Kimba Maureen Wood

What was filed

1387
investments
2
positions
0
gifts
0
agreements
2
debts
0
reimbursements
0
income
3
spouse income

Named parties

GROUP
DEBT LENDER
SERVICES ASSOC
New York City Ballet, Inc
The Frank E. Richardson 2011 Insurance Trust Agreement (See Note 4 in Section VIII)
Citibank
American Express
Morgan Stanley Pension Benefit
Sonic Corp - various Board & Committee Fees
Vestar, Harding Services, Irving Place Capital, Tinicum - Fee Income

As filed

EXXON CORP COMMON STOCK — Int/Div

MORGAN STANLEY BANK/CASH — Interest

ACTAVIS PLC COMMON STOCK — None — Buy

ACTAVIS PLC COMMON STOCK — Buy (add'l)

ALCOBRA LTD COMMON STOCK — None — Buy

ALCOBRA LTD COMMON STOCK — Buy (add'l)

ALCOBRA LTD COMMON STOCK — Sold

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

AMGEN INC COMMON STOCK — Int/Div — Buy

AMGEN INC COMMON STOCK — Buy (add'l)

APOLLO INVESTMENT CORP COMMON STOCK — Int/Div — Buy

APOLLO INVESTMENT CORP COMMON STOCK — Sold (part)

APOLLO INVESTMENT CORP COMMON STOCK — Sold

ARES DYNAMIC CREDIT ALLOC FUND — Int/Div — Buy

ARES DYNAMIC CREDIT ALLOC FUND — Buy (add'l)

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

ASHFORD HOSPITALITY TR INC COMMON STOCK — Sold

AVENUE INCOME CREDIT FUND — Int/Div

BLACKSTONE/GSO STRAT CREDIT FUND — Int/Div — Buy

BUCKEYE PARTNERS LP COMMON STOCK (SEE NOTE 1 IN SECT VIII) — None — Sold (part)

BUCKEYE PARTNERS LP COMMON STOCK (SEE NOTE 1 IN SECT VIII) — Sold (part)

CATALENT INC COMMON STOCK — None — Buy

CATALENT INC COMMON STOCK — Buy (add'l)

CHIMERA INVESTMENT CORP COMMON STOCK — Int/Div — Sold (part)

CHIMERA INVESTMENT CORP COMMON STOCK — Sold (part)

CHIMERA INVESTMENT CORP COMMON STOCK — Sold

COBALT INTERNATIONAL ENERGY COMMON STOCK — None — Sold

COLUMBIA PPTY TR INC COMMON STOCK — Int/Div — Buy

COLUMBIA PPTY TR INC COMMON STOCK — Sold

DEVON ENERGY CORP COMMON STOCK — Int/Div

DOW CHEMICAL COMMON STOCK — Int/Div — Buy

DOW CHEMICAL COMMON STOCK — Buy (add'l)

ENERGY TRANS EQUITY LP COMMON STOCK (SEE NOTE 1 SECT VIII) — None — Sold (part)

ENERGY TRANS EQUITY LP COMMON STOCK (SEE NOTE 1 SECT VIII) — Sold (part)

FIDELITY ADV HEALTH CARE INST MUTUAL FUND — Int/Div — Buy

FIRST TRUST DORSEY WRIGHT FO FUND — Int/Div — Buy

FIRST TRUST DORSEY WRIGHT FO FUND — Buy (add'l)

GUGGENHEIM SPIN OFF ETF — Int/Div — Sold (part)

GUGGENHEIM SPIN OFF ETF — Sold (part)

CRESTWOOD EQUITY LP COMMON STOCK (NOTE 1 IN SECT VIID — None — Sold (part)

CRESTWOOD EQUITY LP COMMON STOCK (NOTE 1 IN SECT VIID — Sold (part)

IMS HEALTH HOLDINGS INC COMMON STOCK — None — Buy

IMS HEALTH HOLDINGS INC COMMON STOCK — Buy (add'l)

INDUSTRIAL SEL SEC SPDR FUND — None — Buy

ISHARES MSCI USA MOMENTUM ETF — Int/Div — Buy

ISHARES MSCI USA MOMENTUM ETF — Buy (add'l)

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

JPMORGAN CHASE & CO COMMON STOCK — Int/Div

JPMORGAN INTREPID EURO SEL MUTUAL FUND — Int/Div — Buy

JPMORGAN INTREPID EURO SEL MUTUAL FUND — Buy (add'l)

KAR AUCTION SVCS INC COMMON STOCK — Int/Div

LINEAR TECH CORP COMMON STOCK — Int/Div — Buy

LINEAR TECH CORP COMMON STOCK — Sold

MCDONALDS CORP COMMON STOCK — Int/Div — Sold

MICRON TECH INC COMMON STOCK — None — Buy

MICRON TECH INC COMMON STOCK — Sold (part)

MICRON TECH INC COMMON STOCK — Sold

MONSANTO CO COMMON STOCK — None — Buy

MONSANTO CO COMMON STOCK — Sold

MONSANTO CO COMMON STOCK — Sold (part)

OCH-ZIFF CAPITAL LP CMN STOCK (SEE NOTES 1 & 7 IN SECT VIII) — Distribution — Buy

OCH-ZIFF CAPITAL LP CMN STOCK (SEE NOTES 1 & 7 IN SECT VIII) — Sold (part)

POWERSHARES ETF TR DYNA BUYBK — Int/Div — Buy

PROCTER & GAMBLE COMMON STOCK — Int/Div — Sold

PRUDENTIAL FINANCIAL INC COMMON STOCK — Int/Div — Buy

QUALCOMM INC COMMON STOCK — None — Sold

SOLAR CAPITAL LTD FUND — None — Buy

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

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

SPIRIT REALTY CAPITAL INC COMMON STOCK — Int/Div — Sold

STARWOOD PROPERTY TRUST INC CMN STK (SEE NOTE 1 SECT VIID — Int/Div — Sold (part)

STARWOOD WAYPOINT — None — from line 91)

STARWOOD WAYPOINT — Sold (part)

STARWOOD WAYPOINT — Sold

UNITED TECHNOLOGIES CORP COMMON STOCK — Int/Div — Sold

VANGUARD DIVIDEND APPRECIATION FUND — Int/Div

VANGUARD EUROPEAN MSCI ETF — Int/Div — Sold

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

VANGUARD SMALL CAP ETF — Int/Div — Buy

VANGUARD SMALL CAP ETF — Buy (add'l)

VERIZON COMMUNICATIONS COMMON STOCK — Int/Div — from line 104)

VERIZON COMMUNICATIONS COMMON STOCK — Sold (part)

VERIZON COMMUNICATIONS COMMON STOCK — Sold

VODAFONE GP PLC COMMON STOCK — Int/Div — Sold (part)

VODAFONE GP PLC COMMON STOCK — Sold

WELLS FARGO & CO COMMON STOCK — Int/Div

WISDOMTREE EUROPE HEDGED EQUITY FUND — Int/Div

WISDOMTREE TR EM MKTS DVD GROW FUND — None — Buy

WISDOMTREE TR EMG MKTS SMCAP FUND — Int/Div

WISDOMTREE SMALL CAP DIV FUND — Int/Div

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Int/Div — Sold (part)

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Sold

WISDOMTREE TRUST JAPAN HEDGE EQUITY FUND — Int/Div

WISDOMTREE TRUST MDCP EARN FUND — Int/Div — Buy

WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)

TRA ACCOUNT #1

IRA #1 - MSSB CASH/MM — Interest

IRA #1 - COMMON STOCKS AND FUNDS (LINES 119-197)

ACTAVIS PLC COMMON STOCK — None — Buy

ALCOBRA LTD COMMON STOCK — None — Buy

ALCOBRA LTD COMMON STOCK — Sold

AMER INTL GROUP INC COMMON STOCK — Int/Div — Sold (part)

AMERICAN CAPITAL AGENCY COMMON STOCK — Int/Div — Buy (add'l)

AMERICAN CAPITAL AGENCY COMMON STOCK — Sold (part)

AMERICAN CAPITAL AGENCY COMMON STOCK — Sold

AMGEN INC COMMON STOCK — Int/Div — Buy

AMGEN INC COMMON STOCK — Buy (add'l)

APOLLO INVESTMENT CORP COMMON STOCK — Int/Div — Buy

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

APOLLO INVESTMENT CORP COMMON STOCK — Sold (part)

APOLLO INVESTMENT CORP COMMON STOCK — Sold

APPLE INC COMMON STOCK — Int/Div — Buy

APPLE INC COMMON STOCK — Sold

ASHFORD HOSPITALITY TR INC COMMON STOCK — Int/Div — Buy (add'l)

ASHFORD HOSPITALITY TR INC COMMON STOCK — Sold (part)

ASHFORD HOSPITALITY TR INC COMMON STOCK — Sold

CATALENT INC COMMON STOCK — None — Buy

CATALENT INC COMMON STOCK — Buy (add'l)

CHEVRON CORP COMMON STOCK — None — Buy

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

CHIMERA INVESTMENT CORP COMMON STOCK — Sold

COLUMBIA PPTY TR INC COMMON STOCK — Int/Div — Buy

COLUMBIA PPTY TR INC COMMON STOCK — Buy (add'l)

COLUMBIA PPTY TR INC COMMON STOCK — Sold

DANAHER CORPORATION COMMON STOCK — Int/Div

DEVON ENERGY CORP COMMON STOCK — Int/Div

DOW CHEMICAL CO COMMON STOCK — None — Buy

JPMORGAN CHASE & CO COMMON STOCK — Int/Div

IMS HEALTH HOLDINGS INC COMMON STOCK — None — Buy

IMS HEALTH HOLDINGS INC COMMON STOCK — Buy (add'l)

KAR AUCTION SERVICES INC COMMON STOCK — Int/Div — Sold (part)

