11/2/2018 1.251 AM- XXXXX 3560- 44-'PIT ......11/2/2018 1.251 AM- XXXXX 3560- 44-'PIT - BANKOFNEWYORKMELLONCORPFDN-IMA-N 2949133504000 990-PF Return of Private Foundation MBNo 15450052

11/2/2018 1.251 AM - XXXXX 3560 - 44 -'PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

-N 2949133504000MB No 15450052

990-PFReturn of Private Foundation

L i± .Form o Section 4947 (a)(1) Trust Treated as Private Foundation

110.20

Do not enter social security numbers on this form as it may be made public.

-internal

Departme nt

Revenu e

the

Sennce

Treasury ► Go to www. irs. gov/Form990PF for instructions and the latest information.

Fo r calendar year 2017 or tax year beginninq . and ending

OO

c-i

O

nw.c^

C.iG

LAMCQ

IIJUL1_

Z

Name of foundation A Employer identification number

BNY MELLON FOUNDATIONher and street ( or P 0 box number if mail is not delivered to street address ) Room/suite 31-1605320

BNY Mellon , N A - P O Box 185 B Telephone number ( see instructions)

City or town, state or province, country, and ZIP or foreign postal code

Pittsburg h PA 15230-0185 (412 ) 234-0023Foreign country name Foreign province/state/county Foreign postal code C If exemption application is pending , check here

G Check all that apply q Initial return q Initial return of a former public charity D 1. Foreign organizations , check here ► q

q Final return q Amended return 2 . Foreign organizations meeting the 85% test,

q Address change q Name chan ge check here and attach computation ► q

H Check type of organization ® Section 501 ( c)(3) exempt private foundation E If private foundation status was terminated under

h ► 1:11:1 Section 4947 ( a )( 1 ) nonexemp t charitable trust q Other taxable private found on

eresection 507 ( b)(1)(A). check

I Fair market value of all assets at J Accounting method ® Cash q Accrualis i n a month terminationF the f

end of year (from Part II , col (c),-- --

[:1 Other (specify )u 5

(1)(B)B)

, check here ► qu nder section

line 16 D $ 39 , 934 , 214 (Part I, column ( d) must be on cash basis )

Analysis of Revenue and Expenses (The total of ( a) Revenue and (d) Disbursements

amounts in columns ( b), (c), and (d) may not necessarily expenses per(b ) Net investment (c) Adjusted net for charitable

equal the amounts in column ( a) (see instructions ) booksincome income purposes

cas

hh

basisbasis onl y)

1 Contributions , gifts, grants, etc , received ( attach schedule )

2 Check if the foundation is not required to attach Sch B 9 h '" Maw°3 S'M;22MM -HM ". ` M - e' ,^ Rr«3 Interest on savings and temporary cash investments4 Dividends and interest from securities 613 , 949 602 , 1145a Gross rents 4^^5b Net rental income or ( loss) a,°9r• -.u+`' ^^° ^^^' '^S`d ir,'_

6a Net gain or (loss ) from sale of assets not on line 10 1 , 310 , 997 L dMM" M "' ;'W ___ _,.hb Gross sales price for all assets on line 6a 11 , 254 550 k 1?^f'' m_;_ "

7 Capital gain net income (from Part IV, line 2 ) 1 310 997 n Rr. 3 W_5WV139Nffl8 Net short-term capital gain

'er A "W

9 Income modifications 57^ 91AVYWAM211 9fflKVNM c10a Gross sales less returns and allowances MIX. ,(aw^ M' Z__MM â

b Less Cost of goods sold ON 2" Y 0 ftc Gross profit or (loss ) ( attach schedule ) 1 t ,' r -00 F 1

11 Other income (attach schedule ) 130 , 900 142 , 839 _____ "12 Total . Add lines 1 throug h 11 2 , 055 , 846 2 , 055 , 950 0

cn 13 Compensation of officers , directors , trustees, etc

o 14 Other employee salaries and wages

w 15 Pension plans , employee benefits

x 16a Legal fees (attach schedule)

a b Accounting fees (attach schedule)

Z c Other professional fees (attach schedule)

17 Interest G 2 , 676

18 Taxes ( attach schedule ) ( see instructlo 36 15 , 29119 Depreciation ( attach schedule) and de letlon s

20 Occupancy

a 21 Travel, conferences , and meetings `s'ue

22 Printing and publications

23 Other expenses ( attach schedule ) 0 91 , 339 90 , 589 750

24 Total operating and administrative expens

Add lines 13 through 23 130 , 346 108 , 556 0 750

25 Contributions , gifts, grants paid 1 , 900 , 000 UMNN&PP 1 , 900 , 000O 26 Total expenses and disbursements . Add lines 24 and 25 2 , 030 , 346 108 , 556 0 1 , 900 , 7 0

27 Subtract line 26 from line 12,," I,'

'S^

19,^^

^, ` 3 r `"3; . ^Sy,= r, t) r xA, fd'o2 ' "^s,^y • } ^;,;, ^g ^r c 's r ; i k

i^^

a Excess of revenue over expenses and disbursements 25 , 500

,_

b Net investment income ( if negative , enter -0- ) Ma:̂'M°'tià^ 1 , 947 , 394

c Adjusted net income (if negative , enter -0-) 0 ^;

For Paperwork Reduction Act Notice , see instructions.

HTA ffl'f

8

Form 990-PF (2017)

11/2/2018 11 12.51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

Form 990 - PF (2017 ) BNY MELLON FOUNDATION 31-1605320 Page 2

Attached schedules and amounts in the description columnS

Beginning of year End of yearBalance heets

should be for end-of-year amounts only ( See instructions ) ( a) Book Value ( b) Book Value (c) Fair Market Value

1 Cash-non-interest - bearing2 Savings and temporary cash investments 553 , 775 525 , 077 525 , 077

3 Accounts receivable ► ----------- -------------------- -

tw

t2M1

Ym

t`'yJ

Less allowance for doubtful accounts ►4 Pledges receivable ® le ' *^ 5^'ft tg'

Less allowance for doubtful accounts ►--------------------- -

5 Grants receivable

6 Receivables due from officers, directors, trustees , and other

disqualified persons (attach schedule ) (see instructions)

7 Other notes and loans receivable (attach schedule ) ► ----------------- rr,^'p(^ ? r •^ ' r̂^C ^^ ' ^y_u

allowance for doubtful accounts ►Less--------------------------

8 Inventories for sale or use

y 9 Prepaid expenses and deferred charges

. 10a Investments-U S and state government obligations (attach schedule)

b Investments-corporate stock ( attach schedule)

c Investments-corporate bonds (attach schedule)

11 Investments-land, buildings, and equipment basis ► •}%p

O . ..Y

jfUip

y

'N4,,k+.h

29-M, F•;^_._,^ „=v.,,^,.,..:^ y

Less' accumulated depreciation ( attach schedule) ►--------------------

12 Investments-mortgage loans

13 Investments-other (attach schedule ) 30 , 193 , 387 30 , 266 , 805 39 , 409 , 137

14 Land, buildings, and equipment basis ► ----------------------- MEMOW1_f_20ZW1Less accumulated depreciation ( attach schedule ) ► .................

15 Other assets (describe ► )--------------------------------

16 Total assets ( to be completed by all filers-see theinstructions Also, see pa g e 1, item 1) 30 , 747 , 162 30 , 791 , 882 39 , 934 , 214

17 Accounts payable and accrued expenses

y 18 Grants payable2 19 Deferred revenue

#20 Loans from officers, directors, trustees, and other disqualified persons c s w '£

12v 21 Mortgages and other notes attach schedule )payable ( s• s•t22 Other liabilities ( describe ► ) g,23 Total liabilities ( add lines 17 through 22 ) 0 0

Foundations that follow SFAS 117, check here ► qand complete lines 24 through 26, and lines 30 and 31. q, aa

24 Unrestricted

roUJI

25 Temporarily restricted

26 Permanently restricted

• .

"'

Foundations that do not follow SFAS 117, check here ►LL and complete lines 27 through 31.

0 27 Capital stock , trust principal , or current funds

28 Paid - in or capital surplus , or land , bldg , and equipment fund

30 , 747 , 162 30 , 791 , 882 °tn.?

29 Retained earning s, accumulated income , endowment , or other funds

a

W

30 Total net assets or fund balances (see instructions ) 30 , 747 , 162 30 , 791 , 882

31 Total liabilities and net assets/fund balances (see

înstructions ) 30 , 747 , 162 30 , 791 , 882 ?tea

Analysis of Chan es in Net Assets or Fund BalancesI Total net assets or fund balances at beginning of year-Part II, column ( a), line 30 ( must agree with

end-of-year figure reported on prior year's return ) 1 30 , 747 , 162

2 Enter amount from Part I, line 27a 2 25 , 500

3 Other increases not included in line 2 ( itemize ) ► See Attached Statement 3 223 , 494________________

4 Add lines 1 , 2, and 3 4 30 , 996 , 156

5 Decreases not included in line 2 (itemize ) © See Attached Statement 5 204 , 274______________________________6 Total net assets or fund balances at end of year (line 4 minus line 5)-Part II , column (b), line 30 6 30 , 791 , 882

Form 990-PF (2017)

11/2/2018 11 : 12.51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

Form 990-PF (2017) BNY MELLON FOUNDATION 31-1605320 Page 3

UTNN Ca ita l Gains and Losses for Tax on Investment Income

a) List and describe the kmd(s) of property sold (for example, real estate ,2-story bnck warehouse , or common stock, 200 shs MLC Co )

( b) How acquiredP-PurcaD-Donationion

( c) Date acquired

(mo,day, yr )

( d) Date sold

( mo , day, yr )

1a See Attached Statement

b

cd

e

( e) Gross sales price (f) Depreciation allowed

(or allowable )

( g) Cost or other basis

plus expense of sale

( h) Gain or (loss)

((e) plus ( t) minus (g))

ab

cd

eComplete only for assets showing gain in column ( h) and owned by the foundation on 12/31/69 (I) Gains (Col (h) gain minus

(i) F M V as of 12/ 31/69(1) Adjusted basis

as of 12/31/69

( k) Excess of col (i)

over col 0), if any

col (k), but not less than -0-) or

Losses (from col (h))

ab

cd

e

2 Capital gain net income or ( net capital loss)( If gain , also enter in Part I, line 7

( If (loss), enter -0- in Part I, line 7 2 1 , 310 ,9973 Net short -term capital gain or ( loss) as defined in sections 1222( 5) and (6)

If gain, also enter in Part I, line 8, column (c) See Instructions If (loss), enter -0- in l

Part I, line 8 J 3 0

MM Qualification Under Section 4940 (e) for Reduced Tax on Net Investment Income

(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income )

If section 4940( d)(2) applies, leave this part blank

Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? q Yes NoIf "Yes," the foundation doesn't qualify under section 4940(e) Do not complete this part

1 Enter the appropriate amount in each column for each year, see the instructions before making any entries(a)

Base asCalendar year

orr taxx yearar beg innin g in

(b)

qualifying distributions

(c)

Net value of noncharitable - use assets

(d)Distrib ution

col bdivi)dividedd

bycocot ( c))

2016 2 , 040 , 217 34 , 274 , 632 0059526

2015 1 , 850 , 750 36 , 116 , 215 0051244

2014 1 , 835 , 750 36 , 766 , 845 0049929

2013 1 , 660 , 0100 1 35 , 334 , 581 0046979

2012 1 , 660 , 750 1 32 , 502 , 830 0051096

2 Total of line 1, column (d) 2 0 258774

3 Average distribution ratio for the 5-year base period-divide the total on line 2 by 5

the number of years the foundation has been in existence if less than 5 years

0, or by

3 0 051755

4 Enter the net value of noncharltable -use assets for 2017 from Part X, line 5 4 37 , 518 , 169

5 Multiply line 4 by line 3 5 1 , 941 , 753

6 Enter 1 % of net investment income (1 % of Part I, line 27b) 6 19 , 474

7 Add lines 5 and 6 7 1 , 961 , 227

8 Enter qualifying distributions from Part XI I, line 4 8 1 , 900 , 750

If line 8 is equal to or greater than line 7, check the box in Part VI, line 1 b, and complete that part using a 1 % tax rate See the

Part VI Instructions

Form 990-PF (2017)

ILA

11/2/2018 11 . 12:51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

Form 990-PF ( 2017) BNY MELLON FOUNDATION 31-1605320 Page4

jj^v Excise Tax Based on Investment Income ( Section 4940 (a ), 4940 ( b ), 4940 ( e ), or 4948-see instructions

la Exempt operatinq foundations described in section 4940(d)(2), check here ► q and enter "N/A" on line 1Date of ruling or determination letter (attach co py of letter if necessa ry-see instructions )

b Domestic foundations that meet the section 4940(e) requirements in Part V, check 1 38 , 948

here ► q and enter 1 % of Part I, line27b^r ;.:c All other domestic foundations enter 2% of line 27b Exempt foreign organizations, enter 460f i - ' t

Part I, line 12, col (b)

2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only, others, enter -0-) 2 0

3 Add lines 1 and 2 3 38 , 948

4 Subtitle A (income) tax (domestic section 4947( a)(1) trusts and taxable foundations only, others, enter -0-) 4

5 Tax based on investment income . Subtract line 4 from line 3 If zero or less, enter -0- 5 38 , 948

6 Credits/Payments

a 2017 estimated tax payments and 2016 overpayment credited to 2017 6a 30 , 599b Exempt foreign organizations-tax withheld at source 6b

th : < < 6x i Fc Tax paid with application for extension of time to file (Form 8868) 6c 8310d Backup withholding erroneously withheld 6d

7 Total credits and payments Add lines 6a through 6d 7 38,909.

8 Enter any penalty for underpayment of estimated tax Check here ® if Form 2220 is attached9 Tax due . If the total of lines 5 and 8 is more than line 7, enter amount owed Interest $1 ► 9 40

10 • Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid ► 10 011 Enter the amount of line 10 to be Credited to 2018 estimated tax ► Refunded ► 11 0

1a

b

c

d

e

2

3

4a

b

5

6

7

8a

b

9

10

During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it

participate or intervene in any political campaign?

Did it spend more than $100 during the year (either directly or indirectly) for political purposes' See the

instructions for the definition

If the answer is "Yes" to 1a or 1 b, attach a detailed description of the activities and copies of any materials

published or distributed by the foundation in connection with the activities

Did the foundation file Form 1120-POL for this year?

Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year

(1) On the foundation ► $ (2) On foundation managers

Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed

on foundation managers ► $

Has the foundation engaged in any activities that have not previously been reported to the IRS?

If "Yes," attach a detailed description of the activities

Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles

of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes

Did the foundation have unrelated business gross income of $1,000 or more during the year?

If "Yes," has it filed a tax return on Form 990-T for this year?

Was there a liquidation, termination, dissolution, or substantial contraction during the year?

If "Yes," attach the statement required by General Instruction T

Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either

• By language in the governing instrument, or

• By state legislation that effectively amends the governing instrument so that no mandatory directions that

conflict with the state law remain in the governing instrument's

Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col (c), and Part XV

Enter the states to which the foundation reports or with which it is registered See instructions ►NY

If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney General

(or designate) of each state as required by General Instruction G'' If "No," attach explanation

Is the foundation claiming status as a private operating foundation within the meaning of section 49420)(3)

or 49420)(5) for calendar year 2017 or the tax year beginning in 2017 See the instructions for Part XIV If

"Yes," complete Part XIV

Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their

names and addresses

:/g Yes No

1a X

1b X

1c X

a2 X

3ce^Wi

3 X

4a X

4b X

5 X

6 X

7 X

8b X

9 X

1101 1XForm 990-PF (2017)

11/2/2018 11.12.51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA


Statements Regarding Activities (continued)11 At any time during the year , did the foundation , directly or indirectly, own a controlled entity within the s "; Yes No

the meaning of section 512 (b)(13)' If "Yes," attach schedule See instructions 11 X

12 Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualifiedperson had advisory privileges? If "Yes," attach statement See instructions 12 X

13 Did the foundation comply with the public inspection requirements for its annual returns and exemption application? 13 X

Website address ' N/A--------------------------------------------------------------------------- ------------------------

14 The books are in care of ► BNY MELLON N A ___________ Telephone no ► (412) 234-0023_--_

Located at ► P-0- BOX 185 PITTSBURGH PA -------------------------------------- ZIP+4 ► 15230-0185 ------------

15 Section 4947 ( a)(1) nonexempt charitable trusts filinq Form 990-PF in lieu of Form 1041-check here ► qand enter the amount of tax-exempt interest received or accrued during the year ► 15 N/A

16 At any time during calendar year 2017, did the foundation have an interest in or a signature or other aut hority Yes No

over a bank , securities , or other financial account in a foreign country? 16 X

See the instructions for exceptions and filing requirements for FinCEN Form 114 If "Yes," enter thename of the forei g n country

Statements Reqardinq Activities for Which Form 4720 May Be Required

File Form 4720 if any item is checked in the "Yes" column , unless an exception applies . Yes No

1a During the year, did the foundation (either directly or indirectly)

(1) Engage in the sale or exchange, or leasing of property with a disqualified persons q Yes No

(2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from) adisqualified person? Yes No

(3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? Yes q No Milli, ggs^rs " ry

(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified persons q Yes q No r ^,^ •^`,y :,^r^

(5) Transfer any income or assets to a disqualified person (or make any of either available forthe benefit or use of a disqualified person)? q Yes q No

(6) Agree to pay money or property to a government official' ( Exception . Check "No" if the

X

'

foundation agreed to make a grant to or to employ the official for a period after s:

termination of g overnment service, if terminatin g within 90 da ys Yes No ^ ,

b If any answer is "Yes " to 1a(1)-(6), did any of the acts fail to qualify under the exceptions described in f:

Regulations section 53 4941 (d)-3 or in a current notice regarding disaster assistance '? See instructions lbOrganizations relying on a current notice regarding disaster assistance, check here ► q ';;" ^ .;^

c Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts, that ,,"

were not corrected before the first day of the tax year beginning in 2017? 1c X

2 . Taxes on failure to distribute income ( section 4942 ) ( does not apply for years the foundation was a private^jj i^t ^•' bTF Coperating foundation defined in section 49420)( 3) or 4942O)(5)) ^ ly^ l

a At the end of tax year 2017, did the foundation have any undistributed income ( lines 6d and6e, Part XIII ) for tax year ( s) beginning before 2017 q Yes No

g

F jE-4

ijref

If "Yes," list the years 20 20 . 20 .20

b Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942 (a)(2) ,z

(relating to incorrect valuation of assets) to the year's undistributed income? ( If applying section 4942 (a)(2) to

all years listed, answer " No" and attach statement-see instructions) 2b N/A

c If the provisions of section 4942 ( a)(2) are being applied to any of the years listed in 2a , list the years here 7r ^,yt ' ,,;

► 20 20 20 20

° 4013a Did the foundation hold more than a 2% direct or indirect interest in an y business enterp rise arr, ;,... z . 3^Y. •at any time during the years q Yes No "• "t x ; z

b If "Yes ," did it have excess business holdings in 2017 as a result of (1) any purchase by the foundation or s • ^40

disqualified ersons after May 26, 1969 , 2 the lapse of the 5-year eriod or longer enod approved b thepersons () period (or period Y5

i,fl

:'i'i

Commissioner under section 4943 ( c)(7)) to dispose of holdings acquired by gift or bequest , or (3) the lapse^, t

of the 10-, 15 -, or 20 -year first phase holding period ? (Use Schedule C, Form 4720, to determine if the

foundation had excess business holdings in 2017 ) 3b N/A

4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes? 4a X

b Did the foundation make any investment in a prior year ( but after December 31, 1969 ) that could j eopardize its

charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2017? 4b X

Form 990-PF (2017)

11/2/2018 11 12 51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

Form 990-PF ( 2017 ) BNY MELLON FOUNDATION 31-1605320 Page 6

Statements Regarding Activities for Which Form 4720 May Be Req uired (continued)is f ..

5a Dunng the year, did the foundation pay or incur any amount to 4,!,(1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))' q Yes No 4+ti _ ,

(2) Influence the outcome of any specific public election (see section 4955), or to carry on,directly or indirectly, any voter registration drive? q Yes q No

(3) Provide a grant to an individual for travel, study, or other similar purposes? q Yes Nof` ,G ns ^Yr

(4) Provide a grant to an organization other than a charitable, etc , organization described in4i. ate,

section 4945(d)(4)(A)? See Instructions q Yes [g] Noa'; Pv

(5) Provide for any purpose other than religious, charitable, scientific, literary, or educational ^M

purposes, or for the prevention of cruelty to children or animals? q Yes No mss:

b If any answer is "Yes" to 5a(1)-(5), did any of the transactions fail to qualify under the exceptions described in

Regulations section 53 4945 or in a current notice regarding disaster assistance? See instructions 5b N/A

Organizations relying on a current notice regarding disaster assistance, check here

c If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the taxbecause it maintained expenditure responsibility for the grant? N/A El Yes El No

If "Yes," attach the statement required by Regulations section 53 4945-5(d) •s `,^s a6a Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums

on a personal benefit contract El Yes ®NoNR2

b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? 6b X

If "Yes" to 6b, file Form 8870

7a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? q Yes No

b If "Yes , " did the foundation receive an y p roceeds or have an y net income attributable to the transaction? 7b N/A

Information About Officers, Directors, Trustees, Foundation Managers , Highly Paid Employees,

and Contractors1 List all officers. directors- trustees . and foundation managers and their compensation . See instructions.

(b) Title, and average ( c) Compensation (d) Contributions to (e) Expense account,(a) Name and address hours per week ( if not paid, employee benefit plans

other allowancesdevoted to position enter - 0- ) and deferred compensation

See Attached Statement-------------------------------

00 0

---------------------------------------------------00 0

---------------------------------------------------00 0

---------------------------------------------------

00 0

2 Compensation of five hiahest- paid emnlovees ( other than those i ncluded on line 1-see instructions). If none, enter

"NONE-"

(a) Name and address of each employee paid more than $50,000

(b) Title, and averagehours per week

devoted to position

(c) Compensation

(d) Contributions toemployee benefit

plans and deferred

compensation

(e) Expense account,

other allowances

-NONE-------------------------------------------------------

----------------------------------------------------------

----------------------------------------------------------

----------------------------------------------------------

----------------------------------------------------------

Total number of other employees paid over $50,000 > NONE

Form 990-PF (2017)



Information About Officers , Directors , Trustees , Foundation Managers, Highly Paid Employees,

and Contractors (continued)3 Five hi g hest-paid inde pendent contractors for p rofessional services . See instructions . If none , enter "NONE."

