James M Peck

John Hancock Universal Life Insurance Money Market — Interest

Citibunk Money Market Acct — Interest

Chase Money Market Acct - Spouse (X) — Interest

Schulte Roth & Zabel Group Trust IRA — None

Brokerage-iShares Tr Barclays Age Bnd — Int/Div — Sold (part)

Brokerage-iShares Tr Barclays Agg Bnd — Int/Div — Sold (part)

Brokerage-BBH Core Select Fund — Int/Div

Brokerage-BBH Core Select Fund — Int/Div — Sold (part)

Brokerage- Drichaus Mutual Fund Active Income — None — Sold

Brokerage-Eaton Vance Global Macro — Int/Div

Brokerage-Pimco All Asset/ Authority Fund — None — Sold

Brokerage-Schwab Cap TR S&P Invest Select Shares — Int/Div — Sold (part)

Brokerage- Vanguard Total INTL Stock — Int/Div

Brokerage- Wells Fargo FDS ADVIN — Int/Div — Buy (add'l)

Brokerage- Wells Fargo FDS ADVIN — Int/Div — Buy (add'l)

Brokerage Wells Fargo FDS ADVIN — Int/Div — Buy (add'l)

Brokerage- Wells Fargo FDS ADVIN — Int/Div — Buy (add'l)

Brokerage- Wells Fargo ADV — Int/Div — Sold (part)

Brokerage - Ivy Municipal High Income Fund — Int/Div — Buy (add'l)

Brokerage - Schwab US Treasury Money Fund — None

IRA R/O Schwab- ALPS ETF Alerian MLP — Int/Div — Sold

IRA R/O Schwab-Driehaus Mutual Funds Active Income — Int/Div

IRA R/O Schwab-Fidelity Floating Rate — Int/Div

IRA R/O Schwab-Schwab Cap TR S&P 500 Select shares — Int/Div

IRA R/O Schwab- Jeffries Asset Mgmt Cmdty Strat — None — Sold

IRA RO Schwab- BBH FD Inc — Int/Div — Buy (add'l)

IRA R/O Schwab- BBH FD Inc — Int/Div — Sold (part)

IRA R/O Schwab -Fidelity Floating Rate High Income — Int/Div

IRA R/O Schwab -ISHARES TR Lehman AGG Bnd — Int/Div — Buy (add'l)

IRA R/O Schwab -PIMCO ALL ASSET! AUTHORITY Fund — Int/Div — Buy (add'l)

IRA R/O Schwab -PIMCO ALL ASSET! AUTHORITY — None — Buy (add'l)

IRA R/O Schwab - Polen Growth — None — Sold

IRA R/O Schwab -Schwab Cap TR S&P S00 Invs Select — Int/Div — Sold (part)

IRA R/O Schwab -Schwab Cap TR S&P S00 Invs Select — Int/Div — Sold (part)

IRA R/O Schwab -Schwab Cap TR S&P S00 Invs Select — Int/Div — Sold (part)

IRA R/O Schwab -Vanguard Total INTL — Int/Div — Buy (add'l)

IRA R/O Schwab Vanguard Total INTL — Int/Div — Buy (add'l)

IRA R/O Schwab -Vanguard Total INTL — Int/Div — Sold (part)

IRA R/O Schwab Blackrock Fds II Strong Opp lust! — Int/Div — Buy (add'l)

IRA R/O Schwab Blackrock Fds 11 Strong Opp Inst] — Int/Div — Buy (add'l)

IRA R/O Schwab Blackrock Fds 11 Strong Opp Inst! — Int/Div — Sold (part)

IRA RO Schwab Pimco Fds Uncstr Bd Inst] — Int/Div

IRA R/O Schwab Wells Fargo S/T Hi-Yld Bond — Int/Div

IRA R/O Schwab Hamlin High Dividend Equity Inst! — Int/Div — Buy (add'l)

IRA R/O Schwab Hamlin High Dividend Equity Inst! — Int/Div — Buy (add'l)

IRA R/O Schwab Hamlin High Dividend Equity Tnstl — Int/Div — Sold (part)

IRA R/O Schwab Hamlin High Dividend Equity Inst! — Int/Div — Sold (part)

IRA R/O Schwab Mgrs AMG Fds Yacktman Inst] — Int/Div — Buy (add'l)

IRA R/O Schwab Mgrs AMG Fds Yacktman Inst] — Int/Div — Buy (add'l)

IRA R/O Schwab Mgrs AMG Fds Yacktman Instl — Int/Div — Sold (part)

IRA R/O Schwab US Treasury Money Fund — Int/Div

IRA R/O Schwab Goldman Sachs Tr Strg nem Insti X) — Int/Div — Buy

IRA R/O Schwab Goldman Sachs Tr Strg nem Insti X) — Int/Div — Buy (add'l)

IRA R/O Schwab Goldman Sachs Tr Strg nem Insti X) — Int/Div — Sold (part)

