# Jon Ormond Newman > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/14468 ## Record - **Judge:** Jon Ormond Newman - **Year:** 2015 - **Report type:** Annual - **Pages:** 56 ## Text Pepsico PNC Fancial Norfolk Southem Pfizer The ADT Corp Intel McDonalds Microsoft Plum Creek Timber Procter & Gamble RPM Int'l Travelers T Rowe Price bonds (H): Tyco Intl Bethel CT'17 30 mutual funds (H): Torchmark Allianz Allstate — Sold Merck — Sold Metlife Mitsubishi Monotaro Bank accounts and cash (H) Bank of America -- Sarasota, FL Checking Acct. — Interest Wells Fargo Bank — Interest Morgan Stanley account (H): Morgan Stanley Active Assets Tax Free Trust — Interest stocks (H): Air Products — Int/Div Cisco — Int/Div Cummins — Int/Div Devon Energy — Int/Div Express Scripts — None Johnson and Johnson — Int/Div Johnson Controls — Int/Div Merck — Int/Div Microsoft — Int/Div Mmnesota Mming and Manufacturing — Int/Div Royal Dutch Shell — Int/Div Total Fina — Int/Div mutual funds (H): Calamos Growth & Income C Fund — Distribution Dreyfus Premier Technology Fund — Distribution Fed Max Cap Fund — Distribution Henderson Int'l Op. Fund — None Invesco Balanced Risk Alloc. C Fund — Distribution Mainstay Large Cap Fund — Int/Div Prudential Jennison Small Cap C1 C Fund — Distribution Revenueshares Mid Cap ETF, name change 10 Oppenheimer Mid Cap Revenue — Int/Div Revenueshares Small Cap, name change to Oppenheimer Small Cap Revenue — Int/Div Schwab 1000 Fund — istmbution SPDR Barcap Short Term Hi Yield Fund — Int/Div bonds (H): Bay County FL. School Board '19 4.25 — Interest Bound Brook NJ 21 4.0 — Interest — Buy Clark Cty Nev. 21 5.0 — Interest CTGO. Ser. C'1640 — Interest — Redeemed CTGO. Ser. C1650 — Interest CTGO. Ser. E'165.0 — Interest CT Health & Ed. '1534 — Interest — Matured CT Health & E4.'195.0 — Interest CT Health'165.0 — Interest CT Spl Tax'152.75 — Interest — Matured Dallas Tex '17 5.0 — Interest — Buy Danbury CT.'192.5 — Interest Duncanville TX'I80 — None Erlanger-Elsmere KY, sch. '17 3.5 — Interest — Redeemed Fairfield CT'154.25 — Interest — Matured Florida Hurricane '16 5.0 — Interest Fremont CA'1530 — Interest — Matured Hawaii GO. "1840 — Interest Hartford CT'1585.25 — Interest — Matured Jackson County '18 4.0 — Interest Lakewood County CTFS'154.0 — Interest — Matured Lee County School Bd. '17 4.0 — Interest Mich St Strat. 205.0 — Interest — Buy Northern Mun. Pwr Agy Minn '17 5.0 — Interest N.Y. Housing Develop. '18 2.25 — Interest Oxford Mass G.O.'192.0 — Interest Palm Beach Cty FL 27 4.375 — Interest Penn Pub. School '18 5.0 — Interest Rensselear Co. N.Y.'1542 — Interest — Matured Shelton CT'172.125 — Interest — Redeemed Spokane Wash. "20 5.0 — Interest Tampa Bay FL. Water '1% 5.0 — Interest Univ. CTI1650 — Interest Weber County Utah Mun. Bldg. "13 3.25 — Interest — Matured Wells Fargo Account (H): Wells Fargo Advisors, Sarasota FL Money Market Acct — Interest stocks (MH): Aflac — Int/Div AT&T — Int/Div Amgen — Int/Div Apple — Int/Div Automatic Data Processing — Int/Div — Sold Berkshire Hathaway — None Boeing — Int/Div — Buy Chemours — None — from line £2) Chemours — Sold Chevron — Int/Div — Sold Colgate-Palmolive — Int/Div Conoco Phillips — Int/Div — Sold Dow Chemical — Int/Div DuPont — Int/Div ExxonMobil — Int/Div — Buy General Electric — Int/Div General Mills — Int/Div Gilead Sciences — Int/Div — Buy Hakyard Health — Int/Div — Sold Nimois Tool Works — Int/Div Intel — Int/Div Johnson & Johnson — Int/Div JP Morgan Chase — Int/Div Kimberly-Clark — Int/Div Merck — Int/Div Nextera Energy — Int/Div Phzer — Int/Div Procter & Gamble — Int/Div Qualcomm — Int/Div — Sold UGI Corp — Int/Div US Bancorp — Int/Div Memill Edge Account (H) Merrill Lynch direct deposit program — None Ishares core S&P small cap etf fund — Int/Div Ishares S&P small cap 600 growth — Int/Div Powershares QQQ Trust Units Ser. Fund — Int/Div Vanguard Mid-Cap Value Index Funs — Int/Div Apple Inc — Int/Div — Buy Other (H): 1/2 Int. W. Heid. CT., Condo purchased R988 $115,000 — None Thames & Hudson Rovalty Contract — Rovalty AIG Annuity (IRA) — Interest AIG Annuity (IRA) — Interest Trust No. 1 — Int/Div Morgan Stanley Active Assets Tax Free Trust stocks (H): Corning Covidien — Sold Exxon Mobil Honeywell Insteel Koninklijke Phillips Mallinckrodt M& T Bank Medtronic — Buy Federated Municipal High Yield Advantage A Fund bonds (H): Acalanes CA High Sch. 24 5.0 — Redeemed Bridgeport, CT 195.5 CT StSpl Tux 2039 Miami-Dade County FL Sch. Bd. '17 4.0 New York NY Prior Issues '17 5.0 Niskayuna NY School Dist. "17 5.0 — Matured Penn. ST Higher ed. '18 5.0 Washington State mtr fuel ‘20 5.0 Trust No. 2: — Int/Div brokerage account No. (H) Morgan Stanley Active Assets Tax Free Trust stocks (H): Adobe Systems Agilent Amencan Express Automatic Data Processing Baxter Int'l Becton Dickinson Cigna Dominion Resources Edwards Life Resources Emerson Electric Express Scripts General Mills Home Depot Carbon Cnty PA 20 5.0 — Buy Clark County Nev '17 3.0 College of Charleston SC — Matured Cromwell CT 204.0 CT Health & E4'153.5 — Matured CTHealth& E417 5.0 CT Mun. Elec. '16 4.0 CTSenesD'1513.5 — Redeemed Guilford CT 18 3.0 FYIPPTYS Wash. Lease ‘18 5.0 — Buy Harmison NJ 20 3.0 Hartford County ‘18 3.5 Indiana St Fin ‘195.0 Morgan Stanley Active AssetsTax Free Trust Newtown CT'16 2.25 New York City Turst for Cultural Reserve 2150 New York ST Urban Dev '19 5.50 N.Y. Dorm. Auth. ‘17 5.0 Tampa FL '18 4.0 South Central CT water ‘154.0 — Redeemed Southington CT '18 3.5 Univ. Hawaii '16 4.0 Washmgton Health '23 5.25 brokerage account No. 2 (H): Mongan Stanley, New Haven, CT Money Market Acct. stocks (H): Abbott Labs Abbvie — Buy (add'l) Ace Ltd. — Buy (add'l) Ace Ltd. — Buy (add'l) Air Products Alexion Pharm — Buy Alphabet Inc Amencan Express — Buy (add'l) Amencan Express — Buy (add'l) Amencan Express — Buy (add'l) Anheuser Busch — Buy (add'l) Apple ASML Holding — Buy (add'l) Automatic Data Processing — Sold (part) Blackrock Caterpillar — Sold CDN Pacific RY Celgene — Buy (add'l) Chevron — Sold (part) Chevron — Buy (add'l) Coca-cola — Sold (part) Coca-cola — Buy (add'l) Paypal — Sold Comcast — Buy (add'l) Conoco — Sold (part) Conoco — Buy (add'l) Conoco — prt) Conoco — Buy (add'l) Diageo — Buy (add'l) EOG Resources — Sold Estee Lauder Exxon Mobil — Sold (part) Exxon Mobil — Buy (add'l) Facebook — Buy Facebook — Buy (add'l) Franklin Resources — Buy (add'l) Franklin Resources — Buy (add'l) Franklin Resources — Buy (add'l) General Electric — Sold (part) General Electric — Sold Gilead Science (see note in Part VII) Google (named changed to Alphabet, listed on line 197) — Buy Google (named changed to Alphabet, listed on line 197) — Sold (part) Google (named changed to Alphabet, listed on line 197) — put) Intel — Sold International Exchange Group — Buy Johnson & Johnson — Sold (part) Johnson & Johnson — Sold (part) Johnson & Johnson — Sold JP Morgan Chase Kraft Food Group — Sold McDonalds — Sold (part) Merck — Sold (part) Merck — Sold Microsoft — Buy Mondelez — Sold Nestle News Corp. — Sold Nike — Buy Novartis — Buy (add'l) Novartis — Buy (add'l) Novo-Nordisk Ocadental Petroleum — Sold (part) Ocadental Petroleum — Sold (part) Oracle Pepsico Phillip Morris Phillips 66 — Sold Praxair — Buy (add'l) Qualcomm — Buy (add'l) Qualcomm — Buy (add'l) Qualcomm — Buy (add'l) Procter & Gamble — Sold (part) Procter & Gamble — Sold (part) Roche Holding — Buy (add'l) Royal Dutch — Sold Sabmuller — Buy (add'l) State St. Corp. — Buy (add'l) bad) — Buy (add'l) Target Texas Instruments — Buy Time Wamer — Sold Total — Sold (part) Total — Buy (add'l) Total — Sold (part) Twenty-first Century Fox — Buy (add'l) Twenty-first Century Fox — Buy (add'l) Union Pacific — Buy (add'l) Union Pacific — Buy (add'l) Union Pacific — Buy (add'l) Union Pacific — Buy (add'l) United Technologies — Buy (add'l) Verisign — Buy Visa — Buy Visa — Buy (add'l) Walgreen Wal-Mart — Buy Wal-Mart — Sold (part) Wal-Mart — Sold Walt Disney Wells Fargo — Buy (add'l) Xilinx exchange traded and closed end funds (H): Alerian MLP Exchange Traded Fund — Buy (add'l) Alerian MLP Exchange Traded Fund — Buy (add'l) Alerian MLP Exchange Traded Fund — Buy (add'l) PowerShares Russell Midcap Pure Growth Fund PowerShares Russell Midcap Pure Value Fund SPDR Dow Jones Wilshire Int'l Real Est Fund SPDR Nuveen Barclays Fund Vanguard TTL World Stk Index Fund mutual funds (H): Artisan Mid Cap Fund — Sold Brandes Emergins Markets Fund — Buy (add'l) Brandes Emergins Markets Fund — Buy (add'l) RIT) — Buy (add'l) Cohen & Steers Realty Fund Davis NY Venture Fund — Buy (add'l) Davis NY Venture Fund — Buy (add'l) Franklin Conv, Sec. Adv. Fund — Buy (add'l) Invesco Premier Tx Exempt Inst. Fund — Buy (add'l) Invesco Small Cap Valve Fund — Buy Invesco Small Cap Valve Fund — Buy (add'l) JP Morgan Dynamic Sm Cp Gr Sel Fund — Buy (add'l) Lege Mason WA Emerg. Mkt. Debt Fund — Buy (add'l) Lege Mason WA Emerg. Mkt. Debt Fund — Buy (add'l) Maimnstay Large Cap Grw Fund Mainstay Marketfield Fund — Buy (add'l) Mainstay Marketfield Fund — Buy (add'l) Nuveen limited term muni bond Fund — Buy (add'l) Oppenheier Int'l Bond Y Fund — Buy (add'l) Prudential Jenmison Mid Cap GW Z Fund — Buy (add'l) Royce Premier Inv Fund — Sold Trust No. 3; — Int/Div brokerage account No. 1 (H) Morgan Stanley Active Assets Tax Free Trust stocks (H): M Co. Air Products Apache Apple Danaher Johnson & Johnson bonds (H): Bay County FL School '18 3.5 CT Higher Ed. "17 3.85 Greece NY 'ISS50 — Redeemed Gnswold "183.0 Henderson Nev. '155.0 — Matured Janesville Wis. Sch. ‘194.125 — Buy Marlborough CT '16 4.0 NJ. Transp. ‘17 5.0 Okla. Water Resources '19 5.0 — Buy San Buenaventura CA water '17 4.0 Southington CT '18 3.5 Tampa FL Ubiv, '16 5.0 — Buy brokerage account No. 2 (H) Morgan Stanley Active Assets Tax Free Trust stocks (H): AIA Group Air Liquide Allianz — Buy (add'l) Amencan Express — Buy (add'l) Amencan Express — Buy (add'l) Anheuser Busch — Sold (part) Amnaly Capital Momgt — Buy Arm Holdings — Buy (add'l) Atlas Copco Baidu — Buy (add'l) Baidu — Buy (add'l) Banco Bilbao Bammick Gold — Sold Baxalta — from line 367) Baxter Int'l — Buy (add'l) Bayerische Motore Werke — Buy (add'l) Bed. Bath & Bevond — Buy (add'l) Bed. Bath & Bevond — Buy (add'l) Bed. Bath & Bevond — Sold (part) BG Group — Buy (add'l) Bunge — Buy (add'l) Bunge — Buy (add'l) Canadian National Ry Chevron — Buy (add'l) Chevron — Sold (part) Chevron — Buy (add'l) Chubb — Sold Cisco Coloplast — Buy Conoco — Buy (add'l) assy — Sold (part) assy — Sold CSL Ld, CSL Ld, — Sold (part) CSL Ld, — Sold Dassault Systems DBS Group — Buy (add'l) Diamond Offshore Drilling — Buy (add'l) Dr. Pepper — Sold (part) Dr. Pepper — Sold Ebay — Buy (add'l) Exelon — Buy (add'l) Express Scripts — Sold (part) Exxon Mobil — Buy (add'l) Exxon Mobil — Buy (add'l) Exxon Mobil — Buy (add'l) Fanuc Ltd — Buy (add'l) Franklin Resiources — Buy Franklin Resiources — Buy (add'l) Franklin Resiources — Sold (part) Fresenius Medical Care Fuchs Petrolub — Buy (add'l) Glaxo Smith Kline — Buy (add'l) Glaxo Smith Kline — Buy (add'l) Gnfols S.A — Buy Honda — Buy (add'l) Hong Kong Exchanges & Clearing — Sold (part) Hong Kong Exchanges & Clearing — Sold Icict Bank — Buy (add'l) Imperial Oil — Buy (add'l) Imperial Oil — Sold (part) tau Unibanco — Buy (add'l) tau Unibanco — Buy (add'l) Johnson & Johnson — Buy (add'l) Kone Oyj — Buy Linde AG — Buy (add'l) L'Oreal LVMH Moet Mack Cali Realty — Buy (add'l) Mack Cali Realty — Buy (add'l) Medtronic — Buy Medtronic — Sold (part) Microsoft — Sold (part) Mitsubishi Molson — Sold (part) Molson — Sold Monotaro MTN Group — Buy (add'l) Naspers Ltd. — Buy Nestle Newmont — Sold Novo Nordisk — Buy (add'l) Novo Nordisk — Sold (part) Paypal — from line 393) Procter & Gamble Qualcomm — Buy Roche — Buy (add'l) Sands China Ltd. — Buy (add'l) SAP Ag — Buy Sasol — Buy (add'l) Sasol — Buy (add'l) Schlumberger — Buy (add'l) Schneider — Buy (add'l) Schneider — Sold Shire PLC — Sold Sonova Southwestern Energy — Buy (add'l) Southwestern Energy — Buy (add'l) Suntrust Svenska Swatch — Buy (add'l) Swatch — Sold Symnse Sysmex — Buy (add'l) Sysmex — Sold (part) Taiwan Semiconductor — Sold (part) Taiwan Semiconductor — Buy (add'l) Taiwan Semiconductor — Buy (add'l) Target T Rowe Price — Sold Travelers Turkiye Gurantu Bankasi US Bancorp Unicharm Unilever NV NY — Buy (add'l) Wal-Mart — Buy (add'l) Wells Fargo Whole Foods Markets — Buy Whole Foods Markets — Buy (add'l) WPP PLC Xinyi — Buy (add'l) Xinyi — Sold Exchange Traded & Closed End Funds: IShares MSCI Small Cap Fund Mutual Funds (H): Brandes Int'l small cap equity’ Fund — Buy CRM Small Cap Value Inst. Fund — Buy (add'l) Franklin Fed. Intm. Trm. Tx. Fr. Adv Fund Gabelli Equity Fund Invesco Pemier Fund — Buy (add'l) Lord Abbett Conv. Fund — Buy (add'l) Lord Abbett Emerg. Mkts, Currr. Fund — Buy (add'l) Nuveen Ltd. Term Mun. Bond Fund — Buy (add'l) Oakmark Int'l Small Cap Fund — Buy (add'l) Oakmark Int'l Small Cap Fund — Sold Oppenheimer Int'l Bond Fund — Buy (add'l) Pimco Real Return Fd — Buy (add'l) Thormburg Int'l Fund — Buy (add'l) Tweedy Browne Fund — Buy (add'l) Trust No. 4: — Int/Div brokerage account No. (H) Morgan Stanley Active Assets Tax Free Trust stocks (H): Apple Automatic Data Processing Danaher Ecolab Exxon Mobil Nike Class B United Technologies bonds (H): Kentucky St Prop ‘194.0 NJ. St Transp. '17 5.75 NYC Transition