Alan S. Trust

What was filed

187
investments
0
positions
0
gifts
0
agreements
0
debts
4
reimbursements
1
income
0
spouse income

Named parties

Part VII
Part VII;
Part VIII;
Part VIII
Pant VII
24 see Part VII
line 28; sce Part vil
line 30 sce Part vill
see Pat VIII
tor line Eglne
see VII
tor Global Opp
2012 - see Part vi
see VIII
Suate Bar of Texas
Center for American and International Law
American Cont Institute
Teaching - St Johns University School of Law

As filed

Ameriprise / Columbia Cash Mgt Accounts IDSXX — Interest

RVS Life Fixed (annuity) — None — Part VII

RVS/COL/SPS VP Cash Mgt (annuity) — None — Buy (add'l) — Part VII

RVS/COL VP High Yield Bond (annuity) — None — Part VII;

Goldman VIT MidCap Va (annuity) — None — Part VIII;

Fid VIP Midcap C12 (annuity) — None — Part VII;

FT VIP Small Cap Valu (annuity) — None — Part VIII;

WF Adv VT Small Cap (annuity) — None — Sold (part) — Part VIII

THDNDL /COL VP Emerg Mkts (annuity) — None — Part VIII

Wanger Int'l Small Cap (annuity) — None — Part VIII;

FT GLB VIP Real Estate (annuity ) — None — Part VII

Oppenheimer Strat Bond (annuity) — None — Part VIII

Alliance Bernstein Equity Income IRA (now at AmPrise) — Int/Div — Sold (part) — Part VIII

Alliance Bernstein Global Thematic IRA (now at AmPrise) — None — Sold (part) — Part VII

Alliance Bernstem Int'l Growth IRA &SEP transfer to AmPrise then sold — Ine — Sold — Part VIII

Alliance Bernstemn Int'l Value IRA & SEP transfer to AmPrise then sold — Int/Div — Sold — Part VII

ALliance Bernstein Int'l IRA & SEP transfer 10 AmPrise then sold — Int/Div — Sold — Part VIII

Alliance Bernstein Small CapGrowth IRA transfer to AmPrise then sold — Int/Div — Sold — Part VII

Alliance Bernstein Growth IRA & SEP transfer to AmPrise then sold — Int/Div — Sold — Part VII

Alliance Bernstein Disc Value SEP IRA transfer to AmPrise — Int/Div — Buy (add'l) — Part VII

Alliance Bernstein Disc Value SEP IRA transfer to AmPrise — Buy (add'l) — Pant VII

Alliance Bernstein Disc Value SEP IRA transfer to AmPrise — Buy (add'l) — Part VII

Alliance Bern BSS nka Bernstein Sanford Int] IRA transfer to AmPrise — Int/Div — Sold — Part VII

Mass Mutual Annuity —~ MML Equity — None — Buy (add'l) — Part VII

Mass Mutual Ammuity - Opp Global Strategic — None — Sold (part) — 24 see Part VII

Mass Mutual Ammuity - Opp Global Strategic — Sold (part) — line 28; sce Part vil

Mass Mutual Ammuity - Opp Global Strategic — Sold (part) — line 30 sce Part vill

Mass Mutual Annuity — Opp Main Street Small Cap — None

Mass Mutual Annuity - Opp Main Street — None — Buy (add'l) — Part VIII

Mass Mutual Annuity Main Street Global INEW) — None — Buy — Part VIII

Oppenheimer Cap App (both) — Int/Div — Buy (add'l) — Part VII

Oppenheimer Cap App (both) — Sold (part) — see Pat VIII

Oppenhemmer Global Fund — Int/Div — Buy (add'l)

Oppenhemmer Global Fund — Buy (add'l)

Oppenhemmer Global Fund — Sold (part)

Oppenhemmer Global Fund — Buy (add'l)

Oppenheimer Global Opportunities — None — Buy — Part VII

Oppenheimer Global Opportunities — Buy (add'l)

Oppenhennr Global Value — None — Buy (add'l) — Part VII

Oppenhennr Global Value — Buy (add'l)

Oppenhemmer Main Street Fund — Int/Div

Oppenheimer Main Street Small MidCap & Select — Int/Div — Sold (part) — tor line Eglne

Oppenheimer Main Street Small MidCap & Select — Buy (add'l)

Oppenheimer Global Strategic Income (ka Champion Income) — Int./hv — Buy (add'l)

Oppenheimer Global Strategic Income (ka Champion Income) — Sold (part) — see VII

Oppenheimer Global Strategic Income (ka Champion Income) — Sold — see VII

Oppenheimer Global Strategic Income (ka Champion Income) — Buy

Oppenheimer Global Allocation (Quest) — Int/Div — Sold (part) — see VII

Oppenheimer Sr. Floating — Int/Div — Buy (add'l)

Oppenheimer Sr. Floating — Sold (part) — see VII

Oppenheimer Rochester AMT Free — Int/Div — Buy (add'l)

