Colleen McMahon

Thomburg Ltd. Term Muni. Fd Nat'l — Int/Div

Kohl's Corp. Com (IRA) — Int/Div

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

Morgan Stanley Venture Investors 11 LP (IRA) — None

Morgan Stanley Venture Investors HI LP — None

MSCPIILP — None — Sold (part)

1998 300.0000) — None

EE (1998 300.000) — None

Northwestern Mututal Life (Term policy) — None

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) — Interest

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 pn (1999 S 900,000) — Reat

Rental # 2/JP Morgan -Checking — Interest

JP Morgan(Checking)- — None

Vacant Lund pum (1999 $ 425.000 ) — None

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

Trident Capital Fund V LP — Sold (part) — Note #5 To Ln # 181

Grove Capital Commitment Partners LP — None — Sold

mmm Golf Partners LLC — None

Silvans Corp-Preferred C-1 — None — Sold

JP Morgan (Checking) — Interest

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

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

Skyline Venture Partners Qualified Purchaser Fund 111 LP — None — Sold

GrovellLP — None — Sold

JP Morgan Checkmg( Foundation #1) — Interest

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

Kinderhook Capital LP — None

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

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 Parmers 11 LP — None — Sold (part)

Lmx Parmers 11 LP — Sold (part)

Lmx Parmers 11 LP — Buy (add'l)

Sentinel Capital Investors HI LP — Distribution — Sold (part) — Note #

Sentinel Capital Investors HI LP — Sold (part)

SFM Participation 11 LP — Distribution — Buy (add'l) — Note #

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 # 183

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)

SEEFIILP — None — Buy (add'l)

SEEFIILP — Buy (add'l)

Towerbrook Investors 11 Executive Fund LP — None — Sold (part)

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

Trdemt VILP — Sold (part)

Kinderhook Capital Fund 11 LP — None — Buy (add'l)

Kinderhook Capital Fund 11 LP — Sold (part)

Kinderhook Capital Fund 11 LP — Sold (part)

Kinderhook Capital Fund 11 LP — Sold (part)

Kinderhook Capital Fund 11 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 C11 — Int/Div

Thomburg CRE GWT (IRA) — None

Ironwood Management Partners Fund 11 LP — None — Buy (add'l)

Ironwood Management Partners Fund 11 LP — Buy (add'l)

RG! Partners 11 BLP — None

RG! Partners Lid — Distribution — Buy (add'l) — Note #2

RG! Partners Lid — Buy (add'l)

SC Capital (P) LP — Distribution — (part) — 1.5 & to Ln 460

SC Capital (P) LP — Sold (part) — Note # 5to Ln 461

Tailwind Capital Partners LP — Note 2 4

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

Transit Wireless LLC — None

Hamilton State Banc Shares Inc — None

Oceus Networks. Inc — None

Optimal Solutions Intergration Inc — Distribution — Sold (part) — Note #

Versapharm, Inc — Distribution — Sold — Note #

Cumberland Consulting Group,LL( — None

RE TRansportation, Inc — Distribution — Sold (part) — Note #

Northeast Communications of Wisconsin, Incidba "Nsight) — None — Sold (part)

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

Tailwind Capital Partners (GP) LP — Note #2 4

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

Transit Wireless LLC — None

Hamilton State Bancshares Inc — None

Oceus Networks Inc — None

Optimal — Distribution — Sold (part) — Note #

Nautilus Neurosciences Inc(Y)

Versapharm — Distribution — Sold — Note #

Cumberland Consulting Group LLC — None

RE Transportation Inc — Distribution — Sold (part) — Note #

Brawler Industrial Fabrics (Y)

Northeast Comm of Wisconsin Inc NAC NSight — None

Towerco 11 (Y)

Amencan Home Food Products Inc (Com) — None — Sold

Perseus Soros Partners — None — Sold (part)

Syndicate Holdings Corp{ Com) — None

Safe Bulkers InciCom) — Int/Div — Buy (add'l)

Safe Bulkers InciCom) — Buy (add'l)

Safe Bulkers InciCom) — Buy (add'l)

Safe Bulkers InciCom) — Buy (add'l)

