Robert D. Drain

2019

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What was filed

1136
investments
5
positions
0
gifts
0
agreements
0
debts
12
reimbursements
1
income
0
spouse income

Named parties

American Bankruptcy Institute
National Conference of Bankruptcy Judges
Pace University School of Law
Judicial Insolvency Network
Practicing Law Institute
Hudson Valley Bankruptcy Bar Association
Association of the Bar of the City of New York
Capital Region Bankruptcy Far Assn and The Central New York Bankruptcy Bar Assn
Federal Bar Council
Association of Insolvency and Restructuring Advisors
Pace Law School -- teaching

As filed

Cigna — Sold

Cigna — Buy

Citibank Account — Interest — Closed

Chase Account — Interest

Acess Financial Account (Cash and Stock) — None — Closed

FifthThird Bancorp common — Dividend

US Trust Managed Common Account (no control); see lines 5-141 — Int./Div.

Abbott Labs — Dividend — Buy

Abbott Labs — Sold (part)

Abbott Labs — Sold

Abbott Labs — Buy

Abbvie — Dividend — Buy

Abbvie — Buy (add'l)

Abiomed Inc — Dividend — Sold

Actvision Blizzard — Dividend — Buy

Actvision Blizzard — Buy (add'l)

Actvision Blizzard — Sold (part)

Adobe — Dividend — Buy

Adobe — Buy (add'l)

Adobe — Sold (part)

Adobe — Buy (add'l)

Advanced Auto Parts — None — Buy

Advanced Mirco Devices — None — Buy

Advanced Mirco Devices — Sold

Advanced Mirco Devices — Buy

AES — Dividend — Buy

AES — Buy (add'l)

Affiliated Managers Grp — Dividend — Buy

Aflac — None — Buy

Aflac — Sold

Air Prods & Chems — Dividend — Buy

Akamai Technologies — None — Buy

Akamai Technologies — Sold

Alaska Air Grp — Dividend — Buy

Alexion Pharmaceuticals — None — Buy

Alexion Pharmaceuticals — Sold

Align Technology — None — Buy

Allergan — Dividend — Buy

Allstate — Dividend — Buy

Allstate — Buy (add'l)

Alphabet Inc. CL C Com — None — Sold (part)

Alphabet Inc. CL C Com — Buy (add'l)

Alphabet Inc. CL A Com — None — Sold (part)

Alphabet Inc. CL A Com — Buy (add'l)

Altria Grp. — Dividend — Buy

Altria Grp. — Sold

Altria Grp. — Buy

Amazon Com — None — Sold (part)

Amazon Com — Sold (part)

Amazon Com — Buy (add'l)

Amcor — None — Buy

Amcor — Sold

American Airls Grp — None — Buy

American Airls Grp — Sold

American Elec Power — Dividend — Buy

American Elec Power — Buy (add'l)

American Express — Dividend — Buy

American Express — Sold

American Express — Buy

American Int'l Grp. — Dividend — Buy

American Int'l Grp. — Buy (add'l)

American Tower — None — Buy

American Tower — Buy (add'l)

American Tower — Sold

Amerisourcebergen — Dividend — Buy

Amerisourcebergen — Sold

Ametek — Dividend — Buy

Amgen — Dividend — Buy

Amgen — Sold

Amgen — Buy

Analog Devices — Dividend — Buy

Analog Devices — Buy (add'l)

Ansys — None — Buy

Anthem — Dividend — Buy

Anthem — Sold

Anthem — Buy

Aon — Dividend — Buy

Apache — None — Buy

Apache — Buy (add'l)

Apache — Sold

Apartment Invt & Mgmt — Dividend — Buy

Apartment Invt & Mgmt — Buy (add'l)

Apple — Dividend — Sold (part)

Apple — Buy (add'l)

Applied Matls — Dividend — Buy

Aptiv PLC — None — Sold (part)

Aptiv PLC — Sold (part)

Aptiv PLC — Buy (add'l)

Archer Daniels Midland — Dividend — Buy

Archer Daniels Midland — Buy (add'l)

Arconic — None — Buy

Arconic — Sold

AT&T — Dividend — Open

AT&T — Sold (part)

AT&T — Buy (add'l)

Autodesk — None — Buy

Autodesk — Sold

Automatic Data Processing — None — Buy

Automatic Data Processing — Sold

AvalonBay Cmntys — None — Buy

AvalonBay Cmntys — Sold

Avery Dennison — Dividend — Buy

Baker Hughes — Buy

Baker Hughes — Sold

Ball — Distribution — Buy

Ball — Sold

Ball — Buy

Bank of NY Mellon — Dividend — Buy

Bank of NY Mellon — Sold

Bank of NY Mellon — Buy

Baxter Int'l — None — Buy

Baxter Int'l — Buy (add'l)

Baxter Int'l — Sold

BB&T Corp. — Dividend — Sold

BB&T Corp. — Buy

BB&T Corp. — Buy (add'l)

Becton Dickinson — Dividend — Buy

Becton Dickinson — Buy (add'l)

Berkshire Hathaway Cl B — None — Buy

Berkshire Hathaway Cl B — Buy (add'l)

Best Buy — Dividend — Buy

Best Buy — Sold

Best Buy — Buy

Biogen — None — Buy

Biogen — Sold

Blackrock Inc. — Dividend — Buy

Blackrock Inc. — Buy (add'l)

Blackrock Inc. — Sold (part)

Blackrock Inc. — Buy (add'l)

Block, H & R — None — Buy

Block, H & R — Sold

Boeing — Dividend — Buy

Boeing — Buy (add'l)

