XLK: 60-day return history, mean=-0.0007, std=0.0164.

Question:
Asset: XLK
Daily returns (past 60 days): mean=-0.0007, std=0.0164, min=-0.0423, max=0.0373
Market regime: sideways
Recent filing/news:
[SEC 10-Q CAT 2024-08-07] cat-20240630 0000018230 FALSE 12/31 2024 Q2 50 http://fasb.org/us-gaap/2024#Revenues http://fasb.org/us-gaap/2024#Revenues http://fasb.org/us-gaap/2024#Revenues http://fasb.org/us-gaap/2024#Revenues 352 xbrli:shares iso4217:USD iso4217:USD xbrli:shares xbrli:pure cat:entity cat:group_president cat:segment 0000018230 2024-01-01 2024-06-30 0000018230 us-gaap:CommonStockMember 2024-01-01 2024-06-30 0000018230 cat:A5.3DebenturesDueSeptember152035Member 2024-01-01 2024-06-30 0000018230 2024-06-30 0000018230 cat:MachineryEnergyTransportationMember 2024-04-01 2024-06-30 0000018230 cat:MachineryEnergyTransportationMember 2023-04-01 2023-06-30 0000018230 cat:FinancialProductsMember 2024-04-01 2024-06-30 0000018230 cat:FinancialProductsMember 2023-04-01 2023-06-30 0000018230 2024-04-01 2024-06-30 0000018230 2023-04-01 2023-06-30 0000018230 cat:AllOtherExcludingFinancialProductsMember 2024-04-01 2024-06-30 0000018230 cat:AllOtherExcludingFinancialProductsMember 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2023-06-30 0000018230 us-gaap:ForeignExchangeContractMember us-gaap:DesignatedAsHedgingInstrumentMember  [...TRUNCATED...] 60;  Other Information On May 22, 2024 , Gerald Johnson , a member of the Company's Board of Directors , entered into a Rule 10b5-1 purchase plan intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended. The purchase plan will be in effect until the earlier of (1) May 9, 2025 and (2) the date on which an aggregate of 400 shares of our common stock have been purchased under the plan. 78 Table of Contents Item 6. Exhibits 31.1 Certification of Chief Executive Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2 Certification of Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 32 Certification of Chief Executive Officer of Caterpillar Inc. and Chief Financial Officer of Caterpillar Inc., as required pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 101.INS Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) 101.SCH   Inline XBRL Taxonomy Extension Schema Document 101.CAL   Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF   Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB   Inline XBRL Taxonomy Extension Label Linkbase Document 101.PRE   Inline XBRL Taxonomy Extension Presentation Linkbase Document 104 Cover Page Interactive File (embedded within the Inline XBRL document and included in Exhibit 101) The agreements and other documents filed as exhibits to this report are not intended to provide factual information or other disclosure other than with respect to the terms of the agreements or other documents themselves, and you should not rely on them for that purpose. In particular, any representations and warranties made by us in these agreements or other documents were made solely within the specific context of the relevant agreement or document and may not describe the actual state of affairs as of the date they were made or at any other time. 79 Table of Contents SIGNATURES   Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.       CATERPILLAR INC.               August 7, 2024 /s/ D. James Umpleby III Chairman of the Board and Chief Executive Officer   D. James Umpleby III         August 7, 2024 /s/ Andrew R.J. Bonfield Chief Financial Officer   Andrew R.J. Bonfield               August 7, 2024 /s/ Derek Owens Chief Legal Officer and General Counsel   Derek Owens             August 7, 2024 /s/ William E. Schaupp Vice President and Chief Accounting Officer   William E. Schaupp   80

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for XLK. Express as a decimal (e.g., -0.02).

Answer: -0.0341

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0341 (i.e., on a bad day with 5% probability, the loss exceeds 3.41%). CVaR(95%) = -0.0400.


XLRE: 60-day return history, mean=0.0008, std=0.0141.

Question:
Asset: XLRE
Daily returns (past 60 days): mean=0.0008, std=0.0141, min=-0.0299, max=0.0314
Market regime: sideways
Recent filing/news:
[Kaggle 2023-02-08] ["3 Blue Chip Stocks To Watch In February 2023 Blue chip stocks are highly respected and established companies that have a strong reputation for stability and steady growth. Blue chip companies are typically leaders in their respective industries and have a long history of profitability, making them potentially attractive to both individual and institutional investors. Examples of blue chip stocks include large multinational corporations such as Apple (NASDAQ: AAPL), Johnson & Johnson (NYSE: JNJ), and Microsoft (NASDAQ: MSFT). These companies have proven track records of success, with a long history of consistently high earnings and steady growth. Their financial stability and reputation for reliability make them a popular choice among investors looking to build a balanced and diversified portfolio. In addition, blue chip stocks often pay dividends to shareholders, providing a steady source of income in addition to any potential capital gains. Investing in blue chip stocks can provide a solid foundation for your investment portfolio and offer peace of mind in knowing that you are investing in well-established companies with a long history of success. It\u2019s important to note that, while these stocks are generally considered to be low-risk, no investment is completely risk-free, so it\u2019s important to conduct your own research and due diligence. Accordingly, let\u2019s look at three blue-chip stocks for you to watch in the stock market today. Blue Chip Stocks To Buy [Or Avoid] Today JP Morgan Chase & Co. (NYSE: JPM) The Procter & Gamble Company (NYSE: PG) The Coca-Cola Company (NYSE: KO) JP Morgan Chase & Co. (JPM Stock) To kick off this list let\u2019s turn our attention to JP Morgan Chase & Co. (JPM). In brief, the company is one of the largest financial institutions in the United States. What\u2019s more, JPM is organized into four major segments. These are consumer and community banking, corporate and investment banking, commercial banking, and asset and wealth management. Moving along, just last month, JPM reported its Q4 2022 financial and operating results. In the report, the company reported earnings per share of $3.57, along with $47.4 billion. For context, these numbers came in better than what analysts estimated, which was earnings of $3.11 per share and $34.2 billion in revenue. Moreover, JP Morgan Chase & Co also reported a 54.6% increase in revenue on a year-over-year basis. Looking since the beginning of 2023, shares of JPM stock have increased by 6.05%. Meanwhile, on Wednesday morning, JPM stock opened down by 0.26% and is currently trading at $143.29 a share. Source: TD Ameritrade TOS [Read More] 3 Natural Gas Stocks To Watch Today Procter & Gamble (PG Stock) Next, let\u2019s look at consumer giant The Procter & Gamble Company (PG). This consumer goods behemoth owns popular brands like Tide, Crest, and Pampers. Additionally, PG currently operates in multiple business segments. These include Beauty, Grooming, Health Care, Fab

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for XLRE. Express as a decimal (e.g., -0.02).

Answer: -0.0270

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0270 (i.e., on a bad day with 5% probability, the loss exceeds 2.70%). CVaR(95%) = -0.0294.