Artisanal Cheese LLC(Bridge Loan) — None — Sold

Camulos BioEnergy Partmers LLC — Distribution — Closed — 3

Asling Investors [11 LP — istmbution — Buy (add'l) — Note #

Asling Investors [11 LP — Buy (add'l)

Asling Investors [11 LP — Sold (part)

Asling Investors [11 LP — Sold (part)

Asling Investors [11 LP — Sold (part)

Asling Investors [11 LP — Sold (part)

Asling Investors [11 LP — Sold (part)

Asling Investors [11 LP — Sold (part) — Note # 5-To Ln # 447

Asling Investors [11 LP — Sold (part) — Note # 5 To Lan #449

Asling Investors [11 LP — Sold (part) — Note # 5- To Ln #451

Eastern Growth Capital 11 LP — istmbution — Note #

Eastern Growth Capital 11 LP(IRA) — istmbution — Note #

Lmx-Metaltech Co Investment LLC — None

Olympus Capital Asia IV LP — None — Buy (add'l)

Olympus Capital Asia IV LP — Buy (add'l)

Olympus Capital Asia IV LP — Buy (add'l)

Olympus Capital Asia IV LP — Sold (part)

Olympus Capital Asia IV LP — Sold (part)

Olympus Capital Asia IV LP — Sold (part)

Olympus Capital Asia IV LP — Sold (part)

UBS RMA Tax Free (MM) — Interest — Closed

Safe Bulkers Inc (Com KIRA) — None

Towerbrook Investors 111 Executive Fund LP — Distribution — Sold (part) — Note #

Towerbrook Investors 111 Executive Fund LP — Sold (part)

Towerbrook Investors 111 Executive Fund LP — Sold (part)

Invesco Equity Income FD A (401K) — None

Morgan Stanley Bank(Saving )( Foundation in — Interest — Closed

First Republic Bank (Checking) — Interest

The West Africa Fund LP — None

NuCana Biomed Ltd (Ordinary Shares) (IRA) — None

Yumsmg LLC — None

Corda Bancorp Ser B(Com)(IRA) — None — Sold

Michael Walsdorf- (Indirect Investment- 71 Smith Street LLC) — None — Distnbuted — 5 & 8-to Line 456

Beryllium LLC — None

Kinderhook Capital Fund 111 LP — Distribution — Buy (add'l) — Note #2]

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

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

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

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

Kinderhook Capital Fund 111 LP — Sold (part)

Nuclea Biotechnologies Inc-Convertible Note — None — Closed — Note # 3

Cord Bancorp Inc Ser B (Com) — None — Sold

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

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

Rapid Ratings International Inc (Com) — Sold (part)

Parkstone Capital Partners LLC — None — Sold (part)

Lone Peak Partmers Fund LP — Distribution — Sold — Note #

UBS Bank USA Dep MM (IRA) — Interest

NYS Dorm 5.625% Due 6/1/16 — Interest — Matured

Tuilwind Capital Group LLC — None

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 — Buy (add'l)

Parkstone Capital Partners [1 LP — Distribution — Sold (part) — Note #

Parkstone Capital Partners [1 LP — Sold (part)

Parkstone Capital Partners [1 LP — Sold (part)

Highland Investment Group LLC — None

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

EOS Healthcare Partners LLC — None — Buy (add'l)

OD Funding Partners LLC — None

Nextremity Solutions Inc — None — Sold

Lmx-Ad Co-Invest LLC — Distribution — Sold (part) — Note #

Lmx-Ad Co-Invest LLC — Sold (part)

Lmx-Ad Co-Invest LLC — Sold (part)

Lmx-Ad Co-Invest LLC — Sold

Collision Funding Partners LLC — None

adTheorent Inc Convertible Promissory Note) — None — Sold

Figue Holdmgs LLC (Class B Common) — None

Jonathan Kully (Indirect Investment 71 Smith Street LLC) — None — Distributed — 5 &# KX -to Ln 457

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)

