# Jon Ormond Newman

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/4195

## Record

- **Judge:** Jon Ormond Newman
- **Year:** 2017
- **Report type:** Annual
- **Pages:** 52

## Text

Mutual funds (H):
Fluor — None — Sold
Walmart — Int/Div
Aspen — Sold
Sonova — Int/Div
Symrise — Int/Div
Sysmex — Int/Div
accounts and cash (H)
Bank of America Sarasota FL — Interest
Wells Fargo Bank — Interest
Morgan Stanley account (H):
Morgan Stanley Active Assets Tax Free Trust — Interest
stocks (H):
Adient — Int/Div
Air Products — Int/Div
Cisco — Int/Div
Cummins — Int/Div
Devon Energy — Int/Div
Express Scripts — None
Johnson and Johnson — Int/Div
Johnson Control Int) — Int/Div
Merck — Int/Div
Microsoft — Int/Div
Minnesota Mining and Manufacturing — Int/Div
Roval Dutch Shell — Int/Div
Total Fina — Int/Div
Versum — Int/Div — Buy (add'l)
mutual funds and exchange-traded funds (HY): (see note Part VID
Calamos Growth & Income C Fund — Distribution
Dreyfus Premier Technology Fund — istmbution
Fed Max Cap Fund — Distribution
Invesco Balanced Risk Alloc, C Fund — Distribution
Janus Henderson Int'l Op. Fund (see note Part VIII} — Int/Div
Mainstay Large Cap Fund — Int/Div
Oppenheimer Mid Cap Revenue Fund — Int/Div
Oppenhemmer Roch AMT Free MU C Fund — Int/Div — Buy
Oppenheimer Small Cap Revenue Fund — Int/Div
Prudential Jennison Small Cap C1 C Fund — Distribution
Schwab 1000 Fund — Distribution
SPDR Barcap Short Term Hi Yield Fund — Int/Div
bonds (H):
Bay County FL. School Board '19 4.25 — Interest — Redeemed
Bound Brook NJ 2214.0 — Interest
Clark Cry Nev. 21 5.0 — Interest
CT Health & Ed. "195.0 — Interest
Dallas Tex ‘175.0 — Interest — Matured
Danbury CT."1925 — Interest
Davenport lowa '21 2.0 — Interest — Buy
Duncanville TX '180 — None
Harris Coty TX 22 30 — Interest — Buy
Hawai GO. "1840 — Interest
Jackson County '18 4.0 — Interest
Kenton Cnty KY 20 2.0 — Interest — Buy
LaPorte Ind — Interest
Lee County School Bd. "17 4.0 — Interest — Sold
Mich St Strat. 205.0 — Interest
Northern Mun, Pwr Agy Minn '17 5.0 — Interest — Matured
N.Y. Housing Develop. '18 2.25 — Interest
Oxford Mass G.O."192.0 — Interest
Palm Beach Cty FL "27 4.375 — Interest — Redeemed
Penn. Higher Ed — Interest
Penn Pub. School '18 5.0 — Interest — Redeemed
Phoenix Ariz'19 3.0 — Interest — Buy
Peoria IL Pub, Bldg. 21 0.0 — None — Buy
South Amboy NJ1'224.0 — Interest — Buy
Spokane Wash. 220 5.0 — Interest
Tampa Bay FL. Water '18 5.0 — Interest
West Wildwood, NJ 21 3.0 — None — Buy
Wells Fargo Account (H):
Wells Fargo Advisors, Sarasota FL Money Market Acct — Interest
stocks (H):
Aflac — Int/Div
AT&T — Int/Div
Amgen — Int/Div
Apple — Int/Div — Sold (part)
Berkshire Hathaway — None
Cisco (See note part VIII) — None — Sold
Cisco (See note part VIII) — Buy
Colgate-Palmolive — Int/Div
Dow Chemical — Int/Div
ExxonMobil — Int/Div
General Electric — Int/Div — Sold (part)
General Electric — Sold
General Mills — Int/Div
Home Depot — Int/Div
Nimois Tool Works — Int/Div
Intel — Int/Div
Johnson & Johnson — Int/Div
JP Morgan Chase — Int/Div
Kimberly-Clark — Int/Div
Merck — Int/Div
Mmnesota Mining & Manufacturing — Int/Div — Buy
Nextera EnergyNextera Energy — Int/Div
