Carla Craig

2014Annual

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Pull out the substance of this filing.

Parts of this filing are redacted in the source. Gaps below are the filing's, not ours.

What was filed

326
investments
2
positions
0
gifts
0
agreements
4
debts
0
reimbursements
0
income
1
spouse income

Named parties

Kudspint Magazine
states of
Mt Kellett Capital Parmers 11 LP
Barnard College
Morgan US Income and Growth LP
CFSR Private Investors LLC
Schulte Roth and Zabel LLP-partmership distribution

As filed

Lomne Spruce LP

Citibank Checking and Money Market Accounts — Interest

LP. Morgan Money Market — Int/Div

JPM US Real Estate Income and Growth Direct LP (474995958) — None

JPM Floatmg Rate Income Fund (JPHSX) — Int/Div

Global Access Macro LLC II ) (Y)

IP Morgan International Currency Income Fund JCISX) — None

JP Morgan Strategic Income Opportunites Fund 3844 (JSOSX) — Int/Div

American Century Equity Income Fund 123 (TWEIX) — Int/Div

iShares MSCI All Country Asia Ex Japan Index Fund (AAXJ) — Int/Div

JP Morgan Intl. Value Fund (JIESX) — Int/Div — Buy (add'l)

CSEFR Private Investors LLC IE — None

JP Morgan Tax Aware R/R Fund (TXRSX)) (f/k/a JP Morgan TR Fund 992) — Int/Div

Fidelity Cash Reserves — Int/Div

Fidelity Spartan NY Muni Income — Int/Div

Aquila Three Peaks High Income Inst (ATIPX) — Int/Div — Sold

Artisn High Income Investor (ARTFX) — Int/Div — Buy

Artisn High Income Investor (ARTFX) — Buy (add'l)

Artisn High Income Investor (ARTFX) — Sold (part)

Artisn High Income Investor (ARTFX) — Buy (add'l)

Artisan Midcap Value (ARTOX) — None — Sold

Fidelity Banking (FSRBX) — Int/Div — Buy

Fidelity Banking (FSRBX) — Buy (add'l)

Fidelity Money Market Account (FCASH) x) — None

Fidelity Conservative Income Bond (FCONX) — Int/Div — Buy (add'l)

Fidelity Conservative Income Bond (FCONX) — Buy (add'l)

Fidelity Conservative Income Bond (FCONX) — Sold (part)

Fidelity Conservative Income Bond (FCONX) — Buy (add'l)

Fidelity Electronics (FSELX) — None — Buy

Fidelity Electronics (FSELX) — Sold

Fidelity Floating Rate High Income (FFRHX) — Int/Div — Sold (part)

Fidelity Floating Rate High Income (FFRHX) — Sold

Fidelity Intermediate Bond ((FTHRX) — Int/Div — Buy

Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)

Fidelity Intermediate Bond ((FTHRX) — Sold (part)

Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)

Fidelity Int'l Growth (FIGFX) — Int/Div — Buy (add'l)

Fidelity Int'l Growth (FIGFX) — Buy (add'l)

Fidelity Int'l Growth (FIGFX) — Sold (part)

Fidelity Int'l Growth (FIGFX) — Buy (add'l)

Fidelity Japan Small Companies (FJSCX) — None — Buy

S10. — Sold

Fidelity Low Priced Stock (FLPSX) — Int/Div — Buy (add'l)

Fidelity Medical Equipment & Systems (FSMEX) — Int/Div — Buy

Fidelity Medical Equipment & Systems (FSMEX) — Buy (add'l)

Fidelity Mega Cap Stock (FGRTX) — Int/Div — Sold (part)

Fidelity Mega Cap Stock (FGRTX) — Sold (part)

Fidelity Mega Cap Stock (FGRTX) — Buy (add'l)

Fidelity Mega Cap Stock (FGRTX) — Sold (part)

Fidelity Mega Cap Stock (FGRTX) — Buy (add'l)

Fidelity Select Multimedia (FBMPX) — Int/Div — Buy

Fidelity Select Multimedia (FBMPX) — Buy (add'l)

Fidelity Select Utilities (FSUTX) — Int/Div — Buy

Fidelity Select Utilities (FSUTX) — Buy

Fidelity Transportation (FSRFX) — Int/Div — Buy

Fidelity Transportation (FSRFX) — Sold

Fidelity Transportation (FSRFX) — Buy

Fidelity Transportation (FSRFX) — Buy (add'l)

