Colleen McMahon

Thomburg Ltd. Term Muni. Fd Nat'l — Int/Div — Sold (part)

Kohl's Corp. Com (IRA) — None — Sold

Thomberg Value Fund Class A Mut Fd (IRA) — Int/Div

Morgan Stanley Venture Investors 11 LP (IRA) — Distribution — Sold (part) — Note #

Morgan Stanley Venture Investors HI LP — Distribution — Sold (part) — Note #

MSCPIILP — None

mE MA( 1998 300,0000) — None

MA (1998 300,000) — None

Northwestern Mututal Life (Term policy )(Y)

Phoenix Life Ins (Trust # 1) (Whole Life Policy) — Int/Div

Northwestern Mututal Life (Trust1) {Whole Life Policy) — Int/Div

Northwestern Mututal Life{ Trust £1) {Whole Life Policy) — Int/Div

Madison National Life (Term Policy XY)

CSG Systems International Inc. Com — Int/Div — Buy (add'l)

CSG Systems International Inc. Com — Sold (part)

Summit Marmer. LLC — None

Summit Mariner LLC/JP Morgan Checking — None

Rental # 1 JPMorgan Checking — None

Rental # 2 mmm . NY(1999 $ 900,000) — Reat

Rental # 2/JP Morgan -Checking — Interest

JP Morgan(Checking)- — None

Vacant Land Imm . MA (1999 § 425.000 ) — None

Trident Capital Fund V LP — Distribution — Sold (part) — Note #

Trident Capital Fund V LP — Sold (part)

mmm Golf Partners LLC — None

JP Morgan (Checking) — Interest

JK & B Capital IV QIP LP — Distribution — Sold (part) — Note #

JK & B Capital IV QIP LP — Sold (part)

JK & B Capital IV QIP LP — Sold (part)

JP Morgan Checkng( Foundation #1) — Interest

Capital Income Builders Fd Cl A(IRA) — Int/Div — Sold

Kinderhook Capital LP — Distribution — Sold (part) — Note #

Kinderhook Capital LP — Sold (part)

Capital World Grth & Income Fd C1 A(IRA) — Int/Div — Sold

JP Morgan Tax Free MM Premier Sweep — Interest

Menemsha Captial Partners Lid — None — Note #2

CGI Partners. LP — None — Sold (part)

Micell Technologies Inc.{Com) — None

Lmx Partmers 11 LP — None — Sold (part)

Sentinel Capital Investors HI LP — None — Sold

SFM Participation 11 LP — Distribution — Sold (part) — Note #

SFM Participation 11 LP — Sold (part)

SFM Participation 11 LP — Sold (part)

SFM Participation 11 LP — Sold (part)

SFM Participation 11 LP — Sold (part)

SFM Participation 11 LP — Sold (part)

SFM Participation 11 LP — Sold (part)

Thomburg Core Growth C1 A (IRA) — None

Jetblue (Com) — None

Aisling Capital 11 LP — None — Buy (add'l)

Aisling Capital 11 LP — Sold (part)

Aisling Capital 11 LP — Sold (part)

Aisling Capital 11 LP — Sold (part)

Aisling Capital 11 LP — Sold (part) — Note # 5- To Ln # 178

JK & B Capital V LP — None — Buy (add'l)

JK & B Capital V LP — Buy (add'l)

JK & B Capital V LP — Buy (add'l)

JK & B Capital V LP — Sold (part)

SEEFILP — Distribution — Note #

Towerbrook Investors 11 Executive Fund LP — Distribution — Sold (part) — Note #

Towerbrook Investors 11 Executive Fund LP — Sold (part)

Towerbrook Investors 11 Executive Fund LP — Sold (part)

Towerbrook Investors 11 Executive Fund LP — (part) — Note # 5 to line 178

Trdemt VILP — Distribution — Sold (part) — Note #

Trdemt VILP — Sold (part)

Trdemt VILP — Sold (part)

Kinderhook Capital Fund 1) LP — Distribution — Sold (part) — Note #

Kinderhook Capital Fund 1) LP — Sold (part)

