,357 | ||||||||||
Inmed Pharmaceuticals Inc | 350 | Inmed Pharmaceuticals Inc | ^ | 63 | ||||||||||
Innovative Industrial Proper | 30 | Innovative Industrial Proper | ^ | 2,280 | ||||||||||
Inogen Inc | 49 | Inogen Inc | ^ | 3,348 | ||||||||||
Inpixon (inpx 01/07/20) | 100 | Inpixon (inpx 01/07/20) | ^ | 11 | ||||||||||
Intec Pharma Ltd | 12,900 | Intec Pharma Ltd | ^ | 6,450 | ||||||||||
Intel Corporation | 1,559 | Intel Corporation | ^ | 93,315 | ||||||||||
Intellia Therapeutics Inc | 500 | Intellia Therapeutics Inc | ^ | 7,335 | ||||||||||
Intercept Pharmaceuticals In | 200 | Intercept Pharmaceuticals In | ^ | 24,784 | ||||||||||
Interpublic Group Co | 380 | Interpublic Group Co | ^ | 8,778 | ||||||||||
Intl Business Machines Inc | 1,097 | Intl Business Machines Inc | ^ | 147,011 | ||||||||||
Intra-Cellular Therapies Inc | 1 | Intra-Cellular Therapies Inc | ^ | 34 | ||||||||||
Intrexon Corp (pgen 2/03/20) | 300 | Intrexon Corp (pgen 2/03/20) | ^ | 1,644 | ||||||||||
Intuitive Surgical | 5 | Intuitive Surgical | ^ | 2,956 | ||||||||||
Invictus Md Strategies Corp | 1,000 | Invictus Md Strategies Corp | ^ | 80 | ||||||||||
Invitae Corp | 1,072 | Invitae Corp | ^ | 17,291 | ||||||||||
Invitation Homes Inc | 142 | Invitation Homes Inc | ^ | 4,256 | ||||||||||
Iovance Biotherapeutics Inc | 100 | Iovance Biotherapeutics Inc | ^ | 2,768 | ||||||||||
IPG Photonics Corp | 120 | IPG Photonics Corp | ^ | 17,390 | ||||||||||
Iqiyi Inc-ADR | 1,896 | Iqiyi Inc-ADR | ^ | 40,025 | ||||||||||
Irhythm Technologies Inc | 1 | Irhythm Technologies Inc | ^ | 68 | ||||||||||
Irobot Corp | 5 | Irobot Corp | ^ | 253 | ||||||||||
Iron Mountain Inc | 30 | Iron Mountain Inc | ^ | 960 | ||||||||||
Isracann Biosciences Inc | 2,000 | Isracann Biosciences Inc | ^ | 720 | ||||||||||
Jc Penney | 5,283 | Jc Penney | ^ | 5,917 | ||||||||||
JD.com Inc-ADR | 481 | JD.com Inc-ADR | ^ | 16,946 | ||||||||||
Johnson & Johnson | 268 | Johnson & Johnson | ^ | 39,093 | ||||||||||
JPMorgan Chase & Co | 1,573 | JPMorgan Chase & Co | ^ | 219,337 | ||||||||||
Kaleido Biosciences Inc | 60 | Kaleido Biosciences Inc | ^ | 301 | ||||||||||
Kansas City Southern | 5 | Kansas City Southern | ^ | 766 | ||||||||||
Karyopharm Therapeutics Inc | 3,000 | Karyopharm Therapeutics Inc | ^ | 57,510 | ||||||||||
Keycorp | 399 | Keycorp | ^ | 8,071 | ||||||||||
Keysight Technologies Inc | 96 | Keysight Technologies Inc | ^ | 9,853 | ||||||||||
Kimberly Clark | 110 | Kimberly Clark | ^ | 15,131 | ||||||||||
Kinder Morgan Inc | 325 | Kinder Morgan Inc | ^ | 6,880 | ||||||||||
Kratos Def & Sec Solutions Inc | 100 | Kratos Def & Sec Solutions Inc | ^ | 1,801 | ||||||||||
Kroger Co | 104 | Kroger Co | ^ | 3,010 | ||||||||||
KushCo Holdings Inc | 616 | KushCo Holdings Inc | ^ | 1,010 | ||||||||||
Lam Research Corp | 33 | Lam Research Corp | ^ | 9,593 | ||||||||||
Lamar Advertising Co A | 210 | Lamar Advertising Co A | ^ | 18,745 | ||||||||||
Lamb Weston Holdings Inc | 233 | Lamb Weston Holdings Inc | ^ | 20,045 | ||||||||||
Las Vegas Sands Corp | 14 | Las Vegas Sands Corp | ^ | 969 | ||||||||||
Lennar Corp - B | 2 | Lennar Corp - B | ^ | 89 | ||||||||||
Lexaria Bioscience Corp | 15 | Lexaria Bioscience Corp | ^ | 6 | ||||||||||
LG Display Co Ltd ADR | 5,450 | LG Display Co Ltd ADR | ^ | 37,823 | ||||||||||
Liberty Property Trust (pld 02/04/20) | 340 | Liberty Property Trust (pld 02/04/20) | ^ | 20,417 | ||||||||||
Linde PLC | 203 | Linde PLC | ^ | 43,219 | ||||||||||
Lions Gate Entertainment Corp | 375 | Lions Gate Entertainment Corp | ^ | 3,998 | ||||||||||
Lions Gate Entertainment-B | 375 | Lions Gate Entertainment-B | ^ | 3,724 | ||||||||||
Liquidity Services Inc | 250 | Liquidity Services Inc | ^ | 1,490 | ||||||||||
Livent Corp | 28 | Livent Corp | ^ | 239 | ||||||||||
Lloyds Banking Group PLC ADR | 1 | Lloyds Banking Group PLC ADR | ^ | 3 | ||||||||||
Lockheed Martin Corp | 138 | Lockheed Martin Corp | ^ | 53,853 | ||||||||||
Logicbio Therapeutics Inc | 55 | Logicbio Therapeutics Inc | ^ | 396 |
17
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Lowes Co Inc | 184 | Lowes Co Inc | ^ | 22,036 | ||||||||||
Lucara Diamond Corp | 465 | Lucara Diamond Corp | ^ | 304 | ||||||||||
Luckin Coffee Inc | 520 | Luckin Coffee Inc | ^ | 20,467 | ||||||||||
Lumber Liquidators Holdings | 1,260 | Lumber Liquidators Holdings | ^ | 12,310 | ||||||||||
Lumentum Holdings Inc | 15 | Lumentum Holdings Inc | ^ | 1,190 | ||||||||||
Lyft Inc A | 315 | Lyft Inc A | ^ | 13,551 | ||||||||||
MACOM Technology Solutions Holdings Inc | 250 | MACOM Technology Solutions Holdings Inc | ^ | 6,650 | ||||||||||
Macquarie Infrastructure Corp | 101 | Macquarie Infrastructure Corp | ^ | 4,327 | ||||||||||
Magna Int'l Inc. | 917 | Magna Int'l Inc. | ^ | 50,288 | ||||||||||
Mallinckrodt PLC | 101 | Mallinckrodt PLC | ^ | 353 | ||||||||||
Mankind Corp | 2,100 | Mankind Corp | ^ | 2,709 | ||||||||||
Marathon Petroleum Corp | 100 | Marathon Petroleum Corp | ^ | 6,025 | ||||||||||
Marijuana Company Of America | 92 | Marijuana Company Of America | ^ | 7 | ||||||||||
Marriot Vacations World | 1 | Marriot Vacations World | ^ | 129 | ||||||||||
Marvell Technology Group LTD | 80 | Marvell Technology Group LTD | ^ | 2,125 | ||||||||||
Massroots | 825 | Massroots | ^ | 4 | ||||||||||
Mastercard Inc A | 1,296 | Mastercard Inc A | ^ | 386,965 | ||||||||||
Matson Inc | 139 | Matson Inc | ^ | 5,655 | ||||||||||
Maxim Integrated Prods Inc | 106 | Maxim Integrated Prods Inc | ^ | 6,548 | ||||||||||
McDermott Int'l (mdriq 01/23/20) | 440 | McDermott Int'l (mdriq 01/23/20) | ^ | 298 | ||||||||||
Mcdonalds Corp | 291 | Mcdonalds Corp | ^ | 57,505 | ||||||||||
McEwen Mining Inc | 365 | McEwen Mining Inc | ^ | 464 | ||||||||||
mCloud Technologies Corp (mcld.f 01/13/20) | 130 | mCloud Technologies Corp (mcld.f 01/13/20) | ^ | 497 | ||||||||||
Medical Marijuana Inc | 29,950 | Medical Marijuana Inc | ^ | 626 | ||||||||||
Medical Properties Trust Inc | 1,000 | Medical Properties Trust Inc | ^ | 21,110 | ||||||||||
Medipharm Labs Corp | 130 | Medipharm Labs Corp | ^ | 386 | ||||||||||
Medmen Enterprises Inc | 385 | Medmen Enterprises Inc | ^ | 205 | ||||||||||
Medtainer Inc | 300 | Medtainer Inc | ^ | 65 | ||||||||||
Mercadolibre Inc | 35 | Mercadolibre Inc | ^ | 20,018 | ||||||||||
Merck & Company Inc | 506 | Merck & Company Inc | ^ | 46,008 | ||||||||||
Mercury Gen Corp | 106 | Mercury Gen Corp | ^ | 5,153 | ||||||||||
Michaels Cos Inc/The | 860 | Michaels Cos Inc/The | ^ | 6,957 | ||||||||||
Microchip Technology | 5 | Microchip Technology | ^ | 524 | ||||||||||
Micron Tech. Inc. | 101 | Micron Tech. Inc. | ^ | 5,432 | ||||||||||
Microsoft Corporation | 3,293 | Microsoft Corporation | ^ | 519,310 | ||||||||||
Microvision Inc | 1,400 | Microvision Inc | ^ | 1,008 | ||||||||||
Mid America Apt Community | 150 | Mid America Apt Community | ^ | 19,779 | ||||||||||
Mimedx Group Inc | 1 | Mimedx Group Inc | ^ | 8 | ||||||||||
Mitsubishi UFJ Financial ADR | 3,019 | Mitsubishi UFJ Financial ADR | ^ | 16,395 | ||||||||||
Mobile Telesys Ojsc Spon Adr | 1,253 | Mobile Telesys Ojsc Spon Adr | ^ | 12,722 | ||||||||||
Mobileye Nv (acquired 05/03/18) | 1 | Mobileye Nv (acquired 05/03/18) | ^ | 0 | ||||||||||
Mogo Inc | 1 | Mogo Inc | ^ | 3 | ||||||||||
Mohawk Ind | 20 | Mohawk Ind | ^ | 2,728 | ||||||||||
Molson Coors Beverage Co-B | 450 | Molson Coors Beverage Co-B | ^ | 24,278 | ||||||||||
Mondelez International Inc | 103 | Mondelez International Inc | ^ | 5,647 | ||||||||||
Monster Beverage Corp | 120 | Monster Beverage Corp | ^ | 7,626 | ||||||||||
MSG Networks Inc | 500 | MSG Networks Inc | ^ | 8,700 | ||||||||||
Mydx Inc | 13,500 | Mydx Inc | ^ | 0 | ||||||||||
Mylan NV SHS Euro | 51 | Mylan NV SHS Euro | ^ | 1,025 | ||||||||||
Nabors Industries (nbr 04/23/20) | 550 | Nabors Industries (nbr 04/23/20) | ^ | 1,584 | ||||||||||
Nabriva Therapeutics PLC | 1,000 | Nabriva Therapeutics PLC | ^ | 1,320 | ||||||||||
National Bank Of Greece | 3,041 | National Bank Of Greece | ^ | 10,279 | ||||||||||
National Retail Properties Inc | 620 | National Retail Properties Inc | ^ | 33,244 | ||||||||||
Nektar Therapeutics | 200 | Nektar Therapeutics | ^ | 4,317 | ||||||||||
Neophotonics Corp | 5,000 | Neophotonics Corp | ^ | 44,100 | ||||||||||
Neptune Wellness Solutions Inc | 100 | Neptune Wellness Solutions Inc | ^ | 275 | ||||||||||
Netflix Inc | 882 | Netflix Inc | ^ | 285,389 | ||||||||||
Netgear Inc | 292 | Netgear Inc | ^ | 7,157 | ||||||||||
New Mountain Finance Corp | 2,000 | New Mountain Finance Corp | ^ | 27,480 | ||||||||||
New Residential Investment | 125 | New Residential Investment | ^ | 2,014 | ||||||||||
Newell Brands Inc | 47 | Newell Brands Inc | ^ | 912 | ||||||||||
Newmont Corp | 656 | Newmont Corp | ^ | 28,503 | ||||||||||
News Corp CL B | 300 | News Corp CL B | ^ | 4,353 |
18
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Nextech AR Solutions Corp | 34 | Nextech AR Solutions Corp | ^ | 49 | ||||||||||
