Lee Hyman Rosenthal

Big Sandy, TX ISD, 5.0% due 02/15/2039 — Interest — Sold

Butler Cnty, PA Hosp Auth, 7.250% due 07/01/2039 — Interest — Sold

Conroe TX ISD 4.0% due 02/15/2021 — None — Buy

Dallas Cnty, TX Hosp Dist Ref, 5.0% due 08/15/2020 — None — Buy

Dauphin Cnty, PA Auth HlthSys, 6.0% due 06/01/2029 — Interest — Sold

Grapevine-Colleyville ISD 0.00% due 8/15/23 — None

Harris Cty, TX, 5.00% due 10/1/19 — Interest — Matured

HBR Point CT Infrastructure, 7.875% due 04/01/39 — Interest

IL Fin Auth Silver Cross Med Ctrs, 7%, due 8/15/2044 — Interest — Sold

IL St Fin Auth Rev Il Rush Univ Med, 6.625% due 11/01/39 — Interest — Sold

La Vernia, TX Hgr Edu Fin, 7.250% due 08/15/2031 — Interest — Sold

Leander, TX ISD 0.00% due 8/15/21 — None — Sold

Lewisville, TX ISD 0.00% due 8/15/21 — None

Lufkin, TX Hlth Facs Dev, Memorial Hlth, 6.25% due 02/15/2037 — Interest — Sold

NJ St Eductnl Facs Auth Rev, 6.25% due 07/01/2037 — Interest — Sold

NY MTA 4.0% due 02/03/2020 — None — Buy

OH St Hosp Fac Rev, Cleveland Clinic, 5.5% due 01/01/2039 — Interest — Sold

Richmond Co, GA Dev 6.375% due 12/01/21 — None

St of Washington BO 0.00% due 12/01/21 — None

Suffolk Cnty, NY TRANS, 5.0% due 7/24/2019 — Interest — Sold

TX St Ref-Wtr Finl Assistance, 5.0%, due 08/01/20 — Interest — Buy

Texas St Trans, 4.0% due 8/27/20 — None — Buy

Texas St Trans, 4.0% due 8/30/20 (maturity date s/b 8/29/19) — Interest — Sold

University TX Univ 5.25% due 7/1/21 — Interest

WA St Ser F Mtr Veh Tax, 0.00% due 10/10/2021 — None — Buy

WI St Hlth & Eductnl Facs Auth Rev, 6.625% due 02/15/2039 — Interest — Sold

JPM Chase - Checking — Interest

HSA Bank — Interest

Ally Bank — Interest

Altitude Ventures Texas, LP (1) — None — Buy (add'l)

Altitude Ventures Texas, LP (1) — Buy (add'l)

American Express Bank, FSB — Interest

AIF V Private Investors LLC (1) — None

AIF VI Private Investors LLC (1) — None — Distributed (part)

AIF VI Private Investors LLC (1) — Distributed (part)

AIF VII Private Investors LLC (1) — None — Buy (add'l)

AIF VII Private Investors LLC (1) — Distributed (part)

AIF VII Private Investors LLC (1) — Distributed (part)

APAX Europe VII Private Investors, LLC (1) — None — Distributed (part)

APAX Europe VII Private Investors, LLC (1) — Distributed (part)

Atlantic Trust Company, N.A. — Dividend

Barclays Bank — Interest

Bepoken (9) — None

BRKB-Common — None — Donated (part)

Black Stone Minerals, LP common units — Distribution

Black Stone Minerals, LP sub units — Distribution — Merged (with line 45)

Black Stone Minerals, LP sub units — Dividend — Buy

Black Stone Minerals, LP sub units — Sold (part)

Restricted Stock (7)

CADE-Common — Dividend — Buy — Distribution from Line 152

Carlyle Asia Partners II (1) — None

CAP IV Private Investors, LLC (1) — None — Distributed (part)

CAP IV Private Investors, LLC (1) — Distributed (part)

