Robert D. Drain

Citibank Account — Interest

Acess Financial Account (Cash and Stock) — Int./Div.

FifthThird Bancorp common — Dividend

US Trust Managed Common Account (no control); see lines 5-141

Abiomed Inc — None — Buy

Activision Blizzard — None — Sold

Alphabet Inc. CL C Com — None

Alphabet Inc. CL A Com — None

Amazon Com — None — Sold (part)

Amazon Com — Sold (part)

Apple — Dividend

Aptiv PLC — None

BB&T Corp. — Dividend

Berkshire Hathaway Cl B — None

Booking Hldgs (name changed from Priceline) — None

Boston Scientific — None

Broadcom Inc — None — Buy

Broadcom Inc — Buy (add'l)

Broadcom Inc — Sold

Celgene — None — Sold (part)

Celgene — Sold

Cerner — None — Sold

Citigroup — Dividend

Coca Cola — Dividend — Buy

Coca Cola — Sold (part)

Col. Dividend Income FD Cl. Z — Int./Div.

Col. Select Large Cap Growth FD Cl. Z — Distribution

Comcast Corp. — Dividend

Constellation Brands Inc — Dividend — Buy

Constellation Brands Inc — Sold (part)

Costco Whlsl — Dividend — Sold (part)

Danaher — Dividend

Delphi — None — Sold (part)

Delphi — Sold

Disney Walt Co. — Dividend — Sold (part)

Electronic Arts Inc. — Dividend — Buy

Electronic Arts Inc. — Buy (add'l)

Electronic Arts Inc. — Sold

EOG Res — Dividend — Buy (add'l)

Exxon Mobil — Dividend

Facebook — None — Sold (part)

Facebook — Sold (part)

Fortive — Dividend

Gilead Sciences — Dividend — Sold (part)

Goldman Sachs — Dividend

Hershey — None — Sold (part)

Hershey — Sold

Home Depot — Dividend

Intercontinental Exchange — Dividend

Johnson & Johnson — Dividend

Kraft Heinz — Dividend

Lauder Estee Cos. — Dividend — Sold (part)

Mastercard — Dividend — Sold (part)

MFS Value FD Cl 1 — Int./Div.

Microsoft Corp. — Dividend

Mondelez Intl — None — Sold

Monsanto New Com. — Dividend — Sold

Priceline Grp. Inc. (name changed to Booking Hldg) — None

Raytheon — Dividend — Sold (part)

Salesforce Com. Inc. — None

Schwab Charles — Dividend

SPDR S&P Dividend ETF — Int./Div.

Starbucks — Dividend

TJX Cos. — Dividend

Union Pacific — Dividend

United Parcel Cl B — Dividend

Vanguard Large-Cap ETF — Int./Div.

Verizon Com. — Dividend

Vertex Pharmaceuiticals — Dividend — Buy

Zoetis Inc. — Dividend

Agilent Technologies — Dividend — Buy (add'l)

Agilent Technologies — Buy (add'l)

Albermarle — Dividend — Buy (add'l)

Albermarle — Sold

Amphenol — Dividend

Church & Dwight — Dividend — Sold (part)

Church & Dwight — Sold (part)

Church & Dwight — Sold (part)

Church & Dwight — Sold (part)

Cimarex Energy — Dividend — Sold

Hasbro Inc. — Buy

Hasbro Inc. — Buy (add'l)

Hasbro Inc. — Buy (add'l)

Hasbro Inc. — Dividend — Sold

Hunt JB Trans. — Dividend

Jacobs Engr Grp — Dividend

Leidos Hldgs — Dividend

SM Energy — Dividend — Sold

Teladoc — None — Buy (add'l)

Teladoc — Buy (add'l)

Teladoc — Buy (add'l)

Teladoc — Buy (add'l)

Teladoc — Buy (add'l)

Teladoc — Buy (add'l)

Vanguard Mid-Cap ETF — Int./Div.

Wabco Hldgs — None — Sold (part)

Accenture PLC Cl A — Dividend

Anheuser Busch Inbev — Dividend

Anheuser Busch Inbev — Sold

Asahi Grp — None — Sold

Core Labs — Dividend — Sold

CTrip Com Intl — None — Sold

Danone — None — Buy

Danone — Buy (add'l)

Danone — Buy (add'l)

Danone — Sold

Dassault Systemes — None

DBS Group Hldgs — None — Buy

DBS Group Hldgs — Sold

Diageo ADR — Dividend

Fanuc Corp. — None — Sold (part)

Ingersoll Rand Ireland — Dividend — Buy

Keyence Corp. — None — Sold (part)

LyondellBasell — Dividend

Mobileye NV — None — Sold

Nidec Corp. — None — Sold (part)

Nidec Corp. — Sold (part)

Novozymes — None

Onex — Dividend — Sold (part)

Roche Hldgs — None — Sold (part)

Softbank — None — Sold (part)

Vanguard Total World Stock Index — None — Buy

Vanguard Total World Stock Index — Buy (add'l)