LINEAR TECHNOLOGY CORP — Int/Div — Buy

LINEAR TECHNOLOGY CORP — Sold

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

MCDONALDS CORP COMMON STOCK — Sold

MEDTRONIC INC COMMON STOCK — Int/Div — Buy

METLIFE INC COMMON STOCK — Int/Div — Buy

METLIFE INC COMMON STOCK — Sold

MICRON TECH INC COMMON STOCK — None — Buy

MICRON TECH INC COMMON STOCK — Sold (part)

MICRON TECH INC COMMON STOCK — Sold

MONSANTO CO COMMON STOCK — Int/Div — Buy

MONSANTO CO COMMON STOCK — Sold

OCH-ZIFF CAPITAL MGMT CMN STK (SEE NOTES 1 & 7 SECT VIII) — Distribution — Sold (part)

OCH-ZIFF CAPITAL MGMT CMN STK (SEE NOTES 1 & 7 SECT VIII) — Buy (add'l)

OCH-ZIFF CAPITAL MGMT CMN STK (SEE NOTES 1 & 7 SECT VIII) — Sold (part)

OCH-ZIFF CAPITAL MGMT CMN STK (SEE NOTES 1 & 7 SECT VIII) — Buy (add'l)

OCH-ZIFF CAPITAL MGMT CMN STK (SEE NOTES 1 & 7 SECT VIII) — Sold (part)

PHILLIPS 66 COMMON STOCK — Int/Div — Buy

PHILLIPS 66 COMMON STOCK — Buy (add'l)

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

PROCTER & GAMBLE COMMON STOCK — Sold

PRUDENTIAL FINANCIAL COMMON STOCK — Int/Div — Buy

PRUDENTIAL FINANCIAL COMMON STOCK — Buy (add'l)

QUALCOMM INC COMMON STOCK — None — Sold

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

SEADRILL LTD COMMON STOCK — Sold (part)

SEADRILL LTD COMMON STOCK — Sold

STARWOOD PROPERTY TRUST INC COMMON STOCK — Int/Div — Sold (part)

STARWOOD PROPERTY TRUST INC COMMON STOCK — Sold (part)

STARWOOD WAYPOINT — None — from line 18%)

STARWOOD WAYPOINT — Sold (part)

STARWOOD WAYPOINT — Sold

UNITED TECHNOLOGIES CORP COMMON STOCK — Int/Div — Sold (part)

UNITED TECHNOLOGIES CORP COMMON STOCK — Sold

VERIZON COMMUNICATIONS COMMON STOCK — None — from line 195)

VERIZON COMMUNICATIONS COMMON STOCK — Sold (part)

VERIZON COMMUNICATIONS COMMON STOCK — Sold

VODAFONE GP PLC ADS COMMON STOCK — Int/Div — Sold (part)

WELLS FARGO & CO COMMON STOCK — Int/Div

YUM BRANDS INC COMMON STOCK — Int/Div — Sold

IRA #1 - OPTIONS (LINES 199-214 (NOTE 3 IN SECT VIII)

AMERICAN CAPITAL AGENCY OPENING CONTRACT (9/24/13) — None

CONTRACT EXPIRED — None — Expired

JPMORGAN CHASE & CO - OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

MCDONALDS CORP - OPENING CONTRACT (9/24/13) — None

CONTRACT EXPIRED — None — Expired

QUALCOMM INC - OPENING CONTRACT (9/24/13) — None

CONTRACT EXPIRED — None — Expired

SEADRILL LTD - OPENING CONTRACT (8/5/13) — None

CONTRACT EXPIRED — None — Expired

SPDR S&P MIDCAP 400 ETF - OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

UNITED TECHNOLOGIES - OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

WELLS FARGO & CO - OPENING CONTRACT (9/25/13) — None

CLOSING CONTRACT — None — Buy

IRA #1 - ETF AND CLOSED END FUNDS (LINES 216-269)

ARES CAPITAL CORP FUND — None — Buy

ARES DYNAMIC CREDIT ALLOC FUND — Int/Div — Buy

ARES DYNAMIC CREDIT ALLOC FUND — Buy (add'l)

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

AVENUE INCOME CREDIT FUND — Sold (part)

BLACKSTONE/GSO STRAT CREDIT FUND — Int/Div — Buy

BLACKSTONE/GSO STRAT CREDIT FUND — Buy (add'l)

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

EATON VANCE TAX MGD DIV EQUITY FUND — Sold

FIRST TRUST DORSEY WRIGHT FUND — Int/Div — Buy

FIRST TRUST DORSEY WRIGHT FUND — Buy (add'l)

GUGGENHEIM SPIN OFF ETF — Int/Div — Sold (part)

GUGGENHEIM SPIN OFF ETF — Sold (part)

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

ISHARES MSCI USA MOMENTUM FUND — Int/Div — Buy

ISHARES MSCI USA MOMENTUM FUND — Buy (add'l)

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

PENNANTPARK FLOATING RATE CAP LTD — Int/Div — Sold (part)

PENNANTPARK FLOATING RATE CAP LTD — Sold (part)

PENNANTPARK FLOATING RATE CAP LTD — Sold

POWERSHARES ETF TR DYNA BUYBACK — Int/Div

PROSHARES TR S&P 500 DV ARIST FUND — Int/Div — Buy

PROSPECT CAPITAL CORP FUND — Int/Div — Buy

PROSPECT CAPITAL CORP FUND — Sold (part)

PROSPECT CAPITAL CORP FUND — Sold

PROSPECT CAPITAL CORP FUND — Buy

SOLAR SENIOR CAPITAL LTD FUND — Int/Div — Buy

SOLAR CAPITAL LTD FUND — Int/Div — Buy

SOLAR CAPITAL LTD FUND — Buy (add'l)

SPDR S&P EMERGING ASIA PACIFIC ETF — Int/Div — Buy (add'l)

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

SPDR S&P EMERGING ASIA PACIFIC ETF — Sold

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

SPDR S&P MIDCAP 400 ETF TRUST — Sold (part)

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

VANGUARD DIVIDEND APPRECIATION ETF — Sold

VANGUARD INFO TECH ETF — Int/Div

VANGUARD MIDCAPETF — Int/Div — Buy

VANGUARD SMALL CAP ETF — Int/Div — Buy

VANGUARD SMALL CAP ETF — Buy (add'l)

WISDOMTREE SMALL CAP DIV FUND — Int/Div

WISDOMTREE EUROPE HEDGED EQUITY FUND — Int/Div — Buy (add'l)

WISDOMTREE EUROPE HEDGED EQUITY FUND — Sold

WISDOMTREE TRUST EMERGING MARKET EQUITY FUND — Int/Div — Buy (add'l)

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

WISDOMTREE TRUST EMERGING MARKET EQUITY FUND — Sold (part)

WISDOMTREE TRUST EMERGING MARKET EQUITY FUND — Sold

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

WISDOMTREE TRUST MDCP EARN FUND — Int/Div — Buy

WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)

IRA #1 - MUTUAL FUND(S) (LINES 271-275)

DOUBLELINE TOTAL RETURN MUTUAL FUND — Int/Div — Sold

FIDELITY ADV HEALTH CARE INST MUTUAL FUND — Int/Div — Buy

GOTHAM ABSOLUTE RETURN MUTUAL FUND — Int/Div — Buy

JPMORGAN INTREPID EURO SEL MUTUAL FUND — Int/Div — Buy

JPMORGAN INTREPID EURO SEL MUTUAL FUND — Buy (add'l)

BIF TAX-EXEMPT FUND/CASH — Int/Div

ADDITIONAL COMMON STOCKS AND FUNDS (NON-IRA)

ABBOTT LABORATORIES COMMON STOCK — Int/Div — Sold

ABB-VIE COMMON STOCK — Int/Div — Sold (part)

ABB-VIE COMMON STOCK — Donated

ACCENTURE LTD COMMON STOCK — Int/Div

AMERICAN EXPRESS COMMON STOCK — Int/Div

AMGEN COMMON STOCK — Int/Div — Buy

AMGEN COMMON STOCK — Buy (add'l)

ANADARKO PETROLEUM CORP COMMON STOCK — Int/Div — Sold (part)

APPLE INC COMMON STOCK — Int/Div — Buy

APPLE INC COMMON STOCK — Buy (add'l)

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

B/E AEROSPACE INC COMMON STOCK — None — Buy

BERKSHIRE HATHAWAY COMMON STOCK — None

BLACKROCK INC COMMON STOCK — Int/Div

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

CABOT OIL & GAS COMMON STOCK — Int/Div — Sold (part)

CA RESOURCES COMMON STOCK — None — from line 376)

CA RESOURCES COMMON STOCK — Sold (part)

CARPENTER TECHNOLOGY COMMON STOCK — Int/Div

CDK GLOBAL INC COMMON STOCK — Int/Div — Buy

CHEVRON COMMON STOCK — None — Sold

CHUBB COMMON STOCK — Int/Div — Sold

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

CME GROUP COMMON STOCK — Buy (add'l)

COGNIZANT TECH SOLUTIONS COMMON STOCK — None — Buy

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

CONOCOPHILLIPS COMMON STOCK — Sold (part)

CONOCOPHILLIPS COMMON STOCK — Buy (add'l)

CONS DISCRET SEL SECT SPDR FUND — Int/Div — Buy

CONS DISCRET SEL SECT SPDR FUND — Buy (add'l)

CONS DISCRET SEL SECT SPDR FUND — Sold (part)

COVANTA HLDG CORP COMMON STOCK — Int/Div

CUMMINS COMMON STOCK — Int/Div — Buy

CUMMINS COMMON STOCK — Buy (add'l)

ENERGY SEL SECT SPDR FUND — Int/Div — Buy

ENERGY SEL SECT SPDR FUND — Buy (add'l)

ENERGY SEL SECT SPDR FUND — Sold (part)