CAP IV Private Investors, LLC (1) — Buy (add'l)

CAP IV Private Investors, LLC (1) — Distributed (part)

CAP IV Private Investors, LLC (1) — Distributed (part)

CAP IV Private Investors, LLC (1) — Buy (add'l)

CAP V Private Investors, LLC (1) — None — Buy (add'l)

CAP V Private Investors, LLC (1) — Buy (add'l)

CAP V Private Investors, LLC (1) — Buy (add'l)

Carlyle Japan International Partners II, L.P. (1) — None — Distributed (part)

CIT Bank — Interest

CJIP II Limited, L.P. (1) — None

CD&R Fund IX Private Investors, LLC (1) — None — Distributed (part)

CD&R Fund IX Private Investors, LLC (1) — Buy (add'l)

CD&R Fund IX Private Investors, LLC (1) — Buy (add'l)

CD&R Fund IX Private Investors, LLC (1) — Distributed (part)

CD&R Fund X, LP (1) — None — Distributed (part)

CD&R Fund X, LP (1) — Buy (add'l)

CD&R Fund X, LP (1) — Buy (add'l)

CD&R Fund X, LP (1) — Distributed (part)

CD&R Fund X, LP (1) — Buy (add'l)

Coatue Early Stage Fund LP (1) — None — Buy

Coatue Early Stage Fund LP (1) — Buy (add'l)

Coatue Early Stage Fund LP (1) — Buy (add'l)

Consumer Staples Select Sector SPDR-ETF — Dividend — Donated (part)

Continuum Energy — None — Distributed (part)

Continuum Energy — Distributed

Common — None

Cyber Innovation Partners II, LP (1) — None — Buy

Cyber Innovation Partners II, LP (1) — Buy (add'l)

Cyber Innovation Partners II, LP (1) — Buy (add'l)

Discover Bank — Interest

Emerald Marina Bay (1) — None — Distributed

Encino Energy, LLC (1) — None — Distributed (part)

Energy Capital Investors Fund, LLC (1) — None — Distributed (part)

Energy Capital Investors Fund, LLC (1) — Distributed (part)

Family Alignment: FA YPS LLC (1) — None — Distributed (part)

Family Alignment: FA SPR LLC (1) — None

Family Alignment: FA ASL LLC (1) — None — Distributed (part)

Family Alignment: FA ASL LLC (1) — Distributed (part)

Family Alignment: FA Trilliant LLC (1) — None

Family Alignment: FA Pipeline LLC (1) — None — Buy

Family Alignment: FA Celtic LLC (1) — None — Buy

Family Alignment: FA Sanara LLC (1) — None — Buy

FDC Group McKinney, Ltd., Houston (1) (12) — Rent

FDC Group Crawford, Ltd. (1) — None

FDC Group Dunlavy, Ltd. (1) — None

FDC Group Wilcrest, Ltd., Houston (1)(12) — Rent

FDC Group Yorktown, Ltd. (1) — None

FDC Group Waugh, Ltd., Houston (1)(12) — Rent

Finger-Roxboro, Ltd., Atlanta (1)(12) — Rent

Finger-VOTL, Ltd., Harris County (1)(12) — Rent

FET-Common — None — Buy — Distribution from line 162

FET-Common — Buy (add'l) — Distribution from line 167

FET-Common — Buy (add'l) — Distribution from line 162

FET-Common — Buy (add'l) — Distribution from line 167

Goldman Sachs Bank — Interest

Mt. Kellett (1) — None — Distributed (part)

Mt. Kellett (1) — Distributed (part)

Mt. Kellett II (1) — None — Distributed (part)

Mt. Kellett II (1) — Distributed (part)

GHR Healthcare, LLC — None — Buy (add'l)

GHR Healthcare, LLC — Buy (add'l)

Great Northern Midstream, LLC (1) Y — None

Ishares Core High Dividend-ETF — Dividend — Donated (part)

(1) — None — Buy (add'l)

(1) — Buy (add'l)

