Patricia A. Sullivan

MFS Investment Management (Educational Funds) — Int/Div

MFS Growth Allocation Fund A IMAGWX) — Distnbuted — tor education

MFS Growth Allocation Fund B (IMBGWX)

US Treasury EE Bonds — Interest

Northwest Mutual Life Policy "Adjustable ComplLife” — Int/Div

Mmnesota Vanable Group Umiversal Life Insuamce Policy — Int/Div

Janus Aspen Forty

FID VIP Value

Ivy VIP Value

FID VIP Equity Income

Janus Aspen OVES SS

m HE 1c — Distribution

BNY Mellon HSA Account (Y)

Sovereign Account — Interest

Sovereign Money Market Account — Interest

Schwab Account (IRA) — Int/Div

Schwab Govt Money Fund (SWGXX) — Interest

Charles Schwab Bank account — Interest

Fidelity Floating Rate HI INCM (FFRHX) — Int/Div

First Eagle High Yield FD A (FEHAX) — Int/Div

Flexshares ETF 1Boxx 3 Yr TRGT (TSTT) — Int/Div

Invesco Conv Securities FD CL (ONSAX) — Int/Div

Lord Abbett Short Duration (LALSZ) — Int/Div

Pimco 0-5 High Yield Corp B (HYS) — Int/Div

Putnam Absolute Return 300 FD (PYTRX) — Int/Div

Fidelity ADV Emerging Mkts Inc (FMKAX) — Int/Div

SPDR INTL Government TIPS ETF (WIP) — Int/Div

Templeton Global Bond Fund (TGBAX) — Int/Div

First Eagle US Value Fund CL (FEVAX) — Int/Div

Goldman Sachs Small Mid Cap (GSMYX) — Int/Div

Heartland Value Plus (HNVIX) — Int/Div

Powershares S&P ETF 500 Low VO (SPLV) — Int/Div

Putnam Capital Spectrum FD CL (PVSAX) — Int/Div

Royce Special Equity FD Invest (RYSEX) — Int/Div

Schwab S&P 500 Select Shs (SWPPX) — Sold

First Eagle Overseas (SGOVX) — Int/Div

shares MSCI ETF Emerging MKTS (EEMV) — Int/Div

Powershares ETF S&P INTL (IDLV) — Int/Div

SCHW Intl SCAP ETF (SCHC) — Int/Div

SPDR DJ Wilshire Intl Real Est (RWX) — Int/Div

SPDR DJ Wilshire REIT (RWR) — Int/Div

IPath DJ AIG Commodity Index (DJP) — None

DFA INTL Small Cap Value (DISVX) — Int/Div

Lord Abbett Inflation Focused FD (LIFIX) — Int/Div

Loomis Sayles Senior Flting Rate & Fixed (LSFYX) — Int/Div

Putnam Capital Spectrum FD CL Y (PVSYX) — Int/Div

Dodge & Cox Stock (DODGX) — Sold

Harbor Capital Appreciation Inst] (HACAX) — Int/Div

Hartford Global Bond (HWDYX) — Int/Div — Buy

S10. — Buy (add'l)

ALPS GS ETF Risk Adjusted (GJRA) — Int/Div — Buy

ALPS GS ETF Risk Adjusted (GJRA) — Sold

Schwab Account — Int/Div

Schwab Govt Money Fund — Int/Div

First Eagle US Value (FEVAX) — Int/Div

Fidelity ADV Emerging Mar (FMKAX) — Int/Div

IShares MSC1 (EEMV) — Int/Div

DFA INTL Small Cap (DISVX) — Int/Div

Rovce Special Equity (RYSEX) — Int/Div

First Eagle Overseas (SGOVX) — Int/Div

SPDR Nuveen Barclays (SHM) — Int/Div — Sold (part)

Schwab S&P S00 Select (SWPPX) — Int/Div

Templeton Global Bond Fund (TGBAX) — Int/Div

SPDR INTL Government (WIP) — Int/Div

MKT Vectors ETF (HYD) — Int/Div

Goldman Sachs Small Mid Cap (GSMYX — Int/Div

Lord Abbett Inflation (LIFIX) — Int/Div

Loomis Sayles Senior (LSFYX) — Int/Div

SPDR DJ Wilshire INTL Real Estate (RWX) — Int/Div

Putnam Capital Spectrum (PVSYX) — Int/Div

SPDR DJ Wilshire REIT (RWR) — Int/Div

JP Morgan Tax Aware Income Opp UTASX) — Int/Div — Buy

Member, Board of Directors of Roger Williams University School of Law

Manager und Member

Director, Rhode Island Bar Foundation

Director, Rhode Island Chapter of Federal Bar Association

Spouse's income — 2014 — Citizens Bank (pension)

Spouse's income — 2014 — Bank of America (pension)

Part 1:

Line 3: Please see the letter from the Committee on Codes of Conduct regarding the position listed on Line 3,

Part VII:

Line 6: The income reported for this life insurance policy is based on the total “investment gain/loss” that appears in the year end statement.

Line 12: The asset listed on Line 12 is membership in an entity that has never made a distribution to its members. The entity's sole asset, 4 vacation cottage, is

used by the members from time to time; | use an estimate of the value of this use as"income.™

Line 16: This IRA is actually two accounts, one in my name and one in my husband's name, managed by the same person at Schwab.