Carla Craig

What was filed

203
investments
2
positions
0
gifts
0
agreements
5
debts
0
reimbursements
0
income
1
spouse income

Named parties

Kidspirit Magazine
Academy of Clinical and Applied Psychoanalysis
Mt. Kellett Capital Partners II LP
RS Global Energy and Power Private Investors VI
Yeshiva University
Prospect Realty Group
1912 Huthinson LLC
Schulte Roth and Zabel LLP-partnership distribution

As filed

Citibank Checking and Money Market Accounts — Interest

J.P. Morgan Money Market Fund — Dividend

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

JPM Floating Rate Income Fund (JPHSX) — None

JP Morgan Strategic Income Opportunites Fund 3844 (JSOSX) — Dividend

iShares MSCI All Country Asia Ex Japan Index Fund (AAXJ) — Dividend

JP Morgan Intl. Value Fund (JIESX) — None

JP Morgan Tax Aware R/R Fund — Dividend

IShares MSCI EAFE Index Fund (EFA) — Dividend

JP Morgan Equity Income Fund-Select Fund (HLIEX) — Dividend

RS Global Energy Energy and Power Private Investors VI ( ) — None

Artisan Intl. Sm Mid Fd Adv (APDJX) — None — Buy (add'l)

Artisan Intl. Sm Mid Fd Adv (APDJX) — Buy (add'l)

Artisan High Income Adv (APDFX) — Dividend — Buy (add'l)

Artisan High Income Adv (APDFX) — Buy (add'l)

Artisan High Income Adv (APDFX) — Sold (part)

Artisan High Income Adv (APDFX) — Sold

Baillie Gifford Long Term Glbl Gr Eq I (BSGLX) — None — Buy (add'l)

Baillie Gifford Long Term Glbl Gr Eq I (BSGLX) — Buy (add'l)

Fidelity Advisor Health Care Fund (FIKCX) — None — Buy (add'l)

Fidelity Advisor Health Care Fund (FIKCX) — Buy (add'l)

Fidelity Money Market Account (FCASH) — Int./Div.

Fidelity Advisor Int'l Disc (FZAIX) — None — Sold

Fidelity Adv Intl Growth Z (FZAJX) — None — Buy (add'l)

Fidelity Adv Intl Growth Z (FZAJX) — Buy (add'l)

Fidelity Advisor Intl Small Cap Opp Z (FIQJX) — None — Buy (add'l)

Fidelity Advisor Intl Small Cap Opp Z (FIQJX) — Buy (add'l)

Fidelity Advisor Total Bond Z (FBKWX) — Dividend — Buy (add'l)

Fidelity Advisor Total Bond Z (FBKWX) — Buy (add'l)

Fidelity Low Priced Stock (FLPSX) — None — Buy (add'l)

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

Fidelity Low Priced Stock (FLPSX) — Sold (part)

Fidelity Low Priced Stock (FLPSX) — Sold

Fidelity Government Cash Reserves (FDRXX) — Dividend

Fidelity Tax Free Bond Fund (FTABX) — Dividend — Buy (add'l)

Fidelity Tax Free Bond Fund (FTABX) — Buy (add'l)

Fidelity Value (FDVLX) — None — Sold (part)

Fidelity Value (FDVLX) — Sold

Hartford Healthcare F (HGHFX) — None

Primecap Odyssey Aggressive Growth (POAGX) — None — Buy (add'l)

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

Primecap Odyssey Stock (POSKX) — None

Vanguard Core Bond Fund Admiral Shares (VCOBX) — Dividend — Buy

Vanguard Core Bond Fund Admiral Shares (VCOBX) — Buy (add'l)

Vanguard Dividend Growth (VDIGX) — Dividend — Buy (add'l)

Vanguard Dividend Growth (VDIGX) — Buy (add'l)

Vanguard Intermediate Term Treasury Admiral (VFIUX) — Dividend — Buy

Vanguard Intermediate Term Treasury Admiral (VFIUX) — Buy (add'l)

Vanguard Intermediate Term Treasury Admiral (VFIUX) — Sold

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

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

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

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

Vanguard Intermediate Term Investment Grade Admiral (VFIDX) — Sold

Vanguard Limited Term Tax Exempt (VMLUX) — Dividend — Buy (add'l)

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

Vanguard Limited Term Tax Exempt (VMLUX) — Sold

Vanguard Short Term Investment Grade (VFSUX) — Dividend — Buy (add'l)

Vanguard Short Term Investment Grade (VFSUX) — Buy (add'l)

Vanguard Short Term Investment Grade (VFSUX) — Sold (part)

Vanguard Short Term Investment Grade (VFSUX) — Buy (add'l)

Vanguard Short Term Investment Grade (VFSUX) — Sold

NY College Savings Program (H)

Moderate Age Based Income Option Portfolio — None

Vanguard Educational IRA(H)

Vanguard Small Cap Index Fund Investor Shares — None

Vanguard Educational IRA (H)

Vanguard Small Cap Index Fund Investor Shares — None

BlackRock CollegeAdvantage (H)

BR Growth Portfolio Option A — None

B & McG Holdings (H)

Shelter Venture Fund — None

Special Situations Technology Fund, L.P. — None

SRZ Savings Plan — None — Buy (add'l)

Fidelity Government Cash REserves — Dividend

Merck common stock — Dividend

Pfizer common stock — Dividend

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

SRZ Thrift Plan — None — Buy (add'l)

