United States Senate Financial Disclosures

2/3/19, 7)39 PMeFD: Annual Report for 2018 - Romney, W. Mitt

of 78https://efdsearch.senate.gov/search/view/annual/5a738107-fc73-46a2-9dbf-4bba670f28b1/

United States Senate

Financial DisclosuresCandidate ReportMr. W. Mitt RomneyState of Candidacy: UT | Candidacy Commenced: 02/16/2018

! Filed 03/23/2018 @ 9/27 AM

The following statements were checked before filing:

I certify that the statements I have made on this form are true, complete and correct to the best of myknowledge and belief.I understand that reports cannot be edited once filed. To make corrections, I will submit an electronicamendment to this report.

I omitted assets because they meet the three-part test for exemption.

Part 1. Honoraria Payments or Payments to Charity in Lieu of HonorariaDid any individual or organization pay you or your spouse more than $200 or donate any amount to a charity onyour behalf, for an article, speech, or appearance? Yes

# Date Activity Amount Who Paid? Who received payment?

1 02/01/2017 Speech $99,500.00 Deutsche BankNew York, NY

Self

2 03/02/2017 Speech $15,000.00 American Appareland FootwearAssociationWashington, DC

A Charity

3 03/02/2017 Speech $15,000.00 New BalanceBoston, MA

A Charity

4 04/05/2017 Speech $100,000.00 McKinsey &CompanyNew York, NY

Self

5 04/05/2017 Speech $100,000.00 TD AmeritradeOmaha, NE

Self

6 04/05/2017 Speech $98,792.00 US ChamberInstitute for LegalReformWashington, DC

Self

7 06/21/2017 Speech $20,000.00 BiotechnologyInnovationOrganizationWashington, DC

Spouse

8 08/18/2017 Speech $60,000.00 Academy MortgageDraper, UT

Self

9 08/18/2017 Speech $40,000.00 Goldman SachsNew York, NY

Self



10 08/18/2017 Speech $100,000.00 National MultifamilyHousing CouncilWashington, DC

Self

11 08/18/2017 Speech $100,000.00 NBCUniversal Media,LLCNew York, NY

Self

12 08/21/2017 Speech $40,000.00 Goldman SachsNew York, NY

Self

13 08/21/2017 Speech $100,000.00 Blue Cross BlueShieldChicago, IL

Self

14 08/21/2017 Speech $100,000.00 Itau BBASao Paulo, Brasil

Self

15 09/19/2017 Speech $122,000.00 Deutsche BankLondon, UnitedKingdom

Self

16 10/19/2017 Speech $84,000.00 Stream RealtyPartnersHouston, TX

Self

17 11/14/2017 Speech $97,000.00 Robarts ResearchInstituteOntario, Canada

A Charity

18 12/19/2017 Speech $100,000.00 Centerview PartnersNew York, NY

Self

19 01/22/2018 Speech $40,260.31 Retail IndustryLeaders AssociationArlington, VA

Self

20 02/11/2018 Speech $137,082.00 NBCUniversal Media,LLCNew York, NY

Self



Part 2. Earned and Non-Investment IncomeDid you or your spouse have reportable earned income or non-investment income? Yes

#

WhoWasPaid Type Who Paid Amount Paid

1 Self Other (DirectorFee)

Marriott InternationalBethesda, MD

$131,039.00

2 Self Other (DirectorFee)

Solamere CapitalBoston, MA

$220,000.00

3 Self Retirement Goldman Sachs IRA Account(Retirement Account Distribution)New York, NY

$1,675,642.00

4 Spouse Royalties St. Martin's Press (Publisher of "In ThisTogether")New York, NY

> $1,000

Part 3. AssetsDid you, your spouse, or dependent child own any asset worth more than $1000, have a deposit account with abalance over $5,000, or receive income of more than $200 from an asset? Yes

Asset Asset Type Owner ValueIncomeType Income

1 The Ann D. Romney 1998Revocable Trust

TrustGeneral Trust

Spouse

1.1 Goldman SachsInvestment AdvisoryAccount

Brokerage/ManagedAccount

Spouse

1.1.1 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,

Bank Deposit Spouse $15,001 -$50,000

Interest, $201 - $1,000

1.1.2 BARCLAYS BANK PLCLINKED TO 30Y EUROCMS UPSIDE/DOWNSIDELEVERED STRUCTUREDNOTE DUE 02/18/2020Description: Barclays FXStructured Note (New York,NY)

Other Securities Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild

None, None (or lessthan $201)

1.1.3 GDFIX - Goldman SachsShort Duration Inc Instl

Mutual FundsMutual Fund

Spouse Over$1,000,000and heldindependently

ExceptedInvestmentFund,

$15,001 -$50,000

http://finance.yahoo.com/q?s=GDFIX



by spouse ordependentchild

1.1.4 GSTGX - Goldman SachsShort Dur Govt Instl


Spouse $100,001 -$250,000


$1,001 -$2,500

1.1.5 THE GOLDMAN SACHSGROUP, INC. LINKED TO10Y CMS FLOATING CPNDUE 05/05/2025 SR LIENDescription: Goldman SachsCMS Structured Note (NewYork, NY)


Interest, $100,001 -$1,000,000

1.1.6 BNP PARIBAS LINKED TOINTL EQ BSKT UPSIDELEVERED NO CAP WBUFFER STRUCTUREDNOTE DUE 06/13/2018

Equity Index-LinkedNote

Spouse Over$1,000,000and heldindependentlyby spouse ordependentchild


1.1.7 DEUTSCHE BANK AG-LONDON BRANCH LINKEDTO INTL EQ BSKT UPSIDELEVERED NO CAP WBUFFER STRUCTUREDNOTE DUE 06/13/2018


Spouse $100,001 -$250,000


1.1.8 JPMORGAN CHASE & CO.LINKED TO BASKET OFINDICES UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 12/16/2019


Spouse $250,001 -$500,000


1.1.9 MORGAN STANLEYLINKED TO EURO STOXX50 PR UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 09/17/2019




1.1.10 SOCIETE GENERALELINKED TO INTL EQ BSKTUPSIDE LEVERED NO CAPSTRUCTURED NOTE DUE06/13/2018


Spouse $100,001 -$250,000


1.1.11 GSFRX - Goldman SachsHigh Yield Fl Rate Instl




$100,001 -$1,000,000

1.1.12 NFRIX - NuveenSymphony Floating RateIncome I


Spouse Over$1,000,000and heldindependently


$100,001 -$1,000,000

http://finance.yahoo.com/q?s=GSTGX

http://finance.yahoo.com/q?s=GSFRX

http://finance.yahoo.com/q?s=NFRIX



by spouse ordependentchild

1.1.13 PIMIX - PIMCO IncomeInstl




$100,001 -$1,000,000

1.1.14 THE GOLDMAN SACHSGROUP, INC. LINKED TOFX BASKET 9% COUPONDUE 12/19/2019STRUCTURED NOTEDescription: Goldman SachsFX Linked StructuredNote (New York, NY)



1.1.15 CANADIAN IMPERIALBANK OF COMM LINKEDTO S&P 500 INDEXUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE08/23/2018


Spouse $500,001 -$1,000,000


1.1.16 CITIGROUP INC. LINKEDTO S&P 500 INDEXUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE06/01/2018


Spouse $100,001 -$250,000


1.1.17 CREDIT SUISSE AGLINKED TO RUSSELL 2000INDEX UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 11/21/2019


Spouse $500,001 -$1,000,000


1.1.18 KBE - SPDR S&P Bank ETF Mutual FundsExchange TradedFund/Note



$5,001 -$15,000

1.1.19 SPY - SPDR S&P 500 ETF Mutual FundsExchange TradedFund/Note

Spouse $50,001 -$100,000


$1,001 -$2,500

1.1.20 GSMMX - Goldman SachsMulti-Manager Alts Instl


Spouse None (or lessthan $1,001)


$5,001 -$15,000

1.1.21 CREDIT SUISSE AGLINKED TO S&P 500INDEX UPSIDE LEVEREDCAPPED W BUFFERSTRUCTURED NOTE DUE05/03/2017



CapitalGains,

$5,001 -$15,000

http://finance.yahoo.com/q?s=PIMIX

http://finance.yahoo.com/q?s=KBE

http://finance.yahoo.com/q?s=SPY

http://finance.yahoo.com/q?s=GSMMX



1.2 Goldman Sachs ManagedAccount #1


Spouse

1.2.1 ACSAY - ACS, Actividadesde Construcción yServicios, S.A.

CorporateSecuritiesStock

Spouse $1,001 -$15,000

CapitalGains,

None (or lessthan $201)

1.2.2 AER - AerCap HoldingsN.V.


Spouse $1,001 -$15,000


1.2.3 AAGIY - AIA GroupLimited


Spouse $1,001 -$15,000

Dividends, None (or lessthan $201)

1.2.4 EADSY - Airbus SE CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends,CapitalGains,

$201 - $1,000

1.2.5 ABEV - Ambev S.A. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.6 MT - ArcelorMittal CorporateSecuritiesStock

Spouse $1,001 -$15,000

CapitalGains,

$201 - $1,000

1.2.7 AXAHY - AXA SA CorporateSecuritiesStock

Spouse $1,001 -$15,000



1.2.8 BAESY - BAE Systems plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.9 BIDU - Baidu, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.10 SAN - Banco Santander,S.A.


Spouse $1,001 -$15,000


1.2.11 BAYRY - BayerAktiengesellschaft


Spouse $1,001 -$15,000


1.2.12 BBL - BHP Billiton plc CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.2.13 BTI - British AmericanTobacco p.l.c.


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.2.14 CNQ - Canadian NaturalResources Limited


Spouse $1,001 -$15,000


1.2.15 CABGY - Carlsberg A/S CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.16 CRRFY - Carrefour SA CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.17 CKHUY - CK Hutchison CorporateSecurities

Spouse $1,001 -$15,000


http://finance.yahoo.com/q?s=ACSAY

http://finance.yahoo.com/q?s=AER

http://finance.yahoo.com/q?s=AAGIY

http://finance.yahoo.com/q?s=EADSY

http://finance.yahoo.com/q?s=ABEV

http://finance.yahoo.com/q?s=MT

http://finance.yahoo.com/q?s=AXAHY

http://finance.yahoo.com/q?s=BAESY

http://finance.yahoo.com/q?s=BIDU

http://finance.yahoo.com/q?s=SAN

http://finance.yahoo.com/q?s=BAYRY

http://finance.yahoo.com/q?s=BBL

http://finance.yahoo.com/q?s=BTI

http://finance.yahoo.com/q?s=CNQ

http://finance.yahoo.com/q?s=CABGY

http://finance.yahoo.com/q?s=CRRFY

http://finance.yahoo.com/q?s=CKHUY



Holdings Limited Stock

1.2.18 DBSDY - DBS GroupHoldings Ltd


Spouse $1,001 -$15,000


$201 - $1,000

1.2.19 DBOEY - Deutsche BörseAktiengesellschaft


Spouse $1,001 -$15,000


1.2.20 DNHBY - DNB ASA CorporateSecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000

1.2.21 EONGY - E.ON SE CorporateSecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000

1.2.22 ENGIY - ENGIE SA CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.23 ESLOY - EssilorInternational SociétéAnonyme


Spouse $1,001 -$15,000


1.2.24 FRCOY - Fast RetailingCo., Ltd.


Spouse $1,001 -$15,000




Interest, None (or lessthan $201)

1.2.26 HSBC - HSBC Holdings plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000

1.2.27 ISNPY - Intesa SanpaoloS.p.A.


Spouse $1,001 -$15,000


$201 - $1,000

1.2.28 JBAXY - Julius BaerGroup Ltd.


Spouse $1,001 -$15,000



1.2.29 KKPNY - Koninklijke KPNN.V.


Spouse $1,001 -$15,000


1.2.30 LYG - Lloyds BankingGroup plc


Spouse $1,001 -$15,000


1.2.31 MITEY - Mitsubishi EstateCo., Ltd.


Spouse $1,001 -$15,000


1.2.32 ORAN - Orange S.A. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.33 OTSKY - Otsuka HoldingsCo., Ltd.


Spouse $1,001 -$15,000


http://finance.yahoo.com/q?s=DBSDY

http://finance.yahoo.com/q?s=DBOEY

http://finance.yahoo.com/q?s=DNHBY

http://finance.yahoo.com/q?s=EONGY

http://finance.yahoo.com/q?s=ENGIY

http://finance.yahoo.com/q?s=ESLOY

http://finance.yahoo.com/q?s=FRCOY

http://finance.yahoo.com/q?s=HSBC

http://finance.yahoo.com/q?s=ISNPY

http://finance.yahoo.com/q?s=JBAXY

http://finance.yahoo.com/q?s=KKPNY

http://finance.yahoo.com/q?s=LYG

http://finance.yahoo.com/q?s=MITEY

http://finance.yahoo.com/q?s=ORAN

http://finance.yahoo.com/q?s=OTSKY



1.2.34 PCRFY - PanasonicCorporation


Spouse $1,001 -$15,000


$201 - $1,000

1.2.35 PM - Philip MorrisInternational Inc.


Spouse $1,001 -$15,000


1.2.36 RHHBY - Roche HoldingAG


Spouse $1,001 -$15,000


1.2.37 RDSMY - Koninklijke DSMN.V.


Spouse $1,001 -$15,000


$201 - $1,000

1.2.38 RDS-A - Royal Dutch Shellplc


Spouse $1,001 -$15,000


$201 - $1,000

1.2.39 SAP - SAP SE CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.40 SLB - SchlumbergerLimited


Spouse $1,001 -$15,000


1.2.41 SOMLY - SECOM CO., LTD. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.42 SVNDY - Seven & iHoldings Co., Ltd.


Spouse $1,001 -$15,000


1.2.43 SNN - Smith & Nephew plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.44 SMFG - Sumitomo MitsuiFinancial Group, Inc.


Spouse $1,001 -$15,000


1.2.45 TTM - Tata Motors Limited CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.46 TRYIY - Toray Industries,Inc.


Spouse $1,001 -$15,000


1.2.47 TOT - TOTAL S.A. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.2.48 AHEXY - Adecco GroupAG




$201 - $1,000

1.2.49 AEG - AEGON N.V. CorporateSecuritiesStock



$201 - $1,000

1.2.50 BBVA - Banco BilbaoVizcaya Argentaria, S.A.



CapitalGains,

$201 - $1,000

1.2.51 FMS - Fresenius Medical Corporate Spouse None (or less Dividends, $201 - $1,000

http://finance.yahoo.com/q?s=PCRFY

http://finance.yahoo.com/q?s=PM

http://finance.yahoo.com/q?s=RHHBY

http://finance.yahoo.com/q?s=RDSMY

http://finance.yahoo.com/q?s=RDS-A

http://finance.yahoo.com/q?s=SAP

http://finance.yahoo.com/q?s=SLB

http://finance.yahoo.com/q?s=SOMLY

http://finance.yahoo.com/q?s=SVNDY

http://finance.yahoo.com/q?s=SNN

http://finance.yahoo.com/q?s=SMFG

http://finance.yahoo.com/q?s=TTM

http://finance.yahoo.com/q?s=TRYIY

http://finance.yahoo.com/q?s=TOT

http://finance.yahoo.com/q?s=AHEXY

http://finance.yahoo.com/q?s=AEG

http://finance.yahoo.com/q?s=BBVA

http://finance.yahoo.com/q?s=FMS



Care AG & Co. KGaA SecuritiesStock

than $1,001) CapitalGains,

1.2.52 KMTUY - Komatsu Ltd. CorporateSecuritiesStock



$1,001 -$2,500

1.2.53 SEKEY - Seiko EpsonCorporation




$201 - $1,000

1.2.54 VIVHY - Vivendi SA CorporateSecuritiesStock



$201 - $1,000



Spouse

1.3.1 AIG - AmericanInternational Group, Inc.




$201 - $1,000

1.3.2 AON - Aon plc CorporateSecuritiesStock



$201 - $1,000

1.3.3 AAPL - Apple Inc. CorporateSecuritiesStock



$1,001 -$2,500

1.3.4 BRK-B - BerkshireHathaway Inc.



CapitalGains,

$1,001 -$2,500

1.3.5 CP - Canadian PacificRailway Limited




$201 - $1,000

1.3.6 CTSH - CognizantTechnology SolutionsCorporation




$201 - $1,000

1.3.7 CMCSA - ComcastCorporation




$201 - $1,000

1.3.8 DG - Dollar GeneralCorporation




$2,501 -$5,000

1.3.9 LB - L Brands, Inc. CorporateSecuritiesStock



$201 - $1,000

1.3.10 MSFT - MicrosoftCorporation




$1,001 -$2,500

1.3.11 MSI - Motorola Solutions,Inc.




$201 - $1,000

1.3.12 ORCL - OracleCorporation




$201 - $1,000

1.3.13 PCLN - Booking HoldingsInc.



CapitalGains,

$201 - $1,000

http://finance.yahoo.com/q?s=KMTUY

http://finance.yahoo.com/q?s=SEKEY

http://finance.yahoo.com/q?s=VIVHY

http://finance.yahoo.com/q?s=AIG

http://finance.yahoo.com/q?s=AON

http://finance.yahoo.com/q?s=AAPL

http://finance.yahoo.com/q?s=BRK-B

http://finance.yahoo.com/q?s=CP

http://finance.yahoo.com/q?s=CTSH

http://finance.yahoo.com/q?s=CMCSA

http://finance.yahoo.com/q?s=DG

http://finance.yahoo.com/q?s=LB

http://finance.yahoo.com/q?s=MSFT

http://finance.yahoo.com/q?s=MSI

http://finance.yahoo.com/q?s=ORCL

http://finance.yahoo.com/q?s=PCLN






$2,501 -$5,000

1.3.15 WLTW - Willis TowersWatson Public LimitedCompany




$1,001 -$2,500



Spouse

1.4.1 ABT - Abbott Laboratories CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.4.2 ADBE - Adobe SystemsIncorporated