Phazer — Int/Div
Procter & Gamble — Int/Div
Raytheon — Int/Div — Buy
UGI Comp. — Int/Div — Sold
US Bancorp — Int/Div
Verizon — Int/Div — Buy (add'l)
Merrill Edge Account (H)
Memill Lynch direct deposit program — None
ETF and Mutual Funds (H)
AB Large Capital Growth Fund — Distribution — Buy
Ishares core S&P small cap etf fund — Int/Div
Ishares S&P small cap 600 growth fund — Int/Div
Janus Henderson Enterprise Fund — Int/Div — Buy
Powershares QQQ Trust Units Ser. Fund — Int/Div
Vanguard Mid-Cap Value Index Fund — Int/Div
stocks (H)
Apple Inc — Int/Div
Other (H):
172 Int. W. Heid. CT, Condo purchased RRR $115,000 — None
Thames & Hudson Rovalty Contract — Rovalty
AIG Fixed Annuity (IRA) — Interest
AIG Fixed Annuity (IRA) — Interest
Trust No. 1: (H)
Morgan Stanley Active Assets Tax Free Trust — Interest
stocks (H):
Adient — Int/Div — Sold
Coming — Int/Div
Exxon Mobil — Int/Div
Honeywell — Int/Div
Insteel — Int/Div
Johnson Controls Intl — Int/Div
Koninklijke Phillips — Int/Div
Mallinckrodt — None — Sold
M & T Bank — Int/Div
Medtronic — Int/Div
Norfolk Southern — Int/Div
Pfizer — Int/Div
mutual funds (H):
Federated Municipal High Yield Advantage A Fund — Int/Div
bonds (H):
Bridgeport, CT '19 5.5 — Interest
CT StSpl Tux 203.9 — Interest
Miami-Dade County FL Sch. Bd. "174.0 — Interest — Matured
New York NY Prior Issues '17 5.0 — Interest — Matured
Penn. ST Higher ed. '18 5.0 — Interest
Washington State mtr fuel ‘20 5.0 — Interest
Trust No. 2: (H)
brokerage account No. (H)
Morgan Stanley Active Assets Tax Free Trust — Interest
stocks (H):
3M — Int/Div
Adobe Systems — None
Agilent — Int/Div
Amencan Express — Int/Div
Automatic Data Processing — Int/Div
Baxter Int'l — Int/Div
Becton Dickinson — Int/Div — Sold (part)
CDK Global — Int/Div — from Ime 141)
Cigna — Int/Div — Sold (part)
Dominion Resources — Int/Div
Edwards Life Resources — None
Emerson Electric — Int/Div
Express Scripts — None
General Mills — Int/Div
Home Depotd — Int/Div — Sold (part)
Intel — Int/Div
IBM — Int/Div
Keysight Technologies — None — Buy
McDonalds — Int/Div
Microsoft — Int/Div
Procter & Gamble — Int/Div
RPM Int'l — Int/Div — Sold (part)
Shire — Int/Div
Travelers — Int/Div
T Rowe Price — Int/Div
Weyerhauser — Int/Div
bonds (H):
Baltimore MD 225.0 — None — Buy
Brainard Minn "21 1.75 — None — Buy
Cape Coral FL '40 6.0 — Interest — Buy
Carbon Cnty PA "20 5.0 — Interest
Clark County Nev ‘17 3.0b — Interest — Matured
Cromwell CT 204.0 — Interest
CT Health & E417 5.0 — None — Matured
Delton Kellogg MY Sch '22 4.0 — Interest — Buy
Guilford CT 18 3.0 — Interest — Redeemed
FYIPPTYS Wash. Lease ‘18 5.0 — Interest
Harrison NJ 20 3.0B — Interest
Hartford County ‘18 3.5 — Interest — Redeemed
India St Fin ‘195.0 — Interest
Morgan Stanley Active AssetsTax Free Trust — Interest
New York City Turst for Cultural Reserve 2150b — Interest
New York ST Urban Dev '19 5.50 — Interest
N.Y. Dorm. Auth. '17 5.0 — Interest — Matured
Oklahoma '19 5.0 — Interest — Buy
Tampa FL'18 4.0B — Interest
Southington CT '18 3.5 — Interest — Redeemed
Vancouver Wash. '22 5.0 — None — Buy
Washington Health '23 5.25 — Interest
West Orange NY 22 2.0 — None — Buy
brokerage account No. 2 (H).