FXI: 60-day return history, mean=-0.0001, std=0.0173.

Question:
Asset: FXI
Daily returns (past 60 days): mean=-0.0001, std=0.0173, min=-0.0321, max=0.0476
Market regime: sideways
Recent filing/news:
[Kaggle 2023-09-29] ["Is iShares Core S&P U.S. Growth ETF (IUSG) a Strong ETF Right Now? Launched on 07/24/2000, the iShares Core S&P U.S. Growth ETF (IUSG) is a smart beta exchange traded fund offering broad exposure to the Style Box - All Cap Growth category of the market. What Are Smart Beta ETFs? Products that are based on market cap weighted indexes, which are strategies designed to reflect a specific market segment or the market as a whole, have traditionally dominated the ETF industry. Investors who believe in market efficiency should consider market cap indexes, as they replicate market returns in a low-cost, convenient, and transparent way. On the other hand, some investors who believe that it is possible to beat the market by superior stock selection opt to invest in another class of funds that track non-cap weighted strategies--popularly known as smart beta. These indexes attempt to select stocks that have better chances of risk-return performance, based on certain fundamental characteristics or a combination of such characteristics. The smart beta space gives investors many different choices, from equal-weighting, one of the simplest strategies, to more complicated ones like fundamental and volatility/momentum based weighting. However, not all of these methodologies have been able to deliver remarkable returns. Fund Sponsor & Index IUSG is managed by Blackrock, and this fund has amassed over $13.45 billion, which makes it the largest ETF in the Style Box - All Cap Growth. This particular fund, before fees and expenses, seeks to match the performance of the S&P 900 Growth Index. The S&P 900 Growth Index measures the performance of the large and mid-capitalization growth sector of the U.S. equity market. Cost & Other Expenses When considering an ETF's total return, expense ratios are an important factor. And, cheaper funds can significantly outperform their more expensive cousins in the long term if all other factors remain equal. Operating expenses on an annual basis are 0.04% for IUSG, making it one of the least expensive products in the space. It has a 12-month trailing dividend yield of 1.11%. Sector Exposure and Top Holdings While ETFs offer diversified exposure, which minimizes single stock risk, a deep look into a fund's holdings is a valuable exercise. And, most ETFs are very transparent products that disclose their holdings on a daily basis. IUSG's heaviest allocation is in the Information Technology sector, which is about 33.90% of the portfolio. Its Healthcare and Consumer Discretionary round out the top three. Looking at individual holdings, Apple Inc (AAPL) accounts for about 12.37% of total assets, followed by Microsoft Corp (MSFT) and Nvidia Corp (NVDA). Its top 10 holdings account for approximately 42.74% of IUSG's total assets under management. Performance and Risk So far this year, IUSG has added about 17.68%, and was up about 14.80% in the last one year (as of 09/29/2023). During this past 52-week period, the fund has traded between $78.

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for FXI. Express as a decimal (e.g., -0.02).

Answer: -0.0251

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0251 (i.e., on a bad day with 5% probability, the loss exceeds 2.51%). CVaR(95%) = -0.0307.


PPLT: 60-day return history, mean=0.0009, std=0.0144.

Question:
Asset: PPLT
Daily returns (past 60 days): mean=0.0009, std=0.0144, min=-0.0269, max=0.0342
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for PPLT. Express as a decimal (e.g., -0.02).

Answer: -0.0208

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0208 (i.e., on a bad day with 5% probability, the loss exceeds 2.08%). CVaR(95%) = -0.0252.


DOT-USD: 60-day return history, mean=0.0032, std=0.0252.

Question:
Asset: DOT-USD
Daily returns (past 60 days): mean=0.0032, std=0.0252, min=-0.0397, max=0.0967
Market regime: sideways
Recent filing/news:
[Kaggle 2023-11-08]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for DOT-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0323

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0323 (i.e., on a bad day with 5% probability, the loss exceeds 3.23%). CVaR(95%) = -0.0370.


LQD: 60-day return history, mean=0.0003, std=0.0063.

Question:
Asset: LQD
Daily returns (past 60 days): mean=0.0003, std=0.0063, min=-0.0133, max=0.0126
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for LQD. Express as a decimal (e.g., -0.02).

Answer: -0.0086

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0086 (i.e., on a bad day with 5% probability, the loss exceeds 0.86%). CVaR(95%) = -0.0122.


BNB-USD: 60-day return history, mean=0.0005, std=0.0143.

Question:
Asset: BNB-USD
Daily returns (past 60 days): mean=0.0005, std=0.0143, min=-0.0322, max=0.0487
Market regime: sideways
Recent filing/news:
[Kaggle 2023-10-25]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for BNB-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0172

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0172 (i.e., on a bad day with 5% probability, the loss exceeds 1.72%). CVaR(95%) = -0.0297.


BNB-USD: 60-day return history, mean=0.0015, std=0.0257.

Question:
Asset: BNB-USD
Daily returns (past 60 days): mean=0.0015, std=0.0257, min=-0.0674, max=0.0711
Market regime: sideways
Recent filing/news:
[Kaggle 2023-03-13]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for BNB-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0393

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0393 (i.e., on a bad day with 5% probability, the loss exceeds 3.93%). CVaR(95%) = -0.0564.


XLY: 60-day return history, mean=0.0007, std=0.0101.

Question:
Asset: XLY
Daily returns (past 60 days): mean=0.0007, std=0.0101, min=-0.0204, max=0.0192
Market regime: sideways
Recent filing/news:
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us-gaap:MortgageBackedSecuritiesIssuedByUSGovernmentSponsoredEnterprisesMember 2022-12-31 0000731766 us-gaap:MortgageBackedSecuritiesIssuedByPrivateEnt [...TRUNCATED...] d long-term debt can be found in Note 8 of the Notes to the Consolidated Financial Statements included in Part II, Item 8, “Financial Statements and Supplementary Data.” Long-term debt obligations of the parent company do not include other financing obligations at subsidiaries which totaled $ 1.1 billion and $ 0.9 billion at December 31, 2023 and 2022. Maturities of short-term borrowings and long-term debt for the years ending December 31 are as follows: (in millions) 2024 $ 4,088   2025 3,050   2026 2,500   2027 2,925   2028 3,000   Thereafter 47,002   UnitedHealth Group’s parent company had notes payable to subsidiaries of $ 9.9 billion and $ 8.7 billion as of December 31, 2023 and 2022, respectively, which included on-demand features. 4. Commitments and Contingencies Certain regulated subsidiaries are guaranteed by UnitedHealth Group’s parent company in the event of insolvency. UnitedHealth Group’s parent company also provides guarantees related to its service level under certain contracts. None of the amounts accrued, paid or charged to income for service level guarantees were material as of December 31, 2023, 2022 or 2021. For a summary of commitments and contingencies, see Note 12 of the Notes to the Consolidated Financial Statements included in Part II, Item 8, “Financial Statements and Supplementary Data.” ITEM  16.    FORM 10-K SUMMARY None. 79 Table of Contents SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Dated: February 28, 2024   UNITEDHEALTH GROUP INCORPORATED By /s/    A NDREW W ITTY   Andrew Witty Chief Executive Officer Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.   Signature Title Date /s/ A NDREW W ITTY Director and Chief Executive Officer (principal executive officer) February 28, 2024 Andrew Witty /s/ J OHN R EX Executive Vice President and Chief Financial Officer (principal financial officer) February 28, 2024 John Rex /s/ T HOMAS R OOS Senior Vice President and Chief Accounting Officer (principal accounting officer) February 28, 2024 Thomas Roos * Director February 28, 2024 Charles Baker * Director February 28, 2024 Timothy Flynn * Director February 28, 2024 Paul Garcia * Director February 28, 2024 Kristen Gil * Director February 28, 2024 Stephen Hemsley * Director February 28, 2024 Michele Hooper * Director February 28, 2024 F. William McNabb III * Director February 28, 2024 Valerie Montgomery Rice, M.D. * Director February 28, 2024 John Noseworthy, M.D.   *By /s/ R UPERT B ONDY   Rupert Bondy As Attorney-in-Fact 80