HydroEx Acquistion, LLC (1)(a) — None

Ishares US Consumer Goods-ETF — Dividend — Donated (part)

JP Morgan Chase Investment Account - Cash — Dividend

KKR 2006 Private Investors, LLC (1) — None — Buy (add'l)

KKR 2006 Private Investors, LLC (1) — Distributed (part)

KKR 2006 Private Investors, LLC (1) — Distributed (part)

KKR 2006 Private Investors, LLC (1) — Distributed (part)

KKR 2006 Private Investors, LLC (1) — Distributed (part)

KKR 2006 Private Investors, LLC (1) — Distributed (part)

KKR 2006 Private Investors, LLC (1) — Distributed (part)

KKR Americas XII Private Investors (1) — None — Buy (add'l)

KKR Americas XII Private Investors (1) — Buy (add'l)

KKR Americas XII Private Investors (1) — Buy (add'l)

KKR Americas XII Private Investors (1) — Buy (add'l)

KMI-Common — Dividend

Merrill Lynch (CMA) — Interest

Milton Meisler Holdings LLC — None

Milton ZXP Holdings — None

NITYA - BCH Investors LLC, Harris County (1)(12) — Rent — Sold (part)

NITYA - BCH Investors LLC, Harris County (1)(12) — Sold

NITYA - Legacy at Westchase Investors, LLC, Houston (1)(12) — Rent

NITYA - D2 Properties, LLC, Dallas (1)(12) — Rent

NITYA - Sierra Park Investors, LLC, Dallas (1)(12) — Rent

NITYA - TEAI LLC, Houston (1)(12) — Rent

NITYA - Saah Investors, Houston (1)(12) — Rent

NITYA - A2 Apartment Investors, Austin — Rent

Oaktree Capital Group LLC — Distribution — Sold (part)

Oaktree Capital Group LLC — Sold

Common — None — Sold

MGI Pearl Midtown, LLC, Houston (1)(12) — Rent

MGI Pearl CityCenter, LLC, Houston (1) (12) — Rent

MGI Pearl Midtown Residences, Ltd, Houston (1) — None

MGI 21Eleven Investors, LP, Houston (1) (12) — Rent

Platform Partners, LLC (1) — None — Distributed (part) — Distributed to Line 50

Platform Partners, LLC (1) — Distributed (part)

Platform Partners Capital LLC (1) — None — Buy

RDS A-ADR — Dividend

RDS/B-ADR — Dividend

Renasant-Common — Dividend — Sold (part)

Renasant-Common — Sold (part)

Renasant-Common — Donated

Roku-Common — None — Donated

Roku-Common — Buy

SCF-V, L.P. (1) — None — Buy (add'l)

SCF-V, L.P. (1) — Buy (add'l)

SCF-V, L.P. (1) — Buy (add'l)

SCF-V, L.P. (1) — Distributed (part) — Distributed to Line 104

SCF-V, L.P. (1) — Distributed (part) — Distributed to Line 104

SCF-VI, L.P. (1) — None — Buy (add'l)

SCF-VI, L.P. (1) — Buy (add'l)

SCF-VI, L.P. (1) — Buy (add'l)

SCF-VI, L.P. (1) — Distributed (part) — Distributed to Line 104

SCF-VI, L.P. (1) — Distributed (part) — Distributed to Line 104

SCF-VII, L.P. (1) — None — Buy (add'l)

SCF-VII, L.P. (1) — Buy (add'l)

SCF-VII, L.P. (1) — Buy (add'l)

SCF-VII, L.P. (1) — Buy (add'l)

SCF-VII(a), L.P. (1) — None — Buy (add'l)

SCF-VII(a), L.P. (1) — Buy (add'l)

SCF-VII(a), L.P. (1) — Buy (add'l)

SCF-VII(a), L.P. (1) — Buy (add'l)

SCF-VII(AIV), L.P. (1) — None

SCF-VIII, L.P (1) — None — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII(AIV), L.P. (1) — None