Mongan Stanley, New Haven, CT Money Market Acct. — Interest
stocks (H):
Abbott Labs — Int/Div
Abbvie — Int/Div — Sold (part)
Air Products — Int/Div
Alphabet Inc — None
American Express — Int/Div
Anheuser Busch — Int/Div — Buy (add'l)
Apple — Int/Div
ASML Holding — Int/Div
Automatic Data Processing — Int/Div
Blackrock — Int/Div
CDN Pacific RY — Int/Div
Celgene — None — Sold
Chevron — Int/Div — Sold (part)
Chubb — Int/Div — Buy (add'l)
Coca-cola — Int/Div — Sold (part)
Comcast — Int/Div — Buy (add'l)
Conoco — Int/Div — Sold (part)
Constellation Brands — Int/Div — Buy (add'l)
Estee Lauder — Int/Div
Exxon Mobil — Int/Div — Sold (part)
Facebook — None — Buy (add'l)
Gilead Science — None — Sold
Intercontinental Exchange Group — Int/Div
Intuitive Surgical — None — Buy (add'l)
JP Morgan Chase — Int/Div
McDonalds — Int/Div
Microsoft — Int/Div — Buy (add'l)
Microsoft — Buy (add'l)
Nestle — Int/Div
Nike — Int/Div
Novartis — Int/Div
Novo-Nordisk — Int/Div
xcudental Petroleum — Int/Div — Sold
Oracle — Int/Div
Pepsico — Int/Div
Phillip Moms — Int/Div
Praxair — Int/Div
Procter & Gamble — Int/Div
Roche Holding — Int/Div — Buy (add'l)
State St. Corp — Int/Div — Buy (add'l)
Target — Int/Div — Sold
Texas Instruments — Int/Div
Total — Int/Div
Twenty-first Century Fox — Int/Div — Sold (part)
Umon Pacific — Int/Div — Buy (add'l)
United Health — Int/Div — Buy (add'l)
United Technologies — Int/Div
Verisign — None — Sold
Visa — Int/Div — Buy (add'l)
Walgreen — Int/Div
Walt Disney — Int/Div — Buy (add'l)
Wells Fargo — Int/Div — Buy (add'l)
Xilinx — Int/Div — Sold
exchange traded and closed end funds (H):
Alerian MLP Exchange Traded Fund — Distribution — Buy (add'l)
Alerian MLP Exchange Traded Fund — Buy (add'l)
PowerShares Russell Midcap Pure Growth Fund — Int/Div
PowerShares Russell Midcap Pure Value Fund — Int/Div
SPDR Dow Jones Wilshire Int'l Real Est Fund — Int/Div — Buy (add'l)
SPDR Nuveen Barclays Mun. Fund (see Part VII — Int/Div — Buy (add'l)
SPDR Nuveen Barclays Mun. Fund (see Part VII — Buy (add'l)
Vanguard TTL World Stk Index Fund — Int/Div
mutual funds (H):
Brandes Emergins Markets Fund — Int/Div
Cohen & Steers Realty Fund — Int/Div — Buy (add'l)
Cohen & Steers Realty Fund — Buy (add'l)
Davis NY Venture Fund — Int/Div — Buy (add'l)
Davis NY Venture Fund — Buy (add'l)
Franklin Conv. Sec. Adv. Fund — Int/Div — Buy (add'l)
Invesco Premier Tx Exempt Inst. Fund — Int/Div
Invesco Small Cap Value Fund — Int/Div — Buy (add'l)
JP Morgan Dynamic Sm Cp Gr Sel Fund — Distribution
Legg Mason WA Emerg. Mkt. Debt Fund — Int/Div — Buy (add'l)
Legg Mason WA Emerg. Mkt. Debt Fund — Buy (add'l)
Mamstay Large Cap Grw Fund — istnibution — Buy (add'l)
Mainstay Marketfield Fund — None
Nuveen limited term muni bond Fund — Int/Div — Buy (add'l)
Nuveen limited term muni bond Fund — Buy (add'l)
Oppenheimer Int'l Bond Y Fund — Int/Div — Buy (add'l)
Oppenheimer Int'l Bond Y Fund — Buy (add'l)
Prudential Jennison Mid Cap GW Z Fund — Int/Div
Trust No. 3: (H)
brokerage account No. (H)
Morgan Stanley Active Assets Tax Free Trust — Interest
stocks (H):
IM Co. — Int/Div
Air Products — Int/Div
Apuche — Int/Div — Sold
Apple — Int/Div
Danaher — Int/Div
Fortive — Int/Div
Johnson & Johnson — Int/Div
Versum — Int/Div
bonds (H):
Bay County FL School '18 3.5 — Interest
CT Higher Ed. "17 3.85 — Interest — Sold (part)
CT Higher Ed. "17 3.85 — Sold (part)
CT Higher Ed. "17 3.85 — Redeemed
Griswold '18 3.0 — Interest
Junesville Wis. Sch. ‘194.125 — Interest
NJ. Transp. ‘17 5.0 — Interest — Matured
Okla. Water Resources '19 5.0 — Interest
San Buenaventura CA water '17 4.0 — Interest — Matured
Southington CT'18 3.5 — Interest — Redeemed
brokerage account No. 2 (H).