Hartford Healthcare Fund (HGHAX) — Buy (add'l)

Hartford Healthcare Fund {(HGHIX) — Sold (part)

PIMCO All Asset Fund Adm Class (PAALX) — Int/Div — Sold (part)

PIMCO All Asset Fund Adm Class (PAALX) — Buy (add'l)

Primecap Odyssey Aggressive Growth (POAGX) — Int/Div — Buy (add'l)

Primecap Odyssey Aggressive Growth (POAGX) — Buy (add'l)

Primecap Odyssey Growth (POGRX) — Int/Div — Buy

Primecap Odyssey Growth (POGRX) — Buy (add'l)

Primecap Odyssey Growth (POGRX) — Sold (part)

Primecap Odyssey Stock (POSKX) — Int/Div — Sold (part)

Primecap Odyssey Stock (POSKX) — Buy (add'l)

Vanguard Dividend Growth (VDIGX) — Int/Div — Sold (part)

Vanguard Dividend Growth (VDIGX) — Sold (part)

Vanguard Dividend Growth (VDIGX) — Buy (add'l)

Vanguard Dividend Growth (VDIGX) — Sold (part)

Vanguard Dividend Growth (VDIGX) — Buy (add'l)

Vanguard Intermediate Term Tax Exempt (VWIUX) — Int/Div — Sold (part)

Vanguard Limited Term Tax Exempt (VMLUX) — Int/Div — Buy (add'l)

Vanguard Limited Term Tax Exempt (VMLUX) — Buy (add'l)

Vanguard Limited Term Tax Exempt (VMLUX) — Sold (part)

Vanguard Short Term Investment Grade (VFSUX) — Int/Div — Buy (add'l)

Vanguard Short Term Investment Grade (VFSUX) — Buy (add'l)

Vanguard Short Term Investment Grade (VFSUX) — Sold (part)

Vanguard Short Term Investment Grade (VFSUX) — Buy

MainStay Marketfield Fund Cll (MFLDX) — None — Sold (part)

MainStay Marketfield Fund Cll (MFLDX) — Sold (part)

MainStay Marketfield Fund Cll (MFLDX) — Sold

iShares Dow Jones US Aerospace & Development (ITA) — Int/Div — Buy (add'l)

iShares Dow Jones US Aerospace & Development (ITA) — Buy (add'l)

iShares Dow Jones US Aerospace & Development (ITA) — Sold (part)

iShares Dow Jones US Aerospace & Development (ITA) — Sold

iShares Dow Jones US Broker Dealers (1A) — Int/Div — Buy (add'l)

iShares Dow Jones US Broker Dealers (1A) — Sold (part)

iShares Dow Jones US Broker Dealers (1A) — Sold

Shares Dow Jones US Consumer (1YC) — Int/Div — Sold (part)

Shares Dow Jones US Consumer (1YC) — Sold

iShares Dow Jones US Healthcare Provider (IHF) — Int/Div — Buy

iShares Dow Jones US Healthcare Provider (IHF) — Sold (part)

iShares Dow Jones US Healthcare Provider (IHF) — Buy (add'l)

iShares Dow Jones US Healthcare Provider (IHF) — Sold (part)

iShares Dow Jones US Healthcare Provider (IHF) — Sold

iShares Dow Jones US Industrial Sector Index (IY) — None — Buy

iShares Dow Jones US Industrial Sector Index (IY) — Sold

iShares Dow Jones US Oil & Gas Ex Index (IEO) — Int/Div — Buy

iShares Dow Jones US Oil & Gas Ex Index (IEO) — Buy (add'l)

iShares Dow Jones US Oil & Gas Ex Index (IEO) — Sold (part)

iShares Dow Jones US Oil & Gas Ex Index (IEO) — Sold

iShares Dow Jones US Regional Banks (IAT) — None — Buy

iShares Dow Jones US Regional Banks (IAT) — Sold

iShares Dow Jones US Utilities Sector Index {ID — None — Buy

iShares Dow Jones US Utilities Sector Index {ID — Sold

iShares FTSE/ Xinhua China 25 Index (FXI1) — None — Buy

iShares FTSE/ Xinhua China 25 Index (FXI1) — Sold

iShares MSC Brazil Index (EWZ) — None — Buy

iShares MSC Brazil Index (EWZ) — Sold

iShares North American Natural Resources (IGE) — None — Buy

iShares North American Natural Resources (IGE) — Sold (part)