Spouse $15,001 -$50,000


1.4.3 BABA - Alibaba GroupHolding Limited


Spouse $15,001 -$50,000


1.4.4 GOOGL - Alphabet Inc. CorporateSecuritiesStock

Spouse $15,001 -$50,000


1.4.5 BDX - Becton, Dickinsonand Company


Spouse $1,001 -$15,000


1.4.6 BKNG - Booking HoldingsInc.


Spouse $1,001 -$15,000




Spouse $1,001 -$15,000


1.4.8 SCHW - The CharlesSchwab Corporation


Spouse $15,001 -$50,000


1.4.9 DLTR - Dollar Tree, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.4.10 EA - Electronic Arts Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.4.11 FB - Facebook, Inc. CorporateSecuritiesStock

Spouse $15,001 -$50,000





1.4.13 KSU - Kansas CitySouthern


Spouse $1,001 -$15,000


$201 - $1,000

1.4.14 MSFT - Microsoft CorporateSecurities

Spouse $15,001 - Dividends, $201 - $1,000


http://finance.yahoo.com/q?s=WLTW

http://finance.yahoo.com/q?s=ABT

http://finance.yahoo.com/q?s=ADBE

http://finance.yahoo.com/q?s=BABA

http://finance.yahoo.com/q?s=GOOGL

http://finance.yahoo.com/q?s=BDX

http://finance.yahoo.com/q?s=BKNG


http://finance.yahoo.com/q?s=SCHW

http://finance.yahoo.com/q?s=DLTR

http://finance.yahoo.com/q?s=EA

http://finance.yahoo.com/q?s=FB

http://finance.yahoo.com/q?s=KSU




Corporation Stock $50,000

1.4.15 MNST - Monster BeverageCorporation


Spouse $1,001 -$15,000


1.4.16 MSCI - MSCI Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.4.17 NCLH - Norwegian CruiseLine Holdings Ltd.


Spouse $1,001 -$15,000


1.4.18 PYPL - PayPal Holdings,Inc.


Spouse $1,001 -$15,000


1.4.19 REGN - RegeneronPharmaceuticals, Inc.


Spouse $1,001 -$15,000


1.4.20 RCL - Royal CaribbeanCruises Ltd.


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.4.21 SIRI - Sirius XM HoldingsInc.


Spouse $1,001 -$15,000


1.4.22 TCEHY - Tencent HoldingsLimited


Spouse $15,001 -$50,000


1.4.23 TMO - Thermo FisherScientific Inc.


Spouse $1,001 -$15,000


1.4.24 TD - The Toronto-Dominion Bank


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.4.25 V - Visa Inc. CorporateSecuritiesStock

Spouse $15,001 -$50,000


1.4.26 WYNN - Wynn Resorts,Limited


Spouse $1,001 -$15,000


1.4.27 ZTS - Zoetis Inc. CorporateSecuritiesStock

Spouse $15,001 -$50,000




CapitalGains,

$2,501 -$5,000



CapitalGains,

$2,501 -$5,000




CapitalGains,

$2,501 -$5,000

1.4.31 CDK - CDK Global, Inc. CorporateSecurities


CapitalGains,

$201 - $1,000

http://finance.yahoo.com/q?s=MNST

http://finance.yahoo.com/q?s=MSCI

http://finance.yahoo.com/q?s=NCLH

http://finance.yahoo.com/q?s=PYPL

http://finance.yahoo.com/q?s=REGN

http://finance.yahoo.com/q?s=RCL

http://finance.yahoo.com/q?s=SIRI

http://finance.yahoo.com/q?s=TCEHY

http://finance.yahoo.com/q?s=TMO

http://finance.yahoo.com/q?s=TD

http://finance.yahoo.com/q?s=V

http://finance.yahoo.com/q?s=WYNN

http://finance.yahoo.com/q?s=ZTS




http://finance.yahoo.com/q?s=CDK



Stock1.4.32 CERN - Cerner

CorporationCorporateSecuritiesStock


CapitalGains,

$201 - $1,000




CapitalGains,

$2,501 -$5,000




CapitalGains,

$2,501 -$5,000

1.4.35 GNTX - GentexCorporation



CapitalGains,

$1,001 -$2,500




CapitalGains,

$2,501 -$5,000




CapitalGains,

$2,501 -$5,000

1.4.38 SHW - The Sherwin-Williams Company



CapitalGains,

$2,501 -$5,000

1.4.39 TWX - Time Warner Inc. CorporateSecuritiesStock


CapitalGains,

$1,001 -$2,500



Spouse

1.5.1 AET - Aetna Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


$1,001 -$2,500


Spouse $15,001 -$50,000


1.5.3 GOOG - Alphabet Inc. CorporateSecuritiesStock

Spouse $15,001 -$50,000


1.5.4 ABC - AmerisourceBergenCorporation


Spouse $15,001 -$50,000


$1,001 -$2,500

1.5.5 ANTM - Anthem, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000

CapitalGains,

$2,501 -$5,000

1.5.6 AZO - AutoZone, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000

CapitalGains,

$1,001 -$2,500

1.5.7 AXTA - Axalta CoatingSystems Ltd.


Spouse $15,001 -$50,000


1.5.8 AXS - AXIS CapitalHoldings Limited


Spouse $1,001 -$15,000

CapitalGains,

$1,001 -$2,500

http://finance.yahoo.com/q?s=CERN



http://finance.yahoo.com/q?s=GNTX



http://finance.yahoo.com/q?s=SHW

http://finance.yahoo.com/q?s=TWX

http://finance.yahoo.com/q?s=AET


http://finance.yahoo.com/q?s=GOOG

http://finance.yahoo.com/q?s=ABC

http://finance.yahoo.com/q?s=ANTM

http://finance.yahoo.com/q?s=AZO

http://finance.yahoo.com/q?s=AXTA

http://finance.yahoo.com/q?s=AXS



1.5.9 CAH - Cardinal Health,Inc.


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.5.10 CBG - CBRE Group, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000

CapitalGains,

$1,001 -$2,500

1.5.11 CVS - CVS HealthCorporation


Spouse $15,001 -$50,000

Dividends, $201 - $1,000

1.5.12 RE - Everest Re Group,Ltd.


Spouse $1,001 -$15,000


$1,001 -$2,500

1.5.13 GKNLY - GKN plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


$1,001 -$2,500



Interest, $201 - $1,000

1.5.15 HLT - Hilton WorldwideHoldings Inc.


Spouse $1,001 -$15,000


$1,001 -$2,500

1.5.16 MA - MastercardIncorporated


Spouse $15,001 -$50,000


$1,001 -$2,500

1.5.17 MCK - McKessonCorporation


Spouse $15,001 -$50,000



1.5.18 MCO - Moody'sCorporation


Spouse $1,001 -$15,000


$1,001 -$2,500

1.5.19 NOV - National OilwellVarco, Inc.


Spouse $15,001 -$50,000



1.5.20 NTRS - Northern TrustCorporation


Spouse $1,001 -$15,000


$201 - $1,000

1.5.21 ORLY - O'ReillyAutomotive, Inc.


Spouse $1,001 -$15,000

CapitalGains,

$1,001 -$2,500



Spouse $15,001 -$50,000


$1,001 -$2,500

1.5.23 PH - Parker-HannifinCorporation


Spouse $1,001 -$15,000


$201 - $1,000

1.5.24 QRVO - Qorvo, Inc. CorporateSecuritiesStock

Spouse $15,001 -$50,000

CapitalGains,

$1,001 -$2,500

1.5.25 SPGI - S&P Global Inc. CorporateSecurities

Spouse $1,001 -$15,000

CapitalGains,

$201 - $1,000

http://finance.yahoo.com/q?s=CAH

http://finance.yahoo.com/q?s=CBG

http://finance.yahoo.com/q?s=CVS

http://finance.yahoo.com/q?s=RE

http://finance.yahoo.com/q?s=GKNLY

http://finance.yahoo.com/q?s=HLT

http://finance.yahoo.com/q?s=MA

http://finance.yahoo.com/q?s=MCK

http://finance.yahoo.com/q?s=MCO

http://finance.yahoo.com/q?s=NOV

http://finance.yahoo.com/q?s=NTRS

http://finance.yahoo.com/q?s=ORLY


http://finance.yahoo.com/q?s=PH

http://finance.yahoo.com/q?s=QRVO

http://finance.yahoo.com/q?s=SPGI



Stock1.5.26 SABR - Sabre Corporation Corporate

SecuritiesStock

Spouse $1,001 -$15,000



1.5.27 SWKS - SkyworksSolutions, Inc.


Spouse $15,001 -$50,000


$2,501 -$5,000

1.5.28 STT - State StreetCorporation


Spouse $15,001 -$50,000


$201 - $1,000

1.5.29 SSREY - Swiss Re Ltd CorporateSecuritiesStock

Spouse $15,001 -$50,000


$201 - $1,000

1.5.30 BK - The Bank of NewYork Mellon Corporation


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.5.31 UTX - UnitedTechnologies Corporation


Spouse $1,001 -$15,000


$1,001 -$2,500


Spouse $15,001 -$50,000


$1,001 -$2,500

1.5.33 BA - The Boeing Company CorporateSecuritiesStock



$5,001 -$15,000




CapitalGains,

$201 - $1,000

1.5.35 CSCO - Cisco Systems,Inc.




$1,001 -$2,500

1.5.36 HGV - Hilton GrandVacations Inc.



CapitalGains,

$1,001 -$2,500

1.5.37 IHG - InterContinentalHotels Group PLC




$2,501 -$5,000





$201 - $1,000

1.5.39 SSNC - SS&CTechnologies Holdings,Inc.




$2,501 -$5,000




$1,001 -$2,500

1.5.41 DIS - The Walt DisneyCompany




$201 - $1,000

1.5.42 WPP - WPP plc CorporateSecuritiesStock



$201 - $1,000

http://finance.yahoo.com/q?s=SABR

http://finance.yahoo.com/q?s=SWKS

http://finance.yahoo.com/q?s=STT

http://finance.yahoo.com/q?s=SSREY

http://finance.yahoo.com/q?s=BK

http://finance.yahoo.com/q?s=UTX


http://finance.yahoo.com/q?s=BA


http://finance.yahoo.com/q?s=CSCO

http://finance.yahoo.com/q?s=HGV

http://finance.yahoo.com/q?s=IHG


http://finance.yahoo.com/q?s=SSNC


http://finance.yahoo.com/q?s=DIS

http://finance.yahoo.com/q?s=WPP





Spouse

1.6.1 ABBVIE INC. USD SER BSR LIENRate/Coupon: 2% Matures: 11/06/2018

CorporateSecuritiesCorporate Bond

Spouse $100,001 -$250,000

Interest, $1,001 -$2,500

1.6.2 ACTAVIS FUNDING SCSUSD SR LIENRate/Coupon: 3% Matures: 03/12/2020


Spouse $50,001 -$100,000

Interest, $1,001 -$2,500

1.6.3 ALTRIA GROUP, INC. USDSR LIENRate/Coupon: 9.7% Matures: 11/10/2018


Spouse $100,001 -$250,000

Interest, $5,001 -$15,000

1.6.4 APPLE INC. SR LIENRate/Coupon: 2.1% Matures: 09/12/2022


Spouse $50,001 -$100,000

Interest, $1,001 -$2,500

1.6.5 CISCO SYSTEMS, INC.USD SR LIENRate/Coupon: 2.45% Matures: 06/15/2020


Spouse $100,001 -$250,000

Interest, $2,501 -$5,000

1.6.6 CITIGROUP INC USD SRLIENRate/Coupon: 2.35% Matures: 08/02/2021


Spouse $100,001 -$250,000

Interest, $2,501 -$5,000

1.6.7 CITIZENS FINANCIALGROUP, INC. USD SR LIENRate/Coupon: 2.375% Matures: 07/28/2021


Spouse $100,001 -$250,000

Interest, $2,501 -$5,000

1.6.8 DANAHER CORPORATIONUSD SR LIENRate/Coupon: 2.4% Matures: 09/15/2020


Spouse $100,001 -$250,000

Interest,CapitalGains,

$1,001 -$2,500

1.6.9 FEDERAL HOME LOANBANK SYSTEM 1.25%06/08/2018 SER IX-9018SR LIENRate/Coupon: None Matures: None

GovernmentSecuritiesUSTreasury/AgencySecurity

Spouse $100,001 -$250,000

Interest, $1,001 -$2,500

1.6.10 FEDERAL HOME LOANBANK SYSTEM 1.75%12/14/2018 SER FM-9018SR LIENRate/Coupon: None Matures: None


Spouse $100,001 -$250,000

Interest, $1,001 -$2,500

1.6.11 FEDERAL HOME LOANBANK SYSTEM 2.75%06/08/2018 SER AZ-9018SR LIENRate/Coupon: None Matures: None


Spouse $100,001 -$250,000

Interest, $2,501 -$5,000

1.6.12 FHLB 1.875% 03/13/2020 Government Spouse $50,001 - Interest, $1,001 -



SER XJ-2020 SR LIENRate/Coupon: None Matures: None

SecuritiesUSTreasury/AgencySecurity

$100,000 $2,500

1.6.13 FHLB 2.0% 09/14/2018SER DU-9018 SR LIENRate/Coupon: None Matures: None


Spouse $100,001 -$250,000

Interest, $2,501 -$5,000



Interest, $1,001 -$2,500

1.6.15 INGERSOLL-RANDGLOBAL HOLDING SRLIENRate/Coupon: 6.875% Matures: 08/15/2018


Spouse $50,001 -$100,000

Interest, $5,001 -$15,000

1.6.16 JOHN DEERE CAPITALCORP MTN USD SR LIENRate/Coupon: 1.25% Matures: 10/09/2019


Spouse $50,001 -$100,000


$1,001 -$2,500

1.6.17 JPMORGAN CHASE & COUSD SR LIENRate/Coupon: 1.85% Matures: 03/22/2019


Spouse $50,001 -$100,000

Interest, $1,001 -$2,500

1.6.18 LEGG MASON, INC. USDSR LIENRate/Coupon: 2.7% Matures: 07/15/2019


Spouse $50,001 -$100,000

Interest, $1,001 -$2,500

1.6.19 MORGAN STANLEY USDSR LIENRate/Coupon: 2.65% Matures: 01/27/2020


Spouse $100,001 -$250,000

Interest, $2,501 -$5,000

1.6.20 OMNICOM GROUP INC.USD SR LIENRate/Coupon: 4.45% Matures: 08/15/2020


Spouse $100,001 -$250,000

Interest, $5,001 -$15,000

1.6.21 ROYAL BANK OF CANADAMTN USD SR LIENRate/Coupon: 1.5% Matures: 07/29/2019


Spouse $100,001 -$250,000


$1,001 -$2,500

1.6.22 SHIRE ACQUISITIONSINVESTMENTS USD SRLIENRate/Coupon: 2.4% Matures: 09/23/2021


Spouse $50,001 -$100,000


$1,001 -$2,500

1.6.23 TORONTO-DOMINIONBANK MTN USD SR LIENRate/Coupon: 1.45% Matures: 09/06/2018


Spouse $50,001 -$100,000

Interest, $1,001 -$2,500

1.6.24 U.S. TREASURY NOTE Government Spouse $100,001 - Interest, $2,501 -



1.500000% 10/31/2019Rate/Coupon: None Matures: None

SecuritiesUSTreasury/AgencySecurity

$250,000 $5,000

1.6.25 U.S. TREASURY NOTE1.625000% 08/15/2022Rate/Coupon: None Matures: None


Spouse $50,001 -$100,000

Interest, $1,001 -$2,500

1.6.26 U.S. TREASURY NOTE2.125000% 12/31/2022Rate/Coupon: None Matures: None


Spouse $100,001 -$250,000

Interest, $2,501 -$5,000

1.6.27 VERIZONCOMMUNICATIONS INC.USD SR LIENRate/Coupon: 1.75% Matures: 08/15/2021


Spouse $50,001 -$100,000



1.6.28 VMWARE INC USD SRLIENRate/Coupon: 2.95% Matures: 08/21/2022


Spouse $50,001 -$100,000

Interest, $2,501 -$5,000

1.6.29 VMWARE INC USD SRLIENRate/Coupon: 2.95% Matures: 08/21/2022


Spouse $50,001 -$100,000

Interest, $1,001 -$2,500

1.6.30 WAL-MART STORES INCSR LIENRate/Coupon: 2.35% Matures: 12/15/2022


Spouse $50,001 -$100,000


$1,001 -$2,500

1.6.31 WELLS FARGO &COMPANY USD SR LIENRate/Coupon: 2.1% Matures: 07/26/2021


Spouse $50,001 -$100,000


$1,001 -$2,500

1.6.32 ZOETIS INC USD SR LIENRate/Coupon: 3.45% Matures: 11/13/2020


Spouse $50,001 -$100,000

Interest, $2,501 -$5,000

1.6.33 IFC MTN 1.125%07/20/2021Description: InternationalFinance Corporation - WorldBank GroupBond (Washington, DC)

Other Securities Spouse $100,001 -$250,000

Interest, $1,001 -$2,500

1.6.34 KFW 1.0% 07/15/2019 USDSR LIENDescription: Germangovernment-owneddevelopment bankbond (Frankfurt, Germany)


Interest, $1,001 -$2,500

1.6.35 KFW 2.0% 09/29/2022 SRLIENDescription: German


Interest, $1,001 -$2,500



government-owneddevelopment bankbond (Frankfurt, Germany)

