William J. Lafferty

I Filer (H)

Charles Schwab Bank, Deposit Account — Interest

CBS Corp., Common Stock — Int/Div

Dreyfus Growth & Income Mutual Fund — Int/Div

Howard Rice Investment Fund 01 (no control) — None

Howard Rice Investment Fund 02 (no control) — None

A Howard Rice Investment Fund 03 (no control) — None

Howard Rice Investment Fund 04 (no control) — None

Howard Rice Investment Fund 05 (no control) — None

Howard Rice Investment Fund 06 (no control) — None

Howard Rice Investment Fund 07 (no control) — None

Howard Rice Investment Fund 08 (no control) — None

Howard Rice Investment Fund 09 (no control) — Distribution — Sold (part) — Part VII

IL Trust No. (W)(H)

Real Property, Orinda, CA — None

HI Other Non-Trust {(W) (H)

Rental property, Alameda, CA — Rent

Rental property, Ventura, CA (1/3 interest- shared with two sisters) — Rent

Schwab Deposit Account — Interest — Part VII

Barclays Bank — Interest

IRA's: (H)

Schwab, SWBDX (IRA) — Int/Div

Schwab, Vanguard Total Intl Stock Market Index Fund, VGTSX (IRA) — Int/Div

Schwab, Vanguard Total Stock Market Index Fund, VISMX (IRA) — Int/Div

Schwab Money Market Fund: SWMMX — Int/Div — Part VII

Schwab, (S&P 500 Index), SWPPX — Int/Div — Part VII

Retirement Accounts (W) Permanente (H)

1. TPMG Salary Deferral (W) (H)

BTC US Equity Market — Int/Div — Sold (part)

BTC US Equity Market — Buy (add'l)

BTC US Equity Market — Sold (part)

BTC US Equity Market — Buy (add'l)

Cap Group Int'l Equity — Int/Div — Buy (add'l)

Cap Group Int'l Equity — Buy (add'l)

Cap Group Int'l Equity — Sold (part)

Cap Group Int'l Equity — Buy (add'l)

BTC Life Path 2020 F — Int/Div — Sold (part)

BTC Life Path 2020 F — Sold (part)

BTC Life Path 2020 F — Sold (part)

BTC Life Path 2020 F — Sold (part)

FR Fixed Income Retirement ( Permanente) — Int/Div — Buy (add'l)

FR Fixed Income Retirement ( Permanente) — Sold (part)

FR Fixed Income Retirement ( Permanente) — Buy (add'l)

FR Fixed Income Retirement ( Permanente) — Sold (part)

TPMI International Foreign Fund — Int/Div — Sold (part)

TPMI International Foreign Fund — Sold

TPML Intl Foreign A3 — Int/Div — Buy

S10. — Buy (add'l)

S10. — Sold (part)

S10. — Buy (add'l)

MPHCLD — Interest — Open — Part VII

MPHCLD — Sold (part)

MPHCLD — Buy (add'l)

MPHCLD — Closed

2. Permanente Employer Contribution Plan WHiH)

TPMG Conservative Fund — Int/Div — Sold (part) — Part VII

TPMG Conservative Fund — Sold

BTC US Equity Market — Int/Div — Buy (add'l)

Cap Group International Equity! Equity — Int/Div

BTC Life Path 2020 F — Int/Div

FR Fixed Income Employer Retirement Plan (Permanente) — Int/Div

TPML International Foreign Fund — Int/Div

1 Kaiser Foundation Health Plan(W) (H)

a) Plan BIW) (H)

Vanguard Wellington Fund, Inv — Int/Div

Vanguard Total Bond Mkt 1x 1st Plus — Int/Div

Vanguard 1st Tt St. Mkt Inx 1st Plus — Int/Div

Vanguard Prime Cap Fund Admiral — Int/Div

KP Interest Income Fund — Int/Div

b) TSA (W)(H)

Vanguard Wellington Fund, Inv — Int/Div

Vanguard Stable Income Fund — Int/Div — Part VII

Vanguard Total Bond Mkt Ix 1st Plus — Int/Div

Vanguard Ist Tt St. Mkt Inx 1st Plus — Int/Div

Dreyfus Appreciation Fund (IRA) — Int/Div

Brokerage Account (H)