(a) Name and address of each person paid more than $50,000 (b) Type of service ( c) Compensation

NONE

Total number of others receiving over $50,000 for professional services ► INONE

Summary of Direct Charitable Activities

List the foundation's four largest direct charitable activities during the tax year Include relevant statistical information such as the number of I Expensesorganizations and other beneficiaries served, conferences convened, research papers produced, etc

I NONE------------------------------------------------------------------------------------------------------

2

3

4-------------------------------------------------------------------------------------------------------

klFU1wmFFr#r:M S1 immarv of Prnnrnm -Balaton Invcctmont¢ (cee inctriirtinn¢)

Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2 Amount

1 NONE------------------------------------------------------------------------------------------------------

-------------------------------------------------------------------------------------------------------

2-------------------------------------------------------------------------------------------------------

-------------------------------------------------------------------------------------------------------

All other program- related investments See instructions

3 N-ONE-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

Total . Add lines 1 through 3 ► NONE

Form 990-1't(2017)

11/2/2018 11 :12 51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA


Minimum Investment Return (All domestic foundations must complete this part Foreign foundations,see instructions

1 Fair market value of assets not used (or held for use) directly in carrying out charitable, etc ,

purposes

a Average monthly fair market value of securities21a 37 ,496 ,607

b Average of monthly cash balances lb 592 , 905

c Fair market value of all other assets (see instructions) 1c

d Total (add lines la, b, and c) 1d 38 , 089 , 512

e Reduction claimed for blockage or other factors reported on lines 1 a and1c (attach detailed explanation) le

2 Acquisition indebtedness applicable to line 1 assets 2

3 Subtract line 2 from line 1d 3 38 , 089 , 512

4 Cash deemed held for charitable activities Enter 1'/z % of line 3 (for greater amount, see

instructions) 4 571 , 3435 Net value of noncharitable -use assets . Subtract line 4 from line 3 Enter here and on Part V, line 4 5 37 18 , 169

6 Minimum investment return . Enter 5% of line 5 6 1 , 875 , 908

Distributable Amount (see instructions) (Section 49420)(3) and 0)(5) private operating foundationsand certain foreign organizations, check here ► q and do not complete this part )

1 Minimum investment return from Part X, line 6 1 1 875 , 908

2a Tax on investment income for 2017 from Part VI, line 5 2a 38 , 948

b Income tax for 2017 (This does not include the tax from Part VI) 2b

M

c Add lines 2a and 2b 2c 38 , 948

3 Distributable amount before adjustments Subtract line 2c from line 1 3 1 , 836 , 960

4 Recoveries of amounts treated as qualifying distributions 4

5 Add lines 3 and 4 5 1 , 836 , 960

6 Deduction from distributable amount (see instructions) 6

7 Distributable amount as adjusted Subtract line 6 from line 5 Enter here and on Part XIII,

line 1 7 1 , 836 , 960

Qualifying Distributions (see instructions)

I Amounts paid (including administrative expenses) to accomplish charitable, etc , purposes

a Expenses, contributions, gifts, etc -total from Part I, column (d), line 26 1a 1 , 900 , 750b Program-related investments-total from Part IX-B lb NONE

2 Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc ,

purposes 2

3 Amounts set aside for specific charitable projects that satisfy the

a Suitability test (prior IRS approval required) 3a

b Cash distribution test (attach the required schedule) 3b

4 Qualifying distributions . Add lines 1a through 3b Enter here and on Part V, line 8, and Part XIII, line 4 4 1 900 750

5 Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment income

Enter 1 % of Part I, line 27b See instructions 5

6 Adjusted qualifying distributions . Subtract line 5 from line 4 6 1 , 900 , 750

Note . The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating wh

qualifies for the section 4940(e) reduction of tax in those years

ether the foundation

Form 990-PF (2017)

11/2/2018 11:12.51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

'Form 990-PF (2017) BNY MELLON FOUNDATION

ff^ Unclistributecl Income (see instructio

1 Distributable amount for 2017 from Part XI,

line 7

2 Undistributed income, if any, as of the end of 2017

a Enter amount for 2016 only

b Total for prior years 20_, 20_, 203 Excess distributions carryover, if any, to 2017

a From 2012 87 , 800b From 2013

c From 2014 51 , 875

d From 2015 89 , 557

e From 2016 347 , 551

f Total of lines 3a through e

4 Qualifying distributions for 2017 from Part XII,

line 4 P $ - 1,900,750

a Applied to 2016, but not more than line 2a

b Applied to undistributed income of prior years

(Election required-see instructions)

c Treated as distributions out of corpus (Election

required-see instructions)

d Applied to 2017 distributable amount

e Remaining amount distributed out of corpus

5 Excess distributions carryover applied to 2017

(If an amount appears in column (d), the sameamount must be shown in column (a) )

6 Enter the net total of each column asindicated below:

a Corpus Add lines 3f, 4c, and 4e Subtract line 5

b Prior years' undistributed income Subtract

line 4b from line 2b

c Enter the amount of prior years' undistributed

income for which a notice of deficiency has

been issued, or on which the section 4942(a)

tax has been previously assessed

d Subtract line 6c from line 6b Taxable

amount-see instructions

e Undistributed income for 2016 Subtract line

4a from line 2a Taxable amount-see

instructions

f Undistributed income for 2017 Subtract lines

4d and 5 from line 1 This amount must be

distributed in 2018

7 Amounts treated as distributions out of corpus

to satisfy requirements imposed by section

170(b)(1)(F) or4942(g)(3) (Election may be

required-see instructions)

8 Excess distributions carryover from 2012 not

applied on line 5 or line 7 (see instructions)

9 Excess distributions carryover to 2018.

Subtract lines 7 and 8 from line 6a

10 Analysis of line 9

a Excess from 2013

b Excess from 2014 51 , 875

c Excess from 2015 89 , 557

d Excess from 2016 347 , 551

e Excess from 2017 63.790

31-1605320 Page9

(a)

(b) (o)Corpus YearsPnorto 2016 2016

783

790

640.5

( d)

2017

1.836.960

Form 990-PF (2017)

11/2/2018 11.12 :51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

Form 990-PF (2017 ) BNY MELLON FOUNDATION 31-1605320 Paae 10

limes A Private Operating Foundations (see instructions and Part VII-A, question 9) ("QA1a If the foundation has received a ruling or determination letter that it is a private operating

foundation , and the ruling is effective for 2017, enter the date of the rulingb Check box to indicate whether the foundation is a private operating foundation described in section 9420)(3) or q 49420)(5)

2a Enter the lesser of the adjusted net Tax year Prior 3 yearsincome from Part I or the minimum (a) 2017

(e) Totalinvestment return from Part X for ( b) 2016 ( c) 2015 (d) 2014

each year listed

b 85% of line 2a /

c Qualifying distributions from Part XII,line 4 for each year listed

d Amounts included in line 2c not used directlyfor active conduct of exempt activities

e Qualifying distributions made directly

for active conduct of exempt activities

Subtract line 2d from line 2c

3 Complete 3a, b, or c for thealternative test relied upon

a "Assets" alternative test-enter

(1) Value of all assets

(2) Value of assets qualifying undersection 4942()(3)(B)(i)

b "Endowment" alternative test-enter 2/3of minimum investment return shown inPart X, line 6 for each year listed

c "Support" alternative test-enter(1) Total support other than gross

investment income (interest,dividends, rents, payments onsecurities loans (section512(a)(5)), or royalties)

(2) Support from general publicand 5 or more exemptorganizations as provided insection 49420)(3)(B)(m)

(3) Largest amount of support from

an exempt organization

(4) Gross investment incomeSupplementary Information'(Complete this part only if the foundation had $5,000 or more in assets atany time during the year-see instructions.)

1 Information Regarding Foundation Managers:a List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation

before the close of any tax year (but only if they have contributed more than $5,000) (See section 507(d)(2)

NONE

b List any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the

ownership of a partnership or other entity) of which the foundation has a 10% or greater interest

NONE

2 Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:

Check here ► q if the foundation only makes contributions to preselected charitable organizations and does not acceptunsolicited requests for funds If the foundation makes gifts, grants, etc , to individuals or organizations under other

conditions, complete items 2a, b, c, and d See instructions

a The name, address, and telephone number or email address of the person to whom applications should be addressed

DAISEY M HOLMES 101 BARCLAYS STREET, 11TH FLOOR NEW YORK, NY 10286

b The form in which applications should be submitted and information and materials they should include

PROVIDED UPON INITIAL CONTACT

c Any submission deadlines


d Any restrictions or limitations on awards , such as by geographical areas , charitable fields , kinds of institutions , or other

factors


Form 990-PF (2017)



Supplementary Information (continued)

3 Gra nts and Contributions Paid During the Year or Approved for Future Payment

RecipientIf recipient is an individual,

Foundationshow any relationship to

status ofPurpose of grant or

Amount

Name and address (home or business)any foundation manager

recipientcontribution

or substantial contributor

a Paid during the year

See Attached Statement

Total ► 3a 1 , 900 , 00o

b Approved for future paymentNONE

Total IN- 3bINONE

Form 990-PF (2017)

11/2/2018 11 :12.51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA


Analysis of Income-Producin g Activities

Enter gross amounts unless otherwise indicated Unrelated business income Excluded by section 512, 513, or 514 (e)

Related or exempt(a) (b) (c)

(d )in income

Business code Amount Exclusion code Amountfunction(Seee instructions )

1 Program service revenue

ab

cd

ef

g Fees and contracts from government agencies

2 Membership dues and assessments

3 Interest on savings and temporary cash investments

4 Dividends and interest from securities 14 613 , 949

5 Net rental income or (loss) from real estate ., :_ IMMA"W wk*44-9911a Debt-financed property

b Not debt-financed property

6 Net rental income or (loss) from personal property

7 Other investment income

8 Gain or (loss) from sales of assets other than inventory 18 1 , 310 , 997

9 Net income or (loss) from special events

10 Gross profit or (loss) from sales of inventory

11 Other revenue a See Attached Statement -11 , 939 142 , 839

b

cd

e12 Subtotal Add columns (b), (d), and (e) WOOMM -11 939 MVW 2 , 067 , 785 0

13 Total. Add line 12, columns (b), (d), and (e) 13 2,055,846

See worksheet in line 13 instructions to verify calculations

Relationshi p of Activities to the Accom plishment of Exem pt PurposesLine No . Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to theO accomplishment of the foundation's exempt purposes (other than by providinq funds for such purposes) (See instructions )

Form 990-PF (20 1 7)

11/2/2018 11:12:51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA


Information Regarding Transfers to and Transactions and Relationships With Noncharitable

Exem pt Organizations1 Did the organization directly or indirectly engage in any of the following with any other organization described Yes No

in section 501(c) (other than section 501(c)(3) organizations) or in section 527, relating to political

organizations

a Transfers from the reporting foundation to a noncharitable exempt organization of _

(1) Cash la(l) X

(2) Other assets la(2) X

b Other transactions

(1) Sales of assets to a noncharitable exempt organization 1b ( l ) X

(2) Purchases of assets from a noncharltable exempt organization 1 b ( 2 ) X

(3) Rental of facilities, equipment, or other assets 1 b ( 3 ) X

(4) Reimbursement arrangements 1 b (4) X

(5) Loans or loan guarantees 1b ( 5 )1 X

(6) Performance of services or membership or fundraising solicitations 1b ( 6 )1

+

X

-c Sharing of facilities, equipment, mailing lists, other assets, or paid employees 1c I X

d If the answer to any of the above is "Yes," complete the following schedule Column (b) should always show the fair marketvalue of the goods, other assets, or services given by the reporting foundation If the foundation received less than fair marketvalue in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received

(a) Line no ( b) Amount involved ( c) Name of noncharitable exempt organization ( d) Description of transfers, transactions , and sharing arrangements

NOT APPLICABLE

2a Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizationsdescribed in section 501(c) (other than section 501 (c)(3)) or in section 527? q Yes ® No

b If "Yes," complete the following schedule

(a) Name of organization ( b) Type of organization (c) Description of relationship

Under penalties of pertury, I declare that I have examined this return, including accompanying schedules and statements , and to the best of my knowledge and belief , it is true

Signcorrect , and complete Declarali of preparer (other than taxpayer ) is based on all informati

Here M )( 5Signature of o tcer or trustee Date

urPaid

Pnnt/Type preparer ' s name Preparers signat

o_ .._„_ Shawn P Hanlon


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Part I Line 6 ( 990-PF ) - GalnlLoss from Sale of Assets Other Than Invento ryTotals

AhrolrntGrossSales

Cog or Other Bass Expenses.

De auaoon and AdOnanrs

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Long Term CG D-bUigns 327979 CaPlal Gains /Lessee 11 , 254 , 550 9943557 1 . 310 .997Short Tarn, CGOrstnbueon 0 Otherealea 0 0

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Part 1 Line 6 990-PF - Gain/Loss from Sale of Assets Other Than Invento ryT.W. Gmes Costar Other Bays Expenses Net G-

Amount Sales De caeun end Ad Onents or LossLong Terrr CGDlsorbu0o 327979 C.ptal Genu/Lasss 11254550 9843557 1 , 310 ,997Short Tenn CO Dsmhueo 0 Outer sales 0 0 0

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---6272017 11125/.017 Z7 ___ _ 78 _____

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99 FNMA POOL CMA7,5,(1 7 4 ,Q. . 161800R^_ _ _2IDl3Q17_ 9127RO1.Z_ 297 _216 __0-_-11100 GENERAL ELEC CAP CORP 3696225M8 % 2/22/2012 3/132017 11 , 10 0 182505 GQ4QIAAN ,A_GHSQ9L_9, 31111.0017 _-_9.709 __-7.382102 HSBCFINANCF_CORP 6,87 __ dee29_Cf7D8_ _ 570j7014 31152017 5626 _ 595_2 0 _JZB103 SB FINAN C E CO R P 404 29C 008 1 311520 561 5.427 0 199104 H584FINANCEEORP 697 _404290003 _ _K-_ __ - _ __ _ !3._ 9/IB/Nt7 16.0]8 ____IS.LB? _.O _ _-844105 HALLIBURTON CO 9992160 4/5/2018 11fi2U17 6787 4 .1 4 0 648106 HALLIBURTON CO 406216101 % 111162016 1/62017 2830 2457 0 373107 HAL4IBURTON CO 406216101 _% 11202008 1162017 21508 5,769 __________ 0 16,248108 HALLIBURTON__CO 406218101 % 1120(008 5412017 1 , 376 415 0 981109 HALLIBURTON CO 406216101 9272017 102G2017 3028 3.182 0 .154110 HALLIBURTONCO 406216101 __X 9272017 _121/52017 1 342 1,364 -22117 HAR TFORD FINE SVCS GRO 416515104 X 12/122016 5/12017 3.L21 3.397 0 28112 HAR TFORD FINL SVCS GRO 416515104 % 12/122016 10202017 5 ,083 4.383 0 720tl3 HARTFORD__ _FIN SVCS_GRO__ -_ __416515.104 % f 11162016_ __1120201 7 6,030__ 4_,19] ______ __-_I 32114 HARTFORD FINE SVCS GROI 416515104 % 12112=16 11(!0'1017 16 209 14.058 0 2 , 151118 HARTFO(_OFINL SVCSGRO 416515104 1/ _1014(016 112017 _____3,354 2615 ___ L116 MAR TFORDFINL S_VCSGRO dIfi51510e x

--- ----^- -- ---- -- --- -10/42016_ _1 2/1 720 1 7_ __677 1.708

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118 HIL{,ROM HOLDINGS INC_ ___43147510] _ __ X_ 6!4!7017 _ 12/152017 831 790 0 41119 HO

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120 HOM E DEPOT INC 437076102 % 91 1 4r2017 10202017 5.546 5 A43 0 103121 QNMA Z PQQLMA4195 7A -761105/56/ ,X 713617 !M17 1@! 0Q5 0 -1122 GNMA 2 POOL MA4195 3 36179SUU9

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_ _322017

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123 GNMAtPQALMA?L@L 3, ?RIL554_QB_ ___--

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1 NCYTE CORPORATION 453770102 12/1916 8/112017 4 12.043 2487132 INCYTECORPORATION __45370 % 10/62016 8/It2017 2608 1,98022 NTE CORPORATION 453370102

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Part I Line 6 990-PF - Gain/Loss from Sale of Assets Other Than Invento ryTotals Gross Costar OOrr Bass Epenses Net Gail

Amount Sales D..-.n and Ad Invents Or LessLapp Tenn CG Dmnbsoons 327878 Coptal Gams/Lossos 11 , 254 ,550 9943553 1310997Short Term CG DoObueo, 0 Other sales 0 0

Check' ItCrack *X' Pu baser Eapenae of Saleto-luda Acquis,ton Date Darn Gross Sales Cost or Valuaeon and Cost of Net Gaut

Deere Ocn CUSP 0 In Part N Purchaser Busress Method used Sold Pnce Other Basis Method Inv raoemente De a Ad slments or Low145 INTEL CORP 4.9%72 458140A17 % 722/2015 12/52017 12412 9,992 0 2920146 INT RCQNTINENTAL E %CHA_-___ , __ 45866F104 % 11/162,0 16 &12017 3 639 3277,^ 0 ___367147 IN7E RCONTINENTALE%CHA 45866F10d

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--2/22017 _ 5/192017 5,310 6,110 0 -800

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Part I, Line 6 (990-PF) - Gain/Loss from Sale of Assets Other Than InventoryToMls Gross Costar ON., Baal. Eopensos Net Gaul

Amount Sales Oo aaeon and Ad unents or LassLong Tenn CG Drsmbunons 327978 Ceptal Gocns/Losoo 11 , 254 ,550 9943553 1 , 310 , 997Shen Term CG Dotn5Soo 0 Othe, sales 0 0 0

Check •x- ifCheck x Purchaser Eop,nee of Soloto lndude Acqursl00n Data Date Gmsa Seles Coster Valuation and Costol Net Goor

Devn Oan CUSIP s in Pen N Purchase, Business Method uvod Sold Pnoe Other Bens Method Improve ments D.--n Ad nlmenle or Lose217 NEWYORK NY 6.246% 6296667%2 X 11142015 31132017 5524 57`3 .269218 HEWjORI( NY CITYMU6i __64972FV2B 1(1 YI015 _ 3/1 YX117 ir11 11749

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NC C SS 8 654106 0] 5 0 503 0 897x6 NIINGCI@__ 5103 >(

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0656990871 % 12/172013 102072017 23425 20.451 0 2974Y N _0656990871

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233 BNY MELLON INTERNATION 0556990871 311/2017 1020/2517 30`78 28287 0 4.389234 BANK OF AMERICA CORP 060505104 2252015 5/12017 4,738 3 0 1435235 ORP 060505104 %_ 225/0515 1/A/NI7 0 233238 BANKOF AMERICA CORP 060505104 % 212S/2015 12/15/1017 3.202 18 0 1.387x]7 BANILOF AMER14A CARP 2 96051GE%3 }{ _ _ _ _ __ __ 111512014 11527 10 101 __ _ 1002 73x71 BANK OF AMERICA CORP 3 051 GFP9_ _1t 42211018 1152017 a 959 4,9 _27236 B NKO AMERICA CORP 7 0f#1GFP9

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Part I Line 6 ( 990-PF ) - Gain/Loss from Sale of Assets Other Than Invento ryTotals

AmountGrossSelect

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Part I Line 6 ( 990-PF ) - GalnlLoss from Sale of Assets Other Than Invento ryTotals

AnquntGrossSales

Co- Me, Be.,. E000nseaOe uaton and Aa Is

at Gainor Loss

Lcnp Tarm CG D,-Wao 327 , 979 Co0IIOI Gans&osoos 11 . 254 . 550 B 43 , 553 1 , 310 , 997Short Term CG Dnmbooom 0 Other sales 0 0 0

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and Co. of

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5%9

363 GNM MA471 9 J556 a

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91 1 9r201 7 12r20/2017 ---33 35 0 2364 GNMA MA4719 3.5% 9 38179TG41 7' 9/18/1017 1/202019 50 52 0 2369 S.NMA Mgd 71B3.514_88366 GNMA 11 POOL a MA4779 4 . 0 -

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2,282

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Part I Line 6 990 -PF - GalnlLoss from Sale of Assets Other Than Invento ryTotals

AmountGrossSales

Cost or Orhar Boos E.90-Da recabon and Ad ustments

Net Galsor Loss

Long

'amCGDsotbu/on 327978 Capital GamsiLOUes 11254550 8947553 1310997

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ssAr Bon433 TIME WARNE R INC

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49 191

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77077

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and Cost of

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12.114734433

TIME WARNER INCTIME WARN INC --

88731TJ07---887717303

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AmountGrassSoles

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Net Gamor Loss

Long Term CG D,etbutbns 327979 CaBOt Gons/Losses 11 , 254 , 5509,943553

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Part I Line 6 990-PF - Gain/Loss from Sale of Assets Other Than Invento ryT.W. Gross CoelorOherBess Ecpfnses, NetGain

Amount Soles Oo ec+ehon anW M onents or LossLena Term CG 0rscrbotcns 727979 Caplal GaneULosses 11254550 8943553 1310997Snort Terrn CGDs9ibeeans 0 Otlrersales 0 0 0

Check WICheck PurNaser Esprnso of Saleto Irldude 11 . Aceuismn Date Data Gross Sales Cost or VOWa50n and Cost of Net Gain

Doecn non CUSIP P In Pan N Purchaser Bust Method 10/ Sold Price Other Be.. Method Im ants De ecuean Ad sbnents or Loss571 ERIZON COMMUNICATION 02343V104 % 9292015 5142017 91 1 872 0 46$78 _ RIZON COMMUNICATIO_[d 9.13430104_ _ ) _ 111162018 _5142017 459 _ ___475 0 -579 91Z09 COMMUNICATION 9234 7V104 2/142014 6112017 462 466 0 -0590 RIZON COMMUNICATION 92347V104 ) 9232011 6112017 24 710 214set _ I;ON1QMM5/Z LC TT1ON 9114 1/j _9123241 19714a0/i 145 - 0 -JRIQ532 RIZON COMMUNICATION 92343VBTO % 992016 1132017 6110 6 7̀ 6 0 -598387

584gRIzONS9_MM4NIQATIONRIZO N COMMUNICATION

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12/ 152017 116___

121 0 -5---588 FHLMCGOLDA90393_S,Q _71287BNJB )S_

---__ 7182010 11152018 111 ___ 0 __5

7e7 F LMC GOD 1 50 7 294 D20___

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2/15/3017 ------ 121 ------ 129___ _ __

0 -8588 FHLMC GOLD A92821 50 31294ID2D 9262014 2/152017 243 268 0 -25588 FHLMC G9LD 0.928] 1 50

-- ---- - -721/A10 1152017 88 93 -___

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_ -5----590 FHLMC GOLD A92831 50 712901 D20

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______1114 0 -19

591 FHLMC GOLD A92821 5 . 09 312901D20 % 7222010 4/152017 76 81 0 -5392 FHLMCGOLDA92821 50 712841 D20 % 9262014 4/ 15201] -16$93 FHLMC GOLD A92021 5.0 312901020 X 926l3914 5/52017 5057 5.092 0 -3B594 FHLMC GOLD A92821 50 312941020 % 7222910 5/ 152017 58 62 0 _$95 F9/LMC3/OL0092821 50 712841D20 X 9262014 511512017 117 128

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0 GNAj A4262 35%__ ^ Ti r 2116201] _9/1 92017 14 9x6 14.805 __ 0 61GNMA MMZ6-_35 7817BSWV^ 2 8202017 72 229 0

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0 MICRON TECHNOLOGY INC 595112103 111142016 8131017 3631 23186 0 13,133

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595112107 11I112J16 9/72017 2919 8 .648 0 11270

MICRONTE CHNOLOGY INC 595112107 11/112016 10202017 1 677 704 0 973

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176

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MONDELE Z INTERNATIONA 609207105 1073001 8 5/12017 2212 2. 191 0 21

MONDELEZ INTERNATIONA 609207105 5/1212017 10202017 3 281 3.594 0 _313

MONDELEINTERN//TIONA _699207105 5/12/2017 _ _1_2/152017__ _ 1,735 1 ,797 0 2MONSTER BEVERAGE COR 61174%109 11/182016 5112017 3`1 1259 0 92

MONSTER BEVRAG'c, COR 611749109 _ 11/182018_ 10202017 1 128 840 _ 0 280

FNMA POOL a MA286d _ 35 J1d18CFFr8 __ _15 11112017 _ 52017 109 112 0FNMA POOL 2 MA2B6d 3 5 3I419CFE9 % 11112017 325201 ] 100 103 0 3

FICA POOL g A2B84 7,5 31410CF @ _- X_ 21102017 725201 I7 1 0 - - - 0FNMA POOL 1 MA2664 1 5 5141 BGFE9 X 1 12017 4252017 2d 28 0 -4FNMA POOLO MAZB635 31418CFEO 2/102017 4252017 21 21 0 0

NMA MAx@R9__ 15 1418 9 __ _X- -- ------ - - -

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- ----- - -- - - ----- -- -

0 _ .3634 FHLMI: GOLD A928215 04 712941D20 8/!6(1014 1 / I SIl018 29 72 0 -J675 FHLMC GOLD 895828 4.5 3I2944PM7 12/172010 2/ 152017 441 449 0 -8676 FHLMC GOLD A95B2B 4 5 __ 7129d<PM] % 1(302014 2/152017 110 119 0 =9

877 FHLMC GOLD A95820 4.59--

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658 FHLMC GOLD A95828 4.59 312 44PM7 % 121172010 3/152017 238 24 0 -4

639 FNLMCGOLDA95828-45 312944PM ] ___x_ 70D201d _ 31152017 _ _QFhLMC GOLD 2095828 d 5 ]12944PM7 9(^fJp14 3/132017 20 2 0 -1

FH4M_CLOLD[MB28 d,5 J>-2944PM7 _1 2/1 72010 3242017 60 0 _1,629

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1/302010 3242017 9_97 87----- ---- -----

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_ 21152017 63 6 ___SF MC GOLD OOL 04258 3172WF7t7 X 9292016 X152017 107 09 0 -8

G N M A POOL I MA4322 4 3617B5YTS 7/.702017 5202017 79 B4 0 -5

n5,GS40Bg1ÎEN&T1 30!92 0m17_ASG GLO8AL ALTERNATIVE 678727885

_ _ --_ _12/192011

_02M017 1083 12 0 71


Part I Line 6 ( 990-PF ) - Gain/Loss from Sale of Assets Other Than Invento ryTotals Gross Coslor Other Rusts Expenses Nel Gam

A^lounl Sales 0o ewSon and Ad ustments or LossLong Term CG Drsbrbubens 32] 979 Cupid Gams/Lusws 11 254550 99-3553 1 , 310 997Short Term CG Dnmbubons 0 Olner ealos 0 0 0

Check'X dCheck'0 Purc haser Expense of 5aletoiMude Is . Acgemeon Dab Data Gross Sales Coslor Vahaoon end Coslof Net Gain

Desrn hon CUSIP 9 in Pan IV Purchaser Soonest Merhod Ac uaetl Sold Price Oaror Baste Method Im ro nanls D. .--n Ad senenls or Loss649 ASG GLOBAL ALTERNATIVE 638727885 9/142016 10202017 2.108 21`5 0 283650 ASG GLOBAL AyTERNATIVE 638727885 X

-_- - -- - - - - -

9/1-2016 12/{72017 466,659 397675

- - - - --

0

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58,781651 Nl^VIENT GORP _639380108 4 12014 9/J02017 2388 2 999 0 -6 .1.652 NAVIENT CORP 639380108 51152018 8002017 796 953 0 -157653 NAVIENTEORP W936QI09 _ X_ _571513014 0/3 /5017_ _ 3184 _ 5951 -_--_-- _0637 NAVIENT CORP 639380108 % 6/92016 8/312011 13 1 32 0 1ess UNITED STATES TREA5 IN 1 _9176L9RR1 _ __X_ _ - iR4'5QL7

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71131RD17 - - - 19.039 10 354 0 -315836 U STREASU_RY BOND _ 25 __912810859 %

-- - - --^-^- - -- -- ---7252016

--3117 /101]- 8662 l0„4Tl

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-1,815-- - --657 Q STR E SU BOND 2 61 26 1 09 59 520 6 3/132017 17 228 10955 0 .3727

658 U S TREASURY BOND 225 912810RT7 __ - X---_, _ - _- -- _ - --_ -- _- - _- 9/2018 - - 3/172017 d 091 _ 4.934 0 -- -843639 V 5 TREASURY BOND 2.2 9128 1 O 9/820 6 31132017 4068 49 34 0 -866660 GNMA II MA3873 3 0% 361795357 % 6252016 3202017 98 103 0 -5661 GNMA II MA3873 _ _ 3,0% 3617BSJ57 _ _ %

-- -192017 320217_ 25 - 0 0

-MA 11 MA3873 30% 361795357 2/102017 3202017 25 0 0MA POOL I I MA3874 3 5 36179SJT5 1 0132016 21162017 19 733 20 . 2 0 -502MAPOOLII MA387d 35 361795315 2/102017 2/16201] 933 49 ___ _ -28MA POOL II MA3874 3 5 361795JT5 10/32016 2!2017 141 1 0 -9MA POOL II MA3874 35 36179SJT5 1/182017 2!102017 5 0 -2

POOL 11 MA387d _ ], 5 361795JT5 X 1/182017 2/232017 4,943 4,9 0 10MA II POOL IMA4070 d 3817950 %8 1122!2016 2202017 457

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MAII OOL MAd070 361795Q )SB_ 11222016 3/172017 19,654 200 ____ _ _ 0 _ 165MA II POOL MA4070 0 3617950%8 11 1172017 1- 828 _15,0 0 -128MAII POOL MA4070 d 3617950 %8 X