1.6.36 NIB MTN 2.25%09/30/2021 SR LIENDescription: NordicInvestment BankBond (Helsinki, Finland)


Interest, $2,501 -$5,000



Spouse

1.7.1 ABBV - AbbVie Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000

1.7.2 APD - Air Products andChemicals, Inc.


Spouse $1,001 -$15,000


1.7.3 AGN - Allergan plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.4 ALL - The AllstateCorporation


Spouse $1,001 -$15,000


$201 - $1,000

1.7.5 AEP - American ElectricPower Company, Inc.


Spouse $1,001 -$15,000


1.7.6 AXP - American ExpressCompany


Spouse $1,001 -$15,000


1.7.7 AMP - AmeripriseFinancial, Inc.


Spouse $1,001 -$15,000


$201 - $1,000

1.7.8 AMGN - Amgen Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.9 T - AT&T Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.7.10 BAC - Bank of AmericaCorporation


Spouse $1,001 -$15,000


$201 - $1,000



Spouse $1,001 -$15,000


1.7.12 BIIB - Biogen Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.13 BWA - BorgWarner Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.14 AVGO - Broadcom Limited CorporateSecuritiesStock

Spouse $1,001 -$15,000

CapitalGains,


http://finance.yahoo.com/q?s=ABBV

http://finance.yahoo.com/q?s=APD

http://finance.yahoo.com/q?s=AGN

http://finance.yahoo.com/q?s=ALL

http://finance.yahoo.com/q?s=AEP

http://finance.yahoo.com/q?s=AXP

http://finance.yahoo.com/q?s=AMP

http://finance.yahoo.com/q?s=AMGN

http://finance.yahoo.com/q?s=T

http://finance.yahoo.com/q?s=BAC


http://finance.yahoo.com/q?s=BIIB

http://finance.yahoo.com/q?s=BWA

http://finance.yahoo.com/q?s=AVGO



1.7.15 CAT - Caterpillar Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.16 CBS - CBS Corporation CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.17 CVX - ChevronCorporation


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.7.18 CB - Chubb Limited CorporateSecuritiesStock

Spouse $1,001 -$15,000




Spouse $1,001 -$15,000


$2,501 -$5,000



Spouse $1,001 -$15,000


$201 - $1,000

1.7.21 COP - ConocoPhillips CorporateSecuritiesStock

Spouse $1,001 -$15,000



1.7.22 DHR - DanaherCorporation


Spouse $1,001 -$15,000



1.7.23 DE - Deere & Company CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.24 DAL - Delta Air Lines, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000

1.7.25 DVN - Devon EnergyCorporation


Spouse $1,001 -$15,000


1.7.26 DFS - Discover FinancialServices


Spouse $1,001 -$15,000


1.7.27 DWDP - DowDuPont Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


$1,001 -$2,500

1.7.28 DTE - DTE EnergyCompany


Spouse $1,001 -$15,000


$201 - $1,000

1.7.29 ETFC - E*TRADE FinancialCorporation


Spouse $1,001 -$15,000


1.7.30 EBAY - eBay Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.31 LLY - Eli Lilly andCompany


Spouse $1,001 -$15,000


$201 - $1,000

1.7.32 EGN - Energen Corporate Spouse $1,001 - None, None (or less

http://finance.yahoo.com/q?s=CAT

http://finance.yahoo.com/q?s=CBS

http://finance.yahoo.com/q?s=CVX

http://finance.yahoo.com/q?s=CB



http://finance.yahoo.com/q?s=COP

http://finance.yahoo.com/q?s=DHR

http://finance.yahoo.com/q?s=DE

http://finance.yahoo.com/q?s=DAL

http://finance.yahoo.com/q?s=DVN

http://finance.yahoo.com/q?s=DFS

http://finance.yahoo.com/q?s=DWDP

http://finance.yahoo.com/q?s=DTE

http://finance.yahoo.com/q?s=ETFC

http://finance.yahoo.com/q?s=EBAY

http://finance.yahoo.com/q?s=LLY

http://finance.yahoo.com/q?s=EGN



Corporation SecuritiesStock

$15,000 than $201)

1.7.33 EOG - EOG Resources,Inc.


Spouse $1,001 -$15,000



1.7.34 ELS - Equity LifeStyleProperties, Inc.


Spouse $1,001 -$15,000


1.7.35 XOM - Exxon MobilCorporation


Spouse $1,001 -$15,000


1.7.36 GILD - Gilead Sciences,Inc.


Spouse $1,001 -$15,000






1.7.38 HAL - HalliburtonCompany


Spouse $1,001 -$15,000



1.7.39 HIW - HighwoodsProperties, Inc.


Spouse $1,001 -$15,000


1.7.40 HRC - Hill-Rom Holdings,Inc.


Spouse $1,001 -$15,000


1.7.41 HON - HoneywellInternational Inc.


Spouse $1,001 -$15,000


1.7.42 HBAN - HuntingtonBancshares Incorporated


Spouse $1,001 -$15,000


1.7.43 ICE - IntercontinentalExchange, Inc.


Spouse $1,001 -$15,000


1.7.44 JNJ - Johnson & Johnson CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.45 JPM - JPMorgan Chase &Co.


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.7.46 LH - LaboratoryCorporation of AmericaHoldings


Spouse $1,001 -$15,000


1.7.47 MPC - MarathonPetroleum Corporation


Spouse $1,001 -$15,000


1.7.48 MDT - Medtronic plc CorporateSecuritiesStock

Spouse $1,001 -$15,000

CapitalGains,


http://finance.yahoo.com/q?s=EOG

http://finance.yahoo.com/q?s=ELS

http://finance.yahoo.com/q?s=XOM

http://finance.yahoo.com/q?s=GILD

http://finance.yahoo.com/q?s=HAL

http://finance.yahoo.com/q?s=HIW

http://finance.yahoo.com/q?s=HRC

http://finance.yahoo.com/q?s=HON

http://finance.yahoo.com/q?s=HBAN

http://finance.yahoo.com/q?s=ICE

http://finance.yahoo.com/q?s=JNJ

http://finance.yahoo.com/q?s=JPM

http://finance.yahoo.com/q?s=LH

http://finance.yahoo.com/q?s=MPC

http://finance.yahoo.com/q?s=MDT





Spouse $1,001 -$15,000


$201 - $1,000

1.7.50 MS - Morgan Stanley CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.51 NOC - Northrop GrummanCorporation


Spouse $1,001 -$15,000


$201 - $1,000

1.7.52 NUE - Nucor Corporation CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.53 ON - ON SemiconductorCorporation


Spouse $1,001 -$15,000

CapitalGains,

$201 - $1,000



Spouse $1,001 -$15,000




Spouse $1,001 -$15,000


$201 - $1,000

1.7.56 PEP - PepsiCo, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.57 PFE - Pfizer Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.7.58 PG - The Procter &Gamble Company


Spouse $1,001 -$15,000


$201 - $1,000

1.7.59 PLD - Prologis, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.60 PEG - Public ServiceEnterprise GroupIncorporated


Spouse $1,001 -$15,000


1.7.61 PVH - PVH Corp. CorporateSecuritiesStock

Spouse $1,001 -$15,000



1.7.62 QCOM - QUALCOMMIncorporated


Spouse $1,001 -$15,000


$2,501 -$5,000

1.7.63 PWR - Quanta Services,Inc.


Spouse $1,001 -$15,000

CapitalGains,


1.7.64 RTN - Raytheon Company CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.65 SWK - Stanley Black &Decker, Inc.


Spouse $1,001 -$15,000

CapitalGains,

$1,001 -$2,500


http://finance.yahoo.com/q?s=MS

http://finance.yahoo.com/q?s=NOC

http://finance.yahoo.com/q?s=NUE

http://finance.yahoo.com/q?s=ON



http://finance.yahoo.com/q?s=PEP

http://finance.yahoo.com/q?s=PFE

http://finance.yahoo.com/q?s=PG

http://finance.yahoo.com/q?s=PLD

http://finance.yahoo.com/q?s=PEG

http://finance.yahoo.com/q?s=PVH

http://finance.yahoo.com/q?s=QCOM

http://finance.yahoo.com/q?s=PWR

http://finance.yahoo.com/q?s=RTN

http://finance.yahoo.com/q?s=SWK





Spouse $1,001 -$15,000


1.7.67 STI - SunTrust Banks, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.7.68 HSY - The HersheyCompany


Spouse $1,001 -$15,000


$201 - $1,000

1.7.69 HD - The Home Depot,Inc.


Spouse $1,001 -$15,000


$201 - $1,000



Spouse $1,001 -$15,000



1.7.71 TSN - Tyson Foods, Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000



1.7.72 UNH - UnitedHealth GroupIncorporated


Spouse $1,001 -$15,000


$201 - $1,000

1.7.73 VZ - VerizonCommunications Inc.


Spouse $1,001 -$15,000





Spouse $1,001 -$15,000



1.7.75 WM - Waste Management,Inc.


Spouse $1,001 -$15,000


1.7.76 WFC - Wells Fargo &Company


Spouse $1,001 -$15,000



1.7.77 WLK - Westlake ChemicalCorporation


Spouse $1,001 -$15,000



1.7.78 XEL - Xcel Energy Inc. CorporateSecuritiesStock

Spouse $1,001 -$15,000





CapitalGains,

$201 - $1,000




$201 - $1,000

1.7.81 CMI - Cummins Inc. CorporateSecuritiesStock



$1,001 -$2,500

1.7.82 DOW - Dow ChemicalCompany (The)




$2,501 -$5,000

Corporate


http://finance.yahoo.com/q?s=STI

http://finance.yahoo.com/q?s=HSY

http://finance.yahoo.com/q?s=HD


http://finance.yahoo.com/q?s=TSN

http://finance.yahoo.com/q?s=UNH

http://finance.yahoo.com/q?s=VZ


http://finance.yahoo.com/q?s=WM

http://finance.yahoo.com/q?s=WFC

http://finance.yahoo.com/q?s=WLK

http://finance.yahoo.com/q?s=XEL



http://finance.yahoo.com/q?s=CMI

http://finance.yahoo.com/q?s=DOW



1.7.83 EIX - Edison International SecuritiesStock



$201 - $1,000

1.7.84 GE - General ElectricCompany




$2,501 -$5,000

1.7.85 HPE - Hewlett PackardEnterprise Company




$201 - $1,000

1.7.86 INTC - Intel Corporation CorporateSecuritiesStock



$2,501 -$5,000

1.7.87 IP - International PaperCompany




$1,001 -$2,500

1.7.88 KR - The Kroger Co. CorporateSecuritiesStock



$1,001 -$2,500

1.7.89 PHM - PulteGroup, Inc. CorporateSecuritiesStock



$201 - $1,000

1.7.90 SKX - Skechers U.S.A.,Inc.



CapitalGains,

$201 - $1,000




$201 - $1,000

1.7.92 VLO - Valero EnergyCorporation




$1,001 -$2,500

1.7.93 WOOF - VCA Inc. CorporateSecuritiesStock


CapitalGains,

$1,001 -$2,500

1.7.94 WRK - WestRockCompany




$201 - $1,000




$1,001 -$2,500



Spouse

1.8.1 ABB - ABB Ltd CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.8.2 AZSEY - Allianz SE CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends, $201 - $1,000



Spouse $1,001 -$15,000



1.8.4 BP - BP p.l.c. CorporateSecurities

Spouse $1,001 -$15,000

Dividends, $201 - $1,000

http://finance.yahoo.com/q?s=EIX

http://finance.yahoo.com/q?s=GE

http://finance.yahoo.com/q?s=HPE

http://finance.yahoo.com/q?s=INTC

http://finance.yahoo.com/q?s=IP

http://finance.yahoo.com/q?s=KR

http://finance.yahoo.com/q?s=PHM

http://finance.yahoo.com/q?s=SKX


http://finance.yahoo.com/q?s=VLO

http://finance.yahoo.com/q?s=WOOF

http://finance.yahoo.com/q?s=WRK


http://finance.yahoo.com/q?s=ABB

http://finance.yahoo.com/q?s=AZSEY


http://finance.yahoo.com/q?s=BP



Stock1.8.5 CAJ - Canon Inc. Corporate

SecuritiesStock

Spouse $1,001 -$15,000



1.8.6 CHL - China MobileLimited


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.8.7 CKHUY - CK HutchisonHoldings Limited


Spouse $1,001 -$15,000


1.8.8 DMLRY - Daimler AG CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.8.9 DTEGY - DeutscheTelekom AG


Spouse $1,001 -$15,000


1.8.10 ENLAY - Enel SpA CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.8.11 E - Eni S.p.A. CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.8.12 FUJIY - FUJIFILMHoldings Corporation


Spouse $1,001 -$15,000


1.8.13 GSK - GlaxoSmithKline plc CorporateSecuritiesStock

Spouse $1,001 -$15,000

Dividends, $201 - $1,000




1.8.15 HMC - Honda Motor Co.,Ltd.


Spouse $1,001 -$15,000


$201 - $1,000

1.8.16 IBDRY - Iberdrola, S.A. CorporateSecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000

1.8.17 ISUZY - Isuzu MotorsLimited


Spouse $1,001 -$15,000



1.8.18 KGFHY - Kingfisher plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.8.19 ADRNY - Koninklijke AholdDelhaize N.V.


Spouse $1,001 -$15,000




Spouse $1,001 -$15,000

Dividends, $201 - $1,000

http://finance.yahoo.com/q?s=CAJ

http://finance.yahoo.com/q?s=CHL


http://finance.yahoo.com/q?s=DMLRY

http://finance.yahoo.com/q?s=DTEGY

http://finance.yahoo.com/q?s=ENLAY

http://finance.yahoo.com/q?s=E

http://finance.yahoo.com/q?s=FUJIY

http://finance.yahoo.com/q?s=GSK

http://finance.yahoo.com/q?s=HMC

http://finance.yahoo.com/q?s=IBDRY

http://finance.yahoo.com/q?s=ISUZY

http://finance.yahoo.com/q?s=KGFHY

http://finance.yahoo.com/q?s=ADRNY




1.8.21 NGG - National Grid plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.8.22 NVS - Novartis AG CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.8.23 DCM - NTT DOCOMO, INC. CorporateSecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000

1.8.24 QBIEY - QBE InsuranceGroup Limited


Spouse $1,001 -$15,000


1.8.25 RDS-B - Royal Dutch Shellplc


Spouse $1,001 -$15,000


$201 - $1,000

1.8.26 RWEOY - RWEAktiengesellschaft


Spouse $1,001 -$15,000


1.8.27 SNY - Sanofi CorporateSecuritiesStock

Spouse $1,001 -$15,000



Spouse $1,001 -$15,000


$201 - $1,000

1.8.29 SGAPY - SingaporeTelecommunicationsLimited


Spouse $1,001 -$15,000


1.8.30 TSM - TaiwanSemiconductorManufacturing CompanyLimited


Spouse $1,001 -$15,000


$201 - $1,000

1.8.31 TKPYY - TakedaPharmaceutical CompanyLimited


Spouse $1,001 -$15,000


1.8.32 TEF - Telefónica, S.A. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.8.33 TLSNY - Telia CompanyAB


Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.8.34 TSCDY - Tesco PLC CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.8.35 TKOMY - Tokio MarineHoldings, Inc.