MogilityCapital Fund LP — None

OpenFin Inc (Preferred Stock) — None

Remedy Pharmaceuticals Inc — None

Tyrogenex Inc.(Ser B Convertible Preferred) — None

XCovery Holdings LLC — None

NYS Dorm 4% Due 7/1/16 — Interest — Matured

NYS Mtg Auth 1.2 % Due 4/1/16 — Interest — Matured

NYS Dorm 4% Due 7/1/17 — Interest — Sold

NYS Mig 5 % Due 11/1/16 — Interest — Sold

Batavia NY 4% Due 3/1/17 — Interest — Sold

Rochester NY Unlisted Tax 3.25% Due 2116 — Interest — Matured

NYS Muni Bd 5% Due 5/15/16 — Interest — Matured

Cardflight Inc (Preferred) — None

Fenway HTM Partners LLC — None

FunnelFire Inc (ConvPromissory Note) — None

Gam Fitness Inc{Com) — None

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

Linx RE-Co-Invest LLC — None

Limx HILP — None — Buy (add'l)

Limx HILP — Buy (add'l)

Limx HILP — Sold (part)

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

Monaco Inc(Conv. Promissory Note) — Buy (add'l)

Moolagram Inc (Ser Al Preferred ) — None

Ome Up Games LLC(Note ) — None

Romulus Capital 11 US Feeder LP — None

Storypanda Enterprises Inc(Cony Promissory Note) — None — Closed — Note #3

Tengrade Inc (Preferred) N/C Tengrade Inc (Preferred & Conv Note) — None

Linx-Grammer Co LLC — None

NYS Dorm 4% Due 5/15/17 — Interest — Sold

State of NY Dorm 5% Due 7/1/16 — Interest — Matured

Lake Placid NY § % Due 6/15/16 — Interest — Matured

West Seneca NY 4% Due 11/15/17 — Interest — Sold

NYNY Ser C 5% Due 8/1/17 — Interest — Sold (part)

NYNY Ser C 5% Due 8/1/17 — Sold

Tarrytown NY 4 % Due $/1/18 — Interest — Sold

Tailwind Capital Partners 11 LP — Note #9

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

Diamondback Drugs — None

Lomg's Drugs — Distribution — Sold (part) — Note #

Lomg's Drugs — Buy (add'l)

Colony Hardware — None

Lieberman Research Worldwide — None — Buy (add'l)

National HME — None — Buy (add'l)

Premiere Store Fixtures — Distribution — Sold (part) — Note #

TowerCo IV — None — Buy (add'l)

Cumming — None — Buy

Divessified ( N/C Distinct Holdings Group.Inc-dba Diversified) — None — Buy (add'l)

MetroGistics — None — Buy

Stratix — None — Buy — 9

Umiserv LLC — None — Closed — Note # 3

Trust#4 — Note #7

Safebulkers Inc Ser B 8 % Preferred — Int/Div

Principal Global Diversified Income Fd Cl A — Int/Div — Buy

Thomburg Income Builders C1 — Int/Div — Buy

Thormburg Global Opp Fd CI — Int/Div

Thomburg Intl Value Fd — Int/Div — Buy

Thomburg Limited Term Inc C1 1 — Int/Div — Buy

UBS Bank USA Dep Account — Interest

JP Morgan Checking — Interest

Nextremity Solutions Inc (Cony Promissory Note ) — None — Sold

EOS Healthcare Partners LLC — None

Exxon Mobil Corp{Com) — Int/Div — 7

Microsoft Corpl(Com) — Int/Div

Columbia Select Large Cap Growth FD — Int/Div — Buy

Trust# 3

Thomburg Income Builders C1 — Int/Div — Buy

Thomburg Global Opportunities Fd — Int/Div — Buy

Thomburg Intl Value Fd — Int/Div — Buy

UBS Bank USA -Depost Account — Interest

UBS AG Deposit Acount — Interest

SPC Intermex LP — None — Buy

Tailwind Capital Partners 11 (GP)LP — Note #9

Colony Hardware Corp — None

Cummings Group Inc — None — Buy

Diamondback Drugs of Delaware LLC — None

Distinet Holdings Group, Inc(dba Diversified) — None — Buy (add'l)

Long's Drugs Inc — Distribution — Sold (part) — Note #

Liecherman Research Worldwide LLC — None — Sold (part)

