Stuart M. Bernstein

401K Plan

Vanguard Prime Money Market Instl (401K) — Int/Div

T. Rowe Price Personal Strat Balanced (401K) — Int/Div

JP Morgan Chase Bank Accounts — Interest

Citibank Accounts — Interest

Citibank Account — Interest

Citibank Account — Interest

Keogh (Target) Plan--Plan — Int/Div — Sold (part)

Phoenix Life Insurance (Whole Life) — Int/Div

Non-Deductible Contribution Plan 111 {Capital "C" Account) — None — Distnbuted

Capital "A" Account — None — Sold (part)

Schwab US Treasury Money Fund (2588) — Interest

PIMCO Foreign Bond (Hedged)-D (258%) — Int/Div — Sold (part)

PIMCO Foreign Bond (Hedged)-D (258%) — Sold

American Century Equity Income Fund (2588) — Int/Div

Invesco Diversified Dividend - A (2588) — Int/Div — Sold (part)

Invesco Diversified Dividend - A (2588) — Sold

Permanent Portfolio (2588) — Int/Div — Buy (add'l)

Vanguard Div Appreciation (2588) — Int/Div — Buy (add'l)

Vanguard Div Appreciation (2588) — Sold (part)

iShares Russell 2000 Index (2588) — Int/Div — Buy (add'l)

iShares Russell 2000 Index (2588) — Sold (part)

iShares Russell 2000 Index (2588) — Sold

Black Rock Floating Rate Income Inv A (24588) — Int/Div — Sold (part)

Black Rock Floating Rate Income Inv A (24588) — Sold

Lord Abbett Floating Rate Fund C1 A (2588) — Int/Div — Sold

Black Rock High Yield Bond (2588) — Int/Div

Jensen Quality Growth (2588) — Int/Div — Buy

Jensen Quality Growth (2588) — Buy (add'l)

T. Rowe Price Capital Appreciation (2588) — Int/Div

SPDR S&P S00 Index (2588) — None — Buy

American Funds EuroPacific Growth-A (2588) — Int/Div — Buy

American Funds EuroPacific Growth-A (2588) — Buy (add'l)

American Funds EuroPacific Growth-A (2588) — Buy (add'l)

Invesco Int'l Growth Fund C1 Y (2588) — Int/Div — Buy

Nuveen High Yield Muni Bond Fund C1 A (2488) — Int/Div — Buy

Nuveen High Yield Muni Bond Fund C1 A (2488) — Buy (add'l)

T. Rowe Price Capital Appreciation (5289) — Int/Div — Sold (part)

SPDR Sector-Industrials (5289) — Int/Div — Sold (part)

SPDR Sector-Industrials (5289) — Sold

Schwab Government Money Fund (5289) — Interest

Fidelity Puritan (5289) — Int/Div

SPDR Trust S&P S00 Index (5289) — Int/Div — Buy (add'l)

American Century Equity Income (5289) — Int/Div — Sold (part)

American Century Equity Income (5289) — Sold

Rydex Series Trust S&P S00 Fund Class H (5289) — Int/Div — Sold (part)

Tortoise MLP & Pipeline Fund (5289) — None — Sold

Guggenheim S&P S00 Pure Value (5289) — Int/Div — Sold

SPDR Select Sector-Consumer Discretionary (5289) — Int/Div — Sold

iShares Core S&P Small-cAP (5289) — Int/Div — Sold (part)

iShares Core S&P Small-cAP (5289) — Sold

iShares Russell 2000 Index (5289) — Int/Div — Sold (part)

iShares Russell 2000 Index (5289) — Sold

SPDR Dow Jones Industrial Average ETF (5289) — None — Buy

iShares Russell 1000 Growth (5289) — Int/Div — Buy

iShares Russell 1000 Growth (5289) — Buy (add'l)

Rydex Internet Fund (5289) — None — Buy

Rydex Internet Fund (5289) — Buy (add'l)

Rydex Internet Fund (5289) — Buy (add'l)

Rydex Internet Fund (5289) — Sold (part)

Rydex Internet Fund (5289) — Sold (part)

VanEck Vectors Semiconductor (5289) — Int/Div — Buy

VanEck Vectors Semiconductor (5289) — Buy (add'l)

VanEck Vectors Semiconductor (5289) — Sold (part)

Vanguard Financials Index Fund ETF 15289) — Int/Div — Buy

Vanguard Financials Index Fund ETF 15289) — Buy (add'l)

iShares DJ US IDX Transportation (5289) — Int/Div — Buy

iShares DJ US IDX Transportation (5289) — Buy (add'l)

iShares DJ US IDX Transportation (5289) — Buy (add'l)

iShares DJ US IDX Transportation (5289) — Sold (part)

