# Charles J. Siragusa

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/20118

## Record

- **Judge:** Charles J. Siragusa
- **Year:** 2018
- **Report type:** Annual
- **Pages:** 42

## Text

IRA £1 (H)
AMAZON COM INC (AMZN) — None — Sold (part)
M&TBANK — Interest
ACCOUNT #1 (H)
MORGAN STANLEY PRIVATE BANK NA (CASH) — Interest
ADIDAS AGIADDYY) (X) — Int/Div
ADIENT PLC COM (ADNTIY)
ADOBE SYSTEMS (ADBE) — None
AFLAC INCORPORATED (AFL) — Int/Div
AIAGROULPLTD(AAGIY) (IX) — Int/Div — Sold
AKAMAI TECHNOLOGIES (AKAM) — None
ALEXION PHARM INC (ALXN) — None — Sold
ALIBABA GROUP HLDG LTD (BABA) — None
ALLERGAN PLC SHS (AGN) — Int/Div — Buy (add'l)
ALLERGAN PLC SHS (AGN) — Sold (part)
ALPHABET INC CL A (GOOGL) — None
ALPHABET INC CL C (GOOG) — None
AMADEUS IT GROUP S.A ADR (AMADY) — Int/Div
AMCOR LIMITED ADR NEW (AMCRY) {yY)
AMERICAN EXPRESS COAX) — Int/Div
ANADARKO PETROLEUM CORP. (APC) — Int/Div — Buy (add'l)
ANADARKO PETROLEUM CORP. (APC) — Sold (part)
ANHEUSER-BUSCH INBEV SPONS (BUD (Y)
APPLE INC (AAPL) — Int/Div
ASML HLDG NV NEW YORK REG (ASML) — Int/Div — Sold (part)
ASOS PLC SPON ADR (ASOMY (YY)
ATLAS COPCO AB SP ADR B SP ADR (ATLCY HY)
AUTODESK INC (ADSK) — None — Sold (part)
BAIDU INC (BIDU (XY)
BIOGEN INC COM (BIB) — None
BIOMARIN PHARMAC SE {BMRN) (X) iY)
BLACKROCK INC. (BLK) — Int/Div
BROADCOM CORP (AVGO) — Int/Div
BURBERRY GROUP PLC SPONS ADR (BLRBY) — Int/Div — Sold
CATERPILLAR INC(CAT(X) — Int/Div — Sold
CODNPACIFIC RY LTD NEW (CP) — Int/Div
CELGENE CORP (CELGH — None
CHARLES SCHWAB CORP (SCHW) — Int/Div
CHECK POINT SOFTWARE TECH LTD (CHKP) — None
CHIPOTLE MEXICAN GRILL (CMG) — None — Buy
CITRIX SYSTEMS INCICTXS) — Int/Div
COCA COLA BOTTLERS JAPAN (CCOIYIIXOY)
CK HUTCHISON HLDGS LTD ADR (CKHUY) — None — Sold
COCA COLA CO. (KO) — Int/Div
COMCAST CORP CL A-SPL (CMCSA) — Int/Div
COSTCO WHOLESALE CORP NEW (COST) — Int/Div
COVESTRO AG (COVTY)(X)(Y)
CREE RESEARCH INC (CREE) (X) — None
CVS HEALTH CORP COM (CVSILY)
DENTSPLY SIRONA INC IXRAY (YY)
DIAGEO PLC -SPONSORED ADR NEW (DEO) — Int/Div
DISCOVERY COMM SER A (DISCA) — None — Buy
DOLBY LABORATORIES INC CLASS A (DLB) — Int/Div
EBAY INC. (EBAY) (LY)
ECOLAB INC (ECL) — Int/Div
EQUINIX INC (EQIX) (X) — Int/Div — Sold
ERSTE GROUP BANK AG SPONS ADR (EBKDY) — Int/Div — Sold (part)
FACEBOOK INC CL-A (FB) — None
FANUC CORPORATION UNSP ADR (FANLY) — Int/Div — Sold
FERGUSON PLC SPONSORED ADR (FERGY)(Y)
FLUOR CORP NEW (FLR) — Int/Div — Buy (add'l)
FLUOR CORP NEW (FLR) — Sold
FREEPORT-MCMORAN INC (FCX) — Int/Div
GIVAUDAN SA ADR (GVDNY) — Int/Div
HDFC BANK LTD (HDB) (X) — Int/Div
HOME DEPOT (HD) — Int/Div
HONEYWELL INTERNATIONAL INC (HON) — Int/Div
HONG KONG EXCHANGES & CLEARING (HKXCY) — Int/Div
HOYA CORP SPONS ADR (HOCPY) — Int/Div
ICON PLC SP ADR (ICLR) — None
INDUSTRIA DE DISENO TEXTIL IND (IDEXY IY)
ING GROEP NV SPONS ADR (INGHIY)
INTESA SANPAOLO S.P.A. ADR (ISNPY) (Y)
IHS MARKIT LTD (INFO) (X) — None
JONIS PHARMACEUTICALS (IONS) — None
JOHNSON & JOHNSON (IND) — Int/Div
JOHNSON CTLS INTL PLC (JC — Int/Div
KAO CORP SPONS ADR (KCRPY) — Int/Div
KBC GROUP NV UNSPONS ADR (KBCSY) — Int/Div
L'OREAL CO ADR (LRLCY 1X) — None
LITECHNOLOGIES INC. (LLL) — Int/Div
