Laura Taylor Swain

HSBC Bank - account — Interest

Citibank mterest bearing accounts — Interest

Synchrony Bank Deposit Account — Interest

pn Corporation Profit Sharing Plan {no control) — None — Distributed

mmm Corp. Employees Stock Ownership Plan (no control) — Int/Div

IRA #1 (H)

Schwab Cash Reserves Sweep Shares (SWSXX) (cash) — Int/Div

Energy Select Sector {(XLE) — Int/Div — Buy

Flexshares Exg Trd FD IBOXX $ yr TGT Dur TIPS Index Fund (TDTF) — Int/Div — Buy (add'l)

IShares Bond ETF Agency Bond (AGZ) — Int/Div

IShares ETF Core MSCI Emerging Mkts (TEMG) — Int/Div — Sold (part)

IShares ETF Core MSCI Emerging Mkts (TEMG) — Sold

IShares MSCI ETF Minimum Volatility (USMV) — Int/Div — Sold (part)

IShares IBOXX Investment Grade Corporate Bond ETF (LQD) — Int/Div — Sold

IShares Russell Microcap ETF (IWC) — Int/Div — Sold

IShares Trust MSCI EAFE Small-Cap ETF (SCZ) — Int/Div — Sold

IShares TR Russell 1000 ETF (1IWB) — Int/Div — Sold (part)

IShares TR Russell 1000 ETF (1IWB) — Sold (part)

IShares TR Russell 1000 ETF (1IWB) — Sold (part)

IShares TR Russell 1000 ETF (1IWB) — Sold

IShares Tr Russell 2000 ETF (IWM) — Int/Div — Sold (part)

IShares Tr Russell 2000 ETF (IWM) — Sold

IShares TIPS Bond ETF (TIP) — Int/Div

IShares TR Bond 3-7 Yr Treas Bond ETF {IED — Int/Div — Sold

IShares 7-10 YR TRSURYBOND ETF IEF) — Int/Div — Sold (part)

Powershares Senior Loan ETF (BKLN) {formerly BKLYN) — Int/Div

Powershares DB Optm Yd Dvrsfd Strtg ETF (PDBC) — Int/Div

ROBO Gbl Rbotcs And Automatn Indx (ROBO) — Int/Div — Buy

SPDR Barclays ETF High Y1d Very Liquid Index (JNK) — Int/Div

SPDR Dow Jones REIT (RWR) — Int/Div — Sold (part)

SPDR Euro STOXX SO ETF (FEZ) — Int/Div — Buy

SPDR Intrmdt Trm Crprate Bad ETF (IWM) — Int/Div — Buy

SPDR Small Cap ETF (SPSM) — Int/Div — Buy

Vanguard FTSE ETF Dev Mkts (VEA) — Int/Div — Buy (add'l)

Vanguard FTSE Emerging Mkts (VWO) — Int/Div — Buy

Vanguard Intermediate Term Gov ETF vaGIm — Int/Div — Buy

Vanguard Large Cap ETF (VV) — Int/Div — Buy

Vanguard Large Cap ETF (VV) — Buy (add'l)

Vanguard Long Term Cor Bd ETF (VCLT) — Int/Div — Buy

Vanguard Mtrg-Backd ETF Mortg-Backed Secs (VMBS) — Int/Div — Buy (add'l)

Vanguard Mtrg-Backd ETF Mortg-Backed Secs (VMBS) — Sold (part)

Vanguard Mtrg-Backd ETF Mortg-Backed Secs (VMBS) — Sold (part)

Wisdomtree Japan Hedged Equity ETF (DXI} — Int/Div — Sold

401K) Plan (H)