3M Company (MMM) — Int/Div — Buy (add'l)

3M Company (MMM) — Sold (part)

Accelerate Diagnostics, Inc. (AXDX) — None — Buy (add'l)

Accelerate Diagnostics, Inc. (AXDX) — Sold (part)

AES (AES) — Int/Div — Buy (add'l)

Allergan (AGN) — None — Buy

Alphabet Inc. Class C (GOOG) — None — Sold (part)

Alphabet Inc. Class A (GOOGL) — None

Altria Group Inc (MO) — Int/Div — Sold (part)

Amgen Inc (AMGN) — Int/Div — Buy (add'l)

Amgen Inc (AMGN) — Sold (part)

Amplify Snack Brands (BETR) — None — Buy

Apple Inc (AAPL) — Int/Div

Archer Daniels Midland (ADM) — Int/Div — Buy (add'l)

Archer Daniels Midland (ADM) — Sold (part)

AthenaMealth (ATHN) — None — Buy

AthenaMealth (ATHN) — Sold (part)

Australia NZ Bank (ANZBY) — Int/Div — Buy (add'l)

Automatic Data Processing (ADP) — Int/Div — Sold (part)

BCE Inc. (BCE) — Int/Div — Sold

BHP Billiton (BHP) — Int/Div — Buy (add'l)

BHP Billiton (BHP) — Sold (part)

CDK Global (CDK) — Int/Div

Broadcom Limited (AVGO) — None — Buy (add'l)

Broadcom Limited (AVGO) — Sold

Celgene (CELG) — None — Buy (add'l)

Vangaurd Total Market Index (VTI) — Int/Div — Buy (add'l)

Vangaurd Total Market Index (VTI) — Sold (part)

CVS Health (CVS) — Int/Div — Buy

Chevron (CVX) — Int/Div — Buy (add'l)

Chevron (CVX) — Sold (part)

Chipotle Mexican (CMG) — None — Sold (part)

Chubb Group (CB) — Int/Div — Sold (part)

Church & Dwight (CHD) — Int/Div — Buy (add'l)

Church & Dwight (CHD) — Sold (part)

Cree (CREE) — None — Buy (add'l)

Coca Cola (KO) — Int/Div

Columbia Large Cap Core (NMIMX) — Int/Div

Costco (COST) — Int/Div

Cross Timbers (CRT) — Int/Div — Sold (part)

John Deere (DE) — Int/Div — Sold (part)

Emerson Electric (EMR) — Int/Div

Energy Transfer Equity (ETE) — Int/Div

Energy Transfer Partners — Int/Div — Buy (add'l)

Energy Transfer Partners — Sold (part)

DFA International Equity (DFIEX) — None — Sold (part)

DFA US Large Cap (DFLVX) — Int/Div — Buy (add'l) — Part VII

Engility (EGL) — None

Exxon (XOM) — Int/Div — Sold (part)

Fidelity National Info (FIS) — Int/Div — Sold (part)

Generac (GNRC) — None — Buy (add'l)

Generac (GNRC) — Sold (part)

General Electric (GE) — Int/Div

Gentex (GNTX) — Int/Div — Buy (add'l)

Honeywell (HON) — Int/Div — Buy (add'l)

Honeywell (HON) — Sold (part)

Hudson Pacific (HPP) — Int/Div — Sold (part)

Mumina (1ILMN) — None — Buy (add'l)

Mumina (1ILMN) — Sold (part)

Intel (INTC) — Int/Div — Sold (part)

International Flavors & Frag (FF) — Int/Div — Sold (part)

Intuit (INTU) — Int/Div

JM Smucker (SIM) — Int/Div — Sold (part)

Johnson & Johnson (JNJ) — Int/Div — Sold (part)

Juno Therapeutics (JUNO) — None — Buy

Keurig Green Mountain (GMCR) — Int/Div — Sold

King Digital (KING) — None — Sold

Kinder Morgan (KM) — Int/Div

Lowes Company (LOW) — Int/Div — Buy (add'l)

LVMH Moet (LVMLY) — None — Buy (add'l)