Fin. '16 5.0 Phoenix AZ Civic Imp. "154.0 — Matured Southington CT '18 35 U.S. Treasury '189.0 brokerage account No. 2 (H) Morgan Stanley Active Assets Tax Free Trust stocks (H): AIA Group Air Liquide — Buy (add'l) Allergan — Buy Allianz — Buy (add'l) Allianz — Buy (add'l) Anadarko Petroleum — Buy (add'l) Anheuser-Busch Anasys — Sold (part) Arm Holdings — Buy (add'l) AspenTechnology! — Buy Atlas Copco Autodesk Baidu — Buy (add'l) Banco Bilbao — Buy (add'l) Bank of Hawaii — Buy (add'l) Bayerische Motoren Werke — Buy (add'l) Berkley WR — Buy BG Group — Buy (add'l) Biogen — Buy (add'l) Broadcom Bunge Lid — Buy (add'l) Cablevision — Sold Canadian Nat. Ry — Buy (add'l) Church & Dwight — Sold Citrix Clarcor — Sold (part) Clarcor — Sold Cohen & Steers — Sold Coloplast — Buy Comcast Cooper Co. — Buy Cooper Co. — Buy (add'l) Copart — Sold Core Labs — Buy (add'l) Covidien — Sold Cree — Buy (add'l) Cyberonics — Buy Cyberonics — Sold Dassault Dassault — Buy (add'l) Directy — Sold Discovery Commumcations — Buy Discovery Commumcations — Buy (add'l) Dolby Donaldson — Sold Dresser-Rand — Sold Equifax Expeditors Int'l Factset Research — Sold (part) Factset Research — Sold (part) Fanuc — Buy (add'l) Fastenal — Buy First Cash Fin. Sves, — Buy Fluor — Buy (add'l) Freeport McMoran — Buy (add'l) Freeport McMoran — Buy (add'l) Fresenius Fuchs Petrolub — Buy (add'l) Grfols SA. — Buy Hong Kong Exchanges & Clearing — Sold lcci — Buy (add'l) Immunogen — Buy (add'l) Imperial Oil — Buy (add'l) Imperial Oil — Sold (part) Isis Pharmaceuticals ltau Umibanco — Sold (part) SKS. — Buy (add'l) Juck Henry Juck Henry — Buy (add'l) Kone Oyj — Buy L'Oreal L3 Comm Landstar Liberty Broadband — Buy Liberty Interactive Co. Inter A Liberty Media — Buy (add'l) Linde AG Livanova — Buy LVMH Moet Manhattan Associates — Buy Manhattan Associates — Sold Medtronics — Buy Mitsubishi Monotaro — Buy (add'l) Monotype — Buy (add'l) MSC Industries — Sold MSC Inc Com — Sold (part) MTN Group — Buy (add'l) Naspers Ltd — Buy National Oilwell — Buy (add'l) National Oilwell — Buy (add'l) Nestle Nordson — Buy (add'l) Novo Nordisk NOW Inc — Buy (add'l) Nuance Comm. — Buy (add'l) Nucor — Buy (add'l) Pall — Sold Pentair — Buy (add'l) Primerica — Buy Primerica — Buy (add'l) RBC Bearngs Rentrack — Buy Roche — Buy (add'l) Ross Stores Sandisk — Buy (add'l) Sands China — Buy (add'l) Sands China — Buy (add'l) SAP AG — Buy (add'l) Sasol — Buy (add'l) Sasol — Buy (add'l) Schlumberger — Buy (add'l) Schnewder — A Schnewder — Sold Seagate Tech. — Buy (add'l) Seagate Tech. — Buy (add'l) Shire PLC — Sold Signature Bank Sirona — Sold (part) Snap-on Sonova Starz Liberty Cap Ser. A Svenska Symnse — Buy (add'l) Sysmex — Sold (part) Taiwan Semiconductor — Buy (add'l) TE Connectivity The ADT Corp. — Buy (add'l) Towers Watson — Sold (part) Tripadvisor — Buy Turkiye Garanti Twitter — Buy Twitter — Buy (add'l) Tyco Int'l Unicharm Unilever — Buy (add'l) United Health Vertex Wabeo Holdings Weatherford Int'l — Buy (add'l) Western Digital Corp. — Buy Western Digital Corp. — Buy (add'l) Winmark Wolverine — prt) Wolverine — Sold Wynn Resorts — Buy Xinvi Glass — Buy (add'l) Xinvi Glass — Sold Exchange Traded Closed End Funds (H): Ishares MSC EAFE Value Fund — Buy (add'l) Ishares Russell 3000 Fund Mutual funds (H): Alliance Bernstein Global Bond Advisor Fund — Buy (add'l) Brandes