Spouse $1,001 -$15,000


1.8.36 UOVEY - United OverseasBank Limited


Spouse $1,001 -$15,000


$201 - $1,000


Spouse $1,001 -$15,000


http://finance.yahoo.com/q?s=NGG

http://finance.yahoo.com/q?s=NVS

http://finance.yahoo.com/q?s=DCM

http://finance.yahoo.com/q?s=QBIEY

http://finance.yahoo.com/q?s=RDS-B

http://finance.yahoo.com/q?s=RWEOY

http://finance.yahoo.com/q?s=SNY


http://finance.yahoo.com/q?s=SGAPY

http://finance.yahoo.com/q?s=TSM

http://finance.yahoo.com/q?s=TKPYY

http://finance.yahoo.com/q?s=TEF

http://finance.yahoo.com/q?s=TLSNY

http://finance.yahoo.com/q?s=TSCDY

http://finance.yahoo.com/q?s=TKOMY

http://finance.yahoo.com/q?s=UOVEY




1.8.38 ZURVY - Zurich InsuranceGroup AG


Spouse $1,001 -$15,000


1.8.39 KCRPY - Kao Corporation CorporateSecuritiesStock



$201 - $1,000

1.8.40 NSRGY - Nestlé S.A. CorporateSecuritiesStock



$201 - $1,000

1.8.41 SYNN.VX - SYNGENTA N CorporateSecuritiesStock



$201 - $1,000

1.8.42 UL - Unilever PLC CorporateSecuritiesStock



$5,001 -$15,000



Spouse



Spouse $1,001 -$15,000


1.9.2 AIQUY - Air Liquide,société anonyme


Spouse $1,001 -$15,000


1.9.3 ALFVY - Alfa Laval AB(publ)


Spouse $1,001 -$15,000



Spouse $1,001 -$15,000

Dividends, $201 - $1,000

1.9.5 APNHY - AspenPharmacare HoldingsLimited


Spouse $1,001 -$15,000


1.9.6 ATLKY - Atlas Copco AB CorporateSecuritiesStock

Spouse $1,001 -$15,000




Spouse $1,001 -$15,000

CapitalGains,




Spouse $1,001 -$15,000

Dividends, $201 - $1,000



Spouse $1,001 -$15,000


1.9.10 BMWYY - BayerischeMotoren WerkeAktiengesellschaft


Spouse $1,001 -$15,000



1.9.11 BBAVY - BBA Aviation plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.9.12 CNI - Canadian National Corporate Spouse $1,001 - Dividends, None (or less

http://finance.yahoo.com/q?s=ZURVY

http://finance.yahoo.com/q?s=KCRPY

http://finance.yahoo.com/q?s=NSRGY

http://finance.yahoo.com/q?s=SYNN.VX

http://finance.yahoo.com/q?s=UL


http://finance.yahoo.com/q?s=AIQUY

http://finance.yahoo.com/q?s=ALFVY


http://finance.yahoo.com/q?s=APNHY

http://finance.yahoo.com/q?s=ATLKY




http://finance.yahoo.com/q?s=BMWYY

http://finance.yahoo.com/q?s=BBAVY

http://finance.yahoo.com/q?s=CNI



Railway Company SecuritiesStock

$15,000 than $201)

1.9.13 CHKP - Check PointSoftware TechnologiesLtd.


Spouse $1,001 -$15,000


$201 - $1,000

1.9.14 DIFTY - Daito TrustConstruction Co. Ltd.


Spouse $1,001 -$15,000


1.9.15 DASTY - DassaultSystèmes SE


Spouse $1,001 -$15,000


$201 - $1,000



Spouse $1,001 -$15,000


1.9.17 FANUY - FanucCorporation


Spouse $1,001 -$15,000


1.9.18 FMS - Fresenius MedicalCare AG & Co. KGaA


Spouse $1,001 -$15,000


1.9.19 FUPBY - Fuchs PetrolubSE


Spouse $1,001 -$15,000





1.9.21 GRFS - Grifols, S.A. CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.9.22 GBOOY - Grupo FinancieroBanorte, S.A.B. de C.V.


Spouse $1,001 -$15,000



1.9.23 HDB - HDFC Bank Limited CorporateSecuritiesStock

Spouse $1,001 -$15,000



Spouse $1,001 -$15,000


1.9.25 IBN - ICICI Bank Limited CorporateSecuritiesStock

Spouse $1,001 -$15,000



1.9.26 IFNNY - InfineonTechnologies AG


Spouse $1,001 -$15,000


1.9.27 ITUB - Itaú UnibancoHolding S.A.


Spouse $1,001 -$15,000


1.9.28 KUBTY - KubotaCorporation

CorporateSecurities

Spouse $1,001 -$15,000


http://finance.yahoo.com/q?s=CHKP

http://finance.yahoo.com/q?s=DIFTY

http://finance.yahoo.com/q?s=DASTY


http://finance.yahoo.com/q?s=FANUY


http://finance.yahoo.com/q?s=FUPBY

http://finance.yahoo.com/q?s=GRFS

http://finance.yahoo.com/q?s=GBOOY

http://finance.yahoo.com/q?s=HDB


http://finance.yahoo.com/q?s=IBN

http://finance.yahoo.com/q?s=IFNNY

http://finance.yahoo.com/q?s=ITUB

http://finance.yahoo.com/q?s=KUBTY



Stock1.9.29 LRLCY - L'Oréal S.A. Corporate

SecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000

1.9.30 LVMUY - LVMH MoëtHennessy Louis VuittonS.E.


Spouse $1,001 -$15,000


1.9.31 MONOY - MonotaRO Co.,Ltd.


Spouse $1,001 -$15,000


1.9.32 NPSNY - Naspers Limited CorporateSecuritiesStock

Spouse $1,001 -$15,000


$201 - $1,000


Spouse $1,001 -$15,000


1.9.34 PKCOY - Park24 Co., Ltd. CorporateSecuritiesStock

Spouse $1,001 -$15,000




Spouse $1,001 -$15,000


$201 - $1,000



Spouse $1,001 -$15,000

Dividends, $201 - $1,000


Spouse $1,001 -$15,000


$201 - $1,000

1.9.38 SSL - Sasol Limited CorporateSecuritiesStock

Spouse $1,001 -$15,000




Spouse $1,001 -$15,000


1.9.40 SHPG - Shire plc CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.9.41 SONVY - Sonova HoldingAG


Spouse $1,001 -$15,000


1.9.42 SYIEY - Symrise AG CorporateSecuritiesStock

Spouse $1,001 -$15,000


1.9.43 SSMXY - SysmexCorporation


Spouse $1,001 -$15,000




Spouse $1,001 -$15,000


http://finance.yahoo.com/q?s=LRLCY

http://finance.yahoo.com/q?s=LVMUY

http://finance.yahoo.com/q?s=MONOY

http://finance.yahoo.com/q?s=NPSNY


http://finance.yahoo.com/q?s=PKCOY




http://finance.yahoo.com/q?s=SSL


http://finance.yahoo.com/q?s=SHPG

http://finance.yahoo.com/q?s=SONVY

http://finance.yahoo.com/q?s=SYIEY

http://finance.yahoo.com/q?s=SSMXY




1.9.45 TS - Tenaris S.A. CorporateSecuritiesStock

Spouse $1,001 -$15,000



1.9.46 WB - Weibo Corporation CorporateSecuritiesStock

Spouse $1,001 -$15,000



Spouse $1,001 -$15,000



1.9.48 LNEGY - LindeAktiengesellschaft


Spouse $1,001 -$15,000

Dividends, $201 - $1,000



Spouse

1.10.1 GS CAPITAL PARTNERSFUND 2000, L.P. (a)Description: PrivateEquity (New York, NY) Filercomment: Income from2016 K-1.

Investment FundPrivate EquityFund

Spouse $1,001 -$15,000


$100,001 -$1,000,000

1.10.2 WHITEHALL STREET REALESTATE FUND IX/X (a)Description: PrivateEquity (New York, NY) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000


$201 - $1,000

1.10.3 WHITEHALL STREET REALESTATE FUND XI/XII (a)(r)Description: PrivateEquity (New YorK, NewYork) Filer comment:Income from 2016 K-1.


Spouse $1,001 -$15,000



1.10.4 WHITEHALL STREET REALESTATE L.P. XIII/XIV (a)Description: PrivateEquity (New York, NY) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000



1.10.5 WHITEHALL STREETGLOBAL REAL ESTATELIMITED PARTNERSHIP2007 (a)Description: PrivateEquity (New York, NY) Filercomment: Income from2016 K-1.




$100,001 -$1,000,000

1.10.6 Goldman Sachs BankDeposit(Boston, NY)Type: Brokerage SweepAccount,

Bank Deposit Spouse $500,001 -$1,000,000

Interest, $100,001 -$1,000,000

1.10.7 Hedge Fund Select:Corsair Capital Partners

Investment FundHedge Fund



$5,001 -$15,000

http://finance.yahoo.com/q?s=TS

http://finance.yahoo.com/q?s=WB


http://finance.yahoo.com/q?s=LNEGY



Flagship FundDescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.

1.10.8 Hedge Fund Select: WNTNDedicated Investor Fund(US) LLCDescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.




$5,001 -$15,000

1.10.9 GLOBAL OPPORTUNITIESLLC CLASS A SERIES 1Description: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.




$100,001 -$1,000,000

1.10.10 Hedge Fund Select: TudorBVI LLCDescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.




$50,001 -$100,000

1.10.11 HEDGE FUND MANAGERS(DIVERSIFIED) II LLCCLASS ADescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.




$50,001 -$100,000

1.10.12 Hedge Fund Select:Brevan Howard Multi-Strategy Fund LLCDescription: HedgeFund (New York, NY) Filercomment: Income from2016 K-1.


Spouse $500,001 -$1,000,000


$50,001 -$100,000



Spouse



Interest, $201 - $1,000

1.11.2 PUT/SPX @ 2450 EXP04/30/2018Description: PutOption (New York, NY)


















Other Securities Spouse None (or lessthan $1,001)

CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



1.11.17 PUT/SPX @ 2300 EXP08/18/2017Description: PutStrategy (New York, NY)


CapitalGains,

$2,501 -$5,000



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500

1.11.23 PUT/SPX @ 2420 EXP09/29/2017Description: PutOptions (New York, NY)


CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500

1.11.28 PUT/SPX @ 2450 EXP11/17/2017Description: New York (NewYork, NY)


CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500





CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500

1.11.32 PUT/SPX @ 2520 EXP12/01/2017Description: PutOptions (New York, NY)


CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$2,501 -$5,000

1.12 Elliott Associates, L.P.Description: HedgeFund (New York, NY) Filercomment: Income from2016 K-1


Spouse Over$1,000,000and heldindependentlyby spouse or


Over$1,000,000and heldindependentlyby spouse or



dependentchild

dependentchild

1.13 The D3 Family BulldogFund, LPDescription: HedgeFund (Camas, WA) Filercomment: Income from2017 K-1 Estimate


Spouse $500,001 -$1,000,000



1.14 BCP IV Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $500,001 -$1,000,000


$201 - $1,000

1.15 Bain Capital Fund VIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $100,001 -$250,000



1.16 Bain Capital Fund VIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.





1.17 Bain Capital VIICoinvestment FundDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $250,001 -$500,000



1.18 Bain Capital Fund VII-EDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000



1.19 Bain Capital Fund VIIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $50,001 -$100,000


$100,001 -$1,000,000

1.20 Bain Capital VIIICoinvestment FundDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $15,001 -$50,000


$50,001 -$100,000

1.21 Bain Capital Fund VIII-EDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $15,001 -$50,000


$100,001 -$1,000,000

1.22 Bain Capital Fund IX Investment FundPrivate Equity

Spouse $100,001 -$250,000

ExceptedInvestment

$100,001 -$1,000,000



Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.

Fund Fund,

1.23 Bain Capital Fund XDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.




$100,001 -$1,000,000

1.24 Bain Capital Asia FundDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $15,001 -$50,000



1.25 Bain Capital Europe FundIIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $100,001 -$250,000


$100,001 -$1,000,000

1.26 Bain Capital Venture Fund2001Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $100,001 -$250,000


$50,001 -$100,000



Spouse $50,001 -$100,000


$15,001 -$50,000



Spouse $100,001 -$250,000


$15,001 -$50,000

1.29 Bain Capital Partners (PEPGP)Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000


$100,001 -$1,000,000

1.30 Prospect Harbor CreditPartnersDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000


$201 - $1,000

1.31 Sankaty BeaconInvestment Partners, LP


Spouse $15,001 -$50,000





Description: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.

1.32 Sankaty High Yield AssetGrantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $15,001 -$50,000



1.33 Sankaty High YieldPartners III Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $15,001 -$50,000



1.34 Sankaty CreditOpportunities GrantorTrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000


$201 - $1,000

1.35 Sankaty SpecialSituations I Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000


$201 - $1,000

1.36 Brookside CapitalPartners FundDescription: HedgeFund (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $500,001 -$1,000,000



1.37 Solamere Founders FundI, LPDescription: Private EquityFund (Boston, MA) Filercomment: Income from2017 K-1 Estimate.




$100,001 -$1,000,000

1.38 Solamere Capital Fund II,LPDescription: PrivateEquity (Boston, MA) Filercomment: Income from2017 K-1 Estimate.




$100,001 -$1,000,000

1.39 SV-SC Investments, LLCDescription: PrivateEquity (Boston, MA) Filercomment: Income from2017 K-1 Estimate.


Spouse Over$1,000,000and heldindependentlyby spouse ordependent





child

1.40 Solamere HoldingCompany, LLCDescription: PrivateEquity (Boston, MA) Filercomment: Income from2017 K-1 Estimate.


Spouse $250,001 -$500,000



1.41 Solamere Capital IM, LPDescription: Private EquityFund (Boston, MA) Filercomment: Income from2017 K-1 Estimate.




$100,001 -$1,000,000

1.42 Solamere Capital Fund IIGP, LPDescription: Private EquityFund (Boston, MA) Filercomment: Income from2017 K-1 Estimate.




$1,001 -$2,500

1.43 Solamere Group HedgeInvestments, LLCDescription: HedgeFund (Boston, MA) Filercomment: Income from2017 K-1 Estimate.




$50,001 -$100,000

1.44 CCG Investments (BVI),L.P.Description: PrivateEquity (San Francisco,CA) Filer comment: Incomefrom 2017 K-1.


Spouse $1,001 -$15,000


$100,001 -$1,000,000

1.45 Golden Gate CapitalInvestment Annex Fund II,L.P.Description: PrivateEquity (San Francisco,CA) Filer comment: Incomefrom 2016 K-1.


Spouse $1,001 -$15,000



1.46 GGC Investment Fund II,L.P.Description: PrivateEquity (San Francisco,CA) Filer comment: Incomefrom 2017 K-1.


Spouse $15,001 -$50,000


$5,001 -$15,000

1.47 Golden Gate CapitalInvestment Fund II-A, L.P.Description: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2016 K-1.


Spouse $1,001 -$15,000



1.48 GGC Investments II (BVI),L.P.Description: Private EquityFund (San Francisco,


Spouse $1,001 -$15,000


$15,001 -$50,000



CA) Filer comment: Incomefrom 2017 K-1.

1.49 Golden Gate CapitalInvestments II, LLCDescription: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2017 K-1.


Spouse $1,001 -$15,000



1.50 Golden Gate CapitalInvestments II-A Adjunct(BVI), L.P.Description: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2016 K-1.


Spouse $1,001 -$15,000


$201 - $1,000

1.51 Golden Gate CapitalOpportunity Fund, LPDescription: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2016 K-1.




$100,001 -$1,000,000

1.52 GGC Neustar Investors, LPDescription: Private EquityFund (San Francisco,CA) Filer comment: Incomefrom 2017 CapitalStatements.


Spouse $100,001 -$250,000



1.53 111 Capital Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000



1.54 BCIP Venture AssociatesDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $500,001 -$1,000,000


$100,001 -$1,000,000

1.55 BCIP Associates IIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000


$2,501 -$5,000

1.56 BCIP Associates II BroderDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000



1.57 BCIP Associates IVDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $50,001 -$100,000





1.58 BCIP Associates II EpochDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $50,001 -$100,000



1.59 BCIP Associates III-BDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Spouse $1,001 -$15,000



1.60 BCIP Associates IIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.




Over$1,000,000and heldindependentlyby spouse ordependentchild

1.61 Sankaty Advisors, Inc.Filer comment: Income from2016 K-1.


Spouse $100,001 -$250,000


1.62 Bain Capital Holdings, LPCompany: Bain CapitalHoldings, LP (Boston,MA) Description: InvestmentAdvisory Business Filercomment: Income from2016 K-1.