LVMH Moet (LVMLY) — Sold

MPLX (MPLX) — Int/Div — Buy (add'l)

MPLX (MPLX) — Sold (part)

Martin Manetta (MLM) — Int/Div

Mastercard (MC) — Int/Div — Buy (add'l)

Mastercard (MC) — Sold

Microsoft (MSFT) — Int/Div

Mondelez (IMDLZ) — Int/Div

Mynad Genetics (MYGN) — None

National Grid Transco (NGG) — None — Buy

Newlink Genetics (NWLK) — None — Sold

Nokia (NOK) — Int/Div

Norfolk Southern (NSC) — Int/Div — Sold (part)

Novartis (NVS) — Int/Div

Novo Nordisk (NVO) — Int/Div — Buy (add'l)

Ommivision (OVTI) — None — Sold

Opko Health (OPK) — None — Buy (add'l)

Oracle (ORCL) — Int/Div — Sold (part)

Philip Morris (PM) — Int/Div — Buy (add'l)

Philip Morris (PM) — Sold (part)

Phillips 66 (PSX) — Int/Div — Sold (part)

Potash (POT) — Int/Div — Buy (add'l)

Principal Financial Group (PFG) — Int/Div — Buy (add'l)

Qualcomm (QCOM) — Int/Div

Roche (RHHBY) — Int/Div — Buy (add'l)

Schwab Value Advantage Money Fund (SWVXX) — Interest

SPDR Gold Trust (GLD) — None — Buy (add'l)

SPDR Gold Trust (GLD) — Sold (part)

Sabine Rovalty Trust (SBR) — Int/Div — Buy (add'l)

Seattle Genetics (SGEN) — None — Sold (part)

South 32 Limited (SOUHY) — Int/Div

Suncor (SU) — Int/Div — Sold (part)

Sunedison (SUNE) — None — Sold

Super Micro COmputer (SMC1) — None — Buy (add'l)

Super Micro COmputer (SMC1) — Sold (part)

T Rowe PRice (TROW) — Int/Div

Twwan Semiconductor { TSM) — None — Buy

The Kraft Heinz (KHC) — Int/Div

Ultra Petroleum (UPL) — None — Sold (part)

Union Pacific (UNP) — Int/Div — Sold (part)

United Tehnologies (UTX) — Int/Div — Sold (part)

US TBILL (912796KS7) — None — Buy

Vanguard Growth (VUG) — Int/Div — Buy

Vanguard Total Stock (VTSMX) — Int/Div

W.R. Berkley — Int/Div — Buy (add'l)

WW Grainger (GWW) — Int/Div — Sold (part)

Walter Energy (WLTGQ) — None

Williams Partners (WPZ) — Int/Div — Buy (add'l)

Wright Medical (WMG) — None — Buy (add'l)

Wright Medical (WMG) — Sold (part)

XPO Logistics (XPO) — None — Buy

XPO Logistics (XPO) — Sold (part)

Xilinx (XLNX) — Int/Div

Trustee, Trust No.

Partner, vanous Howard Rice Investment Funds, Howard Rice Investment Funds, 01-09

Agreement — 1/198 — Family Trust

Agreement — 3/1/98 — Filer and Howard Rice et al,

Reimbursement — California Bankruptcy Forum — May 20-22, 2016 — Indian Wells, CA — Attend Annual meeting CBF, Make Presentations — Two Nights Hotel, Meals

Spouse's income — 2016 — The Permanente Medical Group--Salary

1. With respect to Part VII, line 12, my former law firm, Howard Rice et al., sometimes received additional or alternative compensation from clients m the form

of equity interests in the client. At the end of each calendar year the firm would form a partnership to hold the equity interests so acquired during that year for the

benefit of the equity holders in the law firm, and the various partnership entities listed in lines 5-13 of Part VII represent the Howard Rice partnerships in which |

had an equity interest when 1 left the firm to become a Bankruptcy Judge. Tn general, | have assigned a fairly nominal "value" to my interests in these partnerships

because, absent a liquidity event, they have little value per se. In the fall of 2016, one of the companies in which the firm had an equity interest that was held

in the Howard Rice Investment Fund 09 had a liquidity event, and the successor law firm (Amold & Porter) received a distribution from the entity in the form

of cash, that was then distributed to the holders of the equity interests in Howard Rice Investment Fund 09. | received a check from the firm in the approximate

amount of $590 on December 15, 2016, This event notwithstanding, the assets remaining in the '09 Fund, as well as the assets in the

remaning Howard Rice Investment Funds, remain illiquid and therfore, in my mind, of uncertain but likely miniscule value, and 1 have not altered the year-end

amount values for any of these investments.

