James Orenstein

bank accounts KE 11 — Interest

IBM — Int/Div

Verizon — Int/Div

Frontier Communications Corp. (X)} — None — Sold

HEE Real bBstate Trust (as appraised on 11/1272008) — None

EUBS ACCT (..12) — Int/Div

UBS Bank USA Deposit Acct — None

Vanguard High Divid Yield ETF — Int/Div

ERUBSACCT(.83) — None

JPMorgan 529 Moderate Growth Portfolio Fund Class A — None

EMUBS ROTH (..47) — Int

UBS Bank USA Deposit Account — Interest

Alphabet Class A — None

Alphabet Class C — None

Goldman Sachs ActiveBeta US Large Cap Fund — Int/Div

Ishares Trust Core S&P Smallcap — Int/Div

Ishares Select Divid ETF — Int/Div — Buy

SPDR S&P Midcap 400 — Int/Div

Fidelity Advisor Real Estate Income Fund Class — Int/Div — Buy (add'l)

Fidelity Advisor Real Estate Income Fund Class — Buy (add'l)

Fidelity Advisor Real Estate Income Fund Class — Sold (part)

Fidelity Advisor Real Estate Income Fund Class — Buy (add'l)

Fidelity Advisor Real Estate Income Fund Class — Sold (part)

Fidelity Advisor Real Estate Income Fund Class — Buy (add'l)

Fidelity Advisor New Insights Fund — Int/Div — Buy (add'l)

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

Nuveen Preferred Securities Income Fund — Int/Div

Pimco Corporate & Income Oppor Fund — Int/Div — Sold (part)

Pimco Corporate & Income Oppor Fund — Sold

Pioneer High Income Trust — Int/Div

Western Asset High Inscome Fund [1 — Int/Div

AB (Alliance Bernstein) High Income Fund — Int/Div — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

AB (Alliance Bernstein) High Income Fund — Buy (add'l)

Putnam Diversified Income Trust — Int/Div

Templeton Global Total Return Class A — Int/Div

Dreyfus Global Real Return Fund — None — Sold

Salesforce.com Ing — None — Sold (part)

Invesco Balanced-Risk Allocation Fund A — Int/Div — Buy (add'l)

Nuveen Real Asset Income Fund Class A — Int/Div

EEE “2 UBS ROTH (..4%) — Int/Div

UBS Bank USA Dep Acct — None

American Funds Capital World Growth & Income Fund C1 A — Int/Div — Buy (add'l)

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 — Buy (add'l)

American Funds Euro Pacific Growth Fund C1 A — Buy (add'l)

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

American Funds New Perspective Fund CA — Int/Div — Buy (add'l)

American Funds Washington Mutual Investors Fund C1 A — Int/Div — Buy (add'l)

American Funds Washington Mutual Investors Fund C1 A — Buy (add'l)

Kem County CA Municipal Bond — None

American Funds American Balanced Fund CA — Int/Div — Buy (add'l)

American Funds Income Fund of America — Int/Div — Buy (add'l)

HUBS 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 Amenca — None

CollegeAmerica 529 New Perspective Fund — None

CollegeAmerica 529 Smallcap World Fund — None

CollegeAmerica 529 Washington Mutual Investors Fund — None

EEE UBS ACCT (..48) — Interest

UBS Bank USA Dep Acct — Interest

Sallie Mae Ednotes Callable — Interest

Dry Creek CA Municipal Bond — None — Redeemed

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

DC Washington Mandarin Hotel Municipal Bond — None

New York City SR A Mumcipal Bond — None

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

Medmna Valley TX Municipal Bond — Redeemed

Utah Tran Auth Sales Tax Municipal Bond — None — Redeemed

Chicago IL Bd of Ed Municipal Bond — None — Sold (part)

Athens-Clarke County GA Municipal Bond — Interest

Chicago IL Lakefront Municipal Bond — None

NJ Trans Trust Municipal Bonds — None

Wentzville Mo Sch Municipal Bond — None

Escondido CA UHSD Municipal Bond — None

San Joaquin Delta Comnty Ser B Municipal Bond — None

Mesquite TX ISD Municipal Bond — None — Redeemed

John Hancock New York Venture Annuity (see components lines 91-100) — None

w<Van Kampen Value fund (0%) — None

eee Fundamental Large Cap fund (13.90%) — None

ees Small Cap Value fund (10.70%) — None

wee High Yield fund (10.40%) — None

ees Mid Cap Index fund (27.3006) — None

wees S00 Index B fund (11.00%) — None

wees Wellington Mid Cap fund (8.70%) — None

wees Core Bond fund (6.80%) — None

eee Templeton-Global fund (7.20%) — None

ees Templeton-Int'l Value fund (4.10%) — None

Lincoln Life Moneyguard Reserve — None

JE UBS ACCT (...49) — Int/Div

UBS Bank USA Dep Acct — Interest

AT&T Inc — Int/Div

Reynolds Amern Inc — Int/Div — Sold — note, part VII

British Amer Tobacco ple — Int/Div — from line 105) — note part VIII

British Amer Tobacco ple — Sold (part)

