James Orenstein

Chase bank accounts (with Family Member #2) — Interest — from lime 82) — between accounts

Chase bank accounts (with Family Member #2) — from line 84) — between accounts

Chase bank accounts (with Family Member #2) — from line 86) — between accounts

Chase bank accounts (with Family Member #2) — from line &8) — between accounts

Chase bank accounts (with Family Member #2) — from lime 91) — between accounts

Chase bank accounts (with Family Member #2) — from line 92) — between accounts

Chase bank accounts (with Family Member #2) — from line 95) — between accounts

Chase bank accounts (with Family Member #2) — from line 96) — between accounts

Chase bank accounts (with Family Member #2) — from lime 98) — between accounts

Chase bank accounts (with Family Member #2) — from line 101) — between accounts

IBM — Int/Div

Verizon — Int/Div

EEE Family Real Estate Trust (as appraised on 11/1272008) — None

JOUBSACCT(..12) — Int/Div

UBS Bank USA Deposit Acct — None

UNTSFTTGT VIP4Q 13 — None — Redeemed

UNTSFTTGT VIP IQ 1S — Int/Div — Buy

UNTSFTTGT VIP IQ 1S — Sold (part) — between accounts

JOUBS ACCT (..83) — None

JPMorgan 529 Moderate Growth Portfolio Fund Class A — None

JOUBSROTH(.4T — Int/Div

UBS Bank USA Deposit Account — Interest

Apple Inc — Int/Div — Sold — note, Part VII

EMC Corp — Int/Div — Sold

Google Inc Class A — None — Distnbuted — note. Part VII

Google Inc Class C — None — Distributed — note, Part VII

Alphabet Class A — None — from line 25) — note, Part VII

Alphabet Class C — None — from line 26) — note, Part VIII

Biogen Inc — None — Buy

Biogen Inc — Buy (add'l)

Celgene Corp — None — Buy

Celgene Corp — Buy (add'l)

shares Trust Core S&P Smallcap — Int/Div

SPDR S&P Midcap 400 — Int/Div

Fidelity Advisor New Insights Fund — Int/Div — Buy (add'l)

Fidelity Advisor New Insights Fund — Buy (add'l)

Nuveen Quality Preferred Income Fund 2 — Int/Div

Nuveen Quality Preferred Income Fund — Int/Div

AB High Income Fund — Int/Div — Buy (add'l) — note, Part VIII

AB High Income Fund — Buy (add'l)

AB High Income Fund — Buy (add'l)

AB High Income Fund — Buy (add'l)

AB High Income Fund — Buy (add'l)

AB High Income Fund — Buy (add'l)

AB High Income Fund — Buy (add'l)

AB High Income Fund — Sold (part)

AB High Income Fund — Buy (add'l)

AB High Income Fund — Buy (add'l)

AB High Income Fund — Buy (add'l)

S10. — Buy (add'l)

S10. — Buy (add'l)

S10. — Buy (add'l)

Pumam Diversified Income Trust — Int/Div

Templeton Global Total Return Class A — Int/Div — Sold (part)

SPDR Gold Trust — None — Sold

Invesco Balanced-Risk Allocation Fund A — Int/Div — Buy (add'l)

Nuveen Real Asset Income Fund Class A — Int/Div — Buy

Putnam Absolute Return SX) — None — Sold

Putnam Capital Spectrum A — Int/Div — Buy (add'l)

FAMILY #22 UBS ROTH (...4%) — Int/Div

UBS Bank USA Dep Acct — None

American Funds Capital World Growth & Income Fund C1 A — Int/Div — Buy (add'l)

American Funds New World Fund C1 A — Int/Div

American Funds Smallcap World Fund CI A — Int/Div — Buy (add'l)

American Funds Euro Pacific Growth Fund C1 A — Int/Div — Buy (add'l)

American Funds Growth Fund of America CA — Int/Div — Buy (add'l)

American Funds Income Fund of America CIA — Int/Div

American Funds New Perspective Fund CIA — Int/Div — Buy (add'l)

American Funds Washington Mutual Investors Fund C1 A — Int/Div — Buy (add'l)

American Funds American Balanced Fund CA — Int/Div — Buy (add'l)