Kohls Corp (Com). — Int/Div — Buy (add'l)

KPB Partners LP — None

Thomburg-Income Builder C1 1 — Int/Div

Thomburg Global Opportunity C1 1 — Int/Div

Thomburg CRE GWT (IRA) — None

Ironwood Management Partners Fund 11 LP — Distribution — Sold (part) — Note #

RGI Partners IIB LP — Distribution — Note #

RGI Partners Lid — Distribution — Sold (part) — Note #

SC Capital (P) LP — None — Sold

SC Capital (P) LP — Sold (part) — Note #5 to Line 183

Tailwind Capital Partners LP — Note 2 4

Apex Companies LLC — Distribution — Sold (part) — Note #

Apex Companies LLC — Sold (part)

Transit Wireless LLC — Distribution — Sold (part) — Note #

Transit Wireless LLC — Sold (part)

Hamilton State Banc Shares Inc — Distribution — Sold (part) — Note #

Oceus Networks. Inc — None

Optimal Solutions Intergration Inc — None

Cumberland Consulting Group,LLC — Distribution — Note #

RE TRansportation, Inc — Distribution — Sold — Note #

Northeast Communications of Wisconsin, Inc(dba “Nsight) — None

Tailwind Management LP — Distribution — Sold (part) — Note #

Tuilwind Capital Partners (GP) LP — Note #4

Apex Companies LLC — Distribution — Sold (part) — Note #

Apex Companies LLC — Sold (part)

Apex Companies LLC — Sold (part)

Transit Wireless LLC — Distribution — Sold (part) — Note #

Hamilton State Bancshares Inc — Distribution — Sold (part) — Note #

Hamilton State Bancshares Inc — Sold (part)

Oceus Networks Inc — None

Optimal — None

Cumberland Consulting Group LLC — Distribution — Note #

RE Transportation Inc — Distribution — Sold — Note #

Northeast Comm of Wisconsin Inc (dba NSight) — None

Perseus Soros Partners — None

Syndicate Holdings Corp{Com) — None — Buy (add'l)

Safe Bulkers Inc(Com) — None — Buy (add'l)

Safe Bulkers Inc(Com) — Buy (add'l)

Safe Bulkers Inc(Com) — Buy (add'l)

Safe Bulkers Inc(Com) — Buy (add'l)

Asling Investors [11 LP — None — Sold (part)

Asling Investors [11 LP — Sold (part) — Note #5 to Lune # 179

Asling Investors [11 LP — Sold (part) — Note #5 to Line # asl

Eastern Growth Capital 11 LP — istnbution — Sold (part) — Note #

Eastern Growth Capital 11 LP(IRA) — Distribution — Sold (part) — Note #

Linx-Metaltech Co Investment LLC — None

Olympus Capital Asia IV LP — None

Safe Bulkers Inc (Com IRA) — None

Towerbrook Investors 111 Executive Fund LP — None — Sold (part)

Towerbrook Investors 111 Executive Fund LP — Sold (part)

Invesco Equity Income FD A (401K) — None

First Republic Bank (Checking) — Interest

The West Africa Fund LP — None — Closed — Note # 3

NuCana Biomed Ltd (Ordinary Shares) (IRA) — None — Distnibuted — Note # 10 to line 178

Yumsmg LLC — None — Sold

Beryllium LLC — None — Sold

Kinderhook Capital Fund 111 LP — None — Buy (add'l)

Kinderhook Capital Fund 111 LP — Buy (add'l)

Rapid Ratings International Inc (Com) — Interest — Buy (add'l)

Parkstone Capital Partners LLC — None

UBS Bank USA Dep MM (IRA) — Interest

Tailwind Capital Group LLC — istmbution — Note #

Empowered World Ventures LLC(Preferred A) — None

CSL Energy Opportunity Fd 1 LP — None — Buy (add'l)

CSL Energy Opportunity Fd 1 LP — Sold (part)

CSL Europe Energy Services LP — None — Sold (part)

CSL Europe Energy Services LP — Sold

Parkstone Capital Partners 11 LP — Iistnbution — Sold (part) — Note #

Parkstone Capital Partners 11 LP — Sold (part)

