Maria A. Audero

Cash accounts (3) - Bank of America and Merrill — Interest

ALLIANCEBERNSTEIN: AB INTERNATIONAL VALUE FUND CL R — None — Sold

AMERICAN FUNDS: AMERICAN CAPITAL WORLD GROWTH & INC FD CL R2 — Dividend — Sold

AMERICAN FUNDS: AMERICAN GROWTH FUND OF AMERICA FD CL R2 — None — Sold

CALAMOS: CONVERTIBLE FUND — Dividend — Sold

COLUMBIA: CONTRARIAN CORE FUND CL R — None — Sold

DELAWARE: EMERGING MARKETS FD CLASS R — None — Sold

LORD ABBETT: SHORT DURATION INCOME FD CL R2 — Dividend — Sold

MFS: VALUE FD CL R2 — Dividend — Sold

NUVEEN: SMALL CAP VALUE FUND CL R3 — None — Sold

PUTNAM: CAPITAL SPECTRUM FUND CL R — None — Sold

PUTNAM: DIVERSIFIED INCOME TRUST FUND CL R — Dividend — Sold

THORNBURG: INVESTMENT INCOME BUILDER FD CL R3 — Dividend — Sold

THORNBURG: LIMITED TERM INCOME FD CL R3 — Dividend — Sold

VOYA: FLOATING RATE FUND CLASS R — Dividend — Sold

WESTERN ASSET: CORE PLUS BOND FD CL R — Dividend — Sold

CASH ACCOUNT - Merrill Lynch (Y)

AMERICAN CENTURY: EQUITY INCOME FUND CL I — Dividend — Buy (add'l)

BLACKROCK: GLOBAL LONG SHORT CREDIT FUND CL I — None — Sold

BOSTON PARTNERS: LONG / SHORT RESEARCH FD INSTL — None — Sold

DELAWARE: SMALL CAP CORE FUND INSTL CL — None — Sold

FIRST EAGLE: GOLD FUND CL I — Dividend — Buy (add'l)

FIRST PACIFIC ADVISORS: FPA CRESCENT FUND INSTL CL — Dividend — Sold

FIDELITY: ADVISOR REAL ESTATE INCOME FUND CL I — Dividend — Buy (add'l)

GUGGENHEIM: MACRO OPPORTUNITIES FUND INSTL — Dividend — Buy (add'l)

NATIXIS: GATEWAY FUND CL Y — Dividend — Buy (add'l)

VOYA: FLOATING RATE FUND CLASS I — Dividend — Sold

CASH ACCOUNT - Merrill Lynch (Y)

TORTOISE MLP & ENERGY INCOME FUND CLASS I (Name change from Advisory — Dividend — Buy (add'l)

TORTOISE MLP & ENERGY INCOME FUND CLASS I (Name change from Advisory — Buy (add'l)

JAMES ALPHA: GLBL REAL EST INVEST FUND CLASS I — Dividend — Buy (add'l)

JOHN HANCOCK: STRATEGIC INCOME OPP FUND CL I — Dividend — Sold

COHEN & STEERS: LOW DUR PREFERRED & INC FD CL I — Dividend — Sold

MFS: INTERNATIONAL DIVERS IFICATION FUND CL I — None — Sold

WESTERN ASSET: CORE PLUS BOND FD CL I — Dividend — Sold

CALAMOS MARKET NEUTRAL — Dividend — Sold (part)

CALIFORNIA ST GO BDS - OCT12 05.000%SEP01 2021 — Interest

CALIFORNIA ST GO VARIOUS PURPOSE BDS 2017 SEP17 04.000%NOV01 2019 — Interest — Redeemed

CALIFORNIA ST VAR PURP GO REF BDS NOV12 05.000%SEP01 2024 — Interest

CALIFORNIA ST VAR PURP GO AND GO REF BDS SEP11 05.250%SEP01 2023 — Interest

LOS ANGELES CALIF GO BDS 2000 SER A PRF21 JUL11 05.000%SEP01 2026 — Interest

U.S. TREASURY NOTE 1.250% MAR 31 2019 01.250% MAR 31 2019 — Interest — Redeemed

UNIVERSITY CALIF REVS REV BDS SER U JUL10 05.000%MAY15 2021 — Interest

ANGEL OAK: MULTI STRATEGY INCOME FUND CL INSTL — Dividend — Sold (part)

ABERDEEN: ULTRASHORT MUNI INCOME FUND CL INSTL — Dividend — Sold

BLACKSTONE: ALT MULTI STRATEGY FUND CLASS I — None — Sold

CALAMOS: MARKET NEUTRAL INCOME FD CL I — Dividend — Buy (add'l)

FIRST PACIFIC ADVISORS: FPA CRESCENT FUND INSTL CL — Dividend — Sold

GUGGENHEIM: MACRO OPPORTUNITIES FUND INSTL — Dividend — Sold

GOLDMAN SACHS: DYNAMIC MUNI INCOME FUND INST CL — Dividend — Sold (part)

GOLDMAN SACHS: DYNAMIC MUNI INCOME FUND INST CL — Buy (add'l)

