# Kimba Maureen Wood

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/28313

## Record

- **Judge:** Kimba Maureen Wood
- **Year:** 2016
- **Report type:** Annual
- **Pages:** 85

## Text

RS). — Sold
EXXON CORP COMMON STOCK — Int/Div
MORGAN STANLEY BANK/CASH — Interest
ALLERGAN CMN STK (NOTE 12 IN SECT VII — None — Sold
ALLERGAN CMN STK (NOTE 12 IN SECT VII — Buy
ALPHABET INC COMMON STOCK — None
AMAZON COM INC COMMON STOCK — None — Buy
AMAZON COM INC COMMON STOCK — Buy (add'l)
AMER INTL GP INC COMMON STOCK — Int/Div — Sold (part)
AMER INTL GP INC COMMON STOCK — Sold
AMGEN INC COMMON STOCK — Int/Div — Buy (add'l)
AMGEN INC COMMON STOCK — Sold
APPLE INC COMMON STOCK — Int/Div
AQRSTYLE PREMIA ALT FUND — Int/Div — Buy
AQRSTYLE PREMIA ALT FUND — Buy (add'l)
AQRSTYLE PREMIA ALT FUND — Buy (add'l)
AQRSTYLE PREMIA ALT FUND — Sold (part)
ARES CAPITAL CORP FUND — Int/Div — Buy
ARES CAPITAL CORP FUND — Buy (add'l)
AVENLE INCOME CREDIT FUND — Int/Div — Sold (part)
AVENLE INCOME CREDIT FUND — Sold
BOEING CO COMMON STOCK — Int/Div — Buy (add'l)
BOEING CO COMMON STOCK — Sold (part)
BOEING CO COMMON STOCK — Sold
BUCKEYE PARTNERS LP COMMON STOCK (SEENOTE IN SECT VID — Distribution
CATALENT INC COMMON STOCK (SEE NOTE 21 INSECT VHD — None — Sold (part)
CATALENT INC COMMON STOCK (SEE NOTE 21 INSECT VHD — Sold (part)
CATALENT INC COMMON STOCK (SEE NOTE 21 INSECT VHD — Sold (part)
CATALENT INC COMMON STOCK (SEE NOTE 21 INSECT VHD — Sold (part)
CATALENT INC COMMON STOCK (SEE NOTE 21 INSECT VHD — Sold (part)
GROUP INC COMMON STOCK — Int/Div — Buy
CROWN CASTLE INTL CORP COMMONS STOCK — Int/Div — Buy
CROWN CASTLE INTL CORP COMMONS STOCK — Buy (add'l)
CROWN CASTLE INTL CORP COMMONS STOCK — Buy (add'l)
ENTERPRISE PROD PARTNERS LP (SEE NOTE INSECT VI — None — Buy (add'l)
ENVESTNET INC COMMON STOCK — None — Sold (part)
ENVESTNET INC COMMON STOCK — Sold
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — None — Buy (add'l)
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — Buy (add'l)
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — Sold (part)
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — Sold
FIRST TRUST DORSEY WRIGHT FO FUND — None — Sold (part)
FIRST TRUST DORSEY WRIGHT FO FUND — Sold
FIRST TRUST DW FOCUS S INTL FUND — None — Sold (part)
FIRST TRUST DW FOCUS S INTL FUND — Sold
FRESHPET INC COMMON STOCK — None
GEO GROUP INC COMMON STOCK — Int/Div — Sold (part)
GEO GROUP INC COMMON STOCK — Sold (part)
GEO GROUP INC COMMON STOCK — Sold (part)
GEO GROUP INC COMMON STOCK — Sold
GTT COMMUNICATIONS INC COMMON STOCK — None — Buy
GTT COMMUNICATIONS INC COMMON STOCK — Buy (add'l)
GTT COMMUNICATIONS INC COMMON STOCK — Buy (add'l)
GULFPORT ENERGY CORP COMMON STOCK — None — Buy
HAIN CELESTIAL GROUP INC COMMON STOCK — None — Buy
HAIN CELESTIAL GROUP INC COMMON STOCK — Sold
HONEYWELL INTERNATIONAL INC COMMON STOCK — Int/Div
QUINTILES IMS C/S (FKA IMS HEALTH HOLDINGS INC) COMMON STOCK — None — Sold (part)
QUINTILES IMS C/S (FKA IMS HEALTH HOLDINGS INC) COMMON STOCK — Sold (part)
QUINTILES IMS C/S (FKA IMS HEALTH HOLDINGS INC) COMMON STOCK — Sold (part)
QUINTILES IMS C/S (FKA IMS HEALTH HOLDINGS INC) COMMON STOCK — Sold
ISHARES MSC USA MOMENTUM ETF — None — Sold (part)
ISHARES MSC USA MOMENTUM ETF — Sold
ISHARES NASDAQ BIOTECH ETF — Int/Div — Buy
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES S&P MID CAP 400 GROWTH ETF — Int/Div
ISHARES US OIL & GAS EXP PROD ETF — Int/Div — Buy
ISHARES US OIL & GAS EXP PROD ETF — Buy (add'l)
ISHARES US OIL & GAS EXP PROD ETF — Buy (add'l)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — None — Buy (add'l)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Sold (part)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Sold
KAR AUCTION SVCS INC COMMON STOCK — Int/Div — Sold (part)
KAR AUCTION SVCS INC COMMON STOCK — Sold (part)
MPLX LPCMN NOTE INSECT VID — None — Sold
MATTHEWS CHINA DIVIDEND INV FUND — None — Sold
MATTRESS FIRM HOLDING COMMON STOCK — None — Buy
MATTRESS FIRM HOLDING COMMON STOCK — Buy (add'l)
MATTRESS FIRM HOLDING COMMON STOCK — Sold (part)
MATTRESS FIRM HOLDING COMMON STOCK — Sold
MCKESSON CORP COMMON STOCK — None — Buy
MCKESSON CORP COMMON STOCK — Sold
MCKESSON CORP COMMON STOCK — Sold
OCH-ZIFF CAPITAL LP CMN STK (SEE NOTE INSECT VII — None — Buy (add'l)
OCH-ZIFF CAPITAL LP CMN STK (SEE NOTE INSECT VII — Sold
POWERSHARES ETF TR DYNA BUYBK — Int/Div — Sold
POWERSHARES INTL BUYBACK FUND — Int/Div — Buy
POWERSHARES INTL BUYBACK FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Int/Div — Buy
PRUDENTIAL FINANCIAL INC COMMON STOCK — None — Sold
SPDR S&P MIDCAP 400 ETF TRUST — Int/Div
SS&C TECHNOLOGIES HLDGS INC COMMON STOCK — Int/Div — Sold
TERRAFORM PWR INC COMMON STOCK (SEENOTE 21 INSECT VID — None — Buy
TERRAFORM PWR INC COMMON STOCK (SEENOTE 21 INSECT VID — Buy (add'l)
TERRAFORM PWR INC COMMON STOCK (SEENOTE 21 INSECT VID — Sold (part)
TERRAFORM PWR INC COMMON STOCK (SEENOTE 21 INSECT VID — Sold (part)
THERMO FISHER SCIENTIFIC COMMON STOCK — Int/Div
VANGUARD DIVIDEND APPRECIATION FUND — Int/Div
VANGUARD INFO TECH ETF — Int/Div — Buy (add'l)
VANGUARD MID-CAP ETF — Int/Div
VANGUARD SMALL CAP ETF — Int/Div
VIRTUS INSIGHT EMERGING MKTS MUTUAL FUND — Int/Div — Buy
VISA INC COMMON STOCK — Int/Div — Buy (add'l)
WALT DISNEY CO HLDG CO COMMON STOCK — Int/Div — Buy
WALT DISNEY CO HLDG CO COMMON STOCK — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Int/Div — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — None — Sold
WISDOMTREE EURO SM CAP DIV ETF — Int/Div — Buy (add'l)
WISDOMTREE EURO SM CAP DIV ETF — Buy (add'l)
WISDOMTREE SMALL CAP DIV FUND — Int/Div
WISDOMTREE TRUST INDIA FUND — None — Sold
WISDOMTREE TRUST JAPAN HEDGE EQUITY FUND — None — Sold
YUM BRANDS INC COMMON STOCK — Int/Div — Buy
YUM BRANDS INC COMMON STOCK — Sold (part)
IRA ACCOUNT #1
IRA #1 - MSSB CASH/MM — Interest
IRA #1 - COMMON STOCKS (LINES 121-187)
ALLERGAN — None — Sold
ALPHABET INC — None — Buy (add'l)
AMAZON COM INC — None — Buy
AMER INTL GROUP INC — Int/Div — Sold (part)
AMER INTL GROUP INC — Sold
AMGEN INC — Int/Div — Sold (part)
AMGEN INC — Sold
BOEING CO — Int/Div — Buy
BOEING CO — Buy (add'l)
BOEING CO — Sold (part)
BOEING CO — Sold
CATALENT INC — None — Sold (part)
CATALENT INC — Sold
CHEVRON CORP — Int/Div
CROWN CASTLE INTL CORP — Int/Div — Buy
CROWN CASTLE INTL CORP — Buy (add'l)
CROWN CASTLE INTL CORP — Buy (add'l)
CROWN CASTLE INTL CORP — Buy (add'l)
CROWN CASTLE INTL CORP — Buy (add'l)
CROWN CASTLE INTL CORP — Sold (part)
DANAHER CORPORATION — Int/Div
FORTIVE CORP — None — from line 141)
FORTIVE CORP — Sold
FRESHPET INC — None — Buy (add'l)
GEO GROUP INC — Int/Div — Buy (add'l)
GEO GROUP INC — Sold (part)
GEO GROUP INC — Sold
GTT COMMUNICATIONS INC — None — Buy
GTT COMMUNICATIONS INC — Buy (add'l)
GTT COMMUNICATIONS INC — Buy (add'l)
HAIN CELESTIAL GROUP INC — None — Buy
HAIN CELESTIAL GROUP INC — Sold