iShares North American Natural Resources (IGE) — Buy (add'l)

iShares North American Natural Resources (IGE) — Sold

iShares Russell Midcap Growth Index (IWP) — Int/Div — Buy

iShares Russell Midcap Growth Index (IWP) — Buy (add'l)

iShares Russell Midcap Growth Index (IWP) — Sold (part)

iShares Russell Midcap Growth Index (IWP) — Sold

iShares S&P Global Technology Sector Index (IXN) — None — Buy

iShares S&P Global Technology Sector Index (IXN) — Sold

Kopemik Global All Cap A (KGGAX) — None — Buy

Kopemik Global All Cap A (KGGAX) — Sold

WisdomTree Japan Hedged Equity (DJX)

E-Trade f/k/a WIT Capital — None

Schulte Roth & Zabel Capital Account(investment in law firm) — Interest — Buy (add'l)

NY College Savings Program — None

Moderate Age Based Income Option Portfolio

Vanguard Educational IRA — None

Vanguard Small Cap Index Fund Investor Shires

Vanguard Educational IRA — None

Vanguard Small Cap Index Fund Investor Shares

BlackRock CollegeAdvantage — None

BR Growth Portfolio Option A

BlackRock CollegeAdvantage — None

BR Growth Portfolio Option A

B & McG Holdings — None

Shelter Venture Fund — Distribution

Special Situations Technology Fund, L.P — Int/Div

SRZ Savings Plan — None — Buy (add'l)

Wells Fargo Money Mkt Fund

Merck common stock

Pfizer common stock

SRZ Cash Balance Plan — None — Buy (add'l)

SRZ Thrift Plan — None — Buy (add'l)

SRZ Thrift Plan — Buy (add'l)

SRZ Partners Pension Plan — None — Buy (add'l)

Schulte Roth & Zabel Supplemental Retirement Fund — None — Buy (add'l)

Hancock-Pimeo Vit All Asset Portfolio (y)

Hancock-American International, Capital Research (v)

Hancock- PIMCO Real Return Bond (v)

Hancock-Int'l Growth Stock fka Int'l Opportunities (y)

Hancock-Amencan Growth, Capital Research (v)

Hancock-Real Estate Securities, Deutsche Asset Management (y)

Hancock-Natural Resources, Wellington & RS Investments (v)

Hancock- T. Rowe Price BlueChip Growth iy

Hancock-Small Cap Growth, Wellmgton Management (y)

Hancock-Fundamental Value, Davis Advisors (v)

Hancock-American Growth-lncome. Capital Research (y)

Hancock-International Growth Stock, Invesco Advisers (v)

Hancock-Money Market B (vy)

Prudential-Money Market (y)

BlackrockMulti Mgrins DedPartmers (y)

Fidelity VIP Money Market Portfolio Service Class (v)

AST Pimco Total Return Bond Portfolio (v)

M Capital Appreciation Fund (y)

M International Equity Fund (vy)

M Large Cap Growth (y)

Prudential-Stock Index Portfolio (y)

Prudential High Yield Bond Portfolio (v)

PIMCO VIT Real Return Portfolio Admin Class (v)

PIMCO VIT Commodity Real Return Strategy Portfolio Admin {y)

DWS Small Cap Index VIP Class B (v)

BlackRock Value Opportunities V.1. Fund Class 1 {v)

Fidelity VIP Contrafund Portfolio Initial Class (Vv)

Fidelity VIP Overseas Portfolio Initial Class (v)

Franklin Global Real Estate Securities Fund Class (Vv)

MFS VIT Hl Value Series Initial Class (v)

PIMCO All Asset Portfolio Administrative wv

T. Rowe Price Equity Income Portfolio (v)

Royce Cap Fund Small Cap Portfolio Inv Class (v)

Fidelity VIP Contrafund-Initial Class — Buy

Fidelity VIP Contrafund-Initial Class — Buy (add'l)