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for XLY. Express as a decimal (e.g., -0.02).

Answer: -0.0184

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0184 (i.e., on a bad day with 5% probability, the loss exceeds 1.84%). CVaR(95%) = -0.0196.


CORN: 60-day return history, mean=-0.0009, std=0.0086.

Question:
Asset: CORN
Daily returns (past 60 days): mean=-0.0009, std=0.0086, min=-0.0195, max=0.0200
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for CORN. Express as a decimal (e.g., -0.02).

Answer: -0.0165

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0165 (i.e., on a bad day with 5% probability, the loss exceeds 1.65%). CVaR(95%) = -0.0178.


LINK-USD: 60-day return history, mean=0.0023, std=0.0457.

Question:
Asset: LINK-USD
Daily returns (past 60 days): mean=0.0023, std=0.0457, min=-0.1245, max=0.1799
Market regime: sideways
Recent filing/news:
[Kaggle 2023-08-03]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for LINK-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0556

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0556 (i.e., on a bad day with 5% probability, the loss exceeds 5.56%). CVaR(95%) = -0.0819.


EMB: 60-day return history, mean=0.0001, std=0.0061.

Question:
Asset: EMB
Daily returns (past 60 days): mean=0.0001, std=0.0061, min=-0.0143, max=0.0161
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for EMB. Express as a decimal (e.g., -0.02).

Answer: -0.0086

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0086 (i.e., on a bad day with 5% probability, the loss exceeds 0.86%). CVaR(95%) = -0.0113.


ACWI: 60-day return history, mean=0.0013, std=0.0115.

Question:
Asset: ACWI
Daily returns (past 60 days): mean=0.0013, std=0.0115, min=-0.0249, max=0.0250
Market regime: sideways
Recent filing/news:
[Kaggle 2023-01-20] ["Apple appeals investigation by UK competition watchdog LONDON, Jan 20 (Reuters) - Technology giant Apple AAPL.O has filed an appeal against an investigation by Britain's competition watchdog into the dominance of its mobile browsers in the cloud gaming market. Last November, the Competition and Markets Authority (CMA), Britain's competition regulator, launched a full investigation into cloud gaming and mobile browsers on concerns about restrictions by iPhone-maker Apple and Google. U.S. tech giants, including Google's owner Alphabet and Apple, are drawing increasing attention from competition regulators in Brussels, London and elsewhere. Lawyers representing Apple said in a notice filed with the Competition Appeal Tribunal on Friday that the CMA's investigation should be reviewed. In its argument, lawyers said that the CMA had missed timing requirements linked to the launch of an investigation. \"Apple seeks 1) an Order that the MIR Decision is quashed. 2) a declaration that the MIR Decision and market investigation purportedly launched by reference to it are invalid and of no legal effect,\" the filing with the Appeal Tribunal showed. Responding to the appeal, the CMA said on Friday it would defend its position and continue to progress its work in line with the statutory timetable. \"We opened this investigation to make sure that UK consumers get a better choice of mobile web services and that UK developers can invest in innovative mobile content and services,\" the CMA said in an emailed statement. There is due to be a preliminary hearing on the matter on Tuesday, according to the Competition Appeal Tribunal website. (Reporting by Sarah Young) ((sarah.young@thomsonreuters.com; +44 20 7542 1109; Reuters Messaging: sarah.young.thomsonreuters@reuters.net)) The views and opinions expressed herein are the views and opinions of the author and do not necessarily reflect those of Nasdaq, Inc.", "Validea Daily Guru Fundamental Report for AAPL - 1/20/2023 Below is Validea's daily guru fundamental report for APPLE INC (AAPL). Of the twelve guru strategies we follow, AAPL rates highest using our Patient Investor model based on the published strategy of Warren Buffett. This strategy seeks out firms with long-term, predictable profitability and low debt that trade at reasonable valuations. APPLE INC (AAPL) is a large-cap growth stock in the Communications Equipment industry. The rating using this strategy is 100% based on the firm\u2019s underlying fundamentals and the stock\u2019s valuation. A score of 80% or above typically indicates that the strategy has some interest in the stock and a score above 90% typically indicates strong interest. Company Description: Apple Inc. (Apple) designs, manufactures and markets smartphones, personal computers, tablets, wearables and accessories and sells a range of related services. The Company's products include iPhone, Mac, iPad, AirPods, Apple TV, Apple Watch, Beats products, HomePod, iPod touch and accessories. The

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for ACWI. Express as a decimal (e.g., -0.02).

Answer: -0.0173

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0173 (i.e., on a bad day with 5% probability, the loss exceeds 1.73%). CVaR(95%) = -0.0214.


ETH-USD: 60-day return history, mean=0.0039, std=0.0250.

Question:
Asset: ETH-USD
Daily returns (past 60 days): mean=0.0039, std=0.0250, min=-0.0483, max=0.1224
Market regime: sideways
Recent filing/news:
[Kaggle 2023-11-19]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for ETH-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0331

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0331 (i.e., on a bad day with 5% probability, the loss exceeds 3.31%). CVaR(95%) = -0.0420.


XLK: 60-day return history, mean=0.0027, std=0.0100.