Highland Investment Group LLC — None

Artiman Venture Fund LP — Distribution — Sold (part) — Note #

EOS Healthcare Partners LLC /N/C Docero LLC — None

OD Funding Partners LLC — None

Collision Funding Partners LLC — None

Figue Holdings LLC (Class B Common) — None

JustFamily Com.Inc(. Preferred Stock) — None

Kenesto Corp (Preferred C) — None — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

Kenesto Corp (Preferred C) — Buy (add'l)

MogilityCapital Fund LP — None — Sold (part)

OpenFin Inc.(Preferred Stock) — None

Remedy Pharmaceuticals Inc — Distribution — Buy (add'l) — Note #

Remedy Pharmaceuticals Inc — Sold (part)

Remedy Pharmaceuticals Inc — Sold (part)

Tyrogenex Inc.(Ser B Convertible Preferred) — None — Closed — Note # 3

XCovery Holdings LLC — istmbution — Sold — Note #

Cardflight Inc (Preferred) — None

Fenway HTM Partners LLC — None

FunnelFire Inc (ConvPromissory Note) — None — Closed — Note # 3

Gam Fitness Inc{Com) — None

CMNet Inc (D/B/A iSeek Corp) Ser ( (Preferred) — None

Linx RE<Co-lnvest LLC — Interest

Lmx HILP — None — Sold (part)

Monaco Inc(Conv. Promissory Note) — None

Moolagram Inc (Ser Al Preferred ) — None — Closed — Note # 3

Ome Up Games LLC(Note ) — None — Closed — Note #3

Romulus Capital 11 US Feeder LP — None

Tengrade Inc (Preferred & Conv Note) — None — Closed — Note # 3

Lmx-Grammer Co LLC — None

Tailwind Capital Partners 11 LP — Note #9

TowerCo 2013 — Distribution — Sold (part) — Note #

TowerCo 2013 — Sold

Diamondback Drugs — None

Long's Drugs — None

Colony Hardware — None

Lieberman Research Worldwide — Distribution — Sold (part) — Note #

National HME — None

Premiere Store Fixtures — None — Sold (part)

TowerCo IV — None

Cumming — None

Distinct Holdings Group, IncGroup-dba Diversified — None

MetroGistics — None

Stratix — None

AST Corporation — None — Buy

DermaRite Industires LLC — None — Buy

Edenbridge Pharmceuticals LLC — None — Buy

HMT Holdings Inc — None — Buy

TW Lone Peak Master LLC — Distribution — Buy — Note #

Trust#4 — Note #7

Safebulkers Inc Ser B 8 % Preferred — None — Sold

Principal Global Diversified Income Fd Cl A — Int/Div

Thomburg Income Builders C1 — Int/Div

Thomburg Global Opp Fd C1 1 — Int/Div

Thomburg Intl Value Fd — Int/Div

Thomburg Limited Term Inc C1 — Int/Div

UBS Bank USA Dep Account — Interest

JP Morgan Checking — Interest

EOS Healthcare Partners LLC NiC Docero LLC — None

Exxon Mobil Corp{Com) — Int/Div — Sold

Microsoft Corp(Com) — Int/Div

Columbia Select Large Cap Growth FD — Int/Div

Safebulkers Inc — None — Buy

Trust#3 — Note #7

Thomburg Income Builders C1 1 — Int/Div

Thomburg Global Opportunities Fd — Int/Div — Buy (add'l)

Thomburg Intl Value Fd — Int/Div

UBS Bank USA -Depost Account — Interest

UBS AG Deposit Acount — Interest

SPC Intermex LP — None — Sold (part)