HONEYWELL INTERNATIONAL INC — Int/Div
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS INC) — None — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS INC) — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS INC) — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS INC) — Buy (add'l)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS INC) — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS INC) — Sold
KAR AUCTION SERVICES INC — Int/Div — Sold (part)
MATTRESS FIRM HOLDING — None — Buy
MATTRESS FIRM HOLDING — Buy (add'l)
MATTRESS FIRM HOLDING — Buy (add'l)
MATTRESS FIRM HOLDING — Buy (add'l)
MATTRESS FIRM HOLDING — Sold (part)
MATTRESS FIRM HOLDING — Sold
MEDTRONIC PLC — Int/Div
NATIONAL STORAGE AFFILIATES — None — Sold
OCH-ZIFF CAPITAL MGMT (NOTE IN SECT VII — None — Sold
PRUDENTIAL FINANCIAL — None — Sold (part)
PRUDENTIAL FINANCIAL — Sold
STARWOOD PROPERTY TRUST INC — Int/Div — Buy (add'l)
STARWOOD PROPERTY TRUST INC — Sold (part)
TERRAFORM PWR INC — None — Buy
TERRAFORM PWR INC — Buy (add'l)
TERRAFORM PWR INC — Sold (part)
TERRAFORM PWR INC — Sold (part)
TERRAFORM PWR INC — Sold
THERMO FISHER SCIENTIFIC — Int/Div — Buy
THERMO FISHER SCIENTIFIC — Buy (add'l)
VISA INC — Int/Div — Buy (add'l)
WALT DISNEY CO HLDG CO — Int/Div — Buy
WALT DISNEY CO HLDG CO — Buy (add'l)
WELLS FARGO & CO — Int/Div — Buy (add'l)
WELLS FARGO & CO — Buy (add'l)
YUM BRANDS INC — Int/Div — Buy
YUM BRANDS INC — Sold (part)
IRA #1 - ETF AND CLOSED END FUNDS (LINES 189.229)
ARES CAPITAL CORP — Int/Div — Buy
ARES CAPITAL CORP — Buy (add'l)
ARES CAPITAL CORP — Buy (add'l)
AVENLE INCOME CREDIT FUND — Int/Div
BLACKROCK CORP HIGH YLD FD INC — Int/Div — Sold (part)
FIRST TRUST DORSEY WRIGHT FUND — None — Sold (part)
FIRST TRUST DORSEY WRIGHT FUND — Sold
FIRST TRUST SENIOR LOAN FUND — Int/Div — Buy
FIRST TRUST SENIOR LOAN FUND — Buy (add'l)
ISHARES MSC EAFE GROWTH ETF — Int/Div — Sold (part)
ISHARES MSCI USA MOMENTUM FUND — None — Sold (part)
ISHARES MSCI USA MOMENTUM FUND — Sold
ISHARES NASDAQ BIOTECH ETF — Int/Div — Buy
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES US OIL & GAS EXP PROD — Int/Div — Buy
ISHARES US OIL & GAS EXP PROD — Buy (add'l)
ISHARES US OIL & GAS EXP PROD — Buy (add'l)
PENNANIPARK FLTGRTCAPLTD — Int/Div — Buy (add'l)
PENNANITPARK INVESTMENT CORP — Int/Div — Buy (add'l)
POWERSHARES INTL BUYBACK — Int/Div — Buy
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES ETF TR DYNA BUYBACK — Int/Div — Sold
PROSHARES TR S&P 500 DV ARIST FUND — Int/Div — Buy (add'l)
SOLAR SENIOR CAPITAL LTD FUND — Int/Div — Sold (part)
SOLAR SENIOR CAPITAL LTD FUND — Sold (part)
SOLAR SENIOR CAPITAL LTD FUND — Sold
SOLAR CAPITAL LTD FUND — Int/Div
SPDR S&P MIDCAP 400 ETF TRUST — Int/Div — Sold (part)
TORTOISE ENERGY INFRA FUND — None — Sold
VANGUARD INFO TECH ETF — Int/Div — Buy (add'l)
VANGUARD MIDCAP ETF — Int/Div — Sold (part)
VANGUARD SMALL CAPETF — Int/Div
WISDOMTREE CBOE S&P sO0 ETF — None — Buy
WISDOMTREE EUROPE HEDGED EQUITY — None — Sold
WISDOMTREE EURO SM CAP DIV ETF — Int/Div — Buy
WISDOMTREE EURO SM CAP DIV ETF — Buy (add'l)
WISDOMTREE MID CAP DIV — Int/Div — Buy
WISDOMTREE SMALL CAP DIV FUND — Int/Div
WISDOMTREE TRUST JAPAN HEDGE EQUITY FUND — None — Sold
WISDOMTREE TRUST MDCP EARN FUND — Int/Div
IRA #1 - MUTUAL FUND{S) (LINES 231.250)
AQR LONG-SHORT EQUITY — Int/Div — Buy
AQR LONG-SHORT EQUITY — Buy (add'l)
AOR MANAGED FUTURES STRATEGY — Int/Div — Buy
AQR STYLE PREMIA ALTERNATIVE — Int/Div — Buy
AQR STYLE PREMIA ALTERNATIVE — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE — Sold (part)
AQR STYLE PREMIA ALTERNATIVE — Sold (part)
AQR STYLE PREMIA ALTERNATIVE — Sold (part)
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — None — Buy (add'l)
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — Sold
GOTHAM ENHANCED RETURN INSTL — None — Sold
GOTHAM NEUTRAL FUND — None — Sold
JPMORGAN INTREPID EURO SEL MUTUAL FUND — None — Buy (add'l)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Buy (add'l)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Sold (part)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Sold
LOCORR MARKET TREND FUND — None — Sold
MATTHEWS CHINA DIVIDEND INV — None — Sold
VIRTUS INSIGHT EMERG MKTS — Int/Div — Buy (add'l)
BIF TAX-EXEMPT FUND/CASH — Int/Div — Closed
BIF MONEY FUND/CASH — Int/Div — Open
ADDITIONAL COMMON STOCKS AND FUNDS (NON<IRAKLINES 254.433)
ABBVIE COMMON STOCK — Int/Div — Buy
CHUBB (FKA AS ACE LTD) COMMON STOCK — Int/Div
ALLERGAN COMMON STOCK — None — Buy
ALLERGAN COMMON STOCK — Sold
AMAZON.COM COMMON STOCK — None — Buy
AMAZON.COM COMMON STOCK — Buy (add'l)
AMGEN COMMON STOCK — Int/Div
APPLE INC COMMON STOCK — Int/Div
APPLIED MATERIALS COMMON STOCK — Int/Div — Buy (add'l)
AT&T COMMON STOCK — Int/Div — Buy
ALTOZONE COMMON STOCK — None — Buy
FLY LEASING COMMON STOCK — None — Sold
BERKSHIRE HATHAWAY COMMON STOCK — None
BLACKROCK INC COMMON STOCK — Int/Div
BOEING COMMON STOCK — Int/Div — Sold (part)
BOEING COMMON STOCK — Sold
CABOT OIL & GAS COMMON STOCK — Int/Div
CDK GLOBAL INC COMMON STOCK — Int/Div
CME GROUP COMMON STOCK — Int/Div
COGNIZANT TECH SOLUTIONS COMMON STOCK — None
COMCAST COMMON STOCK — Int/Div
CONOCOPHILLIPS COMMON STOCK — None — Sold
CONS DISCRET SEL SECT SPDR FUND — Int/Div — Buy (add'l)
CONS DISCRET SEL SECT SPDR FUND — Sold (part)
CONS DISCRET SEL SECT SPDR FUND — Buy (add'l)
CONS DISCRET SEL SECT SPDR FUND — a
CONS DISCRET SEL SECT SPDR FUND — Buy (add'l)
CONS DISCRET SEL SECT SPDR FUND — Buy (add'l)
CONS DISCRET SEL SECT SPDR FUND — Buy (add'l)
CONS DISCRET SEL SECT SPDR FUND — Buy (add'l)
CONS DISCRET SEL SECT SPDR FUND — Buy (add'l)
CONS DISCRET SEL SECT SPDR FUND — Buy (add'l)
CROWN CASTLE COMMON STOCK — Int/Div — Buy (add'l)
ELI LILLY COMMON STOCK — Int/Div — Sold
ENERGY SEL SECT SPDR FUND (SEE NOTE 12 INSECT VID — Int/Div — Sold
ENERGY SEL SECT SPDR FUND (SEE NOTE 12 INSECT VID — Buy
ENERGY SEL SECT SPDR FUND (SEE NOTE 12 INSECT VID — Buy (add'l)
FINANCIAL SEL SCT SPDR FUND — Int/Div — Buy (add'l)
FINANCIAL SEL SCT SPDR FUND — Buy (add'l)
FINANCIAL SEL SCT SPDR FUND — Buy (add'l)
FINANCIAL SEL SCT SPDR FUND — Sold
FIRST TRUST CONSUMER STAPLES ETF — Int/Div — Buy (add'l)
FIRST TRUST CONSUMER STAPLES ETF — Buy (add'l)
FIRST TRUST CONSUMER STAPLES ETF — Sold
FIRST TRUST DORSEY WRIGHT FUND — None — Sold
FIRST TRUST INDS/PRODS ETF — Int/Div — Buy (add'l)
FIRST TRUST INDS/PRODS ETF — Buy (add'l)
FIRST TRUST INDS/PRODS ETF — Buy (add'l)
FIRST TRUST INDS/PRODS ETF — Buy (add'l)
RIL) — Buy (add'l)
RTIY) — Buy (add'l)
RTIY) — Buy (add'l)
RTIY) — Sold
GENERAL MOTORS COMMON STOCK — Int/Div
GUGGENHEIM S&P 500 EQUITY WEIGHT FUND — Int/Div — Buy (add'l)
RII) — Buy (add'l)
RII) — Buy (add'l)
RII) — Buy (add'l)
RII) — Buy (add'l)
RII) — Buy (add'l)
RII) — Buy (add'l)
RII) — Buy (add'l)
RII) — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Int/Div — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Sold (part)
