Sarah L. Cave

Individual Assets (H)

Edward Jones (cash) — Int./Div.

Citibank (cash) — Interest

Citizens Bank (cash) (X) — None

Hartford Single Life Variable Rate Universal Life Insurance — None

Jackson National Life Insurance Variable Rate Fixed Annuity #1 — None

Jackson National Life Insurance Variable Rate Fixed Annuity #2 — None

Account #1 (H)

Edward Jones Retirement Money Market (cash) — Dividend — Buy

Global X Funds (MLPX) — Dividend — Buy

Global X Funds (MLPX) — Buy (add'l)

Global X Funds (MLPX) — Sold (part)

Alps Alerian Mlp ETF (AMLP) — Dividend — Sold

Invesco Actively Managed Active U.S. Real Estate Fd (PSR) — Dividend — Buy (add'l)

Invesco Actively Managed Active U.S. Real Estate Fd (PSR) — Buy (add'l)

Invesco Actively Managed Active U.S. Real Estate Fd (PSR) — Buy (add'l)

Invesco Exchange-Traded Fd Tr II Preferred (PGX) — Dividend — Buy

Invesco Exchange-Traded Fd Tr II Preferred (PGX) — Buy (add'l)

Invesco Exchange-Traded Fd Tr II Preferred (PGX) — Buy (add'l)

Invesco Exchange-Traded Fd Tr II Preferred (PGX) — Buy (add'l)

Wisdomtree Emerging Markets High Dividend Fd ETF (DEM) — Dividend — Buy (add'l)

Wisdomtree Emerging Markets High Dividend Fd ETF (DEM) — Buy (add'l)

Wisdomtree Emerging Markets High Dividend Fd ETF (DEM) — Sold (part)

Wisdomtree Tr Global Ex-US Real Estate Fund (DRW) — Dividend — Buy (add'l)

Wisdomtree Tr Global Ex-US Real Estate Fund (DRW) — Buy (add'l)

Wisdomtree Tr Global Ex-US Real Estate Fund (DRW) — Buy (add'l)

Wisdomtree Tr Global Ex-US Real Estate Fund (DRW) — Buy (add'l)

Wisdomtree Trust Emerging Markets Small Cap (DGS) — None — Sold

Blackrock Global Dividend Cl K (BKBDX) — Dividend — Buy (add'l)

Blackrock Global Dividend Cl K (BKBDX) — Sold (part)

Calvert Emerging Markets Equity Cl I (CVMIX) — Dividend — Buy

Calvert Emerging Markets Equity Cl I (CVMIX) — Sold (part)

Calvert Emerging Markets Equity Cl I (CVMIX) — Sold (part)

Champlain Mid Cap Cl I (CIPIX) — Dividend — Buy (add'l)

Champlain Mid Cap Cl I (CIPIX) — Buy (add'l)

Champlain Mid Cap Cl I (CIPIX) — Sold (part)

Champlain Mid Cap Cl I (CIPIX) — Sold (part)

Columbia Balanced Cl I3 (CBDYX) — Dividend — Buy (add'l)

Columbia Balanced Cl I3 (CBDYX) — Sold (part)

Columbia Balanced Cl I3 (CBDYX) — Buy (add'l)

Columbia Strategic Income Cl I3 (CPHUX) — Dividend — Buy (add'l)

Columbia Strategic Income Cl I3 (CPHUX) — Sold (part)

Columbia Strategic Income Cl I3 (CPHUX) — Sold (part)

Columbia Strategic Income Cl I3 (CPHUX) — Sold

Edgewood Growth Cl I (EGFIX) — Dividend — Buy (add'l)

Edgewood Growth Cl I (EGFIX) — Sold (part)

Edgewood Growth Cl I (EGFIX) — Sold (part)

Edgewood Growth Cl I (EGFIX) — Sold (part)

Invesco Oppenheimer International Small- Mid Company Cl R6 (OSCIX) — Dividend — Buy (add'l)

Invesco Oppenheimer International Small- Mid Company Cl R6 (OSCIX) — Sold (part)

Invesco Oppenheimer International Small- Mid Company Cl R6 (OSCIX) — Sold (part)

Invesco Oppenheimer Senior Floating Rate Cl R6 (OOSIX) — Dividend — Buy (add'l)

Invesco Oppenheimer Senior Floating Rate Cl R6 (OOSIX) — Sold

John Hancock Bond Cl R6 (JHBSX) — Dividend — Buy (add'l)

John Hancock Bond Cl R6 (JHBSX) — Buy (add'l)

John Hancock Bond Cl R6 (JHBSX) — Sold (part)

John Hancock Bond Cl R6 (JHBSX) — Sold (part)

John Hancock Bond Cl R6 (JHBSX) — Buy (add'l)

