Colleen McMahon

Trust #4 — Note #7

Stratix Corp — None

Ltd. Term Muni. Fd Nat'l — Int/Div — Sold (part)

Thornberg Value Fund Class A Mut Fd (IRA) N/C Thornburg Small/MidC — Int/Div

MSCP I L.P. — None

1998 300,0000) — None

I (1998 300,000) — None

Phoenix Life Ins (Trust # 1) (Whole Life Policy) — Int/Div

Northwestem Mututal Life (Trust#1) (Whole Life Policy) — Int/Div

Northwestem Mututal Life(Trust #1) (Whole Life Policy) — Int/Div

CSG Systems International Inc.Com — Int/Div — Buy (add'l)

CSG Systems International Inc.Com — Sold (part) — Note # 5- To line 413

Summit Mariner, LLC — None

Summit Mariner LLC/JP Morgan Checking — None

Rental # 1 /JPMorgan Checking N/C JP Morgan Checking — None — Note # 12

Rental #7 055 jiqqgggy'(1999 S 900,000) — Rent — Sold

Rental # 2/JP Morgan -Checking — Interest

JP Morgan(Checking). — None

Vacant Land (NNN (1999 S 425.000) — None — Sold

Golf Partners LLC — None

JP Morgan (Checking) — Interest

JP Morgan Checking(Foundation #1) — Interest

Kinderhook Capital I LP — Distribution — Note # 1

JP Morgan Tax Free MM Premier Sweep — Interest

Menemsha Captial Partners Ltd — None — Note # 2

Micell Technologies Inc.(Com) — None

Linx Partners I] LP — None — Sold (part)

SFM Participation II LP — None — Sold (part)

SFM Participation II LP — Sold (part)

SFM Participation II LP — Sold (part)

Thornburg Core Growth Cl A (IRA) — Int/Div

Jetblue (Com) — None — Buy (add'l)

Jetblue (Com) — Sold (part)

Jetblue (Com) — Sold (part) — Note # 5-To line 41S

Aisling Capital IT LP — None

JK &BCapital V LP — None

SEEFIILP — Distribution — Note # 1

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

Towerbrook Investors II Executive Fund LP — Sold

Towerbrook Investors II Executive Fund LP — Distributed — Note # 13-To line 408

Trident V1 LP — None — Sold (part)

Kinderhook Capital Fund II LP — None

Kohls Corp (Com). — Int/Div — Buy (add'l)

KPB Partners LP — None

Thornburg-Income Builder Cl 1 — Int/Div

Thornburg Global Opportunity Cl 1 — Int/Div

Thornburg CRE GWT (IRA) N/C Thornburg Small/Midcap GF — Int/Div

Ironwood Management Partners Fund II LP — None — Sold (part)

Ironwood Management Partners Fund II LP — Sold (part)

RGI Partners II B LP — Distribution — Note # 1

RGI Partners Ltd — Distribution — Sold (part) — Note #

RGI Partners Ltd — Sold (part)

Tailwind Capital Partners LP — Note #4

Apex Companies LLC — Distribution — Sold — Note # 1

Oceus Networks, Inc — None — Buy (add'l)

Oceus Networks, Inc — Closed — Note # 11]

Optimal Solutions Intergration Inc — Distribution — Note # 1

Cumberland Consulting Group,LLC — Distribution — Note #

Tailwind Management LP — Distribution — Sold (part) — Note # 1

Tailwind Capital Partners (GP) LP — Note #4

Apex Companies LLC — Distribution — Note # 1

Oceus Networks Inc. — None — Buy (add'l)

Oceus Networks Inc. — Closed — Note # 1]

Optimal — Distribution — Note #1

Cumberland Consulting Group LLC — Distribution — Note # 1

Safe Bulkers Inc(Com) — None — Buy (add'l)

Safe Bulkers Inc(Com) — Buy (add'l)

Safe Bulkers Inc(Com) — Buy (add'l)

Safe Bulkers Inc(Com) — Buy (add'l)

Asling Investors II] LP — Distribution — Sold (part) — Note #

Asling Investors II] LP — Sold (part)

Eastern Growth Capital II LP — Distribution — Sold (part) — Note # 1

Eastern Growth Capital II LP(IRA) — Distribution — Sold (part) — Note #1 & 14

Linx-Metaltech Co Investment LLC — None — Sold (part)

