James Orenstein

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

IBM — Int/Div

Verizon — Int/Div

Fromtier Communications Corp. (x) — Int/Div

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

JOUBSACCT(.12) — Int/Div

UBS Bank USA Deposit Acct — None

UNTSFTTGTVIPIQIS — None — Redeemed

Vanguard High Divid Yield ETF — Int/Div — Buy

JOUBS ACCT (.83) — 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

Biogen Inc — None — Sold

Celgene Corp — None — Sold

Goldman Sachs ActiveBeta US Large Cap Fund — Int/Div — Buy

Ishares Trust Core S&P Smallcap — Int/Div

SPDR S&P Midcap 400 — Int/Div

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

Fidelity Advisor New Insights Fund — Int/Div

Nuveen Quality Preferred Income Fund 2 — Int/Div — with line 25) — note, part VII

Nuveen Quality Preferred Income Fund — Int/Div — with line 25) — note, part VII

Nuveen Preferred Securities Income Fund — Int/Div — Open — note, part VII

Pimco Corporate & Income Oppor Fund — Int/Div — Buy

Pioneer High Income Trust — Int/Div — Buy

Western Asset High Inscome Fund 11 — Int/Div — Buy

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

Putnam Diversified Income Trust — Int/Div

Templeton Global Total Return Class A — Int/Div

Dreyfus Global Real Return Fund — Int/Div — Buy

Invesco Balanced-Risk Allocation Fund A — Int/Div — Sold (part)

Nuveen Real Asset Income Fund Class A — Int/Div

Putnam Capital Spectrum A — None — Sold

FAMILY #2 UBS ROTH (..4%) — Int/Div

UBS Bank USA Dep Acct — None

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

American Funds New World Fund C1 A — Int/Div

American Funds Smallcap World Fund CI A — Int/Div

American Funds Euro Pacific Growth Fund C1 A — Int/Div

American Funds Growth Fund of America Cl A — Int/Div — Buy (add'l)

American Funds New Perspective Fund CIA — Int/Div

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

Kem County CA Municipal Bond — None

American Funds American Balanced Fund ClA — 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 America — 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 Bunk USA Dep Acct — Int/Div

UNTSFTTGTVIP IQS — None — Redeemed

Sallie Mae Ednotes Callable — Interest

Dry Creek CA Municipal Bond — None

Yorba Linda CA Mumcipal Bond — None

DC Washington Mandarin Hotel Municipal Bond — None

Adams 12 Five Star Schs Colo Municipal Bond — None — Redeemed

New York City SR A Municipal Bond — None

Brock Tex Indpt Sch Dst Municipal Bond — None — Redeemed

Medina Valley TX Municipal Bond — None — Sold (part)

Utah Tran Auth Sales Tax Municipal Bond — None

Chicago IL Bd of Ed Municipal Bond — None

Athens-Clarke County GA Municipal Bond — Interest

Monterey Peninsula CA Municipal Bond — None — Sold

Chicago IL Lakefront Municipal Bond — None

NJ Trans Trust Municipal Bonds — None

Wentzville Mo Sch Municipal Bond — None — Sold (part)

StJohns Canty FL Wir Swr Sr B Municipal Bond — None — Sold

Escondido CA UHSD Municipal Bond — None

San Joaquin Delta Comnty Ser B Municipal Bond — None

Denton TX Indep Sch Mumcipal Bond — None — Redeemed

Mesquite TX ISD Municipal Bond — None — Sold (part)

Ennis TX Indpt Sch Dst Municipal Bond — None — Redeemed

John Hancock New York Venture Annuity (see components lines 82-91) — None

w<Van Kampen Value fund (17.20%) — None

ees Fundamental Large Cap fund (13.40%) — None

eee Small Cap Value fund (11.70%) — None

High Yield fund (11.00%) — None

wee Mid Cap Index fund (10.50%) — None

wees S00 Index B fund (10.30%) — None

e Wellington Mid Cap fund (7.70%) — None

wees Core Bond fund (7.50%) — None

wees Templeton-Global fund (6.90%) — None

eee Templeton-Int'l Value fund (4.00%) — None

Lincoln Life Moneyguard Reserve — None

JOINT UBS ACCT (..49) — Int/Div

UBS Bank USA Dep Acct — Interest

AT&T Inc — Int/Div

Reynolds Amern Inc — Int/Div

Salesforce.com Inc — None

Ishares S&P 500 Value ETF — Int/Div — Buy

Ishares S&P 500 Growth ETF — Int/Div — Buy

Fidelity Advisor Biotechnology Fund — None — Sold (part)

Fidelity Advisor Biotechnology Fund — Sold

Fidelity Advisor New Insights Fund C1 A — Int/Div

Henderson Global Equity Income Fund C1 A — Int/Div — Sold

Henderson International Opportunities Fund Class — Int/Div — Buy

Hennessy Cornerstone Growth Fund Institutional Class — None

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

Neuberger Berman Equity Income Fund Class A — Int/Div

Neuberger Berman Intrinsic Value Fund Class A — Int/Div

Qakmark Fund Class — Int/Div

Salient MLP Energy Infrastructure 11 Class — Int/Div — Sold (part)

Virtus Emerging Markets Opportunities Fund Class — Int/Div

Deutsche Floating Rate Fund Class S — Int/Div — Sold

Loomis Sayles Strategic Income Fund Class A — Int/Div

Lord Abbett Floating Rate Fund — Int/Div

Nuveen High Yield Municipal Bond Fund 1 — Int/Div — Buy

Nuveen High Yield Municipal Bond Fund 1 — Sold

Nuveen Limited Term Municipal Bond Fund Class — None — Buy

Gateway Fund Class Y — Int/Div

Neuberger Berman Long Short Fund Class A — None — Sold (part)

Neuberger Berman Long Short Fund Class A — Sold (part)

First Eagle Global Fund Class A — Int/Div

JO'FAMILY #3 UBS ACCT (LTD) — Int/Div

UBS Bank USA Dep Acct — None

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

JO/FAMILY 24 UBS ACCT (79) — Int/Div

UBS Bank USA Dep Acct — None

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

Adpunct professor, New York Umiversaty 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 — Pretrial Services Agency — treatment courts for judges and practitioners

Reimbursement — Umted States Judiciary Federal Judicial Center — October 23-24. 2016 — Washington, DC — Participate in panel at FIC workshop for judges — Travel, lodging, food

Reimbursement — Federal Judicial Center — 2016 — settlement in complex and multidistrict litigation

Income — 2016 — New York University School of Law — $27.495.00

Spouse's income — 2016 — 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 divident income, including dividents that

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

Part VII, line 5: The valuation of my share of the Nathan Family Real Estate Trust is based on an appraisal of the value of the property held in trust as of January

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

Part VII, lines 23-25: On May 10, 2016, my holdings previously reported as, respectively, "Nuveen Quality Preferred Income Fund" and "Nuveen Quality

Preferred Income Fund 2" were merged into a new fund under the name "Nuveen Preferred Securities Income Fund.” The merger resulted in an adjustment of my

holdings that generated less than one dollar in capital gains, which 1 have reported as i partial sale on line 24.

Part VII, line 81: Specific mvestment funds within the vanable poriton of the John Hancock New York Venture Annuity are listed in lines 82-91, along with the

percentage each fund represents in the value of the total portfolio. | have estimated the value of each component fund by multiplying the reported percentage by

the total reported value of the annuity as of December 2016.