LEGRAND SA (LGRDY) (X) — None — Sold
LINDE PLC (LIN) (FORMERLY PRAXAIR INC (PX) — Int/Div — Buy (add'l)
LINDE PLC (LIN) (FORMERLY PRAXAIR INC (PX) — Sold
LONDON STK EXCHANGE GROUP ADR (LNSTY) — Int/Div
LVMH MOET HENNESSY (LVMUY) (X) — Int/Div — Sold
MCCORMICK AND CO NON VOTING (MKC) — Int/Div
MEDTRONIC PLC SHS (MDT) — Int/Div
METTLER TOLEDO INTERNATIONAL INC. COMMON STOCK (MTD) — None
MICROSOFT CORP (MSFT) — Int/Div
MONSANTO CO MONTY)
NATIONAL OILWELL VARCO (NOV) {Y) — Buy
NESTLE SA SPONSORED ADR REPSTG REG SH INSRGY) — Int/Div
NIDEC CORP (NJDCY) — Int/Div — Sold
NOVO NORDISK A S ADR (NVO) — Int/Div
NOW INC (DNOWY IX) IY)
NLUCOR CORP (NUE) — Int/Div
NUTANIX INC CL AINTNX)(X) — None
ORACLE CORP (ORCL) — Int/Div — Sold
ORIX CORP SPONS ADR (IX) — Int/Div
PALO ALTO NETWORKS INC (PANW) — None
PAYPAL HLDGS INC COM (PYPL) — None
PENTAIR PLC (PNR) (Y)
PING AN INSURANCE (PNGAY) (XX) — Distribution — Sold
PIONEER NATURAL RESOURCES (PXD) — Distribution — Buy
PIONEER NATURAL RESOURCES (PXD) — Sold
QUALCOMM INC (QCOM) (X) — Int/Div
RECKITT BENCKISER PLC SPON ADR (RBGLY) — Int/Div — Sold
RED HAT INC (RHI) — None
REGENERON PHARM (REGN) — None
RENTOKIL GROUP PLC SP ADR (RTOKY) — Int/Div
ROCKWELL COLLINS INC (COL Y)
RYANAIR HLDGS PLC ADR (RYAAY) iY)
SAP AG (SAP) — Int/Div
SCHLUMBERGER LTD (SLB) — Int/Div — Buy
SCHLUMBERGER LTD (SLB) — Sold
SEAGATE TECHNOLOGY (STX) — Int/Div
SHIMANO INC (SMANYHXHY)
SHISEIDO LTD SPON ADR (SSDOY) — Int/Div
SOCIEDAD QUIMICA Y MINERA (SQM) XY)
SPLUNK INC (SPLK) — None
SUNCOR ENERGY INC NEW COM (SU) — Int/Div
TE CONNECTIVITY LTD NEW (TEL) — Int/Div
TELEPERFORMANCE SA (TLPFY) (X) — None — Sold
TEMENOS GROUP AG SPON ADR (TMSNY) — Int/Div
TENCENT HLDGS LTD UNSPON ADR ({TCEHY (Y)
TEXAS INSTRUMENTS (TXN) — Int/Div
THERMO FISHER SCIENTIFIC (TMO) — Int/Div
TORONTO DOM BK NEW (TID) (Y)
TWITTER INC (TWTR) — None
UMICORE SA ADR (LMICY)) (Y)
UNITED PARCEL SERVICE CL B(LUPS) — Int/Div
UNITEDHEALTH GROUP INC. (UNH) — Int/Div
VALE SA (VALE)(X)(Y)
VERTEX PHARMACEUTICALS (VRTX) — None
VISA INC (V) — Int/Div
VMWARE INC CLASS A (VMW) — Int/Div
WW GRAINGER (GWW) — Int/Div — Buy
WALT DISNEY CO (DIS) — Int/Div
WEATHERFORD INTL (WFTY/(Y) — Buy
WEATHERFORD INTL (WFTY/(Y) — Buy (add'l)
WESTERN DIGITAL CORP (WDC) — Int/Div — Sold
YUM CHINA HOLDINGS (YUMO) — Int/Div
ZOETIS INC CLASS-A (ZTS) — Int/Div
ISHARES CORE RUSSELL US GR ETr (IUSG) — None — Sold
ISHARES CORE RUSSELL US GR ETr (IUSG) — Buy
ISHARES MSCI1 EAFE ETF (EFA) — None — Buy
ISHARES RUSSELL 1000 GRW ETF (IWF) — None — Sold
ISHARES RUSSELL 1000 GRW ETF (IWF) — Buy
VANGUARD FTSE DEVELOPED MKTS E(VEA) — None — Sold
ACCOUNT #2 (H)
BLACKROCK VALUE OPPORTUNITIES FUND INC CL INSTL (MASPX) — Int/Div
ACCOUNT 3H)
MORGAN STANLEY BANK. N.A — Interest
CERES TACTICAL SYSTEMATIC LP — None
IRA #2 (H)
GOLDMAN SACHS SM CAP VAL A (GSSMX) — Int/Div
IRA #3 (H)
BLACKROCK VALUE OPPORTUNITIES FUND INC CL INSTL (MASPX) — Int/Div
IRA #4 (H)
BLACKROCK VALUE OPPORTUNITIES FUND INC CL INSTL (MASPX) — Int/Div
NY's COLLEGE SAVINGS PROGRAM #1 (Hy
VALUE STOCK INDEX PORTFOLIO — None — Sold (part)
VALUE STOCK INDEX PORTFOLIO — Buy (add'l)