Linx-Metaltech Co Investment LLC — Sold

Olympus Capital Asia IV LP — None

Safe Bulkers Inc (Com)(IRA) — None

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

First Republic Bank (Checking) — Interest — Closed

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

Kinderhook Capital Fund III LP — Sold (part)

Kinderhook Capital Fund III LP — Sold

Rapid Ratings International Inc (Com) — None

Parkstone Capital Partners LLC — None

UBS Bank USA Dep MM (IRA) — Interest

Tailwind Capital Group LLC — None

CSL Energy Opportunity Fd I LP — None

Parkstone Capital Partners II LP — None

Highland Investment Group ELC — Distribution — Sold (part) — Note # 1

Artiman Venture Fund LP — None

EHP Ventures LLC — Distribution — Note # 1

Collision Funding Partners LLC — None

Figue Holdings LLC (Class B Common) — Distribution — Sold — Note # 1

JustFamily.Com,Inc(.Preferred Stock) — None

Kenesto Corp (Preferred C) — None

MogilityCapital Fund LP — None — Sold (part)

OpenFin Inc.(Preferred Stock) — None

Remedy Pharmaceuticals Inc — Int/Div — Sold (part)

Cardflight Inc (Preferred) — Interest — Sold (part)

Gain Fitness Inc(Com) — None

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

Linx RE-Co-Invest LLC — None

Linx III LP — Distribution — Buy (add'l) — Note # 1

Linx III LP — Sold (part)

Monaco Inc(Conv. Promissory Note) N/C Topia Ltd Ser D — None

Romulus Capital IT US Feeder LP — None

Linx-Grammer Co LLC — Distribution — Sold (part) — Note #

Linx-Grammer Co LLC — Sold (part)

Linx-Grammer Co LLC — Sold (part)

Tailwind Capital Partners II LP — Note #8

Diamondback Drugs of Delaware LLC — None

Long's Drugs Inc — Distribution — Sold (part) — Note # 1

Long's Drugs Inc — Sold (part)

Colony Hardware Corp — Distribution — Sold (part) — Note # 1

Colony Hardware Corp — Buy (add'l)

Lieberman Research Worldwide LLC/ (N/ C) Material — Distribution — Sold (part) — Note #

Lieberman Research Worldwide LLC/ (N/ C) Material — Sold (part)

TowerCo IV Holdings LLC — None — Sold (part)

TowerCo IV Holdings LLC — Sold

Cumming Group LLC — Distribution — Sold (part) — Note # 1

Distinct Holdings Group, Inc (-dba Diversified ) — None

MetroGistics N/C Acertus — None

Stratix Corp — None

AST Corporation — None

DermaRite Industires LLC — None

Edenbridge Pharmceuticals LLC — None

HMT Holdings Inc — Distribution — Sold (part) — Note # 1

TW Lone Peak Master LLC — Distribution — Sold (part) — Note # 1

Principal Global Diversified Income Fd Cl A — None — Sold

Thornburg Income Builders Cl — Int/Div

Thornburg Global Opp Fd C1 1 — Int/Div — Sold (part)

Thornburg Int! Value Fd (N/C) Thornburg Intl Equity FD — Int/Div

Thornburg Limited Term Inc Cl 1 — Int/Div — Sold (part)

UBS Bank USA Dep Account — Interest

JP Morgan Checking — Interest

EHP Ventures LLC — Distribution — Note # 1

Microsoft Corp(Com) — Int/Div — Sold (part)

Safebulkers Inc — None

Martin Pharmaceuticals,Inc(Convertible Note) — None

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

Alliance Bernstein Holdings LP MLP — Distribution — Sold (part) — Note # 1

Ares Capital Corp — Int/Div — Sold (part)

Acreto Cloud Corp(Conv Promissory Note) — None — Buy

Woolsey Pharmaceuticals Inc(Ser A Preferred) — None — Buy

Rapid Ratings Intl (Common) — None — Buy

Tailwind Capital Partners IT] LP — Note # 10

Anvil/Smith Cooper — None — Buy (add'l)

Benevis Holding Corp — None — Closed — Note # 1]

Abode Healthcare, Inc — Distribution — Sold — Note #

Convergence Technologies,Inc — None — Buy (add'l)

Loenbro LLC — None

Banner Solutions — None — Buy (add'l)

Randys Worldwide Automotive Inc — None — Buy (add'l)

Ventiv Technlogy — None — Buy (add'l)

Invatron Systems — None — Buy (add'l)

