Robert D. Drain

What was filed

332
investments
2
positions
0
gifts
0
agreements
0
debts
16
reimbursements
0
income
0
spouse income

Named parties

American Bankruptcy Institute
National Conference of Bankruptcy Judges
M&A Advisor
The Center for American and International Law
American College of Bankruptcy
Delware Bar Association
The Mergermarket Group
Cleveland Metro Bar Association
Hudson Valley Bar Association
Institute/ Georgetown Law School
Natonal Conference of Bankruptcy Judges
EY 1 Ter TL

As filed

Disney Walt Co — Buy (add'l)

Citibank Accont — Interest

Acess Financial Account #1 (Cash and Stock) — Int/Div

FifthThird Bancorp common — Int/Div

US Trust Managed Common Account (no control)

Alexion Pharmaceuticals — None — Sold

Alphabet Inc, Com — None — Sold (part)

Alphabet Inc, Com — Sold (part)

Amazon — None — Sold (part)

Amazon — Buy (add'l)

Apple — Sold (part)

Apple — Buy (add'l)

Apple — Int/Div — Sold (part)

Aston Montag & Caldwall Grwth Fund C1 — Sold (part)

Aston Montag & Caldwall Grwth Fund C1 — Int/Div — Sold (part)

Autozone — Int/Div

BB&T Comp — Int/Div

Berkshire Hathaway C1 B — None

Celgene — None — Buy

Celgene — Buy (add'l)

Celgene — Sold (part)

Cerner — None

Chipotle — None — Sold

Citigroup — Buy (add'l)

Citigroup — Int/Div — Buy (add'l)

Col. Dividend Income FDC). Z — Int/Div — Sold (part)

Col. Select Large Cap Growth FD C1. Z — Sold (part)

Comcast Corp — Int/Div

Costco Whis! — Int/Div

CVS Health — Int/Div — Buy

CVS Health — Buy (add'l)

CVS Health — Sold

Danaher — Distribution — Sold (part)

Dell Tech — None — Buy

Delphi Automotive — Buy (add'l)

Delphi Automotive — Int/Div — Buy (add'l)

Disney Walt Co — Buy (add'l)

Disney Walt Co — Int/Div — Buy (add'l)

Disney Walt Co — with line 37)

FOG Res — Buy

FOG Res — Int/Div — Buy (add'l)

Exxon Mobil — Int/Div

Facebook — None — Sold (part)

Facebook — Sold (part)

Fortive — Int/Div — Buy

Gilead Sciences — Int/Div

Goldman Sachs — Buy

Goldman Sachs — Int/Div — Buy (add'l)

Hershey — Int/Div — Sold (part)

Home Depot — Int/Div

Intercontinental Exchange — Buy

Intercontinental Exchange — Buy (add'l)

Intercontinental Exchange — Int/Div — Buy (add'l)

IShares Russell 1000 Growth — Int/Div — Sold

Johnson & Johnson — Int/Div — Sold (part)

Kraft Heinz — Int/Div

Lazard — None — Sold (part)

Lazard — Sold (part)

Lazard — Sold

Las Vegas Sands — None — Sold

Lauder Estee Cos — Int/Div

Mastercard — Buy (add'l)

Mastercard — Int/Div — Sold (part)

McKesson — Int/Div — Sold (part)

McKesson — Sold

MFS Value FDC1 1 — Int/Div — Sold (part)

Microsoft Corp. — Int/Div — Sold (part)

Mondelez Intl — Int/Div

Monsanto New Com. — Int/Div — Buy (add'l)

Morgan Stanley — Int/Div — Sold

Priceline — Int/Div

Raytheon — Buy

Raytheon — Int/Div — Buy (add'l)

Regeneron Pharma — None — Buy (add'l)

Salesforce Com. Inc — None — Buy (add'l)

Schwab Charles — Int/Div — Buy

SPDR S&P Dividend ETF — Int/Div — Sold (part)

Starbucks — Int/Div

Target — Int/Div

TCW Select Equities FD C1 1 — None — Sold (part)

Tesla Motors — None

TIX Cos. — Int/Div

Umon Pacific — Int/Div

Venzon Com — Int/Div — Sold (part)

Zoetis Inc — Int/Div — Sold (part)

Amphenol — Int/Div — Sold (part)

Church & Dwight — Int/Div — Sold (part)

Cimarex Energy — Buy

Cimarex Energy — Int/Div — Buy (add'l)

Hanesbrands — Int/Div — Buy (add'l)

Hanesbrands — Buy (add'l)

Hanesbrands — Sold

Hexcel — None — Sold (part)