Tailwind Capital Partners 11 (GP)LP — Note #29

Colony Hardware Corp — None

Cummings Group Inc — None

Diamondback Drugs of Delaware LLC — None

Distinet Holdings Group, Inc(dba Diversified) — None

Long's Drugs Inc — None

Lieberman Research Worldwide LLC — Distribution — Note #

MetrogisticsLLC — None

National HME. Inc — None

Premier Store Fixtures, LLC — None

Stratix Corp — None

Towerco 2013 Holdings LLC — Distribution — Sold (part) — Note #

TowerCo IV Holdings LLC — None

AST Corporation — None — Buy

DermaRite Industries LLC — None — Buy

Edenbridge Pharmaceuticals LLC — None — Buy

HMT Holdings Inc — None — Buy

TW Lone Peak Master LLC — Distribution — Buy — Note #

The Yard (Promissory Note) — Interest

RGI Partners BLP — Distribution — Sold (part) — Note #

Radius Networks Inc (Com) — None

Moolagram Inc (Preferred Ser A-2 ) — None — Closed — Note #3

Safebulkers Ser D 8 % Preferred — Int/Div

ChartlQ LLC — None

Transplant Genomics Inc (Convertible Note) — Interest — Buy (add'l)

Transplant Genomics Incl Preferred A) — None — Buy (add'l)

Gravitas Technology Service LLC — None — Sold

Real Endpoints LLC — None

Valuestream Development Lab Fund LLC — None

Romulus Placester Special Opportunity Fd — None

Grove Hospitality Asia GP LLC — Distribution — Sold (part) — Note #

Grove Hospitality Asia GP LLC — Sold (part)

Grove Hospitality Europe GP LLC — istnibution — Sold (part) — Note #

Grove Aurelis 11 GP LLC — Distribution — Sold (part) — Note #

Grove Aurelis 11 GP LLC — Sold (part)

GN WMC LLC — None

Romulus Cohealo Special Opportunity Fund LP — None

Invesco International Growth A (401k) — None

Safebulkers Inc (Ser C Preferred) (IRA) — Int/Div

Personalized Cancer Therapy Inc (Com) d/b/ al PERTHA) — None

Romulus ELC B23 Special Opportunity LP — None — Buy (add'l)

Sommetrics. Inc (Preferred Ser B) — None

RetSKU Ing (Senior Convertible Note) — None — Closed — Note #2 3

Sensai Corp (Convertible Note) — None

Cycle Pharmaceuticals LTD (Ser A Shares) — None

Free ATM Inc (Ser A Preferred) — None

Engage Simply Inc (Convertible Note) — None

Build and Imagme LLC — None — Buy (add'l)

Call Rail Investors LLC — Distribution — Sold (part) — Note #

Call Rail Investors LLC — Sold

SpireCube LLC — Distribution — Sold (part) — Note #

Linx-Transpro Co-Invest LLC — Distribution — Sold (part) — Note #

Linx-Transpro Co-Invest LLC — Sold (part)

Linx-Transpro Co-Invest LLC — Sold (part)

Linx-Transpro Co-Invest LLC — Sold (part)

Linx-Gullett Co-lnvest LLC — Distribution — Sold (part) — Note #

bail — Sold (part)

bail — Sold (part)

bail — Sold (part)

bail — Buy (add'l)

SO Mast LLC — None

AG Team Partners LLC — None — Buy (add'l)

AG Team Partnners 11 LP — None — Buy (add'l)

CSL Energy Opp Fund 11 LP — None — Buy (add'l)

CSL Energy Opp Fund 11 LP — Buy (add'l)

CSL Energy Opp Fund 11 LP — Buy (add'l)

CSL Energy Opp Fund 11 LP — Buy (add'l)

CSL Energy Opp Fund 11 LP — Buy (add'l)

Estimize Inc (Ser B Preferred) — None

Grotech Ventures 111 LP — None — Buy (add'l)

Grotech Ventures 111 LP — Buy (add'l)

Grotech Ventures 111 LP — Buy (add'l)

Grotech Ventures 111 LP — Buy (add'l)

Grotech Ventures 111 LP — Buy (add'l)

Karma Culture LLC — None

Kinderhook Capital Fund IV — None — Buy (add'l)

Kinderhook Capital Fund IV — Buy (add'l)

Kinderhook Capital Fund IV — Buy (add'l)

Kinderhook Capital Fund IV — Buy (add'l)

Kinderhook Capital Fund IV — Buy (add'l)

Kinderhook Capital Fund IV — Buy (add'l)