MetrogisticsLLC — None — Buy

National HME. Inc — None — Buy (add'l)

Premier Store Fixtures LLC — Distribution — Sold (part) — Note #

Stratix Corp — None — Buy

Towerco 2013 Holdings LLC — None

TowerCo IV Holdings LLC — None — Buy (add'l)

The Yard (Promissory Note) — Interest

RGI Partners B LP — None

Radius Networks Inc (Com) — None

Moolagram Inc (Preferred Ser A-2 ) — None

Safebulkers Ser D 8 % Preferred — Int/Div

ChartlQ LLC — None — Buy (add'l)

Transplant Genomics Ine (Convertible Note) — Interest

Transplant Genomics Inc{ Preferred A) — None

Gravitas Technology Service LLC — None

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 Europe GP LLC — None — Sold (part)

Grove Aurelis 11 GP LLC — Distribution — Buy (add'l) — Note #

GNWMC LLC — None — Sold (part)

Romulus Cohealo Special Opportunity Fund Lp — None

Invesco International Growth A (401k) — None

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

NY NY 5% Due ¥1/17 — Interest — Sold

City of NY 5% Due 1/15/19 — Interest — Sold

NY S Urban Dev 5% Due 3/15/18 — Interest — Sold

NYC NY TRans S$ % Due 11/1/19 — Interest — Sold

Met Trans Authority $ % Due 11/15/18 — Interest — Sold

NYS Dorm S % Due 2/15/17 — Interest — Sold

NY NY Unlimited Tax 5 % Due 8/1/18 — Interest — Sold

NYS Thruway Auth 4 % Due 1/1/17 — Interest — Sold

NYS Thruway 5 % Due 5/1/19 — Interest — Sold

NYS Dormatory 5 % Due 7/1/18 — Interest — Sold

NYS Dormatory § % Due 3/15/19 — Interest — Sold

Nassau County NY § % Due 10/1/19 — Interest — Sold

Rochester NY 4% Due 2/15/19 — Interest — Sold

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

Romulus ELC B23 Special Opportunity LP — None

Sommetrics. Inc (Preferred Ser B) — None

RetSKU Inc (Senior Convertible Note) — None — Buy (add'l)

Sensui Corp (Convertible Note) — None

Cycle Pharmaceuticals LTD (Ser A Shares) — None — Buy (add'l)

Free ATM Inc (Ser A Preferred) — None

Engage Simply Inc (Convertible Note) — None

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

Call Rail Investors LLC — None — Buy (add'l)

SpireCube LLC — Iistnbution — Sold (part) — Note #2

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

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

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

Lnx-Gullett Co-Invest LLC — istmbution — Sold (part) — Note #

Lnx-Gullett Co-Invest LLC — Sold (part)

Lnx-Gullett Co-Invest LLC — Sold (part)

Lnx-Gullett Co-Invest LLC — Sold (part)

Lnx-Gullett Co-Invest LLC — Sold (part)

SO Mast LLC — None

AG Team Partners LLC — Distribution — Buy (add'l) — Note #

AG Team Partuners HI LP — None

ClickDimension LLC — None — Sold

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)

Estimize Inc (Ser B Preferred) — None

Exitround Inc. (Conv Note) — None — Closed — Note # 3

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)

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)

Lnx-CPT Co Invest LLC — Interest — Buy (add'l)

Lnx-CPT Co Invest LLC — Sold (part)

Lnx-CPT Co Invest LLC — Sold (part)

Lnx-CPT Co Invest LLC — Sold (part)

Lnx-CPT Co Invest LLC — Sold (part)

Logic9S LLC (Conv Promissory Note) — None

Oxy Docs, Inc (Conv Promissory Note) — None — Buy (add'l)

Olympus Capital Asia Fd V LP — None — Buy (add'l)

Padloc Inc. (Ser A Preferred) — None

Romulus Capital 11 (US) Feeder LP — None — Buy (add'l)

Perry Lane LLC — None — Buy (add'l)

Perry Lane LLC — Buy (add'l)

Perry Lane LLC — Buy (add'l)