Business EntityLimitedPartnership (LP)


Dividends, $15,001 -$50,000

2 Goldman Sachs IRA #1 Retirement PlansIRA

Self

2.1 MAR - MarriottInternational, Inc.


Self $500,001 -$1,000,000


2.2 VAC - Marriott VacationsWorldwide Corporation


Self $50,001 -$100,000



Self

3.1 GDFIX - Goldman SachsShort Duration Inc Instl


Self $5,000,001 -$25,000,000



3.2 GSFRX - Goldman SachsHigh Yield Fl Rate Instl


Self $5,000,001 -$25,000,000



3.3 GSTIX - Goldman SachsStrategic Growth Instl


Self $5,000,001 -$25,000,000



3.4 GSMYX - Goldman SachsSmall/Mid Cap GrowthInstl


Self $1,000,001 -$5,000,000



3.5 GSITX - Goldman SachsSmall Cp Val Insghts Instl


Self $1,000,001 -$5,000,000



http://finance.yahoo.com/q?s=MAR

http://finance.yahoo.com/q?s=VAC



http://finance.yahoo.com/q?s=GSTIX

http://finance.yahoo.com/q?s=GSMYX

http://finance.yahoo.com/q?s=GSITX



3.6 SPY - SPDR S&P 500 ETF Mutual FundsExchange TradedFund/Note

Self $1,000,001 -$5,000,000



3.7 GIDGX - Goldman SachsEnhanced Div Gbl Eq Instl


Self $1,000,001 -$5,000,000



3.8 GCIIX - Goldman SachsIntl Eq Insghts Instl


Self $5,000,001 -$25,000,000



3.9 HEFA - iShares CurrencyHedged MSCI EAFE ETF

Mutual FundsExchange TradedFund/Note

Self $1,000,001 -$5,000,000



3.10 HEDJ - WisdomTreeEurope Hedged Equity ETF


Self $1,000,001 -$5,000,000



3.11 GMLPX - Goldman SachsMLP Energy Infras Instl


Self $1,000,001 -$5,000,000



3.12 Goldman Sachs BankDeposit(Boston, MA)Type: Brokerage SweepAccount,

Bank Deposit Self $250,001 -$500,000



Self

4.1 FEDERAL HOME LOANBANK SYSTEM 1.625%06/14/2019 SR LIENRate/Coupon: None Matures: None


Self $100,001 -$250,000


4.2 FEDERAL HOME LOANBANK SYSTEM 2.5%12/09/2022 SR LIENRate/Coupon: None Matures: None


Self $250,001 -$500,000


4.3 FHLB 1.125% 07/14/2021Rate/Coupon: None Matures: None


Self $250,001 -$500,000


4.4 FHLB 1.375% 03/09/2018SER HF-9018 SR LIENRate/Coupon: None Matures: None


Self $250,001 -$500,000


4.5 FHLB 1.875% 11/29/2021SR LIENRate/Coupon: None Matures: None


Self $250,001 -$500,000


4.6 Goldman Sachs BankDeposit(Boston, MA)



http://finance.yahoo.com/q?s=SPY

http://finance.yahoo.com/q?s=GIDGX

http://finance.yahoo.com/q?s=GCIIX

http://finance.yahoo.com/q?s=HEFA

http://finance.yahoo.com/q?s=HEDJ

http://finance.yahoo.com/q?s=GMLPX



Type: Brokerage SweepAccount,

4.7 U.S. TREASURY NOTE1.000000% 03/15/2018Rate/Coupon: None Matures: None


Self $250,001 -$500,000




Self $250,001 -$500,000




Self $100,001 -$250,000




Self $250,001 -$500,000




Self $250,001 -$500,000




Self $250,001 -$500,000




Self $100,001 -$250,000




Self $50,001 -$100,000




Self $250,001 -$500,000




Self $100,001 -$250,000


4.17 IBRD MTN 1.625%03/09/2021 SER GDIF SR

Other Securities Self $250,001 -$500,000




LIENDescription: InternationalBank for Reconstructionand DevelopmentBond (New York, NY)

4.18 KFW 1.125% 08/06/2018SR LIENDescription: Germangovernment-owneddevelopment bankbond (Frankfurt, Germany)



4.19 NIB 1.25% 08/02/2021 SRLIENDescription: NordicInvestment Banksupranationalbond (Helsinki, Finland)



5 Fidelity BrokerageServices LLC ManagedAccount


Self



Self $1,000,001 -$5,000,000

Dividends, $5,001 -$15,000

5.2 VAC - Marriott VacationsWorldwide Corporation


Self $100,001 -$250,000

Dividends, $1,001 -$2,500

5.3 SPAXX - FidelityGovernment Money Marke

Mutual FundsStable ValueFund

Self $15,001 -$50,000


5.4 FDMXX - FidelityMassachusetts Tax Free


Self $15,001 -$50,000


6 Intercontinental RealEstate Investment Fund IDescription: Real EstateInvestment (Boston,MA) Filer comment: Incomefrom 2017 K-1 Estimate.


Self $1,001 -$15,000


$100,001 -$1,000,000

7 MAR-MarriottInternational, Inc.

Retirement PlansDeferredCompensation

Self $1,000,001 -$5,000,000

None,



Self $1,000,001 -$5,000,000


8 Solamere Group HedgeInvestments, LLCDescription: PrivateInvestments (Boston,MA) Filer comment: Incomebased on 2017 K-1 Estimate.


Self None (or lessthan $1,001)


$50,001 -$100,000

9 The W. Mitt Romney 1998Revocable Trust

TrustGeneral Trust

Self

9.1 Goldman Sachs Brokerage Brokerage/Managed Self


http://finance.yahoo.com/q?s=VAC

http://finance.yahoo.com/q?s=SPAXX

http://finance.yahoo.com/q?s=FDMXX




Account #1 Account



Interest, $201 - $1,000

9.2 Goldman Sachs BrokerageAccount #2


Self

9.2.1 TTIFX - Goldman SachsTactical Tilt Ove


Self $50,001 -$100,000





Interest, $2,501 -$5,000

9.2.3 BARCLAYS BANK PLCLINKED TO 30Y EUROCMS UPSIDE/DOWNSIDELEVERED STRUCTUREDNOTE DUE 02/18/2020Description: Barclays FXStructured Note (New York,NY)

Other Securities Self $1,000,001 -$5,000,000


9.2.4 GDFIX - Goldman SachsShort Duration Inc Instl


Self $250,001 -$500,000


$5,001 -$15,000

9.2.5 GSTGX - Goldman SachsShort Dur Govt Instl


Self $250,001 -$500,000

Dividends, $5,001 -$15,000

9.2.6 THE GOLDMAN SACHSGROUP, INC. LINKED TO10Y CMS FLOATING CPNDUE 05/05/2025 SR LIENDescription: Goldman SachsCMS Structured Note (NewYork, NY)


Interest, $50,001 -$100,000

9.2.7 BNP PARIBAS LINKED TOINTL EQ BSKT UPSIDELEVERED NO CAP WBUFFER STRUCTUREDNOTE DUE 06/13/2018



None, $201 - $1,000

9.2.8 BOFA FINANCE LLC LNKDTO MSCI EMERGING MKTUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE08/19/2019


Self $250,001 -$500,000


9.2.9 DEUTSCHE BANK AG-LONDON BRANCH LINKEDTO INTL EQ BSKT UPSIDELEVERED NO CAP WBUFFER STRUCTUREDNOTE DUE 06/13/2018


Self $100,001 -$250,000


http://finance.yahoo.com/q?s=TTIFX


http://finance.yahoo.com/q?s=GSTGX



9.2.10 MORGAN STANLEYFINANCE LLC LINKED TOEURO STOXX 50 PRUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE07/06/2018


Self $250,001 -$500,000


9.2.11 MORGAN STANLEYLINKED TO EURO STOXX50 PR UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 09/17/2019


Self $250,001 -$500,000


9.2.12 SOCIETE GENERALELINKED TO INTL EQ BSKTUPSIDE LEVERED NO CAPSTRUCTURED NOTE DUE06/13/2018


Self $100,001 -$250,000


9.2.13 GSFRX - Goldman SachsHigh Yield Fl Rate Instl


Self $1,000,001 -$5,000,000


$50,001 -$100,000

9.2.14 PIMIX - PIMCO IncomeInstl


Self $1,000,001 -$5,000,000


$100,001 -$1,000,000

9.2.15 THE GOLDMAN SACHSGROUP, INC. LINKED TOFX BASKET 9% COUPONDUE 12/19/2019STRUCTURED NOTEDescription: Goldman SachsFX Linked StructureNote (New York, NY)



9.2.16 AMLP-Alerian MLP ETF Mutual FundsMutual Fund

Self $100,001 -$250,000


$15,001 -$50,000

9.2.17 BARCLAYS BANK PLCLINKED TO RUSSELL 2000INDEX UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 11/21/2019


Self $1,000,001 -$5,000,000


9.2.18 CREDIT SUISSE AGLINKED TO RUSSELL 2000INDEX UPSIDE LEVEREDCAPPED STRUCTUREDNOTE DUE 11/21/2019


Self $250,001 -$500,000


9.2.19 F - Ford Motor Company CorporateSecuritiesStock

Self $100,001 -$250,000

Dividends, $5,001 -$15,000

9.2.20 DEUTSCHE BANK AG-LONDON BRANCH LINKEDTO EUR/USD FX RATEUPSIDE LEVERED CAPPEDSTRUCTURED NOTE DUE01/18/2017Description: Deutsche Bank

Other Securities Self None (or lessthan $1,001)

CapitalGains,

$50,001 -$100,000


http://finance.yahoo.com/q?s=PIMIX

http://finance.yahoo.com/q?s=F



AG-London FX StructuredNote (London, UK)

9.2.21 IVV - iShares Core S&P500 ETF




$100,001 -$1,000,000



Self

9.3.1 ACSAY - ACS, Actividadesde Construcción yServicios, S.A.


Self $1,001 -$15,000

CapitalGains,

$201 - $1,000

9.3.2 AER - AerCap HoldingsN.V.


Self $1,001 -$15,000




Self $1,001 -$15,000



Self $1,001 -$15,000


$1,001 -$2,500

9.3.5 ABEV - Ambev S.A. CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.3.6 MT - ArcelorMittal CorporateSecuritiesStock

Self $1,001 -$15,000

CapitalGains,

$1,001 -$2,500

9.3.7 AXAHY - AXA SA CorporateSecuritiesStock

Self $1,001 -$15,000




Self $1,001 -$15,000




Self $1,001 -$15,000

Dividends, $201 - $1,000



Self $1,001 -$15,000


9.3.11 BBL - BHP Billiton plc CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.3.12 BTI - British AmericanTobacco p.l.c.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.3.13 CNQ - Canadian NaturalResources Limited


Self $1,001 -$15,000


9.3.14 CABGY - Carlsberg A/S CorporateSecuritiesStock

Self $1,001 -$15,000


9.3.15 CRRFY - Carrefour SA CorporateSecurities

Self $1,001 -$15,000


http://finance.yahoo.com/q?s=IVV

http://finance.yahoo.com/q?s=ACSAY

http://finance.yahoo.com/q?s=AER



http://finance.yahoo.com/q?s=ABEV

http://finance.yahoo.com/q?s=MT

http://finance.yahoo.com/q?s=AXAHY




http://finance.yahoo.com/q?s=BBL

http://finance.yahoo.com/q?s=BTI

http://finance.yahoo.com/q?s=CNQ

http://finance.yahoo.com/q?s=CABGY

http://finance.yahoo.com/q?s=CRRFY



Stock9.3.16 CKHUY - CK Hutchison

Holdings LimitedCorporateSecuritiesStock

Self $1,001 -$15,000




Self $1,001 -$15,000


$1,001 -$2,500

9.3.18 DBOEY - Deutsche BörseAktiengesellschaft


Self $1,001 -$15,000


9.3.19 DNHBY - DNB ASA CorporateSecuritiesStock

Self $1,001 -$15,000

CapitalGains,

$201 - $1,000

9.3.20 EONGY - E.ON SE CorporateSecuritiesStock

Self $1,001 -$15,000


$201 - $1,000

9.3.21 ENGIY - ENGIE SA CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.3.22 ESLOY - EssilorInternational SociétéAnonyme


Self $1,001 -$15,000


9.3.23 FRCOY - Fast RetailingCo., Ltd.


Self $1,001 -$15,000


9.3.24 Goldman Sachs BankDeposit(New York, NY)Type: Brokerage SweepAccount,




Self $1,001 -$15,000


$201 - $1,000

9.3.26 ISNPY - Intesa SanpaoloS.p.A.


Self $1,001 -$15,000


$201 - $1,000

9.3.27 JBAXY - Julius BaerGroup Ltd.


Self $1,001 -$15,000


$201 - $1,000

9.3.28 KKPNY - Koninklijke KPNN.V.


Self $1,001 -$15,000

Dividends, $201 - $1,000



Self $1,001 -$15,000

Dividends, $201 - $1,000

9.3.30 MITEY - Mitsubishi EstateCo., Ltd.


Self $1,001 -$15,000


9.3.31 ORAN - Orange S.A. CorporateSecuritiesStock

Self $1,001 -$15,000




http://finance.yahoo.com/q?s=DBOEY

http://finance.yahoo.com/q?s=DNHBY

http://finance.yahoo.com/q?s=EONGY

http://finance.yahoo.com/q?s=ENGIY

http://finance.yahoo.com/q?s=ESLOY

http://finance.yahoo.com/q?s=FRCOY


http://finance.yahoo.com/q?s=ISNPY

http://finance.yahoo.com/q?s=JBAXY

http://finance.yahoo.com/q?s=KKPNY


http://finance.yahoo.com/q?s=MITEY

http://finance.yahoo.com/q?s=ORAN



9.3.32 OTSKY - Otsuka HoldingsCo., Ltd.


Self $1,001 -$15,000


9.3.33 PCRFY - PanasonicCorporation


Self $1,001 -$15,000


$1,001 -$2,500

9.3.34 PM - Philip MorrisInternational Inc.


Self $1,001 -$15,000

Dividends, $201 - $1,000



Self $1,001 -$15,000



9.3.36 RDS-A - Royal Dutch Shellplc


Self $1,001 -$15,000


$201 - $1,000

9.3.37 RDSMY - Koninklijke DSMN.V.


Self $1,001 -$15,000


$1,001 -$2,500


Self $1,001 -$15,000




Self $1,001 -$15,000

Dividends, $201 - $1,000

9.3.40 SOMLY - SECOM CO., LTD. CorporateSecuritiesStock

Self $1,001 -$15,000


9.3.41 SVNDY - Seven & iHoldings Co., Ltd.


Self $1,001 -$15,000


9.3.42 SMFG - Sumitomo MitsuiFinancial Group, Inc.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.3.43 TTM - Tata Motors Limited CorporateSecuritiesStock

Self $1,001 -$15,000


9.3.44 TRYIY - Toray Industries,Inc.


Self $1,001 -$15,000


9.3.45 TOT - TOTAL S.A. CorporateSecuritiesStock

Self $1,001 -$15,000



9.3.46 AHEXY - Adecco GroupAG




$1,001 -$2,500





$1,001 -$2,500





$1,001 -$2,500

9.3.49 DPSGY - Deutsche Post Corporate Self None (or less Capital $201 - $1,000

http://finance.yahoo.com/q?s=OTSKY

http://finance.yahoo.com/q?s=PCRFY

http://finance.yahoo.com/q?s=PM


http://finance.yahoo.com/q?s=RDS-A

http://finance.yahoo.com/q?s=RDSMY



http://finance.yahoo.com/q?s=SOMLY

http://finance.yahoo.com/q?s=SVNDY

http://finance.yahoo.com/q?s=SMFG

http://finance.yahoo.com/q?s=TTM

http://finance.yahoo.com/q?s=TRYIY

http://finance.yahoo.com/q?s=TOT

http://finance.yahoo.com/q?s=AHEXY



http://finance.yahoo.com/q?s=DPSGY



AG SecuritiesStock

than $1,001) Gains,





$201 - $1,000

9.3.51 KMTUY - Komatsu Ltd. CorporateSecuritiesStock



$2,501 -$5,000

9.3.52 SEKEY - Seiko EpsonCorporation




$1,001 -$2,500

9.3.53 VIVHY - Vivendi SA CorporateSecuritiesStock



$1,001 -$2,500

9.3.54 AEG - AEGON N.V. CorporateSecuritiesStock



$201 - $1,000





$201 - $1,000



Self





$5,001 -$15,000





$2,501 -$5,000





$1,001 -$2,500




$1,001 -$2,500




$5,001 -$15,000





$5,001 -$15,000




CapitalGains,

$1,001 -$2,500





$2,501 -$5,000

9.4.9 DG - Dollar GeneralCorporation




$5,001 -$15,000

9.4.10 LB - L Brands, Inc. CorporateSecurities


Dividends,Capital

$1,001 -$2,500


http://finance.yahoo.com/q?s=KMTUY

http://finance.yahoo.com/q?s=SEKEY

http://finance.yahoo.com/q?s=VIVHY

http://finance.yahoo.com/q?s=AEG










http://finance.yahoo.com/q?s=DG

http://finance.yahoo.com/q?s=LB



Stock Gains,





$2,501 -$5,000





$1,001 -$2,500

9.4.13 PCLN - Booking HoldingsInc.



CapitalGains,

$2,501 -$5,000




$5,001 -$15,000

9.4.15 WLTW - Willis TowersWatson Public LimitedCompany




$5,001 -$15,000



Self

9.5.1 AET - Aetna Inc. CorporateSecuritiesStock

Self $15,001 -$50,000


$2,501 -$5,000


Self $15,001 -$50,000

Dividends, $201 - $1,000


Self $15,001 -$50,000

CapitalGains,

$201 - $1,000

9.5.4 ABC - AmerisourceBergenCorporation


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.5.5 ANTM - Anthem, Inc. CorporateSecuritiesStock