Nextera Energy Inc | 210 | Nextera Energy Inc | ^ | 50,854 | ||||||||||
Nike Inc. | 70 | Nike Inc. | ^ | 7,104 | ||||||||||
Nintendo Ltd Adr New Japan | 117 | Nintendo Ltd Adr New Japan | ^ | 5,917 | ||||||||||
Nio Inc - ADR | 457 | Nio Inc - ADR | ^ | 1,837 | ||||||||||
Nokia Corp ADR | 100 | Nokia Corp ADR | ^ | 371 | ||||||||||
Nordic American Tankers Ltd | 2 | Nordic American Tankers Ltd | ^ | 10 | ||||||||||
Nortel Networks (delisted 10/14/15) | 2 | Nortel Networks (delisted 10/14/15) | ^ | 0 | ||||||||||
North American Cannabis Holding | 1,200,193 | North American Cannabis Holding | ^ | 360 | ||||||||||
Northrop Grumman Corp | 142 | Northrop Grumman Corp | ^ | 48,904 | ||||||||||
Novartis Ag Sponsored Adr | 307 | Novartis Ag Sponsored Adr | ^ | 29,070 | ||||||||||
Novavax Inc | 5 | Novavax Inc | ^ | 20 | ||||||||||
Novocure Ltd | 150 | Novocure Ltd | ^ | 12,641 | ||||||||||
Novo-Nordisk As | 300 | Novo-Nordisk As | ^ | 17,364 | ||||||||||
Nuance Communications Inc | 50 | Nuance Communications Inc | ^ | 892 | ||||||||||
Nutanix Inc - A | 86 | Nutanix Inc - A | ^ | 2,688 | ||||||||||
NutraLife Biosciences Inc | 101 | NutraLife Biosciences Inc | ^ | 8 | ||||||||||
Nutrien Ltd | 82 | Nutrien Ltd | ^ | 3,942 | ||||||||||
Nvidia Corp | 550 | Nvidia Corp | ^ | 129,301 | ||||||||||
Oao Gazprom Adr Reg S | 60 | Oao Gazprom Adr Reg S | ^ | 495 | ||||||||||
Obseva SA | 1,000 | Obseva SA | ^ | 3,820 | ||||||||||
Ocado Group PLC | 20 | Ocado Group PLC | ^ | 334 | ||||||||||
Occidental Petroleum Corp | 400 | Occidental Petroleum Corp | ^ | 16,491 | ||||||||||
Office Pptys Income Tr | 126 | Office Pptys Income Tr | ^ | 4,065 | ||||||||||
Omeros Corp | 100 | Omeros Corp | ^ | 1,409 | ||||||||||
One Gas Inc | 79 | One Gas Inc | ^ | 7,392 | ||||||||||
Oneok Inc | 260 | Oneok Inc | ^ | 19,674 | ||||||||||
Oracle Corp | 600 | Oracle Corp | ^ | 31,788 | ||||||||||
Orezone Gold Corp | 300 | Orezone Gold Corp | ^ | 149 | ||||||||||
Organigram Holdings Inc | 300 | Organigram Holdings Inc | ^ | 735 | ||||||||||
Organovo Holdings Inc | 200 | Organovo Holdings Inc | ^ | 71 | ||||||||||
Orthopediatrics Corp | 30 | Orthopediatrics Corp | ^ | 1,410 | ||||||||||
Osisko Gold Royalties Ltd | 60 | Osisko Gold Royalties Ltd | ^ | 587 | ||||||||||
Pacer Cfra Stovall Equal | 136 | Pacer Cfra Stovall Equal | ^ | 4,236 | ||||||||||
Pacific Ethanol Inc | 4 | Pacific Ethanol Inc | ^ | 3 | ||||||||||
Pacific Premier Bancorp Inc | 25 | Pacific Premier Bancorp Inc | ^ | 815 | ||||||||||
Pacira BioSciences Inc | 35 | Pacira BioSciences Inc | ^ | 1,586 | ||||||||||
Pagseguro Digital Ltd-Cl A | 400 | Pagseguro Digital Ltd-Cl A | ^ | 13,664 | ||||||||||
Pan American Silver Cap | 13 | Pan American Silver Cap | ^ | 315 | ||||||||||
Paratek Pharmaceuticals Inc | 600 | Paratek Pharmaceuticals Inc | ^ | 2,418 | ||||||||||
Park Hotels & Resorts Inc | 299 | Park Hotels & Resorts Inc | ^ | 7,734 | ||||||||||
Parker Hannifin Corp | 10 | Parker Hannifin Corp | ^ | 2,134 | ||||||||||
Patterson Cos Inc | 44 | Patterson Cos Inc | ^ | 906 | ||||||||||
Paychex Inc | 185 | Paychex Inc | ^ | 15,736 | ||||||||||
Paypal Holdings Inc | 635 | Paypal Holdings Inc | ^ | 68,688 | ||||||||||
Peak Pharmaceuticals Inc | 1,750 | Peak Pharmaceuticals Inc | ^ | 24 | ||||||||||
Pengrowth Energy Corp (acquired 01/09/20) | 860 | Pengrowth Energy Corp (acquired 01/09/20) | ^ | 39 | ||||||||||
Penn National Gaming | 500 | Penn National Gaming | ^ | 12,780 | ||||||||||
Peoples United Financial Inc | 970 | Peoples United Financial Inc | ^ | 16,393 | ||||||||||
Pepsico Inc | 559 | Pepsico Inc | ^ | 76,399 | ||||||||||
Personalis Inc | 125 | Personalis Inc | ^ | 1,363 | ||||||||||
Petersen Cos Inc Cl A | 200 | Petersen Cos Inc Cl A | ^ | 156 | ||||||||||
Petiq Inc | 102 | Petiq Inc | ^ | 2,555 | ||||||||||
Petroleo Brasileiro Spon Adr | 706 | Petroleo Brasileiro Spon Adr | ^ | 11,254 | ||||||||||
Pfizer Incorporated | 600 | Pfizer Incorporated | ^ | 23,508 | ||||||||||
Pg&e Corp | 11 | Pg&e Corp | ^ | 120 | ||||||||||
PGT Innovations Inc | 25 | PGT Innovations Inc | ^ | 373 | ||||||||||
Philip Morris International | 437 | Philip Morris International | ^ | 37,218 | ||||||||||
Phillips 66 | 53 | Phillips 66 | ^ | 5,902 | ||||||||||
Ping Identity Holding Corp | 200 | Ping Identity Holding Corp | ^ | 4,860 | ||||||||||
Pinterest Inc- Class A | 308 | Pinterest Inc- Class A | ^ | 5,741 | ||||||||||
Pioneer Natural Resources Co | 60 | Pioneer Natural Resources Co | ^ | 9,149 | ||||||||||
Plus Products Inc | 250 | Plus Products Inc | ^ | 317 | ||||||||||
Pnc Financial Svc Group | 337 | Pnc Financial Svc Group | ^ | 53,795 | ||||||||||
Portola Pharmaceuticals Inc | 100 | Portola Pharmaceuticals Inc | ^ | 2,388 |
19
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Portugal Telecomm Sgps S A Sponsored ADR | 1 | Portugal Telecomm Sgps S A Sponsored ADR | ^ | 0 | ||||||||||
Preferred Bank/Los Angeles | 3 | Preferred Bank/Los Angeles | ^ | 180 | ||||||||||
Preveceutical Medical Inc | 2,500 | Preveceutical Medical Inc | ^ | 25 | ||||||||||
Procter & Gamble Co | 299 | Procter & Gamble Co | ^ | 37,338 | ||||||||||
Progenics Pharmaceuticals Inc | 100 | Progenics Pharmaceuticals Inc | ^ | 509 | ||||||||||
Prudential Finl Inc | 200 | Prudential Finl Inc | ^ | 18,770 | ||||||||||
PTC Inc | 25 | PTC Inc | ^ | 1,872 | ||||||||||
Pulte Group Inc | 1,168 | Pulte Group Inc | ^ | 45,318 | ||||||||||
Puma Biotechnology Inc | 800 | Puma Biotechnology Inc | ^ | 7,000 | ||||||||||
Qiwi Plc-Sponsored ADR | 13 | Qiwi Plc-Sponsored ADR | ^ | 252 | ||||||||||
Qorvo Inc | 60 | Qorvo Inc | ^ | 6,974 | ||||||||||
Qualcomm | 661 | Qualcomm | ^ | 58,291 | ||||||||||
Qudian Inc Spon ADR | 1 | Qudian Inc Spon ADR | ^ | 5 | ||||||||||
Quest Diagnostics Inc | 11 | Quest Diagnostics Inc | ^ | 1,201 | ||||||||||
RA Medical Systems Inc | 7,500 | RA Medical Systems Inc | ^ | 8,475 | ||||||||||
Radius Health Inc | 100 | Radius Health Inc | ^ | 2,016 | ||||||||||
Raytheon Co (rtx 04/03/20) | 405 | Raytheon Co (rtx 04/03/20) | ^ | 88,886 | ||||||||||
Razer Inc | 4,000 | Razer Inc | ^ | 660 | ||||||||||
Realty Income Corp | 10 | Realty Income Corp | ^ | 736 | ||||||||||
Red Lion Hotels Corp | 18 | Red Lion Hotels Corp | ^ | 67 | ||||||||||
Redfin Corp | 449 | Redfin Corp | ^ | 9,492 | ||||||||||
Redhill Biopharma Ltd-Sp ADR | 500 | Redhill Biopharma Ltd-Sp ADR | ^ | 3,035 | ||||||||||
Regions Finl Corp Com | 406 | Regions Finl Corp Com | ^ | 6,968 | ||||||||||
Restaurant Brands Intl Inc | 202 | Restaurant Brands Intl Inc | ^ | 12,878 | ||||||||||
Rev Group Inc | 500 | Rev Group Inc | ^ | 6,115 | ||||||||||
Revolution Lighting Technologies Inc | 375 | Revolution Lighting Technologies Inc | ^ | 18 | ||||||||||
Rio Tinto PLC ADR | 101 | Rio Tinto PLC ADR | ^ | 5,995 | ||||||||||
Rite Aid Corp | 198 | Rite Aid Corp | ^ | 3,063 | ||||||||||
Roku Inc | 4,546 | Roku Inc | ^ | 608,709 | ||||||||||
Roper Technologies Inc | 103 | Roper Technologies Inc | ^ | 36,486 | ||||||||||
* | Royal Bank Of Canada | 1,057,252 | Royal Bank Of Canada | ^ | 83,734,328 | |||||||||
Royal Bank Of Scotland Spons ADR | 1,000 | Royal Bank Of Scotland Spons ADR | ^ | 6,440 | ||||||||||
Royal Gold Inc | 338 | Royal Gold Inc | ^ | 41,268 | ||||||||||
Rubicon Project Inc/The | 450 | Rubicon Project Inc/The | ^ | 3,672 | ||||||||||
Ruth's Hospitality Group Inc | 200 | Ruth's Hospitality Group Inc | ^ | 4,353 | ||||||||||
Sabine Royalty Tr | 140 | Sabine Royalty Tr | ^ | 5,642 | ||||||||||
Sage Therapeutics Inc | 10 | Sage Therapeutics Inc | ^ | 722 | ||||||||||
Salesforce.Com Inc | 487 | Salesforce.Com Inc | ^ | 79,206 | ||||||||||
Samaritan Pharmaceuticals (Delisted 8/15/2011) | 1,166 | Samaritan Pharmaceuticals (Delisted 8/15/2011) | ^ | 0 | ||||||||||
Sandstorm Gold Ltd | 600 | Sandstorm Gold Ltd | ^ | 4,470 | ||||||||||
Sanofi - Aventis Sa Adr | 10 | Sanofi - Aventis Sa Adr | ^ | 502 | ||||||||||
Santander Consumer USA Holdi | 1 | Santander Consumer USA Holdi | ^ | 23 | ||||||||||
Savara Inc | 1,800 | Savara Inc | ^ | 8,064 | ||||||||||
SBA Communications Corp | 12 | SBA Communications Corp | ^ | 2,892 | ||||||||||
Schlumberger Ltd | 2,000 | Schlumberger Ltd | ^ | 80,400 | ||||||||||
Scotts Miracle-Gro Co Cl A | 23 | Scotts Miracle-Gro Co Cl A | ^ | 2,466 | ||||||||||
Sea Ltd-ADR | 205 | Sea Ltd-ADR | ^ | 8,245 | ||||||||||
Seabridge Res Inc | 365 | Seabridge Res Inc | ^ | 5,044 | ||||||||||
Seadrill Ltd | 10 | Seadrill Ltd | ^ | 25 | ||||||||||
Seattle Genetics Inc. | 400 | Seattle Genetics Inc. | ^ | 45,704 | ||||||||||
Secoo Holding Ltd ADR | 1 | Secoo Holding Ltd ADR | ^ | 6 | ||||||||||
Servicenow Inc | 38 | Servicenow Inc | ^ | 10,728 | ||||||||||
Shake Shack Inc - Class A | 108 | Shake Shack Inc - Class A | ^ | 6,434 | ||||||||||
Sherwin Williams | 30 | Sherwin Williams | ^ | 17,506 | ||||||||||
Shockwave Medical Inc | 220 | Shockwave Medical Inc | ^ | 9,662 | ||||||||||
