Laura Taylor Swain

Individual Assets (H)

HSBC Bank (cash) — Interest

Citibank (cash) — Interest

Synchrony Bank (cash) — Interest

Employees Stock Ownership Plan (no control) — Dividend

IRA #1 (H)

Schwab Cash Reserves Sweep Shares (SWSXX) (cash) — Dividend — Closed

Schwab Government Money Fund (SWGXX) — Dividend — Open

Aberdeen Standard Physcl Swiss Gld ETF (SGOL) — None — Buy

Fidelity MSCI Industrials (FIDU) — Dividend

Fidelity MSCI Comm SRV Index (FCOM) — Dividend — Buy

Fidelity MSCI Comm SRV Index (FCOM) — Buy (add'l)

Fidelity MSCI Comm SRV Index (FCOM) — Sold (part)

Fidelity MSCI Cons Discr (FDIS) — Dividend — Sold (part)

Fidelity MSCI Cons Discr (FDIS) — Buy (add'l)

Fidelity MSCI Cons Stpls (FSTA) — Dividend — Buy (add'l)

Fidelity MSCI Cons Stpls (FSTA) — Sold (part)

Fidelity MSCI Financials (FNCL) — Dividend — Buy (add'l)

Fidelity MSCI Financials (FNCL) — Sold

Fidelity MSCI Health (FHLC) — Dividend — Sold (part)

Fidelity MSCI Infor Tech (FTEC) — Dividend — Sold (part)

Fidelity MSCI Infor Tech (FTEC) — Buy (add'l)

Flexshares Exg Trd FD IBOXX 5 yr TGT Dur TIPS Index Fund (TDTF) — None — Sold

Invesco Optimum Yield (formerly Powershares DB Optm Yld ETF) (PDBC) — Dividend — Buy (add'l)

Invesco Optimum Yield (formerly Powershares DB Optm Yld ETF) (PDBC) — Sold (part)

Invesco Senior Loan (formerly Powershares Senior Loan ETF) (BKLN) — None — Sold

Ishares Intermediate-Term (IGIB) — Dividend — Buy

IShares Bond ETF Agency Bond (AGZ) — Dividend

Ishares Broad Usd Hg Yld (USHY) — Dividend — Buy

IShares CMBS ETF (CMBS) — Dividend

Ishares Currency Holdings MSCI (HEZU) — Dividend — Buy

IShares TIPS Bond ETF (TIP) — Dividend

SPDR Bloomberg Barclays Intl Treasury ETF (BWX) — None — Buy

SPDR Bloomberg Barclays Intl Treasury ETF (BWX) — Sold

SPDR Dow Jones REIT (RWR) — Dividend — Sold (part)

SPDR Dow Jones REIT (RWR) — Buy (add'l)

SPDR Dow Jones REIT (RWR) — Sold (part)

SPDR Dow Jones REIT (RWR) — Buy (add'l)

SPDR Dow Jones REIT (RWR) — Sold (part)

SPDR Intrmdt Trm Crprate Bnd ETF (SPIB) — Dividend — Sold (part)

SPDR Long Term Treasury (SPTL) — Dividend — Sold (part)

SPDR Long Term Treasury (SPTL) — Buy (add'l)

SPDR Long Term Treasury (SPTL) — Sold (part)

SPDR Small Cap ETF (SPSM) — Dividend — Buy (add'l)

SPDR Small Cap ETF (SPSM) — Sold (part)

SPDR Small Cap ETF (SPSM) — Sold (part)

SPDR Small Cap ETF (SPSM) — Sold (part)

Vaneck Vectors JP Morgan Local Currency (EMLC) — None — Buy

Vaneck Vectors JP Morgan Local Currency (EMLC) — Sold

Vanguard Long Term Cor Bd ETF (VCLT) — Dividend — Sold (part)

Vanguard FTSE ETF Dev Mkts (VEA) — Dividend — Buy (add'l)

Vanguard FTSE ETF Dev Mkts (VEA) — Buy (add'l)

Vanguard FTSE ETF Dev Mkts (VEA) — Buy (add'l)

Vanguard FTSE ETF Dev Mkts (VEA) — Sold (part)

Vanguard FTSE ETF Dev Mkts (VEA) — Sold (part)

Vanguard FTSE ETF Dev Mkts (VEA) — Sold (part)

Vanguard FTSE Emerging Mkts (VWO) — Dividend — Buy (add'l)

Vanguard FTSE Emerging Mkts (VWO) — Sold (part)

Vanguard FTSE Emerging Mkts (VWO) — Buy (add'l)

Vanguard Intermediate Term Gov ETF (VGIT) — Dividend — Sold (part)

