Barbara Moses

2020

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What was filed

474
investments
6
positions
0
gifts
0
agreements
0
debts
0
reimbursements
0
income
6
spouse income

Named parties

New York County Lawyers Association
Self-Employed Financial Consultant

As filed

AT&T Common Stock — Dividend

Berkshire Hathaway Class A Common Stock — None

Cisco Systems Common Stock — Dividend — Sold

Citigroup Common Stock — Dividend — Sold

Cyclerion Therapeutics — None

DFA Emerging Markets Core Equity 1 — Dividend — Buy (add'l)

DFA International Core Equity I — Dividend — Buy (add'l)

DFA US Large Cap Value — Dividend — Buy (add'l)

DFA US Large Cap Value — Sold

Doubleline Core Fixed Income Mutual Fund — Dividend — Sold (part)

Doubleline Core Fixed Income Mutual Fund — Sold (part)

Goldman Sachs Muni Income Fund Mutual Fund — Dividend

Guggenheim Total Return Bond Instl — Dividend — Buy

Guggenheim Total Return Bond Instl — Sold (part)

Guggenheim Total Return Bond Instl — Buy (add'l)

Ironwood Pharmaceuticals Inc. — None — Sold (part)

iShares MSCI EAFE ETF — Dividend

JM Smuckers Company Common Stock — Dividend

Jefferies Group Inc. Common Stock — Dividend

Lowe's Companies Common Stock — None — Sold

Invesco Water Resources ETF — Dividend

Schwab Fundamental US Large Company Index — Dividend — Buy

SPDR S&P 500 ETF — Dividend — Sold (part)

SPDR S&P 500 ETF — Sold (part)

Spectrum Brands Holdings — Dividend

T. Rowe Price International Stock Mutual Fund — Dividend

Templeton Global Bond Mutual Fund — Dividend — Sold (part)

Templeton Global Bond Mutual Fund — Sold (part)

Templeton Global Bond Mutual Fund — Sold

Tootsie Roll Industries Common Stock — Dividend — Sold (part)

Vanguard Extended Market ETF — Dividend

Vanguard FTSE Developed Markets ETF — Dividend — Sold

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

Vanguard High Dividend Yield ETF — Dividend — Buy (add'l)

Vanguard Intermediate-Term Tax-Exempt Mutual Fund — Dividend

Vanguard Limited-Term Tax-Exempt Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Dividend — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Sold (part)

Vanguard Short-Term Treasury Mutual Fund — Sold

Vanguard Total Bond Market ETF — Dividend — Buy (add'l)

Vanguard Total Bond Market ETF — Sold (part)

Vanguard Total Bond Market ETF — Sold

Vanguard Total International Stock ETF — Dividend

Schwab Cash Sweep — Interest

JPMorgan Chase Bank Account — Interest

Bank of America Account — Interest

Canadian Imperial Bank of Commerce — Interest

401(k) Plan #1 (H)

Fidelity Government Money Market Fund — Dividend

PIMCO High Yield Admin Mutual Fund — Dividend

Fidelity Overseas Fund K — Dividend

MFS Mid-Cap Growth Fund Class R6 — Dividend

T. Rowe Price 2020 Mutual Fund — Dividend

401(k) Plan #2 (H)

IBM Common Stock — Dividend

Vanguard Large Company Index Fund — None

Interest Income Fund — None

NY 529 Accounts (H)

Moderate Age-Based Option: Income Portfolio — Dividend — Sold (part)

Moderate Age-Based Option: Income Portfolio — Buy (add'l)

Moderate Age-Based Option: Income Portfolio — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Dividend — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Sold

Conservative Age-Based Option: Interest Accumulation Portfolio — Dividend — Buy

Conservative Age-Based Option: Interest Accumulation Portfolio — Buy (add'l)

Conservative Age-Based Option: Interest Accumulation Portfolio — Sold (part)

Interest Accumulation Portfolio — Dividend — Sold (part)

Interest Accumulation Portfolio — Buy (add'l)

Interest Accumulation Portfolio — Sold (part)

Inflation-Protected Securities Portfolio — Dividend — Sold (part)

Inflation-Protected Securities Portfolio — Buy (add'l)

Inflation-Protected Securities Portfolio — Sold (part)