British Amer Tobacco ple — Sold

Salesforce.com Ing — Sold (part)

Salesforce.com Ing — Sold (part)

Salesforce.com Ing — Sold (part)

Salesforce.com Ing — 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 — Buy (add'l)

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

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

Fidelity Advisor New Insights Fund C1 A — Buy (add'l)

Henderson Intemational Opportunities Fund Class — None — Sold

Janus Henderson Global Equity Income Fund Class — Int/Div — Buy — note part VII

Janus Henderson Global Equity Income Fund Class — Buy (add'l)

Janus Henderson Global Equity Income Fund Class — Sold (part)

Janus Henderson Global Equity Income Fund Class — Buy (add'l)

Janus Henderson Global Equity Income Fund Class — Buy (add'l)

Janus Henderson Global Equity Income Fund Class — Buy (add'l)

Hennessy Cornerstone Growth Fund Institutional Class — None

JP Morgan U.S. Large Cap Core Plus Fund A — Int/Div — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Int/Div — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Sold (part)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Sold (part)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Intrinsic Value Fund Class A — Int/Div — Sold (part)

Neuberger Berman Intrinsic Value Fund Class A — Buy (add'l)

Oakmark Fund Class — Int/Div — Buy (add'l)

Salient MLP Energy Infrastructure II Class — Int/Div — Buy (add'l)

Salient MLP Energy Infrastructure II Class — Sold (part)

Salient MLP Energy Infrastructure II Class — Buy (add'l)

Salient MLP Energy Infrastructure II Class — Buy (add'l)

Salient MLP Energy Infrastructure II Class — Sold (part)

Salient MLP Energy Infrastructure II Class — Sold (part)

Salient MLP Energy Infrastructure II Class — Buy (add'l)

Virtus Emerging Markets Opportunities Fund Class 1 — Int/Div

Loomis Sayles Strategic Income Fund Class A — Int/Div — Buy (add'l)

Lord Abbett Floating Rate Fund — Int/Div

Nuveen Limited Term Municipal Bond Fund Class 1 — Int/Div — Sold

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

Nuveen High Yield Municipal Bond Fund 1 — Buy (add'l)

Nuveen High Yield Municipal Bond Fund 1 — Buy (add'l)

Nuveen High Yield Municipal Bond Fund 1 — Buy (add'l)

Nuveen High Yield Municipal Bond Fund 1 — Buy (add'l)

Nuveen High Yield Municipal Bond Fund 1 — Buy (add'l)

Nuveen High Yield Municipal Bond Fund 1 — Buy (add'l)

Nuveen High Yield Municipal Bond Fund 1 — Buy (add'l)

Gateway Fund Class Y — Int/Div — Buy (add'l)

Gateway Fund Class Y — Buy (add'l)

Neuberger Berman Long Short Fund Class A — None — Sold

First Eagle Global Fund Class A — Int/Div — Buy (add'l)

HEE ZS LBS ACCT (LT) — Int/Div

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund C1 A — Int/Div — Buy (add'l)

Amer Funds Capital World Growth & Income Fund C1 A — Buy (add'l)

HEE #4 LBS ACCT (L779) — Int/Div

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund Cl A — Int/Div — Buy (add'l)

Amer Funds Capital World Growth & Income Fund Cl A — Buy (add'l)

Adpunct professor, New York University School of Law

Liability — Department of Education Direct Loan ) Servicing — IEEE student joan

Reimbursement — University of Connecticut Law School — Jan. 26-27, 2017 — Hartford, CT — Participate in law school symposium — Lodging, food

Reimbursement — Comell University Law School — Feb. 20-21, 2017 — Ithaca, NY — Cave speech at law school — Travel, lodging, food

Income — 2017 — New York University School of Law — $27,765.00

Spouse's income — 2017 — 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 income, including dividends

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

Part VII, line 5: The valuation of my share of [NN Rox! 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.

Part VII, line 90: Specific investment funds within the variable portion of the John Hancock New York Venture Annuity are listed in lines 91-100, along with the

percentage each fund represents in the value of the total portfolio, 1 have estimated the value of each component fund by multiplying the reported percentage by

the total reported value of the annuity as of December 2017.

Part VIL, lines 105-106: My holdings in Reynolds Amer were exchanged for a similarly valued amount of shares of British Amer Tobacco ple and a small amount

of cash on July 24, 2017, as the result of a merger.

Part VII, line 121: The name of this asset changed from "Henderson Global Equity Income Fund 1" to "Janus Henderson Global Equity Income Fund Class I" on

June 6, 2017.