Shopify Inc - A | 6 | Shopify Inc - A | ^ | 2,386 | ||||||||||
Shotspotter Inc | 63 | Shotspotter Inc | ^ | 1,607 | ||||||||||
Signet Jewelers Ltd ADR | 2,000 | Signet Jewelers Ltd ADR | ^ | 43,480 | ||||||||||
Silicon Laboratories | 10 | Silicon Laboratories | ^ | 1,160 | ||||||||||
Silverbow Resources Inc | 9 | Silverbow Resources Inc | ^ | 0 | ||||||||||
Sirius XM Holdings Inc | 902 | Sirius XM Holdings Inc | ^ | 6,449 | ||||||||||
Siteone Landscape Supply Inc | 25 | Siteone Landscape Supply Inc | ^ | 2,266 | ||||||||||
Skechers Usa Inc Cl A | 79 | Skechers Usa Inc Cl A | ^ | 3,412 | ||||||||||
Skyworks Solutions Inc | 564 | Skyworks Solutions Inc | ^ | 68,177 | ||||||||||
Slack Technologies Inc- Cl A | 20 | Slack Technologies Inc- Cl A | ^ | 450 | ||||||||||
Snap Inc - A | 2,672 | Snap Inc - A | ^ | 43,634 | ||||||||||
Softbank Corp Unspon ADR | 300 | Softbank Corp Unspon ADR | ^ | 6,462 | ||||||||||
Solaredge Technologies Inc | 10 | Solaredge Technologies Inc | ^ | 950 | ||||||||||
Sonoco Products Co | 228 | Sonoco Products Co | ^ | 14,072 | ||||||||||
Sonos Inc | 2,000 | Sonos Inc | ^ | 31,240 | ||||||||||
Sorrento Therapeutics Inc | 700 | Sorrento Therapeutics Inc | ^ | 2,366 | ||||||||||
Southern Company | 290 | Southern Company | ^ | 18,473 | ||||||||||
Southwest Airlines Company | 500 | Southwest Airlines Company | ^ | 26,990 | ||||||||||
Spero Therapeutics Inc | 830 | Spero Therapeutics Inc | ^ | 7,980 |
20
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Splunk Inc | 140 | Splunk Inc | ^ | 20,968 | ||||||||||
Sprott Inc | 350 | Sprott Inc | ^ | 809 | ||||||||||
Square Inc - A | 167 | Square Inc - A | ^ | 10,447 | ||||||||||
SS&C Technologies Holdings | 50 | SS&C Technologies Holdings | ^ | 3,070 | ||||||||||
Stag Industrial Inc | 200 | Stag Industrial Inc | ^ | 6,314 | ||||||||||
Starbucks Corp. | 287 | Starbucks Corp. | ^ | 25,192 | ||||||||||
Starwood Property Trust Inc | 662 | Starwood Property Trust Inc | ^ | 16,457 | ||||||||||
Stein Mart Inc. | 40,000 | Stein Mart Inc. | ^ | 26,768 | ||||||||||
Stemline Therapeutics Inc | 5,200 | Stemline Therapeutics Inc | ^ | 55,276 | ||||||||||
Stereotaxis Inc | 70,900 | Stereotaxis Inc | ^ | 375,061 | ||||||||||
Stericycle Inc | 330 | Stericycle Inc | ^ | 21,057 | ||||||||||
Stmicroelectronics Nv | 286 | Stmicroelectronics Nv | ^ | 7,706 | ||||||||||
Stoneco Ltd-A | 150 | Stoneco Ltd-A | ^ | 5,983 | ||||||||||
Store Capital Corp | 60 | Store Capital Corp | ^ | 2,234 | ||||||||||
Stratasys LTD | 250 | Stratasys LTD | ^ | 5,056 | ||||||||||
Strongbridge Biopharma Plc | 400 | Strongbridge Biopharma Plc | ^ | 836 | ||||||||||
Stryker Corporation | 350 | Stryker Corporation | ^ | 73,479 | ||||||||||
Suncor Energy Inc | 140 | Suncor Energy Inc | ^ | 4,592 | ||||||||||
Sunpower Corp | 15 | Sunpower Corp | ^ | 117 | ||||||||||
Sunrun Inc | 40 | Sunrun Inc | ^ | 552 | ||||||||||
Suntory Beverage & Food-U ADR | 50 | Suntory Beverage & Food-U ADR | ^ | 1,035 | ||||||||||
Supernus Pharmaceuticals Inc | 100 | Supernus Pharmaceuticals Inc | ^ | 2,372 | ||||||||||
Syndax Pharmaceuticals Inc | 100 | Syndax Pharmaceuticals Inc | ^ | 878 | ||||||||||
Synergy Pharmaceuticals Inc (acquired 05/02/19) | 200 | Synergy Pharmaceuticals Inc (acquired 05/02/19) | ^ | 0 | ||||||||||
Synopsys Inc | 25 | Synopsys Inc | ^ | 3,480 | ||||||||||
Sysco Corp | 220 | Sysco Corp | ^ | 18,818 | ||||||||||
Tabula Rasa Healthcare Inc | 30 | Tabula Rasa Healthcare Inc | ^ | 1,460 | ||||||||||
Taiwan Semiconductor | 84 | Taiwan Semiconductor | ^ | 4,903 | ||||||||||
Talend Sa - ADR | 1,400 | Talend Sa - ADR | ^ | 54,754 | ||||||||||
Target Corp | 360 | Target Corp | ^ | 46,195 | ||||||||||
Taseko Mines LTD | 10,000 | Taseko Mines LTD | ^ | 4,800 | ||||||||||
TCR2 Therapeutics Inc | 35 | TCR2 Therapeutics Inc | ^ | 499 | ||||||||||
Teladoc Health Inc | 114 | Teladoc Health Inc | ^ | 9,544 | ||||||||||
Tellurian Inc | 800 | Tellurian Inc | ^ | 5,824 | ||||||||||
Tencent Holdings Ltd ADR | 257 | Tencent Holdings Ltd ADR | ^ | 12,389 | ||||||||||
Tencent Music Entertainm ADR | 100 | Tencent Music Entertainm ADR | ^ | 1,174 | ||||||||||
Tenet Healthcare Corp. | 65 | Tenet Healthcare Corp. | ^ | 2,472 | ||||||||||
Teradyne Inc | 51 | Teradyne Inc | ^ | 3,487 | ||||||||||
Teranga Gold Corp | 40 | Teranga Gold Corp | ^ | 216 | ||||||||||
Terra Tech Corp | 27,777 | Terra Tech Corp | ^ | 4,444 | ||||||||||
Tesla Inc | 640 | Tesla Inc | ^ | 267,731 | ||||||||||
Teva Pharmaceutical Industries LTD ADR | 11,000 | Teva Pharmaceutical Industries LTD ADR | ^ | 107,800 | ||||||||||
Texas Instruments Inc | 5 | Texas Instruments Inc | ^ | 641 | ||||||||||
TG Therapeutics Inc | 600 | TG Therapeutics Inc | ^ | 6,660 | ||||||||||
The Kraft Heinz Co | 1,096 | The Kraft Heinz Co | ^ | 35,216 | ||||||||||
The Realreal Inc | 100 | The Realreal Inc | ^ | 1,885 | ||||||||||
Theratechnologies Inc | 1,300 | Theratechnologies Inc | ^ | 4,290 | ||||||||||
Thermo Fisher Scientific Inc | 396 | Thermo Fisher Scientific Inc | ^ | 128,657 | ||||||||||
Tilly's Inc-Class A Shrs | 725 | Tilly's Inc-Class A Shrs | ^ | 8,883 | ||||||||||
Tilray Inc-Class 2 Common | 75 | Tilray Inc-Class 2 Common | ^ | 1,285 |
21
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Titan Pharmaceuticals Inc | 1,225 | Titan Pharmaceuticals Inc | ^ | 238 | ||||||||||
Top Ships Inc | 24 | Top Ships Inc | ^ | 19 | ||||||||||
Total Fina Elf Sa Adr | 110 | Total Fina Elf Sa Adr | ^ | 6,064 | ||||||||||
Tracon Pharmaceuticals Inc | 2,000 | Tracon Pharmaceuticals Inc | ^ | 4,680 | ||||||||||
Trade Desk Inc/The -Class A | 62 | Trade Desk Inc/The -Class A | ^ | 16,106 | ||||||||||
Tradeweb Markets Inc-Class A | 98 | Tradeweb Markets Inc-Class A | ^ | 4,542 | ||||||||||
Transocean Ltd | 1 | Transocean Ltd | ^ | 7 | ||||||||||
Travelers Cos Inc | 5 | Travelers Cos Inc | ^ | 685 | ||||||||||
Trip.Com Group Ltd | 30 | Trip.Com Group Ltd | ^ | 1,006 | ||||||||||
Tripadvisor Inc | 100 | Tripadvisor Inc | ^ | 3,038 | ||||||||||
Triton International Ltd | 20 | Triton International Ltd | ^ | 804 | ||||||||||
Truist Financial Corp | 383 | Truist Financial Corp | ^ | 21,571 | ||||||||||
Trulieve Cannabis Corp | 125 | Trulieve Cannabis Corp | ^ | 1,480 | ||||||||||
Tupperware Brands Corp | 2,000 | Tupperware Brands Corp | ^ | 17,160 | ||||||||||
Turtle Beach Corp | 50 | Turtle Beach Corp | ^ | 472 | ||||||||||
Twilio Inc - A | 369 | Twilio Inc - A | ^ | 36,265 | ||||||||||
Twitter Inc | 31,087 | Twitter Inc | ^ | 996,338 | ||||||||||
Uber Technologies Inc | 679 | Uber Technologies Inc | ^ | 20,193 | ||||||||||
UBS Group AG | 1 | UBS Group AG | ^ | 13 | ||||||||||
UDR Inc | 300 | UDR Inc | ^ | 14,010 | ||||||||||
Umpqua Holdings Corp | 405 | Umpqua Holdings Corp | ^ | 7,168 | ||||||||||
Under Armor Inc - Cl A | 305 | Under Armor Inc - Cl A | ^ | 6,588 | ||||||||||
Unilever Plc Spon Adr New | 205 | Unilever Plc Spon Adr New | ^ | 11,720 | ||||||||||
Union Pacific Corp. | 319 | Union Pacific Corp. | ^ | 57,672 | ||||||||||
United Rentals Inc | 70 | United Rentals Inc | ^ | 11,674 | ||||||||||
Unitedhealth Group Inc | 418 | Unitedhealth Group Inc | ^ | 122,884 | ||||||||||
Universal Display Corp | 5 | Universal Display Corp | ^ | 1,030 | ||||||||||
Urogen Pharma Ltd | 1,000 | Urogen Pharma Ltd | ^ | 33,370 | ||||||||||
Us Global Nanospace Inc | 2,000 | Us Global Nanospace Inc | ^ | 1 | ||||||||||
V.F. Corp. | 68 | V.F. Corp. | ^ | 6,730 | ||||||||||
Valaris PLC | 1,100 | Valaris PLC | ^ | 7,216 | ||||||||||
Vale SA ADR | 120 | Vale SA ADR | ^ | 1,584 | ||||||||||
Valero Energy Corp New | 140 | Valero Energy Corp New | ^ | 13,111 | ||||||||||
Vedanta Ltd | 101 | Vedanta Ltd | ^ | 871 | ||||||||||
Veeva Systems Inc-Class A | 95 | Veeva Systems Inc-Class A | ^ | 13,362 | ||||||||||
Veolia Environnement ADR | 1 | Veolia Environnement ADR | ^ | 27 | ||||||||||
Verastem Inc | 123,300 | Verastem Inc | ^ | 165,222 | ||||||||||
Vereit Inc | 1,547 | Vereit Inc | ^ | 14,294 | ||||||||||
Verizon Communications | 1,525 | Verizon Communications | ^ | 93,648 | ||||||||||
Vermilion Energy Inc | 200 | Vermilion Energy Inc | ^ | 3,272 | ||||||||||
Vertex Pharmaceuticals | 10 | Vertex Pharmaceuticals | ^ | 2,189 | ||||||||||
ViacomCBS Inc | 2,241 | ViacomCBS Inc | ^ | 94,055 | ||||||||||
Vipshop Holdings Ltd - Ads | 200 | Vipshop Holdings Ltd - Ads | ^ | 2,834 | ||||||||||
Visa Inc Class A Shares | 1,235 | Visa Inc Class A Shares | ^ | 232,083 | ||||||||||
Vivint Solar Inc | 10 | Vivint Solar Inc | ^ | 73 | ||||||||||
VMWare Inc Class A | 562 | VMWare Inc Class A | ^ | 85,288 | ||||||||||
W P Carey Inc | 175 | W P Carey Inc | ^ | 14,007 | ||||||||||
Wabtec | 1 | Wabtec | ^ | 77 | ||||||||||
Waddell & Reed Financial Cl A | 1 | Waddell & Reed Financial Cl A | ^ | 17 | ||||||||||
Walgreens Boots Alliance Inc | 142 | Walgreens Boots Alliance Inc | ^ | 8,349 | ||||||||||
Walmart Inc | 741 | Walmart Inc | ^ | 88,093 | ||||||||||