HEALTH CARE SEL SECT SPDR FUND — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Buy (add'l)
HEALTH CARE SEL SECT SPDR FUND — Sold
HOME DEPOT COMMON STOCK — Int/Div
INTERNATIONAL PAPER CO COMMON STOCK — None — Sold
INVESCO COMMON STOCK — Int/Div — Sold
ISHARES EDGE MSCI MIN VOL USA ETF — Int/Div — Buy
ISHARES MSCI EAFE SM CAP ETF — Int/Div — Buy (add'l)
ISHARES MSCI EAFE SM CAP ETF — Buy (add'l)
ISHARES MSCI EAFE SM CAP ETF — Buy (add'l)
ISHARES MSCI EAFE SM CAP ETF — Buy (add'l)
ISHARES MSCI EAFE SM CAP ETF — Buy (add'l)
ISHARES MSCI EAFE SM CAP ETF — Buy (add'l)
ISHARES MSCI EAFE SM CAP ETF — Buy (add'l)
ISHARES MSCI EAFE SM CAP ETF — Buy (add'l)
ISHARES MSCI EAFE SM CAP ETF — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Int/Div — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Buy (add'l)
ISHARES MSCI EAFE GROWTH ETF — Buy (add'l)
ISHARES MSC USA MOMENTUM ETF — None — Sold (part)
ISHARES MSC USA MOMENTUM ETF — Sold
ISHARES NASDAQ BIOTECH ETF — Int/Div — Buy
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Int/Div — Buy
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES S&P S00 VAL ETF — Buy (add'l)
ISHARES US TECHNOLOGY ETF — Int/Div — Sold (part)
ISHARES US TECHNOLOGY ETF — Buy (add'l)
ISHARES US TECHNOLOGY ETF — Buy (add'l)
kyl] — Buy (add'l)
kyl] — Buy (add'l)
kyl] — Buy (add'l)
kyl] — Buy (add'l)
kyl] — Buy (add'l)
JOHNSON & JOHNSON COMMON STOCK — Int/Div
JPMORGAN CHASE COMMON STOCK — Int/Div
JPMORGAN INTREPID EURO SEL MUTUAL FUND — None — Buy (add'l)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Buy (add'l)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Buy (add'l)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Sold (part)
JPMORGAN INTREPID EURO SEL MUTUAL FUND — Sold
LAS VEGAS SANDS COMMON STOCK — None — Sold
MATERIALS SEL SECT SPDR FUND — Int/Div — Sold
MEDTRONIC PLC COMMON STOCK — Int/Div — Sold (part)
aA86. — Sold (part)
MICROSOFT COMMON STOCK — Int/Div — Buy (add'l)
NOVONORDISK COMMON STOCK — Int/Div — Buy (add'l)
NOVONORDISK COMMON STOCK — Sold
OAKTREE CAPITAL GROUP COMMON STOCK (NOTE INSEC VID — Distribution — Sold
OCCIDENTAL PETE CORP COMMON STOCK — Int/Div — Sold
ORACLE CORP COMMON STOCK — Int/Div — Sold
PACKAGING CORP COMMON STOCK — Int/Div — Donated
PEPSICO COMMON STOCK — Int/Div
PFIZER INC COMMON STOCK (SEE NOTE 12 INSECT VID — Int/Div — Sold
PFIZER INC COMMON STOCK (SEE NOTE 12 INSECT VID — Buy
PFIZER INC COMMON STOCK (SEE NOTE 12 INSECT VID — Buy (add'l)
PIONEER NATURAL RESOURCES COMMON STOCK — Int/Div
POWERSHARES ETF TR DYNA BUYBK — Int/Div — Sold
POWERSHARES INTL BUYBACK — Int/Div — Buy
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES INTL BUYBACK — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Int/Div — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
POWERSHARES S&P 500 LOW VOLA FTF — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Int/Div — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Buy (add'l)
QUALCOMM COMMON STOCK — Int/Div — Sold
RAYTHEON COMMON STOCK — Int/Div — Buy
RAYTHEON COMMON STOCK — Buy (add'l)
IRA ACCOUNT #2 (LINES 435-564)
ALLERGAN COMMON STOCK — None — Sold
ALPHABET INC COMMON STOCK — None — Buy (add'l)
AMAZON COM INC COMMON STOCK — None — Buy
AMERICAN INTERNATIONAL GROUP COMMON STOCK — Int/Div — Sold (part)
AMERICAN INTERNATIONAL GROUP COMMON STOCK — Sold
AMGEN INC COMMON STOCK — Int/Div — Sold (part)
AMGEN INC COMMON STOCK — Sold
AQR LONG-SHORT EQ INST MUTUAL FUND — Int/Div — Buy
AQR LONG-SHORT EQ INST MUTUAL FUND — Buy (add'l)
AQR LONG-SHORT EQ INST MUTUAL FUND — Sold (part)
AQR LONG-SHORT EQ INST MUTUAL FUND — Buy (add'l)
AQR MANAGED FUTURES STRATEGY MUTUAL FUND — Int/Div — Buy
AQR STYLE PREMIA ALTERNATIVE MUTUAL FUND — Int/Div — Buy
AQR STYLE PREMIA ALTERNATIVE MUTUAL FUND — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE MUTUAL FUND — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE MUTUAL FUND — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE MUTUAL FUND — Sold (part)
AQR STYLE PREMIA ALTERNATIVE MUTUAL FUND — Sold (part)
AQR STYLE PREMIA ALTERNATIVE MUTUAL FUND — Sold (part)
ARES CAPITAL CORP FUND — Int/Div — Buy
ARES CAPITAL CORP FUND — Buy (add'l)
ARES CAPITAL CORP FUND — Buy (add'l)
AVENLE INCOME CREDIT FUND — Int/Div — Buy (add'l)
BLACKROCK CORP HIGH YLD FD INC — Int/Div — Sold (part)
BOEING CO COMMON STOCK — Int/Div — Buy
BOEING CO COMMON STOCK — Buy (add'l)
BOEING CO COMMON STOCK — Sold (part)
BOEING CO COMMON STOCK — Sold
CATALENT INC COMMON STOCK — None — Sold (part)
CATALENT INC COMMON STOCK — Sold
CHEVRON CORP COMMON STOCK — Int/Div
CROWN CASTLE INTL CORP COMMON STOCK — Int/Div — Buy
CROWN CASTLE INTL CORP COMMON STOCK — Buy (add'l)
CROWN CASTLE INTL CORP COMMON STOCK — Buy (add'l)
CROWN CASTLE INTL CORP COMMON STOCK — Buy (add'l)
CROWN CASTLE INTL CORP COMMON STOCK — Buy (add'l)
CROWN CASTLE INTL CORP COMMON STOCK — Sold (part)
DANAHER CORP COMMON STOCK — Int/Div
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — None — Buy (add'l)
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — Sold
FIRST TRUST DORSEY WRIGHT FUND — None — Sold (part)
FIRST TRUST DORSEY WRIGHT FUND — Sold
FIRST TRUST SENIOR LOAN FUND — Int/Div — Buy
FIRST TRUST SENIOR LOAN FUND — Buy (add'l)
FORTIVE CORP COMMON STOCK — None — from line 472)
FORTIVE CORP COMMON STOCK — Sold
FRESHPET INC COMMON STOCK — None — Buy (add'l)
GEO GROUP INC COMMON STOCK — Int/Div — Buy (add'l)
GEO GROUP INC COMMON STOCK — Sold (part)
GEO GROUP INC COMMON STOCK — Sold
GOTHAM ENHANCED RETURN INSTL FUND — None — Sold
GOTHAM NEUTRAL FUND — None — Sold
GTT COMMUNICATIONS INC COMMON STOCK — None — Buy
GTT COMMUNICATIONS INC COMMON STOCK — Buy (add'l)
HAIN CELESTIAL GROUP INC COMMON STOCK — None — Buy
HAIN CELESTIAL GROUP INC COMMON STOCK — Sold
HONEYWELL INTERNATIONAL INC COMMON STOCK — Int/Div
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS) COMMON STOCK — None — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS) COMMON STOCK — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS) COMMON STOCK — Buy (add'l)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS) COMMON STOCK — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH HLDGS) COMMON STOCK — Sold
ISHARES MSCI GROWTH ETF — Int/Div — Sold (part)
ISHARES MSCI USA MOMENTUM FUND — None — Sold (part)
ISHARES MSCI USA MOMENTUM FUND — Sold
ISHARES NASDAQ BIOTECH ETF — Int/Div — Buy
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES US OIL & GAS EXP PROD ETF — Int/Div — Buy
ISHARES US OIL & GAS EXP PROD ETF — Buy (add'l)
ISHARES US OIL & GAS EXP PROD ETF — Buy (add'l)
JP MORGAN INTREPID EURO SEL MUTUAL FUND — None — Buy (add'l)
JP MORGAN INTREPID EURO SEL MUTUAL FUND — Sold (part)
JP MORGAN INTREPID EURO SEL MUTUAL FUND — Buy (add'l)
JP MORGAN INTREPID EURO SEL MUTUAL FUND — Sold
KAR AUCTION SVCS INC COMMON STOCK — Int/Div
LOCORR MARKET TREND MUTUAL FUND — None — Sold