Boeing — Sold (part)

Booking Hldgs — None — Sold (part)

Boston Properties — Dividend — Buy

Boston Scientific — None — Buy (add'l)

Boston Scientific — Sold (part)

Borg Warner — None — Buy

Borg Warner — Sold

Bristol Myers Squibb — Dividend — Buy

Bristol Myers Squibb — Buy (add'l)

Broadcom Inc. — Dividend — Buy (add'l)

Broadcom Inc. — Buy (add'l)

Broadcom Inc. — Sold (part)

Broadcom Inc. — Buy (add'l)

Brown Forman — None — Buy

Brown Forman — Sold

Cabot Oil & Gas — None — Buy

Cabot Oil & Gas — Buy (add'l)

Cabot Oil & Gas — Sold

Cadence Design System — None — Buy

Cadence Design System — Sold

Campbell Soup — Dividend — Buy

Capital One Finl — Dividend — Buy

Capri Hldgs — None — Buy

Cardinal Health — Dividend — Buy

Cardinal Health — Buy (add'l)

Carmax — None — Buy

Carmax — Buy (add'l)

Carnival — None — Buy

Carnival — Sold

Caterpillar — Dividend — Buy

Caterpillar — Buy (add'l)

CBOE Hldgs — Dividend — Buy

CBRE Grp — None — Buy

CBRE Grp — Sold

CBS — None — Buy

CBS — Sold

CDW — Dividend — Buy

Celanese Corp — None — Buy

Celanese Corp — Sold

Celgene — None — Buy

Celgene — Buy (add'l)

Centene — None — Buy

Centene — Sold

Centerpoint Energy — None — Buy

Centerpoint Energy — Sold

Centurylink — None — Buy

Centurylink — Sold

Cerner — None — Buy

Cerner — Sold

CF Inds Hldgs — Dividend — Buy

CF Inds Hldgs — Sold

C H Robinson Worldwide — None — Buy

C H Robinson Worldwide — Sold

Charter Communications — None — Buy

Chevron — Dividend — Buy

Chevron — Sold (part)

Chevron — Buy (add'l)

Chevron — Sold

Chevron — Buy

Chubb Ltd. — None — Buy

Chubb Ltd. — Buy (add'l)

Chubb Ltd. — Sold

Cigna — Dividend — Open

Cigna — Sold

Cigna — Buy

Cincinnati Finl — None — Buy

Cincinnati Finl — Buy (add'l)

Cincinnati Finl — Sold

Cintas — Dividend — Buy

Cintas — Sold

Cisco Sys — Dividend — Buy

Cisco Sys — Sold

Cisco Sys — Buy

Citigroup — Dividend — Buy (add'l)

Citigroup — Buy (add'l)

Citizens Finl. Grp. — Dividend — Buy

Citrix Sys — Dividend — Buy

Clorox — Dividend — Buy

CME Grp. — None — Buy

CME Grp. — Buy (add'l)

CME Grp. — Sold

CMS Energy — Dividend — Buy

CMS Energy — Buy (add'l)

CMS Energy — Sold (part)

Coca Cola — Dividend — Sold (part)

Coca Cola — Buy (add'l)

Cognizant Technology — Dividend — Buy

Colgate Palmolive — Dividend — Buy

Colgate Palmolive — Sold (part)

Colgate Palmolive — Sold

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

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

Comcast Corp. — Dividend — Buy

Comcast Corp. — Buy (add'l)

Comcast Corp. — Sold (part)

Comerica — Dividend — Buy

Comerica — Buy (add'l)

Conagra — Dividend — Buy

Conagra — Sold (part)

Conagra — Buy

Concho Res Inc. — None — Buy

Concho Res Inc. — Sold

Conoco Phillips — Dividend — Buy

Conoco Phillips — Buy (add'l)

Consolidated Edison — Dividend — Buy

Constellation Brands Inc — Dividend — Buy (add'l)

Constellation Brands Inc — Sold (part)

Copart — None — Buy

Copart — Sold

Copart — Buy

Corning — None — Buy

Corning — Sold

Corteva — None — Buy

Corteva — Sold (part)

Corteva — Sold

Costco Whlsl — Dividend — Buy

Costco Whlsl — Buy (add'l)

Coty — None — Buy

Coty — Sold

Crown Castle Intl — Dividend — Buy

Crown Castle Intl — Sold

Crown Castle Intl — Buy

CSX — Dividend — Buy

CSX — Buy (add'l)

Cummins — Dividend — Buy

CVS Health — Dividend — Buy

CVS Health — Buy (add'l)

Danaher — Dividend — Sold (part)

Danaher — Buy (add'l)

Darden Restraurants — Dividend — Buy

Darden Restraurants — Buy (add'l)

Davita — None — Buy

Davita — Sold

Deere & Co — Dividend — Buy

Deere & Co — Buy (add'l)

Deere & Co — Sold (part)

Delta Air Lines — None — Buy

Delta Air Lines — Sold

Dentsply Sirona — None — Buy

Dentsply Sirona — Sold

Devon Energy — None — Buy

Devon Energy — Sold

Diamondback Energy — None — Buy

Diamondback Energy — Sold

Digital Rlty Tr — None — Buy

Digital Rlty Tr — Sold

Discover Fin. Grp. — None — Buy

Discover Fin. Grp. — Sold

Discovery — None — Buy

Discovery — Sold (part)

Discovery — Buy (add'l)

Dish Network — None — Buy

Dish Network — Buy (add'l)

Disney Walt Co. — Dividend — Sold (part)

Disney Walt Co. — Buy (add'l)

