Craig B Shaffer

Wells Fargo Bank account — Interest

Schwab Money Market Fund — Interest

Dreyfus Inter Muni Bond Fund — Interest — Sold

Dreyfus Inter Term Income Fund — Interest — Sold

Pimco Real Return Fund — Interest — Sold

BMO Intermediate Tax Free CL Y — Interest — Buy

Guggenheim ETF — Interest — Buy

SPDR S&P SOO ETF — Interest — Buy

Trust No. 2 — Int/Div

Maryland College Investment Plan - T Rowe Price — Sold

Schwab Money Market Fund

College Invest - Aggressive Age-Based Option — Sold

James Balanced Golden Rambow Fund — Sold

Schwab - SEP/IRA — Int/Div — Closed

Schwab Money Market Fund

The Charles Schwab Corp. common stock

Royce Low Priced Stock Fund — Sold

Pimco Total Return Fund

IRA -1I — Int/Div

Schwab Money Market Fund

Schwab 1000 Fund - Select

T. Rowe Price Personal Strategy Growth Fund

Amencan Century Equity Fund — Sold

Schwab Target 2025 Fund — Buy

Schwab Target 2025 Fund — Sold

Pimco Total Return Fund

Loomis Sayles Bond Fund — Sold

The Charles Schwab Corp. common stock X

Doubleline Total Return — Buy

Dodge & Cox International Stock Fund — Buy

Harding Loevner Emerging Markets — Buy

Pamassus Equity Income Fund — Buy

Vanguard Equity Income Fund -Admiral Shares — Buy

Vanguard Small Cap — Buy

IRA-IN — Int/Div

Schwab Money Market Fund

Pimco Total Return Fund — Sold

Metropolitan West Total — Buy

TIAA Cref High Yield — from line 43)

Hodges Small Cap — Buy

Wasatch International Growth Fund — Buy

SPDR S&P Regional Banking — Buy

IRA -1V — Int/Div — Closed

Trust No. 3 X — Int/Div

Schwab Money Market Fund X

Altria Group, Inc. stock — Buy

ConocoPhillips stock — Buy

Dow Chemical Co. stock — Buy

Johnson & Johnson stock — Buy

Blackrock High Yield Bond Fund x

JPMorgan High Yield Bond Fund X

Pimco Incm Inst Cl Bond Fund — Buy

TCW Total Return Bond Fund — Buy

Arbitrage Fund Class X

Artisan Intemational Value Fund X

Aston Fairpointe Mid Cap X J

FMI Large Cap Fund x

Gateway Fund C1Y X

Hartford Captial Appr xX

JPMorgan Growth Advantage X

JPMorgan Large Cap Growth X

JPMorgan US Equity Select x

T Rowe Price New Asia Fund A XK

Victory Diversified Stock X

Guggenheim Exch Trade Fund — Buy

IShares MSC1 All Country X

IShares Russell ETC 34

IShares TR MSC EAFE « ‘4

PowerShares Exch Trade Fund TR — Buy

Vanguard FTSE Europe X

SPDR Gold Trust x — Sold

Pimeo Unconstrained Bond Fund y xX — Sold

JPMorgan International Currency Ie 4 — Sold

JPMorgan Strategic Income x — Sold

Pimeo Commodities Plus X — Sold

Doublelline Total Return X — Sold

Invesco Balanced Risk X — Sold

8 - Drey fi us Emergil ing M ark els x — Sold

JPMorgan Realty Incm Inst C1 yr MN — Sold

JPMorgan Market Expansion Exhanced Index Select M4 — Sold

JPMorgan Internal Value Select x — Sold

JPMorgan Intermediate Tax Free Bond X — Sold

IShares MSC] Emerging Market ETF < 4 — Sold

Shares Tr MSCI EAFE ETF » \ — Sold

Adpunct Faculty Member, University of Denver, Sturm College of Law

Reimbursement — Sandra Day O'Connor Luw School — try dan Eel I ee — discovery issues — one aad Vig fanaa rie

Reimbursement — ALI-CLE Environmental Litigation Program — 6122013-6/14/2013 — Washington, D.C — panelist addressing environmental litigation — transportation, hotel room

Reimbursement — Legal Hold - Conference on Preservation Excellence — Q/I82013-9/192013 — Portland, Oregon — panelist addressing discovery issues — transportation, hotel room

Reimbursement — Sedona Conference — 11062013-1 1108/7201. — Phoneix. Arizona — panchist addressing e- discovery issues — transportation, hotel room

Reimbursement — Shh ak Udini tc dondivt dion Mandl Center -Advanced eDiscovery Institute — an Reociaedis Cada aose SRK wo Cina d — AEs rir mitenalinte risa ding discovery issues — rT TI Te TT

Income — 2013 — University of Denver, Sturm College of Law - compensation as Adjunct Faculty Member — $10.000.00

Spouse's income — 2013 — self-emploved diversity consultant

Part VII, Lime 14: On December 2, 2013, this IRA and the assets therein were transferred to the IRA listed at line 19

Part VIII, Line 43: On November 13, 2013, this IRA and the assets there were transferred to the IRA listed at line 35,

Part VIII, Line 39: TIAA-CREF High Yield was converted to Vanguard Target Retirement 2025 Fund in

2013 and the latter fund was transferred to the IRA listed at line 35. The reference on line 39 should

reflect the Vanguard fund rather than the TIAA-CREF fund.