MATTHEWS CHINA DIVIDEND INV MUTUAL FUND — None — Sold
MATTRESS FIRM HOLDING COMMON STOCK — None — Buy
MATTRESS FIRM HOLDING COMMON STOCK — Buy (add'l)
MATTRESS FIRM HOLDING COMMON STOCK — Buy (add'l)
MATTRESS FIRM HOLDING COMMON STOCK — Buy (add'l)
MATTRESS FIRM HOLDING COMMON STOCK — Sold (part)
S17. — Sold
MEDTRONIC PLC COMMON STOCK — Int/Div
NATIONAL STORAGE AFFILIATES COMMON STOCK — None — Sold
OCH-ZIFF CAPITAL MANAGEMENT CMN (NOTE INSECT VID — None — Sold
PENNANTPARK FLTG RT CAP LTD FUND — Int/Div — Buy (add'l)
PENNANTPARK INVESTMENT CORP FUND — Int/Div — Buy (add'l)
POWERSHRES ETF TR DYNA BUYBK FUND — Int/Div — Sold
POWERSHARES INTL BUYBACK FUND — Int/Div — Buy
POWERSHARES INTL BUYBACK FUND — Buy (add'l)
POWERSHARES INTL BUYBACK FUND — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Int/Div — Buy (add'l)
PRUDENTIAL FINANCIAL INC COMMON STOCK — None — Sold (part)
PRUDENTIAL FINANCIAL INC COMMON STOCK — Sold
SOLAR SENIOR CAPITAL LTD FUND — Int/Div — Sold (part)
SOLAR SENIOR CAPITAL LTD FUND — Sold (part)
SOLAR SENIOR CAPITAL LTD FUND — Sold
SOLAR CAPITAL LTD FUND — Int/Div
SPDR S&P MIDCAP 400 ETF TRUST — Int/Div — Sold (part)
STARWOOD PROPERTY TRUST CMN STOCK — Int/Div — Buy (add'l)
STARWOOD PROPERTY TRUST CMN STOCK — Sold (part)
TERRAFORM PWR INC COMMON STOCK (SEE NOTE 21 INSECT VID — None — Buy
TERRAFORM PWR INC COMMON STOCK (SEE NOTE 21 INSECT VID — Buy (add'l)
TERRAFORM PWR INC COMMON STOCK (SEE NOTE 21 INSECT VID — Sold (part)
TERRAFORM PWR INC COMMON STOCK (SEE NOTE 21 INSECT VID — Sold (part)
THERMO FISHER SCIENTIFIC COMMON STOCK — Int/Div — Buy
THERMO FISHER SCIENTIFIC COMMON STOCK — Buy (add'l)
TORTOISE ENERGY INFRA FUND — None — Sold
VANGUARD INFOTECH ETF — Int/Div — Buy (add'l)
VANGUARD MID-CAP ETF — Int/Div — Sold (part)
VANGUARD SMALL CAP ETF — Int/Div
VIRTUS INSIGHT EMERGING MKTS MUTUAL FUND — Int/Div
VISA INC COMMON STOCK — Int/Div — Buy (add'l)
WALT DISNEY CO HLDG CO COMMON STOCK — Int/Div — Buy
S50. — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Int/Div — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Buy (add'l)
WISDOMTREE CBOE S&P SOD ETF — None — Buy
WISDOMTREE EUROPE HEDGED EQUITY FUND — None — Sold
WISDOMTREE EUROSMCAPDIV ETF — Int/Div — Buy
WISDOMTREE EUROSMCAPDIV ETF — Buy (add'l)
WISDOMTREE SMALL CAP DIV FUND — Int/Div
WISDOMTREE TRUST JAPAN HEDGE EQUITY FUND — None — Sold
WISDOMTREE MID CAP DIV — Int/Div — Buy
WISDOMTREE TRUST MIDCAP EARN FUND — Int/Div
YUM BRANDS INC COMMON STOCK — Int/Div — Buy
YUM BRANDS INC COMMON STOCK — Sold (part)
ADDITIONAL COMMON STOCKS/ FUNDS (NON-IRA) (LINES 566-687)
SCHLUMBERGER COMMON STOCK — Int/Div — Buy
SCHLUMBERGER COMMON STOCK — Buy (add'l)
SCHLUMBERGER COMMON STOCK — Buy (add'l)
SELECT SECTOR SPDR TD ETF — None — Buy
SELECT SECTOR SPDR TD ETF — from line 291)
Lyi] — Sold
SEMPRA ENERGY COMMON STOCK — Int/Div — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Int/Div — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SPDR S&P MIDCP 400 ETF TRUST — Buy (add'l)
SONIC CORP COMMONSTOCK — Int/Div — Buy (add'l)
SK84 — Sold (part)
SK84 — Sold (part)
SK84 — Buy (add'l)
SK84 — Sold (part)
SK84 — Sold (part)
SK84 — Sold (part)
SK84 — Sold (part)
SK84 — Sold (part)
SK84 — Sold (part)
SK84 — Sold (part)
STARBUCKS COMMON STOCK — Int/Div — Buy
S985 — Buy (add'l)
TEXTRON COMMON STOCK — Int/Div — Sold
UNITED CONTINENTAL COMMON STOCK — None — Sold
UNITED HEALTH GROUP COMMON STOCK — Int/Div — Buy
UNUM GROLP COMMON STOCK — None — Sold
UTILITIES SEL SECT SPDR FUND — Int/Div — Buy (add'l)
UTILITIES SEL SECT SPDR FUND — Buy (add'l)
UTILITIES SEL SECT SPDR FUND — Buy (add'l)
UTILITIES SEL SECT SPDR FUND — Sold
VANGUARD FTSE EMERGING MARKETS FUND — Int/Div — Buy
VANGUARD INDEX FUNDS S&P 500 FTF — Int/Div — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD INDEX FUNDS S&P 500 FTF — Buy (add'l)
VANGUARD SMALL CAPETF — Int/Div — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD SMALL CAPETF — Buy (add'l)
VANGUARD TELE SVCS ETF INDEX — Int/Div — Buy
VANGUARD TELE SVCS ETF INDEX — Buy (add'l)
VANGUARD TELE SVCS ETF INDEX — Sold
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — Int/Div — Buy (add'l)
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — A
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — Buy (add'l)
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — Buy (add'l)
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — Buy (add'l)
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — Buy (add'l)
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — Buy (add'l)
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — Buy (add'l)
VIRTUS INSIGHT EMERG MKTS MUTUTAL FUND — Buy (add'l)
WALGREEN COMMON STOCK — Int/Div
WISDOMTREE EUROPE HEDGED EQUITY FUND — Int/Div — Sold (part)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EUROPE HEDGED EQUITY FUND — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Int/Div — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Buy (add'l)
WISDOMTREE EURO SM CAP DIV FUND — Buy (add'l)
WISDOMTREE MID CAP DIV FUND — Int/Div — Buy
WISDOMTREE MID CAP DIV FUND — Buy (add'l)
Hhi) — Buy (add'l)
Hhi) — Buy (add'l)
Hhi) — Buy (add'l)
Hhi) — Buy (add'l)
Hhi) — Buy (add'l)
Hhi) — Buy (add'l)
Hhb6 — Buy (add'l)
Hhb6 — Buy (add'l)
Hhb6 — Buy (add'l)
WISDOMTREE TRUST INDIA FUND — Int/Div — Sold
WIDSOMTREE TRUST JAPAN HEDGE EQUITY FUND — Int/Div — Buy (add'l)
WIDSOMTREE TRUST JAPAN HEDGE EQUITY FUND — Buy (add'l)
WIDSOMTREE TRUST JAPAN HEDGE EQUITY FUND — Buy (add'l)
WIDSOMTREE TRUST JAPAN HEDGE EQUITY FUND — Buy (add'l)
WIDSOMTREE TRUST JAPAN HEDGE EQUITY FUND — Sold
WISDOMTREE TRUST MDCP EARN FUND — Int/Div — Buy (add'l)
WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)
WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)
WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)
WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)
WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)
WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)
WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)
WISDOMTREE TRUST MDCP EARN FUND — Buy (add'l)
WISDOMTREE TRUST US QTLY DIV GRT FUND — Int/Div — Buy
WISDOMTREE TRUST US QTLY DIV GRT FUND — Buy (add'l)
ZAYO GROUP HOLDINGS COMMON STOCK — None — Buy
ZAYO GROUP HOLDINGS COMMON STOCK — Buy (add'l)
MLPS (LINES 689-700) EXCEPT WHERE NOTED
BLACKSTONE GROUP (SEE NOTES AND 7TINSECT VID — Distribution
BUCKEYE PARTNERS (SEE NOTE 1 IN SECT VID — Distribution
CHIMERA INVESTMENT CORP COMMON STOCK — Int/Div — Sold
ENERGY TRANS EQTY LP (SEE NOTE INSECT VIII — Distribution
ENERGY TRANSFER LP (SEE NOTE INSECT VIII — Distribution
ENTERPRISE GP/AKA ENTERPRISE PRODS LPINOTE L INSECT VHD — Distribution
MAGELLAN MIDSTREAM PARTNERS LP(SEE NOTE 1 INSECT VID — istmbution
MPLX (SEE NOTE 1 INSECT VHD — istnbution
NORTHERN TIER (SEE NOTE 1 SECT vin — Distribution — with line 700)