1172/102017 3/1]2017 9925 100 0 -B7

MA 11 POOI, CMAd070 d, 3617950%8 X- - - -

-1122f016 3/172017 9,925 1 0,09 _- - -

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ZINC{I_AS5Q51R5 928260039 1(1413017 102017 18 37 37 0 1INC -CLASS A SHRS 928260839 1/242017 12 / 152017 29 1 993 0 736

RTUS EMERGINGMJ(TS O 9282800.}61_ _ % 5/1201] 00 9391 _ _709RTUS EMER GING MK750 9282SW361 % 8/1%2017 10202017 00 16.0 65 0 935OYA FINANCIAL INC 929089100 1022!1015 5112017 47 2 847

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OYA FINANCIAL INC_ ____ 969100

-- - -- --- -- -- -

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-OYA FINANC I ALINC 929(189100 X 10202015 IlIlY 017 8 19728 420CHWAS CHARLES CORP N 908513105 X 6/2072015 12 / 152017 72 1 . 610 954

SCRIPPSNETWORK51NTER 811065AE, 1 5211016 3 / 1/2017 16 -073 _ 55RIPPS NETWOR KS INTE R 811065AE1 % 9/102015 3/142017 18 4 . 920 98

SOUTH CAROLINA ST PU 2 837151RWI

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SOUTHWEESTERN ENERGY 845467109 %--- - - --

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ONSTER BEVERAGE COR 61174X 109 % 1/132014 12/152017 18 697 1221TAIWANSF,MI7ONQUCTOR 974039197 5/ !1/162016_ 5/12017 _ 96 2.996 9 319

698 TAIWAN SEMICON DUCTOR 074039100 % 11 /162016 6/82017 13 965 11 340 0 2625699 TAIWANSEMICQNDVCTQR ___979979109 _ X - 11/9/303fi1 _8/192997 9@d5 9058 ]

TAIWAN SEMICONDU TOR-('r 74039100_8-_„ X _ __ _ _ __ - _-_ _ _ 111162016 -- 7/5201] 2,]BI -- 2345 0x36dJ6

IW NS MI ONDUCTO 874039100 11/16 /52017 4337 20890 37AIWAN SEMICONDUCTOR §71039100 ) 5 ____ 6/302016 - 7/5201] 1,]38 - 1 313 425TAIWAN SEMICONDUCTOR 674039100 2142016 75201 7 3129 2083 1046AIWAN SEMICONDUCTOR 874039100 6/•302016 10202017 2461 1575TAIWANSEMICONDUCTOR _ 874039100 %

- ^- ---- - - - - -11202017 12/15201] _ 1503 1,688

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TARGA RESOUR CES CORP 87612G101 372017 5/12017 1 ,673 1 743 -70TARGA RESOURCES CORP 876120101

- - -- -^3/72017 10202017 1,752 2,288

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TELEFONICAEMISION9S 51 87938WAM5 __ 1252012 3/72017 16,008 14 /38 _1650TELEFONICA EMISIONES 4 8793SWATO 3112017 31132017 9.761 10. -ESAROINC 881569107

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EVf PHARMAC ^ UTICALS 88167ME, 1 7311 4001 4493 4,987 0 _-T VEAPHAgMACEU TICALS 8B167AAE1 71102016 10/120017 4 528 4 087 0 -061

T VA PHARMACEUTICA 5 8B187AAE1 71187018 11/72017 1213 1907 0 -774

SAS INSTRUME NTS ING 982598194 __ 1.589730 TEAS INSTRUMENTS INC 882508104 0/172017 17110201 ] 1002 009 0 63


Part I Line 6 ( 990-PF ) - Gain/Loss from Sale of Assets Other Than Invento ryTotals Gross Co., or Other Basle Expenses Net Gain

Amount Sales De eoraoon and Atl usSnents or LossLong Term CG DIelnbUOons 32]979 Ceptal GainsiLasses 11254550 9947553 1 . 310 . 997Short Term CO Dnmbsbons 0 Other sales 0 0 0

Check'X- IICheck 'X' Purchaser Eoponee of Saleto intlude Acgwsilon Data Date Gross Sales Coal or Valua50n and Cow of Not Gain

Descn son CUSIP a in Pan N Pur chase Busmess Method rted Solo Pnca Other Sears Method Im ro ants De oraDon Ad4rnosts or Loss721 7M CO 885795101 0 _ 11/162016 5012017 2725 2 , 42(1 0 305722 3M CO __ _- 88579Y10I ___ __ j( __ - -- __- _ _- _ _ __ ___ _ 11/162016_ 10202017 _ 884 _ 691 0 _ __193723 IM q0 8 8579Y101 9/32015 10202017 2471 1568 0 863724 BURLINGTN NORTH SANTA 12189LAF8 X 625f2014 3/172017 5.1 ]9 5,202 0 23

- -- - --X 1/117- --S'1Ron 9S]9 _2,197--0 871CORP 126408103 % 1132017 10202017 4371 3094 277

cPfP --- --1u64Palo)._ nxml7

f 547 - 0SHEALTHCORP_ 4875 126650CMO % 7/132015 31142017 5,277

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4922 0 355

- 5 R BEVERAG E COR IJ20111 10202017 255 92 0 1.3,30

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S jjgALTH CORP _4,875 _17,6650CM0 j(__ 71172015 1^J020 537] d 922 - 0 455OT OIL 8 GAS CORP CL 1 09707 7/FJ2016 3162017 20 47 21 271 <B1A POOL a MA2864 35 31410CFE9 X 11112017 6252017 BO 83 0 -3APOOL. 8MA2884 35 31418CFE9 X 2/10201] 6/55'!017 _ 27 28

---

0 -17 34 FNMA P0 'LS MA2864 3 3141BCFE9 % 1/11201] ]25201 ] 150 155 0 -5

APOOL BMA2864 35 31418CFE9 0 21102017 7252017 50 52 0 -2736 FNMA POOL OMA2B84 _ 35 _ 31418CFE9 _ % 1/112017 _ 6142017 14,957 _ 14 , 944 0 ___ 13731 FNMA POOLC MA2864 35 31418CFE8 % 2/102017 8/42017

46424.831 0 11

756 FNMAPOOLOMA2864 35 31418CFE9 0 2/102017 8252017 139 143 0 -4759 FNMA POOL MA28 79 4 0 3141BCFVI _ X 12190016 2252017 108 _ 114 0 -6740 CITIZENS BANK N0/R1255 9 174010AEI % 5 / 112016 3/132017 4936 5.018 0 .82741 CITICENSFI NANcIAL GROU P 174610105 X 11/162016 1242017 4711 3,972 0 739T42 CITIZENS FINANCIAL GROU P 174610105

-X

-- --- ----- - - ^ - --- -----

_11192018_

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_

400583 24,956 0

--

__ 15,627737 CITIZENS FINANCIAL GROU 174610105 % 1/192016 5112017 2 ,608 1 560 0 10,48744 CITI5EN5 FINANCIAL GROU P 174610105 __ __ X 1/192016 10202017 3,447 2,005 _ 0 1,438745 CITIZEN S FINANCIAL GROU _Jl610105_ % 1/192016 1120201 7 6 11 5 3565 2550746 CITIZENS FINANCIAL GROU 174610105 0 1202016 11202017 22.167 12513 965447 LJTJZENSFINANPIPI . GFOV `1 _ _20031010 x, IROÔIS 11RY1017 _ 77145 _ 11 . 14? -_-0 16AW

736 COMCAST CORP CL A 200300101 X 5142017 9/ 112017 11 ]1] 11 514 0 -201749 2ITIZ2N / FINANCIAL GgOV -_- 174919185 _ ___X_ Ir5WPD46_ _11/21'5017 37. 145 __ ---30810]50 L_OMCAST CORP CL A 2003ON101 ___ X 4202017 _ _ 5/12017 _ 3,518 _ ____3420 ___0 - 98751 CO"MT CORP C L A 200300 0 V4 120 1 3 9/1112017 263 1.207 0 1 , 0 56752 COMCAST CORP C/, A ___200300101 X__ 51112017 _ 9/112017 22,626 23,585 0 _ _ -959753 COMGgSCjORP C L A 20030N101 5442017 10 / 122017 23A-(X0 24947 0

_

1 487754 GOMCAST CORP CL A 200 09101 % 4202017 10/12!2017 6.136 6 459 0 323755 COMCAST CORPCL A___ __ 200709101 3202017 10/202017 7711 _ 3,800 __ 0 _ _ _209756 COMCAST CORP CIA 200300101 % 4202017 12/152017 1 982 1900 0 02757 GOMCASTCORP3. 125%7/ 1 200309902 X 3/82013 3141101 7 5 , 044 5.110 0 -66758 COMCASTCOR1F_3125% 7/1 20030N902 X

-- - -- - - - -- - - - ---

9/172014 _1142017 55044 5,038- -- ----- - - -

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_

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764 G N M A II POOL CMA432 5 9- 1705YU5 Y, 3282017 7202017_ 101 172 _ 0 11765

%&NM A II POOL 1MA432 _3617950US % 3128201 7 7242017 10 . 102 10 . 17 0 75

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328201_7 8202017 177_ -

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_ 0 _ 12767 GLMIA I MA4 511 4.0% _7617 9 X 720/2017 21 27

0 -Z

769 GNMA 11 MA4511 4 0% 36179TA19 X 6292017 7202017 21 23 0 2769 GNMA II MA4511 9,9%6 _ 46179TAL9 _X 9/59'5917_ 720r1c17 -- 0I 27

- --- --9 _ -- -2

570 GNMA II MA4511 4 ,0% 36179TAL9 X 6292017 820201 7 34 35 0 -1m {NMA11 MA-951I_ _ 4,01l, -_J9179TA19 940/5017 - 34 - _75772 GNMA lI MA4511 40% 36179TAL9 _829201 7_ W0`2017 35 0T73 G M II MA45 1 301 7 95,9(9 17 202017 1 84 0 3173 GNMA II MA4511 JB179TAL9 )(___ _ 6129120176292017 9202017 _ 64

5II MA4511 4 . 0% 1795 L/ 6292017 9202017 64 -3)11 MA451 1 4 0% 36179TAL9 6292017 0202017 89 5

NMA II MA451d,0%_ ]6179TAL9 X 6292017 10(202017 B4 89 _NMAII MA4511 40% 3A179TAL9

_ _6292017 1020217 8 0

MA II MA4511 40% 36179TAL9 6292017 11 / 102017 10172 10.270 -98NMA 11 MA4511 4 0% 38179TAL9 _

--- - - -- -8292017 11/102017 10112 10,2%

- ---- -- -- -- - --

_0

--

-94

NAIA II MA4511 4 . 0% 36 1 7 972019 6292017 11010201 ] 10.1]2 10 265 0 -97MA II MA4511 4 0% 6 36179TAL9 11202017 91 98 0 -5

NMA II MA4511___ 4 0% _ 76179TAL9

-

6292017 11202017 9 % 0 _ _ 5NMA Il MA4511 40% 36179TA1 . 9

_8292017 11202017 91 % 0 -S

NMA II POOL P MA4588 4 5 78179TLZ6 )( 7242017 9202017 50 53 _ 0 -3NMAII POOL/ MA456845 ___36179TCZ6 X 7242017 10202017 64 90 _ -NM II POOL 1' MA4588 4

.

5 36179TCZfi X 7242017 11202017 07 114 0 7

NMA II POOL a MA456845 76179TCZ6__ % _ _ 7242017 12202017_ _ 100 106 --0 _ -_N'/ I POOL 0 MA458B 36179TCZB % 7 42017 1202018 325 240 0

5-1 5

NMA MA4716 30% 9 36170TG31 % 9/192017 1020/2017 71 22 0

NMAMA4718 --___720% 9 _ 5/179TG77 9(197;1517 _ - IOôQo1L _79= GN5i MA471B 30% 9 36179TG33 X 9/19M17 11202017 25 26 0 1


Part I Line 6 ( 990-PF ) - Gain/Loss from Sale of Assets Other Than Invento ryTools Grose Costa, Oft, Be,, Eapenees. Net Gam

Amount Sales De euebon and Ad Invents or LossLong Terrn CG DmnbWOns 327979 CaPtal Gamellasms 11254550 9943553 1 , 310 ,997Shod Term CG On0,Eubor 0 Other sale. 0 0 0

Check 'X' II

Check 'X' Pumluser Eaponso of Sateto,ntlude Acqu.bon Date Date Gress Sates Costar Vate000n end Cast of Net Gain

Deacnan

CUSIP It I n Pert N Pun •Jtarer Buvne Method vee Sold P_ Other Be.. Method Inv -ones D.uaben AE lets ar Loss793 GNMA MA4718 3.0% 9 36179TG33 9119/1017 11 729/2017 75 26 0 -1794 COSTCO WdA. ORPNEW 22160K105 % I2ti5/9017 2_320 27102 0 318745 UNITED STA TE S T R EAS J 912428291_ Olt 18

_16:n 17

______

1 7 24_____

4947 0 27.1798 UNITED STATES TREAS 80 912010902 8/12017 415(101 10 ,647 10308 0 339797 A9IIEA_Si9TE8_I .tA5NZ. 91^8.7B7i9_ 4^Q2917 _IO( LORal1_ _ 9,979 _____9.@@5148 UNITED STATES TREAS 1 7 912028207 X 10/28/2017 1118/2017 a 976 4 9`2 0 6799 IBS TRE9S11LI7N41E_31 _9J2B28F.ZL_ __-75__ -_ISQ27 ___ ------ _ _97600 U 6 TREASU_f{Y NOTE212 812,82BF21_ __)!_ 1Id(2017 51412017 __ _ 0 ___ __ _ 48801 S EASURY N T O 0 91 28 28K33 x 1 7113201 5 230 5 12] _ 0 107802 UST EAS INF IND%1375°

F - -91282 MFa

--- - -- K---- --y?yp10 311

Y3D17 ___ _ _5,4429 ...... 5,706 ___ 174

807 LUS EASINF ND 5 D9 202MF4 611 IO YIO 5911 5.71 0 195804 UNI ED STAT STREAS 11 91202BN9J 91162018 3/1]11017 19922 20 . 133 0 211805 UNIT_F,_DSTAT7S TRFJS_ 1,1 _912099563___ 9/222016_ _311319017_ 9081 _ _ _ _l0,059 _ ______ ___-_0 ___ ___9B806 UNITED STATES TREAS 1.1 912828N63 10 4/l6 31132017 19 20089 0 -187807 UNITED STATES TREAS 1.1 912829563 10/310016 3/13/2017 19 022 20.091 0 169808 UNITEDSTATESTREAS 11 912828N83_

_

%

- -- ^-^^ -- -37122018 6192017 9,872 ___ 100]5

---_

- - -- -__ ____ 0

-

-§3009 UNITED STATES TREAS 1.1 B12828NB3 % ----- -- - - - --` - SR32111fi 8182017-- - --^-4446

_SOIJ 0 -27

610 UNIT EDSTATESTREAS 11 912628603 0 31102018 692017 0 972 10 .012 0 -00811 UNITEDSTAT1STREAS 1 „ 1 _912N28N03 X 31IQk01Q__ _6192l99l7_ 9,971 _ 10,012

----

__0 _ _ -Al812 UNITED STATES TREAS 11 912828NN3 0 31100016 6/27!1017 4 984 5006 0 22813 VNITED ST9TE5 TRE(S 1,1 912999NBJ _ y1 51201Q 9197/2017 _ 4 984 5,002 0 -18std UNITED STATES TREAS _ 11 812B2BN63 _

) 0 09___%____ yplyl6 8/411013 _ 18,845 -__ __ 20,007 0 _ -62

815 UNITED STATES TREAS 11 9 2 2 63 9 1118/1017 814 12017 4 ,888 4987 0 .1816 UNITEDSTATESIREAS_ 1,1 919998N ¢3

-__- -- -- -1119/2017

- - -8/132017

-9,979 __, 9,974

-_ -- - -- --- - --- - _ - -

0 _5917 UNI EOST_îE_STRFJIS 1.1 91^828?87 % 51128018_ y1Y1(117 d ,8d1 4 943 0 - 42818 UNITED STATES TREAS 1 1 812828P87 % 959M16 3/59 5 4 8 406 49936 0 -1.530814 V .S._TREASVRY NQ?E_l.G -9j5959PT1_ _X __9/JQf917 __1502QI?. ._ ___ 21 779 __ _ __ S.Z27820 U S . TREASURY NOTE 262 912828PTI x 7/1]/!015 114 12017 10_176 10 440 .264

e2I V.S.TSEASVRY NOTE_ 36i _979978P_T1 ___X _1/11(2915 _ _LL4'OQIL _15,Zr,4 15,94 ____ __Q ______777822 U.S , TREASURY NOTE_262 B12¢98PT1 _ _ _ _j$,_ 72 -21100017_

-

_ __.10`67 1 9427 260077 U.S . TREASURY NOTE 7.67 91 2828P fl 1 1/1 6 12015 2/ 10/20 30 ,502 3 1- 104 0824 FNMl1POO1N?A2878__40 31d1BCFV1_

---- --

12/9I201Q _ 317 4/2717_ 31 159

-_^ ;1_1L59 31 , 340

-- -----

0 . 181Bt5 FNMA POOL MA2g ]B 4 314 BC V 12/98016 3l15Fl017 17 139 0 7826 FNMA POOL 0MA2907 4.0 31418CGR 8 ' Q 11112017 I25I1D17 47 49 0 -2827 FNMA PODS - BMA29D7 _ 4 - 314180 GRB X _ 1111/2013 3125(201

--68

- ---- -^-- - ----- ---G ____4

428 FNMA POO L BMA3B07 40 3141BCGR9_

) N110(17_

3/15=17 49 51 0 2

829 FNMA POOL 9MA2907 4 . 31418CGR9 X 111172017 4125/2017 105 111 0 A830 FNMA POOL BMA2907 4 31418CGR9 % 211!2017 d0117017 7g

- --

_ __0831 FNMA POOL 8MA2907 31418CGR9 --- ----- --- ------

_

111112017

_

5/5!2017._____ _

155`4 ---1557 - - 0 -d8

832 FNMA POOL 1MA2907 31418CGR9 X 1/1112017 512S/2017 141 149 0 .8835 FNMAPOOL SMA290]_ Aq' _ 711d1BCGR8 O 2272017 5/1502017 106 _

--

0834 CONSTELLATION BRANDS 21036P108

_ _% --

_--

_l 11162016

_5112017 - J1_03 2.771 0 332

835 CONSTyIATION BRANDS 1 _ 21036P10B 116/1017 10_110101]___ _ ___4._445 _-]133 _______0 1,312

83e CONSTELLALION BRIWOSI _]036PIOB % 1Ti_/NI7 1NI SMILU 2,238 __j492 _ ___ ___ 0 748

837 CONSUMERSENERGY CO 210518CZ7 81112016 3114 12017 4 322 4&61 0 4m838 RABOBANKNED_ERIJND _ _71685WBTJ _cL_ MV2014 913_2917_ S . Jn ____0839 RABOBANKNED D 2j685WBT7_ 64/2013 31132017 5323 5485 0 -112840 CORNING INC 218350105 X 772512017 101202817 3 , 001 3209 0 208841 G9R NINPjtlr___ _1193301Q5 _ % _!7LI4r9QJ7 1511209LZ_ ! 0842 COSTCO VJHSL CORP NEW 22160KID5 5 12/412015 5/12017 3209 3,003 0 20884e

wAiQlQWN.SL.GORP_NEw _zzl_w S1.QS- -7S_- _201/90 5. _59'26'0017__ -___3.494 939 ---_- __,44edd COS_ TCO KMSL C_ORPNEW _29 1009105

-- --^-

122(1015_ _12/ IR'2817 9614 0

--_--__-

_ 1105

848 O CO 5 CORP NEW 60 05 1/6/20 17 1 2/ 19M1 7 1 5 , 457 1 3335 0 2.122

848 CREDIT SUISSE GRP M%12 __7,97433Aj77 _ 9 11 (1018_ 3115/9017_ ___ 8,995 10.102 0 ____IQ7

847 CREDIT 571155E GRP FU 3.1 33A M712016 1011017 1 0204 10 . 102 0 102

848 CUBESMART LP d8% 71152 229660AA4 9178110166 3110 12017 5 . 5571 0 -277

MB 9FAEME99.M19j5QORE , F„0 733203421__- -- - ^^-^-- -

311012017 _ 511({017 _ _34.975---- -- - - -- --- -

-0850 DFA EMERG MKTS CORE EO 233203421 61112017 10720/2017 6.0 59.310 0 5 180

$S1 DEERE 8 C0 244199105 8/8/2017 1017 3 3 3 . 428 0 .77

952 DEEREOC0 _ 244199105 0182017 12115(1017 1,886 1,713

-

253

853 DEUTSCHE BANK AG LOND 25152GA1N3 - - --- 10152016 3/1]2017 S OBJ -

__5108- - 0 -25

854 DEUTSCHE BANKAG LOND 251520693 101512016 911)2017 10 , 000 10 . 216 0 -2 18

855 AITDISNEYCOrtHE 7,$4947108 _ 121612 (118 __ 5112017 34 _ 3,011-

_ 0 ___ 437

856 ALT DISNEY CO THE 25468710 % 12121016 10202017 29 3.011807 AI.T DISNEY CORNE 254697106 __% 1211X2016 10/25 / 017 1 5 - 1,666 0 _ .103

BSB959

ALTDIBYQO LHE___ALT DISNEY CORHE

]54997108254687108

__9%

1110272618 _12/1512017

102520171211512017

1316

1,3711,665

__. 00

-36

860 QQMINION RES INS VA NFV 2574671109 _2(_ 1111874018 _ 5/1/1017 2 3 _ 2,137 1)7,861 DOMNION EN IN 2574@U109 ]11 __02017 7It 0/1QiI 4 0826

-

0 -446

862 DOMINION ENERGY INC 25706U109 7112M11 7/15 11 7 0 -863 00MINIQNENERGY_LG_ __ 957469199_ ___X__- 61531 5984 __9 __ _ 975164 DOMINIO ENERGY INC 25746U109 1/1k018 9/2712017 73 139 65,090 0 8,049


Part I Line 6 ( 990-PF ) - Gain/Loss from Sale of Assets Other Than Invento ryTotals Grass Coat ar ONar Bava Expenses N./Gain

Amconl Soles De ..aeon and AE USOnonIs or LessLon, Term CG Disstbooons 327 . 979 Capital Gains /Los. Ii . 25.0 . 550 9 , 943 , 553 1 310997

Snort Term CG Disoibaeons 0 Olhar sales 0 0 0

Clock 'X 'ICheck'X' PuroSaser Expense of Sale

to,ntlude Acqurraon Date Dam Gross Sales Cog or Valuation and Cost of Net GaulDosrsl ken CUSIP I in Pan N Purtlusor Business Method ..d Sold Price oft, S.W. Method Im De euason Atl ssnonm or Lows

865 DOMINION ENERGY INC 25746UI09 111162016 927201 7 77g 712 0 58$66 DOMINION RESOURCES INIC 25746U86B

-------- -x- - ------------ ----- ---- -- --1112000 5!2212017

---- -- 0_ ____

° ---- -- ----- ---- --o 0

081 DOMINION NF,R-GYI G _25j4U869 %__

8/172018 7132017 -- 5000 5,11 0 -115868 DOMINION NERGYINC 257467869 X 7113x1016 7122017 ! 500 3,654 0 -154Beg 49M INLQ N ENERGY ING_ 75MV00 - JS_- .. _LZl5Cto1M_ 7[QQV1 _- ___ -_ SQQ __4 .870 DOW CHEMICAL CO 260543103 0 11/162016 9112017 3136 2 , 670 0 466871 Q2WQ ITQNJUINC ____ __ -_2@Q7@JJ99- 1S_- -- __-- __L?INLa _ 14RN.i41L- __ 2.443 7 55Q __Q872 DOWOUPONTIN_C_____ 28078J 100 x

--1022014 12/ 152017 14M2 1000 0 __407,

877 DR F 5 O NG RAT E I 261 949739 - d5120 20201 --- 1 .1 32 -- 76 0 -44874 DREYFUS Fk0ATTN RATE 1_ G_ _. _2BIBaW39_. __ - _ - X 146221 _____

-?0l0 1 7_ p_- -._ ____LSB) 1.21 5 -

S

,

EYFUS FL0118 RATEI 26 191 97 39 2f312017 25 265 0 -10876 DREYFUS INFL TN ADJ SEC- 261967780 % 9/52012 5112017 6800 7 . 687 0 -887077 DREVFUS INF TN ADJ 5 G_--__ ^ F. _ -_ 18°7780-_2@ _ _ X_ _9/52012_ _ YJ1 2,017 ,611G 77 ,504 0 -8 893B7e DREYFU6INFL TN ADJ 6EC - 26198 80 % 12202012 5I3I2017

558W 6 .41 2 0 .523

876 DREYFUS INFL TN A DJ SEC 28 1 96r780 % 12rAM12 10202017 5500 6 .055 0 -555

800 0REYFUS MFL TN ADJ SE C _261887780 __ 1219!012 12272017 367 408 -19

all DREYFUS INFL TN ADJ SEC 261967780 x 9/I42013 12272017 1396`3 45661 6028882 DREYFUS HIGH YIELD - I 261980759 1/312017 5112017 2,300

-

2 278 0 22883 DREYFUS EL61 781980759_ _ 2282017 5/12017 2011

- -884 DREYFUS HIGH YIELD - I 261980759 7(!12017 5112017 2777 2.705Bea DREFUS HIGH VILQI ]81980759 3 282017 5112017 2,682 2.682 0 0

886 ASJOTE 282 __ 81707,BPT1 %__ _ 71132017 _ 5.067 5,184 0 __ _117

BelFNMAFNMA

POOL

POOL

0A594517 . 5% J13BWK000 51192017 11252017 52 54 0

see FNMA POOL, I /59351 7546 _ -3138WKODD

_ - -

51192017 _-

1 2/25201 7 - __ 56 58 _ Q -?819 FNMIPOQL A 59x5 ] . 5 % 313BVN(O,QD 51192017 X92018 Sfi 58 0 2

$90 FNMA A2775 25%1 31818CCM4 % 9/13/1016 2258017 225 23 0 -7

891 FNMA hj6j7L* 2.5% 10 714!@CGM<__ -X- - s)37[;gZy- _J!l.S2uV_ __22 _7D --Q---1B92 FNMA POOL I AU6278 50 713805605 % 116/2014 2/252017 10 11 0 1