D R Horton — Dividend — Buy

D R Horton — Buy (add'l)

Dollar Gen. — Dividend — Buy

Dollar Gen. — Buy (add'l)

Dollar Gen. — Sold (part)

Dollar Tree — None — Buy

Dollar Tree — Sold

Dominion Energy — Dividend — Buy

Dominion Energy — Buy (add'l)

Dow — Dividend — Buy

Dow — Buy (add'l)

DTI Energy — Dividend — Buy

Duke Energy — Dividend — Buy

Duke Energy — Buy (add'l)

Duke Energy — Sold (part)

Duke Realty — Dividend — Buy

Dupont de Nemours — None — Buy

Dupont de Nemours — Buy (add'l)

Dupont de Nemours — Sold

DXC Technology — Dividend — Buy

Eastman Chem — Dividend — Buy

Eaton Corp PLC — Dividend — Buy

Eaton Corp PLC — Buy (add'l)

Ebay — Dividend — Buy

Ebay — Sold (part)

Ebay — Sold

Ebay — Buy

Ecolab — None — Buy

Ecolab — Sold

Edison Intl — None — Buy

Edison Intl — Buy (add'l)

Edison Intl — Sold

Edwards Life Sciences — None — Buy

Electronic Arts — None — Buy

Electronic Arts — Buy (add'l)

Emerson Elec — Dividend — Buy

Emerson Elec — Buy (add'l)

Entergy — Dividend — Buy

EOG Res — Dividend — Sold (part)

EOG Res — Sold (part)

EOG Res — Buy (add'l)

Equifax — Dividend — Buy

Equity Residential — Dividend — Buy

Etrade Finl — Dividend — Buy

Etrade Finl — Sold

Eversource Energy — Dividend — Buy

Eversource Energy — Buy (add'l)

Exelon — None — Buy

Exelon — Buy (add'l)

Exelon — Sold

Expedia Grp — None — Buy

Expedia Grp — Sold

Expeditors Intl Washington — None — Buy

Expeditors Intl Washington — Sold

Extra Space Storage — Dividend — Buy

Exxon Mobil — Dividend — Open

Exxon Mobil — Buy (add'l)

Exxon Mobil — Sold (part)

Facebook — None — Sold (part)

Facebook — Buy (add'l)

Fastenal — Dividend — Buy

Fastenal — Buy (add'l)

Federal Realty Inv. — Dividend — Buy

Fedex — None — Buy

Fedex — Sold

Fidelity Nat'l Information Svcs — Dividend — Buy

Fidelity Nat'l Information Svcs — Buy (add'l)

F5 Networks — None — Buy

Fifth Third Bancorp. — Open

Fifth Third Bancorp. — Sold

FirstEnergy — Dividend — Buy

First Rep. Bk San Francisco — Dividend — Buy

First Rep. Bk San Francisco — Sold

Fiserv — None — Buy

Fiserv — Buy (add'l)

Flowserve — Dividend — Buy

FMC Corp — Dividend — Buy

Ford Motor — Dividend — Buy

Ford Motor — Sold

Ford Motor — Buy

Fortinet — None — Buy

Fortinet — Sold

Fortive — Dividend — Sold (part)

Fortive — Sold (part)

Fortive — Buy (add'l)

Fortune Brands Home & Sec — Dividend — Buy

Fox Cl A — None — Buy

Fox Cl A — Sold

Fox Cl B — None — Buy

Fox Cl B — Sold

Franklin Res. Inc. — None — Buy

Franklin Res. Inc. — Sold

Freeport-McMoran — None — Buy

Freeport-McMoran — Sold

Gallagher Arthur J & Co. — None — Buy

Gallagher Arthur J & Co. — Sold

Gap — None — Buy

Gap — Sold

Gen. Dynamics — Dividend — Buy

Gen. Dynamics — Sold

Gen. Dynamics — Buy

Gen. Elec. — Dividend — Open

Gen. Elec. — Sold

Gen. Elec. — Buy

Gen'l Mills — None — Buy

Gen'l Mills — Buy (add'l)

Gen'l Mills — Sold

Gen'l Motors — Dividend — Buy

Gen'l Motors — Sold

Gen'l Motors — Buy

Gilead Sciences — Dividend — Sold

Gilead Sciences — Buy

Gilead Sciences — Buy (add'l)

Global Payments — Dividend — Buy

Goldman Sachs Grp. — Dividend — Buy

Goldman Sachs Grp. — Sold

Goldman Sachs Grp. — Buy

Halliberton — Dividend — Buy

Halliberton — Buy (add'l)

HanesBrands — None — Buy

HanesBrands — Sold

Harley Davidson — Dividend — Buy

Harley Davidson — Buy (add'l)

Hartford Finl Servcs Grp. — None — Buy

Hartford Finl Servcs Grp. — Sold

HCA Hldgs — Dividend — Buy

HCA Hldgs — Sold

HCA Hldgs — Buy

HCP — None — Buy

HCP — Buy

Healthpeack Pptys — Dividend — Buy

Helmerich & Payne — Dividend — Buy

Hershey — None — Buy

Hershey — Sold

Hess Corp. — Dividend — Buy

Hewlett Packard Ent — Dividend — Buy

Hewlett Packard Ent — Buy (add'l)

Hilton Worldwide — Dividend — Buy

Hilton Worldwide — Buy (add'l)

Hollyfrontier — None — Buy

Hollyfrontier — Sold

Hologic — None — Buy

Hologic — Sold (part)

Hologic — Sold

Home Depot — Dividend — Sold (part)

Home Depot — Buy (add'l)

Home Depot — Sold (part)