PIT PARTNERS INC CMN STK — Int/Div
WESTERN GAS PARTNERS (SEE NOTE INSECT VID — Distribution
WESTERN REFINING (RECVD FROM NORTHERN TIER MERGER (LINE 698) — Int/Div
GS PUT ACCT (LINES 702-752) (NOTE 3 INSECT VIII
XSP PUT - CONTRACT CLOSED (EXPIRED 1/15/16) — None — Buy
XSP PUT - CONTRACT CLOSED (EXPIRED VIR/16) — None — Expired
XSP PUT - CONTRACT CLOSED (EXPIRED 2/19/16) — None — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 2/12/16) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 2/19/2016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 3/312016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 4/15/2016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES §/2012016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 482016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 4/292016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 6/17/2016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 5202106) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 6/30/2016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 7/152016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 6/24/2016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 8/192016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 7/292016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 8/52016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 9/16/2016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 9/30/2016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 1072172016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 11/1822016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 10/72016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 1271672016) — None — Sold
CONTRACT CLOSED — Buy
XSP PUT - CONTRACT OPENED (EXPIRES 1271672016) — None — Sold
CONTRACT CLOSED — Expired
XSP PUT - CONTRACT OPENED (EXPIRES 1202017) — None — Sold
XSP PUT - CONTRACT OPENED (EXPIRES 17202017) — None — Sold
XSP PUT - CONTRACT OPENED (EXPIRES 2/172017) — None — Sold
XSP PUT - CONTRACT OPENED (EXPIRES 3/17201T) — None — Sold
CASH/S/T INVESTS/MM ACCTS (LINES 754.769)
GOLDMAN SACHS FINANCIAL SOUARE MM/CASH — Interest
GOLDMAN SACHS FINANCIAL SOUARE MM/CASH (PLT) — Interest
GOLDMAN SACHS BANK DEPOSIT CASH #2 (FDNY (NOTE 8 SECT VIII — Interest
CITIBANK CHECKING ACCOUNT FOUNDATION — None
CITIBANK INTEREST CHECKING ACCOUNT #1 (FER) — 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
CASH A/C (FKA JPMORGAN MM! CASH) — None — Closed
UBS BANK USA DEPOSIT ACCOUNT (SEE NOTE 8 IN SECT VII — None
CGM BANK DEPOSIT PROGRAM — Interest
MORGAN STANLEY BANK/TRUST DEPOSITS #2 — Interest
MORGAN STANELY BANK/TRUST DEPOSITS #2A (5161) — Interest
MORGAN STANLEY BANK/TRUST DEPOSITS #3 (ROTH IRA) — Interest
FDN BROKERAGE #1 (NOTE 16 IN SECT VII
PACKAGING CORP OF AMERICA COMMON STK (XO) — None — Sold
FDN BRKG ACCT #2 (LINES 773 -912) (SEE NOTE 16 SECT VID
MORGAN STANLEY BANK/TRUST (CASH/MM NOTE R IN SECT VID — None
MORGAN STANLEY BANK/TRUST #2 (CASH/MM) — Interest
COMMON STOCKS AND FUNDS (LINES 776-912)
ALLERGAN CMN STK — None — Sold
ALPHABET INC COMMON STOCK — None — Buy (add'l)
AMAZON COM INC — None — Buy
AMER INTL GP INC COMMON STOCK — Int/Div — Sold (part)
AMER INTL GP INC COMMON STOCK — Sold (part)
AMER INTL GP INC COMMON STOCK — Sold
AMGEN INC COMMON STOCK — Int/Div — Sold (part)
AMGEN INC COMMON STOCK — Sold
AQR LONG SHORT EQ INST FUND — Int/Div — Buy
TSS. — Sold (part)
TSS. — Buy (add'l)
AQR MANAGED FUTURES STRATEGY FUND — Int/Div — Buy
AQR STYLE PREMIA ALTERNATIVE FUND — Int/Div — Buy
AQR STYLE PREMIA ALTERNATIVE FUND — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE FUND — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE FUND — Buy (add'l)
AQR STYLE PREMIA ALTERNATIVE FUND — Sold (part)
AQR STYLE PREMIA ALTERNATIVE FUND — Sold (part)
AQR STYLE PREMIA ALTERNATIVE FUND — Sold (part)
ARES CAPITAL CORP FUND — Int/Div — Buy
ARES CAPITAL CORP FUND — Buy (add'l)
ARES CAPITAL CORP FUND — Buy (add'l)
AVENLE INCOME CREDIT FUND — Int/Div
BLACKROCK CORP HIGH YIELD FD INC — Int/Div — Sold (part)
BOEING CO COMMON STOCK — Int/Div — Buy
BOEING CO COMMON STOCK — Buy (add'l)
BOEING CO COMMON STOCK — Sold (part)
BOEING CO COMMON STOCK — Sold
CATALENT INC COMMON STOCK — None — Sold (part)
CATALENT INC COMMON STOCK — Sold
CHEVRON CORP COMMON STOCK — Int/Div
CROWN CASTLE INTL CORP COMMON STOCK — Int/Div — Buy
CROWN CASTLE INTL CORP COMMON STOCK — Buy (add'l)
CROWN CASTLE INTL CORP COMMON STOCK — Buy (add'l)
R10. — Buy (add'l)
R10. — Buy (add'l)
R10. — Sold (part)
DANAHER CORP COMON STOCK — Int/Div
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — None — Sold (part)
FIDELITY ADV HEALTH CARE INST MUTUAL FUND — Sold
FIRST TRUST DORSEY WRIGHT FO FUND — None — Sold (part)
FIRST TRUST DORSEY WRIGHT FO FUND — Sold
FIRST TRUST SENIOR LOAN FUND — Int/Div — Buy
FIRST TRUST SENIOR LOAN FUND — Buy (add'l)
FORTIVE CORP COMMON STOCK — None — from line 813)
FORTIVE CORP COMMON STOCK — Sold
FRESHPET INC COMMON STOCK — None — Buy (add'l)
GEO GROUP INC COMMON STOCK — Int/Div — Buy (add'l)
GEO GROUP INC COMMON STOCK — Sold (part)
GEO GROUP INC COMMON STOCK — Sold
GOTHAM ENHANCED RETURN INSTL MUTUAL FUND — None — Sold
GOTHAM NEUTRAL MUTLAL FUND — None — Sold
GTT COMMUNICATIONS INC COMMON STOCK — None — Buy
GTT COMMUNICATIONS INC COMMON STOCK — Buy (add'l)
GTT COMMUNICATIONS INC COMMON STOCK — Buy (add'l)
HAIN CELESTIAL GROUP INC COMMON STOCK — None — Buy
HAIN CELESTIAL GROUP INC COMMON STOCK — Sold
HONEYWELL INTERNATIONAL INC COMMON STOCK — Int/Div — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH) COMMON STOCK — None — Sold (part)
QUINTILES IMS HOLDINGS (FKA IMS HEALTH) COMMON STOCK — Sold (part)
R16. — Buy (add'l)
R16. — Sold (part)
R16. — Sold
ISHARES MSCI GROWTH INDX FD — Int/Div — Sold (part)
ISHARES MSC USA MOMENTUM FUND — None — Sold (part)
ISHARES MSC USA MOMENTUM FUND — Sold
ISHARES NASDAQ BIOTECH ETF — Int/Div — Buy
ISHARES NASDAQ BIOTECH ETF — Buy (add'l)
ISHARES US OIL & GAS EXP PROD FUND — Int/Div — Buy
ISHARES US OIL & GAS EXP PROD FUND — Buy (add'l)
ISHARES US OIL & GAS EXP PROD FUND — Buy (add'l)
JP MORGAN INTREPID EURO SEL MUTUAL FUND — None — Buy (add'l)
JP MORGAN INTREPID EURO SEL MUTUAL FUND — Buy (add'l)
JP MORGAN INTREPID EURO SEL MUTUAL FUND — Sold (part)
KAR AUCTION SERVICES INC COMMON STOCK — Int/Div — Sold (part)
LOCORR MARKET TREND MUTUAL FUND — None — Sold
MATTHEWS CHINA DIVIDEND MUTUAL FUND — None — Sold
MATTRESS FIRM HOLDING COMMON STOCK — None — Buy
MATTRESS FIRM HOLDING COMMON STOCK — Buy (add'l)
MATTRESS FIRM HOLDING COMMON STOCK — Buy (add'l)
MATTRESS FIRM HOLDING COMMON STOCK — Buy (add'l)
MATTRESS FIRM HOLDING COMMON STOCK — Sold (part)
MATTRESS FIRM HOLDING COMMON STOCK — Sold
MEDTRONIC PLC COMMON STOCK — Int/Div
NATIONAL STORAGE AFFILIATES COMMON STOCK — None — Sold
OCH-ZIFF CAPITAL MGMT CMN STK (SEE NOTE 1 IN SECT VIII — None — Sold