EOG RES INC COMMON STOCK — Int/Div

FINANCIAL SEL SCT SPDR FUND — Int/Div — Buy

FINANCIAL SEL SCT SPDR FUND — Buy (add'l)

FIRST TRUST CONSUMER STAPLES ETF — Int/Div — Buy

FIRST TRUST CONSUMER STAPLES ETF — Sold (part)

FIRST TRUST CONSUMER STAPLES ETF — Buy (add'l)

FIRST TRUST DORSEY WRIGHT FUND — Int/Div — Buy

FIRST TRUST INDS/PRODS ETF — Int/Div — Buy

FIRST TRUST INDS/PRODS ETF — Sold (part)

GENERAL ELECTRIC COMMON STOCK — Int/Div — Sold

GUGGENHEIM S&P 500 EQUITY WEIGHT FUND — Int/Div — Buy

HEALTH CARE SEL SECCT SPDR FUND — Int/Div — Buy

HEALTH CARE SEL SECCT SPDR FUND — Buy (add'l)

HEALTH CARE SEL SECCT SPDR FUND — Sold (part)

HOME DEPOT COMMON STOCK — Int/Div — Buy

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

INTEL COMMON STOCK — Sold (part)

INTERNATIONAL BUSINESS MACHINE COMMON STOCK — Int/Div

INTERNATIONAL PAPER CO COMMON STOCK — Int/Div — Buy (add'l)

ISHARES MSCI EAFE SM CAP ETF — Int/Div — Buy

ISHARES MSCI EAFE GROWTH ETF — Int/Div — Buy

ISHARES MSCI FRONTIER 100 ETF — Int/Div — Buy

ISHARES MSCI USA MOMENTUM ETF — Int/Div — Buy

ISHARES US TECHNOLOGY ETF — Int/Div — Buy

ISHARES US TECHNOLOGY ETF — Buy (add'l)

ISHARES US TECHNOLOGY ETF — Sold (part)

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

JOHNSON & JOHNSON COMMON STOCK — Sold (part)

JPMORGAN CHASE COMMON STOCK — Int/Div

JPMORGAN INTREPID EURO SEL MUTUAL FUND — Int/Div — Buy

JPMORGAN INTREPID EURO SEL MUTUAL FUND — Buy (add'l)

KLA-TENCOR COMMON STOCK — Int/Div — Buy

KLA-TENCOR COMMON STOCK — Buy (add'l)

KLX INC COMMON STOCK — None — from line 290)

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

LAS VEGAS SANDS COMMON STOCK — Int/Div

LYONDELLBASELL IND COMMON STOCK — Int/Div — Sold (part)

LYONDELLBASELL IND COMMON STOCK — Buy (add'l)

LYONDELLBASELL IND COMMON STOCK — Sold (part)

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

MACYS COMMON STOCK — Buy (add'l)

MARKET VECTORS GOLD MINER ETF COMMON STOCK — None — Sold

MATERIALS SEL SECT SPDR FUND — Int/Div — Buy

MATERIALS SEL SECT SPDR FUND — Buy (add'l)

MATTEL COMMON STOCK — None — Sold

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

MCDONALDS COMMON STOCK — Sold

MEDTRONIC COMMON STOCK — Int/Div — Buy

MEDTRONIC COMMON STOCK — Buy (add'l)

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

MICROSOFT COMMON STOCK — Sold (part)

MONDELEZ INTL COMMON STOCK — Int/Div

M&T BANK COMMON STOCK — Int/Div — Buy

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

NEWELL RUBBERMAID COMMON STOCK — Sold

NOVO-NORDISK COMMON STOCK — Int/Div

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

ORACLE CORP COMMON STOCK — Int/Div

PACKAGING CORP COMMON STOCK — Int/Div

PEPSICO COMMON STOCK — Int/Div — Sold

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

PFIZER INC COMMON STOCK — Sold (part)

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

PIONEER NATURAL RESOURCES COMMON STOCK — Sold (part)

POWERSHARES ETF TR DYNA BUYBK — Int/Div — Buy

POWERSHARES S&P 500 LOW VOLA ETF — Int/Div — Buy

PNC FINANCIAL SERVICE GROUP COMMON STOCK — Int/Div — Buy

PRECISION CASTPARTS COMMON STOCK — Int/Div

PROCTOR & GAMBLE COMMON STOCK — Int/Div — Buy

PROCTOR & GAMBLE COMMON STOCK — Buy (add'l)

PROSHARES TR S&P 500 DV ARIST FUND — Int/Div — Buy

IRA ACCOUNT #2 (FKA IRA HOLDINGS)

LINES 394 - 522)

ACTAVISPLC — None — Buy

ALCOBRA LTD COMMON STOCK — None — Buy

ALCOBRA LTD COMMON STOCK — Sold

AMERICAN CAPITAL AGENCY — Int/Div — Buy (add'l)

AMERICAN CAPITAL AGENCY — Sold (part)

AMERICAN CAPITAL AGENCY — Sold

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

AMGEN INC COMMON STOCK — Int/Div — Buy

AMGEN INC COMMON STOCK — Buy (add'l)

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

APOLLO INVESTMENT CORP FUND — Buy (add'l)

APOLLO INVESTMENT CORP FUND — Sold (part)

APOLLO INVESTMENT CORP FUND — Sold

APPLE INC COMMON STOCK — Int/Div — Sold

ARES CAPITAL CORP FUND — None — Buy

ARES DYNAMIC CREDIT ALLOC FUND — Int/Div — Buy

ARES DYNAMIC CREDIT ALLOC FUND — Buy (add'l)

ASHFORD HOSPITALITY TR INC — Int/Div — Buy (add'l)

ASHFORD HOSPITALITY TR INC — Sold (part)

ASHFORD HOSPITALITY TR INC — Sold

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

AVENUE INCOME CREDIT FUND — Sold (part)

BLACKSTONE/GSO STRAT CREDIT FUND — Int/Div — Buy

BLACKSTONE/GSO STRAT CREDIT FUND — Buy (add'l)

CATALENT INC COMMON STOCK — None — Buy

CATALENT INC COMMON STOCK — Buy (add'l)

CHEVRON CORP COMMON STOCK — None — Buy

CHIMERA INVESTMENT CORP — Int/Div — Buy (add'l)

CHIMERA INVESTMENT CORP — Sold

COLUMBIA PPTY TR INC COMMON STOCK — Int/Div — Buy

COLUMBIA PPTY TR INC COMMON STOCK — Buy (add'l)

COLUMBIA PPTY TR INC COMMON STOCK — Sold

DANAHER CORP COMMON STOCK — Int/Div

DEVON ENERGY CORP COMMON STOCK — Int/Div

DOUBLELINE TOTAL RETURN MUTUAL FUND — Int/Div — Sold

DOW CHEMICAL CO COMMON STOCK — None — Buy

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

EATON VANCE TAX MGD DIV EQU FUND — Sold

FIDELITY ADV HEALTH CARE INST — Int/Div — Buy

FIRST TRUST DORSEY WRIGHT FUND — Int/Div — Buy

FIRST TRUST DORSEY WRIGHT FUND — Buy (add'l)

GOTHAM ABSOLUTE RETURN FUND — Int/Div — Buy

GUGGENHEIM SPIN OFF ETF — Int/Div — Sold (part)

GUGGENHEIM SPIN OFF ETF — Sold (part)

IMS HEALTH HOLDINGS INC COMMON STOCK — None — Buy

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

ISHARES MSCI USA MOMENTUM FUND — Int/Div — Buy

ISHARES MSCI USA MOMENTUM FUND — Buy (add'l)

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

JP MORGAN CHASE & CO — Int/Div

JP MORGAN INTREPID EURO SEL — Int/Div — Buy

JP MORGAN INTREPID EURO SEL — Buy (add'l)

KAR AUCTION SVCS INC — Int/Div — Sold (part)

LINEAR TECHNOLOGY CORP COMMON — Int/Div — Buy

LINEAR TECHNOLOGY CORP COMMON — Sold

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

MCDONALDS CORP — Sold

MEDTRONIC INC COMMON STOCK — Int/Div — Buy

METLIFE INC COMMON STOCK — Int/Div — Buy

METLIFE INC COMMON STOCK — Sold

MICRON TECH INC COMMON — None — Buy

MICRON TECH INC COMMON — Sold (part)

MICRON TECH INC COMMON — Sold

MONSANTO CO COMMON STOCK — Int/Div — Buy

MONSANTO CO COMMON STOCK — Sold

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Distribution — Sold (part)

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Buy (add'l)

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Sold (part)

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Buy (add'l)

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Sold (part)

PENNANTPARK FLTGRT CAP LTD FUND — Int/Div — Sold (part)

PENNANTPARK FLTGRT CAP LTD FUND — Sold (part)

PENNANTPARK FLTGRT CAP LTD FUND — Sold

PHILLIPS 66 COMMON STOCK — Int/Div — Buy

PHILLIPS 66 COMMON STOCK — Buy (add'l)

POWERSHRES ETF TR DYNA BUYBK FUND — Int/Div

PROCTER & GAMBLE — Int/Div — Sold

PROSHARES TR S&P 500 DV ARIST FUND — Int/Div — Buy

PROSPECT CAPITAL CORP FUND — Int/Div — Buy

PROSPECT CAPITAL CORP FUND — Sold (part)

PROSPECT CAPITAL CORP FUND — Sold

PROSPECT CAPITAL CORP FUND — Buy

PRUDENTIAL FINANCIAL INC COMMON STOCK — Int/Div — Buy

PRUDENTIAL FINANCIAL INC COMMON STOCK — Buy (add'l)

QUALCOMM INC — None — Sold

SEADRILL LTD — Int/Div — Buy (add'l)

SEADRILL LTD — Sold (part)

SEADRILL LTD — Sold

SOLAR SENIOR CAPITAL LTD — Int/Div — Buy

SOLAR CAPITAL LTD FUND — Int/Div — Buy

SOLAR CAPITAL LTD FUND — Buy (add'l)

