Guido Calabresi

Mass Mutual (whole life) Insurance — Int/Div

New York Life (whole life) Insurance — Int/Div

AIG Sun America (whole life) Insurance — None

Graduate Club Association bond — Interest — Buy — Club Association

Bank of America checking account — Interest

Bank of America IMMA account — Interest

Banca CR. Firenze checking acct — Interest

Merrill Lynch Bank & Trust USA - cash — Interest

I Shares T S&P 500 (mutual fund) @ Merrill Lynch — Int/Div — Sold (part)

American Growth Fund Mutual Fund @ Merrill Lynch — Int/Div

Trust #1, income beneficiary — Int/Div

First Am. Tax Free Oblig Fund (cash equiv.)

Nuveen Symphony Mid Cap Core I Fund (mutual fund)

Nuveen International Select Fund (mutual fund)

Nuveen International Select Fund (mutual fund)

General Mills (common)

American Funds: Investment Co. of America (mutual fund)

Trust #2, income beneficiary — Int/Div

First Am. Tax Free Oblig. Fund (cash equiv.)

American Funds: Investment Co. of America (mutual fund)

Minnesota Mining & Mfe. (common)

Nuveen Symphony Mid Cap Core I (mutual fund)

Nuveen Mid-Cap Select Fund C1'Y (mutual fund) FATIX

Nuveen. International Select Fund (mutual fund)

Nuveen International Select Fund (mutual fund)

Trust #3, income beneficiary — Int/Div

Darden Restaurants (common)

Exxon (common)

General Mills (common)

IBM (common)

JP Morgan (common)

AT&T Inc. (common)

US Bancorp (common)

American Funds: Invesment Co. of America (mutual fund)

Merrill Lynch Bank & Trust USA - cash

Am. Growth Fund ( mutual fund)

Am. Euro Pacific Growth Fund (mutual fund)

Trust #4, income beneficiary — Int/Div

Merrill Lynch Bank USA - CMA Money Fund (cash equiv.)

I Shares T S&P 500 (mutual fund)

Bank of America (common) — Buy

Trust #5, income beneficiary — Int/Div

Bank of America (common)

Morgan Stanley Emerging Market Fd (mutual fund)

Bank of America checking account - Cash

Guido Calabresi Retirement, TIAA-CREF — Int/Div

Bank of America (common) @ Merrill Lynch — Int/Div — Sold

Trust #6, income beneficiary — Int/Div

Grantham, Mayo, Van Otterloo (mutual funds)

American Funds: Investment Co. of America (mutual fund) — Int/Div

Citigroup Inc. (common) @ Merrill Lynch — Int/Div

ROTH IRA#1, SPDR Russell 3000 ETF (THRK) — Int/Div

ROTH IRA#2, SPDR Russell 1000 ETF (ONEK) — Int/Div

ROTH IRA#3, SPDR Russell Sm Cap Completeness ETF (RSCO) — Int/Div

Sterling Professor Emeritus, Professorial Lecturer, Yale Law School, 11/01/1995 - present

Honorary Trustee - Unpaid, Carolyn Foundation, MN, 01/01/1996 - present

Member, Scientific Committee- Unpaid, Centro Nazionale Prevenzione ¢ Difesa Sociale, 1988 - present

Member - Unpaid, International University College, Turin Board, 2007 - present

Agreement — Right to be Professorial Lecturer, Yale University, upon retirement (See Attachments A and B)

Agreement — Right to use accumulated (approximately $500) research and travel fund, Yale University, even after retirement

Reimbursement — Prevenzione e¢ Difesa — (reimbursement received in 2013)

Reimbursement — School for Magistrates — 01/10/13 — Florence, Italy — Lecture — Travel

Reimbursement — Centro Nazionale di Prevenzione e Difesa — 01/11/13 — Milan, Italy — Academic meeting — Travel

Reimbursement — University of Brescia, Italy — 01/19/13 to 01/22/13 — Brescia, Italy — Lectures, Honorary degree — Travel, food, lodging

Reimbursement — ALMA (Assoc. LLM Graduates) — 01/24/13 to 01/25/13 — New York, NY — Lecture — Travel, food, lodging

