Kimba Maureen Wood

What was filed

695
investments
1
positions
0
gifts
0
agreements
3
debts
0
reimbursements
0
income
3
spouse income

Named parties

New York City Ballet, Inc
Citibank
Amcrican Express
Cit Audvantage
Morgan Stanley Pension Benefit
Soni¢c Corp - various Board & Committee Fees
Vestar, Harding Services, Blackstone, Irving Place Capital, Tinicum - Fee Income

As filed

EXXON CORP COMMON STOCK — Int/Div

CREST FUND LP (ROTH IRA) (SEE NOTE 11 INSECT VID — Distribution

DREYFUS GOVERNMENT CASH SHARES — Int/Div — Closed

MORGAN STANLEY BANK/CASH — Interest

AMER INTL GP INC COMMON STOCK — Int/Div

APOLLO INVESTMENT CORP — Int/Div — Sold (part)

APOLLO INVESTMENT CORP — Buy (add'l)

APOLLO INVESTMENT CORP — Sold

ASHFORD HOSPITALITY TR INC COMMON STOCK — Int/Div

ASHFORD HOSPITALITY PRIME COMMON STOCK — None — from line 1)

ASHFORD HOSPITALITY PRIME COMMON STOCK — Sold

AVENLE INCOME CREDIT FUND — Int/Div — Buy (add'l)

BUCKEYE PARTNERS LP (SEE NOTE INSECT VID — None — Buy

BUCKEYE PARTNERS LP (SEE NOTE INSECT VID — Sold (part)

CHEVRON CORP COMMON STOCK — Int/Div — Sold

CHIMERA INVESTMENT CORP COMMON STOCK — Int/Div — Buy

CHIMERA INVESTMENT CORP COMMON STOCK — Buy (add'l)

COBALT INTERNATIONAL ENERGY COMMON STOCK — None — Buy

COBALT INTERNATIONAL ENERGY COMMON STOCK — Buy (add'l)

KINDER MORGAN (FKA COPANO ENERGY LLCKNOTE 1 IN SECT VIII) — None — (part)

KINDER MORGAN (FKA COPANO ENERGY LLCKNOTE 1 IN SECT VIII) — Sold (part)

KINDER MORGAN (FKA COPANO ENERGY LLCKNOTE 1 IN SECT VIII) — Sold

CREXUS INVESTMENT CORP COMMON STOCK — Int/Div — Sold

DEVON ENERGY CORP COMMON STOCK — Int/Div — Buy

CORP MASS COMMON STOCK — None — Sold

ENERGY TRANS EQUITY LP (SEE NOTE INSECT VIII — None — Sold (part)

ENERGY TRANS EQUITY LP (SEE NOTE INSECT VIII — Sold (part)

ENSCO PLC COMMON STOCK — Int/Div — Sold

EV ENERGY PARTNERS LP (SEE NOTE 1 INSECT VII — Distribution — Sold (part)

EV ENERGY PARTNERS LP (SEE NOTE 1 INSECT VII — Sold

GUGGENHEIM SPIN OFF ETF — Int/Div — Buy

GUGGENHEIM SPIN OFF ETF — Buy (add'l)

HOLLYFRONTIER CORP COMMON STOCK — Int/Div — Buy

HOLLYFRONTIER CORP COMMON STOCK — Sold

CRESTWOOD EQUITY LP (FKA INERGY LPY NOTE IN SECT VID — None — Sold (part)

CRESTWOOD EQUITY LP (FKA INERGY LPY NOTE IN SECT VID — Sold (part)

CRESTWOOD MIDSTRM LP (FKA INERGY MIDSTR (NOTE I SECT VID — Distribution — from line 42)

CRESTWOOD MIDSTRM LP (FKA INERGY MIDSTR (NOTE I SECT VID — Sold (part)

S10. — Sold

ISHARES S&P MID CAP 400 GROWTH ETF — Int/Div — Sold (part)

JPMORGAN CHASE & CO COMMON STOCK — Int/Div

KAR AUCTION SVCS INC COMMON STOCK — Int/Div — Buy

KAR AUCTION SVCS INC COMMON STOCK — Buy (add'l)

LENDER PROCESSING SERV COMMON STOCK — Int/Div — Sold (part)

LENDER PROCESSING SERV COMMON STOCK — Sold

MARKET VECTOR AGRIBUS ETF — None — Sold

MCDONALDS CORP COMMON STOCK — Int/Div — Buy (add'l)

MDC PRTNRS INC COMMON STOCK — None — Sold (part)

MDC PRTNRS INC COMMON STOCK — Sold (part)

MDC PRTNRS INC COMMON STOCK — Sold

NORTHERN TIER ENERGY LP (SEE NOTE INSECT VIII — Distribution — Sold (part)

NORTHERN TIER ENERGY LP (SEE NOTE INSECT VIII — Sold (part)

PETROLOGISTICS LP (SEE NOTE 1 IN SECT VII — None — Sold (part)

PETROLOGISTICS LP (SEE NOTE 1 IN SECT VII — Sold (part)

PETROLOGISTICS LP (SEE NOTE 1 IN SECT VII — Sold

PROCTER & GAMBLE COMMON STOCK — None — Buy

QUALCOMM INC COMMON STOCK — Int/Div — Buy (add'l)

QUALCOMM INC COMMON STOCK — Buy (add'l)

