Carla Craig

Citibank Checking and Money Market Accounts — Interest

LP. Morgan Money Market Fund — Int/Div

JPM US Real Estate Income and Growth Direct LP (474995958) — None

JPM Floatmg Rate Income Fund (JPHSX) — Int/Div

IP Morgan Strategic Income Opportunites Fund 3844 (JSOSX) — Int/Div

American Century Equity Income Fund 123 (TWEIX) — Int/Div — Sold

iShares MSC All Country Asia Ex Japan Index Fund (AAX)) — Int/Div

JP Morgan Intl, Value Fund (JIESX) — Int/Div — Sold (part)

CSFR Private Investors LLC (290809177) — None

Colony Starwood Homes — None — from line 9)

JP Morgan Tax Aware R/R Fund (TXRSX)) — Int/Div

IShares MSC EAFE Index Fund — Int/Div — Buy

JP Morgan Equity Income Fund-Select Fund — Int/Div — Buy

RS Global Energy Energy and Power Private Investors V1 — None — Buy

Fidelity Cash Reserves (v)

Fidelity Spartan NY Mum Income (y)

Artisan High Income Investor (ARTFX) — Int/Div — Buy

Artisan High Income Investor (ARTFX) — Buy (add'l)

Artisan Partners High Income Ady (APDFX) — Int/Div — from line 17)

Fidelity Money Market Account (FCASH) — None

Fidelity Environment & Alternative Energy (FSLEX) — Int/Div — Buy

Fidelity Environment & Alternative Energy (FSLEX) — Buy (add'l)

Fidelity Environment & Alternative Energy (FSLEX) — Buy (add'l)

Fidelity Intermediate Bond ((FTHRX) — Int/Div — Buy (add'l)

Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)

Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)

Fidelity Intermediate Bond ((FTHRX) — Sold (part)

Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)

Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)

Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)

Fidelity Intermediate Bond ((FTHRX) — Sold

Fidelity Int'l Discovery (FIGRX) — None — Buy

Fidelity Int'l Growth (FIGFX) — Int/Div — Buy (add'l)

Fidelity Int'l Growth (FIGFX) — Buy (add'l)

Fidelity Int'l Growth (FIGFX) — Buy (add'l)

Fidelity Int'l Growth (FIGFX) — Sold (part)

Fidelity Japan Small Companies (FISCX) — Int/Div — Buy (add'l)

Fidelity Japan Small Companies (FISCX) — Buy (add'l)

Fidelity Low Priced Stock (FLPSX) — Int/Div — Buy (add'l)

Fidelity Low Priced Stock (FLPSX) — Buy (add'l)

Fidelity Low Priced Stock (FLPSX) — Buy (add'l)

Fidelity Low Priced Stock (FLPSX) — Buy (add'l)

Fidelity Mega Cap Stock (FGRTX) — Int/Div — Buy (add'l)

Fidelity Mega Cap Stock (FGRTX) — Sold (part)

Fidelity Mega Cap Stock (FGRTX) — Sold (part)

Fidelity Mega Cap Stock (FGRTX) — Sold (part)

Fidelity Mega Cap Stock (FGRTX) — Sold (part)

Fidelity MSC Utilities Index (FUTY) — Int/Div — Buy (add'l)

Fidelity MSC Utilities Index (FUTY) — Sold (part)

S10. — Sold (part)

S10. — Buy (add'l)

S10. — Sold

Fidelity Natural Gas (FSNGX) — Int/Div — Buy

Fidelity Natural Gas (FSNGX) — Sold (part)

Fidelity Natural Gas (FSNGX) — Buy (add'l)

Fidelity Natural Gas (FSNGX) — Buy (add'l)

Fidelity Natural Gas (FSNGX) — Sold (part)

Fidelity NY Muni Money Market nka Government Cash Reserves (FDRXX) — Int/Div

Fidelity OTC (FOCPX) — None — Sold

Fidelity Real Estate Invt (FRESX) — Int/Div — Buy (add'l)

Fidelity Real Estate Invt (FRESX) — Buy (add'l)

Fidelity Real Estate Invt (FRESX) — Buy (add'l)

Fidelity Real Estate Invt (FRESX) — Sold

Fidelity Select Banking (FSRBX) — Int/Div — Buy

Fidelity Select Banking (FSRBX) — Buy (add'l)

Fidelity Select Banking (FSRBX) — Sold (part)

Fidelity Select Biotechnology (FBIOX) — None — Buy

Fidelity Select Biotechnology (FBIOX) — Sold

Fidelity Select Construction and Housing (FSHOX) — Int/Div — Sold

Fidelity Select Medical Equipment & Systems (FSMEX) — None — Buy

Fidelity Select Medical Equipment & Systems (FSMEX) — Sold

Fidelity Value (FDVLX) — None — Sold

Fidelity Select Retailing (FSRPX) — Int/Div — Buy (add'l)

Fidelity Select Retailing (FSRPX) — Sold

Fidelity Select Semiconductors (FSELX) — Int/Div — Buy

Fidelity Select Semiconductors (FSELX) — Buy (add'l)