893 FLlM-pOQL!0V9218_, ^L7997@QS_- X- L^RQI! 11l -___-_.'7B9d FNMA POOL IAU6278-__-50__ _ _ 3170%5605 1/fi201d 3252017__ 242- _-_--___ 0_895 FNM PO I 5 00S x 20 515/20 17 758 3 31 27898 FNMA MAZ775___. 3. 5% 10 __31410q(M4 1_0/112018_ 21/52017__ _ _ 37 33 _ __ _____ _-Q897 FNMA POOL I A06279 5 . 0 31 1162014 _5252_0 7 0 11 0 -1

898 FNMAMA277S 25%1 31415CCM4 10/19/3016 2/252017 J2 33 0 -1

899 FFNMA POOL _/ AU 8 5 ,0. 138X5605__3 _%- __- __-__ _ 1162014 6/{58017__ 101 111 - 0- __800

S27FNMA POOL. AU627B 50 717805605 % 1162014 7257017 5 5 0 0

901 F N M A ASS949 3 ,5% 3138WJSKO % 6/152017 7252017 44 4 0

902 FNMA_M_A2_7 7 5 _25%10 _3141BCCM< % 12 1 q_ 71152017--32

----32

---BO] FNMA POOL / MA2777 3 31 1BCBF0 x 81122016 1785201] 127 IJ2 0 -5

004 79M9/POOL09/627 37 3 31418C0F0 % 8112/2016 1252018 147 IS3 0 S

005 FNM MA2775 2,5%- 10__Fl - 31418CCM4 927lA16 1152017_ .0,74 4 ,980 .235

BOB FNMA POOL IMA2752 30__

31418CBWJ_X

X_

8!!12016_ _?!!72017 45̀ 2508] 0 .571

X07 FNMAPOO41MAZ757U _ 314ISCSW X- _ -- - -- - -

922218 !252017 3902 5,04 -138

905 FMA P004PMA2752 _ J _1418GBVA x-

11212016_ 2!232017 4X704 x73 __ _____-2@

BOB FNMA POOL / Ml^3 )52 J JIQIBGBNO --- ---^--- -8(!12016 517 75 J7910 FNMAPOOL MAj752 ,3 11418CB X

-- - - -B_ 7/!52017_

-

__] 7

-- - --X11 FNMA POOL IM92752 3 11BGB3 11 12016 17X1520 7 0 -3512 FNMA POOL I MA2752 3 31418CBVIG x 11212016 2517 19 200 -et] FM__ i.S%_L.0 7141dGEM? X__ 1!L3110L6_ y_ .4129lL 9.@02 4,9@+ -t814 FNMA MA2775 25%1° J1418CCM4 % 101102016 31242017 4 ,802 4 864 0 .16 2

SIB FNMA MA;772,57410 _7141@4493 7(_... .9/17RP1/7 _711+r491) 4, 459 .14857876 FNMAMA2775 __ 25_%1_0

-

__J1410CGM4 X 9227016 32513017 39 __0 ---

917 SOU HW RN N GY 64 5407109' x

-

7 a2 1 7 OBIB SOV TIMSTE ,RN EN6RGY_ _8454@709_ x- 71]72017 7/162017 _ 12 _128 _-__-_-Bts SOUTHWESTERN ENERGY Ba5a8 09

_

x

_ _

7117r2017 7 17 2 0

920 SOUTHWESTERN ENERGY 845a671W 10/162017 10252017 2 0

921 10/16(017 1020(201]

-

1 119---_- --922 SOUTHWESTERN ENERGY 845467208

_------ --- -^----

_12/6/2016 10126201 ] 18]8 ---x173 -2495

923 SOUTHWEST ERN ENERGY 695467208 12920 7 10262017 1629 AIO

924 SOUTHWESTERNENERGY 845.87208 4212017 10262017 183 _ -B3e SPECTRA ENERGY PgRTNE

__84756NAF9

__ _ _ _3192015 71172017 3

____ ___9985 0 -152

818 SPLUNK INC 64063710. 3112017 5112017 1 9 1 . 908 0 48

017 CABOT OIL B GAS CORP CI 2]09] 10] % 2/716 810173 8, 788 _0 _ - ____ 257

B]9 CABOT OIL b GAS CORP CL 1371271 W X _17/82018__

78(1017 ] 1 BB81 0 -880

929 CABOT 0II, 6 GAS CORP CL 127097797 _ % 12/91!01_6 82017 B 2 _ 0 __-____-870 CALIFOR NIA 6T EARTHO2 81 170 1 7Hf1E6 % 0292010 150 1 7 5 ,000 _Q _____-971 CALIFORNIA ST E ART 2805

_13017HAEG - X

_ __1029/1014

_

7112017 -- 800 0 0

B]2 CAA IFORNIA ST EART28° 1301]HAEB

..

11I52ol e-

j112017___

800 0 ___ 0933 GELANFS CORP SERA _ 1SOB70107- % Ill 6'A1 5/12017 I358 92

934 CELANESE CORP SER A 50870103 X 111162018 1017 1 785 270

535 4ELA.5ESE CARP 3ERh- -.. X. _447RQL1_ _10RO(Z°R- P@Rd _.-- - - -- -

^.95P936 CELANESE GORP SERA 150870107 % 923/X111 121152017 1 . 920 640 0 1 280


Part I Line 6 ( 990-PF ) - Gain/Loss from Sale of Assets Other Than InventoTotals

AnquntGrossSebe

Cost or Other Bass Expenses,Da eaubon oral AE bnenis

Net Gam

or LassLong Term CG Drstnbu5ons ]27 979 Captal Gornt/osse s 11 , 254 , 550 9 943553 1 , 310 , 997Short Tenn CO DnBeubens 0 Other sale: 0 0

-on

937 DREYFUS FLOATING RATE Iusip 9

261949739

Check ')C'

to mtlude

in Pan IV

X

urcha ser

Chock'X'1

Purchaser

Buvness

AcqunibonMethod

Data-nee

2132010

DateSort

10202017

Gross S.W.Pnce

78

CostorOther Bass

832

Valuauan

Method

Egvnse of Sale

end Cog oI

1-moods e mason E stmenb0

Net Galn

or Loss-33

939 0RF_YFUS SELECT MGR_VS x,6188%809 7202015 _ _ 511201 7_ _ 17 . 0 0 ____143939 DREYFUS SE LECT MGR l5 _26188%BW % X15 0202017

21

000 2UB69 0 131940 DREYFUS FLOATING RATE 1 261949739 2/1 12014 5112017 25 00 26 847 .1 1479e1 AREYE^s Fl087l5Q7., F,1 -7eLS49759 X ?LUC/Oi2 __19(0024.10

-

23.1 -3a 1 _-942 DREYFUS FLOATING RA 261949) 39 3/32514 10202017 10 1.062 -429d]94d945

9N YEY5fJR9TING RAfHLMC GOLD POOIr 04MFH MC D 04 3 259

J132AF31^7_1 2WGTR8

_199251

12/8•20

1MW324201 _

2/152017

1.914,681

4

06^__ 15,2]8

45_ 0 _557

•1946047

F1ILMC GOLD 013259_;L 5FH LMC GO L D 43259 3

_31_32WGTR8_7132V,0T B

___)(___ ___-__ ___ __ 12/0/2016 _12/92010

1!15r40174 1 520

762168

___ _ _ _ 37717

00

-11

.5948 FHLMC GOLD 43259 3 5 313261VGTR8 12/82016 5152017 14 , 737 14 ,782 0 -45948 F ILMG GOLD Od ]_7_59 3.5 31 ]2KGTR0 )L, 12/82018 _91152017 _ -___2778 ____.Z7§ _ 0950 FHLMC GOLD 043259 35 3132V0GTR8 X 12/82016 6 1 152017 4 842 4.876 0 6BSt FHLAIC GOLD 043759 7.5 31324GTR8 12/82016 61152017 2fi6 275 0 -9052

057

FHLMC GOLD 0 43259 35FHLMC GOLD 04]259 J.5

3132V/GTRB71 ]2V.GTRB

% 12/82016 _12/B/At6 --&-I

7/152017

59017--75

--_--_-6177

---- -___

6J

0-0

_7----

_-2

954 FHLMC GOLD QL43259 35 3132MTRO % 12/82016 9/ 15(2017 67 fig 0 -2055956

FHLMC GOLD043259 35FHLM C GOLD &3259 35

3132VJGTRB31321G188 5

12/0201812/82016

10/15201711 / 152017

34

63

35

65

0

0

_ _-1-2

957

958

FHIMCGO1.0083259 3,5FHLMCGOL0043259 35

3132INGTR __ 11L 5 GT(tB__

Z(____ ^__

___ ____- - --- ---- - ----

171BIN1617182016

12(152501711152018

30

---- -----

3768

--- - -_ - - -- ---------

00

- -

____ _-1

_2959 FG050123 40%BA1 313355058 X 8/292017 101152017 17 18 0 -1960961

9RFYFUS HIGM ]' IE,SD.IDREYFU 5 HIGH YI Dd

251980759 -261980759

%_---- --------- - -_^-

31102017

51312017

511201 1

1020.10175,781

-------7 090 ---3080

_____00_______ 02

10962 DREYFUS HIGH YI ELD-I 2819BD769 6/302017 10202017 2,864 2 846 0 18967964

RNEYEUUL4K71E1,01-0 EYFUS HIGH YIEL

-261880759__261980759

___X_ _ --- __ __ _ _ZS3JCNL81312017

__tor/Qf010202017

-3,9333004

__-___2.9712995

______ 00 IS

965868887

QREYFVSNIC+HYJEl2+_ _DREYFUS HIGH ]' IF•LD.I

D FUS GLO B AL REAL 5

__361990]`5 $_ 281980759

261 986277%

_

1102017

7

10202017

5/ 120172,803

3 0

2,729

0 _.__ . . 4

67968988

DREYFUSGLOBALREA4 ESDREYFUS GL(jB$L REAL ES

261986/77

2618 77/1 113/2017 _

311300 1 7

_ 5/12,017 _10202017

_____ 10,741

16000

_1079814861

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Amounl Be,.. Da craton and Aduchnents or LossLong Term CG D,stnbumns 327979 Captal Ga,ns/Lossos 11254550 9 ,943 . 553 1 . 310 . 997Shari Term CG D,sb,boson 0 Other sales 0 0 0

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Part I Line 6 990-PF - Gain/Loss from Sale of Assets Other Than Invento ryTotals Gross Cow or O8wr Sams 6Pense% Ne1Gam

Anqunl Sales Do eaaoon and Ad-Is ar LossLung Term CGOWb bons 327979 Capral GoinslLOesee 11 , 254 ,550 994355] 1 , 310 , 997Shore Term CG DotArlens 0 Other sales 0 0 0

Check 'X dCheck 'X' Purnhoser Upln--e of Salato rodode so Acquason Dote Dab Gross Sales Coster Valua/on lard

-of Net Gam

Oescn hon CUSIP a in Parr ne PunJUSO euv Method ve4 Said Pnce oft, Bas, Method tI- -ft De aaoon AE sanentn Orion1789 AMERICAN TOWER CORP 03027X100 X 6252015 3162017 2 675 2 . 189 fl 0461]70 A1MERICAN TOVUI^R00RP __ _010272(100__ ___E(

-^- --_ - ---6252015 5112017 2,189 ,717 0 575

1771 AMRIC TOWS O P 030270100 - ----_

6252015_6212017

____

8,918_

5 043 1 8751312 AMERICAN TOWER CORP 030270100 % 7/62015_ 6212017 17 , 490 12,725 4 7651373 l.5PIQAN i4!' RCOR?_ 7027X199__ 7/629] 5_ lor;arZ917 -1]74 AMERICAN TOWER CORP 03027%100 % 0117 12/152017 1 1 7 -31375 AM RIPPNIONRPP9P P _Q3Q27X79d_ _K 6Lirt9!4. _ - Zt _ -1]78 AMRIQAN ,IOW R CORPP 7027008 69201 _ __11]71 C ART S IN C -"1 03 X 1 1117 0 B 2,0091378 LECTRQNICART6 INC_ _2855121 5 1252017 11201017 19, __9,6741379 ELECTRONIC ARTS INC 28551 09 Y7 12/ 152017 .384 4731380 EMPIRE STAT REALTY TR 292104106 1232017 5/1201] 1 1 0 211381 IZMPI 5 5 STATREAIMTRU 79j„104106 1232017 1,2 _ i,13 82 EMPIRE STATE REALTY TR 292104106 1118/2017 101]1/2017 5 5.086 -B21383 IRE S TATE REALTY TR 292104108 IIIB2017 10/312017 12 , 12 . 17 -123178d EITATE REPLTV TRU 182104106 X 120201] tOQ1201 7 2002 2

^ -^ - -----1]BS EMPIR E STATE REALTY TRU 292104106 % 1232017 10(!1201] ].206 7J61 -1551386 EMPIRE STATE REALTY TR 292104106 x 1202017 11112017 1J 95 14.142 -1671307 NTERPRIS PRODUCTS 2 29379V000 X 5052015 3/172017 5,034 5.065

- - ---- -

_1380 EOUINIXINC 29844U700 X 9272017 10202017 28`06

_2.600 ____ 162

1788 EOUINI%ING 96d4N 9272017 1 2/1 5701 7 1 ]71 1,3221]80 %ELON GORP_ JQ /1101 1 5If 2017_ 01381 EXELON CORP 701611410

11 X 6 1 12017 fY12M17 21 20 0 1

1782 %E 40th CORP ____ 70161/1101 __)(_ B^p^015 102012017 _ 3,1577,157, 2.77f1 0 0271393 ES ELO5 CO R P 30161N 105_ X 9/!02015 115202 1 228 1024 5551394 EXELON CORP CONY PFD 301619127 X 1112000 5262017 0 0 0 01305 ExE64N COPP 7l1ORQ19 51L2o1 ] 7,505 . 1.550 9 -491388 E%ELON CORP PFD 3016IN1 27 X 71162014 6/12017 3 500 3,541 0 .411707 EXELON CPRP_PFO_ __ -3910114427 .-X._ 5/LW435 ITQ1? --4 G9P -4175 -- 9 ---- ---1551198 5XXONMOB1440RP

^ -111162016

--

5/12017 1 , 678

-

1,724

- ---- _ -1398 E MPIR E S TATE 29 1041 1 17 013120 2 0112 2020 0 -18

1400 EXKONMOQIILGORP __ __ 35.23IG107__I7 W1/l011 _ _10202017_ ]490 _______ 2 ,055 4351401 FNMA POP C08B530 3140 06x2 750770 7 1225201 01402 FNMA POOL S 0C0845 304 3140EU6X2 X 8/02017 10252017 7 77 -11407 FNMA PQOS I6C0805909 7140EU8 %2___ A___

------8142017

--_11252017

-78 7B

---_1404 FNMA POOL S BC0BB5 309 3140EU6X2 8142017 1252010 68 0 01405 FNMABC9007 4.0%11 3140F5AH8 12192016 2252017

___322 340 0 .18

tale FN_ MA_BCB007 4 0%11 I40_FS_AH6 1 7/92016 7252017 298 314

---

61407 FNMA BC9007 40%11 314OF5AH6 ----_- ----- --^ ----

__ 21102017

_3252017 - _ 50 --_-_-52 ------- --- 0 2

1408 FNMA BC9007 40%11 3140F50406 X 12192016 4142017 30,463 30 .010 0 .1411409 FNMA BCRW7__-_ 710053520_ _X ___ 21102017_ 4142017 4. 738 _-- -9,760 _ _ ..... ____ 0 -22_.1410 EXXON MOBIL CORP 302310102 X 1025f101

77 12/152017 1 . 664 1.670 -6

14115X%ONMOBIL, CORP 1 ,708 30231GAP7 x- - - _- - - - -- - --- ._

4202016 1152017 _ 4,996 5.059 ___ 0 'Al1413 FlyCE,8001(INGA _____ _703OJM102

- -%

-- _ -_ - - ----- - -- _ - _- -^-12I16201< _-

_1/32017 %991-

4,523

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24681413 F C B OK INC 30303MI 02 X ___ 0102010 1lJ2017 8.4 08 7,210 ___ 0 3,1881414 FAC55Q9K INC A 30303M10L __ ___j(_ 4I8?014 _ _

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_3,65]1415 17 5000 C- 30203102_ x el8/204 _j0M10017 7 703 2 , 568 0 51741416 FACEBOOK INC -A 30303M102 4/1014 12 / 152017 3 041 1,284 0 2,87_71417 Fk6M GOLD T499 3, 91 _3 1 T4.A09_ X- 111517013 __ _7I0/MIZ_ 9535 .564 9 _-771418 FHLM

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7 49005 ]1

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-7/182014 7/ 152017 71 74 0 -7

1419 F HIMQ_GO^DPOOI.i99DD5 914___ _3/I S _ __ _ _ 73 _1420 FH1MC GOL QPOOL 749005

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t7L 1 6 31620 7 20 11

565% 6 031162692 10/14 ZG2017 5684 57 103

L 565 21292012 2/8/X117 _5684 ____ 5,597 B7

565% 6% 071162892 2/24/012 3/15/2017 5633 5597 Je

LG EVICES INC 032654105 1272017 4212017 54 1 527 24

03349M155 1(!02017 92720 17 236.36 19173 _463

0J349M105 -- 1002017 10217 ]180___

2490 ----- 0 700

53309M105 1002017 12/152017 1663 .205 0 418

USHINBEVFI 0357, 42AN8 _ 420/2016 3/142017 5,247 __L7d0 __ ___0 ____ __ __BUSH INBEV FI 0 .75242FN6 1/152016 31142017 5.243 4 . 888 0 255

14PPQ.ORJ755%411 _037411A2A _ ____ __ X-_ 9/817515_ 3/172017 _ 5 ,010 4,897 1131474 APPLE INC _ 037833100 _ _-K

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1436APPLINC__ _037877100_ _ -- - -

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1440 AP PLE INC 037833100 % 1011]2017 102/12017 5 B00 5928 0 129


Part 1 Line 6 990-PF - Gain/Loss from Sale of Assets Other Than Invento ryTotals

ArrantGrossSales

Costar Oft, Bows ExpensesDe euaeon and AE sbnents

Net Gamor Loss

Long Term CGDrsinbuaons 327979 Caplml GalnVVLOSSee 11254550 9 , 943553 1 , 310 , 997Shan Term CO Dobibusons 0 Other sales 0 0 0

esca hen1dd1 APPLE INC1442 APPLE INC

USIP I0378331010378371

Check _X'

to etude

in Pan N

X

j!

urchaser

Check 'X dPurchaser

Is aBuwnoss

AcgwveonMated

DateAca.aed101 12017tPN7201]

DaleSow

11/57017

77/152017

Gross SolesPnru

1 , 1213128

Co. or

Other Bas_969

38&

VoluaSonMethod

Espense at Sale

and Cow of

Im o ants e vaton E atmenm0

Net Gainor Loss

552dd

1447 APPL E INC 0.375% 51 1_

OJ78JJBM2

___

- ----- ---_

--12020 B 31152017 ----5.051 d 9d --- - --_ ___ ----_-- ---- 0 -_- 741444 ARROW ELECTRONICS INC 042735901 X 2x=15 3515201 7 S.OD4 4992 0 121445

1 dd593fi0W UQ(;JRON!4s1NAUTOMATIC DATA PROCES 053015103

-- ---- -2231 0J4162016

_Rl52oi-4212017

----5 °4972 803

- - '--- _ _--387

144714411441

AUT_QMA[IGOPTAPRQGE.Sl1UTOMATIC DATA PRQC

UP CAP 5 d

915147_0570110OS &I6

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,5ROt4_4/6/0117

1 1

11W5P]Z5/192017 1869

_909,718

5557

0D

181

-28314501451

BNYMEOCOPBON¢BNY MLLON CORP BOND-

0.5589MJG89M68 x

5ZUI20r

612812012

3110201]

120

__ _ 3(X0 298,4351a 698 302

1452 BNY MELLON CORP BOND- 05569M368 6/282012 51312017 37 362743 97571453 0556914%8 x 8282017, 10202)] 5,626

--- ----

t7d1454 BNY MELLON CORP BOND. 0556SM368 6282012 12/2762017 4 39 M2 ____ 9581455 BNY MELLON MAC MULTI -ST 05569M509 31162017 5112017 84 9, 1 4191456 BNV MELLON M/C MULTI-ST

_

05569M569 31162017 10202017 Bd

-1457 BNY MELLON WCC MULTI-ST 05569M509 6182015 10202017 -- 35 31316 ______ ___ 0 3858We BNY MELLON INTERMEDIAT 05569M81d 61172013 3/102017 300 313.02314591460

B[JY MELLON INTERME, OIATFNMA POOL I AU6278 50

05569M813138X5605

EVt j!A116%2014

541108352017

175005

181;8

5

0 28

Uef14671463

EIO FVN9 VII 5R GAINFUGIQ PE FND VII LR GAINFUGIO PE FUND VII 5 CTIO

JT GAI---- ---- X

M,93318 -- - -- - -

2,205

is1464 FUGIOPEFUNOVIII - x__ 1,170 ._.__ 1,1701465 FUGIO PE FUND VIII L? GAI 2,4821466 FUGIO PE FUND VIII SECTIO X 99 99u97 EOVIO PE FUNO.PiEV1±D5 __ __ - - -- -59 __ -_- - _ - -__ -- _'-__z5

11/2/2018 11.12 51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

Part I, Line 11 (990-PF) - Other Income9 141) ann 1 A') n40

Revenue

Descri p tionand Expenses

per BooksNet Investment

IncomeAdjusted

Net Income1 REIMBURSEMENT OF FEES 142 , 180 142 , 1802 OTHER INCOME 711 7113 FUGIO PE FUND VII OTHER INCOME -56 -564 FUGIO PE FUND VII UBTI -6 , 661 05 FUGIO PE FUND VIII UBTI -5 , 128 06 FUGIO PE FUND IX OTHER INCOME 4 47 FUGIO PE FUND IX UBTI -150 0

^y^c


Part I, Line 18 (990 -PF) - Taxesza z^^ 1c )01 n

Descri p tion

Revenueand Expenses

per BooksNet Investment

IncomeAdjusted

Net Income

Disbursementsfor CharitablePurposes

1 FOREIGN TAX WITHHELD 15 , 233 15 , 2332 FOREIGN TAX WITHHELD FUGIO PRIVATE EQ 9 93 FOREIGN TAX WITHHELD FUGIO PRIVATE EQ 49 494 ESTIMATED EXCISE PAYMENTS 21 , 040 1


Part I, Line 23 (990-PF ) - Other Expenses91.339 90.589 0 750

Descri p tion

Revenue andExpensesper Books

Net InvestmentIncome

Adjusted NetIncome

Disbursementsfor CharitablePurposes

1 NY STATE FILING FEE 750 0 7502 FUGIO PE FUND VII PARTNERSHIP EXPENSES 33 , 931 33 , 9313 FUGIO PE FUND VIII PARTNERSHIP EXPENSES 34 , 268 34 , 2684 FUGIO PE FUND IX PARTNERSHIP EXPENSES 2 39022 , 390 22 , 390 1r-


Part II, Line 13 (990-PF) - Investments - Othern An gaa an, 7Q dnQ 117

Asset Descri ptionBasis of

ValuationBook Value

Beg of YearBook ValueEnd of Year

FMVEnd of Year

1 0

2 FNMA POOL # AS9451 3 5% 4/1/47 0 9 , 819 9 , 7693 FNMA POOL AU6278 5 0% 11/01/43 0 3,479 3 ,4284 FNMA POOL # BC0885 3 0% 5/01/46 0 8 , 899 8 , 8605 FNMA POOL # BE2 362 3 5% 3/01/47 0 9,757 9 , 7886 F N M A POOL BE3767 3 5% 7/01/47 0 20 . 186 20 , 0697 FNMA BE9598 4 0% 5/01/47 0 10,066 10 , 0178 FNMABH3154 40% 7/01/47 0 10312 10 , 2549 FNMA POOL #BH5017 30% 8/01/47 0 9 , 980 9 , 93010 FNMA POOL # MA2705 3 0% 7/01/46 0 18 , 490 18 , 03611 FNMA POOL # MA2737 3 0% 9/01/46 0 19 , 044 18,32912 FNMA MA2775 25% 9/01/31 0 22 , 447 21 , 80013 FNMA MA3078 3 0% 7/01/37 0 9 . 855 9 , 75714 FNMA POOL # MA3149 40%10101/47 0 10 , 414 10 , 32415 FNMA MA3153 40% 10/01/37 0 10 , 488 10 , 39616 FNMA MA31 55 3 0% 10/01/32 0 15,033 14,89017 FNMA MA3184 4 5% 11/01/47 0 10 , 579 10 , 50118 FIDELI TY NATL INFORM 3 875% 6/05/24 0 4,172 4,1719 FLORIDA ST HURRICANE 2 995% 7/01/20 0 20 , 000 20,2620 FORD MOTOR CREDIT CO 3 2190/6 1/09/2 0 10 . 185 . 10 , 06221 GNMA II POOL # MA4588 4 5% 7/20/47 0 10 , 265 10 , 15022 GNMA MA4718 30% 9/20/47 0 25 , 280 25,06023 GNMA MA4719 35% 9/20/47 0 20 , 691 20 , 52424 GNMA II POOL # MA4779 4 0% 10/20/47 0 26 , 170 26 , 02925 GENERAL ELEC CAP CORP 0 16 , 312 16 , 19726 GOLDMAN SACHS GROUP 0 11 , 505 20 , 08027 HS BC FINANCE CORP 0 6 , 512 6,67128 HALLIBURTON COMPANY COM 0 60 . 171 108 , 98129 HARTFORD FINL SVCS GROUP INC COM 0 83 , 177 124 , 37930 HILL ROM HLDGS 0 45 , 731 4973131 HOME DEPOT INC USD 0 05 0 49 , 517 203 , 55532 HONEYWELL INTL INC 0 27 , 660 176,51 733 ILLINOIS TOOL WORKS INC COM 0 103 , 567 3199 . 0534 INCYTE GENOMICS INC 0 35 , 637 35 , 80035 INTEL CORP 2 7% 12/15/22 0 9 , 957 10 , 11136 INTERCONTINENTALEXCHA 2 75% 12/01/ 0 15 , 242 15 , 16837 INTERCONTINENTALEXCHANGE GRO 0 51 , 283 99 , 49038 JPMORGAN CHASE & CO 3 375% 5/01/2 0 14 , 718 15,24739 J P MORGAN CHASE & CO 0 157 , 095 169 , 50040 JOHNSON & JOHNSON COM 0 106 , 039 110 , 79841 KIMCO REALTY CORP 3 4% 11/01/22 0 10 , 581 10,19842 KIMCO RLTY CORP 0 25 , 936 1 25 ,41043 LAM RESH CORP COM 0 133 , 625 140 , 44544 ELI LILLY & CO COM 0 52.4691 55 , 74445 MASSACHUSETTS ST 4 91% 5/01/29 0 11 , 416F_ 11 , 738