PENNANTPARK FLTG RATE CAP LTD FUND — Int/Div — Buy (add'l)
PENNANTPARK INVESTMENT CORP FUND — Int/Div — Buy (add'l)
POWERSHARES ETF TR DYNA BUYBK FUND — Int/Div — Sold
POWERSHARES INTL BUYBACK FUND — Int/Div — Buy
POWERSHARES INTL BUYBACK FUND — Buy (add'l)
KOHN — Buy (add'l)
PROSHARES TR S&P 500 DV ARIST FUND — Int/Div — Buy (add'l)
PRUDENTIAL FINANCIAL COMMON STOCK — None — Sold (part)
PRUDENTIAL FINANCIAL COMMON STOCK — Sold
SOLAR CAPITALLTD FUND — Int/Div
SOLAR SENIOR CAPITAL LTD FUND — Int/Div — Sold (part)
SOLAR SENIOR CAPITAL LTD FUND — Sold (part)
SOLAR SENIOR CAPITAL LTD FUND — Sold
SONIC CORP COMMON STOCK (X) — None — Sold (part)
SONIC CORP COMMON STOCK (X) — Sold (part)
SONIC CORP COMMON STOCK (X) — Sold (part)
SONIC CORP COMMON STOCK (X) — Sold
SPDR S&P MIDCAP 400 ETF TRUST — Int/Div — Sold (part)
STARWOOD PROPERTY TRUST INC COMMON STOCK — Int/Div — Buy (add'l)
STARWOOD PROPERTY TRUST INC COMMON STOCK — Sold (part)
STARWOOD PROPERTY TRUST INC COMMON STOCK — Sold (part)
TERRAFORM PWR INC COMMON STOCK — None — Buy
TERRAFORM PWR INC COMMON STOCK — Buy (add'l)
TERRAFORM PWR INC COMMON STOCK — Sold (part)
TERRAFORM PWR INC COMMON STOCK — Sold (part)
TERRAFORM PWR INC COMMON STOCK — Sold
THERMO FISHER SCIENTIFIC COMMON STOCK — Int/Div — Buy
THERMO FISHER SCIENTIFIC COMMON STOCK — Buy (add'l)
TORTOISE ENERGY INFRA FUND — None — Sold
VANGUARD INFO TECH ETF — Int/Div — Buy (add'l)
VANGUARD MID-CAP ETF — Int/Div — Sold (part)
VANGUARD SMALL CAPETF — Int/Div — Sold (part)
VIRTUS INSIGHT EMERGING MKTS MUTUAL FUND — Int/Div — Sold (part)
VISA INC COMMON STOCK — Int/Div — Sold (part)
VISA INC COMMON STOCK — Buy (add'l)
WALT DISNEY CO HLDG CO COMMON STOCK — Int/Div — Buy
WALT DISNEY CO HLDG CO COMMON STOCK — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Int/Div — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Buy (add'l)
WELLS FARGO & CO COMMON STOCK — Buy (add'l)
WISDOMTREE CBOE S&P 500 ETF — None — Buy
WISDOMTREE EUROPE HEDGED EQUITY FUND — None — Sold
WISDOMTREE EUROPE SMALL CAP DIV ETF — Int/Div — Buy
WISDOMTREE EUROPE SMALL CAP DIV ETF — Buy (add'l)
WISDOMTREE MID CAP DIV — Int/Div — Buy
WISDOMTREE SMALL CAP DIV FUND — Int/Div
WIDSOMTREE TRUST JAPAN HEDGE EQUITY FUND — None — Sold
WISDOMTREE TRUST MDCP EARN FUND — Int/Div
YUM BRANDS COMMON STOCK — Int/Div — Buy
YUM BRANDS COMMON STOCK — Sold (part)
NON-PUBLICS (SEE NOTES 5 & 7 IN SECT VIIN (LINES 914-1045)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — None — Sold (part)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — Sold (part)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — Sold (part)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — Sold (part)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — Sold (part)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — Sold (part)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — Sold (part)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — Sold (part)
ARIZONA SNOWBOWL (SEE NOTE 1 IN SECT VII — Sold
ELGIN CAPITAL (SEE NOTES 1 & 22 IN SECT VII — istnbution — Sold (part)
CENTERBRIDGE CREDIT PARTNERS (SEE NOTE 1 INSECT VID — Distribution
TAMPA BAY RAYS (SEE NOTE 1 IN SECT VII — Dhistnibution
HARDING SERVICE, LLC (SEE NOTES &K&6INSECT VID — istmbution
OFFIT CAPITAL ADVISORS (SEE NOTE 1 INSECTION VIII — Distribution — Sold (part)
UNIVERSAL HOSPITAL SERVICES HOLDING CO (NOTE SECT VHD — None
WHOLESOME FOODS (SEE NOTES & 22 IN SECTION VIII — None
GOLUB CAPITAL PARTNERS (SEE NOTE 9 INSECTION VID — istmbution — Sold (part)
GOLUB CAPITAL PARTNERS (SEE NOTE 9 INSECTION VID — Sold (part)
GOLUB CAPITAL PARTNERS (SEE NOTE 9 INSECTION VID — Sold (part)
GOLUB CAPITAL PARTNERS (SEE NOTE 9 INSECTION VID — Sold (part)
GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VII — istnbution — Sold (part)
GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VII — Sold (part)
GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VII — Sold (part)
GOLUB CAPITAL VIII (SEE NOTE 9 IN SECT VII — Sold (part)
IRVING PLACE CAPITAL II (SEE NOTE 9 INSECT VIN — None
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Distribution — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Buy (add'l)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLACKSTONE REAL ESTATE VI AND VIHHINOTES 9 & 22 SECT VII — Sold (part)
BLENHEIM ELGIN NATL RESOURCES FUND (SFE NOTE 9 INSECT VIII — istnibution — Sold (part)
CENTERVIEW CAPITAL (SEE NOTE 10 INSECT VIII — Distribution
ADVANTAGE SALES MARKETING (SEE NOTE 15 INSECT VID — None
RICHELIEU FOODS, INC (SEE NOTE 15 INSECT VIN — None
DGNL VENTURES (SEE NOTE 9 IN SECT VII — istnbution — Buy
HIGHCAPE PARTNERS (SEE NOTE 10 INSECT VII — Distribution
CHEETAH MEDICAL (SEE NOTE 15 IN SECT VII — None — hw
TELABIO (SEE NOTE IS INSECT VID — None — Buy (add'l)
AZIYO(SEE NOTE IS INSECT VHD — None
KAYNE ANDERSON (SEE NOTE 9 IN SECT VII — Distribution — Buy (add'l)
KAYNE ANDERSON (SEE NOTE 9 IN SECT VII — Sold (part)
KAYNE ANDERSON (SEE NOTE 9 IN SECT VII — Sold (part)
KAYNE ANDERSON (SEE NOTE 9 IN SECT VII — Buy (add'l)
KAYNE ANDERSON (SEE NOTE 9 IN SECT VII — Sold (part)
VESTAR CAPL PRTNRS/ASSC IV/AIV (SEE NOTE 9 IN SECT VII — None
VESTAR CAP/ASSOC V (SEE NOTE 9 & 22 IN SECT VIII — Distribution — Sold (part)
VESTAR CAP/ASSOC V (SEE NOTE 9 & 22 IN SECT VIII — Sold (part)
VESTAR CAP/ASSOC V (SEE NOTE 9 & 22 IN SECT VIII — Sold (part)
VESTAR CAP/ASSOC V (SEE NOTE 9 & 22 IN SECT VIII — Sold (part)
VESTAR CAP/ASSOC V (SEE NOTE 9 & 22 IN SECT VIII — Sold (part)
VESTAR ASSOCIATES, VI (SEE NOTES 1S & 22 INSECT VHD — istnbution
RAZOR'S EDGE FUND (SEE NOTE 9 IN SECT VII — Distribution — Buy (add'l)
RAZOR'S EDGE FUND (SEE NOTE 9 IN SECT VII — Buy (add'l)
RAZOR'S EDGE FUND IH (SEE NOTE 9 INSECT VII — Distribution — Buy
RED ABBEY (SEE NOTE 9 INSECT VII) — Distribution — Sold (part)
SENTINEL CAPITAL 111 (SEE NOTE 10 INSECT VIII — Distribution
SENTINEL CAPITAL IV (SEE NOTES 10 & 22 INSECT VII — Iistnbution
SENTINEL CAPITAL V (SEE NOTES 10 & 22 INSECT VID — None — Buy (add'l)
CHASE DOORS - (SEE NOTES 11 & 15 INSECT VID — None — Sold (part)
CHASE DOORS - (SEE NOTES 11 & 15 INSECT VID — Distnbuted
CHECKERS & RALLY'S (SEE NOTE 15 INSECTION VID — None
COLSON GROUP HOLDINGS (SEE NOTE IS INSECTION VID — None
CORPORATE VISIONS (SEE NOTE 15 IN SECT VII — None
CREDIT INFONET HOLDINGS (SEE NOTE IS INSECT VID — None
CRITICAL SOLUTIONS (SEE NOTE 15 INSECTION VID — None — Sold (part)
CRITICAL SOLUTIONS (SEE NOTE 15 INSECTION VID — Sold (part)
1000) — Sold (part)
1000) — Sold (part)
DRIVEN PERFORMANCE BRANDS (SEE NOTE ISINSECT VID — None
ENGINEERED CONTROLS (NOTES 11 & 1S INSECT VIII — None — Sold (part)
ENGINEERED CONTROLS (NOTES 11 & 1S INSECT VIII — Distributed
FAZOLI GROUP (SEE NOTE 15 IN SECT Vin — None
HOLLANDER SLEEP PRODUCTS (SEE NOTE ISINSECT VID — None
HUDDLE HOUSE (SEE NOTE 15 IN SECT VII — Int/Div — Sold (part)
IEP TECHNOLOGIES (SEE NOTES 11 & IS INSECT VIII) — None — Distributed