Honeywell — Dividend — Open

Honeywell — Buy (add'l)

Honeywell — Sold (part)

Honeywell — Buy (add'l)

Hormel Foods — Dividend — Buy

HP Inc. — None — Buy

HP Inc. — Sold

Host Hotels & Resorts — Dividend — Buy

Humana — None — Buy

Humana — Sold

Huntington Bancshares — Dividend — Buy

Huntington Bancshares — Buy (add'l)

Idexx Labs — None — Buy

Idexx Labs — Sold

IHS Markit Ltd — None — Buy

IHS Markit Ltd — Buy (add'l)

Illinois Tool Wks — Dividend — Buy

Illumina — Dividend — Buy

Incyte Corp. — None — Buy

Incyte Corp. — Sold

Intel — Dividend — Buy

Intel — Buy (add'l)

Intercontinental Exchange — Dividend — Sold (part)

Intercontinental Exchange — Buy (add'l)

IBM — None — Buy

IBM — Buy (add'l)

IBM — Sold

International Flavors & Fragrance — Dividend — Buy

International Paper — None — Buy

International Paper — Sold

Interpublic Grp — None — Buy

Interpublic Grp — Sold

Intuit — Dividend — Buy

Intuit — Sold

Intuit — Buy

Intuitive Surgical — Dividend — Buy

Invesco — Dividend — Buy

Iqvia Hldgs — None — Buy

Iqvia Hldgs — Sold

Iron Mountain — Dividend — Buy

Iron Mountain — Buy (add'l)

Johnson & Johnson — Dividend — Sold (part)

Johnson & Johnson — Buy (add'l)

Johnson Controls — None — Buy

Johnson Controls — Buy (add'l)

Johnson Controls — Sold (part)

JPMorgan Chase — Dividend — Buy

JPMorgan Chase — Buy (add'l)

Juniper Networks — None — Buy

Juniper Networks — Sold

Kansas City Southern — Dividend — Buy

Kellogg Co. — Dividend — Buy

Kellogg Co. — Buy (add'l)

Keycorp New — Dividend — Buy

Keycorp New — Buy (add'l)

Keysight Technologies — None — Buy

Kimberly Clark — Dividend — Buy

Kimberly Clark — Sold

Kimberly Clark — Buy

Kimco Realty — Dividend — Buy

Kinder Morgan — None — Buy

Kinder Morgan — Buy (add'l)

Kinder Morgan — Sold

KLA-Tencor — Dividend — Buy

Kohls — Dividend — Buy

Kraft Heinz — Dividend — Sold (part)

Kraft Heinz — Buy (add'l)

Kroger — Dividend — Buy

Kroger — Buy (add'l)

Kroger — Sold (part)

Laboratory Corp Am. Hldgs — None — Buy

Lam Research — Dividend — Buy

Lamb Weston Hldgs — Dividend — Buy

Las Vegas Sands — Dividend — Buy

Lauder Estee Cos. — Dividend — Buy (add'l)

L Brands — Dividend — Buy

L Brands — Sold

L Brands — Buy

Leggett & Platt — None — Buy

Leggett & Platt — Sold

Lennar — Dividend — Buy

Lennar — Buy (add'l)

Lilly Eli & Co — Dividend — Buy

Lilly Eli & Co — Buy (add'l)

Lilly Eli & Co — Sold

Lilly Eli & Co — Buy

Lincoln Nat'l — Dividend — Buy

Lincoln Nat'l — Buy (add'l)

Linde PLC — Dividend — Buy

Linde PLC — Sold

Linde PLC — Buy

Lockhead Martin — Dividend — Buy

Lowes Cos. — Dividend — Buy

Lowes Cos. — Buy (add'l)

Lowes Cos. — Sold (part)

Lowes Cos. — Buy (add'l)

L3Harris Technologies — None — Buy

L3Harris Technologies — Sold

Macerich — Dividend — Buy

Macy's — Dividend — Buy

Marathon Oil — Dividend — Buy

Marathon Oil — Sold

Marathon Pete — Dividend — Buy

Marathon Pete — Buy (add'l)

Marriott Int'l — Dividend — Buy

Marriott Int'l — Sold

Marsh & McLennan Cos. — Dividend — Buy

Marsh & McLennan Cos. — Sold

Marsh & McLennan Cos. — Buy

Martin Marietta Matls — Dividend — Buy

Masco — Dividend — Buy

Masco — Buy (add'l)

Mastercard — Dividend — Sold (part)

Mastercard — Buy (add'l)

McCormick & Co — Dividend — Buy

McDonalds — Dividend — Buy

McDonalds — Buy (add'l)

McDonalds — Sold

McKesson — None — Buy

McKesson — Sold

Medtronic — Dividend — Buy

Medtronic — Buy (add'l)

Merck & Co — Dividend — Buy

Merck & Co — Sold (part)

Merck & Co — Buy (add'l)

Metlife — Dividend — Buy

Metlife — Buy (add'l)

MFS Value FD Cl 1 — Int./Div.