IRA R/O Schwab Ivy Municipal High Income Fund(X) — Int/Div — Buy

IRA R/O Schwab Mutual Discovery Fund CL ZX) — None — Buy

EEE Standish Schwab-Citizens PPTY Ins Corp(X) — Interest — Sold

EER Standish Schwab-Detriot Mich City Sch Dist X) — Interest — Sold

mmm Standish Schwab-E 470 Pub HWY Auth — Interest — Sold

mm Standish Schwab-Houston Tex Hotel Occupancy X) — Interest — Sold

EEE Standish Schwab-Indiana St Fin Auth Rev 5% (X) — Interest — Sold

EE Standish Schwab-Metropolitan Transn Auth — Interest — Sold

IEE Standish Schwab-Michigan St BLDG Auth — Interest — Sold

EEE Standish Schwab-New York NY City TR Cultural — Interest — Sold

EEE Standish Schwab-New York St Dorm Auth RevsS% — Interest — Sold

NEE Standish Schwab-Palm Beach Cnty FLA Health — Interest — Sold

EER Standish Schwab-Teton CNTY Hosp — Interest — Sold

EEE Standish Schwab- University ILL Rev S% — Interest — Sold

EEE Standish Schwab US Treasury Money Fund — Interest

IEEE Schwab-Baron Asset — Int/Div

EEE Schwab-ALPS ETF Tr Alerian MLP — Int/Div — Sold

EEE Schwab-iShares Tr Hgh Div Eqt Fd — Int/Div — Sold

EEE Schwab-SPDR S&P Dividend ETF — Int/Div — Sold

EER Schwab-Vanguard Total Intl Stock Index — Int/Div — Buy (add'l)

EEE Schwab-Vanguard Total Int] Stock Index — Int/Div — Buy (add'l)

IEE Schwab-Vanguard Total Intl Stock Index — Int/Div — Sold (part)

SEER Schwab-BBF Fd Inc Core SI Retail — Int/Div

EEE Schwab-Polen Growth — None — Sold

EER Schwab-Schwab Cap Tr S&P 500 Invs Select — Int/Div — Buy (add'l)

EE Schwab-Schwab Cap Tr S&P 500 Invs Select — Int/Div — Sold (part)

EEE Schwab-Schwab Cap Ir S&P 500 Invs Select — Int/Div — Sold (part)

PEE Schwab-US Treasury Money Fund — Interest

EEE Schwab-Dreihaus Mut Funds Active Invome (X) — Int/Div — Buy

EE Schwab-Eaton Vance Global Macro Absolute (X) — Int/Div — Buy

EEE Schwab-Eaton Vance Global Macro Absolute (X) — Int/Div — Buy (add'l)

EEE Schwab-Pimeo All Asset All Authority (X) — Int/Div — Buy

EEE Schwab-Pimco All Asset All Authority (X) — Int/Div — Buy (add'l)

EE Schwab-lvy Mumcipal High Income Fund (X) — Int/Div — Buy

WEEE Schwab-lvy Municipal High Income Fund (X) — Int/Div — Buy (add'l)

EEE Schwab-lvy Municipal High Income Fund (X) — Int/Div — Sold (part)

EER Schwab-Wells Fargo Fds TR Adint xy — Int/Div — Buy

EEE Schwab-Wells Fargo Fds TR Adint xy — Int/Div — Buy (add'l)

IEEE Schwab-Wells Fargo Fds TR Adint xX) — Int/Div — Buy (add'l)

EEE Schwab-Wells Fargo Fds TR Adint X) — Int/Div — Buy (add'l)

IEE Schwab-Blackrock FDS 11 Strg Opp Inst] (X) — Int/Div — Buy

EEE Schwab-Blackrock FDS II Strg Opp Inst] (X) — Int/Div — Sold (part)

EEE Schwab-Goldman Sachs Tr Strg nem Inst (X) — Int/Div — Buy

HE Schwab-Goldman Sachs Tr Strg nem Inst (X) — Int/Div — Sold (part)

EEE Schwab-Goldman Sachs Tr Strg nem Inst (X) — Int/Div — Sold (part)

SEE Schwab-Pimeo Fds Uncstr Bd Inst xX)» — Int/Div — Buy

IEE Schwab-Pimco Fds Uncstr Bd Inst (xX) — Int/Div — Sold (part)

HEE Schwab-Hamlin High Dividend Equity Inst (X) — Int/Div — Buy

EEE Schwab-Hamlin High Dividend Equity Inst (X) — Int/Div — Buy (add'l)

SEER Schwab-Hamlin High Dividend Equity Inst (X) — Int/Div — Sold (part)

JE Schwab-Mutual Discovery Fd C1 Z x) — None — Buy

MEER Schwab-lefferies Asset Mgt Cmdty 0X) — None — Buy

NEE Schwab-Jefferies Asset Mgt Cmdty xX) — None — Sold

EER IRA Contributry Schwab- Driehaus Mut Funds Active — Int/Div — Buy (add'l)

JE RA Contributory Schwab- IShares TR Lehman AGG Bad — Int/Div — Sold

EEE RA Contrbry Schwab- Schwab Cap TR S&P S00 Invs Sel — Int/Div — Sold (part)

