Ronald L Ellis

Axa Equitable (Formerly "The Equitable” 40K x Alliance Common Stock — Int/Div

Vanguard Group: Rollover Pension: Wellington Fund — Int/Div

TIAA-CREF; Retirement; Mutual Fund Account — Int/Div

JP Morgan Chase Bank; Checkmg/ Savings — Interest

JP Morgan Chase Bank; IRA Acct Aliance/ Putnam Funds, Money Mkt — Int/Div

JP Morgan Chase Bank; IRA Acct 2, Alliance/Pumam Funds, Money Mkt — Int/Div

Prudential Insurance Co. - Whole Life — Int/Div

Northwestern Mutual Life Insurance Policy 1 - Whole Life — Int/Div

Northwestern Mutual Life Insurance Policy 2. Whole Life — Int/Div

TIAA-CREF Life Insurance - Policy Term Life — Int/Div

TIAA-CREF Life Insurance - Policy 2 Term Life — Int/Div

SBLI USA Life Mutual Insurance - Term — Int/Div

Met Life Money Market — Interest

JPMorgan Investments: Managed Brokerage Account <new- (X) — Int/Div

ASTON/AIRPOINTE MID CAP FUND CL 1 - ABMIX — Int/Div

AMERICAN CENTURY INTER-TERM TAX FREE BD FD - AXBIX INSTL CLL — Int/Div

BLACKROCK FDS -BHYIX — Int/Div

BLACKROCK INTERNATIONAL INDEX FUND INSTL CL - MANX — Int/Div

CAUSEWAY CAP MGMT TR INTL VALUE FD INSTL CL - CIVIX — Int/Div

DELAWARE GROUP EMERGING MARKETS FUNDCINSTL CL - DEMIX — Int/Div

GOLDMAN SACHS SMALL CAP VALUE FUND-INSTL CL - GSSIX — Int/Div

GOLDMAN SACHS EMERGING MKTS DEBT FD INSTL CL - GSDIX — Int/Div

OAKMARK FUND - OAKMX — Int/Div

HARBOR INTERNATIONAL FUND INSTITUTIONAL «- HAINX — Int/Div

JPMORGAN TR INTER TAX FREE BDFD INSTLCL -JITIX — Int/Div

JPMORGAN TR I US EQUITY FD INSTL CL « IMUEX — Int/Div

JPMORGAN TR MID CAP EQUITY FD SELECT CL « VSNGX — Int/Div

JPMORGAN TR SMALL CAP EQUITY FD SELECT CL - VSEIX — Int/Div

JPMORGAN TR Il HIGH YIELDFD SELECT CL « OHYFX — Int/Div

JPMORGAN VALUE ADVANTAGE FD INSTL CL - JIVAIX — Int/Div

JPMORGAN TR INTL VALUE FD INSTL CL - INUSX — Int/Div

JPMORGAN TR II SHORT-INTER MUN BD FD INSTL - JIMIX — Int/Div

MASSACHUSETTS INVESTORS TRUSTCL - MITIX — Int/Div

MFS SER TR X EMERGING MARKET DEBT FUND CLASS - MEDIX — Int/Div

PIMCO LOW DURATION FUND INSTL CL «- PTLDX — Int/Div

WELLS FARGO ADVANTAGE GROWTH FUND CL 1 - SGRNX — Int/Div

1 P MORGAN DEPOSIT SWEEP — Interest

Adpmunct Professor of Law, Columba University Law School

Reimbursement — American Bar Association — March 27, 2014 to March 28, 2014 — Palm Springs, CA — Semnar/Panel (Teach) — Lodging, Transportation, Meals

Income — 2014 — Columbia University Law School — $5,000

Spouse's income — 2014 — Berkeley Carroll School « Salary

Part VII. Line 3

This is a School sponsored retirement plan. Participants choose general categories such as stocks, bonds, real estate, but not individual stocks. The selections here

are: |) CREF Stock R1; 2) TIAA Real Estate; 3) CREF Bond Market R1; and 4)CREF Int-Linked Bond R1

Part VII, Line 14

The individual components of the account are listed on Lines 15 through 42.