Raymond Joseph Lohier jr

American Century Growth Stock Fund — Dividend

American Century Ultra Stock Fund — Distribution

American Century Retirement Growth Stock Fund — Distribution

IRA AIG American Pathway (Annuity) — Int./Div.

Fidelity Asset MGR — Int./Div.

Fidelity Growth Co. — Dividend

Fidelity Worldwide Fund (Fidelity Roth IRA) — Dividend

Fidelity Retirement Money Market — Interest

Fidelity Investment Contract — Interest

Fidelity SIT MidCap Growth Fund — Interest

Fidelity Magellan — None

Janus 20 Fund — Distribution

Janus Global Technology Fund — Distribution

Vanguard Growth Index Fund — Int./Div.

Vanguard Small Cap Index Fund — Int./Div.

Vanguard 500 Index Fund — Int./Div.

Vanguard Total Stock Market ETF mutual fund (Wachovia Roth IRA) — Int./Div.

TIAA Cref Retirement Fund — Interest

T Rowe Price New Horizons Fund — Distribution

T Rowe Price International Stock Fund — Int./Div.

Vanguard Windsor 2 Fund — Int./Div.

Bank of America Common Stock — Dividend

Becton Dickinson & Co. common stock — Int./Div.

Chevron common stock — Dividend

Cisco, Inc. common stock — None

Dow Chemical common stock — Dividend

Honeywell International Common Stock — Dividend

Intel Corp. common stock — Dividend

Microsoft Corp. common Stock — Dividend

OGE Energy Corp. — Int./Div.

Time Warner Inc., common stockI — Dividend

Trust #1 — None

FIrst Clearing LLC (X) — Dividend

Apple Inc. (X) — Dividend

Corning Inc. (X) — Dividend

Invesco Floating Rate Mutual Fund (X) — Dividend

Charter Communications — Dividend

Fidelity Contrafund — Interest

Vanguard Target 2030 — Interest

Baird Funds Inc — Int./Div. — Buy

Blackrock Funds II Multi Asset Income Porftolio — Int./Div.

Center Coast Brooklield Midstream Focus fund Class Y — Dividend

Eaton Vance global Macro Absolute Return Fund Class I — Int./Div.

Federated Equity Funds Strategic Value Dividend Fund — Int./Div.

Franklin Custodian Funds Income Service Adv CL AD — Int./Div.

Goldman Sachs Finnancial Square Treasury Instrucments Fund — Int./Div.

Goldman Sachs US Equity Dvd & Premium Fund Institutional SHS — Int./Div. — Buy

John Hancock Funds III Global SHarehiolder Yield Class I — Dividend

JPMorgan Income Builder Fund Class I — Dividend

Neuberger Berman Equity Income Funds Institutional Class — Dividend

Nuveen Investment Funds Real Asset Income Fund — Dividend

Principal Funds Inc. Global IDversifeid Income Fund — Int./Div.

JPMorgan Treausrey Equity Income Fund — Int./Div.

TCW Funds INc Emerging Markets Income Fund — Int./Div.

American Century Growth Stock Fund — Dividend

American Century Ultra Stock Fund — Distribution

American Century Retirement Growth Stock Fund — Distribution

IRA AIG American Pathway (Annuity) — Int./Div.

Fidelity Asset MGR — Int./Div.

Fidelity Growth Co. — Dividend

Fidelity Worldwide Fund (Fidelity Roth IRA) — Dividend

Fidelity Retirement Money Market — Interest

Fidelity Investment Contract — Interest

Fidelity SIT MidCap Growth Fund — Interest

Fidelity Magellan — None

Janus 20 Fund — Distribution

Janus Global Technology Fund — Distribution

Vanguard Growth Index Fund — Int./Div.

Vanguard Small Cap Index Fund — Int./Div.

Vanguard 500 Index Fund — Int./Div.

Vanguard Total Stock Market ETF mutual fund (Wachovia Roth IRA) — Int./Div.

TIAA Cref Retirement Fund — Interest

T Rowe Price New Horizons Fund — Distribution

T Rowe Price International Stock Fund — Int./Div.

Vanguard Windsor 2 Fund — Int./Div.

Bank of America Common Stock — Dividend

Becton Dickinson & Co. common stock — Int./Div.

Chevron common stock — Dividend

Cisco, Inc. common stock — None

Dow Chemical common stock — Dividend

Honeywell International Common Stock — Dividend

Intel Corp. common stock — Dividend

Microsoft Corp. common Stock — Dividend

OGE Energy Corp. — Int./Div.

Time Warner Inc., common stockI — Dividend

Trust #1 — None

FIrst Clearing LLC (X) — Dividend

Apple Inc. (X) — Dividend

Corning Inc. (X) — Dividend

Invesco Floating Rate Mutual Fund (X) — Dividend

Charter Communications — Dividend

Fidelity Contrafund — Interest

Vanguard Target 2030 — Interest

Baird Funds Inc — Int./Div. — Buy

Blackrock Funds II Multi Asset Income Porftolio — Int./Div.

Center Coast Brooklield Midstream Focus fund Class Y — Dividend

Eaton Vance global Macro Absolute Return Fund Class I — Int./Div.

Federated Equity Funds Strategic Value Dividend Fund — Int./Div.

Franklin Custodian Funds Income Service Adv CL AD — Int./Div.

Goldman Sachs Finnancial Square Treasury Instrucments Fund — Int./Div.

Goldman Sachs US Equity Dvd & Premium Fund Institutional SHS — Int./Div. — Buy

John Hancock Funds III Global SHarehiolder Yield Class I — Dividend

JPMorgan Income Builder Fund Class I — Dividend

Neuberger Berman Equity Income Funds Institutional Class — Dividend

Nuveen Investment Funds Real Asset Income Fund — Dividend

Principal Funds Inc. Global IDversifeid Income Fund — Int./Div.

JPMorgan Treausrey Equity Income Fund — Int./Div.

TCW Funds INc Emerging Markets Income Fund — Int./Div.

Trustee, Trust #1

Trustee, New York University Law School

Adjunct Professor, New York University Law School

Executive Committee, American Law Institute

Trustee, Trust #1

Trustee, New York University Law School

Adjunct Professor, New York University Law School

Executive Committee, American Law Institute

Reimbursement — American Law Institute — January 15 - 17, 2020 — Philadelphia, PA, Washington, DC — Bar Association — Transportation, Meals, Hotel

Reimbursement — American Law Institute — January 15 - 17, 2020 — Philadelphia, PA, Washington, DC — Bar Association — Transportation, Meals, Hotel

Income — 2020 — New York University School of Law - Teaching — $21,000.00

Income — 2020 — New York University School of Law - Teaching — $21,000.00

Spouse's income — 2020 — City University of New York School of Law - Salary

Spouse's income — 2020 — City University of New York School of Law - Salary

1) Part I

"Trust #1 is an "unfunded trust" whose sole asset is a term life insurance policy.