SCHLUMBERGER LTD COMMON STOCK — Int/Div — Sold

SOLAR SENIOR CAPITAL LTD COMMON STOCK — Int/Div — Sold

SPDR S&P BANK ETF COMMON STOCK — Int/Div — Sold

SPDR S&P EMERGING ASIA PACIFIC FUND — Int/Div — Buy

SPDR S&P MIDCAP 400 ETF TRUST — Int/Div — Buy (add'l)

SPDR S&P MIDCAP 400 ETF TRUST — Buy (add'l)

SPIRIT REALTY CAPITAL INC COMMON STOCK — Int/Div — Sold (part)

STARWOOD PROPERTY TRUST INC — Int/Div — Buy

TRONOX LTD COMMON STOCK — None — Sold

UNITED TECHNOLOGIES CORP COMMON STOCK — Int/Div — Buy (add'l)

VANGUARD DIVIDEND APPRECIATION FUND — Int/Div

VANGUARD EUROPEAN MSCI ETF — Int/Div — Buy

VANGUARD INFO TECH ETF — Int/Div — Sold (part)

VANGUARD MSCI EMERGING MKTS FUND — Int/Div — Sold (part)

VANGUARD MSCI EMERGING MKTS FUND — Sold

VODAFONE GP PLC COMMON STOCK — Int/Div — Buy

WELLS FARGO & CO COMMON STOCK — Int/Div — Buy (add'l)

WISDOMTREE EUROPE HEDGED EQUITY FUND — Int/Div — Buy

WISDOMTREE TR EMG MKTS SMCAP FUND — Int/Div

WISDOMTREE SMALL CAP DIV FUND — Int/Div — Buy

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Int/Div — Buy (add'l)

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Sold (part)

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Buy (add'l)

WISDOMTREE TRUST JAPAN HEDGE EQUITY FUND — Int/Div — Buy

YUM BRANDS INC COMMON STOCK — Int/Div — Buy

YUM BRANDS INC COMMON STOCK — Sold

IRA ACCOUNT #1

IRA #1 - MSSB CASH/MM — Interest — Open

IRA #1 - COMMON STOCKS (LINES 108-185)

AMER INTL GROUP INC — Int/Div — Buy

AMER INTL GROUP INC — Buy (add'l)

AMERICAN CAPITAL AGENCY — Int/Div — Buy

AMERICAN CAPITAL AGENCY — Buy (add'l)

APOLLO INVESTMENT CORP — Int/Div — Buy

APOLLO INVESTMENT CORP — Buy (add'l)

APOLLO INVESTMENT CORP — Sold (part)

APOLLO INVESTMENT CORP — Sold

ASHFORD HOSPITALITY TR INC — Int/Div — Buy

ASHFORD HOSPITALITY PRIME — None — from line 116)

ASHFORD HOSPITALITY PRIME — Sold (part)

ASHFORD HOSPITALITY PRIME — Sold

CENTURYLINK INC — Int/Div — Buy

CENTURYLINK INC — Buy (add'l)

CENTURYLINK INC — Sold

CHEVRON CORP — Int/Div — Buy

CHEVRON CORP — Buy (add'l)

CHEVRON CORP — Sold (part)

CHEVRON CORP — Sold

CHIMERA INVESTMENT CORP — Int/Div — Buy

COBALT INTERNATIONAL ENERGY — None — Buy

COBALT INTERNATIONAL ENERGY — Buy (add'l)

COBALT INTERNATIONAL ENERGY — Sold

DANAHER CORPORATION — Int/Div — Buy

DANAHER CORPORATION — Buy (add'l)

DEVON ENERGY CORP — Int/Div — Buy

ENSCO PLC CLASS A — Int/Div — Buy

ENSCO PLC CLASS A — Buy (add'l)

ENSCO PLC CLASS A — Sold

HOLLYFRONTIER CORP — Int/Div — Buy

HOLLYFRONTIER CORP — Sold

JPMORGAN CHASE & CO — Int/Div — Buy

JPMORGAN CHASE & CO — Buy (add'l)

KAR ALCTION SERVICES INC — Int/Div — Buy

KAR ALCTION SERVICES INC — Buy (add'l)

LENDER PROCESSING SERV — Int/Div — Buy

LENDER PROCESSING SERV — Buy (add'l)

LENDER PROCESSING SERV — Sold

MCDONALDS CORP — Int/Div — Buy

MCDONALDS CORP — Buy (add'l)

MDC PARTNERS INCCL A — None — Buy

MDC PARTNERS INCCL A — Buy (add'l)

MDC PARTNERS INCCL A — Sold (part)

MDC PARTNERS INCCL A — Sold

OCH-ZIFF CAPITAL MGMT (SEE NOTES & TINSECT VII — Distribution — Buy

OCH-ZIFF CAPITAL MGMT (SEE NOTES & TINSECT VII — Sold (part)

PROCTER & GAMBLE — None — Buy

QUALCOMM INC — Int/Div — Buy

QUALCOMM INC — Buy (add'l)

SCHLUMBERGER LTD — Int/Div — Buy

SCHLUMBERGER LTD — Buy (add'l)

SCHLUMBERGER LTD — Sold (part)

SCHLUMBERGER LTD — Sold

SEADRILLLTD — Int/Div — Buy

SEADRILLLTD — Buy (add'l)

SOLAR SENIOR CAPITALLTD — Int/Div — Buy

SOLAR SENIOR CAPITALLTD — Sold (part)