Lmx-CPT Co Invest LLC — Interest — Sold (part)

Lmx-CPT Co Invest LLC — Sold (part)

Lmx-CPT Co Invest LLC — Sold (part)

Lmx-CPT Co Invest LLC — Sold (part)

Lmx-CPT Co Invest LLC — Sold (part)

Logic9S LLC (Conv Promissory Note) — None

Oxy Docs, Inc (Conv Promissory Note) — None

Olympus Capital Asia Fd V LP — None — Sold (part)

Padloc Inc. (Ser A Preferred) — None

Romulus Capital 111 (US) Feeder LP — None — Buy (add'l)

Perry Lane LLC — None — Buy (add'l)

Slingshot Insights Inc (Conv. Promissory Note) — None — Buy (add'l)

Syndicated Loan Direct Inc (Conv Promissory Note) — None — Buy (add'l)

Syndicated Loan Direct Inc (Conv Promissory Note) — Buy (add'l)

Syndicated Loan Direct Inc (Conv Promissory Note) — Buy (add'l)

18CP Jacksonville LLC — None

TemPro Inc (Conv Promissory Note &Preferred Stock) — None

Terafina Inc {Conv Promissory Note) — None — Buy (add'l)

Terafina Inc {Conv Promissory Note) — Buy (add'l)

Home Team Marketing LLC (Senior Promissory Notes ) — Interest — Buy (add'l)

Highland Resort mmm LLC — None

Edward Jones Retirement MM(IRA) — None

Fidelity (Cash) — Interest

Figue Holdings LLC — None

Gam Fitness Inc{Conv Note) — None

Aisling Capital IV LP — None — Buy (add'l)

Aisling Capital IV LP — Buy (add'l)

Aisling Capital IV LP — Sold (part)

Aisling Capital IV LP — Sold (part)

Aisling Capital IV LP — Sold (part)

Aisling Capital IV LP — Buy (add'l)

Canal Logix LLC — None

Collision Funding Partners LLC (Note) — None

Lmx-Elite Co Invest LLC — Interest — Sold (part)

Lmx-Elite Co Invest LLC — Sold (part)

Lmx-Elite Co Invest LLC — Sold (part)

Lmx-Elite Co Invest LLC — Sold (part)

Lmx-Nebr Co Invest LLC — None

Peterson Partners VIII LP — None — Buy (add'l)

Peterson Partners VIII LP — Buy (add'l)

Peterson Partners VIII LP — Buy (add'l)

Romulus Estify Sp Opportunity LP — None

Romulus Growth Cogito LP — None

Strategic Alternative Fund Group LLC — None

Parkstone Capital Partners IV Holdings LP — None

Lx Q Liquidatmg Tr — istnibution — Sold (part) — Note #

Fulling Mills LLC — None

Ram Realty IV LP — None — Sold (part)

Alpine-Gleenwood LP — None

BiglD Inc{Conv Note) — None

Lending Front Inc (Conv Note) — None

Menguin Inc (Conv Note) — None — Sold (part) — Note # 8

Menguin Inc (Conv Note) — istnbuted — Note # 8 To Ln # 402

Mme One GMBH (Ser A sh) (IRA) — None

Relationship Capital Partners Inc (Conv Notes) — None — Buy (add'l)

PHRP LLC — Note # 11

Shareablee Inc (Ser A Pref) — None

Skyfront Corp (Note Rec) — None

SPC Intermex LP — None — Sold (part)

Yingo Yango Inc (Ser A Pref) — None

American Fund Cap Inc (401K) — None — Buy (add'l)

UBS Bank USA Deposit Ac — Interest

Automotive Mastermind Inc (Com) — None — Sold

UBS AG Deposit Act (IRA) — None

312 Atlantic Ave LLC — None

Flank 71 Smith LLC — None — Sold (part)

UBS Bank USA BUS ACCT(Foundation # 1) — Interest

UBS AG Deposit Account (Foundation #1) — None

Oppenheimer Lmt Term Bond Fd Foundation # 1) — Int/Div

Pimco Low Duration Fund C1 A{Foundation an — Int/Div — Sold

Virtus Low Duration Income Fd AlFoundation # 1) — Int/Div — Sold (part)