Question:
Asset: XLK
Daily returns (past 60 days): mean=0.0027, std=0.0100, min=-0.0265, max=0.0258
Market regime: sideways
Recent filing/news:
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amzn:VendorAccountsReceivableMember 2023-12-31 0001018724 us-gaap:LoansReceivableMember 2022-12-31 0001018724 us-gaap:LoansReceivableMember 2023-12-31 00 [...TRUNCATED...] tents 32.2 Certification of Brian T. Olsavsky, Senior Vice President and Chief Financial Officer of Amazon.com, Inc., pursuant to 18 U.S.C. Section 1350. 97.1 Amazon.com, Inc. Clawback Policy. 101 The following financial statements from the Company’s Annual Report on Form 10-K for the year ended December 31, 2023, formatted in Inline XBRL: (i) Consolidated Statements of Cash Flows, (ii) Consolidated Statements of Operations, (iii) Consolidated Statements of Comprehensive Income (Loss), (iv) Consolidated Balance Sheets, (v) Consolidated Statements of Stockholders’ Equity, and (vi) Notes to Consolidated Financial Statements, tagged as blocks of text and including detailed tags. As permitted by Item 601(b)(4)(iii)(A) of Regulation S-K, the Company has not filed with this Annual Report on Form 10-K certain instruments defining the rights of holders of long-term debt of the Company and its subsidiaries because the total amount of securities authorized thereunder does not exceed 10 percent of the total assets of the Company and its subsidiaries on a consolidated basis. The Company agrees to furnish a copy of such agreements to the Commission upon request. 104 The cover page from the Company’s Annual Report on Form 10-K for the year ended December 31, 2023, formatted in Inline XBRL (included as Exhibit 101). __________________ †    Executive Compensation Plan or Agreement. Item 16. Form 10-K Summary None. 77 Table of Contents SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized, as of February 1, 2024.   AMAZON.COM, INC. By: /s/ Andrew R. Jassy Andrew R. Jassy President and Chief Executive Officer Pursuant to the requirements of the Securities Exchange Act of 1934, this Report has been signed below by the following persons on behalf of the registrant and in the capacities indicated as of February 1, 2024.   Signature Title /s/ Andrew R. Jassy Andrew R. Jassy President and Chief Executive Officer (Principal Executive Officer) and Director /s/ Brian T. Olsavsky Brian T. Olsavsky Senior Vice President and Chief Financial Officer (Principal Financial Officer) /s/ Shelley L. Reynolds Shelley L. Reynolds Vice President, Worldwide Controller (Principal Accounting Officer) /s/ Jeffrey P. Bezos Jeffrey P. Bezos Executive Chair /s/ Keith B. Alexander Keith B. Alexander Director /s/ Edith W. Cooper Edith W. Cooper Director /s/ Jamie S. Gorelick Jamie S. Gorelick Director /s/ Daniel P. Huttenlocher Daniel P. Huttenlocher Director /s/ Judith A. McGrath Judith A. McGrath Director /s/ Indra K. Nooyi Indra K. Nooyi Director /s/ Jonathan J. Rubinstein Jonathan J. Rubinstein Director /s/ Brad D. Smith Brad D. Smith Director /s/ Patricia Q. Stonesifer Patricia Q. Stonesifer Director /s/ Wendell P. Weeks Wendell P. Weeks Director 78

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for XLK. Express as a decimal (e.g., -0.02).

Answer: -0.0124

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0124 (i.e., on a bad day with 5% probability, the loss exceeds 1.24%). CVaR(95%) = -0.0210.


IAU: 60-day return history, mean=0.0028, std=0.0087.

Question:
Asset: IAU
Daily returns (past 60 days): mean=0.0028, std=0.0087, min=-0.0238, max=0.0194
Market regime: bull

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for IAU. Express as a decimal (e.g., -0.02).

Answer: -0.0108

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0108 (i.e., on a bad day with 5% probability, the loss exceeds 1.08%). CVaR(95%) = -0.0188.


XHB: 60-day return history, mean=-0.0006, std=0.0158.

Question:
Asset: XHB
Daily returns (past 60 days): mean=-0.0006, std=0.0158, min=-0.0388, max=0.0435
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for XHB. Express as a decimal (e.g., -0.02).

Answer: -0.0261

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0261 (i.e., on a bad day with 5% probability, the loss exceeds 2.61%). CVaR(95%) = -0.0364.


ETH-USD: 60-day return history, mean=0.0016, std=0.0366.

Question:
Asset: ETH-USD
Daily returns (past 60 days): mean=0.0016, std=0.0366, min=-0.0748, max=0.1560
Market regime: sideways
Recent filing/news:
[Kaggle 2023-12-19]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for ETH-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0633

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0633 (i.e., on a bad day with 5% probability, the loss exceeds 6.33%). CVaR(95%) = -0.0711.


MATIC-USD: 60-day return history, mean=-0.0017, std=0.0436.

Question:
Asset: MATIC-USD
Daily returns (past 60 days): mean=-0.0017, std=0.0436, min=-0.1591, max=0.1733
Market regime: sideways
Recent filing/news:
[Kaggle 2023-08-07]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for MATIC-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0529

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0529 (i.e., on a bad day with 5% probability, the loss exceeds 5.29%). CVaR(95%) = -0.1008.


REZ: 60-day return history, mean=0.0009, std=0.0125.

Question:
Asset: REZ
Daily returns (past 60 days): mean=0.0009, std=0.0125, min=-0.0251, max=0.0335
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for REZ. Express as a decimal (e.g., -0.02).

Answer: -0.0171

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0171 (i.e., on a bad day with 5% probability, the loss exceeds 1.71%). CVaR(95%) = -0.0220.


VLUE: 60-day return history, mean=0.0025, std=0.0089.

Question:
Asset: VLUE
Daily returns (past 60 days): mean=0.0025, std=0.0089, min=-0.0175, max=0.0264
Market regime: sideways
Recent filing/news:
[Kaggle 2024-01-09] ["Is iShares Semiconductor ETF (SOXX) a Strong ETF Right Now? The iShares Semiconductor ETF (SOXX) was launched on 07/10/2001, and is a smart beta exchange traded fund designed to offer broad exposure to the Technology ETFs category of the market. What Are Smart Beta ETFs? The ETF industry has long been dominated by products based on market cap weighted indexes, a strategy created to reflect the market or a particular market segment. Market cap weighted indexes offer a low-cost, convenient, and transparent way of replicating market returns, and are a good option for investors who believe in market efficiency. However, some investors believe in the possibility of beating the market through exceptional stock selection, and choose a different type of fund that tracks non-cap weighted strategies: smart beta. Based on specific fundamental characteristics, or a combination of such, these indexes attempt to pick stocks that have a better chance of risk-return performance. The smart beta space gives investors many different choices, from equal-weighting, one of the simplest strategies, to more complicated ones like fundamental and volatility/momentum based weighting. However, not all of these methodologies have been able to deliver remarkable returns. Fund Sponsor & Index The fund is managed by Blackrock, and has been able to amass over $9.93 billion, which makes it one of the largest ETFs in the Technology ETFs. SOXX, before fees and expenses, seeks to match the performance of the PHLX SOX Semiconductor Sector Index. The ICE Semiconductor Index measures the performance of U.S. traded securities of companies engaged in the semiconductor business. Cost & Other Expenses Investors should also pay attention to an ETF's expense ratio. Lower cost products will produce better results than those with a higher cost, assuming all other metrics remain the same. Operating expenses on an annual basis are 0.35% for SOXX, making it one of the least expensive products in the space. It's 12-month trailing dividend yield comes in at 0.81%. Sector Exposure and Top Holdings Even though ETFs offer diversified exposure that minimizes single stock risk, investors should also look at the actual holdings inside the fund. Luckily, most ETFs are very transparent products that disclose their holdings on a daily basis. Representing 100% of the portfolio, the fund has heaviest allocation to the Information Technology sector. Taking into account individual holdings, Advanced Micro Devices Inc (AMD) accounts for about 9.48% of the fund's total assets, followed by Broadcom Inc (AVGO) and Intel Corporation Corp (INTC). SOXX's top 10 holdings account for about 59.63% of its total assets under management. Performance and Risk So far this year, SOXX has lost about -2.88%, and was up about 55.09% in the last one year (as of 01/09/2024). During this past 52-week period, the fund has traded between $373.83 and $581.45. The ETF has a beta of 1.37 and standard deviation of 34.63% for the trailin