Morgan Stanley Active Assets Tax Free Trust — Interest
stocks (H):
AIA Group — None — Sold (part)
AIA Group — Sold
Air Liquide — None — Sold (part)
Air Liquide — Sold
Alfa Laval — Int/Div — Sold (part)
Alfa Laval — Sold
Allianz — Int/Div — Sold (part)
RITES — Sold
Amencan Express — Int/Div — Sold (part)
Amnaly Capital Momgt — Int/Div
Aspen — None — Sold (part)
Atlas Copeo — Int/Div — Sold (part)
Atlas Copeo — Sold (part)
Atlas Copeo — Sold
Baidu — None — Sold (part)
Baidu — Sold
Banco Bilbao — Int/Div — Sold (part)
Banco Bilbao — Sold
Bayer — Int/Div — Sold (part)
Bayer — Sold
Bayerische Motore Werke — Int/Div — Sold (part)
Bayerische Motore Werke — Sold
BBA Aviation — Int/Div — Sold
Bunge — Int/Div — Sold
Canadian National Ry — Int/Div — Sold (part)
Canadian National Ry — Sold
Charles Schwab — Int/Div — Sold
Checkpoint — None — Buy (add'l)
Checkpoint — Sold
Cisco — Int/Div
Conoco Philips — Int/Div — Buy (add'l)
CSL Lud, — Int/Div — Sold (part)
CSL Lud, — Sold
CVS Health — Int/Div — Buy (add'l)
CVS Health — Buy (add'l)
Dassault Systems — Int/Div — Sold (part)
RE¥S — Sold
DBS Group — Int/Div — Sold (part)
DBS Group — Sold
Diamond Offshore Drilling — None — Buy (add'l)
Diamond Offshore Drilling — Buy (add'l)
Diamond Offshore Drilling — Buy (add'l)
Ebay — None — Sold (part)
Exelon — Int/Div — Buy (add'l)
Express Scripts — Int/Div — Sold
Exxon Mobil — Int/Div
Fanuc Ltd. — Int/Div — Sold (part)
Fanuc Ltd. — Sold (part)
Adb6 — Sold
Franklin Resiources — Int/Div
Fresemus Medical Care — None — Sold (part)
Fresemus Medical Care — Sold
Fuchs Petrolub — Int/Div — Sold (part)
Fuchs Petrolub — Sold
Glaxo Smith Kline — Int/Div
Gnfols SA — None — Sold (part)
Gnfols SA — Sold
Grupo Financiero — Int/Div — Buy
Grupo Financiero — Buy (add'l)
Grupo Financiero — Sold
Grupo Televisa — None — Sold (part)
Grupo Televisa — Sold
Honda — Int/Div
Icici Bank — None — Sold (part)
Icici Bank — Sold
HSBC Holdings — Int/Div — Sold (part)
HSBC Holdings — Sold
tau Unibanco — None — Sold (part)
tau Unibanco — Sold
tau Unibanco — Int/Div — Sold (part)
tau Unibanco — Sold
Johnson & Johnson — Int/Div — Sold (part)
Kroger — Int/Div — Buy
Kubota — Int/Div — Sold (part)
Kubota — Sold
Linde AG — None — Sold (part)
Linde AG — Sold
L'Oreal — Int/Div — Sold (part)
L'Oreal — Sold
LVMH Moet — Int/Div — Sold (part)
LVMH Moet — Sold
Lowes — Int/Div — Buy
ARO. — Buy (add'l)
Mack Cali Realty — Int/Div
McKesson — Int/Div — Buy (add'l)
Medtronic — Int/Div
Microsoft — Int/Div — Sold (part)
Microsoft — Sold (part)
Mitsubishi — Int/Div — Sold (part)
Mitsubishi — Sold
Monotaro — Int/Div — Sold (part)
Monotaro — Sold
Naspers Ltd — None — Sold (part)
Naspers Ltd — Sold
Nestle — Int/Div — Sold (part)
Nestle — Sold
Park24 — Int/Div — Sold (part)
Park24 — Sold
Pepsico — Int/Div — Sold (part)
PNC Funancial — Int/Div — Sold (part)
PPG — Int/Div
Procter & Gamble — Int/Div — Sold (part)
Qualcomm — None
Roche — Int/Div — Sold (part)
Roche — Sold
Roval Dutch Shell — Int/Div — Sold (part)
Roval Dutch Shell — Sold
SAP Ag — None — Sold (part)
SAP Ag — Buy (add'l)
SAP Ag — Sold
Sasol — Int/Div — Sold (part)
Sasol — Sold
Schlumberger — Int/Div — Sold (part)