SPDR S&P EMERGING ASIA PACIFIC FUND — Int/Div — Buy (add'l)

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

SPDR S&P EMERGING ASIA PACIFIC FUND — Sold

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

SPDR S&P MIDCAP 400 ETF TRUST — Sold (part)

STARWOOD PROPERTY TRUST — Int/Div — Sold (part)

STARWOOD PROPERTY TRUST — Sold (part)

STARWOOD WAYPOINT — None — from line 496)

STARWOOD WAYPOINT — Sold (part)

STARWOOD WAYPOINT — Sold

UNITED TECHNOLOGIES CORP — Int/Div — Sold (part)

UNITED TECHNOLOGIES CORP — Sold

VANGUARD DIVIDEND APPRECIATION FUND — Int/Div — Sold

VANGUARD INFO TECH ETF — Int/Div

VANGUARD MID-CAP ETF — Int/Div — Buy

VANGUARD SMALL CAP ETF — Int/Div — Buy

VANGUARD SMALL CAP ETF — Buy (add'l)

VERIZON COMMUNICATIONS — None — from line 510)

VERIZON COMMUNICATIONS — Sold

VODAFONE GP PLC ADS — Int/Div — Sold (part)

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

WISDOMTREE EUROPE HEDGED EQUITY FUND — Int/Div — Buy (add'l)

WISDOMTREE EUROPE HEDGED EQUITY FUND — Sold

WISDOMTREE SMALL CAP DIV FUND — Int/Div

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

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

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Sold (part)

WISDOMTREE TRUST EMRG MKT EQUITY FUND — Sold

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

WISDOMTREE TRUST MIDCAP EARN — Int/Div — Buy

WISDOMTREE TRUST MIDCAP EARN — Buy (add'l)

YUM BRANDS INC — Int/Div — Sold

IRA#2 - OPTIONS (SEE NOTE 3 IN SECT VIID (LINES 524 - 535)

AMERICAN CAPITAL AGENCY OPENING CONTRACT (9/24/13) — None

OPTION EXPIRED — None — Expired

APOLLO INVESTMENT CORP - OPENING CONTRACT (10/24/13) — None

CLOSING CONTRACT — None — Buy

JP MORGAN CHASE & CO - OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

SEADRILL LTD - OPENING CONTRACT (8/8/13) — None

OPTION EXPIRED — None — Expired

SPDR S&P MIDCAP 400 ETF - OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

UNITED TECHNOLOGIES - OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

ADDITIONAL COMMON STOCKS/ FUNDS (NON-IRA) (LINES 537-581)

SANDISK — Int/Div — Buy (add'l)

SANOFI — None — Buy

SANOFI — Buy (add'l)

SEMPRA ENERGY — Int/Div — Sold (part)

SEMPRA ENERGY — Sold

SMUCKER IM — Int/Div — Sold

SPDR S&P MIDCAP 400 ETF TRUST — None — Buy

SONIC CORP — Int/Div — Sold (part)

SONIC CORP — Buy (add'l)

SONIC CORP — Sold (part)

SONIC CORP — Buy (add'l)

SONIC CORP — Sold (part)

SONIC CORP — Buy (add'l)

SONIC CORP — Sold (part)

TEXTRON — Int/Div — Buy (add'l)

THE TRAVELERS COS — Int/Div — Sold (part)

UNILEVER — Int/Div — Sold (part)

UNILEVER — Sold

UNITED CONTINENTAL — None — Buy (add'l)

UNITED CONTINENTAL — Buy (add'l)

UNUM GROUP — Int/Div — Sold (part)

UPS COMMON STOCK — None — Buy

UTILITIES SEL SECT SPDR FUND — Int/Div — Buy

UTILITIES SEL SECT SPDR FUND — Sold (part)

VANGUARD INDEX FUNDS S&P 500 ETF — Int/Div — Buy

VANGUARD SMALL CAP ETF — Int/Div — Buy

VANGUARD TELE SVCS ETF INDEX — Int/Div — Buy

VERITIV — None — from line 335)

VERITIV — Sold (part)

VERITIV — Sold

VIACOM — Int/Div

VIRTUS INSIGHT EMERG MK TS MUTUTAL FUND — Int/Div — Buy

WALGREEN — Int/Div

WALMART STORES — Int/Div — Donated

WEYERHAEUSER CO — Int/Div — Sold (part)

WIDSOMTREE EUROPE HEDGED EQUITY — Int/Div — Buy

WISDOMTREE TRUST EM MKTS DVD GROWTH — Int/Div — Buy

WIDSOMTREE TRUST JAPAN HEDGE EQUITY — Int/Div — Buy

WISDOMTREE TRUST MDCP EARN — Int/Div — Buy

MLPS (LINES 583-652) EXCEPT WHERE NOTED

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

APOLLO INVESTMENT CORP COMMON STOCK — Sold (part)

BUCKEYE PARTNERS (SEE NOTE 1 IN SECT VII) — None — Sold (part)

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

CHIMERA INVESTMENT CORP COMMON STOCK — Int/Div

KINDER MORGAN ENERGY (FKA COPANO ENERGY) (NOTE I SECT VIID — None — Sold (part)

KINDER MORGAN ENERGY (FKA COPANO ENERGY) (NOTE I SECT VIID — Sold (part)

KINDER MORGAN ENERGY (FKA COPANO ENERGY) (NOTE I SECT VIID — Buy (add'l)

KINDER MORGAN ENERGY (FKA COPANO ENERGY) (NOTE I SECT VIID — Sold

CRESTWOOD EQUITY PARTNERS (SEE NOTE 1 IN SECT VIID — None — Buy (add'l)

CRESTWOOD EQUITY PARTNERS (SEE NOTE 1 IN SECT VIID — Sold (part)

CRESTWOOD MIDSTREAM PARTNERS (SEE NOTE 1 IN SECT VIID — None — Sold (part)

CRESTWOOD MIDSTREAM PARTNERS (SEE NOTE 1 IN SECT VIID — Sold (part)

ENERGY TRANS EQTY LP (SEE NOTE 1 IN SECT VIID — None — Sold (part)

ENERGY TRANS EQTY LP (SEE NOTE 1 IN SECT VIID — Sold (part)

ENTERPRISE GP/AKA ENTERPRISE PRODS LP (NOTE 1 IN SECT VIII) — None — Sold (part)

ENTERPRISE GP/AKA ENTERPRISE PRODS LP (NOTE 1 IN SECT VIII) — Sold (part)

MAGELLAN MIDSTREAM PARTNERS LP (SEE NOTE 1 IN SECT VIID — Distribution — Sold (part)

MAGELLAN MIDSTREAM PARTNERS LP (SEE NOTE 1 IN SECT VIID — Sold (part)

UNITED TECHNOLOGIES CORP — Int/Div — 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)

NORTHERN TIER ENERGY LP (SEE NOTE 1 IN SECT VIID — Distribution — Sold (part)

NORTHERN TIER ENERGY LP (SEE NOTE 1 IN SECT VIID — Sold (part)

OCH-ZIFF (SEE NOTES 1 & 7IN SECT VII — Distribution — Buy

OCH-ZIFF (SEE NOTES 1 & 7IN SECT VII — Buy (add'l)

OCH-ZIFF (SEE NOTES 1 & 7IN SECT VII — Sold (part)

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

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

PETROLOGISTICS LP (SEE NOTE 1 IN SECT VIID — Sold

PROSPECT CAPITAL — Int/Div — Buy

PVR PARTNERS (SEE NOTE 1 IN SECT VII — None — Sold (part)

PVR PARTNERS (SEE NOTE 1 IN SECT VII — Redeemed

REGENCY (SEE NOTE 1 IN SECT VIID — None — from line 636)

REGENCY (SEE NOTE 1 IN SECT VIID — Sold (part)

RHINO RESOURCE PARTNERS (SEE NOTE 1 IN SECT VIID — Distribution — Sold (part)

RHINO RESOURCE PARTNERS (SEE NOTE 1 IN SECT VIID — Sold (part)

RHINO RESOURCE PARTNERS (SEE NOTE 1 IN SECT VIID — Sold

TARGA RES PARTNERS SEE NOTE 1 IN SECT VIID — None — Sold (part)

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

WESTERN GAS PARTNERS (SEE NOTE 1 IN SECT VIII) — None — Sold (part)

WESTERN GAS PARTNERS (SEE NOTE 1 IN SECT VIII) — Sold (part)

MLP ACCOUNT - OPTIONS (LINES 654-657 (NOTE 3 IN SECT VIII)

APOLLO INVESTMENT CALL #2 OPENING (9/12/13) — None

OPTION ASSIGNED — None — Redeemed

APOLLO INVESTMENT CALL #3 OPENING (10/24/13) — None

OPTION EXPIRED — None — Expired

BONDS/FIXED INCOME (LINES 659 660)

PETROLEOS DE VENEZUELA - BONDS — Interest — Sold

RIDGEWORTH FUNDS SEIX FLTG RATE — Int/Div

CASH/S/T INVESTS/MM ACCTS (LINES 662-677)

GOLDMAN SACHS FINANCIAL SQUARE MM/CASH — Interest

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

CITIBANK CHECKING ACCOUNT FOUNDATION — None

CITIBANK INTEREST CHECKING ACCOUNT #1 (FERP) — Interest

CITIBANK CHECKING ACCOUNT (HH) — None

CITIBANK AGENCY TRUST CASH ACCOUNT — Interest

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 VIII) — Interest

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

CGMI BANK DEPOSIT PROGRAM — Interest

MORGAN STANLEY BANK/TRUST DEPOSITS #2 — Interest

MORGAN STANELY BANK/TRUST DEPOSITS #2A. — Interest — Open

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

FDN BROKERAGE #1 (LINES 679-681) (NOTE 16 IN SECT VII)