Treasury Direct | Savings Bonds — Interest

Orrick Investments 2000 LLC — None — Closed

Orrick Investments 2001 LLC — Distribution

AT&T Common Stock — Dividend

Berkshire Hathaway Class A Common Stock — None

Cisco Systems Common Stock — Dividend — Sold

Citigroup Common Stock — Dividend — Sold

Cyclerion Therapeutics — None

DFA Emerging Markets Core Equity 1 — Dividend — Buy (add'l)

DFA International Core Equity I — Dividend — Buy (add'l)

DFA US Large Cap Value — Dividend — Buy (add'l)

DFA US Large Cap Value — Sold

Doubleline Core Fixed Income Mutual Fund — Dividend — Sold (part)

Doubleline Core Fixed Income Mutual Fund — Sold (part)

Goldman Sachs Muni Income Fund Mutual Fund — Dividend

Guggenheim Total Return Bond Instl — Dividend — Buy

Guggenheim Total Return Bond Instl — Sold (part)

Guggenheim Total Return Bond Instl — Buy (add'l)

Ironwood Pharmaceuticals Inc. — None — Sold (part)

iShares MSCI EAFE ETF — Dividend

JM Smuckers Company Common Stock — Dividend

Jefferies Group Inc. Common Stock — Dividend

Lowe's Companies Common Stock — None — Sold

Invesco Water Resources ETF — Dividend

Schwab Fundamental US Large Company Index — Dividend — Buy

SPDR S&P 500 ETF — Dividend — Sold (part)

SPDR S&P 500 ETF — Sold (part)

Spectrum Brands Holdings — Dividend

T. Rowe Price International Stock Mutual Fund — Dividend

Templeton Global Bond Mutual Fund — Dividend — Sold (part)

Templeton Global Bond Mutual Fund — Sold (part)

Templeton Global Bond Mutual Fund — Sold

Tootsie Roll Industries Common Stock — Dividend — Sold (part)

Vanguard Extended Market ETF — Dividend

Vanguard FTSE Developed Markets ETF — Dividend — Sold

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

Vanguard High Dividend Yield ETF — Dividend — Buy (add'l)

Vanguard Intermediate-Term Tax-Exempt Mutual Fund — Dividend

Vanguard Limited-Term Tax-Exempt Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Dividend — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Sold (part)

Vanguard Short-Term Treasury Mutual Fund — Sold

Vanguard Total Bond Market ETF — Dividend — Buy (add'l)

Vanguard Total Bond Market ETF — Sold (part)

Vanguard Total Bond Market ETF — Sold

Vanguard Total International Stock ETF — Dividend

Schwab Cash Sweep — Interest

JPMorgan Chase Bank Account — Interest

Bank of America Account — Interest

Canadian Imperial Bank of Commerce — Interest

401(k) Plan #1 (H)

Fidelity Government Money Market Fund — Dividend

PIMCO High Yield Admin Mutual Fund — Dividend

Fidelity Overseas Fund K — Dividend

MFS Mid-Cap Growth Fund Class R6 — Dividend

T. Rowe Price 2020 Mutual Fund — Dividend

401(k) Plan #2 (H)

IBM Common Stock — Dividend

Vanguard Large Company Index Fund — None

Interest Income Fund — None

NY 529 Accounts (H)

Moderate Age-Based Option: Income Portfolio — Dividend — Sold (part)

Moderate Age-Based Option: Income Portfolio — Buy (add'l)

Moderate Age-Based Option: Income Portfolio — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Dividend — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Sold

Conservative Age-Based Option: Interest Accumulation Portfolio — Dividend — Buy

Conservative Age-Based Option: Interest Accumulation Portfolio — Buy (add'l)

Conservative Age-Based Option: Interest Accumulation Portfolio — Sold (part)

Interest Accumulation Portfolio — Dividend — Sold (part)

Interest Accumulation Portfolio — Buy (add'l)

Interest Accumulation Portfolio — Sold (part)

Inflation-Protected Securities Portfolio — Dividend — Sold (part)

Inflation-Protected Securities Portfolio — Buy (add'l)

Inflation-Protected Securities Portfolio — Sold (part)

Treasury Direct | Savings Bonds — Interest

Orrick Investments 2000 LLC — None — Closed

Orrick Investments 2001 LLC — Distribution

AT&T Common Stock — Dividend

Berkshire Hathaway Class A Common Stock — None

Cisco Systems Common Stock — Dividend — Sold

Citigroup Common Stock — Dividend — Sold

Cyclerion Therapeutics — None

DFA Emerging Markets Core Equity 1 — Dividend — Buy (add'l)

