Lewis A. Kaplan

IRA #2 (H)

INDIVIDUAL ASSETS (H)

CITIBANK (cash) — Interest

JP MORGAN CHASE (cash) — Interest

COMMUNITY BANK (FORMERLY NATIONAL UNION BANK) — Interest

NY LIFE INS. (whole life policies) — Dividend

BROKERAGE ACCOUNT #1 (H)

JPM TAX FREE MMKT INST SWEEP FD (cash) (X) — Interest

PORT WA NY UN FREE SCH DIST REF 735581-LU-2 NR /AA2 — Interest — Redeemed

NORTH SHORE NY CENTRL SCH DIST 662323-HJ-6 NR /AA1 — Interest — Redeemed

FALCONER NEW YORK CENTRAL SCHOOL 306117-CU-4 AA /A2 — Interest

PEMBROKE NEW YORK CENTRAL SCHOOL 706427-BY-6 AA- /NR — Interest

TRIBOROUGH NY BRIDGE & TUNNELAUTH REVENUES 89602N- ZB-3 AA- /AA3 — Interest

WESTCHESTER CNTY NY SER B 95736U-ZS-6 AAA /AA1 — Interest

PLAINVIEW OLD BETHPAGE NY CENTRL SCH 726715-HX-6 AAA /NR — Interest

NASSAU CNTY NY INTERIM FIN AUTH 631663-NN-7 AAA /NR — Interest

SHENENDEHOWA NY CENTRL SCH DIST REF 823194-F2-6 AA /NR — Interest

ISLAND TREES NY UNION FREE 464568-GK-4 NR /AA2 — Interest

SARATOGA SPRINGS NY REF-PUB IMPT 803531-TR-3 AA+ /NR — Interest

ALBANY NY LTD TAX 012429-AE-6 — Interest

NY CITY NY TRNSTIONAL FIN AUTH REV FUTURE 64971W-FV-7 AAA /AA1 — Interest

NY ST DORM AUTH ST PERSNL INC TAX 64990E-3R-6 AAA /AA1 — Interest

NY ST DORM AUTH REVS NON ST SUPPORTED DEBT GR NECK 649907- Z3-9 NR/AAA — Interest

NY ST ENVRNMNTL FACS CORP ST CLEAN WTR & DRINKING 64986A-Z6-1 AAA /AAA — Interest

HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420R-AM-2) — Interest

JPM CHASE (cash) — Interest

NY CITY NY MUNI WTR FIN AUTH WTR (64972G-UK-8) — Interest — Buy

SALES TAX ASSET RECEIVABLE CORP NY 794665-FM-6 AAA /AA1 — Interest

NY CTY NY TR CULTURAL RES REF - MUSEUM OF MODERN ART (649717- SZ-9) — Interest

ARLINGTON NY CENTRAL SCH DIST REF UNLTD TAX (041717-NR-6) — Interest

SOUTHAMPTON NY UN FREE SCHOOL REF UNLIMITED TAX (841098-DS-2) — Interest

MONROE CNTY NY INDL DEN CORP REV REF - U OF ROCHESTER PR (61075T-RY-6) — Interest

MET TRANSPRTN AUTH REV GREEN BDS REF SER C (59261A-PX-9) — Interest

UTIL DEBT SECURITIZATION AUTH NY REF RESTR SER A (91802R-CK-3) — Interest

ORCHARD PK NY CENTRL SCH DIST 870994-96-9 — Interest

MT VERNON NY CITY CENTRL SCH DIST 623606-C2-4 — Interest

RIVERHEAD NY PUB IMPT-SER A LTD 768738-XQ-4 — Interest

THREE VLG NY CENTRL SCH DIST 885766-NW-1 — Interest

BROKERAGE ACCOUNT #2 (H)

JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest

ARLINGTON NEW YORK CENTRAL SCHOOL 041717-LD-9 AA- /NR — Interest — Redeemed

PORT WA NY UN FREE SCH DIST REF 735581-LU-2 NR /AA2 — Interest — Redeemed

COLD SPRING HBR NY CENTRL SCH DIST REF 192867-FM-6 AAA /NR — Interest

PEMBROKE NEW YORK CENTRAL SCHOOL 706427-BY-6 AA- /NR — Interest

EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DP-8 NR /AA2 — Interest

ISLIP NY REF 464722-6W-2 AA+ /AA1 — Interest

NY ST DORM AUTH SALES TAX REV 64990A-BA-2 AAA /AA1 — Interest

NORTH SHORE NY CENTRL SCH DIST 662323-HL-1 NR /AA1 — Interest

SHENENDEHOWA NY CENTRL SCH DIST REF 823194-F2-6 AA /NR — Interest

NY CITY NY MUNI WTR FINAUTH WTR & SWR SYS REV 64972G-DT-8 AA + /AA1 — Interest

PITTSFORD NY CENTRL SCH DIST 725635-EJ-1 NR /AA1 — Interest

SARATOGA SPRINGS NY REF-PUB IMPT 803531-TR-3 AA+ /NR — Interest

ALBANY NY LTD TAX 4.0% (012429- AE-6 AA) — Interest

NY CITY NY TRNSTIONAL FIN AUTH REV 64971W-FV-7 AAA /AA1 — Interest

NY ST REF SER C UNLTD TAX (649791- ME-7) — Interest

NY ST ENVRNMNTL FACS CORP ST CLEAN WTR & DRINKING 64986A-Z6-1 AAA /AA — Interest

NY CITY NY TRNSTIONAL FIN AUTH BLDG AID REV 64972H-VC-3 AA /AA2 — Interest

NY ST DORM AUTH REVS NON ST 649907-Z4-7 NR /AAA — Interest

UTIL DEBT SECURITIZATION AUTH NY (91802R-BX-6) — Interest

ELMSFORD NY UN FREE SCH DIST (290011-BC-8 NA) /AA2 — Interest

ONONDAGA CNTY NY 682745-7H-1 AA + /AA2 — Interest

UTIL DEBT SECURITIZATION AUTH NY 91802R-BZ-1 AAA /AAA — Interest

PORT CHESTER NY REF-PUBLIC IMPT- SER 733760-US-9 NR /AA3 — Interest

HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420R-AM-2) — Interest

NY ST URBAN DEV CORP REF PERS INCOME TAX SER A (650035-T9-9) — Interest

RYE NECK NY UN FREE SCH DIST SER A (783583-GA-9) — Interest — Buy

NYACK NY UN FREE SCH DIST UNLTD (670658-KE-2) — Interest — Buy

BROKERAGE ACCOUNT #3 (H)

JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest

HALFMOON NY REF-PUB IMPT 405729- LR-3 AA /NR — Interest — Redeemed

HILTON NY CENTRL SCH DIST 432884- MJ-0 AA- /NR — Interest — Redeemed

FALCONER NEW YORK CENTRAL SCHOOL 306117-CU-4 AA /A2 — Interest

SHENENDEHOWA NY CENTRL SCH DIST REF 823194-E7-6 AA /NR — Interest

NY CITY NY TR FOR CULTURAL RES 649717-RK-3 AA /AA2 — Interest

EAST ISLIP NY UNION FREE SCH DIST 273173-KC-7 AA /NR — Interest

PITTSFORD NY CENTRL SCH DIST 725635-EJ-1 NR /AA1 — Interest

NY ST DORM AUTH REVS NON ST 649907-A7-7 AA /NR — Interest

NEW HYDE PARK & GARDEN CITY PARK NY 645541-CY-7 NR /AA2 — Interest

HAVERSTRAW-STONY POINT NY CENTRL SCH 419578-RM-3 NR/AA2 — Interest

PINE BUSH NY CENTRL SCH DIST 722477-LQ-7 NR /AA3 — Interest

NY ST UNLIMITED TAX A 649791-HH-6 AA+ /AA1 — Interest

CLARKSTOWN NY CENTRL SCH DIST 182324-UU-5 NR /AA2 — Interest

NY ST DORM AUTH REVS NON ST 649907-Z3-9 NR /AAA — Interest

NY ST DORM AUTH ST PERSNL INC TAX 64990E-YE-1 AAA /AA1 — Interest

PORT AUTH OF NY & NJ NY CONSOL- ONE 73358W-RR-7 AA- /AA3 — Interest

UTIL DEBT SECURITIZATION AUTH NY 91802R-BZ-1 AAA /AAA — Interest

HUDSON YDS INFRASTRUCTURE CORP NY 2ND INDENT (44420R-AM-2) — Interest

DUTCHESS CNTY NY PUB IMPT SER B (2670397K5) — Interest

MAMARONECK VLG NY REF LTD (561501-PX-9) — Interest — Buy

CLARKSTOWN NY PUB IMPT (182306-2Q-2) — Interest

WESTCHESTER CNTY NY SER A (95736U-4U-5) — Interest

COLUMBIA CNTY NY SER B LTD (197504-SU-8) — Interest — Buy

NYACK NY UN FREE SCH DIST (670658-KE-2) — Interest — Buy

IRA #1 (H)

JPM CHASE (cash) — Interest

AMER CENTURY EQUITY INCOME- INV (TWEIX) — Dividend

JPM EQUITY INCOME FD 4812C0-49-8 (HLIEX) — Dividend — Sold (part)

JPM EQUITY INCOME FD 4812C0-49-8 (HLIEX) — Buy (add'l)

JPM LARGE CAP GROWTH FD (SEEGX) — Dividend — Sold (part)

JPM LARGE CAP GROWTH FD (SEEGX) — Buy (add'l)

JPM US EQUITY FD (JUESX) — Dividend — Sold (part)

JPM US EQUITY FD (JUESX) — Buy (add'l)

JPM US EQUITY FD (JUESX) — Buy (add'l)

JPM VALUE ADVANTAGE FD (JVASX) — Dividend — Buy (add'l)

JPM VALUE ADVANTAGE FD (JVASX) — Buy (add'l)

JPM STRATEGIC INCOME OPPORTUNITIES FD (JSOSX) — Dividend — Sold

US TREAS BILL 03/05/19 (025076-10-0) — Distribution — Buy

US TREAS BILL 03/05/19 (025076-10-0) — Redeemed

US TREAS BILL 06/06/19 (912796-RS-0) — Distribution — Buy

US TREAS BILL 06/06/19 (912796-RS-0) — Redeemed

US TREAS BILL 09/05/19 (912796-SG-5) — Distribution — Buy

US TREAS BILL 09/05/19 (912796-SG-5) — Redeemed

US TREAS BILL 12/05/19 (912796-RN-1) — Distribution — Buy

US TREAS BILL 12/05/19 (912796-RN-1) — Redeemed

US TREAS BILL 03/05/2020 (912796- TH-2) — None — Buy

JPM CORE BOND FD (PGBOX) — Dividend — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM CORE BOND FD (PGBOX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Dividend — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM SHORT DURATION BOND FD (HLLVX) — Buy (add'l)

JPM UNCONSTRAINED DEBT FD (JSISX) — Dividend — Sold

JPM MANAGED INCOME FD (JMGIX) — Dividend

AMER CENTURY EQUITY INCOME- INV (TWEIX) — Dividend — Sold (part)

AMER CENTURY EQUITY INCOME- INV (TWEIX) — Buy (add'l)

JPM EQUITY INCOME FD (HLIEX) — Dividend — Sold (part)

JPM LARGE CAP GROWTH FD (SEEGX) — Dividend — Sold (part)

JPM LARGE CAP GROWTH FD (SEEGX) — Buy (add'l)