ABBVIE INC. COMMON STOCK X) — Int/Div — Sold (part)

WAL MART STORES INC COMMON STOCK (X) — Int/Div — Sold (part)

WAL MART STORES INC COMMON STOCK (X) — Sold (part)

FDN BRKG ACCT #2 (LINES 683 -846) (SEE NOTE 16 SECT VIII)

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

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

COMMON STOCKS AND FUNDS (LINES 686- 827)

ACTAVIS PLC — None — Buy

ALCOBRA LTD — None — Buy

ALCOBRA LTD — Sold

AMERICAN CAPITAL AGENCY — Int/Div — Buy (add'l)

AMERICAN CAPITAL AGENCY — Buy (add'l)

AMERICAN CAPITAL AGENCY — Sold (part)

AMERICAN CAPITAL AGENCY — Sold

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

AMGEN INC COMMON STOCK — Int/Div — Buy

AMGEN INC COMMON STOCK — Buy (add'l)

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

APOLLO INVESTMENT CORP — Buy (add'l)

APOLLO INVESTMENT CORP — Sold (part)

APOLLO INVESTMENT CORP — Sold

APPLE INC — Int/Div — Buy (add'l)

APPLE INC — Sold

ARES CAPITAL CORP — None — Buy

ARES DYNAMIC CREDIT ALLOC FUND — Int/Div — Buy

ARES DYNAMIC CREDIT ALLOC FUND — Buy (add'l)

ASHFORD HOSPITALITY TR INC — Int/Div — Buy (add'l)

ASHFORD HOSPITALITY TR INC — Sold (part)

ASHFORD HOSPITALITY TR INC — Sold

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

BLACKSTONE/GSO STRAT CREDIT FUND — Int/Div — Buy

BLACKSTONE/GSO STRAT CREDIT FUND — Buy (add'l)

CATALENT INC COMMON STOCK — None — Buy

CATALENT INC COMMON STOCK — Buy (add'l)

CHEVRON CORP — None — Buy

CHIMERA INVESTMENT CORP — Int/Div — Buy (add'l)

CHIMERA INVESTMENT CORP — Sold

COLUMBIA PPTY TR INC COMMON STOCK — Int/Div — Buy

COLUMBIA PPTY TR INC COMMON STOCK — Buy (add'l)

COLUMBIA PPTY TR INC COMMON STOCK — Sold

DANAHER CORP — Int/Div — Buy (add'l)

DEVON ENERGY CORP — Int/Div — Buy (add'l)

DOUBLELINE TOTAL RETURN — Int/Div — Sold

DOW CHEMICAL CO — None — Buy

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

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

EATON VANCE TAX MGD DIV EQU FUND — Sold

FIDELITY ADV HEALTH CARE INST — Int/Div — Buy

FIDELITY ADV HEALTH CARE INST — Buy (add'l)

FIRST TRUST DORSEY WRIGHT FO — Int/Div — Buy

FIRST TRUST DORSEY WRIGHT FO — Buy (add'l)

GOTHAM ABSOLUTE RETURN — Int/Div — Buy

GUGGENHEIM SPIN OFF ETF — Int/Div — Sold (part)

GUGGENHEIM SPIN OFF ETF — Sold (part)

IMS HEALTH HOLDINGS INC COMMON STOCK — None — Buy

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

ISHARES MSCI USA MOMENTUM — Int/Div — Buy

ISHARES MSCI USA MOMENTUM — Buy (add'l)

UNITED TECHNOLOGIES CORP — Sold

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

ISHARES S&P MID CAP 400 GROWTH ETF — Sold

JP MORGAN CHASE — Int/Div

JP MORGAN INTREPID EURO SEL — Int/Div — Buy

JP MORGAN INTREPID EURO SEL — Buy (add'l)

KAR AUCTION SERVICES INC — Int/Div — Buy (add'l)

KAR AUCTION SERVICES INC — Sold (part)

LINEAR TECHNOLOGY CORP — Int/Div — Buy

LINEAR TECHNOLOGY CORP — Sold

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

MCDONALDS CORP — Sold

MEDTRONIC INC COMMON STOCK — Int/Div — Buy

METLIFE INC COMMON STOCK — Int/Div — Buy

METLIFE INC COMMON STOCK — Sold

MICRON TECH INC — None — Buy

MICRON TECH INC — Sold (part)

MICRON TECH INC — Sold

MONSANTO CO COMMON STOCK — Int/Div — Buy

MONSANTO CO COMMON STOCK — Sold

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Distribution — Sold (part)

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Buy (add'l)

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Sold (part)

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Buy (add'l)

OCH-ZIFF CAPITAL MANAGEMENT (SEE NOTES 1 & 7 IN SECT VIII) — Sold (part)

PENNANTPARK FLTGRT CAP LTD — Int/Div — Sold (part)

PENNANTPARK FLTGRT CAP LTD — Sold (part)

PENNANTPARK FLTGRT CAP LTD — Sold

PHILLIPS 66 COMMON STOCK — Int/Div — Buy

PHILLIPS 66 COMMON STOCK — Buy (add'l)

POWERSHARES ETF TR DYNA BUYBK — Int/Div — Buy (add'l)

PROCTER & GAMBLE — Int/Div — Buy (add'l)

PROCTER & GAMBLE — Sold

PROSHARES TR S&P 500 DV ARIST — Int/Div — Buy

PROSPECT CAPITAL CORP COMMON STOCK — Int/Div — Buy

PROSPECT CAPITAL CORP COMMON STOCK — Sold (part)

PROSPECT CAPITAL CORP COMMON STOCK — Sold

PROSPECT CAPITAL CORP COMMON STOCK — Buy

PRUDENTIAL FINANCIAL COMMON STOCK — Int/Div — Buy

PRUDENTIAL FINANCIAL COMMON STOCK — Buy (add'l)

QUALCOMM INC — None — Sold

SEADRILL LTD — Int/Div — Buy (add'l)

SEADRILL LTD — Sold (part)

SEADRILL LTD — Sold

SOLAR CAPITAL LTD — Int/Div — Buy

SOLAR CAPITAL LTD — Buy (add'l)

SOLAR SENIOR CAPITAL LTD — Int/Div — Buy

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

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

SPDR S&P EMERGING ASIA PACIFIC — Sold

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

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

SPDR S&P MIDCAP 400 ETF TRUST — Sold (part)

STARWOOD PROPERTY TRUST INC — Int/Div — Buy (add'l)

STARWOOD PROPERTY TRUST INC — Sold (part)

STARWOOD WAYPOINT — None — from line 797)

STARWOOD WAYPOINT — Sold (part)

STARWOOD WAYPOINT — Sold

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

VANGUARD DIVIDEND APPRECIATION — Sold

VANGUARD INFO TECH ETF — Int/Div

VANGUARD MID-CAP ETF — Int/Div — Buy

VANGUARD SMALL CAP ETF — Int/Div — Buy

VANGUARD SMALL CAP ETF — Buy (add'l)

VERIZON COMMUNICATIONS COMMON STOCK — None — from line 813)

VERIZON COMMUNICATIONS COMMON STOCK — Sold (part)

VERIZON COMMUNICATIONS COMMON STOCK — Sold

VODAFONE GP PLC ADS — Int/Div — Sold (part)

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

WELLS FARGO & CO — Buy (add'l)

WISDOMTREE EUROPE HEDGED EQUITY FUND — Int/Div — Buy (add'l)

WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)

WISDOMTREE EUROPE HEDGED EQUITY FUND — Sold

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

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

WISDOMTREE TRUST EMRG MKT EQT — Buy (add'l)

WISDOMTREE TRUST EMRG MKT EQT — Sold (part)

WISDOMTREE TRUST EMRG MKT EQT — Sold

WIDSOMTREE TRUST JAPAN HEDGE EQUITY — Int/Div — Buy

WISDOMTREE TRUST MDCP EARN — Int/Div — Buy

WISDOMTREE TRUST MDCP EARN — Buy (add'l)

YUM BRANDS INC — Int/Div — Sold

OPTIONS (LINES 829-846) (SEE NOTE 3 IN SECTION VIII)

AMERICAN CAPITAL AGENCY OPENING CONTRACT (9/24/13) — None

CONTRACT EXPIRED — None — Expired

APOLLO INVESTMENT CORP - OPENING CONTRACT (10/24/13) — None

CLOSING CONTRACT — None — Buy

JP MORGAN CHASE - OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

MCDONALDS - OPENING CONTRACT (9/24/13) — None

CONTRACT EXPIRED — None — Expired

QUALCOMM - OPENING CONTRACT (9/24/13) — None

CONTRACT EXPIRED — None — Expired

SEADRILL - OPENING CONTRACT (8/5/13) — None

CONTRACT EXPIRED — None — Expired

SPDR S&P MIDCAP 400 ETF TRUST OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

UNITED TECHNOLOGIES - OPENING CONTRACT (9/24/13) — None

CLOSING CONTRACT — None — Buy

WELLS FARGO & CO - OPENING CONTRACT (9/25/2013) — None

CLOSING CONTRACT — None — Buy

NON-PUBLICS (SEE NOTES 5 & 7 IN SECT VIID (LINES 848-1011)

ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VIID — None — Buy (add'l)

ELGIN CAPITAL (SEE NOTES 1 & 14IN SECT VIID — Distribution — Sold (part)

ELGIN CAPITAL (SEE NOTES 1 & 14IN SECT VIID — Sold (part)

ENTERTAINMENT ACQUISTION COMPANY (X) (NOTE 11 IN SECT VIID — Distribution

CENTERBRIDGE CREDIT PARTNERS (SEE NOTE 1 IN SECT VIII) — Distribution

TAMPA BAY RAYS (SEE NOTES 1 & 14 IN SECT VIID — Distribution

FRESH DIRECT — None

HARDING SERVICE, LLC (SEE NOTES 1 & 6 IN SECT VIID (X) — Distribution

OFFIT CAPITAL ADVISORS (SEE NOTE 1 IN SECTION VIID — None — Sold (part)