Arrow Stream — None — Buy

EverVet — None — Buy

Anvil Debt — Distribution — Buy — Note # 1

TPRC — None — Buy

Trust #3 — Note #7

Thornburg Income Builders Cl — Int/Div — Sold (part)

Thornburg Global Opportunities Fd — Int/Div — Sold (part)

Thornburg Intl Value Fd — Int/Div — Sold (part)

UBS Bank USA -Depost Account — Interest

SPC Intermex LP — Distribution — Sold (part) — Note #

SPC Intermex LP — Sold (part)

Kinderhook V] LP — None — Buy

Tailwind Capital Partners II] LP — Note #10

Anvil/Smith Cooper International — None — Buy (add'l)

Benevis Holding Corp — None — Closed — Note # 11

Abode Healthcare, Inc — Distribution — Sold — Note # 1

Convergence Technologies, Inc — None — Buy (add'l)

Loenbro LLC — None

Banner Solutions — None — Buy (add'l)

Randys Worldwide Automotive Inc — None — Buy (add'l)

Ventiv Technology — None — Buy (add'l)

Invatron Systems — None — Buy (add'l)

Arrow Stream — None — Buy

EverVet — None — Buy

Anvil Debt — None — Buy

TPRC — None — Buy

Tailwind Capital Partners II (GP)LP — Note #8

Colony Hardware Corp — Distribution — Buy (add'l) — Note #

Colony Hardware Corp — Sold (part)

Cummings Group Inc — Distribution — Buy (add'l) — Note # 1

Cummings Group Inc — Sold (part)

Diamondback Drugs of Delaware LLC — Distribution — Note # 1

Distinct Holdings Group,Inc(dba Diversified) — None

Long's Drugs Inc — Distribution — Sold (part) — Note # 1

Lieberman Research Worldwide LLC/(N/ C) Material — Distribution — Sold (part) — Note #1

Acertus — None

TowerCo IV Holdings LLC — None — Sold

AST Corporation — None

DermaRite Industries LLC — None

Edenbridge Pharmaceuticals LLC — None

HMT Holdings Inc — None — Sold (part)

TW Lone Peak Master LLC — Distribution — Note #

The Yard (Promissory Note) — Interest

RGI Partners B LP — Distribution — Sold (part) — Note #

RGI Partners B LP — Sold (part)

Radius Networks Inc (Com) — None — Buy (add'l)

Safebulkers Ser D 8 % Preferred — Int/Div

ChartlQ LLC — None

Transplant Genomics Inc (Convertible Note) — None — Sold

Transplant Genomics Inc( Preferred A) — None — Sold

Real Endpoints LLC — None

Valuestream Development Lab Fund LLC — None

Romulus Placester Special Opportunity Fd — None

Grove Hospitality Asia GP LLC — None — Sold

Grove Hospitality Europe GP LLC — None — Sold

Grove Aurelis II GP LLC — Distribution — Sold (part) — Note # 1

Grove Aurelis II GP LLC — Sold (part)

GNWMCLLC — None — Sold

Romulus Cohealo Special Opportunity Fund’ LP — None

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

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

Romulus ELC B3 Special Opportunity LP — None

Sommetrics. Inc (Preferred Ser B) — None

Sensai Corp (Converitible Note) — None

Cycle Pharmaceuticals LTD (Ser A Shares) — None — Sold (part)

Free ATM Inc (Ser A Preferred) — None

Engage Simply Inc (Convertible Note) — None

Build and Imagine LLC — Distribution — Sold (part) — Note #

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

Linx-Gullett Co-Invest LLC — None

50 Mast LLC — None

AG Team Partners LLC — None

AG Team Partnners III LP — None

CSL Energy Opp Fund II LP — None

Estimize Inc (Ser B Preferred) — None

Grotech Ventures III LP — Distribution — Buy (add'l) — Note # 1

Grotech Ventures III LP — Buy (add'l)

Grotech Ventures III LP — Buy (add'l)

Grotech Ventures III LP — Buy (add'l)

Grotech Ventures III LP — Sold (part)

Grotech Ventures III LP — Sold (part)

Karma Culture LLC — None

Kinderhook Capital Fund IV — None — Buy (add'l)

Kinderhook Capital Fund IV — Buy (add'l)

Kinderhook Capital Fund IV — Sold (part)

Linx-CPT Co Invest LLC — Interest — Sold (part)