Hexcel — Sold (part)

Hexcel — Sold

Hunt JB Trans. — Int/Div

Jacobs Engr Grp — None — Buy

New Onental Ed & Tech ADR — None — Buy (add'l)

New Onental Ed & Tech ADR — Buy (add'l)

New Onental Ed & Tech ADR — Sold

Palo Alto Networks — None — Buy

Palo Alto Networks — Buy (add'l)

Palo Alto Networks — Sold (part)

Quanta Sves Inc — None — Sold (part)

Quanta Sves Inc — Sold (part)

Quanta Sves Inc — Sold

Renaissance Hldgs — Int/Div — Sold (part)

Stericycle — None — Buy

Stericycle — Buy (add'l)

Stericycle — Sold (part)

Stericycle — Sold

Vanguard Mid-Cap ETF — Int/Div

Acadia Healthcare — None — Buy

Acadia Healthcare — Buy (add'l)

Dynavax Techonogies — None — Buy (add'l)

Dynavax Techonogies — Sold (part)

Dynavax Techonogies — Sold

Enstar Grp. Ltd — None

SM Energy — Int/Div — Buy

SM Energy — Buy (add'l)

Actelion Ltd — Int/Div — Sold (part)

Allergan PLC — None — Buy (add'l)

Allergan PLC — Sold (part)

Allergan PLC — Sold

Anheuser Busch Inbey — Int/Div

Core Labs — Buy (add'l)

Core Labs — Int/Div — Buy (add'l)

CTrip Com Intl — None — Buy

CTrip Com Intl — Buy (add'l)

Dassault Systemes — None — Sold (part)

Dassault Systemes — Sold (part)

Diageo ADR — Buy

Diageo ADR — Int/Div — Buy (add'l)

Fanuc Corp. — None

Hitachi — None — Sold

Keyence Comp. — None — Sold (part)

Kuka AG — None — Sold (part)

Kuka AG — Sold (part)

Kuka AG — Sold

Line Corp — None — Buy

Line Corp — Buy (add'l)

LyondellBasell — Int/Div

Mobileve NV — None — Sold (part)

Mobileve NV — Sold (part)

Nidec Corp. — None — Sold (part)

Novo-Nordisk ADR — Int/Div — Sold (part)

Novo-Nordisk ADR — Sold (part)

Novo-Nordisk ADR — prt)

Novo-Nordisk ADR — Sold (part)

Novo-Nordisk ADR — Sold

Novozymes — None — Sold (part)

NXP Semiconductors — None

Onex — Int/Div — Sold (part)

Roch Hldgs — None

Softbank — None — Sold (part)

Valeant Pharmaceuticals Intl — None — Sold

Alibaba ADS — None — Sold (part)

lcici Bank hd ADR — Int/Div

JD Com ADR — None — Sold (part)

JD Com ADR — Sold (part)

Tencent Hidgs — None — Buy (add'l)

NY NY Go Ref BDS — Interest

Babylon NY Pub Impt BDS — Interest

North Hempstead NY Pub Impt BDS — Interest

Port Auth NY & NJ CONS BDS OID 2012 — Interest

NY St. Dorm Auth Pers BDS 2022 — Interest

BofA Tax Exempt Reserves — Sold (part)

BofA Tax Exempt Reserves — Interest — Sold (part)

Blackrock Liquidity Fed Fund — Interest — Buy

US Trust managed IRA Rollover Account {no control)

BofA Money Market Savings — Interest

Col. Dividend Income Fd — Buy

Col. Dividend Income Fd — Interest — Buy (add'l)

Col. Select Large Cap Growth Fd C1 2 — None

IShares Core S&P S00 ETF — None — Sold

Natixis Loomis Sayles Growth Fd — None — Buy

Natixis Loomis Sayles Growth Fd — Int/Div — Sold (part)

Oakmark Select Fd C11 — Buy (add'l)

Oakmark Select Fd C11 — Sold (part)

Oakmark Select Fd C11 — Int/Div — Sold (part)

Vanguard S&P S00 11 — Buy

Vanguard S&P S00 11 — Sold (part)

Vanguard S&P S00 11 — Int/Div — Buy (add'l)

Baird Midcap Fd Inst] — None — Buy

Baird Midcap Fd Inst] — Buy (add'l)

Ishares Core S&P Mid Cap ETF — None — Sold

IShares Russell Mid Cap ETF — Sold (part)

IShares Russell Mid Cap ETF — Int/Div — Sold (part)

MFS Mid Cap Value Fd C1 — Sold (part)

