Robert David Sack

JPMORGAN CHASE ACCOUNTS — Interest

OPP ADVANTAGE BANK DEPOSIT — Interest

OPP AMERICAN INTL GROUP INC COM NEW — Int/Div

OPP APPLE INC — Int/Div

OPP BP PLC SPONSORED ADR — Int/Div

OPP BANK AMER CORP — Int/Div — Buy

OPP BOEING CO — Int/Div

OPPIVYSCIENCE& TECHFDY — Int/Div — Sold

OPP DEUTSCHE STRATEGIC HIGH YIELD TAX-FREE FUND-INST — Int/Div

OPP IVY MUNICIPAL HIGH INCOME FUND CLASS — Int/Div — Sold (part)

OPP NUVEEN HIGH YIELD MUNICIPAL BDFDR — Int

OPP ETF MANAGERS TR PUREFUNDS ISECY (X) — Int/Div

OPP ISHARES TR L.S. AER&DEF ETF — Int/Div

OPP SPDR SERIES TRUST AEROSPACE DEF — Int/Div

OPP SPDR SERIES TRUST S&P REGL BKG — Int/Div

OPP SELECT SECTOR SPDR TR SBI HEALTHCARE — Int/Div — Sold

OPP SELECT SECTOR SPDR TR SBI INT-FINL — Int/Div

OPP SELECT SECTOR SPDR TR RL EST SEL SEC — Int/Div — from line 17)

OPP WISDOMTREE TR JAPAN TOTAL DIVID FD — Int/Div — Sold

OPP WISDOMTREE TR EUROPE HEDGED EQUITY FD — Int/Div — Sold

OPP COHEN & STEERS MLP INC & ENRGY COM SHS — Distribution — Buy (add'l)

OPP COHEN & STEERS MLP INC & ENRGY COM SHS — Sold (part)

OPP EATON VANCE ENHANCED EQ INC FD — Int/Div — Sold

OPP NUVEEN NASDAQ 100 DYNAMIC OVER COM SHS — Int/Div

OPP NUVEEN DOW 30 DYN OVERWRITE — Int/Div

OPP TEKLA LIFE SCIENCES INVS SH BEN INT — Int/Div

OPP TORTOISE ENERGY INDEPENDENC FD — Distribution — Buy (add'l)

OPP MAINSTAY DEFINED TERM MN OPP FD TAX FREE COM — Int/Div — Sold

OPP NUVEEN NY DIVID ADVNTG MUN FD — Int/Div — Sold

OPP NUVEEN NEW YORK AMT QLT MUNICP TAX FREE COM — Int/Div — Buy

OPP NUVEEN NEW YORK AMT QLT MUNICP TAX FREE COM — Sold (part)

OPP NUVEEN INTER DURATION MN TMFED TAX FREE COM — Int — Sold (part)

OPP NUVEEN MUNICIPAL CREDIT INC FD TAX FREE COM SH BEN INT — Int/Div — Buy

OPP NEW YORK NY NY 4% DUE 02/01/22 B/E LGO OID — Interest

Northwestern Mutual Life Insurance Policy — None

Guardian Life Insurance Policy — Int/Div

Massachusetts Mutual Life Insurance Policy — Interest

AMERIPRISE INSURED MONEY MARKET ACCTS — Int/Div

ADV-BLACKROCK EQUITY DIVIDEND CLA — Int/Div — Sold

ADV-EATON VANCE AMT FREE MUNICIPAL — Int/Div

ADV-FIDELITY ADVISOR FLOATING RATE HIGH INCCL A — Int/Div

ADV-HARTFORD CORE EQUITY CL A — Int/Div

ADV-CATALYST HEDGED FUTURES STRATEGY CL A — Int/Div

ADV-OPPENHEIMER AMT FREE NY MUNICIPALCL A — Int/Div — Sold

ADV-PIONEER AMT FREE MUNICIPAL CLA — Int/Div

ADV-TAX EXEMPT BOND AMERICA CLA — Int/Div

ADV-VIRTUS TAX EXEMPT BOND CL A — Int/Div

ADV-POWERSHARES S&P 500 LOW VOLATILITY ETF — Int/Div

ONE-INVESCO DIVERSIFIED DIVIDENDCL A — Int/Div — Buy

ONE-INVESCO MUNICIPAL INCOME CLA — Int/Div

ONE-BLACKROCK EQUITY DIVIDEND CLA — Int/Div — Sold (part)

ONE-FIDELITY ADVISOR BIOTECHNOLOGY CL A — Int/Div — Sold

ONE-FIDELITY ADVISOR HEALTH CARE CLA — Int/Div — Sold (part)

ONE-FIDELITY ADVISOR NEW INSIGHTS CL A — Int/Div

ONE-GABELL!I EQUITY INCOME CL A — Int/Div

ONE-HARTFORD BALANCED INCOME CLA — Int/Div — Buy (add'l)

ONE-MFS MUNICIPAL LIMITED MATURITY CL A — Int/Div

ONE-EVENTIDE GILEAD CL A — Int/Div — Sold (part)

ONE-OPPENHEIMER ROCHESTER LTD TERM MUN CL A — Int/Div — Sold

ONE-ROCHESTER LTD TERM NY MUNICL A — Int/Div — Sold

ONE-TAX EXEMPT BOND AMERICA CLA — Int/Div

CASH RESERVE CERTIFICATE 848001 — Interest — Sold (part)

CASH RESERVE CERTIFICATE 848001 — Sold (part)

CASH RESERVE CERTIFICATE 905001 — Interest — Sold (part)

CASH RESERVE CERTIFICATE 905001 — Sold (part)

RiverSource Retirement Advisor 4 Advantage VA-Annuity — Iistnbution

Ameriprise IRA (AH) — Int/Div

Columbus Circle LCG. IRA — Int/Div

Lazard IA, IRA — Int/Div

Ala LCC, IRA — Int/Div

VICTORY MUNDER MCC. IRA — Int/Div

ACC Flexible Savings Certificate, IRA — Interest

Lecturer in Law and Adjunct Professor, Columbia Law School

Member, Columbia Board of Visitors, Columbia Law School

Agreement — 1998 — Gibson, Dunn & Crutcher LLP Retirement Agreement, Gibson Dunn & Crutcher LLP and Robert DD. Sack; Terms $6,000 per month/life, no increase, decrease or cap

Agreement — 2010 — Practising Law Institute and Robert D. Sack, publication of 4th edition of treatise on defamation kaw; royalty 15% of net receipts

Liability — Citibank Mastercard — Credit Card

Liability — Amcrican Express — Credit Card

Income — 2016 — Practising Law Institute Book Royalties — S19.462.38

Income — 2016 — Lecturer in Law, Columbia Law School — S25.000.00

Spouse's income — 2016 — Thomson Reuters Rovalties

A pending claim against Worldcom is currently in litigation (02 Civ. 3288 (DLC)). The worth of that claim cannot be determined at this time.

A pending claim against American International Group, Inc. is currently in litigation (04 Civ, 8141 (DAB) (AJP). The worth of that claim cannot be determined at

this time.

The fund called OPP FACTORSHARES TR ISE CYBER SEC on the 2015 Report (Line 21 on the 2015 report) is now called OPP ETF MANAGERS TR

PUREFUNDS ISE CY on this 2016 Report (Line 12).