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, 2020
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, 2020 and 2019
(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 and Participants of
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, 2020 and 2019, 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, 2020 and 2019, 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, 2020, 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 28, 2021
We have served as the Plan’s auditor since 2016.
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PROFIT SHARING PLAN
Statements of Net Assets Available for Benefits
December 31, 2020 and 2019
2020 | 2019 | |||||||
Assets: | ||||||||
Participant directed investments, at fair value: | ||||||||
Cash and cash equivalents | $ | 119,986,304 | $ | 100,032,860 | ||||
U.S.Government securities | 630,523 | 489,353 | ||||||
Corporate debt | 302,884 | 458,513 | ||||||
Preferred stock | 1,367,734 | 1,589,010 | ||||||
Common stock | 120,736,227 | 108,896,756 | ||||||
Partnerships | 214,865 | 234,591 | ||||||
Common collective trust | 360,784,282 | 281,238,479 | ||||||
Mutual funds | 692,182,643 | 611,212,571 | ||||||
Other assets | 31,564 | 16,361 | ||||||
Total investments | 1,296,237,026 | 1,104,168,494 | ||||||
Receivables: | ||||||||
Employer contribution | 209,070 | 160,556 | ||||||
Participant contribution | 90,497 | 8,716 | ||||||
Notes receivable from participants | 14,732,273 | 15,191,072 | ||||||
Other | — | 6,275,253 | ||||||
Total receivables | 15,031,840 | 21,635,597 | ||||||
Noninterest-bearing cash | — | 131,486 | ||||||
Other - Settlement cash | 6,299,747 | — | ||||||
Net assets available for benefits | $ | 1,317,568,613 | $ | 1,125,935,577 |
See accompanying notes to financial statements.
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PROFIT SHARING PLAN
Statements of Changes in Net Assets Available for Benefits
Years ended December 31, 2020 and 2019
2020 | 2019 | |||||||
Additions to net assets attributable to: | ||||||||
Investment income: | ||||||||
Interest | $ | 845,184 | $ | 833,558 | ||||
Dividends | 22,482,628 | 27,764,348 | ||||||
Net appreciation in fair value of investments | 139,410,727 | 160,518,967 | ||||||
162,738,539 | 189,116,873 | |||||||
Contributions: | ||||||||
Employer | 38,737,881 | 50,064,838 | ||||||
Participants | 58,598,929 | 55,529,000 | ||||||
Other Income: | — | 6,275,253 | ||||||
Total additions | 260,075,349 | 300,985,964 | ||||||
Deductions from net assets attributable to: | ||||||||
Benefits paid to participants | 71,639,145 | 69,137,903 | ||||||
Administrative expenses | 476,682 | 446,444 | ||||||
Total deductions | 72,115,827 | 69,584,347 | ||||||
Net increase | 187,959,522 | 231,401,617 | ||||||
Transfer to this plan | 3,673,514 | 32,326,018 | ||||||
Net assets available for benefits: | ||||||||
Beginning of year | 1,125,935,577 | 862,207,942 | ||||||
End of year | $ | 1,317,568,613 | $ | 1,125,935,577 |
See accompanying notes to financial statements.
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CITY NATIONAL BANK
PROFIT SHARING PLAN
Notes to Financial Statements
December 31, 2020 and 2019
(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’s Summary Plan Description for a detailed 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, CNB, 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, totaling $32,326,018 assets, was merged into the Plan. During 2019, CNB acquired FilmTrack Inc. and, effective January 1, 2020, the FilmTrack Inc. 401(k) Profit Sharing Plan, totaling $3,673,514 assets, was merged into the Plan.
Beginning 2020, the Plan is subject to mandated provisions of the Setting Every Community Up for Retirement Enhancement Act of 2019 (the SECURE Act). Also during 2020, the Benefits Committee approved certain participant loan and distribution provisions in accordance with the Coronavirus Aid, Relief and Economic Security Act (CARES Act). See Plan Amendment(s) below.
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 subsequent allocation to eligible Plan participants. The judgment amount will be allocated using a methodology in accordance with published guidance from the DOL to impacted Plan participants in relation to their relative assets in certain mutual funds during each of the calendar quarters from January 1, 2006, to December 31, 2012. See Note 7.
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OneAmerica Retirement Services LLC is the recordkeeper for the Plan, and Matrix Trust Company is the directed trustee and custodian for the Plan.
(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 CNB and First American Equipment Finance, a subsidiary of CNB, 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 2020 and 2019, a profit sharing contribution of 3.62% and 6.99%, respectively, of each participant’s eligible compensation was made by the Company. For Plan year 2020, and separate from the contribution above, an Affiliate profit sharing contribution of 6% of each Affiliate participant’s eligible compensation was made by the respective 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 $19,500 and $19,000 for the years ended December 31, 2020 and 2019, respectively. Effective January 1, 2019, the Company increased its match on City National Bank 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 $6,500 and $6,000 for the years ended December 31, 2020 and 2019, respectively. 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 death, or Total Disability as defined by the Plan. Except for any protected vesting provision on account of plan merger, 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 2020 and 2019, forfeitures in the amounts of $1,468,179 and $1,338,837, respectively, were used in accordance with plan provisions as summarized above. As of December 31, 2020 and 2019, forfeited non-vested accounts totaled $10,231 and $7,160, respectively.
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(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 or temporary distribution provisions pursuant to the CARES Act, a participant may request a distribution 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.
(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 2021 to November 2035 as of December 31, 2020. 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 and to account for certain protected benefits of FilmTrack Participants.
During 2021, the Plan will be amended for mandated changes in Required Minimum Distribution beginning date rules in accordance with the SECURE Act, and also for provisions of the CARES Act that were approved by the Plan’s Benefits Committee during 2020.
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(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 |
Investment securities are carried at fair value. 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.
(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.
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. 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.
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(h) | Concentrations |
Investment in the common stock of Royal Bank of Canada comprises 6.5% and 7.6% of the Plan’s investments as of December 31, 2020 and 2019, 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. |
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, 2020 and 2019.
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 municipal bonds, 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 a 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.
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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, 2020 and 2019, 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, 2020, Using Input Type | ||||||||||||||||
Asset Type | Level 1 | Level 2 | Level 3 | Total | ||||||||||||
Cash and cash equivalents | $ | 126,286,051 | $ | — | $ | — | $ | 126,286,051 | ||||||||
U.S. Government securities | — | 630,523 | — | 630,523 | ||||||||||||
Mutual funds | 692,182,643 | — | — | 692,182,643 | ||||||||||||
Common stock | 120,736,222 | 5 | 120,736,227 | |||||||||||||
Preferred stock | 1,367,734 | — | — | 1,367,734 | ||||||||||||
Corporate debt | — | 302,884 | — | 302,884 | ||||||||||||
Partnerships | 214,865 | — | — | 214,865 | ||||||||||||
Other assets | — | 31,564 | — | 31,564 | ||||||||||||
Total assets in the fair value hierarchy | 940,787,515 | 964,976 | 941,752,491 | |||||||||||||
Investments measured at net asset value (a) | — | — | — | 360,784,282 | ||||||||||||
Total investments, at fair value | $ | 940,787,515 | $ | 964,976 | $ | $ | 1,302,536,773 |
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 |
(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.
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(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 believes 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, 2020 and 2019, 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 |
There are no reconciling items between the net assets available for benefits between the financial statements and the Form 5500 as of December 31, 2020 and 2019. The following is a reconciliation of the net increase difference in net assets available for benefits between the financial statements and the Form 5500 for the years ended December 31, 2020 and 2019:
2020 | 2019 | |||||||
Net increase in net assets available for benefits per the financial statements | $ | 187,959,522 | $ | 231,401,617 | ||||
Less interest income on notes receivable from participants | 0 | (7,962 | ) | |||||
Net increase in net assets available for benefits per Form 5500 | $ | 187,959,522 | $ | 231,409,579 |
(7) | Subsequent Events |
During 2021, commencing February 18, 2021, the judgment amount was allocated proportionately and credited to affected Plan participants as referenced in note 1(a). Participants received communication and payment, as applicable. In accordance with the approved methodology of allocation, a final allocation is expected to occur in late 2021 to account for uncashed checks of impacted participants and/or their beneficiaries.
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CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 | ||||||||||||||||||
* | City National Rochdale Govt MMkt Svc | 725,642 | City National Rochdale Govt MMkt Svc | ^ | 725,642 | |||||||||||||
CNB Cash | 127 | CNB Cash | ^ | 126 | ||||||||||||||
* | CNB Deposit Sweep | 1,203,249 | CNB Deposit Sweep | ^ | 1,203,249 | |||||||||||||
�� | Federated Hermes US Treasury Cash Rvs SS | 150,049 | Federated Hermes US Treasury Cash Rvs SS | ^ | 150,049 | |||||||||||||
Fidelity® Government Cash Reserves | 51,739 | Fidelity® Government Cash Reserves | ^ | 51,739 | ||||||||||||||
Pershing Money Market Account | 197,408 | Pershing Money Market Account | ^ | 197,408 | ||||||||||||||
Schwab Cash Account | 12,144 | Schwab Cash Account | ^ | 12,144 | ||||||||||||||
Schwab Value Advantage Money Fund Inv | 75,001 | Schwab Value Advantage Money Fund Inv | ^ | 75,001 | ||||||||||||||
TD Asset Management Money Market Portfolio | 10,120,967 | TD Asset Management Money Market Portfolio | ^ | 10,120,967 | ||||||||||||||
Vanguard Federal Money Market Investor | 113,749,726 | Vanguard Federal Money Market Investor | ^ | 113,749,726 | ||||||||||||||
TOTAL CASH EQUIVALENTS | 126,286,051 | |||||||||||||||||
GOVERNMENT SECURITIES | ||||||||||||||||||
FFCB Note | 25,000 | FFCB Note | ^ | 25,000 | ||||||||||||||
FHLMC Note | 10,000 | FHLMC Note | ^ | 10,001 | ||||||||||||||
FNMA Note | 25,000 | FNMA Note | ^ | 25,553 | ||||||||||||||
FNMA Note | 10,000 | FNMA Note | ^ | 10,890 | ||||||||||||||
FNMA Note | 30,000 | FNMA Note | ^ | 32,633 | ||||||||||||||
FNMA Note | 45,000 | FNMA Note | ^ | 47,061 | ||||||||||||||
US Treasury Note/Bond | 30,000 | US Treasury Note/Bond | ^ | 30,657 | ||||||||||||||
US Treasury Note/Bond | 50,000 | US Treasury Note/Bond | ^ | 51,672 | ||||||||||||||
US Treasury Note/Bond | 25,000 | US Treasury Note/Bond | ^ | 26,568 | ||||||||||||||
US Treasury Note/Bond | 30,000 | US Treasury Note/Bond | ^ | 32,238 | ||||||||||||||
US Treasury Note/Bond | 25,000 | US Treasury Note/Bond | ^ | 26,951 | ||||||||||||||
US Treasury Note/Bond | 20,000 | US Treasury Note/Bond | ^ | 20,716 | ||||||||||||||
US Treasury Note/Bond | 20,000 | US Treasury Note/Bond | ^ | 22,177 | ||||||||||||||
US Treasury Note/Bond | 5,000 | US Treasury Note/Bond | ^ | 5,074 | ||||||||||||||
US Treasury Note/Bond | 15,000 | US Treasury Note/Bond | ^ | 15,305 | ||||||||||||||
US Treasury Note/Bond | 20,000 | US Treasury Note/Bond | ^ | 21,330 | ||||||||||||||
US Treasury Note/Bond | 20,000 | US Treasury Note/Bond | ^ | 19,944 | ||||||||||||||
US Treasury Note/Bond | 25,000 | US Treasury Note/Bond | ^ | 26,344 | ||||||||||||||
US Treasury Note/Bond | 25,000 | US Treasury Note/Bond | ^ | 25,697 | ||||||||||||||
US Treasury Note/Bond | 30,000 | US Treasury Note/Bond | ^ | 30,919 | ||||||||||||||
US Treasury Note/Bond | 35,000 | US Treasury Note/Bond | ^ | 37,764 | ||||||||||||||
US Treasury Note/Bond | 15,000 | US Treasury Note/Bond | ^ | 14,948 | ||||||||||||||
US Treasury Note/Bond | 25,000 | US Treasury Note/Bond | ^ | 25,673 | ||||||||||||||
US Treasury Note/Bond | 30,000 | US Treasury Note/Bond | ^ | 30,084 | ||||||||||||||
Fannie Mae Al5866 | 15,015 | Fannie Mae Al5866 | ^ | 15,324 | ||||||||||||||
TOTAL GOVERNMENT SECURITIES | 630,523 | |||||||||||||||||
CORPORATE OBLIGATIONS | ||||||||||||||||||
Abbvie Inc | 20,000 | Abbvie Inc | ^ | 22,282 | ||||||||||||||
Goldman Sachs Group Inc | 15,000 | Goldman Sachs Group Inc | ^ | 16,033 | ||||||||||||||
American Honda Finance | 15,000 | American Honda Finance | ^ | 15,645 | ||||||||||||||
AT&T Inc | 15,000 | AT&T Inc | ^ | 15,994 | ||||||||||||||
Bank Of America Corp | 20,000 | Bank Of America Corp | ^ | 21,782 | ||||||||||||||
CBL & Associates LP | 27,000 | CBL & Associates LP | ^ | 10,665 | ||||||||||||||
Charles Schwab Corp | 20,000 | Charles Schwab Corp | ^ | 20,298 | ||||||||||||||
Citigroup Inc | 25,000 | Citigroup Inc | ^ | 24,568 | ||||||||||||||
Comcast Corp | 20,000 | Comcast Corp | ^ | 22,980 | ||||||||||||||
DowDupont Inc | 15,000 | DowDupont Inc | ^ | 16,565 | ||||||||||||||
JC Penney Corp Inc | 20,000 | JC Penney Corp Inc | ^ | 6 | ||||||||||||||
Morgan Stanley | 25,000 | Morgan Stanley | ^ | 26,899 | ||||||||||||||
Qwest Corporation | 25,000 | Qwest Corporation | ^ | 29,907 | ||||||||||||||
Santander UK PLC | 15,000 | Santander UK PLC | ^ | 16,591 | ||||||||||||||
Sumitomo Mitsui Finl Grp | 15,000 | Sumitomo Mitsui Finl Grp | ^ | 15,376 | ||||||||||||||
Wells Fargo & Company | 25,000 | Wells Fargo & Company | ^ | 27,293 | ||||||||||||||
TOTAL CORPORATE OBLIGATIONS | 302,884 |
11
CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 | |||||||||||||
PREFERRED STOCKS | ||||||||||||||||||
Assoc Banc Corp 5.875 | 1,500 | Assoc Banc Corp 5.875 | ^ | 41,565 | ||||||||||||||
Atlas Corp 8.25 | 100 | Atlas Corp 8.25 | ^ | 2,574 | ||||||||||||||
Bank Of America Corp | 10,000 | Bank Of America Corp | ^ | 273,100 | ||||||||||||||
Bank Of America Corp 5.875% | 1,500 | Bank Of America Corp 5.875% | ^ | 41,325 | ||||||||||||||
CBL & Associates Prop 7.375% | 17,000 | CBL & Associates Prop 7.375% | ^ | 15,810 | ||||||||||||||
Citigroup Capital XIII 7.875 10/30/2040 | 1,000 | Citigroup Capital XIII 7.875 10/30/2040 | ^ | 28,500 | ||||||||||||||
Dynex Capital Inc 7.625 (delisted 02/16/21) | 100 | Dynex Capital Inc 7.625 (delisted 02/16/21) | ^ | 2,525 | ||||||||||||||
Fifth Third Bancorp 6% | 1,476 | Fifth Third Bancorp 6% | ^ | 39,852 | ||||||||||||||
Gaslog Partners LP 8.5 | 150 | Gaslog Partners LP 8.5 | ^ | 2,250 | ||||||||||||||
Istar Finl Inc Pfd Ser D | 2,000 | Istar Finl Inc Pfd Ser D | ^ | 51,460 | ||||||||||||||
JPMorgan Chase SER DD | 1,000 | JPMorgan Chase SER DD | ^ | 28,100 | ||||||||||||||
Keycorp | 2,000 | Keycorp | ^ | 55,780 | ||||||||||||||
Morgan Stanley 7.125 | 1,000 | Morgan Stanley 7.125 | ^ | 29,410 | ||||||||||||||
National General Hldg Co 7.5 | 100 | National General Hldg Co 7.5 | ^ | 2,575 | ||||||||||||||