EEE RA Contrbry Schwab- Schwab Cap TR S&P 500 Ins Sel — Int/Div — Sold

MEE RA Contribtry Schwab2- IShares TR Lehman AGG BND — Int/Div

NEE RA Contributory Schwab. Vanguard Total Intl Stk (X) — Int/Div — Sold

IER 'RA Contributory Schwab- ishares Tr Hi Div Eqt Fd (X) — Int/Div — Sold

IEEE RA Contributory Schwab- SPDR S&P Div ETF (XX) — Int/Div — Sold

SEE RA Contributory Schwab. Vanguard Star Fd Intl (X) — Int/Div — Sold

mmm IRA Contributory Schwab- ALPS ETF Tr Alerian MLP (X) — Int/Div — Sold

IEEE RA Contributory Schwab- BBH Fd Core SL Retail (X) — Int/Div

EEE IRA Contributory Schwab- Polen Growth — None — Sold

mR RA Contributory Schwab- Pimco All Asset All Auth (X) — Int/Div — Buy

mE RA Contributory Schwab- Pimco All Asset All Auth (X) — Int/Div — Buy (add'l)

EER 'RA Contributory Schwab- Pimco All Asset All Auth (X) — Int/Div — Buy (add'l)

EEE IRA Contributory Schwab- Gldmn Sachs Tr Steg Inem (X) — Int/Div — Buy

At-large member of Board of Governors, National Conference of Bankrutpey Judges

Co-chair of Advisory Commuttee on the Bankrutpey Safe Harbors, American Bankruptcy Insititute

Member of Judicial Steering Committee, INSOL International

Reimbursement — ABI VALCON Conference — Feb 20-22 — Las Vegas, NV — Speiker at conference on valuation in bankruptcy — transportation, lodging and food

Reimbursement — Bankruptcy Judges Midyear Meeting — of Govemors of NCBJ — PPR WR s Wt ePBe TT hw: THR ATE Ate Pan @ ¥ 7° WE

Reimbursement — UNCITRAL and The World Bank Judicial Colloquium — Oe PY Sho Sera — nl a an cin Sg wii met i ga a — Colloquium — Pe Ra Th ro Ee A em, PT raat

Reimbursement — Florence Graduste School of Business Administration — 0" o pli eed Je — conference on insolvency law — OTT AYERS AE RAND ATOR

Reimbursement — ABland Georgetown Law School Views from the Bench — Sept 26-27 — Washington, D.C — Speaker at Georgetown Law bankruptcy conference — transportation, lodgmg and food

Reimbursement — Organiztion and Modena Chamber of Commerce — RP a te TA LR — msolvency law conference — ONEROUS Av IN CE APSR, £375, Sad shal girs

Reimbursement — Pennsvivama Bar Institute — Oct 17 — Philadelphia, PA — Panelist at continuing legal education program — transportation, lodging and food

Reimbursement — Richmond — conference on resolution planning for SIFls — J MN GAA EC SE hi wal a ph ae Lo a

Reimbursement — Bankruptcy Judges — ree GT BRO. NSE ad Sd ato eed Meeting and moderating panel at conference — har vi on le ey Made ht Ad nial ghastly) sf aioe

Reimbursement — The World Bank — Nov 20-21 — Washington, D.C — Panelist at Law, Justice and Development Week — transportation, lodging and food

Reimbursement — conference on corporate msolvency law

Income — 1213413 — New York University Stern School of Business Adminstration — S10.000.00

Spouse's income — 2013 — Earle K. & Katherine F. Moore Foundation - Trustee Fee

Spouse's income — 2013 — Metropolitan Life Insurance Company - Pension Benefits

Please note for purposes of Part VII that investments in the Schulte Roth & Zabel LLP Group Trust {line 4) are managed by an advisory committee, am informed

that in 2013 the SRZ Group Trust invested in thirty-two separate and independently managed hedge funds, one mutual fund and one cash account, These

investment vehicles were selected in the sole discretion of the advisory committee for the SRZ Group Trust, With the exception of individuals who serve on that

committee, current and former partners of the firm have no knowledge concerning the identity of any of these funds and have no control over the selection of any

particular fund or the decision to transfer investments from one fund to another. The fund selections may be changed from time to time based on performance and

other investment considerations, and the number of funds varied during calendar year 2013 depending on investments and redemptions. | do not know the names

of any of funds held by the SRZ Group Trust, and so this information is not set forth in the report. A similar explanation regarding the SRZ Group Trust appeared

in my initial disclosure report and in annual reports for the years ended 12/31/06, 12/31/07, 12/31/08, 12/31/09, 12/31/10, 12/31/11 and 12/31/12.

My retirement from the bench became effective on January 31, 2014, and | elected to return to the practice of law. On March 3, 2014, | joined the law firm of

Morrison & Foerseter LLP as Senior of Counsel in the firm's New York office. My current office address is 250 W. 55th Street, New York, N.Y. 10019.