Michael Peter Shea

PEP(X) — None

PFE(X) — None

PG(X) — None

VLO(X) — None

VZ(X) — None

QQQ(X) — Dividend

IVW(X) — Dividend

PDI(X) — Dividend

HYHG(X) — None

VIG(X) — Dividend

DD(X) — None

ES(X) — Dividend

JNJ(X) — None

LOW(X) — None

MRK(X) — None

MSFT(X) — None

CHET Moderate Managed Allocation Option (529) — None — Sold (part)

CHET Moderate Managed Allocation Option (529) — Sold (part)

NEE(X) — None

CHET Moderate Managed Allocation Option (529) — Sold (part)

CHET High Equity Option (529) — None — Sold (part)

CHET High Equity Option (529) — Sold (part)

Vanguard Midcap Index Fund — None

Fidelity Blue Chip Growth Fund — Dividend

Fidelity Cash Reserves — Interest

Fidelity ContraFund — Dividend

Vanguard Target 2030 — Dividend

T. Rowe Price Retirement 2030 Fund — None

T. Rowe Price Institution Large Cap Core Fund — None

Vanguard Emerging Markets Stock Index Fund — Dividend — Sold (part)

Vanguard High-Yield Tax Exempt Fund — Dividend — Buy (add'l)

Vanguard Small Cap Value Index Admiral Fund — Dividend

Vanguard Diversified Equity Investments Fund — Dividend

Vanguard Inter-term Treasury — Dividend — Buy

Vanguard Value Index Fund Admiral — Dividend — Sold (part)

Vanguard Institutional Index Fund — None

Vanguard Total International Stock Index Fund — None

Vanguard Total Bond Market Index Fund — None

Glenmede Small Cap Equity Instl — None

American Beacon Large Cap Value Instl Fund — None

Bank of America Accounts — Interest

Morgan Stanley Private Bank(X) — Interest

AMZN(X) — None

AEP(X) — None

AWK(X) — None

AAPL(X) — None

T(X) — None

AGR(X) — None

BCE(X) — None

GLW(X) — None

CTVA(X) — None

DOW(X) — None

Executor, Family Estate #1

Agreement — 2012 — Day Pitney LLP Retirement Plan, no control

Agreement — 1998 — Cleary Gottlieb Steen & Hamilton Retirement Plan, no control

Spouse's income — 2019 — Self-employed marriage and family therapist

Capital gain information has been provided based on available information. The calculation of capital gains for 529 plans (Part VII) are estimates based on account

history; precise information is not available. There were two exchanges on 12/23/19: (1) an amount of Vanguard Emerging Stock Index Fund for an equivalent

amount of High Yield Tax Exempt Fund, and (2) an amount of Vanguard Value Index Fund for an equivalent amount of Vanguard Inter-Term Treasury Fund.

Investments followed by "X" reflect my beneficial shares of the assets of Family Estate #1 of which I became executor in 2019, as referred to in Part I.