OPUS MEDIA PARTNERS (SEE NOTE 1 IN SECT VIID — None — Distributed

UNIVERSAL HOSPITAL SERVICES HOLDING CO (NOTE 1 SECT VIID — Distribution

WHOLESOME FOODS (SEE NOTES 1 & 14 IN SECTION VIII) — None

GOLUB CAPITAL PARTNERS (SEE NOTE 9 IN SECTION VIII) — Distribution — Sold (part)

GOLUB CAPITAL PARTNERS (SEE NOTE 9 IN SECTION VIII) — Sold (part)

GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VIID — Distribution — Sold (part)

GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VIID — Buy (add'l)

GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VIID — Sold (part)

GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VIID — Buy (add'l)

GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VIID — Sold (part)

GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VIID — Buy (add'l)

GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VIID — Sold (part)

IRVING PLACE CAPITAL II (SEE NOTES 9 & 14 IN SECT VIID — None — Sold (part)

IRVING PLACE CAPITAL III (SEE NOTES 9 & 14 IN SECT VII — Distribution — Sold (part)

IRVING PLACE CAPITAL III (SEE NOTES 9 & 14 IN SECT VII — Sold (part)

IRVING PLACE CAPITAL III (SEE NOTES 9 & 14 IN SECT VII — Buy (add'l)

IRVING PLACE CAPITAL III (SEE NOTES 9 & 14 IN SECT VII — Sold (part)

IRVING PLACE CAPITAL III (SEE NOTES 9 & 14 IN SECT VII — Buy (add'l)

IRVING PLACE CAPITAL III (SEE NOTES 9 & 14 IN SECT VII — Sold (part)

BLENHEIM ELGIN NATURAL RESOURCES FUND (NOTE 9 SECT VIII) — Distribution — Sold (part)

CENTERVIEW CAPITAL (SEE NOTES 10 & 14 IN SECT VIII) — None

ADVANTAGE SALES MARKETING (SEE NOTE 15 IN SECT VIII) — None — Buy

DEL MONTE (SEE NOTE 15 IN SECT VII — None

NIELSEN CO (SEE NOTE 15 IN SECT VII — None — Sold (part)

NIELSEN CO (SEE NOTE 15 IN SECT VII — Sold

RICHELIEU FOODS, INC (SEE NOTE 15 IN SECT VIII — None

HIGHCAPE PARTNERS (SEE NOTES 7 & 10 IN SECT VIII) — Interest

CHEETAH MEDICAL (SEE NOTE 15 IN SECT VIID — None — Buy

CHEETAH MEDICAL (SEE NOTE 15 IN SECT VIID — Buy (add'l)

CHEETAH MEDICAL (SEE NOTE 15 IN SECT VIID — Sold (part)

TELABIO (SEE NOTE 15 IN SECT VIII) — None — Buy

TELABIO (SEE NOTE 15 IN SECT VIII) — Sold (part)

TELABIO (SEE NOTE 15 IN SECT VIII) — Buy (add'l)

TELABIO (SEE NOTE 15 IN SECT VIII) — Sold (part)

KAYNE ANDERSON (SEE NOTE 9 IN SECT VII — Distribution — Buy (add'l)

KAYNE ANDERSON (SEE NOTE 9 IN SECT VII — Buy (add'l)

DYNA VOX (Y)

VESTAR CAPL PRTNRS/ASSC IV/ATV (SEE NOTE 9 SECT VIII) — Distribution — Sold (part)

VESTAR CAPL PRTNRS/ASSC IV/ATV (SEE NOTE 9 SECT VIII) — Sold (part)

VESTAR CAP/ASSOC V (SEE NOTE 9 IN SECT VIID — Distribution — Sold (part)

VESTAR CAP/ASSOC V (SEE NOTE 9 IN SECT VIID — Sold (part)

ARGO TECH (Y)

BORDER MEDIA (Y)

CCS INCOME TRUST (Y)

DEL MONTE (Y)

GLEASON CORP (Y)

HEALTHGRADES (Y)

INHEALTH (Y)

THE SUN PRODUCTS CORP (Y)

MEDI-MEDIA (Y)

NATIONAL MENTOR HLDNGS (Y)

PRESS GANEY (Y)

RADIATION THERAPY (Y)

SEVES SPA (Y)

DEVILBISS (Y)

TRITON CONTAINER INTL (Y)

WILTON RE HOLDINGS (Y)

RAZOR'S EDGE FUND (SEE NOTE 9 IN SECT VIID — Distribution — Buy (add'l)

RAZOR'S EDGE FUND (SEE NOTE 9 IN SECT VIID — Buy (add'l)

RED ABBEY (SEE NOTE 9 IN SECT VIII) — Distribution — Sold (part)

SENTINEL CAPITAL II (SEE NOTE 10IN SECT VIID (Y)

SENTINEL CAPITAL III (SEE NOTE 10 IN SECT VIID — Distribution

SENTINEL CAPITAL IV (SEE NOTES 10 & 14 IN SECT VIID — Distribution

SENTINEL CAPITAL V (SEE NOTE 10 IN SECT VIID — None

CHASE DOOR HOLDINGS (SEE NOTE 15 IN SECTION VIII) — None — Sold — GROUP

CHASE DOOR HOLDINGS (SEE NOTE 15 IN SECTION VIII) — Distributed

CHECKERS & RALLY'S (SEE NOTE 15 IN SECTION VIID\ — None — Buy

CHECKERS & RALLY'S (SEE NOTE 15 IN SECTION VIID\ — Buy (add'l)

CHROMALOX (SEE NOTES 11 & 15 IN SECTION VII) — None — Distributed

COLSON GROUP HOLDINGS (SEE NOTE 15 IN SECTION VIII) — None — Sold (part)

COLSON GROUP HOLDINGS (SEE NOTE 15 IN SECTION VIII) — Sold (part)

CREDIT INFONET HOLDINGS (SEE NOTE 15 IN SECT VIII) — None

CRITICAL SOLUTIONS (SEE NOTE 15 IN SECTION VIII) — None — Sold (part)

ENGINEERED CONTROLS (SEE NOTES 11 & 15IN SECT VIII) — None — Distributed

HOLLANDER SLEEP PRODUCTS (SEE NOTE 15 IN SECT VIII) — None — Buy

HOSPICE ADVANTAGE (SEE NOTE 15 IN SECT VIID — None

HUDDLE HOUSE (SEE NOTE 15 IN SECT VIID — Int/Div

IEP TECHNOLOGIES (SEE NOTE 15 IN SECT VII — None

INSCAPE (SEE NOTES 11 & 15 IN SECT VII — None — Distributed

INTERIM HEALTHCARE (SEE NOTES 11 & 15IN SECT VIII) — None — Distributed

LTI FLEXIBLE PRODUCTS (SEE NOTES 11 & 15IN SECT VIII) — None — Distributed

MASSAGE ENVY (SEE NOTES 11 & 15 IN SECT VIID — None — Distributed

MIDWEST WHOLESALE HARDWARE (SEE NOTE 15 IN SECT VIII) — None — Sold — DEBT LENDER

NATIONAL SPINE AND PAIN CENTERS (SEE NOTE 15 IN SECT VIID — None — Sold (part)

NEWK'S HOLDINGS (SEE NOTE 15 IN SECT VIID — None — Buy

NORTH AMERICAN RESCUE (SEE NOTE 15 IN SECT VIII) — Int/Div — Sold (part)

NORTH AMERICAN RESCUE (SEE NOTE 15 IN SECT VIII) — Sold (part)

DCP MIDSTREAM PARTNERS LP — Sold (part)

NORTHEAST DENTAL MANAGEMENT (SEE NOTE 15 IN SECT VII — None — Buy (add'l)

PCH HOLDINGS (SEE NOTE 15 IN SECT VII — None — Buy

POWER PRODUCT (SEE NOTE 15 IN SECT VIID — None — Buy (add'l)

POWER PRODUCT (SEE NOTE 15 IN SECT VIID — Sold (part)

PRECISION PIPELINE SOLUTIONS (SEE NOTE 15 IN SECT VIII) — None — Sold — SERVICES ASSOC

ROBOMETRICS (SEE NOTE 15 IN SECT VIII — None — Buy

SOUTHERN CALIFORNIA (SEE NOTES 11 & 15 IN SECT VIID — None — Distributed

SPINRITE (SEE NOTE 15 IN SECT VIID — Int/Div — Sold (part)

TGI FRIDAYS (SEE NOTE 15 IN SECT VII — None — Buy

TGI FRIDAYS (SEE NOTE 15 IN SECT VII — Sold (part)

TGI FRIDAYS (SEE NOTE 15 IN SECT VII — Distributed

VINTAGE HOLDINGS (SEE NOTE 15IN SECT VIID — Int/Div

WELLSPRING PHARMACEUTICALS (SEE NOTE 15 IN SECTION VIII) — Interest

SCIENS CAPITAL (AKA ZILKHA) (SEE NOTES 6 & 9 IN SECT VIII) — Distribution — Sold (part)

NORTHERN HELLENIC HOLDINGS (SEE NOTES 6.9&14 IN SECT VIII) — None

QUINTANA ENERGY PARTNERS (SEE NOTES 9&14 IN SECT VIII) — Distribution — Sold (part)

QUINTANA ENERGY PARTNERS (SEE NOTES 9&14 IN SECT VIII) — Buy (add'l)

NB CO-INVESTMENT PARTNERS (SEE NOTES 9&14 IN SECT VIII) — Distribution — Sold (part)

NB CO-INVESTMENT PARTNERS (SEE NOTES 9&14 IN SECT VIII) — Sold (part)