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for VLUE. Express as a decimal (e.g., -0.02).

Answer: -0.0093

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0093 (i.e., on a bad day with 5% probability, the loss exceeds 0.93%). CVaR(95%) = -0.0126.


BTC-USD: 60-day return history, mean=0.0035, std=0.0365.

Question:
Asset: BTC-USD
Daily returns (past 60 days): mean=0.0035, std=0.0365, min=-0.0834, max=0.0969
Market regime: sideways
Recent filing/news:
[Kaggle 2023-12-19]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for BTC-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0590

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0590 (i.e., on a bad day with 5% probability, the loss exceeds 5.90%). CVaR(95%) = -0.0703.


EFA: 60-day return history, mean=0.0005, std=0.0088.

Question:
Asset: EFA
Daily returns (past 60 days): mean=0.0005, std=0.0088, min=-0.0175, max=0.0189
Market regime: sideways
Recent filing/news:
[Kaggle 2023-07-18] ["Spain antitrust watchdog fines Amazon, Apple $218 million Adds CNMC quotes, detail throughout MADRID, July 18 (Reuters) - Spain's antitrust watchdog on Tuesday said it had imposed fines worth a total 194.1 million euros ($218.03 million) on Amazon AMZN.O and Apple AAPL.O for colluding to limit the online sale of devices from Apple and competitors in Spain. The two contracts the companies signed on Oct. 31, 2018 granting Amazon the status of authorized Apple dealer included anti-competitive clauses that affected the online market for electronic devices in Spain, CNMC, as the watchdog is known, said in a statement. \"The two companies restricted without justification the number of sellers of Apple products on the Amazon website in Spain,\" it said. More than 90% of the existing retailers who were using Amazon's market place to sell Apple devices were blocked as a result, CNMC added. Amazon also reduced the capacity of retailers in the European Union based outside Spain to access Spanish customers, the regulator said. It also restricted the advertising Apple's competitors were allowed to place on its website when users searched for Apple products, CNMC said. Following the deal between the two tech giants, the prices of Apple devices sold online rose in Spain, it added. Apple was fined 143.6 million euros and Amazon 50.5 million euros. The two companies have two months to appeal the decision. Representatives for Apple and Amazon did not immediately respond to requests for comment. ($1 = 0.8902 euros) (Reporting by Inti Landauro; Editing by David Latona and Jan Harvey) ((Inti.Landauro@thomsonreuters.com;)) The views and opinions expressed herein are the views and opinions of the author and do not necessarily reflect those of Nasdaq, Inc.", "AAPL Quantitative Stock Analysis - Warren Buffett Below is Validea's guru fundamental report for APPLE INC (AAPL). Of the 22 guru strategies we follow, AAPL rates highest using our Patient Investor model based on the published strategy of Warren Buffett. This strategy seeks out firms with long-term, predictable profitability and low debt that trade at reasonable valuations. APPLE INC (AAPL) is a large-cap growth stock in the Communications Equipment industry. The rating using this strategy is 100% based on the firm\u2019s underlying fundamentals and the stock\u2019s valuation. A score of 80% or above typically indicates that the strategy has some interest in the stock and a score above 90% typically indicates strong interest. The following table summarizes whether the stock meets each of this strategy's tests. Not all criteria in the below table receive equal weighting or are independent, but the table provides a brief overview of the strong and weak points of the security in the context of the strategy's criteria. EARNINGS PREDICTABILITY: PASS DEBT SERVICE: PASS RETURN ON EQUITY: PASS RETURN ON TOTAL CAPITAL: PASS FREE CASH FLOW: PASS USE OF RETAINED EARNINGS: PASS SHARE REPURCHASE: PASS INITIAL RATE OF RETURN:

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for EFA. Express as a decimal (e.g., -0.02).

Answer: -0.0147

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0147 (i.e., on a bad day with 5% probability, the loss exceeds 1.47%). CVaR(95%) = -0.0160.


BNB-USD: 60-day return history, mean=-0.0000, std=0.0180.

Question:
Asset: BNB-USD
Daily returns (past 60 days): mean=-0.0000, std=0.0180, min=-0.0341, max=0.0511
Market regime: sideways
Recent filing/news:
[Kaggle 2023-08-15]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for BNB-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0323

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0323 (i.e., on a bad day with 5% probability, the loss exceeds 3.23%). CVaR(95%) = -0.0333.


AVAX-USD: 60-day return history, mean=0.0051, std=0.0449.

Question:
Asset: AVAX-USD
Daily returns (past 60 days): mean=0.0051, std=0.0449, min=-0.1005, max=0.2500
Market regime: sideways
Recent filing/news:
[Kaggle 2023-01-15]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for AVAX-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0408

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0408 (i.e., on a bad day with 5% probability, the loss exceeds 4.08%). CVaR(95%) = -0.0664.


LQD: 60-day return history, mean=0.0001, std=0.0039.

Question:
Asset: LQD
Daily returns (past 60 days): mean=0.0001, std=0.0039, min=-0.0102, max=0.0098
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for LQD. Express as a decimal (e.g., -0.02).

Answer: -0.0065

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0065 (i.e., on a bad day with 5% probability, the loss exceeds 0.65%). CVaR(95%) = -0.0081.


AVAX-USD: 60-day return history, mean=-0.0022, std=0.0447.

Question:
Asset: AVAX-USD
Daily returns (past 60 days): mean=-0.0022, std=0.0447, min=-0.1099, max=0.1115
Market regime: sideways
Recent filing/news:
[Kaggle 2023-04-04]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for AVAX-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0658

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0658 (i.e., on a bad day with 5% probability, the loss exceeds 6.58%). CVaR(95%) = -0.0902.


XLV: 60-day return history, mean=-0.0011, std=0.0070.