LUMINARIES GROUP (SEE NOTE 15 IN SECT VII — None — Buy
MARKETPLACE EVENTS (SEE NOTE 15 INSECT VIL — None — Buy
NATIONAL SPINE AND PAIN CENTERS (SEE NOTE ISINSECT VID — None
NEWK'S HOLDINGS (SEE NOTE 15 IN SECT VII — None
NORTH AMERICAN RESCUE (SEE NOTES 11 & ISINSECT VHD — None — Distnbuted
NORTHEAST DENTAL MANAGEMENT (SEE NOTE 1S INSECT VHD — None — Sold — Care Alhance
NORTHEAST DENTAL MANAGEMENT (SEE NOTE 1S INSECT VHD — Distnbuted
PCH HOLDINGS (SEE NOTE 15 IN SECT Vi — None
POWER PRODUCT (SEE NOTE 15 IN SECT VII — None — Sold (part)
1018, — Sold — Capital
PRECISION PIPELINE (NOTES 11 & 15 INSECT VID — None — Distnibuted
QUICK WEIGHT LOSS CENTERS (SEE NOTE IS INSECT VID — None — Buy
REVENEW INTERNATIONAL (SEE NOTE IS INSECT VID — None — Buy
ROBOMETRICS (SEE NOTE 15 IN SECT vin — None
TGI FRIDAYS (SEE NOTE 15 IN SECT vin — None
TOTAL MILITARY MANAGEMENT (SEE NOTE ISINSECT VID — None
VINTAGE HOLDINGS (SEE NOTES 11 & ISINSECT VIII — None — Sold (part)
1026, — Distributed
WELLSPRING PHARMACEUTICALS (SEE NOTE 1S INSECTION VID — Interest
SCIENS CAPITAL (AKA ZILKHA) (NOTES 6 & 9 IN SECT VID — istnbution — Sold (part)
SCP SHARE EXCHANGE CO (X) (SEE NOTE 17 INSECT VHD — istmbution
NORTHERN HELLENIC HOLDINGS (Y)
QUINTANA ENERGY PARTNERS (SEE NOTES 9 & 22 INSECT VII — None
TINICUM LP (SEE NOTES 9 & 22 IN SECT VIII — None — Buy (add'l)
3G KRAFT HEINZ (FKA 3G SPECL SIT FND HD (NOTE 9 SECT VID — Distribution — Sold (part)
1034, — Sold (part)
1034, — Sold (part)
1036, — Sold (part)
1036, — Sold (part)
3G FUND IV (SEE NOTE 9 IN SECT VII — Distribution — Sold (part)
1039, — Sold (part)
1040), — Sold (part)
1040), — Sold (part)
1040), — Sold (part)
VALINOR LP (SEE NOTE 9 IN SECT vin — Distribution — Buy
VALINOR LP (SEE NOTE 9 IN SECT vin — Sold (part)
VALINOR LP (SEE NOTE 9 IN SECT vin — Buy (add'l)
1046, — Buy (add'l)
OTHER INVESTMENTS/NOTES RECEIVABLES (LINES 1047-1080)
AMBULNZ LLC (SEE NOTE 1 IN SECT vin — None — Buy
ATLANTA VININGS (SEE NOTE IN SECT VIII — istmbution — Buy
BLUE LOTUS INVESTMENT FUND (SEE NOTE 1 INSECT VID — Distribution
CEDAR ROCK CAPITAL PARTNERS (SEE NOTE 1 IN SECT VID — istnbution
CHEETAH MEDICAL DIRECT (SEE NOTE [14 INSECT VII) — None
CHESAPEAKE PARTNERS (SEE NOTE 1 INSECT VII — Distribution — Sold (part)
1054, — Sold (part)
1054, — Distnbuted
GOLD BULLION — None
F. E. RICHARDSON & CO (SEE NOTES & 13IN SECT VII — None — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
105K, — Buy (add'l)
1068, — Buy (add'l)
1068, — Buy (add'l)
1070, — Buy (add'l)
1070, — Buy (add'l)
1070, — A
HITCHWOOD CAPITAL (SEE NOTE 1 IN SECT VII — None
ORBIMED (SEE NOTE 1 INSECT VII) — None
OVERLOOK PARTNERS (SEE NOTE INSECT VII — None — Buy (add'l)
OVERLOOK 3G PARTNERS (SEE NOTE 1 INSECT VIN — istmbution — from line 1075)
RYFT (AKA RE SIDECAR 2) (SEE NOTES & 14 INSECT VIII) — None — Buy (add'l)
ZOOM DATA DIRECT (AKA RE SIDECAR SY (NOTE INSECT VID — None — Buy
ELIZABETH REILLY, PERSONAL LOAN «NOTE RECEIVABLE — None
SHIRLEY NAVARETTE, PERSONAL LOAN - NOTE RECEIVABLE — None
SARA LAJOIE, PERSONAL LOAN NOTE RECEIVABLE — None — Open
TRUST #1 (LINES 1082-1100) (SEE NOTE 2INSECT VID
GOLDMAN SACHS BANK DEPOSIT! CASH #4 — Interest
ABBOTT LABORATORIES COMMON STOCK — Int/Div — Sold
ABB-VIE INC. COMMON STOCK — Int/Div
ALLERGAN PLC CMN STK — None — Sold
AMAZON.COM INC COMMON STOCK — None — Buy
BLACKROCK INC COMMON STOCK — Int/Div — Sold (part)
CHUBB LTD COMMON — Int/Div — Buy
1090, — Buy (add'l)
FACEBOOK INC COMMON STOCK — None
JOHNSON & JOHNSON COMMON STOCK — Int/Div
LINKEDIN CORP COMMON STOCK — None — Sold
SALESFORCE.COM, INC COMMON STOCK — None — Sold
SONIC CORP COMMON STOCK — Int/Div
STARBUCKS CORP COMMON STOCK — Int/Div — Buy
STARBUCKS CORP COMMON STOCK — Buy (add'l)
109%, — Buy (add'l)
UNITED CONTINENTAL HOLDING INC COMMON STOCK — None — Sold
WALGREEN BOOTS ALLIANCE, INC CO CMN STOCK — Int/Div — Buy (add'l)
WALGREEN BOOTS ALLIANCE, INC CO CMN STOCK — Buy (add'l)
TRUST #1A (LINES 1102-1145) (NOTES 1.2& 7INSECT VHD
GOLDMAN SACHS BANK DEPOSITS! CASH #4A — Interest
WILLIAMS PARTNERS — Distribution — Sold (part)
WILLIAMS PARTNERS — Sold (part)
ANTERO MIDSTREAM PARTNERS — Distribution — Buy (add'l)
ANTERO MIDSTREAM PARTNERS — Sold (part)
BUCKEYE PARTNERS LP — Distribution
COLUMBIA PIPELINE PARTNERS LP (SEE NOTE 21 INSECT VID — Distribution — Sold (part)
DCP MIDSTREAM PARTNERS LP — Distribution — Buy (add'l)
DCP MIDSTREAM PARTNERS LP — Sold (part)
ENBRIDGE INC COMMON — Int/Div — Buy
ENBRIDGE INC COMMON — Buy (add'l)
ENERGY TRANSFER EQUITY LP — Distribution — Sold
ENERGY TRANSFER PARTNERS. LP — Distribution — Buy
ENERGY TRANSFER PARTNERS. LP — Buy (add'l)
ENERGY TRANSFER PARTNERS. LP — Sold (part)
ENTERPRISE PRODUCTS PART LP — Distribution — Buy (add'l)
1119, — Buy (add'l)
1120, — Sold (part)
EQT GP HOLDINGS COMMON — None
EQT MIDSTREAM PARTNERS LP COMMON — None — Sold (part)
GENESIS ENERGY. LP — None — Sold (part)
1124, — Sold (part)
1125, — Sold (part)
MAGELLAN MIDSTREAM PARTNERS LP — Distribution — Sold (part)
MPLX LP — Distribution — Buy (add'l)
MPLX LP — Buy (add'l)
MPLX LP — Sold (part)
ONEOK INC CMN — Int/Div — Sold (part)
ONEOK INC CMN — Sold
1132, — Buy
ONEOK PARTNERS. LP — None
PHILLIPS 66 PARTNERS LP — None — Buy (add'l)
PLAINS ALL AMERICAN PIPELINE Lr — None — Buy (add'l)
PLAINS ALL AMERICAN PIPELINE Lr — Buy (add'l)
TARGA RESOURCES CORP COMMON — Int/Div — Buy (add'l)
1138, — Buy (add'l)
1139, — Buy (add'l)
TESORO LOGISTICS LP COMMON — None
VALERO ENERGY PARTNERS LP — None
WESTERN GAS EQUITY PARTNERS LPASEE NOTE 21 INSECT VID — None — Sold (part)
WESTERN GAS PARTNERS, LP — None — Sold (part)
THE WILLIAMS COMPANIES, INC (SEE NOTE 12 INSECT VID — Int/Div — Sold
THE WILLIAMS COMPANIES, INC (SEE NOTE 12 INSECT VID — Buy
1146, — Buy (add'l)
TRUST #1B (LINES 1147-1197) (NOTES 2 &K&SINSECT VIN
CITI TRUST CHECKING ACCOUNT — None
FARALLON CAPITAL (SEE NOTE 9 INSECT VII — None — Sold (part)
1150, — Sold (part)
VESTAR 11 (SEE NOTE 9 IN SECT Vi — None — Sold (part)
VANGUARD PRIME MM FUND — Int/Div
VANGUARD FEDERAL MONEY MARKET FUND — Int/Div — Open
ABBVIE INC COMMON STOCK — None — Buy
ALLERGAN PLC COMMON STOCK — None — Buy (add'l)
ALLERGAN PLC COMMON STOCK — Buy (add'l)
ALLERGAN PLC COMMON STOCK — Sold (part)
1158, — Buy (add'l)
1159, — Sold
AMAZON.COM INC COMMON STOCK — None — Buy
AMAZON.COM INC COMMON STOCK — Buy (add'l)
BERKSHIRE HATHAWAY INC CL B COMMON STOCK — None — Buy
1163, — Buy (add'l)
CABOT OIL & GAS CORP COMMON STOCK — Int/Div — Sold (part)
CABOT OIL & GAS CORP COMMON STOCK — Sold (part)
1166, — Sold (part)
CHUBB LTD COMMON STOCK — Int/Div — Buy
1168, — Buy (add'l)
ENDO INTL PLC — None — Sold (part)
ENDO INTL PLC — Sold
EOG RESOURCES INC COMMON STOCK — Int/Div — Sold
HONEYWELL INTL INC COMMON STOCK — Int/Div — Buy
HONEYWELL INTL INC COMMON STOCK — Buy (add'l)
ISHARES NASDAQ BIOTECHNOLOGY ETF — Int/Div — Sold (part)