VALUE STOCK INDEX PORTFOLIO — Sold (part)
VALUE STOCK INDEX PORTFOLIO — Sold (part)
VALUE STOCK INDEX PORTFOLIO — Sold (part)
CONSERVATIVE GROWTH PORTFOLIO — None — Buy
CONSERVATIVE GROWTH PORTFOLIO — Sold (part)
CONSERVATIVE GROWTH PORTFOLIO — Sold (part)
NY'S COLLEGE SAVINGS PROGRAM #2 (Hy
VALUE STOCK INDEX PORTFOLIO — None — Buy (add'l)
VALUE STOCK INDEX PORTFOLIO — Sold (part)
VALUE STOCK INDEX PORTFOLIO — Sold (part)
VALUE STOCK INDEX PORTFOLIO — Sold (part)
CONSERVATIVE GROWTH PORTFOLIO — None — Buy
CONSERVATIVE GROWTH PORTFOLIO — Sold (part)
CONSERVATIVE GROWTH PORTFOLIO — Sold (part)
DEFERRED COMPENSATION (H)
FIDELITY LARGE CAP STOCK FUND — None
VT FIDELITY CONTRAFUND — None
LAZARD INTERNATIONAL STRATEGIC EQUITY — None — Sold
OAKMARK INTERNATIONAL INSTITUTIONAL — None — Buy
IRA #5(H)
MORGAN STANLEY BANK NA (XY)
ISHARES SILVER TRUST EQUITY (SLV) — None — Sold
SPDR GOLD TR GOLD (GLD) — None — Sold
VANECK VECTORS GOLD MINERS E 1GDX) — Int/Div — Sold
BLACKROCK GLOBAL ALLOCATION MCLOX) — Int/Div — Sold
COHEN & STEERS INTL REALTY FUND A(IRFAX) — Int/Div
COHEN & STEERS INTL REALTY FD C {IRFCX) — Int/Div
LOCORR MARKET TREND A (LOTAX) — None — Sold
GOLDMAN SACHS SM CAP VAL A (GSSMX)(Y)
ACCOUNT #4 (H)
MORGAN STANLEY BANK. NA — Interest
ACCENTURE PLC IRELAND CL A (ACN) — Int/Div
ADECCO SA UNSPON ADR (AHEXY) wy)
ADOBE SYSTEMS (ADBE) — None
AES CORP (AES) — Int/Div
AKAMAI TECHNOLOGIES (AKAM) — None
AKZO NOBEL (AKZOY) (Y)
ALEXION PHARM INC (ALXN) — None — Sold (part)
ALEXION PHARM INC (ALXN) — Sold
ALIBABA GROUP (BABA) (X)(Y)
ALLERGAN PLC SHS (AGN) — Int/Div — Buy (add'l)
ALLERGAN PLC SHS (AGN) — Buy (add'l)
ALLERGAN PLC SHS (AGN) — Sold (part)
ALLISON TRANSMN HLDGS INC (ALSN) — Int/Div
ALPHABET INC CL A (GOOGL) — None
ALPHABET INC CL C (GOOG) — None
AMAZON (AMZN) — None — Sold (part)
AMERICAN INTL GROUP (AIG) — Int/Div — Buy
AMERICAN INTL GROUP (AIG) — Buy (add'l)
AMERICAN INTL GROUP (AIG) — Buy (add'l)
AMERICAN INTL GROUP (AIG) — Sold
AMERICAN EXPRESS CO (AXP) — Int/Div
AMERICAN HOMES 4 RENT (AMH) — Int/Div
AMERIPRISE FINCL INC (AMP) (Y)
ANADARKO PETROLEUM CORP (APC) — Int/Div — Buy (add'l)
ANHEUSER-BUSCH (BUDDY)
AP MOLLAR-MAERSK A/S ADR (AMKBY) (Y)
APACHE CORP (APA) — Int/Div — Buy
APACHE CORP (APA) — Sold
APPLE INC (AAPL) — Int/Div
APPLIED MATERIALS INC DELWARE (AMATHY)
ALTODESK INC. (ADSK) — None
AUTOZONE INC (AZO) — None
AXA ADS (AXAHY) — Int/Div
BANCO SANTANDER SA. (SAN) — Int/Div — Sold
BANK OZK (OZK) (FORMERLY BANK OF THE OZARKS (OZRKN(Y) — Buy
BASF SE SP ADR (BASFY) (Y)
BAYER AG SPONSORED ADR (BAYRY) — Int/Div — Sold
BIOGEN INC COM (BIB) — None — Buy (add'l)
BLACKROCK INC. (BLK) — Int/Div
BNP PARIBAS SP ADR REPSTG {BNPOQY) — Int/Div — Sold
BOEING CO. (BA) — Int/Div
BP PLC ADS (BP) — Int/Div
BRISTOL MYERS SQUIBB CO (BMY) — Int/Div — Sold
BROADCOM CORP CL A(AVGO) — Int/Div
CATERPILLAR INC(CATHX) — Int/Div — Sold
CABOT OIL & GAS CORP A (COGYHY)
CBS CORP NEW CL B SHRS (CBS) — Int/Div — Sold
CELGENE CORP (CELG) — None
CEMEX SABDECV (CX) (Y)
CHARLES SCHWAB CORP (SCHW) — Int/Div
CHINA CONSTRUCTION BANK CORP (CICHY MY)
CHIPOTLE MEXICAN GRILL (CMGH IX) — None
CISCOSYS INC (CSCO) — Int/Div