SCF-IX, LP (1) — None — Buy (add'l)

SCF-IX, LP (1) — Buy (add'l)

SCF-IX, LP (1) — Buy (add'l)

SCF-IX, LP (1) — Buy (add'l)

SCF-IX, LP (1) — Buy (add'l)

SCF-IX, LP (1) — Buy (add'l)

SCF-IX, LP (1) — Buy (add'l)

SCF-IX, LP (1) — Buy (add'l)

SCF-IX, LP (1) — Buy (add'l)

SRE Properties, LP, Houston (1)(12) — Rent

Surefire Social-Convertible Pfd — None

Synchrony Bank — Interest

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed

(1) — None — Distributed

211 (1) — None — Buy (add'l)

211 (1) — Distributed

(1) — None — Buy (add'l)

(1) — Distributed

(1) — None — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Distributed (part)

(1) — None

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(11) H

(11) H — Buy (add'l)

(11) H — Buy (add'l)

(11) H — Buy

(11) H — Buy (add'l)

(11) H — Buy (add'l)

(11) H — Sold (part)

JP Morgan Chase-Checking — None

JP Morgan Chase-Checking-S — None

Vanguard Municipal Money Market — Dividend

Vanguard Large Cap Index Fund Adm — Dividend — Donated (part)

Vanguard Tax-Managed Cap Appreciation- Mutual Fund — Dividend

Vanguard 500 Index-Mutual Fund — Dividend — Buy (add'l)

Vanguard 500 Index-Mutual Fund — Buy (add'l)

Vanguard 500 Index-Mutual Fund — Buy (add'l)

Vanguard 500 Index-Mutual Fund — Buy (add'l)

Vanguard 500 Index-Mutual Fund — Donated (part)

Vanguard Federal M/M — Dividend

Vanguard Information Technology Index Admiral Fund — Dividend

Vanguard Dividend Appreciation ETF (10) — Dividend

VETIQ Staffing LLC (1) — None

WLR Recovery IV Investors, LLC (1) — None — Distributed (part)

WRK-Common — Dividend — Buy

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

Xapp Media (9) — None

ZoChem (formerly known as Zinc Oxide- SeriesA) (1) — None — Distributed (part)

ZoChem (formerly known as Zinc Oxide- SeriesA) (1) — Distributed (part)

ZoChem (formerly known as Zinc Oxide- SeriesA) (1) — Buy (add'l)

ZoChem (formerly known as Zinc Oxide- SeriesA) (1) — Distributed (part)

ZoChem (formerly known as Zinc Oxide- SeriesA) (1) — Distributed (part)

Certain LLC 1/18 (1) — None

Certain Limited Partners 1/39 (1) — None

Certain Limited Partners 2/54 H

Elliott Associates, L.P. (1) — None

Elliott Co-Investment A-1, L.P. (1) — None — Buy

Elliott Co-Investment A-2, L.P. (1) — None — Buy

Elliott Co-Investment A-3, L.P. (1) — None — Buy

Elliott Co-Investment A-4, L.P. (1) — None — Buy

West Cam, L.P. (1) — None

MP GEO, LLC (1) — None — Distributed (part)

Midland Basin GEO, LLC (1) — None — Distributed (part)

Gamma Geo (1) — None — Distributed (part)

Gamma Geo (1) — Distributed (part)

Gamma Geo (1) — Distributed (part)

Gamma Geo (1) — Distributed (part)

Gamma Geo (1) — Distributed (part)

Gamma Geo (1) — Distributed (part)

Gamma Geo (1) — Distributed (part)

Gamma Geo (1) — Distributed (part)

Gamma Geo (1) — Distributed (part)

Gamma Geo (1) — Distributed (part)

Flex Waz (1) — None — Distributed (part)

Flex Waz (1) — Distributed (part)