Emergmg Markets Fund — Buy (add'l) Fuchs Petrolub Columbia Acorn Fund — Buy (add'l) Columbia Acorn Fund — Buy (add'l) Franklin Federated Intermediate Term Tax Free Fund — Buy (add'l) Invesco Premier Tax Exempt — Buy (add'l) Lateef Fund Lord Abbett Cony. Fund — Buy (add'l) Lord Abbett Emer. Mkts. Fund — Buy (add'l) Pimco Real Return Fund — Buy (add'l) TCW Total Return Bond Fund — Buy (add'l) IRA consisting of Stocks and Corporate (H): Bonds: — Int/Div brokerage account No, (H). Citibank Bank Deposit corporate bonds (H): Bank of America '16 5.750 Caterpillar '15 4.750 — Matured Lowes'l1SS5.0 — Matured mumicipal bonds (H): MMGO. "154421 — Matured brokerage account No. 2 (H) Morgan Stanley, New Haven, CT liquid asset fund stocks (H): Abbvie — Buy AIA Group Air Liquide American Electric Power Ameriprise Financial Anheuser Busch — Sold (part) Anthem — Sold (part) T04, — Sold Apple — Buy Apple — Buy (add'l) Arm Holding — Buy (add'l) Atlas Copco AT&T Baidu — Buy (add'l) Baidu — Buy (add'l) Banco Bilbao Barrick Gold — Sold Bayerische Motoren Werke Baxalta — Buy Baxalta — Sold Baxter Int'l — Sold (part) TIS. — Sold (part) TIS. — Sold BG Group BHP Billiton — Sold Bunge — Buy (add'l) CA Inc. Canadian National Ry Capitol One — Buy Celanese — Buy Chevron — Buy (add'l) Cisco Coloplast — Buy Conoco Phillips — Sold (part) Conoco Phillips — Sold (part) Conoco Phillips — Sold Cummins Inc — Buy Cummins Inc — Buy (add'l) T16. — Sold Dassault Systems DBS Group Dow Chemical — Buy Dow Chemical — Buy (add'l) Dow Chemical — Sold Dupont — Sold (part) Dupont — Sold Eaton — Buy Eaton — Buy (add'l) Exxon Mobil — Buy Fanuc Fifth Third Bank Ford Motor — Sold (part) Freeport-McMoran — Buy (add'l) Freeport-McMoran — Sold Fresenius General Electric — Sold General Motors — Buy Gilead Science — Buy Gilead Science — Buy (add'l) GlaxoSmithKline — Sold Grifols SA — Buy Harris Corp. Delaware — Sold Hartford Fin. Serv. (see note, Part VII Hong Kong Exchanges & Clearing — Sold (part) Hong Kong Exchanges & Clearing — Sold Hong Kong Exchanges & Clearing — Buy Icict Bank Imperial Oil — Sold (part) Intel — Buy (add'l) Intemational Paper Intemational Paper — Buy (add'l) Johnson & Johnson JP Morgan Chase Kone Oyj — Buy L'Oreal Linde AG LVMH Moet Macy's Mattel — Buy (add'l) MTN Group — Buy (add'l) Naspers — Buy Navient — Buy (add'l) Navient — Sold (part) Navient — Sold Nestle Norfolk Southern — Sold (part) Norfolk Southern — Sold Northrop Grumman — Sold Novo Nordisk — Sold (part) Occidental Petrolem — Sold Pfizer PNC Financial Procter & Gamble — Buy Procter & Gamble — Buy (add'l) Public Service Enterprise Quest Diagnostics — Buy Roche — Buy (add'l) Roval Dutch Shell — Buy (add'l) Roval Dutch Shell — Buy (add'l) Ryder Systems — Buy Ryder Systems — Buy (add'l) Sands China Ltd — Buy (add'l) Sands China Ltd — Buy (add'l) Sasol — Buy (add'l) Schlumberger Schnewder Elec — Sold Shire PLC — Sold Sonova Svenska Swatch — Sold Symantec — Sold (part) R16. — Sold Symrise Sysmex — Sold (part) Tarwan Semiconductors — Sold (part) Teva Pharmaceuticals (see note Part VII Total — Buy (add'l) Total — Sold (part) Travelers — Buy (add'l) Turkiye Unicharm Unilever PLC — Buy (add'l) United Technologies — Buy Valero — Buy Verizon Walmart — Buy (add'l) Wellpoint (changed name to “Anthem” also reported on line 704) — Sold Wells Fargo Xerox — Sold Xinyi