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

CREF Stock — Int/Div

TIAA Real Estate — Int/Div

CREF Fixed Income — Int/Div

JP Morgan Chase Bank; Checking/ 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

Met Life Money Market — Interest

JPMorgan Investments: Managed Brokerage Account

ASTON/FAIRPOINTE MID CAP FUND CL 1- ABMIX — Sold

AMERICAN CENTURY INTER-TERM TAX FREE BD FD « AXBIX INSTL CL — Sold

BLACKROCK FDS - BHYIX — Sold

BLACKROCK INTERNATIONAL INDEX FUND INSTL CL - MANX — Closed

BLACKROCK INDEX FDS INC - BTMKX — Int/Div — Buy (add'l)

BLACKROCK INDEX FDS INC - BTMKX — Buy

BLACKROCK INDEX FDS INC - BTMKX — Sold

CAUSEWAY CAP MGMT TR INTL VALUE FD INSTL CL - CIVIX — Sold

HARBOR INTERNATIONAL FUND INSTITUTIONAL - HAINX — Sold

JP MORGAN DEPOSIT SWEEP — Sold

JPMORGAN TR INTER TAX FREE BD FD INSTL CL - JITIX — Sold

JPMORGAN TR I US EQUITY FD INSTL CL «- IMUEX — Sold

JPMORGAN TR MID CAP EQUITY FD SELECT CL - VSNGX — Sold

JPMORGAN TR Il HIGH YIELDFD SELECT CL « OHYFX — Sold

JPMORGAN VALUE ADVANTAGE FD INSTL CL - JVAIX — Sold

JPMORGAN TR II SHORT-INTER MUN BD FD INSTL - JIMIX — Sold

MASSACHUSETTS INVESTORS TRLSTCLI-MITIX — Sold

OAKMARK FUND - OAKMX — Sold

PIMCO LOW DURATION FUND INSTL CL - PTLDX — Sold

WELLS FARGO ADVANTAGE GROWTH FUND CL 1 «- SGRNX — Sold

ISHARES MSC1 EAFE ETF - EFA — Sold

SPDR S&P S00 ETF TRUST -SpY — Sold

BERNSTEIN SANFORD CFD -AIDYX — Sold

BLACKROCK FDS MIDCAP IND - EX FD - BRMIX — Closed

BLACKROCK FDS - BRMKX — Int/Div — Open

BLACKROCK FDS - BRMKX — Sold

BROWN ADVISORY FDS - BAFHX — Sold

DEUTSCHE X TRACKERS MSC1 DBEF — Sold

WISDOM TREE JAPAN HEDGED EQUITY FUND — Sold

LORD ABBETT SHORT DURATION INCOME FUND - LLDYX — Int/Div — Buy

LORD ABBETT SHORT DURATION INCOME FUND - LLDYX — Sold

VANGUARD FIXED INCOME - VFIDX — Int/Div — Buy

VANGUARD FIXED INCOME - VFIDX — Sold

JOHN HANCOCK INCOME FUND JSTIX — Int/Div — Buy

JOHN HANCOCK INCOME FUND JSTIX — Sold

Adpmunct Professor of Law, Columba University Law School

Reimbursement — Just The Beginning — September 16-18 — New York, NY — Semmar — Lodgmg, Meals

Income — 2016 — Columbia University Law School — $5,000

Spouse's income — 2016 — Berkeley Carroll School « Salary

Part VII: Account listed on line 14 was closed on 8/3/16, and funds transferred to checking/savings. Details for individual components are listed on lines 15

through 52.

Part VII: Asset on line 15 was correted from "AIRPOINTE" to "FAIRPOINTE”

Part VII: Asset on line 19 was first bought on 01/16/16. On 01/22/16, asset on line 18 was exchanged (closed) for equivalent value of asset on line 19. (buy

additional).

Part VII: Asset on line 41 was exchanged (closed) for equivalent value of asset on line 42 (open) on 01/22/16.