Question:
Asset: XLV
Daily returns (past 60 days): mean=-0.0011, std=0.0070, min=-0.0187, max=0.0118
Market regime: sideways
Recent filing/news:
[SEC 10-Q NVDA 2024-11-20] nvda-20241027 0001045810 1/26 2025 Q3 FALSE http://fasb.org/us-gaap/2024#AccruedLiabilitiesCurrent http://fasb.org/us-gaap/2024#AccruedLiabilitiesCurrent 0 550 456 xbrli:shares iso4217:USD iso4217:USD xbrli:shares xbrli:pure nvda:segment 0001045810 2024-01-29 2024-10-27 0001045810 2024-11-15 0001045810 2024-07-29 2024-10-27 0001045810 2023-07-31 2023-10-29 0001045810 2023-01-30 2023-10-29 0001045810 2024-10-27 0001045810 2024-01-28 0001045810 us-gaap:CommonStockMember 2024-07-28 0001045810 us-gaap:AdditionalPaidInCapitalMember 2024-07-28 0001045810 us-gaap:AccumulatedOtherComprehensiveIncomeMember 2024-07-28 0001045810 us-gaap:RetainedEarningsMember 2024-07-28 0001045810 2024-07-28 0001045810 us-gaap:RetainedEarningsMember 2024-07-29 2024-10-27 0001045810 us-gaap:AccumulatedOtherComprehensiveIncomeMember 2024-07-29 2024-10-27 0001045810 us-gaap:CommonStockMember 2024-07-29 2024-10-27 0001045810 us-gaap:AdditionalPaidInCapitalMember 2024-07-29 2024-10-27 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nvda:PubliclyHeldEquitySecuritiesMember 2024-01-28 0001045810 us-gaap:FairValueInputsLevel2Member us-gaap:USTreasur [...TRUNCATED...]  30, 2024 , Ajay K. Puri , Executive Vice President , Worldwide Field Operations, adopted a Rule 10b5-1 Trading Arrangement for the sale of up to 204,890 shares of our common stock through December 30, 2025 . 40 Item 6. Exhibits Exhibit No.  Exhibit Description 10.1+* Amended and Restated 2007 Equity Incentive Plan – Global Restricted Stock Unit Grant Notice and Global Restricted Stock Unit Agreement (2024) 31.1* Certification of Chief Executive Officer as required by Rule 13a-14(a) of the Securities Exchange Act of 1934 31.2* Certification of Chief Financial Officer as required by Rule 13a-14(a) of the Securities Exchange Act of 1934 32.1#* Certification of Chief Executive Officer as required by Rule 13a-14(b) of the Securities Exchange Act of 1934 32.2#* Certification of Chief Financial Officer as required by Rule 13a-14(b) of the Securities Exchange Act of 1934 101.INS* Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. 101.SCH* Inline XBRL Taxonomy Extension Schema Document 101.CAL* Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF* Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB* Inline XBRL Taxonomy Extension Labels Linkbase Document 101.PRE* Inline XBRL Taxonomy Extension Presentation Linkbase Document 104 Cover Page Interactive Data File - the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. + Management contract or compensatory plan or arrangement. * Filed herewith. # In accordance with Item 601(b)(32)(ii) of Regulation S-K and SEC Release Nos. 33-8238 and 34-47986, Final Rule: Management's Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports, the certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Quarterly Report on Form 10-Q and will not be deemed “filed” for purpose of Section 18 of the Exchange Act. Such certifications will not be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act, except to the extent that the registrant specifically incorporates it by reference. Copies of above exhibits not contained herein are available to any shareholder upon written request to: Investor Relations: NVIDIA Corporation, 2788 San Tomas Expressway, Santa Clara, CA 95051. 41 Signature Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. Date: November 20, 2024   NVIDIA Corporation  By:    /s/ Colette M. Kress   Colette M. Kress   Executive Vice President and Chief Financial Officer (Duly Authorized Officer and Principal Financial Officer) 42

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for XLV. Express as a decimal (e.g., -0.02).

Answer: -0.0138

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0138 (i.e., on a bad day with 5% probability, the loss exceeds 1.38%). CVaR(95%) = -0.0162.


EEM: 60-day return history, mean=-0.0002, std=0.0084.

Question:
Asset: EEM
Daily returns (past 60 days): mean=-0.0002, std=0.0084, min=-0.0176, max=0.0217
Market regime: sideways
Recent filing/news:
[SEC 10-Q AAPL 2024-08-02] aapl-20240629 false 2024 Q3 0000320193 --09-28 P1Y P1Y P1Y P1Y http://fasb.org/us-gaap/2023#MarketableSecuritiesCurrent http://fasb.org/us-gaap/2023#MarketableSecuritiesNoncurrent http://fasb.org/us-gaap/2023#MarketableSecuritiesCurrent http://fasb.org/us-gaap/2023#MarketableSecuritiesNoncurrent http://fasb.org/us-gaap/2023#LongTermDebtCurrent http://fasb.org/us-gaap/2023#LongTermDebtNoncurrent http://fasb.org/us-gaap/2023#LongTermDebtCurrent http://fasb.org/us-gaap/2023#LongTermDebtNoncurrent P730D xbrli:shares iso4217:USD iso4217:USD xbrli:shares xbrli:pure aapl:Vendor aapl:Subsidiary 0000320193 2023-10-01 2024-06-29 0000320193 us-gaap:CommonStockMember 2023-10-01 2024-06-29 0000320193 aapl:A0.000Notesdue2025Member 2023-10-01 2024-06-29 0000320193 aapl:A0.875NotesDue2025Member 2023-10-01 2024-06-29 0000320193 aapl:A1.625NotesDue2026Member 2023-10-01 2024-06-29 0000320193 aapl:A2.000NotesDue2027Member 2023-10-01 2024-06-29 0000320193 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us-gaap:CommercialPaperMember 2024-06-29 0000320193 us-gaap:FairValueInputsLevel2Member us-gaap:CorporateDebtSecuritiesMember 2024-06-29 0000 [...TRUNCATED...] purchases 45,690  $ 169.74  45,690  May 5, 2024 to June 1, 2024: Open market and privately negotiated purchases 51,729  $ 188.38  51,729  June 2, 2024 to June 29, 2024: Open market and privately negotiated purchases 41,354  $ 205.54  41,354  Total 138,773  $ 114,074  (1) On May 4, 2023, the Board of Directors authorized the purchase of up to $90 billion of the Company’s common stock under a share repurchase program. As of June 29, 2024, remaining availability under the May 2023 program was $4.1 billion. On May 2, 2024, the Board of Directors authorized an additional program to repurchase up to $110 billion of the Company’s common stock. The programs do not obligate the Company to acquire a minimum amount of shares. Under the programs, shares may be repurchased in privately negotiated or open market transactions, including under plans complying with Rule 10b5-1 under the Exchange Act. Item 3.    Defaults Upon Senior Securities None. Item 4.    Mine Safety Disclosures Not applicable. Item 5.    Other Information Insider Trading Arrangements On May 24, 2024 , Tim Cook , the Company’s Chief Executive Officer , entered into a trading plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. The plan provides for the sale, subject to certain price limits, of shares vesting during the duration of the plan pursuant to certain equity awards granted to Mr. Cook, excluding shares withheld by the Company to satisfy income tax withholding and remittance obligations. Mr. Cook’s plan will expire on May 24, 2026, subject to early termination in accordance with the terms of the plan. Apple Inc. | Q3 2024 Form 10-Q | 20 Item 6.    Exhibits Incorporated by Reference Exhibit Number Exhibit Description Form Exhibit Filing Date/ Period End Date 31.1* Rule 13a-14(a) / 15d-14(a) Certification of Chief Executive Officer. 31.2* Rule 13a-14(a) / 15d-14(a) Certification of Chief Financial Officer. 32.1** Section 1350 Certifications of Chief Executive Officer and Chief Financial Officer. 101* Inline XBRL Document Set for the condensed consolidated financial statements and accompanying notes in Part I, Item 1, “Financial Statements” of this Quarterly Report on Form 10-Q. 104* Inline XBRL for the cover page of this Quarterly Report on Form 10-Q, included in the Exhibit 101 Inline XBRL Document Set. *    Filed herewith. **    Furnished herewith. Apple Inc. | Q3 2024 Form 10-Q | 21 SIGNATURE Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. Date: August 1, 2024 Apple Inc. By: /s/ Luca Maestri Luca Maestri Senior Vice President, Chief Financial Officer Apple Inc. | Q3 2024 Form 10-Q | 22