New Residential Inv Corp 6.375 | 100 | New Residential Inv Corp 6.375 | ^ | 2,123 | ||||||||||||||
Nextera Energy Capital | 2,000 | Nextera Energy Capital | ^ | 56,820 | ||||||||||||||
Peoples United Financial Inc Pfd Ser A | 1,834 | Peoples United Financial Inc Pfd Ser A | ^ | 51,352 | ||||||||||||||
Public Storage | 100 | Public Storage | ^ | 2,714 | ||||||||||||||
Regions Financial Corporation Dep Shs Repstg | 960 | Regions Financial Corporation Dep Shs Repstg | ^ | 26,995 | ||||||||||||||
Southern Co 4.95 1/30/2080 | 10,000 | Southern Co 4.95 1/30/2080 | ^ | 274,000 | ||||||||||||||
SVB Financial Group | 2,500 | SVB Financial Group | ^ | 67,200 | ||||||||||||||
Wells Fargo & Company 7.5% | 179 | Wells Fargo & Company 7.5% | ^ | 271,704 | ||||||||||||||
Anthracite Capital Inc 9.375 (delisted 12/03/19) | 1,000 | Anthracite Capital Inc 9.375 (delisted 12/03/19) | ^ | 0 | ||||||||||||||
TOTAL PREFERRED STOCKS | 1,367,734 | |||||||||||||||||
COMMON STOCKS | ||||||||||||||||||
Adyen Nv-Unspon ADR | 250 | Adyen Nv-Unspon ADR | ^ | 11,600 | ||||||||||||||
Alibaba Group Holding-Sp ADR | 1,723 | Alibaba Group Holding-Sp ADR | ^ | 400,994 | ||||||||||||||
Amarin Corporation Plc -ADR | 877 | Amarin Corporation Plc -ADR | ^ | 4,289 | ||||||||||||||
Anheuser Busch Inbev | 23 | Anheuser Busch Inbev | ^ | 1,583 | ||||||||||||||
Asml Holding Nv | 109 | Asml Holding Nv | ^ | 53,177 | ||||||||||||||
Aston Martin Lago Unsp ADR | 50 | Aston Martin Lago Unsp ADR | ^ | 1,355 | ||||||||||||||
Astrazeneca Plc Sponsored Adr | 951 | Astrazeneca Plc Sponsored Adr | ^ | 47,530 | ||||||||||||||
Baidu Inc | 10 | Baidu Inc | ^ | 2,162 | ||||||||||||||
Banco Bilbao Vizcaya ADR | 1 | Banco Bilbao Vizcaya ADR | ^ | 5 | ||||||||||||||
Banco Macro SA - ADR | 101 | Banco Macro SA - ADR | ^ | 1,573 | ||||||||||||||
Banco Santander Adr | 419 | Banco Santander Adr | ^ | 1,278 | ||||||||||||||
Barclays Plc ADR | 1 | Barclays Plc ADR | ^ | 8 | ||||||||||||||
BHP Limited | 100 | BHP Limited | ^ | 6,548 | ||||||||||||||
Bilibili Inc Sponsored ADR | 45 | Bilibili Inc Sponsored ADR | ^ | 3,857 | ||||||||||||||
Bp Plc Spons Adr | 1,549 | Bp Plc Spons Adr | ^ | 31,785 | ||||||||||||||
Compass Pathways Plc | 300 | Compass Pathways Plc | ^ | 14,292 | ||||||||||||||
Credit Suisse Group Spon Adr | 1 | Credit Suisse Group Spon Adr | ^ | 13 | ||||||||||||||
Criteo SA-Spon ADR | 1,480 | Criteo SA-Spon ADR | ^ | 30,355 | ||||||||||||||
Experian Group LTD - Spon ADR | 100 | Experian Group LTD - Spon ADR | ^ | 3,796 | ||||||||||||||
Gold Fields Ltd New Spd Adr | 150 | Gold Fields Ltd New Spd Adr | ^ | 1,391 | ||||||||||||||
GW Pharmaceuticals -ADR | 40 | GW Pharmaceuticals -ADR | ^ | 4,616 | ||||||||||||||
HDFC Bank Ltd Adr | 210 | HDFC Bank Ltd Adr | ^ | 15,175 | ||||||||||||||
Hsbc Hldgs PLC | 52 | Hsbc Hldgs PLC | ^ | 1,347 | ||||||||||||||
Impala Platinum Spon Adr | 150 | Impala Platinum Spon Adr | ^ | 2,084 | ||||||||||||||
Infineon Technologies | 100 | Infineon Technologies | ^ | 3,855 | ||||||||||||||
Iqiyi Inc-ADR | 1,500 | Iqiyi Inc-ADR | ^ | 26,220 | ||||||||||||||
JD.com Inc-ADR | 1,150 | JD.com Inc-ADR | ^ | 101,085 | ||||||||||||||
Jumia Technologies AG-ADR | 600 | Jumia Technologies AG-ADR | ^ | 24,210 | ||||||||||||||
K T Corp Spon Adr | 1,000 | K T Corp Spon Adr | ^ | 11,010 | ||||||||||||||
Li Auto Inc ADR | 350 | Li Auto Inc ADR | ^ | 10,091 | ||||||||||||||
Lloyds Banking Group PLC ADR | 1 | Lloyds Banking Group PLC ADR | ^ | 2 | ||||||||||||||
Mitsubishi UFJ Financial ADR | 3,392 | Mitsubishi UFJ Financial ADR | ^ | 15,028 | ||||||||||||||
MMC Norilsk Nickel ADR | 233 | MMC Norilsk Nickel ADR | ^ | 7,335 | ||||||||||||||
Mobile Telesys Ojsc Spon Adr | 1 | Mobile Telesys Ojsc Spon Adr | ^ | 9 | ||||||||||||||
Newcrest Mining Ltd-Spon ADR | 350 | Newcrest Mining Ltd-Spon ADR | ^ | 6,995 |
12
CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 | |||||||||||||
Nintendo Ltd Adr New Japan | 101 | Nintendo Ltd Adr New Japan | ^ | 8,132 | ||||||||||||||
Nio Inc - ADR | 3,524 | Nio Inc - ADR | ^ | 171,760 | ||||||||||||||
Nokia Corp ADR | 700 | Nokia Corp ADR | ^ | 2,737 | ||||||||||||||
Novartis Ag Sponsored Adr | 292 | Novartis Ag Sponsored Adr | ^ | 27,574 | ||||||||||||||
Novo-Nordisk As | 300 | Novo-Nordisk As | ^ | 20,955 | ||||||||||||||
Oao Gazprom Adr Reg S | 60 | Oao Gazprom Adr Reg S | ^ | 336 | ||||||||||||||
Ozon Holdings PLC ADR | 155 | Ozon Holdings PLC ADR | ^ | 6,419 | ||||||||||||||
Petroleo Brasileiro Spon Adr | 1 | Petroleo Brasileiro Spon Adr | ^ | 11 | ||||||||||||||
Portugal Telecomm Sgps S A Sponsored ADR | 1 | Portugal Telecomm Sgps S A Sponsored ADR | ^ | 0 | ||||||||||||||
Prosus NV Spon ADR | 250 | Prosus NV Spon ADR | ^ | 5,423 | ||||||||||||||
Qiwi Plc-Sponsored ADR | 13 | Qiwi Plc-Sponsored ADR | ^ | 134 | ||||||||||||||
Qudian Inc Spon ADR | 1 | Qudian Inc Spon ADR | ^ | 1 | ||||||||||||||
Redhill Biopharma Ltd-Sp ADR | 400 | Redhill Biopharma Ltd-Sp ADR | ^ | 3,232 | ||||||||||||||
Rio Tinto PLC ADR | 151 | Rio Tinto PLC ADR | ^ | 11,358 | ||||||||||||||
Rolls Royce Group Plc Sponsored Adr | 1,875 | Rolls Royce Group Plc Sponsored Adr | ^ | 2,963 | ||||||||||||||
Sanofi - Aventis Sa Adr | 10 | Sanofi - Aventis Sa Adr | ^ | 486 | ||||||||||||||
Sea Ltd-ADR | 205 | Sea Ltd-ADR | ^ | 40,805 | ||||||||||||||
Secoo Holding Ltd ADR | 1 | Secoo Holding Ltd ADR | ^ | 2 | ||||||||||||||
Softbank Corp Unspon ADR | 1,200 | Softbank Corp Unspon ADR | ^ | 46,392 | ||||||||||||||
Suntory Beverage & Food-U ADR | 50 | Suntory Beverage & Food-U ADR | ^ | 889 | ||||||||||||||
Taiwan Semiconductor | 1,373 | Taiwan Semiconductor | ^ | 149,694 | ||||||||||||||
Takeda Pharmaceutical Co ADR | 25 | Takeda Pharmaceutical Co ADR | ^ | 455 | ||||||||||||||
Teamviewer Ag Unsp ADR | 400 | Teamviewer Ag Unsp ADR | ^ | 11,100 | ||||||||||||||
Tencent Holdings Ltd ADR | 202 | Tencent Holdings Ltd ADR | ^ | 14,522 | ||||||||||||||
Teva Pharmaceutical Industries LTD ADR | 4,000 | Teva Pharmaceutical Industries LTD ADR | ^ | 38,600 | ||||||||||||||
Toyota Motor Corp. Sp Adr Rep2com | 70 | Toyota Motor Corp. Sp Adr Rep2com | ^ | 10,820 | ||||||||||||||
Unilever Plc Spon Adr New | 205 | Unilever Plc Spon Adr New | ^ | 12,374 | ||||||||||||||
Vedanta Ltd | 15,101 | Vedanta Ltd | ^ | 132,587 | ||||||||||||||
Veolia Environnement ADR | 1 | Veolia Environnement ADR | ^ | 24 | ||||||||||||||
Xpeng Inc ADR | 225 | Xpeng Inc ADR | ^ | 9,637 | ||||||||||||||
Yalla Group Ltd | 275 | Yalla Group Ltd | ^ | 3,941 | ||||||||||||||
Ypf Sociedad Anonima (adr) | 120 | Ypf Sociedad Anonima (adr) | ^ | 564 | ||||||||||||||
1933 Industries Inc | 500 | 1933 Industries Inc | ^ | 26 | ||||||||||||||
1Life Healthcare Inc | 60 | 1Life Healthcare Inc | ^ | 2,619 | ||||||||||||||
3-D Systems Corp | 100 | 3-D Systems Corp | ^ | 1,048 | ||||||||||||||
3m Co. | 65 | 3m Co. | ^ | 11,361 | ||||||||||||||
Abbott Laboratories | 154 | Abbott Laboratories | ^ | 16,910 | ||||||||||||||
Abbvie Inc | 265 | Abbvie Inc | ^ | 28,345 | ||||||||||||||
Abcellera Biologics Inc | 58 | Abcellera Biologics Inc | ^ | 2,334 | ||||||||||||||
Acamar Partners Acquisiti A (lotz 01/22/21) | 375 | Acamar Partners Acquisiti A (lotz 01/22/21) | ^ | 4,200 | ||||||||||||||
Accenture PLC | 396 | Accenture PLC | ^ | 103,505 | ||||||||||||||
Acorda Therapeutics Inc | 100 | Acorda Therapeutics Inc | ^ | 69 | ||||||||||||||
Acreage Holdings Sub Vtg E | 14 | Acreage Holdings Sub Vtg E | ^ | 43 | ||||||||||||||
Acreage Holdings-Sub Vtg D | 6 | Acreage Holdings-Sub Vtg D | ^ | 13 | ||||||||||||||
Adobe Inc | 406 | Adobe Inc | ^ | 203,049 | ||||||||||||||
Advanced Micro Devices | 1,676 | Advanced Micro Devices | ^ | 153,706 | ||||||||||||||
Advaxis Inc | 23 | Advaxis Inc | ^ | 8 | ||||||||||||||
Adverum Biotechnologies | 300 | Adverum Biotechnologies | ^ | 3,252 | ||||||||||||||
Aercap Holdings NV | 500 | Aercap Holdings NV | ^ | 22,790 | ||||||||||||||
Aerie Pharmaceuticals Inc | 300 | Aerie Pharmaceuticals Inc | ^ | 4,053 | ||||||||||||||
Aerovironment Inc | 5 | Aerovironment Inc | ^ | 435 | ||||||||||||||
Aflac Inc | 215 | Aflac Inc | ^ | 9,542 | ||||||||||||||
Agenus Inc | 20,900 | Agenus Inc | ^ | 66,462 | ||||||||||||||
Agilent Technologies | 15 | Agilent Technologies | ^ | 1,777 | ||||||||||||||
Agios Pharmaceuticals Inc | 100 | Agios Pharmaceuticals Inc | ^ | 4,333 | ||||||||||||||
Agnico-Eagle Mines Ltd F | 20 | Agnico-Eagle Mines Ltd F | ^ | 1,425 | ||||||||||||||
AIM Immunotech Inc | 200 | AIM Immunotech Inc | ^ | 358 | ||||||||||||||
Air Lease Corp A | 4 | Air Lease Corp A | ^ | 178 | ||||||||||||||
Airbnb Inc Class A | 426 | Airbnb Inc Class A | ^ | 62,537 | ||||||||||||||
Akamai Technologies | 616 | Akamai Technologies | ^ | 64,674 | ||||||||||||||
Akebia Therapeutics Inc | 800 | Akebia Therapeutics Inc | ^ | 2,240 | ||||||||||||||
Akoustis Technologies Inc | 200 | Akoustis Technologies Inc | ^ | 2,446 |
13
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||||||
Alarm.Com Holdings Inc | 20 | Alarm.Com Holdings Inc | ^ | 2,069 | ||||||||||||||
Albertsons Cos Inc - Class A | 125 | Albertsons Cos Inc - Class A | ^ | 2,198 | ||||||||||||||
Aleafia Health Inc | 250 | Aleafia Health Inc | ^ | 93 | ||||||||||||||
Alector Inc | 50 | Alector Inc | ^ | 757 | ||||||||||||||
Allogene Therapeutics Inc | 300 | Allogene Therapeutics Inc | ^ | 7,572 | ||||||||||||||
Allstate Corp | 5 | Allstate Corp | ^ | 550 | ||||||||||||||
Ally Financial Inc | 645 | Ally Financial Inc | ^ | 23,001 | ||||||||||||||
Alphabet Inc CL A | 167 | Alphabet Inc CL A | ^ | 292,691 | ||||||||||||||
Alphabet Inc Cl C | 23 | Alphabet Inc Cl C | ^ | 40,293 | ||||||||||||||
Alteryx Inc - Class A | 715 | Alteryx Inc - Class A | ^ | 87,080 | ||||||||||||||
Altria Group Inc | 2,399 | Altria Group Inc | ^ | 98,363 | ||||||||||||||
Amazon Com Inc | 370 | Amazon Com Inc | ^ | 1,205,064 | ||||||||||||||
Ambarella Inc | 110 | Ambarella Inc | ^ | 10,100 | ||||||||||||||
Amdocs Ltd | 45 | Amdocs Ltd | ^ | 3,192 | ||||||||||||||
American Airlines Group Inc | 2,890 | American Airlines Group Inc | ^ | 45,575 | ||||||||||||||
American Electric Power Co | 240 | American Electric Power Co | ^ | 19,985 | ||||||||||||||
American Express Co. | 210 | American Express Co. | ^ | 25,371 | ||||||||||||||
American International Group | 762 | American International Group | ^ | 28,850 | ||||||||||||||
American Water Works Co Inc | 439 | American Water Works Co Inc | ^ | 67,373 | ||||||||||||||
American Well Corp-Class A | 635 | American Well Corp-Class A | ^ | 16,085 | ||||||||||||||
American Xtal Tech Inc. | 100 | American Xtal Tech Inc. | ^ | 957 | ||||||||||||||
Amgen Inc | 10 | Amgen Inc | ^ | 2,299 | ||||||||||||||
Amico Games Corp (delisted 11/10/14) | 250 | Amico Games Corp (delisted 11/10/14) | ^ | 0 | ||||||||||||||
Analog Devices Inc | 26 | Analog Devices Inc | ^ | 3,888 | ||||||||||||||
Anaplan Inc | 345 | Anaplan Inc | ^ | 24,788 | ||||||||||||||
Anixa Biosciences Inc | 1,300 | Anixa Biosciences Inc | ^ | 3,991 | ||||||||||||||
Anthem Inc | 5 | Anthem Inc | ^ | 1,605 | ||||||||||||||
Aon PLC | 55 | Aon PLC | ^ | 11,620 | ||||||||||||||
Apache Corp (delisted 3/02/21) | 4,600 | Apache Corp (delisted 3/02/21) | ^ | 65,274 | ||||||||||||||
Aphria Inc (tlry 05/03/21) | 320 | Aphria Inc (tlry 05/03/21) | ^ | 2,214 | ||||||||||||||
Apollo Investment Corp | 109 | Apollo Investment Corp | ^ | 1,161 | ||||||||||||||
Appian Corp | 25 | Appian Corp | ^ | 4,052 | ||||||||||||||
Apple Inc | 20,856 | Apple Inc | ^ | 2,767,418 | ||||||||||||||
Applied Material | 35 | Applied Material | ^ | 3,043 | ||||||||||||||
Aquabounty Technologies Inc | 1 | Aquabounty Technologies Inc | ^ | 9 | ||||||||||||||
Archer Daniels Midland | 200 | Archer Daniels Midland | ^ | 10,082 | ||||||||||||||
Arconic Corp | 12 | Arconic Corp | ^ | 358 | ||||||||||||||
Arcos Dorados Holdings Inc-A | 1,013 | Arcos Dorados Holdings Inc-A | ^ | 5,095 | ||||||||||||||
Ardelyx Inc | 1,650 | Ardelyx Inc | ^ | 10,676 | ||||||||||||||
Arena Pharmaceuticals | 45 | Arena Pharmaceuticals | ^ | 3,457 | ||||||||||||||
Ares Capital Corp | 29,806 | Ares Capital Corp | ^ | 503,415 | ||||||||||||||
Ares Management Corp | 3 | Ares Management Corp | ^ | 143 | ||||||||||||||
Arista Networks Inc | 50 | Arista Networks Inc | ^ | 14,529 | ||||||||||||||
Arlo Technologies Inc | 313 | Arlo Technologies Inc | ^ | 2,438 | ||||||||||||||
Artemis Gold Inc | 35 | Artemis Gold Inc | ^ | 176 | ||||||||||||||
Arthur J Gallagher | 120 | Arthur J Gallagher | ^ | 14,845 | ||||||||||||||
Artistdirect Inc (Delisted 8/5/2009) | 80 | Artistdirect Inc (Delisted 8/5/2009) | ^ | 0 | ||||||||||||||
Asana Inc Cl A | 100 | Asana Inc Cl A | ^ | 2,955 | ||||||||||||||
Astrotech Corp | 1,000 | Astrotech Corp | ^ | 1,770 | ||||||||||||||
AT&T Inc | 2,785 | AT&T Inc | ^ | 80,082 | ||||||||||||||
Atlassian Corp Plc Cl A | 147 | Atlassian Corp Plc Cl A | ^ | 34,379 | ||||||||||||||
Atreca Inc A | 100 | Atreca Inc A | ^ | 1,615 | ||||||||||||||
Aurora Cannabis Inc | 17 | Aurora Cannabis Inc | ^ | 141 | ||||||||||||||
Autodesk Inc | 4 | Autodesk Inc | ^ | 1,221 | ||||||||||||||
Automatic Data Processing | 4 | Automatic Data Processing | ^ | 714 | ||||||||||||||
Auxly Cannabis Group Inc | 4,480 | Auxly Cannabis Group Inc | ^ | 878 | ||||||||||||||
Avangrid Inc | 305 | Avangrid Inc | ^ | 13,862 | ||||||||||||||
Aveo Pharmaceuticals Inc | 4,210 | Aveo Pharmaceuticals Inc | ^ | 24,292 | ||||||||||||||
Axis Capital Holdings Ltd | 21 | Axis Capital Holdings Ltd | ^ | 1,038 | ||||||||||||||
Axon Enterprise Inc (axon 01/26/21) | 25 | Axon Enterprise Inc (axon 01/26/21) | ^ | 3,063 | ||||||||||||||
Axos Financial Inc | 1 | Axos Financial Inc | ^ | 38 | ||||||||||||||
Azek Co Inc/The | 190 | Azek Co Inc/The | ^ | 7,306 |
14
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||||||
B Riley Financial Inc | 50 | B Riley Financial Inc | ^ | 2,211 | ||||||||||||||
Bank Of America Corp | 18,189 | Bank Of America Corp | ^ | 551,315 | ||||||||||||||
Barrick Gold Corp | 1,246 | Barrick Gold Corp | ^ | 28,394 | ||||||||||||||
Bausch Health Cos Inc | 1,702 | Bausch Health Cos Inc | ^ | 35,402 | ||||||||||||||
Bce Inc Com | 280 | Bce Inc Com | ^ | 11,984 | ||||||||||||||
Beam Therapeutics Inc | 100 | Beam Therapeutics Inc | ^ | 8,164 | ||||||||||||||
Beazer Homes Usa | 100 | Beazer Homes Usa | ^ | 1,515 | ||||||||||||||
Bed Bath And Beyond Inc | 1 | Bed Bath And Beyond Inc | ^ | 18 | ||||||||||||||
Belo Sun Mining Corp | 750 | Belo Sun Mining Corp | ^ | 565 | ||||||||||||||
Benton Resources Inc | 700 | Benton Resources Inc | ^ | 91 | ||||||||||||||
Berkshire Hathaway Inc Cl B | 1,018 | Berkshire Hathaway Inc Cl B | ^ | 236,044 | ||||||||||||||
Beyond Meat Inc | 1,353 | Beyond Meat Inc | ^ | 169,125 | ||||||||||||||
Biocryst Pharmaceuticals Inc | 1,000 | Biocryst Pharmaceuticals Inc | ^ | 7,450 | ||||||||||||||
Bio-Techne Corp | 1 | Bio-Techne Corp | ^ | 318 | ||||||||||||||
Black Iron Inc | 20,000 | Black Iron Inc | ^ | 5,267 | ||||||||||||||
Blackberry Ltd | 500 | Blackberry Ltd | ^ | 3,315 | ||||||||||||||
BlackRock 2001 Term Tr Inc | 24 | BlackRock 2001 Term Tr Inc | ^ | 17,370 | ||||||||||||||
BlackRock Science & Tech Tr | 128 | BlackRock Science & Tech Tr | ^ | 6,799 | ||||||||||||||
Blackstone Group Inc | 1,299 | Blackstone Group Inc | ^ | 84,209 | ||||||||||||||
Blink Charging Co | 24 | Blink Charging Co | ^ | 1,026 | ||||||||||||||
Bloom Energy Corp- A | 25,315 | Bloom Energy Corp- A | ^ | 725,528 | ||||||||||||||
Blue Hat Interactive Enterta | 11,000 | Blue Hat Interactive Enterta | ^ | 9,790 | ||||||||||||||
Bluebird Bio Inc | 49 | Bluebird Bio Inc | ^ | 2,120 | ||||||||||||||
Boeing Company | 1,302 | Boeing Company | ^ | 278,790 | ||||||||||||||
Boston Beer Co Inc A | 11 | Boston Beer Co Inc A | ^ | 10,937 | ||||||||||||||
Box Inc - Class A | 750 | Box Inc - Class A | ^ | 13,538 | ||||||||||||||
Boyd Gaming Corp | 270 | Boyd Gaming Corp | ^ | 11,588 | ||||||||||||||
Bristol-Myers Squibb Co | 707 | Bristol-Myers Squibb Co | ^ | 43,865 | ||||||||||||||
Brookfield Infrastructure Corp Vtg Shs A | 45 | Brookfield Infrastructure Corp Vtg Shs A | ^ | 3,253 | ||||||||||||||