MGM Resorts — None — Buy

MGM Resorts — Buy (add'l)

MGM Resorts — Sold

Microchip Technology — Dividend — Buy

Micron Technology — None — Buy

Micron Technology — Buy (add'l)

Microsoft Corp. — Dividend — Sold (part)

Microsoft Corp. — Buy (add'l)

Mid-Amer Apt Cmntys — Dividend — Buy

Molson Coors — None — Buy

Molson Coors — Sold

Mondelez Intl — None — Buy

Mondelez Intl — Buy (add'l)

Mondelez Intl — Sold

Monster Beverage — Dividend — Buy

Monster Beverage — Buy (add'l)

Moody's Corp — None — Buy

Moody's Corp — Sold

Morgan Stanley — Dividend — Buy

Morgan Stanley — Buy (add'l)

Mosaic — None — Buy

Mosaic — Sold

Motorola Solutions — None — Buy

Motorola Solutions — Sold

MSCI — Dividend — Buy

Mylan — None — Buy

Mylan — Buy (add'l)

Mylan — Sold (part)

Nasdaq — Dividend — Buy

National Oilwell Varco — Dividend — Buy

National Oilwell Varco — Buy (add'l)

Nektar Therapeutics — None — Buy

Nektar Therapeutics — Sold

Newell Rubbermaid — Dividend — Buy

Newell Rubbermaid — Buy (add'l)

Newmont Mining — Dividend — Buy

Newmont Mining — Buy (add'l)

Netapp — None — Buy

Netapp — Sold

Netflix — None — Buy

Netflix — Sold

Netflix — Buy

News Corp — None — Buy

News Corp — Sold

Nextera Energy — Dividend — Buy

Nextera Energy — Sold (part)

Nextera Energy — Buy (add'l)

Nielson Hldgs PLC — None — Buy

Nielson Hldgs PLC — Sold

Nike — None — Buy

Nike — Sold

Nisource — None — Buy

Nisource — Sold

Noble Energy — None — Buy

Noble Energy — Sold

Nordstrom — Dividend — Buy

Norfolk Southern — None — Buy

Norfolk Southern — Sold

Northern Tr. — None — Buy

Northern Tr. — Sold

Northrup Grumman — None — Buy

Northrup Grumman — Sold

NortonLifelock — Distribution — Buy

Norwegian Cruise Line Hldgs — None — Buy

NRG Energy — Dividend — Buy

NRG Energy — Buy (add'l)

Nucor — None — Buy

Nucor — Sold

Nvidia — Dividend — Buy

Nvidia — Buy (add'l)

Occidental Pete — None — Buy

Occidental Pete — Buy (add'l)

Occidental Pete — Sold

Omnicom Grp — None — Buy

Omnicom Grp — Sold

Oneok — Dividend — Buy

Oneok — Buy (add'l)

Oracle — Dividend — Buy

Oracle — Buy (add'l)

Paccar — Dividend — Buy

Packaging Corp Amer — Dividend — Buy

Paychex — Dividend — Buy

Paypal Hldgs. — Dividend — Buy

Paypal Hldgs. — Buy (add'l)

Paypal Hldgs. — Sold (part)

Paypal Hldgs. — Buy (add'l)

Paypal Hldgs. — Sold (part)

Parker Hannifin — Dividend — Buy

Peoples Utd Finl — Dividend — Buy

Pepsico — Dividend — Buy

Pepsico — Buy (add'l)

Pepsico — Sold (part)

Perkinelmer — Dividend — Buy

Perrigo — None — Buy

Perrigo — Sold

Pfizer — Dividend — Buy

Pfizer — Buy (add'l)

Philip Morris — Dividend — Buy

Philip Morris — Sold

Philip Morris — Buy

Phillips 66 — Dividend — Buy

Phillips 66 — Buy (add'l)

Pioneer Nat Res — Dividend — Buy

PNC Finl Sys Grp — Dividend — Buy

PNC Finl Sys Grp — Buy (add'l)

PPG Inds — Dividend — Buy

PPL — Dividend — Buy

PPL — Buy (add'l)

Price T Rowe — Dividend — Buy

Price T Rowe — Buy (add'l)

Principal Finl Grp — None — Buy

Principal Finl Grp — Sold

Procter & Gamble — Dividend — Buy

Procter & Gamble — Buy (add'l)

Progressive — Dividend — Buy

Progressive — Sold

Progressive — Buy

Prologis — Dividend — Buy

Prologis — Buy (add'l)

Prudential Finl Grp — Dividend — Buy

Prudential Finl Grp — Buy (add'l)

Public Svc Ent. Grp — Dividend — Buy

Public Svc Ent. Grp — Buy (add'l)

Public Svc Ent. Grp — Sold (part)

Public Storage — None — Buy

Public Storage — Sold

PulteGroup — Dividend — Buy

Qualcom — Dividend — Buy

Qualcom — Buy (add'l)

Quest Diagnostics — None — Buy

Quest Diagnostics — Sold

Raymond James Finl — Dividend — Buy

Raytheon — Dividend — Buy (add'l)

Raytheon — Sold (part)

Raytheon — Buy (add'l)

Realty Income — Dividend — Buy

Realty Income — Buy (add'l)

Realty Income — Sold (part)

Regeneron Pharmaceuticals — Dividend — Buy (add'l)

Regions Finl Corp — Dividend — Buy

Regions Finl Corp — Buy (add'l)

Repulblic Svcs — None — Buy

Repulblic Svcs — Sold

Resmed — Dividend — Buy

Robert Half Intl — Dividend — Buy

Rockwell Automation — Dividend — Buy

Rollins — None — Buy

Rollins — Sold

Roper Technologies — Dividend — Buy

Ross Stores — Dividend — Buy

S & P Global — Dividend — Buy

S & P Global — Sold

Salesforce Com. Inc. — None — Sold (part)

Salesforce Com. Inc. — Buy (add'l)

SBA Communications — None — Buy

SBA Communications — Sold

Schein Henry — None — Buy

Schlumberger Ltd. — Dividend — Buy

Schlumberger Ltd. — Sold

Schlumberger Ltd. — Buy

Schwab Charles — Dividend — Sold (part)

