James Orenstein

Chase bank accounts (with family member #2) — Interest

IBM — Dividend

Verizon — Dividend

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

JO UBS ACCT (...12) — Dividend

UBS Bank USA Deposit Acct. — None

Vanguard High Divid. Yield ETF — Dividend — Sold (part)

JO UBS ACCT. (...83) — None

JPMorgan 529 Moderate Growth Portfolio Fund Class A — None

JO UBS ROTH (...47) — Int./Div.

UBS BANK USA Deposit Acct. — Interest

Alphabet Class A — None

Alphabet Class C — None

Goldman Sachs ActiveBeta US Large Cap Fund — Dividend

Ishares Trust Core S&P Smallcap — Dividend — Sold (part)

Ishares Select Divid ETF — Dividend

SPDR S&P Midcap 400 — Dividend

Fidelity Advisor New Insights Fund — Dividend — Sold (part)

Cohen & Steers Ltd Duration Pfd & Income Fund Inc — Dividend — Buy (add'l)

Nuveen Preferred Securities Income Fund — Dividend — Buy (add'l)

Pioneer High Income Trust — Dividend — Buy (add'l)

Western Asset High Inscome Fund II — Dividend

AB (Alliance Bernstein) High Income Fund — Dividend

Putnam Diversified Income Trust — Dividend

Templeton Global Total Return Class A — Dividend — Sold (part)

Invesco Balanced-Risk Allocation Fund A — Dividend

Nuveen Real Asset Income Fund Class A — Dividend — Sold (part)

FAMILY #2 UBS ROTH ( . ..48) — Int./Div.

UBS Bank USA Dep Acct — Interest

American Funds Capital World Growth & Income Fund Cl A — Dividend

American Funds New World Fund Cl A — Dividend

American Funds Smallcap World Fund Cl A — Dividend

American Funds Euro Pacific Growth Fund Cl A — Dividend

American Funds Growth Fund of America Cl A — Dividend

American Funds New Perspective Fund Cl A — Dividend

American Funds Washington Mutual Investors Fund Cl A — Dividend

American Funds American Balanced Fund Cl A — Dividend — Buy (add'l)

American Funds Income Fund of America — Dividend — Buy (add'l)

JO UBS 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

JOINT UBS ACCT ( .. .48) — Int./Div.

UBS Bank USA Dep Acct — Interest

Sallie Mae Ednotes Callable — Interest

Wentzville Mo Sch Municipal Bond — None — Redeemed

Yorba Linda CA Municipal Bond — None — Sold

Chicago IL Bd of Ed Municipal Bond — None

Chicago IL Lakefront Municipal Bond — None

NJ Trans Trust Municipal Bonds — None — Sold (part)

NJ Trans Trust Municipal Bonds — Sold (part)

Escondido CA UHSD Municipal Bond — None — Sold

Massachusetts Bay Trans Municipal Bond — None — Buy (add'l)

Massachusetts Bay Trans Municipal Bond — Sold (part)

Washington Clackamas Municipal Bond — None

Triborough Bridge & Tunnel NY Municipal Bond — None — Buy

Leander TX Independent Sch. Municipal Bond — None — Buy

Blackstone Real Estate Income Trust Inc Cl S — Dividend — Buy

John Hancock New York Venture Annuity (see components lines #-#)

Manulife Inv. Mgmt. Fundamental Large Cap fund — None

Manulife Inv. Mgmt. Mid Cap Index fund — None

Manulife Inv. Mgmt. 500 Index Fund — None

Western Asset High Yield Fund — None

Wellington Management Mid Cap Stock Fund — None

Wellington Management Small Cap Value fund — None

Wells Capital Core Bond fund — None

Templeton-Global fund — None

Templeton-Int'! Value fund — None

Lincoln Life Moneyguard Reserve — Distribution

JOINT UBS ACCT ( .. .49) — Int./Div.

UBS Bank USA Dep Acct — Interest

UBS RMA Government Money Market Fund — None — Buy

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Buy (add'l)

UBS RMA Government Money Market Fund — Buy (add'l)

UBS RMA Government Money Market Fund — Sold (part)

UBS RMA Government Money Market Fund — Sold

AT&T Inc — Dividend — Sold

Salesforce.com Inc — None — Sold (part)

Salesforce.com Inc — Donated (part)

Salesforce.com Inc — Donated (part)

Salesforce.com Inc — Donated (part)

Salesforce.com Inc — Donated (part)

Salesforce.com Inc — Donated (part)

Ishares S&P 500 Value ETF — Dividend

Ishares S&P 500 Growth ETF — Dividend — Sold (part)

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

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

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

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

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

Hennessy Cornerstone Growth Fund Institutional Class — None — Sold (part)

Hennessy Cornerstone Growth Fund Institutional Class — Sold (part)

Hennessy Cornerstone Growth Fund Institutional Class — Sold (part)

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

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

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

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

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

JP Morgan U.S. Large Cap Core Plus Fund A — Dividend

Miller Convertible Bond Fund Cl I — Dividend — Buy

Miller Convertible Bond Fund Cl I — Sold (part)

