Timothy B. Dyk

LOT - TRURO, MA (PARCEL 1) ($237,500) — None

CARLYLE FUND — Dividend — Sold (part)

MORGAN STANLEY PRIVATE BANK ACCOUNT — Int./Div. — Buy (add'l)

SPECIAL SITUATION LIFE SCIENCES INNOVATION FUND — None — Buy (add'l)

JAPAN EQUITY FUND — Dividend — Sold (part)

BANK OF AMERICA (COMMON STOCK) — Dividend

NUVEEN AMT FREE QUALITY MUNI INCOME FUND — Dividend

CRIMSON WINE GROUP (COMMON STOCK) — None

NUVEEN AMT FREE MUNI CREDIT INCOME FUND — Interest

ROYAL DUTCH SHELL (COMMON STOCK) — Dividend

VANGUARD FEDERAL MONEY MARKET FUND — Dividend — Buy (add'l)

VANGUARD TAX EXEMPT MONEY MARKET FUND — Dividend

VANGUARD LTD-TERM TAX EXEMPT ADMIRAL FUND — Dividend — Sold

TRUIST FIN. CORP. (PREFERRED STOCK) — Dividend

BANK OF CALIFORNIA (PREFERRED STOCK) — Dividend

WABTEC (COMMON STOCK) — Dividend — Sold

UNITED NATURAL FOODS (COMMON STOCK) — None — Sold

US TREASURY BILL (due 3/26/2020) — Dividend — Matured

VANGUARD INTERMEDIATE TERM T/ E ADMIRAL FUND — Dividend — Sold

NY COMM BK CORP (COMMON STOCK) — Dividend

WESTERN INTERMEDIATE MUNI FUND — Interest

VANGUARD PRIME MONEY MARKET FUND — Interest — Sold

TOTAL S.A. (COMMON STOCK) — Dividend

ATLAS AIR WORLDWIDE (COMMON STOCK) — None — Sold

PA ST MUNI BD — Interest

LAWRENCE MA MUNI BD — Interest

NEWPORT-MESA CA UNION SCH DIST MUNI BD — Interest

ALTONA WI MUNI BD — Interest — Matured

GENERAL ELECTRIC (COMMON STOCK) — Dividend — Sold

WASHINGTON STATE MUNI BD — Interest

U.S. TREASURY BD STRIP — Interest — Matured

U.S.TREASURY NOTE (DUE 4/15/2020) — Interest — Matured

FEDERATED INSTITUTIONAL MONEY MARKET FUND — Interest — Sold

METROPOLITAN DC AIRPORT AUTHORITY MUNI BD — Interest — Sold

JEFFERSON MORGAN SCHOOL DISTRICT MUNI BD — Interest

DEUTSCHE BK (COMMON STOCK) — Interest — Sold

NUVEEN SELECT MATURITY (MUNICIPAL FUND) — Interest

VANGUARD IRA #4 (H)

ISHARES MSCI JAPAN — Dividend — Sold

NEW AMERICA HIGH INCOME FUND — Dividend

WESTERN ASSET HIGH INC OPP FUND — Dividend

FIDELITY JAPAN SMALL CO. FUND — Dividend

GLADSTONE COMM CORP FUND — Dividend — Sold

VANGUARD FEDERAL MONEY MARKET FUND — Dividend — Buy (add'l)

VANGUARD PRIME MONEY MARKET FUND — Dividend — Sold

VANGUARD TREASURY MONEY MARKET FUND — Dividend

BLACKSTONE MORT TRUST — Dividend

PIMCO STOCKPLUS SHORT (FUND) — Dividend — Buy

OCCIDENTAL PETROLEUM WARRANTS — None — Spinoff (from line 50)

OCCIDENTAL PETROLEUM (COMMON STOCK) — Dividend

CRIMSON WINE GROUP (COMMON STOCK) — None

PEOPLES UNITED (COMMON STOCK) — Dividend

WISDOMTREE DYNAMIC BEARISH FUND — None — Sold

VANGUARD IRA - #1 (H)

BANK OF AMERICA (COMMON STOCK) — Dividend

FIDELITY JAPAN SM CO FUND — Dividend

VALARIS (COMMON STOCK) (PREVIOUSLY ENSCO) — Dividend

PIMCO STOCKPLUS (FUND) — Dividend — Buy

ISHARES JAPAN INDEX FUND — Dividend

GENESIS ENERGY (COMMON STOCK) — Dividend

VANGUARD FEDERAL MONEY MARKET FUND — Dividend — Buy (add'l)

VANGUARD PRIME MONEY MARKET FUND — Dividend — Sold

VANGUARD TREASURY MONEY MARKET FUND — Dividend

LUMINENT (COMMON STOCK) — None

ROYCE MICROCAP FUND — Dividend — Buy

ROYCE MICROCAP FUND — Dividend — Sold

UNITED NATURAL FOODS (COMMON STOCK) — None — Sold

GLADSTONE COMMERCIAL CORP (COMMON STOCK) — Dividend — Sold

VANGUARD IRA #2 (H)

VANGUARD TREASURY MONEY MARKET FUND — Dividend

VANGUARD PRIME MONEY MARKET FUND — Dividend — Sold

VANGUARD FEDERAL MONEY MARKET FUND — Dividend — Buy (add'l)

