Patricia A. Sullivan

MFS Investment Management (Educational Funds) (H)

MFS Growth Allocation Fund B (MBGWX) — Dividend

US Treasury EE Bonds — Interest

Northwest Mutual Life Policy "Adjustable CompLife" — Dividend

Minnesota Variable Group Universal Life Insurance Policy (H)

Janus Henderson Vit Forty — Int./Div.

SFT Wellington CEQ1 — Int./Div.

Ivy VIP Value — Int./Div.

FID VIP Equity Income — Int./Div.

Janus Hend Vit Overseas — Int./Div.

Membership in — Distribution

Santander Account #1 Cash-equivalent — Interest

Santander Account #2 Cash-equivalent — Interest

Santander Money Market Account Cash- equivalent — Interest

Schwab Account #1(IRA) (H)

Schwab Value Advantage Fund (SWVXX) — Interest

PIMCO Foreign Bond (PFORX) — Dividend

Teton Convertible Sec (WESIX) — Dividend — Sold (part)

Teton Convertible Sec (WESIX) — Sold (part)

Western Asset Macro Opportunities (LAOIX) — Dividend

Schwab Bank — Interest

Fidelity Floating Rate HI INCM (FFRHX) — Dividend

First Eagle High Yield FD I (FEHIX) — Dividend

Pimco 0-5 High Yield Corp B (HYS) — Dividend — Sold

Fidelity New Mkts Inc (FGZMX) — Dividend

Templeton Global Bond Fund (TGBAX) — Dividend

First Eagle US Value Fund CL (FEVIX) — Dividend — Sold

Goldman Sachs Small Mid Cap (GSMYX) — Dividend

Powershares S&P ETF 500 Low VO (SPLV) — Dividend

Western Core Plus Bond (WACPX) — Dividend

Schwab Fundamental US Large Cap (FNDX) — Dividend

JP Morgan Hedged Equity (JHEQX) — Dividend

Wells Fargo Low Volatility (WLVOX) — Dividend

DFA US Large Cap Value (DFLVX) — Dividend — Sold

Fidelity Total Emerging MKTS (FTEJX) — Dividend — Sold (part)

Cash — Distributed (part)

Fidelity Total Emerging MKTS (FTEJX) — Sold (part)

WisdomTree US Div Growth (DGRW) — Dividend — Buy

Schwab S&P 500 Selct Shs (SWPPX) — Dividend

First Eagle Overseas (SGOIX) — Dividend

Powershares ETF S&P INTL (IDLV) — Dividend — Sold (part)

SCHW Intl SCAP ETF (SCHC) — Dividend

Schwab Fund Intl Sm Cap (FNDC) — Dividend — Buy

Schwab Fund Intl Sm Cap (FNDC) — Sold

SPDR Strategic Factors (QUS) — Dividend — Buy

SPDR Strategic Factors (QUS) — Sold (part)

SPDR Strategic Factors (QUS) — Sold (part)

Loomis Sayles Senior Flting Rate & Fixed (LSFYX) — Dividend — Sold (part)

Goldman Sachs GQG Partners (GSIMX) — Dividend

Brandes Intl Small Cap (BISMX) — Dividend — Sold

361 US Small Cap (ASFZX) — Dividend

Hartford Global Bond (HWDYX) — Dividend

Schwab Account #2 (H)

Schwab Bank (X) — Int./Div.

Brandes Intl Small Cap (BISMX) — Dividend — Sold

Lord Abbett HY Muni (HYMIX) — Dividend — Buy

Schwab Tax-Ex Money VAl (SWTXX) — Int./Div. — Sold (part)

First Eagle US Value (FEVIX) — Dividend — Sold

Fidelity New Mkts Inc (FGZMX) — Dividend

IShares MSCI (EEMV) — Dividend

First Eagle Overseas (SGOIX) — Dividend

Schwab S&P 500 Select (SWPPX) — Dividend

Templeton Global Bond Fund (TGBAX) — Dividend

MKT Vectors ETF (HYD) — Dividend — Sold

Goldman Sachs Small Mid Cap (GSMYX) — Dividend

WisdomTree US Div Growth (DGRW) — Dividend — Buy

PIMCO Foreign Bond (PFORX) — Dividend

Western Asset Macro Opportunities (LAOIX) — Dividend

Eaton Vance Muni Oppty (EMOIX) — Dividend

Fidelity Total Emerging Mkts (FTEJX) — Dividend

Schwab Fund Intl Sm Cap (FNDC) — Dividend — Buy

SPDR MSCI Strat FAct (QUS) — Dividend — Buy

DFA US Large Cap Value (DFLVX) — Dividend — Sold

JP Morgan Hedged Equity (JHEQX) — Dividend

Fidelity FLoating Rate Hi Income (FFRHX) — Dividend

Goldman Sachs GQG Partners (GSIMX) — Dividend

Estate (H)

Wells Fargo Advisors #1 (H)

Cash — Interest — Distributed (part)