Fidelity VIP Contrafund-Initial Class — Sold

LVIP SSgA Emerging Markets 100 Fund. Standird Class — Buy

LVIP SSgA Emerging Markets 100 Fund. Standird Class — Sold

MainStay VP Floating Rate-Initial Class — Buy

MainStay VP Floating Rate-Initial Class — Sold

MainStay VP High YieldCorporate Bond- Initial Class — Buy

MainStay VP High YieldCorporate Bond- Initial Class — Sold

MainStay VP Mid Cap Core-Intial Class — Buy

MainStay VP Mid Cap Core-Intial Class — Sold

MainStay VP Van Eck Global Hard Assets Port Initial Class — Buy

MainStay VP Van Eck Global Hard Assets Port Initial Class — Sold

PIMCO Low Duriation Portfolio- Administrative Class Shares — Buy

PIMCO Low Duriation Portfolio- Administrative Class Shares — Sold

PIMCO Real Return Portfolio. Administrative Class Shares — Buy

PIMCO Real Return Portfolio. Administrative Class Shares — Sold

PIMCO Total Return Portfolio-Ad mmistrative Class Shares — Buy

PIMCO Total Return Portfolio-Ad mmistrative Class Shares — Sold

DWS Small Cap Index VIP-Class A Shares — Buy

DWS Small Cap Index VIP-Class A Shares — Sold (part)

DWS Small Cap Index VIP-Class A Shares — Buy (add'l)

American Funds Ins Ser International Class 2 Shares — Buy

American Funds Ins Ser International Class 2 Shares — Buy (add'l)

American Funds Ins Ser International Class 2 Shares — Sold (part)

American Funds Ins Ser International Class 2 Shares — Buy (add'l)

Fidelity VIP Index S00-Imitial Class — Buy

Fidelity VIP Index S00-Imitial Class — Buy (add'l)

Fidelity VIP Index S00-Imitial Class — Sold (part)

Fidelity VIP Money Market Portfolio- Initial Class — Buy

Fidelity VIP Real Estate-Initial Class — Buy

Fidelity VIP Real Estate-Initial Class — Buy (add'l)

Invesco V 1. International Growth Fund Series Shares — Buy

Invesco V 1. International Growth Fund Series Shares — Buy (add'l)

MainStay VP Eagle Small Cap Growth Portfolio Initial Class — Buy

MainStay VP Eagle Small Cap Growth Portfolio Initial Class — Buy (add'l)

MFS Global Tactical Allocation-Initial Class — Buy

MFS Global Tactical Allocation-Initial Class — Buy (add'l)

MFS VIT Value Senes-Initial Class — Buy

MFS VIT Value Senes-Initial Class — Buy (add'l)

T Rowe Price Blue Chip Growth Portfolio — Buy

T Rowe Price Blue Chip Growth Portfolio — Buy (add'l)

Mainstay Cash Management — Buy

Special Situation Fund 111 QP, LLP — Int/Div

Mermill Lynch Money Market — Int/Div

SRZ Group Trust — None

Blackrock Asia Pacific Partners (Offshore) SPV Lud. — Sold (part)

Candlewood Structured Credit fund. Ltd

Cevian Capital Fund 11 Ltd — Buy

Charter Bridge Capital Partners (Cayman) Lad. — Buy

Chatham Asset High Yield Offshore Fund, Lid. — Sold (part)

Citadel Kensington Global Strategies — Buy

Cognis Fund LP — Sold (part)

Discovery Global Macro Fund, Ltd — Buy

Echo Street Capital Partners Ltd (QP)

Empire Capital Partners, Ltd. — Sold (part)

Fore Mulu-Strategy Offshore Fund Ltd — Redeemed

Glazer Offshore Fund, Ltd. — Redeemed

Golden Tree Offshore Fund Ltd — Sold (part)

Highfields Capital IV LP — Sold (part)

Hudson Bay Int'l Fund Ltd f//k/a Hudson Bay Overseas Fund Lid — Sold (part)

Hutchin Hill Capital Offshore Fund, Ltd — Buy

Jennison Global Healthcare Offshore Fund, Lud.

Kvlhin Offshore Fund, Ltd — Buy

Lakeview Opportumty Fund Lid — Sold (part)

Lone Pimon Lid

Lone Slavin, Ltd — Buy

Mainstay Marketfield Fund — Redeemed

Malta Offshore. Ltd — Sold (part)

Millenium International Lid

MKP Opportunity Offshore Ltd — Sold (part)

MKP Opportunity Offshore Ltd — Redeemed

OSS Overseas LTD

Pennant Onshore Partners LP

Pennant Windward Lid

Ramius Multi-Strategy Fund Ltd (x) — Sold (part)

Rosemawr International Led — Sold (part)

Seer Capital Partners Offshore Fund Ltd.