Slingshot Insights Inc (Cony. Promissory Note) — None

Syndicated Loan Direct Inc (Conv Promissory Note) — None

18CP Jacksonville LLC — None

TemPro Inc (Conv Promissory Note &Preferred Stock) — None — Buy (add'l)

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

NY St Dorm 4 % Due 5/1/19 — Interest — Sold

NY City NY Muni Wir 4 % Due 6/15/18 — Interest — Sold (part)

NY City NY Muni Wir 4 % Due 6/15/18 — Sold

Hempstead Town NY 5 % Due 7/1/19 — Interest — Sold

NY St Thwy Auth 5% Due 4/1/20 — Interest — Sold

NY St Dorm S% Due 7/120 — Interest — Sold

Kingston NY City Sch 4 % Due 6/15/17 — Interest — Sold

NY St Env FACS 5% Due 9/15/19 — Interest — Sold

Ithaca NY City 3 % Due 7/1/18 — Interest — Sold

Ithaca NY City 3 % Due 7/1/20 — Interest — Sold

MTA NY 5 1/4% Due 11/15/17 — Interest — Sold

MTA NY 4% Due 11/1517 — Interest — Sold

MTA 5% Due 11/15/19 — Interest — Sold

NYS Urban Dec § % Due 315/17 — Interest — Sold

NYS Dorm Auth 5 % Due 3/15/24 Prerefunded 9/1/16 — Interest — Sold

Long Island Power § % Due 12/1/17 — Interest — Sold

Long Island Power 5 % Due 9/1/20 — Interest — Sold

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

Qualys Inc — None — from line 24) — Note #26

Qualys Inc — Donated

Cempra Inc — None — from line 56) — Note #6

Cempra Inc — Donated

Highland Resort At the Peaks LLC — None

Edward Jones Retirement MM(IRA) — None

Fidelity (Cash) — Interest

Figue Holdings LLC — None

Gam Fimess Inc{Conv Note) — None — Buy

Arlington NY Cent Sch 4 "6 due 5-15-20 — Interest — Buy

Arlington NY Cent Sch 4 "6 due 5-15-20 — Sold

Dutchess County NY Loc 4 % due 7-1-20 — Interest — Buy

Dutchess County NY Loc 4 % due 7-1-20 — Sold

Erie County NY § “a due 5-1-21 — Interest — Buy

Erie County NY § “a due 5-1-21 — Sold

NYC Health & Hospital Corp 5 % Due 2.15.20 — Interest — Buy

NYC Health & Hospital Corp 5 % Due 2.15.20 — Sold

NYC NY Tr 5.25 % due 12-1-18 — Interest — Buy

NYC NY Tr 5.25 % due 12-1-18 — Sold

NYS Dorm Auth § % due 7-1-20 — Interest — Buy

NYS Dorm Auth § % due 7-1-20 — Sold

NYC NY Health Hosp § % due 2-15-20 — Interest — Buy

NYC NY Health Hosp § % due 2-15-20 — Sold

NYCNY TrS.25% due 12/1/18 — Interest — Buy

NYCNY TrS.25% due 12/1/18 — Sold

Aisling Capital IV LP — None — Buy

Aisling Capital IV LP — Buy (add'l)

Aisling Capital IV LP — Buy (add'l)

Aisling Capital IV LP — Buy (add'l)

Aisling Capital IV LP — Buy (add'l)

Aisling Capital IV LP — Buy (add'l)

Aisling Capital IV LP — Buy (add'l)

Aisling Capital IV LP — Buy (add'l)

Canal Logix LLC — None — Buy

Collision Funding Partners LLC (Note) — None — Buy

Lmx-Ehte Co Invest LLC — None — Buy

Lmx<Nebr Co Invest LLC — None — Buy

Peterson Partners VIII LP — None — Buy

Romulus Estify Sp Opportunity LP — None — Buy

Romulus Growth Cogito LP — None — Buy

Strategic Alternative Fund Group LLC — None — Buy

Parkstone Capital Partners IV Holdings LP — istmbution — Buy — Note #

Parkstone Capital Partners IV Holdings LP — Sold (part)

Linx Q Liguidating Tr — istnbution — Buy — Note #

Linx Q Liguidating Tr — Sold (part)