John Hancock Funds International Growth (5289) — Int/Div — Buy

John Hancock Funds International Growth (5289) — Buy (add'l)

John Hancock Funds International Growth (5289) — Buy (add'l)

Rydex Biotechnology (5289) — None — Buy

Rydex Biotechnology (5289) — Sold

Rydex Financial Services (5289) — None — Buy

Rydex Financial Services (5289) — Buy (add'l)

Rydex Financial Services (5289) — Sold (part)

Rydex Financial Services (5289) — Sold

SPDR Sector Health (5289) — Int/Div — Buy

SPDR Sector Health (5289) — Buy (add'l)

SPDR Sector Health (5289) — Buy (add'l)

SPDR Sector Health (5289) — Sold (part)

SPDR Sector Health (5289) — Sold (part)

SPDR Sector Health (5289) — Sold

iShares Gold Trust (5289) — None — Buy

iShares Gold Trust (5289) — Sold

iShares Nasdaq Biotechnology (5289) — None — Buy

iShares Nasdaq Biotechnology (5289) — Sold

iShares US Basic Materials (5289) — Int/Div — Buy

iShares US Basic Materials (5289) — Buy (add'l)

iShares US Basic Materials (5289) — Sold (part)

iShares US Basic Materials (5289) — Sold

American Century Equity Income Fund (IRA-1410) — Int/Div — Sold (part)

Schwab U.S. Treasury Money Funds (IRA-1410) — Interest

PIMCO Foreign Bond (Hedged)-D (IRA-1410) — Int/Div

James Balanced Golden Rainbow Fund (IRA-1410) — Int/Div — Sold

Fidelity Puritan (IRA-1410) — Int/Div

MFS Value Fund A (IRA-1410) — Int/Div

Schwab US Small-Cap ETF (IRA-1410) — Int/Div — Buy (add'l)

Schwab US Small-Cap ETF (IRA-1410) — Sold (part)

Schwab US Small-Cap ETF (IRA-1410) — Sold

Eaton Vance Income Fund of Boston (IRA-14100 — Int/Div

Lord Abbett Floating Rate Fund CI A (IRA-14100 — Int/Div — Sold

Voya Floating Rate Fund C1 A (IRA-1410) — Int/Div — Sold (part)

Voya Floating Rate Fund C1 A (IRA-1410) — Sold

Jensen Quality Growth (IRA-1410) — Int/Div — Buy

Columbia Balanced-Class A (IRA-1410) — Int/Div — Buy

Columbia Balanced-Class A (IRA-1410) — Buy (add'l)

Permanent Portfolio (IRA-1410) — Int/Div — Buy

American Funds EuroPacific Growth-A (IRA-1410) — Int/Div — Buy

American Funds EuroPacific Growth-A (IRA-1410) — Buy (add'l)

American Funds EuroPacific Growth-A (IRA-1410) — Buy (add'l)

T. Rowe Price Capital Appreciation {IRA-S5055) — Int/Div

ICON Industrials Fund Class S (IRA-5055) — None — Sold

Schwab Government Money Fund (IRA-S055) — Interest

Fidelity Puritan (IRA-5055) — Int/Div

Guggenheim S&P 500 Equal Wet Technology (IRA-5055) — Int/Div — Buy (add'l)

American Century Equity Incme (IRA-S055) — Int/Div — Sold (part)

American Century Equity Incme (IRA-S055) — Sold

Columbia Small Cap Index-Class A (IRA-5055) — Int/Div — Sold

Income Fund of America-F (IRA-5055) — Int/Div — Sold (part)

Income Fund of America-F (IRA-5055) — Sold

Rydex NASDAQ-100 Fund (IRA-5055) — Int/Div — Buy

Rydex NASDAQ-100 Fund (IRA-5055) — Buy (add'l)

Rydex NASDAQ-100 Fund (IRA-5055) — Sold (part)

Rydex S&P 500) Pure Value Fund {IRA-5055) — None — Buy (add'l)

Rydex S&P 500) Pure Value Fund {IRA-5055) — Sold (part)

Rydex S&P 500) Pure Value Fund {IRA-5055) — Sold

ProFunds Consumer Services Ultra Sector ({IRA-S5055) — None — Sold

Rydex Telecommunications (IRA-5055) — None — Sold

Tortoise MLP & Pipeline Fund (IRA-5055) — None — Sold

Guggenheim Equal Weight-Industrials (IRA-5055) — Int/Div — Sold

iShares Russell 2000 Index (IRA-5055) — Int/Div — Sold (part)

iShares Russell 2000 Index (IRA-5055) — Sold

SPDR S&P S00 Index (IRA-5055) — None — Buy

iShares Russell 1000 Growth (IRA-5055) — Int/Div — Buy

iShares Russell 1000 Growth (IRA-5055) — Buy (add'l)