SOLAR SENIOR CAPITALLTD — Sold

SPIRIT REALTY CAPITAL INC — None — Buy

SPIRIT REALTY CAPITAL INC — Sold

STARWOOD PROPERTY TRUST INC — Int/Div — Buy

STARWOOD PROPERTY TRUST INC — Buy (add'l)

UNITED TECHNOLOGIES CORP — Int/Div — Buy

UNITED TECHNOLOGIES CORP — Buy (add'l)

VODAFONE GP PLC ADS — Int/Div — Buy

VODAFONE GP PLC ADS — Buy (add'l)

WELLS FARGO & CO — Int/Div — Buy

WELLS FARGO & CO — Buy (add'l)

YUM BRANDS INC — Int/Div — Buy

YUM BRANDS INC — Buy (add'l)

YUM BRANDS INC — Sold (part)

IRA #1 - OPTIONS (LINES 187 TO 222 (NOTE 3 INSECT VID

AMERICAN CAPITAL AGENCY OPENING CONTRACT — None — Sold

CONTRACT EXPIRED — None — Expired

OPENING CONTRACT — None — Sold

AMERICAN INTERNATIONAL GROUP OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

APOLLO INVESTMENT CORP OPENING CONTRACT — None — Sold

CONTRACT EXPIRED — None — Expired

OPENING CONTRACT — None — Sold

CONTRACT ASSIGNED — None — Redeemed

OPENING CONTRACT — None — Sold

CONTRACT ASSIGNED — None — Redeemed

CENTURYLINK INC - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

CHEVRON TEXACO CORP - OPENING CONTRACT — None — Sold

CONTRACT ASSIGNED — None — Redeemed

OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

JPMORGAN CHASE & CO - OPENING CONTRACT — None — Sold

MCDONALDS CORP - OPENING CONTRACT — None — Sold

CONTRACT EXPIRED — None — Expired

OPENING CONTRACT — None — Sold

QUALCOMM INC - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

OPENING CONTRACT — None — Sold

SCHLUMBERGER - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

SCHLUMBERGER - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

SEADRILL LTD < OPENING CONTRACT — None — Sold

SPDR S&P MIDCAP 40) ETF - OPENING CONTRACT — None — Sold

UNITED TECHNOLOGIES - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

OPENING CONTRACT — None — Sold

WELLS FARGO & CO - OPENING CONTRACT — None — Sold

YUM < OPENING CONTRACT — None — Sold

EXPRED CONTRACT — None — Expired

IRA #1 - ETF AND CLOSED END FUNDS (LINES 224.266)

AVENLE INCOME CREDIT — Int/Div — Buy

AVENLE INCOME CREDIT — Buy (add'l)

EATON VANCE TAX MGD DIV EQUITY FUND — Int/Div — Buy

EATON VANCE TAX MGD DIV EQUITY FUND — Buy (add'l)

GUGGENHEIM SPIN OFF ETF — Int/Div — Buy

GUGGENHEIM SPIN OFF ETF — Buy (add'l)

ISHARES MSC EAFE GROWTH Er — Int/Div — Buy

ISHARES MSC EAFE GROWTH Er — Buy (add'l)

ISHARES S&P MID-CAP 400 GROWTH ETF — Int/Div — Buy

ISHARES S&P MID-CAP 400 GROWTH ETF — put)

ISHARES S&P MID-CAP 400 GROWTH ETF — Buy (add'l)

MARKET VECTORS AGRIBUS ETF — None — Buy

MARKET VECTORS AGRIBUS ETF — Buy (add'l)

MARKET VECTORS AGRIBUS ETF — Sold

PENNANTPARK FLOATING RATE CAP LTD — Int/Div — Buy

PENNANTPARK FLOATING RATE CAP LTD — Buy (add'l)

POWERSHARES ETF TR DYNA BUYBACK — Int/Div — Buy

POWERSHARES ETF TR DYNA BUYBACK — Buy (add'l)

SPDR S&P EMERGING ASIA PACIFIC — Int/Div — Buy

SPDR S&P EMERGING ASIA PACIFIC — Buy (add'l)

SPDR S&P MIDCAP 400 ETF TRUST — Int/Div — Buy

SPDR S&P MIDCAP 400 ETF TRUST — Buy (add'l)

VANGUARD DIVIDEND APPRECIATION — Int/Div — Buy

VANGUARD DIVIDEND APPRECIATION — Buy (add'l)

VANGUARD FTSE EMERGING MARKETS — Int/Div — Buy

VANGUARD FTSE EMERGING MARKETS — Buy (add'l)

VANGUARD FTSE EMERGING MARKETS — Sold

VANGUARD INFO TECH ETF — Int/Div — Buy

VANGUARD INFO TECH ETF — Sold (part)

WISDOMTREE SMALL CAP DIV FUND — Int/Div — Buy (add'l)

WISDOMTREE EUROPE HEDGED EQUITY — Int/Div — Buy

WISDOMTREE TRUST EMERGING MARKET EQUITY — Int/Div — Buy

WISDOMTREE TRUST EMERGING MARKET EQUITY — Buy (add'l)

IRA #1 - MUTUAL FUNDS) (LINES 268.270)

DOUBLELINE TOTAL RETURN — Int/Div — Buy

DOUBLELINE TOTAL RETURN — Buy (add'l)

DOUBLELINE TOTAL RETURN — Sold (part)

BIF TAX-EXEMPT FUND/CASH — Int/Div

ABBOTT LABORATORIES COMMON STOCK — Int/Div — Sold (part)