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for EEM. Express as a decimal (e.g., -0.02).

Answer: -0.0146

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0146 (i.e., on a bad day with 5% probability, the loss exceeds 1.46%). CVaR(95%) = -0.0163.


EFA: 60-day return history, mean=0.0002, std=0.0098.

Question:
Asset: EFA
Daily returns (past 60 days): mean=0.0002, std=0.0098, min=-0.0269, max=0.0182
Market regime: bull
Recent filing/news:
[SEC 10-Q WMT 2024-08-30] wmt-20240731 0000104169 1/31 2025 Q2 false xbrli:shares iso4217:USD iso4217:USD xbrli:shares xbrli:pure iso4217:JPY wmt:state wmt:county wmt:defendant wmt:case wmt:classAction wmt:securitiesClassAction wmt:shareholder wmt:order wmt:pharmacist wmt:segment 0000104169 2024-02-01 2024-07-31 0000104169 wmt:CommonStockparvalue0.10pershareMember 2024-02-01 2024-07-31 0000104169 wmt:A2.550NotesDue2026Member 2024-02-01 2024-07-31 0000104169 wmt:A1050NotesDue2026Member 2024-02-01 2024-07-31 0000104169 wmt:A1500NotesDue2028Member 2024-02-01 2024-07-31 0000104169 wmt:A4875NotesDue2029Member 2024-02-01 2024-07-31 0000104169 wmt:A5750NotesDue2030Member 2024-02-01 2024-07-31 0000104169 wmt:A1800NotesDue2031Member 2024-02-01 2024-07-31 0000104169 wmt:A5625NotesDue2034Member 2024-02-01 2024-07-31 0000104169 wmt:A5250NotesDue2035Member 2024-02-01 2024-07-31 0000104169 wmt:A4875NotesDue2039Member 2024-02-01 2024-07-31 0000104169 2024-08-28 0000104169 2024-05-01 2024-07-31 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0000104169 us-gaap:AccumulatedTranslationAdjustmentMember 2023-02-01 2023-04-30 0000104169 us [...TRUNCATED...] acts, assumptions not being realized or other factors, the actual results relating to the subject matter of any forward-looking statement in this Quarterly Report on Form 10-Q may differ materially from the anticipated results expressed or implied in that forward-looking statement. The forward-looking statements included in this Quarterly Report on Form 10-Q are made only as of the date of this report, and Walmart undertakes no obligation to update any such statements to reflect subsequent events or circumstances. 34 Table of Contents Item 6. Exhibits The following documents are filed as an exhibit to this Quarterly Report on Form 10-Q: Exhibit 3.1(a) Restated Certificate of Incorporation of the Company dated February 1, 2018 is incorporated herein by reference to Exhibit 3.1 to the Report on Form 8-K filed by the Company on February 1, 2018 Exhibit 3.1(b) Certificate of Amendment to the Restated Certificate of Incorporation of the Company, effective February 23, 2024 is incorporated herein by reference to Exhibit 3.1 to the Report on Form 8-K filed by the Company on February 23, 2024 Exhibit 3.2 Amended and Restated Bylaws of the Company dated November 10, 2022 are incorporated herein by reference to Exhibit 3.1 to the Report on Form 8-K filed by the Company on November 16, 2022 Exhibit 31.1* Chief Executive Officer Section 302 Certification Exhibit 31.2* Chief Financial Officer Section 302 Certification Exhibit 32.1** Chief Executive Officer Section 906 Certification Exhibit 32.2** Chief Financial Officer Section 906 Certification Exhibit 99.1* Opioids-Related Litigation Case Citations and Currently Scheduled Trial Dates Exhibit 101.INS* Inline XBRL Instance Document Exhibit 101.SCH* Inline XBRL Taxonomy Extension Schema Document Exhibit 101.CAL* Inline XBRL Taxonomy Extension Calculation Linkbase Document Exhibit 101.DEF* Inline XBRL Taxonomy Extension Definition Linkbase Document Exhibit 101.LAB* Inline XBRL Taxonomy Extension Label Linkbase Document Exhibit 101.PRE* Inline XBRL Taxonomy Extension Presentation Linkbase Document Exhibit 104 The cover page from the Company's Quarterly Report on Form 10-Q for the quarter ended July 31, 2024, formatted in Inline XBRL (included in Exhibit 101) * Filed herewith as an Exhibit. ** Furnished herewith as an Exhibit. 35 Table of Contents SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.   WALMART INC. Date: August 30, 2024 By: /s/ C. Douglas McMillon C. Douglas McMillon President and Chief Executive Officer (Principal Executive Officer) Date: August 30, 2024 By: /s/ John David Rainey John David Rainey Executive Vice President and Chief Financial Officer (Principal Financial Officer) Date: August 30, 2024 By: /s/ David M. Chojnowski David M. Chojnowski Senior Vice President and Controller (Principal Accounting Officer) 36

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for EFA. Express as a decimal (e.g., -0.02).

Answer: -0.0159

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0159 (i.e., on a bad day with 5% probability, the loss exceeds 1.59%). CVaR(95%) = -0.0216.


IAU: 60-day return history, mean=0.0014, std=0.0091.

Question:
Asset: IAU
Daily returns (past 60 days): mean=0.0014, std=0.0091, min=-0.0180, max=0.0222
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for IAU. Express as a decimal (e.g., -0.02).