Fidelity Select Semiconductors (FSELX) — Buy (add'l)

Fidelity Select Semiconductors (FSELX) — Sold (part)

Fidelity Short Term Bond Fund (FSHBX) — Int/Div — Buy

Fidelity Short Term Bond Fund (FSHBX) — Buy (add'l)

Fidelity Short Term Bond Fund (FSHBX) — Buy (add'l)

Fidelity Wireless (FWRLX) — None — Buy

Fidelity Wireless (FWRLX) — Sold

Hartford Healthcare Fund (HGHAX) — Int/Div — Buy (add'l)

Hartford Healthcare Fund Y (HGHY X) — Int/Div

iShares S&P National Municipal Bond (MUR) — Int/Div — Buy

Primecup Odyssey Aggressive Growth (POAGX) — Int/Div — Buy (add'l)

Primecup Odyssey Aggressive Growth (POAGX) — Buy (add'l)

Primecup Odyssey Aggressive Growth (POAGX) — Buy (add'l)

Primecup Odyssey Aggressive Growth (POAGX) — Buy (add'l)

Primecup Odyssey Aggressive Growth (POAGX) — Buy (add'l)

Primecup Odyssey Aggressive Growth (POAGX) — Buy (add'l)

Primecup Odyssey Aggressive Growth (POAGX) — Buy (add'l)

Primecup Odyssey Aggressive Growth (POAGX) — Buy (add'l)

Pnimecap Odyssey Growth (POGRX) — None — Sold

Primecap Odyssey Stock (POSKX) — Int/Div — Buy (add'l)

Vanguard Dividend Growth (VDIGX) — Int/Div — Sold (part)

Vanguard Dividend Growth (VDIGX) — Sold (part)

Vanguard Dividend Growth (VDIGX) — Sold (part)

Vanguard Intermediate Term Tax Exempt (VWILX) — Int/Div — Sold (part)

Vanguard Intermediate Term Tax Exempt (VWILX) — Buy (add'l)

Vanguard Intermediate Term Tax Exempt (VWILX) — Sold

Vanguard Intermediate Term Investment Grade Admiral (VFIDX) — Int/Div — Buy (add'l)

Vanguard Intermediate Term Investment Grade Admiral (VFIDX) — Buy (add'l)

Vanguard Limited Term Tax Exempt (VMLUX) — Int/Div — Buy (add'l)

Vanguard Limited Term Tax Exempt (VMLUX) — Sold (part)

Vanguard Limited Term Tax Exempt (VMLUX) — Sold (part)

Vanguard Limited Term Tax Exempt (VMLUX) — Sold

Vanguard Short Term Investment Grade (VFSUX) — Int/Div

Vanguard Short Term Tax Exempt Admiral (VWSLX) — Int/Div — Sold

iShares iBoxx$ High Yield Corporate Bond (HYG) — Int/Div — Sold

WisdomTree Japan Hedged Equity (DIX) — Int/Div — Sold (part)

Schulte Roth & Zabel Capital Account (investment in law firm) (v)

NY College Savings Program — None

Moderate Age Based Income Option Portfolio

Vanguard Educational IRA — None

Vanguard Small Cap Index Fund Investor Shares

Vanguard Educational IRA — None

Vanguard Small Cap Index Fund Investor Shares

BlackRock CollegeAdvantage

BR Growth Portfolio Option A — None

BlackRock CollegeAdvantage

BR Growth Portfolio Option A — None — Redeemed

B & McG Holdings

Shelter Venture Fund — istmbution

Special Situations Technology Fund, L.P — Int/Div

SRZ Savings Plan — None — Buy (add'l)

Wells Fargo Money Mkt Fund — Int/Div

Merck common stock — Int/Div

Pfizer common stock — Int/Div

SRZ Cash Balance Plan — None — Buy (add'l)

SRZ Thrift Plan — None — Buy (add'l)

SRZ Thrift Plan — Buy (add'l)

T. Rowe Price U.S. Treasury Money Market (x) — Int/Div

SRZ Partners Pension Plan — None — Buy (add'l)

Schulte Roth & Zabel Supplemental Retirement Fund — None — Buy (add'l)

DWS Small Cap Index VIP-Class A Shares — None — Buy (add'l)

American Funds Ins Ser International Class 2 Shares — None — Buy (add'l)

Fudelity VIP Index 500-Imtial Class — None — Buy (add'l)

Fidelity VIP Money Market Portfolio: Initial Class (y)

Fidelity VIP Real Estate-Initial Class — None — Buy (add'l)

Invesco V.1. International Growth Fund: Series Shares — None — Buy (add'l)

MainStay VP Eagle Small Cap Growth Portfolio Initial Class — None — Buy (add'l)

MFS Global Tactical Allocation Initial Class — None — Buy (add'l)

MFS VIT Value Sernes-lmtial Class — None — Buy (add'l)

T Rowe Price Blue Chip Growth Portfolio — None — Buy (add'l)

Mainstay Cash Management — None

Tremont Opportunity Fund — None

Special Situation Fund 11 QP, LLP — Int/Div

Memill Lynch Money Market (y)

