# Barbara Moses

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/33718

## Record

- **Judge:** Barbara Moses
- **Year:** 2020
- **Pages:** 10

## Text

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)
Guggenheim Total Return Bond Instl — Buy (add'l)
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)
Guggenheim Total Return Bond Instl — Buy (add'l)
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)
Guggenheim Total Return Bond Instl — Buy (add'l)
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)
Guggenheim Total Return Bond Instl — Buy (add'l)
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)
Guggenheim Total Return Bond Instl — Buy (add'l)
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)
Guggenheim Total Return Bond Instl — Buy (add'l)
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
Past President, Director, New York County Lawyers Association
Past President, Director, New York County Lawyers Association
Past President, Director, New York County Lawyers Association
Past President, Director, New York County Lawyers Association
Past President, Director, New York County Lawyers Association
Spouse's income — 2020 — Self-Employed Financial Consultant
Spouse's income — 2020 — Self-Employed Financial Consultant
Spouse's income — 2020 — Self-Employed Financial Consultant
Spouse's income — 2020 — Self-Employed Financial Consultant
Spouse's income — 2020 — Self-Employed Financial Consultant
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.

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/33718. Public record. Not legal advice.