FIDELITY INV TRUST JAPAN SMALL CO FUND — Dividend

WISDOMTREE DYNAMIC BEARISH FUND — None — Sold

VALLEY NATIONAL BANK — Dividend

LUMINENT (COMMON STOCK) — None

VANGUARD IRA #3 (H)

VANGUARD FEDERAL MONEY MARKET FUND — Dividend — Buy (add'l)

VANGUARD PRIME MONEY MARKET FUND — Dividend — Sold

VANGUARD TREASURY MONEY MARKET FUND — Dividend

DEUTSCHE BANK (COMMON STOCK) — Dividend — Sold

EXXONMOBIL (COMMON STOCK) — Dividend — Sold

PIMCO STOCKPLUS SHORT (FUND) — Interest — Buy

PIMCO STOCKPLUS SHORT (FUND) — Interest — Buy (add'l)

CHEVRON (COMMON STOCK) — None — Buy

CHEVRON (COMMON STOCK) — Sold

MERCURY GENERAL CORP. (COMMON STOCK) — Dividend — Sold

OCCIDENTAL PETROLEUM (COMMON STOCK) — Dividend

OCCIDENTAL PETROLEUM WARRANTS — None — Spinoff (from line 88)

BRIGHTHOUSE FINANCIAL — None

GLADSTONE COMMERCIAL CORP. (COMMON STOCK) — Dividend — Sold

TD AMERITRADE INSURED DEPOSIT ACCOUNT — Dividend

TD AMERITRADE IRA #2 (H)

WELLS FARGO CD — Interest

SPEC SITUATION LIFE SCIENCES FUND — Dividend

TD AMERITRADE INSURED DEPOSIT ACCOUNT — Dividend

NORTHERN LIGHTS NORTH STAR DIVIDEND LIGHTS FUND — Dividend

ISHARES US PREFERRED STOCKS ETF — Dividend — Sold

VANGUARD IRA #5 (H)

VANGUARD FEDERAL MONEY MARKET FUND — Dividend — Buy (add'l)

VANGUARD PRIME MONEY MARKET FUND — Dividend — Sold

EXXONMOBIL (COMMON STOCK) — Dividend — Sold

GLADSTONE COMMERCIAL (COMMON STOCK) — Dividend — Sold

BP PLC (COMMON STOCK) — Dividend

NEW AMERICA HIGH INCOME FUND — Dividend

NUVEEN PREFERRED INCOME FUND — Dividend

NY COMMUNITY BK (COMMON STOCK) — Dividend

NEW YORK UNIVERSITY 403(B) PLAN (NOW MANAGED BY TIAA) — Dividend

TIAA TRADITIONAL FUND — Dividend

MASS MUTUAL LIFE INSURANCE (WHOLE) — Dividend

ING LIFE INSURANCE (WHOLE) — Dividend

PNC BANK WASHINGTON DC — Interest

US BONDS — Interest

JJ GUMBERG LIMITED PARTNERSHIP — Distribution

VIRGINIA RETIREMENT SYSTEM — Interest

JUDICIAL COUNSELOR, GILES RICH INN OF COURT

Reimbursement — WILLIAM C. CONNER INN OF COURT — 1/16/2020 to 1/17/2020 — NEW YORK, NY — WILLIAM C. CONNER INN OF COURT ANNUAL RECEPTION AND DINNER — TRANSPORTATION, LODGING, MEALS

Reimbursement — WILLIAM C. CONNER INN OF COURT — 2/12/2020 to 2/13/2020 — NEW YORK, NY — WILLIAM C. CONNER INN OF COURT CLE PROGRAM AND DINNER — TRANSPORTATION, MEALS

Income — 2020 — UNIVERSITY OF NEBRASKA - BOARD OF REGENTS (ROYALTY) — $321.00

Spouse's income — 2020 — NYU LAW SCHOOL - SALARY

Spouse's income — 2020 — WASHINGTON UNIVERSITY - HONORARIA - $1,500

Spouse's income — 2020 — TVA, INC. - CONSULTANT

1. TOTAL INCOME FOR IRA ACCOUNTS IS TOTAL INCOME AS REPORTED BY CUSTODIAN OF ACCOUNT.

2. TRANSFERS FROM IRA MONEY MARKET TO PERSONAL ACCOUNTS (RMD) NOT SHOWN.

3. PART VII, LINE 108: PERIODIC EMPLOYER CONTRIBUTIONS MADE TO THIS ACCOUNT (NEW YORK UNIVERSITY 403(B) PLAN) ARE

NOT REPORTED AS A SEPARATE BUY.

4. THE VANGUARD FEDERAL MONEY MARKET FUND IS AN SEC-MANDATED SETTLEMENT FUND FOR SECURITIES TRANSACTIONS.

PURCHASES AND SALES OF SECURITIES DISCLOSED IN THIS REPORT AUTOMATICALLY RESULTED IN CORRESPONDING SALES

AND PURCHASES IN THE FUND. THE SAME APPLIES FOR THE TD AMERITRADE INSURED DEPOSIT ACCOUNT. MONEY MARKET

TRANSACTIONS INVOLVING DEPOSITS OF EMPLOYMENT COMPENSATION OR A PAYMENT OF PERSONAL EXPENSES AND EXCHANGES

BETWEEN FUNDS NOT LISTED AS BEING IDENTICAL TO BANK ACCOUNT ACTIVITIES.