Alibaba ADS — None — Sold (part)

China Communications Const. Co Ltd. — None — Sold

Icici Bank ltd ADR — Dividend

JD Com ADR — None — Sold

Tencent Hldgs — None — Sold (part)

Tencent Hldgs — Sold (part)

NY NY Go Ref BDS — Interest

Babylon NY Pub Impt BDS — Interest — Matured

North Hempstead NY Pub Impt BDS — Interest

Port Auth NY & NJ CONS BDS OID 2012 — Interest

NY St. Dorm Auth Pers BDS 2022 — Interest

Syracuse Pub Impt BDS — Interest — Buy

BofA Tax Exempt Reserves — Interest

Blackrock Liquidity Fed Fund — Interest — Buy (add'l)

Blackrock Liquidity Fed Fund — Sold (part)

Blackrock Liquidity Fed Fund — Sold (part)

Blackrock Liquidity Fed Fund — Buy (add'l)

Blackrock Liquidity Fed Fund — Buy (add'l)

US Trust managed IRA Rollover Account (no control); see lines 143-204

BofA Money Market Savings — Interest

IShares S&P 100 ETF — Dividend — Buy

IShares S&P 100 ETF — Buy (add'l)

Col. Select Large Cap Growth Fd Cl Z — None

MFS Value Fd — None — Redeemed

Natixis Loomis Sayles Growth Fd — Dividend — Buy (add'l)

Natixis Loomis Sayles Growth Fd — Buy (add'l)

Oakmark Select Fd Cl 1 — Dividend — Buy (add'l)

Oakmark Select Fd Cl 1 — Buy (add'l)

Vanguard S&P 500 ETF — Dividend — Sold (part)

Vanguard S&P 500 ETF — Buy (add'l)

Baird Midcap Fd Instl — None — Sold (part)

Baird Midcap Fd Instl — Buy

IShares Russell Mid Cap ETF — Int./Div. — Sold (part)

IShares Russell Mid Cap ETF — Sold (part)

IShares Russell Mid Cap ETF — Buy (add'l)

AQR Diversified Arbitrage Fd — None — Redeemed

AQR Managed Futures Strategy Fd — None — Redeemed

Arbitrage Fd — None — Redeemed

Blackrock Global Long Short Fd — None — Redeemed

MFS Mid Cap Value Fd Cl 1 — Dividend — Sold (part)

MFS Mid Cap Value Fd Cl 1 — Buy (add'l)

Conestoga Small Cap Fd — None — Buy

IShares Russell 2000 ETF — Dividend — Sold (part)

Wells Fargo Special Small Cap Value Fd — Dividend — Redeemed (part)

Wells Fargo Special Small Cap Value Fd — Buy (add'l)

Harding Loevner Fds Intl Equity — Dividend — Buy (add'l)

Harding Loevner Fds Intl Equity — Buy (add'l)

Oakmark Intl Fd — Dividend — Buy (add'l)

Oakmark Intl Fd — Buy (add'l)

Vanguard FTSE Developed Markets ETF — Int./Div. — Sold (part)

Vanguard FTSE Developed Markets ETF — Buy (add'l)

Hartford Mut Fds II Schroders Emerging Mkts — Dividend — Redeemed (part)

Hartford Mut Fds II Schroders Emerging Mkts — Buy (add'l)

Neuberger Berman Long Short Fund — None — Buy (add'l)

Neuberger Berman Long Short Fund — Buy (add'l)

Neuberger Berman Long Short Fund — Buy (add'l)

Vanguard FTSE Emerging Markets ETF — Dividend — Sold (part)

Vanguard FTSE Emerging Markets ETF — Buy (add'l)

IShares Core US Aggregate Bond ETF — Dividend — Buy

IShares Core US Aggregate Bond ETF — Buy (add'l)

Abbey Capital Futures Strategy Fd — Dividend — Buy

Abbey Capital Futures Strategy Fd — Buy (add'l)

Abbey Capital Futures Strategy Fd — Buy (add'l)

Blackrock Strategic Income Opportunities — Dividend — Buy (add'l)

Blackrock Strategic Income Opportunities — Buy (add'l)

Boston Parners Long Short Res Fd — Dividend — Buy (add'l)

Boston Parners Long Short Res Fd — Buy (add'l)

Boston Parners Long Short Res Fd — Buy (add'l)

Legg Mason BW Absolute Return Opp. Fd — Dividend — Buy (add'l)

Legg Mason BW Absolute Return Opp. Fd — Buy (add'l)

Legg Mason BW Absolute Return Opp. Fd — Buy (add'l)

The Merger Fd — Dividend — Buy

The Merger Fd — Buy (add'l)

Credit Suisse Commodity-Return Fd — Dividend — Buy

Credit Suisse Commodity-Return Fd — Buy (add'l)

Apple Sr Unsecd Nt — Interest

Berkshire Hathaway Fin Corp Gtd Sr Nt. — Interest

Goldman Sachs Sr. Unsecured Nt — Interest

JPMorgan Chase Sr Unsecd Nt — Interest

Walmart Stores Sr. Unsecd Nt — None — Sold

CMG Ultra Short Term Bond Fd — Interest

Fifth Third Bancorp common — Int./Div.