Wayfair Inc- Class A | 65 | Wayfair Inc- Class A | ^ | 5,874 | ||||||||||
Weedmd Inc | 500 | Weedmd Inc | ^ | 329 | ||||||||||
Wells Fargo & Co New | 399 | Wells Fargo & Co New | ^ | 21,446 | ||||||||||
Welltower Inc | 240 | Welltower Inc | ^ | 19,627 | ||||||||||
Western Alliance Bancorp | 407 | Western Alliance Bancorp | ^ | 23,199 | ||||||||||
Western Digital Corp | 100 | Western Digital Corp | ^ | 6,347 | ||||||||||
Westlake Chemical Corp | 30 | Westlake Chemical Corp | ^ | 2,104 | ||||||||||
Westport Innovations Inc | 500 | Westport Innovations Inc | ^ | 1,185 | ||||||||||
Weyerhaeuser Co | 28 | Weyerhaeuser Co | ^ | 847 | ||||||||||
Wheaton Precious Metals Corp | 302 | Wheaton Precious Metals Corp | ^ | 8,970 | ||||||||||
William Hill PLC-Unspon ADR | 200 | William Hill PLC-Unspon ADR | ^ | 2,025 | ||||||||||
Williams Co. | 266 | Williams Co. | ^ | 6,313 | ||||||||||
Winston Gold Corp | 4,300 | Winston Gold Corp | ^ | 267 | ||||||||||
Workday Inc-Class A | 252 | Workday Inc-Class A | ^ | 41,441 | ||||||||||
WPX Energy Inc | 1,300 | WPX Energy Inc | ^ | 17,862 | ||||||||||
Wuhan General Group China In | 1,000 | Wuhan General Group China In | ^ | 39 | ||||||||||
Xcel Energy Inc | 240 | Xcel Energy Inc | ^ | 15,237 | ||||||||||
Xilinx Inc | 235 | Xilinx Inc | ^ | 22,987 | ||||||||||
Yellow Media Ltd | 25 | Yellow Media Ltd | ^ | 174 | ||||||||||
Yellow Media Ltd-Cw22 | 14 | Yellow Media Ltd-Cw22 | ^ | 4 | ||||||||||
Yext Inc | 1,150 | Yext Inc | ^ | 16,583 | ||||||||||
Ypf Sociedad Anonima (adr) | 60 | Ypf Sociedad Anonima (adr) | ^ | 694 | ||||||||||
Yum! Brands Inc. | 206 | Yum! Brands Inc. | ^ | 20,725 | ||||||||||
Zayo Group Holdings Inc (acquired 03/09/20) | 105 | Zayo Group Holdings Inc (acquired 03/09/20) | ^ | 3,638 | ||||||||||
Zebra Technologies | 188 | Zebra Technologies | ^ | 48,023 | ||||||||||
Zillow Group Inc CL A | 300 | Zillow Group Inc CL A | ^ | 13,722 | ||||||||||
Zillow Group Inc CL C | 20 | Zillow Group Inc CL C | ^ | 919 | ||||||||||
Zoetis Inc | 568 | Zoetis Inc | ^ | 75,175 | ||||||||||
Zoned Properties Inc | 575 | Zoned Properties Inc | ^ | 120 | ||||||||||
Zoom Video Communications-A | 12 | Zoom Video Communications-A | ^ | 816 | ||||||||||
Zscaler Inc | 70 | Zscaler Inc | ^ | 3,255 | ||||||||||
TOTAL COMMON STOCKS | 108,896,756 |
22
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
COMMON COLLECTIVE FUNDS | ||||||||||||||
Loomis Sayles Large Cap Growth Trust C | 2,022,458 | Loomis Sayles Large Cap Growth Trust C | ^ | 52,786,155 | ||||||||||
Prudential Core Plus Bond Fund Class 5 | 305,889 | Prudential Core Plus Bond Fund Class 5 | ^ | 54,965,253 | ||||||||||
Vanguard Target Retirement 2015 Trust II | 146,574 | Vanguard Target Retirement 2015 Trust II | ^ | 5,303,054 | ||||||||||
Vanguard Target Retirement 2020 Trust II | 304,019 | Vanguard Target Retirement 2020 Trust II | ^ | 11,285,185 | ||||||||||
Vanguard Target Retirement 2025 Trust II | 590,463 | Vanguard Target Retirement 2025 Trust II | ^ | 22,089,219 | ||||||||||
Vanguard Target Retirement 2030 Trust II | 507,512 | Vanguard Target Retirement 2030 Trust II | ^ | 18,925,107 | ||||||||||
Vanguard Target Retirement 2035 Trust II | 654,261 | Vanguard Target Retirement 2035 Trust II | ^ | 24,868,449 | ||||||||||
Vanguard Target Retirement 2040 Trust II | 574,201 | Vanguard Target Retirement 2040 Trust II | ^ | 22,600,564 | ||||||||||
Vanguard Target Retirement 2045 Trust II | 665,824 | Vanguard Target Retirement 2045 Trust II | ^ | 26,439,852 | ||||||||||
Vanguard Target Retirement 2050 Trust II | 487,177 | Vanguard Target Retirement 2050 Trust II | ^ | 19,433,485 | ||||||||||
Vanguard Target Retirement 2055 Trust II | 186,370 | Vanguard Target Retirement 2055 Trust II | ^ | 9,957,753 | ||||||||||
Vanguard Target Retirement 2060 Trust II | 117,548 | Vanguard Target Retirement 2060 Trust II | ^ | 4,952,293 | ||||||||||
Vanguard Target Retirement 2065 Trust II | 69,999 | Vanguard Target Retirement 2065 Trust II | ^ | 1,817,166 | ||||||||||
Vanguard Target Retirement Inc Trust II | 154,202 | Vanguard Target Retirement Inc Trust II | ^ | 5,814,944 | ||||||||||
TOTAL COMMON COLLECTIVE FUNDS | 281,238,479 | |||||||||||||
MUTUAL FUNDS | ||||||||||||||
180 Degree Capital Corp | 2,152 | 180 Degree Capital Corp | ^ | 4,627 | ||||||||||
AB Discovery Value Z | 1,757,247 | AB Discovery Value Z | ^ | 34,600,184 | ||||||||||
Aberdeen Standard Physical P | 100 | Aberdeen Standard Physical P | ^ | 18,326 | ||||||||||
Aberdeen Standard Physical Platinum Shares ETF | 40 | Aberdeen Standard Physical Platinum Shares ETF | ^ | 3,637 | ||||||||||
Akre Focus Retail | 3,179 | Akre Focus Retail | ^ | 141,362 | ||||||||||
Alerian Mlp ETF | 355 | Alerian Mlp ETF | ^ | 3,017 | ||||||||||
Alger Small Cap Focus Fund Class A | 139 | Alger Small Cap Focus Fund Class A | ^ | 2,860 | ||||||||||
Alps International Sector Di | 246 | Alps International Sector Di | ^ | 6,749 | ||||||||||
Alps Sector Dividend Dogs | 122 | Alps Sector Dividend Dogs | ^ | 5,713 | ||||||||||
Altaba Inc Escrow | 175 | Altaba Inc Escrow | ^ | 0 | ||||||||||
American Century Equity Income Inv | 2,255 | American Century Equity Income Inv | ^ | 20,566 | ||||||||||
American Century Large Company Value Inv | 2,336 | American Century Large Company Value Inv | ^ | 25,723 | ||||||||||
American Century Select Inv | 82 | American Century Select Inv | ^ | 6,577 | ||||||||||
American Funds Europacific Growth R6 | 968,638 | American Funds Europacific Growth R6 | ^ | 53,807,824 | ||||||||||
American Funds Growth Fund of Amer F1 | 25 | American Funds Growth Fund of Amer F1 | ^ | 1,293 | ||||||||||
American Funds New Perspective F1 | 138 | American Funds New Perspective F1 | ^ | 6,460 | ||||||||||
American Funds New World R6 | 527,852 | American Funds New World R6 | ^ | 37,197,699 | ||||||||||
AMG Managers Cadence Emerging Coms N | 918 | AMG Managers Cadence Emerging Coms N | ^ | 46,285 | ||||||||||
Amplify High Income ETF | 304 | Amplify High Income ETF | ^ | 5,415 | ||||||||||
Amplify Online Retail ETF | 11 | Amplify Online Retail ETF | ^ | 565 | ||||||||||
Ark Next Generation Internet ETF | 10 | Ark Next Generation Internet ETF | ^ | 575 | ||||||||||
Arrow Managed Futures Strategy A | 5,343 | Arrow Managed Futures Strategy A | ^ | 33,661 | ||||||||||
AXS Chesapeake Strategy Fund I | 3,305 | AXS Chesapeake Strategy Fund I | ^ | 34,177 | ||||||||||
Baird Short Term Bond Inv | 310 | Baird Short Term Bond Inv | ^ | 3,029 | ||||||||||
BlackRock Corporate High Yield Fund Inc | 62 | BlackRock Corporate High Yield Fund Inc | ^ | 694 | ||||||||||
Blackrock Enhanced Equity Dividend Trust | 1,500 | Blackrock Enhanced Equity Dividend Trust | ^ | 14,880 | ||||||||||
BlackRock Multi-Asset Income Instl | 561 | BlackRock Multi-Asset Income Instl | ^ | 6,159 | ||||||||||
Blackrock Resources & Commodities Strategy Trust | 100 | Blackrock Resources & Commodities Strategy Trust | ^ | 807 | ||||||||||
Brookfield Global Listed Real Estate Y | 23,582 | Brookfield Global Listed Real Estate Y | ^ | 319,066 | ||||||||||
Brown Capital Mgmt Small Co Inv | 388 | Brown Capital Mgmt Small Co Inv | ^ | 38,388 | ||||||||||
Calamos Conv Opp Inc Sbi | 35,684 | Calamos Conv Opp Inc Sbi | ^ | 392,528 | ||||||||||
Calamos Convertible & High Income | 8,725 | Calamos Convertible & High Income | ^ | 99,464 | ||||||||||
Calamos Global Total Return | 2,000 | Calamos Global Total Return | ^ | 26,800 | ||||||||||
Cambria Shareholder Yield Et | 1,000 | Cambria Shareholder Yield Et | ^ | 40,310 | ||||||||||
* | City National Rochdale Corp Bond Svc | 98,731 | City National Rochdale Corp Bond Svc | ^ | 1,037,658 | |||||||||
* | City National Rochdale Div & Inc N | 8,702 | City National Rochdale Div & Inc N | ^ | 361,480 | |||||||||
* | City National Rochdale Fxd Inc Opps N | 132,227 | City National Rochdale Fxd Inc Opps N | ^ | 3,230,297 | |||||||||
* | City National Rochdale Govt Bond Instl | 0 | City National Rochdale Govt Bond Instl | ^ | 1 | |||||||||
* | City National Rochdale Govt Bond Svc | 27,158 | City National Rochdale Govt Bond Svc | ^ | 286,785 | |||||||||
* | City National Rochdale Sel Str-1 | 11,922 | City National Rochdale Sel Str-1 | ^ | 129,835 | |||||||||
* | City National Rochdale Short Term Emerging Y | 13,034 | City National Rochdale Short Term Emerging Y | ^ | 129,946 | |||||||||
* | City National Rochdale US Cor Eq Svc | 3,014 | City National Rochdale US Cor Eq Svc | ^ | 59,921 | |||||||||
ClearBridge International Growth Fund Class FI | 202 | ClearBridge International Growth Fund Class FI | ^ | 10,619 | ||||||||||
Comm Serv Select Sector Spdr | 50 | Comm Serv Select Sector Spdr | ^ | 2,682 | ||||||||||
Deep Value ETF | 208 | Deep Value ETF | ^ | 6,791 | ||||||||||
Direxion Daily Csi China Int | 1 | Direxion Daily Csi China Int | ^ | 28 | ||||||||||
Direxion Daily Gold Miners I (dust 04/23/20) | 1,200 | Direxion Daily Gold Miners I (dust 04/23/20) | ^ | 6,744 | ||||||||||
