Robert David Sack

JPMORGAN CHASE ACCOUNTS — Interest

OPP ADVANTAGE BANK DEPOSIT — Interest

OPP AMERICAN INTL GROUP INC COM NEW — Int/Div — Sold

ALLSTATE CORP — Int/Div — Buy

OPP APPLE INC — Int/Div — Buy (add'l)

OPP BP PLC SPONSORED ADR — Int/Div — Buy (add'l)

OPP BANK AMER CORP — Int/Div

OPP BOEING CO — Int/Div

OPP EXXON MOBIL CORP — Int/Div

OPP 13D ACTIVIST FUND CLASS — Int/Div — Buy

OPP VANGUARD TREASURY MONEY MARKET — Int/Div — Buy

OPP DWS STRATEGIC HIGH YIELD TAX-FREE FUND CL INST — Int/Div

OPP IVY MUNICIPAL HIGH INCOME FUND CLASS 1 — Int/Div

OPP NUVEEN HIGH YIELD MUNI BONDCL I — Int/Div

OPP ETF MANAGERS TR PRIME CYBR SCRTY — Int/Div

OPPISHARES TR LSFINSVCETF — Int/Div

OPP ISHARES TR INTL SEL DIV ETF — Int/Div

OPP ISHARES TR LS AER DEF ETF — Int/Div

OPP SPDR SERIES TRUST AEROSPACE DEF — Int/Div

OPP SPDR SERIES TRUST S&P REGL BKG — Int/Div

OPP SELECT SECTOR SPDR TR SBI INT-FINL — Int/Div

OPP SELECT SECTOR SPDR TR SBI INT-INDS — Int/Div — Buy

OPP SELECT SECTOR SPDR TR TECHNOLOGY — Int/Div — Buy

OPP APOLLO SR FLOATING RATE FD INC — Int/Div — Sold

OPP COHEN & STEERS MLP INC & ENRGY COM SHS — Int/Div

OPP NUVEEN NASDAQ 100 DYNAMIC OVER COM SHS — Int/Div — Sold

OPP NUVEEN DOW 30 DYN OVERWRITE — Int/Div

OPP TEKLA HEALTHCARE INVS SH BENINT — Int/Div — Buy

OPP TEKLA LIFE SCIENCES INVS SH BEN INT — Int/Div — Sold (part)

OPP TORTOISE ENERGY INDEPENDENC FD — Int/Div — Sold

OPP NUVEEN NEW YORK AMT QLT MUNICP TAX FREE COM — Interest — Buy (add'l)

OPP NUVEEN INTER DURATION MN TMFED TAX FREE COM — Interest — Buy (add'l)

OPP NUVEEN MUNICIPAL CREDIT INC FD TAX FREE COM SH BEN INT — Interest — Sold

OPP NEW YORK NY NY 4% DUE 02/01/22 B/E LGO OID — Interest — Sold (part)

Northwestern Mutual Whole Life Insurance Policy — Int/Div

Guardian Whole Life Insurance Policy — Int/Div

AMERIPRISE INSURED MONEY MARKET ACCTS — Interest

ADV-COLUMBIA MORTGAGE OPPTYS INSTL CL — Int/Div — Buy

ADV-DREYFUS CASH MANAGEMENT INSTLCL — Int/Div — Buy

ADV-EATON VANCE AMT FREE MUNICIPAL — Int/Div

ADV-FIDELITY ADVISOR FLOATING RATEHIGH INCCL — Int/Div

ADV-HARTFORD CORE EQUITY CL — Int/Div

ADV-LORD ABBETT ULTRA SHOR BONDCLF — Int/Div — Buy

ADV-OPPENHEIMER SENIOR FLOATING RATECLY — Int/Div — Buy

ADV-PIONEER AMT FREE MUNICIPAL CLY — Int/Div — Sold (part)

ADV-VIRTUS NEWFLEET TAX EXEMPT BONDCL I — Int/Div — Sold (part)