Self $15,001 -$50,000

CapitalGains,

$5,001 -$15,000

9.5.6 AZO - AutoZone, Inc. CorporateSecuritiesStock

Self $15,001 -$50,000

CapitalGains,

$201 - $1,000

9.5.7 AXTA - Axalta CoatingSystems Ltd.


Self $15,001 -$50,000


9.5.8 AXS - AXIS CapitalHoldings Limited


Self $15,001 -$50,000


$2,501 -$5,000

9.5.9 CAH - Cardinal Health,Inc.


Self $15,001 -$50,000

Dividends, $1,001 -$2,500

9.5.10 CBG - CBRE Group, Inc. CorporateSecuritiesStock

Self $15,001 -$50,000

CapitalGains,

$2,501 -$5,000

9.5.11 CVS - CVS HealthCorporation


Self $50,001 -$100,000


$1,001 -$2,500



http://finance.yahoo.com/q?s=PCLN


http://finance.yahoo.com/q?s=WLTW

http://finance.yahoo.com/q?s=AET



http://finance.yahoo.com/q?s=ABC

http://finance.yahoo.com/q?s=ANTM

http://finance.yahoo.com/q?s=AZO

http://finance.yahoo.com/q?s=AXTA

http://finance.yahoo.com/q?s=AXS

http://finance.yahoo.com/q?s=CAH

http://finance.yahoo.com/q?s=CBG

http://finance.yahoo.com/q?s=CVS



9.5.12 RE - Everest Re Group,Ltd.


Self $15,001 -$50,000


$2,501 -$5,000

9.5.13 GKNLY - GKN plc CorporateSecuritiesStock

Self $15,001 -$50,000


$5,001 -$15,000



Interest, $201 - $1,000

9.5.15 HLT - Hilton WorldwideHoldings Inc.


Self $15,001 -$50,000


$5,001 -$15,000

9.5.16 MA - MastercardIncorporated


Self $50,001 -$100,000


$5,001 -$15,000

9.5.17 BA - The Boeing Company CorporateSecuritiesStock



$15,001 -$50,000




CapitalGains,

$1,001 -$2,500





$5,001 -$15,000

9.5.20 BEN - Franklin Resources,Inc.




$1,001 -$2,500

9.5.21 HGV - Hilton GrandVacations Inc.



CapitalGains,

$201 - $1,000





$5,001 -$15,000





$201 - $1,000

9.5.24 PK - Park Hotels & ResortsInc.




$1,001 -$2,500

9.5.25 SSNC - SS&CTechnologies Holdings,Inc.




$2,501 -$5,000





$1,001 -$2,500




$2,501 -$5,000

9.5.28 UNH - UnitedHealth Group Corporate Self None (or less Dividends, $2,501 -

http://finance.yahoo.com/q?s=RE

http://finance.yahoo.com/q?s=GKNLY

http://finance.yahoo.com/q?s=HLT

http://finance.yahoo.com/q?s=MA

http://finance.yahoo.com/q?s=BA



http://finance.yahoo.com/q?s=BEN

http://finance.yahoo.com/q?s=HGV



http://finance.yahoo.com/q?s=PK

http://finance.yahoo.com/q?s=SSNC






Incorporated SecuritiesStock

than $1,001) CapitalGains,

$5,000





$1,001 -$2,500




$201 - $1,000

9.5.31 MCK - McKessonCorporation


Self $15,001 -$50,000



9.5.32 MCO - Moody'sCorporation


Self $15,001 -$50,000


$2,501 -$5,000

9.5.33 NOV - National OilwellVarco, Inc.


Self $50,001 -$100,000



9.5.34 NTRS - Northern TrustCorporation


Self $15,001 -$50,000


$201 - $1,000

9.5.35 ORLY - O'ReillyAutomotive, Inc.


Self $15,001 -$50,000

CapitalGains,

$2,501 -$5,000



Self $100,001 -$250,000


$2,501 -$5,000



Self $15,001 -$50,000


$1,001 -$2,500

9.5.38 QRVO - Qorvo, Inc. CorporateSecuritiesStock

Self $50,001 -$100,000

CapitalGains,

$5,001 -$15,000

9.5.39 SPGI - S&P Global Inc. CorporateSecuritiesStock

Self $15,001 -$50,000


9.5.40 SABR - Sabre Corporation CorporateSecuritiesStock

Self $15,001 -$50,000



9.5.41 SWKS - SkyworksSolutions, Inc.


Self $50,001 -$100,000


$5,001 -$15,000



Self $50,001 -$100,000

Dividends, $201 - $1,000

9.5.43 SSREY - Swiss Re Ltd CorporateSecuritiesStock

Self $15,001 -$50,000


$1,001 -$2,500

9.5.44 BK - The Bank of NewYork Mellon Corporation


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.5.45 UTX - United Corporate Self $1,001 - Dividends, $201 - $1,000



http://finance.yahoo.com/q?s=MCK

http://finance.yahoo.com/q?s=MCO

http://finance.yahoo.com/q?s=NOV

http://finance.yahoo.com/q?s=NTRS

http://finance.yahoo.com/q?s=ORLY



http://finance.yahoo.com/q?s=QRVO

http://finance.yahoo.com/q?s=SPGI

http://finance.yahoo.com/q?s=SABR

http://finance.yahoo.com/q?s=SWKS


http://finance.yahoo.com/q?s=SSREY

http://finance.yahoo.com/q?s=BK

http://finance.yahoo.com/q?s=UTX



Technologies Corporation SecuritiesStock

$15,000


Self $50,001 -$100,000


$5,001 -$15,000



Self



Self $15,001 -$50,000

Dividends, $201 - $1,000

9.6.2 AIQUY - Air Liquide,société anonyme


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.6.3 ALFVY - Alfa Laval AB(publ)


Self $1,001 -$15,000



Self $15,001 -$50,000

Dividends, $201 - $1,000

9.6.5 APNHY - AspenPharmacare HoldingsLimited


Self $1,001 -$15,000


9.6.6 ATLKY - Atlas Copco AB CorporateSecuritiesStock

Self $1,001 -$15,000


$201 - $1,000


Self $15,001 -$50,000

CapitalGains,

$201 - $1,000



Self $1,001 -$15,000

Dividends, $201 - $1,000



Self $15,001 -$50,000

Dividends, $201 - $1,000

9.6.10 BMWYY - BayerischeMotoren WerkeAktiengesellschaft


Self $1,001 -$15,000



9.6.11 BBAVY - BBA Aviation plc CorporateSecuritiesStock

Self $1,001 -$15,000


9.6.12 CNI - Canadian NationalRailway Company


Self $1,001 -$15,000


9.6.13 CHKP - Check PointSoftware TechnologiesLtd.


Self $1,001 -$15,000


9.6.14 CSLLY - CSL Limited CorporateSecuritiesStock

Self $1,001 -$15,000


$1,001 -$2,500

9.6.15 DIFTY - Daito Trust Corporate Self $1,001 - Dividends, None (or less



http://finance.yahoo.com/q?s=AIQUY

http://finance.yahoo.com/q?s=ALFVY


http://finance.yahoo.com/q?s=APNHY

http://finance.yahoo.com/q?s=ATLKY




http://finance.yahoo.com/q?s=BMWYY

http://finance.yahoo.com/q?s=BBAVY

http://finance.yahoo.com/q?s=CNI

http://finance.yahoo.com/q?s=CHKP

http://finance.yahoo.com/q?s=CSLLY

http://finance.yahoo.com/q?s=DIFTY



Construction Co. Ltd. SecuritiesStock

$15,000 than $201)

9.6.16 DASTY - DassaultSystèmes SE


Self $15,001 -$50,000


$1,001 -$2,500



Self $1,001 -$15,000

Dividends, $201 - $1,000

9.6.18 FANUY - FanucCorporation


Self $15,001 -$50,000




Self $1,001 -$15,000


9.6.20 FUPBY - Fuchs PetrolubSE


Self $1,001 -$15,000





9.6.22 GRFS - Grifols, S.A. CorporateSecuritiesStock

Self $1,001 -$15,000


9.6.23 GBOOY - Grupo FinancieroBanorte, S.A.B. de C.V.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.6.24 HDB - HDFC Bank Limited CorporateSecuritiesStock

Self $1,001 -$15,000



Self $1,001 -$15,000

Dividends, $201 - $1,000

9.6.26 IBN - ICICI Bank Limited CorporateSecuritiesStock

Self $1,001 -$15,000



9.6.27 IFNNY - InfineonTechnologies AG


Self $1,001 -$15,000


9.6.28 ITUB - Itaú UnibancoHolding S.A.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.6.29 JGCCY - JGC Corporation CorporateSecuritiesStock

Self $1,001 -$15,000


9.6.30 KUBTY - KubotaCorporation


Self $1,001 -$15,000


9.6.31 LRLCY - L'Oréal S.A. CorporateSecuritiesStock

Self $1,001 -$15,000


$201 - $1,000

http://finance.yahoo.com/q?s=DASTY


http://finance.yahoo.com/q?s=FANUY


http://finance.yahoo.com/q?s=FUPBY

http://finance.yahoo.com/q?s=GRFS

http://finance.yahoo.com/q?s=GBOOY

http://finance.yahoo.com/q?s=HDB


http://finance.yahoo.com/q?s=IBN

http://finance.yahoo.com/q?s=IFNNY

http://finance.yahoo.com/q?s=ITUB

http://finance.yahoo.com/q?s=JGCCY

http://finance.yahoo.com/q?s=KUBTY

http://finance.yahoo.com/q?s=LRLCY



9.6.32 LVMUY - LVMH MoëtHennessy Louis VuittonS.E.


Self $1,001 -$15,000


9.6.33 MONOY - MonotaRO Co.,Ltd.


Self $1,001 -$15,000


9.6.34 NPSNY - Naspers Limited CorporateSecuritiesStock

Self $1,001 -$15,000


$1,001 -$2,500


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.6.36 PKCOY - Park24 Co., Ltd. CorporateSecuritiesStock

Self $1,001 -$15,000




Self $1,001 -$15,000





Self $1,001 -$15,000

Dividends, $201 - $1,000


Self $1,001 -$15,000


$201 - $1,000

9.6.40 SSL - Sasol Limited CorporateSecuritiesStock

Self $1,001 -$15,000




Self $1,001 -$15,000

Dividends, $201 - $1,000

9.6.42 SHPG - Shire plc CorporateSecuritiesStock

Self $1,001 -$15,000


9.6.43 SONVY - Sonova HoldingAG


Self $1,001 -$15,000


9.6.44 SYIEY - Symrise AG CorporateSecuritiesStock

Self $1,001 -$15,000


9.6.45 SSMXY - SysmexCorporation


Self $1,001 -$15,000




Self $15,001 -$50,000

Dividends, $201 - $1,000

9.6.47 TS - Tenaris S.A. CorporateSecuritiesStock

Self $1,001 -$15,000


$201 - $1,000

9.6.48 TKGBY - Turkiye GarantiBankasi A.S.


Self $1,001 -$15,000


http://finance.yahoo.com/q?s=LVMUY

http://finance.yahoo.com/q?s=MONOY

http://finance.yahoo.com/q?s=NPSNY


http://finance.yahoo.com/q?s=PKCOY




http://finance.yahoo.com/q?s=SSL


http://finance.yahoo.com/q?s=SHPG

http://finance.yahoo.com/q?s=SONVY

http://finance.yahoo.com/q?s=SYIEY

http://finance.yahoo.com/q?s=SSMXY


http://finance.yahoo.com/q?s=TS

http://finance.yahoo.com/q?s=TKGBY



9.6.49 UL - Unilever PLC CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.6.50 WB - Weibo Corporation CorporateSecuritiesStock

Self $1,001 -$15,000



Self $1,001 -$15,000


9.6.52 BG - Bunge Limited CorporateSecuritiesStock



$201 - $1,000

9.6.53 LNEGY - LindeAktiengesellschaft



CapitalGains,

$201 - $1,000



Self

9.7.1 ABB - ABB Ltd CorporateSecuritiesStock

Self $1,001 -$15,000




Self $1,001 -$15,000

Dividends, $201 - $1,000



Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.4 BP - BP p.l.c. CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.5 CAJ - Canon Inc. CorporateSecuritiesStock

Self $1,001 -$15,000


$201 - $1,000



Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.7 CKHUY - CK HutchisonHoldings Limited


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.8 DMLRY - Daimler AG CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.7.9 ENLAY - Enel SpA CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.7.10 E - Eni S.p.A. CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.11 FUJIY - FUJIFILMHoldings Corporation


Self $1,001 -$15,000


9.7.12 GSK - GlaxoSmithKline plc Corporate Self $1,001 - Dividends, $201 - $1,000

http://finance.yahoo.com/q?s=UL

http://finance.yahoo.com/q?s=WB


http://finance.yahoo.com/q?s=BG

http://finance.yahoo.com/q?s=LNEGY

http://finance.yahoo.com/q?s=ABB



http://finance.yahoo.com/q?s=BP

http://finance.yahoo.com/q?s=CAJ



http://finance.yahoo.com/q?s=DMLRY

http://finance.yahoo.com/q?s=ENLAY

http://finance.yahoo.com/q?s=E

http://finance.yahoo.com/q?s=FUJIY

http://finance.yahoo.com/q?s=GSK



SecuritiesStock

$15,000




9.7.14 HMC - Honda Motor Co.,Ltd.


Self $15,001 -$50,000


$201 - $1,000

9.7.15 IBDRY - Iberdrola, S.A. CorporateSecuritiesStock

Self $15,001 -$50,000


$201 - $1,000

9.7.16 ISUZY - Isuzu MotorsLimited


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.17 KGFHY - Kingfisher plc CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.7.18 ADRNY - Koninklijke AholdDelhaize N.V.


Self $15,001 -$50,000

Dividends, $201 - $1,000



Self $15,001 -$50,000

Dividends, $201 - $1,000

9.7.20 NGG - National Grid plc CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.21 NVS - Novartis AG CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.22 DCM - NTT DOCOMO, INC. CorporateSecuritiesStock

Self $1,001 -$15,000


$201 - $1,000

9.7.23 QBIEY - QBE InsuranceGroup Limited


Self $1,001 -$15,000

Dividends, $201 - $1,000



Self $1,001 -$15,000


$1,001 -$2,500

9.7.25 RWEOY - RWEAktiengesellschaft


Self $1,001 -$15,000

CapitalGains,


9.7.26 SNY - Sanofi CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000


Self $1,001 -$15,000


$201 - $1,000

9.7.28 SGAPY - SingaporeTelecommunications

CorporateSecurities

Self $1,001 -$15,000

Dividends, $201 - $1,000

http://finance.yahoo.com/q?s=HMC

http://finance.yahoo.com/q?s=IBDRY

http://finance.yahoo.com/q?s=ISUZY

http://finance.yahoo.com/q?s=KGFHY

http://finance.yahoo.com/q?s=ADRNY


http://finance.yahoo.com/q?s=NGG

http://finance.yahoo.com/q?s=NVS

http://finance.yahoo.com/q?s=DCM

http://finance.yahoo.com/q?s=QBIEY


http://finance.yahoo.com/q?s=RWEOY

http://finance.yahoo.com/q?s=SNY


http://finance.yahoo.com/q?s=SGAPY



Limited Stock



Self $1,001 -$15,000


$1,001 -$2,500

9.7.30 TKPYY - TakedaPharmaceutical CompanyLimited


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.7.31 TEF - Telefónica, S.A. CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.32 TLSNY - Telia CompanyAB


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.33 TSCDY - Tesco PLC CorporateSecuritiesStock

Self $15,001 -$50,000


9.7.34 TKOMY - Tokio MarineHoldings, Inc.


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.7.35 UOVEY - United OverseasBank Limited


Self $15,001 -$50,000


$201 - $1,000


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.37 ZURVY - Zurich InsuranceGroup AG


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.7.38 KCRPY - Kao Corporation CorporateSecuritiesStock



$1,001 -$2,500




$1,001 -$2,500

9.7.40 SYT - Syngenta AG CorporateSecuritiesStock



$1,001 -$2,500

9.7.41 UN - Unilever N.V. CorporateSecuritiesStock



$2,501 -$5,000

9.7.42 CERN - CernerCorporation



CapitalGains,

$1,001 -$2,500



Self

9.8.1 ABT - Abbott Laboratories CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.8.2 ADBE - Adobe Systems Corporate Self $50,001 - None, None (or less


http://finance.yahoo.com/q?s=TKPYY

http://finance.yahoo.com/q?s=TEF

http://finance.yahoo.com/q?s=TLSNY

http://finance.yahoo.com/q?s=TSCDY

http://finance.yahoo.com/q?s=TKOMY

http://finance.yahoo.com/q?s=UOVEY


http://finance.yahoo.com/q?s=ZURVY

http://finance.yahoo.com/q?s=KCRPY


http://finance.yahoo.com/q?s=SYT

http://finance.yahoo.com/q?s=UN

http://finance.yahoo.com/q?s=CERN

http://finance.yahoo.com/q?s=ABT

http://finance.yahoo.com/q?s=ADBE



Incorporated SecuritiesStock

$100,000 than $201)

9.8.3 BABA - Alibaba GroupHolding Limited


Self $50,001 -$100,000



Self $50,001 -$100,000




Self $15,001 -$50,000

Dividends, $201 - $1,000



Self $50,001 -$100,000




Self $15,001 -$50,000

Dividends, $201 - $1,000

9.8.8 SCHW - The CharlesSchwab Corporation


Self $50,001 -$100,000

Dividends, $201 - $1,000

9.8.9 DLTR - Dollar Tree, Inc. CorporateSecuritiesStock

Self $15,001 -$50,000


9.8.10 EA - Electronic Arts Inc. CorporateSecuritiesStock

Self $1,001 -$15,000


9.8.11 FB - Facebook, Inc. CorporateSecuritiesStock

Self $50,001 -$100,000





9.8.13 KSU - Kansas CitySouthern


Self $15,001 -$50,000


$1,001 -$2,500



Self $50,001 -$100,000

Dividends, $1,001 -$2,500

9.8.15 MNST - Monster BeverageCorporation


Self $15,001 -$50,000


9.8.16 MSCI - MSCI Inc. CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.8.17 NCLH - Norwegian CruiseLine Holdings Ltd.