Direxion Daily Gold Miners I (nugt 042320) | 1,501 | Direxion Daily Gold Miners I (nugt 042320) | ^ | 52,295 | ||||||||||
Direxion Daily Junior Gold M (jnug 04/23/20) | 425 | Direxion Daily Junior Gold M (jnug 04/23/20) | ^ | 35,475 | ||||||||||
Direxion Daily Latin America (lbj 3/27/20) | 24 | Direxion Daily Latin America (lbj 3/27/20) | ^ | 543 | ||||||||||
Direxion Daily S&P 500 Bear 3X | 1,000 | Direxion Daily S&P 500 Bear 3X | ^ | 13,250 | ||||||||||
Direxion Daily S&P Oil & Gas | 206 | Direxion Daily S&P Oil & Gas | ^ | 11,472 | ||||||||||
Dodge & Cox Income | 11,826 | Dodge & Cox Income | ^ | 165,924 |
23
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
DoubleLine Total Return Bond N | 5,145 | DoubleLine Total Return Bond N | ^ | 54,696 | ||||||||||
Drxn Daily S&P Biotech Bear | 901 | Drxn Daily S&P Biotech Bear | ^ | 11,127 | ||||||||||
Drxn Daily S&P Biotech Bull | 215 | Drxn Daily S&P Biotech Bull | ^ | 12,363 | ||||||||||
Drxn DSI C Ch A-Shr Bear 1X | 270 | Drxn DSI C Ch A-Shr Bear 1X | ^ | 7,406 | ||||||||||
Eaton Vance Floating-Rate Advantage I | 7,199 | Eaton Vance Floating-Rate Advantage I | ^ | 77,171 | ||||||||||
Eaton Vance Global Macro Abs Return Adv A | 3,257 | Eaton Vance Global Macro Abs Return Adv A | ^ | 33,649 | ||||||||||
Eaton Vance Ltd Duration Income | 4,000 | Eaton Vance Ltd Duration Income | ^ | 53,000 | ||||||||||
Eaton Vance Sr Floating Rate Fund | 100 | Eaton Vance Sr Floating Rate Fund | ^ | 1,355 | ||||||||||
Eaton Vance Tax - Managed Glob | 2,440 | Eaton Vance Tax - Managed Glob | ^ | 21,423 | ||||||||||
Equinox MutualHedge Futures Strategy A (mhfa.x 1/24/20) | 329 | Equinox MutualHedge Futures Strategy A (mhfa.x 1/24/20) | ^ | 2,536 | ||||||||||
Etfmg Alternative Harvest | 15 | Etfmg Alternative Harvest | ^ | 257 | ||||||||||
ETFMG Prime Mobile Payments ETF | 106 | ETFMG Prime Mobile Payments ETF | ^ | 5,253 | ||||||||||
Federated Instl High Yield Bond Instl | 3,691,853 | Federated Instl High Yield Bond Instl | ^ | 36,660,097 | ||||||||||
Federated Kaufmann Small Cap Instl | 183 | Federated Kaufmann Small Cap Instl | ^ | 8,087 | ||||||||||
Fidelity Advisor® Real Estate Income I | 270 | Fidelity Advisor® Real Estate Income I | ^ | 3,365 | ||||||||||
Fidelity Financials Etf | 49 | Fidelity Financials Etf | ^ | 2,177 | ||||||||||
Fidelity Info Tech ETF | 60 | Fidelity Info Tech ETF | ^ | 4,349 | ||||||||||
Fidelity® 500 Index Institutional Prem | 244 | Fidelity® 500 Index Institutional Prem | ^ | 27,379 | ||||||||||
Fidelity® Capital & Income | 392 | Fidelity® Capital & Income | ^ | 4,018 | ||||||||||
Fidelity® Contrafund® | 8,975 | Fidelity® Contrafund® | ^ | 123,047 | ||||||||||
Fidelity® Emerging Markets | 269 | Fidelity® Emerging Markets | ^ | 9,392 | ||||||||||
Fidelity® New Markets Income | 3,457 | Fidelity® New Markets Income | ^ | 52,096 | ||||||||||
Fidelity® OTC | 3,656 | Fidelity® OTC | ^ | 46,763 | ||||||||||
Fidelity® Select Construction & Hsg Port | 153 | Fidelity® Select Construction & Hsg Port | ^ | 9,497 | ||||||||||
Fidelity® Select Defense & Aero Port | 494 | Fidelity® Select Defense & Aero Port | ^ | 9,057 | ||||||||||
Fidelity® Select IT Services | 160 | Fidelity® Select IT Services | ^ | 12,037 | ||||||||||
Fidelity® Select Leisure | 676 | Fidelity® Select Leisure | ^ | 10,579 | ||||||||||
Fidelity® Select Medical Tech and Devcs | 170 | Fidelity® Select Medical Tech and Devcs | ^ | 10,243 | ||||||||||
Fidelity® Select Retailing | 927 | Fidelity® Select Retailing | ^ | 15,627 | ||||||||||
Fidelity® Select Semiconductors | 563 | Fidelity® Select Semiconductors | ^ | 7,047 | ||||||||||
Fidelity® Trend | 460 | Fidelity® Trend | ^ | 49,741 | ||||||||||
Fiera Capital Emerging Markets Instl | 29,618 | Fiera Capital Emerging Markets Instl | ^ | 1,450,980 | ||||||||||
Fiera Capital Emerging Markets Inv | 3,026 | Fiera Capital Emerging Markets Inv | ^ | 148,008 | ||||||||||
Financial Bull 3X Shares | 2 | Financial Bull 3X Shares | ^ | 189 | ||||||||||
First Trust Cloud Computing ETF | 11 | First Trust Cloud Computing ETF | ^ | 664 | ||||||||||
First Trust DJ Internet Ind | 45 | First Trust DJ Internet Ind | ^ | 6,260 | ||||||||||
First Trust Enh Short Mat Fd | 375 | First Trust Enh Short Mat Fd | ^ | 22,534 | ||||||||||
First Trust Multi Cap Growth | 3,000 | First Trust Multi Cap Growth | ^ | 231,780 | ||||||||||
First Trust NASDAQ Cybersecurity ETF | 631 | First Trust NASDAQ Cybersecurity ETF | ^ | 18,960 | ||||||||||
First Trust NASDQ Semiconductor | 2 | First Trust NASDQ Semiconductor | ^ | 83 | ||||||||||
First Trust Technology Alpha | 50 | First Trust Technology Alpha | ^ | 3,629 | ||||||||||
Flaherty & Crumrine Preferred and Income Securities Fund Inc | 1,000 | Flaherty & Crumrine Preferred and Income Securities Fund Inc | ^ | 21,690 | ||||||||||
FMI Large Cap | 178 | FMI Large Cap | ^ | 3,525 | ||||||||||
Freedom 100 Emerging Market ETF | 100 | Freedom 100 Emerging Market ETF | ^ | 2,764 | ||||||||||
Gabelli Equity Tr Inc | 6,388 | Gabelli Equity Tr Inc | ^ | 38,906 | ||||||||||
GAMCO Global Gold Natural Res & Income Trust | 210 | GAMCO Global Gold Natural Res & Income Trust | ^ | 923 | ||||||||||
Global X Cloud Computing Etf | 165 | Global X Cloud Computing Etf | ^ | 2,598 | ||||||||||
Global X Fds NASDAQ 100 Cover | 100 | Global X Fds NASDAQ 100 Cover | ^ | 2,361 | ||||||||||
Global X Fintech ETF | 108 | Global X Fintech ETF | ^ | 3,281 | ||||||||||
Global X Future Analytics Te | 1 | Global X Future Analytics Te | ^ | 18 | ||||||||||
Global X Mlp ETF (mlpa 04/28/20) | 1,105 | Global X Mlp ETF (mlpa 04/28/20) | ^ | 8,705 | ||||||||||
Global X Msci Greece Etf (grek 04/28/20) | 1,027 | Global X Msci Greece Etf (grek 04/28/20) | ^ | 10,403 | ||||||||||
Global X Robotics & Artifici | 11 | Global X Robotics & Artifici | ^ | 241 | ||||||||||
Goldman Activebeta US LC ETF | 275 | Goldman Activebeta US LC ETF | ^ | 17,784 | ||||||||||
Grandeur Peak Intl Stalwarts Fund Instl | 3,985 | Grandeur Peak Intl Stalwarts Fund Instl | ^ | 64,125 | ||||||||||
Harbor International Investor | 108 | Harbor International Investor | ^ | 4,307 | ||||||||||
Highland/Iboxx Senior Loan E | 1,975 | Highland/Iboxx Senior Loan E | ^ | 34,649 | ||||||||||
Invesco Bldrs Emerging Marke | 50 | Invesco Bldrs Emerging Marke | ^ | 2,209 | ||||||||||
Invesco Currencyshares Briti | 20 | Invesco Currencyshares Briti | ^ | 2,569 | ||||||||||
Invesco Dwa Momentum Etf | 2,533 | Invesco Dwa Momentum Etf | ^ | 163,024 | ||||||||||
Invesco Dynamic Semiconducto | 100 | Invesco Dynamic Semiconducto | ^ | 6,716 | ||||||||||
Invesco Preferred Etf | 580 | Invesco Preferred Etf | ^ | 8,706 | ||||||||||
Invesco Qqq Trust Series 1 | 573 | Invesco Qqq Trust Series 1 | ^ | 121,802 | ||||||||||
Invesco S&P 500 Equal Weight | 3,150 | Invesco S&P 500 Equal Weight | ^ | 364,518 | ||||||||||
Invesco S&P 500 High Dividen | 127 | Invesco S&P 500 High Dividen | ^ | 5,578 | ||||||||||
Invesco S&P 500 Low Volatili | 25 | Invesco S&P 500 Low Volatili | ^ | 1,459 | ||||||||||
Invesco Ultra Short Duration | 20,838 | Invesco Ultra Short Duration | ^ | 1,049,818 | ||||||||||
IQ Candriam Esg Internationa | 10 | IQ Candriam Esg Internationa | ^ | 253 |
24
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
iShares 7-10 Year Treasury Bon | 1,821 | iShares 7-10 Year Treasury Bon | ^ | 200,711 | ||||||||||
Ishares Core Dividend Growth | 334 | Ishares Core Dividend Growth | ^ | 14,051 | ||||||||||
iShares Core High Dividend ETF | 17 | iShares Core High Dividend ETF | ^ | 1,667 | ||||||||||
Ishares Core Intl Stock ETF | 300 | Ishares Core Intl Stock ETF | ^ | 18,570 | ||||||||||
Ishares Core Msci Emerging | 60 | Ishares Core Msci Emerging | ^ | 3,226 | ||||||||||
Ishares Core S&P Mid-Cap ETF | 156 | Ishares Core S&P Mid-Cap ETF | ^ | 32,108 | ||||||||||
Ishares Core S&P Small-Cap ETF | 1,315 | Ishares Core S&P Small-Cap ETF | ^ | 110,271 | ||||||||||
Ishares Edge MSCI USA Momentum Factor | 215 | Ishares Edge MSCI USA Momentum Factor | ^ | 27,045 | ||||||||||
Ishares Edge MSCI USA Quality Factor | 331 | Ishares Edge MSCI USA Quality Factor | ^ | 33,430 | ||||||||||
iShares Floating Rate Bond ETF | 220 | iShares Floating Rate Bond ETF | ^ | 11,202 | ||||||||||
iShares iBoxx High Yield Corp | 43 | iShares iBoxx High Yield Corp | ^ | 3,781 | ||||||||||
iShares MSCI China ETF | 85 | iShares MSCI China ETF | ^ | 5,448 | ||||||||||
iShares MSCI EAFE Small-Cap ETF | 56 | iShares MSCI EAFE Small-Cap ETF | ^ | 3,496 | ||||||||||
iShares MSCI Emerging Markets | 956 | iShares MSCI Emerging Markets | ^ | 42,877 | ||||||||||
iShares MSCI Europe Financials | 420 | iShares MSCI Europe Financials | ^ | 8,186 | ||||||||||
iShares MSCI Germany ETF | 11 | iShares MSCI Germany ETF | ^ | 323 | ||||||||||
Ishares MSCI Mexico ETF | 104 | Ishares MSCI Mexico ETF | ^ | 4,679 | ||||||||||
Ishares MSCI South Korea ETF | 170 | Ishares MSCI South Korea ETF | ^ | 10,572 | ||||||||||
Ishares MSCI Spain ETF | 11 | Ishares MSCI Spain ETF | ^ | 318 | ||||||||||