46 MERCK & CO INC 0 75 . 589 1 80 , 466


Part II, Line 13 (990-PF) - Investments - Othern zn 9AA Rns 'Ao ena 117

Asset Descri p tionBasis ofValuation

Book Value

Beg of YearBook Value

End of YearFMV

End of Year47 MET LIFE GLOB FNDG 7 717% 2/15/19 0 15 , 052 15 , 93848 MICROSOFT CORP 3 75% 2/12/45 0 14 , 874 15 , 80249 MICROSOFT CORP COM 0 32 , 274 63 , 30050 MICRON TECHNOLOGY 0 20 , 583 48 , 11051 MONDELEZ INTERNATIONAL INC 0 133 , 587 135,67652 MONSTER BEVERAGE CORP 0 47 , 198 131 , 32753 MORGAN STANLEY 4 875% 11/01/22 0 20 , 093 21 , 53654 ASG MANAGED FUTURES STRAT-Y 0 219, 642 240 , 52155 NEW YORK N Y 0 11 , 586 10 , 89556 NEW YORK N Y CITY MU 6 282% 6/15/42 0 10 , 000 11 , 09957 NIKE INC CL B 0 47 ,482 59 , 29758 NISOURCE FINANCE CORP 3 95% 3/30/4 0 9 , 989 10 , 24459 NORTHROP GRUMMAN CORP2 08% 10/1 0 4,999 4 , 95960 NUCOR CORP 0 58 , 384 85 , 19761 NVIDIA CORP 0 93 , 005 270 , 70662 OAKLAND CA UNIF SCH 9 5% 8/01/34 0 J_8L7 5 , 56263 ONTARIO (PROVINCE OF ) 4 0% 10/07/19 0 14 , 974 15 ,46764 ORACLE CORP 25% 5/15/22 0 19 , 961 20 , 03265 PEPSICO INC 45% 1/15/20 0 9 , 966 10 ,45766 PEPSICO INC 0 49 . 655 115 , 96367 PETROLEOS MEXICANOS 0 15 , 565 15 , 63468 PFIZER INC COM 0 62 , 306 62 ,66169 PHILIP MORRIS INTERNATIONAL 0 56 , 716 126 , 67470 PIONEER NAT RES CO 0 83 , 979 99 , 04371 PROCTER & GAMBLE CO COM 0 58 , 263 87 , 28672 PUBLIC SERVICE ENTERP 1 6% 11/15/19 0 4 , 994 4 , 91873 SVB FINL GROUP 0 729544 95 ,84674 SALESFORCE COM INC 0 71 , 502 144 , 75875 SCHLUMBERGER LIM ITED COM 0 49 , 014 54 , 78876 SCHWAB CHARLES CORP NEW 0 114 , 165 183,39 1

77 SCRIPPS NETWORKS INTERACTIVE 1 0 9 , 840 9 ' 99978 SOUTH CAROLINA ST PU 2 388% 12 /01/2 0 5,000 y760

79 SPECTRA ENERGY PARTNER 3 5% 3/15/ 0 4 , 979 5 , 02180 SPLUNK INC 0 110 , 502 148,284

81 STARBUCKS CORP COM 0 148 , 206 142,426

82 DREYFUS SELECT MGER SIC GR-Y 0 636 , 847 807 , 393

83 DREYFUS INTENATION STOCK-Y 0 591 , 194 911 , 94084 DREYFUS SELECT MGER S/C VL-Y 0 596 , 653 76 1, 972

85 SYNCHRONY FINANCIAL 0 84 , 005 118 , 533

86 T -MOBILE US INC 0 123 , 406 120 ,66987 TAIWAN SEMICONDUCTOR ADR 0 83 083 113 002

88 TANGER PROPERTIES LP 3 125% 9101/2 61 0 4 , 980 4 , 75989 TARGA RESOURCES INVESTMENTS 0 67 , 740 55 ,683

90 TELEFONICA EMISIONES 4 103% 3/08/27 0 144 , 977 15 508

91 3M CO 0 71 ,409 117 920

92 TIME WARNER INC 4 0% 1/15/22 0 10 , 357 1 10 , 412


Part II, Line 13 (990-PF) - Investments - Othern in 9aa ans Ao ena 117

Asset Descri ptionBasis ofValuation

Book Value


FMVEnd of Year

93 TSS 4 8 04/01/26 CORP 4 8% 4/01/26 0 15 , 800 16 , 22894 TOYOTA MOTOR CREDIT 2 15% 3/12/20 0 10 , 084 9 , 96895 EACM ABSOLUTE RETURN FD LTD 08/01/ 0 325 , 000 328 , 81996 FUGIO PRIVATE EQUITY FUND IX , LP 0 286 , 000 269 , 96397 LIAB-FUGIO IX 0 0 098 BNY MELLON PE FUND VIII LP 0

_

770 , 000 835 , 73199 LIAB-BNY MPE FUND VIII LP 0 0 0100 TWENTY FIRST CENTURY FOX INC 0 88,626 99 , 446101 21ST CENTY FOX AMER 6 15% 3/01/37 0 5 , 928 6 , 548102 U S TREASURY BOND 2 875% 8/15/45 0 19 , 61 20 , 511103 UNITED STATES TREAS IN 1 0% 2/15/46 0 15 , 825 16 , 682104 U S ETREASURY NOTE 2 25% 8/15/46 0 4 , 843 4 , 510105 UNITED STATES TREAS BD 3 0% 2/15/47 0 29 , 687 31 , 550106 U S TREASURY NOTE 2 125% 9/30/21 0 20 , 212 20 013107 U S TREASURY INFLATIO 0 125% 4/15/20 0 10 , 444 10 , 512108 U S TREASURY NOTE 0 34 , 368 34, 036109 US TREAS-CPI 0 22 , 474 22, 310

110 US TREAS-CPI 0 21 , 973 21,709111 U S TREASURY INFLATI 0 37 5% 1/15/27 0 10,104 10,138

112 US TREASURY INFLATIO 0 375% 7/15/25 0 20 . 665 20 , 835113 UNITED STATES TREAS 1 5% 4/15/20 0 44 , 989 44 , 582114 UNITED STATES TREA 1 875% 4/30/22 0 80 . 108 79 , 044115 UNITED STATES TREASU 2 375% 5/15/27 - 0 T5 . 024 14 , 957116 UNITED STATES TREAS NT 1 5% 7/15/20 0 9 , 985 9 , 893117 UNITED HEALTH GROUP INC 0 147 , 211 233 , 026118 UNIV OF CALIFORNIA 4 131% 5/15/45 0 10 . 000 . 10 , 578119 VALERO ENERGY CORP NEW 0 24 , 550 1 21, 321

120 VAN ECK CM COMMODITY INDX-I 0 665 , 190 528 , 484

121 VANTIV INC 0 92 , 348 108 , 118122 VERIZON COMMUNICATIONS 5 5% 3/16/4 0 1 9162 22 ,78123 VISA INC 0 125 , 093 163 , 686124 VIRTUS EMERGING MKTS OPPOR-1 0 491,118 599 , 744125 VOYA FINANCIAL INC 0 73 , 954 113 , 781126 WFRBS 2013-C12 A4 3 198% 3/15/48 0 10 , 364 10 , 203127 WELLS FARGO & COMPANY 4 9% 11/17/4 0 9 , 924 11 , 318128 WELLS FARGO & CO 0 5 , 003 4 , 973129 YUM BRANDS INC 0 64 , 928 127 , 312130 BNY MELLON PRIVATE EQUITY FUND VII 0 787 ,600 1,028,891

131 LIAB-BNY MELLON PRIV EQUITY FUND VI 0 0 0

132 COMMIT TO PUR OPTIMA PRTNR GL FD 0 170 , 000 170 , 000133 COMMIT TO PUR OPTIMA PRTNRS FOCU 0 281 000 281 , 000134 THE OPTIMA PARTNERS FOCUS FUND 0 980 , 352 1 , 368 , 612

135 , OPTIMA PARTNERS GLOBAL FD LTD 0 1 , 089 , 619 1,455,981

136 021628-BNY MELLON CORP FDN-034356- 0 1 0

137 COMMIT TO PUR OPTIMA FUTURES FD L 711,000 711 , 000

138 THE OPTIMA FUTURES FUND LTD 0 620 , 000 622 , 482


Part II, Line 13 (990-PF) - Investments - Othern An 9Fa Rns 'IQ ena 1117


Book Value

Be of YearBook ValueEnd of Year

FMV

End of Year139 EACM ABSOLUTE RETURN FUND LTD 0 700 , 000 812 , 903140 034356-BNY FDN INC-022102-DIV EQ-SUB 0 1 0141 ALLERGAN PLC 0 5 ,628 4 , 744142 ACCENTURE PLC IRELAND SHS CL A 0 3 , 365 4 , 133143 EATON CORP PLC 0 8 , 032 14,222144 INVESCO LTD 0 7,357 8,770145 BROADCOM LTD 0 4 , 783 9 , 762146 AT&T INC 0 13 , 873 15,941147 ABBOTT LABORATORIES 0 5 , 867 7 , 419148 ACTIVISION BLIZZARD INC 0 7, 22 8 , 232149 AGILENT TECHNOLOGIES INC 0 4, 679 8 , 036150 ALTRIA GROUP INC 0 5 , 723 7 , 855151 AMERICAN TOWER CORP CONV PFD 0 6.543 8 , 300152 ANADARKO PETROLEUM CORP CONV P 0 8 , 906 8 , 318153 ANALOG DEVICES INC 0 12 , 822 14 , 245154 ANDEAVO_R___ _ 0 4 , 845 6,860155 APPLE COMPUTER INC COM 0 12,450 19 , 461156 APPLIED MATERIALS INC 0 8 , 226 8 , 179157 ARES CAP CORP 0 13 ,449 12 , 104158 BANK AMER CORP 0 10. 236 11 , 808159 BRISTOL MYERS SQUIBB CO COM 0 7 , 945 9 , 805160 CME GROUP INC 0 7 , 370 10 , 808161 CSX CORP COM 0 8 , 565 15 , 953162 CHEVRONTEXACO CORP 0 5 , 198 7 ,637163 COLGATE PALMOLIVE CO COM 0 6 , 827 6 ,790164 COMCAST CORP NEW CL A 0 4 , 427 8 , 811165 CORNING INC COM 0 8,657 11 , 836166 CROWN CASTLE INTL CORP CONV PFD 0 8 . 566 9 , 060167 DEERE & COMPANY 0 11 98 14 , 242168 DISNE Y LWALTLCOMPANY HOLDING CO 0 _ 7 9 8, 171

169 DOMINION RESOURCES INC 0 8 , 551 8 , 782170 DOWDUPONT INC 0 7 , 982 15 , 668171 EMERSON ELECTRIC COMPANY 0 11 , 145 12 , 544172 EXELON CORP 0 8.980 10 , 128173 GALLAGHER ARTHUR J & CO 0 4 083 6 , 961174 GENUINE PARTS CO 0 9 , 611 9 , 501175 GILEAD SCIENCES INC 0 6 . 401 6 ,448176 HALLIBURTON COMPANY COM 0 4,660 5 , 376177 HESS CORP PFD 0 12 , 866 11 , 576178 JOHNSON & JOHNSON COM 0 5 , 983 8 , 383179 KLA TENCOR CORP

_0 4,854 , 7 355

180 KIMCO RLTY CORP 0 1 , 853 1 , 815181 LAM RESH CORP COM 0 9 , 595 11 ,412182 LAS VEGAS SANDS CORP 0 6 , 780 6 , 949183 ELI LILLY & CO COM 0 7 , 288 7 ,601184 LOCKHEED MARTIN CORP 0 3 , 158 13 , 805

11/212018 11 12 51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

13 (990-PF) - Investments - Other0 30 . 266 . 805 39 , 409 . 137


Book Value


FMVEnd of Year

185 LOWES COMPANIES INC COM 0 3 , 775 10 , 223186 MC DONALDS CORPORATION COMMON 0 5 , 877 9 , 811187 MERCK & CO INC 0 9 , 518 10 , 129188 METLIFE INC 0 7 , 453 8 , 090189 MICROSOFT CORP COM 0 11,526 17 , 108190 MONDELEZ INTERNATIONAL INC 0 9 ,469 8 , 988191 NEW RESI DENTIAL INVESTMENT 0 9 , 857 13 , 410192 PNC FINANCIAL SERVICES GROUP INC 0 6 ,465 7 , 936193 PPG INDUSTRIES INC

_0 7 , 791 9 , 579

194 PACWEST BANCORP DEL 0 7 , 511 8 , 568195 PEPSICO INC 0 5,404 9 , 594196 PFIZER INC COM 0 9 , 824 11 , 590197 PHILIP MORRIS INTERNATIONAL 0 6 , 330 10 ,459198 PROCTER & GAMBLE CO COM 0 6 .295 8 , 269199 SEMPRA ENERGY 0 4 . 833 5 , 239200 SIX FLAGS ENTERTAINMENT CORP 0 7 ,922 8,654201 STANLEY BLACK & DECKER INC 0 6 , 695 11 , 539202 STARBUCKS CORP COM 0 7 , 105 7 ,466203 STARWOOD PROPERTY TRUST INC 0 10 , 068 11 , 956204 TJX COS INC NEW 0 5,709 6.117205 TAIWAN SEMICONDUCTOR ADR 0 5 , 542 7 , 534206 TARGA RESOURCES INVESTMENTS 0 7 , 068 5 , 810207 TEXAS INSTRUMENTS INC 0 7 , 680 12 , 533208 UNITED HEALTH GROUP INC 0 8 , 647 12 , 787209 VALERO ENERGY CORP NEW 0 5 .325 10 , 110210 WAL MART STORES INC 0 5 , 954 7 , 900211 ALLERGAN PLC 0 72.454 72 , 139212 EATON CORP PLC 0 55 , 126 97 , 972213 INGERSOLL-RAND PLC 0 59,34 1 165 , 893214 INVESCO LTD 0 70,333 147 , 987215 BROADCOM LTD 0 19 , 098 116 ,633216 A B B FIN USA INC 2 875% 5/08/22 0 14 , 565 15 , 251217 AT&T INC 0 15 , 423 15 , 822218 AT&TINC 39% 8/14/27 0 9,983 10 , 067219 AT&T INC 0 87 , 726 110 ,030220 ABBOTT LABORATORIES 0 93 , 065 135 , 256221 ABBVIE INC 2 9% 11/06/22 0 10 , 144 10 , 029222 ABBVIE INC 0 73 , 740 74 , 467223 ADOBE SYSTEMS INC 3 25% 2/01/25 0 9 , 893 10 , 270224 ADOBE SYS INC COM 0 65,322 230 , 791

225 ADVANTAGE DYN TOTAL RET -Y 0 180,307, 231 , 606226 DREYFUS OPPORT SM CAP-Y 0 607,3851 814 , 334

227 AERCAP IRELAND CAPITAL LTD / A 0 10 , 583 10 , 502

228 AGILENT TECHNOLOGIES INC 0 77 , 283 112 510

229 ALEXANDRIA REAL ESTATE 4 3% 1/15/26 0 5 , 391 5 , 239

230 ALEXION PHARMACEUTICALS INC 0 61 788 59 , 915


Part II, Line 13 (990-PF) - Investments - Other0 30266805 39409 137

Asset Descri ptionBasis of

ValuationBook Value


End of YearFMV

End of Year231 ALIGN TECHNOLOGY INC 0 80 , 303 116 , 205232 ALLY FINANCIAL INC 0 120,070 168 , 545233 ALPHABET INC/CA 0 145 , 148 286 , 525234 AMAZON COM INC 0 14 , 867 14 , 992235 AMAZON COM INC 0 62,14 2 339 , 146236 AMERICAN TOWER CORP-CL A 0 89,325 114 , 564237 AMGEN INC 5 65% 6/15/42 0 11 , 192 12 , 467238 ANDEAVOR 0 81 , 874 114 , 797239 ANHEUSER-BUSH INBEV FI 4 9% 2/01/46 0 9 , 976 11 , 590240 APACHE CORP 3 25% 4/15/22 0 4,897 5 , 038241 APPLE INC 4 375% 5/13/45 0 9 , 907 11 , 266242 APPLE COMPUTER INC COM 0 62 , 736 210 , 184243 ARROW ELECTRONICS INC 3 5% 4/01/2 0 9 , 924 10,134244 BP CAP MKTS PLC 4 75% 3/10/19 0 11 , 106 10 , 310245 BNY MELLON CORP BOND-M 0 155 , 664 159 ,614246 BNY MELLON MID CAP STK FD CL M 0 2,771,590 3 , 601 ,860247 BNY MELLON INTERMEDIATE BOND FD C 0 166 , 906 163 , 881248 BNY MELLON INTL FD CL M SHSS 0 1 , 926 , 589 2,714, 619249 BANK AMER CORP 0 123 , 364 220 , 810250 BANK OF AMERICA CORP 2 6% 1/15/19 0 15,042 15 , 051251 BANK OF AMERICA CORP 3 95% 4/21/25 0 14 , 956 15 512

252 BARCLAYS PLC 0 5 , 072 5 332253 BIOGEN INC 29% 9/15/20 0 9 , 979 10 , 136254 BOSTON PROPERTIES LP 0 4,92 5 , 226255 BRISTOL MYERS SQUIBB CO COM 0 57 , 203 71 , 698256 BURLINGTN NORTH SANTA 3 45% 9/15/2 0 10 , 404 10 , 332257 CSX CORP COM 0 99 , 401 141,376258 CVS HEALTH CORP 0 4 , 922 5 , 535259 CALIFORNIA ST EARTHQ 2 805% 7/01/19 0 8 , 399 8 , 407260 CELGENE CORP 0 68 , 617 65 , 851261 CHEVRONTEXACO CORP 0 66 , 226 94 , 143262 CHICAGO ILL 6034% 1/01/42 0 10 , 000 10 , 205263 CITIGROUP INC 4 45% 9/29/27 0 21 , 085 21 , 174264 CITIZENS BANK NA/PROVIDENCE RI 0 10,002 9 , 963265 COMCAST CORP 2 75% 3/01/23 0 15 , 207 15,072266 COMCAST CORP NEW CL A 0 132 ,489 181 , 827267 CONSTELLATION BRANDS INC 0 89 , 090 154,970

268 CONSUMERS ENERGY CO 3 25% 8/15/4 0 X961 4801

269 RABOBANK NEDERLAND 0 16 ,455 89915 ,270 CORNING INC COM 0 136 , 898 141 , 076271 COSTCO WHSL CORP NEW 0 84,6 12, 127,306 ,272 CREDIT SUISSE GROUP FUNDING GU 0 10 , 430 10 . 315273 CUBESMART LP 4 8% 7/15/22 0 11 , 031 1 10 , 708274 DFA EMERG MKTS CORE EQUITY 0 1 , 877 , 339 1 2,318,444

275 DEERE & COMPANY 0 113 , 197 137 , 416276 DISNEY (WALT) COMPANY HOLDING CO 0 75 . 764 1 125 . 249


Part II, Line 13 (990-PF) - Investments - Othern in gaa ans 'Ao ena V%7


Book Value


End of YearFMV

End of Year277 DOWDUPONT INC 0 78 , 354 114 , 664278 DREYFUS SELECT MGR US EQ-Y 0 725 , 370 729 , 301279 DREYFUS FLOATING RATE INC-Y 0 1 , 016 , 465 998 , 316280 CELANESE CORP DEL 0 44 , 687 134 , 600281 CELGENE CORP 2 875% 8/15/20 0 9 , 988 10 , 093282 DREYFUS INFL TN ADJ SEC-Y 0 43 . 839 42,906283 DREYFUS PREM LT TRM HI YLD-R 0 512 , 090 607 , 349284 DREYFUS GLOBAL REAL ES SEC-Y 0 299,035 562 , 004285 DREYFUS INTL SMALL CAP-Y 0 946 , 490 1 , 223 , 990286 DREYFUS/NEWTON INTERN EQTY-Y 0 591,09 2 917,318287 EASTMAN CHEMICAL CO 3 6% 8/15/22 0 4 , 961 5 , 155288 EBAY INC 2 6% 7/15/22 0 14 , 114 14 , 865289 ELECTRONIC ARTS 0 95 . 560 125 , 442290 ENTERPRISE PRODUCTS 255% 10/15/1 0 5 , 065 5 , 016291 EQUINIX INC 0 88 ,441 91 , 550292 ESSEX PORTFOLIO LP 3 375% 1/15/23 0 L032 5 , 069293 EXELON CORP 34% 4/15/26 0 10 , 018 10 , 003294 EXELON CORP 0 75 , 625 94 , 190295 EXXON MOB IL CORP 10000 9,9 77296 EXXON MOBIL CORP 0 125 , 261 139 . 177297 FACEBOOK INC 0 57,965 257 , 632298 FHLMC GOLD G08773 30% 8/01/47 0 9 , 842 9 , 794299 FHLMC GOLD G08794 4 5% 12/01/47 0 15 , 974 15 , 884300 FHLMC GOLD G18667 3 5% 11/01/32 0 10 , 304 10 , 252301 FHLMC GOLD POOL A90393 5 0% 12/01/3 0 3 , 789 3 , 974302 FHLMC GOLD A92821 5 0% 7/01/40 0 5 , 491 5 , 546303 FHLMC GOLD Q43259 3 5% 9/01/46 0 9 . 326 9,301304 F G Q50123 40% 8/01/47 0 10 , 294 10 , 177305 FHLMC GOLD POOL Q50341 3 5% 7/01/47 0 10 079 10 , 034306 FHLMC Q50589 35% 9/01/47 0 20,356 20 , 253307 FG Q51086 3 5% 10/01/47 0 10 , 300 10 , 241308 FHLMC GOLD 052046 3 5% 11/1/47 0 10 , 252 10 , 270309 FHLMC GOLD 052093 3 5% 11/1/47 0 15 , 369 15 , 388310 FHLMC GOLD Q52104 4 0% 11/01/47 0 10,430 10 , 357311 FEDERAL FARM CR BKS 2 5% 8/28/24 0 10 , 000 9 , 908312 FHLMC G60921 45% 2/01/47 0 10 , 020 9 , 884313 FNMA AL7359 40% 5/01/29 0 5 , 747 5 , 694314 FNMA AL9867 30% 2/01/32 0 9 , 325 9 , 226315 FNMA POOL AS7844 30% 9/01/46 0 13 , 975 13 , 934316 F N M A AS8949 35% 3/01/47 0 9 ,739 9,671


Part III (990-PF) - Changes in Net Assets or Fund Balances

1 PARTNERSHIP DISTRIBUTIONS 1 166,3022 FUGIO PRIVATE EQUITY FUND VIII PARTNERSHIP INCOME ADJUSTMENT 2 33,5733 FUGIO PRIVATE EQUITY FU ND IX PARNERSHIP ADJUSTMENT 3 22,4434 PURCHASE OF ACCRUED INTEREST CARRYOVER FROM PRIOR YEAR 4 1,1765 Total 5 223,494

1 BASIS CHANGE ON DIVIDENDS TREATED AS ROC 1 6,0662 RETURN OF CAPITAL ADJUSTMENT ON CURRENT YEAR SALES 2 3,3383 FUGIO PRIVATE EQUITY FUND VII PARTNERSHIP INCOME ADJUSTMENT 3 194,6454 PURCHASE OF ACCRUED INTEREST CARRYOVER TO NEXT YEAR 4 2255 Total 5 204,274


Part IV 990-PF) - Capital Gains and Losses for Tax on Investment Income

Long Telm CO Gstnbwons 327 . 979ShortTerm CGD,stnbxl,ons 0 10 , 926 , 571 0 0 9 , 943 , 553 993018 0 0 0 983018

Cog o, Oft, F M V Ad40e8 Basis Esces+al FMV Galin Moue

AcqulsCbn Dale Del. Grose 00990alnn Basis Pbs sal o of Ove, Excess FMV 0-P...scrl bn of Sub CUSIP0 Method A ,lied sob Sales Prke Aboed A4r¢Imenl, E, nse el Sale Gabor LOV 11131169 12131169 Ad Ietl Basis A46eels or I-,

1 NABORS INDUSTRIES LTD G6359F107 _3162017 _ 5/ 1/2017 _ 1,849 645 _796 0 0 0 -796

2 NABORS INDUSTRIES LTD 96359E 103 7162017 _ 10202017 1.539 0 _ _______380 ___ ____ 0 __ -1,B?7

3 NABORS INDUSTRIES LTD G6359F107 722017 10202017 468 0 1,02 -557 0 0 0 -5574 NABORS INDUSTRIES LTD G63S9F103 8232016 10/252017 356 0 604 -248 0 0 0 -2485 NABORS INDUSTRIES LTD G8359F107 _ 82Y1016_ 10252017 _ 13,794 2J899 -10,105 _ 0 __ _ _ _ 0 -10lOS

6 NABORS INDUSTRIES LTD._ _. G6359F103__ 8242016 10252017 6,292 0

_

1 0,818

____

-4,526_ _

0 0 __ 0 -4,526

7 NABORS INDUSTRIES LTD G6759F703 8252016 10252017

_ ___ __ _

4,266 0

_ .