Spruce Absolute Return Fund LP — Buy (add'l)

Spruce Absolute Return Fund LP — Redeemed

Spruce Absolute Return Fund (Offshore) Lad. — Buy (add'l)

Spruce Alpha Fund (Offshore) Ltd — Buy

Spruce Equity Hedge Fund LP {/k/a Spruce Global Equity Fund LP — Sold (part)

Spruce Equity Hedge Fund LP {/k/a Spruce Global Equity Fund LP — Redeemed

Spruce Equity Hedge Fund (Offshore)Ltd f/ k/a Spruce Global Equity Fun — Buy (add'l)

Equity Fund (Offshore) Ltd (continued from prior line)

Spruce Real Assets Fund LP — Redeemed

Spruce Real Assets Fund (Offshore) Ltd — Redeemed

Steelhead Pathfinder Fund Lid

The Childrens’ Investment Fund

Two Sigma Absolute Return Macro Cayman Fund, Lid, — Buy

JP Morgan Trust Co. of Delaware deposit account

AutoNation common stock — None

Akami Technology common stock — None

MooreAcre/Blackacre 7710 Business Park Drive REIT — None

MooreAcre/Blackacre 610 Corner Way Inc REIT — None

BCM/CHI Eden Roc. Inc. REIT — None

BCM/CHI Kapalua, Inc. REIT — None

CBF Appreciation Portfolio Alt-AX

CollegeBound Fund (Alliance-R1) — None

CBF Appreciation Portfolio Alt-A X

Northwestern Mutual Whole Life Ins. Policy — None

Guardian Life Insurance Company-Life Insurance Policy — None

Mu Kellett Capital Partners 11 LP — Distribution — Buy (add'l)

Mu Kellett Capital Partners 11 LP — Buy (add'l)

Merrill Lynch Retirement Account. Blackrock Global (MDLOX) — Int/Div

Northrop Grumman common stock — Int/Div

PNC common stock — Int/Div

Director, Kudspint Magazine

Executor, states of

Liability — Mt Kellett Capital Parmers 11 LP — Commitment to make capital contributions to imvestment himited partnership

Liability — Barnard College — Tuttion obligation

Liability — Morgan US Income and Growth LP — Commitment to make capital contributions to investment himited partnership

Liability — CFSR Private Investors LLC — Commitment to make capital contributions to mvestment limited hability company

Spouse's income — 2014 — Schulte Roth and Zabel LLP-partmership distribution

Throughout Part VII, where column B1 is filled in, and column B2 is left blank, this indicates that the income in question is capital gain.

Part VII, line 5-Global Access Macro was fully redeemed on May 14, 2013, The amount was (0) and the gain was (E). T inadvertently failed to report this in my

2013 report.

Part VII, line 296-Ramius Multi-Strategy Fund Ltd. was erroneously identified on my 2013 FDR (line 309) as Ramius Lehman International SPV.

Part VII, line 168-SRZ Savings Plan-the investment in the SRZ Savings Plan is partly invested in the securities shown on the report and partially in the SRZ Group

Trust.

Part VII, lines 172-175-the SRZ Cash Balance Plan, Thrift Plan and Partners Pension Plan are invested in the same manner as the SRZ Group Trust.

Part VII, lines 262-314 - SRZ Group Trust

With respect to the SRZ Group Trust Part VII, lines 262-314) and the SRZ Supplemental Retirement Fund (Part VII, Lines 176-258), these are retirement plans in

which

has un interest, and which were established by the law firm of which Jif is a member. Each of these is an aggregate ownership arrangement,

and therefore | have reported the gross value of Ji] interest in each of these plans. Because [Ji] directs the investments for [iif share of the Supplemental Retirement

Plan, and was in 2014 a member of the committee which oversees the investments of the SRZ Group Trust, I have also reported the assets within this aggregate

ownership arrugement. From time to time, [Jf interest in these aggregate ownership arrangements may be reallocated to different assets, either at [Jif direction (in

the case of the SRZ Supplemental Retirement Plan), or because the plan purchases or sells vestments. | have reported these reallocations as purchases and sales,

though they are not actually purchases or sales by him. There is no gain or loss to JN resulting from these reallocations, and therefore | have left this

column blank

Part VII, limes 176-258 -SRZ Supplemental Retirement Fund- The assets identified as (y) were sold on 12/31/2013 and the proceeds reinvested on 1/2/2014 as

indicated in subsequent entries.

Part VII, line 25- Fidelity Cash Fund is & money market account, used as 4 settlement account, that was opened in 2013, and was inadvertently not included in my

2013 report. As of year end 2013, it had a value code of J.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.