CITIGROUP INC NEW (() — Int/Div — Sold (part)
CITRIX SYSTEMS INC(CTXS) — Int/Div
ONX RESOURCE CORP (OUNX IY)
COCA-COLA CO. (KO) — Int/Div
COMCAST CORP CL A (CMCSA) — Int/Div
CONTL AG SPONS ADR (CTTAYY(Y)
COSTCO WHOLESALE CORP NEW (COST) — Int/Div
CREE RESEARCH INC (CREE) (X) — Int/Div
CREDIT SUISSE GROUP (CS) — Int/Div — Sold
CVS HEALTH CORP COM (CVSIY)
DANONE SPONSORED ADR (DANOY) Y)
DENTSPLY SIRONA INC IXRAY)(Y)
DEVON ENERGY CORP NEW (DVN) — Int/Div — Buy (add'l)
DEVON ENERGY CORP NEW (DVN) — Sold
DIAGEO PLC SPON ADR NEW (DEO) {Y)
DISCOVER FINCL SVCS (DFS) — Int/Div
DISCOVERY COMMUNICATIONS SER ADISCAY) — Buy
DOLBY LABORATORIES INC CLASS A (DLB) — Int/Div
DOWDUPONT INC (DWDP) — Int/Div
EBAY INC. (EBAY) (Y)
ECOLAB INC (ECL) — Int/Div
ENCANA CORP (ECA) — Int/Div — Buy
ENCANA CORP (ECA) — Buy (add'l)
ENCANA CORP (ECA) — Sold
EQUINIX INC (EQIX) (X) — Int/Div — Sold
EXELON CORP (EXO) — Int/Div
FACEBOOK INC (FB) — None
FAIRFAX FIN HLDG SUB VTG (FRFHF) Yr
FIRST AMERICAN FINL CORP (FAF) (X) {Y)
FLUOR CORP NEW (FLR) — Int/Div — Sold
FOOT LOCKER (FLY (XX) (Y)
FREEPORT-MCMORAN INC (FCX) — None
G4S PLC UNSPONS ADR (GFSZY) — Int/Div — Sold
GATX CORP (GATX) — Int/Div
GENTEX CORP (GNTX) — Int/Div
GREEK ORGANISATION OF FOOTBALL (GOFPY LY)
HALLIBURTON CO HOLDINGS CO (HAL) — Int/Div — Sold
HANESBRANDS INC (HB — Int/Div — Sold
HENGAN INTL GROUP CO LTD ADR (HEGIY MY)
HITACHI 10 COM NEW ADR (HTHIY) — Int/Div — Sold
HOME DEPOT INC. (HD) — Int/Div
HONDA MOTOR COMPANY LTD ADR (HMC) — Int/Div — Sold
HONEYWELL INTL INC (HON) — Int/Div
HOYA CORP (HOCPY) — Int/Div
HSBC HOLDINGS PLC SPON ADR NEW (HSBC) — Int/Div — Sold
HYPERMARCAS S A SPONSORED ADR (HYPMY 1 (Y)
IHS MARKIT LTD (INFO) (X) — None
INCITEC PIVOT LIMITED ADR (INCZY) — Int/Div — Sold
INDRA SISTEMAS SA FGN ORD ADR {ISNAY (YD)
INFOSYS LIMITED (INFY) (X) — Int/Div
INTESA SANPAOLO ADR (ISNPY) — None — Buy
INTESA SANPAOLO ADR (ISNPY) — Sold
INVESCOLTD(IVZ) — Int/Div — Sold
JONIS PHARMACEUTICALS (IONS) — None
ITAU UNIBANCO MULTIPLE ADR (ITUB) — Int/Div
JOHNSON & JOHNSON (IN) — Int/Div — Buy (add'l)
JOHUNSON CTLS INTL PLC (JCDH — Int/Div — Buy (add'l)
JOHUNSON CTLS INTL PLC (JCDH — Sold (part)
KEYCORP - NEW (KEY) — Int/Div
KINDER MORGAN INCORP (KMD) — Int/Div — Sold
KLA-TENCOR CORP (KLACHY)
KROGER COKRIMY) — Buy
KTCORP SPON ADR (KTH (Y)
LATECHNOLOGIES INC. (LLL) — Int/Div
LIBERTY MEDIA C SER C SIRIUSXM (LSXMK) — None
LINDE PLC (LIN) (FORMERLY PRAXAIR (PX) — Int/Div — Sold
MC CORMICK AND CO NON VOTING (MKC) — Int/Div
MEDTRONIC PLC SHS (MDT) — Int/Div
MERCK & CO INC. (MRK) — Int/Div
METLIFE INCORPORATED (MET) — Int/Div — Sold
MGIC INVT CORP (MTG) — None
MICROSOFT (MFST) — Int/Div — Sold (part)
MONSANTO CO (MONHY)
MURPHY USA INC COM (MUSA) — None
MYLANNV (MYL) — None — Sold
NATIONAL OILWELL VARCO INC INOVIUXH IY)
NETAPP INC COM (NTAPY (X) — Int/Div — Sold
NOVARTIS AG ADR INVS) — Int/Div
NSK LTD SPONSORED ADR (NPSKY) Y)
NLCOR CORP (NUE) — Int/Div
NUTANIX INC CL AINTNX) (XD — None
NUTRIEN LTDUINTRM(X) — None — Sold
ONEMAIN HLDGS INC (OMF) — None
ORACLE CORP (ORCL) — Int/Div — Buy (add'l)
ORACLE CORP (ORCL) — Sold (part)
ORACLE CORP (ORCL) — Sold (part)