Vanguard Intermediate Term Gov ETF (VGIT) — Sold

Vanguard Large Cap ETF (VV) — Dividend — Buy (add'l)

Vanguard Large Cap ETF (VV) — Sold

Vanguard Large Cap ETF (VV) — Buy

Vanguard Mtrg-Backd ETF Mortg-Backed Secs (VMBS) — Dividend — Sold (part)

Vanguard Mtrg-Backd ETF Mortg-Backed Secs (VMBS) — Sold (part)

IRA #2 (H)

Western Asset Instl Govt (INGXX) — Interest

IShares Gold TR (IAU) — None — Buy

IShares TR Russell 1000 Value ETF (IWD) — Dividend — Buy (add'l)

IShares TR Russell 1000 Value ETF (IWD) — Sold (part)

IShares TR Russell 1000 Growth ETF (IWF) — Dividend — Buy (add'l)

IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)

IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)

Ishares TR Russell 2000 ETF (IWM) — Dividend — Sold (part)

IShares TR MSCI All Country Asia (AAXJ) — Dividend — Buy

IShares TR MSCI All Country Asia (AAXJ) — Sold (part)

IShares TR JPMorgan Emerging Mkts (EMB) — Dividend

Pimco ETF TR Enhanced Short Mat (MINT) — Dividend — Buy

Vanguard Bd Index Fds (BND) — Dividend — Sold (part)

Vanguard Bd Index Fds (BND) — Sold (part)

Vanguard Bd Index Fds (BND) — Sold (part)

Vanguard Tax Managed Intl (VEA) — Dividend — Buy (add'l)

Vanguard Tax Managed Intl (VEA) — Sold (part)

Vanguard Tax Managed Intl (VEA) — Sold (part)

Vanguard Charlotte Fds (BNDX) — Dividend — Sold (part)

Vanguard Intl Equity Index (VWO) — Dividend — Sold (part)

Vanguard Intl Equity Index (VWO) — Sold (part)

IShares TR Short-Term Corp BD (IGSB) — None — Sold (part)

IShares TR Short-Term Corp BD (IGSB) — Buy (add'l)

IShares TR Short-Term Corp BD (IGSB) — Sold

IRA #3 (H)

Western Asset Instl Govt (INGXX) (Y)

IShares Gold TR (IAU) — None — Buy

IShares TR Russell 1000 Value ETF (IWD) — Dividend — Sold (part)

IShares TR Russell 1000 Value ETF (IWD) — Buy (add'l)

IShares TR Russell 1000 Growth ETF (IWF) — Dividend — Sold (part)

IShares TR Russell 1000 Growth ETF (IWF) — Sold (part)

IShares TR Russell 1000 Growth ETF (IWF) — Buy (add'l)

Ishares TR Russell 2000 ETF (IWM) — Dividend — Sold (part)

IShares TR MSCI All Country Asia (AAXJ) — Dividend — Buy

IShares TR MSCI All Country Asia (AAXJ) — Sold (part)

IShares TR JPMorgan Emerging Mkts (EMB) — Dividend — Sold (part)

IShares TR JPMorgan Emerging Mkts (EMB) — Buy (add'l)

IShares TR JPMorgan Emerging Mkts (EMB) — Sold (part)

Pimco ETF TR Enhanced Short Mat (MINT) — Dividend — Buy

Pimco ETF TR Enhanced Short Mat (MINT) — Sold (part)

Vanguard Bd Index Fds (BND) — Dividend — Sold (part)

Vanguard Bd Index Fds (BND) — Sold (part)

Vanguard Bd Index Fds (BND) — Sold (part)

Vanguard Tax Managed Intl (VEA) — Dividend — Buy (add'l)

Vanguard Tax Managed Intl (VEA) — Sold (part)

Vanguard Charlotte Fds (BNDX) — Dividend — Sold (part)

Vanguard Intl Equity Index (VWO) — Dividend — Sold (part)

Vanguard Intl Equity Index (VWO) — Sold (part)

IShares TR Short-Term Corp BD (IGSB) — Dividend — Sold (part)

IShares TR Short-Term Corp BD (IGSB) — Buy (add'l)

IShares TR Short-Term Corp BD (IGSB) — Sold

Board Member, Havens Relief Fund Society

Trustee, Trust #1 (no reportable assets)

Gift — New York County Lawyers Association — Engraved Glass Award — $700.00 (estimated)

Spouse's income — 2019 — (salary and benefits)

Part VII, line 5: The investments of this ESOP, which was established in 2009, are not participant-directed. The information reported is the most recent

available information, which is as of 12/31/2016.

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.