JOHNSON & JOHNSON COMMON STOCK — Int/Div — Buy
LINKEDIN CORP COMMON STOCK — None — Buy (add'l)
LINKEDIN CORP COMMON STOCK — Sold
MCKESSON CORP COMMON STOCK — Int/Div — Sold (part)
1179, — Sold
PALO ALTO NETWORKS INC — None — Buy (add'l)
PALO ALTO NETWORKS INC — Sold (part)
PALO ALTO NETWORKS INC — Sold (part)
1183, — Sold
PIONEER NATURAL RESOURCES COMPANY COMMON STOCK — Int/Div — Sold (part)
PIONEER NATURAL RESOURCES COMPANY COMMON STOCK — Sold (part)
PIONEER NATURAL RESOURCES COMPANY COMMON STOCK — Sold (part)
PIONEER NATURAL RESOURCES COMPANY COMMON STOCK — Sold (part)
POWERSHARES DYNAMIC BUYBACK ACHIEVERS ETF — Int/Div — Sold
PRIME CAP ODYSSEY AGGRESSIVE GROWTH MUTUAL FUND — Int/Div
SALESFORCE.COM INC COMMON STOCK — None — Sold
SPDR SERIES TRUST S&P BIOTECH ETF — Int/Div
STARBUCKS CORP COMMON STOCK — Int/Div — Buy
VANGUARD CONSUMER DISCRETIONARY ETF — Int/Div
VANGUARD DIVIDEND APPRECIATION FUND — Int/Div
VANGUARD HEALTH CARE ETF — Int/Div — Sold
VANGUARD INFORMATION TECHNOLOGY ETF — Int/Div — Buy (add'l)
VANGUARD INFORMATION TECHNOLOGY ETF — Buy (add'l)
VANGUARD TOTAL STOCK MARKET ETF — Int/Div — Buy
TRUST #2 (LINES 1199-1212) (SEE NOTE 19 INSECT VIII
BLACKROCK LIQUIDITY FUNDS — Int/Div — Sold
TD AMERITRADE INSURED DEPOSIT/ACASH ACCOUNT — Interest
PRIMECAP ODYSSEY GR FD — Int/Div — Buy
PRIMECAP ODYSSEY GR FD — Buy (add'l)
PRUDENTIAL JENNISON 20/20 FOCUS FUND (MUTUAL FUND) — None — Sold
BLACKROCK EQUITY DIVIDEND INST CLASS FUND — None — Sold
EAGLE SMALL CAP GROWTH FUND — None — Sold
ISHARES CORE S&P MID-CAP ETF — Int/Div — Buy
ISHARES CORE S&P MID-CAP ETF — Buy (add'l)
ISHARES TIPS BOND ETF — Int/Div — Buy (add'l)
1210, — Buy (add'l)
ISHARES NATL MUNI BND ETF — Int/Div — Sold (part)
VANGUARD CRSP US SM CAP GROWTH IND ETF — Int/Div — Buy
VANGUARD DIVIDEND APPRECIATION ETF — Int/Div — Buy
TRUST #3 (LINES 1214-1266) (SEE NOTE 19 INSECT VII
TD AMERITRADE CASH ACCOUNT — Interest
BLACKROCK LIQUIDITY FUNDS — Int/Div — Sold
ALLERGAN INC COMMON STOCK — None — Buy (add'l)
1218, — Sold (part)
1219, — Sold
AMAZON.COM INC COMMON STOCK — None — Buy
AMAZON.COM INC COMMON STOCK — Buy (add'l)
AMERICAN EXPRESS CO COMMON STOCK — Int/Div — Sold
AMERISOURCEBERGEN CORP COMMON STOCK — Int/Div
AMERIPRISE FINANCIAL INC COMMON STOCK — None — Sold
AMGEN INC COMMON STOCK — Int/Div — Buy (add'l)
AMGEN INC COMMON STOCK — Buy (add'l)
AMGEN INC COMMON STOCK — Buy (add'l)
1228, — Sold (part)
APPLE INC COMMON STOCK — Int/Div
CAPITAL ONE FINANCIAL CORP COMMON STOCK — None — Sold
CELANESE CORP COMMON STOCK — None — Sold
CHUBB CORP COMMON STOCK (SEE NOTE 12 INSECT VHD — Int/Div — Sold
1233, — Buy
1234, — Buy (add'l)
DOLLAR TREE INC COMMON STOCK — None — Buy (add'l)
EAGLE SMALL CAP GROWTH MUTUAL FUND — Int/Div
EBAY INC COMMON STOCK — None — Sold
EOG RESOURCES INC COMMON STOCK — Int/Div — Buy
FIDELITY SPARTAN PA MUNI INCOME FUND — Int/Div — Sold
FIRST TRUST DJ INTERNET COMMON STOCK — None — Buy
GENERAL MILLS INC COMMON STOCK — Int/Div — Sold
ALPHABET INC (FKA GOOGLE INC) COMMON STOCK — None
HOME DEPOT INC COMMON STOCK — Int/Div — Buy (add'l)
HOME DEPOT INC COMMON STOCK — Buy (add'l)
ISHARES TIPS BOND ETF — Int/Div
ISHARES S&P MID-CAP ETF — Int/Div — Buy (add'l)
ISHARES S&P NATL AMT-FREE MUNI BND FUND (FKA S&M) — Int/Div
JP MORGAN CHASE & CO COMMON STOCK — Int/Div
LAUDER ESTEE COS INC COMMON STOCK — Int/Div — Buy (add'l)
1250, — Sold
MICROSOFT CORP COMMON STOCK — Int/Div — Buy (add'l)
MICROSOFT CORP COMMON STOCK — Buy (add'l)
ORACLE CORP COMMON STOCK — Int/Div — Buy (add'l)
PAYPAL HOLDINGS COMMON STOCK — None — Sold
PEPSICO INC COMMON STOCK — Int/Div
PFIZER INC COMMON STOCK — Int/Div
PIONEER NATURAL RESOURCES CO COMMON STOCK — Int/Div — Buy
ROCKWELL AUTOMATION INC COMMON STOCK — None — Sold
ROSS STORES INC COMMON STOCK — Int/Div
JM SMUCKER CO COMMON STOCK — Int/Div — Sold
3M COMPANY COMMON STOCK — Int/Div
TWENTY-FIRST CENTURY COMMON STOCK — Int/Div — Buy (add'l)
US BANCORP DEL COMMON STOCK — Int/Div — Sold
UNITEDHEALTH GROUP INC COMMON STOCK — Int/Div
WELLS FARGO & CO COMMON STOCK — Int/Div — Buy (add'l)
WILLIAMS COMPANIES INC COMMON STOCK — None — Sold
WEC ENERGY GROUP INC COMMON — Int/Div
TRUST #4 (SEE NOTES 2, 5 & 7 IN SECT VHD (LINES 1268-1269)
VANGUARD PRIME MONEY MARKET FUND ACCOUNT #1 tY)
PARK AVENUE EQUITY LP (SEE NOTES 6 9 IN SECT VIII — Distribution
TRUST #5 (SEE NOTES 2, 5 & 7 IN SECT VU (LINES 1271-1285)
VANGUARD PRIME MONEY MARKET FUND ACCOUNT #2 — Int/Div
STAR FUND — Int/Div — Sold (part)
1274, — Sold (part)
VANGUARD FEDERAL MONEY MARKET FUND — Int/Div — Open
PARK AVENUE EQUITY LP (SEE NOTES 6 & 9 INSECT VID — istmbution
SONIC CORP COMMON STOCK — Int/Div
VANGUARD DIVIDEND APPRECIATION ETF — Int/Div — Buy
1279, — Buy (add'l)
1280, — Buy (add'l)
1280, — Sold (part)
VANGUARD TOTAL BOND MARKET ETF — Int/Div — Buy
VANGUARD TOTAL BOND MARKET ETF — Buy (add'l)
VANGUARD TOTAL BOND MARKET ETF — Buy (add'l)
VANGUARD TOTAL BOND MARKET ETF — Sold (part)
VANGUARD TOTAL STOCK MARKET ETF — Int/Div — Buy
TRUST #6 (SEE NOTES 2, 5 & 7 IN SECT VUHINLINES 1287-1308)
VANGUARD PRIME MONEY MARKET FUND ACCOUNT #3 — Int/Div
STAR FUND — Int/Div — Sold (part)
STAR FUND — Sold (part)
VANGUARD FEDERAL MONEY MARKET FUND ACCOUNT #3 — Int/Div — Open
VANGUARD DIVIDEND APPRECIATION ETF — Int/Div — Buy
VANGUARD DIVIDEND APPRECIATION ETF — Buy (add'l)
VANGUARD DIVIDEND APPRECIATION ETF — Buy (add'l)
VANGUARD DIVIDEND APPRECIATION ETF — Sold (part)
VANGUARD TOTAL BOND MARKET ETF — Int/Div — Buy
VANGUARD TOTAL BOND MARKET ETF — Buy (add'l)
VANGUARD TOTAL BOND MARKET ETF — Buy (add'l)
1299, — Sold (part)
VANGUARD TOTAL STOCK MARKET ETF — Int/Div — Buy
PARK AVENUE EQUITY LP (SEE NOTES 6 & 9 INSECT VID — Distribution
SONIC CORP COMMON STOCK — Int/Div
VANGUARD PRIME MONEY MARKET FUND ACCOUNT #3A — Int/Div — Open
LULTRA SHORT TERM BOND INV — None — Buy
VANGUARD FEDERAL MONEY MARKET FUND ACCOUNT #3A — Int/Div — Open
ISHARES NEW YORK MUNI BOND ETF — Int/Div — Buy
ISHARES NEW YORK MUNI BOND ETF — Sold
PRIME CAP ODYSSEY GROWTH — Int/Div — Buy
VANGUARD DIVIDEND APPRECIATION ETF — Int/Div — Buy
TRUST #7 (SEE NOTE 4 INSECT VII
CITIBANK CHECKING ACCOUNT — None
Board Member, New York City Ballet, Inc
Trustee, The Frank E. Richardson 2011 Insurance Trust Agreement (See Note 4 in Section VIII)
Gift — Janet and Ben Cheever — Earphones (gift to reporting person's spouse) (dollar value estimated) — $200.00
Gift — Janet and Ben Cheever — Golf Club (gift 10 reporting person's spouse) — $450.00
Liability — Citibank — Line of Credit
Liability — Amcrican Express — Credit Card
Liability — Ciibunk — Credit Card
Spouse's income — 2016 — Morgan Stanley Pension Benefit
Spouse's income — 2016 — Soni¢c Corp - various Board & Committee Fees
Spouse's income — 2016 — Blackstone, Vestur, Harding Services and HighCape - Fee Income
FINANCIAL DISCLOSURE REPORT

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/28313. Public record. Not legal advice.