ABB-VIE COMMON STOCK — Int/Div — from line 272)

ABB-VIE COMMON STOCK — Buy (add'l)

ACCENTURE LTD COMMON STOCK — Int/Div

ALLEGHENY TECHNOLOGIES COMMON STOCK — Int/Div — Sold

AMERICAN EXPRESS COMMON STOCK — Int/Div

AMERICA MOVIL COMMON STOCK — None — Sold

AMGEN COMMON STOCK — None — Sold (part)

AMGEN COMMON STOCK — Sold

ANADARKO PETROLEUM CORP COMMON STOCK — Int/Div

FLY LEASING (FKA BABCOCK & BROWN) COMMON STOCK — Int/Div

BERKSHIRE HATHAWAY COMMON STOCK — None

BLACKROCK INC COMMON STOCK — Int/Div — Buy (add'l)

BLACKROCK INC COMMON STOCK — Sold (part)

BOEING COMMON STOCK — Int/Div — Sold (part)

BOEING COMMON STOCK — Sold (part)

BOEING COMMON STOCK — Buy (add'l)

CABOT OIL & GAS COMMON STOCK — Int/Div

CARPENTER TECHNOLOGY COMMON STOCK — Int/Div — Buy (add'l)

CARPENTER TECHNOLOGY COMMON STOCK — Buy (add'l)

CHEVRON COMMON STOCK — Int/Div — Buy

CHUBB COMMON STOCK — Int/Div

CISCO SYSTEMS COMMON STOCK — Int/Div — Buy

CISCO SYSTEMS COMMON STOCK — Buy (add'l)

CISCO SYSTEMS COMMON STOCK — Sold

CME GROUP COMMON STOCK — Int/Div — Buy

CME GROUP COMMON STOCK — Buy (add'l)

CONOCOPHILLIPS COMMON STOCK — Int/Div — Buy

RITES — Sold (part)

CONSTELLATION BRANDS COMMON STOCK — None — Sold (part)

CONSTELLATION BRANDS COMMON STOCK — Sold

CORNING INC COMMON STOCK — Int/Div — Sold

COVANTA HLDG CORP COMMON STOCK — Int/Div

FOG RES INC COMMON STOCK — Int/Div

EVERCORE PARTNERS COMMON STOCK — Int/Div — Sold

GENERAL DYNAMICS COMMON STOCK — None — Buy

GENERAL DYNAMICS COMMON STOCK — Sold

GENERAL ELECTRIC COMMON STOCK — Int/Div — Buy

INTEL COMON STOCK — Int/Div — Buy

INTEL COMON STOCK — Sold (part)

INTERNATIONAL BUSINESS MACHINE COMMON STOCK — Int/Div — Sold (part)

INTERNATIONAL PAPER CO COMMON STOCK — Int/Div

JOHNSON & JOHNSON COMMON STOCK — Int/Div — Buy (add'l)

JOHNSON & JOHNSON COMMON STOCK — Sold (part)

JIPMORGAN CHASE COMMON STOCK — Int/Div — Buy

KRAFT FOODS GROUP COMMON STOCK — Int/Div — Buy (add'l)

KRAFT FOODS GROUP COMMON STOCK — Sold (part)

LAS VEGAS SANDS COMMON STOCK — Int/Div — Buy

LYONDELLBASELL IND COMMON STOCK — Int/Div — Buy

LYONDELLBASELL IND COMMON STOCK — Buy (add'l)

MACYS COMMON STOCK — Int/Div — Buy

MACYS COMMON STOCK — Buy (add'l)

MARKET VECTORS GOLD MINER ETF COMMON STOCK — Int/Div — Sold (part)

MATTEL COMMON STOCK — Int/Div — Buy

MCDONALDS COMMON STOCK — Int/Div

MICROSOFT COMMON STOCK — Int/Div — Buy (add'l)

MICROSOFT COMMON STOCK — Buy (add'l)

RE¥S — Sold (part)

MONDELEZ INTL COMMON STOCK — Int/Div — Buy

NEWELL RUBBERMAID COMMON STOCK — Int/Div — Buy

NEWELL RUBBERMAID COMMON STOCK — Buy (add'l)

NOVONORDISK COMMON STOCK — None — Buy

OCCIDENTAL PETE CORP COMMON STOCK — Int/Div

ORACLE CORP COMMON STOCK — Int/Div

PACKAGING CORP COMMON STOCK — Int/Div

PEPSICO COMMON STOCK — Int/Div

PFIZER INC COMMON STOCK — Int/Div — Buy (add'l)

PIONEER NATURAL RESOURCES COMMON STOCK — Int/Div — Sold (part)

PIONEER NATURAL RESOURCES COMMON STOCK — Sold (part)

RETH — Sold (part)

PRECISION CASTPARTS COMMON STOCK — Int/Div — Buy

PRECISION CASTPARTS COMMON STOCK — Buy (add'l)

LINES 351.455)

AMERICAN CAPITAL AGENCY — Int/Div — Buy

AMERICAN CAPITAL AGENCY — Buy (add'l)

AMERICAN INTERNATIONAL GROUP — Int/Div — Sold (part)

APOLLO INVESTMENT CORP FUND — Int/Div — Sold (part)

APOLLO INVESTMENT CORP FUND — Sold

APOLLO INVESTMENT CORP FUND — Buy

APOLLO INVESTMENT CORP FUND — Buy (add'l)

APOLLO INVESTMENT CORP FUND — Sold (part)