OWENS CORNING (OC) (X) — Int/Div — Buy (add'l)
PALO ALTO NETWORKS INC (PANW) — None
PAYPAL HLDGS INC COM (PYPL) — None
PEBBLEBROOK HOTEL TRUST (PEB) — Int/Div
PENTAIR PLC (PNR (Y)
PIONEER NATURAL RESOURCES (PXD) — Int/Div — Buy
PIONEER NATURAL RESOURCES (PXD) — Sold
POSCO ADS (PKX)(Y)
PRADA SPA (PRDSY) (XH (Y)
QUALCOMM INC (QCOM) (X) — Int/Div
REALOGY HOLDINGS CORP (RLGY) — Int/Div — Sold
RED HAT INC (RH) — None
REGENERON PHARM (REGN) — None
REGIONS FINANCIAL CORP (RF) (Y)
RIO TINTO PLC SPON ADR (RIO) — Int/Div
ROCHE HOLDINGS (RHHBY) (X) — None
ROCKWELL COLLINS INC (COLM(Y)
ROYAL BK SCOTLAND GROUP SP ADR (RBS) — Int/Div — Sold
ROYAL DUTCH SHELL PLC (RDS'A) — Int/Div
SANDERSON FARMS (SAFM) — None — Buy
SCHLUMBERGER LTD (SLB) — Int/Div — Buy
SCHLUMBERGER LTD (SLB) — Sold
SCHNEIDER ELEC SA UNSP ADR (SBGSY MY)
SEAGATE TECHNOLOGY (STX) — Int/Div
SENSATA TECHNOLOGIES (ST) — None
SERVICE CORP INTL (SCH — Int/Div
SIGNET JEWELERS LIMITED (SIG) — Int/Div — Buy
SONY CORP (SNEVIX IY)
SPLUNK INC (SPLK) — None
SPROUTS FARMERS MARKET INC (SFM XH (YY) — Buy (add'l)
SPROUTS FARMERS MARKET INC (SFM XH (YY) — Sold (part)
STANDARD LIFE PLC ADR REPSTG 4 (SLFPY (LY)
STANLEY BLACK & DECKER INC (SWK) — Int/Div
SUMITOMO MITSUI FINL GROUP INC (SMFG) — Int/Div — Sold
SUNCOR ENERGY INC (SU) — Int/Div
SYNCHRONY FINANCIAL (SYF) — Int/Div — Sold (part)
TE CONNECTIVITY LTDCHF (TEL) — Int/Div
TERADYNE INC (TER) — Int/Div — Sold (part)
TERADYNE INC (TER) — Sold
TEVA PHARMACEUTICALS (TEVA) (X) Y)
TEXAS INSTRUMENTS INCATXNY — Int/Div
THERMO FISHER SCIENTIFIC (TMO) — Int/Div
TOTALS ASPON ADR(TOT) — Int/Div
TRANSDIGM GROUP INC(TDG) — None — Sold
TWITTER INC (TWTR) — None
US BANCORP (USB) (X) — Int/Div — Buy (add'l)
US BANCORP (USB) (X) — Buy (add'l)
US BANCORP (USB) (X) — Sold
UBS GROUP AG SHS (UBSIHY)
UNILEVER PLC (NEW) ADS (UL) — Int/Div
UNITED PARCEL SERVICE (UPS) — Int/Div
UNITEDHEALTH GROUP INC. (UNH) — Int/Div — Sold (part)
VERIZON COMM (VZ) — Int/Div — Buy
VERTEX PHARMACEUTICALS (VRTX) — None
VISA INC COM (WV) — Int/Div — Sold (part)
VMWARE INC CLASS A (VMWH(Y)
VODAFONE GROUP (VOD (X) — None
VOYA FINL INC(VOYA) — Int/Div
WW GRAINGER INC (GWW) — Int/Div — Buy
WALT DISNEY CO. (DIS) — Int/Div
WEATHERFORD INTERNATIONAL MWFTHY) — Buy
WEATHERFORD INTERNATIONAL MWFTHY) — Buy (add'l)
WELLS FARGO & CONEW (WFC) — Int/Div — Buy (add'l)
WELLS FARGO & CONEW (WFC) — Sold (part)
WESTERN DIGITAL CORPORATION (WDC) — Int/Div — Sold
WEYERHAEUSER CO. COMMON STOCK (WY IY)
WHITBREAD PLC (WTBDY YX) (Y)
WIENERBERGER AG SPON ADR (WBRBY 1 (Y)
WPP PLC SPON NEW ADR (WPP) — Int/Div — Sold
XLGROUPLTD(XLIMY)
YUM CHINA HLDNGS (YUMCO) — Int/Div
ZOETIS INC CLASS A (ZTS) — Int/Div
ISHARES CORE RUSSELL US GR ETF (TUSG) — None — Sold
ISHARES CORE RUSSELL US GR ETF (TUSG) — Buy
ISHARES CORE RUSSELL US VA ETF (IUSV) — None — Sold
ISHARES CORE RUSSELL US VA ETF (IUSV) — Buy
ISHARES RUSSELL 1000 GRW ETF (IWF) — None — Sold
ISHARES RUSSELL 1000 GRW ETF (IWF) — Buy
VANGUARD FTSE DEVELOPED MKTS EF — Int/Div — Sold
VANGUARD FTSE DEVELOPED MKTS EF — Buy
NEW YORK & NEW JERSEY PORT AUTH SER-179 (73358WQH0) — Interest — Redeemed
NYS URB DEV CORP SER CONTR REV REF EMP ST (6500351 MS) — None — Buy