NB CO-INVESTMENT PARTNERS (SEE NOTES 9&14 IN SECT VIII) — Buy (add'l)

NB CO-INVESTMENT PARTNERS (SEE NOTES 9&14 IN SECT VIII) — Sold (part)

NB CO-INVESTMENT PARTNERS (SEE NOTES 9&14 IN SECT VIII) — Buy (add'l)

NB CO-INVESTMENT PARTNERS (SEE NOTES 9&14 IN SECT VIII) — Sold (part)

TINICUM LP (SEE NOTES 9 & 14 IN SECT VIII) — None — Buy (add'l)

TINICUM LP (SEE NOTES 9 & 14 IN SECT VIII) — Buy (add'l)

TINICUM LP (SEE NOTES 9 & 14 IN SECT VIII) — Sold (part)

TINICUM LP (SEE NOTES 9 & 14 IN SECT VIII) — Buy (add'l)

3G SPECIAL SITUATIONS FUND III (SEE NOTE 9 IN SECT VII — Distribution

OTHER INVESTMENTS/NOTES RECEIVABLES (LINES 1013-1043)

CEDAR ROCK CAPITAL PARTNERS (SEE NOTE 1 IN SECT VIII) — Distribution — Buy

CHESAPEAKE PARTNERS (SEE NOTE 1 IN SECT VIID — Distribution

GOLD BULLION — None

BREVAN HOWARD (SEE NOTE 1 IN SECT VIID — Distribution

E. RICHARDSON & CO (SEE NOTES 1&13 IN SECT VIID — None — Buy (add'l)

E. RICHARDSON & CO (SEE NOTES 1&13 IN SECT VIID — Buy (add'l)

OP40 INC (Y)

OVERLOOK PARTNERS (SEE NOTE 1 IN SECT VIID — Distribution

QFR VICTORIA FUND (SEE NOTE 1 IN SECTION VIID — Distribution

ELIZABETH REILLY, PERSONAL LOAN - NOTE RECEIVABLE — None

SHIRLEY NAVARETTE, PERSONAL LOAN - NOTE RECEIVABLE — None — Open

Repayments are noted as "Matured (part)”) — Sold (part)

TRUST #1 (LINES 1045-1071) (SEE NOTE 2 IN SECT VIII) — Int/Div

GOLDMAN SACHS BANK DEPOSIT/ CASH #4

ABBOTT LABORATORIES COMMON STOCK

ABB-VIE INC. COMMON STOCK

ANADARKO PETROLEUM CORP COMMON STOCK

ASHL AND INC COMMON STOCK

B/E AEROSPACE INC — Buy

BLACKROCK INC COMMON STOCK

BOEING COMPANY COMMON STOCK

INTERNATIONAL PAPER CO COMMON STOCK — Sold

JOHNSON & JOHNSON COMMON STOCK

KLX INC — from line 1050)

KRAFT FOODS GROUP, INC COMMON STOCK — Sold

MONDELEZ INTL COMMON STOCK

OCCIDENTAL PETROLEUM CORP COMMON STOCK — Sold

PRECISION CASTPARTS CORP COMMON STOCK — Buy (add'l)

PRUDENTIAL FINANCIAL INC COMMON STOCK — Buy

SANDISK CORP COMMON STOCK

SONIC CORP COMMON STOCK

TEXTRON INC COMMON STOCK — Sold

UNITED CONTINENTAL HOLDING INC COMMON STOCK — Buy

UNITED CONTINENTAL HOLDING INC COMMON STOCK — Buy (add'l)

VANGUARD FTSE ALL-WORLD EX. US INDEX FUND — Sold

VANGUARD FTSE DEVELOPED MKTS COMMON ETF — Sold

VERITIV CORP COMMON STOCK — from line 1053)

VERITIV CORP COMMON STOCK — Sold (part)

VERITIV CORP COMMON STOCK — Sold

WALGREEN BOOTS ALLIANCE, INC CO CMN STOCK (FKA WALGREENS)

TRUST #1 A (LINES 1073-1213) (NOTES 1,2 & 7IN SECT VIII) — Int/Div

GOLDMAN SACHS BANK DEPOSITS/ CASH #4A

ACCESS MIDSTREAM (FKA CHESAPEAKE MIDSTREAM) — Sold (part)

ATLAS PIPELINE PARTNERS. LP — Sold (part)

BUCKEYE PARTNERS LP — Sold (part)

BUCKEYE PARTNERS LP — Buy (add'l)

BUCKEYE PARTNERS LP — Sold (part)

DCP MIDSTREAM PARTNERS LP — Buy

DCP MIDSTREAM PARTNERS LP — Sold (part)

TWENTY-FIRST CENTURY

DCP MIDSTREAM PARTNERS LP — Sold (part)

EL PASO PIPELINE PARTNERS — Sold (part)

EL PASO PIPELINE PARTNERS — Sold

ENERGY TRANSFER EQUITY LP — Sold (part)

11.10: — Sold (part)

ENTERPRISE PRODUCTS PART LP — Sold (part)

ENTERPRISE PRODUCTS PART LP — Buy (add'l)

ENTERPRISE PRODUCTS PART LP — Sold (part)

EQT MIDSTREAM PARTNERS LP COMMON — Buy

1129, — Sold (part)

GENESIS ENERGY. LP — Sold (part)

GENESIS ENERGY. LP — Buy (add'l)

GENESIS ENERGY. LP — Sold (part)

MAGELLAN MIDSTREAM PARTNERS LP — Sold (part)

1159, — Sold (part)

MARKWEST ENERGY PARTNERS LP — Sold (part)

ONE GAS. INC COMMON STOCK — from line 1176)

ONE GAS. INC COMMON STOCK — Sold (part)

ONE GAS. INC COMMON STOCK — Sold

ONEOK INC CMN (FKA ONEOK INC CMN CTSY CITI GLOBAL) — Buy (add'l)

ONEOK PARTNERS, LLP — Sold (part)

PLAINS ALL AMERICAN PIPELINE LP — Sold (part)

PLAINS ALL AMERICAN PIPELINE LP — Buy (add'l)

PLAINS ALL AMERICAN PIPELINE LP — Sold (part)

PL AINS GP HOLDINGS, LP

TARGA RESOURCES CORP COMMON — Buy

TEEKAY OFFSHORE PARTNERS LP

WESTERN GAS PARTNERS. LLP — Sold (part)

THE WILLIAMS COMPANIES. INC

WILLIAMS PARTNERS LP — Sold (part)

TRUST #1B (LINES 1215-1279) (NOTES 2.5 AND 7 IN SECT VIID — Distribution

CITI TRUST CHECKING ACCOUNT

OSCAR SCHAFER (SEE NOTE 1 IN SECT VIID

FLAG VENTURE CAPITAL (SEE NOTES 1 & 14 IN SECT VIID — Sold (part)

FARALLON CAPITAL (SEE NOTES 1 & 14 IN SECT VIII — Sold (part)

VESTAR III (SEE NOTE 1 IN SECT VII

VANGUARD PRIME MM FUND

ACTAVIS PLC — Buy

ACTAVIS PLC — Buy (add'l)

CABOT OIL & GAS CORP — Buy

CABOT OIL & GAS CORP — Buy (add'l)

CLAYMORE GUGGENHEIM SPIN OFF ETF — Buy

CLAYMORE GUGGENHEIM SPIN OFF ETF — Sold (part)

CLAYMORE GUGGENHEIM SPIN OFF ETF — Sold

DODGE & COX INTL STOCK MUTUAL FUND — Sold

DOUBLELINE TOTAL RETURN BOND MUTUAL FUND — Sold

ENDO INTL PLC — Buy

ENDO INTL PLC — Buy (add'l)

EOG RESOURCES INC — Buy

FEDEX CORP — Buy

FEDEX CORP — Buy (add'l)

FIDELITY SELECT HEALTH CARE — Buy

ISHARES NASDAQ BIOTECHNOLOGY ETF — Buy

ISHARES NASDAQ BIOTECHNOLOGY ETF — Buy (add'l)

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

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

ISHARES CORE S&P MID CAP ETF — Sold

ISHARES CORE S&P SMALL CAP ETF — Sold

MCKESSON CORP — Buy

PIONEER NATURAL RESOURCES COMPANY — Buy

PIONEER NATURAL RESOURCES COMPANY — Sold

POWERSHARES DYNAMIC BUYBACK ACHIEVERS ETF — Buy

POWERSHARES DYNAMIC BUYBACK ACHIEVERS ETF — Sold (part)

PRIME CAP ODYSSEY AGGRESSIVE GROWTH MUTUAL FUND — Buy (add'l)

SALESFORCE.COM INC — Buy

SALESFORCE.COM INC — Buy (add'l)

SPDR SERIES TRUST S&P BIOTECH ETF — Buy

SPDR SERIES TRUST S&P BIOTECH ETF — Buy (add'l)

VANGUARD DIVIDEND APPRECIATION FUND — Buy (add'l)

VANGUARD HEALTH CARE ETF — Buy

VANGUARD HEALTH CARE ETF — Buy (add'l)

VANGUARD INFORMATION TECHNOLOGY ETF — Buy

VANGUARD INFORMATION TECHNOLOGY ETF — Buy (add'l)

VANGUARD TOTAL INTL STOCK INDEX FUND ETF — Sold

VANGUARD TOTAL STOCK MARKET ETF — Buy

SEQUOIA FUND, INC — Buy (add'l)

SEQUOIA FUND, INC — Sold (part)

SEQUOIA FUND, INC — Sold

TRUST #2 (LINES 1281-1292) — Int/Div

BLACKROCK LIQUIDITY FUNDS

PRUDENTIAL JENNISON 20/20 FOCUS FUND (MUTUAL FUND)