T. Rowe Price U.S. Treasury Money Market — Dividend

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

Schulte Roth & Zabel Supplemental Retirement Fund — None

American Funds Ins Ser International - Class 2 Shares — None — Sold

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

MainStay VP US Govt Money Mkt Portfolio fka Mainstay Cash Management — None

Fidelity VIP Equity Income Portfolio-Initial Class — None — Buy (add'l)

Fidelity VIP Mid Cap Portfolio-Initial Class — None — Sold (part)

Fidelity VIP Value Portfolio-Initial Class — None — Sold

Fidelity VIP International Capital Appreciation Portfolio — None — Buy

Special Situation Fund III QP, LLP — None

SRZ Group Trust — None

Castle Hook Offshore Fund, Ltd. — None — Redeemed (part)

Castle Hook Offshore Fund, Ltd. — Redeemed (part)

Citadel Kensington Global Strategies — None — Distributed (part)

Citadel Kensington Global Strategies — Distributed (part)

D.E. Shaw Composite International Fund — None — Distributed (part)

D.E. Shaw Oculus International Fund — None — Distributed (part)

Echo Street Capital Partners Ltd (QP) — None — Redeemed (part)

Ellington Private Opportunities Fund II LP — None — Buy (add'l)

Ellington Private Opportunities Fund II LP — Buy (add'l)

Ellington Private Opportunities Fund II LP — Distributed (part)

Golden Tree Offshore Fund Ltd — None

Highfields Capital IV LP — None

iShares Global Energy ETF (IXC) — None — Sold (part)

iShares Global Energy ETF (IXC) — Buy (add'l)

iShares Global Energy ETF (IXC) — Sold (part)

iShares Global Energy ETF (IXC) — Sold

iShares Global Financials ETF (IXG) — None — Sold (part)

iShares Global Financials ETF (IXG) — Buy (add'l)

iShares Global Financials ETF (IXG) — Sold (part)

iShares Global Financials ETF (IXG) — Sold

iShares Global Materials ETF (MXI) — None — Sold (part)

iShares Global Materials ETF (MXI) — Buy (add'l)

iShares Global Materials ETF (MXI) — Sold (part)

iShares Global Materials ETF (MXI) — Sold

iShares Global Consumer Stap ETF (KXI) — None — Sold (part)

iShares Global Consumer Stap ETF (KXI) — Buy (add'l)

iShares Global Consumer Stap ETF (KXI) — Sold (part)

iShares Global Consumer Stap ETF (KXI) — Sold

iShares Global Consumer Disc ETF (RXI) — None — Buy

iShares Global Consumer Disc ETF (RXI) — Sold

Kylin Offshore Fund, Ltd. — None

Kylin Offshore Long Fund Ltd. — None

Long Pond Offshore Ltd — None — Redeemed (part)

Millenium International Ltd — None — Distributed (part)

PFM Healthcare Offshore Fund — None — Redeemed (part)

PFM Healthcare Offshore Fund — Redeemed (part)

Renaissance Institutional Equities Fund LLC — None — Redeemed (part)

Sound Point Discovery Fund — None — Buy

Scopus Fund Ltd. — None — Redeemed

SQN Investors Offshore Ltd. — None — Redeemed (part)

Taiyo Fund LP — None — Redeemed (part)

The Childrens' Investment Fund — None

Two Sigma Absolute Return Macro Cayman Fund, Ltd. — None — Redeemed (part)

Vanguard Wellesley Income Fund (VWIAX) — None — Sold (part)

Vanguard Wellesley Income Fund (VWIAX) — Distributed (part)

Vanguard Wellesley Income Fund (VWIAX) — Sold (part)

Vanguard Wellesley Income Fund (VWIAX) — Buy (add'l)

JP Morgan Trust Co. of Delaware deposit account — None

AutoNation common stock — None

Akami Technology common stock — None

CollegeBound Fund (Alliance-RI) — None

CBF Appreciation Portfolio Alt-AX — None

Northwestern Mutual Whole Life Ins. Policy — None

AXA Life Insurance Policy-whole life — None

Mt. Kellett Capital Partners II LP — Distribution

Merrill Lynch Retirement Account- Blackrock Global (MDLOX) — None

Director, Kidspirit Magazine

Director, Academy of Clinical and Applied Psychoanalysis

Liability — Mt. Kellett Capital Partners II LP — Commitment to make capital contributions to investment limited partnership

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

Liability — Yeshiva University — Commitment to make tuition payments

Liability — Prospect Realty Group — Obligation to make rent payment

Liability — 1912 Huthinson LLC — Obligation to make rent payment

Spouse's income — 2020 — Schulte Roth and Zabel LLP-partnership distribution

Part VII, lines 136-196 - the SRZ Group Trust is a Revenue Ruling 81-100 Trust that pools the employee pension plan sponsored by the law firm of which my

is a member and IRAs of partners and former partners of the firm. He does not have an interest in any of the assets of the Group Trust; however, because

he is a member of the committee which oversees Group Trust's investments, I have reported the assets in the Group Trust. The SRZ Savings Plan (line 119),

the SRZ Cash Balance Plan (line 123), the SRZ Partners Pension Plan (line 126) and the SRZ Thrift Plan (line 124) are invested in the SRZ Group Trust. I have

reported "None" in Column B throughout as I am unable to provide a breakdown of the amount of income earned because the statements provided do not disclose

the income earned for each of the individual assets held in the Group Trust.

Part VII, Lines 127-134 - the SRZ Supplemental Retirement Fund is a retirement fund in which my has an interest. Because he directs the investments

for his share of the fund, I have reported the assets in which his interest is invested. I have reported "none" in column B because the statements provided to not

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