AT&T Inc — Dividend — Distributed

BCE Inc — Dividend — Distributed

Brookfield Infrasture Partners LP — Dividend — Distributed

Century Link Inc — Dividend — Sold

Energy Transfer LP — Dividend — Sold

Williams Companies Inc — Dividend — Sold

American Financial PFD — Interest — Distributed

Capital One Fin Corp PFD — Dividend — Distributed

Goldman Sachs Var PFD — Dividend — Distributed

JP Morgan Chase & Co PFD — Dividend — Redeemed

Morgan Stanley 6.25% PFD — Dividend — Distributed

Pitney Bowes Inc 6.7% PFD — Interest — Sold

Qwest Corp PFD — Interest — Distributed

Telephone & Data 7% Perptl Sys Inc PFD — Interest — Distributed

US Cellular Corp PFD — Interest — Distributed

People's United Bank — Interest — Distributed

Bank of America — Interest — Closed

Merrill Edge IRA A/C Cash-equivalent — Int./Div. — Closed

Wells Fargo Advisors #2 (H) (X)

Cash — Interest — Distributed (part)

American Financial PDF — Interest — Redeemed

AT&T Inc. — Dividend — Distributed

BCE Inc. — Dividend — Distributed

Brookfield Infrasture Partners LP — Dividend — Distributed

Capital One Fin Corp PFD — Dividend — Redeemed

Morgan Stanley 6.25% PFD — Dividend — Distributed

Qwest Corp PFD — Interest — Distributed

Telephone & Data 7% Perptl Sys Inc PFD — Interest — Distributed

US Cellular Corp PFD — Interest — Distributed

Goldman Sachs Var PFD — Dividend — Distributed

Schwab Account #3 (H) (X)

Cash — Interest

AT&T Inc — Dividend

BCE Inc — Dividend

Brookfield Infrasture Partners LP — Dividend

Morgan Stanley 6.25% PFD — Dividend

Qwest Corp PFD — Dividend

Telephone & Data 7% Perptl Sys Inc PFD — Dividend

US Cellular Corp PFD — Interest

Goldman Sachs Var PFD — Dividend

Member and Officer (Treasurer), Board of Directors of Roger Williams University School of Law

Manager and Member

Director, Rhode Island Bar Foundation

Director, Rhode Island Chapter of Federal Bar Association

Adjunct Professor, Roger Williams University School of Law (inactive)

Co-Executor, Estate of

Spouse's income — 2019 — Citizens Bank (pension)

Spouse's income — 2019 — Bank of America (pension)

Spouse's income — 2019 — Barrington High School (earned income)

Part I:

Line 1: I became Treasurer of the Board of Directors of Roger Williams Law School on May 1, 2020.

Line 3: Please see the letter from the Committee on Codes of Conduct that I have filed previously filed in connection with prior annual Financial Disclosure

Reports.

Part VII:

Lines 5-10: This life insurance policy provides me with quarterly reports that show the cash value for the policy, the investment gain/loss for the policy and the

"unit value" and "units held" in each "account" listed on Lines 6-10. Each of the five accounts is 20% of the total. The statements provide no information about

the income earned in each account. I have reported the income for the policy based on the total "investment gain/loss" as it appears in the year-end statement. The

income for the underlying accounts is an estimate based on 20% of the total.

Line 11: The asset listed on Line 11 is membership in an entity that has never made a distribution to its members.

I use an estimate of the value of this use as"income."

Lines 15, 49 and 104: Because a third Schwab account was added this year, I have numbered all three of them to distinguish them from each other

Line 15: This IRA is actually two accounts, one in my name and one in name, managed together by the same person at Schwab.

Lines 16 and 53: This is a name change from Schwab Govt Money Fund (SWGXX ) to Schwab Value Advantage Fund (SWVXX) (line 16) and to Schwab Bank

(line 53).

Lines 77 and 97: Because a second Wells Fargo account was added this year, I have numbered them to distinguish them from each other.

Lines 85, 90-93: In the course of preparing the 2019 report, I discovered that the income associated with these assets was interest, as correctly reported here, not

dividends, as I mistakenly reported last year.

Line 97: When estate was prepared for distribution in November 2019, the assets were reallocated into five separate Well Fargo accounts owned by

each of . The assets that came to me were briefly held in the Wells Fargo Advisors #2 listed on line 97. From there they were immediately distributed

into the Scwhab Account #3 listed on line 110. This Wells Fargo account was closed in early 2020.

Note: During preparing the 2019 report I discovered that the manager of the Schwab accounts mistakenly failed to advise me that three assets were sold in 2018,

listed on the 2018 report on lines 36, 41 and 42. These are: Royce Special Equity FD Invest (RYSEX) (sold 09/20/18, value code K, no gain), Schwab DJ

Wilshare Intl Real Est (RWX (sold 11/30/18, value code L, no gain) and SPDR DJ Wilshare REIT (RWR) (sold 3/12/18, value code J, gain code B).

Note: and I have a "time share" in St. John, U.S.V.I., which affords the ability to stay for one week during the late fall, subject to availability. It was

purchased for $36,000 in 2006. It generates no income but requires payment of expenses. As far as I know, it has de minimis, possibly negative, resale value

because it can be used only subject to availabilty, which is limited. It does not appear to be required to be reported as it does not fall into any category on the

form.