NEW YORK ST URBAN DEV CORP INCOME TAX REV-B- (6500355HT) — Interest
NEW YORK ST THRUWAY AUTH GEN REV IR (650010AD3) — Interest — Sold
NEW YORK ST DORM AUTH 3RD GENL (64990HMG2) — Interest
ERIE ONTY NY FISCAL STABILITY AUTH (29508RGJ9) — Interest
ONONDAGA CNTY NY TR CULTURAL RES REV (68276FAKS6) — Interest
ROCHESTER NY GENL OBLIG SER-1 (7716941. V6) — Interest — Sold
METROPOLITAN TRANSPORTATION AUTHORITY REV-E (59259YNS4) — Interest
SYRACUSE NY PUB IMPT GENL OBLIG REF-A (871702U583) — Interest
SUFFOLK CNTY NY GENL OBLIG REF SER-B (S6476PPN2) — Interest
LONG ISLAND PWR AUTH N'Y ELEC SYS REV-B (5426907W6) — Interest
BUFFALO NY GENL OBLIG REF-A (11967TIMP4) — Interest
ROCKLAND ONTY NY GENL OBLIG REF (77355PVK6) — Interest
NEW YORK ST DORM AUTH REVS NON ST SUPPOR REV-A (64990CUXT) — Interest — Buy
NASSAU CNTY NY FOR ISSUES DTD PRIOR TO (63165 TWEFS) — Interest
NEW YORK NY CITY MUN WTR FIN ALTH WTR (64972GRP 1) — Interest — Buy
ST OF NEW YORK AUTH UNIV REV-A (64990CEG2) — None — Buy
WESTCHESTER CNTY NY GENL OBLIG SER-B (95736LRSY9) — Interest
WESTERN NASSAU CNTY NY WTR ALUTHWTR SYS REV-B (958792DR 1) — Interest
NEW YORK ST ENVIRONMTL FACS CO RP CLEAN WTR (64986DDHS) — Interest — Buy
LONG IS PWR AUTH NY ELEC SYS REV (S42691AF TY — None — Buy
TRIBOROUGH BRIDGE TUNNEL AUTH GENL REV-A (RU602NSD2)Y — Interest
NEW YORK NY CITY TR CULTURAL RES REV-A (6497T1TUEY) — Interest
ACCOUNT #5(H)
MORGAN STANLEY BANK. NA — Interest
DELAWARE LIFE NY SUN UL PROTECTOR (whole life) — None
IRA 26(H)
MORGAN STANLEY BANK NA (Y)
AQR EQ MARKET NEUTRAL INST (OMNIX) — Int/Div — Buy (add'l)
AQR MANAGED FUTURES STATEGY (AOMIX) — None
GOLDMAN SACHS SM CAP VAL A (GSSMX) (XX) — None — Buy (add'l)
GOLDMAN SACHS SM CAP VAL A (GSSMX) (XX) — Sold
GOLDMAN SACHS SM CAP VAL 1GSSIX) — Int/Div — Buy
LORD ABBETT FLT RT F (LFRFX) — Int/Div — Buy
IRA #7 (H)
MORGAN STANLEY BANK N.A (CASH) — Int/Div
ABB LTD(ABBY(X)(Y)
ABNAMRO GROUP (ABNEY (IX) (LY)
ACCENTURE PLC IRELAND CL A (ACN) — Int/Div
ADVANCED DISPOSAL SERVICES (ADSW) (X) — None
ALLERGAN PLC SHS (AGN) — Int/Div
ALPHABET INC CL C (GOOG) — None
ALTRA HLDGS INC (AIMCO) — Int/Div
AMER INTL GP INC NEW (AIG) — Int/Div — Buy (add'l)
AMERICAN EXPRESS CO (AXP) — Int/Div — Sold
AMN HEALTHCARE SVCS INC (AMN) y)
ANHEUSER BUSCH INBEV SA SPON (BLD) — Int/Div
AON PLC SHS CL-A (AON) — Int/Div
ASHTEAD GROUP PLC ADR (ASHTY) {Yy
ASSA ABLOY AB UNSP ADR (ASAZY) — None
AXALTA COATING SYSTEMS LTD (AXTA) — None
BANCORPSOUTH INC (BXS) — Int/Div
BB SEGURIDADE PARTICIPACOES (BBSEY MY)
BERKLEY W R CORP (WRB) — Int/Div
BERKSHIRE HATHAWAY CL-B NEW (BRK'B) — None
BHP BILLITON LTD (BHP) — Int/Div
BLACK KNIGHT INC (BK) — None
BMC STK HLDGS INC (BMCH)Y (Y)
BRITISH AMER TOB SPON ADR (BT) iY)
BROOKFIELD ASSET MGNT CL A LTD (BAM) — Int/Div — Buy
BROOKFIELD ASSET MGNT CL A LTD (BAM) — Buy (add'l)
BROOKFIELD ASSET MGNT CL A LTD (BAM) — Buy (add'l)
BROOKS AUTOMATION INC (BRKS) (xX) — Int/Div
CANADIAN NATL RAILWAY CO (CN]) iY)
CARLSBERG AS (CABGY) — Int/Div
CIELO SA SPONSORED ADR NEW (CIOXY)Y (YY)
COLUMBIA SPORTSWEAR CO (COLM) wy)
COMPAGNIE FIN RICHEMONTAG ADR ({CFRLY) — Int/Div