Linx-CPT Co Invest LLC — Sold (part)

Linx-CPT Co Invest LLC — Sold (part)

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

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

Olympus Capital Asia Fd V LP — Buy (add'l)

Olympus Capital Asia Fd V LP — Sold (part)

Aila. (Ser A Preferred) — None

Romulus Capital II] (US) Feeder LP — None

Perry Lane LLC — None — Buy (add'l)

Perry Lane LLC — Sold (part)

Slingshot Insights Inc (Conv. Promissory Note) — Interest

TBCP Jacksonville LLC — None

Terafina Inc (Conv Promissory Note) — None

Highland Resort At the Peaks LLC — None — Sold (part)

Edward Jones Retirement MM(IRA) — Int/Div

Fidelity (Cash) — Interest

Figue Holdings LLC — None — Sold

Gain Fitness Inc(Conv Note) — None

Aisling Capital IV LP — Distribution — Buy (add'l) — Note #

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)

Collision Funding Partners LLC (Note) — None

Linx-Elite Co Invest LLC — Interest — Sold (part)

Linx-Nebr Co Invest LLC — None

Romulus Estify Sp Opportunity LP — None

Romulus Growth Cogito LP — None

Strategic Altemative Fund Group LLC — None

Parkstone Capital Partners IV Holdings LP — None — Sold (part)

Fulling Mills LLC — None

Ram Realty IV LP — None

Alpine-Gleenwood LP — None — Closed — Note # 11

BigID Inc(Conv Note) — None

Lending Front Inc (Conv Note) — None

Mine One GMBH (Ser A sh) (IRA) — None

Relationship Capital Partners Inc (Conv Notes) — None

PHRP LLC — Note #9

Shareablee Inc (Ser A Pref) — None — Note #9

Skyfront Corp (Note Rec) — None

SPC Intermex LP — Distribution — Sold (part) — Note #1

SPC Intermex LP — Sold (part)

UBS Bank USA Deposit Ac — Interest

312 Atlantic Ave LLC — None

Flank 71 Smith LLC — None

UBS Bank USA BUS ACCT(Foundation # 1) — None

Cyriline Morgan (Personal Note) — Interest

Loch Lomond Golf Club(Ser C) — None

UBS Bank USA Dept Ac (IRA) — Interest

Thornburg Global Oppy Fd CL A(IRA) — Int/Div

American Balanced Fund Inc (IRA) — Int/Div

American Fund Global Balanced (IRA) — Int/Div

Nucana PLC GBR (IRA) — None — Sold (part)

Nucana PLC GBR (IRA) — Sold (part) — Note # 6-To line 4)2

Relationship Capital Partners (IRA) (Convertible Promissory Note) — None

ERA Investor Fund 6 LP — None

Groupize Inc (Ser A-2 pfd) — None — Buy (add'l)

Medaptive Health Inc (Conv Prom) — None — Buy (add'l)

Shiftsmart Inc (Ser AA Preferred) — None — Buy (add'l)

BondCliQ Inc (Conv Promissory Note) — None

Nextremity Solutions Inc (Ser B Preferred) — None

TG& L Holdings LLC(Convertible Note) — None

Entrepreneurs Expansion Fund III LP — None — Buy (add'l)

Kinderhook V LP — None — Buy (add'l)

Kinderhook V LP — Buy (add'l)

Kinderhook V LP — Sold (part)

Valuestream Ventures 2017 LLC — None — Buy (add'l)

Valuestream Ventures 2017 LLC — Buy (add'l)

Workbench Ventures III LLC — None — Buy (add'l)

Workbench Ventures III LLC — Buy (add'l)

Workbench Ventures III LLC — Buy (add'l)

71 Smith Retail Venture LLC — None — Buy (add'l)

First Republic Checking — Interest — Closed

Generation Tux (Ser D-2 Preferred) — None

Seventh Sibling LLC (Promissory Note) — None

RGI Recap Partners LLC — Distribution — Sold (part) — Note #

RGI Recap Partners LLC — Sold (part)

RGI Recap Partners LLC — Sold (part)

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

1101 Grundy Property Owner LLC — None

Adaptive Management Inc (Convertible Promissory Note) — None

Blue Systems A.Y. Ltd (Ordinary) DBA Gabriel Networks — None — Buy (add'l)

B Hospitality Corp (Series Seed Preferred) — None — Buy (add'l)

