Steven M. Gold

CHASE CHECKING — Interest

CHASE PLUS SAVING — Interest

CHASE DYNAMIC YIELD STRAT

JPM Tr I MLT SC Inc FundJPM Unconstrained Debt Fund — Int/Div — Sold (part)

JPM Tr I MLT SC Inc FundJPM Unconstrained Debt Fund — Sold (part)

JPM Tr I MLT SC Inc FundJPM Unconstrained Debt Fund — Sold

Harbor Convertible Sec — Int/Div — Sold (part)

Harbor Convertible Sec — Sold (part)

Harbor Convertible Sec — Sold (part)

Harbor Convertible Sec — Sold

SIT Dividend Growth — Int — Sold (part)

SIT Dividend Growth — Sold (part)

Ridgeworth SEIX Floating — Int/Div — Sold (part)

Ridgeworth SEIX Floating — Sold (part)

Ridgeworth SEIX Floating — Sold (part)

Ridgeworth SEIX Floating — Sold

Matthews Asia Dividend — Int/Div — Sold (part)

Blackrock High Yield Bond — Int/Div — Sold (part)

Cohen & Steers Prefs Sec & Inc — Int/Div — Sold (part)

Doubleline Total Return — Int/Div — Buy (add'l)

Doubleline Total Return — Sold (part)

Doubleline Total Return — Sold (part)

Doubleline Total Return — Sold (part)

TRP Inst Floating Rate — Int/Div — Sold (part)

TRP Inst Floating Rate — Sold (part)

Metropolitan West Funds — Int/Div — Sold (part)

Lord Abbett lnvt Tr — Int/Div — Sold (part)

Lord Abbett lnvt Tr — Buy (add'l)

Lord Abbett lnvt Tr — Buy (add'l)

Lord Abbett lnvt Tr — Sold (part)

BMO Pyrford Intl Stock — Int/Div — Sold

Credit Suisse Warburg Pines High Inc — Int

Pimco Unconstrained Bond — Int/Div — Sold (part)

John Hancock L/C Equity — Int/Div

Credit Suisse Floatig Rate High Inc — Int/Div — Sold (part)

Credit Suisse Floatig Rate High Inc — Sold

Federated Inst Hi Yid Bond — Int/Div — Sold (part)

Pimco High Yield FD-P — Int/Div — Buy (add'l)

Pimco High Yield FD-P — Sold (part)

Nuveen Invi Tr V Pid Secs C1 R — hy — Buy (add'l)

Nuveen Invi Tr V Pid Secs C1 R — Buy (add'l)

Nuveen Invi Tr V Pid Secs C1 R — Sold (part)

American Beacon GLG TR — Int/Div — Buy

American Beacon GLG TR — Buy (add'l)

American Beacon GLG TR — Buy (add'l)

American Beacon GLG TR — Sold (part)

Vanguard Intl Equity FTSE Europe ETF — Int/Div — Buy

John Hancock 11 Str Inc — Interest — Buy

John Hancock 11 Str Inc — Buy (add'l)

S10. — Buy (add'l)

S10. — Sold (part)

Pimco Mortgage Opportunities — Int/Div — Buy

Pimco Mortgage Opportunities — Buy (add'l)

Pimco Mortgage Opportunities — Buy (add'l)

Muzinich Low Durat- Supr Inst — Int/Div — Buy

Muzinich Low Durat- Supr Inst — Buy (add'l)

Muzinich Low Durat- Supr Inst — Buy (add'l)

Muzinich Low Durat- Supr Inst — Sold (part)

Metropolitan West t/t — Int/Div — Buy

Voya FLoating Rate — Int — Sold (part)

MFS Ser Tr 11 Muni — Int/Div — Buy

VANGUARD HEALTHCARE FUND IRA — Int/Div

TROWE PRICE RTMNT. PLAN

T Rowe Price Personal Strategy Fund 403b) — Int/Div

T Rowe Price Health Sciences Fund 403(b) — Int/Div

TT Rowe Price Prime Reserve Fund 403(h) — Int/Div

REFORM PENSION BOARD 403(b)

Ref. Pens Bd. Apprecn &lInc. Fund 403(b) — Int/Div — Buy (add'l)

Ref. Pens Bd. Apprecn &lInc. Fund 403(b) — Buy (add'l)

Ref. Pens Bd. Apprecn &lInc. Fund 403(b) — Buy (add'l)

Ref. Pens Bd. Apprecn &lInc. Fund 403(b) — Buy (add'l)

P/ame Adjunct Prof. of Law, Brooklyn Law School

Board Member

Income — 27 — Salary/Ad Prof of Law/Brooklyn Law School — $27,225.00

Spouse's income — 2017 — Salary/Executive Director, Brooklyn Heights Synagogue, Brooklyn. NY

1) Lines 3, 63, and 67 ure headers.

2) With respect to the asset described in Section VII on lines 6 and 7 of my 2016 annual report, Harbor High Yeield Bond, 1 reported two partial sales in 2016 and

no transactions during 2017 or holding as of the end of 2017, 1 therefore infer that the second partial sule reported in 2016 was in fact a final complete sale, or that

there were additional sales during 2017 in increments of less than $1000.

on June as Columbia Cony Sec Z (J), | report a sale this year but did not report an acquisition or holding last year. | infer that the asset was acquired in a

transaction of lesss than $1000 and that | inadvertently neglected to include it in my prior report.

3) With respect to the asset described in Section VIT on line 16 of my 2016 annual report, T report no transactions during 2016 or 2017, and no holdings at the end

of 2017. 1 therefore infer that the asset was sold during 2017 in increments of less than $1000.

4) This note was not in my original report and is added to this amended report in response to the Committee's letter of inquiry dated October 16, 2018. This added

note concerns an asset called "Voya Floating Rate" which is listed in Part VII online 60. The Committee's letter points out that 1 did not list omwdership of this

asset in my 2016 report. 1 have consulted with my bank and learned that | acquired this asset in 2013. 1 apparently failed to report the acquisition through

oversight. I was also advised that, although I reported the sale of the asset on line 60 without noting it, I still own some of this asset, and | have accordingly

amended Part VII, Line 60 to reflect a partial sale rather than an outright sale.