Jose Alberto Cabranes

TIAA BANK BROKERAGE SWEEP ACCT (IX) — Interest

BERNSTEIN DIVERSIFIED (SNDPX) — Int/Div — Buy

BERNSTEIN DIVERSIFIED (SNDPX) — Buy

BERNSTEIN DIVERSIFIED (SNDPX) — Buy

BERNSTEIN DIVERSIFIED (SNDPX) — Buy

TROWE PRICE SUMMIT MUNICIPAL INTERMEDIATE (PRSMX) — Int/Div

TROWE PRICE SUMMIT MUNICIPAL INTERMEDIATE (PRSMX) — Buy

TROWE PRICE SUMMIT MUNICIPAL INTERMEDIATE (PRSMX) — Buy

TROWE PRICE SUMMIT MUNICIPAL INTERMEDIATE (PRSMX) — Buy

THORNBURG INTERMED MUNICIPAL EQUITY INST (THMIX) — Int/Div

WELLS FARGO ULTRA SHORT TERM MUNI INCOME FD CL 1H ISMAIX) — Int/Div — Buy

WELLS FARGO ULTRA SHORT TERM MUNI INCOME FD CL 1H ISMAIX) — Buy

WELLS FARGO ULTRA SHORT TERM MUNI INCOME FD CL 1H ISMAIX) — Buy

WELLS FARGO ULTRA SHORT TERM MUNI INCOME FD CL 1H ISMAIX) — Buy

ISHARES TR MSC! EAFE ETF (EFA) — Int/Div — Buy

ISHARES TR MSC! EAFE ETF (EFA) — Buy

ISHARES TR MSC! EAFE ETF (EFA) — Buy

ISHARES TR MSC! EAFE ETF (EFA) — Buy

ISHARES TR RUSSELL MID-CAP VALUE ETF (IWS) — Int/Div — Sold (part)

ISHARES TR RUSSELL MID-CAP VALUE ETF (IWS) — Sold (part)

ISHARES TR RUSSELL MID-CAP GROWTH ETF (IWP) — Int/Div — Buy

ISHARES TR RUSSELL MID-CAP GROWTH ETF (IWP) — Sold (part)

ISHARES TR RUSSELL MID-CAP GROWTH ETF (IWP) — Buy

ISHARES TR RUSSELL MID-CAP GROWTH ETF (IWP) — Sold (part)

ISHARES TR RUSSELL 1000 VALUE ETF (WD) — Int/Div — Buy

ISHARES TR RUSSELL 1000 VALUE ETF (WD) — Buy

R11) — Buy

R11) — Buy

ISHARES TR RUSSELL 1000 GROWTH ETF (IWF) — Int/Div

ISHARES TR RUSSELL 2000 VALUE ETHIWN) — Int/Div

ISHARES TR RUSSELL 2000 GROWTH ETF (WO) — Int/Div

ISHARES TR MSCI EAFE SMALL CAP ETF (SCZ) — Int/Div

SPDR SER TR DOW JONES REIT ETF (RWR) — Int/Div

TIAA-CREF ANNUITY (fixed, non viriable) — Int/Div

TIAA-CREF PENSION — Int/Div

TIAA Traditional — hy

T-C Intl Eq.Inst (THEX) — Int/Div

TIAA Real Estate (QREARX) — Int/Div

T-C Lifecycle 2015-Inst {TCNIX) — Int

TIAA-CREF ROTH IRA — Int/Div

TIAA-CREF REAL ESTATE MUTUAL FUND

Hartford Life & Annuity Co. (Variable Life Ins. Policy) — Int/Div

PVT Growth & Income — Int/Div

HLS Stock — hy

Citizens Bank Accounts — Interest

Vanguard Life Strategy Conservative Portfolio (VSCGX) — Int/Div — Buy

Vanguard Life Strategy Conservative Portfolio (VSCGX) — Buy

Vanguard Life Strategy Conservative Portfolio (VSCGX) — Buy

Vanguard Life Strategy Conservative Portfolio (VSCGX) — Buy

Vanguard Life Strategy Conservative Portfolio (VSCGX) — Buy

ISHARES TR RUSSELL MID-CAP ETF (IWR) — Int/Div — Sold

Trustee, Wilham Nelson Cromwell Foundation, New York, NY

Note:, Note: No income of any kind was derived from any of the positions or services or activities noted above.

Gift — Michael Viock & Karen Pritzker (personal hospitality) — Fhght via private plane to Bermuda for visit at private home (July 8-10, 2016) — $845.00

Gift — Jay Vieck and Gail Brekke (personal hospitality) — Tickets for two to baseball game and luncheon at Yankee Stadium, NY (August 27, 2016) — $490.00

Reimbursement — fo JEL Ji eimai — Anniversary of the Barbara McDowell Foundation — ou Copadivni 7, all hating orion oie cin Cn dani iC tii New Haven, CT and Washington, DC, and meals

Reimbursement — Columbia Law School — April 7, 2016 — New York, NY — To judge Moot Court Finals — Ground transportation to New Haven, CT from New York. NY

Reimbursement — Foreign Relations Law of the U.S. — NH aN naar wre AA

Reimbursement — William Nelson Cromwell : Foundation — October 17, 2016 — New York, NY — To attend annual business dinner meeting — Meal and ransporation to New Haven, CT from New York. NY

Reimbursement — throughout the year — varied University academic and social functions — tenured faculty member and/or us a former University Trustee

Spouse's income — 2016 — University of Chicago Press (Royalties)

Spouse's income — 2016 — Thomson-West (Rovalties)

Spouse's income — 2016 — National Constitutional Center, Philadelphia, PA (honorarium)