Certain LLC 2/54 (1% owner in 2/54LP) (1) — None

IRA #1 H

Vanguard Admiral Fund Treasury M/M - Mutual Fund — Dividend

Vanguard Prime M/M - Mutual Fund — Dividend

Vanguard 500 Index Fund — Dividend

Vanguard S&P 500 Index ETF — Dividend

Vanguard Federal Money Market Fund — Dividend

IRA #2 H

IShares Core High Dividend - ETF — Dividend

KMI - Common Stock — Dividend — Sold

Oaktree - Units — Distribution — Sold (part)

Oaktree - Units — Sold

RDSB - ADR — Dividend — Sold

Vanguard 500 Index Fund — Dividend — Distributed (part)

Vanguard 500 Index Fund — Distributed (part)

Vanguard 500 Index Fund — Buy (add'l)

Vanguard S&P 500 Index ETF — Dividend — Buy (add'l)

Vanguard Federal Money Market Fund — Dividend

WRK-Common — Dividend — Buy

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

WRK-Common — Buy (add'l)

#2 Trust (R8) H

Merrill Lynch Reserves — Interest

IShares US Consumer Goods - ETF — Dividend

Vanguard Tax-Managed Capital Appreciation - Mutual Fund — Dividend

Vanguard Admiral Fund Treasury - Mutual Fund — Dividend

Vanguard Muncipal M/M - Mutual Fund — Dividend

Vanguard Federal M/M - Mutual Fund — Dividend

Certain Limited Partners 2/54 H

Elliott Associates, L.P. (1) — None

MEMBER, EXECUTIVE COMMITTEE, COUNCIL, VICE PRESIDENT, AMERICAN LAW INSTITUTE

MEMBER, BOARD OF TRUSTEES AND EXECUTIVE COMMITTEE, BAYLOR COLLEGE OF MEDICINE

Reimbursement — THE AMERICAN LAW INSTITUTE — JANUARY 16-19, 2019 — PHILADELPHIA, PA — ALI EXECUTIVE MEETING AND COUNCIL MEETING — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — MARQUETTE LAW SCHOOL — MARCH 4-6, 2019 — MILWAUKEE, WI — ANNUAL E. HAROLD HALLOWS LECTURE — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — STANFORD LAW SCHOOL — APRIL 3-6, 2019 — STANFORD, CA — CODEX FUTURE LAW 2019 CONFERENCE- STANFORD LAW SCHOOL ROUNDTABLE DISCUSSION — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — DUKE LAW SCHOOL — MAY 23-24, 2019 — DURHAM, NC — DUKE LAW'S MASTER OF JUDICIAL STUDIES PROGRAM TECAHING JUDGES' SEMINAR — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — DUKE LAW SCHOOL — MAY 30-31, 2019 — DURHAM, NC — DUKE LAW'S MASTER OF JUDICIAL STUDIES PROGRAM TECAHING JUDGES' SEMINAR — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — DUKE LAW SCHOOL — JUNE 6-7, 2019 — DURHAM, NC — DUKE LAW'S MASTER OF JUDICIAL STUDIES PROGRAM TECAHING JUDGES' SEMINAR — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — DUKE LAW SCHOOL — JUNE 13-14, 2019 — DURHAM, NC — DUKE LAW'S MASTER OF JUDICIAL STUDIES PROGRAM TECAHING JUDGES' SEMINAR — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — DUKE LAW SCHOOL — JUNE 29-21, 2019 — ARLINGTON, VA — DUKE LAW PROPORTIONALITY CONFERENCE — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — VANDERBILT LAW SCHOOL — AUGUST 22-24, 2019 — NASHVILLE, TN — INTERNATIONAL CLASS ACTIONS CONFERENCE — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — AMERICAN ACADEMY OF ARTS AND SCIENCES — OCTOBER 10-12, 2019 — CAMBRIDGE, MA — LOCAL PROGRAM COMMITTEE MEETING — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — THE AMERICAN LAW INSTITUTE — OCTOBER 15-18, 2019 — NEW YORK, NY — ALI EXECUTIVE COMMITTEE AND COUNCIL MEETING — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — NATIONAL CONFERENCE OF BAR EXAMINERS — OCTOBER 24-26, 2019 — BOSTON, MA — CIVIL PROCEDURE DRAFTING COMMITTEE MEETING — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — BOLCH JUDICIAL INSTITUTE - DUKE LAW — NOVEMBER 7-8, 2019 — DURHAM, NC — CIVIL RULES PLANNING CONFERENCE — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Reimbursement — THE AMERICAN LAW INSTITUTE — NOVEMBER 14-16, 2019 — PHILADELPHIA, PA — ADVISERS AND MEMBERS CONSULTATIVE GROUP MEETING — AIRFARE, GROUND TRANSPORTATION, HOTEL, MEALS