Felix Gray Inc (Ser A-1 Preferred) — None

findSisterhood Inc (Convertible Promissory Note) — None

LA Aloe LLC — None — Closed — Note # 11

Linx-CTAM Co-Invest, LLC — None

Plum Alley Syndicate XIII LLC — None

Vitalis LLC — None

Ladder Capital Corp (Com) (IRA) — Int/Div — Buy (add'l)

AG Team Partners II LP — None — Buy (add'l)

Martin Pharmaceuticals Inc (Convertible Promissory Note) — None

Clarke (Mortgage) N/C — Interest

MiMcetings d/b/a 242 LLC (Convertible Promissory Note) — None

Modumental Inc (Convertible Promissory Note) — None

Popin Inc (Series Seed Preferred) — None — Closed — Note # 1]

Second Screen Inc (Convertible Promissory Note) — None — Sold

SPC Vereco LP — None

Tallarium Limited (Preferred Shares) — None — Buy (add'l)

The Square Foot Inc (Series A Preferred) — None

xtra Chef Inc(Note) — None — Buy (add'l)

EHP Ventures LLC — None

Mine One Gmbh (Series B) — None

Tailwind III LP — Note # 10

Anvil/Smith Cooper International — None — Buy (add'l)

Benevis Holding Corp — None — Closed — Note # 1]

Abode Healthcare Inc — Distribution — Sold — Note # 1

Convergence Technologies Inc — None — Buy (add'l)

Loenbro LLC — None

Banner Solutions — None — Buy (add'l)

Randys Worldwide Automotive Inc — None — Buy (add'l)

Ventiv Technology — None — Buy (add'l)

Invatron Systems — None — Buy (add'l)

ArrowStream — None — Buy

EverVet — None — Buy

Anvil Debt — None — Buy

TPRC — None — Buy

Tailwind III GP LP — Note # 10

Anvil/Smith Cooper — None — Buy (add'l)

Benevis Holding Corp — None — Closed — Note # 1]

Abode Healthcare Inc — Distribution — Sold (part) — Note #1

Convergence Technologies Inc — None

Loenbro LLC — None

Banner Solutions — None

Randys Worldwide Automotive Inc — None

Ventiv Technology — None — Buy (add'l)

Ventiv Technology — Buy (add'l)

Invatron Systems — None

ArrowStream — None — Buy

EverVet — None — Buy

Anvil Debt — None — Buy

TPRC — None — Buy

adTheorent Inc(X) — Distribution — Sold — Note #1 & Note # 3

Presto (Convertible Promissory Notes) — None

Airbud Technologies Inc( Seed Series Preferred)(N/C)Hydra AI — None — Buy (add'l)

Aising V LP — None — Buy (add'l)

Aising V LP — Buy (add'l)

Aising V LP — Buy (add'l)

Aising V LP — Buy (add'l)

Aising V LP — Buy (add'l)

Aising V LP — Buy (add'l)

Apteo Inc ((Series Seed 1 Preferred) — None — Buy (add'l)

Ares Capital Corp (Com) (IRA) — Int/Div — Buy (add'l)

Ares Capital Corp (Com) (IRA) — Sold (part)

EVZDRP Inc (Convertible Note) — None

Flank GP Fund — None — Buy (add'l)

Linx-TGS Co-Invest LLC — Interest — Sold (part)

Linx-TGS Co-Invest LLC — Sold (part)

Linx-TGS Co-Invest LLC — Sold (part)

Linx-TGS Co-Invest LLC — Sold (part)

Linx-TGS Co-Invest LLC — Sold (part)

Linx-TGS Co-Invest LLC — Sold (part)

Braveheart Wireless Inc(Ser A Preferred) — None — Buy (add'l)

Nucleus Data and Analytics Inc (Com) — None

Jifiti.COM Inc (Seed Ser) — None

242 LLC DBA Event Ground Global — None — Buy (add'l)

Kinderhook VI LP — None — Buy (add'l)

Kinderhook VI LP — Sold (part)

Ogilvie Family LP (Promissory Note) — Interest — Sold (part) — Note # 12

VRMarket Data LLC (Ser B Preferred) — None

Green Africa/Green White Group Limited — None — Buy (add'l)

Vanguard Group (401K)

Vanguard Life Strategy Growth Inv — None — Buy (add'l)

Vanguard Life Strategy Growth Inv — Buy (add'l)