Schwab Charles — Sold (part)

Schwab Charles — Buy (add'l)

Schwab Charles — Sold

Schwab Charles — Buy

Seagate Tech — None — Buy

Seagate Tech — Sold

Sealed Air — None — Buy

Sealed Air — Sold

Sempra Energy — Dividend — Buy

Sherwin Williams — Dividend — Buy

Simon Pprty Grp — Dividend — Buy

Simon Pprty Grp — Sold

Simon Pprty Grp — Buy

Skyworks Solutions — Dividend — Buy

SL Green Rlty — Dividend — Buy

Smith A O — Dividend — Buy

Smucker — Dividend — Buy

Sourthern — Dividend — Buy

Southwest Airls — Dividend — Buy

Southwest Airls — Buy (add'l)

SPDR S&P Dividend ETF — Int./Div.

SPDR S&P 500 ETF — Int./Div. — Open

Square — None — Buy

Square — Sold

Stanely Black & Decker — Dividend — Buy

Starbucks — Dividend — Sold (part)

Starbucks — Buy (add'l)

Starbucks — Sold (part)

Starbucks — Buy (add'l)

State Str Corp — Dividend — Buy

State Str Corp — Buy (add'l)

Stryker — None — Buy

Stryker — Sold

Suntrust Bks — None — Buy

Suntrust Bks — Sold

Symantic — None — Buy

Symantic — Sold

Synchrony Finl — None — Buy

Synchrony Finl — Buy (add'l)

Synchrony Finl — Sold

Synopsys — None — Buy

Synopsys — Sold

Sysco — Dividend — Buy

Sysco — Buy (add'l)

Take-Two Interactive Software — None — Buy

Tapestry — Dividend — Buy

Tapestry — Sold

Target — Dividend — Buy

Target — Buy (add'l)

TechniPFMC PlC — Buy

TechniPFMC PlC — Sold

TE Connectivity — Dividend — Buy

TE Connectivity — Buy (add'l)

Texas Instr. — Dividend — Buy

Texas Instr. — Buy (add'l)

Texas Instr. — Sold (part)

Textron — Dividend — Buy

Thermo Fisher Scientific — Dividend — Buy

Thermo Fisher Scientific — Buy (add'l)

Tiffany & Co — Dividend — Buy

TJX Cos. — Dividend — Sold (part)

TJX Cos. — Buy

TJX Cos. — Buy (add'l)

T-Mobile — None — Buy

Tractor Supply Co. — Dividend — Buy

Travellers — None — Buy

Travellers — Sold

TripAdvisor — Dividend — Buy

TripAdvisor — Sold (part)

Truist Finl Corp — Dividend — Buy

Twitter — None — Buy

Twitter — Buy (add'l)

Twitter — Sold

Tyson Foods — Dividend — Buy

Tyson Foods — Sold

Tyson Foods — Buy

UDR — Dividend — Buy

UDR — Buy (add'l)

Under Armour Cl A — None — Buy

Under Armour Cl A — Sold

Under Armour Cl C — None — Buy

Under Armour Cl C — Sold

Union Pacific — Dividend — Buy (add'l)

Union Pacific — Sold (part)

Union Pacific — Buy (add'l)

United Airlines Hldgs — None — Buy

United Parcel Cl B — Dividend — Sold (part)

United Parcel Cl B — Buy (add'l)

UnitedHealth Grp. — Dividend — Buy

UnitedHealth Grp. — Sold

UnitedHealth Grp. — Buy

UnitedHealth Grp. — Buy (add'l)

United Rentals — None — Buy

United Technologies — Dividend — Buy

Universal Health Sys — Dividend — Buy

Unum Grp — Dividend — Buy

US Bancorp — Dividend — Buy

US Bancorp — Buy (add'l)

Valero Energy — Dividend — Buy

Valero Energy — Buy (add'l)

Vanguard Large-Cap ETF — Int./Div.

Vanguard S&P 500 ETF — Int./Div. — Buy

Ventas — Dividend — Buy

Ventas — Sold

Varian Med Sys — None — Buy

Verisign — None — Buy

Verisk Analytics — None — Buy

Verisk Analytics — Sold

Verizon Com. — Dividend — Buy (add'l)

Verizon Com. — Open

Verizon Com. — Sold (part)

Verizon Com. — Buy (add'l)

Vertex Pharmaceuiticals — None — Buy (add'l)

Vertex Pharmaceuiticals — Buy (add'l)

Vertex Pharmaceuiticals — Sold (part)

V F Corp. — Dividend — Buy

V F Corp. — Buy (add'l)

Viacom Cl B — Dividend — Buy

Viacom Cl B — Sold

Viacom Cl B — Buy

Visa — Dividend — Buy

Visa — Sold (part)

Visa — Buy (add'l)

Vulcan Metals — None — Buy

Vulcan Metals — Sold

Wabtec — Dividend — Buy

Walgreens Boots Alliance — Dividend — Buy

Walgreens Boots Alliance — Buy (add'l)

Walmart — Dividend — Buy

Walmart — Buy (add'l)

Waste Mgmt — Dividend — Buy

Waste Mgmt — Sold

Waste Mgmt — Buy

Waters Corp — None — Buy

WEC Energy Grp — Dividend — Buy

WEC Energy Grp — Buy (add'l)

Wellcare Grp — None — Buy

Wells Fargo & Co. New Com — Dividend — Buy

Wells Fargo & Co. New Com — Buy (add'l)

Welltower — None — Buy

Welltower — Buy (add'l)