John Hancock Disciplined Value Cl R6 (JDVWX) — Dividend — Buy

John Hancock Disciplined Value Cl R6 (JDVWX) — Buy (add'l)

John Hancock Strategic Income Opportunities Cl R6 (JIPRX) — Dividend — Sold

JPMorgan Mid Cap Value R6 (JMVYX) — Dividend — Buy (add'l)

JPMorgan Mid Cap Value R6 (JMVYX) — Buy (add'l)

JPMorgan Mid Cap Value R6 (JMVYX) — Sold (part)

JPMorgan Mid Cap Value R6 (JMVYX) — Buy (add'l)

MFS Emerging Markets Debt Local Cl R6 (EMLNX) — Dividend — Buy

MFS Emerging Markets Debt Local Cl R6 (EMLNX) — Buy (add'l)

MFS Emerging Markets Debt Local Cl R6 (EMLNX) — Buy (add'l)

MFS International Growth Cl R6 (MGRDX) — Dividend — Buy (add'l)

MFS International Growth Cl R6 (MGRDX) — Sold (part)

MFS International Growth Cl R6 (MGRDX) — Sold (part)

Neuberger Berman Genesis Cl I (NBGIX) — Dividend — Buy (add'l)

Neuberger Berman Genesis Cl I (NBGIX) — Buy (add'l)

Neuberger Berman Genesis Cl I (NBGIX) — Sold (part)

Neuberger Berman Genesis Cl I (NBGIX) — Sold (part)

PGIM Short Duration High Yield Income Cl R6 (HYSQX) — Dividend — Buy

PGIM Short Duration High Yield Income Cl R6 (HYSQX) — Buy (add'l)

PGIM Total Return Bond Cl R6 (PTRQX) — Dividend — Buy (add'l)

PGIM Total Return Bond Cl R6 (PTRQX) — Sold (part)

PGIM Total Return Bond Cl R6 (PTRQX) — Buy (add'l)

PGIM Total Return Bond Cl R6 (PTRQX) — Buy (add'l)

T Rowe Price Dividend Growth Cl I (PDGIX) — Dividend — Buy (add'l)

T Rowe Price Dividend Growth Cl I (PDGIX) — Sold (part)

T Rowe Price Dividend Growth Cl I (PDGIX) — Sold (part)

Victory Sycamore Small Company Opportunity Cl R6 (VSORX) — Dividend — Buy (add'l)

Victory Sycamore Small Company Opportunity Cl R6 (VSORX) — Buy (add'l)

Victory Sycamore Small Company Opportunity Cl R6 (VSORX) — Sold (part)

Account #2 (H)

IShares Core S&P U.S. Value ETF (IUSV) — Dividend

IShares Tr MSCI EAFE Growth Fd (EFG) (Y)

American New Perspective Cl F3 (FNPFX) — Dividend

Hartford Midcap Cl F (HMDFX) — Dividend — Buy

JPMorgan Emerging Markets Equity Cl R6 (JEMWX) — Dividend — Buy

JPMorgan Small Cap Blend Cl R6 (JSCHX) (X) — Dividend

Invesco Corporate Bond Cl R6 (ICBFX) — Dividend — Sold

Invesco Dividend Income Cl R6 (IFUTX) — Dividend — Sold

Lord Abbett High Yield Cl F3 (LHYOX) — Dividend

MFS Corporate Bond Cl R6 (MFBKX) — Dividend

MFS Income Cl R6 (MFIWX) — Dividend — Buy

MFS International Diversification Cl R6 (MDIZX) — Dividend

MFS Value Cl R6 (MEIKX) — Dividend — Buy

T Rowe Price Dividend & Growth Cl I (PDGIX) — Dividend — Buy

Account #3 (H)

First Trust Preferred Securities & Income ETF (FPE) — Dividend

Global X Funds (MLPA) — Dividend — Buy (add'l)

