James Orenstein

Chase bank accounts (with Family Member #2) — Interest

IBM — Int/Div

Verizon — Int/Div

Em Real Estate Trust (as appraised on 11/12/2008) — None

JOUBSACCT(.12) — Int/Div

UBS Bank USA Deposit Acct — None

Vanguard High Divid Yield ETF — Int/Div

JOUBS ACCT (.8}) — None

JPMorgan 529 Moderate Growth Portfolio Fund Class A — None

JOUBSROTH(.47) — Int/Div

UBS Bank USA Deposit Account — Interest

Alphabet Class A — None

Alphabet Class C — None

Goldman Sachs ActiveBeta US Large Cap Fund — Int/Div — Sold (part)

Goldman Sachs ActiveBeta US Large Cap Fund — Int/Div — Sold (part)

Ishares Trust Core S&P Smallcap — Int/Div

Ishares Select Divid ETF — Int/Div

SPDR S&P Midcap 400 — Int/Div

Fidelity Advisor Real Estate Income Fund Class — Int/Div — Sold

Fidelity Advisor New Insights Fund — Int/Div

Cohen & Steers Ltd Duration Pfd & Income Fund Inc — Int/Div

Nuveen Preferred Securities Income Fund — Int/Div

Pioneer High Income Trust — Int/Div

Western Asset High Inscome Fund 11 — Int/Div — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Int/Div — Sold (part)

Putmam Diversified Income Trust — Int/Div

Templeton Global Total Return Class A — Int/Div

Invesco Balanced-Risk Allocation Fund A — None

Nuveen Real Asset Income Fund Class A — Int/Div — Buy (add'l)

FAMILY 22 UBS ROTH (..4%) — Int/Div

UBS Bank USA Dep Acct — Interest

American Funds Capital World Growth & Income Fund CI A — Int/Div

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

American Funds Growth Fund of America CIA — Int/Div

American Funds New Perspective Fund CIA — Int/Div

American Funds Washington Mutual Investors Fund C1 A — Int/Div

Kem County CA Municipal Bond — None — Redeemed

American Funds American Balanced Fund CIA — Int/Div

American Funds Income Fund of America — Int/Div

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 Amenca — None

CollegeAmerica 529 Income Fund of America — None

CollegeAmerica 529 New Perspective Fund — None

CollegeAmerica 529 Smallcap World Fund — None

CollegeAmerica 529 Washington Mutual Investors Fund — None

JOINTUBS ACCT (..4%) — Interest

UBS Bank USA Dep Acct — Interest

Sallie Mae Ednotes Callable — Interest

Wentzville Mo Sch Municipal Bond — None

Yorba Linda CA Municipal Bond — None — Sold (part)

Chicago IL Bd of Ed Municipal Bond — None

Chicago IL Lakefront Municipal Bond — None

NJ Trans Trust Municipal Bonds — None

Escondido CA UHSD Municipal Bond — None

Massachusetts Bay Trans Municipal Bond — None — Buy

Washington Clackamas Municipal Bond — None — Buy

DC Washington Mandarin Hotel Municipal Bond — None — Sold (part)

DC Washington Mandarin Hotel Municipal Bond — Sold

New York City SR A Municipal Bond — None — Sold

Athens-Clarke County GA Municipal Bond — None — Sold

San Joaquin Delta Comnty Ser B Municipal Bond — None — Redeemed

John Hancock New York Venture Annuity (see components lines 68-77) — None

JH Fundamental Large Cap fund — None

wee JH Mid Cap Index fund — None

eee JH SOO Index Fund — None

Western Asset High Yield Fund — None

eee Wellington Management Mid Cap Stock Fund — None

eee Wellington Management Small Cap Value fund — None

eee Wells Capital Core Bond fund — None

eee Templeton-Global fund — None

eee Templeton-Int'l Value fund — None

Lmcoln Life Moneyguard Reserve — None

JOINT UBS ACCT (..49) — Int/Div

UBS Bank USA Dep Acct — Interest

AT&T Inc — Int/Div

Salesforce.com Inc — None — Sold (part)

Salesforce.com Inc — Sold (part)

Salesforce.com Inc — Sold (part)

Salesforce.com Inc — Sold (part)

Salesforce.com Inc — Sold (part)

Salesforce.com Inc — Sold (part)

Ishares S&P S00 Value ETF — Int/Div

Ishares S&P 500 Growth ETF — Int/Div

Fidelity Advisor New Insights Fund C1 A — Int/Div — Sold (part)

Fidelity Advisor New Insights Fund C1 A — Sold (part)

Hennessy Cornerstone Growth Fund Institutional Class — Int/Div

Janus Henderson Global Equity Income Fund Class 1 — Int/Div — Buy

Janus Henderson Global Equity Income Fund Class 1 — Sold

JP Morgan U.S. Large Cap Core Plus Fund A — Int/Div

Neuberger Berman Equity Income Fund Class — Int/Div — Sold (part)

Neuberger Berman Intrinsic Value Fund Class A — Int/Div

Oakmark Fund Class — Int/Div

Salient MLP Energy Infrastructure 11 Class — Int/Div — Sold

Virtus Emerging Markets Opportunities Fund Class — Int/Div — Sold (part)

Loomis Sayles Strategic Income Fund Class A — Int/Div

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

Lord Abbett Floating Rate Fund — Sold (part)

Nuveen High Yield Municipal Bond Fund 1 — Int/Div

Gateway Fund Class Y — Int/Div

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

First Eagle Global Fund Class A — Sold (part)

DWS European Equity Fund-S — None — Buy

DWS European Equity Fund-S — Sold

JO'FAMILY #3 UBS ACCT (LL.D) — Int/Div

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund C1 A — Int/Div

JO/FAMILY #4 UBS ACCT (..T)) — Int/Div

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Tncome Fund C1 A — Int/Div

Adpunct professor, New York University 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

Reimbursement — Umited States Judiciary Federal Judicial Center — July 29-August . 2018 — Denver, CO — Magistrate Judge workshop — Travel lodging, food

Income — 2018 — New York University School of Law — $27,765.00

Spouse's income — 2018 — 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. | have reported all dividend come, meluding dividends

that were reinvested: however, pursuant to the Committee's instructions, | no longer separately report reinvestment transactions.

Part VII, line 4: The valuation of my share of the SEIN Real Estate Trust is based on an appraisal of the value of the property held in trust as of January

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