Answer: -0.0122

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0122 (i.e., on a bad day with 5% probability, the loss exceeds 1.22%). CVaR(95%) = -0.0152.


EEM: 60-day return history, mean=-0.0015, std=0.0095.

Question:
Asset: EEM
Daily returns (past 60 days): mean=-0.0015, std=0.0095, min=-0.0250, max=0.0219
Market regime: sideways
Recent filing/news:
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us-gaap:RetainedEarningsMember 2023-05-01 2023-07-31 0000104169 us-gaap:ParentMember 2023-05-01 2023-07-31 0000104169 us-gaap:NoncontrollingInterestMember 2023-05-01 2023-07-31 0000104169 2023-05-01 2023-07-31 0000104169 us-gaap:AccumulatedOtherComprehensiveIncomeMember 2023-05-01 2023-07-31 0000104169 us-gaap:CommonStockMember 2023-05-01 2023-07-31 0000104169 us-gaap:AdditionalPaidInCapitalMember 2023-05-01 2023-07-31 0000104169 us-gaap:CommonStockMember 2023-07-31 0000104169 us-gaap:AdditionalPaidInCapitalMember 2023-07-31 0000104169 us-gaap:RetainedEarningsMember 2023-07-31 0000104169 us-gaap:AccumulatedOtherComprehensiveIncomeMember 2023-07-31 0000104169 us-gaap:ParentMember 2023-07-31 0000104169 us-gaap:NoncontrollingInterestMember 2023-07-31 0000104169 2023-07-31 0000104169 us-gaap:RetainedEarningsMember 2023-08-01 2023-10-31 0000104169 us-gaap:ParentMember 2023-08-01 2023-10-31 0000104169 us-gaap:NoncontrollingInterestMember 2023-08-01 2023-10-31 0000104169 us-gaap:AccumulatedOtherComprehensiveIncomeMember 2023-08-01 2023-10-31 0000104169 us-gaap:Com [...TRUNCATED...] assumptions not being realized or other factors, the actual results relating to the subject matter of any forward-looking statement in this Quarterly Report on Form 10-Q may differ materially from the anticipated results expressed or implied in that forward-looking statement. The forward-looking statements included in this Quarterly Report on Form 10-Q are made only as of the date of this report, and Walmart undertakes no obligation to update any such statements to reflect subsequent events or circumstances. 35 Table of Contents Item 6. Exhibits The following documents are filed as an exhibit to this Quarterly Report on Form 10-Q: Exhibit 3.1(a) Restated Certificate of Incorporation of the Company dated February 1, 2018 is incorporated herein by reference to Exhibit 3.1 to the Report on Form 8-K filed by the Company on February 1, 2018 Exhibit 3.1(b) Certificate of Amendment to the Restated Certificate of Incorporation of the Company, effective February 23, 2024 is incorporated herein by reference to Exhibit 3.1 to the Report on Form 8-K filed by the Company on February 23, 2024 Exhibit 3.2 Amended and Restated Bylaws of the Company dated November 10, 2022 are incorporated herein by reference to Exhibit 3.1 to the Report on Form 8-K filed by the Company on November 16, 2022 Exhibit 31.1* Chief Executive Officer Section 302 Certification Exhibit 31.2* Chief Financial Officer Section 302 Certification Exhibit 32.1** Chief Executive Officer Section 906 Certification Exhibit 32.2** Chief Financial Officer Section 906 Certification Exhibit 99.1* Opioids-Related Litigation Case Citations and Currently Scheduled Trial Dates Exhibit 101.INS* Inline XBRL Instance Document Exhibit 101.SCH* Inline XBRL Taxonomy Extension Schema Document Exhibit 101.CAL* Inline XBRL Taxonomy Extension Calculation Linkbase Document Exhibit 101.DEF* Inline XBRL Taxonomy Extension Definition Linkbase Document Exhibit 101.LAB* Inline XBRL Taxonomy Extension Label Linkbase Document Exhibit 101.PRE* Inline XBRL Taxonomy Extension Presentation Linkbase Document Exhibit 104 The cover page from the Company's Quarterly Report on Form 10-Q for the quarter ended October 31, 2024, formatted in Inline XBRL (included in Exhibit 101) * Filed herewith as an Exhibit. ** Furnished herewith as an Exhibit. 36 Table of Contents SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.   WALMART INC. Date: December 6, 2024 By: /s/ C. Douglas McMillon C. Douglas McMillon President and Chief Executive Officer (Principal Executive Officer) Date: December 6, 2024 By: /s/ John David Rainey John David Rainey Executive Vice President and Chief Financial Officer (Principal Financial Officer) Date: December 6, 2024 By: /s/ David M. Chojnowski David M. Chojnowski Senior Vice President and Controller (Principal Accounting Officer) 37

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for EEM. Express as a decimal (e.g., -0.02).

Answer: -0.0216

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0216 (i.e., on a bad day with 5% probability, the loss exceeds 2.16%). CVaR(95%) = -0.0245.


AVAX-USD: 60-day return history, mean=0.0098, std=0.0559.

Question:
Asset: AVAX-USD
Daily returns (past 60 days): mean=0.0098, std=0.0559, min=-0.0947, max=0.1652
Market regime: sideways
Recent filing/news:
[Kaggle 2023-12-19]

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for AVAX-USD. Express as a decimal (e.g., -0.02).

Answer: -0.0871

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0871 (i.e., on a bad day with 5% probability, the loss exceeds 8.71%). CVaR(95%) = -0.0909.


HYG: 60-day return history, mean=0.0008, std=0.0026.

Question:
Asset: HYG
Daily returns (past 60 days): mean=0.0008, std=0.0026, min=-0.0040, max=0.0062
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for HYG. Express as a decimal (e.g., -0.02).

Answer: -0.0030

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0030 (i.e., on a bad day with 5% probability, the loss exceeds 0.30%). CVaR(95%) = -0.0038.


SGOV: 60-day return history, mean=0.0002, std=0.0002.

Question:
Asset: SGOV
Daily returns (past 60 days): mean=0.0002, std=0.0002, min=0.0000, max=0.0006
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for SGOV. Express as a decimal (e.g., -0.02).

Answer: 0.0000

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = 0.0000 (i.e., on a bad day with 5% probability, the loss exceeds 0.00%). CVaR(95%) = 0.0000.


CSHI: 60-day return history, mean=0.0002, std=0.0005.

Question:
Asset: CSHI
Daily returns (past 60 days): mean=0.0002, std=0.0005, min=-0.0009, max=0.0021
Market regime: sideways

Using the historical simulation method, compute the 1-day VaR at 95% confidence level for CSHI. Express as a decimal (e.g., -0.02).

Answer: -0.0004

Explanation: Historical simulation VaR at 95%: sort the 60 daily returns and take the 5th percentile. VaR(95%) = -0.0004 (i.e., on a bad day with 5% probability, the loss exceeds 0.04%). CVaR(95%) = -0.0008.