Miller Convertible Bond Fund Cl I — Sold (part)

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

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

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

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

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

Neuberger Berman Intrinsic Value Fund Class A — Dividend — Sold (part)

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

Nuveen Large Cap Core Fund Class Instl. — Dividend — Buy

Nuveen Large Cap Core Fund Class Instl. — Buy (add'l)

Nuveen Large Cap Core Fund Class Instl. — Buy (add'l)

Nuveen Large Cap Core Fund Class Instl. — Sold (part)

Nuveen Large Cap Core Fund Class Instl. — Sold (part)

Nuveen Large Cap Core Fund Class Instl. — Sold (part)

Nuveen Large Cap Core Fund Class Instl. — Sold (part)

Nuveen Large Cap Core Fund Class Instl. — Sold (part)

Nuveen Large Cap Core Fund Class Instl. — Sold (part)

Oakmark Fund Class I — Dividend — Sold (part)

Oakmark Fund Class I — Sold (part)

T. Rowe Price QM US Small Cap Growth Equity Fund Cl NL — Dividend — Buy

T. Rowe Price QM US Small Cap Growth Equity Fund Cl NL — Buy (add'l)

T. Rowe Price QM US Small Cap Growth Equity Fund Cl NL — Sold (part)

T. Rowe Price QM US Small Cap Growth Equity Fund Cl NL — Buy (add'l)

T. Rowe Price QM US Small Cap Growth Equity Fund Cl NL — Sold (part)

T. Rowe Price QM US Small Cap Growth Equity Fund Cl NL — Sold (part)

Blackrock MuniYield Fund Inc — Dividend — Buy

Invesco Municipal Trust — Dividend — Buy

Nuveen Enhanced Municipal Credit Opportunities Fund — Dividend — Buy

Columbia Mortgage Opportunities Fund Class Instl — Dividend — Buy

Columbia Mortgage Opportunities Fund Class Instl — Sold (part)

Virtus Emerging Markets Opportunities Fund Class I — None — Buy (add'l)

Virtus Emerging Markets Opportunities Fund Class I — Buy (add'l)

Virtus Emerging Markets Opportunities Fund Class I — Sold

Loomis Sayles Strategic Income Fund Class A — Dividend

Lord Abbett Floating Rate Fund — Dividend — Buy (add'l)

Lord Abbett Floating Rate Fund — Sold (part)

Mainstay Mackay High Yield Municipal Bond Fund Cl I — Dividend — Buy

Mainstay Mackay High Yield Municipal Bond Fund Cl I — Sold (part)

Mainstay Mackay Short Duration High Yield Fund Cl I — Dividend — Buy

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

Allianzgi Structured Return Fund Class P — Dividend — Buy

Gateway Fund Class Y — Dividend — Buy (add'l)

JPMorgan Hedged Equity Fund Cl I — Dividend — Buy

First Eagle Global Fund Class A — Dividend — Buy (add'l)

First Eagle Global Fund Class A — Sold (part)

First Eagle Global Fund Class A — Sold (part)

JO/FAMILY #3 UBS ACCT ( ... 77) — Dividend

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund Cl A — Dividend

JO/FAMILY #4 UBS ACCT ( ... 79) — Dividend

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund Cl A — Dividend

Adjunct professor, New York University School of Law

Gift — Robert Jones — Tickets to Carnegie Hall concert & dinner — $5,000.00

Liability — Department of Education Direct Loan Servicing — Family member's student loan

Reimbursement — United States Judiciary -- Federal Judicial Center — April 14-15, 2019 — Miami, FL — Magistrate Judge workshop (panelist) — Travel, lodging, food

Reimbursement — United States Judiciary -- Administrative Office of U.S. Courts — May 9, 2019 — Washington, DC — Present at online seminar (panelist) — Travel, food

Reimbursement — United States Judiciary -- Federal Judicial Center — May 28-31, 2019 — Raleigh, NC — Law and technology workshop (attendee) — Travel, food, lodging

Reimbursement — United States Judiciary -- Federal Judicial Center — July 14-17, 2019 — Redondo Beach, CA — Magistrate Judge workshp (panelist, attendee) — Travel, food, lodging

Reimbursement — United States Judiciary -- Federal Judicial Center — September 15-18, 2019 — Redwood City. CA — Law and technology workshop (panelist) — Travel, food, lodging

Income — 2019 — New York University School of Law, wages for teaching — $27,815.00

Income — 2019 — New York Times, royalties for published essay — $1,200.00

Spouse's income — 2019 — Department of Justice -- U.S. Attorney's Office, Eastern District of New York

Part VII, generally: For all asset sales resulting in a loss or no net gain, I have left Column D(4) blank. I 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 4: The valuation of my share of the 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 65-67: I had previously reported these assets under the name "JH" (as an abbreviation for "John Hancock") based on the description in derivative

statements from UBS, Having checked the statements directly from John Hancock, I have corrected the name to start with "Manulife Inv. Mgmt."