Brooks Automation Inc | 15 | Brooks Automation Inc | ^ | 1,018 | ||||||||||||||
BYD Co Ltd H | 75 | BYD Co Ltd H | ^ | 1,965 | ||||||||||||||
C3.Ai Inc A | 141 | C3.Ai Inc A | ^ | 19,564 | ||||||||||||||
Caesars Entertainment Inc | 500 | Caesars Entertainment Inc | ^ | 37,135 | ||||||||||||||
Callaway Golf Co. | 583 | Callaway Golf Co. | ^ | 13,998 | ||||||||||||||
Cameco Corp | 70 | Cameco Corp | ^ | 938 | ||||||||||||||
Canada Goose Holdings Inc | 550 | Canada Goose Holdings Inc | ^ | 16,374 | ||||||||||||||
Cannabix Technologies Inc | 65 | Cannabix Technologies Inc | ^ | 45 | ||||||||||||||
Cannlabs Inc | 550 | Cannlabs Inc | ^ | 29 | ||||||||||||||
Canopy Growth Corp | 1,382 | Canopy Growth Corp | ^ | 34,052 | ||||||||||||||
Capital One Financial Corp Com | 70 | Capital One Financial Corp Com | ^ | 6,920 | ||||||||||||||
Capri Holdings Ltd | 250 | Capri Holdings Ltd | ^ | 10,500 | ||||||||||||||
Capricor Therapeutics Inc | 1 | Capricor Therapeutics Inc | ^ | 3 | ||||||||||||||
Caretrust REIT Inc | 75 | Caretrust REIT Inc | ^ | 1,664 | ||||||||||||||
Carnival Corp. | 3,672 | Carnival Corp. | ^ | 79,536 | ||||||||||||||
Carrier Global Corp | 319 | Carrier Global Corp | ^ | 12,033 | ||||||||||||||
Catalyst Pharmaceuticals Inc | 500 | Catalyst Pharmaceuticals Inc | ^ | 1,670 | ||||||||||||||
Caterpillar Inc | 15 | Caterpillar Inc | ^ | 2,736 | ||||||||||||||
CBD Of Denver Inc | 29,797 | CBD Of Denver Inc | ^ | 434 | ||||||||||||||
Centene Corp | 140 | Centene Corp | ^ | 8,404 | ||||||||||||||
CenturyLinkl Inc (lumn 01/22/21) | 5,030 | CenturyLinkl Inc (lumn 01/22/21) | ^ | 49,043 | ||||||||||||||
Cerence Inc | 23 | Cerence Inc | ^ | 2,311 | ||||||||||||||
Cerner Corp | 95 | Cerner Corp | ^ | 7,456 | ||||||||||||||
Champignon Brands Inc (shrm.f 05/05/21) | 17 | Champignon Brands Inc (shrm.f 05/05/21) | ^ | 10 | ||||||||||||||
Champion Iron Ltd (ciaf.f 03/19/21) | 500 | Champion Iron Ltd (ciaf.f 03/19/21) | ^ | 1,831 | ||||||||||||||
Charles Riv Labs Intl | 269 | Charles Riv Labs Intl | ^ | 67,212 | ||||||||||||||
Charles Schwab Corporation | 340 | Charles Schwab Corporation | ^ | 18,034 | ||||||||||||||
Charlottes Web Holdings Inc | 150 | Charlottes Web Holdings Inc | ^ | 495 | ||||||||||||||
Charter Communications New Cl A | 15 | Charter Communications New Cl A | ^ | 9,923 | ||||||||||||||
Chesapeake Energy Corp | 3 | Chesapeake Energy Corp | ^ | 5 | ||||||||||||||
Chevron Corp | 180 | Chevron Corp | ^ | 15,186 | ||||||||||||||
Chewy Inc - Class A | 209 | Chewy Inc - Class A | ^ | 18,787 | ||||||||||||||
Children's Place Inc/The | 200 | Children's Place Inc/The | ^ | 10,020 |
15
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||||||
Chineseinvestors.Com Inc | 2,500 | Chineseinvestors.Com Inc | ^ | 68 | ||||||||||||||
Chipotle Mexican Grill - Cl A | 8 | Chipotle Mexican Grill - Cl A | ^ | 11,094 | ||||||||||||||
Ciena Corp | 90 | Ciena Corp | ^ | 4,757 | ||||||||||||||
Cigna Corp | 31 | Cigna Corp | ^ | 6,454 | ||||||||||||||
Cincinnatti Financial Corp | 180 | Cincinnatti Financial Corp | ^ | 15,727 | ||||||||||||||
Cinedigm Corp - A | 10,000 | Cinedigm Corp - A | ^ | 6,448 | ||||||||||||||
Cinemark Holdings Inc | 218 | Cinemark Holdings Inc | ^ | 3,795 | ||||||||||||||
Cintas Corp | 272 | Cintas Corp | ^ | 96,151 | ||||||||||||||
Cirrus Logic Inc | 20 | Cirrus Logic Inc | ^ | 1,644 | ||||||||||||||
Cisco Systems Inc | 2,130 | Cisco Systems Inc | ^ | 95,328 | ||||||||||||||
Citigroup Inc | 46 | Citigroup Inc | ^ | 2,858 | ||||||||||||||
Citizens Financial Group | 40 | Citizens Financial Group | ^ | 1,430 | ||||||||||||||
Cleveland Cliffs Inc | 1,500 | Cleveland Cliffs Inc | ^ | 21,840 | ||||||||||||||
Clorox Co. | 32 | Clorox Co. | ^ | 6,461 | ||||||||||||||
Cloudflare Inc Class A | 320 | Cloudflare Inc Class A | ^ | 24,317 | ||||||||||||||
Clovis Oncology Inc | 2,500 | Clovis Oncology Inc | ^ | 12,000 | ||||||||||||||
CME Group Inc | 254 | CME Group Inc | ^ | 46,262 | ||||||||||||||
Cms Energy Corp | 515 | Cms Energy Corp | ^ | 31,420 | ||||||||||||||
Coca-Cola Company | 995 | Coca-Cola Company | ^ | 54,557 | ||||||||||||||
Coda Octopus Group Inc | 500 | Coda Octopus Group Inc | ^ | 3,145 | ||||||||||||||
Cognex Corp | 80 | Cognex Corp | ^ | 6,423 | ||||||||||||||
Cognizant Tech Solutns Cl. A | 32 | Cognizant Tech Solutns Cl. A | ^ | 2,622 | ||||||||||||||
Colgate-Palmolive | 587 | Colgate-Palmolive | ^ | 50,194 | ||||||||||||||
Columbia Bkg Sys Inc. | 300 | Columbia Bkg Sys Inc. | ^ | 10,770 | ||||||||||||||
Columbia Care Inc | 100 | Columbia Care Inc | ^ | 605 | ||||||||||||||
Comcast Corp Cl A | 3,285 | Comcast Corp Cl A | ^ | 172,134 | ||||||||||||||
Conagra Brands Inc | 700 | Conagra Brands Inc | ^ | 25,382 | ||||||||||||||
Conocophillips | 828 | Conocophillips | ^ | 33,102 | ||||||||||||||
Consolidated Edison | 2,000 | Consolidated Edison | ^ | 144,540 | ||||||||||||||
Constellation Brands Cl. A | 7 | Constellation Brands Cl. A | ^ | 1,552 | ||||||||||||||
Converge Technology Solution | 800 | Converge Technology Solution | ^ | 3,112 | ||||||||||||||
Core One Labs Inc | 22 | Core One Labs Inc | ^ | 16 | ||||||||||||||
Cormedix Inc | 800 | Cormedix Inc | ^ | 5,944 | ||||||||||||||
Corning Inc | 250 | Corning Inc | ^ | 9,000 | ||||||||||||||
Corsair Gaming Inc | 100 | Corsair Gaming Inc | ^ | 3,622 | ||||||||||||||
Corteva Inc | 41 | Corteva Inc | ^ | 1,570 | ||||||||||||||
Costco Wholesale Corp-New | 664 | Costco Wholesale Corp-New | ^ | 250,154 | ||||||||||||||
Coupa Software Inc | 100 | Coupa Software Inc | ^ | 33,891 | ||||||||||||||
Covetrus Inc | 160 | Covetrus Inc | ^ | 4,598 | ||||||||||||||
Cresco Labs Inc Subordinate | 60 | Cresco Labs Inc Subordinate | ^ | 592 | ||||||||||||||
Crispr Therapeutics AG | 133 | Crispr Therapeutics AG | ^ | 20,364 | ||||||||||||||
Cronos Group Inc | 385 | Cronos Group Inc | ^ | 2,672 | ||||||||||||||
Crowdstrike Holdings Inc - A | 350 | Crowdstrike Holdings Inc - A | ^ | 74,137 | ||||||||||||||
Curaleaf Holdings Inc | 125 | Curaleaf Holdings Inc | ^ | 1,496 | ||||||||||||||
CV Sciences Inc | 200 | CV Sciences Inc | ^ | 94 | ||||||||||||||
CVS Health Corp | 997 | CVS Health Corp | ^ | 68,115 | ||||||||||||||
Danaher Corp Del | 464 | Danaher Corp Del | ^ | 103,084 | ||||||||||||||
Datadog Inc Class A | 250 | Datadog Inc Class A | ^ | 24,610 | ||||||||||||||
Deckers Outdoor Corp | 17 | Deckers Outdoor Corp | ^ | 4,875 | ||||||||||||||
Deep Rock Oil & Gas Inc (delisted) | 101 | Deep Rock Oil & Gas Inc (delisted) | ^ | 0 | ||||||||||||||
Deere & Co. | 5 | Deere & Co. | ^ | 1,345 | ||||||||||||||
Dell Technologies -C | 99 | Dell Technologies -C | ^ | 7,256 | ||||||||||||||
Delta Air Lines Inc | 595 | Delta Air Lines Inc | ^ | 23,916 | ||||||||||||||
Designer Brands Inc | 2,000 | Designer Brands Inc | ^ | 15,300 | ||||||||||||||
Deutsche Bank Ag Ord | 463 | Deutsche Bank Ag Ord | ^ | 5,051 | ||||||||||||||
Devon Energy Corp New | 500 | Devon Energy Corp New | ^ | 7,910 | ||||||||||||||
Dexcom Inc | 15 | Dexcom Inc | ^ | 5,546 | ||||||||||||||
Digatrade Financial Corp | 101 | Digatrade Financial Corp | ^ | 0 | ||||||||||||||
Digimarc Corp New | 36 | Digimarc Corp New | ^ | 1,701 | ||||||||||||||
Discovery Metals Corp (dsvs.f 04/14/21) | 500 | Discovery Metals Corp (dsvs.f 04/14/21) | ^ | 765 | ||||||||||||||
Disney Walt Co | 1,198 | Disney Walt Co | ^ | 217,140 | ||||||||||||||
District Metals Corp | 5,000 | District Metals Corp | ^ | 2,075 |
16
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Docusign Inc | 86 | Docusign Inc | ^ | 19,118 | ||||||||||
Dolby Laboratories Inc A | 248 | Dolby Laboratories Inc A | ^ | 24,088 | ||||||||||
Dominion Energy Inc | 142 | Dominion Energy Inc | ^ | 10,678 | ||||||||||
Domino's Pizza Inc | 26 | Domino's Pizza Inc | ^ | 9,970 | ||||||||||
Doordash Inc A | 11 | Doordash Inc A | ^ | 1,570 | ||||||||||
Dow Inc | 96 | Dow Inc | ^ | 5,350 | ||||||||||
Draftkings Inc - Cl A | 26,705 | Draftkings Inc - Cl A | ^ | 1,243,385 | ||||||||||
Dragon Victory International | 1 | Dragon Victory International | ^ | 2 | ||||||||||
Dropbox Inc Class A | 723 | Dropbox Inc Class A | ^ | 16,043 | ||||||||||
Duke Energy Corp | 275 | Duke Energy Corp | ^ | 25,179 | ||||||||||
DuPont de Nemours Inc | 242 | DuPont de Nemours Inc | ^ | 17,177 | ||||||||||
DXC Technology Co | 40 | DXC Technology Co | ^ | 1,030 | ||||||||||
Dynacor Gold Mines Inc | 800 | Dynacor Gold Mines Inc | ^ | 1,101 | ||||||||||
Ebay Inc | 400 | Ebay Inc | ^ | 20,100 | ||||||||||
Ecolab Inc | 50 | Ecolab Inc | ^ | 10,818 | ||||||||||
Editas Medicine Inc | 50 | Editas Medicine Inc | ^ | 3,506 | ||||||||||
Edwards Lifesciences | 1,487 | Edwards Lifesciences | ^ | 135,659 | ||||||||||
Eidos Therapeutics Inc | 17 | Eidos Therapeutics Inc | ^ | 2,237 | ||||||||||
Elanco Animal Health Inc | 74 | Elanco Animal Health Inc | ^ | 2,270 | ||||||||||
Elanco Animal Health Inc | 500 | Elanco Animal Health Inc | ^ | 0 | ||||||||||
Elastic Nv | 17 | Elastic Nv | ^ | 2,484 | ||||||||||
Elemental Royalties Corp | 350 | Elemental Royalties Corp | ^ | 469 | ||||||||||
Eli Lilly & Company | 25 | Eli Lilly & Company | ^ | 4,221 | ||||||||||
Emerald Health Therapeutics | 515 | Emerald Health Therapeutics | ^ | 79 | ||||||||||
Emergent Biosolutions Inc | 55 | Emergent Biosolutions Inc | ^ | 4,928 | ||||||||||
Emerson Electric Co | 175 | Emerson Electric Co | ^ | 14,065 | ||||||||||
EMX Royalty Corp | 350 | EMX Royalty Corp | ^ | 1,173 | ||||||||||
Enbridge Inc | 2,000 | Enbridge Inc | ^ | 63,980 | ||||||||||
Energous Corp | 25 | Energous Corp | ^ | 45 | ||||||||||
Enphase Energy Inc | 22 | Enphase Energy Inc | ^ | 3,860 | ||||||||||
Entergy Corp | 60 | Entergy Corp | ^ | 5,990 | ||||||||||
Epam Systems Inc | 85 | Epam Systems Inc | ^ | 30,460 | ||||||||||
Epizyme Inc | 1 | Epizyme Inc | ^ | 11 | ||||||||||
Equifax Inc. | 1 | Equifax Inc. | ^ | 193 | ||||||||||
Equinox Gold Corp | 310 | Equinox Gold Corp | ^ | 3,205 | ||||||||||
Equitable Holdings Inc | 203 | Equitable Holdings Inc | ^ | 5,193 | ||||||||||
Etsy Inc | 353 | Etsy Inc | ^ | 62,802 | ||||||||||
Eventbrite Inc-Class A | 50 | Eventbrite Inc-Class A | ^ | 905 | ||||||||||
Eversource Energy | 230 | Eversource Energy | ^ | 19,897 | ||||||||||
Everspin Technologies Inc | 100 | Everspin Technologies Inc | ^ | 460 | ||||||||||
Exact Sciences Corp | 136 | Exact Sciences Corp | ^ | 18,019 | ||||||||||
Expedia Group Inc | 10 | Expedia Group Inc | ^ | 1,324 | ||||||||||
Exxon-Mobil Corporation | 1,642 | Exxon-Mobil Corporation | ^ | 67,693 | ||||||||||
Facebook Inc-A | 5,012 | Facebook Inc-A | ^ | 1,369,078 | ||||||||||
Farfetch Ltd-Class A | 10 | Farfetch Ltd-Class A | ^ | 638 | ||||||||||
Fastly Inc Class A | 296 | Fastly Inc Class A | ^ | 25,862 | ||||||||||
Fidelity National Information | 102 | Fidelity National Information | ^ | 14,495 | ||||||||||
Financial Institutions Inc | 750 | Financial Institutions Inc | ^ | 16,875 | ||||||||||
Fireeye Inc | 1,000 | Fireeye Inc | ^ | 23,060 | ||||||||||
First Majestic Silver Corp | 25 | First Majestic Silver Corp | ^ | 336 | ||||||||||
First Mining Gold Corp | 1,450 | First Mining Gold Corp | ^ | 455 | ||||||||||
First Regional Bancorp/Cal (delisted 11/5/14) | 250 | First Regional Bancorp/Cal (delisted 11/5/14) | ^ | 0 | ||||||||||
First Republic Bank/San Fran | 3 | First Republic Bank/San Fran | ^ | 441 | ||||||||||
First Solar Inc | 5 | First Solar Inc | ^ | 495 | ||||||||||
Fiserv Inc | 10 | Fiserv Inc | ^ | 1,139 | ||||||||||
Fisker Inc | 25,549 | Fisker Inc | ^ | 374,293 | ||||||||||
Flexion Therapeutics Inc | 100 | Flexion Therapeutics Inc | ^ | 1,154 | ||||||||||
Fluidigm Corp | 800 | Fluidigm Corp | ^ | 4,800 | ||||||||||
FMC Corp | 30 | FMC Corp | ^ | 3,448 | ||||||||||
Foley Trasimene Acquisiti-A (psfe 03/31/21) | 500 | Foley Trasimene Acquisiti-A (psfe 03/31/21) | ^ | 7,550 | ||||||||||
Ford Motor Co New | 5,329 | Ford Motor Co New | ^ | 46,838 | ||||||||||
Fortuna Silver Mines Inc | 200 | Fortuna Silver Mines Inc | ^ | 1,648 |
17
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Fosterville South Explo-Cl A | 500 | Fosterville South Explo-Cl A | ^ | 1,160 | ||||||||||
Franco Nevada Corp | 30 | Franco Nevada Corp | ^ | 3,790 | ||||||||||
Freddie Mac | 275 | Freddie Mac | ^ | 641 | ||||||||||
Freeport-Mcmoran Inc | 3,087 | Freeport-Mcmoran Inc | ^ | 80,327 | ||||||||||
FS KKR Capital Corp | 54 | FS KKR Capital Corp | ^ | 895 | ||||||||||
Fuelcell Energy Corp | 1,017 | Fuelcell Energy Corp | ^ | 11,360 | ||||||||||
Fulgent Genetics Inc | 140 | Fulgent Genetics Inc | ^ | 7,294 | ||||||||||
Fury Gold Mines Ltd | 84 | Fury Gold Mines Ltd | ^ | 121 | ||||||||||
Future Farm Technologies Inc | 400 | Future Farm Technologies Inc | ^ | 18 | ||||||||||
G1 Therapeutics Inc | 100 | G1 Therapeutics Inc | ^ | 1,799 | ||||||||||
Galiano Gold Inc | 50 | Galiano Gold Inc | ^ | 57 | ||||||||||
Garmin Ltd | 775 | Garmin Ltd | ^ | 92,737 | ||||||||||
GB Sciences Inc | 265 | GB Sciences Inc | ^ | 11 | ||||||||||
GBT Technologies Inc | 2 | GBT Technologies Inc | ^ | 0 | ||||||||||
General Cannabis Corp | 3,571 | General Cannabis Corp | ^ | 1,714 | ||||||||||
General Dynamics Corp | 14 | General Dynamics Corp | ^ | 2,130 | ||||||||||
General Electric Co | 11,581 | General Electric Co | ^ | 125,072 | ||||||||||
General Mills | 269 | General Mills | ^ | 15,799 | ||||||||||
General Motors Co | 35 | General Motors Co | ^ | 1,457 | ||||||||||
Generation Alpha Inc | 300 | Generation Alpha Inc | ^ | 4 | ||||||||||
Gevo Inc | 1,157 | Gevo Inc | ^ | 4,917 | ||||||||||
Gigcapital2 Inc | 250 | Gigcapital2 Inc | ^ | 2,738 | ||||||||||
Gildan Activewear Inc Cl A | 150 | Gildan Activewear Inc Cl A | ^ | 4,202 | ||||||||||
Gilead Sciences Inc | 487 | Gilead Sciences Inc | ^ | 28,400 | ||||||||||
Glencore International PLC | 143 | Glencore International PLC | ^ | 450 | ||||||||||
Global Cannabis Applications Corp | 8,000 | Global Cannabis Applications Corp | ^ | 800 | ||||||||||
GoDaddy Inc - Class A | 50 | GoDaddy Inc - Class A | ^ | 4,148 | ||||||||||
GoGo Inc | 660 | GoGo Inc | ^ | 6,356 | ||||||||||
Gold Standard Ventures Corp | 600 | Gold Standard Ventures Corp | ^ | 434 | ||||||||||
Golden Nugget Online Gaming Inc | 800 | Golden Nugget Online Gaming Inc | ^ | 15,760 | ||||||||||
Goldman Sachs Bdc Inc | 437 | Goldman Sachs Bdc Inc | ^ | 8,355 | ||||||||||
Goldman Sachs Group Inc | 15 | Goldman Sachs Group Inc | ^ | 4,083 | ||||||||||
Goldmining Inc | 115 | Goldmining Inc | ^ | 251 | ||||||||||
Gossamer Bio Inc | 25 | Gossamer Bio Inc | ^ | 242 | ||||||||||
Graphite Energy Corp (grxx.f 03/15/21) | 240 | Graphite Energy Corp (grxx.f 03/15/21) | ^ | 49 | ||||||||||
Green Organic Dutchman Holdi | 5,175 | Green Organic Dutchman Holdi | ^ | 934 | ||||||||||
Green Thumb Industries Inc | 750 | Green Thumb Industries Inc | ^ | 18,375 | ||||||||||
Greensky Inc-Class A | 7,000 | Greensky Inc-Class A | ^ | 32,410 | ||||||||||
Grocery Outlet Holding Corp | 6 | Grocery Outlet Holding Corp | ^ | 236 | ||||||||||
Grow Solutions Holdings Inc | 6,000 | Grow Solutions Holdings Inc | ^ | 9 | ||||||||||
Growgeneration Corp | 145 | Growgeneration Corp | ^ | 5,832 | ||||||||||
Gs Enviroservices Inc (delisted 10/04/17) | 250 | Gs Enviroservices Inc (delisted 10/04/17) | ^ | 0 | ||||||||||
H & R Block Inc. | 25 | H & R Block Inc. | ^ | 403 | ||||||||||
Hain Food Group Inc | 1 | Hain Food Group Inc | ^ | 40 | ||||||||||
Halliburton Company | 719 | Halliburton Company | ^ | 13,585 | ||||||||||
Halo Labs Inc (agee.f 01/27/21) | 750 | Halo Labs Inc (agee.f 01/27/21) | ^ | 30 | ||||||||||
Hanni Financial Corp | 100 | Hanni Financial Corp | ^ | 1,134 | ||||||||||
Harpoon Therapeutics Inc | 40 | Harpoon Therapeutics Inc | ^ | 664 | ||||||||||
Hartford Financial Services Group | 291 | Hartford Financial Services Group | ^ | 14,253 | ||||||||||
Hawaiian Holdings Inc | 150 | Hawaiian Holdings Inc | ^ | 2,655 | ||||||||||
HCA Healthcare Inc | 480 | HCA Healthcare Inc | ^ | 78,941 | ||||||||||
Helix Tcs Inc (hlix 01/11/21) | 250 | Helix Tcs Inc (hlix 01/11/21) | ^ | 123 | ||||||||||