Self $15,001 -$50,000


9.8.18 PYPL - PayPal Holdings,Inc.


Self $15,001 -$50,000


http://finance.yahoo.com/q?s=BABA





http://finance.yahoo.com/q?s=SCHW

http://finance.yahoo.com/q?s=DLTR

http://finance.yahoo.com/q?s=EA

http://finance.yahoo.com/q?s=FB

http://finance.yahoo.com/q?s=KSU


http://finance.yahoo.com/q?s=MNST

http://finance.yahoo.com/q?s=MSCI

http://finance.yahoo.com/q?s=NCLH

http://finance.yahoo.com/q?s=PYPL



9.8.19 REGN - RegeneronPharmaceuticals, Inc.


Self $1,001 -$15,000


9.8.20 RCL - Royal CaribbeanCruises Ltd.


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.8.21 SIRI - Sirius XM HoldingsInc.


Self $15,001 -$50,000


9.8.22 TCEHY - Tencent HoldingsLimited


Self $50,001 -$100,000




Self $15,001 -$50,000


9.8.24 TD - The Toronto-Dominion Bank


Self $15,001 -$50,000

Dividends, $201 - $1,000


Self $50,001 -$100,000

Dividends, $201 - $1,000

9.8.26 WYNN - Wynn Resorts,Limited


Self $15,001 -$50,000



9.8.27 ZTS - Zoetis Inc. CorporateSecuritiesStock

Self $50,001 -$100,000

Dividends, $201 - $1,000



CapitalGains,

$15,001 -$50,000



CapitalGains,

$5,001 -$15,000




CapitalGains,

$5,001 -$15,000

9.8.31 CDK - CDK Global, Inc. CorporateSecuritiesStock


CapitalGains,

$201 - $1,000





$15,001 -$50,000




CapitalGains,

$5,001 -$15,000

9.8.34 GNTX - GentexCorporation



CapitalGains,

$5,001 -$15,000




CapitalGains,

$5,001 -$15,000

http://finance.yahoo.com/q?s=REGN

http://finance.yahoo.com/q?s=RCL

http://finance.yahoo.com/q?s=SIRI

http://finance.yahoo.com/q?s=TCEHY


http://finance.yahoo.com/q?s=TD


http://finance.yahoo.com/q?s=WYNN

http://finance.yahoo.com/q?s=ZTS




http://finance.yahoo.com/q?s=CDK



http://finance.yahoo.com/q?s=GNTX







CapitalGains,

$5,001 -$15,000

9.8.37 SHW - The Sherwin-Williams Company



CapitalGains,

$5,001 -$15,000



CapitalGains,

$2,501 -$5,000




CapitalGains,

$201 - $1,000



Self

9.9.1 ACTAVIS FUNDING SCS3.0% 03/12/2020 USD SRLIENRate/Coupon: 3.0% Matures: 03/12/2020


Self $250,001 -$500,000

Interest, $5,001 -$15,000

9.9.2 APPLIED MATERIALS, INC.2.625% 10/01/2020 USDSR LIENRate/Coupon: 2.625% Matures: 10/01/2020


Self $100,001 -$250,000

Interest, $2,501 -$5,000

9.9.3 AUTONATION, INC. 6.75%04/15/2018 SR LIENRate/Coupon: 6.75% Matures: 04/15/2018


Self $250,001 -$500,000

Interest, $15,001 -$50,000

9.9.4 BANK OF AMERICACORPORATION MTN2.25% 04/21/2020 USDSER L SR LIENRate/Coupon: 2.25% Matures: 04/21/2020


Self $250,001 -$500,000

Interest, $5,001 -$15,000

9.9.5 BAXALTA INCORPORATED3.6% 06/23/2022 USDSER WI SR LIENRate/Coupon: 3.6% Matures: 06/23/2022


Self $100,001 -$250,000

Interest, $5,001 -$15,000

9.9.6 BRANCH BANKING ANDTRUST COMPA 2.625%01/15/2022 USD SER 5YRSR LIENRate/Coupon: 2.625% Matures: 01/15/2022


Self $100,001 -$250,000

Interest, $5,001 -$15,000

9.9.7 CISCO SYSTEMS, INC.2.45% 06/15/2020 USDSR LIENRate/Coupon: 2.45% Matures: 06/15/2020


Self $100,001 -$250,000

Interest, $5,001 -$15,000

9.9.8 CVS HEALTHCORPORATION 2.125%

CorporateSecurities

Self $100,001 -$250,000

Interest, $2,501 -$5,000


http://finance.yahoo.com/q?s=SHW





06/01/2021 USD SR LIENRate/Coupon: 2.125% Matures: 06/01/2021

Corporate Bond

9.9.9 ESTEE LAUDER CO INC1.7% 05/10/2021 USD SRLIENRate/Coupon: 1.7% Matures: 05/10/2021


Self $100,001 -$250,000

Interest, $2,501 -$5,000

9.9.10 FEDERAL HOME LOANBANK SYSTEM 1.625%06/14/2019 SR LIENRate/Coupon: None Matures: None


Self $1,000,001 -$5,000,000

Interest, $15,001 -$50,000

9.9.11 FEDERAL HOME LOANBANK SYSTEM 1.75%12/14/2018 SER FM-9018SR LIENRate/Coupon: None Matures: None


Self $500,001 -$1,000,000

Interest, $5,001 -$15,000

9.9.12 FHLB 1.375% 03/09/2018SER HF-9018 SR LIENRate/Coupon: None Matures: None


Self $1,000,001 -$5,000,000

Interest, $5,001 -$15,000

9.9.13 FHLB 1.875% 03/13/2020SER XJ-2020 SR LIENRate/Coupon: None Matures: None


Self $500,001 -$1,000,000

Interest, $5,001 -$15,000

9.9.14 FHLB 2.875% 09/11/2020SER QL-2020 SR LIENRate/Coupon: None Matures: None


Self $500,001 -$1,000,000

Interest, $15,001 -$50,000

9.9.15 FORD MOTOR CREDITCOMPANY LLC 2.597%11/04/2019 USD SR LIENRate/Coupon: 2.597% Matures: 11/4/2019


Self $250,001 -$500,000

Interest, $5,001 -$15,000

9.9.16 FORD MOTOR CREDITCOMPANY LLC MTN2.943% 01/08/2019 USDSR LIENRate/Coupon: 2.943% Matures: 01/08/2019


Self $250,001 -$500,000

Interest, $5,001 -$15,000

9.9.17 JOHN DEERE CAPITALCORP MTN 1.95%01/08/2019 USD SR LIENRate/Coupon: 1.95% Matures: 01/08/2019


Self $250,001 -$500,000

Interest, $2,501 -$5,000

9.9.18 JPMORGAN CHASE & CO.MTN 2.295% 08/15/2021

CorporateSecurities

Self $250,001 -$500,000

Interest, $5,001 -$15,000



USD SR LIENRate/Coupon: 2.295% Matures: 08/15/2021

Corporate Bond

9.9.19 KINDER MORGAN ENRGYPART LP 9.0% 02/01/2019USD SR LIENRate/Coupon: 9.0% Matures: 02/01/2019


Self $100,001 -$250,000

Interest, $15,001 -$50,000

9.9.20 LEGG MASON, INC. 2.7%07/15/2019 USD SR LIENRate/Coupon: 2.7% Matures: 07/15/2019


Self $250,001 -$500,000

Interest, $5,001 -$15,000

9.9.21 MCCORMICK & CO 2.7%08/15/2022 USD SR LIENRate/Coupon: 2.7% Matures: 08/15/2022


Self $100,001 -$250,000

Interest, $5,001 -$15,000

9.9.22 MEDTRONIC, INC. 2.5%03/15/2020 USD SER B SRLIENRate/Coupon: 2.5% Matures: 03/15/2020


Self $250,001 -$500,000

Interest, $5,001 -$15,000

9.9.23 NVIDIA CORP 2.2%09/16/2021 USD SR LIENRate/Coupon: 2.2% Matures: 09/16/2021


Self $100,001 -$250,000

Interest, $5,001 -$15,000

9.9.24 PNC BANK, NATIONALASSOCIATION 2.45%07/28/2022 USD SERBKNT SR LIENRate/Coupon: 2.45% Matures: 07/28/2022


Self $100,001 -$250,000

Interest, $5,001 -$15,000

9.9.25 PUB SVC ELEC & GAS COMTN 5.3% 05/01/2018SER E SR LIENRate/Coupon: 5.3% Matures: 05/01/2018


Self $100,001 -$250,000

Interest, $5,001 -$15,000

9.9.26 ROYAL BANK OF CANADAMTN 2.75% 02/01/2022USD SR LIENRate/Coupon: 2.75% Matures: 02/01/2022


Self $250,001 -$500,000

Interest, $5,001 -$15,000

9.9.27 THE J. M. SMUCKERCOMPANY 3.0%03/15/2022 USD SER WISR LIENRate/Coupon: 3.0% Matures: 03/15/2022


Self $100,001 -$250,000

Interest, $5,001 -$15,000

9.9.28 TORONTO-DOMINIONBANK MTN 1.95%01/22/2019 USD SR LIENRate/Coupon: 1.95% Matures: 01/22/2019


Self $100,001 -$250,000

Interest, $2,501 -$5,000



9.9.29 TOYOTA MOTOR CREDITCORP MTN 2.6%01/11/2022 USD SR LIENRate/Coupon: 2.6% Matures: 01/11/2022


Self $100,001 -$250,000

Interest, $2,501 -$5,000

9.9.30 U.S. BANCORP MTN2.625% 01/24/2022 USDSER V SR LIENRate/Coupon: 2.625% Matures: 01/24/2022


Self $100,001 -$250,000

Interest, $2,501 -$5,000

9.9.31 WELLS FARGO &COMPANY 3.069%01/24/2023 USD SR LIENRate/Coupon: 3.069% Matures: 01/24/2023


Self $15,001 -$50,000

Interest, $1,001 -$2,500

9.9.32 ZOETIS INC 3.45%11/13/2020 USD SR LIENRate/Coupon: 3.45% Matures: 11/13/2020


Self $250,001 -$500,000

Interest, $5,001 -$15,000

9.9.33 KFW 1.75% 09/15/2021 SRLIENDescription: Germangovernment-owneddevelopment bankbond (Frankfurt, Germany)


Interest, $5,001 -$15,000



Self

9.10.1 ABBV - AbbVie Inc. CorporateSecuritiesStock

Self $1,001 -$15,000


$1,001 -$2,500

9.10.2 APD - Air Products andChemicals, Inc.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.3 AGN - Allergan plc CorporateSecuritiesStock

Self $1,001 -$15,000


9.10.4 ALL - The AllstateCorporation


Self $1,001 -$15,000


$1,001 -$2,500

9.10.5 AEP - American ElectricPower Company, Inc.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.6 AXP - American ExpressCompany


Self $1,001 -$15,000


9.10.7 AMP - AmeripriseFinancial, Inc.


Self $1,001 -$15,000


$1,001 -$2,500

9.10.8 AMGN - Amgen Inc. CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.9 T - AT&T Inc. Corporate Self $15,001 - Dividends, $1,001 -

http://finance.yahoo.com/q?s=ABBV

http://finance.yahoo.com/q?s=APD

http://finance.yahoo.com/q?s=AGN

http://finance.yahoo.com/q?s=ALL

http://finance.yahoo.com/q?s=AEP

http://finance.yahoo.com/q?s=AXP

http://finance.yahoo.com/q?s=AMP

http://finance.yahoo.com/q?s=AMGN

http://finance.yahoo.com/q?s=T



SecuritiesStock

$50,000 CapitalGains,

$2,500

9.10.10 BAC - Bank of AmericaCorporation


Self $15,001 -$50,000


$1,001 -$2,500



Self $1,001 -$15,000


9.10.12 BIIB - Biogen Inc. CorporateSecuritiesStock

Self $1,001 -$15,000


9.10.13 BWA - BorgWarner Inc. CorporateSecuritiesStock

Self $1,001 -$15,000


9.10.14 AVGO - Broadcom Limited CorporateSecuritiesStock

Self $1,001 -$15,000

CapitalGains,

$201 - $1,000

9.10.15 CAT - Caterpillar Inc. CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.16 CBS - CBS Corporation CorporateSecuritiesStock

Self $1,001 -$15,000


9.10.17 CVX - ChevronCorporation


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.18 CB - Chubb Limited CorporateSecuritiesStock

Self $15,001 -$50,000




Self $15,001 -$50,000


$1,001 -$2,500



Self $1,001 -$15,000


$1,001 -$2,500

9.10.21 COP - ConocoPhillips CorporateSecuritiesStock

Self $15,001 -$50,000



9.10.22 DHR - DanaherCorporation


Self $1,001 -$15,000


$201 - $1,000

9.10.23 DE - Deere & Company CorporateSecuritiesStock

Self $1,001 -$15,000


9.10.24 DAL - Delta Air Lines, Inc. CorporateSecuritiesStock

Self $1,001 -$15,000


$201 - $1,000

9.10.25 DVN - Devon EnergyCorporation


Self $1,001 -$15,000


9.10.26 DFS - Discover Financial Corporate Self $15,001 - Dividends, $201 - $1,000

http://finance.yahoo.com/q?s=BAC


http://finance.yahoo.com/q?s=BIIB

http://finance.yahoo.com/q?s=BWA

http://finance.yahoo.com/q?s=AVGO

http://finance.yahoo.com/q?s=CAT

http://finance.yahoo.com/q?s=CBS

http://finance.yahoo.com/q?s=CVX

http://finance.yahoo.com/q?s=CB



http://finance.yahoo.com/q?s=COP

http://finance.yahoo.com/q?s=DHR

http://finance.yahoo.com/q?s=DE

http://finance.yahoo.com/q?s=DAL

http://finance.yahoo.com/q?s=DVN

http://finance.yahoo.com/q?s=DFS



Services SecuritiesStock

$50,000

9.10.27 DWDP - DowDuPont Inc. CorporateSecuritiesStock

Self $1,001 -$15,000


$2,501 -$5,000

9.10.28 DTE - DTE EnergyCompany


Self $1,001 -$15,000


$1,001 -$2,500

9.10.29 ETFC - E*TRADE FinancialCorporation


Self $1,001 -$15,000


9.10.30 EBAY - eBay Inc. CorporateSecuritiesStock

Self $1,001 -$15,000


9.10.31 LLY - Eli Lilly andCompany


Self $1,001 -$15,000


$1,001 -$2,500

9.10.32 EGN - EnergenCorporation


Self $1,001 -$15,000


9.10.33 EOG - EOG Resources,Inc.


Self $15,001 -$50,000



9.10.34 ELS - Equity LifeStyleProperties, Inc.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.35 XOM - Exxon MobilCorporation


Self $15,001 -$50,000


$201 - $1,000

9.10.36 GILD - Gilead Sciences,Inc.


Self $1,001 -$15,000





Interest, $201 - $1,000

9.10.38 HAL - HalliburtonCompany


Self $1,001 -$15,000


$201 - $1,000

9.10.39 HIW - HighwoodsProperties, Inc.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.40 HRC - Hill-Rom Holdings,Inc.