APPLE INC — Int/Div — Buy

ASHFORD HOSPITALITY TR INC — Int/Div — Sold (part)

ASHFORD HOSPITALITY PRIME — None — from line 364)

ASHFORD HOSPITALITY PRIME — Sold (part)

ASHFORD HOSPITALITY PRIME — Sold

AVENLE INCOME CREDIT FUND — Int/Div — Sold (part)

AVENLE INCOME CREDIT FUND — Buy (add'l)

CENTURYLINK INC — Int/Div — Buy

CENTURYLINK INC — Buy (add'l)

CENTURYLINK INC — Sold

CHEVRON CORP — Int/Div — Buy (add'l)

CHEVRON CORP — Sold

CHIMERA INVESTMENT CORP — Int/Div — Buy

COBALT INTL ENERGY — None — Buy

Kyi} — Sold

CREXUS INVESTMENT CORP — Int/Div — Sold

DANAHER CORP — Int/Div — Sold (part)

DANAHER CORP — Sold (part)

DANAHER CORP — Buy (add'l)

DEVON ENERGY CORP — Int/Div — Buy

DOUBLELINE TOTAL RETURN MUTUAL FUND — Int/Div — Buy (add'l)

DOUBLELINE TOTAL RETURN MUTUAL FUND — Sold (part)

EATON VANCE TAX MGD DIV EQU FUND — Int/Div — Buy (add'l)

EMC CORP MASS — None — Sold

ENSCO PLC SPON ADR — Int/Div — Sold (part)

ENSCO PLC SPON ADR — Buy (add'l)

ENSCO PLC SPON ADR — Sold

GUGGENHEIM SPIN OFF ETF — Int/Div — Buy

HOLLYFRONTIER CORP — Int/Div — Buy

HOLLYFRONTIER CORP — Sold

ISHARES DJ LS OIL & EXPLR — None — Sold

ISHARES MSCI GROWTH ETF — Int/Div — Buy (add'l)

ISHARES S&P MID CAP 400 GROWTH FTF — Int/Div — Sold (part)

ISHARES S&P MID CAP 400 GROWTH FTF — Buy (add'l)

JP MORGAN CHASE & CO — Int/Div — Sold (part)

KAR ALCTION SVCS INC — Int/Div — Buy

KAR ALCTION SVCS INC — Buy (add'l)

LENDER PROCESSING SERV — Int/Div — Buy (add'l)

LENDER PROCESSING SERV — Sold

MARKET VECTORS AGRIBUS ETF — None — Buy (add'l)

MARKET VECTORS AGRIBUS ETF — Sold (part)

MARKET VECTORS AGRIBUS ETF — Sold

MCDONALDS CORP — Int/Div — Buy (add'l)

MDC PRTNRS INC — None — Sold (part)

MDC PRTNRS INC — Sold (part)

MDC PRTNRS INC — Sold

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES & TINSECT VIII) — Distribution — Buy

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES & TINSECT VIII) — Sold (part)

PENNANTPARK FLTG RT CAP LTD FUND — Int/Div — Buy

PENNANTPARK FLTG RT CAP LTD FUND — Buy (add'l)

POWERSHRES ETF TR DYNA BUYBK FUND — Int/Div — Buy

POWERSHRES ETF TR DYNA BUYBK FUND — Buy (add'l)

PROCTER & GAMBLE — None — Buy

QUALCOMM INC — Int/Div — Buy (add'l)

SCHLUMBERGERLTD — Int/Div — Buy (add'l)

SCHLUMBERGERLTD — Sold

SEADRILLLTD — Int/Div — Buy (add'l)

SEADRILLLTD — Buy (add'l)

SOLAR SENIOR CAPITALLTD — Int/Div — Sold (part)

SOLAR SENIOR CAPITALLTD — Sold

SPDR S&P BANK ETF — Int/Div — Sold

SPDR S&P EMERGING ASIA PACIFIC FUND — Int/Div — Sold (part)

SPDR S&P MIDCAP 400 ETF TRUST — Int/Div — Buy (add'l)

SPDR S&P MIDCAP 400 ETF TRUST — Buy (add'l)

SPIRIT REALTY CAPITAL INC — Int/Div — Sold (part)

SPIRIT REALTY CAPITAL INC — Sold

STARWOOD PROPERTY TRUST — Int/Div — Buy

STARWOOD PROPERTY TRUST — Buy (add'l)

TRONOXLTD — None — Sold

UNITED TECHNOLOGIES CORP — Int/Div — Buy (add'l)

VANGUARD DIVIDEND APPRECIATION FUND — Int/Div — Buy (add'l)

VANGUARD INFO TECH ETF — Int/Div — Buy (add'l)

VANGUARD INFO TECH ETF — Sold (part)

VANGUARD MSCI EMERGING MARKETS — Int/Div — Buy (add'l)

VANGUARD MSCI EMERGING MARKETS — Sold (part)

VANGUARD MSCI EMERGING MARKETS — Sold

VODAFONE GP PLC ADS — Int/Div — Buy

VODAFONE GP PLC ADS — Sold (part)

WELLS FARGO & CO — Int/Div — Buy

WELLS FARGO & CO — Buy (add'l)

WELLS FARGO & CO — Sold (part)

WISDOMTREE EUROPE HEDGED EQUITY FUND — Int/Div — Buy

WISDOMTREE SMALL CAP DIV FUND — Int/Div — Buy

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Int/Div — Buy (add'l)