Schlumberger — Sold
Schlumberger — Buy
Shire — Int/Div — Sold (part)
Shire — Sold
Sonova — None — Sold (part)
Sonova — Sold
Suntrust — Int/Div — Sold (part)
Suntrust — Buy (add'l)
Suntrust — Buy (add'l)
Symnise — None — Sold (part)
Symnise — Sold
Sysmex — Int/Div — Sold (part)
Sysmex — Sold
Taiwan Semiconductor — Int/Div — Sold (part)
Taiwan Semiconductor — Sold (part)
Target — Int/Div — Buy (add'l)
Target — Buy (add'l)
Tenaris — None — Sold
Torchmark — Int/Div
Traveelers — Int/Div — Buy
Turkiye Garantu Bankasi — Int/Div — Sold (part)
Turkiye Garantu Bankasi — Sold
US Bancorp — Int/Div — Sold (part)
Unilever NV NY — Int/Div — Sold (part)
Unilever NV NY — Sold
United Parcel — Int/Div — Buy
Vernzon — Int/Div — Buy (add'l)
Wal-Mart — Int/Div — Sold (part)
Wal-Mart — Sold (part)
Wells Fargo — Int/Div — Sold (part)
Wells Fargo — Buy (add'l)
Whole Foods Markets — Int/Div — Sold
WPP PLC — None — Sold (part)
WPP PLC — Sold
Exchange Traded & Closed End Funds H)
Deutsche X-Trackers MSC Fund — Int/Div — Buy
Deutsche X-Trackers MSC Fund — Buy (add'l)
IShares MSC Small Cap Fund — None
Ishares JP Morgan EM bond Fund — Int/Div — Buy
Mutual Funds (H):
Amernixcan Inf] Lnkd Fund — Int/Div — Buy
Brandes Int'l small cap equity! Fund — Int/Div
CRM Small Cap Value Inst. Fund — None — Sold
Franklin Fed. Intm. Trm, Tx. Fr. Adv Fund — None
Gabelli Equity Fund — Int/Div
Invesco Premier Fund — Int/Div
Lord Abbett Conv. Fund — Int/Div
Lord Abbett Emerg. Mkts, Currr. Fund — Int/Div — Buy (add'l)
Lord Abbett Emerg. Mkts, Currr. Fund — Sold
Nuance Mid Cap Value Fund — Int/Div — Buy
Nuveen Ltd. Term Mun. Bond Fund — Int/Div
Oppenheimer Int'l Bond Fund — Int/Div
Pimco Real Return Fd — None — Sold
Thornburg Int'l Fund — None — Sold
Tweedy Browne Fund — Int/Div
Trust No. 4: (H)
brokerage account No. (H)
Morgan Stanley Active Assets Tax Free Trust — Int
stocks (H):
Apple — Int/Div
Automatic Data Processing — Int/Div
CDK Global — Int/Div
Danaher — Int/Div
Ecolab — Int/Div
Exxon Mobil — Int/Div — Sold
Fortive — Int/Div
Nike Class B — Int/Div
United Technologies — Int/Div
bonds (H):
Kentucky St Prop '19 4.0 — Interest
NL St Transp. '17 5.75 — Interest — Matured
Southington CT '18 35 — Interest — Sold (part)
U.S. Treasury '189.0 — Interest
brokerage account No. 2 (H)
Morgan Stanley Active Assets Tax Free Trust — Interest
stocks (H):
AIA Group — Int/Div
Air Liquide — Int/Div — Buy (add'l)
Alfa Laval — Int/Div
Allergan — Int/Div
Allianz — Int/Div
AMC — None
Anadarko Petroleum — Int/Div
Anasys — None
Aspen Pharmacare — Int/Div — Buy
AspenTechnology — None — Sold (part)
Atlas Copco — Int/Div — Sold (part)
Autodesk — None
Baidu — None — Sold (part)
Banco Bilbao — Int/Div
Bank of the Ozacks — Int/Div
Bayer — Int/Div
Bavenische Motoren Werke — Int/Div — Sold (part)
BBA Aviation — Int/Div
Berkley W.R — Int/Div
Biogen — None
Bioveratiy — None — Buy
Broadcom — Int/Div
Bunge Ltd — Int/Div — Sold
Canadian Nat. Rya — Int/Div
Carlisle — Int/Div
CDW — Int/Div
Check Pomt — Int/Div — Buy (add'l)
Cheese Cake Factory — Int/Div — Buy
Citrix — None
Comcast — Int/Div
Cooper Co. — Int/Div
Copart — Int/Div — Buy
Copart — Buy (add'l)