Glass — Sold Exchange Traded and Closed End Funds (Hy Ishares Barclays 7-10 Year Treasury Fund Ishares MSC EAFE Index Fund Ishares Russell 1000 Index Fund Ishares Russell 1000 Value Fund Ishares Russell 3000 Fund Ishares Russell mid-cap Fund — Buy Ishares TIPS Bond Fund SPDR DJ Wilshire Int'l Real Estate Vanguard Utilities Fund Mutual Funds (H): Cohen & Steers Pref, Sec. & Inc. Invesco AIM ATST Premier Fund — Buy (add'l) Invesco Mid Cap Core Equity Fund — Sold Legg Mason Western Asset Emerging Markets Fund — Buy (add'l) Mamstay Marketfield Fund — Buy (add'l) Oppenheimer Int'l Fund — Buy (add'l) Pimco Real Return Fund — Sold Pimco Total Return Fund — Buy (add'l) Oppenheimer SR Floating Rate Fund (see note, Part VIII Swatch (see note. Part VII Corporator, Institute of Living Life Regent, University of Hartford Trustee, No. Famly Trust (assets listed in Part VIL, lines 114-144 Gift — Duke University — two mights lodging at conference on class action rules — $398.00 Gift — Yale Umversity — three mghts lodging, lunches, and dinners at Global Constitutional seminar — $900.00 Reimbursement — Yale Umversity — Sept. 16-19, 2015 — New Haven, CT — attend Global Constitutional Seminar — breaktasts and parking three days Reimbursement — Duke University — July 22-23 — Washington, D.C — attend conferebee on class action rules — round trip tram fare New York City to Washington D.C. Spouse's income — 919115 — University of North Carolina Press rovalty global: all entries have been listed alphabetically within separately numbered brokerage accounts and, within each account, grouped within categories labeled "stocks," "exchange traded and closed end funds,” "mutual funds,” and "bonds™ as permitted according to advice received from committee staff, Line 27: Name change Revenueshares Mid Cap ETF to Oppenheimer Mid Cap Revenue Line 28: Name change from Revenueshares Small Cap ETF ro Oppenheimer Small Cap Revenue Line 134: The maturity date of this bond was inadvertently listed as 'I7. The maturity date was is in fact '15, Line 197: On Oct. 5, 2015, Google changed its name to Alphabet Inc. The Google purchase is shown on line 231, Line 230 This stock issue was inadvertently omitted from the 2014 form. 12 shares were purchased on 2/14/2014 for $975.14. Line 297: This fund has changed its name. Line 298: This fund has changed its name. Tine 329: 3m stock was inadvertently omitted from the 2014 form. It had been purchased in an earlier year, Line 374: This spinoff should have been reported on the 2014 report. This report includes the sale of the shares that were spun-off. Line 757: The entry for Hartford Fin. Serv. on the 2014 report should have indicated "sold in purtt” instead of “sold.” Line 816: The entry for Teva Pharmaceuticals on the 2014 report should have indicated "sold in part" mstead of “sold.” Line 855: Oppenheimer SR Floating Rate Fund, which was listed on the 2014 report, was inadvertently marked as partly sold when in fact it was entirely sold on the date indicated with the proceeds and gain as reported. Line 856: Swatch, which was listed on the 2014 report as a holding within Trust No. 4, brokerage account No. 2, was sold on Febray 3, 2015; the proceeds were in Category J, and there was no gain. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/14468. Public record. Not legal advice.