Oppenheimer Rochester AMT Free — Buy (add'l)

Oppenheimer Rochester AMT Free — Sold (part) — see VII

Oppenheimer Rochester AMT Free — Sold — see VII

Oppenheimer Rochester Nat'l Munis nka High Yield Munis — hy — Buy (add'l)

Oppenheimer Rochester Nat'l Munis nka High Yield Munis — Sold — see VII

Oppenheimer Int'l Small Co — Int/Div — Buy (add'l)

Oppenheimer Int'l Small Co — Buy (add'l)

Oppenheimer Int'l Small Co — Sold (part)

Oppenheimer Int'l Small Co — Buy (add'l)

Oppenheimer Rochester Limited Term Munis — Int/Div — Sold (part) — see VII

Oppenheimer Rochester Limited Term Munis — Sold (part) — see VII

scholar’s Edge 529 Plan - Age based portfolio (15-17) — None — Sold (part) — Part VIII

Belt West Funding Corp raw land in Dallas County — Interest

Roval McAbee universal hife insurance — None

State of Israel savings bond — Int/Div

Energy East — Int/Div

Merrill Lynch / AIG stock — Int/Div

Amprise TWEAX Amer Century Eq Income — Int/Div — Sold (part) — Part VII

Amprise TWEAX Amer Century Eq Income — Buy (add'l) — Part VII

Amprise ODMAX Oppenheimer Developing Mkts — Int/Div

Oppenheimer Discovery — Int/Div — Buy (add'l)

Oppenheimer Discovery — Buy (add'l)

Ameriprise MDLOX Blackrock Golbal Allocation — Int/Div — Buy (add'l)

IMNYX (Legg Mason) Western Asset Intermed NY Munis — Int/Div

Fidelity VIP Contra (w/in auunity) — None — Part VII

Am Century / VP Value (w/in annuity) — None — Part VIII;

ONL Lifestyles ONLIDI (w/in L IRA) — Int/Div

Corp Prop Assoc CPAIT (w/in L IRA) — Int/Div

Am Insured Mkt (w/in L IRA) — Int/Div

MITTX (w/in L IRA) Mass MFS Investors — Int/Div — Sold (part)

ATHAX (w/in L IRA) Amer Century Heritage — Int/Div

MGIAX (w/in L IRA) MFS Int'l Value — Int/Div

RRIAX (w/in L IRA) Columbia Global Infra fka Col Recovery Infra — Int/Div — Sold (part)

DELETED reoprted as sold in 2012 — None

Justice Federal accounts — Int/Div

Invesco Int'l Gr. Sr. (annuity) — None — Part VIII

MDLOX (w/in L IRA) Blackrock Global Alloc. — Int/Div

Oppenheimer Equity Income IRA — Int./y — Buy (add'l)

Oppenheimer Equity Income IRA — Buy (add'l)

Oppenheimer Main St Small Cap — Int/Div — Buy

Oppenheimer Main St Small Cap — Buy (add'l)

Scholars Edge Large Cap nka Dreyfus R Growth — None — Part VIII

Scolars Edge Sm & Mid Cap — None — Part VIII

Scholars Edge Int'l Equity — None — Part VII

Scholars Edge Agg Grow nka Moderately Age — None — Buy (add'l) — Part VII

Scholars Edge Large Cap Value nka Value — None — Part VIII

Scholars Edge Aggresive — None — Buy — Part VIII

Scholars Edge Moderate — None — Buy — Part VII

Pimco VIT All Asset (annuity) — None — Part VII

Oppenhemmer Deveoping Mkts Fund — Int/Div — Buy

Oppenhemmer Deveoping Mkts Fund — Buy (add'l)

Oppenhemmer Deveoping Mkts Fund — Sold (part)

Oppenheimer Rochester Ltd Term NY Munis — Int/Div — Sold (part)

Oppenheimer Rochester Ltd Term NY Munis — Sold (part)

Oppenheimer Rochester Ltd Term NY Munis — Sold (part) — see VII

Oppenheimer Rochester Ltd Term NY Munis — Sold — see VII

Oppenheimer Money Mkt (treat as bank acct) — Int/Div

Oppenheimer Rochester AMT Free NY Munis — Int — Buy (add'l)

Oppenheimer Rochester AMT Free NY Munis — Buy (add'l)

Oppenheimer Rochester AMT Free NY Munis — Sold (part)

Oppenheimer Rochester AMT Free NY Munis — Sold (part) — see VII

Oppenheimer Rochester AMT Free NY Munis — Buy (add'l)

Oppenheimer Emerging Markets Debt Fund — None — Sold — tor Global Opp

Alliance Bern Disc Growth — None — Sold — Part VII

Alliance Bern Market Neutral US — None — 2012 - see Part vi

Alliance Bern Core Opportunites — None — Sold — Part VII

LS treasunes — Interest — Part VIII

AmerGen (L IRA) — Int/Div — Part VII

DELETED -- combined with line 178

Oppenhemmer Small & Mid Cap Value — Int/Div — Buy

Oppenheimer Int'l Value — Int/Div — Buy

Oppenheimer Int'l Value — Buy (add'l)