DFA TA Wrld ex US Core Equity Port — None — Sold

Towerbrook Investors II Executive Trust — Distribution — from line 38) — Note # 1 and Note #13

Redwood Grove Internations Mgt LLC — Distribution — Buy

Redwood Grove Internations Mgt LLC — Sold (part)

UBS (Roth IRA)

Nucana PLC — None — from line 296) — Note #6

CSG Systems (Foundation 1) — None — from line 10) — Note #5

CSG Systems (Foundation 1) — Sold

JetBlue Airway Corp (Foundation ]) — None — from line 32) — Note #5

JetBlue Airway Corp (Foundation ]) — Sold

Colgate- Polmolive Co (Com) — None — Buy

Colgate- Polmolive Co (Com) — Sold (part)

Proctor & Gamble Co(Com) — None — Buy

Proctor & Gamble Co(Com) — Sold (part)

Biomage Ltd (Ordinary Shs) — None — Buy

Biosymetrics Inc (Com) — None — Buy

ChargingLedger Inc (Series Seed) — None — Buy

Eluceda Ltd (Ordinary shares) — None — Buy

Enalare Therropeutics Inc (Conv Promissory Note) — None — Buy

Hello Hazel (Series Seed) — None — Buy

Acredo Cloud Corp (Conv Promissory Note) — Interest — Buy

Melitas Ventures Fund II LP — None — Buy

Nayya Health Inc (Ser A Preferred) — None — Buy

Qvale Technology Inc (Preferred Stock) — None — Buy

Remus Corp IV LP — None — Buy

Remus Capital Ser B IT LP — None — Buy

Saroras Hippo LP — None — Buy

Serface Care Inc (Ser A) — None — Buy

SOSV Indio Bio NY LP — None — Buy

Symetry ML Inc (Com) — None — Buy

Venio Holdings LLC — None — Buy

Woolsey Pharmaceuticals Inc (Ser A Preferred) — None — Buy

ERA Investors Fund 7 LLC — None — Buy

Fieldpoint Private (IRA)