SRZ Group Trust — None

Blackrock Asia Pacific Partners (Offshore) SPV Lud. — None — Redeemed

Candlewood Structured Credit Fund nka Structured Credit Harvest Fund — None — Sold (part)

Candlewood Structured Credit Fund nka Structured Credit Harvest Fund — None — Sold (part)

Cevian Capital Fund 11 Lid — None

Citadel Kensington Global Strategies — None — Buy (add'l)

Cognis Fund LP — None

D.E. Shaw Composite International Fund — None — Buy

D.E. Shaw Oculus International Fund — None — Buy

Discovery Global Macro Fund, Ltd — None — Sold (part)

Echo Street Capital Partners Ltd (QP) — None

Golden Tree Offshore Fund Ltd — None — Sold (part)

Highfields Capital IV LP — None

Hutchin Hill Capital Offshore Fund, Ltd — None

Jennison Global Healthcare Offshore Fund, Lad. — None — Sold (part)

Kvlin Offshore Fund, Lid. — None — Buy (add'l)

Lakeview Opportunity Fund Ltd. — None — Sold (part)

Lakeview Opportunity Fund Ltd. — Sold (part)

Lakeview Opportunity Fund Ltd. — Sold (part)

Lakeview Opportunity Fund Ltd. — Redeemed

Lone Pimon Lid. — None

Lone Slavin, Ltd. — None

Lone Spruce LP — None

Millenium International Lid — None

Pennant Onshore Partners LP — None — Sold (part)

Pennant Windward Ltd — None — Sold (part)

Rosemawr International Led — None — Redeemed

Scopus Fund Ltd — None — Buy

Seer Capital Partners Offshore Fund Ltd — None

Spruce Hedge Fund Program SPC LTD- Portfolio 11 SP — None

Spruce Alpha Fund (Offshore) Lid. — None — Redeemed

Spruce Hedge Fund Program SPC LTD- Portfolio 1 SP — None — Sold (part)

Steelhead Pathfinder Fund Lid. — None

The Childrens’ Investment Fund — None

Two Sigma Absolute Return Macro Cayman Fund, Lid, — None

JP Morgan Trust Co. of Delaware deposit account — None

AutoNation common stock — None

Akami Technology common stock — None

CollegeBound Fund (Alliance-R1)

CBF Appreciation Portfolio Alt-A X — None

Northwestern Mutual Whole Life Ins. Policy — None

Guardian Life Insurance Company-Life Insurance Policy (v)

AXA Life Insurance Policv-whole life (x) — None

Mt Kellett Capital Partners 11 LP — Distribution

Mermill Lynch Retirement Account: Blackrock Global (MDLOX) — None

Director, Kudspint Magazine

Liability — Mt Kellett Capital Parmers 11 LP — Commitment to make capital contributions to imvestment himited partnership

Liability — Global Energy and Power Private Investors VI — Commitment to make capital contributions to mvestment LLC

Liability — Yeshiva Umiversity — Commitment to make tuition payments

Liability — Mautner-Ghick Corp. — Obligation to make rent payment

Spouse's income — 2016 — Schulte Roth and Zabel LLP-partmership distribution

Part VII, line 85-Hartford Healthcare Fund 1 was exchanged for Hartford Healthcare Fund Y on March 18, 2016. It was a one for one exchange and there was no

gain or loss.

Part VII, lines 151-186- the SRZ Group Trust is a Revenue Ruling 81-100 Trust that pools the employee pension plan sponsored by the law firm of which [50

0 is amember und IRAs of partners und former purtners of the firm. [1 does not have an interest in any of the assets of the Group Trust; however, because

[ amember of the committee which oversees Group Trust's investments, | have reported the assets in the Group Trust, The SRZ Savings Plan (line 127), the

SRZ Cash Balance Plan (lines 132-134), the SRZ Partners Pension Plan (line 135) and the SRZ Thrift Plan (line 152) are invested in the SRZ Group Trust. The

value of the investment in the Group Trust Shown in lines 151-186 includes the value of his investments in the Group Trust through the SRZ Savings Plan, Cash

Balance Plan, Partners Pension Plan and Thrift Plan. | have reported “None” in Column B throughout as | am unable to provide a breakdown of the amount of

income earned because the statements provided do not disclose the income earned for each of the individual assets held in the Group Trust.

Part VII, line 181-Spruce Hedge Fund Program SPC LTD-Portfolio 11 SP was identified as Spruce Hedge Fund Program SPC LTD-Portfolio B SP on my 2015

report (name change).

Part VIL, line 183-Spruce Hedge Fund Program SPC LTD-Portfolio | SP was identified as Spruce Hedge Fund Program SPC LTC-Portfolio A SP on my 2015

report (name change).

Part VIL, Lines 136-150-the SRZ Supplemental Retirement Fund is a retirement fund in which [000 has an interest. Because | directs the investments

for share of the fund, | have reported the assets in which [1 interest is invested. | have reported “none” in column B because the statements provided to not

disclose the inome earned for each of the individual assets held in this retirement fund.