Linx Q Liguidating Tr — Sold (part)

Fulling Mills LLC — None — Buy

Fulling Mills LLC — Buy (add'l)

Fulling Mills LLC — Sold (part)

Ram Realty IV LP — None — Buy

Alpine-Gleenwood LP — None — Buy

BiglD Inc{Conv Note) — None — Buy

Lending Fromt Inc (Conv Note) — None — Buy

Menguin Inc (Conv Note) — None — Buy

Mine One GMBH (Ser A sh) (IRA) — None — Buy

Relationship Capital Partners Inc (Conv Notes) — None — Buy

PHRP LLC — Note #2 11

Shareablee Inc (Ser A Pref) — None — Buy

SFM Participation LLC (x) — Distribution — Sold — Note # 1,10

Skyfront Corp (Note Rec) — None — Buy

SPC Intermex LP — None — Buy

Yingo Yango Inc (Ser A Pref) — None — Buy

American Fund Cap Inc (401K) — None — Buy

RMA Gov't MM Fd — Interest — Open

RMA Gov't MM Fd — Closed

UBS Bank USA Deposit Ac — Interest — Open

Dermira Inc (Com) — None — from line 123) — Note #6

Dermira Inc (Com) — Donated

Agile Therapeutics Inc (Com) — None — from line 124) — Note #6

Agile Therapeutics Inc (Com) — Donated

Syros Inc(Com) — None — from line 125) — Note # 6

Syros Inc(Com) — Donated

Automotive Mastermmd Ine (Com) — None — Buy

UBS AG Deposit Act (IRA) — None — Open

312 Adantic Ave LLC — None — Buy

Flank 71 Smith LLC — None — from line 148) — Note = 8

Flank 71 Smith LLC — from line 185) — Note # 8

Thompson Trucking Inc(X) — Distribution — Sold — Note # 10)

Tidewather Acquisition Inc {X) — istrnibution — Sold — Note # 10

Penumbra Inc (Com) — None — from line 81) — Note #6

Penumbra Inc (Com) — from line 82) — Note #26

Penumbra Inc (Com) — Sold (part)

Penumbra Inc (Com) — Sold

Penumbra Inc (Com) — Sold (part) — Note # 5 To line 466

Penumbra Inc (Com) — Donated

Penumbra Ince (Foundation) — None — from line 464) — Note #2 6

Penumbra Ince (Foundation) — Sold

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

UBS AG Deposit Account {Foundation £1) — Interest — Open

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

Pimeo Low Duration Fund CI A{Foundation “nn — Int/Div — Buy

Virtus Low Duration Income Fd AlFoundation # 1) — Int/Div — Buy

Cyriline Morgan (Personal Note) — None — Buy

Boulder Diagnosticine (Com) — None — Buy

Boulder Diagnosticine (Com) — Closed — Note #3

Loch Lomond Golf Club(Ser OC) — Int/Div — Buy

Loch Lomond Golf Club(Ser OC) — Sold (part)

Trustee, Foundation #1

Director-Inactive, Music Bridges Internatinal Inc

Advisory Council, Ohio State University

Advisory Director, Festival Daniou

Spouse's income — 2016 — CSG Systems Inc-Director Fee

Spouse's income — 2016 — Kohl's Department Stores Inc-Director Fee

Spouse's income — 2016 — Tarlwind Capital Group-Managing Director

Spouse's income — 2006 — Safe Bulkers Inc <Director Fee

Spouse's income — 2016 — Jet Blue Airways Corp-Director Fee

Spouse's income — 2016 — Lmx Partners LLC Director Fee

Spouse's income — 2016 — Morgan Stanley-Pension Income

The Judge's JIN is & 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

same companies. The underlying assets were listed under Tailwind Capital Partners 11 LP in prior reports.

Note # 10

Explanation Section VII

Item # 439,458,459

Escrow income subject to various contingencies was received in 2016. The applicable securities were sold in prior years. The cost of the securities was zero.

Note # 11

Explanation Section VIII

Item # 437,438

The Judge's SIN created a single member LLC to hold various investments. The current investment 1s listed below the LLC on line # 438.