ADV-INVESCO EXCHANGE S&P 500 LOW VOLATILITY ETF — Int/Div

ADV-OPPENHEIMER S&P ULTRA DIVIDEND REV ETF — Int/Div — Buy

ONE-INVESCO DIVERSIFIED DIVIDENDCL Y — Int/Div

ONE-INVESCO MUNICIPAL INCOME CLY — Int/Div

ONE-BLACKROCK EQUITY DIVIDEND INSTL CL — Int/Div

ONE-BLACKROCK MULTI ASSET INCOME INSTL CL. — Int/Div — Sold

ONE-DREYFUS CASH MANAGEMENT INSTL CL — Int/Div — Buy

ONE-EATON VANCE FLOATING RATE ADVNTG CLI — Int/Div — Buy

ONE-FIDELITY ADVISOR HEALTH CARECL1 — Int/Div

ONE-FIDELITY ADVISOR NEW INSIGHTS CL — Int/Div

ONE-FIRST EAGLE GLOBAL CL! — Int/Div — Sold

ONE-HARTFORD BALANCED INCOME CL — Int/Div

ONE-LORD ABBETI ULTRA SHORT BONDCLF — Int/Div — Buy (add'l)

ONE-LORD ABBETI ULTRA SHORT BONDCLF — Sold (part)

ONE-LORD ABBETI ULTRA SHORT BONDCLF — Sold (part)

ONE-MFS MUNICIPAL LTD MATURITY C1 — Int/Div

ONE-EVENTIDE GILEAD INSTL CL — Int/Div

ONE-OPPENHEIMER SENIOR FLOATING RATECLY — Int/Div — Sold

CASH RESERVE CERTIFICATE 848001 — Interest — Sold (part)

CASH RESERVE CERTIFICATE 848001 — Sold (part)

CASH RESERVE CERTIFICATE 848001 — Sold (part)

CASH RESERVE CERTIFICATE 848001 — Sold (part)

CASH RESERVE CERTIFICATE 905001 — Interest — Sold (part)

CASH RESERVE CERTIFICATE 905001 — Sold (part)

CASH RESERVE CERTIFICATE 905001 — Sold (part)

CASH RESERVE CERTIFICATE 905001 — Sold (part)

RiverSource Retirement Advisor 4 Advantage VA-Annuity — Int/Div

Strategic Portfolio Service Advantage, IRA

BLACKROCK MULTI ASSET INCOME INSTL CL — Int/Div — Sold (part)

COLUMBIA BALANCED INSTL CL — Int/Div

COLUMBIA EMERGING MARKETS INSTL CL — Int/Div — Sold

EATON VANCE FLOATING RATE ADVNTG CLI — Int/Div — Buy

FIDELITY ADVISOR STRATEGIC INCOMECL — Int/Div

FIRST EAGLE GLOBAL CL! — Int/Div

OPPENHEIMER SENIOR FLOATING RATECLY — Int/Div

INVESCO EXCHANGE S&P 500 LOW VOLATILITY ETF — Int/Div — Buy

SPDR S&P S00 ETF — Int/Div

Columbus Circle LOG. IRA — Int/Div

Lazard IA. IRA — Int/Div

Alta LCC, IRA — Int/Div

VICTORY MUNDER MCC. IRA — Int/Div

Lecturer in Law and Adjunct Professor, Columbia Law School

Member, Columbia Board of Visitors, Columbia Law School

Agreement — 1998 — Gibson, Dunn & Crutcher LLP Retirement Agreement, Gibson Dunn & Crutcher LLP and Robert DD. Sack; Terms $6,000 per month/life, no increase, decrease or cap

Agreement — 2010 — Practising Law Institute and Robert D. Sack, publication of 4th edition of treatise on defamation kaw; royalty 15% of net receipts

Liability — Citibank Mastercard — Credit Card

Liability — Amcrican Express — Credit Card

Income — 2018 — Practising Law Institute Book Royalties — S31.373.01

Income — 2008 — Lecturer in Law, Columbia Law School — $12,499.92

Spouse's income — 2018 — Thomson Reuters Rovalties-West Publishing Corporation

Spouse's income — 2018 — Bard College

A pending claim agamst Worldcom 1s currently in litigation (02 Civ. 3288 (DLC). The worth of that claim cannot be determined at this time.