Income — 2019 — NATIONAL BOARD OF BAR EXAMINERS, WRITING — $7,000.00

Income — 2019 — JURIS PUBLISHING — $638.63

Spouse's income — 2019 — AND RELATED ENTITIES: PARTNER DISTRIBUTION

Spouse's income — 2019 — : DIRECTOR'S FEES

1) Private entities including private company investment partnerships. For private entities, valuation is based on net book value. For such entities, valuation

(Column C(2)) is based on capital account as set forth on form K-1 and income and gain is included (to the extent distributed) in cash paid or received (as

described below) under Column D(3) and not in Column B and/or Column D(4). entities' values in Column D(2) are listed as of year-end

notwithstanding when distribution was made.

(a) In connection with Footnote (1) private company investment partnerships, in absence of receipt of K-1 by filer by filing date, no information is provided as to

gross value in Column C(2).

(2) Purchase and sale price of regular interest paying bonds excludes accrued interest. Interest income on regular interest paying bonds excludes accrued interest

bought or sold. Gain indicated on redeemed bonds represents only the redemption amount (and premium, if any) in excess of principal amount. Bond premium or

discount at purchase is assumed to be fully amortized for purposes of calculating gain or loss on sale, redemption or maturity on regular interest paying bonds, and

such amortization does not affect interest reported annually.

(3) No interest income is included in Interest Income Column B(1) on zero coupon bonds. Total to date accreted interest for zero coupon bonds is included in

Value Column C(1). On maturity of zero coupon bonds, total accreted interest is included in Value Column D(3). On maturity, redemption, or sale of zero

coupon bonds, Value Column D(3) is the maturity value, redemption price, or sales price and Gain Column D(4) reflects the difference between the maturity

value, redemption price, or sales price and the original cost.

(4) All mutual fund reinvested dividends, interest and capital gains are not separately shown as new purchases, but are included in the end of period (ColumnC(2))

values. All unreinvested distributions from mutual funds (dividends, interest and capital gains) are included in Column B(1). Money market mutual funds set

forth aggregate dividend/interest paid for year and end of year value only.

(5) Municipal and U.S. Treasury bond values reflected in Value Column C(2) are based on market value.

(6) No transaction value or gain or loss is reported on non-taxable exchanges of one security for another or spin-offs of securities or stock dividends. If publicly

traded, the value as of the date of the transaction when such security is received is reflected in Column C(1) Gross Value. In instances noted in first sentence, any

gain is reported only when the new security is sold.

(7) Restricted stock is not valued during restriction period. After restrictions lapse, restricted stock is reflected as owned shares. A "buy" transaction is reflected in

Section (D) with the date and value of the vested stock.

(8) Oil and Gas interests – value not known to filer.

(9) Private company – value not known to filer.

(10) Inadvertently omitted in prior year report.

(11) Amounts for each portfolio company are aggregated values for the direct ownership of each entity as well as indirectly through other entities

and are shown in Column C(2). Column D(3) reflects cash paid or received for each Portfolio Company. Income and gain is included (to the

extent distributed) in this value.

(12) Represents a limited partnership or LLC investment in a real estate project or projects. All income noted in Column B(1) is effectively net rental income.