MFS Mid Cap Value Fd C1 — Int/Div — Buy (add'l)

IShares Russell 2000 ETF — Sold (part)

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

Touchstone Small Cap Growth Fd — None — Buy (add'l)

Touchstone Small Cap Growth Fd — Sold (part)

Wells Fargo Special Small Cap Value Fd — Int/Div — Buy

DB X-Trackers MSCI EAFE Hedged Equity Fd — Int/Div — Sold

Invesco Intl Growth Fd — Buy (add'l)

Invesco Intl Growth Fd — Sold (part)

Invesco Intl Growth Fd — Buy (add'l)

Invesco Intl Growth Fd — Int/Div — Sold (part)

IShares Core MSC EAFE ETF — Buy (add'l)

IShares Core MSC EAFE ETF — Sold (part)

IShares Core MSC EAFE ETF — Buy (add'l)

IShares Core MSC EAFE ETF — Int/Div — Buy (add'l)

JP Morgan Intl Value Fd — Buy

bail — Sold (part)

bail — Buy (add'l)

bail — Int/Div — Sold (part)

Wisdomtree Europe Hedged Equity Fd — Int/Div — Sold

Hartford Mut Fds 11 Schroders Emerging Mkts — Int/Div — Buy

1Shares Core MSC Emerging Mkts — Buy

1Shares Core MSC Emerging Mkts — Buy (add'l)

1Shares Core MSC Emerging Mkts — Sold (part)

1Shares Core MSC Emerging Mkts — Buy (add'l)

1Shares Core MSC Emerging Mkts — Int/Div — Sold (part)

Schroder Emerging Market Equity Fd — Buy (add'l)

Schroder Emerging Market Equity Fd — Sold (part)

Schroder Emerging Market Equity Fd — Buy (add'l)

Schroder Emerging Market Equity Fd — Sold (part)

Schroder Emerging Market Equity Fd — Buy (add'l)

Schroder Emerging Market Equity Fd — with line 275)

IShares Core US Aggregate Bond ETF — Int/Div — Buy

AQR Diversified Arbitrage Fd — Int/Div — Buy

AQR Managed Futures Strategy Fd — Buy

AQR Managed Futures Strategy Fd — Int/Div — Buy (add'l)

Arbitrage Fd — None — Buy

Blackrock Global Long Short Fd — None — Buy

Blackrock Global Long Short Fd — Buy (add'l)

Goldman Sachs Srategic Income Fd — None — Sold (part)

Goldman Sachs Srategic Income Fd — Sold

Lege Mason BW Absolute Return Opp. Fd — None — Buy

Neuberger Berman Long Short Fd — None — Buy

Robeco Boston Partners Long Short Res Fd — None — Buy

Apple Sr Unsecd Nt — Interest — Buy

Berkshire Hathaway Fin Corp Gtd Sr Nt — Interest

Citigroup Inc Unsecd Sr. Nt — Interest

JPMorgan Chase Sr Unsecd Nt — Interest

Walmart Stores Sr. Unsecd Nt — Interest

Col. Income Opp. FA C1 Z — Int/Div — Redeemed

CMG Ultra Short Term Bond Fd — Interest — Buy (add'l)

Goldman Sachs Absolute Return Tracker Fd — None — Sold

Hatteras Alpha Hedged Strategies Fd — None — Sold

Prudential Global Real Estate Fd C1 2 — Int/Div — Buy (add'l)

Vanguard REIT E1r — Sold (part)

Vanguard REIT E1r — Int/Div — Buy (add'l)

Credit Suisse Commodity-Return Fd — None — Buy (add'l)

Credit Suisse Commodity-Return Fd — Buy (add'l)

Fifth Third Bancorp common — Int/Div

US Trust IRA (no control)

BofA Money Market — Interest

SPDR S&P Div. ETF — Int/Div

SPDR S&P SOO ETF — Int/Div

Vanguard Mid-Cap ETF — Int/Div

Vanguard Small-Cap ETF — Int/Div

US Treas Strips — Interest

Col. Select Large Cap Growth Fd C1. Z — None

CMG Ultra Short Term Bond Fd — Interest

NYS 529 savings program #1-Moderate Age-Based Option Income Portfolio — hy — Buy

NYS 529 savings program #1-Moderate Age-Based Option Income Portfolio — Sold (part)

NYS 529 savings program #2-Moderate Age-Based Option Income Portfolio — Int/Div — Sold (part)

NYS 529 savings program #2-Moderate Age-Based Option Income Portfolio — Sold (part)

NYS 529 savings program #3-Moderate Age-Based Option Income Portfolio — Ine — Sold (part)