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Buy (add'l)

WISDOMTREE TR EMG MKTS SMCAP — None — Sold

YUM BRANDS INC — Int/Div — Buy (add'l)

YUM BRANDS INC — Buy (add'l)

YUM BRANDS INC — Sold (part)

IRA#2 - OPTIONS (SEE NOTE 3 IN SECT VII) (LINES 457 - 487)

AMERICAN CAPITAL AGENCY OPENING CONTRACT — None — Sold

OPTION EXPIRED — None — Expired

OPENING CONTRACT — None — Sold

AMERICAN INTERNATIONAL GROUP OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

APOLLO INVESTMENT CORP OPENING CONTRACT — None — Sold

OPTION EXPIRED — None — Expired

OPENING CONTRACT — None — Sold

OPTION ASSIGNED — None — Redeemed

OPENING CONTRACT — None — Sold

CENTURYLINK INC - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

DANAHER < OPENING CONTRACT — None — Sold

OPTION ASSIGNED — None — Redeemed

ENSCO « OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

JP MORGAN CHASE & CO - OPENING CONTRACT — None — Sold

QUALCOMM - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

SCHLUMBERGER - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

SEADRILL LTD < OPENING CONTRACT — None — Sold

SPDR S&P MIDCAP 400 ETF - OPENING CONTRACT — None — Sold

UNITED TECHNOLOGIES - OPENING CONTRACT — None — Sold

CLOSING CONTRACT — None — Buy

OPENING CONTRACT — None — Sold

WELLS FARGO « OPENING CONTRACT — None — Sold

OPTION PARTIALLY ASSIGNED — None — Sold (part)

CLOSING CONTRACT — None — Buy

YUM < OPENING CONTRACT — None — Sold

OPTION EXPIRED — None — Expired

ADDITIONAL COMMON STOCKS INON-IRA) (LINES 489.514)

ROCKWELL COLLINS — Int/Div — Buy (add'l)

ROCKWELL COLLINS — Sold (part)

ROCKWELL COLLINS — Sold

SANDISK — Int/Div — Buy

SANDISK — Buy (add'l)

SEMPRA ENERGY — Int/Div — Buy

SMUCKER IM — None — Buy

SONIC CORP — None — Buy (add'l)

SONIC CORP — Sold (part)

TEXTRON — Int/Div — Buy

THE TRAVELERS COS — Int/Div

UNILEVER — Int/Div

UNITED CONTINENTAL — None — Buy

UNUM GROLP — Int/Div — Buy (add'l)

UNUM GROLP — Sold (part)

VIACOM — Int/Div

WALGREEN — Int/Div

WALMART STORES — Int/Div

WEYERHAEUSER CO — Int/Div — Buy

WEYERHAEUSER CO — Buy (add'l)

MLPS (LINES 516-589) EXCEPT WHERE NOTED

APOLLO INVESTMENT CORP COMMON STOCK — Int/Div — Buy (add'l)

S17. — Sold (part)

S18. — Sold (part)

BUCKEYE PTNRS (SEE NOTE 1 IN SECT VII — None — Buy

BUCKEYE PTNRS (SEE NOTE 1 IN SECT VII — Sold (part)

BUCKEYE PTNRS (SEE NOTE 1 IN SECT VII — Buy (add'l)

BUCKEYE PTNRS (SEE NOTE 1 IN SECT VII — Sold (part)

CHIMERA INVESTMENT CORP COMMON STOCK — Int/Div — Buy

KINDER MORGAN ENERGY (FKA COPANO ENERGY LLC) — None — Sold (part)

KINDER MORGAN ENERGY (FKA COPANO ENERGY LLC) — Sold (part)

CRESTWOOD EQUITY PARTNERS (FKA INERGY L.PY(SEE LINE 552) — None — Sold (part)

SEE NOTE 1 IN SECT VI — Sold (part)

SEE NOTE 1 IN SECT VI — Buy (add'l)

CRESTWOOD MIDSTREAM PARTNERS (SEE NOTE 1 INSECT VID — None — from line 531)

CRESTWOOD MIDSTREAM PARTNERS (SEE NOTE 1 INSECT VID — Sold (part)

ENERGY TRANS EQTY LP (SEE NOTE INSECT VIII — None — (part)

ENERGY TRANS EQTY LP (SEE NOTE INSECT VIII — Sold (part)

ENTERPRISE GP/AKA ENTERPRISE PRODS LP — None — Sold (part)

ENTERPRISE GP/AKA ENTERPRISE PRODS LP — Sold (part)

EV ENERGY PARTNERS (SEE NOTE 1 INSECT VII — Distribution — Buy

EV ENERGY PARTNERS (SEE NOTE 1 INSECT VII — Buy (add'l)

S50. — Buy (add'l)

S50. — Sold

FACEBOOK INC COMMONSTOCK — None — Sold

INERGY LP-NAME CHANGED TO CRESTWOOD EQUITY - SEE LINE 530

MAGELLAN MIDSTREAM PARTNERS LPISEE NOTE 1 INSECT VID — Distribution — Sold (part)

MAGELLAN MIDSTREAM PARTNERS LPISEE NOTE 1 INSECT VID — Sold (part)

MARKWEST ENERGY PARTNERS LP (SEE NOTE 1 IN SECT VIII — None — Sold (part)

MARKWEST ENERGY PARTNERS LP (SEE NOTE 1 IN SECT VIII — Sold (part)