7 228

_ _

-2,962____-_

0 0 0 9`2B NABOBS INDUSTRIES LTD G6359F103 8262016 10252017 B 276 0 17 . 89 5 . 759 0 0 0 -5.7599 NABOBS INDUSTRIES LTD G6J59F107 51192017 _ _ 10252017 -1_2J46 _ _ 21 426 - 9,280 ___ ___0 _ __ _ __ 0 __ _ _ ___ _ 0 __ __ 9,280

10 NABORS INDUSTRIES LTD 726359F103 322017 10252017 13,16 1 0 33.39 -20 2, 31 0 0_ 0 -20.23111 NABOBS INDUSTRIES LTD G6359F103 5/19/2017 10252017 1 559 0 2822 1 . 26 0 0 0 -1.26312 NABOBS INDUSTRIES LTD G6359F153 3/302017 10262017 2, 60

-- --_ __ 5,490 2,830 ___ ____ 0

tJ ATBT INC

--- -002068702

-- ---- -

6/BI-[016 _ _5/12017 7,131

--------

_______ 0

---

3189 - 58 U__ _____ _ 0 ___ -58

---- -14 AT&T INC 00206R192 2/3)2015 6 /12017 1 . 54 2 0 1 . 368 174 0 0 174

15 A B B FIN USA INC 2 975% 00037890)8 4202016 3/132017 4.999 0 5,156 157 0 0 0 -157

1B A B B FIN USA IN __2875% _00037BA88 __ _522/2012 3/1YI01 7 0 3855 __144 ......__ 017 AT&T INC 00206R102 6182016 6/82017 45.05 0 46 .634 -1 576 0 0 0 .1 . 57618 AT&T INC 002068102 6/8/2016 6/8/2017 2 . 706 0 2.790 -84 0 0 0 -84

19 TOT INC

- --------

00206R102 _

-

11/162016 6/82017

-

387

--- -- -

0 370

---

17

-- -

0 0

-----

___17

20 ATBT INC 00206R 102 11/162016 10202017 1.77 0 1 . 852 -79 0 0 0 -79

21 ATIT INC 00206R102 11/16/2016 12/15/2017 1.527 0 1 481 46 0 0 46

22 ATOT/NC _ 4 45% 5/ 1_5 __00206RAx0 4/192012 3/172017 10,583 0 11,241 _ _____ b50 __ ______ 0 .658

23 ABBOTT LABORATORIES _ ___P02824100 1g12017 5/12017 7,482 _ _ 0 _3,327 __ 159 _ 0 159

24 ABBOTT LABORATORIES 002824100 1/31/2017 8/152017 19 . 06

_ ___ _ ______

0 16 199 2 8̀ 7 0 0 0 2667

25 ABBOTT LABORATORIES 002824100 1/3112017 10/202017 3 . 94 0 2 , 908 1 . 03 0 0 0 1.038

26 ABBOTT _ _002824100 1/312017 _12/1512017 1,663 -0 _ 1.246 417 __ _ 0 _ _ __0 0 417

27 ABBVIE INC 00287V 109 10/182017 10202017 2,868 _0 2,877 5 0

_

_ 0 0 __ _ -5

28 ABBVIE INC 05357Y 109 10/182017 17/ 152017 975 0 95B 17 0 0 0 17

29 ABBVIE INC 2B%11 /_ 00287Y AL3 _ 10272016 3/172017 4,952 0 ___ _ 5,02 _ 120 0 __ 0 0 __120

30 ADOBE SYSTEMS INC 00724F 101 _ 4/52017 5112017 4723 SB3 _ 140 0__ __ __ _ _ _ 0_---

0_ 140

31 ADOBE SYSTEMS INC 00724F101 4152017 10202017 B 841 0 5107 1 734 0 o 0 1 734

32 FNMA POOL 6 MA2705 3 0 31418CAF 1 928/2016 3/252017 22 0 23 1 0 0 0 1

33 FNMA POOL a 6)92705 3 0 3141BCAF1 7/62016 4252017 53 0 55 - 2 0 -2

34 FNMA POOL Y MA2705 3 31418CAF1 718/2016 5252017 48 0 50

_

2 0 0 0 -2

35 FNMA POOL 6 MA2705 30- 31418C0F 1 7/8/2016 6/252017 59 0 62 3 0 0 0 3

36 FNMA POOL 0 MA2705 301 31418CAF1 7/0/2016 7252017 66 0 68 _2

_

0 0 037

_FNMA POOL N 492705 7 0 314180/3/1 527201 7 7252017

_

66

_

0 66 0

_

0

-

__0

----

0

38 FNMA POOL AS7844 3 O-A 3139VJFMÊB 41192017 12252017 ----- 56 --_- -- 0- - 56 0 -- - - 0 0 0 0

29 FNMAPOOLAS7844 30• 3138' HWEB 4/192017 1252018 58 58 0 0 ____ 0 0 0

410 FNhV PGMjLW2705 30 __714180/3/1 7182016 3242017 14,278 0 14991 4_13 _ ___0 0 0 .713

41 FNMA POOL OMA2705 30 374180/3/1

_

7 /82016

_

3252017

.....

109 114 - 5 0 0 0 -5

42 GNMA 2 POOL M44195 3 0 36179SUU9 302017 5202017 155 0 156 0 0 0 -1

43 PHILADELPHIAPA SCH 5 717883005 10202016 31132017 4,919 0 5,000 -81 _0 0 0 :81____ __4a PHILADELPHIA PA SCH 50

__

_ 7178875D5 _ 10202018

__

822017 10,491 0 _ 10000

____ 491 0 __ _ 0 _ 0 4 91

45 PHILIP MORRIS INTERNAT 718172109_

11/162016

__

5/12017

__

3 , 431

_______ ..

0 2 ,734 697 0 0 0 697

46 PHILIP MORRIS INTERNAT 718172109 9232011 10/132017 3, 54 0 1 . 982 1 . 565 0 0 0 1 5,65

47 PHILIP MORRIS INTERNAT 718172109

- --

5/12/2017 10202017 4 .042 0 4,115 -77

_

0 0 0 -77

--48 PHILIP MORRIS INTERNAT 718172109 - -- 5/12/2017

_

12/ 152017 - 1 , 971

_- - - -- 0 - 20` ____ _31 0 0 0 31

49 PIONEER NATURAL RESOU 723787107 11/16/2016 3162017 2,711 0 2,526 185 0 0 0 185

50 PIONEER NATURAL RESOU __ 727787107 _ 11/32016 152017 _ ___ _ 20,813 0 _ __ _ 18,590 2,323 0 9 - 0 2,323

51 BROADCOM LTD Y09827109 2132016 4/52017 13 . 86 0 8 , 339 5 , 527 0 0 0 5527

52 BROAOCOM LTD Y09827109 2/32016 5/12017 5 . 09 0 3 , 045 2,054 0 0 0 2 , 054

53 BROAOCOM LTD Y09877109 692016 10/ 17201 7 _ 243_ 0 ___ _ 164 ____ _ 7954 BROADCOMLTD __ P09827109 12/52016 10r172017 243 0 166 77 0 0 _0 77

55 BROADCOM LTD Y09827109

_ _

1/132016 10/172017

_____

2,188 0 1 . 140 1048 0 0 0 1.048

56 BROADCOM LTD Y09827109 252016 101172017 973 0 529 444 0 0 0 444

57 BROADCOMLTD P09927109 7252017 10/ 172017 48 0 297, 42 _1294 0 __ _1,284

58 BROADCOM LTD V09827109____ 10292015 _1 011720 1 7 _ o __ 102 a ____ 1o d5J 10453

59 BROADCOM LTD Y09827109 10292015 10202017 5 ,641 0 2 . 76E 2877 0 0 0 2877

60 BROADCOM LTD Y09827109 10292015 10262017 7,336 0 3,731 0 __ 0 __7731

61 SROAOCOM LTD_

V09827109_____

820 2017 10262017 12,227 0

________

2,107 10,124 0 0 _ _ __ 0 10,,124

62 BROADCOM LTD Y09827109

_

9202013

__

1122017 29 . 091 1 0 4 . 543 24 . 548 0 0 0 24 , 54 8

63 BROADCOM LTD Y09827109 1/132016 11202017 1.916 0 806 1 , 030 0 0 0 1 , 030

84 BROADCOM LTD Y09827109 1/132016 12/52017 1 , 314 0 633 681 0 0 0 681

65 BROADCOM LTD_

Y09827109_

9202013

_

121142017 30240 0

_

4,922 25 , 718 0 0 0 25,318

68 BROADCOM LTD Y09827109 9202017 12/152017 1.855 0 294 1,551 0 0 0 1 , 561

67 FNMA POOL 0 M4/32705 3 0 30 41

7/82016 8252017

3 3

71 0 74 0 3

BB_

FNMA POOL p 2705 0-_ 3141BCAF 8(172017 5/ 0178/ 71 0

____ __

.. __..72 0 ____________ • 169 FNMA POOL 0 MA2705 3 0 31418CAF1

__ . _ _

7/8/3016 9/25/2017__

77 0_

80 3 0 0 0 -7


Part IV (990-PFI - Capital Gains and Losses for Tax on Investment IncomeAmmon

Long Term CG Dstnbueons 327 , 979Short Term CG Dlstribullon 0 10928 571 0 0 9 . 943 . 553 983 . 01 8 0 0 0 993 . 018

Cog or Oft, F M V A4lusled Basis Excess of FMV Gales Mina

AcquMlbn Dote Date Gross Depredation Basis ". s.1 sal pre, Eacass FMV WerDeseal bn of Pra sold CUSIPI Me/ME A /50 So. Soles Prhn Albved Adustnxnts E. nse of Sate Gabor toss 12131/66 12/31/59 A4W0E Basis A4 Bads of Losses

70 FNMA POOL Y MA2705 30 31418CAF1 6272017 9252017 77 0 77 0 (1 0 0 071 FNMA POOLtl MA2705_3__0_ 71418CAF1._._ 7180016 10252017 64 0 fib 2 0

-0 0 2

72 FNMA POOL tl MA2705 _7 0__

41BCAF 771__ __ __6272017__ __10252017 64 0

_-__-_0_ -___

0_

07J FNMA POOLtl MA2705 30 31418CAF7 7/8/1016 1105/2017

_77 -3

74 FNMA POOL MA2705 31418CAF1 6272017 1252017 77 -7 0 175 FNMA POOL 0 MA2705 _ 31BCAF7 _ 7/82016 12/252017 69 _ 3 078 FNMA POOL A MA2705 31078CAF1 8272017 2252017 69 7 0 177 FNMA POOL I1 MA2705 3141BCAF7 7/82016 1252018 64

_

-3 0 -378 FNMAPOOL 9MA2705 31418CAF1 6272017 125/2018 6d 07B FNMA POOLOMA2777 _31418CBF0 H222016B 7252017 130 -- ---E 0 -

-- - -

-- -- 8

-80 FNMAPOOL n MA2737 0 31418CBF0 9272016 2)252017 22 - 1 -81 FNMA POOL 8 MA2737 31418CBF0 8/122016 3252017 1 1 .6 0 0 .6B2 FNMA POOL # MA3737 31418CBF0 9222016

-

3252017 27 0 24 _1 0 0 0 -183 FNMA POOL a MA2737 30 31418CBF0 8/122016 4252017

__142 0 148 .6 0

___

0 0 .684 FNMA POOL Y MA2737 30 31418CBFO 9228016 4252017 24 0 25 1 0 0 0 185 FNMA POOL tl MA2717 Lq _31418CBF0 9272016 5152017 4,820 0 5035 -215 0 0 0 -21580 FNMA POOL MA2777 30

-

31418CBF0

---

/12018__ 5/52017 ______9563

-

0

--^^-----

g .959

------

-396

---

0

----

0

-----

-396

-------87 FNMA POOLB

MA27J7 3 0 71418CBF068/12/22016 5252017 179 0 186 -7 0 0 -7

88 FNMA POOL 0 MA2737 30 31418CBFO 8/122016 6252017 131 0 136 -5 0 0 0 -589 FNMA POOL 0 MA2737 3 0 _31418CBF0 _8/122016__ 72Y1017 119 q 123 :4 0 0 __P . _ __ -490 FNMA POOL B MA2737 3 0 31478CBFO 8/12/2016 8)252017 122

____

0 127

___

5

_

0

_ __

0 0 -591 FNMA POOL a MA2737 30 31418CBFO 8/12/2016 9252017 135 0 741 .6 0 0 0 .692 FNMA POOL A MA2777 _3 0 _314___18CBF0_ 81122016_____ 10252017 172 77 5 0 __ p _ _ _ 0 -593 FNMA POOL p 062737 __3 0 31418C970

--

8/122016 _71252017 127__ _ _ __ ____

0 132

___ _

-5

____

0

__ ___ _ _

0 0 _594 FNMA POOL 8M62807 40 31418CGR8 2/2/2017 6252017 -----^ 174 - - 0 183 9 - 0 0 - 0 -9

05 FNMA POOL OMA2907 41' 31418CGR9 1n 12017 6262017 5 ,1 22 0 5 . 1 29 -7 0 0 0 -796 FNMA POOL 8MA2907 4 0 _ 31418CGR9 222017

--

6262017

-

5,122

-

0 5105 17 0 0 0

-

1797 FNMA POOL 8MA2907 40 31418CGR9 222017 7252017 - 9.784 U 8.706 - -12 - - 0 -^ - - 0 0 .1298 FNMA POOL RMA2907 40 31418CGR9 222017 7/25/2017 185 0 195 -10 0 0 0 10

99 FNMA POOL 8MA2907 _4q 31418CGR9_ _ 2?12017 8252017 207 -11

100 GENERAL ELEC CAP CORP 3696225M8 2222012 7/132017 11.036 0 10.874 162 0 0 0 162101 GOLDMAN SACHS GRP 6 38141GF01 2/92010 3/142017 12.082 0 9.700 2,38 0 0 0 2 , 382102 HSBC FINANCE CORP 6 67 45429C308 St52014 3/152017 5,626 0 __ 5952 -326 _ _ 6 0 0 .326

103 HSBC FINANCE CORP 667 40429CGDB 628(1012 3/1561017 5 626 0 ,x775 199 0 0 0 199

104 MSBC FINANCE CORP 667 40428CG08 6282012

_ _

9/182017 16.078 0

______ ___ _15.19 881 0 0 0 664

105 H U11BURTON CO 406216101 4/5/2016 1/62017 6 , 792 0 4 , 144 2 . 64 0 0 0 2,648

106 HALLIBURTON CO 406216101 11/162016 1W2017 2630 0 2.457 37 3 0 _ 0 _ 0 373

107 HALLIBURTONCO ______ 406216101 _____ _1120!1008 _1/62017 ,508

-__--L 0

--^---_5260

------

16248

J

0

--

0

---_---

_ _______ 0 _ 16,248

108 HALLIBURTON CO 406216101 11/20/2008 5/12017 1376 0 415 961 0 0 0 961

109 HALUBURTON CO 406216101

-- -- --8272017 10202017 7 028 __ _ _ __0 3,182 154

--- -----

_ 0 __0 ___154

110 HALLIBURTON CO 406216101 8272017 121152017 _ _ _ _ 1742_

__ _ 0 _ ___ 1,364 -22 _ ____0 __ .Q _ _ 0 ___-22777 HARTFORD FINL SVCS GRO 416515104 12712/1016 5/12017 3,421 0 339 28 0 0 0 28112 HARTFORD FINL SVCS GRO 416515104 12/12/2016 10202017 5.083 0 4 763 720 0 0 0 720113 HARTFORD FINL SVGS GRO __416515104 __ _11/162016 11202017 _ _ 5,030 0 _ __ 4,197 __ 833 0 0 0 _ __ 833114 HARTFORD FINL SVCS GRO 4165151 04 12/12/2016 1120/2017 16.209 0 14 0`8 2,151 0 0 0 2 .L51115 HARTFORD FINL SVCS GRO 416515104 10/4/2016 11202017 3.35a 0 2.615 739 0 0 0 739

116 HARTFORD FINLSV__CSGRO______ _4__16_ __515 7 0 4 10/42016 15201711 1,677 0 1,708

_

369 0 0 _ _0 __ A69177 HILL-ROM HOLDINGS INC

_431475102

___622017

_

10202017

__ ____1.824

__ ___ __ __ _ _ _

0

__ _ _

1,580_

44

_ ____ __

0 0 0

-

44

---118 MILL-ROM HOLDINGS INC 431475102 - --- -

_

-62/2017 12/152017 ---- 831 ------- -^-^-- - 0 ___ 780 ^^----- - -^ 41 -- -----0 -0 0-^ -- 41

178 HOME DEPOT INC ____ 437076102 11/162016 5/12017 7,874 3 126 748 0 0 __0 748

120 HOME DEPOT INC __ 477076102_

8/142017 10202017 5,546 0 5,4aJ_

103 0

---- -

_

0

-

0 703

121 GNMA 2 POOL MA4195 3 361795UU9 312/2017

_

6/2012017

__

194 0

_

195 ----1 ---- 0 0 0 1

722 GNMA2 POOL MA4195 30 761795UU9 322017 7202017 259 0 260 .1 0 0 0 -7

123 GNMA 2 POOL MA4195 3 767795UU9 32/2017 8202017 324 0 725 -1 _ 0 _ 0 0 .1

124 (514W2 POOL MA4195 7 36179SUU9 721017

_9/182017 39 105 0 3 5_78/c 527 0 0 0 ---- 527

125 GNMA2POOLMM195 3 361795UL19 32/2017

__

9/70/2017 365 0

_

367

___ _

2 0 0 0 -2126 GNMA MA4262 35% 36179SVJX1 2/762017 3/152017 5,111 0 5154 -77 0 0 0 -73

127 GNMA MA4262 3 5% 36179SW1(1_ __ ___ 7/162017 320/2017 42 0 43 -1 0 0

------

0

---_

1

------728 GNMAMA4262 35% 361795W1(1 2/162017

__

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129 INCYTE CORPORATION 45337C102 12/192016 5112017 1.604 0 7 338 266 0 0 0 266

170 INCVTE CORPORATION 453770102 17/162016 8/172077 1,987 0 1645 342 0 0 342

131 INCYTE CORPORATION 453370102 12/192016

_

8/112017 14,530 0

_12,047_ _

2,487 0 0 0 2 , 487172 INCYTE CORPORATION 45337C102 10/62016 8/112017 2,608 0 1680 628 0 0 0 628

133 INCYTE CORPORATION _45337C102 __10/62016 10202017 1,254 0 1,037 217 0 0 0 217

174 INCYTE CORPORATION_ 4 5 2L 0 .l 023 10/62016 _1Z/152017 962 0 843 19 0 __0 0 19

175 INTEL CORP 45814 010 0 623!1016 1252077 27 151 0 13747 34` 0 0 0 3,404

138 INTEL CORP 458140100 10/82016 1272017 30, 45 0 3,045 0 0 0 0 0

137 INTEL CORP __

---

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- - --- - --6232016 7272077 5,328 0 4,621 _707 _0 __ 0 707

118 INTELCORP__ __ ____ _ 05814_0100__ -6/2312016

_

2/9/2017

_ _ _ __

2,847_

2641


Part IV (990-PFI - Capital Gains and Losses for Tax on Investment Income

Long Term CIS Ootdbwons 327 , 979Short Term CG Drstnbuhons 0 10 . 920 . 571 0 0 9 . 943 . 553 983 . 018 0 0 0 983 , 018

cost or ODUr F M V Ad/ uslnd Basis Esusf of FMV Galrrs Minus

AoiuL41bn D.I. Data Goss Deryedelon Basis PNa ool sof Over Excess FMV OverDesW bnol Pra Sow CUSIPO Method A ubaL 5ok Sales Prcu AG d Ad I EY nse nl SZla Ghor Less 123 1/69 12]1169 Ad Ied Baels Ad Beak or L0555

139 INTEL CORP 458140100 6232018 2/102017 23 . 589 0 22 , 09 1,491 0 0 0 1 , 491140 I NTELCORP 458140100 7/62076 2272017 __2,909 2632

---

277

- ^-

0 0 0

---

_ 277141 INTEL CORP _ _458140100 6/232018_ 3/132017 _ _36^52 0 3; 302 _ 2.150_ 0 0 ____0 2,150742 I NTEL CORP 408140100 6!202016 3/132017 9464 0 8760 704 0 704143 I NTEL CORP 4 9°.6 72 458140A77 7242015 3/152017 5 503 0 5.084 419 0 0 0 419144 I NTEL CORP d 9% 72 458140627 _ _11/92015 3/1512017 55p 0 5,731 372 0 _ 372145 I NTEL CORP4 9°A 2 S8140AT7 22015 _ 12/50077 12412 _ 0 _ 9992 2 20 0 0 0 2420146 I NTERCONTINENTALEXCHA 45866F194 11/162016 5112017 ] 639 0 3 , 272 367 0 0 0 367147 I NTERCONTINENTAL EXCHA 45866F104 71/162016 7/112017 655 0 545 110 0 71074e I NTERCONTINENTAL EXCHA _ 45866E 704 1/172013 _7/112017 4_8,450 _ ___ 79 9 ____ 29,054 0 ____29054149 I NTERCONTINENTALEXCHA 45856F104 1/172013 8/302017 23 , 971 0 969 1427 0 0 0 14277150 I NTERCONTINENTAL EXCHA 45866F10e 1/172013 10202017 2.651 0 1 ,048 1 .60 0 0 0 1 ,603151 I NTERCONTINENTAL EXCHA 45865E 194 11/132017_ _12/15/2017_ 706 0 671 35 0 0 __0 35152 I NTERNATIONAL BUSINESS 459200101 2722017 5 /192017 5 . 77 0 6 , 110 -800 0 0 -800153 I NTERNATIONAL BUSINESS 459200101 2192017 5 / 782017 2 ,427 0 2840 -413 0 0 0 -413154 JP MORGAN CHASE d CO 49435H100 11212017 12/ 152017 _659 0 2481 178 0 0 178155 JPMORGAN CHASE 8 CO 3 4fi625HJJ0 62419014 1172017 _ _4,880

-----

0

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----------156 PIONEER NATURAL RESOUF 723787107 11!72016 5/12017 1 . 210 0 i.20§ 5 0 0 U 5157 PIONEER NATURAL RESOUF 723787107 2/172015 5/12017 346 0 314 32 0 0 0 32158 PIONEER NATURAL RESOUF 723787107 2/172015 10/202017 yJ17 2 516 0 0 199759 PIONEER NATURAL RESOD 727787707 2/172015 121752017 1.254 0 1.258 A 0 0 0160 PLAINS GP HOLDINGS LP 726516207 12/52018 222017 645 0 671 -26 0 0 0 -26161 P_LAINS GP HOLDINGS LP_ _ 726514207_ _ ___-____B/102016 _ 222017 1 651_ __^ 1x5 200 0 0 0 __ 200162 PLAINS GP HOLDINGS LP 726514207 _ 892016 622/1017

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(;CL_ __ 7 42718109 ___ 1/62016 5/12/2017 28418 0 25,747 2,671 0 0 0 - _ 3,671_

169 BNY MELLON INTE RMEDI AT E 05569M814_7/ _

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0 0 0 -652175 BNY MELLONINTERMEOIAT _ 055690814 9/142016 _12/272017 26618 0 27, 15Z -534 0 0

--- ---

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182 U S TREASURY BOND 30 1 _ 912810RM2 _ _ 9/162015 __ 1/2612017 _ 11,691 0 14,732 .41 0 _0 0 41103 FNMA MA2930 40% 3 31418CH G2 4/42017 525/2017 109 0 115 -6 0 0 0 -6184 F NMA MA2930 40%3 31418CHG2 4/42017 6252017 119 0 125 -6 0 0 0 6185 F_ NMA MA2935 _._4 0%_3_ _31418CHG2____ _ __ 4/42017 7252017 225 0 237 -12 p _ __ _ __ _ 0 -12786 FNMA Mg830

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11/2/2018 11.12 51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

Part IV (990-PF) - Capital Gains and Losses for Tax on Investment Income

Long Term CG Dtsblbulons 327.972Snort Term CG Dtstnbultons 0 10 . 926 . 571 0 0 9.943.553 983 018 0 0 0 983 . 018

Cog ar Other F M V Adjusted Basis Excess of FMV Ganrs Mlnus

AcquLsllbn Dote Dale Grass Depretlatbn Basis Plus sof of O+c, Excess FMV Over

Desctl Ibn of P. Sold CUSIP Y Method A ulred sob Sales Ptoa Attend AEualmentsE.

nse 01 Sate Gain or Loss 12)31/69 12131169 A4 usted Bash Ad Basis or Losses208 HONEYWELL INTL INC 438516106 10/62016 5/12017 656 0 578 78 0 0 0 78

209 HONEYWELL INTL INC 438516106

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210 HONEYWELL INTL INC _4 38516106 _ 111162016 10202017 1 887 ---0 1,4i66 421 0 0 421

211 HONEYWELL INTL INC 438516106 11202008 10202017 3.047 0 505 2 , 54 2 0 0 0 2.542

212 HONEYWELL INTL INC 438516106 11202008 12/15201 7 2625 0 409 2.216 0 0 0 2216

213 ILLINOIS TOOL WKS INC 452308109 11/162016 5/12017 4.409 0 3,980 429 0 0 0 429

214 ILLINOIS TOOL WKS INC 452308109 11/16/2016 10202017 1,394 0 ,119 275 0 0 0 275

215 ILLINOIS TOOL 595(5 INC 452308109 8132015 101202017 4.338 0 2480 1 , 858 0 0 0 1856

218 ILLINOIS TOOL_595(5 INC 4523(18109 8/32015

-

_12/152017 2,814 0 1505

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__ _ _ 1,309 0 0

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-217 NEW YORK NY_ 6246% _ 64966HVX2 1/142015__ 3/132017 5,524 0 __ 5,793 ____-269 0 _ 0_ 0 _ _ -269___218 NEW YORK N Y CITY MU 6 2 649720026 1/132015 3/132017 11228 0 11 749 -521 0 0 0 521