NATIXIS: GATEWAY FUND CL Y — Dividend — Sold

COHEN & STEERS: LOW DUR PREFERRED & INC FD CL I — Dividend — Sold

LOOMIS SAYLES: SR FLOAT RTE & FIXD INC FD CL Y — Dividend — Sold

AMERICAN FUNDS: AMERICAN LTD TRM TAX EX BD OF FD AMER FUND CL F2 — Dividend — Sold

BLACKROCK: CALIF MUNI OPPORTUNITIES FD CL INST — Dividend — Sold (part)

NUVEEN: SHORT DURATION HI YLD MUNI BD FD CLASS I — Dividend — Sold (part)

JP MORGAN: TAX AWARE REAL RETURN FUND CL I — None — Sold

COHEN & STEERS PREFERRED SEC & INCOME CL I — Dividend — Buy

COHEN & STEERS PREFERRED SEC & INCOME CL I — Buy (add'l)

COHEN & STEERS PREFERRED SEC & INCOME CL I — Buy (add'l)

ALGER SMALL CAP FOCUS FUND CLASS Z — Dividend — Buy

COLUMBIA DIVIDEND INCOME FUND CL INSTL — Dividend — Buy (add'l)

DELAWARE EMERGING MARKETS FD CL INSTL — Dividend — Buy

DOUBLELINE TOTAL RETURN BOND FUND CL I — Dividend — Buy

FIRST EAGLE OVERSEAS FUND CL I — Dividend — Buy

JOHN HANCOCK INTERNATONAL GROWTH FUND CL I — Dividend — Buy

MFS MID CAP GROWTH FD CL I — Dividend — Buy

MORGAN STANLEY GLOBAL FRANCHISE PORT CL I — Dividend — Buy

MORGAN STANLEY GROWTH PORTFOLIO CL I — Dividend — Buy

PGIM GLOBAL TOTAL RETURN FUND CL Z — Dividend — Buy

PUTNAM ULTRA SHORT DURATION INCOME FD CL F — Dividend — Buy

SHENKMAN CPTL SHORT DURATION HI INC FD CL F — Dividend — Buy

T ROWE PRICE EQUITY INDEX 500 FUND INV CL — Dividend — Buy

U.S TREASURY NOTE 1.625% AUG 31 2022 — None — Buy

FEDERAL FARM CREDIT BANK CALLABLE BONDS 2.37 APR 10 2023 — Interest — Buy

FEDERAL FARM CREDIT BANK CALLABLE BONDS 2.37 APR 10 2023 — Redeemed

U.S TREASURY BILL ZERO% DEC 26 2019 — Interest — Buy

U.S TREASURY BILL ZERO% DEC 26 2019 — Redeemed

COHEN & STEERS PREFERRED SEC & INCOME CL I — Dividend — Buy

DOUBLELINE TOTAL RETURN BOND FUND CL I — Dividend — Buy

DOUBLELINE TOTAL RETURN BOND FUND CL I — Buy (add'l)

PGIM GLOBAL TOTAL RETURN FUND CL Z — Dividend — Buy

PGIM GLOBAL TOTAL RETURN FUND CL Z — Buy (add'l)

WELLS FARGO STRATEGIC MUNICIPAL BOND FD INSTL — Dividend — Buy

MAINSTAY MACKAY CA TAX FREE OPPS FD CL I — Dividend — Buy

MAINSTAY MACKAY CA TAX FREE OPPS FD CL I — Buy (add'l)

FIDELITY ADVISOR NEW MARKETS INCOME CL I — Dividend — Sold (part)

Agreement — 2011-2018 — Paul Hastings LLP pension plans; firm-managed asset selection

Agreement — 2011-2018 — Paul Hastings LLP voluntary savings plan

Agreement — 2011-2018 — Paul Hastings LLP partnership agreement

Income — 11/05/19 — Paul Hastings Voluntary Savings Plan — $1,258.00

In Part III.A: Non-Investment Income:

The distribution I received this year from the Paul Hastings Voluntary Savings Plan was $1,258.00. This does not reconcile with the amount stated in my 2019 tax

return of $4,425.00. The difference of $3,167.00 reflects an accounting adjustment made by Paul Hastings to reflect an erroneous entry made into my account in

2018.

In Section VI:

Line 1: I merged three cash accounts as I understand it is no longer necessary to distinguish between IRA cash and non-IRA cash accounts. Also, Bank of

America owns Merrill Lynch, so all accounts are together. I noted the two Merrill Lynch accounts as "( Y)" and will delete from the spreadsheet altogether in the

2020 Report. Individually, the three accounts were reportable as follows:

Bank of America Cash (row 1): B1 = A, B2 = Interest, C1 = J, C2 = T

Merrill Lynch Non-IRA Cash (row 17): B1 = A, B2 = Interest, C1 = J, C2 = T

Merrill Lynch IRA Cash (row 28): B1 = A, B2 = Interest, C1 = M, C2 = T

Line 29: what is now called "TORTOISE MLP & ENERGY INCOME FUND CLASS I" is a name change to the last report's "ADVISORY RESEARCH"

Line 88: the account on this line "FIDELITY ADVISOR NEW MARKETS INCOME CL I" was inadvertently left off the prior year's report