Lisa Margaret Smith

Chase Cash accounts — None

TD Bank Cash account — None

Fidelity NY Municipal Money Market Fund — None — Closed

Fidelity IRA (Fidelity Fund--FFIDX) — Dividend

Fidelity IRA (Cash Reserves) — Dividend

Webster Bank, Wilton CT -- Checking Account — None

HSBC IRA (Fideltiy Puritan Fund) (X) — Dividend

HSBC IRA (T. Rowe Price Dividend Growth Fund) — Dividend

HSBC Cash Account — None

Investment Account #1(H)

Stifel Nicolaus money market account — Interest

Vanguard Treasury Money Market Fund — Dividend — Buy

Invesco Intermediate Term Muni Income Fund Class Y — Dividend — Buy (add'l)

Invesco Intermediate Term Muni Income Fund Class Y — Sold (part)

Invesco Intermediate Term Muni Income Fund Class Y — Sold

American High Income Bond Fund — Dividend — Buy

American High Income Bond Fund — Sold

Blackrock Equity Dividend Fund — Dividend — Buy (add'l)

Blackrock Equity Dividend Fund — Buy (add'l)

Blackrock Equity Dividend Fund — Sold

Columbia Contrarian Core Fund — Sold (part)

Columbia Contrarian Core Fund — Buy (add'l)

Columbia Contrarian Core Fund — Sold

American Beacon International Equity Fund — Buy (add'l)

American Beacon International Equity Fund — Sold (part)

American Beacon International Equity Fund — Sold

Fidelity Advisor New Insights Fund Instl Cl — Distribution — Sold (part)

Fidelity Advisor New Insights Fund Instl Cl — Buy (add'l)

Fidelity Advisor New Insights Fund Instl Cl — Sold

FMI International Fund — Sold (part)

FMI International Fund — Buy (add'l)

FMI International Fund — Buy (add'l)

FMI International Fund — Sold

Goldman Small Cap Insights Fund — Sold (part)

Goldman Small Cap Insights Fund — Buy (add'l)

Goldman Small Cap Insights Fund — Buy (add'l)

Goldman Small Cap Insights Fund — Sold

Ivy Mid Cap Growth Fund — Sold (part)

Ivy Mid Cap Growth Fund — Sold

MFS Intl Growth Fund — Sold (part)

MFS Intl Growth Fund — Sold (part)

MFS Intl Growth Fund — Sold

Nuveen Small Cap Value Fund — Sold (part)

Nuveen Small Cap Value Fund — Sold (part)

Nuveen Small Cap Value Fund — Sold

Invesco Oppenheimer Developing Markets Fund Cl Y — Sold (part)

Invesco Oppenheimer Developing Markets Fund Cl Y — Sold (part)

Invesco Oppenheimer Developing Markets Fund Cl Y — Sold (part)

Invesco Oppenheimer Developing Markets Fund Cl Y — Sold

Wells Fargo Special Mid Cap Value Fund — Sold (part)

Wells Fargo Special Mid Cap Value Fund — Sold (part)

Wells Fargo Special Mid Cap Value Fund — Sold

Meridian Small Cap Growth Fund — Sold (part)

Meridian Small Cap Growth Fund — Sold (part)

Meridian Small Cap Growth Fund — Sold

Thornburg Ltd Term Muni Fund — Dividend — Buy (add'l)

Thornburg Ltd Term Muni Fund — Sold (part)

Thornburg Ltd Term Muni Fund — Sold

Investment Account #2(H)

Stifel Insured Bank Program — Interest

Franklin NY Tax Free Income Fund, Cl A (FNYTX) — Dividend

Retirement Account #1(H)

Stifel Nicolaus IRA money market — Interest

American Beacon International Equity Fund — Dividend — Buy (add'l)

American Beacon International Equity Fund — Sold (part)

Blackrock Equity Dividend Fund — Dividend — Sold (part)

Blackrock Equity Dividend Fund — Sold (part)

Columbia Contrarian Core Fund Class Z — Dividend — Buy (add'l)

Columbia Contrarian Core Fund Class Z — Buy (add'l)

FMI International Fund Instl — Dividend — Buy (add'l)

FMI International Fund Instl — Sold (part)

Fidelity Advisor New Insights Mutual Fund Institutional Class — Dividend — Buy (add'l)

Fidelity Advisor New Insights Mutual Fund Institutional Class — Sold (part)

Goldman Sachs Intl Small Cap Insights Fund — Dividend — Buy (add'l)

Goldman Sachs Intl Small Cap Insights Fund — Sold (part)

Harbor Bond Fund — Dividend — Buy (add'l)

Harbor Bond Fund — Sold (part)

Ivy Mid Cap Growth Fund — Distribution — Buy

Ivy Mid Cap Growth Fund — Sold (part)

JP Morgan Govt Bond Fund — Dividend — Buy

MFS Intl Growth Fd Cl I — Dividend — Sold (part)

MFS Intl Growth Fd Cl I — Sold (part)

Meridian Sm Cap Gr Fund Investor Class — Distribution — Buy (add'l)

Meridian Sm Cap Gr Fund Investor Class — Sold (part)

Nuveen Small Cap Value Fund — Dividend — Buy (add'l)

Nuveen Small Cap Value Fund — Sold (part)

PGIM High Yield — Dividend — Buy

PGIM High Yield — Sold (part)

Invesco Oppenheimer Developing Markets Fund Class Y — Dividend — Buy (add'l)

Invesco Oppenheimer Developing Markets Fund Class Y — Sold (part)

Invesco Oppenheimer Developing Markets Fund Class Y — Sold (part)

Invesco Oppenheimer Developing Markets Fund Class Y — Sold (part)

Vanguard Short Term Federal Fund — Dividend — Buy (add'l)

Vanguard Short Term Federal Fund — Sold (part)

Vanguard Short Term Federal Fund — Sold

Wells Fargo Govt Securities Fund Admin Class — Dividend — Sold (part)

Wells Fargo Govt Securities Fund Admin Class — Sold

Wells Fargo Special Mid Cap Value Fund — Dividend — Sold (part)

Inherited IRA(H)

Stifel Insured Bank Program — Interest

Verizon (VZ) — Dividend

Franklin Income Fund, Advisor Class — Dividend — Sold

Ishares S&P Mid Cap 400 Growth ETF (IJK) — Dividend — Sold (part)

Ishares S&P Small Cap 600 Growth ETF (IJT) — Dividend — Sold (part)

Janus Balanced Fund — Dividend — Buy

Income — 2019 — Pace University School of Law - Teaching — $2,235.04

Spouse's income — 2019 — Wages from Ridgefield Hardware Co., Ridgefield, CT

VII. Investments

1. Rows 59 & 121: Invesco acquired the Oppenheimer Funds in May of 2019 and changed the name of Oppenheimer Developing Markets Fund to Invesco

Oppenheimer Developing Markets Fund.