Reimbursement — New York University Law School — 02/24/13 — New York, NY — Moot court — Travel

Reimbursement — University of Trieste, Italy — 03/12/13 — Trieste, Italy — Lecture — Travel, food, lodging

Reimbursement — (National Counsel of Barristers)

Reimbursement — Yale University Law School — 03/22/13 — Washington, DC — Represent School at memorial service — Travel

Reimbursement — Northwestern University Law School — 04/07/13 to 04/10/13 — Chicago, IL — Lecture, Moot court — Travel, food, lodging

Reimbursement — Yale University Law School — 04/15/13 — New Haven, CT — Academic meeting — Food

Reimbursement — Yale University Law School — 04/17/13 — New Haven, CT — Academic meeting — Food

Reimbursement — Canadian Institute of Advanced Legal Studies — 07/07/13 to 07/09/13 — Cambridge, England — Lecture — Travel, food, lodging

Reimbursement — Notre Dame University Law School — 07/10/13 to 07/11/13 — Florence, Italy — Academic meeting — Travel. food

Reimbursement — Aspen Institute Italia — 07/12/13 to 07/15/13 — Venice, Italy — Academic meeting — Travel, food, lodging

Reimbursement — Centro Nazionale di Prevenzione ¢ Difesa — 10/22/13 to 10/23/13 — Milan, Italy — Academic meeting — Travel, food, lodging

Reimbursement — University of Bologna, Italy — 10/25/13 — Bologna, Italy — Lecture — Travel, food

Income — 2013 — Yale University - part-time teaching — $191.943.00

Income — 2013 — Yale University Press - royalties for previously written book and advance for new book — $2.789.52

Income — 2013 — W.W. Norton & Co. - royalties for previously written book — $175.26

Income — 2013 — Author's Registry - copyright payments for previously written books, etc — $125.36

Income — 2013 — Harvard University Press - royalties for previously written book — $101.28

Income — 2013 — Northwestern University Law School - part-time teaching — $10,000.00

Part 1. POSITIONS

Line 4- Assets of the Carolyn Foundation are not listed because my position as Trustee is "Honarary" only. I have no functional responsibilities with regard to the

foundation.

Part VII INVESTMENTS AND TRUSTS

1) Ihave not included an olive grove in Italy held for vacation trips and not for investment or the production of income.

2) Trusts #3, #4, and #5 in Part VII (Assets #26, #38, and #42) and the retirement accounts described in Part VII (Assets #46, #52, #53, and #54) did not

distribute any income to me or to an immediate [Jl] member. Income was eamed and not distributed. Items #46, #52, #53 and #54: Since the reports that I

received did not distinguish between realized and unrealized gains, I have included all gains in my income figure.

3) Trust #6 (Asset #48) in Part VIL is a Charitable Remainder Unitrust established in 1995 by a Jl] member and me.. The|

member and I are 5.5%

income beneficiaries during our lives or 20 years, whichever is longer. The trustee is instructed to invest the money in widely diversified mutual or money market

funds

4) Part VII page 5, line 13. This asset was formerly known as Nuveen Mid Cap Select (mutual fund) - name changed to Nuveen Symphony Mid Cap Core I

5) Part VII. page 5. line 14 and Part VII, page 6, line 24. These assets were formerly known as Nuveen International Fund (mutual fund). The fund merged into

Nuveen International Select Fund.

6) Part VII, page 6, line 22. This asset was formerly known as Nuveen Small Cap Fund (mutual fund) - merged into Nuveen Symphony Mid Cap Core I

7) Part VIL page 7, line 52. This asset was formerly known as SPDR Dow Jones Total Market ETF (TMW). It is now SPDR Russell 3000 ETF (THRK).

8) Part VII. page 7. line 53. This asset was formerly known as SPDR Dow Jones Large Cap ETF (ELR). It is now SPDR Russell 1000 ETF (ONEK).

9) Part VIL, page 7, line 54. This asset was formerly known as SPDR Dow Jones Mid Cap ETF (EMM). It is now SPDR Russel Small Cap Completeness LTF

(RSCO).