Core Labs — Int/Div
Core Labs — Buy (add'l)
Cotiviti — Int/Div — Buy
Cotiviti — Buy (add'l)
Cotiviti — Buy (add'l)
Cree — None
Cree — Int/Div — Sold (part)
Dassault — Int/Div — Sold (part)
DBS — Int/Div
Discovery Communications — None
Discovery Communications — Buy (add'l)
Dolby — Int/Div
DnliQuip — Int/Div
Equifax — Int/Div — Sold
Expeditors Intl — Int/Div
Factset Research — Int/Div — Sold
Fanuc — Int/Div
Fastenal — Int/Div — Sold
Fluor — Int/Div
Fluor — Buy (add'l)
Freeport McMoran — None
Fresenius — Int/Div
Fuchs Petrolub — Int/Div
Gnfols S.A — Int/Div
Grupo Financiero — Int/Div — Buy
Grupo Financiero — Buy (add'l)
Grupo Televisa — Int/Div — Sold
HDFC Bank — Int/Div — Buy
HSBC Holdings — Int/Div
Icict — Int/Div
Immunogen — None
Infineon Technologies — None — Buy
Infineon Technologies — Buy (add'l)
loms Pharmaceuticals — None
tau Unibancoa — Int/Div
Jack Henry — Int/Div — Sold (part)
JGLC — Int/Div
Johnson Controls Intl — Int/Div
Kubota — Int/Div — Buy
L'Oreal — Int/Div — Sold (part)
L3 Comm — Int/Div
Landstar — Int/Div
Lennox Int'l — Int/Div — Buy
Liberty Broadband — None
Liberty Inteructive Co. Inter — None
Liberty Media — None — Sold (part)
Linde AG — Int/Div — Sold
Lions Gate — None — Buy
Logmein — Int/Div — Buy
LVMH Moet — Int/Div
Manhattan Assoc — None — Buy (add'l)
Medtronics — Int/Div
Mitsubishi — Int/Div
Monotaro — Int/Div
Monotype — Int/Div — Sold
MSC Inc Com — Int/Div — Buy (add'l)
Naspers Ltd. — Int/Div
National Oilwell — Int/Div
Nestle — Int/Div
Nordson — Int/Div
NOW Inc — None
Nuance Comm — None
Nucor — Int/Div
Park24 — Int/Div
Pentair — Int/Div
Pool Comp. — None — Buy
Primerica — Int/Div
RBC Bearngs — None
Roche — Int/Div — Sold (part)
Royal Dutch Shell — Int/Div
SAP AG — Int/Div — Buy (add'l)
SAP AG — Sold (part)
Sasol — Int/Div
Schlumberger — Int/Div
Seagate Tech — Int/Div
Shire — Int/Div — Buy (add'l)
Shire — Buy (add'l)
Signature Bank — None — Buy (add'l)
Snap-on — Int/Div — Buy (add'l)
Taiwan Semiconductor — Int/Div
TE Connectivity — Int/Div
Tenaris — Int/Div — Sold (part)
Teradyne — Int/Div — Buy
Tripadvisor — None — Sold
Turkiye Garanti — Int/Div
Twitter — None — Buy (add'l)
Unilever — Int/Div
United Health — Int/Div — Sold (part)
Vertex — None
Wabco Holdings — None
Watsco — Int/Div — Sold
Weatherford nt'l — None
Weibo — None — Buy
Western Digital Corp. — Int/Div
Western Digital Corp. — Int/Div — Sold (part)
Western Digital Corp. — Sold (part)
Wynn Resorts — Int/Div
Exchange Traded Closed End Funds (H):
Ishares MSC EAFE Value Fund — Int/Div
Ishares Russell 3000 Fund — Int/Div
Alliance Bernstein Global Bond Advisor Fund — Int/Div — Buy (add'l)
Brandes Emerging Markets Fund — Int/Div
Columbia Acorn Fund — Int/Div — Buy (add'l)
Franklin Federated Intermediate-Term Tax Free Fund — None — Buy
Invesco Premier Tax Exempt — Int/Div — Buy (add'l)
Lateef Fund — None — Sold (part)
Lateef Fund — Buy (add'l)
Lord Abbett Conv. Funda — Int/Div
Lord Abbett Emer. Mkts. Fund — Int/Div — Buy (add'l)
Pimeo Real Return Fund — Int/Div — Buy (add'l)
TCW Total Return Bond Fund — Int/Div — Buy (add'l)
IRA consisting of Stocks and Corporate (H): Bonds:
brokerage account No. (H)