Ishares MSCI Switzerland ETF | 11 | Ishares MSCI Switzerland ETF | ^ | 447 | ||||||||||
iShares MSCI USA ETF | 5 | iShares MSCI USA ETF | ^ | 171 | ||||||||||
iShares Preferred & Income Securities ETF | 2,336 | iShares Preferred & Income Securities ETF | ^ | 87,815 | ||||||||||
iShares Russell 1000 ETF | 50 | iShares Russell 1000 ETF | ^ | 9,002 | ||||||||||
iShares Russell 2000 ETF | 180 | iShares Russell 2000 ETF | ^ | 29,785 | ||||||||||
iShares Russell 2000 Value ETF | 652 | iShares Russell 2000 Value ETF | ^ | 83,789 | ||||||||||
iShares S&P 500 Value ETF | 100 | iShares S&P 500 Value ETF | ^ | 13,009 | ||||||||||
Ishares Short Maturity Bond | 200 | Ishares Short Maturity Bond | ^ | 10,050 | ||||||||||
iShares Short Treasury Bond ETF | 255 | iShares Short Treasury Bond ETF | ^ | 28,167 | ||||||||||
ISHARES SILVER TRUST ISHARES | 201 | ISHARES SILVER TRUST ISHARES | ^ | 3,353 | ||||||||||
iShares TIPS Bond ETF | 379 | iShares TIPS Bond ETF | ^ | 44,176 | ||||||||||
iShares U.S. Financials ETF | 100 | iShares U.S. Financials ETF | ^ | 13,778 | ||||||||||
iShares U.S. Healthcare ETF | 20 | iShares U.S. Healthcare ETF | ^ | 4,418 | ||||||||||
iShares U.S. Medical Devices E | 20 | iShares U.S. Medical Devices E | ^ | 5,286 | ||||||||||
iShares USTechnology ETF | 226 | iShares USTechnology ETF | ^ | 52,458 | ||||||||||
Ivy Mid Cap Inc Opport A | 1,868 | Ivy Mid Cap Inc Opport A | ^ | 29,235 | ||||||||||
Janus Henderson Enterprise N | 305,755 | Janus Henderson Enterprise N | ^ | 43,741,242 | ||||||||||
Janus Henderson Multi-Sector Income T | 857 | Janus Henderson Multi-Sector Income T | ^ | 8,541 | ||||||||||
John Hancock Multi Fact Tech | 50 | John Hancock Multi Fact Tech | ^ | 2,767 | ||||||||||
John Hancock Pfd Income III | 2,000 | John Hancock Pfd Income III | ^ | 38,580 | ||||||||||
John Hancock Preferred Income Fund | 3,000 | John Hancock Preferred Income Fund | ^ | 68,430 | ||||||||||
JPMorgan Alerian MLP Index | 490 | JPMorgan Alerian MLP Index | ^ | 10,687 | ||||||||||
JPMorgan Betabuilders Canada | 750 | JPMorgan Betabuilders Canada | ^ | 19,508 | ||||||||||
JPMorgan Ultra-Short Income | 2,309 | JPMorgan Ultra-Short Income | ^ | 116,438 | ||||||||||
Kayne Anderson Midstream Energy | 4,035 | Kayne Anderson Midstream Energy | ^ | 42,448 | ||||||||||
Kayne Anderson MLP/Midstream Investment Co | 276 | Kayne Anderson MLP/Midstream Investment Co | ^ | 3,845 | ||||||||||
Kraneshares CSI China Intern | 251 | Kraneshares CSI China Intern | ^ | 12,219 | ||||||||||
Lazard International Strategic Eq Open | 208 | Lazard International Strategic Eq Open | ^ | 3,233 | ||||||||||
* | LMCG Global Multicap-Ins (liquidated 1/13/20) | 29,779 | LMCG Global Multicap-Ins (liquidated 1/13/20) | ^ | 355,853 | |||||||||
* | LMCG International Small Cap Instl | 64,193 | LMCG International Small Cap Instl | ^ | 749,774 | |||||||||
Longleaf Partners | 520 | Longleaf Partners | ^ | 10,562 | ||||||||||
Loomis Sayles Sm Gr Ins | 1,261,500 | Loomis Sayles Sm Gr Ins | ^ | 33,492,832 | ||||||||||
Lord Abbett Growth Leaders A | 106 | Lord Abbett Growth Leaders A | ^ | 3,026 | ||||||||||
Matthews Asia Innovators Fund | 642 | Matthews Asia Innovators Fund | ^ | 9,340 | ||||||||||
Matthews Asia Small Companies Inv | 643 | Matthews Asia Small Companies Inv | ^ | 11,642 | ||||||||||
Matthews India Investor | 551 | Matthews India Investor | ^ | 12,829 | ||||||||||
Matthews Pacific Tiger Instl | 302 | Matthews Pacific Tiger Instl | ^ | 8,681 | ||||||||||
Motley Fool Global Opps Investor | 369 | Motley Fool Global Opps Investor | ^ | 9,302 | ||||||||||
Motley Fool MFAM Mid Cap Growth Fund Inv | 353 | Motley Fool MFAM Mid Cap Growth Fund Inv | ^ | 8,853 | ||||||||||
Nuveen Credit Strategies Income Fund | 4,795 | Nuveen Credit Strategies Income Fund | ^ | 36,778 | ||||||||||
Nuveen Dividend And Income Closed-End Fnd | 5,000 | Nuveen Dividend And Income Closed-End Fnd | ^ | 54,450 | ||||||||||
Nuveen Floating Rate Income | 5,000 | Nuveen Floating Rate Income | ^ | 51,200 | ||||||||||
Nuveen Preferred & Income Opportunities Fund | 6,984 | Nuveen Preferred & Income Opportunities Fund | ^ | 73,056 | ||||||||||
Oakmark Intl Sm Cap-Inst | 3,891 | Oakmark Intl Sm Cap-Inst | ^ | 63,652 | ||||||||||
Oakmark Investor | 95 | Oakmark Investor | ^ | 7,633 | ||||||||||
Oberweis International Opportunities | 112 | Oberweis International Opportunities | ^ | 2,171 | ||||||||||
Otter Creek Long/Short Opportunity Inv | 347 | Otter Creek Long/Short Opportunity Inv | ^ | 4,175 | ||||||||||
Oxford Lane Capital Corp | 10,650 | Oxford Lane Capital Corp | ^ | 86,904 | ||||||||||
Pear Tree Ploaris Foreign Value Ord | 484 | Pear Tree Ploaris Foreign Value Ord | ^ | 10,747 | ||||||||||
PIMCO CommoditiesPLUS® Strategy A | 649 | PIMCO CommoditiesPLUS® Strategy A | ^ | 3,514 | ||||||||||
Pimco Corporate & Income Opportunity Fund | 1,856 | Pimco Corporate & Income Opportunity Fund | ^ | 35,261 | ||||||||||
Pimco Corporate & Income Strategy Fund | 1,000 | Pimco Corporate & Income Strategy Fund | ^ | 19,120 | ||||||||||
Pimco Dynamic Credit and Mortgage Income Fund | 200 | Pimco Dynamic Credit and Mortgage Income Fund | ^ | 5,040 | ||||||||||
Pimco High Income Fund | 9,395 | Pimco High Income Fund | ^ | 70,553 |
25
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Pimco Income Opportunity Fund | 1,848 | Pimco Income Opportunity Fund | ^ | 51,353 | ||||||||||
Pioneer Bond Y | 1,352 | Pioneer Bond Y | ^ | 13,234 | ||||||||||
PRIMECAP Odyssey Aggressive Growth | 591 | PRIMECAP Odyssey Aggressive Growth | ^ | 26,526 | ||||||||||
Proshares Online Retail ETF | 11 | Proshares Online Retail ETF | ^ | 399 | ||||||||||
Proshares Russell Us Dvd Grw | 50 | Proshares Russell Us Dvd Grw | ^ | 2,061 | ||||||||||
Proshares S&P 500 Dividends Aristocrats ETF | 71 | Proshares S&P 500 Dividends Aristocrats ETF | ^ | 5,367 | ||||||||||
Proshares S&P Tech Dvd Arist | 33 | Proshares S&P Tech Dvd Arist | ^ | 1,370 | ||||||||||
Proshares Short High Yield | 400 | Proshares Short High Yield | ^ | 8,232 | ||||||||||
Proshares Short QQQ | 75 | Proshares Short QQQ | ^ | 1,842 | ||||||||||
Proshares TR Ultra Oil & Gas (dig 04/21/20) | 1 | Proshares TR Ultra Oil & Gas (dig 04/21/20) | ^ | 26 | ||||||||||
Proshares Ultra 20+ year Trend | 1 | Proshares Ultra 20+ year Trend | ^ | 94 | ||||||||||
ProShares Ultra Nasdaq Biotechnology | 10 | ProShares Ultra Nasdaq Biotechnology | ^ | 617 | ||||||||||
Proshares Ultrashort Real Estate | 213 | Proshares Ultrashort Real Estate | ^ | 3,945 | ||||||||||
Proshares Ultrashort S&P 500 | 375 | Proshares Ultrashort S&P 500 | ^ | 9,323 | ||||||||||
Proshares VIX Short Term Futures ETF | 8,200 | Proshares VIX Short Term Futures ETF | ^ | 101,926 | ||||||||||
Ranger Equity Bear ETF | 700 | Ranger Equity Bear ETF | ^ | 3,752 | ||||||||||
Reality Shares Divcon Leader | 15 | Reality Shares Divcon Leader | ^ | 582 | ||||||||||
Reaves Utility Income Trust Fund | 200 | Reaves Utility Income Trust Fund | ^ | 7,412 | ||||||||||
Robo Global Robotics and Automation Index | 21 | Robo Global Robotics and Automation Index | ^ | 882 | ||||||||||
Salient Midstream & MLP Fund | 200 | Salient Midstream & MLP Fund | ^ | 1,558 | ||||||||||
Schwab Emerging Markets Equi | 147 | Schwab Emerging Markets Equi | ^ | 4,011 | ||||||||||
Schwab Health Care Focus | 133 | Schwab Health Care Focus | ^ | 3,432 | ||||||||||
Schwab US Broad Market | 750 | Schwab US Broad Market | ^ | 57,660 | ||||||||||
Schwab US Dvd Equity ETF | 101 | Schwab US Dvd Equity ETF | ^ | 5,850 | ||||||||||
Schwab US Mid Cap Etf | 900 | Schwab US Mid Cap Etf | ^ | 54,135 | ||||||||||
Schwab® S&P 500 Index | 212 | Schwab® S&P 500 Index | ^ | 10,495 | ||||||||||
Seafarer Overseas Gr&Inc-Inv | 316 | Seafarer Overseas Gr&Inc-Inv | ^ | 3,882 | ||||||||||
Select Sector Spdr Tr - Industrial | 26 | Select Sector Spdr Tr - Industrial | ^ | 2,118 | ||||||||||
SPDR Biotech ETF | 5,100 | SPDR Biotech ETF | ^ | 485,061 | ||||||||||
Spdr Bloomberg Barclays 1-3 Month T-Bill | 1,120 | Spdr Bloomberg Barclays 1-3 Month T-Bill | ^ | 102,402 | ||||||||||
Spdr Bloomberg Barclays High Yield Bond | 509 | Spdr Bloomberg Barclays High Yield Bond | ^ | 55,756 | ||||||||||
Spdr Bloomberg Barclays Investment Grade Floating Rate | 200 | Spdr Bloomberg Barclays Investment Grade Floating Rate | ^ | 6,146 | ||||||||||
SPDR Dow Jones Emerging Small Cap | 51 | SPDR Dow Jones Emerging Small Cap | ^ | 2,349 | ||||||||||
SPDR Dow Jones Industrial Average ETF Trust | 36 | SPDR Dow Jones Industrial Average ETF Trust | ^ | 10,227 | ||||||||||
SPDR GOLD TRUST GOLD SHS | 590 | SPDR GOLD TRUST GOLD SHS | ^ | 84,311 | ||||||||||
Spdr Mfs Systematic Value Eq | 104 | Spdr Mfs Systematic Value Eq | ^ | 7,450 | ||||||||||
SPDR Oil & Gas Export & Prod (xop 03/30/20) | 600 | SPDR Oil & Gas Export & Prod (xop 03/30/20) | ^ | 14,220 | ||||||||||