US Trust IRA (no control); see lines 207-215

BofA Money Market — Interest

SPDR S&P Div. ETF — Int./Div.

SPDR S&P 500 ETF — Int./Div.

Vanguard Index Tr Total Stk Mkt — Dividend — Buy

Vanguard Mid-Cap ETF — Int./Div.

Vanguard Small-Cap ETF — Dividend

US Treas Strips — Interest

Col. Select Large Cap Growth Fd Cl. Z — None

CMG Ultra Short Term Bond Fd — Interest

US Trust Managed Trust Inv. Account; see lines 21-233

BofA money market sav. account — Interest — Open

AT&T Inc. — Dividend — Open

Cigna Corp. — None — Open

Express Scripts Hldg — Open

Express Scripts Hldg — None — Merged (with line 219)

Exxon Mobil — Dividend — Open

General Elec — Dividend — Open

Honeywell Intl — Dividend — Open

SPDR S&P 500 ETF — Dividend — Open

Verizon Comm. — Dividend — Open

Advansix Inc. — None — Open

Garrett Motion — None — Spinoff (from line 224)

Residio Technologies — None — Spinoff (from line 224)

Wal-Mart Sr. Unsecd NT — Interest — Open

Col. Bond Fund Instl 3 — Interest — Open

Col. Short Term Bond Fund Instl 3 — Interest — Open

Barclays BK Sr. NT UK — Interest — Open

Merit Energy Co. gas rights Big Horn County, Wyo. — Royalty — Open

reversionary interest in D.C. Apt. — None — Open

reversionary interest in D.C. Apt. — Distributed

US Trust core checking account 1 — None — Open

US Trust Core checking account 2 — None — Open

US Trust Core checking account 2 — Open

US Trust Core checking account 2 — Open

NYS 529 savings program #1-Moderate Age-Based Option Income Portfolio — Int./Div.

NYS 529 savings program #2-Moderate Age-Based Option Income Portfolio — Int./Div.

NYS 529 savings program #3-Moderate Age-Based Option Income Portfolio — Int./Div. — Distributed (part)

Board Member, American Bankruptcy Institute

Circuit Governor, National Conference of Bankruptcy Judges

Adjunct Professor, Pace University School of Law

Chair, Judicial Insolvency Network

Trustee, Margenne N. Drain Revocable Trust

Reimbursement — University of British Columbia — 2/7/2018 - 2/11/2018 — Vancouver, BC, Canada — Speaker at bankruptcy law conference; judge at intenational moot court — Airfare, hotel, food, other transportation, parking

Reimbursement — American Bankruptcy Institute — 4/19/2018 - 4/22/2018 — Washington, DC — Speaker at bankruptcy law conference — Auto mileage, food, parking

Reimbursement — Practcing Law Institute — 4/24/2018 - 4/24/2018 — New York, NY — Speaker at Bankruptcy CLE program — Traing, food

Reimbursement — American Bankruptcy Institute — 5/24/2018 - 5/24/2018 — New York, NY — Speaker at bankruptcy law conference — Train, food

Reimbursement — Hudson Valley bankruptcy Bar Association — 9/13/2018 - 9/14/2018 — Hyde Park, NY — Speaker at bench/bar conference — Auto mileage, hotel, food

Reimbursement — American Bankrutpcy Institute — 9/20/2018 - 9/21/2018 — Washington, DC — Speaker at views from the bench conference — Train, hotel, food

Reimbursement — American Bankruptcy Institute — 11/6/2018 - 11/6/2018 — New York, NY — Speaker at mid-level professional development program — Train, food

Reimbursement — Association of Insolvency & Restructuring Advisors — 11/12/2018 - 11/12/2018 — New York, NY — Speaker at views from the bench program — Train, food

Reimbursement — American Bankruptcy Institute — 12/5/2018 - 12/8/2018 — Phoenix, AZ — Speaker at bankruptcy law conference — Airfare, hotel, food, other transportation, parking

Part VII. Investments and Trusts, lines 4, 142, 206 and 206 are headings for the managed investment accounts that contain the investments that follow them,

respectively, and are listed in such lines.

Part VII. Investments and Trusts, lines 15 and 58. This was simply a name change; no transaction field covers such an event.

Part VII. Investments and Trusts, lines 216-240 describe assets of the Margenne N. Drain Rev. Trust, of which I am the trustee and holder of one-half beneficial

interest in, which passed to me on 8/13/19 upon grantor's death.

Part VII. Investments and Trusts, line 235 reflects 90% cash reversionary interest in April 2004 purchase price under association agreement.

Part VII. Investments and Trusts, line 239 reflects transfer of cash from line 237.

Part VII. Investments and Trusts, line 240 revlects transfer of cash proceeds from lines 235-236.