COMPASS GROUP PLC SPD ADR (CMPGY) — Int/Div
CONTL AG SPONS ADR (CTTAY)(Y)
CVB FINCL CP (CVBF) — Int/Div
DAIWA HOUSE IND LTD ADR (DWAHY) — Int/Div
DANA INCORPORATED (DANY)
DBS GROUP HOLDINGS LTD SP {DBSDY) — Int/Div
DIAGEO PLC SPON ADR NEW (DEO) — Int/Div — Buy (add'l)
DISCOVERY COMMUNICATIONS SER C((DISCK) — None — Sold (part)
DISCOVERY COMMUNICATIONS SER C((DISCK) — Sold
EQUINOR ASA (EQNR) (FORMERLY STATOIL ASA ADR (STON — Int/Div
FASTENAL CO (FAST) — Int/Div
FCB FINL HLDGS INC CL A(FCBIMY)
FERGUSON PLC SPONSORED ADR (FERGY) — Int/Div
FRESENIUS SE & CO(FSNUY MUX) (Y)
FULLER HB & CO(FULY(X) (Y)
GLACIER BANCORP (GBCH (XX) — Int/Div
HORACE MANN EDUCATORS CP (HMNY (YY)
IBERIA BK CORP (IBKCO) — Int/Div
ICICI BANK LTD (IBN) — Int/Div
ICU MEDICAL INC (ICUD(Y)
WOLVERINE WORLD WIDE (WWW) — Int/Div
ILL TOOL WORKS INC (ITW) — Int/Div — Buy (add'l)
INDEPENDENT BK MASS (INDB) — Int/Div
INGEVITY CORP INGVTHYHY)
JOHNSON & JOHNSON (UNI) — Int/Div — Buy (add'l)
KASIKORNBANK PUB CO LTD UNSPON (KPCPY (YY)
LA Z BOY INCORPORATED (LZB) — Int/Div
LITTELFUSE INC (LFUS(X) (Y)
LOWES COMPANIES INC (LOW) — Int/Div
MK SINSTRUMENTS (MKS (Y)
MAKITA CORPORATION LTD ADR NEW (MKTAY) — Int/Div
MARKEL CORP (HOLDING CO) (MKL) — None
MASTERCARD INC CL A (MA) — Int/Div
MATADOR RES CO MTDRIMY)
MEDTRONIC PLC SHS (MDT) — Int/Div
MICHELIN COMPAGNIE GENERALE DE MGDDY MY)
MINERALS TECHNOLOGY INC (MTX) iY)
MR PRICE GROUP LTD SPON ADR IMRPLY)(Y)
MURPHY USA INC (MUSAMXH HY)
NORDEA NK SWEDEN AB (PUBL) ADR INRBAY) — Int/Div
NOVARTIS AG ADR INVS) — Int/Div
NXP SEMICONDUCTORS (NXP — Int/Div — Buy
NXP SEMICONDUCTORS (NXP — Buy (add'l)
NXP SEMICONDUCTORS (NXP — Buy (add'l)
NXP SEMICONDUCTORS (NXP — Buy (add'l)
ORACLE CORP (ORCL) — Int/Div — Buy
PEBBLEBROOK HOTEL TR COM (PER) — Int/Div
PEPSICO INC NC(PEM — Int/Div
PHYSICIANS REALTY TRUST (DOC) iY)
PING AN INSURANCE ADR (PNGAY) xX) — Int/Div
PRUDENTIAL PLC ADR (PUK) — Int/Div
PT TELEKOMUNIKASI INDONESIA (TLKYY)
QTSRLTY TR INC COM CL A (QTS) — Int/Div
RED ELECTRICA CORPORACION SA (RDEIY) — Int/Div
RELX PLC SPONSORED ADR (RELX) — Int/Div
ROGERS CORP (ROG) — Int/Div
ROYAL DUTCH SHELL PLC (RDS'A) — Int/Div
RYANAIR HLDGS PLC ADR (RYAAY) Ww)
RYOHIN KEIKAKU CO LTD ADR (RYKKY) — Int/Div
SAFRAN SA (SAFRY) (X) — Int/Div
SAMPO OYJ UNSPON ADR (SAXPY) — None
SANLAMLTD ADR (SLLDY) — Int/Div
SAP AG (SAP) — Int/Div
SCHLUMBERGER LTD (SLB) — Int/Div
SELECTIVE INS GRP (SIGH (X) — Int/Div
SHIRE PLC ADR (SHPG) — Int/Div — Sold
SONY CORP ADR 1974 NEW (SNE) (YD)
STARBUCKS CORP WASHINGTON (SBUX) — Int/Div
STRYKER CORP (SYK) — Int/Div — Buy (add'l)
SUMITOMO MITSUI FINL GROUP INC ISMFG) — Int/Div
SUNCOR ENERGY INC (SU) — Int/Div
SYNNEX CORP (SNX)(X) — None
TAIWAN SMONDCTR MFG CO LTD ADR (TSM) — Int/Div
TELENOR ASA ADS (TELNY) — Int/Div
TENCENT HLDGS LTD UNSPON ADR (TCEHY) — Int/Div
THERMO FISHER SCIENTIFIC (TMO) — Int/Div
TIX COS INCNEW (TIX) — Int/Div — Sold
TIX COS INCNEW (TIX) — Buy
TOKYO ELECTRON LTD UNSPON ADR (TOELY (YY)
TURKCELL ILETISM HIZM AS NEW {TKOWMY)
UBISOFT ENTMT SA UNSPON ADR (UBSFY 1X) — None
UNILEVER PLC (NEW) ADS (UL) — Int/Div
UNITED TECHNOLOGIES CORP (UTX) — Int/Div — Buy (add'l)
US ECOLOGY INC NEW (ECOL) — Int/Div