SPDR Portfolio S&P 1500 Composite Stock Market ETF | 719 | SPDR Portfolio S&P 1500 Composite Stock Market ETF | ^ | 28,649 | ||||||||||
Spdr Portfolio S&P 500 Growth ETF | 149 | Spdr Portfolio S&P 500 Growth ETF | ^ | 6,245 | ||||||||||
Spdr Portfolio Short Term Treasury ETF | 1,090 | Spdr Portfolio Short Term Treasury ETF | ^ | 32,656 | ||||||||||
SPDR S&P 400 Mid Cap Growth | 128 | SPDR S&P 400 Mid Cap Growth | ^ | 7,334 | ||||||||||
Spdr S&P 400 Mid Cap Value E | 253 | Spdr S&P 400 Mid Cap Value E | ^ | 13,841 | ||||||||||
SPDR S&P 500 ETF Trust | 3,042 | SPDR S&P 500 ETF Trust | ^ | 979,051 | ||||||||||
SPDR S&P 600 S/C Value Fund | 117 | SPDR S&P 600 S/C Value Fund | ^ | 7,663 | ||||||||||
SPDR S&P 600 Small Cap Growth | 111 | SPDR S&P 600 Small Cap Growth | ^ | 7,187 | ||||||||||
Spdr S&P Aerospace & Def Etf | 45 | Spdr S&P Aerospace & Def Etf | ^ | 4,915 | ||||||||||
Spdr S&P Dividend | 3,687 | Spdr S&P Dividend | ^ | 396,611 | ||||||||||
Spdr S&P Midcap 400 EFT Trust | 250 | Spdr S&P Midcap 400 EFT Trust | ^ | 93,845 | ||||||||||
Spectrum Moderate Growth Allocation Fund | 180 | Spectrum Moderate Growth Allocation Fund | ^ | 6,473 | ||||||||||
Sprott Physical Gold Trust | 1,683 | Sprott Physical Gold Trust | ^ | 20,499 | ||||||||||
Stone Ridge Reinsurance Risk Premium Interval Fund | 2,944 | Stone Ridge Reinsurance Risk Premium Interval Fund | ^ | 22,932 | ||||||||||
T Rowe Price Global Stock Fd | 237 | T Rowe Price Global Stock Fd | ^ | 10,849 | ||||||||||
T Rowe Price Retire 2020 Inv | 166 | T Rowe Price Retire 2020 Inv | ^ | 3,672 | ||||||||||
T Rowe Price US High Yield Inv | 362 | T Rowe Price US High Yield Inv | ^ | 3,625 | ||||||||||
T. Rowe Price Blue Chip Growth | 90 | T. Rowe Price Blue Chip Growth | ^ | 11,137 | ||||||||||
T. Rowe Price Capital Appreciation | 5,594 | T. Rowe Price Capital Appreciation | ^ | 174,641 | ||||||||||
T. Rowe Price Communications & Technology | 24 | T. Rowe Price Communications & Technology | ^ | 3,022 | ||||||||||
T. Rowe Price Dividend Growth | 95 | T. Rowe Price Dividend Growth | ^ | 5,091 | ||||||||||
T. Rowe Price GNMA | 654 | T. Rowe Price GNMA | ^ | 6,015 | ||||||||||
T. Rowe Price Growth Stock | 178 | T. Rowe Price Growth Stock | ^ | 13,041 | ||||||||||
T. Rowe Price Health Sciences | 2,029 | T. Rowe Price Health Sciences | ^ | 165,232 | ||||||||||
T. Rowe Price Instl Large Cap Value | 2,158,766 | T. Rowe Price Instl Large Cap Value | ^ | 51,011,634 | ||||||||||
T. Rowe Price International Discovery | 214 | T. Rowe Price International Discovery | ^ | 14,609 | ||||||||||
T. Rowe Price Latin America | 40 | T. Rowe Price Latin America | ^ | 1,001 | ||||||||||
T. Rowe Price Retirement 2035 | 9,667 | T. Rowe Price Retirement 2035 | ^ | 183,964 | ||||||||||
T. Rowe Price Science & Tech | 242 | T. Rowe Price Science & Tech | ^ | 10,451 | ||||||||||
T. Rowe Price US Large-Cap Core | 432 | T. Rowe Price US Large-Cap Core | ^ | 11,567 | ||||||||||
Tekla Life Sciences Investors | 25 | Tekla Life Sciences Investors | ^ | 436 | ||||||||||
Templeton Global Bond R6 | 1,628,016 | Templeton Global Bond R6 | ^ | 17,370,932 | ||||||||||
Teucrium Corn Fund | 1,300 | Teucrium Corn Fund | ^ | 19,240 | ||||||||||
Third Avenue Real Est Val-Iv | 387 | Third Avenue Real Est Val-Iv | ^ | 9,752 | ||||||||||
TIAA-Cref Institutional Equity Index Ret | 7 | TIAA-Cref Institutional Equity Index Ret | ^ | 175 | ||||||||||
Touchstone Mid Cap Value A | 41,586 | Touchstone Mid Cap Value A | ^ | 801,774 | ||||||||||
Touchstone Mid Cap Value Y | 13,262 | Touchstone Mid Cap Value Y | ^ | 256,894 | ||||||||||
Touchstone Small Cap Value A | 15,595 | Touchstone Small Cap Value A | ^ | 405,327 | ||||||||||
Touchstone Small Cap Y | 257 | Touchstone Small Cap Y | ^ | 3,094 | ||||||||||
Trimtabs All Cap US Free Cash Flow ETF | 130 | Trimtabs All Cap US Free Cash Flow ETF | ^ | 5,110 |
26
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Tweedy, Browne Global Value | 913 | Tweedy, Browne Global Value | ^ | 25,548 | ||||||||||
Value Line Mid Cap Focus | 2,026 | Value Line Mid Cap Focus | ^ | 51,641 | ||||||||||
Vaneck Vectors Fallen Angel | 1 | Vaneck Vectors Fallen Angel | ^ | 33 | ||||||||||
VanEck Vectors Morningstar Wide Moat ETF | 10 | VanEck Vectors Morningstar Wide Moat ETF | ^ | 555 | ||||||||||
VanEck Vectors Russia ETF | 1 | VanEck Vectors Russia ETF | ^ | 25 | ||||||||||
Vaneck Vectors Semiconductor | 40 | Vaneck Vectors Semiconductor | ^ | 5,656 | ||||||||||
Vaneck Vectors Steel ETF | 140 | Vaneck Vectors Steel ETF | ^ | 5,279 | ||||||||||
Vanguard 500 Index Admiral | 109 | Vanguard 500 Index Admiral | ^ | 32,563 | ||||||||||
Vanguard Dividend Apprec ETF | 109 | Vanguard Dividend Apprec ETF | ^ | 13,576 | ||||||||||
Vanguard Dividend Appreciation Index Adm | 184 | Vanguard Dividend Appreciation Index Adm | ^ | 6,221 | ||||||||||
Vanguard Dividend Growth Inv | 3,023 | Vanguard Dividend Growth Inv | ^ | 92,374 | ||||||||||
Vanguard Equity-Income Adm | 261 | Vanguard Equity-Income Adm | ^ | 20,745 | ||||||||||
Vanguard Extended Market Index Instl | 610,047 | Vanguard Extended Market Index Instl | ^ | 58,320,455 | ||||||||||
Vanguard FTSE All WO X US SC | 112 | Vanguard FTSE All WO X US SC | ^ | 12,437 | ||||||||||
Vanguard FTSE All-Wld ex-US Idx Admiral | 796 | Vanguard FTSE All-Wld ex-US Idx Admiral | ^ | 26,574 | ||||||||||
Vanguard FTSE Developed Markets ETF | 6,000 | Vanguard FTSE Developed Markets ETF | ^ | 264,360 | ||||||||||
Vanguard FTSE Emerging Market | 5,320 | Vanguard FTSE Emerging Market | ^ | 236,579 | ||||||||||
Vanguard Glbl Ex-Us Real Est | 92 | Vanguard Glbl Ex-Us Real Est | ^ | 5,436 | ||||||||||
Vanguard Growth ETF | 131 | Vanguard Growth ETF | ^ | 23,795 | ||||||||||
Vanguard Health Care ETF | 170 | Vanguard Health Care ETF | ^ | 32,596 | ||||||||||
Vanguard Health Care Inv | 33 | Vanguard Health Care Inv | ^ | 6,884 | ||||||||||
Vanguard High Dividend Yield | 181 | Vanguard High Dividend Yield | ^ | 16,981 | ||||||||||
Vanguard High-Yield Corporate Inv | 9,066 | Vanguard High-Yield Corporate Inv | ^ | 54,036 | ||||||||||
Vanguard Institutional Index Instl Pl | 499,252 | Vanguard Institutional Index Instl Pl | ^ | 144,908,009 | ||||||||||
Vanguard Int Div App Indx Fd | 50 | Vanguard Int Div App Indx Fd | ^ | 3,603 | ||||||||||
Vanguard Intermediate Term C | 91 | Vanguard Intermediate Term C | ^ | 8,320 | ||||||||||
Vanguard Large Cap ETF | 61 | Vanguard Large Cap ETF | ^ | 8,979 | ||||||||||
Vanguard Large Cap Index Admiral | 41 | Vanguard Large Cap Index Admiral | ^ | 3,039 | ||||||||||
Vanguard LifeStrategy Growth Inv | 1,688 | Vanguard LifeStrategy Growth Inv | ^ | 61,015 | ||||||||||
Vanguard Mega Cap Growth ETF | 23 | Vanguard Mega Cap Growth ETF | ^ | 3,350 | ||||||||||
Vanguard Real Estate ETF | 1,240 | Vanguard Real Estate ETF | ^ | 115,046 | ||||||||||
Vanguard S&P 500 ETF | 115 | Vanguard S&P 500 ETF | ^ | 34,017 | ||||||||||
Vanguard S/T Corp Bond Etf | 438 | Vanguard S/T Corp Bond Etf | ^ | 35,491 | ||||||||||
Vanguard Short Term Bond ETF | 1,210 | Vanguard Short Term Bond ETF | ^ | 97,538 | ||||||||||
Vanguard Small- Cap ETF | 1,253 | Vanguard Small- Cap ETF | ^ | 207,536 | ||||||||||
Vanguard Small Cap Index Adm | 332 | Vanguard Small Cap Index Adm | ^ | 26,343 | ||||||||||
Vanguard Small Cap Value ETF | 1,899 | Vanguard Small Cap Value ETF | ^ | 260,240 | ||||||||||
Vanguard Tot World Stk Index | 1,900 | Vanguard Tot World Stk Index | ^ | 153,881 | ||||||||||
Vanguard Total Bond Market | 2,500 | Vanguard Total Bond Market | ^ | 209,650 | ||||||||||
Vanguard Total Bond Market Index I | 4,304,849 | Vanguard Total Bond Market Index I | ^ | 47,568,576 | ||||||||||
Vanguard Total Intl Stock Index I | 254,095 | Vanguard Total Intl Stock Index I | ^ | 30,356,757 | ||||||||||
Vanguard Total Stock Market ETF | 657 | Vanguard Total Stock Market ETF | ^ | 107,499 | ||||||||||
Vanguard Value ETF | 106 | Vanguard Value ETF | ^ | 12,702 | ||||||||||
Vanguard Wellesley® Income Inv | 15,947 | Vanguard Wellesley® Income Inv | ^ | 435,685 | ||||||||||
Velocityshares 2X Vix Sh-Trm | 2 | Velocityshares 2X Vix Sh-Trm | ^ | 102 | ||||||||||
Virtus Global Multi-Sector | 3,000 | Virtus Global Multi-Sector | ^ | 37,500 | ||||||||||
Virtus Total Return Fund Inc | 10,316 | Virtus Total Return Fund Inc | ^ | 117,602 | ||||||||||
Wasatch Emerging India Investor | 1,185 | Wasatch Emerging India Investor | ^ | 5,308 | ||||||||||
Western Asset Emerging Markets Debt | 3,000 | Western Asset Emerging Markets Debt | ^ | 42,810 | ||||||||||
Western Asset Macro Opportunities A | 201 | Western Asset Macro Opportunities A | ^ | 2,239 | ||||||||||
Wisdmtree Emerg Mkt Ex-St Ow | 179 | Wisdmtree Emerg Mkt Ex-St Ow | ^ | 5,588 | ||||||||||
Wisdomtree Floating Rate Tre | 2 | Wisdomtree Floating Rate Tre | ^ | 51 | ||||||||||
Wisdomtree Global ex-US Real Estate Fund | 3 | Wisdomtree Global ex-US Real Estate Fund | ^ | 100 | ||||||||||
WisdomTree US MidCap Dividend | 254 | WisdomTree US MidCap Dividend | ^ | 9,649 | ||||||||||
