Patricia A. Sullivan

MFS Investment Management (Educational Funds) — Int/Div

MFS Growth Allocation Fund A IMAGWX)

MFS Growth Allocation Fund B (IMBGWX)

US Treasury EE Bonds — Interest

Northwest Mutual Life Policy "Adjustable ComplLife” — Int/Div

Mmnesota Vanable Group Umiversal Life Insuamce Policy — Int/Div

Janus Aspen Forty

FID VIP Value

Ivy VIP Value

FID VIP Equity Income

Janus Aspen OVES SS

Membership m Lc — Distribution

BNY Mellon HSA Account (Y)

Sovereign Account — Interest

Sovereign Money Market Account — Interest

Schwab Account (IRA) — Int/Div

Schwab Govt Money Fund (SWGXX)

Charles Schwab Bank account

Federated US Govt Sec 2-5 Yrs (FIGTX) — Sold

Fidelity Floating Rate HI INCM (FFRHX)

First Eagle High Yield FD A (FEHAX) — Buy (add'l)

Flexshares ETF 1Boxx 3 Yr TRGT (TS11)

Invesco Conv Securities FD CL (CNSAX) — Sold (part)

Invesco Conv Securities FD CL (CNSAX) — Buy (add'l)

Lord Abbett Short Duration (LALSZ)

Pimeo 0-5 High Yield Corp B (HYS) — Sold (part)

Putnam Absolute Return 300 FD (PYTRX) — Sold (part)

Putnam Absolute Return 300 FD (PYTRX) — Sold (part)

Putnam Absolute Return 300 FD (PYTRX) — Buy (add'l)

SCHUSTIPS ETF (SCHP) — Sold

Fidelity ADV Emerging Mkts Ine (FMKAX) — Buy (add'l)

SPDR INTL Government TIPS ETF (WIP)

Templeton Global Bond Fund (TGBAX) — Buy (add'l)

Templeton Global Bond Fund (TGBAX) — Buy (add'l)

First Eagle US Value Fund CL (FEVAX) — Buy (add'l)

Goldman Sachs Small Mid Cap (GSMYX)

Heartland Value Plus (HNVIX)

Powershares S&P ETF 500 Low VO (SPLV) — Sold (part)

Putnam Capital Spectrum FD CL (PVSAX)

Royce Special Equity FD Invest (RYSEX) — Buy (add'l)

Schwab S&P S00 Select Shs (SWPPX) — Sold (part)

Schwab S&P S00 Select Shs (SWPPX) — Buy (add'l)

First Eagle Overseas (SGOVX)

Ishares MSCI ETF Emerging MKTS (EEMV) — Buy (add'l)

Ishares MSCI ETF Emerging MKTS (EEMV) — Buy (add'l)

Powershares ETF S&P INTL (IDLV) — Sold (part)

Powershares ETF S&P INTL (IDLV) — Sold (part)

Powershares ETF S&P INTL (IDLV) — Buy (add'l)

SCHW Intl SCAP ETF (SCHC) — Buy (add'l)

SPDR DJ Wilshire Intl Real Est (RWX)

SPDR DJ Wilshire REIT (RWR) — Buy (add'l)

IPath DJ AIG Commodity Index (DJP) — Buy

IPath DJ AIG Commodity Index (DJP) — Buy (add'l)

DFA INTL Small Cap Value (DISVX) — Buy

Lord Abbett Inflation Focused FD (LIFIX) — Buy

Lord Abbett Inflation Focused FD (LIFIX) — Buy (add'l)

Lord Abbett Inflation Focused FD (LIFIX) — Buy (add'l)

Loomis Sayles Senior Flting Rate & Fixed (LSFYX) — Buy

Lord Abbett Inflation Focused FD (LIFIX) — Buy

Putnam Capital Spectrum FD CL Y (PVSYX) — Buy

Schwab Account — Int/Div

Schwab Govt Money Fund — Int/Div

First Eagle US Value (FEVAX) — Int/Div — Buy

Fidelity ADV Emerging Mar (FMKAX) — Int/Div — Buy

IShares MSCI1 (EEMV) — Int/Div — Buy

DFA INTL Small Cap (DISVX) — Int/Div — Buy

Royce Special Equity (RYSEX) — Int/Div — Buy

First Eagle Overseas (SGOVX) — Int/Div — Buy

SPDR Nuveen Barclays (SHM) — Int/Div — Buy

Schwab S&P S00 Select (SWPPX) — Int/Div — Buy

Templeton Global Bond Fund (TGBAX) — Int/Div — Buy

SPDR INTL Government (WIP) — Int/Div — Buy

MKT Vectors ETF (HYD) — Int/Div — Buy

Goldman Sachs Small Mid Cap (GSMYX — Int/Div — Buy

Lord Abbett Inflation (LIFIX) — Int/Div — Buy

Loomis Sayles Senior (LSFYX) — Int/Div — Buy

SPDR DJ Wilshire INTL Real Estate (RWX) — Int/Div — Buy

Putnam Capital Spectrum (PVSYX) — Int/Div — Buy

SPDR DJ Wilshire REIT (RWR) — Int/Div — Buy

Schwab Santander 401-K Plan — Int/Div — with line 16)

Schwab Mngd Ret Trust 2010 CHII(Y)

Dodge & Cox Stock (DODGX) — Sold (part)

Harbor Capital Appreciation Inst] (HACAX) — Sold (part)

SSGA S&P SOOCL EY)

Banco Santander SA ADR (SAN) — Sold

Banco Santander SA ADR Liquidity Fu iY

Member, Board of Directors of Roger Williams University School of Law

Director, Rhode Island Bar Foundation

Director, Rhode Island Chapter of Federal Bar Association

Spouse's income — 2013 — Citizens Bank (pension)

Spouse's income — 2013 — Bank of America (pension)

Part I:

Line 3: Please see the letter from the Committee on Codes of Conduct regarding the position listed on Line 3, which was filed with my Initial Disclosure,

Part VII:

Line 6: The income reported for this life insurance policy is based on the total “investment gain/loss” that appears in the year end statement.

Line 12: The asset listed on Line 12 is membership in an entity that has never made a distribution to its members, The entity's sole asset JING. is

used by the members from time to time; | use an estimate of the value of this use as"income.”

Line 16: This IRA is actually two accounts, one in my name and one in my husband's name, managed by the sume person at Schwab.

Line 18: On my Initial Report on line 55, 1 listed"Schwab Money Market." This was an emor. It is a deposit account at "Charles Schwab Bank."

Lime 80: All of the assets in this employer-managed Schwab Santander 401-K were transferred by Schwab into the Schwab IRA account listed on Ime 16 on June

18,2013. The assets listed on lines 82 and 84 that were not sold are now held in the Schwab IRA account and will be reported next year as part of that account.

The income reported for the Schwab Santander 401-K account is based on "Gain/Loss/Net Income” on the 401-K final statement.

Lines 81, 84: These assets were converted to cash before transfer to the Schwab IRA account listed on line 16. The totul value generated by the sale of both is

within Value Code M. This employer-managed 401-K did not provide the date of sale or break the value down by asset.

Lines 81-85: This employer-managed 401-K did not provide gain/loss or basis information for individual assets.

Line 86: This liquidity fund was reduced to zero in the first quarter of 2013.