Henry Schein Inc | 400 | Henry Schein Inc | ^ | 26,744 | ||||||||||
Hepion Pharmaceuticals Inc | 5,000 | Hepion Pharmaceuticals Inc | ^ | 10,950 | ||||||||||
Hercules Capital Inc | 2,000 | Hercules Capital Inc | ^ | 28,840 | ||||||||||
Heron Therapeutics Inc | 600 | Heron Therapeutics Inc | ^ | 12,699 | ||||||||||
Hershey Co | 10 | Hershey Co | ^ | 1,540 | ||||||||||
Hertz Global Holdings Inc | 4,100 | Hertz Global Holdings Inc | ^ | 5,248 | ||||||||||
Hewlette Packard Enterprise | 70 | Hewlette Packard Enterprise | ^ | 830 | ||||||||||
Hexo Corp | 15 | Hexo Corp | ^ | 55 | ||||||||||
Hilton Worldwide Holdings Inc | 20 | Hilton Worldwide Holdings Inc | ^ | 2,225 | ||||||||||
HollyFrontier Corp | 1 | HollyFrontier Corp | ^ | 26 |
18
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Hologic Inc | 30 | Hologic Inc | ^ | 2,185 | ||||||||||
Home Depot Incorporated | 631 | Home Depot Incorporated | ^ | 167,737 | ||||||||||
Homology Medicines Inc | 150 | Homology Medicines Inc | ^ | 1,694 | ||||||||||
Honeywell International | 385 | Honeywell International | ^ | 81,973 | ||||||||||
Houghton Mifflin Harcourt Co | 300 | Houghton Mifflin Harcourt Co | ^ | 999 | ||||||||||
Howard Huges Corp/The | 6 | Howard Huges Corp/The | ^ | 474 | ||||||||||
Howmet Aerospace Inc | 50 | Howmet Aerospace Inc | ^ | 1,427 | ||||||||||
IAC/InteractiveCorp | 20 | IAC/InteractiveCorp | ^ | 3,787 | ||||||||||
Idexx Laboratories Inc | 60 | Idexx Laboratories Inc | ^ | 29,992 | ||||||||||
Ilika PLC | 720 | Ilika PLC | ^ | 1,714 | ||||||||||
Immersion Corp | 308 | Immersion Corp | ^ | 3,477 | ||||||||||
Immunocellular Therapeutics | 5,875 | Immunocellular Therapeutics | ^ | 2,409 | ||||||||||
Immunogen Inc. | 200 | Immunogen Inc. | ^ | 1,290 | ||||||||||
Inhibrx Inc | 250 | Inhibrx Inc | ^ | 8,243 | ||||||||||
Inmed Pharmaceuticals Inc | 10 | Inmed Pharmaceuticals Inc | ^ | 33 | ||||||||||
Innovative Industrial Proper | 25 | Innovative Industrial Proper | ^ | 4,663 | ||||||||||
Innoviva Inc | 100 | Innoviva Inc | ^ | 1,239 | ||||||||||
Inovio Pharmaceuticals Inc | 1,974 | Inovio Pharmaceuticals Inc | ^ | 17,470 | ||||||||||
Inseego Corp | 250 | Inseego Corp | ^ | 3,868 | ||||||||||
Intec Pharma Ltd | 7,575 | Intec Pharma Ltd | ^ | 26,134 | ||||||||||
Intel Corporation | 1,997 | Intel Corporation | ^ | 99,476 | ||||||||||
Intercept Pharmaceuticals In | 180 | Intercept Pharmaceuticals In | ^ | 4,446 | ||||||||||
Intl Business Machines Inc | 759 | Intl Business Machines Inc | ^ | 95,528 | ||||||||||
Intra-Cellular Therapies Inc | 200 | Intra-Cellular Therapies Inc | ^ | 6,360 | ||||||||||
Intuit | 28 | Intuit | ^ | 10,636 | ||||||||||
Invitae Corp | 2,254 | Invitae Corp | ^ | 94,240 | ||||||||||
Irhythm Technologies Inc | 1 | Irhythm Technologies Inc | ^ | 237 | ||||||||||
Irobot Corp | 5 | Irobot Corp | ^ | 401 | ||||||||||
Iterum Therapeutics PLC | 21 | Iterum Therapeutics PLC | ^ | 21 | ||||||||||
Jacobs Engr Group Del | 150 | Jacobs Engr Group Del | ^ | 16,344 | ||||||||||
Jet Blue Awys Corp | 2,000 | Jet Blue Awys Corp | ^ | 29,080 | ||||||||||
Jfrog Ltd | 250 | Jfrog Ltd | ^ | 15,708 | ||||||||||
Johnson & Johnson | 500 | Johnson & Johnson | ^ | 78,671 | ||||||||||
Joint Corp/The | 1,900 | Joint Corp/The | ^ | 49,894 | ||||||||||
JPMorgan Chase & Co | 2,013 | JPMorgan Chase & Co | ^ | 255,829 | ||||||||||
Kala Pharmaceuticals Inc | 900 | Kala Pharmaceuticals Inc | ^ | 6,102 | ||||||||||
Kaleido Biosciences Inc | 60 | Kaleido Biosciences Inc | ^ | 546 | ||||||||||
Kansas City Southern | 5 | Kansas City Southern | ^ | 1,021 | ||||||||||
Karora Resources Inc | 166 | Karora Resources Inc | ^ | 493 | ||||||||||
Karyopharm Therapeutics Inc | 3,000 | Karyopharm Therapeutics Inc | ^ | 46,440 | ||||||||||
Keycorp | 1,401 | Keycorp | ^ | 22,983 | ||||||||||
Kimberly Clark | 110 | Kimberly Clark | ^ | 14,831 | ||||||||||
Kinder Morgan Inc | 325 | Kinder Morgan Inc | ^ | 4,443 | ||||||||||
Kirkland Lake Gold Ltd | 25 | Kirkland Lake Gold Ltd | ^ | 1,039 | ||||||||||
Knight-Swift Transportation Holdings Inc | 250 | Knight-Swift Transportation Holdings Inc | ^ | 10,455 | ||||||||||
Kratos Def & Sec Solutions Inc | 900 | Kratos Def & Sec Solutions Inc | ^ | 24,687 | ||||||||||
Kroger Co | 521 | Kroger Co | ^ | 16,546 | ||||||||||
Kura Oncology Inc | 200 | Kura Oncology Inc | ^ | 6,532 | ||||||||||
KushCo Holdings Inc | 191 | KushCo Holdings Inc | ^ | 153 | ||||||||||
L3Harris Technologies Inc | 220 | L3Harris Technologies Inc | ^ | 41,653 | ||||||||||
Lam Research Corp | 10 | Lam Research Corp | ^ | 4,723 | ||||||||||
Lamb Weston Holdings Inc | 233 | Lamb Weston Holdings Inc | ^ | 18,346 | ||||||||||
Lexaria Bioscience Corp (lexx 01/12/21) | 15 | Lexaria Bioscience Corp (lexx 01/12/21) | ^ | 4 | ||||||||||
Lexicon Pharmaceuticals Inc | 1,250 | Lexicon Pharmaceuticals Inc | ^ | 4,275 | ||||||||||
Lindblad Expeditions Holding | 70 | Lindblad Expeditions Holding | ^ | 1,198 | ||||||||||
Lions Gate Entertainment Corp | 375 | Lions Gate Entertainment Corp | ^ | 4,264 | ||||||||||
Lions Gate Entertainment-B | 375 | Lions Gate Entertainment-B | ^ | 3,893 | ||||||||||
Lithium Americas Corp | 100 | Lithium Americas Corp | ^ | 1,255 | ||||||||||
Live Nation Entertainment Inc | 100 | Live Nation Entertainment Inc | ^ | 7,348 | ||||||||||
Livent Corp | 28 | Livent Corp | ^ | 528 | ||||||||||
Lockheed Martin Corp | 104 | Lockheed Martin Corp | ^ | 36,833 | ||||||||||
Logicbio Therapeutics Inc | 120 | Logicbio Therapeutics Inc | ^ | 916 |
19
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Longview Acquisition Corp A (bfly 02/16/21) | 180 | Longview Acquisition Corp A (bfly 02/16/21) | ^ | 3,562 | ||||||||||
Lordstown Motors Corp | 2,000 | Lordstown Motors Corp | ^ | 40,120 | ||||||||||
Lowes Co Inc | 186 | Lowes Co Inc | ^ | 29,873 | ||||||||||
Lucara Diamond Corp | 465 | Lucara Diamond Corp | ^ | 187 | ||||||||||
Lululemon Athletica Inc | 13 | Lululemon Athletica Inc | ^ | 4,524 | ||||||||||
Lumentum Holdings Inc | 15 | Lumentum Holdings Inc | ^ | 1,422 | ||||||||||
Luminar Technologies Inc | 210 | Luminar Technologies Inc | ^ | 7,140 | ||||||||||
Lyft Inc A | 140 | Lyft Inc A | ^ | 6,878 | ||||||||||
MACOM Technology Solutions Holdings Inc | 90 | MACOM Technology Solutions Holdings Inc | ^ | 4,954 | ||||||||||
Macquarie Infrastructure Corp | 151 | Macquarie Infrastructure Corp | ^ | 5,670 | ||||||||||
Madison Square Garden Entertainment CL A | 5 | Madison Square Garden Entertainment CL A | ^ | 525 | ||||||||||
Madison Square Garden Sports Corp | 5 | Madison Square Garden Sports Corp | ^ | 921 | ||||||||||
Mag Silver Corp | 20 | Mag Silver Corp | ^ | 410 | ||||||||||
Magnite Inc | 1,330 | Magnite Inc | ^ | 40,844 | ||||||||||
Mankind Corp | 1,500 | Mankind Corp | ^ | 4,695 | ||||||||||
Marathon Oil Corp | 1 | Marathon Oil Corp | ^ | 7 | ||||||||||
Marathon Petroleum Corp | 103 | Marathon Petroleum Corp | ^ | 4,268 | ||||||||||
Marcus Corp | 400 | Marcus Corp | ^ | 5,392 | ||||||||||
Marijuana Company Of America | 28,092 | Marijuana Company Of America | ^ | 116 | ||||||||||
Marriot Vacations World | 1 | Marriot Vacations World | ^ | 137 | ||||||||||
Marriott International Inc | 100 | Marriott International Inc | ^ | 13,192 | ||||||||||
Marvell Technology Group LTD (mrvl 04/21/21) | 440 | Marvell Technology Group LTD (mrvl 04/21/21) | ^ | 20,918 | ||||||||||
Massroots | 825 | Massroots | ^ | 5 | ||||||||||
Mastercard Inc A | 481 | Mastercard Inc A | ^ | 171,688 | ||||||||||
Match Group Inc | 21 | Match Group Inc | ^ | 3,175 | ||||||||||
Matson Inc | 117 | Matson Inc | ^ | 6,656 | ||||||||||
Mattel Inc | 4,025 | Mattel Inc | ^ | 70,236 | ||||||||||
Maverix Metals Inc | 176 | Maverix Metals Inc | ^ | 961 | ||||||||||
Maxeon Solar Tech Ltd | 1 | Maxeon Solar Tech Ltd | ^ | 28 | ||||||||||
Maxlinear Inc-Class A | 85 | Maxlinear Inc-Class A | ^ | 3,246 | ||||||||||
McCormick & Co Inc | 400 | McCormick & Co Inc | ^ | 38,240 | ||||||||||
Mcdonalds Corp | 298 | Mcdonalds Corp | ^ | 63,945 | ||||||||||
McEwen Mining Inc | 600 | McEwen Mining Inc | ^ | 591 | ||||||||||
mCloud Technologies Corp | 100 | mCloud Technologies Corp | ^ | 145 | ||||||||||
Medical Marijuana Inc | 750 | Medical Marijuana Inc | ^ | 13 | ||||||||||
Medmen Enterprises Inc | 3,685 | Medmen Enterprises Inc | ^ | 478 | ||||||||||
Medtronic PLC | 80 | Medtronic PLC | ^ | 9,371 | ||||||||||
Mercadolibre Inc | 37 | Mercadolibre Inc | ^ | 61,983 | ||||||||||
Merck & Company Inc | 2,111 | Merck & Company Inc | ^ | 172,644 | ||||||||||
Mercury Gen Corp | 137 | Mercury Gen Corp | ^ | 7,178 | ||||||||||
Metalla Royalty & Streaming | 325 | Metalla Royalty & Streaming | ^ | 4,082 | ||||||||||
MGM Resorts International | 525 | MGM Resorts International | ^ | 16,543 | ||||||||||
Microchip Technology | 5 | Microchip Technology | ^ | 691 | ||||||||||
Micron Tech. Inc. | 281 | Micron Tech. Inc. | ^ | 21,126 | ||||||||||
Microsoft Corporation | 4,634 | Microsoft Corporation | ^ | 1,030,629 | ||||||||||
Miller Herman Inc | 44 | Miller Herman Inc | ^ | 1,487 | ||||||||||
Mimedx Group Inc | 1 | Mimedx Group Inc | ^ | 9 | ||||||||||
Mind Medicine Mindmed Inc (mnmd | 3,757 | Mind Medicine Mindmed Inc (mnmd 04/27/21) | ^ | 11,459 | ||||||||||
Minerva Neurosciences Inc | 500 | Minerva Neurosciences Inc | ^ | 1,170 | ||||||||||
Mitek Systems Inc | 100 | Mitek Systems Inc | ^ | 1,778 | ||||||||||
Mobileye Nv (acquired 05/03/18) | 1 | Mobileye Nv (acquired 05/03/18) | ^ | 0 | ||||||||||
Moderna Inc | 383 | Moderna Inc | ^ | 40,012 | ||||||||||
Mogo Inc | 1 | Mogo Inc | ^ | 4 | ||||||||||
Mohawk Ind | 20 | Mohawk Ind | ^ | 2,819 | ||||||||||
Mondelez International Inc | 105 | Mondelez International Inc | ^ | 6,122 | ||||||||||
Moneygram International Inc | 65 | Moneygram International Inc | ^ | 355 | ||||||||||
Monster Beverage Corp | 170 | Monster Beverage Corp | ^ | 15,722 | ||||||||||
Morgan Stanley | 300 | Morgan Stanley | ^ | 20,559 | ||||||||||
MP Materials Corp | 406 | MP Materials Corp | ^ | 13,061 | ||||||||||
Mustang Bio Inc | 5,000 | Mustang Bio Inc | ^ | 18,925 | ||||||||||
Mydx Inc | 13,500 | Mydx Inc | ^ | 3 | ||||||||||
Myriad Genetics Inc | 200 | Myriad Genetics Inc | ^ | 3,955 |
20
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Nabors Industries | 11 | Nabors Industries | ^ | 641 | ||||||||||
Nano Dimension Ltd ADR | 5,000 | Nano Dimension Ltd ADR | ^ | 45,500 | ||||||||||
Nautilus Inc | 1,651 | Nautilus Inc | ^ | 29,949 | ||||||||||
Neophotonics Corp | 5,000 | Neophotonics Corp | ^ | 45,450 | ||||||||||
Neptune Wellness Solutions Inc | 100 | Neptune Wellness Solutions Inc | ^ | 156 | ||||||||||
Net Element Inc | 200 | Net Element Inc | ^ | 2,790 | ||||||||||
Netflix Inc | 232 | Netflix Inc | ^ | 125,449 | ||||||||||
New Mountain Finance Corp | 2,000 | New Mountain Finance Corp | ^ | 22,720 | ||||||||||
New Pacific Holdings Corp | 480 | New Pacific Holdings Corp | ^ | 3,025 | ||||||||||
New Providence Acquisit CL A (asts 04/07/21) | 421 | New Providence Acquisit CL A (asts 04/07/21) | ^ | 5,717 | ||||||||||
NewAge Inc | 100 | NewAge Inc | ^ | 263 | ||||||||||
Newmark Group Inc-Class A | 35 | Newmark Group Inc-Class A | ^ | 257 | ||||||||||
Newmont Corp | 10 | Newmont Corp | ^ | 599 | ||||||||||
Nextcure Inc | 500 | Nextcure Inc | ^ | 5,450 | ||||||||||
Nextech AR Solutions Corp | 34 | Nextech AR Solutions Corp | ^ | 179 | ||||||||||
Nextera Energy Inc | 897 | Nextera Energy Inc | ^ | 69,199 | ||||||||||
Nike Inc. | 138 | Nike Inc. | ^ | 19,514 | ||||||||||
Nikola Corp | 350 | Nikola Corp | ^ | 5,341 | ||||||||||
Nordic American Tankers Ltd | 53 | Nordic American Tankers Ltd | ^ | 155 | ||||||||||
Nordstrom Inc. | 395 | Nordstrom Inc. | ^ | 12,328 | ||||||||||
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 | 145 | Northrop Grumman Corp | ^ | 44,297 | ||||||||||
Northwest Biotherapeutics | 905 | Northwest Biotherapeutics | ^ | 1,380 | ||||||||||
NortonLifeLock Inc | 600 | NortonLifeLock Inc | ^ | 12,468 | ||||||||||
Norwegian Air Shuttle ASA | 99 | Norwegian Air Shuttle ASA | ^ | 973 | ||||||||||
Norwegian Cruise Line Holdin | 701 | Norwegian Cruise Line Holdin | ^ | 17,826 | ||||||||||
Novagold Resources | 800 | Novagold Resources | ^ | 7,749 | ||||||||||
Novan Inc | 200 | Novan Inc | ^ | 163 | ||||||||||
Novavax Inc | 270 | Novavax Inc | ^ | 30,108 | ||||||||||
Nuance Communications Inc | 250 | Nuance Communications Inc | ^ | 11,023 | ||||||||||
Nutanix Inc - A | 1 | Nutanix Inc - A | ^ | 32 | ||||||||||
Nvidia Corp | 322 | Nvidia Corp | ^ | 168,194 | ||||||||||
NXP Semiconductors Nv | 134 | NXP Semiconductors Nv | ^ | 21,319 | ||||||||||
Ocado Group PLC | 20 | Ocado Group PLC | ^ | 617 | ||||||||||
Occidental Petroleum Corp | 340 | Occidental Petroleum Corp | ^ | 5,885 | ||||||||||
Omeros Corp | 1,100 | Omeros Corp | ^ | 15,714 | ||||||||||
Oncocyte Corp | 100 | Oncocyte Corp | ^ | 239 | ||||||||||
Oncolytics Biotech Inc | 350 | Oncolytics Biotech Inc | ^ | 833 | ||||||||||
Oncternal Therapeutics Inc | 200 | Oncternal Therapeutics Inc | ^ | 980 | ||||||||||
Oneok Inc | 465 | Oneok Inc | ^ | 17,847 | ||||||||||
opendoor Technologies Inc | 30 | opendoor Technologies Inc | ^ | 682 | ||||||||||
Opko Health Inc | 200 | Opko Health Inc | ^ | 790 | ||||||||||
Oracle Corp | 850 | Oracle Corp | ^ | 54,987 | ||||||||||
Orasure Technologies | 300 | Orasure Technologies | ^ | 3,176 | ||||||||||
Orezone Gold Corp | 300 | Orezone Gold Corp | ^ | 259 | ||||||||||
Oric Pharmaceuticals Inc | 15 | Oric Pharmaceuticals Inc | ^ | 508 | ||||||||||
Osisko Gold Royalties Ltd | 161 | Osisko Gold Royalties Ltd | ^ | 2,046 | ||||||||||
Otonomy Inc | 250 | Otonomy Inc | ^ | 1,618 | ||||||||||
Overstock.Com Inc | 23 | Overstock.Com Inc | ^ | 1,103 | ||||||||||
Ovid Therapeutics Inc | 1,200 | Ovid Therapeutics Inc | ^ | 2,772 | ||||||||||
Pacific Biosciences of Calif | 98 | Pacific Biosciences of Calif | ^ | 2,542 | ||||||||||
Pacific Premier Bancorp Inc | 27 | Pacific Premier Bancorp Inc | ^ | 846 | ||||||||||
Pacwest Bancorp | 200 | Pacwest Bancorp | ^ | 5,080 | ||||||||||
Pagseguro Digital Ltd-Cl A | 110 | Pagseguro Digital Ltd-Cl A | ^ | 6,257 | ||||||||||
Palantir Technologies Inc A | 14,372 | Palantir Technologies Inc A | ^ | 338,461 | ||||||||||
Palo Alto Networks Inc | 104 | Palo Alto Networks Inc | ^ | 36,961 | ||||||||||
Pan American Silver Cap | 13 | Pan American Silver Cap | ^ | 463 | ||||||||||
Parafin Corp | 2,000,000 | Parafin Corp | ^ | 800 | ||||||||||
Paratek Pharmaceuticals Inc | 1,100 | Paratek Pharmaceuticals Inc | ^ | 6,886 | ||||||||||
Paychex Inc | 285 | Paychex Inc | ^ | 26,556 | ||||||||||
Paycom Software Inc | 90 | Paycom Software Inc | ^ | 40,703 |
21
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Paypal Holdings Inc | 694 | Paypal Holdings Inc | ^ | 162,535 | ||||||||||
Peak Pharmaceuticals Inc | 1,750 | Peak Pharmaceuticals Inc | ^ | 145 | ||||||||||
Pegasystems Inc. | 15 | Pegasystems Inc. | ^ | 1,999 | ||||||||||
Peloton Interactive Inc-A | 315 | Peloton Interactive Inc-A | ^ | 47,792 | ||||||||||
Penn National Gaming | 190 | Penn National Gaming | ^ | 16,410 | ||||||||||
Pennantpark Floating Rate Capital Ltd | 1 | Pennantpark Floating Rate Capital Ltd | ^ | 11 | ||||||||||
Peoples United Financial Inc | 25 | Peoples United Financial Inc | ^ | 323 | ||||||||||
Pepsico Inc | 499 | Pepsico Inc | ^ | 74,002 | ||||||||||
Pershing Square Holdings Ltd | 202 | Pershing Square Holdings Ltd | ^ | 7,163 | ||||||||||
Pershing Square Tontine A | 500 | Pershing Square Tontine A | ^ | 13,860 | ||||||||||
Petersen Cos Inc Cl A | 200 | Petersen Cos Inc Cl A | ^ | 135 | ||||||||||
Pfizer Incorporated | 4,407 | Pfizer Incorporated | ^ | 162,230 | ||||||||||
Pg&e Corp | 811 | Pg&e Corp | ^ | 10,105 | ||||||||||
PGT Innovations Inc | 25 | PGT Innovations Inc | ^ | 509 | ||||||||||
Philip Morris International | 111 | Philip Morris International | ^ | 9,175 | ||||||||||
Phillips 66 | 57 | Phillips 66 | ^ | 3,974 | ||||||||||
Ping Identity Holding Corp | 260 | Ping Identity Holding Corp | ^ | 7,446 | ||||||||||
Pinnacle West Cap Corp | 217 | Pinnacle West Cap Corp | ^ | 17,315 | ||||||||||