219 NEW YORK N Y CITY MU 6 2 64972FY26 11/102010 3/132017 5 , 614 0 5,000 614 0 0 0 614

220 NIKE INC CLASS B 654106103 12/42015 _ 5/12017 2,761 0 7310 -549 0 0 0 -549

221 NIKE INC CLASS B 654106103 12/412015 9/142017 8,218 0 10,194 -197 0 0 0 -1976

222 NIK E INC CLASS B 654106103 71192016 9/142017 19,212 0 207`9 -153 0 0 0 .1 , 537

223 NIKE INC CLASS B

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225 NIKE INC CLASS B 654106103 4212015 10202017 1. §92 0 1.507 89 0 0 0 B9

226 NIKE INC CLASS B 654106103 4212015 12/152017 648 0 501 147 0 0 0 147

227 NUCOR CORP_

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228 NUCOR CORP • --- - 670346105- ----- 3/611013 9/12/2017_

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229 BNY MELLON INTERMEDIATE 05569M814 9/152014 1 2272017 39 . 534 0 40.263 729 0

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230 BNY MELLON INTERNATION 05569M871 2/1120_14 5/12017 62,200 0 63,168 -968 0 0

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232 BNY MELLON INTERNATION 05569M871

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233 BNY MELLON INTERNATION 05569M871 3/132017 10/202017 30.67 6 0 26 287 4 . 38 0 0 0 4 3_89

234 BMJK OF AMERICA CORP 060505104 2125/2015 5/12017 4,738 0 3,300 1,438 0 0 _ 0 1,438

235 BANK OF AMERICA CORP 060505104 2/252015 10202017 - 5964 0 3,63 2.333 0 0 0 2 , 334

236 BANK OF AMERICA CORP 060505104 2/25/2015 12/152017 3,202 0 1 . 81 1 , 387 0 0 0 71 . 38

237 854 OF AMERICA CORP_ 2 06051GEX3 1/152014 3/152017 10,101 0 10,028 73 0 0 __ 0 _ 73

238 BANK OF AMERICA CORP 3 06051GFP9 3222016 3/1512017 4,959 0 4986 27 0 0 0 27

239 BANK OF AMERICA CORP 3 06051GFP9 4/16/2015 3/152017 4,95 0 4 , 985 -26 0 0 0 -26

240 USTREASURYBOND 30 912810RM2 7/102015 31132017 4813 0 4812 1 0 0 0 __ 1

241 LIS TRE65URV BOND 2 87

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243 FNMA MA2775 2 5% 10 31418CCM4 9/13/2016 10/252017 163 0 169 -6 0 0 0 .6

244 FNMA MA2775 2 5%10 31418CCM4 12/82016 10252017 41 0 41 0 0 0 0 - 0

245 FNMA MA2775___25%10 71418CCM4

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247 FNMA MA2775__ 25%1 3141BCCM4 9/132016 12252017 0 204 __-6 0 _ 0 _0 -6

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249 FNMA MA2775 255610

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250 FNMA MA2775 2 5% 10 3141 BCCM4 12/62016 1252018 4 8 0 48 0 0 0 0 0

251 NABORS INDUSTRIES LTD G6359F103 5/192017 10262017 1520 0 2,500 -988 0 0 0 ____ 988

252 CHEVRON CORPORATION 166764100 3x32016 62212017

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253 CHEVRON CORPORATION 166764100 11/162016 10202017 710 0 651 59 0 0 0 59

254 CHEVRON CORPORATION 166764100 9232011 10202017 1 775 0 1,351 424 0 0 424

255 CMEVRONCORPORAT1ON 166764100_

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282 FHLMC GOLD A92821 5 0 312941020 722!1010 8115/1U17 0 88 -6 _ _ {

263 FHLMCGOLDA92821 50 312841020 9262014 8/152017_

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264 FHLMC GOLD A92821 5 31294102 0 722/2010 9/152017 115 0 122 - -7

265 FHLMC GOLD A92821 5 312941020 9262014 9/152017 77 0 85 - -

266 FHLMC GOLD A92821 5 312941020 722/2010 10/152017 53 56 -267 FHLMC GOLD A92821 5 312941D20

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288 FN POOL Y MA30274 0% 3141BCLH5 5/182017 8252017 62 65 _3

269 FN POOL 9 MA3027 4 0% 3141BCLH5 5/182017 925/2017 79

_

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270 FN POOL B MA3027 4 0% 713 18CLH5 5/182017 9292017 10.165 10191 -26 0 26

271 FN POOL N MA3027 4 0% 3141BCLH5 5/18017

8

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272 FNMAPOOL 4MAJ038 45 31418CLU6 0175/1 7 7 33 --

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273 GNMA MA4710 3 0% 9 36179TG33 1022017 11202017

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274 GNMA MA4718 30% 9 36170TG33 9/192017 12/202017 29 0 3 0 -1 0 -1

275 GNMA MA471B 30% 9 p6179TGJ3 9/192017 12202017 29 0 30 _ 1 0 0

778 MA MA4718_ ___ 30% 9 36179IG33 102/7U17 _1X10(2017 _ 151

_


Part IV (990-PF) - Capital Gains and Losses for Tax on Investment IncomeAmount

Long Term CG Drol nbuoons 327 . 979ShanTerm CG Dislnbunons 0 10 , 926 , 571 0 0 9947553 983018 0 0 0 983 . 018

Ce4 or Oft, F M V Ad)ualed Oasis Eruss of FMV WIns Minus

Acyubilbn Dais Date Gross Depredo/on Bess Pin set act Over Excess FMV Over

Dsso l bn of Pmmft 5oM CUSIP a Mailed 5d Sale Sales Prlre Albxed A0 meals E.Mme o15ele Gelnor Lase 12/31189 12(21169 Adhated Oasis AE 9esb or Lnaxs277 GNMA MA4718 30% 9 36170TG33 91792017 1202018 41 0 42 1 0 0 0 -1278 GNMA MA471 8 3 Q9§ g 91192017 1202018 41 0 42 -1 0 0 _1_279 GNMAMM 778 3054 9 36179TG33 7022017 1202018 21 0 21 0 0 0 0 0

280 GNMA MA4719 35% 36179TG41 9/18/2017 10202017 22 0 22 0

__

0

______

0

_

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283 NUCOR CORP _ _670346_1_05__-- --- --

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288 NUCORCORP _ 670348105 4(142013 12/152017__ 1 ,201 0 871 330 0 0 _ 330287 NVIDIA CORP 67066G104 11/162016 5/1/2017 4 , 782

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288 NVIDIA CORP 670666104 11116/2016 6/13/2017 748 451 297 0 0 0 297

289 NVIOIA CORP 67066G154 11/712016 6/13/2017 14 554 0 8.165 689 0 0 0 5x889290 NVIDIA CORP 6706613104 11/178016 6/1612017 9 , 896 0 564 4,250 0 0 0 4250

291 NVIDIA CORP 6706613104 11/112016 1020/2017 8,101 0 3,561 4.54 0 0 0 4 , 54

292 NVIDIA CORP

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293 OAKLAND CA UNIF SCH 9 5i 672725756 8262012 3/13/2017 11629 0 11,808 179 ____0294 ORACLE CORP 225% 687891592/7 4282016 2282017 15710 0 75,47 255 0 0 -255

295 ORACLE CORP 25% 68389XBBO 2/282017 3/14/2017 9 . 855 0 1002 7 .172 0 0 0 172-

296 PALO ALTO NETWORKS INC 697435705 325(2015 3/12017 32,208 38 !L66 6,258 ____ 0 __ _ _ _0 58

297 PALO ALTO NETWORKS INC 697435105

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298 PALO ALTO NETVIORKS INC 697435105 11/162016 3/12017 1.628 0 2557 -629 0 0 0 -629

299 PROCTER 8 GAMBLE CO 742718109 8/172016 5/152017 1,d 57 3,470 0 0 0 .17

300 PROCTER & GAMBLE CO 742718109 __O __0 __O 7

301 PROCTER & GAMBLE CO 742718109 2/16/2017 5/15/2017 863 0 909 46 0 0 0 -46

302 US TREASURY NOTE 262 912826PT1 2/142016 3/13/2017 25.335 0 25686 551 0 0 0 -551

303 US TREASURY NOTE 2 62 _ 912828PT1 11202015_ _3212017 5,067 __9 ____j,176 109 _ _ 0 0 0 -109

304 U 5 TREASURY NOTE 2 62 912828PT7 12/82016 3/112017 5,067 0 50`92 -25 0 0 0 25

305 US TREASURY NOTE 262 912828PT7 12/222016 3/302017 5,066 0 5089 -2 3 0 0 0 -23

306 US TREASURY NOTE 262 912828PT7 12/9/2016 _ 3/302017__ 20,265 0 20370 0 _0 ___ 0 105

307 US TREASURY NOTE 262 912828PT7 12117!1016 7002017 10,132 0 10179 -07 0 0 0 47

308 UNITED STATES TIPS 0625 912828OV5 8/52011 3/132017 22.133 0 22,242 109 0 0 0 .109

309 UNITED STATES TIPS 0 625 9128280V5 9/7Y1014 7/1 Yt017 39 9 38 0___770 U S TREASURY NOTE 0 75

_ _912B28TNq

_ _ __ _

j10/20jL 1142017 9,992 0 9,880 112 0

-

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311 UNITED STATES 7RFAS 2

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912B28U24_ .

2/82017

_

2/142017 9.560 - 0 -^-------9.700 -- ---- -1x0 ----- 0 0 0 .140

312 US TREASURY N/B 125% 1 912828U99 1202017 31132017 9 . 985 0 10004 -18 0 0 0 -19

313 US TREASURYN/B 125%12 912828U99 12020 1132017 10,010 10,004 0 _

- -

_ _314 US TREASURY N/B 1 25% 1

_ _ _91282BU99 1202017 5192017 14984 _2 -0

315 UNITED STATES TREAS 1 912R28V56 2/10/2017 3212017 d 988 4 994 6 -6

316 UNITED STATES TREAS 1 _ 28V122

-

2/162017 3/13/2017 d960 4 981 _21

- -

0317 UNITED STATES TREAS 1 91 2828WY1 2/142017 3/132017 9820 --_- -___ - 9854 34___ D

TREAS 1 912628W23 2/142017 9/120017 8 995 B 954 4 0 41

TREAS 1 3 912828W22 2/142017 9/152017 9,985 9 7 0 31

720 UNITESTATES TREAS 1 01202BWl0 2/17%1017 3/1312017 4.977 0 4993 AS ____ __ 0 0 _ --0 -16

321 UNITED STATES TREAS 1 1 812828W30 6/ 152017_

6/192017___

4,982 0 4.98

_

0 0 0 0 0

322 US TREASURY N/B 125% 3/3 912828W97 4/102017 6/19/2017 4,992 0 4,997 5 0 0 0 5

323 US TREASURY N/B 1 25% 3/3 912828N97 3/302017 7242017 4,992 4997 0 0 -5

]24 US TREASURY N/B 1 5%4115_

912828X21 7/172017 10/782017

_ _

0

_

5 1 -

US TREASURY N/B 1 5% e115 912828X21 5/52017 12/212017 B 904 0 9 0 0 -94

326 7S/NFL IX N/B 0 375% 7 912828X19 8/32015 3/132017 10,108 __0 __ 10 2727 UNITED TECHNOLOGIES CO 813017109 011 1/172017 10214

-- --0

-_67

- -

-38 4

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0

_

0 JB,440

UNITED TECHNOLOGIES CO 913017109 77/162016 1113/2017 04 0 3 B 0 0 B6

LAM RESH CORP 512807108 10/12/2017 10/202017

__

0 3 31 0 0 315

330 BARCLAYS PLC 5 2% 06738EAP0 2/14(2017 3/172017 5 5 2 0 0 21

]]7 BIIN RMCUTLCAI 0906 1 6101 752320 5/72017 0 254 -01 0 0

BIOMARIN PHARMACEUTIC 09061GIDI

_

2/192015 10/182017 7

,

0 8 -1,21 0 0 -7210

BIOMARIN PHARMACEUTIC 09061G101 2,202015 10/182017 0 3 - 0 0 -553

334 BIOMARIN PHARMACEUTIC 09061G01 2/202015 10/16/2017 B 0 10597 -1,7

^ --

0 _ 0

335 BIOMARIN PHARMACEUTIC 09061Gi1 --- 5 10/16/2017 2 ------ -- 0

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-- - -2 - -4---- - 0 0 -442

BIOMARIN PHARMACEUTIC 09061G101 2242015 10116/2017 10 0 12 -19 0 0 1977

337 BIOMARIN PHARMACEUTI 090616101 11/182016 10/762017 0 2 0 0 0 -20

]78 BIOGEN INC 29%911 09062XAC7 4202016 7017 5 0 5185

__ ______-11 0 0 0 -712

BIOGEN INC 29% 9/1 09062XAC7 9/102015 3/15/2017 5 0 4990 8 0 0 0 83

BIOMARIN PHARMACEUTI 09061/3101 12/192016 10/182017 11

----

0 12,.803 59 0

---_-

0 0 593

341 BLACKROCKINC 625% 09247XAC5 (25! 2228077 70 10,019 ?^ 0 __0 258

342 TIME WARNER INC 887317303 8162014 8/22/2017

__

6 0 5,273_ ____ _

1,666_

0 0 0 1.666

343 TIME WARNER INC 887317303 8/132014 6292017 4 0 3.708 1.28 0 0 0 7 285

344 TEWARNERINC 8877 8)6/2014 10252017 6 2 260 709 0 0 0

]45 TIME WARNER IC

_

887 31 7 30 3 59/2016 6282017

__

189724 _ _ _ 0

,

____14U76 __ ___ 4896 _ __ 0

_

_ _ 0



Long Term CG Dlstnbut,ons 327 , 979Short Term CG Drstreut,ons 0 10 . 926 . S71 0 0 9 . 943 . 553 983 .018 0 0 0 993 . 0`18

Cost or Othe r F M V Adjusted Be,, Eaccas of FMV Galas MimsAequhltlan Date Dale Gass D09.edeIon Basis Plus a s of s at Ore, E cess FMV Over

Deecrl bn of Pro Said CUSIP0 Ma1ME A-Led Sow Sales PIKe Aria-d A4-marts Ea me et5ele Gain or Lose 12/31169 12/]1/69 Ad sled Bests A4 Basis ar Losses346 TIME WARNER INC 887317303 8/62014 726/2017 1.01 0 753 260 0 0 0 260347 TIME WARNER INC 687317307 1/82016 11/82017 25,632 _ 20 279 5,353 0 0 0 X353348 TIME WARNER INC _887 31 7 301 5/92016 10202017 1. 119 0 815 304 0 0 304349 TIME WARNER !NC 887317307

__

5192016 11/82017 5 401

_

0__4

, 371 -- 1 `]0 --------U --- 0 --- --- 0 7.070350 TIME WARNER INC 40% 8873170045 7/82014 1142017 5 . 180 0 5.259 79 0 0 0 -79351 TIME-WARNER INC __ 4 0% 8873170015 9/172014 _ 3/142017 5,251 -71 0 0

-

-71

--- --352 TIME WARNER I __ 887717A _ _1/102012 _3/142017 5,180 0 5,179 1 -- ---- 0 0- ---- - 0 _t8353 TSS 4 B 04 /01/26

C

d BÂC 89 6

C3

513/2016

_7/132017

_ ___

10.582

_ _ ____ _ _ __ _

0

___10 546

__

36

_ _ __

0

_____ _0 0

__

36354 TOYOTAM

OTO

OTOR C

RE

REDIT 189236TCPS

TCPB 9/15/2015 7/172017 4 996 0 4,989 7 0 0 0 7

355 TOYOTA MOTOR CREDIT 1 89276TCP8 9/152015

_

_8/42017___ __ 10006

__ _ _ __ ___

0

_ __

9,978

_ __

g8

_ __ - _

0

__ _ -_ _

0 0 28356 TWENTY-FIRST CENTURYF 90130A101 3/172017 5/1/2017

_ _ _

3, 042

_ _ _

0 309

__-57 0

___

0 0 -57357 TWENTY-FIRST CENTURY F 90130A101 3/172017 10202017 3.016 0 3409 393 0 0 0 -393358 TWENTY-FIRST CENTURY F 90130A101

- ----

3/172017 _ 12/152017

-

26,473

-----

_ 0 23245

-----

__3228

--_-

0

-------

0 0 ,228359 TWENTY FIRST CENTURY F 90130A101 3/172017 12/152017 1,4 0 0 1 , 24 160 0 0 0 160360 21 ST CENTURY FOXAME 61 90131HBKO 9222014 3/152017 11.705 0 1185 -152 0 0 0 -152361 GNMA MA47 19 3 5% 9 36178 G41 6/192017 71202017 28 0 29 - 1

-

0 0

_-

0362 GNMA MA4719_ _3 5%-9 16179TG41 8/182017 12202017 37 0 35 ----- - 0 0- -]6] GNMA MA4719 ]5%B 36179TG41 9/19/2017

_

12202017

_....... _

33 0 35 2 0 0 0 -2364 GNMAMA4719 35% B 36179TG41 9/182017 1200018 50 0 52 2 0 0 0 -2365 GNMA WWI? 35% 9 36179TG47

--

9/192017 1202018 50 0 52 -2 0 -2

- - ----366 GNMA II POOL I MA4770 d 01 36179TJY2 - 11/10/2017 12/202017 77 - - --- - - -- 0 -- - - - 81 -4 - -- 0 0 0 -4367 GNMA II POOLE MA4779 401 36179TJY2 111102017 1202018 141 0 148 7 0 0 0 4788 LAM RESH CORP__ __ ___ __ ___ 512807108 _

---

11/72017 12/152077__ 2426 0 2,710

-

0. -284_369 UL_L-YELI8C0

-- ---

532457108

-

_1202016

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______2458

_

- 245] 0 0-------- 0 6

---370 LILLY ELI 8 CO 532457108_

1/20/2016 --6/72017 24.587 25 , 347 -- - - -- -760 -- - 0 ---0 0 760371 LILLY ELI 8 CO 532457108 8/12/2015 628/2017 3.337 0 3.324 13 0 0 0 17372 LI LLY ELI CO 532457108 1202016 10202017 2,617 0 2 453 164 0 0 0 164373 LILLY ELI CO 532457108 1202016 10/302017 19.058 -- -------'0 18 , 806 --- 252 ----- 0 0 0 252374 LILLY ELI & CO 532457108 120/2016 12/152017 1,731 0 1,635 96 0 0 0 96

375 LOCKHEED MARTIN CORP 539830109 _ _ 17/52016 6222017 281 0 4 0 0 14370 LOCKHEED MARTIN CORP 539830109 8272011 6222017

__

3.090 0 808 2 . 2 82 0 0 0 2 , 202377 MARATHON PETROLEUM C 56585A102 12752016 1/122017 491 0 483 8 0 0 0 8378 MARATHON PETROLEUM C_ _ _ 56585A102 _ 12M016 _ 1/12/2017 1.473 0 1,191 282 0 _ _ _ _ 0 _ _ 0 282

379 MARATHON PETROLEUM C 56585A102

--- ----- --

31%172015 _

-

__

_ 1/302017 50,778___ ____

0-

_5 ;459

__ __ _ _

6BB1--^ - -

0

--- -

_

_-----

_0 0

- - -380 MARATHON PETROLEUM C 56585A702 117162016 11702017 29`2 0 --- 2.617 285 0 0 0 285381 KROGER CO/THE 26% 501044084 4/20/2016 3/132017 4,95e 0 5.155 201 0 0 0 -207

382 0ROGERCO/THE -26% 501044064 _ 1/82016 10/112017 5016 0 4,993 _23 0 0 0 23

387 MARATHONPETROLEUM C 56U8M62 202016J!2/2Sj6 7/372017 2,840 2783

_

?57 0 0 _____457

394 MARATHON PETROLEUM__

56585AI02__

21112016 2/32017___

27 . 052

_

0

__

17 . 188

___9.864 0 0 0 9 . 864

385 MARATHON PETROLEUM _ 566E5A702 502016 12077_ 0 20,160 4 0 993

386 MARATHON PETROLEUM 56585A102_. 1202016 ___ 2/12077_____ _ 1,424 _ _______ 0 1,161....... _ 273 0 ___ _ 0 733-387 MARATHON PETROLEUM C 5658SA102 513/1_016 2/72017 949 0 761 188 0 0 0 188

388 MARATHON PETROLEUM C 56585A702 692016 2/12017 475 0 371 104 0 0 0 104

389 MASSACHUSETT_S__ST 4 2 575B7PWK2___ 1/12/1011 3/13/2017 5,255 0 5,009 246 0 0 __O _ __ ___ 246

390 MATTEL INC 577081102_

12/82016 126/2017 5,228 0 5.946 -718___ _

0 0 0 -718

307 MC DONALD S CORPORATIO 580175101 17/52016 822017 155 0 119 36 0 0 0 36

392 MC DONALD S CORPORATIO 580175101 70/7fi2015 828017 0 1 349 667 0 _ 0 0 667

]9] MC DONALD'S CORPORATIO 580135101__ 10/162015_

11/82017 ___ 1,869 ____ 0 1 ,341

__

0 0 - 8394 MC DONALD S CORPORA710 580135101 10/152015 11/8/2017 2.8118 0 1 757 1 . 135 0 0 0 1.135

395 MERCK B CO INC-________ _50933Y105_ 8/112016 5/12017 ,712 0 3,184 -72 _ ' 0-___- 0 -72

396 MERCK 8 CO INC Se937Y105__

6262017

__

10202017_____

____ _____

0__

_ __110 0 ___ 0397 MERCK 8 CO INC 58933Y105 61262017 10252017 1061 0 11.232 .620 0 0 0 -620

398 MERCK 8 CO INC 589337105 8/112016 10/252017 14 . 35 0 14.648 -291 0 0 0 .291

]99 MERCKSCO INC __58913Y705_

-

8.7712016 _1 2/1 5201 7_ 0 _ 7274 -153 _-_-0 __ 0 _ __0 ______•157

300 MET LIFE GLO6 FNOG 7 71 7, _59156RAT5 _ SK201d 7/132017 6251 7 0 0 -724407 MICROSOFT CORPORATION 594918104 11/162016

_

5/12017_

1187 2 0 204

402 MICROSOFT CORPORATI ON 594918104 10202017 1. 575 7 703

403 MICROSOFT CORPORATION 594918104 9222075 12/15/2017 867 0 431

004 BOSTON PROPERTIES LP 4 10112RA57 BA02011 3!1]2017 5.229 a 7 709405 BRIGHTHOUSE FINANCIAL 15922N103 6/12017 8/9/2017 604 0 -18

406 BRISTOL-MYERS SQUIBB C 110122108 1202016 5/12017 1 702 -17 - 177407 BRISTOL-MYERS SQUIBB C 110122108 7202016 10/20/2017 2,578 2.506 7 0 72

408 BRISTOL MYERS SQUIBB 110122108 120/2016 177152017 624 626 - 0 -2409 BURLINGTN NORTH SANTA 12189LAF8 7/172014 3/172017 5179 5 225 0 -46

370 FHLMC GOLD GOB773 7 0 7128MJ2F6 8742017 11/15/2017 49 0 -49 0 0 0 0

417 FHLMC GOLD G08773 30 3128MJ2F6 6/42017 12/152017 79 40 -1 0 0 -1

412 FHLMC GOLD 1209773 30 3128MJ2F6 8/42017 1/152018 38 0 38 0 0 0 0 0d7JFHLMC GOLD OB7B445 3128MJ3C2 1/152017 1/152016 94 0 _ 101 7 0 0 _ 0 7

dtd FLMC GOLD GU873335 12782016 _27152017 104 _ -_ _ _ _ - 0 - -__ 106 - _ _ - ___2 __ - __ - 0 _____0 -2-__ -__ _



Lone Term CG Drsbibubons 327 979Shod Term CG D,stnbubons 0 10 . 926 . 571 0 0 9 , 943 , 553 993 , 01 8 0 0 0 983 . 016

Cool ar Olncr M VF AdrystSE Basis Excess of FMV Gaim MinusAogUs/icn Data Date Caoss Depredalbn Basis Plus

.sol aof Doer Eacess FMVOver

Descd bn of Pra Sow CUSIPY Mellad uir.d Solo Solos Price Allowed ACuslments Eaenso o1 Sek Gain or loss 12)31/69 12)31/69 Aeusted Bas, AE Basis or Losses415 FHLMC GOLD G08733 359 3128MJY79 12182016 3 / 1512017 131 0 134 -3 0 0 0 .3416 FHLMC GOLD G08733 359, 3128MJY79 17/82016 4/152017 185 0 190 5 0 0 0 :5417 FHLMC GOLD G08733___ 3 5: 3128MJY79

_

_17/&2016

__ _

5/52017 14 910 - 0 14.97 -27 0 --- -- 0 0

__27

418 FHLMC GOLD 008773 35, 3128MJY79 17%62016 5 / 15/2017

_ _

205 0 271 { 0 0 0 -6419 FHLMC GOLD G08733 35 , 3128MJY79 12/82016 522/2017 9 . 848 0 9.821 27 0 0 0 27420 FHLMC GOLD G08733 _ 3 59 3128MJY79 12/82016 6 / 152017 __ 199 0 205 -6 0 o 0 _6421 FHLMC GOLD G08733 _ 3 51 3128MJY79 12/8/2016 _ 6/152017 4,938 0 4,911 27 0

-------0

-0 27

422 FHLMC GOLD POOL #G0871 3128MJYNd 9282016 2/152017 112 0---

118___ ___

-6

___

0-- -

0- _

0 -6423 FHLMC GOLD POOL #00871 3128MJYN4._

-

9282016 3/152017 85 0 90 5 0 0 0 -5424 F N M A BE6729 _ 4 5% _3140FSPP2 _

_

6202017 10252017 - 787 U 17 30 0 0 0 ---- 30125 F N M A BE6729 d 56) 3140FBPP2 620/2017 11211077 77960 0 8 . 022 b2 0 0 0 -62426 F N M A BE6729 4 5% 2/ 3140FSPP2 6202017 11252017 769 0 829 EO 0 0 0 -60d27 FNMA BE9598 _ - 40%j_ _ 314GFVUYO 5/10/2017 7252017 66 0 70 -4 o 0 0 -4428 3M CO

_885797101

_

9/32015

_

12/152017 1 , 671 - 0 998 673---

0-

0 0 673429 TIME WARNER INC 887317303 8/62014 2/32017 5,7 56 0 4 . 52 1 , 2 76 0 0 0 1 . 236430 TIME WARNER INC ____ 8 87 317 303 ___ 8/142014 _3/162017 __79,370 0 30,311 9,059 0 0 9,059431 TIME WARNER INC _ 887317303