DFA International Core Equity I — Dividend — Buy (add'l)

DFA US Large Cap Value — Dividend — Buy (add'l)

DFA US Large Cap Value — Sold

Doubleline Core Fixed Income Mutual Fund — Dividend — Sold (part)

Doubleline Core Fixed Income Mutual Fund — Sold (part)

Goldman Sachs Muni Income Fund Mutual Fund — Dividend

Guggenheim Total Return Bond Instl — Dividend — Buy

Guggenheim Total Return Bond Instl — Sold (part)

Guggenheim Total Return Bond Instl — Buy (add'l)

Ironwood Pharmaceuticals Inc. — None — Sold (part)

iShares MSCI EAFE ETF — Dividend

JM Smuckers Company Common Stock — Dividend

Jefferies Group Inc. Common Stock — Dividend

Lowe's Companies Common Stock — None — Sold

Invesco Water Resources ETF — Dividend

Schwab Fundamental US Large Company Index — Dividend — Buy

SPDR S&P 500 ETF — Dividend — Sold (part)

SPDR S&P 500 ETF — Sold (part)

Spectrum Brands Holdings — Dividend

T. Rowe Price International Stock Mutual Fund — Dividend

Templeton Global Bond Mutual Fund — Dividend — Sold (part)

Templeton Global Bond Mutual Fund — Sold (part)

Templeton Global Bond Mutual Fund — Sold

Tootsie Roll Industries Common Stock — Dividend — Sold (part)

Vanguard Extended Market ETF — Dividend

Vanguard FTSE Developed Markets ETF — Dividend — Sold

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

Vanguard High Dividend Yield ETF — Dividend — Buy (add'l)

Vanguard Intermediate-Term Tax-Exempt Mutual Fund — Dividend

Vanguard Limited-Term Tax-Exempt Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Dividend — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Sold (part)

Vanguard Short-Term Treasury Mutual Fund — Sold

Vanguard Total Bond Market ETF — Dividend — Buy (add'l)

Vanguard Total Bond Market ETF — Sold (part)

Vanguard Total Bond Market ETF — Sold

Vanguard Total International Stock ETF — Dividend

Schwab Cash Sweep — Interest

JPMorgan Chase Bank Account — Interest

Bank of America Account — Interest

Canadian Imperial Bank of Commerce — Interest

401(k) Plan #1 (H)

Fidelity Government Money Market Fund — Dividend

PIMCO High Yield Admin Mutual Fund — Dividend

Fidelity Overseas Fund K — Dividend

MFS Mid-Cap Growth Fund Class R6 — Dividend

T. Rowe Price 2020 Mutual Fund — Dividend

401(k) Plan #2 (H)

IBM Common Stock — Dividend

Vanguard Large Company Index Fund — None

Interest Income Fund — None

NY 529 Accounts (H)

Moderate Age-Based Option: Income Portfolio — Dividend — Sold (part)

Moderate Age-Based Option: Income Portfolio — Buy (add'l)

Moderate Age-Based Option: Income Portfolio — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Dividend — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Sold

Conservative Age-Based Option: Interest Accumulation Portfolio — Dividend — Buy

Conservative Age-Based Option: Interest Accumulation Portfolio — Buy (add'l)

Conservative Age-Based Option: Interest Accumulation Portfolio — Sold (part)

Interest Accumulation Portfolio — Dividend — Sold (part)

Interest Accumulation Portfolio — Buy (add'l)

Interest Accumulation Portfolio — Sold (part)

Inflation-Protected Securities Portfolio — Dividend — Sold (part)

Inflation-Protected Securities Portfolio — Buy (add'l)

Inflation-Protected Securities Portfolio — Sold (part)

Treasury Direct | Savings Bonds — Interest

Orrick Investments 2000 LLC — None — Closed

Orrick Investments 2001 LLC — Distribution

AT&T Common Stock — Dividend

Berkshire Hathaway Class A Common Stock — None

Cisco Systems Common Stock — Dividend — Sold

Citigroup Common Stock — Dividend — Sold

Cyclerion Therapeutics — None

DFA Emerging Markets Core Equity 1 — Dividend — Buy (add'l)

DFA International Core Equity I — Dividend — Buy (add'l)

