Guido Calabresi

Mass Mutual (whole life) Insurance — Int/Div

New York Life (whole life) Insurance — Int/Div

AIG Sun America (whole life) Insurance — None

Graduate Club Assocation Bond — Interest

Bank of America checking account — Interest

Bank of America IMMA account — Interest

Banca CR. Firenze — Interest

Memill Lynch Bank & Trust USA - cash — Interest

I Shares T S&P 500 (mutual fund) @ Merrill Lynch — Int/Div — Donated

American Growth Fund Mutual Fund Merrill Lynch — Distribution — Sold (part)

Trust £1, income beneficiary(H)

First Am. Tax Free Oblig Fund (cash equiv.) — Interest

Nuveen Symphony Mid Cap Core Fund (mutual fund) — Int/Div

Cambiar Intemational Equity Fund (mutual fund) — Int/Div

General Mills (common) — Int/Div

American Funds: Investment Co. of America (mutual fund) — Int/Div

Trust #2, mcome beneficiary(H)

First Am. Tax Free Oblig. Fund (cash equiv.) — Interest

American Funds: Investment Co. of America (mutual fund) — Int/Div

Minnesota Mining & Mfg. (common) — Int/Div

Nuveen Symphony Mid Cap Core (mutual fund) — Int/Div

Nuveen Small-Cap Select Fund (mutual fund) — Int/Div

Cambiar Intemational Equity Fund (mutual fund) — Int/Div

Trust #3, income beneficiary(H)

Darden Restaurants (common) — Int/Div

Four Comers Property Trust — Int/Div

Exxom (common) — Int/Div

General Mills (common) — Int/Div

IBM (common) — Int/Div

JP Morgan (common) — Int/Div

AT&T Inc. (common) — Int/Div

US Bancorp (common) — Int/Div

American Funds: Invesment Co. of America (mutual fund) — Int/Div

IShares Core S&P SOOETF — Int/Div

Memill Lynch Bank & Trust USA - cash — Interest

Am. Growth Fund ( mutual fund) — Int/Div

Am. Euro Pacific Growth Fund (mutual fund) — Int/Div

Trust #4, income beneficiary(H)

Merrill Lynch Bank USA - CMA Money Fund (cash equiv.) — Interest

Shares T S&P 500 (mutual fund) — Int/Div

Bank of America (common) — Int/Div

Trust #5, income beneficiary(H)

Bank of America (common) — Int/Div

Morgan Stanley Emerging Market Fd (mutual fund) — Int/Div

Bank of America checking account - Cash — Interest

Guido Calabresi Retirement, TIAA-CREF Fixed AnnuitviH)

TIAA Traditional (Annuity) — None

TC Life Cycle 2010- Inst — None

Trust #6, income beneficiary(H)

Yale Equity Fund (mutual fund) (fka Grantham, Mayo, Van Outerloo) — Int/Div

Yale Fixed Inc Fund (mutual fund) (fka Grantham, Mavo, Van Otterloo) — Interest

American Funds: Investment Co. of America (mutual fund) — Int/Div

SPDR SER TR S&P 500 Growth ETF (8/31/16) (Tka ROTH IRA#I) — Int/Div

SPDR SER TR SPDR S&P 1000 ETF (8/31/16) (Tka ROTH IRA#2) — Int/Div

SPDR SER TR S&P 600 Small Cap ETF (8/31/16) (fka ROTH IRA#3) — Int/Div

Bank of America Corp - @ Merrill Lynch — Int/Div

Sterling Professor Emeritus, Professorial Lecturer, Yale Law School, 11/01/1995 - present

Honorary Trustee - Unpad, Carolyn Foundation, MN, 01/01/1996 - present

Member, Scientific Committee- Unpaid, Centro Nazionale Prevenzione e Difesa Sociale, 1988 « present

Member - Unpand, Intemational University College, Turin Board, 2007 - present

Agreement — Right to be Professonal Lecturer, Yale University, upon retirement (See Attachments A and B)

Agreement — Right to use accumulated (approximately $500) research and travel fund, Yale University, even after retirement

Reimbursement — Bocconi University — 07/12/17 — Milan, Traly — Lecture — Travel, Food, Lodging

Reimbursement — Yale University Law School — WIT — Woodbridge, CT — Academic Meeting — Food

Reimbursement — International University College — 03/21-03/2217 — Turin Italy — Lecture — Travel, Food, Lodging

Reimbursement — University of Macerata — 05/02-05/03/17 — Maceraty, Italy — Lecture — Travel, Food, Lodging

Reimbursement — Centro Nazionale Prevenzione & Difesa — 0505/17 — Milan, lly — Lecture — Travel, Food, Lodging

Reimbursement — University of Bergamo — Os 7 — Bergamo, Italy — Lecture — Travel, Food

Reimbursement — Boston University Law School — 060 10602/17 — Boston, MA — Lecture — Travel, Food, Lodging

Reimbursement — Cambridge Institute for } Advanced Legal Studies — 07/02-0705/17 — Cambridge, England — Lecture — Travel, Food, Lodging

Reimbursement — Centro Nazionale Prevenzione & Difesa — 112-1173/17 — Milan, Italy — Lecture — Travel, Food, Lodging

Income — 2017 — Yale Umiversity - part-time teaching — $208.113.00

Income — 2017 — Yale University Press - royalties for previously written books — $2,555.51

Income — 2007 — W.W. Norton & Co. - royalties for previously written book — $312.13

Income — 2017 — Author's Registry - copyright payments for previously written books, cte — $49.71

Part 1. POSITIONS

Line 4- Assets of the Carolyn Foundation are not listed because my position as Trustee is "Honarary” only. | have no functional responsibilities with regard to the

foundation.

Part VII INVESTMENTS AND TRUSTS

Trusts #3, #4, and #5 in Part VII (Assets #24, #38, and #42) and the retirement accounts described in Part VII (Assets #53, #54, and #55) did not distribute any

income to me or to an immediate family member. Income was eamed and not distributed. Asset #46 distributed income in an unknown amount during 2016 as

part of a retirement distribution taken,

Trust #6 (Asset #49) in Part VI1 is a Charitable Remainder Unitrust established in 1995 by a family member and me. The family member and are 5.5% income

beneficiaries during our lives or 20 years, whichever is longer. The trustee is instructed to mvest the money in widely diversified mutual or money market funds.