Citibank Bank Deposit — Interest
corporate bonds (H):
municipal bonds (H):
brokerage account No. 2 (H)
Morgan Stnley, New Haven, CT liquid asset fund — Interest
stocks (H):
Abbvie — Int/Div
Aetna — Int/Div — Sold
AIA Group — None — Sold
Air Ligude — None — Sold
Alfa Laval — None — Sold
Allianz — None — Sold
Allstate — Int/Div — Buy
Amencan Electric Power — Int/Div
Amenixan Express — Int/Div
Ameriprise Financial — Int/Div
Anthem — Int/Div — Buy
Apache — Int/Div — Buy (add'l)
Apache — Buy (add'l)
Apache — Sold
Apple — Int/Div
Aspen — None — Sold
AT&T — Int/Div — Buy (add'l)
Atlas Copco — None — Sold (part)
Atlas Copco — Sold
Baidu — None — Sold
Banco Bilbao — None — Sold
Bank of America — Int/Div — Buy
Bayer — None — Sold
Bayerische Motoren Werke — None — Sold
BBA Aviation — None — Sold
BBAT — Int/Div — Buy
Bunge — None — Sold
CA Inc — None — Sold
Canadian National Ry — None — Sold
Camival — Distribution — Buy
Camival — None — Sold
Celanese — None — Sold
Check Pont — None — Buy (add'l)
Check Pont — Sold
Chevron — Int/Div
Cisco — Int/Div
Citizens Financial — Int/Div — Buy
Conoco Pillips — Int/Div — Buy
Conoco Pillips — None — Sold
Dassault Systems — None — Sold
DBS Group — None — Sold
Dr. Pepper Snapple Group — Int/Div — Buy
Eastman Chemical — Int/Div — Buy
Eaton — Int/Div
Entergy — Int/Div
Everest Re Group — Int/Div — Buy
Everest Re Group — Sold (part)
Everest Re Group — Sold
Exxon Mobil — Int/Div
Fanuc — None — Sold (part)
Fanuc — Sold
Fifth Third Bank — Int/Div — Sold
Fresenius — None — Sold
Fuchs Petrolub — None — Sold
General Dynamics — Int/Div
General Motors — Int/Div
Gnfols S.A — None — Sold
Grupo Financiero — None — Buy
Grupo Financiero — Buy (add'l)
Grupo Financiero — Sold
Grupo Tekevisa — None — Sold
Hartford Fin. Serv — None — Sold
Honeywell — Int/Div
HP Inc — Int/Div — Buy
T08. — Buy (add'l)
HSBC Holdings — None — Sold
HSBC Holdings — None — Sold
Icict Bank — None — Sold
Ingredion — Int/Div — Buy
Intel — Int/Div
International Paper — Int/Div
International Paper — None — Sold
International Paper — None — Sold
Johnson & Johnson — Int/Div
JP Morgan Chase — Int/Div
Kansas City Southern — Int/Div — Buy
Kubota — None — Sold
Lam Research — Distribution — Buy
L'Oreal — None — Sold
Linde AG — None — Sold
LVMH Moet — None — Sold
Mattel — None — Sold
Medtronic — Int/Div — Buy
Medtronic — Buy (add'l)
Metlife — Int/Div
Mitsubishi — None — Sold
Monotaro — None — Sold
Morgan Stanley — istmbution — Buy
Nabors — None — Sold
Naspers — None — Sold
Nestle — None — Sold
Oracle — Int/Div
Park24 — None — Sold
Pfizer — Int/Div — Sold (part)
PNC Financial — None — Sold
Procter & Gamble — Int/Div — Sold (part)
Public Service Enterprise — Int/Div
Quest Diagnostics — Int/Div
Reinsurance Corp. of America — Int/Div — Buy
Roche — None — Sold
Roval Dutch Shell — Int/Div — Sold (part)
Ryder Systems — None — Sold
Sanofi — None — Buy
Sanofi — Sold
Sanofi — None — Buy (add'l)
Sanofi — Sold
Sasol — None — Sold
Schlumberger — Int/Div — Buy (add'l)
Schlumberger — Buy (add'l)
Shire — None — Sold
Sonova — None — Sold
Suntrust — Int/Div — Buy
Symnise — None — Sold
Sysmex — None — Sold
Taiwan Semiconductors — None — Sold