DFA US Large Cap Value — Dividend — Buy (add'l)

DFA US Large Cap Value — Sold

Doubleline Core Fixed Income Mutual Fund — Dividend — Sold (part)

Doubleline Core Fixed Income Mutual Fund — Sold (part)

Goldman Sachs Muni Income Fund Mutual Fund — Dividend

Guggenheim Total Return Bond Instl — Dividend — Buy

Guggenheim Total Return Bond Instl — Sold (part)

Guggenheim Total Return Bond Instl — Buy (add'l)

Ironwood Pharmaceuticals Inc. — None — Sold (part)

iShares MSCI EAFE ETF — Dividend

JM Smuckers Company Common Stock — Dividend

Jefferies Group Inc. Common Stock — Dividend

Lowe's Companies Common Stock — None — Sold

Invesco Water Resources ETF — Dividend

Schwab Fundamental US Large Company Index — Dividend — Buy

SPDR S&P 500 ETF — Dividend — Sold (part)

SPDR S&P 500 ETF — Sold (part)

Spectrum Brands Holdings — Dividend

T. Rowe Price International Stock Mutual Fund — Dividend

Templeton Global Bond Mutual Fund — Dividend — Sold (part)

Templeton Global Bond Mutual Fund — Sold (part)

Templeton Global Bond Mutual Fund — Sold

Tootsie Roll Industries Common Stock — Dividend — Sold (part)

Vanguard Extended Market ETF — Dividend

Vanguard FTSE Developed Markets ETF — Dividend — Sold

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

Vanguard High Dividend Yield ETF — Dividend — Buy (add'l)

Vanguard Intermediate-Term Tax-Exempt Mutual Fund — Dividend

Vanguard Limited-Term Tax-Exempt Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Dividend — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Sold (part)

Vanguard Short-Term Treasury Mutual Fund — Sold

Vanguard Total Bond Market ETF — Dividend — Buy (add'l)

Vanguard Total Bond Market ETF — Sold (part)

Vanguard Total Bond Market ETF — Sold

Vanguard Total International Stock ETF — Dividend

Schwab Cash Sweep — Interest

JPMorgan Chase Bank Account — Interest

Bank of America Account — Interest

Canadian Imperial Bank of Commerce — Interest

401(k) Plan #1 (H)

Fidelity Government Money Market Fund — Dividend

PIMCO High Yield Admin Mutual Fund — Dividend

Fidelity Overseas Fund K — Dividend

MFS Mid-Cap Growth Fund Class R6 — Dividend

T. Rowe Price 2020 Mutual Fund — Dividend

401(k) Plan #2 (H)

IBM Common Stock — Dividend

Vanguard Large Company Index Fund — None

Interest Income Fund — None

NY 529 Accounts (H)

Moderate Age-Based Option: Income Portfolio — Dividend — Sold (part)

Moderate Age-Based Option: Income Portfolio — Buy (add'l)

Moderate Age-Based Option: Income Portfolio — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Dividend — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Sold

Conservative Age-Based Option: Interest Accumulation Portfolio — Dividend — Buy

Conservative Age-Based Option: Interest Accumulation Portfolio — Buy (add'l)

Conservative Age-Based Option: Interest Accumulation Portfolio — Sold (part)

Interest Accumulation Portfolio — Dividend — Sold (part)

Interest Accumulation Portfolio — Buy (add'l)

Interest Accumulation Portfolio — Sold (part)

Inflation-Protected Securities Portfolio — Dividend — Sold (part)

Inflation-Protected Securities Portfolio — Buy (add'l)

Inflation-Protected Securities Portfolio — Sold (part)

Treasury Direct | Savings Bonds — Interest

Orrick Investments 2000 LLC — None — Closed

Orrick Investments 2001 LLC — Distribution

AT&T Common Stock — Dividend

Berkshire Hathaway Class A Common Stock — None

Cisco Systems Common Stock — Dividend — Sold

Citigroup Common Stock — Dividend — Sold

Cyclerion Therapeutics — None

DFA Emerging Markets Core Equity 1 — Dividend — Buy (add'l)

DFA International Core Equity I — Dividend — Buy (add'l)

DFA US Large Cap Value — Dividend — Buy (add'l)

DFA US Large Cap Value — Sold

Doubleline Core Fixed Income Mutual Fund — Dividend — Sold (part)

Doubleline Core Fixed Income Mutual Fund — Sold (part)