MARKWEST ENERGY PARTNERS LP (SEE NOTE 1 IN SECT VIII — Buy (add'l)

NISKA GAS STORAGE PTNRS (SEE NOTE INSECT VII — Distribution — Sold (part)

NISKA GAS STORAGE PTNRS (SEE NOTE INSECT VII — Sold (part)

SHS. — Sold

NORTHERN TIER ENERGY LP (SEE NOTE INSECT VII — Distribution — Sold (part)

NORTHERN TIER ENERGY LP (SEE NOTE INSECT VII — Sold (part)

PETROLOGISTICS LP (SEE NOTE 1 IN SECT VII — None — Sold (part)

Lyi] — Sold (part)

PVR PARTNERS (SEE NOTE 1 IN SECT Vi — None — Buy

PVR PARTNERS (SEE NOTE 1 IN SECT Vi — Sold (part)

RHINO RESOURCE PARTNERS (SEE NOTE INSECT VII — Distribution — Buy

RHINO RESOURCE PARTNERS (SEE NOTE INSECT VII — Buy (add'l)

RHINO RESOURCE PARTNERS (SEE NOTE INSECT VII — Sold (part)

TARGA RES PARTNERS SEE NOTE 1 IN SECT VII — None — Buy

TARGA RES PARTNERS SEE NOTE 1 IN SECT VII — Sold (part)

SK84 — Sold (part)

WESTERN GAS PARTNERS (SEE NOTE INSECT VIN — None — Sold (part)

WESTERN GAS PARTNERS (SEE NOTE INSECT VIN — Sold (part)

MLP ACCOUNT - OPTIONS (LINES $91.599 (NOTE 3 INSECT VID

NORTERN TIER ENERGY CALL OPENING — None — Sold

CONTRACT EXPIRED — None — Expired

PETROLOGISTICS LP CALL - OPENING — None — Sold

CONTRACT EXPIRED — None — Expired

APOLLO INVESTMENT CALL #1 OPENING — None — Sold

PART OF APOLLO CALL #1 ASSIGNED — None — Sold (part)

REMAINDER OF APOLLO CALL #1 ASSIGNED — None — Redeemed

APOLLO INVESTMENT CALL #2 OPENING — None — Sold

APOLLO INVESTMENT CALL #3 OPENING — None — Sold

BONDS/FIXED INCOME (LINES 601 602)

PETROLEOS DE VENEZUELA - BONDS — Interest — Buy

RIDGEWORTH FUNDS SEIX FLTG RATE — Int/Div — Buy

CASH/S/T INVESTS/MM ACCTS (LINES 604-619)

GOLDMAN SACHS FINANCIAL SOUARE MM/CASH — Interest

GOLDMAN SACHS BANK DEPOSIT! CASH #2 (FDN) — Interest

CITIBANK CHECKING ACCOUNT FOUNDATION — None

CITIBANK INTEREST CHECKING ACCOUNT #1 (FER™ — Interest

MORGAN STANLEY BANK/TRUST DEPOSITS #1 — Interest — Closed

CITIBANK CHECKING ACCOUNT (HH) — None

CITIBANK AGENCY TRUST CASH ACCOUNT — Interest — Open

CITIBANK ASSET ACCOUNT — None

CITIBANK MONEY MARKET PLUS — Interest

CITIBANK INTEREST CHECKING ACCOUNT #2 (KATNH) — Interest

STATE STREET INST LIQUID RESERVES MM/CASH (NB) — Int/Div

BARCLAYS CASH (SEE NOTE 8 IN SECT VII — Interest

UBS BANK USA DEPOSIT ACCOUNT (SEE NOTE 8 IN SECT VIII — None

CGMI BANK DEPOSIT PROGRAM — Interest

MORGAN STANLEY BANK/TRUST DEPOSITS #2 — Interest

MORGAN STANLEY BANK/TRUST DEPOSITS #3 (ROTH IRA) — Interest

OCA WESLEY MORTGAGE REIT (SEE NOTE 11 INSECT VID — None — Distnbuted

FDN BROKERAGE #1 (LINES 622-630) INOTE 16 INSECT VID

ABBOTT LABORATORIES COMMON STOCK — Int/Div — Sold

ABBOTT LABORATORIES COMMON STOCK (X) — None — Sold

ABBVIE INC COMMON STOCK — Int/Div — from line 623)

ABBVIE INC COMMON STOCK — Sold (part)

ABBVIE INC COMMON STOCK — Sold

ABBVIE INC COMMON STOCK (X) — None — Sold

WALMART COMMON STOCK — Int/Div — Sold (part)

WALMART COMMON STOCK — Sold

WALMART COMMON STOCK (X) — None — Sold

FDN BRKG ACCT #2 (LINES 632 -802) (SEE NOTE 16 SECT VID

MORGAN STANLEY BANK/TRUST #1 (CASH/MM) — None

MORGAN STANLEY BANK/TRUST #2 (CASH/MM) — Interest

COMMON STOCKS AND FUNDS (LINES 635.743)

AMERICAN CAPITAL AGENCY — Int/Div — Buy

AMERICAN CAPITAL AGENCY — Buy (add'l)

AMER INTL GP INC — Int/Div — Sold (part)

APOLLO INVESTMENT CORP — Int/Div — Sold (part)

APOLLO INVESTMENT CORP — Sold (part)

APOLLO INVESTMENT CORP — Buy (add'l)

APOLLO INVESTMENT CORP — Sold (part)