Welltower — Sold

Western Digital — None — Buy

Western Digital — Sold

Western Union — Dividend — Buy

Westrock — None — Buy

Westrock — Sold

Weyerhaeuser — Dividend — Buy

Weyerhaeuser — Buy (add'l)

Whirlpool — None — Buy

Whirlpool — Sold

Williams Cos. — None — Buy

Williams Cos. — Buy (add'l)

Williams Cos. — Sold

Willis Towers Watson — Dividend — Buy

Wynn Resorts — Dividend — Buy

Xcel Energy — Dividend — Buy

Xcel Energy — Buy (add'l)

Xcel Energy — Sold (part)

Xerox Hldgs — None — Buy

Xerox Hldgs — Sold

Xilinx — None — Buy

Xilinx — Sold

Xylem — None — Buy

Xylem — Sold

Yum Brands — None — Buy

Yum Brands — Buy (add'l)

Yum Brands — Sold

Zimmer Biomet Hldgs — None — Buy

Zimmer Biomet Hldgs — Sold

Zions Bancorporation — Dividend — Buy

Zoetis Inc. — Dividend — Sold (part)

Zoetis Inc. — Buy (add'l)

3M — Distribution — Buy

3M — Buy (add'l)

Agilent Technologies — Dividend — Sold (part)

Agilent Technologies — Buy (add'l)

Albemarle Corp. — Dividend — Buy

. — Sold (part)

. — Sold

. — Buy

. — Sold

Amphenol — Dividend — Sold (part)

Amphenol — Buy (add'l)

Booz Allen Hamilton Hldg. — Dividend — Buy

Booz Allen Hamilton Hldg. — Buy (add'l)

Church & Dwight — Dividend — Sold (part)

Church & Dwight — Buy (add'l)

Church & Dwight — Sold (part)

Church & Dwight — Buy (add'l)

Cimarex Energy — Dividend — Buy

Cimarex Energy — Sold (part)

Cimarex Energy — Sold

Cimarex Energy — Buy

Hasbro — None — Buy

Hasbro — Sold

Hasbro — Buy

Hasbro — Sold

Hunt JB Trans. — Dividend — Sold (part)

Hunt JB Trans. — Sold

Hunt JB Trans. — Buy

Idex Corp. — Dividend — Buy

Jacobs Engr Grp — Dividend — Sold (part)

Leidos Hldgs — Dividend — Sold (part)

Leidos Hldgs — Buy (add'l)

Sm Energy — None — Buy

Sm Energy — Sold (part)

Sm Energy — Sold

Teladoc — None — Sold (part)

Teladoc — Sold (part)

Vanguard Mid-Cap ETF — Int./Div.

Wabco Hldgs — Dividend — Sold

Wabtec — None — Open

Wabtec — Sold

Advansix — None — Open

Advansix — Sold

Garrett Motion — None — Open

Garrett Motion — Sold

Residio Technologies — None — Open

Residio Technologies — Sold

Accenture PLC Cl A — Dividend — Sold (part)

Accenture PLC Cl A — Buy (add'l)

Anheuser Busch Inbev — Dividend — Buy (add'l)

Anheuser Busch Inbev — Sold

Asahi Grp — None — Buy (add'l)

Asahi Grp — Sold

BP PLC — Dividend — Buy

BP PLC — Buy (add'l)

BP PLC — Sold

Core Labs — None — Buy

Core Labs — Sold (part)

Core Labs — Sold

Danone — None — Buy (add'l)

Danone — Sold

Dassault Systemes — None — Sold (part)

Dassault Systemes — Sold

DBS Group Hldgs — None — Buy (add'l)

DBS Group Hldgs — Buy (add'l)

DBS Group Hldgs — Sold (part)

Diageo ADR — None — Sold

Fanuc Corp. — Buy (add'l)

Fanuc Corp. — Sold

Ingersoll-Rand Ireland — Dividend — Buy (add'l)

Ingersoll-Rand Ireland — Buy (add'l)

Ingersoll-Rand Ireland — Sold (part)

Keyence Corp. — None — Sold (part)

Keyence Corp. — Sold

LVMH Moet ADR — Dividend — Buy

LVMH Moet ADR — Sold

LyondellBasell — Dividend — Sold (part)

LyondellBasell — Buy (add'l)

Nidec Corp. — None — Sold

Novozymes — None — Sold

Onex — None — Sold

Roche Hldgs — None — Sold

Softbank — None — Sold (part)

Softbank — Sold

Vanguard Total World Stock Index — None — Sold

Alibaba ADS — None — Sold (part)

Alibaba ADS — Sold (part)

China Communications Const. Co. Ltd. — None — Buy (add'l)

China Communications Const. Co. Ltd. — Sold (part)

China Communications Const. Co. Ltd. — Sold

Icici Bank ltd ADR — None — Sold

Tencent Hldgs — None — Sold

Col. Bond Fd. — Interest — Open

Col. Short Term Bond Fd — Interest — Open

Barclays Bk Sr. Nt. UK — Interest — Open

NY NY Go Ref BDS — Interest — Matured

North Hempstead NY Pub Impt BDS — Interest

Port Auth NY & NJ CONS BDS OID 2012 — Interest — Matured

NY St. Dorm Auth Pers BDS 2022 — Interest — Sold

Syracuse Pub Impt BDS — Interest

BofA Tax Exempt Reserves — Interest

Blackrock Liquidity Fed Fund — Interest

US Trust managed IRA Rollover Account (no control); see lines 143-204 — Int./Div.