Invesco ETF S&P Small Cap Low Volatility (XSLV) — Dividend — Sold

SPDR Index Shs Funds DJ Wilshire Global (RWO) — Dividend

SPDR Ser Tr S&P Dividend ETF (SDY) — Dividend — Buy

SPDR Ser Tr Reit ETF (RWR) — Dividend

American New Perspective Cl F3 (FNPFX) — Dividend

Blackrock Advantage Small Cap Growth Cl K (PSGKX) — Dividend — Buy

Calvert Emerging Markets Equity Cl I (CVMIX) — Dividend

Hartford Balanced Income Cl F (HBLFX) — Dividend

Eaton Vance Atlanta Capital SMID Cap Cl I (EISMX) — None — Sold

Franklin Convertible Securities Cl R6 (FCSKX) — Dividend — Sold

Invesco Oppenheimer Global Opportunities Cl I (OGIIX) — Dividend

Jensen Quality Growth Cl Y (JENYX) — Dividend

John Hancock Disciplined Value Cl R6 (JDVWX) — Dividend

John Hancock Income Cl R6 (JSNWX) — Dividend

JPMorgan Market Expansion Enhanced Index R6 (OMYGX) — None — Sold

JPMorgan Mid Cap Value Cl R6 (JMVYX) — Dividend — Buy

Lord Abbett High Yield Cl F3 (LHYOX) — Dividend — Buy

MFS Emerging Markets Debt Local Cl R6 (EMLNX) — Dividend

MFS International Diversification Cl R6 (MDIZX) — Dividend

MFS Mid Cap Growth Cl R6 (OTCKX) — Dividend — Buy

PGIM Global Total Return Cl R6 (PGTQX) — Dividend — Sold (part)

PGIM Global Total Return Cl R6 (PGTQX) — Buy (add'l)

PGIM Total Return Bond Cl R6 (PTRQX) — Dividend — Buy (add'l)

Victory Sycamore Small Company Opportunity Cl R6 (VSORX) — Dividend

Account #4 (H)

American New Perspective Cl F3 (FNPFX) (X) — Dividend

IShares Core S&P U.S. Value ETF (IUSV) (Y)

Hartford Core Equity Cl F (HGIFX) — Dividend

Invesco Dividend Income Cl R6 (IFUTX) (X) — Dividend

JPMorgan Emerging Markets Equity Cl R6 (JEMWX) (X) — Dividend

JPMorgan Mid Cap Equity Cl R6 (JPPEX) (X) — Dividend

MFS International Diversification Cl R6 (MDIZX) (X) — Dividend

T Rowe Price Blue Chip Growth Cl I (TBCIX) (X) — Dividend

Account #5 (H)

Wells Fargo Dodge & Cox Intermediate Bd CIT F — None — Sold

American Century in Retirement I — None — Sold

American Century Retirement Date 2025 I — None — Sold

JPMorgan Mid Cap Growth R6 — None — Sold

JPMorgan Mid Cap Value L — None — Sold

T Rowe Price Small-Cap Stock I — None — Sold

Wells Fargo MFS Value CIT F — None — Sold

American Funds Europacific Growth R6 — None — Sold

Account #6 (H)

TIAA Traditional — Dividend

CREF Stock R1 — None

TIAA Real Estate — None

T-C Lifecycle Index 2035-Inst (X) — Dividend

Account #7 (H)

Edward Jones Money Market (cash) — Dividend — Buy

Invesco Actively Managed Active US Real Estate Fund (PSR) — Dividend — Buy

Invesco Actively Managed Active US Real Estate Fund (PSR) — Buy (add'l)

Invesco ETF S&P Midcap Low Volatility (XMLV) — Dividend — Sold

Invesco ETF Kbw Prem Yield Equity Reit (KBWY) — Dividend — Sold

IShares Core MSCI Emerging Markets ETF (IEMG) — Dividend — Buy

IShares Global Reit ETF (REET) — Dividend — Buy (add'l)

IShares Global Reit ETF (REET) — Buy (add'l)

IShares Edge MSCI USA Momentum Factor ETF (MTUM) — Dividend — Buy

IShares Tr Edge MSCI Minimum Volatility EAFE ETF (EFAV) — None — Sold (part)

IShares Tr Edge MSCI Minimum Volatility EAFE ETF (EFAV) — Sold

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

Vanguard FTSE Emerging Markets ETF (VWO) — Sold

Wisdomtree US Small Cap Quality Dividend Growth Fund (DGRS) — Dividend — Buy (add'l)

Wisdomtree US Midcap Dividend ETF (DON) — Dividend — Buy (add'l)

Wisdomtree US Midcap Dividend ETF (DON) — Buy (add'l)

American New Perspective Cl F3 (FNPFX) — Dividend — Sold (part)

American New Perspective Cl F3 (FNPFX) — Sold (part)

Blackrock High Yield Municipal Cl K (MKYHX) — Dividend — Sold

Blackrock Multi Asset Income Cl K (BKMIX) — Dividend — Sold (part)

Blackrock NY Municipal Opportunities Cl K (MKNKX) — Dividend — Buy (add'l)

Blackrock NY Municipal Opportunities Cl K (MKNKX) — Buy (add'l)

Blackrock NY Municipal Opportunities Cl K (MKNKX) — Sold (part)

Blackrock NY Municipal Opportunities Cl K (MKNKX) — Buy (add'l)

Calvert Emerging Markets Eq Cl I (CVMIX) — Dividend — Buy (add'l)

Columbia Contrarian Core Cl I3 (COFYX) — Dividend — Sold (part)

Columbia Contrarian Core Cl I3 (COFYX) — Sold (part)

Columbia Strategic Municipal Income Cl I3 (CATYX) — Dividend — Buy (add'l)