Rydex Electronics (IRA-5055) — Int/Div — Buy

Rydex Electronics (IRA-5055) — Buy (add'l)

Rydex Electronics (IRA-5055) — Sold (part)

Rydex Transportation {IRA-5055) — Int/Div — Buy

Rydex Transportation {IRA-5055) — Buy (add'l)

Rydex Transportation {IRA-5055) — Buy (add'l)

Rydex Transportation {IRA-5055) — Sold (part)

First Trust DJ Internet Index Fund {IRA-S5055) — None — Buy

First Trust DJ Internet Index Fund {IRA-S5055) — Buy (add'l)

First Trust DJ Internet Index Fund {IRA-S5055) — Buy (add'l)

First Trust DJ Internet Index Fund {IRA-S5055) — Sold (part)

First Trust DJ Internet Index Fund {IRA-S5055) — Sold (part)

SPDR Sector-Financial (IRA-S055) — Int/Div — Buy

SPDR Sector-Financial (IRA-S055) — Buy (add'l)

John Hancock Funds Intemational Growth {IRA-S5055) — Int/Div — Buy

John Hancock Funds Intemational Growth {IRA-S5055) — Buy (add'l)

John Hancock Funds Intemational Growth {IRA-S5055) — Buy (add'l)

Rydex Basic Materials (IRA-5085) — Int/Div — Buy

Rydex Basic Materials (IRA-5085) — Buy (add'l)

Rydex Basic Materials (IRA-5085) — Sold (part)

Rydex Basic Materials (IRA-5085) — Sold (part)

Rydex Basic Materials (IRA-5085) — Sold

Guggenheim Equal Weight-Healthcare {IRA-5055) — Int/Div — Buy

Guggenheim Equal Weight-Healthcare {IRA-5055) — Buy (add'l)

Guggenheim Equal Weight-Healthcare {IRA-5055) — Buy (add'l)

Guggenheim Equal Weight-Healthcare {IRA-5055) — Sold (part)

Guggenheim Equal Weight-Healthcare {IRA-5055) — Sold (part)

Guggenheim Equal Weight-Healthcare {IRA-5055) — Sold

Rydex Biotechnology (IRA-5055) — None — Buy

Rydex Biotechnology (IRA-5055) — Buy (add'l)

Rydex Biotechnology (IRA-5055) — Sold (part)

Rydex Biotechnology (IRA-5055) — Sold

Rydex Financial Services (IRA-5055) — None — Buy

Rydex Financial Services (IRA-5055) — Buy (add'l)

Rydex Financial Services (IRA-5055) — Sold

Rydex Financial Services (IRA-5055) — Sold

SPDR Gold Shares (IRA-5055) — None — Buy

SPDR Gold Shares (IRA-5055) — Sold

Trust# 1

JP MorganChase Bank Account — Interest

John Hancock Life Insurance Policy — Interest

Director, Fordham Law Alumni Association

All information and explanations relate to Part VII:

Lines 8: As a retiree, my spouse receives monthly distributions from the Keogh (Target) Plan. The aggregate amount of the monthly distributions in 2017 is listed

in column "DY3)" as having been made on December 31, 2017.

Line 10: As a retiree, my spouse received monthly distributions from her Capital "C." The aggregate amount of the monthly distributions in 2017 is listed in

column "D(3)" as having been made on December 31, 2017. The balance in this account is zero, there will be no further withdrawals, and this account will not be

listed in future reports,

Line 11: No contributions were made to the Capital "A" account in 2017.

lines 12-176: I maintain two IRA brokerage accounts and my spouse and | maintain two brokerage accounts held as tenants in common with Charles Schwab, The

report identifies the security that is the subject of the reported transaction with a parenthetical reference that identifies the last four digits of the account number

and whether the account is an IRA account. Where multiple purchases or sales were made during the year, the aggregate amount of the income, if any, and the

value of the asset (if held at the end of the reporting period) are reported on the first line on which the asset is listed.

line 179: The John Hancock Life Insurance Policy is a Flexible Premium Survivorship Universal Life ("Second to Die”) policy that my spouse and | maintain for

the benefit of our son. Tam not aware of any investment options and have never directed any investments. Tn addition, the vilue listed in column ¢(2) is the gross

value and does not reflect the substantial "surrender charge" in the event that the policy is cancelled.