BofA Money Market Savings — Interest

Diamond Hill Fds — Dividend — Buy

IShares S&P 100 ETF — Dividend

Col. Select Large Cap Growth Fd Cl Z — None

Natixis Loomis Sayles Growth Fd — Dividend

Oakmark Select Fd Cl 1 — None — Sold

Vanguard S&P 500 ETF — Dividend

Baird Midcap Fd Instl — None — Buy (add'l)

Baird Midcap Fd Instl — Sold (part)

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

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

Conestoga Small Cap Fd — None

IShares Russell 2000 ETF — Dividend

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

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

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

Vanguard FTSE Developed Markets ETF — Int./Div.

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

Neuberger Berman Long Short Fund — None — Sold (part)

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

IShares Core US Aggregate Bond ETF — None — Sold

Abbey Capital Futures Strategy Fd — Dividend — Sold (part)

Abbey Capital Futures Strategy Fd — Sold (part)

AQR Long-Short Equity Fd — Dividend — Buy

Blackrock Event Driven Equity Fd — Dividend — Buy

PIMCO Unconstrained Bd Fd — Dividend — Buy

Blackrock Strategic Income Opportunities — Dividend — Sold (part)

Blackrock Strategic Income Opportunities — Sold (part)

Boston Parners Long Short Res Fd — None — Sold (part)

Boston Parners Long Short Res Fd — Sold

Legg Mason BW Absolute Return Opp. Fd — None — Sold

The Merger Fd — None — Sold (part)

The Merger Fd — Sold

Credit Suisse Commodity-Return Fd — Dividend — Sold (part)

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

CMG Ultra Short Term Bond Fd — Interest

Fifth Third Bancorp common — Int./Div.

US Trust IRA (no control); see lines 207-215 — Int./Div.

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

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 — Int./Div. — Distributed

BofA money market sav. account — Interest — Distributed (part)

BofA money market sav. account — Closed

AT&T Inc. — Dividend — Distributed

Cigna Corp. — Dividend — Distributed

Express Scripts Hldg — None — Merged (with line 1115)

Exxon Mobil — Dividend — Distributed

General Elec — Dividend — Distributed

Honeywell Intl — Dividend — Distributed

SPDR S&P 500 ETF — Interest — Distributed

Verizon Comm. — Dividend — Distributed

Advansix Inc. — None — Distributed

Garrett Motion — None — Distributed

Residio Technologies — None — Distributed

Wabtec Corp. — Dividend — Spinoff (from line 1118)

Wabtec Corp. — Distributed

Wal-Mart Sr. Unsecd NT — Interest — Matured

Col. Bond Fund Instl 3 — Interest — Distributed

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

Barclays BK Sr. NT UK — None — Distributed

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

US Trust core checking account 1 — None

US Trust Core checking account 2 — None

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

Board Member, National Conference of Bankruptcy Judges

Adjunct Professor, Pace University School of Law

Chair, Judicial Insolvency Network

Trustee (See Investments and Trusts line 1111 and Part VIII)

Reimbursement — American Bankruptcy Institute — 4/10 - 4/13 — Washington, D.C. — Speaker at bankruptcy education conference; board meeting — transportation, lodging, food

Reimbursement — Practicing Law Institute — 4/22 — New York, NY — Speaker at bankruptcy education seminar — transportation, food

Reimbursement — Hudson Valley Bankruptcy Bar Association — 5/31 — Poughkeepsie, NY — Speaker at mediation training seminar — transportation, food

Reimbursement — Association of the Bar of the City of New York — 6/20 — New York, NY — Speaker on bankruptcy topic — transportation, food

Reimbursement — Hudson Valley Bankruptcy Bar Association — 9/5 - 9/6 — Poughkeepsie, NY — Sepaker at bankruptcy education conference — transporation, lodging, food

Reimbursement — American Bankruptcy Institute — 9/19 - 9/20 — Washington, D.C. — Speaker at bankruptcy views from the bench program — transportation, lodging, food

Reimbursement — Capital Region Bankruptcy Far Assn and The Central New York Bankruptcy Bar Assn — 10/25 -10/26 — Cooperstown, NY — Speaker at bankruptcy education conference — transportation, lodging, food

Reimbursement — American Bankruptcy Institute — 10/30 - 11/2 — Washington, D.C. — Speaker at bankruptcy education conferences; board meeting — transportation, lodging, food

Reimbursement — Federal Bar Council — 11/3 — New Paltz, NY — Speaker on bankrkuptcy topic — transportation, food

Reimbursement — American Bankruptcy Institute — 11/7 — New York, NY — Speaker at bankruptcy education seminar — transportation, food

Reimbursement — Association of Insolvency and Restructuring Advisors — 11/18 — New York, NY — Speaker at bankruptcy education conference — transportation, food

Reimbursement — American Bankruptcy Institute — 12/5 -12/7 — Los Angeles, CA — Speaker at bankruptcy education conference; board meeting — transportation, food, lodging

Income — Jan-Apr. — Pace Law School -- teaching — $10,000.00

Part VII. Investments and Trusts, line 3: account transferred to lines 370 and 1058.

Part VII. Investments and Trusts, lines 5, 1058, 1100 and 1111 are managed investment accounts that contain the investments that follow them.

Part VII. Investments and Trusts, line 1110. This account comprised the trust of which I am trustee (see Part I, line 5). The trust assets were distributed on

6/25/19.

Part VII. Investments and Trusts, lines 96, 200, 355 403, 451, 786, 876, 987, 989, 991, 993, 1048, 1049, and 1050 reflect distribution/transfer from lines 1113,

1114, 1116, 1117, 1118, 1119, 1120, 1124, 1121, 1122, 1123, 1127, 1128, and 1129.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.