Pinterest Inc- Class A | 2,901 | Pinterest Inc- Class A | ^ | 191,176 | ||||||||||
Planet 13 Holdings Inc | 4,100 | Planet 13 Holdings Inc | ^ | 22,940 | ||||||||||
Platinum Group Metals Ltd | 100 | Platinum Group Metals Ltd | ^ | 464 | ||||||||||
Plug Power Inc | 858 | Plug Power Inc | ^ | 29,095 | ||||||||||
Plus Products Inc | 250 | Plus Products Inc | ^ | 133 | ||||||||||
Precision Biosciences Inc | 450 | Precision Biosciences Inc | ^ | 3,753 | ||||||||||
Preferred Bank/Los Angeles | 3 | Preferred Bank/Los Angeles | ^ | 151 | ||||||||||
Preveceutical Medical Inc | 2,500 | Preveceutical Medical Inc | ^ | 59 | ||||||||||
Procter & Gamble Co | 609 | Procter & Gamble Co | ^ | 84,684 | ||||||||||
Profire Energy Inc | 5,000 | Profire Energy Inc | ^ | 4,263 | ||||||||||
Progenity Inc | 350 | Progenity Inc | ^ | 1,859 | ||||||||||
Progyny Inc | 580 | Progyny Inc | ^ | 24,586 | ||||||||||
ProQR Therapeutics NV | 500 | ProQR Therapeutics NV | ^ | 2,100 | ||||||||||
Prothena Corp PLC | 200 | Prothena Corp PLC | ^ | 2,402 | ||||||||||
Prudential Finl Inc | 16 | Prudential Finl Inc | ^ | 1,257 | ||||||||||
PTC Inc | 17 | PTC Inc | ^ | 2,033 | ||||||||||
Pure Storage Inc - Class A | 2,331 | Pure Storage Inc - Class A | ^ | 52,704 | ||||||||||
Qualcomm | 370 | Qualcomm | ^ | 56,373 | ||||||||||
Quest Diagnostics Inc | 11 | Quest Diagnostics Inc | ^ | 1,367 | ||||||||||
Quidel Corp | 100 | Quidel Corp | ^ | 17,965 | ||||||||||
Rackspace Technology Inc | 50 | Rackspace Technology Inc | ^ | 953 | ||||||||||
Radius Health Inc | 100 | Radius Health Inc | ^ | 1,786 | ||||||||||
Range Resource Corp. | 2,500 | Range Resource Corp. | ^ | 16,750 | ||||||||||
Raytheon Technologies Corp | 351 | Raytheon Technologies Corp | ^ | 25,132 | ||||||||||
Razer Inc | 9,000 | Razer Inc | ^ | 2,678 | ||||||||||
Red Lion Hotels Corp (acquired 03/18/21) | 18 | Red Lion Hotels Corp (acquired 03/18/21) | ^ | 62 | ||||||||||
Red Violet Inc | 150 | Red Violet Inc | ^ | 3,917 | ||||||||||
Redfin Corp | 851 | Redfin Corp | ^ | 58,404 | ||||||||||
Regions Finl Corp Com | 501 | Regions Finl Corp Com | ^ | 8,070 | ||||||||||
Replimune Group Inc | 31 | Replimune Group Inc | ^ | 1,183 | ||||||||||
Reynolds Consumer Products I | 50 | Reynolds Consumer Products I | ^ | 1,502 | ||||||||||
Riot Blockchain Inc | 1,240 | Riot Blockchain Inc | ^ | 21,068 | ||||||||||
Rite Aid Corp | 195 | Rite Aid Corp | ^ | 3,087 | ||||||||||
Roan Holdings Group Co Ltd | 1 | Roan Holdings Group Co Ltd | ^ | 0 | ||||||||||
Robert Half Intl Inc | 100 | Robert Half Intl Inc | ^ | 6,248 | ||||||||||
Rocket Cos Inc-Class A | 2,057 | Rocket Cos Inc-Class A | ^ | 41,593 | ||||||||||
Rockwell International | 200 | Rockwell International | ^ | 50,162 | ||||||||||
Roku Inc | 423 | Roku Inc | ^ | 140,444 | ||||||||||
Roper Technologies Inc | 93 | Roper Technologies Inc | ^ | 40,091 | ||||||||||
Ross Stores Inc | 70 | Ross Stores Inc | ^ | 8,597 | ||||||||||
* | Royal Bank Of Canada | 1,049,521 | Royal Bank Of Canada | ^ | 86,123,686 | |||||||||
Royal Caribbean Cruises Ltd Is | 350 | Royal Caribbean Cruises Ltd Is | ^ | 26,142 | ||||||||||
Royal Gold Inc | 305 | Royal Gold Inc | ^ | 32,460 | ||||||||||
S&P Global Inc | 80 | S&P Global Inc | ^ | 26,322 |
22
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Sabina Gold & Silver Corp | 325 | Sabina Gold & Silver Corp | ^ | 839 | ||||||||||
Salesforce.Com Inc | 1,277 | Salesforce.Com Inc | ^ | 284,171 | ||||||||||
Samaritan Pharmaceuticals (Delisted 8/15/2011) | 1,166 | Samaritan Pharmaceuticals (Delisted 8/15/2011) | ^ | 0 | ||||||||||
Sandstorm Gold Ltd | 875 | Sandstorm Gold Ltd | ^ | 6,274 | ||||||||||
Santander Consumer USA Holdi | 1 | Santander Consumer USA Holdi | ^ | 22 | ||||||||||
Schlumberger Ltd | 4,000 | Schlumberger Ltd | ^ | 87,320 | ||||||||||
Scotts Miracle-Gro Co Cl A | 19 | Scotts Miracle-Gro Co Cl A | ^ | 3,809 | ||||||||||
Seabridge Res Inc | 605 | Seabridge Res Inc | ^ | 12,747 | ||||||||||
Seadrill Ltd | 10 | Seadrill Ltd | ^ | 3 | ||||||||||
Seagen Inc | 400 | Seagen Inc | ^ | 70,056 | ||||||||||
Seanergy Maritime Holdings | 3,750 | Seanergy Maritime Holdings | ^ | 2,016 | ||||||||||
Semiconductor Corporation | 100 | Semiconductor Corporation | ^ | 3,273 | ||||||||||
Senseonics Holdings Inc | 2,600 | Senseonics Holdings Inc | ^ | 2,267 | ||||||||||
Servicenow Inc | 54 | Servicenow Inc | ^ | 29,723 | ||||||||||
Shake Shack Inc - Class A | 8 | Shake Shack Inc - Class A | ^ | 678 | ||||||||||
SharpSpring Inc | 450 | SharpSpring Inc | ^ | 7,326 | ||||||||||
Sherwin Williams | 30 | Sherwin Williams | ^ | 22,047 | ||||||||||
Shift Technologies Inc | 1,100 | Shift Technologies Inc | ^ | 9,097 | ||||||||||
Shockwave Medical Inc | 268 | Shockwave Medical Inc | ^ | 27,797 | ||||||||||
Shopify Inc - A | 18 | Shopify Inc - A | ^ | 20,375 | ||||||||||
Silicon Laboratories | 10 | Silicon Laboratories | ^ | 1,273 | ||||||||||
Silvercorp Metals Inc | 101 | Silvercorp Metals Inc | ^ | 674 | ||||||||||
Silvercrest Metals Inc | 35 | Silvercrest Metals Inc | ^ | 391 | ||||||||||
Sirius XM Holdings Inc | 1,158 | Sirius XM Holdings Inc | ^ | 7,378 | ||||||||||
Skillz Inc | 50,035 | Skillz Inc | ^ | 1,000,700 | ||||||||||
Skyworks Solutions Inc | 11 | Skyworks Solutions Inc | ^ | 1,682 | ||||||||||
Slack Technologies Inc- Cl A | 10 | Slack Technologies Inc- Cl A | ^ | 422 | ||||||||||
Smith & Wesson Brands Inc | 274 | Smith & Wesson Brands Inc | ^ | 4,864 | ||||||||||
Snap Inc - A | 1,203 | Snap Inc - A | ^ | 60,234 | ||||||||||
Snowflake Inc-Class A | 119 | Snowflake Inc-Class A | ^ | 33,487 | ||||||||||
Social Capital Hedosophia A (clov 01/08/21) | 300 | Social Capital Hedosophia A (clov 01/08/21) | ^ | 5,031 | ||||||||||
Solaredge Technologies Inc | 10 | Solaredge Technologies Inc | ^ | 3,191 | ||||||||||
Sonoco Products Co | 228 | Sonoco Products Co | ^ | 13,509 | ||||||||||
Sonos Inc | 482 | Sonos Inc | ^ | 11,274 | ||||||||||
Southern Company | 290 | Southern Company | ^ | 17,815 | ||||||||||
Southwest Airlines Company | 1,265 | Southwest Airlines Company | ^ | 58,962 | ||||||||||
Spero Therapeutics Inc | 150 | Spero Therapeutics Inc | ^ | 2,909 | ||||||||||
Spirit Aerosystems Holdings Cl A | 355 | Spirit Aerosystems Holdings Cl A | ^ | 13,877 | ||||||||||
Splunk Inc | 157 | Splunk Inc | ^ | 26,673 | ||||||||||
Spotify Technology Sa | 11 | Spotify Technology Sa | ^ | 3,461 | ||||||||||
Sprott Inc | 40 | Sprott Inc | ^ | 1,169 | ||||||||||
Sprouts Farmers Markets Inc | 1,500 | Sprouts Farmers Markets Inc | ^ | 30,150 | ||||||||||
Square Inc - A | 10,439 | Square Inc - A | ^ | 2,271,944 | ||||||||||
SS&C Technologies Holdings | 50 | SS&C Technologies Holdings | ^ | 3,638 | ||||||||||
SSR Mining Inc | 100 | SSR Mining Inc | ^ | 2,011 | ||||||||||
Stamps.Com Inc | 100 | Stamps.Com Inc | ^ | 19,619 | ||||||||||
Stanley Black and Decker Inc | 50 | Stanley Black and Decker Inc | ^ | 8,928 | ||||||||||
Starbucks Corp. | 1,150 | Starbucks Corp. | ^ | 123,047 | ||||||||||
Stereotaxis Inc | 69,050 | Stereotaxis Inc | ^ | 351,465 | ||||||||||
Stericycle Inc | 330 | Stericycle Inc | ^ | 22,879 | ||||||||||
Stoke Therapeutics Inc | 100 | Stoke Therapeutics Inc | ^ | 6,193 | ||||||||||
Stryker Corporation | 35 | Stryker Corporation | ^ | 8,576 | ||||||||||
Summit Materials Inc Cl A | 100 | Summit Materials Inc Cl A | ^ | 2,008 | ||||||||||
Sundial Growers Inc | 1,000 | Sundial Growers Inc | ^ | 474 | ||||||||||
Sunpower Corp | 15 | Sunpower Corp | ^ | 385 | ||||||||||
Sunrun Inc | 50 | Sunrun Inc | ^ | 3,469 | ||||||||||
Switchback Energy Acquisit A (chpt 03/01/21) | 16 | Switchback Energy Acquisit A (chpt 03/01/21) | ^ | 641 | ||||||||||
Synergy Pharmaceuticals Inc (acquired 05/02/19) | 200 | Synergy Pharmaceuticals Inc (acquired 05/02/19) | ^ | 0 | ||||||||||
Synopsys Inc | 25 | Synopsys Inc | ^ | 6,481 | ||||||||||
Tabula Rasa Healthcare Inc | 72 | Tabula Rasa Healthcare Inc | ^ | 3,084 | ||||||||||
Target Corp | 330 | Target Corp | ^ | 58,247 | ||||||||||
Taseko Mines LTD | 10,000 | Taseko Mines LTD | ^ | 13,200 |
23
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Tattooed Chef Inc | 1,000 | Tattooed Chef Inc | ^ | 22,890 | ||||||||||
TDK Corp | 20 | TDK Corp | ^ | 3,032 | ||||||||||
Teladoc Health Inc | 135 | Teladoc Health Inc | ^ | 26,995 | ||||||||||
Tenet Healthcare Corp. | 65 | Tenet Healthcare Corp. | ^ | 2,595 | ||||||||||
Teradyne Inc | 10 | Teradyne Inc | ^ | 1,199 | ||||||||||
Teranga Gold Corp | 40 | Teranga Gold Corp | ^ | 431 | ||||||||||
Terra Tech Corp | 32,924 | Terra Tech Corp | ^ | 4,939 | ||||||||||
Tesla Inc | 3,002 | Tesla Inc | ^ | 2,118,421 | ||||||||||
Texas Instruments Inc | 17 | Texas Instruments Inc | ^ | 2,816 | ||||||||||
TG Therapeutics Inc | 1,600 | TG Therapeutics Inc | ^ | 83,232 | ||||||||||
Thermo Fisher Scientific Inc | 310 | Thermo Fisher Scientific Inc | ^ | 144,392 | ||||||||||
Tilray Inc-Class 2 Common | 75 | Tilray Inc-Class 2 Common | ^ | 620 | ||||||||||
Titan Pharmaceuticals Inc | 41 | Titan Pharmaceuticals Inc | ^ | 135 | ||||||||||
Tjx Companies | 110 | Tjx Companies | ^ | 7,512 | ||||||||||
T-Mobile US Inc | 602 | T-Mobile US Inc | ^ | 81,180 | ||||||||||
Torex Gold Resources Inc | 35 | Torex Gold Resources Inc | ^ | 525 | ||||||||||
Trade Desk Inc/The -Class A | 55 | Trade Desk Inc/The -Class A | ^ | 44,055 | ||||||||||
Tradeweb Markets Inc-Class A | 116 | Tradeweb Markets Inc-Class A | ^ | 7,244 | ||||||||||
Trane Technologies PLC | 239 | Trane Technologies PLC | ^ | 34,693 | ||||||||||
Transocean Ltd | 1 | Transocean Ltd | ^ | 2 | ||||||||||
Transunion | 340 | Transunion | ^ | 33,735 | ||||||||||
Travelers Cos Inc | 5 | Travelers Cos Inc | ^ | 702 | ||||||||||
Triton International Ltd | 20 | Triton International Ltd | ^ | 970 | ||||||||||
Trulieve Cannabis Corp | 125 | Trulieve Cannabis Corp | ^ | 3,953 | ||||||||||
Turquoise Hill Resources Inc | 1,300 | Turquoise Hill Resources Inc | ^ | 16,146 | ||||||||||
Twilio Inc - A | 371 | Twilio Inc - A | ^ | 125,584 | ||||||||||
Twitter Inc | 771 | Twitter Inc | ^ | 41,750 | ||||||||||
Tyme Technologies Inc | 888 | Tyme Technologies Inc | ^ | 1,083 | ||||||||||
Uber Technologies Inc | 2,160 | Uber Technologies Inc | ^ | 110,160 | ||||||||||
UBS Group AG | 1 | UBS Group AG | ^ | 14 | ||||||||||
Ulta Salon Cosmetics & Fragrance Inc | 259 | Ulta Salon Cosmetics & Fragrance Inc | ^ | 74,374 | ||||||||||
Union Pacific Corp. | 60 | Union Pacific Corp. | ^ | 12,493 | ||||||||||
United Airlines Holdings Inc | 545 | United Airlines Holdings Inc | ^ | 23,571 | ||||||||||
United Parcel Service | 55 | United Parcel Service | ^ | 9,262 | ||||||||||
United Rentals Inc | 322 | United Rentals Inc | ^ | 74,675 | ||||||||||
United States Steel Corp | 400 | United States Steel Corp | ^ | 6,708 | ||||||||||
Unitedhealth Group Inc | 410 | Unitedhealth Group Inc | ^ | 143,902 | ||||||||||
Unity Software Inc | 1,012 | Unity Software Inc | ^ | 155,312 | ||||||||||
Universal Display Corp | 5 | Universal Display Corp | ^ | 1,149 | ||||||||||
US Foods Holding Corp | 25 | US Foods Holding Corp | ^ | 833 | ||||||||||
Us Global Nanospace Inc | 2,000 | Us Global Nanospace Inc | ^ | 1 | ||||||||||
Utz Brands Inc | 2,906 | Utz Brands Inc | ^ | 64,106 | ||||||||||
V.F. Corp. | 115 | V.F. Corp. | ^ | 9,861 | ||||||||||
Vail Resorts Inc. | 20 | Vail Resorts Inc. | ^ | 5,579 | ||||||||||
Varian Medical Systems (acquired 04/15/21) | 40 | Varian Medical Systems (acquired 04/15/21) | ^ | 7,000 | ||||||||||
VBI Vaccines Inc | 1,100 | VBI Vaccines Inc | ^ | 3,025 | ||||||||||
Veeva Systems Inc-Class A | 124 | Veeva Systems Inc-Class A | ^ | 33,759 | ||||||||||
Velodyne Lidar Inc | 175 | Velodyne Lidar Inc | ^ | 3,994 | ||||||||||
Verastem Inc | 101,300 | Verastem Inc | ^ | 215,769 | ||||||||||
Verisign Inc. | 63 | Verisign Inc. | ^ | 13,633 | ||||||||||
Verizon Communications | 4,555 | Verizon Communications | ^ | 267,606 | ||||||||||
Vertex Pharmaceuticals | 12 | Vertex Pharmaceuticals | ^ | 2,836 | ||||||||||
ViacomCBS Inc | 4,241 | ViacomCBS Inc | ^ | 158,020 | ||||||||||
Viasat Inc. | 150 | Viasat Inc. | ^ | 4,898 | ||||||||||
Viatris Inc | 130 | Viatris Inc | ^ | 2,436 | ||||||||||
Virgin Galactic Holdings Inc | 476 | Virgin Galactic Holdings Inc | ^ | 11,295 | ||||||||||
Visa Inc Class A Shares | 1,074 | Visa Inc Class A Shares | ^ | 234,867 | ||||||||||
Vista Outdoor Inc | 25 | Vista Outdoor Inc | ^ | 594 | ||||||||||
Vulcan Matls Co | 44 | Vulcan Matls Co | ^ | 6,526 | ||||||||||
Vuzix Corp | 100 | Vuzix Corp | ^ | 908 | ||||||||||
W&T Offshore Inc | 1,000 | W&T Offshore Inc | ^ | 2,170 | ||||||||||
Wabtec | 1 | Wabtec | ^ | 73 |
24
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Waddell & Reed Financial CL A (acquired 05/03/21) | 1 | Waddell & Reed Financial CL A (acquired 05/03/21) | ^ | 25 | ||||||||||
Waitr Holdings Inc | 800 | Waitr Holdings Inc | ^ | 2,224 | ||||||||||
Walgreens Boots Alliance Inc | 132 | Walgreens Boots Alliance Inc | ^ | 5,277 | ||||||||||
Walmart Inc | 880 | Walmart Inc | ^ | 126,858 | ||||||||||
Weedmd Inc | 500 | Weedmd Inc | ^ | 96 | ||||||||||
Wells Fargo & Co New | 1,413 | Wells Fargo & Co New | ^ | 42,647 | ||||||||||
Welltower Inc | 10 | Welltower Inc | ^ | 646 | ||||||||||
Western Alliance Bancorp | 407 | Western Alliance Bancorp | ^ | 24,400 | ||||||||||
Western Digital Corp | 100 | Western Digital Corp | ^ | 5,539 | ||||||||||
Westport Innovations Inc | 500 | Westport Innovations Inc | ^ | 2,665 | ||||||||||
Wheaton Precious Metals Corp | 352 | Wheaton Precious Metals Corp | ^ | 14,677 | ||||||||||
Whirlpool Corp. | 50 | Whirlpool Corp. | ^ | 9,085 | ||||||||||
Whitecap Resources Inc | 100 | Whitecap Resources Inc | ^ | 382 | ||||||||||
Whitehorse Gold Corp | 62 | Whitehorse Gold Corp | ^ | 191 | ||||||||||
Williams Co. | 340 | Williams Co. | ^ | 6,825 | ||||||||||
Winston Gold Corp | 7,000 | Winston Gold Corp | ^ | 827 | ||||||||||
Wolverine Wld Wide Inc. | 425 | Wolverine Wld Wide Inc. | ^ | 13,281 | ||||||||||
Workday Inc-Class A | 207 | Workday Inc-Class A | ^ | 49,599 | ||||||||||
Workhorse Group Inc | 280 | Workhorse Group Inc | ^ | 5,538 | ||||||||||
WPX Energy Inc (dvn 01/07/21) | 1,300 | WPX Energy Inc (dvn 01/07/21) | ^ | 10,595 | ||||||||||
Wynn Resorts Ltd | 186 | Wynn Resorts Ltd | ^ | 20,986 | ||||||||||
Xcel Energy Inc | 240 | Xcel Energy Inc | ^ | 16,001 | ||||||||||
Xilinx Inc | 405 | Xilinx Inc | ^ | 57,417 | ||||||||||
XL Fleet Corp | 500 | XL Fleet Corp | ^ | 11,865 | ||||||||||
XPO Logistics Inc | 50 | XPO Logistics Inc | ^ | 5,960 | ||||||||||
Yellow Media Ltd | 25 | Yellow Media Ltd | ^ | 246 | ||||||||||
Yelp Inc | 225 | Yelp Inc | ^ | 7,351 | ||||||||||
Yext Inc | 150 | Yext Inc | ^ | 2,358 | ||||||||||
Yum! Brands Inc. | 210 | Yum! Brands Inc. | ^ | 22,791 | ||||||||||
Zebra Technologies | 266 | Zebra Technologies | ^ | 102,232 | ||||||||||
Zillow Group Inc CL C | 147 | Zillow Group Inc CL C | ^ | 19,081 | ||||||||||
Zoetis Inc | 621 | Zoetis Inc | ^ | 102,776 | ||||||||||
Zogenix Inc | 200 | Zogenix Inc | ^ | 3,998 | ||||||||||
Zoned Properties Inc | 575 | Zoned Properties Inc | ^ | 247 | ||||||||||
Zoom Video Communications-A | 2,058 | Zoom Video Communications-A | ^ | 694,205 | ||||||||||
Zosano Pharma Corp | 1,000 | Zosano Pharma Corp | ^ | 527 | ||||||||||
Zscaler Inc | 47 | Zscaler Inc | ^ | 9,386 | ||||||||||
Zuora Inc - Class A | 370 | Zuora Inc - Class A | ^ | 5,154 | ||||||||||
Hon Hai Precision-Gdr Reg S | 80 | Hon Hai Precision-Gdr Reg S | ^ | 528 | ||||||||||
AGNC Investment Corp | 348 | AGNC Investment Corp | ^ | 5,428 | ||||||||||
American Tower REIT Inc | 3 | American Tower REIT Inc | ^ | 673 | ||||||||||
Annaly Capital Management Inc | 11,506 | Annaly Capital Management Inc | ^ | 97,222 | ||||||||||
Arbor Realty Trust Inc | 485 | Arbor Realty Trust Inc | ^ | 6,874 | ||||||||||
Armour Residential Reit Inc | 33 | Armour Residential Reit Inc | ^ | 356 | ||||||||||
Cbl & Associates Properties | 36,500 | Cbl & Associates Properties | ^ | 1,515 | ||||||||||
Chatham Lodging Trust | 777 | Chatham Lodging Trust | ^ | 8,392 | ||||||||||
Chimera Investment Corp | 565 | Chimera Investment Corp | ^ | 5,793 | ||||||||||