NYS 529 savings program #3-Moderate Age-Based Option Income Portfolio — Sold (part)

Board Member, American Bankruptcy Institute

Circunt Governor, National Conference of Bankruptcy Judges

Reimbursement — M&A Advisor — 17272016-17292016 — Palm Beach, FL — Speaker at bankruptcy law conference — Aartare, hotel, food, other transportation

Reimbursement — The Center for American and International Law — 2/242016-2/262016 — New Orleans, LA — Speaker at Fifth Circuit bench/bar conference — Airfare, hotel, food, other transportation

Reimbursement — American Bankruptcy Institute — 3/7/2016 — Brooklyn, NY — Judge Tor national moot Court competition — Auto mileage, parking, food

Reimbursement — American College of Bankruptcy — 3172016-3/19/2016 — Washmgton, DC — Induction ceremony and events — Auto micage, other transportation, food

Reimbursement — American Bankruptcy Institute — 4/142016-4/172016 — Washmgton, DC — Speaker at bankrutcy law conference — Auto mileage, other transportation, food

Reimbursement — American Bankruptcy Institute — 5/12°2016 — New York, NY — Speaker at bankruptcy law conference — Train, food

Reimbursement — Delware Bar Association — S/I82016-5/192016 — Wilmington, DE — Speaker at bench/bar conference — Auto mileage, food

Reimbursement — The Mergermarket Group — 5272016 — New York, NY — Speaker at Debtwire conference on shipping — Auto mileage, parking, food

Reimbursement — Cleveland Metro Bar Association — 5/312016-6/1/2016 — Cleveland, OH — Speaker at bench/bar conference — Aartare, hotel, other transportation, food

Reimbursement — Hudson Valley Bar Association — 920201 6-9/30201 6 — Hyde Park, NY — Speaker at bench/bar conference — Auto mileage, hotel, food, honorarium

Reimbursement — Institute/ Georgetown Law School — bench conference

Reimbursement — uniform cross-border guidelines

Reimbursement — Natonal Conference of Bankruptcy Judges — 102602016 10/28/2011 — Sun Francisco, CA — Speaker at bench/bar conference — Aartare, hotel, other transportation, food

Reimbursement — American Bankruptcy Institute — 1212016-12/32016 — Rancho Palos Verdes, CA — Speaker at bunkuptcy law conference — Aurtare, hotel. other transportation, food

Reimbursement — EY 1 Ter TL — al iA Aird i lat di he nl workshop on resolution of SIFls

Reimbursement — J le eo 2 AF Ek Ns PIN on U.S./China bankruptcy systems

1. Part VIL, lines 4-234, columns B and C. The U.S. Trust-managed account described as a header on line 4 1s held and managed by U.S. Trust as a fiduciary

for my wife and me. It is not a personal brokerage or financial management account. We have no discretion with respect to any of the individual assets in the

account, which are listed in lines 5-234. Instead, U.S. Trust makes each investment, buy or sell decision with respect to the individual assets in the account. We

are able to increase or decrease the aggregage investment in the account (in addition to periodically being able to change risk categories). I therefore reported the

asets in the account in accordance with the method for reporting trust assets in the filing instructions.

2. Part VIL, lines 235-317, columns B and C. The U.S. Trust-managed account described as a header on line 235 is held and managed by US. Trust as a fiduciary

for me. It is not a personal brokerage or financial management account, | have no discretion with respect to any of the individual assets in the account, which are

listed in lines 236-317. Instead, U.S, Trust makes each investment buy or sell decision with respect to the individual assets in the account. Tam able to incresse or

decrease the aggregate investment in the account (in addition to periodically being able to change nisk categories). 1 therefore reported the assets in the account in

accordance with the method for reporting trust assets in the filing structions.

3. Part VII, lines 319-327, columns B and C. The U.S, Trust-managed account described as a header on line 307 is held and managed by U.S. Trust as a fiduciary

for my wife. It is not a personal brokerage or financial management account. My wife has no discretion with respect to any of the individual assets in the sccount,

which are listed in lines 320-327. Instead, U.S. Trust makes cach investment buy or sell decision with respect to the individual assets in teh account. My wife

is able to increase or decrease the aggregate investment in the account (mn addition to periodically being able to change risk categories). | therefore reported the

assets in teh account in accordance with the method for reporting trust assets in the filing instructions.

4. Inline 74 of my 2015 FDR I erroneously listed the asset "Fereeye” as having been "Sold in part.” In fact, it should have been listed as “Sold,” which is why it

does not appear in my current 2016 FDR.