Goldman Sachs Muni Income Fund Mutual Fund — Dividend

Guggenheim Total Return Bond Instl — Dividend — Buy

Guggenheim Total Return Bond Instl — Sold (part)

Guggenheim Total Return Bond Instl — Buy (add'l)

Ironwood Pharmaceuticals Inc. — None — Sold (part)

iShares MSCI EAFE ETF — Dividend

JM Smuckers Company Common Stock — Dividend

Jefferies Group Inc. Common Stock — Dividend

Lowe's Companies Common Stock — None — Sold

Invesco Water Resources ETF — Dividend

Schwab Fundamental US Large Company Index — Dividend — Buy

SPDR S&P 500 ETF — Dividend — Sold (part)

SPDR S&P 500 ETF — Sold (part)

Spectrum Brands Holdings — Dividend

T. Rowe Price International Stock Mutual Fund — Dividend

Templeton Global Bond Mutual Fund — Dividend — Sold (part)

Templeton Global Bond Mutual Fund — Sold (part)

Templeton Global Bond Mutual Fund — Sold

Tootsie Roll Industries Common Stock — Dividend — Sold (part)

Vanguard Extended Market ETF — Dividend

Vanguard FTSE Developed Markets ETF — Dividend — Sold

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

Vanguard High Dividend Yield ETF — Dividend — Buy (add'l)

Vanguard Intermediate-Term Tax-Exempt Mutual Fund — Dividend

Vanguard Limited-Term Tax-Exempt Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Dividend — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Sold (part)

Vanguard Short-Term Treasury Mutual Fund — Sold

Vanguard Total Bond Market ETF — Dividend — Buy (add'l)

Vanguard Total Bond Market ETF — Sold (part)

Vanguard Total Bond Market ETF — Sold

Vanguard Total International Stock ETF — Dividend

Schwab Cash Sweep — Interest

JPMorgan Chase Bank Account — Interest

Bank of America Account — Interest

Canadian Imperial Bank of Commerce — Interest

401(k) Plan #1 (H)

Fidelity Government Money Market Fund — Dividend

PIMCO High Yield Admin Mutual Fund — Dividend

Fidelity Overseas Fund K — Dividend

MFS Mid-Cap Growth Fund Class R6 — Dividend

T. Rowe Price 2020 Mutual Fund — Dividend

401(k) Plan #2 (H)

IBM Common Stock — Dividend

Vanguard Large Company Index Fund — None

Interest Income Fund — None

NY 529 Accounts (H)

Moderate Age-Based Option: Income Portfolio — Dividend — Sold (part)

Moderate Age-Based Option: Income Portfolio — Buy (add'l)

Moderate Age-Based Option: Income Portfolio — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Dividend — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Sold

Conservative Age-Based Option: Interest Accumulation Portfolio — Dividend — Buy

Conservative Age-Based Option: Interest Accumulation Portfolio — Buy (add'l)

Conservative Age-Based Option: Interest Accumulation Portfolio — Sold (part)

Interest Accumulation Portfolio — Dividend — Sold (part)

Interest Accumulation Portfolio — Buy (add'l)

Interest Accumulation Portfolio — Sold (part)

Inflation-Protected Securities Portfolio — Dividend — Sold (part)

Inflation-Protected Securities Portfolio — Buy (add'l)

Inflation-Protected Securities Portfolio — Sold (part)

Treasury Direct | Savings Bonds — Interest

Orrick Investments 2000 LLC — None — Closed

Orrick Investments 2001 LLC — Distribution

AT&T Common Stock — Dividend

Berkshire Hathaway Class A Common Stock — None

Cisco Systems Common Stock — Dividend — Sold

Citigroup Common Stock — Dividend — Sold

Cyclerion Therapeutics — None

DFA Emerging Markets Core Equity 1 — Dividend — Buy (add'l)

DFA International Core Equity I — Dividend — Buy (add'l)

DFA US Large Cap Value — Dividend — Buy (add'l)

DFA US Large Cap Value — Sold

Doubleline Core Fixed Income Mutual Fund — Dividend — Sold (part)

Doubleline Core Fixed Income Mutual Fund — Sold (part)

Goldman Sachs Muni Income Fund Mutual Fund — Dividend

Guggenheim Total Return Bond Instl — Dividend — Buy

Guggenheim Total Return Bond Instl — Sold (part)