BLACKROCK EQUITY DIVIDEND INST CLASS FUND

CALAMOS GROWTH FUND — Sold

EAGLE SMALL CAP GROWTH FUND

ISHARES TIPS BOND ETF (FKA ISHARES BARCLAYS TR US TIP ETF

ISHARES TR MSCI EMERGING MKTS INDEX FD ETF

ISHARES MSCI EAFE INDEX FUND ETF

ISHARES NATL MUNI BND ETF (FKA ISHARES S&P NATL MUNI FND)

POWERSHARES FTSE RAFI US 1K ETF — Buy

T ROWE PRICE INTL FD INC INTL BOND FUND

SPDR BARCLAYS CAP HIGH YIELD BOND ETF

TRUST #3 (LINES 1294-1376) — Int/Div

BLACKROCK LIQUIDITY FUNDS

EATON CORP COMMON STOCK

COVIDIEN PLC COMMON STOCK

NOBLE CORP COMMON STOCK

AT&T INC COMMON STOCK

ALLERGAN INC COMMON STOCK

AMERICAN EXPRESS CO COMMON STOCK

AMERISOURCEBERGEN CORP COMMON STOCK

AMERIPRISE FINANCIAL INC COMMON STOCK

AMGEN INC COMMON STOCK

APPLE INC COMMON STOCK

BARON SMALL CAP MUTUAL FUND

BAXTER INTERNATIONAL INC COMMON STOCK

BLACKROCK FUNDS EQUITY DIVIDEND INST CLASS FUND

CALIFORNIA RESOURCES CORP — from line 1351)

CAPITAL ONE FINANCIAL CORP COMMON STOCK

CELANESE CORP COMMON STOCK

CF INDUSTRIES HOLDINGS INC

CHEVRON CORPORATION

CHUBB CORP COMMON STOCK

CISCO SYSTEMS INC COMMON STOCK

COACH INC COMMON STOCK

CUMMINS INC COMMON STOCK

DOLLAR TREE INC COMMON STOCK

EMC CORP COMMON STOCK

EAGLE SMALL CAP GROWTH MUTUAL FUND

EASTMAN CHEM CO

EBAY INC COMMON STOCK

EXXON MOBIL CORP COMMON STOCK

FIFTH THIRD BANCORP

FORD MOTOR COMPANY COMMON STOCK

FRANKLIN RESOURCES INC COMMON STOCK

GENERAL ELECTRIC CO COMMON STOCK

GENERAL MILLS INC COMMON STOCK

GOLDMAN SACHS GROUP INC COMMON STOCK

GOOGLE INC COMMON STOCK

GRAINGER WW INC COMMON STOCK

HARBOR INTERNATIONAL MUTUAL FUND

HOME DEPOT INC

INTEL CORP COMMON STOCK

IBM CORP COMMON STOCK

ISHARES TR MSCI EMERGING MKTS INDEX FD ETF

ISHARES MSCI EAFE INDEX FUND ETF

ISHARES TR S&P MIDCAP 400 INDEX FD ETF

ISHARES S&P NATL AMT-FREE MUNI BND FUND (FKA S&P)

JP MORGAN CHASE & CO COMMON STOCK

JOHNSON & JOHNSON COMMON STOCK

JOHNSON CONTROLS INC COMMON STOCK

LAUDER ESTEE COS INC COMMON STOCK

MALLINCKRODT PLC

MERCK & CO INC COMMON STOCK

METLIFE INC COMMON STOCK

MICROSOFT CORP COMMON STOCK

MONSANTO CO

NEWS CORP COMMON STOCK

OCCIDENTAL PETROLEUM CORP COMMON STOCK

ORACLE CORP COMMON STOCK

PARAGON OFFSHORE LTD — from line 1297)

PARAGON OFFSHORE LTD — Sold (part)

PEPSICO INC COMMON STOCK

PFIZER INC COMMON STOCK

PRICE T ROWE GROUP INC COMMON STOCK

PROCTER & GAMBLE CO COMMON STOCK

ROCKWELL AUTOMATION INC COMMON STOCK

ROSS STORES INC COMMON STOCK

T ROWE PRICE INTL FD INC MUTUAL FUND

SPDR BARCLAYS CAP HIGH YIELD BD ETF

SCHLUMBERGER LTD COMMON STOCK

SCRIPPS NETWORKS INTERAC COMMON STOCK

JM SMUCKER CO COMMON STOCK

3M COMPANY COMMON STOCK

US BANCORP DEL COMMON STOCK

UNITED TECHNOLOGIES CORP COMMON STOCK

UNITEDHEAL TH GROUP INC COMMON STOCK

VIACOM INC COMMON STOCK

WAL-MART STORES INC COMMON STOCK

WELLS FARGO & CO COMMON STOCK

WILLIAMS COMPANIES INC COMMON STOCK

WISCONSIN ENERGY CORP COMMON STOCK

WPX ENERGY INC COMMON STOCK

TRUST #4 (SEE NOTES 2, 5 & 7 IN SECTION VIID — Int/Div

VANGUARD PRIME MONEY MARKET FUND ACCOUNT #1 — Closed

STAR FUND — Buy (add'l)

STAR FUND — Sold

PARK AVENUE EQUITY LP (SEE NOTES 1. 5 & 14 IN SECT VIID

SONIC CORP COMMON STOCK — Sold

TRUST #5 (SEE NOTES 2, 5 & 7 IN SECTION VII) — Int/Div

VANGUARD PRIME MONEY MARKET FUND ACCOUNT #2

STAR FUND — Buy (add'l)

PARK AVENUE EQUITY LP (SEE NOTES 1. 5 & 14 IN SECT VIII)

SONIC CORP COMMON STOCK

TRUST #6 (SEE NOTES 2,5 & 7 IN SECTION VIID — Int/Div

VANGUARD PRIME MONEY MARKET FUND ACCOUNT #3

STAR FUND — Buy (add'l)

PARK AVENUE EQUITY LP (SEE NOTES 1. 5 & 14 IN SECT VIII

SONIC CORP COMMON STOCK

TRUST #7 (SEE NOTE 4 IN SECT VIII) — None

CITIBANK CHECKING ACCOUNT

Board Member, New York City Ballet, Inc

Trustee, The Frank E. Richardson 2011 Insurance Trust Agreement (See Note 4 in Section VIII)

Liability — Citibank — Line of Credit

Liability — American Express — Credit Card

Spouse's income — 2014 — Morgan Stanley Pension Benefit

Spouse's income — 2014 — Sonic Corp - various Board & Committee Fees

Spouse's income — 2014 — Vestar, Harding Services, Irving Place Capital, Tinicum - Fee Income

There are several Sentinel Partnerships, a Centerview Capital Partnership and a HighCape Partnership (new in 2014). The portfolio companies that the Partnerships

own are all listed separately on this report because the filer's

could potentially "direct, influence or in any other manner affect the purchase, exchange, sale

or disposition of the entity or property owned by the entity,” (per Financial Dislcosure Filing Instructions).

For Sentinel, there are both limited partner and general partner interests. For this report, the K-1 information for both interests is combined and included on one

line. This approach matches the way the Funds’ portfolio companies are included on this report. In 2013, Sentinel II issued it's final K-1. Therefore, it is no Inoger

reportable. Sentinel V started making investments in 2014. Therefore, it's portfolio companies and K-1 information is included.

Each year, there is a K-1 from each of the partnerships. The K-1s summarize all of the ordinary income (loss), portfolio income, capital gains/losses, etc., for all of

the underlying companies. To avoid double counting, if an underlying company was sold, the capital gain/loss is included on the line where the actual company is

listed and is excluded from the K-1 income reported in Column B.(1) for each of the partnerships.

The remaining K-1 items were netted together. If the net amount was larger than the required income threshold, that amount was included in Column B.(1) with

Column B.(2) noting "Distribution.” If the K-1 activity netted to a loss, then "None" is included in Column B.(2). As a result, since all K-1 activity is accounted

for at the partnership level, the underlying companies which are listed separately do not show any income in Column B.(1) (unless there is an item that is not

included on the K-1).

Generally, there are no year-end market values listed for the Partnerships because the portfolio companies are listed separately.

NOTE 11:

This portfolio company or stand-alone investment was sold in a prior year. So, although the reporting family received distributions (e.g. escrow) and/or a

K-1, there is no year-end value to report. If the entity was issued a K-1, any income was summed and included in Column B(1) with Column B(2) noting

"Distribution."

NOTE 12:

Not used.

NOTE 13:

The filer's

is the sole shareholder of this S Corporation. The company's assets are limited to office furniture, office equipment, a checking account and a

money market account. The value used to determine the year-end valuation code was the checking/money market account balances, A/R and the office furniture

and equipment balance (less accumulated depreciation).

NOTE 14:

This company's 2014 K-1 was not received by the time this report was filed. Therefore, the company's income was estimated. Once the actual K-1 is received, if

the income code based on the actual K-1 differs from the code noted in this report, an amended report will be filed..

NOTE 15:

This investment is made through either a Sentinel, Centerview or HighCape Partnership. Since the filer's

could potentially "direct, influence or in any other

manner affect the purchase, exchange, sale or disposition of the entity or property owned by the entity,” Financial Disclosure Filing Instructions, the partnership's

assets must be listed separately on this report. As a result, this company is reportable.

All transactions (investments, sales and related gain/(loss), distributions, etc.) are reported for the company. Any K-1 income (excluding gain/(loss) on sales)

attributable to the company, however, is included in the partnership's line. If income was received separate from the K-1, it is recorded on the portfolio company's

line in Column B. If the reporting person carries no year end value for a portfolio company, there is no year end value included in Column C of this report. But,

the company is still noted on this report because it is a portfolio company of a reportable limited partnership. See Note 10 for more information.

For purposes of this report, deemed contributions/distributions that occurred in 2013 are dated 1/2/2014. Those that occurred in 2014, are dated as of the end of the

quarter in which they were deemed to have occurred.

NOTE 16: Gains/Losses on Foundation activity are based on book value not tax value.