VALEO SPONSORED ADR (VLEEY)(Y)
VINCI SA ADR (VCISY) — Int/Div
VIVENDI SA UNSPON ADR (VIVHY) (xX) — None
WOLTERS KLUWER NV SPON ADR WTKWY) — Int/Div
YANDEX NV. A(YNDX)IY)
VOLKSWAGEN AG RP (VWAPY)(X) — None
JP MORGAN CHASE & CO (46625HHS2) — Interest — Buy (add'l)
VERIZON COMMUNICATIONS (92343VBR4) — Interest
BANK OF AMERICA CORP (06051GFBO) — Interest
GOLDMAN SACHS GROUP INC (38141GVM3) — Interest
BP CAPITAL MARKETS PLC (055650DB1) — Interest — Sold (part)
SHELL INTERNATIONAL FINANCE BV (S22582BTS) — Interest
WELLS FARGO CO F XD (95000U 2AM — Interest — Buy (add'l)
CITIGROUP INC 3.66 FXD TO 07/24/2027 FLTS THRFTR (172967LP4) — Interest
GENERAL ELECTRIC CAPITAL CORP (36962G3P7) — Interest — Buy (add'l)
MICROSOFT CORP (594918CAD) — Interest
ENTERPRISE PRODUCTS OPER (293179VAVS) — Interest — Sold
ENTERPRISE PRODUCTS OPER (29379VBLU6) — None — Buy
UNITED STATES TREASURY NOTE (9128284Y3) — None — Buy
UNITED STATES TREASURY BILL (91279604) — None — Buy
UNITED STATES TREASURY BILL (91279604) — Buy (add'l)
UNITED STATES TREASURY BILL (91279604) — Redeemed
UNITED STATES TREASURY NOTE (912828F2 1) — Interest — Buy (add'l)
UNITED STATES TREASURY NOTE (912828F2 1) — Buy (add'l)
UNITED STATES TREASURY NOTE (9128283WEK) — None — Buy
UNITED STATES TREASURY NOTE INFLATION INDEXED (912828UH 1) — Interest — Buy (add'l)
UNITED STATES TREASURY NOTE INFLATION INDEXED (912828UH 1) — Sold
UNITED STATES TREASURY BOND (912810RM2) — Interest — Buy (add'l)
UNITED STATES TREASURY BOND. INFLATION INDEXED (912810RR 1) — Interest — Buy (add'l)
UNITED STATES TREASURY BOND. INFLATION INDEXED (912810RR 1) — Sold
UNITED STATES TREASURY BOND (912810RQ3) (X) — Interest
FED NATL MTG ASSN (31359MGKY) — Interest — Buy (add'l)
FED NATL MTG ASSN (31359MGKY) — Sold (part)
FED HOME LN MTG CORP (313TEACAS) — Interest — Sold
FHLMC 30YR GOLD — Interest — Buy (add'l)
FEDERAL NATIONAL MTG ASSN POOL BMI285 (3140J5NB 1) — Interest
FEDERAL NATIONAL MTG ASSN POOL MA3210(31418CRR9) — Interest — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE {OSPIX) — Int/Div — Buy (add'l)
WESTERN ASSET SMASH SERIES ( (LMLCX) — Int/Div
WESTERN ASSET SMASH SERIES EC (LMECX) — Int/Div
WESTERN ASSET SMASH SERIES M (LMSMX) — Int/Div — Buy (add'l)
WESTERN ASSET SMASH SERIES M (LMSMX) — Buy (add'l)
Agreement — 2005 — NEW YORK STATE RETIREMENT SYSTEM (DEFINED BENEFIT PENSION PLAN)
Income — 2018 — NEW YORK STATE RETIREMENT SYSTEM — $33,339.24
Part VII, lines 91, 140, 232, 267, 312, 367, and 398: Following one or more reportable transactions, these assets became unreportable without corresponding

reportable transactions.

Part VII, lines 603 and 607: See 2017, Part VII, lines 553 and 557, respectively.

Part VII, Column B: Lines reflecting no income are so reported because none was attributed to those particular holdings during the reporting period, whether

taxable, tax exempt, or tax deferred, or because the investments do not allocate income to individual holdings, but instead are credited only in unit value, per

page 42 of the filing instructions.

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/20118. Public record. Not legal advice.