Vanguard Mid-Cap Index Fund (VIMAX) — Int/Div — Sold

Vanguard Total Stock Mkt Index Fund (VTSAX) — Int/Div — Sold

Anenican Funds Growth Fund (RGAGX) — Int/Div — Sold

American Funds New Perspective (ANWPX) — Int/Div — Sold

Amencan Funds Bond Fund Am (ABNDX) — Int/Div — Sold

Eagle Small Cap Growth Fund (HRSCX) — Int/Div — Sold

JP Morgan Equity Income Fund (O1EIX) — Int/Div — Sold

Neuberger Berman High Inc. Bond Fund INHILX) — Int/Div — Sold

Vova Fixed Account — Interest — Sold

IRA 22(H)

CITIBANK CASH MONEY FUNDS — Interest — Open

JP MORGAN INTREPID GROWTH FUND CLASS A UJIGAX) — Int/Div — Buy

JP MORGAN VALUE ADVANTAGE FUND JVAAX) — Int/Div — Buy

JP MORGAN STRATEGIC INCOME OPPORTUNITY USOAX) — Int/Div — Buy

JP MORGAN CORE PLUS BOND FUND CLASS A (ONIAX) — Int/Div — Buy

IRA 43 (H)

Western Asset Inst] Govt MMF — Interest

IShares TR Russell 1000 Value ETF (IWD) — Int/Div — Buy (add'l)

IShares TR Russell 1000 Growth ETF (IWF) — Int/Div — Buy (add'l)

IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)

IShares TR Russell 2000 Value ETF (IWN) — Int/Div — Sold

IShares TR Russell 2000 Growth ETF (IWO) — Int/Div — Sold

IShares TR Russell 2000 ETF (1IWM) — Int/Div — Buy

IShares Tr JP Morgan USD Emerging Mkts Bd ETF (EMB) — Int/Div — Sold

IShares MSCI USA Minimum Volatility ETF (USMV) — Int/Div — Sold

SPDR SER TR Barclays High Yield Bond ETF (JNK) — Int/Div

Vanguard Bd Index Fd Inc Total Bd Market ETF (BND) — Int/Div — Buy (add'l)

Vanguard Bd Index Fd Inc Total Bd Market ETF (BND) — Buy (add'l)

Vanguard Bd Index Fd Inc Total Bd Market ETF (BND) — Sold (part)

Vanguard Bd Index Fd Inc Total Bd Market ETF (BND) — Sold (part)

Vanguard TaxManaged Int] Fd F1SE (VEA) — Int/Div — Sold (part)

Vanguard TaxManaged Int] Fd F1SE (VEA) — Buy (add'l)

Vanguard TaxManaged Int] Fd F1SE (VEA) — Buy (add'l)

Vanguard Charlotte Funds Total Intl Bd Index Fund ETF (BNDX) — Int/Div — Buy (add'l)

Vanguard Charlotte Funds Total Intl Bd Index Fund ETF (BNDX) — Sold (part)

Vanguard Intl Equity Index Fds FTSE (VWO) — Int/Div — Buy (add'l)

Vanguard Intl Equity Index Fds FTSE (VWO) — Buy (add'l)

Board Member, Havens Relief Fund Society

Income — 27 — Yeshiva University, Cardozo School of Law (teaching come) — $2,125.00

Spouse's income — 2017 — De Inc. (salary)

Spouse's income — 2007 — Pn Corp. (salary and bonus)

The trust identified in Part | contains no reportable assets.

Part 111 A, Tine 1: This payment was received in 2017, but the class took place in the fall of 2016. As a result, the 2017 report does not reflect a

corresponding position in Part 1,

Part 111 B, line 2: Payments for work performed mn 2016.

Part VII, line 4: The investments of this profit sharing plan are not participant-directed and the positions held by the plan are not reported in the

statements issued to participants,

Part VII, line 5: The mvestments of this ESOP, which was established in 2009, are not participant-directed. The information reported is the most recent

available information, which is as of 12/31/2016,

Part VII, Column B: Lines reflecting no income are so reported because none was attributed to those particular holdings during the reporting period, whether

taxable, tax exempt, or tax deferred, or because the investments do not allocate income to individual holdings, but instead are credited only in unit value, per

page 42 of the filing instructions.