Alison Julie Nathan

Aberdeen Emerging Markets Fund ABEMX — Int/Div — Sold

American Century Diversified Bond Fund, ADFX (Y)

Amencan Century Short, APOIX (Y)

Blackrock Global Long Short Credit Fund BGCIX — Int/Div — Buy (add'l)

Blackrock Global Long Short Credit Fund BGCIX — Sold (part)

Blackrock Global Long Short Credit Fund BGCIX — Sold (part)

Blackrock Global Long Short Credit Fund BGCIX — Sold (part)

Delaware National High Yield Mum Bond DVHIX(X) — Int/Div — Buy (add'l)

Eaton Vance Fund EIBLX (X) — Int/Div — Sold (part)

Eaton Vance Fund EIBLX (X) — Sold (part)

Eaton Vance floating, EIFAX (Y)

Fidelity Advisor Biotechnology Fund FBTIX — Int/Div — Buy (add'l)

Fidelity Advisor Biotechnology Fund FBTIX — Sold (part)

Fidelity Advisor Biotechnology Fund FBTIX — Sold (part)

Fidelity Advisor Industrials Fund FCLIX — Int/Div — Buy (add'l)

Fidelity Advisor Industrials Fund FCLIX — Int/Div — Buy (add'l)

Fidelity Advisor Industrials Fund FCLIX — Int/Div — Sold (part)

Fidelity Advisor Materials Fund FMFEX — Int/Div — Sold (part)

Fidelity Advisor Materials Fund FMFEX — Int/Div — Sold (part)

Fiduciary/Clay MLP Opp FMO — Int/Div — Buy (add'l)

Fiduciary/Clay MLP Opp FMO — Buy (add'l)

Fiduciary/Clay MLP Opp FMO — Buy (add'l)

Franklin Int] small Cap FKSCX — Int/Div — Buy

Franklin Mutual Global Discovery Z MDISX — Int/Div — Buy (add'l)

Franklin Mutual Global Discovery Z MDISX — Buy

Invesco Balanced Risk ABRYX (Y)

shares US Consumer Goods EFT IYK — Int/Div — Buy

shares US Consumer Goods EFT IYK — Sold (part)

Ivy Science and Technology Fund ISTIX — Int/Div — Buy (add'l)

Ivy Science and Technology Fund ISTIX — Buy

Kayne Anderson MLP KYN — Int/Div — Buy (add'l)

Loomis Sayles Strategic NEZYK — Int/Div — Buy

Lord Abbott Short, LDLFX — Int/Div — Buy (add'l)

Lord Abbott Short, LDLFX — Buy (add'l)

Lord Abbott Short, LDLFX — Sold (part)

Lord Abbott Short, LDLFX — Sold (part)

Lord Abbott Intermediate LISFX (X) — Int/Div — Sold (part)

Lord Abbott Intermediate LISFX (X) — Buy (add'l)

Lord Abbott Intermediate LISFX (X) — Buy (add'l)

Mamstay High Yield, MYHIX — Int/Div — Buy (add'l)

Mamstay High Yield, MYHIX — Buy (add'l)

Mamstay High Yield, MYHIX — Buy (add'l)

Mamstay High Yield, MYHIX — Sold (part)

Mainstay Marketfield, MFLDX — Int/Div — Sold (part)

Mainstay Marketfield, MFLDX — Buy (add'l)

Mainstay Marketfield, MFLDX — Sold (part)

Mainstay Marketfield, MFLDX — Buy (add'l)

Mainstay Marketfield, MFLDX — Sold

Metropolitan West Total MW TIX — Int/Div — Buy

MFS Mum Limited, MTLIX — Int/Div — Buy (add'l)

MFS Utilities FD CL 1. MMUIX (X) — Int/Div

Neuberger Berman Absol Rtrn Multi Mgr Fd NABIX — Int/Div — Sold (part)

Neuberger Berman Absol Rtrn Multi Mgr Fd NABIX — Buy (add'l)

Neuberger Berman Absol Rtrn Multi Mgr Fd NABIX — Buy (add'l)

Neuberger Berman Absol Rtrn Multi Mgr Fd NABIX — Buy (add'l)

Neuberger Berman Multi Cap Opp fund NMULX — Int/Div — Buy (add'l)