Guggenheim Total Return Bond Instl — Buy (add'l)

Ironwood Pharmaceuticals Inc. — None — Sold (part)

iShares MSCI EAFE ETF — Dividend

JM Smuckers Company Common Stock — Dividend

Jefferies Group Inc. Common Stock — Dividend

Lowe's Companies Common Stock — None — Sold

Invesco Water Resources ETF — Dividend

Schwab Fundamental US Large Company Index — Dividend — Buy

SPDR S&P 500 ETF — Dividend — Sold (part)

SPDR S&P 500 ETF — Sold (part)

Spectrum Brands Holdings — Dividend

T. Rowe Price International Stock Mutual Fund — Dividend

Templeton Global Bond Mutual Fund — Dividend — Sold (part)

Templeton Global Bond Mutual Fund — Sold (part)

Templeton Global Bond Mutual Fund — Sold

Tootsie Roll Industries Common Stock — Dividend — Sold (part)

Vanguard Extended Market ETF — Dividend

Vanguard FTSE Developed Markets ETF — Dividend — Sold

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

Vanguard High Dividend Yield ETF — Dividend — Buy (add'l)

Vanguard Intermediate-Term Tax-Exempt Mutual Fund — Dividend

Vanguard Limited-Term Tax-Exempt Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Dividend — Buy

Vanguard Short-Term Bond Index Mutual Fund — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Dividend — Buy (add'l)

Vanguard Short-Term Treasury Mutual Fund — Sold (part)

Vanguard Short-Term Treasury Mutual Fund — Sold

Vanguard Total Bond Market ETF — Dividend — Buy (add'l)

Vanguard Total Bond Market ETF — Sold (part)

Vanguard Total Bond Market ETF — Sold

Vanguard Total International Stock ETF — Dividend

Schwab Cash Sweep — Interest

JPMorgan Chase Bank Account — Interest

Bank of America Account — Interest

Canadian Imperial Bank of Commerce — Interest

401(k) Plan #1 (H)

Fidelity Government Money Market Fund — Dividend

PIMCO High Yield Admin Mutual Fund — Dividend

Fidelity Overseas Fund K — Dividend

MFS Mid-Cap Growth Fund Class R6 — Dividend

T. Rowe Price 2020 Mutual Fund — Dividend

401(k) Plan #2 (H)

IBM Common Stock — Dividend

Vanguard Large Company Index Fund — None

Interest Income Fund — None

NY 529 Accounts (H)

Moderate Age-Based Option: Income Portfolio — Dividend — Sold (part)

Moderate Age-Based Option: Income Portfolio — Buy (add'l)

Moderate Age-Based Option: Income Portfolio — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Dividend — Sold (part)

Conservative Age-Based Option: Conservative Income Portfolio — Sold

Conservative Age-Based Option: Interest Accumulation Portfolio — Dividend — Buy

Conservative Age-Based Option: Interest Accumulation Portfolio — Buy (add'l)

Conservative Age-Based Option: Interest Accumulation Portfolio — Sold (part)

Interest Accumulation Portfolio — Dividend — Sold (part)

Interest Accumulation Portfolio — Buy (add'l)

Interest Accumulation Portfolio — Sold (part)

Inflation-Protected Securities Portfolio — Dividend — Sold (part)

Inflation-Protected Securities Portfolio — Buy (add'l)

Inflation-Protected Securities Portfolio — Sold (part)

Treasury Direct | Savings Bonds — Interest

Orrick Investments 2000 LLC — None — Closed

Orrick Investments 2001 LLC — Distribution

Past President, Director, New York County Lawyers Association

Spouse's income — 2020 — Self-Employed Financial Consultant

Line 18: Ironwood Pharmaceuticals Inc - this position resulted from the combination of the Class A and Class B entries in prior submissions.

Line 61: Interest Income Fund - this is a fixed income position offered through a 401(k) plan that is traded as a separate account. It is not structured as a mutual

fund and the underlying assets are managed by mutlipe third parties.

Lines 63, 65-67, 70-71, 73-74 & 76 - reported gains are best efforts estimates because 529 plan provider does not provide realized gain/loss reporting information.

Lines 63, 66, 68, 71 & 74 - these are investment portfolios offered through the NY 529 plan. These investment portfolios do not trade as mutual funds, although

they do invest in one or more underlying mutual funds as determined by the plan administrator.

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.