Colony Capital Inc | 11,020 | Colony Capital Inc | ^ | 53,006 | ||||||||||
Community Healthcare Trust I | 1,500 | Community Healthcare Trust I | ^ | 70,665 | ||||||||||
Crown Castle Intl Corp | 1,819 | Crown Castle Intl Corp | ^ | 289,526 | ||||||||||
Digital Realty Trust Inc | 5 | Digital Realty Trust Inc | ^ | 698 | ||||||||||
Equinix Inc | 57 | Equinix Inc | ^ | 40,708 | ||||||||||
Essex Property Trust Inc | 105 | Essex Property Trust Inc | ^ | 24,929 | ||||||||||
Healthcare Trust Of America | 460 | Healthcare Trust Of America | ^ | 12,668 | ||||||||||
Healthpeak Properties Inc | 11 | Healthpeak Properties Inc | ^ | 333 | ||||||||||
Hersha Hospitality Trust | 200 | Hersha Hospitality Trust | ^ | 1,578 | ||||||||||
Invesco Mortgage Capital | 20 | Invesco Mortgage Capital | ^ | 68 | ||||||||||
Invitation Homes Inc | 142 | Invitation Homes Inc | ^ | 4,217 | ||||||||||
Istar Inc | 150 | Istar Inc | ^ | 2,228 | ||||||||||
Medical Properties Trust Inc | 1,000 | Medical Properties Trust Inc | ^ | 21,790 | ||||||||||
Mid America Apt Community | 150 | Mid America Apt Community | ^ | 19,004 | ||||||||||
National Retail Properties Inc | 620 | National Retail Properties Inc | ^ | 25,370 |
25
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
New Residential Investment | 50 | New Residential Investment | ^ | 497 | ||||||||||
Office Pptys Income Tr | 16 | Office Pptys Income Tr | ^ | 363 | ||||||||||
Omega Healthcare Invs | 500 | Omega Healthcare Invs | ^ | 18,160 | ||||||||||
Park Hotels & Resorts Inc | 1,701 | Park Hotels & Resorts Inc | ^ | 29,167 | ||||||||||
Pennsylvania Real Estate Investment Trust | 1,000 | Pennsylvania Real Estate Investment Trust | ^ | 1,000 | ||||||||||
Prologis Inc | 229 | Prologis Inc | ^ | 22,822 | ||||||||||
Realty Income Corp | 37 | Realty Income Corp | ^ | 2,324 | ||||||||||
SBA Communications Corp | 12 | SBA Communications Corp | ^ | 3,386 | ||||||||||
Simon Ppty Group Inc | 1,000 | Simon Ppty Group Inc | ^ | 85,280 | ||||||||||
Stag Industrial Inc | 200 | Stag Industrial Inc | ^ | 6,264 | ||||||||||
Starwood Property Trust Inc | 441 | Starwood Property Trust Inc | ^ | 8,511 | ||||||||||
Store Capital Corp | 375 | Store Capital Corp | ^ | 12,743 | ||||||||||
Tanger Factory Outlet Centrs | 26 | Tanger Factory Outlet Centrs | ^ | 256 | ||||||||||
UDR Inc | 600 | UDR Inc | ^ | 23,058 | ||||||||||
Yellow Media Ltd-Cw22 | 14 | Yellow Media Ltd-Cw22 | ^ | 5 | ||||||||||
3-D Systems Corp @11.5 1/22/21 | (1 | ) | 3-D Systems Corp @11.5 1/22/21 | ^ | -38 | |||||||||
Adverum Biotechnologies @10 3/19/21 | (3 | ) | Adverum Biotechnologies @10 3/19/21 | ^ | -730 | |||||||||
Aerie Pharmaceuticals Inc @12.5 5/21/21 | (3 | ) | Aerie Pharmaceuticals Inc @12.5 5/21/21 | ^ | -871 | |||||||||
Akebia Therapeutics Inc @2.5 4/16/21 | (8 | ) | Akebia Therapeutics Inc @2.5 4/16/21 | ^ | -660 | |||||||||
Allogene Therapeutics Inc @30 5/21/21 | (2 | ) | Allogene Therapeutics Inc @30 5/21/21 | ^ | -570 | |||||||||
AMC Entertainment Hlds-Cl A @4 1/21/22 | 10 | AMC Entertainment Hlds-Cl A @4 1/21/22 | ^ | 837 | ||||||||||
American Airlines Group Inc @16.5 12/04/20 | (7 | ) | American Airlines Group Inc @16.5 12/04/20 | ^ | 0 | |||||||||
American Well Corp @35 01/15/21 | (6 | ) | American Well Corp @35 01/15/21 | ^ | -45 | |||||||||
Aphria Inc @8 1/29/21 | 7 | Aphria Inc @8 1/29/21 | ^ | 339 | ||||||||||
Apple Inc @128 1/15/21 | 3 | Apple Inc @128 1/15/21 | ^ | 1,935 | ||||||||||
Apple Inc @137 12/31/20 | (3 | ) | Apple Inc @137 12/31/20 | ^ | 0 | |||||||||
Arcos Dorados Holdings Inc-A @5 2/19/21 | (10 | ) | Arcos Dorados Holdings Inc-A @5 2/19/21 | ^ | -385 | |||||||||
Ardelyx Inc @7.5 1/15/21 | (4 | ) | Ardelyx Inc @7.5 1/15/21 | ^ | -210 | |||||||||
Ardelyx Inc @7.5 4/16/21 | (11 | ) | Ardelyx Inc @7.5 4/16/21 | ^ | -1,045 | |||||||||
Astrazeneca Plc Sponsored Adr @55 1/15/21 | (1 | ) | Astrazeneca Plc Sponsored Adr @55 1/15/21 | ^ | -13 | |||||||||
AT&T Inc @33 3/19/21 | (1 | ) | AT&T Inc @33 3/19/21 | ^ | -23 | |||||||||
Bank Of America Corp @28 1/15/21 | (10 | ) | Bank Of America Corp @28 1/15/21 | ^ | -2,450 | |||||||||
Beazer Homes Usa @13 5/21/21 | (1 | ) | Beazer Homes Usa @13 5/21/21 | ^ | -345 | |||||||||
Beyond Meat Inc @142 12/31/20 | (11 | ) | Beyond Meat Inc @142 12/31/20 | ^ | 0 | |||||||||
Bloom Energy Corp- A @31 1/15/21 | (250 | ) | Bloom Energy Corp- A @31 1/15/21 | ^ | -36,875 | |||||||||
Boeing Company @240 12/18/20 | (1 | ) | Boeing Company @240 12/18/20 | ^ | 0 | |||||||||
Bristol-Myers Squibb Co @62.5 1/21/22 | 25 | Bristol-Myers Squibb Co @62.5 1/21/22 | ^ | 14,875 | ||||||||||
Caesars Entertainment-IPO @75 1/15/21 | (5 | ) | Caesars Entertainment-IPO @75 1/15/21 | ^ | -1,568 | |||||||||
Callaway Golf Co. @22 1/15/21 | (2 | ) | Callaway Golf Co. @22 1/15/21 | ^ | -474 | |||||||||
Cloudera Inc @15 1/15/21 | 1 | Cloudera Inc @15 1/15/21 | ^ | 26 | ||||||||||
Compass Pathways PLC @70 01/15/21 | (2 | ) | Compass Pathways PLC @70 01/15/21 | ^ | -89 | |||||||||
Conocophillips @70 1/15/21 | (4 | ) | Conocophillips @70 1/15/21 | ^ | 0 | |||||||||
Cormedix Inc @5 3/19/21 | (8 | ) | Cormedix Inc @5 3/19/21 | ^ | -2,327 | |||||||||
Cronos Group Inc @15 1/15/21 | 12 | Cronos Group Inc @15 1/15/21 | ^ | 4 | ||||||||||
Designer Brands Inc @10 1/15/21 | (20 | ) | Designer Brands Inc @10 1/15/21 | ^ | -150 | |||||||||
Designer Brands Inc @10 7/16/21 | 25 | Designer Brands Inc @10 7/16/21 | ^ | 2,688 | ||||||||||
Designer Brands Inc @7.5 1/21/22 | 20 | Designer Brands Inc @7.5 1/21/22 | ^ | 4,991 | ||||||||||
Direxion Daily Energy Bull 2 @15 1/21/22 | 30 | Direxion Daily Energy Bull 2 @15 1/21/22 | ^ | 11,400 | ||||||||||
Direxion Daily Gold Miners I @74 1/29/21 | 1 | Direxion Daily Gold Miners I @74 1/29/21 | ^ | 371 | ||||||||||
Direxion Daily S&P 500 Bear 3X @5 3/19/21 | (18 | ) | Direxion Daily S&P 500 Bear 3X @5 3/19/21 | ^ | -486 | |||||||||
Direxion Daily S&P 500 Bear 3X @6 3/19/21 | (10 | ) | Direxion Daily S&P 500 Bear 3X @6 3/19/21 | ^ | -185 | |||||||||
Draftkings Inc - Cl A @55 1/15/21 | (250 | ) | Draftkings Inc - Cl A @55 1/15/21 | ^ | -11,760 | |||||||||
Dropbox Inc Class A @25 1/21/22 | 50 | Dropbox Inc Class A @25 1/21/22 | ^ | 17,771 | ||||||||||
Flexion Therapeutics Inc @12.5 1/15/21 | (1 | ) | Flexion Therapeutics Inc @12.5 1/15/21 | ^ | -38 | |||||||||
Ford Motor Co New @10.5 1/22/21 | (1 | ) | Ford Motor Co New @10.5 1/22/21 | ^ | -3 | |||||||||
Fulgent Genetics Inc @30 4/16/21 | (1 | ) | Fulgent Genetics Inc @30 4/16/21 | ^ | -2,490 | |||||||||
G1 Therapeutics Inc @17.5 4/16/21 | (1 | ) | G1 Therapeutics Inc @17.5 4/16/21 | ^ | -438 | |||||||||
General Electric Co @12 1/21/22 | 50 | General Electric Co @12 1/21/22 | ^ | 8,050 | ||||||||||
Gilead Sciences Inc @57.5 1/21/22 | 30 | Gilead Sciences Inc @57.5 1/21/22 | ^ | 20,848 | ||||||||||
Golden Nugget Online Gaming Inc @20 1/15/21 | (3 | ) | Golden Nugget Online Gaming Inc @20 1/15/21 | ^ | -660 | |||||||||
Golden Nugget Online Gaming Inc @22.5 1/15/21 | (2 | ) | Golden Nugget Online Gaming Inc @22.5 1/15/21 | ^ | -275 | |||||||||
Greensky Inc-Class A @5 1/21/22 | 100 | Greensky Inc-Class A @5 1/21/22 | ^ | 13,009 |
26
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | |||||||||
Heron Therapeutics Inc @17 3/19/21 | (6 | ) | Heron Therapeutics Inc @17 3/19/21 | ^ | -3,530 | |||||||||
Innoviva Inc @11 3/19/21 | (1 | ) | Innoviva Inc @11 3/19/21 | ^ | -215 | |||||||||
Invesco Currencyshares Canad @77 3/19/21 | 4 | Invesco Currencyshares Canad @77 3/19/21 | ^ | 436 | ||||||||||
Invesco QQQ Trust Series 1 @313 1/29/21 | (13 | ) | Invesco QQQ Trust Series 1 @313 1/29/21 | ^ | -11,417 | |||||||||
Invesco QQQ Trust Series 1 @314 1/29/21 | (17 | ) | Invesco QQQ Trust Series 1 @314 1/29/21 | ^ | -13,889 | |||||||||
Invitation Homes Inc @30 1/15/21 | 4 | Invitation Homes Inc @30 1/15/21 | ^ | 190 | ||||||||||
IQIY Inc ADS @27.5 1/15/21 | (15 | ) | IQIY Inc ADS @27.5 1/15/21 | ^ | -12 | |||||||||
Jfrog Ltd @95 01/15/21 | (1 | ) | Jfrog Ltd @95 01/15/21 | ^ | -3 | |||||||||
JPMorgan Chase & Co @125 1/15/21 | 3 | JPMorgan Chase & Co @125 1/15/21 | ^ | 1,154 | ||||||||||
Kala Pharmaceuticals Inc @7.5 4/16/21 | (9 | ) | Kala Pharmaceuticals Inc @7.5 4/16/21 | ^ | -1,395 | |||||||||
Kura Oncology Inc @17.5 1/15/21 | (2 | ) | Kura Oncology Inc @17.5 1/15/21 | ^ | -3,046 | |||||||||
Las Vegas Sands Corp @60 3/19/21 | 10 | Las Vegas Sands Corp @60 3/19/21 | ^ | 4,525 | ||||||||||
Lexicon Pharmaceuticals Inc @4 7/16/21 | (4 | ) | Lexicon Pharmaceuticals Inc @4 7/16/21 | ^ | -541 | |||||||||
Microsoft Corporation @210 4/16/21 | 2 | Microsoft Corporation @210 4/16/21 | ^ | 4,112 | ||||||||||
Microsoft Corporation @220 1/15/21 | 3 | Microsoft Corporation @220 1/15/21 | ^ | 1,718 | ||||||||||
Microsoft Corporation @230 12/18/20 | (1 | ) | Microsoft Corporation @230 12/18/20 | ^ | 0 | |||||||||
Nano Dimension Ltd @10 01/15/21 | (50 | ) | Nano Dimension Ltd @10 01/15/21 | ^ | -4,350 | |||||||||
Nextcure Inc @10 3/19/21 | (5 | ) | Nextcure Inc @10 3/19/21 | ^ | -1,384 | |||||||||
NIO Inc Spon ADS @52 1/29/21 | (2 | ) | NIO Inc Spon ADS @52 1/29/21 | ^ | -956 | |||||||||
Omeros Corp @11 2/19/21 | (3 | ) | Omeros Corp @11 2/19/21 | ^ | -1,151 | |||||||||
Omeros Corp @13 5/21/21 | (2 | ) | Omeros Corp @13 5/21/21 | ^ | -810 | |||||||||
Omeros Corp @14 1/15/21 | (3 | ) | Omeros Corp @14 1/15/21 | ^ | -356 | |||||||||
Orasure Technologies @15 4/16/21 | (3 | ) | Orasure Technologies @15 4/16/21 | ^ | -210 | |||||||||
Ovid Therapeutics Inc @2.5 4/16/21 | (10 | ) | Ovid Therapeutics Inc @2.5 4/16/21 | ^ | -575 | |||||||||
Ovid Therapeutics Inc @5 4/16/21 | (2 | ) | Ovid Therapeutics Inc @5 4/16/21 | ^ | -40 | |||||||||
Palantir Technologies Inc A @28 2/19/21 | (1 | ) | Palantir Technologies Inc A @28 2/19/21 | ^ | -208 | |||||||||
Paratek Pharmaceuticals Inc @7.5 1/15/21 | (10 | ) | Paratek Pharmaceuticals Inc @7.5 1/15/21 | ^ | -75 | |||||||||
Pershing Square Tontin @30 01/15/21 | (1 | ) | Pershing Square Tontin @30 01/15/21 | ^ | -88 | |||||||||
Pfizer Incorporated @42 1/22/21 | 4 | Pfizer Incorporated @42 1/22/21 | ^ | 36 | ||||||||||
Pfizer Incorporated @42 3/19/21 | 3 | Pfizer Incorporated @42 3/19/21 | ^ | 158 | ||||||||||
Pg&e Corp @10 1/15/21 | (8 | ) | Pg&e Corp @10 1/15/21 | ^ | -1,970 | |||||||||
ProQR Therapeutics NV @5 4/16/21 | (4 | ) | ProQR Therapeutics NV @5 4/16/21 | ^ | -360 | |||||||||
Proshares Ultra Silver @50 1/15/21 | 1 | Proshares Ultra Silver @50 1/15/21 | ^ | 410 | ||||||||||
Proshares Ultra Vix St Future @19 1/08/21 | (1 | ) | Proshares Ultra Vix St Future @19 1/08/21 | ^ | -14 | |||||||||
Redhill Biopharma Ltd @10 07/16/21 | (4 | ) | Redhill Biopharma Ltd @10 07/16/21 | ^ | -930 | |||||||||
Robert Half Intl Inc @60 1/15/21 | (1 | ) | Robert Half Intl Inc @60 1/15/21 | ^ | -324 | |||||||||
Rocket Cos Inc-Class A @24 2/19/21 | (3 | ) | Rocket Cos Inc-Class A @24 2/19/21 | ^ | -252 | |||||||||
Shift Technologies Inc @10 01/15/21 | (5 | ) | Shift Technologies Inc @10 01/15/21 | ^ | -112 | |||||||||
Shift Technologies Inc @12.5 01/15/21 | (6 | ) | Shift Technologies Inc @12.5 01/15/21 | ^ | -45 | |||||||||
Skillz Inc @22.5 01/15/21 | (425 | ) | Skillz Inc @22.5 01/15/21 | ^ | -49,937 | |||||||||
Skillz Inc @25 2/19/21 | (75 | ) | Skillz Inc @25 2/19/21 | ^ | -15,937 | |||||||||
Southwest Airlines Company @50 3/19/21 | 10 | Southwest Airlines Company @50 3/19/21 | ^ | 2,365 | ||||||||||
SPDR S&P 500 ETF Trust @366 4/16/21 | 3 | SPDR S&P 500 ETF Trust @366 4/16/21 | ^ | 6,285 | ||||||||||
Square Inc - A @280 2/19/21 | (100 | ) | Square Inc - A @280 2/19/21 | ^ | -25,750 | |||||||||
SSR Mining Inc @17 1/15/21 | (1 | ) | SSR Mining Inc @17 1/15/21 | ^ | -321 | |||||||||
Summit Materials Inc Cl A @17.5 2/19/21 | (1 | ) | Summit Materials Inc Cl A @17.5 2/19/21 | ^ | -340 | |||||||||
Taseko Mines LTD @2 2/19/21 | (100 | ) | Taseko Mines LTD @2 2/19/21 | ^ | -750 | |||||||||
Tattoed Chef Inc @35 01/15/21 | (5 | ) | Tattoed Chef Inc @35 01/15/21 | ^ | -62 | |||||||||
Tattooed Chef Inc @22.5 01/15/21 | (2 | ) | Tattooed Chef Inc @22.5 01/15/21 | ^ | -372 | |||||||||
Teva Pharmaceutical @10 1/21/22 | 50 | Teva Pharmaceutical @10 1/21/22 | ^ | 9,175 | ||||||||||
TG Therapeutics Inc @20 1/15/21 | (15 | ) | TG Therapeutics Inc @20 1/15/21 | ^ | -48,539 | |||||||||
Unity Software @170 1/15/21 | (10 | ) | Unity Software @170 1/15/21 | ^ | -3,500 | |||||||||
VBI Vaccines Inc @3 1/15/21 | (8 | ) | VBI Vaccines Inc @3 1/15/21 | ^ | -180 | |||||||||
VBI Vaccines Inc @3.5 1/15/21 | (3 | ) | VBI Vaccines Inc @3.5 1/15/21 | ^ | -23 | |||||||||
Verastem Inc @2 3/19/21 | (13 | ) | Verastem Inc @2 3/19/21 | ^ | -561 | |||||||||
W&T Offshore Inc @2 4/16/21 | (10 | ) | W&T Offshore Inc @2 4/16/21 | ^ | -561 | |||||||||
Waitr Holdings Inc @3 4/16/21 | (8 | ) | Waitr Holdings Inc @3 4/16/21 | ^ | -513 | |||||||||
Wrap Technologies Inc | 1 | Wrap Technologies Inc | ^ | 0 | ||||||||||
Zogenix Inc @23 1/15/21 | (2 | ) | Zogenix Inc @23 1/15/21 | ^ | -60 | |||||||||
TOTAL COMMON STOCKS | 120,736,227 |
27
CITY NATIONAL BANK
PROFIT SHARING PLAN
EIN: 95-1780067 PN: 001
Attachment to 2020 Form 5500
Schedule H Part IV, Line 4(i) — Schedule of Assets (Held at End of Year)
December 31, 2020
(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 | 1,954,413 | Loomis Sayles Large Cap Growth Trust C | ^ | 67,524,972 | |||||||||
Prudential Core Plus Bond Fund Class 5 | 340,787 | Prudential Core Plus Bond Fund Class 5 | ^ | 67,002,151 | |||||||||
Vanguard Target Retirement 2015 Trust II | 154,690 | Vanguard Target Retirement 2015 Trust II | ^ | 6,179,873 | |||||||||
Vanguard Target Retirement 2020 Trust II | 295,101 | Vanguard Target Retirement 2020 Trust II | ^ | 12,279,145 | |||||||||
Vanguard Target Retirement 2025 Trust II | 686,459 | Vanguard Target Retirement 2025 Trust II | ^ | 29,119,607 | |||||||||
Vanguard Target Retirement 2030 Trust II | 629,994 | Vanguard Target Retirement 2030 Trust II | ^ | 26,825,164 | |||||||||
Vanguard Target Retirement 2035 Trust II | 739,736 | Vanguard Target Retirement 2035 Trust II | ^ | 32,311,685 | |||||||||
Vanguard Target Retirement 2040 Trust II | 599,640 | Vanguard Target Retirement 2040 Trust II | ^ | 27,277,644 | |||||||||
Vanguard Target Retirement 2045 Trust II | 739,088 | Vanguard Target Retirement 2045 Trust II | ^ | 34,123,679 | |||||||||
Vanguard Target Retirement 2050 Trust II | 583,758 | Vanguard Target Retirement 2050 Trust II | ^ | 27,109,715 | |||||||||
Vanguard Target Retirement 2055 Trust II | 229,142 | Vanguard Target Retirement 2055 Trust II | ^ | 14,252,663 | |||||||||
Vanguard Target Retirement 2060 Trust II | 142,004 | Vanguard Target Retirement 2060 Trust II | ^ | 6,969,579 | |||||||||
Vanguard Target Retirement 2065 Trust II | 83,587 | Vanguard Target Retirement 2065 Trust II | ^ | 2,526,849 | |||||||||
Vanguard Target Retirement Inc Trust II | 175,417 | Vanguard Target Retirement Inc Trust II | ^ | 7,281,556 | |||||||||
TOTAL COMMON COLLECTIVE FUNDS | 360,784,282 | ||||||||||||
MUTUAL FUNDS | |||||||||||||
180 Degree Capital Corp | 300 | 180 Degree Capital Corp | ^ | 666 | |||||||||
Aberdeen Standard Physical Platinum Shares ETF | 100 | Aberdeen Standard Physical Platinum Shares ETF | ^ | 10,073 | |||||||||
Alps Clean Energy Etf | 27 | Alps Clean Energy Etf | ^ | 2,164 | |||||||||
Alps International Sector Di | 255 | Alps International Sector Di | ^ | 6,630 | |||||||||
Altaba Inc Escrow | 175 | Altaba Inc Escrow | ^ | 2,546 | |||||||||
Amplify High Income ETF | 403 | Amplify High Income ETF | ^ | 6,418 | |||||||||
Amplify Online Retail ETF | 11 | Amplify Online Retail ETF | ^ | 1,258 | |||||||||
Ark Fintech Innovation ETF | 75 | Ark Fintech Innovation ETF | ^ | 3,728 | |||||||||
Ark Genomic Revolution ETF | 51 | Ark Genomic Revolution ETF | ^ | 4,767 | |||||||||
Ark Innovation ETF | 309 | Ark Innovation ETF | ^ | 38,467 | |||||||||
Ark Next Generation Internet ETF | 157 | Ark Next Generation Internet ETF | ^ | 22,979 | |||||||||
Avantis International Small Cap Value ETF | 202 | Avantis International Small Cap Value ETF | ^ | 11,553 | |||||||||
Avantis US Equity ETF | 301 | Avantis US Equity ETF | ^ | 18,984 | |||||||||