Neuberger Berman Multi Cap Opp fund NMULX — Sold (part)

Neuberger Berman Strategy NSTLX (Y)

Nuveen Global, FGIYX — Int/Div — Buy (add'l)

Nuveen Global, FGIYX — Sold (part)

Nuveen Global, FGIYX — Sold (part)

Pimco All Asset All Authority, PAUPX — Int/Div — Sold

Pimco All Asset All Authority, PAUPX — Sold (part)

Pimco Fundamental Indexplus PIXPX — Int/Div — Buy

Pimco Fundamental Indexplus PIXPX — Buy (add'l)

Pimco Fundamental Indexplus PIXPX — Sold (part)

Pimco Global Mult: PGAPX (Y)

Powershares DYN Oil and Gas PXJ (Y)

Principal Funds POSPX — Int/Div — Buy

Robesco BP Long Short Research BPIRX Y)

Robeco BP Long Short, BPLSX — Int/Div — Buy (add'l)

Robeco BP Long Short, BPLSX — Buy (add'l)

Robeco BP Long Short, BPLSX — Buy (add'l)

Robeco BP Long Short, BPLSX — Sold (part)

Robeco BP Long Short, BPLSX — Sold (part)

RS Floating Rate Fund, RSFYX — Int/Div — Sold (part)

RS Floating Rate Fund, RSFYX — Sold

RS Global Natural. RSNYX (Y)

SPDR KBW Regional Banking EFT KRE n'a

SPDR® S&P S00 ETF SPY — Int/Div — Buy

SunAmerica Focused Dividend Strategy FDSWX — Int/Div — Buy (add'l)

SunAmerica Focused Dividend Strategy FDSWX — Sold (part)

Sunamerica Focused FDSAX (Y)

T Rowe Price Capital Appreciation Fd Retail PRWCX — Int/Div — Sold (part)

Templeton Frontier FFRZX — Int/Div — Sold

Templeton Glbl Bond Fund, TGBAX — Int/Div — Buy (add'l)

Templeton Glbl Bond Fund, TGBAX — Sold (part)

Templeton Glbl Bond Fund, TGBAX — Sold (part)

The Oakmark Intl Fund OAKIX — Int/Div — Buy (add'l)

The Oakmark Intl Fund OAKIX — Buy (add'l)

The Oakmark Intl Fund OAKIX — Buy (add'l)

The Oakmark Intl Fund OAKIX — Sold (part)

The Oakmark Select Fund OAKLX — Int/Div — Buy

Touchstone Sands Capital Select Growth Fund CFSIX — Int/Div — Buy (add'l)

Touchstone Sands Capital Select Growth Fund CFSIX — Sold (part)

Touchstone Sands Capital Select Growth Fund CFSIX — Buy (add'l)

Vanguard Energy ETF VDE (Y)

Wells Fargo Absolute Return Fd WARDX — Int/Div — Buy (add'l)

Wells Fargo Absolute Return Fd WARDX — Sold (part)

Yacktman Fund CL Service. YACKX — Int/Div — Sold (part)

Yacktman Fund CL Service. YACKX — Buy (add'l)

Apple Inc Stock, AAPL — Int/Div

Powershares Water Resources FD. PHO (Y)

Emigrant Direct Savings Account — Interest

Bank of America Checking Account — Interest

Chase Checking Account — Interest

TD Ameritrade Cash Account — Interest

Vanguard FTSE Social Index — Int/Div — Sold (part)

Vanguard Target Retirement 2040 — Int/Div — Buy (add'l)

Vanguard Target Retirement 2020 — Int/Div — Buy (add'l)

Reimbursement — IY A ue SCE 3 St ge) conference panel and attend other panels — y hd, Wart, gh i

Reimbursement — Harvard Law School — 33120014w04/172014 — Cambridge, MA — Moot court — Transportation, hotel, meals

Reimbursement — University of Washington School of Law — 5/19/2014 10 S/I2002014 — Seattle, WA — Teaching for Jurist mn Residence Program — Transportation, meals

Reimbursement — 101262014 — conference panel and attend other panels — Spouse)

Spouse's income — 2014 — West Publishing - Book royalties

Spouse's income — 2014 — Taylor and Francis Publishing - Book Royalties