Columbia Strategic Municipal Income Cl I3 (CATYX) — Sold (part)

Invesco Limited Term Municipal Income Cl R6 (ATFSX) — Dividend — Sold

Invesco High Yield Municipal Cl R6 (ACTSX) — Dividend — Buy

Invesco High Yield Municipal Cl R6 (ACTSX) — Buy (add'l)

Invesco High Yield Municipal Cl R6 (ACTSX) — Buy (add'l)

Invesco Oppenheimer Discovery Mid Cap Growth Cl R6 (OEGIX) — Dividend — Buy

Invesco Oppenheimer Discovery Mid Cap Growth Cl R6 (OEGIX) — Sold (part)

Lord Abbett National Tax Free Cl F3 (LONSX) — Dividend — Sold (part)

Lord Abbett National Tax Free Cl F3 (LONSX) — Buy (add'l)

Lord Abbett National Tax Free Cl F3 (LONSX) — Buy (add'l)

Lord Abbett NY Tax Free Cl F3 (LONYX) — Dividend — Sold (part)

Lord Abbett NY Tax Free Cl F3 (LONYX) — Sold (part)

T Rowe Price Dividend Growth Cl I (PDGIX) — Dividend

T Rowe Price International Discovery Cl I (TIDDX) — Dividend — Sold (part)

T Rowe Price International Discovery Cl I (TIDDX) — Sold (part)

T Rowe Price Summit Municipal Income Cl I (PRIMX) — Dividend — Sold (part)

T Rowe Price Summit Municipal Income Cl I (PRIMX) — Buy (add'l)

Account #8 (H)

JP Morgan 529 Age-Based 15-16 Portfolio — None — Buy

JP Morgan 529 Age-Based 15-16 Portfolio — Sold (part)

JP Morgan 529 Age-Based 15-16 Portfolio — Buy (add'l)

JP Morgan 529 Age-Based 14 Portfolio A — None — Sold

JP Morgan 529 Equity Income Portfolio A — None — Buy (add'l)

JP Morgan 529 Equity Income Portfolio A — Sold (part)

JP Morgan 529 Mid Cap Value Portfolio A — None — Sold (part)

JP Morgan 529 Mid Cap Value Portfolio A — Buy (add'l)

JP Morgan 529 Growth Advantage Portfolio A — None — Buy (add'l)

JP Morgan 529 Growth Advantage Portfolio A — Sold (part)

JP Morgan 529 Small Cap Equity Portfolio A — None — Buy (add'l)

JP Morgan 529 Small Cap Equity Portfolio A — Sold (part)

JP Morgan 529 Realty Income Portfolio A — None — Buy (add'l)

JP Morgan 529 Realty Income Portfolio A — Sold (part)

SSgA 529 MSCI ACWI (ex-US) ETF Portfolio A — None — Buy (add'l)

SSgA 529 MSCI ACWI (ex-US) ETF Portfolio A — Sold (part)

JP Morgan 529 Inflation Managed Bond Portfolio A — None — Sold (part)

JP Morgan 529 Inflation Managed Bond Portfolio A — Buy (add'l)

Account #9 (H)

JP Morgan 529 Age-Based 11-12 Portfolio A — None — Buy (add'l)

JP Morgan 529 Age-Based 11-12 Portfolio A — Sold (part)

JP Morgan 529 Equity Income Portfolio A — None — Buy (add'l)

JP Morgan 529 Equity Income Portfolio A — Sold (part)

JP Morgan 529 Mid Cap Value Portfolio A — None — Buy (add'l)

JP Morgan 529 Mid Cap Value Portfolio A — Sold (part)

JP Morgan 529 Growth Advantage Portfolio A — None — Buy (add'l)

JP Morgan 529 Growth Advantage Portfolio A — Sold (part)

JP Morgan 529 Small Cap Equity Portfolio A — None — Buy (add'l)

JP Morgan 529 Small Cap Equity Portfolio A — Sold (part)

JP Morgan 529 Realty Income Portfolio A — None — Buy (add'l)

JP Morgan 529 Realty Income Portfolio A — Sold (part)

SSgA 529 MSCI ACWI (ex-US) ETF Portfolio A — None — Buy (add'l)

SSgA 529 MSCI ACWI (ex-US) ETF Portfolio A — Sold (part)

JP Morgan 529 Inflation Managed Bond Portfolio A — None — Buy (add'l)

JP Morgan 529 Inflation Managed Bond Portfolio A — Sold (part)

Diversity Officer, IBA Insolvency Section

Agreement — 2007 — Hughes Hubbard & Reed LLP Pension (no control)

Spouse's income — 2020 — Burke Neurological Institute (salary)

Spouse's income — 2020 — Invitro Cell Research (salary)

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.