TOTAL MUTUAL FUNDS | 611,212,571 | |||||||||||||
PARTNERSHIPS | ||||||||||||||
Brookfield Infrastructure PA | 412 | Brookfield Infrastructure PA | ^ | 20,596 | ||||||||||
Calumet Specialty Products LP | 2 | Calumet Specialty Products LP | ^ | 7 | ||||||||||
CNX Midstream Partners LP | 1 | CNX Midstream Partners LP | ^ | 16 | ||||||||||
Dorchester Minerals LP | 500 | Dorchester Minerals LP | ^ | 9,755 |
27
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Energy Transfer LP | 12,051 | Energy Transfer LP | ^ | 154,619 | ||||||||||
Enterprise Products Pptns LP | 351 | Enterprise Products Pptns LP | ^ | 9,890 | ||||||||||
Ferrellgas Partners LP (fgpr 01/10/20) | 1 | Ferrellgas Partners LP (fgpr 01/10/20) | ^ | 0 | ||||||||||
Genesis Energy L.P. | 100 | Genesis Energy L.P. | ^ | 2,048 | ||||||||||
Hoegh Lng Partners LP | 103 | Hoegh Lng Partners LP | ^ | 1,610 | ||||||||||
NGL Energy Partners LP | 1 | NGL Energy Partners LP | ^ | 11 | ||||||||||
Stonemor Partners LP (ston 01/02/20) | 1 | Stonemor Partners LP (ston 01/02/20) | ^ | 2 | ||||||||||
Suburban Propane L P | 66 | Suburban Propane L P | ^ | 1,442 | ||||||||||
Sunoco LP | 1 | Sunoco LP | ^ | 31 | ||||||||||
Tallgrass Energy LP (acquired 04/17/20) | 403 | Tallgrass Energy LP (acquired 04/17/20) | ^ | 8,919 | ||||||||||
Tc Pipelines LP | 177 | Tc Pipelines LP | ^ | 7,487 | ||||||||||
USA Compression Partners LP | 1,001 | USA Compression Partners LP | ^ | 18,158 | ||||||||||
TOTAL PARTNERSHIPS | 234,591 | |||||||||||||
OTHER | ||||||||||||||
Alibaba Group Holding-Sp ADR @220 1/17/20 | 3 | Alibaba Group Holding-Sp ADR @220 1/17/20 | ^ | 417 | ||||||||||
Amarin Corporation Plc -ADR @23 1/24/20 | (5 | ) | Amarin Corporation Plc -ADR @23 1/24/20 | ^ | -447 | |||||||||
Amarin Corporation Plc -ADR @24 3/20/20 | (5 | ) | Amarin Corporation Plc -ADR @24 3/20/20 | ^ | -1,146 | |||||||||
AT&T Inc @35 1/17/20 | (1 | ) | AT&T Inc @35 1/17/20 | ^ | -409 | |||||||||
AT&T Inc @37 1/17/20 | (1 | ) | AT&T Inc @37 1/17/20 | ^ | -211 | |||||||||
Cboe Market Volatility @16 1/22/20 | 6 | Cboe Market Volatility @16 1/22/20 | ^ | 615 | ||||||||||
Gilead Sciences Inc @55 1/17/20 | 4 | Gilead Sciences Inc @55 1/17/20 | ^ | 4,026 | ||||||||||
IQIY Inc ADS @40 1/17/20 | (15 | ) | IQIY Inc ADS @40 1/17/20 | ^ | 0 | |||||||||
Newell Brands Inc @13 1/17/20 | 13 | Newell Brands Inc @13 1/17/20 | ^ | 8,106 | ||||||||||
RedhillBiopharma Ltd @7.5 7/17/20 | (5 | ) | RedhillBiopharma Ltd @7.5 7/17/20 | ^ | -763 | |||||||||
Snap Inc - A @5 1/17/20 | 8 | Snap Inc - A @5 1/17/20 | ^ | 9,064 | ||||||||||
Affimed NV @2.5 4/17/20 | 9 | Affimed NV @2.5 4/17/20 | ^ | 505 | ||||||||||
Agenus Inc @4 5/15/20 | (10 | ) | Agenus Inc @4 5/15/20 | ^ | -700 | |||||||||
Akebia Therapeutics Inc @7.5 7/17/20 | (5 | ) | Akebia Therapeutics Inc @7.5 7/17/20 | ^ | -650 | |||||||||
Alexion Pharmaceutical @100 2/21/20 | (1 | ) | Alexion Pharmaceutical @100 2/21/20 | ^ | -1,118 | |||||||||
Altria Group Inc @50 1/17/20 | (1 | ) | Altria Group Inc @50 1/17/20 | ^ | -76 | |||||||||
Athenex Inc @15 7/17/20 | (2 | ) | Athenex Inc @15 7/17/20 | ^ | -676 | |||||||||
Callon Petroleum Co @5 4/17/20 | (10 | ) | Callon Petroleum Co @5 4/17/20 | ^ | -600 | |||||||||
Catalyst Pharmaceuticals Inc @5 6/19/20 | (8 | ) | Catalyst Pharmaceuticals Inc @5 6/19/20 | ^ | -460 | |||||||||
Chemocentryx Inc @33 1/17/20 | (2 | ) | Chemocentryx Inc @33 1/17/20 | ^ | -1,356 | |||||||||
Coherus Biosciences Inc @20 2/21/20 | (2 | ) | Coherus Biosciences Inc @20 2/21/20 | ^ | -150 | |||||||||
Commscope Holding Co Inc @13 5/15/20 | (2 | ) | Commscope Holding Co Inc @13 5/15/20 | ^ | -524 | |||||||||
Conocophillips @70 1/24/20 | (4 | ) | Conocophillips @70 1/24/20 | ^ | -102 | |||||||||
Cronos Group Inc @15 1/15/21 | 4 | Cronos Group Inc @15 1/15/21 | ^ | 270 | ||||||||||
CVS Health Corp @65 1/17/20 | (1 | ) | CVS Health Corp @65 1/17/20 | ^ | -943 | |||||||||
Disney Walt Co @130 4/17/20 | 1 | Disney Walt Co @130 4/17/20 | ^ | 1,732 | ||||||||||
Donnelley Financial Solutions Inc @12.5 7/17/20 | (4 | ) | Donnelley Financial Solutions Inc @12.5 7/17/20 | ^ | -190 | |||||||||
Exelixis Inc @22 5/15/20 | (5 | ) | Exelixis Inc @22 5/15/20 | ^ | -408 | |||||||||
Global Blood Therapeutics In @65 1/15/21 | (1 | ) | Global Blood Therapeutics In @65 1/15/21 | ^ | -2,619 | |||||||||
Glycomimetics Inc @5 3/20/20 | (8 | ) | Glycomimetics Inc @5 3/20/20 | ^ | -761 | |||||||||
GTT Communications Inc @12.5 1/17/20 | (1 | ) | GTT Communications Inc @12.5 1/17/20 | ^ | -55 | |||||||||
Heron Therapeutics Inc @27 4/17/20 | (6 | ) | Heron Therapeutics Inc @27 4/17/20 | ^ | -1,118 | |||||||||
Identiv Inc @5 1/17/20 | (8 | ) | Identiv Inc @5 1/17/20 | ^ | -557 | |||||||||
Intercept Pharmaceuticals In @70 2/21/20 | (2 | ) | Intercept Pharmaceuticals In @70 2/21/20 | ^ | -10,911 | |||||||||
Michaels Cos Inc/The @10 3/20/20 | 4 | Michaels Cos Inc/The @10 3/20/20 | ^ | 230 | ||||||||||
Nabriva Therapeutics PLC @2.5 4/17/20 | (10 | ) | Nabriva Therapeutics PLC @2.5 4/17/20 | ^ | -75 | |||||||||
Nektar Therapeutics @24 1/17/20 | (2 | ) | Nektar Therapeutics @24 1/17/20 | ^ | -113 | |||||||||
Occidental Petroleum Corp @42.5 1/17/20 | (1 | ) | Occidental Petroleum Corp @42.5 1/17/20 | ^ | -49 | |||||||||
Portola Pharmaceuticals Inc @30 6/19/20 | (1 | ) | Portola Pharmaceuticals Inc @30 6/19/20 | ^ | -198 | |||||||||
Rev Group Inc @12.5 4/17/20 | (5 | ) | Rev Group Inc @12.5 4/17/20 | ^ | -613 | |||||||||
Roku Inc @137 1/03/20 | (10 | ) | Roku Inc @137 1/03/20 | ^ | -1,415 | |||||||||
Roku Inc @150 1/03/20 | 10 | Roku Inc @150 1/03/20 | ^ | 92 | ||||||||||
Roku Inc @170 1/10/20 | (22 | ) | Roku Inc @170 1/10/20 | ^ | -583 | |||||||||
Sorrento Therapeutics Inc @4 6/19/20 | (7 | ) | Sorrento Therapeutics Inc @4 6/19/20 | ^ | -604 | |||||||||
Stemline Therapeutics Inc @12.5 3/20/20 | (8 | ) | Stemline Therapeutics Inc @12.5 3/20/20 | ^ | -540 | |||||||||
Stoneco Ltd-A @40 1/03/20 | 4 | Stoneco Ltd-A @40 1/03/20 | ^ | 170 | ||||||||||
Sunpower Corp @10 1/17/20 | 3 | Sunpower Corp @10 1/17/20 | ^ | 6 | ||||||||||
Supernus Pharmaceuticals Inc @27 3/20/20 | (1 | ) | Supernus Pharmaceuticals Inc @27 3/20/20 | ^ | -95 | |||||||||
Taseko Mines LTD @1 5/15/20 | (100 | ) | Taseko Mines LTD @1 5/15/20 | ^ | -350 | |||||||||
TG Therapeutics Inc @10 1/15/21 | (5 | ) | TG Therapeutics Inc @10 1/15/21 | ^ | -2,607 | |||||||||
Uber Technologies Inc @31 1/31/20 | (1 | ) | Uber Technologies Inc @31 1/31/20 | ^ | -84 | |||||||||
Direxion Daily Gold Miners Index Bull 3X Shares @36.5 1/03/20 | (15 | ) | Direxion Daily Gold Miners Index Bull 3X Shares @36.5 1/03/20 | ^ | -630 | |||||||||
Direxion Daily S&P 500 Bear 3X @15 1/17/20 | 14 | Direxion Daily S&P 500 Bear 3X @15 1/17/20 | ^ | 175 | ||||||||||
Direxion Daily S&P 500 Bear 3X @19 3/20/20 | (10 | ) | Direxion Daily S&P 500 Bear 3X @19 3/20/20 | ^ | -308 | |||||||||
Drxn Daily S&P Biotech Bear @16 1/17/20 | (3 | ) | Drxn Daily S&P Biotech Bear @16 1/17/20 | ^ | -60 | |||||||||
Drxn Daily S&P Biotech Bear @21 3/20/20 | (3 | ) | Drxn Daily S&P Biotech Bear @21 3/20/20 | ^ | -135 | |||||||||
Kraneshares CSI China Intern @48 2/21/20 | 4 | Kraneshares CSI China Intern @48 2/21/20 | ^ | 865 | ||||||||||
Altria Group Inc @37.5 1/17/20 | 2 | Altria Group Inc @37.5 1/17/20 | ^ | 0 |
28
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2019 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2019
(c) | ||||||||||||||
(b) | Description of Investment, including | (e) | ||||||||||||
Identity of Issuer, Borrower, | Maturity Date, Rate of Interest, | (d) | Current | |||||||||||
(a) | Lessor or Similar Party | Shares | Collateral, Par or Maturity Value | Cost | Value | |||||||||
Netflix Inc @150 1/17/20 | 7 | Netflix Inc @150 1/17/20 | ^ | 0 | ||||||||||
Tesla Inc @362.5 1/10/20 | 1 | Tesla Inc @362.5 1/10/20 | ^ | 102 | ||||||||||
Bristol Myers Squibb Co CVR | 130 | Bristol Myers Squibb Co CVR | ^ | 391 | ||||||||||
Ford Credit Floorplan Master O 2017-1 A1 | 25,000 | Ford Credit Floorplan Master O 2017-1 A1 | ^ | 25,004 | ||||||||||
TOTAL OTHER ASSETS | 16,361 | |||||||||||||
PARTICIPANT LOANS | ||||||||||||||
* | CNB PARTICIPANT LOANS | 1,138 Participant loans, bearing interest at 3.5% to 9.25% and maturities through January 2035 | 15,191,072 | |||||||||||
TOTAL PARTICIPANT LOANS | 15,191,072 | |||||||||||||
TOTAL ASSETS | 1,119,359,566 |
* | Denotes Party-In-Interest asset | |
^ | Information is not required as investments are participant directed |
29
Index to Exhibits
Exhibit No. | Exhibit | |
23.1 | Consent of Moss Adams LLP |
30
SIGNATURES
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the employee benefit plan) have duly caused this annual report to be signed on its behalf by the undersigned hereunto duly authorized.
City National Bank Profit Sharing Plan | ||
By: City National Bank | ||
Date: June 26, 2020 | By: | /s/ Michael Nunnelee |
Senior Vice President |
31