Liquid Insured Deposits — Int/Div — from line 71) — Note # 14

Liquid Insured Deposits — Buy — Note # 14

Federated Hermes Kaufman Sm Cap — Int/Div — Buy

Federated Hermes Kaufman Sm Cap — Sold

Polen Groth Fund Inst — Int/Div — Buy

Polen Groth Fund Inst — Sold

WCM Focused Emerg Mkts — None — Buy

WCM Focused Emerg Mkts — Sold

WCM Focused Intl Fd — None — Buy

WCM Focused Intl Fd — Sold

Parnassus Core Equity FD — Int/Div — Buy

Parnassus Core Equity FD — Sold

Pimco Short Term Ins — Int/Div — Buy

Accenture PLC — None — Buy — Note #15-Line 454-518

Abbott Labs (Com) — None — Buy

Adobe Sys Inc (Com) — None — Buy

Aligh Technology Inc (Com) — None — Buy

Alphabet Inc Cap St-Cl C — None — Buy

Alphabet Inc CIA — None — Buy

Autodesk Inc Com — None — Buy

Dollar Gen Corp Com — None — Buy

Facebook Inc Cla — None — Buy

Gartner Inc Com — None — Buy

IIlumnia Inc Com — None — Buy

Intuitive Surgical Inc Com — None — Buy

MSCI Inc Com — None — Buy

Mastercard Inc Com — None — Buy

Microsoft Inc Com — None — Buy

Nike CIB — None — Buy

Paypal Holdings Inc Com — None — Buy

Regeneron Pharmaceutical Inc — None — Buy

Salesforce.com inc Com — None — Buy

Servicenow Inc Com — None — Buy

Starbucks Corp Com — None — Buy

United Healthcare Group Inc Com — None — Buy

Visa Inc Com — None — Buy

Zoetis Inc CLA — None — Buy

AlconSA — None — Buy

Ferrari NV Shares — None — Buy

AIA Group Ltd — None — Buy

Adyen NV ADR — None — Buy

Amphenol Corp C1 A — None — Buy

Ansys Inc Com — None — Buy

Atlas Copco AB — None — Buy

Boston Scientific Corp — None — Buy

Boston Scientific Corp — Sold

CSL Ltd — None — Buy

Canadian Natl Ry Co Com — Int/Div — Buy

Church & Dwight Co Inc — None — Buy

Cosco Wholesale Corp Com — None — Buy

Crown Castle Inc Com — Int/Div — Buy

Crown Castle Inc Com — Sold

Ecolab Inc Com — None — Buy

Fair Isaac Corp Com — None — Buy

First Republic Bank SF Com — None — Buy

Graco Inc — None — Buy

Hdfe Bk Ltd — None — Buy

Heico Corp New CIA — None — Buy

Idexx Labs Inc Com — None — Buy

Intercontinental Exchange Inc Com — Int/Div — Buy

LVMH Moet Hennessey LV Adr — None — Buy

Lululemon Athletica Inc Com — None — Buy

MSCI Inc Com — None — Buy

Mercadolibre Inc Com — None — Buy

Mettler-Toledo Intl Inc Com — None — Buy

Pemod Ricard S A Adr — Int/Div — Buy

Servicenow Inc Com — None — Buy

Sherwin Williams Co Com — None — Buy

Shopify Inc CLA — None — Buy

Stryker Corp — None — Buy

Visa Inc Com — None — Buy

Alpine Grove SV Partners LLC — None — Buy

Menguin Inc (X) — None — Sold — Note #3

§25.

Spouse's income — 2020 — CSG Systems Inc-Director Fee

Spouse's income — 2020 — Kohl's Department Stores Inc-Director Fee

Spouse's income — 2020 — Safe Bulkers Inc -Director Fee

Spouse's income — 2020 — Jet Blue Airways Corp-Consultant

Spouse's income — 2020 — Morgan Stanley-Pension Income

Spouse's income — 2020 — Tailwind Management LP-Partner-Guaranteed Payment

is a Partner of Tailwind Capital Partners II LP and Tailwi

ind Capital Partners II (GP) LP. The partnerships have ownership interests

in the companies list

_

ed . Due to revised reporting requirements the income an

In addition, the purchase and sale information is also listed

d gross value at the end of the reporting period is separately listed,

interests in the same companies.

by underlying asset. The Limited Partnership (LP) and General Partnership (GP LP) have ownership

Note #9

Explanation Section VIII

Item # 280,281

The Judge's

{created a single member LLC to hold various investments. The current investment is listed below the LLC on line #315.

See Note # 10

Explanation Section VII

Item # 145-158,167-180,346-374

The Judge's

is a Partner of Tailwind Capital Partners III LP and Tailwi

in the companies listed . Due to revised rep.

orting requirements the income and

ind Capital Partners III (GP) LP. The partnerships have ownership interests

In addition, the purchase and sale information is als.

ross value at the end of the reporting period is separately listed.

‘0 listed by underlying asset.

Income may be camed but not distributed.

The Limited Partnership (LP) and General Partners

h

Tailwind Capital Partners III LP.

ip (GP LP) have ownership interests in the same companies. Trust # 3 and Trust # 4 are also partners in

The assets that are owned by the partnership are listed in the appropriate section of the report.

Sce Note #11

Explanation Section VII

Item #'s 54,61 ,147,169,275,328,338,348,362

These investments are worthless as of December 3 1, 2020. The assets are listed as "Closed"

in Column D(1). The date in Column D(2) is December 31, 2020,

The value in Column D(3) is blank, since no value is attritibuted to the worthless investment

tS.

Sce Note #12

Explanation Section VIII

Item # 13,401

The rental property was sold in 2019. The checking account

remained open due to the Seller finaced Promissory note , that was part of the Sale transaction,

The property had not been rented in more then 10 years.

See Note #13

Explanation Section VII

Item 38,408

The limited partnership distributed it's remaining assets t

'0.a liquidating trust on 11/13/20. This type under section D

(1) is denoted as a spinoff. The value of the

distribution is the adjusted tax basis as reported on the p:

artnership final k-1 for 2020.

This amount was noted on D(3).

See Note #14

Explanation Section VI!

Item # 71,441

The partnership owned by the IRA distributed cash that was de}

Teceived a retirement account distribution from his former e1

posited in a newly created Fieldpoint Private IRA on 7/24/20, In addition, the Judge's

M0

mployer. This amount was rolled over into the newly establisthed IRA account,

See Note # 15

Explanation Section VII

Item # 454-518

‘The new Fieldpoint [RA was created as an activel

ly managed trading account on July 24, 2020. This account w:

of mutual fund investments. All of the publically

‘as switched from a managed account to a portfolio

traded sceurities that were purchased on December 3 - 4 , 2

020 were sold on February 2, 2021.