Tenaris — None — Sold (part)
T60). — Sold
Travelers — None — Sold (part)
Travelers — Sold
Turkiye — None — Sold
Unilever PLC — None — Sold
United Technologies — Int/Div
U.S. Bancorp — Int/Div
Verizon — Int/Div — Buy (add'l)
VF Comp — Int/Div — Buy
Wells Fargo — Int/Div — Sold
Wells Fargo — None — Sold
Exchange Traded and Closed End Funds (Hy
Deutsche X-Trackers MSC Fund — Int/Div — Buy
Ishares Barclays 7-10 Year Treasury Fund — Int/Div — Buy (add'l)
Ishares Barclays 7-10 Year Treasury Fund — Buy (add'l)
Ishares MSC1 EAFE Index Fund — Int/Div — Buy (add'l)
Ishares Russell 1000 Index Fund — Int/Div
Ishares Russell 1000 Value Fund — Int/Div
Ishares Russell 3000 Fund — Int/Div
Ishares Russell mid-cap Fund — Int/Div
Ishares TIPS Bond Fund — Int/Div — Buy (add'l)
Ishares TIPS Bond Fund — Buy (add'l)
SPDR DJ Wilshire Int'l Real Estate — Int/Div — Buy (add'l)
SPDR DJ Wilshire Int'l Real Estate — Buy (add'l)
Vanguard Utilities Fund — Int/Div
Mutual Funds (H):
Cohen & Steers Pref, Sec. & Inc. — Int/Div — Buy (add'l)
Cohen & Steers Pref, Sec. & Inc. — Buy (add'l)
Guggenheim Total Return BD 1 Fund — Int/Div — Buy
Invesco AIM ATST Premier Fund — Int/Div — Buy (add'l)
Invesco AIM ATST Premier Fund — Buy (add'l)
Legg Mason Western Asset Emerging Markets Fund — Int/Div — Buy (add'l)
Legg Mason Western Asset Emerging Markets Fund — Buy (add'l)
Mamstay Marketfield Fund — None
Oppenheimer Int'l Fund — istnbution — Buy (add'l)
Oppenheimer Int'l Fund — Buy (add'l)
Pimco Total Return Fund — None — Sold
Corporator, Institute of Living
Elector, Hartford Atheneum
Life Regent, University of Hartford
Trustee, No. Famly Trust (assets listed in Part VIL, ines 109-132
Gift — Yale Umversity — three mghts lodging, lunches, and dimmers at Global Constitutional semma — $900.00
Reimbursement — Yale Umversity — Sept. 16-19, 2017 — New Haven, CT — attend Global Constitutional Seminar — breakfasts and parking three days
Reimbursement — Robert H. Jackson Center — Aug. 13. 16,2017 — Jamestown, NY — deliver Robert H, Jackson Lecture at Chautauqua — round trip airfare New York City to Buffalo, NY
Income — 10020017 — William S. Hein & Co. royalty — $509.00
that reason is reflected on this 2017 report,

Part VII:

global: all entries have been listed alphabetically within separately numbered brokerage accounts and, within each account, grouped within categories labeled

"stocks," "exchange traded and closed end funds,” "mutual funds," and "bonds" as permitted according to advice received from committee staff.

Line 21: The caption of the header was been altered to be more accurate,

Line 26: This fund was incompletely named on the 2016 form. The full name now appears.

Line 70: This line has yellow collorinh for columns C(1) and (2) because the first transaction for this stock was “sold”, However, the same stock was later bought

#s the next line shows. 1 have been instructed by staff to list the column C values oppposite the line with the name of the stock in this situation.

Line 511: This stock was misspelled as "Carlale” on the 2016 form.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/4195. Public record. Not legal advice.