2. With respect to Part VII, line 19, this refers to a deposit account in which my wife and her two sisters deposit the rents received, and from which they pay

distributuions of rent to each other (as accounted for in the “income” column for line 18 in Part VII) and pay expenses for the rental property. | list this in an

abundance of caution, because this account isn't really my wife's property in the distributional sense, but she and her sisters would each have a residual interest

in any amounts left in the account "at the end of the day”. 1did not list this account last year because 1 thought that the relevant economic interest re the Ventura

property was reflected in line 18 (as it is again this year) but because my wife and her sisters could each have some beneficial interest in this account, | list it here

with this explanation.

3. With respect to Part VIL, line 22 from the 2015 Report, the "Cross Timbers Partnership” entry was listed there in error. The interest in the Cross Timbers entity

was accurately and correctly listed at Part VII, line 81 of the 2015 Report, as part of the portfolio of equity interests managed for Filer and Wife by Fairfield Bush,

and it should not have been listed elsewhere.

4. With respect to Part VII, line 26 from this year's Report, and Part VII, line 27 from the 2015 Report, two corrections: 1. This account was improperly named as

"Schwab Money Market Fund (S&P 500 Index): SWMXX" mn the 2015 Report. The correct name (and it 1s corrected in Part VII, line 28, of this year's Report),

is "Schwab Money Market Fund, SWMMX"

2. In the 2015 Report, | made an madvertent math error in calculating the ending balance for this asset/fund, which,

after giving effect to the transactions described in the 2015 Report, exceeded $50,000--thus, the ending value should have been "L", not "K". This year's Report

corrects this error.

5. With respect to Part VII, line 28 from this year's Report, and Part VIL, line 27 from the 2015 Report, two corrections: 1. This account was improperly named

as "Schwab Money Market Fund: SWPPX" in the 2015 Report. The correct name (and it is corrected in Purt VII, line 30, of this year's Report). is "Schwab S&P

S00 (SWPPX)" In the 2015 Report, | made an inadvertent math error in calculating the ending balance for this asset/fund, which exceeded $15,000--thus, the

ending value should have been "K™, not "J". This year's Report corrects this error,

6. With respect to Part VII, lines 53-56 of this year's Report, during calendar year 2016, the managers of the TPMG Salary Deferral Plan opened, and then closed,

a new account, titled "MIP 11 CL 3" for the purpose of holding on a short term basis some of the moneys transferred from other entities during the course of the

year. The total aggregate amount of funds "in and out" of this account was less than $3000, and the last amounts in this account essentially went into the BTC US

Equity Market account, listed at lines 33-37,

7. With respect to Part VII, lines 58-59 of this year's Report, the "TPMG Conservative Fund”, this fund was erroneously listed among the TPMG Salary Deferral

Plan group in the 2015 Report--in fact, this fund is included in, and should have been listed in, the Permanente Employer Contribution Plan group. This year's

Reort corrects that error. Also, this asset, which had a total vulue of approximately $1942 at the end of calendar year 2015, was disposed of entirely in 2016, with

the last funds apparently being transferred to the BTC US Equity Market fund,

8. With respect to Part VII, line 74, the end of the year aggregate value for the "Vanguard Stable Income Fund" was erroneously listed in last year's report as

value "K" ($15,000--850,000); it should have been listed as value "L* ($50,000--$100,000); the actual visue was approximately $93,000. The value for this year

is correctly listed as "M™ ($100,000--8250,000), based on gains in the fund, and continuing contributions. In addition | included the name of the fund family

"Vanguard® in this years report.

9. With respect to Part VII, lines 125 and 192, these assets were inadvertently ommitted from my 2015 report.