Vincent Louis Briccetti

Rental property #1, South Salem, NY (1993, $62,458) — Rent

Chase Bank, various accounts — Interest

TrustCo Bank (X) — Interest — Closed

Fidelity New York Municipal Income Fund (FTFMX) — Dividend

Fidelity Treasury Fund (FZFXX) — Dividend

NMIS General NY MM Fund Class B — Interest

Vanguard High Yield Tax Exempt Admiral (VWALX) — Dividend

Vanguard NY LT Tax-Exempt Fund Investor — Dividend

IRA #5 (Fidelity) (H)

Bank of America Corp Bond — Interest

DFA International Small Cap Value (DISVX) — Dividend

DFA Targeted Credit Portfolio (DTCPX) — Dividend — Sold (part)

DFA Targeted Credit Portfolio (DTCPX) — Sold

Fidelity Cash Reserves (FDRXX) — Dividend

Fidelity Emerging Markets Index (FPADX) — Dividend

Fidelity Inflation Protected Bond Index (FIPDX) — Dividend — Buy

Fidelity Short Term Treasury Bond Index (FUMBX) — Dividend

Fidelity Intermediate Treasure Bond Index (FUAMX) — Dividend — Sold

Goldman Sachs Group Inc Medium Term Note — Interest

iShares MBS ETF (MBB) — Dividend — Buy

iShares Micro-Cap (IWC) — Dividend

iShares S&P 500 Index (IVV) — Dividend — Buy (add'l)

iShares S&P 500 Index (IVV) — Buy (add'l)

Nuveen Build America (NBB) (Formerly NBD) — Dividend — Redeemed (part)

Nuveen Build America (NBB) (Formerly NBD) — Sold

PIMCO Income Instl (PIMIX) — Dividend — Buy (add'l)

Stone Ridge Reinsurance Risk Premium (SRRIX) — Dividend

Vanguard Emerging Markets (VWO) — Dividend

IRA #6 (Fidelity) (H)

Fidelity Cash Reserves (FDRXX) — Dividend

Fidelity Floating Rate High Income (FIQSX) — Dividend — Buy

Fidelity Floating Rate High Income (FIQSX) — Buy (add'l)

Fidelity Intermediate Treasury Bond Index (FUAMX) — Dividend — Sold

Fidelity Total Market Index (FSKAX) — Dividend — Buy (add'l)

Invesco Variable Rate Investment Grade (VRIG) — Dividend — Buy

Invesco Variable Rate Investment Grade (VRIG) — Buy (add'l)

Invesco Variable Rate Investment Grade (VRIG) — Buy (add'l)

iShares 0-5 Year Investment Grade Corporate Bond (SLQD) — Dividend — Buy

iShares 0-5 Year Investment Grade Corporate Bond (SLQD) — Buy (add'l)

iShares Core MSCI EAFE ETF (IEFA) — Dividend — Buy (add'l)

iShares Core MSCI Emerging Markets (IEMG) — Dividend

iShares Core S&P 500 (IVV) — Dividend — Buy

iShares Core S&P 500 (IVV) — Buy (add'l)

iShares Core S&P 500 (IVV) — Buy (add'l)

iShares Core S&P US Value (IUSV) — Dividend — Buy

iShares Core S&P Small-Cap (IJR) — Dividend — Buy

iShares Core S&P Small-Cap (IJR) — Buy (add'l)

iShares S&P Small Cap 600 Citigroup Value Index (IJS) — Dividend — Sold

JPMorgan Ultra-Short Income ETF (JPST) — Dividend — Buy

Nuveen Credit Strategies Income Fund (JQC) — Dividend — Sold

Vanguard GNMA Admiral (VFIJX) — Dividend — Buy

401(K) #2 (H)

Vanguard 500 Index (VFINX) — Sold (part)

Vanguard 500 Index (VFINX) — Buy (add'l)

Vanguard 500 Index (VFINX) — Sold

Vanguard Small Capitalization Stock (NAESX) — Buy (add'l)

Vanguard Small Capitalization Stock (NAESX) — Sold

Vanguard Total Bond Market Index Inv (VBMFX) — Dividend — Buy (add'l)

Vanguard Total Bond Market Index Inv (VBMFX) — Buy (add'l)

Vanguard Total Bond Market Index Inv (VBMFX) — Sold

Vanguard Total Bond Market Index Inv (VBMFX) — Sold

Northwestern Mutual Whole Life Policy — Dividend

Northwestern Paid Up Life Insurance Policy #1 — Dividend

Northwestern Paid Up Life Insurance Policy #2 — Dividend

IRA #7 (Fidelity) (H)

Fidelity Intermediate Treasury Bond Index (FUAMX) — Dividend — Sold

Fidelity Treasury Fund (FZFXX) — Dividend

iShares Trust Core MSCI EAFE (IEFA) — Dividend

iShares Core MSCI Emerging Markets (IEMG) — Dividend

iShares 0-5 Year Invstment Grade Corporate (SLQD) — Dividend — Buy

iShares Core S&P US Value ETF (IUSV) — Dividend — Buy

iShares S&P 500 Value (IVE) — Dividend — Buy (add'l)

iShares S&P 500 Value (IVE) — Sold (part)

iShares S&P 500 Value (IVE) — Sold

NY 529 #1 (H)

Aggressive Growth Portfolio — None — Buy

Bond Market Index Portfolio — None — Buy

Director, Fordham Law Alumni Association

Adjunct Professor of Law, Fordham Law School

Reimbursement — Practising Law Institute — 2/8/2019 — New York, NY — CLE Panel — Train Fare

Reimbursement — Cornell University — 10/7/2019 — Ithaca, NY — Guest teacher at law school — Travel (mileage and parking)

Income — 2019 — Fordham Law School teaching salary — $5,000.00

On line 24, shares of NBB were tendered as part of an offer by the fund company.

On lines 60 and 61, the 401k was rolled over on 3/19 so the VBMFX was all sold. However, there was a dividend that came in after the rollover, which was

subsequently sold on 7/18.