Patricia A. Sullivan

MFS Investment Management (Educational Funds)

MFS Growth Allocation Fund B (MBGWX) — Dividend

US Treasury EE Bonds — Interest

Northwest Mutual Life Policy "Adjustable CompLife" — Dividend

Minnesota Variable Group Universal Life Insurance Policy

Janus Aspen Forty — Int./Div.

SFT "Pyramis" CEQ1 (X) — Int./Div.

Ivy VIP Value — Int./Div.

FID VIP Equity Income — Int./Div.

Janus Aspen OVES SS — Int./Div.

Membership in — Distribution

Santander Account — Interest

Santander Account — Interest

Santander Money Market Account — Interest

Schwab Account (IRA)

Schwab Govt Money Fund (SWGXX) — Interest

Brardes Intl Small Cap (BISMX) — Dividend — Buy

Western Asset Macro Opportunities (LAOIX) — Dividend

Invesco Global Market Neutral (MKNYX) — Dividend

Charles Schwab Bank account — Interest

Fidelity Floating Rate HI INCM (FFRHX) — Dividend

First Eagle High Yield FD A (FEHAX) — Dividend

Flexshares ETF IBoxx 3 Yr TRGT (TSTT) — Dividend — Sold (part)

Flexshares ETF IBoxx 3 Yr TRGT (TSTT) — Sold

Invesco Conv Securities FD CL (CNSAX) — Dividend

Pimco 0-5 High Yield Corp B (HYS) — Dividend

Putnam Absolute Return 300 FD (PYTRX) — Dividend — Sold

Fidelity ADV Emerging Mkts Inc (FMKAX) — Dividend

SPDR INTL Government TIPS ETF (WIP) — Dividend

Templeton Global Bond Fund (TGBAX) — Dividend

First Eagle US Value Fund CL (FEVAX) — Dividend — Buy (add'l)

Goldman Sachs Small Mid Cap (GSMYX) — Dividend

Powershares S&P ETF 500 Low VO (SPLV) — Dividend

Western Core Plus Bond (WACPX) — Dividend — Buy

Western Core Plus Bond (WACPX) — Buy (add'l)

Putnam Capital Spectrum FD CL (PVSAX) — Dividend — Sold (part)

Royce Special Equity FD Invest (RYSEX) — Dividend

Invesco All Cap Market Neutral (CPNYX) — Dividend

Schwab S&P 500 Selct Shs (SWPPX) — Dividend

First Eagle Overseas (SGOVX) — Dividend

Ishares MSCI ETF Emerging MKTS (EEMV) — Dividend

Powershares ETF S&P INTL (IDLV) — Dividend

SCHW Intl SCAP ETF (SCHC) — Dividend

SPDR DJ Wilshire Intl Real Est (RWX) — Dividend

SPDR DJ Wilshire REIT (RWR) — Dividend

DFA INTL Small Cap Value (DISVX) — Dividend — Sold

Lord Abbett Inflation Focused FD (LIFIX) — Dividend — Sold

Loomis Sayles Senior Flting Rate & Fixed (LSFYX) — Dividend

Putnam Capital Spectrum FD CL Y (PVSYX) — Dividend

Hartford Global Bond (HWDYX) — Dividend

Schwab Account

Schwab Govt Money Fund — Int./Div.

First Eagle US Value (FEVAX) — Dividend — Buy (add'l)

Fidelity ADV Emerging Mar (FMKAX) — Dividend

IShares MSCI (EEMV) — Dividend

DFA INTL Small Cap (DISVX) — Dividend — Sold

First Eagle Overseas (SGOVX) — Dividend

SPDR Nuveen Barclays (SHM) — Dividend

Schwab S&P 500 Select (SWPPX) — Dividend

Templeton Global Bond Fund (TGBAX) — Dividend

SPDR INTL Government (WIP) — Dividend

MKT Vectors ETF (HYD) — Dividend

Goldman Sachs Small Mid Cap (GSMYX) — Dividend

Lord Abbett Inflation (LIFIX) — Dividend — Sold (part)

Loomis Sayles Senior (LSFYX) — Dividend

Putnam Capital Spectrum (PVSYX) — Dividend

SPDR DJ Wilshire REIT (RWR) — Dividend

JP Morgan Tax Aware Income Opp (JTASX) — Dividend

Vanguard Interm Term Tax Exempt (VWIUX) — Dividend — Sold (part)

Western Asset Macro Opportunities (LAOIX) — Dividend

Invesco All Cap Market Neutral (CPNYX) — Dividend

EAton Vance Muni Oppty (EMOIX) — Dividend — Buy

EAton Vance Muni Oppty (EMOIX) — Buy (add'l)

Member, Board of Directors of Roger Williams University School of Law

Manager and Member

Director, Rhode Island Bar Foundation

Director, Rhode Island Chapter of Federal Bar Association

Adjunct Professor, Roger Williams University School of Law

Spouse's income — 2016 — Citizens Bank (pension)

Spouse's income — 2016 — Bank of America (pension)

Part I:

Line 3: Please see the letter from the Committee on Codes of Conduct that I have filed in connection with prior annual financial disclosure reports.

Part VII:

Line 5-11: This life insurance policy provides me with quarterly reports that show the cash value for the policy, the investment gain/loss for the policy and the

"unit value" and "units held" in each "account" listed on Lines 6-11. Each of the five accounts is 20% of the total. The statements provide no information about

the income earned in each account. I have reported the income for the policy based on the total "investment gain/loss" as it appears in the year-end statement. The

income for the underlying accounts is an estimate based on 20% of the total.

Line 11: The asset listed on Line 11 is membership in an entity that has never made a distribution to its members.

I use an estimate of the value of this use as"income."

Lines 12, 13, 13: I have reported these three bank accounts as the "Sovereign" accounts, as that was the name of the bank with which I was most familiar. In fact,

that bank changed its name to "Santander" several years ago. To be more accurate, I have changed the names used to refer to the three accounts on this report. In

substance, nothing has changed from the prior reports.

Line 15: This IRA is actually two accounts, one in my name and one in name, managed by the same person at Schwab.

Line 43: This entry was inadvertently omitted by apparent typographical error from the current (2016) report. It is inserted in the amended report.