Virtus Low Duration Income Fd AlFoundation # 1) — Sold (part)

Cyriline Morgan {Personal Note) — None

Loch Lomond Golf Club(Ser CC) — Int/Div

UBS Bank USA Dept Ac {IRA) — Interest — Open

Thomburg Global Oppy Fd CL A(IRA) — Int/Div — Open

Amencan Balanced Fund Inc (IRA) — Int/Div — Open

Amencan Fund Global Balanced (IRA) — Int/Div — Open

Nvidia Corp (IRA) — None — Buy

Nucana PLC GBR (IRA) — None — from line 122) — Note # 10

Relationship Capital Partners (IRA) — None — Buy

Ladder Capital Corp Cl A — None — from line 63) — Note #6

Ladder Capital Corp Cl A — Sold

Versartis Inc{Com) — None — from line 110) — Note #26

ARO. — Donated

Aimmune Therapeutics Inc (Com) — None — from line 111) — Note #6

Esperion Therapeutics Inc — None — from lme 54) — Note #6

Penumbra Inc — None — from line 78) — Note # 6

Penumbra Inc — Donated

ERA Investor Fund 6 LP — None — Buy

Groupize Inc (Ser A-2 pfd) — None — Buy

Medaptive Health Inc (Conv Prom) — None — Buy

Poliwogg Holdings Inc (Ser B Cony Prefered) — None — Buy

Shiftsmart Inc (Ser AA Preferred) — None — Buy

BondChQ Inc (Cony Promissory Note) — None — Buy

Canal Logic 2 LLC — None — Buy

Nextremity LLC — None — Buy

Sayspring Inc — None — Buy

Three Girls and a Lion LLC — None — Buy

Three Girls and a Lion LLC — Buy

Entrepreneurs Expansion Fund 111 LP — None — Buy

Kinderhook V LP — None — Buy

Valuestream Ventures 2017 LLC — None — Buy

Workbench Ventures 111 LLC — None — Buy

71 Smith Retail Venture LLC — None — Buy

First Republic Checking — Interest — Open

Generation Tux ne{Ser D-2 Preferred) — None — from line 34%) — Note # 8

Nucana PLC Spons ADR (IRA) — None — Buy

Seventh Sibling LLC (Promissory Note) — None — Buy

RGI Recap Partners LLC — Distribution — Buy — Note #

Trustee, Foundation #1

Advisory Council, Ohio State University

Advisory Director, Festival Damou

Reimbursement — The Umversity of Texas — 2/16/2017 thru 2/172017 — Austin, Texas — Educational Activities funded by the University — Hotel, Shuttle, Catering

Spouse's income — 2017 — CSG Systems Inc-Director Fee

Spouse's income — 2007 — Kohl's Department Stores Inc-Director Fee

Spouse's income — 32007 — Tarlwind Capital Group-Managing Director

Spouse's income — 20017 — Safe Bulkers Inc <Director Fee

Spouse's income — 2007 — Jet Blue Airways Corp-Director Fee

Spouse's income — 2017 — Lmx Partners LLC Director Fee

Spouse's income — 2017 — Morgan Stanley-Pension Income

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See Note #9

Explanation Section VII

Item # 175-193, 215-232

The Judge's husband is a Managing Partner of Tailwind Capital Partners 11 LP and Tailwind Capital Partners 11 (GP) LP, The partnerships have ownership interests

in the companies listed , Due to revised reporting requirements the income and gross value at the end of the reporting period is separately listed,

In addition, the purchase and sale information is also listed by underlying asset. The Limited Partnership and General Partnership have ownership interests in the

sume companies.

Note # 10

Explanation Section VII

Item # 122,375

The shares of Nucani BioMed Ltd (Ordinary Shares) were exchanged for Nucana PLC GBR in a tax free exchange.

Note # 11

Explanation Section VIII

Item # 351, 352

The Judge's husband created a single member LLC to hold various investments. The current investment is listed below the LLC on line # 352,