Self $1,001 -$15,000


9.10.41 HON - HoneywellInternational Inc.


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.42 HBAN - HuntingtonBancshares Incorporated

CorporateSecurities

Self $15,001 -$50,000

Dividends, $201 - $1,000

http://finance.yahoo.com/q?s=DWDP

http://finance.yahoo.com/q?s=DTE

http://finance.yahoo.com/q?s=ETFC

http://finance.yahoo.com/q?s=EBAY

http://finance.yahoo.com/q?s=LLY

http://finance.yahoo.com/q?s=EGN

http://finance.yahoo.com/q?s=EOG

http://finance.yahoo.com/q?s=ELS

http://finance.yahoo.com/q?s=XOM

http://finance.yahoo.com/q?s=GILD

http://finance.yahoo.com/q?s=HAL

http://finance.yahoo.com/q?s=HIW

http://finance.yahoo.com/q?s=HRC

http://finance.yahoo.com/q?s=HON

http://finance.yahoo.com/q?s=HBAN



Stock9.10.43 ICE - Intercontinental

Exchange, Inc.CorporateSecuritiesStock

Self $1,001 -$15,000


9.10.44 JNJ - Johnson & Johnson CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.45 JPM - JPMorgan Chase &Co.


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.46 LH - LaboratoryCorporation of AmericaHoldings


Self $1,001 -$15,000


9.10.47 MPC - MarathonPetroleum Corporation


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.48 MDT - Medtronic plc CorporateSecuritiesStock

Self $1,001 -$15,000

CapitalGains,




Self $1,001 -$15,000


$201 - $1,000

9.10.50 MS - Morgan Stanley CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.51 NOC - Northrop GrummanCorporation


Self $15,001 -$50,000


$1,001 -$2,500

9.10.52 NUE - Nucor Corporation CorporateSecuritiesStock

Self $1,001 -$15,000



9.10.53 ON - ON SemiconductorCorporation


Self $1,001 -$15,000

CapitalGains,

$1,001 -$2,500



Self $1,001 -$15,000


$1,001 -$2,500



Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.56 PEP - PepsiCo, Inc. CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.57 PFE - Pfizer Inc. CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.58 PG - The Procter &Gamble Company


Self $1,001 -$15,000


$201 - $1,000

9.10.59 PLD - Prologis, Inc. CorporateSecuritiesStock

Self $1,001 -$15,000

Dividends, $201 - $1,000

http://finance.yahoo.com/q?s=ICE

http://finance.yahoo.com/q?s=JNJ

http://finance.yahoo.com/q?s=JPM

http://finance.yahoo.com/q?s=LH

http://finance.yahoo.com/q?s=MPC

http://finance.yahoo.com/q?s=MDT


http://finance.yahoo.com/q?s=MS

http://finance.yahoo.com/q?s=NOC

http://finance.yahoo.com/q?s=NUE

http://finance.yahoo.com/q?s=ON



http://finance.yahoo.com/q?s=PEP

http://finance.yahoo.com/q?s=PFE

http://finance.yahoo.com/q?s=PG

http://finance.yahoo.com/q?s=PLD



9.10.60 PEG - Public ServiceEnterprise GroupIncorporated


Self $1,001 -$15,000

Dividends, $201 - $1,000

9.10.61 PVH - PVH Corp. CorporateSecuritiesStock

Self $1,001 -$15,000



9.10.62 QCOM - QUALCOMMIncorporated


Self $1,001 -$15,000


$1,001 -$2,500

9.10.63 PWR - Quanta Services,Inc.


Self $1,001 -$15,000

CapitalGains,


9.10.64 RTN - Raytheon Company CorporateSecuritiesStock

Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.65 SWK - Stanley Black &Decker, Inc.


Self $1,001 -$15,000

CapitalGains,

$1,001 -$2,500



Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.67 STI - SunTrust Banks, Inc. CorporateSecuritiesStock

Self $15,001 -$50,000


$1,001 -$2,500

9.10.68 HSY - The HersheyCompany


Self $1,001 -$15,000



9.10.69 HD - The Home Depot,Inc.


Self $1,001 -$15,000


$1,001 -$2,500



Self $1,001 -$15,000


$201 - $1,000

9.10.71 TSN - Tyson Foods, Inc. CorporateSecuritiesStock

Self $15,001 -$50,000


$201 - $1,000

9.10.72 UNH - UnitedHealth GroupIncorporated


Self $1,001 -$15,000


$201 - $1,000

9.10.73 VZ - VerizonCommunications Inc.


Self $1,001 -$15,000





Self $1,001 -$15,000



9.10.75 WM - Waste Management,Inc.


Self $15,001 -$50,000

Dividends, $201 - $1,000

9.10.76 WFC - Wells Fargo &Company


Self $1,001 -$15,000


$201 - $1,000

http://finance.yahoo.com/q?s=PEG

http://finance.yahoo.com/q?s=PVH

http://finance.yahoo.com/q?s=QCOM

http://finance.yahoo.com/q?s=PWR

http://finance.yahoo.com/q?s=RTN

http://finance.yahoo.com/q?s=SWK


http://finance.yahoo.com/q?s=STI

http://finance.yahoo.com/q?s=HSY

http://finance.yahoo.com/q?s=HD


http://finance.yahoo.com/q?s=TSN


http://finance.yahoo.com/q?s=VZ


http://finance.yahoo.com/q?s=WM

http://finance.yahoo.com/q?s=WFC



9.10.77 WLK - Westlake ChemicalCorporation


Self $1,001 -$15,000


$201 - $1,000

9.10.78 XEL - Xcel Energy Inc. CorporateSecuritiesStock

Self $15,001 -$50,000






CapitalGains,

$201 - $1,000




$2,501 -$5,000




CapitalGains,

$201 - $1,000

9.10.82 CMI - Cummins Inc. CorporateSecuritiesStock



$201 - $1,000

9.10.83 DOW - Dow ChemicalCompany (The)




$1,001 -$2,500

9.10.84 EIX - Edison International CorporateSecuritiesStock



$1,001 -$2,500

9.10.85 GE - General ElectricCompany




$201 - $1,000

9.10.86 HPE - Hewlett PackardEnterprise Company




$1,001 -$2,500

9.10.87 INTC - Intel Corporation CorporateSecuritiesStock



$201 - $1,000

9.10.88 IP - International PaperCompany



CapitalGains,

$2,501 -$5,000

9.10.89 PHM - PulteGroup, Inc. CorporateSecuritiesStock



$1,001 -$2,500

9.10.90 VLO - Valero EnergyCorporation




$201 - $1,000

9.10.91 WOOF - VCA Inc. CorporateSecuritiesStock


CapitalGains,

$2,501 -$5,000

9.10.92 WRK - WestRockCompany




$1,001 -$2,500



Self

9.11.1 PUT/SPX @ 2450 EXP Other Securities Self $1,001 - None, None (or less

http://finance.yahoo.com/q?s=WLK

http://finance.yahoo.com/q?s=XEL




http://finance.yahoo.com/q?s=CMI

http://finance.yahoo.com/q?s=DOW

http://finance.yahoo.com/q?s=EIX

http://finance.yahoo.com/q?s=GE

http://finance.yahoo.com/q?s=HPE

http://finance.yahoo.com/q?s=INTC

http://finance.yahoo.com/q?s=IP

http://finance.yahoo.com/q?s=PHM

http://finance.yahoo.com/q?s=VLO

http://finance.yahoo.com/q?s=WOOF

http://finance.yahoo.com/q?s=WRK



04/30/2018Description: PutOption (New York, NY)

$15,000 than $201)















Interest, $201 - $1,000



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500





CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500

9.11.19 PUT/SPX @ 2300 EXP08/18/2017Description: PutOption (New York, Ny)


CapitalGains,

$1,001 -$2,500



CapitalGains,

$2,501 -$5,000



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500





CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500





CapitalGains,

$1,001 -$2,500



CapitalGains,

$1,001 -$2,500



CapitalGains,

$2,501 -$5,000

10 Bank of America(Tampa, FL)Type: Checking, MoneyMarket Account, Savings,

Bank Deposit Joint $1,000,001 -$5,000,000

Interest, $1,001 -$2,500

11 Gold BullionDescription: Physical Gold

Personal PropertyPrecious Metals

Self $250,001 -$500,000


12 W. Mitt Romney 1996Charitable RemainderTrust

TrustGeneral Trust

Self

12.1 TOIXX - FederatedTreasury Obligations


Self $1,001 -$15,000



12.2 EGFFX - EdgewoodGrowth Retail


Self $15,001 -$50,000


$201 - $1,000

12.3 FMIHX - FMI Large Cap Mutual FundsMutual Fund

Self $15,001 -$50,000


$201 - $1,000

12.4 VFINX - Vanguard 500Index Investor


Self $15,001 -$50,000


$201 - $1,000

12.5 ARTKX - ArtisanInternational ValueInvestor


Self $15,001 -$50,000


$201 - $1,000

12.6 WCMIX - WCM FocusedInternational Growth Instl


Self $15,001 -$50,000


$201 - $1,000

12.7 NAESX - Vanguard SmallCap Index Inv


Self $15,001 -$50,000


$201 - $1,000

12.8 TISVX - TransamericaInternational Sm Cp Val I


Self $15,001 -$50,000


$201 - $1,000

12.9 DREGX - DriehausEmerging Markets GrowthInv


Self $1,001 -$15,000


$201 - $1,000

12.10 MAPIX - Matthews AsiaDividend Investor


Self $1,001 -$15,000


$201 - $1,000

http://finance.yahoo.com/q?s=TOIXX

http://finance.yahoo.com/q?s=EGFFX

http://finance.yahoo.com/q?s=FMIHX

http://finance.yahoo.com/q?s=VFINX

http://finance.yahoo.com/q?s=ARTKX

http://finance.yahoo.com/q?s=WCMIX

http://finance.yahoo.com/q?s=NAESX

http://finance.yahoo.com/q?s=TISVX

http://finance.yahoo.com/q?s=DREGX

http://finance.yahoo.com/q?s=MAPIX



12.11 MWTRX - MetropolitanWest Total Return Bd M


Self $15,001 -$50,000


$201 - $1,000

12.12 NCRIX - NeubergerBerman Core Bond Inv


Self $15,001 -$50,000


$1,001 -$2,500

12.13 ARTFX - Artisan HighIncome Investor


Self $15,001 -$50,000


$1,001 -$2,500

12.14 BSIIX - BlackRockStrategic Income OppsInstl


Self $1,001 -$15,000


$201 - $1,000

12.15 MCIFX - Miller ConvertibleBond I


Self $1,001 -$15,000


$201 - $1,000

13 Loan Secured by RealProperty in Missouri City,TXDebtor: Timothy Stamps

AccountsReceivableFrom anIndividual

Self $15,001 -$50,000

CapitalGains,

$1,001 -$2,500

14 Vantage 2 LLCCompany: Vantage 2 LLC(Moorpark,CA) Description: Horses

Business EntityLimited LiabilityCompany (LLC)

Spouse

14.1 HorsesDescription: Horses

Personal PropertyOther

Spouse $250,001 -$500,000


15 Rob Rom LLCCompany: Rob Rom LLC(Moorpark,CA) Description: Horses


Spouse

15.1 HorsesDescription: Horses

Personal PropertyOther

Spouse $50,001 -$100,000


16 Promissory Note with ACREnterprises IncCompany: ACR EnterprisesInc (Moorpark, CA)

AccountsReceivableFrom a Business

Spouse $100,001 -$250,000

Interest, $5,001 -$15,000

17 Bain IRA Retirement PlansIRA

Self

17.1 Prospect Harbor CreditPartnersDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $1,001 -$15,000


$2,501 -$5,000

17.2 Brookside CapitalPartners FundDescription: HedgeFund (Boston, MA) Filercomment: Income from2016 K-1.


Self $50,001 -$100,000



17.3 Sankaty High Yield AssetGrantor TrustDescription: Private


Self $15,001 -$50,000


$15,001 -$50,000

http://finance.yahoo.com/q?s=MWTRX

http://finance.yahoo.com/q?s=NCRIX

http://finance.yahoo.com/q?s=ARTFX

http://finance.yahoo.com/q?s=BSIIX

http://finance.yahoo.com/q?s=MCIFX



Equity (Boston, MA) Filercomment: Income from2016 K-1.

17.4 Sankaty High YieldPartners II Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $1,001 -$15,000



17.5 Sankaty CreditOpportunities GrantorTrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $1,001 -$15,000



17.6 Sankaty CreditOpportunities IIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $15,001 -$50,000


$2,501 -$5,000

17.7 Sankaty CreditOpportunities IIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $100,001 -$250,000


$15,001 -$50,000

17.8 Sankaty CreditOpportunities IVDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $100,001 -$250,000


$1,001 -$2,500

17.9 Sankaty SpecialSituations I Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $1,001 -$15,000


$2,501 -$5,000

17.10 111 Capital Grantor TrustDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $15,001 -$50,000



17.11 BCIP Trust Associates IIIDescription: PrivateEquity (Boston, MA) Filercomment: Income from2016 K-1.


Self $1,000,001 -$5,000,000



18 8621 Georgia Associates,LLCCompany: 8621 GeorgiaAssociates, LLC (Potomac,


Self



MD) Description: RealEstate

18.1 Apartment BuildingDescription: ResidentialReal Estate (Silver Spring,MD)

Real EstateResidential

Self $500,001 -$1,000,000


19 Ten Hut, LLCCompany: Ten Hut, LLC(Holladay,UT) Description: RealEstate


Self

19.1 Apartment BuildingDescription: ResidentialReal Estate (Wichita, KS)

Real EstateResidential

Self $1,000,001 -$5,000,000

CapitalGains,

$1,000,001 -$5,000,000

Part 4a. Periodic Transaction Report SummaryNot required

Part 4b. TransactionsNot required

Part 5. GiftsNot required

Part 6. TravelNot required



Part 7. LiabilitiesDid you, your spouse, or dependent child have a liability worth more than $10,000 at any time? Yes

# Incurred Debtor Type PointsRate(Term) Amount Creditor Comments

1 2018 Spouse Other(CapitalCommitment)

- 0%(OnDemand)

$100,001 -$250,000

SolamereFoundersFund I, LPBoston,MA

Capitalcommitment -The Ann D.Romney 1998Revocable Trust.See attachednotes.


- 0%(ondemand)

Over$1,000,000(asset heldindependentlyby spouse ordependentchild)

SolamereCapitalFund II, LPBoston,MA



- 0%(ondemand)

$15,001 -$50,000

SolamereCapitalFund II GP,LPBoston,MA



- 0%(ondemand)

$15,001 -$50,000

GoldenGateCapitalInvestmentAnnex FundII, L.P.SanFrancisco,CA



- 0%(ondemand)

$500,001 -$1,000,000

GoldenGateCapitalOpportunityFund, LPSanFrancisco,CA




Part 8. PositionsDid you hold any outside positions during the reporting period? Yes

#PositionDates Position Held Entity Entity Type Comments

1 Dec1991 topresent

Trustee George andLenore RomneyIrrevocableTrustDetroit, MI

Trust Trust established to hold extended familyvacation property

2 Dec2012 topresent

Director MarriottInternationalBethesda, MD

Company None

3 Mar2013 topresent

Trustee The RomneyFoundation forChildrenBoston, MA

NonprofitOrganization

None

4 Mar2013 topresent

Other(Chairman ofthe ExecutivePartner Group)

SolamereCapital, LLCBoston, MA

Company None

5 Dec2013 topresent

Other(Manager)

RomneyChildren, LLCWilmington,DE

Other (Holdsinvestmentsfor filer'schildren.)

None

6 Oct2014 topresent

Other(AdvisoryBoardMember)

Ann RomneyCenter forNeurologicDiseasesBoston, MA

Other(ResearchFacility)

None

7 Sep2015 topresent

Other(AdvisoryBoardConvener)

Kem C. GardnerPolicy Instituteat University ofUtahSalt Lake City,UT

EducationalOrganization

None

8 Sep2017 topresent

Other(EconomicStrategy GroupMember)

The AspenInstituteWashington,DC

NonprofitOrganization

None



Part 9. AgreementsDid you have any reportable agreement or arrangement with an outside entity? Yes

# Date Parties Involved Type Status and Terms

1 Aug 2009 St. Martin's PressNew York, NY

Royalty Agreement Publishing agreement with St. Martin's Press("No Apology: The Case for AmericanGreatness")

Part 10. CompensationIf this is your first report, or you are a candidate did you receive compensation of more than $5,000 from asingle source in the two prior years? No

Attachments & CommentsAttachments

Document Title Date/Time Added

Romney--2018 PFD Appended Notes.pdf 03/22/2018 @ 2n27 PM

CommentsNotes regarding Part 3 and Part 7 of the Report are attached.

https://electronic-financial-disclosure.s3.amazonaws.com/production/Romney-W.%20Mitt-11671/2018/5a738107-fc73-46a2-9dbf-4bba670f28b1/1a2dc44e-c7b1-4871-8839-7431116a84da.pdf?Expires=1549330450&AWSAccessKeyId=AKIAIL7OIS64Y5R67EXA&Signature=%2B1tFYxxQQxLCBnAy8xjbvBmAtdI%3D

United States Senate Financial Disclosures

Documents

Transcript of United States Senate Financial Disclosures