JPM US EQUITY FD (JUESX) — Dividend

JPM VALUE ADVANTAGE FD - SEL FUND 1399 4812A2-59-5 (JVASX) — Dividend

JPM STRATEGIC INCOME OPPORTUNITIES FD (JSOSX) — Dividend — Sold

US TREAS BILL 03/05/19 (91276-UR-8) — Dividend — Buy

US TREAS BILL 03/05/19 (91276-UR-8) — Redeemed

US TREAS BILL 06/06/19 (912796-RS-0) — Dividend — Buy

US TREAS BILL 06/06/19 (912796-RS-0) — Redeemed

US TREAS BILL 09/05/19 (912796-SG-5) — Dividend — Buy

US TREAS BILL 09/05/19 (912796-SG-5) — Redeemed

US TREAS BILL 12/05/19 (912796-RN-1) — Dividend — Buy

US TREAS BILL 12/05/19 (912796-RN-1) — Redeemed

US TREAS BILL 03/05/20 (912796-TH-2) — None — Buy

JPM CORE BOND FD (PGBOX) — Dividend

JPM SHORT DURATION BOND FD (HLLVX) — Dividend

JPM UNCONSTRAINED DEBT FD (JSISX) — Dividend — Sold

IRA #3 (H)

JPM CHASE (cash) — Interest

JPM EQUITY INCOME FD (HLIEX) — Dividend

JPM CORE BOND FD (PGBOX) — Dividend

JPM UNCONSTRAINED DEBT FD (JSISX) — Dividend

TRUST #1 (H)

JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest

METROPOLITAN TRANSPORTATION AUTH NY DEDICATED TAX FD (59259N-ZF-3) — Interest — Redeemed

NASSAU CNTY NY INTERIM FIN AUTH 631663-NV-9 AAA /NR — Interest — Redeemed

ERIE CNTY NY INDL DEV AGY SCHFAC REV 29509P-KD-0 AA /AA2 — Interest

CLARKSTOWN NY REF-VAR PURP (182306-X7-0) — Interest

SCHENECTADY CNTY NY VAR PURP (806415-V2-8) — Interest

ROCKVILLE CENTRE NY AAA /NR (774132-W3-4) — Interest

EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DR-4 NR /AA2 — Interest

NY ST BRDG AUTH 649807-CB-8 AA- / AA3 — Interest

BROOKHAVEN NY REF 113152-US-9 AA+ /AA2 — Interest

ERIE CNTY NY FISCAL STABILITYAUTH 29508R-GN-0 NR / AA1 — Interest

NY ST DORM AUTH ST PERSNL INC TAX 64990E-NF-0 AAA /AA1 — Interest

NASSAU CNTY NY SWR & STORM WTR FIN 63166Q-BY-5 AAA /AA3 — Interest

ORANGE CNTY NY REF-VAR PURP- SER A 684575-3M-3 AA /AA3 — Interest

NY CITY NY TRNSTIONAL FIN AUTH BLDG 64972H-XJ-6 AA /AA2 — Interest

PORT AUTH OF NY & NJ NY SER 179 73358W-QQ-0 AA- /AA3 — Interest

THREE VLG NY CENTRL SCH DIST REF 885766-NT-8 NR /AA2 — Interest

CHEEKTOWAGA NY VAR PURP LTD TAX (162879-P3-8) — Interest

UTIL DEBT SECURITIZATION AUTH NY (91802R-BG-3) — Interest

NY ST DORM AUTH SALES TAX REV (64990A-EY-7) — Interest

MT VERNON NY CITY SCH DIST (623606-D7-2) — None — Buy

WAYNE CITY NY REF LTD TAX (945829-EN-5) — None — Buy

Trustee, Trust #1

Trustee, Trust #2 (no reportable assets)

Reimbursement — Cambridge Union Society — November 13-16, 2019 — Cambridge, UK — Debate — Hotel and some transportation

Spouse's income — 2019 — Pension and retirement plan pmts-pension plans for benefit of retirees of Random House, Inc.

Spouse's income — 2019 — Newspaper Guild NY - NY Times pension

Part VII, Column B: Lines reflecting no income are so reported because none was attributed to those particular holdings during the reporting period, whether

taxable, tax exempt, or tax deferred, or because the investments do not allocate income to individual holdings, but instead are credited only in unit value, per

page 42 of the filing instructions.