Oppenheimer Int'l Value — Sold (part) — see VII

Oppenheimer Real Estate Fund — Int/Div — Buy

Oppenheimer Real Estate Fund — Buy (add'l)

Oppenheimer Real Estate Fund — Sold (part) — see VII

Oppenheimer Real Estate Fund — Sold (part) — see VIII

Oppenheimer Real Estate Fund — Sold (part) — see VII

Oppenheimer Real Estate Fund — Sold — see VII

Oppenheimer Discovery Mid Cap Growth — Int/Div — Buy

Oppenheimer Discovery Mid Cap Growth — Buy (add'l)

Oppenheimer Int'l Growth — Int/Div — Buy

Oppenheimer Int'l Growth — Buy (add'l)

Oppenheimer Int'l Growth — Sold (part)

Oppenheimer Int'l Growth — Buy (add'l)

Blackrock Global Dividend ( AmPrise) — Int/Div — Buy — Part VIII

Blackrock Global Dividend ( AmPrise) — Buy (add'l) — Part VII

Blackrock Global Dividend ( AmPrise) — Buy (add'l) — Pant VII

CNL Growth Props (AmPrise) — Int/Div — Buy — Part VII

Corporate Capital (AmPrise) — Int/Div — Buy — Part VII

Fidelity Advisor Growth Opp (AmPrise) — Int — Buy — Part VII

Fidelity Advisor Growth Opp (AmPrise) — Buy (add'l) — Part VII

Fidelity Advisor Growth Opp (AmPrise) — Buy (add'l) — Part VIII

Goldman Sachs Strategic Inc. (AmPrise) — Int/Div — Buy — Part VII

MFS Intl Value (AmPrise) — Int/Div — Buy — Part VII

MFS Intl Value (AmPrise) — Buy (add'l) — Part VII

MFS Intl Value (AmPrise) — Buy (add'l) — Part VIII

Steelpath Opp MLP Inc (AmPrise) — Int/Div — Buy — Part VII

Steelpath Opp MLP Inc (AmPrise) — Buy (add'l) — Part VII

Steelpath Opp MLP Inc (AmPrise) — Buy (add'l) — Part VIII

Templeton Global Bond (AmPrise) — Int/Div — Buy — Part VIII

Transamerica Short Term Bond { AmPrise) — Int/Div — Buy — Part VII

Wells Fargo WFA Absolute Return (AmPrise) — Int/Div — Buy — Part VII

Northern Lights Altegris (AmPrise) — Int/Div — Buy

Reimbursement — Suate Bar of Texas — 13 — Austin, TX — Speaker at seminar in Austin. TX — reimbursement for actual out of pocket travel, lodging and meals

Reimbursement — Center for American and International Law — 5/3 — Plano, TX — speaker at seminar in Plano, Tx — reimbursement for actual out of pocket travel, lodging and meals

Reimbursement — national bar organization in San Juan — travel, lodging and meals ~~

Reimbursement — American Cont Institute — 713 — Chicago, IL — Speaker at a seminar in Chicago [Il — reimbursement for actual out of pocket travel, lodging and meals

Income — 2013 — Teaching - St Johns University School of Law — S7.000.00

Limes 2 - 12, 24-30, 78, 115-121-- based on information provided by the fund manager(s), no mcome or remvested dividends, taxable or otherwise, was paid or

attributed to any of these investments during the reporting period.

Lines 13, 14, 15, 16, 17, 18, 19, 20, 23, 143 and 145 — these funds were at Alliance Bernstein us of 1/1/13, but were all transferred to AmeriPrise Financial i July

2013 on a roll over from IRA / SARSEP to IRA account.

Funds in fines 112, 170, 173, 174, 175, 178, 179, 182, 186 and 187 were purchased following transfer of lines 13, 14, 15, 16, 17, 18, 19, 20, 23, 143 and 145 to

AmeriPrise.

A portion of line 25 was used to acquire portions of line 24 and 28 and line 30.

Losses were suffered for sales in lines 51, 52, 54, 56, 57, 60 - 63, 73-77, 130, 131, 138 - 140, 154 and 160; therefore no Gain code in D(4).

Fund in line 78 used to acquire funds in lines 115 - 121.

Line 144 - fund was sold in 2012 but inadvertently not reported as such: sales were Feb 13, Feb 23, and December 2012 each J and each no reported gain or loss

as within an IRA or SARSEP

Line 148 - the asset listed here has been combined with line 178.

Lines 158 and 159 -- Opp Real Estate Fund were partial exchanges for Opp Global Value and Discovery Mid Cap (8/1/13) and Gloabal Opp (10/21) -- show as

non reportable transactions