APPLE INC — Int/Div — Buy

APPLE INC — Sold (part)

ASHFORD HOSPITALITY TR INC — Int/Div — Sold (part)

ASHFORD HOSPITALITY PRIME — None — from line 649)

ASHFORD HOSPITALITY PRIME — Sold (part)

ASHFORD HOSPITALITY PRIME — Sold

AVENLE INCOME CREDIT — Int/Div — Sold (part)

AVENLE INCOME CREDIT — Buy (add'l)

CENTURYLINK INC — Int/Div — Buy

CENTURYLINK INC — Buy (add'l)

CENTURYLINK INC — Sold

CHEVRON CORP — Int/Div — Sold (part)

CHEVRON CORP — Buy (add'l)

Hhi) — Sold

CHIMERA INVESTMENT CORP — Int/Div — Buy

COBALT INTL ENERGY — None — Buy

COBALT INTL ENERGY — Buy (add'l)

COBALT INTL ENERGY — Sold

CREXUS INVESTMENT CORP — Int/Div — Sold

DANAHER CORP — Int/Div — Sold (part)

DANAHER CORP — Buy (add'l)

DANAHER CORP — Sold (part)

DEVON ENERGY CORP — Int/Div — Buy

DOUBLELINE TOTAL RETURN — Int/Div — Buy (add'l)

DOUBLELINE TOTAL RETURN — Sold (part)

EATON VANCE TAX MGD DIV EQU FUND — Int/Div — Buy (add'l)

EMC CORP MASS — None — Sold

ENERGY SEL SECT SPDR FD — Int/Div — Sold

ENSCO PLC SPON — Int/Div — Sold (part)

ENSCO PLC SPON — Buy (add'l)

ENSCO PLC SPON — Sold

GUGGENHEIM SPIN OFF ETF — Int/Div — Buy

HOLLEYFRONTIER CORP — Int/Div — Buy

HOLLEYFRONTIER CORP — Sold

ISHARES DJ LS OIL & EXPLR — None — Sold

ISHARES MSC GROWTH INDX FD — Int/Div — Buy (add'l)

ISHARES S&P MID CAP 400 GROWTH ETF — Int/Div — Buy (add'l)

ISHARES S&P MID CAP 400 GROWTH ETF — Sold (part)

ISHARES S&P MID CAP 400 GROWTH ETF — Buy (add'l)

ISHARES S&P MIDCAP 400 INDEX — None — Sold

JP MORGAN CHASE — Int/Div — Sold (part)

KAR ALCTION SERVICES INC — Int/Div — Buy

KAR ALCTION SERVICES INC — Buy (add'l)

LENDER PROCESSING SERV — Int/Div — Buy (add'l)

LENDER PROCESSING SERV — Sold

MARKET VECTORS AGRIBUS ETF — None — Buy (add'l)

MARKET VECTORS AGRIBUS ETF — Sold (part)

MARKET VECTORS AGRIBUS ETF — Sold

MCDONALDS CORP — Int/Div — Buy (add'l)

Board Member, New York City Ballet, Inc

Liability — Citibank — Line of Credit

Liability — Amcrican Express — Credit Card

Liability — Cit Audvantage — Credit Card

Spouse's income — 2013 — Morgan Stanley Pension Benefit

Spouse's income — 2013 — Soni¢c Corp - various Board & Committee Fees

Spouse's income — 2013 — Vestar, Harding Services, Blackstone, Irving Place Capital, Tinicum - Fee Income

A

B

€.

D.

Gross value at end

Description of Assets

Income during

Transactions during reporting period

{including trust assets)

reporting period

of reporting period

in

2)

in

2

nm

2)

3

“)

5)

Place "(X)" after cach asset

Amount

Type (eg.

Value

Typele,

Date

Value

Gain

Identity of

Code |

exempt from prior disclosure

div,

Code 2

Method

bay, sell,

mavddlyy | Code? Code |

buyer/seller

(AH)

oc int)

U-P)

Code 3

redemption)

=r

(A-H)

(if private

Q-W)

trunsaction)

663

Buy

(add'l)

/13

~ [1 [1

a SIL

Dividend

ome [0

TE

7]

i I A EE

Sold

(part)

670.

DOUBLELINE TOTAL RETURN

Dividend

Lc, Lr

AE A

672. EATON VANCE TAX MGD DIV EQU

FUND

al al 0 0 i

one

SN

Sold

hE I el

id

675. ENSCO PLC SPON

Sold

(part)

cd I

i tl

13

A A I

(add'l)

AR I A I

wa SILI

024

SR

cl i

1. Income Gain Codes:

ASL or less.

B $1,001 - $2,500

D=$5,001 - $15,000

E=SI5,001 - $20,000

(See Columns BI and D4)

F #550001 - $100,000

“$100,001 - $7,000,000

HI “$1,000,001 - $5,000,000

H2 “More than $5,000,000

2. Value Codes

J -515.000 or less

=$15,001 - $50,000

=$50,001 ~ $100,000

M =5100,001 - $250,000

(See Columns C | and D3)

N =$250,001 « $500,000

PI =$1.000,001 « $5,000,000

P2 ~55,000,001 - $25,000,000

3 =525,000,001 - $50,000,000

14 More this $50,000,000

3. Value Method Codes

Q “Appraisal

R~Cast (Real Estate Only)

S “Assessment

T =Cash Market

(See Column C2)

LU =Bock Value

V ~(xher

W ~Estimisted