Kem County CA Municipal Bond — None

JOUBS ACCT (..29) — None

CollegeAmerica 529 Bond Fund of America — None

CollegeAmerica 529 Capital World Growth & Income Fund — None

CollegeAmerica 529 Euro Pac Growth Fund — None

CollegeAmerica 529 Growth Fund of America — None

CollegeAmerica 529 Income Fund of Amenca — None

CollegeAmerica 529 New Perspective Fund — None

CollegeAmerica 529 Smallcap World Fund — None

CollegeAmerica 529 Washington Mutual Investors Fund — None

JOINT UBS ACCT (..4%) — Interest — from Ime 133) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — from line 134) — between accounts

JOINT UBS ACCT (..4%) — (part) — between accounts

JOINT UBS ACCT (..4%) — from line 135) — betweeen accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — from line 136) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — from line 140) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — from line 141) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

JOINT UBS ACCT (..4%) — from line 143) — between accounts

JOINT UBS ACCT (..4%) — (part) — between accounts

JOINT UBS ACCT (..4%) — from line 144) — between accounts

JOINT UBS ACCT (..4%) — from line 146) — between accounts

JOINT UBS ACCT (..4%) — Sold (part) — between accounts

UBS Bank USA Dep Acct — Interest

UNTSFTTGTVIP4Q 13 — None — Redeemed

UNTSFTTGT VIP 1Q 1S — Int/Div — from line 18) — between accounts

Sallie Mae Ednotes Callable — Interest

Oklahoma City OK Municipal Bond — None — Redeemed

Dry Creek CA Municipal Bond — None

Yorba Linda CA Municipal Bond — None

DC Washington Mandarin Hotel Municipal Bond — None

Adams 12 Five Star Schs Colo Municipal Bond — None — Sold (part)

New York City SR A Municipal Bond — None

Brock Tex Indpt Sch Dst Municipal Bond — None

Medina Valley TX Municipal Bond — None

Utah Tran Auth Sales Tax Municipal Bond — None

Lewisville TX Municipal Bonds — None — Sold (part)

Lewisville TX Municipal Bonds — Redeemed

Chicago IL Bd of Ed Municipal Bond — None

Athens-Clarke County GA Municipal Bond — Interest

Monterey Peninsula CA Municipal Bond — None

Chicago IL Lakefront Municipal Bond — None

NJ Trans Trust Municipal Bonds — None

Wentzville Mo Sch Municipal Bond — None

StJohns Cuty FL Wir Swr Sr B Municipal Bond — None

Escondido CA UHSD Municipal Bond — None

San Joaquin Delta Comnty Ser B Municipal Bond — None

Denton TX Indep Sch Municipal Bond — None

Mesquite TX ISD Municipal Bond — None

Washington St Mtr Vehicl Municipal Bond — None — Sold

Ennis TX Indpt Sch Dst Municipal Bond — None

Evergreen CA Elem Sch Dist Municipal Bond — None — Sold

John Hancock New York Venture Annuity — None

Lincoln Life Moneyguard Reserve — None

JOINT UBS ACCT (..49) — Int/Div — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — from line 89) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — from lime 94) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

JOINT UBS ACCT (..49) — Sold (part) — between accounts

UBS Bank USA Dep Acct — Int/Div

Apple Computer Inc — Int/Div — Sold (part)

Apple Computer Inc — Sold — note, Part VIII

AT&T Inc — Int/Div — Sold (part)

AT&T Inc — Sold (part)

Centurylink Inc — Int/Div — Sold

Kinder Morgan Inc — Int/Div — Sold

Lorillard Inc — Int/Div — Buy (add'l)

Lorillard Inc — Buy (add'l)

Lorillard Inc — Distnbuted — note, Part VII

Reynolds Amern Inc — Int/Div — from line 156) — note, Part VIII

Salesforce.com Inc — None

Mainstay Cushing MLP Premier Fund — Int/Div — Buy (add'l)

Mainstay Cushing MLP Premier Fund — Buy (add'l)

Mainstay Cushing MLP Premier Fund — Buy (add'l)

Mainstay Cushing MLP Premier Fund — Buy (add'l)

Mainstay Cushing MLP Premier Fund — Sold

Fidelity Advisor Biotechnology Fund — Int/Div — Buy (add'l)