Avantis US Small Cap Value | 766 | Avantis US Small Cap Value | ^ | 43,560 | |||||||||
BlackRock Corporate High Yield Fund Inc | 123 | BlackRock Corporate High Yield Fund Inc | ^ | 1,402 | |||||||||
BlackRock Resources & Commodities Strategy Trust | 100 | BlackRock Resources & Commodities Strategy Trust | ^ | 741 | |||||||||
Brookfield Real Assets Income Fund Inc | 275 | Brookfield Real Assets Income Fund Inc | ^ | 4,895 | |||||||||
Calamos Conv Opp Inc Sbi | 35,038 | Calamos Conv Opp Inc Sbi | ^ | 474,412 | |||||||||
Calamos Convertible & High Income | 9,562 | Calamos Convertible & High Income | ^ | 136,548 | |||||||||
Calamos Global Total Return | 2,000 | Calamos Global Total Return | ^ | 29,340 | |||||||||
Cambria Shareholder Yield Et | 1,000 | Cambria Shareholder Yield Et | ^ | 44,580 | |||||||||
Direxion Daily Aerospace & D | 303 | Direxion Daily Aerospace & D | ^ | 5,124 | |||||||||
Direxion Daily Csi China Int | 1 | Direxion Daily Csi China Int | ^ | 61 | |||||||||
Direxion Daily Energy Bull 2 | 1,100 | Direxion Daily Energy Bull 2 | ^ | 15,785 | |||||||||
Direxion Daily Gold Miners I | 98 | Direxion Daily Gold Miners I | ^ | 1,950 | |||||||||
Direxion Daily Homebuilders | 1,000 | Direxion Daily Homebuilders | ^ | 46,160 | |||||||||
Direxion Daily Junior Gold M | 155 | Direxion Daily Junior Gold M | ^ | 18,687 | |||||||||
Direxion Daily Latin America Bull 2x Shares | 1 | Direxion Daily Latin America Bull 2x Shares | ^ | 80 | |||||||||
Direxion Daily Msci Brazil B | 1 | Direxion Daily Msci Brazil B | ^ | 116 | |||||||||
Direxion Daily S&P 500 Bear 3X (spxs 01/11/21) | 2,925 | Direxion Daily S&P 500 Bear 3X (spxs 01/11/21) | ^ | 11,437 | |||||||||
Direxion Daily S&P 500 Bull 3X | 651 | Direxion Daily S&P 500 Bull 3X | ^ | 47,038 | |||||||||
Direxion Daily S&P 500 High | 1 | Direxion Daily S&P 500 High | ^ | 228 | |||||||||
Direxion Daily S&P 500 High (hibs 01/11/21) | 530 | Direxion Daily S&P 500 High (hibs 01/11/21) | ^ | 885 | |||||||||
Direxion Daily S&P Biotech Bull | 111 | Direxion Daily S&P Biotech Bull | ^ | 11,148 | |||||||||
Direxion Daily S&P Oil & Gas | 20 | Direxion Daily S&P Oil & Gas | ^ | 763 | |||||||||
Direxion Daily S&P Oil & Gas | 163 | Direxion Daily S&P Oil & Gas | ^ | 4,329 | |||||||||
Direxion DSI C Ch A-Shr Bear 1X | 270 | Direxion DSI C Ch A-Shr Bear 1X | ^ | 4,774 | |||||||||
Direxion Healthcare Bull 3X | 75 | Direxion Healthcare Bull 3X | ^ | 5,777 | |||||||||
Eaton Vance Ltd Duration Income | 4,000 | Eaton Vance Ltd Duration Income | ^ | 50,120 | |||||||||
Eaton Vance Sr Floating Rate Fund | 100 | Eaton Vance Sr Floating Rate Fund | ^ | 1,273 | |||||||||
Eaton Vance Tax - Managed Glob | 2,709 | Eaton Vance Tax - Managed Glob | ^ | 23,761 | |||||||||
Elements Rogers Agri Total Return | 250 | Elements Rogers Agri Total Return | ^ | 1,645 | |||||||||
Emerging Mrkts Internet & Ec | 55 | Emerging Mrkts Internet & Ec | ^ | 3,497 | |||||||||
ETFMG Alternative Harvest | 215 | ETFMG Alternative Harvest | ^ | 3,085 |
28
CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 | |||||||||
ETFMG Prime Mobile Payments ETF | 486 | ETFMG Prime Mobile Payments ETF | ^ | 32,331 | ||||||||||
Fidelity Financials Etf | 49 | Fidelity Financials Etf | ^ | 2,069 | ||||||||||
Financial Bull 3X Shares | 49 | Financial Bull 3X Shares | ^ | 2,990 | ||||||||||
First Trust Cloud Computing ETF | 21 | First Trust Cloud Computing ETF | ^ | 1,996 | ||||||||||
First Trust DJ Internet Ind | 684 | First Trust DJ Internet Ind | ^ | 145,165 | ||||||||||
First Trust Nasdaq 100 EQ WEI | 10 | First Trust Nasdaq 100 EQ WEI | ^ | 1,009 | ||||||||||
First Trust NASDAQ Cybersecurity ETF | 634 | First Trust NASDAQ Cybersecurity ETF | ^ | 28,126 | ||||||||||
First Trust Technology Alpha | 40 | First Trust Technology Alpha | ^ | 4,481 | ||||||||||
Flaherty & Crumrine Preferred and Income Securities Fund Inc | 1,500 | Flaherty & Crumrine Preferred and Income Securities Fund Inc | ^ | 35,145 | ||||||||||
Gabelli Equity Tr Inc | 11,606 | Gabelli Equity Tr Inc | ^ | 72,771 | ||||||||||
GAMCO Global Gold Natural Res & Income Trust | 557 | GAMCO Global Gold Natural Res & Income Trust | ^ | 1,955 | ||||||||||
Global X Autonomous&Elec Etf | 92 | Global X Autonomous&Elec Etf | ^ | 2,205 | ||||||||||
Global X Cloud Computing Etf | 1 | Global X Cloud Computing Etf | ^ | 28 | ||||||||||
Global X Funds Global X Artificial Int & Tech ETF | 1 | Global X Funds Global X Artificial Int & Tech ETF | ^ | 27 | ||||||||||
Global X Mlp ETF | 301 | Global X Mlp ETF | ^ | 8,241 | ||||||||||
Global X MSCI Columbia ETF | 127 | Global X MSCI Columbia ETF | ^ | 4,125 | ||||||||||
Global X Msci Greece Etf | 698 | Global X Msci Greece Etf | ^ | 17,780 | ||||||||||
Global X Msci Pakistan ETF | 360 | Global X Msci Pakistan ETF | ^ | 10,385 | ||||||||||
Global X Robotics & Artifici | 611 | Global X Robotics & Artifici | ^ | 20,252 | ||||||||||
Goldman Activebeta US LC ETF | 135 | Goldman Activebeta US LC ETF | ^ | 10,218 | ||||||||||
Graniteshares Gold Trust | 200 | Graniteshares Gold Trust | ^ | 3,778 | ||||||||||
Grayscale Bitcoin Trust BTC | 600 | Grayscale Bitcoin Trust BTC | ^ | 19,200 | ||||||||||
Grayscale Ethereum Classic T | 5,525 | Grayscale Ethereum Classic T | ^ | 35,277 | ||||||||||
Invesco China Technology Etf | 131 | Invesco China Technology Etf | ^ | 10,753 | ||||||||||
Invesco Dynamic Semiconducto | 70 | Invesco Dynamic Semiconducto | ^ | 7,353 | ||||||||||
Invesco Preferred Etf | 580 | Invesco Preferred Etf | ^ | 8,851 | ||||||||||
Invesco Qqq Trust Series 1 | 3,445 | Invesco Qqq Trust Series 1 | ^ | 1,080,776 | ||||||||||
Invesco Solar Etf | 100 | Invesco Solar Etf | ^ | 10,285 | ||||||||||
Invesco Ultra Short Duration | 20,838 | Invesco Ultra Short Duration | ^ | 1,053,986 | ||||||||||
Invesco Wilderhill Clean Ene | 10 | Invesco Wilderhill Clean Ene | ^ | 1,034 | ||||||||||
iShares 1-3 Year Treasury Bond | 2,000 | iShares 1-3 Year Treasury Bond | ^ | 172,760 | ||||||||||
iShares 20+ Year Treasury Bond | 192 | iShares 20+ Year Treasury Bond | ^ | 30,284 | ||||||||||
iShares 7-10 Year Treasury Bon | 1,821 | iShares 7-10 Year Treasury Bon | ^ | 218,429 | ||||||||||
iShares Core Dividend Growth | 484 | iShares Core Dividend Growth | ^ | 21,693 | ||||||||||
iShares Core S&P Mid-Cap ETF | 156 | iShares Core S&P Mid-Cap ETF | ^ | 35,853 | ||||||||||
iShares Core S&P Small-Cap ETF | 1,120 | iShares Core S&P Small-Cap ETF | ^ | 102,915 | ||||||||||
iShares Core U.S. Aggregate Bond ETF | 37 | iShares Core U.S. Aggregate Bond ETF | ^ | 4,361 | ||||||||||
iShares Expanded Tech Sector ETF | 25 | iShares Expanded Tech Sector ETF | ^ | 8,746 | ||||||||||
Ishares Gen-Immunology Hlth | 60 | Ishares Gen-Immunology Hlth | ^ | 2,756 | ||||||||||
iShares Global Clean Energy ETF | 1,190 | iShares Global Clean Energy ETF | ^ | 33,606 | ||||||||||
iShares iBoxx High Yield Corp | 43 | iShares iBoxx High Yield Corp | ^ | 3,754 | ||||||||||
iShares MSCI Brazil ETF | 132 | iShares MSCI Brazil ETF | ^ | 4,912 | ||||||||||
iShares MSCI Canada ETF | 261 | iShares MSCI Canada ETF | ^ | 8,038 | ||||||||||
iShares MSCI EAFE Small-Cap ETF | 57 | iShares MSCI EAFE Small-Cap ETF | ^ | 3,902 | ||||||||||
iShares MSCI Emerging Markets | 656 | iShares MSCI Emerging Markets | ^ | 33,874 | ||||||||||
iShares MSCI Emerging Markets | 65 | iShares MSCI Emerging Markets | ^ | 5,694 | ||||||||||
iShares MSCI Europe Financials | 420 | iShares MSCI Europe Financials | ^ | 7,367 | ||||||||||
iShares MSCI Germany ETF | 11 | iShares MSCI Germany ETF | ^ | 349 | ||||||||||
iShares MSCI Global Gold Miner | 65 | iShares MSCI Global Gold Miner | ^ | 1,938 | ||||||||||
iShares MSCI Israel ETF | 130 | iShares MSCI Israel ETF | ^ | 8,350 | ||||||||||
iShares MSCI Russia ETF | 219 | iShares MSCI Russia ETF | ^ | 8,164 | ||||||||||
iShares MSCI South Korea ETF | 70 | iShares MSCI South Korea ETF | ^ | 6,024 | ||||||||||
iShares MSCI Spain ETF | 304 | iShares MSCI Spain ETF | ^ | 8,223 | ||||||||||
iShares MSCI Switzerland ETF | 11 | iShares MSCI Switzerland ETF | ^ | 491 | ||||||||||
iShares MSCI Turkey ETF | 346 | iShares MSCI Turkey ETF | ^ | 9,168 | ||||||||||
iShares MSCI USA ETF | 5 | iShares MSCI USA ETF | ^ | 146 | ||||||||||
Ishares MSCI USA Momentum Fa | 153 | Ishares MSCI USA Momentum Fa | ^ | 24,635 | ||||||||||
Ishares MSCI USA Quality Fac | 316 | Ishares MSCI USA Quality Fac | ^ | 36,750 | ||||||||||
iShares Nasdaq Biotechnology ETF | 10 | iShares Nasdaq Biotechnology ETF | ^ | 1,515 | ||||||||||
iShares PHLX Semiconductor ETF | 80 | iShares PHLX Semiconductor ETF | ^ | 30,334 | ||||||||||
iShares Preferred & Income Securities ETF | 684 | iShares Preferred & Income Securities ETF | ^ | 26,333 | ||||||||||
iShares Russell 1000 ETF | 101 | iShares Russell 1000 ETF | ^ | 21,501 |
29
CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 Russell 1000 Growth ETF | 45 | iShares Russell 1000 Growth ETF | ^ | 10,851 | ||||||||||
iShares Russell 1000 Value ETF | 150 | iShares Russell 1000 Value ETF | ^ | 20,570 | ||||||||||
iShares Russell 2000 ETF | 2,908 | iShares Russell 2000 ETF | ^ | 570,240 | ||||||||||
iShares Russell 2000 Value ETF | 1,817 | iShares Russell 2000 Value ETF | ^ | 239,343 | ||||||||||
iShares S&P 100 ETF | 400 | iShares S&P 100 ETF | ^ | 68,656 | ||||||||||
iShares S&P 500 Value ETF | 100 | iShares S&P 500 Value ETF | ^ | 12,802 | ||||||||||
Ishares Self-Driving Ev&Tech | 60 | Ishares Self-Driving Ev&Tech | ^ | 2,592 | ||||||||||
iShares SILVER TRUST iShares | 426 | iShares SILVER TRUST iShares | ^ | 10,467 | ||||||||||
iShares TIPS Bond ETF | 207 | iShares TIPS Bond ETF | ^ | 26,419 | ||||||||||
iShares U.S. Financials ETF | 200 | iShares U.S. Financials ETF | ^ | 13,354 | ||||||||||
iShares U.S. Healthcare ETF | 21 | iShares U.S. Healthcare ETF | ^ | 5,103 | ||||||||||
iShares USTechnology ETF | 883 | iShares USTechnology ETF | ^ | 75,110 | ||||||||||
John Hancock Pfd Income III | 2,000 | John Hancock Pfd Income III | ^ | 34,580 | ||||||||||
John Hancock Preferred Income Fund | 3,000 | John Hancock Preferred Income Fund | ^ | 59,040 | ||||||||||
Kayne Anderson Energy Infrastucture Fund Inc | 1 | Kayne Anderson Energy Infrastucture Fund Inc | ^ | 6 | ||||||||||
KFA Value Line Dynamic Core | 100 | KFA Value Line Dynamic Core | ^ | 2,066 | ||||||||||
Kraneshares CSI China Intern | 11 | Kraneshares CSI China Intern | ^ | 845 | ||||||||||
Kraneshares MSCI China Clean Technology Index ETF | 400 | Kraneshares MSCI China Clean Technology Index ETF | ^ | 17,664 | ||||||||||
Microsectors Gold Miners 3X | 150 | Microsectors Gold Miners 3X | ^ | 3,801 | ||||||||||
Nuveen Credit Strategies Income Fund | 5,725 | Nuveen Credit Strategies Income Fund | ^ | 36,238 | ||||||||||
Nuveen Dividend And Income Closed-End Fnd | 5,000 | Nuveen Dividend And Income Closed-End Fnd | ^ | 43,850 | ||||||||||
Nuveen Floating Rate Income | 5,000 | Nuveen Floating Rate Income | ^ | 43,700 | ||||||||||
Nuveen Preferred & Income Opportunities Fund | 7,580 | Nuveen Preferred & Income Opportunities Fund | ^ | 72,006 | ||||||||||
O'Shares Global Internet Gia | 455 | O'Shares Global Internet Gia | ^ | 24,697 | ||||||||||
Pimco Corporate & Income Opportunity Fund | 2,056 | Pimco Corporate & Income Opportunity Fund | ^ | 36,700 | ||||||||||
Pimco Corporate & Income Strategy Fund | 1,000 | Pimco Corporate & Income Strategy Fund | ^ | 17,240 | ||||||||||
Pimco Dynamic Credit and Mortgage Income Fund | 200 | Pimco Dynamic Credit and Mortgage Income Fund | ^ | 4,240 | ||||||||||
Pimco High Income Fund | 10,578 | Pimco High Income Fund | ^ | 63,996 | ||||||||||
Pimco Income Opportunity Fund | 2,038 | Pimco Income Opportunity Fund | ^ | 51,506 | ||||||||||
Procure Space Etf | 1 | Procure Space Etf | ^ | 25 | ||||||||||
Prosh Ultrapro Short S&P 500 (spxu 01/21/21) | 360 | Prosh Ultrapro Short S&P 500 (spxu 01/21/21) | ^ | 2,131 | ||||||||||
Proshares Online Retail ETF | 11 | Proshares Online Retail ETF | ^ | 834 | ||||||||||
Proshares Short QQQ | 4,000 | Proshares Short QQQ | ^ | 57,640 | ||||||||||
ProShares Short Russell2000 | 4,000 | ProShares Short Russell2000 | ^ | 101,680 | ||||||||||
Proshares Short S&P 500 | 4,000 | Proshares Short S&P 500 | ^ | 71,880 | ||||||||||
Proshares Ultpro Shrt Dow30 | 2,683 | Proshares Ultpro Shrt Dow30 | ^ | 34,208 | ||||||||||
Proshares Ultra 20+ year Trend | 2 | Proshares Ultra 20+ year Trend | ^ | 124 | ||||||||||
ProShares Ultra Bloomberg Crude Oil | 145 | ProShares Ultra Bloomberg Crude Oil | ^ | 5,259 | ||||||||||
Proshares Ultra Vix St Future | 500 | Proshares Ultra Vix St Future | ^ | 5,325 | ||||||||||
Proshares Ultrapro Dow30 | 771 | Proshares Ultrapro Dow30 | ^ | 78,982 | ||||||||||
Proshares Ultrapro QQQ | 430 | Proshares Ultrapro QQQ | ^ | 78,174 | ||||||||||
ProShares UltraPro Russell2000 | 45 | ProShares UltraPro Russell2000 | ^ | 3,542 | ||||||||||
Proshares Ultrapro Short QQQ | 69 | Proshares Ultrapro Short QQQ | ^ | 1,047 | ||||||||||
Reaves Utility Income Trust Fund | 200 | Reaves Utility Income Trust Fund | ^ | 6,558 | ||||||||||
Renaissance IPO ETF | 40 | Renaissance IPO ETF | ^ | 2,580 | ||||||||||
Robo Global Robotics and Automation Index | 21 | Robo Global Robotics and Automation Index | ^ | 1,279 | ||||||||||
Roundhill Bitkraft Esports | 140 | Roundhill Bitkraft Esports | ^ | 4,233 | ||||||||||
Schwab Emerging Markets Equi | 150 | Schwab Emerging Markets Equi | ^ | 4,592 | ||||||||||
Schwab U.S. Large-Cap Growth | 214 | Schwab U.S. Large-Cap Growth | ^ | 27,517 | ||||||||||
Schwab US Broad Market | 750 | Schwab US Broad Market | ^ | 68,243 | ||||||||||
Select Sector Spdr Utilities | 385 | Select Sector Spdr Utilities | ^ | 24,140 | ||||||||||
Small Cap Bull 3X Shares | 65 | Small Cap Bull 3X Shares | ^ | 4,311 | ||||||||||
SPDR Biotech ETF | 3,149 | SPDR Biotech ETF | ^ | 443,302 | ||||||||||
SPDR Dow Jones Emerging Small Cap | 51 | SPDR Dow Jones Emerging Small Cap | ^ | 2,633 | ||||||||||
SPDR Dow Jones Industrial Average ETF Trust | 37 | SPDR Dow Jones Industrial Average ETF Trust | ^ | 11,221 | ||||||||||
SPDR GOLD TRUST GOLD SHS | 875 | SPDR GOLD TRUST GOLD SHS | ^ | 156,065 | ||||||||||
SPDR Portfolio S&P 1500 Composite Stock Market ETF | 621 | SPDR Portfolio S&P 1500 Composite Stock Market ETF | ^ | 28,625 | ||||||||||
SPDR Portfolio S&P 500 Growth ETF | 149 | SPDR Portfolio S&P 500 Growth ETF | ^ | 8,238 | ||||||||||
SPDR Portfolio Short Term Treasury ETF | 1,130 | SPDR Portfolio Short Term Treasury ETF | ^ | 34,702 | ||||||||||
SPDR S&P 400 Mid Cap Value E | 258 | SPDR S&P 400 Mid Cap Value E | ^ | 14,341 | ||||||||||
SPDR S&P 500 ETF Trust | 3,068 | SPDR S&P 500 ETF Trust | ^ | 1,146,946 | ||||||||||
SPDR S&P Aerospace & Def Etf | 20 | SPDR S&P Aerospace & Def Etf | ^ | 2,297 |
30
CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 | |||||||||
SPDR S&P Dividend | 2,900 | SPDR S&P Dividend | ^ | 307,197 | ||||||||||
SPDR S&P Midcap 400 EFT Trust | 250 | SPDR S&P Midcap 400 EFT Trust | ^ | 104,980 | ||||||||||
Sprott Physical Gold Trust | 1,683 | Sprott Physical Gold Trust | ^ | 25,396 | ||||||||||
Technology Select Sector Spdr | 523 | Technology Select Sector Spdr | ^ | 68,047 | ||||||||||
Tekla Life Sciences Investors | 25 | Tekla Life Sciences Investors | ^ | 494 | ||||||||||
United States Oil Fund LP | 877 | United States Oil Fund LP | ^ | 28,950 | ||||||||||
US Global Jets ETF | 1,850 | US Global Jets ETF | ^ | 41,409 | ||||||||||
VanEck Vectors Gold Miners | 315 | VanEck Vectors Gold Miners | ^ | 11,348 | ||||||||||
VanEck Vectors Jr Gold Miners ETF | 250 | VanEck Vectors Jr Gold Miners ETF | ^ | 13,560 | ||||||||||
VanEck Vectors Russia ETF | 1 | VanEck Vectors Russia ETF | ^ | 24 | ||||||||||
VanEck Vectors Semiconductor | 22 | VanEck Vectors Semiconductor | ^ | 4,839 | ||||||||||
Vanguard Consumer Staples ETF | 100 | Vanguard Consumer Staples ETF | ^ | 17,392 | ||||||||||
Vanguard Dividend Apprec ETF | 205 | Vanguard Dividend Apprec ETF | ^ | 28,931 | ||||||||||
Vanguard Energy ETF | 16 | Vanguard Energy ETF | ^ | 839 | ||||||||||
Vanguard Financials ETF | 14 | Vanguard Financials ETF | ^ | 1,027 | ||||||||||