Fidelity Advisor New Insights Fund C1 A — Int/Div — Buy (add'l)

Fidelity Advisor New Insights Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Int/Div — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Hennessy Cornerstone Growth Fund Institutional Class — Int/Div

JP Morgan U.S. Large Cap Core Plus Fund A — Int/Div — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Int/Div — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Intrinsic Value Fund Class A — Int/Div — Buy (add'l)

Oakmark Fund Class — Int/Div — Buy (add'l)

Oppenheimer Developing Markets Fund ClA — Int/Div — Sold

Aberdeen Global High Income Fund Class A — Int/Div — Buy (add'l)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Aberdeen Global High Income Fund Class A — Sold

Salient MLP Energy Infrastructure I1 Class — None — Buy

Virtus Emergmg Markets Opportunities Fund Class 1 — Int/Div — Buy

Virtus Emergmg Markets Opportunities Fund Class 1 — Buy (add'l)

Deutsche Floating Rate Fund Class S — Int/Div — Buy (add'l)

Deutsche Floating Rate Fund Class S — Buy (add'l)

Loomis Sayles Strategic Income Fund Class A — Int/Div — Buy (add'l)

Loomis Sayles Strategic Income Fund Class A — Buy (add'l)

Lord Abbett Floating Rate Fund — Int/Div — Sold (part)

Mainstay High Yield Opportunity Class A — Int/Div — Buy (add'l)

Mainstay High Yield Opportunity Class A — Buy (add'l)

Mainstay High Yield Opportunity Class A — Sold

Gateway Fund Class Y — Int/Div — Buy (add'l) — note, Part VII

Gateway Fund Class Y — Buy (add'l)

Mainstay Marketfield Fund Class — None — Sold

Neuberger Berman Long Short Fund Class A — Int/Div — Sold (part)

First Eagle Global Fund Class A — Int/Div — Sold (part)

First Eagle Global Fund Class A — Buy (add'l)

Putnam Capital Spectrum Fund Class Y — Int/Div — Buy (add'l)

Putnam Capital Spectrum Fund Class Y — Sold

W/FAMILY #3 UBS ACCT (. 1) — Int/Div

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund C1 A — Int/Div — Buy (add'l)

Amer Funds Capital World Growth & Income Fund C1 A — Buy (add'l)

EE FAMILY #4 UBS ACCT ( mm — Int/Div

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund Cl A — Int/Div — Buy (add'l)

Amer Funds Capital World Growth & Income Fund Cl A — Buy (add'l)

Adpunct professor, New York Umiversaty School of Law

Gift — Robert Jones — Tickets to Camegie Hall concert & dinner — $5,000.00

Liability — Department of Education Direct Loan Servicing — Family member's student loan

Income — 2015 — New York University School of Law — $26,955.00

Spouse's income — 2015 — Department of Justice - US. Attorney's Office, Eastern District of New York

Part VII, generally: For all asset sales resulting in a loss or no net gain, | have left Column D{4) blank.

Part VII, line 13: The valuation of my share of th] Family Real Estate Trust is based on an appraisal of the value of the property held in trust as of January

23, 2008 (the date T inherited my share), The appraisal was reported on November 12, 2008.

Part VII, lines 23, 149: Certificate of divestiture in accordance with 26 U.S.C. Sec. 1043 issued on October 21, 2015.

Part VII, lines 25-28: | had previously reported my holdings of Google, Inc. in one line. Google split the holding into two classes and renamed itself as Apple on

October 2, 2015.

Part VII, lines 39-52: The asset now reported as "AB High Income Fund” was formerly reported as “Alliance Bernstein High Income Fund.” The name change was

first reflected on my account statement in March 2015,

Part VII, lines 73-80: I had previously reported these assets by the individual fund names. Starting in January 2015, my account statements preceded each fund

name with "College America 529” and I am therefore reporting them that way. There was no transfer involved with the name changes.

Part VIL, lines 156-57: 1 acquired the Reynolds Amen Inc. shares in exchange for my shares of Lorillard, Inc. as the result of a corporate merger.

Part VII, line 204: The asset now reported as "Gateway Fund Class Y" was formerly reported as "Gateway Fund Class A." The name change was first reflected on

my account statement in January 2015,