Vanguard FTSE All WO X US SC | 19 | Vanguard FTSE All WO X US SC | ^ | 2,315 | ||||||||||
Vanguard FTSE Developed Markets ETF | 5,019 | Vanguard FTSE Developed Markets ETF | ^ | 236,955 | ||||||||||
Vanguard FTSE Emerging Market | 8,511 | Vanguard FTSE Emerging Market | ^ | 426,486 | ||||||||||
Vanguard Glbl Ex-Us Real Est | 108 | Vanguard Glbl Ex-Us Real Est | ^ | 5,874 | ||||||||||
Vanguard Growth ETF | 2,103 | Vanguard Growth ETF | ^ | 532,893 | ||||||||||
Vanguard Health Care ETF | 102 | Vanguard Health Care ETF | ^ | 22,820 | ||||||||||
Vanguard High Dividend Yield | 262 | Vanguard High Dividend Yield | ^ | 23,998 | ||||||||||
Vanguard Info Tech ETF | 177 | Vanguard Info Tech ETF | ^ | 62,621 | ||||||||||
Vanguard Intermediate Term C | 60 | Vanguard Intermediate Term C | ^ | 5,868 | ||||||||||
Vanguard Large Cap ETF | 173 | Vanguard Large Cap ETF | ^ | 30,438 | ||||||||||
Vanguard Mega Cap Growth ETF | 85 | Vanguard Mega Cap Growth ETF | ^ | 17,357 | ||||||||||
Vanguard Mid - Cap Growth Index | 3 | Vanguard Mid - Cap Growth Index | ^ | 637 | ||||||||||
Vanguard Real Estate ETF | 2,686 | Vanguard Real Estate ETF | ^ | 228,122 | ||||||||||
Vanguard Russell 1000 Value | 192 | Vanguard Russell 1000 Value | ^ | 23,036 | ||||||||||
Vanguard Russell 2000 Value | 41 | Vanguard Russell 2000 Value | ^ | 4,704 | ||||||||||
Vanguard S&P 500 ETF | 344 | Vanguard S&P 500 ETF | ^ | 118,229 | ||||||||||
Vanguard S&P 500 Value ETF | 72 | Vanguard S&P 500 Value ETF | ^ | 8,849 | ||||||||||
Vanguard S/T Corp Bond Etf | 469 | Vanguard S/T Corp Bond Etf | ^ | 39,044 | ||||||||||
Vanguard Short Term Bond ETF | 1,210 | Vanguard Short Term Bond ETF | ^ | 100,309 | ||||||||||
Vanguard Small- Cap ETF | 281 | Vanguard Small- Cap ETF | ^ | 54,760 | ||||||||||
Vanguard Small -Cap Gr ETF | 125 | Vanguard Small -Cap Gr ETF | ^ | 33,458 | ||||||||||
Vanguard Small Cap Value ETF | 55 | Vanguard Small Cap Value ETF | ^ | 7,836 | ||||||||||
Vanguard Tot World Stk Index | 2,433 | Vanguard Tot World Stk Index | ^ | 225,247 | ||||||||||
Vanguard Total Intl Stock Et | 602 | Vanguard Total Intl Stock Et | ^ | 36,216 | ||||||||||
Vanguard Total Stock Market ETF | 947 | Vanguard Total Stock Market ETF | ^ | 184,343 | ||||||||||
Vanguard Value ETF | 4,109 | Vanguard Value ETF | ^ | 488,832 | ||||||||||
Virtus Global Multi-Sector | 3,000 | Virtus Global Multi-Sector | ^ | 36,330 | ||||||||||
Virtus Total Return Fund Inc | 10,316 | Virtus Total Return Fund Inc | ^ | 90,574 | ||||||||||
Western Asset Emerging Markets Debt | 3,000 | Western Asset Emerging Markets Debt | ^ | 41,700 | ||||||||||
WisdomTree Emerg Mkt Ex-St Ow | 181 | WisdomTree Emerg Mkt Ex-St Ow | ^ | 7,188 | ||||||||||
WisdomTree Global ex-US Real Estate Fund | 3 | WisdomTree Global ex-US Real Estate Fund | ^ | 79 | ||||||||||
WisdomTree JAP s/c DVD Fund | 1,054 | WisdomTree JAP s/c DVD Fund | ^ | 76,436 | ||||||||||
WisdomTree US LargeCap Dividend | 50 | WisdomTree US LargeCap Dividend | ^ | 5,375 | ||||||||||
AB Discovery Value Z | 1,737,935 | AB Discovery Value Z | ^ | 35,088,901 | ||||||||||
Abbey Cap Futures Strat-A | 317 | Abbey Cap Futures Strat-A | ^ | 3,638 | ||||||||||
Akre Focus Retail | 3,215 | Akre Focus Retail | ^ | 172,102 | ||||||||||
Amcent Small Cap Val Inv | 8,194 | Amcent Small Cap Val Inv | ^ | 70,635 | ||||||||||
American Century Equity Income Inv | 3,100 | American Century Equity Income Inv | ^ | 27,963 | ||||||||||
American Century Focused Dynamic Gr Inv | 225 | American Century Focused Dynamic Gr Inv | ^ | 12,097 | ||||||||||
American Century Focused Large Cap Value Inv | 2,393 | American Century Focused Large Cap Value Inv | ^ | 26,368 | ||||||||||
American Funds Europacific Growth R6 | 910,201 | American Funds Europacific Growth R6 | ^ | 63,076,939 | ||||||||||
American Funds New Perspective F1 | 35 | American Funds New Perspective F1 | ^ | 2,077 | ||||||||||
American Funds New World R6 | 506,885 | American Funds New World R6 | ^ | 44,560,245 | ||||||||||
AMG GW&K Intl Small Cap N | 413 | AMG GW&K Intl Small Cap N | ^ | 21,173 | ||||||||||
Applied Finance Explorer-Inv | 152 | Applied Finance Explorer-Inv | ^ | 2,105 | ||||||||||
Arrow Managed Futures Strategy A | 5,343 | Arrow Managed Futures Strategy A | ^ | 32,271 | ||||||||||
Artisan Mid Cap | 606 | Artisan Mid Cap | ^ | 29,054 |
31
CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 | |||||||||
AXS Chesapeake Strategy Fund I | 4,937 | AXS Chesapeake Strategy Fund I | ^ | 54,606 | ||||||||||
Baron Small Cap | 58 | Baron Small Cap | ^ | 2,126 | ||||||||||
BlackRock Multi-Asset Income Instl | 762 | BlackRock Multi-Asset Income Instl | ^ | 8,520 | ||||||||||
Brookfield Global Listed Real Estate I | 22,516 | Brookfield Global Listed Real Estate I | ^ | 262,311 | ||||||||||
Brown Capital Mgmt Small Co Inv | 591 | Brown Capital Mgmt Small Co Inv | ^ | 78,855 | ||||||||||
Carillon Scout Mid Cap I | 43 | Carillon Scout Mid Cap I | ^ | 1,005 | ||||||||||
* | City National Rochdale Corp Bond Svc | 57,116 | City National Rochdale Corp Bond Svc | ^ | 617,997 | |||||||||
* | City National Rochdale Div & Inc N | 9,762 | City National Rochdale Div & Inc N | ^ | 363,616 | |||||||||
* | City National Rochdale Fxd Inc Opps N | 137,915 | City National Rochdale Fxd Inc Opps N | ^ | 3,220,326 | |||||||||
* | City National Rochdale Govt Bond Svc | 23,560 | City National Rochdale Govt Bond Svc | ^ | 255,867 | |||||||||
* | City National Rochdale Sel Str-1 | 9,872 | City National Rochdale Sel Str-1 | ^ | 114,413 | |||||||||
* | City National Rochdale Short Term Emerging Y | 14,590 | City National Rochdale Short Term Emerging Y | ^ | 130,583 | |||||||||
* | City National Rochdale US Cor Eq Svc | 3,014 | City National Rochdale US Cor Eq Svc | ^ | 68,361 | |||||||||
Driehaus Emerging Mark S/C | 2,788 | Driehaus Emerging Mark S/C | ^ | 53,199 | ||||||||||
Eaton Vance Global Macro Abs Return Adv A | 4,689 | Eaton Vance Global Macro Abs Return Adv A | ^ | 47,925 | ||||||||||
Federated Hermes Instl High Yield Bond IS | 4,035,660 | Federated Hermes Instl High Yield Bond IS | ^ | 40,235,528 | ||||||||||
Federated Hermes Kaufmann Small Cap IS | 225 | Federated Hermes Kaufmann Small Cap IS | ^ | 14,296 | ||||||||||
Fidelity Advisor® Intl Capital App I | 559 | Fidelity Advisor® Intl Capital App I | ^ | 16,458 | ||||||||||
Fidelity Advisor® Real Estate Income I | 418 | Fidelity Advisor® Real Estate Income I | ^ | 4,905 | ||||||||||
Fidelity® Capital & Income | 413 | Fidelity® Capital & Income | ^ | 4,423 | ||||||||||
Fidelity® Contrafund® | 9,728 | Fidelity® Contrafund® | ^ | 163,039 | ||||||||||
Fidelity® OTC | 3,918 | Fidelity® OTC | ^ | 68,644 | ||||||||||
Fidelity® Select IT Services | 169 | Fidelity® Select IT Services | ^ | 15,817 | ||||||||||
Fidelity® Select Medical Tech and Devcs | 183 | Fidelity® Select Medical Tech and Devcs | ^ | 13,319 | ||||||||||
Fidelity® Select Retailing | 302 | Fidelity® Select Retailing | ^ | 6,859 | ||||||||||
Fidelity® Select Semiconductors | 563 | Fidelity® Select Semiconductors | ^ | 9,129 | ||||||||||
Fidelity® Select Software & IT Svcs Port | 4,253 | Fidelity® Select Software & IT Svcs Port | ^ | 115,342 | ||||||||||
Fidelity® Select Technology | 2,470 | Fidelity® Select Technology | ^ | 66,377 | ||||||||||
Fidelity® Trend | 482 | Fidelity® Trend | ^ | 73,119 | ||||||||||
Fiera Capital Emerging Markets Instl | 25,251 | Fiera Capital Emerging Markets Instl | ^ | 1,525,900 | ||||||||||
Fiera Capital Emerging Markets Inv | 500 | Fiera Capital Emerging Markets Inv | ^ | 30,176 | ||||||||||
Franklin Small-Mid Cap Growth A | 643 | Franklin Small-Mid Cap Growth A | ^ | 30,108 | ||||||||||
Grandeur Peak Gl Stalwa-Inst | 2,386 | Grandeur Peak Gl Stalwa-Inst | ^ | 51,563 | ||||||||||
Harbor Capital Appreciation Inv | 248 | Harbor Capital Appreciation Inv | ^ | 24,341 | ||||||||||
Harbor International Investor | 109 | Harbor International Investor | ^ | 4,767 | ||||||||||
HCM Dividend Sector Plus-Iv | 135 | HCM Dividend Sector Plus-Iv | ^ | 2,090 | ||||||||||
Ivy Mid Cap Inc Opport A | 2,938 | Ivy Mid Cap Inc Opport A | ^ | 48,746 | ||||||||||
Janus Henderson Enterprise N | 311,903 | Janus Henderson Enterprise N | ^ | 49,502,140 | ||||||||||
Janus Henderson Multi-Sector Income T | 1,169 | Janus Henderson Multi-Sector Income T | ^ | 11,722 | ||||||||||
Lazard International Strategic Eq Open | 210 | Lazard International Strategic Eq Open | ^ | 3,567 | ||||||||||
Longleaf Partners | 520 | Longleaf Partners | ^ | 11,306 | ||||||||||
Loomis Sayles Sm Gr Ins | 1,259,631 | Loomis Sayles Sm Gr Ins | ^ | 44,087,073 | ||||||||||
Matthews Asia Innovators Fund | 653 | Matthews Asia Innovators Fund | ^ | 17,439 | ||||||||||
Matthews Pacific Tiger Instl | 497 | Matthews Pacific Tiger Instl | ^ | 17,339 | ||||||||||
MFS® Intl Diversification I | 671 | MFS® Intl Diversification I | ^ | 16,032 | ||||||||||
Morgan Stanley Insight Fund A | 149 | Morgan Stanley Insight Fund A | ^ | 12,060 | ||||||||||
Morgan Stanley Inst Growth A | 25 | Morgan Stanley Inst Growth A | ^ | 2,139 | ||||||||||
Morgan Stanley MSIFT Discovery Portfolio A | 63 | Morgan Stanley MSIFT Discovery Portfolio A | ^ | 2,077 | ||||||||||
Motley Fool Global Opps Investor | 393 | Motley Fool Global Opps Investor | ^ | 12,640 | ||||||||||
Motley Fool MFAM Mid Cap Growth Fund Inv | 394 | Motley Fool MFAM Mid Cap Growth Fund Inv | ^ | 11,736 | ||||||||||
Oakmark Investor | 107 | Oakmark Investor | ^ | 9,637 | ||||||||||
Oberweis International Opportunities | 112 | Oberweis International Opportunities | ^ | 3,536 | ||||||||||
Paradigm Select Fund | 37 | Paradigm Select Fund | ^ | 2,076 | ||||||||||
Parnassus Core Equity Investor | 38 | Parnassus Core Equity Investor | ^ | 2,063 | ||||||||||
PGIM Total Return Bond Z | 659 | PGIM Total Return Bond Z | ^ | 9,943 | ||||||||||
PIMCO CommoditiesPLUS® Strategy A | 653 | PIMCO CommoditiesPLUS® Strategy A | ^ | 3,175 | ||||||||||
PRIMECAP Odyssey Aggressive Growth | 638 | PRIMECAP Odyssey Aggressive Growth | ^ | 34,217 | ||||||||||
Rydex Monthly Rebalance Nasdaq 100 2x Strategy H | 53 | Rydex Monthly Rebalance Nasdaq 100 2x Strategy H | ^ | 18,843 | ||||||||||
Seafarer Overseas Gr&Inc-Inv | 324 | Seafarer Overseas Gr&Inc-Inv | ^ | 4,741 | ||||||||||
Stone Ridge Reinsurance Risk Premium Interval Fund | 0 | Stone Ridge Reinsurance Risk Premium Interval Fund | ^ | 0 | ||||||||||
T Rowe Price Global Stock Fd | 344 | T Rowe Price Global Stock Fd | ^ | 22,629 | ||||||||||
T Rowe Price US High Yield Inv | 384 | T Rowe Price US High Yield Inv | ^ | 3,878 |
32
CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 | |||||||||
T. Rowe Price Blue Chip Growth | 181 | T. Rowe Price Blue Chip Growth | ^ | 29,958 | ||||||||||
T. Rowe Price Capital Appreciation | 7,132 | T. Rowe Price Capital Appreciation | ^ | 243,265 | ||||||||||
T. Rowe Price Communications & Technology | 58 | T. Rowe Price Communications & Technology | ^ | 10,437 | ||||||||||
T. Rowe Price GNMA | 858 | T. Rowe Price GNMA | ^ | 8,110 | ||||||||||
T. Rowe Price Growth Stock | 184 | T. Rowe Price Growth Stock | ^ | 17,858 | ||||||||||
T. Rowe Price Health Sciences | 2,085 | T. Rowe Price Health Sciences | ^ | 206,105 | ||||||||||
T. Rowe Price Instl Large Cap Value | 2,326,205 | T. Rowe Price Instl Large Cap Value | ^ | 54,944,955 | ||||||||||
T. Rowe Price Latin America | 40 | T. Rowe Price Latin America | ^ | 926 | ||||||||||
T. Rowe Price Retirement 2035 | 101 | T. Rowe Price Retirement 2035 | ^ | 2,150 | ||||||||||
T. Rowe Price Science & Tech | 139 | T. Rowe Price Science & Tech | ^ | 7,659 | ||||||||||
Touchstone Mid Cap Value A | 41,812 | Touchstone Mid Cap Value A | ^ | 844,177 | ||||||||||
Touchstone Mid Cap Value Y | 13,370 | Touchstone Mid Cap Value Y | ^ | 271,148 | ||||||||||
Touchstone Small Cap Value A | 15,640 | Touchstone Small Cap Value A | ^ | 418,219 | ||||||||||
Touchstone Small Cap Y | 263 | Touchstone Small Cap Y | ^ | 3,411 | ||||||||||
Tweedy, Browne Global Value | 913 | Tweedy, Browne Global Value | ^ | 25,055 | ||||||||||
USAA Science & Technology | 581 | USAA Science & Technology | ^ | 20,709 | ||||||||||
Value Line Mid Cap Focus | 2,279 | Value Line Mid Cap Focus | ^ | 64,483 | ||||||||||
Vanguard Dividend Growth Inv | 3,114 | Vanguard Dividend Growth Inv | ^ | 103,516 | ||||||||||
Vanguard Extended Market Index Instl | 585,708 | Vanguard Extended Market Index Instl | ^ | 73,061,242 | ||||||||||
Vanguard FTSE All-Wld ex-US Idx Admiral | 814 | Vanguard FTSE All-Wld ex-US Idx Admiral | ^ | 29,591 | ||||||||||
Vanguard Health Care Inv | 36 | Vanguard Health Care Inv | ^ | 7,753 | ||||||||||
Vanguard Institutional Index Instl Pl | 509,928 | Vanguard Institutional Index Instl Pl | ^ | 169,030,924 | ||||||||||
Vanguard LifeStrategy Growth Inv | 1,751 | Vanguard LifeStrategy Growth Inv | ^ | 70,444 | ||||||||||
Vanguard Short-Term Investment-Grade Adm | 18,248 | Vanguard Short-Term Investment-Grade Adm | ^ | 201,278 | ||||||||||
Vanguard Total Bond Market Index I | 5,026,319 | Vanguard Total Bond Market Index I | ^ | 58,405,831 | ||||||||||
Vanguard Total Intl Stock Index I | 279,951 | Vanguard Total Intl Stock Index I | ^ | 36,334,869 | ||||||||||
Vanguard Total Stock Mkt Idx Adm | 497 | Vanguard Total Stock Mkt Idx Adm | ^ | 47,110 | ||||||||||
Vanguard Wellesley® Income Inv | 18,544 | Vanguard Wellesley® Income Inv | ^ | 525,341 | ||||||||||
Wasatch Micro Cap | 897 | Wasatch Micro Cap | ^ | 10,645 | ||||||||||
Western Asset Core Bond I | 604 | Western Asset Core Bond I | ^ | 8,247 | ||||||||||
Western Asset Macro Opportunities A | 201 | Western Asset Macro Opportunities A | ^ | 2,386 | ||||||||||
TOTAL MUTUAL FUNDS | 692,182,643 | |||||||||||||
PARTNERSHIPS | ||||||||||||||
Brookfield Infrastructure PA | 412 | Brookfield Infrastructure PA | ^ | 20,353 | ||||||||||
Calumet Specialty Products LP | 3 | Calumet Specialty Products LP | ^ | 9 | ||||||||||
Carlyle Group Inc/The | 105 | Carlyle Group Inc/The | ^ | 3,305 | ||||||||||
Cheniere Energy Partners LP | 25 | Cheniere Energy Partners LP | ^ | 881 | ||||||||||
Energy Transfer LP | 17,016 | Energy Transfer LP | ^ | 105,159 | ||||||||||
Enterprise Products Pptns LP | 1 | Enterprise Products Pptns LP | ^ | 19 | ||||||||||
Ferrellgas Partners LP (fgprq 01/12/21) | 1 | Ferrellgas Partners LP (fgprq 01/12/21) | ^ | 0 | ||||||||||
Hoegh Lng Partners LP | 169 | Hoegh Lng Partners LP | ^ | 2,414 | ||||||||||
KKR & Co Inc Cl A | 197 | KKR & Co Inc Cl A | ^ | 7,962 | ||||||||||
NGL Energy Partners LP | 30,000 | NGL Energy Partners LP | ^ | 72,000 | ||||||||||
Sunoco LP | 1 | Sunoco LP | ^ | 29 | ||||||||||
USA Compression Partners LP | 201 | USA Compression Partners LP | ^ | 2,734 | ||||||||||
TOTAL PARTNERSHIPS | 214,865 | |||||||||||||
OTHER | ||||||||||||||
S&P Reit Composite Index @3435 1/06/21 | 1 | S&P Reit Composite Index @3435 1/06/21 | ^ | 186 | ||||||||||
Bristol Myers Squibb Co CVR | 40 | Bristol Myers Squibb Co CVR | ^ | 27 | ||||||||||
Florida St Brd Of Admin Fin Co Txbl-Ser A | 20,000 | Florida St Brd Of Admin Fin Co Txbl-Ser A | ^ | 20,458 | ||||||||||
New York City NY Transitional Txbl-Sub-Subser F-1 | 10,000 | New York City NY Transitional Txbl-Sub-Subser F-1 | ^ | 10,893 | ||||||||||
TOTAL OTHER ASSETS | 31,564 | |||||||||||||
PARTICIPANT LOANS | ||||||||||||||
* | CNB PARTICIPANT LOANS | 1,079 Participant loans, bearing interest at 3.5% to 9.25% | ||||||||||||
and maturities through November 2035 | 14,732,273 | |||||||||||||
TOTAL PARTICIPANT LOANS | 14,732,273 | |||||||||||||
TOTAL ASSETS | 1,317,269,046 |
33
CITY NATIONAL BANK |
PROFIT SHARING PLAN |
EIN: 95-1780067 PN: 001 |
Attachment to 2020 Form 5500 |
Schedule H Part IV, Line 4(i) – Schedule of Assets (Held at End of Year) |
December 31, 2020 |
(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 |
* | Denotes Party-In-Interest asset | |||||||
^ | Information is not required as investments are participant directed |
34
Index to Exhibits
Exhibit No. | Exhibit | |
23.1 | Consent of Moss Adams LLP |
35
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 28, 2021 | By: | /s/ Michael Nunnelee |
Senior Vice President |
36