- - -_-^

11/162016 3/162017 6,890 0 6,207 683 0 0 0 683672 TIME WARNER INC 887317303 8/132014 3 / 16/2017

_

23 822 0

_

17,79 ----- 5 825 0 - 0 0

_

5,825433 TIME WARNER INC 887317303 8/1312014 3 / 17/2017 491`7 0 37 077 12 . 11 4 0 0 0 412 . 11434 TIME WARNER INC 887311303 8/132014 5/12017 1 985 0 a83 502 0 0 _ 5024J5 TIME WARNER INC 887317303 8162014

_

6 / 162017 1.981 0. -

1507-

474 0 0_ 0 474436 FHLMC 050589 35% 9 3132XSUP3 9272017 12/ 152017 29 30 -1 0 0 0 .1437 FHLMCOSOS80 35% 9 3132XSUP3 9212017 _7/152018 114 118 0 0 0 __ -4dJ GALLAGHER ARTHUR J 8 C _ 363576109 9212012

_

6/12017 1 . 713 0 1,120 593 0

_

0 ___ 0 _ _5934359 GALLAGHER ARTHUR J 8 C 363576109 12/52016 6/ 12017 571 0 495 76 0 0 0 76440 GALLAGH E R ARTHUR J 8 C 363576109 9/14/2012 6/12017 3 , 996 0 2 ,611 1 , 385 0 0 0 1 . 3885441 F N M A AS8949 _ 3 5% 3 3138WJ5K0 6/152017 8252017 77 0 80 -3 0 0 0 .3442 1 F N M A AS8949 35% 3 3138WJ5KO 6/15/201 7 925/2017 36 0

---37

_ --.1 0 0

_ -0 -1

443 F N M A AS8949 35% 3/ 3138WJ5K0 6/15/2017 10252017 93 96 3 0 0 0 -3444 F N M A AS8949 _ _ 35% 3 _ _ 3138WJ5K0 6/1512017 11252017 114 118 -4 0 0 0 -4445 F N M A AS8949 35% 3 3138WJ5K0 6/1512017 12/252017 75 77 2 0 0

_

Cl

_

446 F N M A AS8949 35% 31 3138WJ5K0 6/152017 125/2018 104 0 107 -3 0 0 0-

-3447 FNMA POOL 01559451 3 5% 3138WKOD0 5/192017 7252017 33 0 34 1 0 0 0 -1448 FNMA POOL # 1559451 3 5% 3138WKOD0 - - - - 5/192017

__B125/7017 ------ -- 56 ---- - - - 0 57 -1 ---0 0- --- -- - - 0 --- -1

449 FNMA POOL # A59451 3 5% 3139WK000 5/192017 925/2017 53 --- - 0 - -- - 55 -- 2 -0 0 -2450 FNMA POOL 4 AS945135% 3138WKODO 5/19/2017 10252017 119 0 123 -0 0 0 0 -4451 PPNERA BREAD CO CL A 69840W108 4202016 4/82017 27711 0 16 , 559 7,152 0 0 7,152

-452 PANERA BREAD CO CL A 69840W108 4202016 5/1/2017 - 2 506 0 1,743 763 _ 0 0 0 763_457 PANERA BREAD CO CL A 69840W108 4/192016 525/2017 44 , 206 0 30 . 563 13 . 643 0 0 0 17643dye PANERA BREAD CO CL A 69840W105 5/62016 525/2017 _ 3,449 0 2,382 1,067 A - 0 0 1,067455 PANERA BREAD CO CL A 69840W708 5/92016 6/52017

_ _

28,890 0 19,921 8,969 0 0 8,969458 PANERA BREAD CO CL A 6984040109 4/18/2016 7/192017 19 , 530 0 13069 6 , 461 0 0 0 6 .461457 PANERA BREAD CO CL A 69040W108 5/92016 7 / 192017 4 95 0 2 815 1,280 0 0 0 801 . 2458 PANERA BREAD CO CL A _698AOW108 _11/162016 7 / 192017 4,095 0 2,680 1 , 415 0 0 _0 1 415459 PEPSICO INC 713448108 11/1612016 1/612017 4 . 91 0 4 , 786 132 0 0 0 132460 PEPSICO INC 713448108 11202008 1/52017 40 . 17 0 19 , 718 20.45 0 0 0 20 , 45461 GNMA II MA3873 3 0%._ 8 __36179SJS7 1/192017 21202017 21 0 22 - 1 0 0 0 _ _ 1

462 GNMA II MA3873 _ 3 0% 36179SJS7 _

_ _ __ _

_ §f25/201q__ 322017 19,285

_

_ 0 _____ 20,091 -806

_ _

0 0 ___o -906463 GNMA11 MA3 873 30% 361795757 8252016 322017 19,285 0 20090 -805 0 0 0 -805464 GNMA II MA3B73 __ 10-k 36179SJS7 _1/1 92017 322017 4 621 0 4 ,853 32 0 0 0

-

-32

485 GNMA II MA3873 __3 0% _ 361795757 2/102017 _ _322077 4827 0_ ____a,875

_

-- ^_^_ _ 54 0 0 0 -54

466 GNMA II MA3873 3 0% 36179SJS7 825(2016 3202017 9 0 103 5 0 0 0 -5

467 MICROSOFT CORP 375° 594918BD5 2/92015 3/142017 4 , 572 0 4,972 -40 0 0 0 -400

468 PROCTER B GAMBLE CO __ 742718109

-_ - -- -

1/62016

-

10202017 2638-- -

0

-

2,341 297

---

0 _---- 0 0

-- --

297

---469 PROCTER 8 GAMBLE CO 742718109 __

- - --

1/62016 12/152017 1 , 834 0 1,560 274 0

--

0

--

0 274

470 PUBLIC SERVICE ENTERP 1 744573AJ5 - 11/32016 3 /172017 -- - 49 38 - - - -- - -- 0 4,994 -56 - 0 0 0 56471 OUALCOMM INC 747525103 913012016 2/92017 2 1̀6 0 2746 -63 0 0 0 -630

472 OUALCOMM INC _ _ 747525103 10272016 3/172017 20,273 0 24,404 _:4 , 13`1 0 0 _ _0 __ 4,131

473 DUALCOMM INC 747525103 11/1612016 3 / 172017 4 055 0 4 . 583 28 0 0 -528

474 OUALCOMM INC 747525103 10/142016 3 / 172017 73 , 90 7 0 15619 - 1718 0 0 0 -1718

475 OUALCOMM INC_ 747525103

--- --

8/18/2016 3202017 5 , 195

-- --- - --

0 5,516 321

-

0 0 0 -321476 OUALCOMM INC 747525103 97201 6 320/2017 1,154 0 1,228 -74 0 0 0 -74

4177 OUALCOMM INC 747525103 1215/2016 320/2017 577 0 656 -79 0 0 0 -79

478 OUALCOMM INC _ _ _ _ 747525103 __ _ 10/142016_ __ _ _420/2017 3,671 0 4,555_ -884_ __.. 0 ___ 0 -884479 OUALCOMM INC 747525703 ____ _922016_ 42 2017 2 0 2 -d790 0 0 -4,790480 QUALCOMM INC 747525103

__822016

_ /

5 /12017 1.6 2 0 1885885 - 283 0 0 0 -283481 OUALCOMM INC 747525103 9/2/2016 5 / 112017 23456 0 27,025 . 3.569 0 0 0 .3569487 OUALCOMM INC _747525103_ _922016 __ 5(702017 _

- - --20,074 0 21,798 - 1,724 0 0 _1,724

4187 OUALCOMMINC___ _747525107_ _ 9/82076 _ 5/30/2017 19,500 0 20,867 - 1467 0 0 0 -,467


Part IV (990-PFI - Capital Gains and Losses for Tax on Investment Income

Long Term CG Dtstnblmons 327 , 970Shod Term CG D,stnboirom 0 10926571 0 0 9 , 943 , 553 993 . 01 8 0 0 0 983 , 018

Coil or 00/or F M V Adhrsted Basis Eacou of FMV Galrn Minus

Aoquhlllon Data Dote C.O. Oepredalbn Bed. Plus col scl per E-acese FMV OverDeeerl tbn It Pm n Sow CUSIPa Mellnd Aulree Sold Select Prlo AIICVrtd A4uelmenls Er so or Sale Winer 1... 17/31169 12131169 Aeusted Basle Ad 9esborL-os

484 ROYAL BK CANADA 1 25- 7801OUD20 302015 22272017 5.003 0 5 , 000 3 0 0 0 3485 ROYAL BK CANADA _1 25• _78010UD20 _ 6/102014 3 / 172017 9 991 0 _ __P,996 5 0 0486 ROYAL BK ANADA 1 25° 78010UD20 6110%2014 _ 402017 5,001 0 998 3 0 0 0 3487 ROYAL BK CANADA 1 25 78010UD20 6/102014 61162017 - --- 5.000 - - ---- 0 -- -- - 4.998 --- --- ---- 2 -0 -- ------ 0 - - - -- --- 2488 ROYAL DUTCH SHELL PLC-A 780259206 1/1272017 7/ 102017 58_04 00 6.144 -340 0 0 0 340489 SVB FINANCIAL GROUP 784860101 7/132017 10202017 2269 0 2,194 5 0 0 0 5490 SVB FINANCIAL GROUP _784860101 _71132017 12/ 152017_ 1427 0 1097 26 0 ____ 0 _ 726491 SAI_ESFORCE COM INC 79466L302 11/162016 5%12017 2 599 0 2 , 219 380 0 0 0 360492 SALESFORCE.COM INC 79466L302 8132017 _ 10202017 7 952 0 7610 342 0 _742497 SALESFORCECOMINC__ _ 79466L302 8!32017 _ 12/152017 _ 2,111 0 1,805 __. 3P6 0 __ 0 306494 SCHLUMBERGER LTD 806857108 1/6/2017 3/30/2017 5 , 449 0 6 . .6 1 55 0

___

0 615495 SCHLUMBERGER LTD 806857108 1/182017 5/1/2017 2.909 0 3 , 4 89 -580 0 0 0 -580498 SCHLUMBERGER LTD 806857108 1/182017 5/16/2017 14,429 0 17447 0 0 -3.018497 SCHLUMBERGER LTD 806857108

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534 MORGAN STANLEY d 975 _61t48 4M7__ 11112017 3/1312017 0 10 294 74 0 374

535 NYSE EURONEXT 20% 629491487 10/1/1012 3/172017 5,011 0 4 , 983 28 0 0 0 28538 NYSE EURONEXT 2.0% 629491487 10112012 3/302017 15 , 04 0 14 , 95 93 0 0 0 93537 ASG MANAGED FUTURES 5-___ 638727729 101152015 0 10,928 -928 0 0 0 928__278 ASGMANAGEDFUTURE55 878727729

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541 SG GLOBAL ALTERNATIV_E_ _ 63872T885 6/202011 5/12017 11,300 0 11,722 -422 0 0 0 -422

542 JOHNSON & JOHNSON 478160104-

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550 KOHLS CORP 500255104 1/72016 1262017 37`19 0 4 .074 -845 0 0 0 Ads

551 KROGER CO/THE 26% _501044D84 1182016 3/132017 ______ 4954 0 _5006 52 0 0 _ 0552 PEPSILO INC 713448108 _ 11!20!1000 _ 5/12017 0 1 35 - _- __1.59? 0 X 92


Part IV ( 990-P F ) - Capital Gains and Losses for Tax on Investment Income

Long Term CG Drstobo,ons 327 979Short

Term CG D,stobu runs 0 10926 571 0 0 9 . 943 . 553 983 , 018 0 0 0 983 , 018

Cool or ONer M VF Ad/listed BasIs Excess of FMV Gains MinusAcquIs11on Data D.I. Gross Dep,eoalbn

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a s of s of Over Eacess FMV OverDesclllon of Pro Sold CUSIP 0 Method A-1,.d Sold Sales Pr/ce A/bored A4ustments Erense of Sale Gal, or Lass 1201/69 12131/ 69 Atlusled Bash Atl casts or Losses

553 PEPSICO INC 713448108 11202008 10202017 3.238 0 1489 1749 0 0 0 1 . 742554 SCHWAB CHARLESCORPN 808513105 11/16/2016 __10202017 893 0 735 158 0 0 0 158555 SCHVIAB CHARLES CORP N 808513105 __ 609/P15015 10202017

_ _

3,572_

0 2589 9 0 0 0 983556 UNITEDHEALTH GROUP INC 91324P102 1/162016 5/12017 4.381 0 3 787 5 594557 UNITEDHEALTH GROUP INC 91324P102 6262017 10202017 6, 1 0 5736 6 695558 UNITEDHEALTH GROUPING 91324P102 6262017 1 7/1 52 01 7 _ ]322 2,775 _ _ 5 __-_- __ _ 547559 UNIVERSAL HEALTH SERVIC _ 913903100 922/2015 5/12017 1567 1,806 .2 -239560 VALERO ENERGY CORP N 919137100 7212014 622/2017 1 297

_

968 3 0

_ _

329561 VALERO ENERGY CORP NE 910137100 1/162016 1020207 77 1 139563 VALERO ENERGY CORP NE 81913Y100 6228016 10202017 1,551 1 491

__ _491

563 UNIVERSAL HEALTH SERVI 913903100 9222015 6/162017 20 175 24

_

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_

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0 -1 086567 UNIVERSAL HEALTH SERV 913903100 1/162016 1182017 1,961 2 -B 0 0 0 -83568 UNIVOF CALIFORNIA 13 91412GXY6_ 3/215 /132017 9,800 10082 -282 0 0 0 -282569 VAN ECKCM COMMODITY 921075297 5212014 _ 5/12017 10600 18 7 ,433 0 0

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582 VERIZON COMMUNICA 92343VBTO 9/92016_ 3/132017 6,110 0 6708 . 598 0 0 _ 598583 VERIZON COMMUNICATION 92343VBTO 6/18/2015

_

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Part IV ( 990-PF) - Capital Gains and Losses for Tax on Investment Income

Long Term CG Dtstnbuhons 327 979Short Term CG Distnbullons 0 10926 571 0 0 9 , 943 . 5 57 983 018 0 0 0 983 , 018

Goal or Othor F M V AdJusted Bosom Exooss or FMV Ga/no MlnuaAopulsdbn D.I. Data Gross Depeuetnn Beals PM

a

s of as of Over Excess FMV perDesnl bn of Pro Sold CUSIP n Henna A Red Sow Sales Pilot AMwed Ad justments Expe nse of Sale Galn or Lea 12/3//89 12/31/09 AO Ied Bash AEBa5nor Losses

822 FNMAPOOLCMA2864 3 31418CFE9 2/10/2017 3252017 17 0 17 0 0 0 0 0627 FNMA POOL S MA28&1_ 3 5 71418CFE9 1/112017 4252017 124

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283650 ASG GLOBAL ALTERNATIVE 638727885 9/142016 12/272017 466.659 0 397875 68784 0 0 0 6 8 , 784651 NAVIENT CORP 63938C108 4212014 8002017 2388 0 -611 0 0 0 611652 NAVIENTCORP 63978C108 5/152074 8/702017 796 0 953 -157 0 0 0 -157653 NAVIENT CORP 63938CI08 5/15/2014 91312017 3184 0 3.811 1627 0 0 0 .627654 NAVIENT CORP 63939C108 692016 84112077 133 0 132 1 0 0 0 1655 UNITED STATES TREAS IN 7 912870RR7 _ 1262017 3/1Y2017 1 0039 0 10,354 -715

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_

0 70 2 -6 0 b8678 GNMA II MA4129 4 5% 36179SSS7 12172016 420/2017 223 0 240 1 0 0 -17679 GNMA 2 POOL MA4195 3 3617BSUU9 328017 4202017 121 0 122 0680 V ISA INC-CLASS A SHRS 9282608 1242017 5/117 4578 0 4 152 426 0 0 426681 V ISA INC-CLASS A SHRS 82826C879 1242017 10202017 4,844 0 3 737 t 10 0 0 1 107682 VISNC-CLASS A SHRS 928260839 1242017 1 2/152017 272 0 776 0683 VIRTUS EMERGING MKTSO 92828W361 3/1311017 5/i12017 10100

_

0 9.391 709 0 0 709684 VI RTUS EMERGING MKTS O 92828W361 10/202017 17,000 0 16`5 935 0 0 935685 V FINANCIAL INC 929089100 1021/2015 5/12077 2,647 0 937 -0 0 _0 _ 0 _00686 /OVA FINM4OAL NC 928089100 1027/2015 10202017 0 0

__

_ _

_

687 VOYA FINANCIALINC 10202015 11/732017 20.140 0

__

19.728 420 0 0 0 420688 SCHWAB CHARLES CORP N 808513105 6292015 12/152017 2 572 0 1,616 954 0 0 0 954689 SCRIPPS NETNORKS ER 5AE7 522016 7nd2017 5U1B _ 0 5,073 55 _ _0 _ 0 _ 0 5690 SCRIPPSNE3WORKSINTER _6715A1 9/102015_ 31142017 _ __ 5,018 __...... - - ____ ___ _0 _4020 98 0 ___ 0


Part IV (990-PF) - Capital Gains and Losses for Tax on Investment IncomeAmrw,n,

Long Term CG Distnbwons 327 979Shari Term CG DnrtnbWons 0 10926571 0 0 9 . 943 . 553 983018 0 0 0 983 , 018

C.9 or ORe, P1.8 V Aehal.4 Basis Eanea of FMV Gains Min,,r,A.VWk n Dale D.I. floss Depedalcn U.I. PO s of a of Over Erttss FMV Over

Doscrl bn el Pre Sole CUSIP6 Me1Md A ulree 540 Sales Prep Alto-d AO E. ,x- of We Gale or Loss 12/31/69 12/31/00 Ad ed Bafb AE Bash orlaues691 SOUTH CAROLINA ST PU 23 837151RW1 7/12016 3/132017 4 .666 0 5000 -334 0 0 0 -334692 SOUTHWESTERN ENERGY 845467109 1/172017 1242017 105 0 108 3 0 0 -3

693 SOUTHWESTERN ENERGY __M5167109 1/172017_ ___ ______2 0 2 0 0 06694 SOUTHWESTERN ENERGY 845467109 41172017 4

/21120

212017 97 0

___

99

__

-2

_____ __ _

0 0 0 -2695 SOUTHWESTERN ENERGY 845487109 4/172017 4212017 50 0 51 -1 0 0 0 -1696 MONSTER BEVERAGECORP __61174X109 1/132014 _ 1 21152017_ __ 1918 0 697 1,221 0 -- .q 0 _1,221697 TAIWAN SEMICONDUCTOR 874039100 _11/1672016 _ _ 5/12017 2,996 0 2,686 310 0 0 0 _ - 310698 TAIWAN SEMICONDUCTOR 874039100 11/162016 6/82017 13965 0 11340 2625 0

_ __ ____

0 0 2 .625699 TAIWAN SEMICONDUCTOR _ __ 874039100 _- 11/162018 6/162017 0645___ 0 8,058 1,587 0 _1,587700 TAIWAN SEMICONDUCTOR 874079100 ___ ___ _11/762016 7/52017 2,781 0 2,345 436 0 __ ________ 0 0 476701 TAIWAN SEMICONDUCTOR 874039100 11/162016 7/52017 24337 0 2089 3 , 44 0 0 0 3 ,447702 TAIWAN SEMICONDUCTOR 874039100 6/30/2016 7/52017 1 738 0 1 , 313 425 0 0 0 425703 TAIWAN SEMICONDUCTOR 874039100 _ 2/4/2016 _ 7/'.12017 _ _ _ 3,128 _ 0 2083 1,,046 _1,048704 TAIWAN SEMICONDUCTOR 874039100 6/30/2016 10202017 2,461 0 1 , 575 886 0 0 0 886705 TAIWAN SEMICONDUCTOR 874039100 1120/2017 12 1 15/2017 1 . 587 0 1 , 688 - 105 0 0 0 -105706 TANGER PROPERTIES LP 3 87548018 _8/1/2016 3/172017 4676 0 4,090 0 0 -314707 TARGA RESOURCES CORP 876126101 3/72017 5/12017 _ 677 0 1 747 -70 0

--

0

--_-

0

--- -

70706 TARGA RESOURCES CORP 876126101 3!/2017 10202017 1 752 0 2.288 -536 0 0 0 -536709 TARGA RESOURCES CORP 676126101 3/72017 12/ 152017 467 0 567 -96 0 0 0 -96710 TELEFONICA EMI112 _ __E5,_ _____ 87978WAM5 1252012 __ 7/2_2017 10731__ i ___ __ 0 9625.__ 1106_-^_ 0__ 0 0 1,106711 TELEFONICA EMISIONES 5 1 87B38WM5 1252012 322017 16.088 0 14 4̀ 8 1 . 650 0 0 0 1,650712 7ELEFONICA EMISIONES 4 1 87938WATO 3/1/2017 3 /172017 9 , 761

_

0 10 . 000 -279 0 0 0 .239713 TESAROINC 881569107 1/312017 5/ 12017 879 0 _ _ 965 A6

-

0 0

---

0

-- - -

-86714 TESApq_IN 881569107 __ 10/182017 26 , 300 ___ 0

_ _

37,178 -____-_-_- 0 ______ _ __0 -10878715 TESORO CORPORATION 881609101 1!302017 5112017 2 . 37 5 0 2 . 49 - 115 0 0 0 -115716 TEVA PHARMACEUTICALS 88167AAE1 7/182016 3 / 142017 4493 0 4 987 -494 0 0 0 .494

717 TEVAPHARMACEUTICALS _ 88167AAE1

- - - --

7/182016

-

_10/12!2017 4 , 526-

0 4,987 -461 0 0 _ 0 _ _461

718 TEVA PHARMACEUTICALS 89157AAE1 7/182016 1122017 4.217 0 4,987 -774 0 0 0 -774

719 TEXAS INSTRUMENTS INC 882508104 1/122017 4212017 1,589 0 1 500 89 0 0 0 89

720 TEXAS INSTRUMENTS INC 882508104

--- -

10/172017 12/142017 1002 0 939 3 _0 0

-- --

63

721 3M CO 88579Y151 11/162016 51 12017 2 . 725 - ---- - -^-0 - -- - 2.420 305 0 0 0 305722 3M CO 885790101 11/162016 10202017 884 0 691 193 0 0 0 193

723 3M CO 9/32015 10202017 2 471 _ __ 0 1568 867 0724 BURUNGTN NORTH SANTA 12189L0F8 _ 6252014

_

3/172017 _ 5,178 0 5,202 -23 0 0 0 -23

725 C S X CORP 126408103 11132017 5 / 1/2017 3 . 578 0 2.70 871 0 0 0 871

726 C S X CORP 126408103 1113/2017 10/202017 4 , 371 0 7094 1 277 0 0 0 1,277

727 C S X CORP 126-408103 1/132017 12/152017 1 .547 578 0 0 ----o _ 578

728 C V S HEALTH CORP 4 875 126650CM0 __ ___ _ _7I1Y1015 _ 3lf 42017 ----5.2L7 --9 4922 355

_

0 _ 0

_355

729 MONSTER BEVERAGE COP 61174X109 1/132014 10202017 2255 0 029 1 , 326 0 0 0 261 . 3730 C V S HEALTH CORP 4 875 126650CMO_____._ _ _ 7/13/2015 . 11__/302017 _ 5,3T7 ___ __ 0 -___ 4,922 45 ____ 0 0 855

731 CABOT OIL B GAS CORP_ CL _ 127097103

-

12/62016 _3162017 20 , 747

---

0

--- --

21.231 -084

__

_0

- --- ----

0

--------

0

---

_ -48_4

732 POFNMA OL a MA2864 7 5 31418CFE9 1/112017 6252017 80 0 83 7 0 0733 FNMA POOL a MA2864 3 5 31418CFE 8 2/102017 6/250017 27 0 26 -1 0 0 0 -1

734 FNMA POOL C 1482854 _ 75 __31418CFE9

- -- -

1/112017 7252017 150 0 155 - 5 0

--

0 0

- - - - - - _735 FNMA POOL 9 MA2864 3 5 3141 8CFE9 ^ 2/102017

_

7/25/2017 - - - 50 - -- - - - - - --- 0

_ _

52 -- ---- 2 0 0 0 -2

736 FNMA POOL Y MA26 6e 351 31418CFE9 1/112017 8/42017 14 , 957 0 14 944 13 0 0 0 13

737 FNMA POOL a MA2864 __35 _ 31418CFE9 _ 2/10/2017 8/42017 d , 842 0 4,831 11 0

-- - -

0 0

- ----^-

11

- -738 FNMA POOL 71 MA286_d 7 5 _ 31418CFE9

- -------

7/10_2017_

_17 ^82520

_

- - - - 179

----

- ^ - - ^ -

-_ ^-

__- 0

^-^ ^

__

143 --- -- - -0 -- 0

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739 FNMA POOL MA2879 40° 31418CFV1 17/94016

__

2252017 - 108 - 0 114 .6 0 0 0 -6740 CITIZENS BANKNA/RI 25526 174010AE1 5/11/2016 _3/132017 4936 0 5018 82 0 0 -82

741 CITIZENS FINANCIAL GROU __174610105 ___ _____ ___ _11/162016 12420170

7239 779 _ 739

742 CITIZENS FINANCIAL GROU P 174610105 1/1 9201 6 1242017

. 583

40583

_-__

0

_

24 5̀6 1562 0 0 0 15.627

743 CITIZENS FINANCIAL GROUP 174610105 1/192016 5 / 12017 2 ,608 0 1,560 104 0 0 0 1.048

744 CITIZENS FINANCIAL GROU 174610105 1/1 _92016__ __10/202017 7 4 47 0 5 1478 0 0 _ 1 478

745 C171ZENS FINANCIAL GROU 174610105 __ _____ 1/192016 112020171 _ 6,115 ___ 0 7 565 _____?A50 0 0 _ 2,550

740 CITIZENSFINANCIAL GROUP 174610105 1202016 112012017 6722 , 0 1251 9 ,654 0 0 0 9 ,654747 CITIZENS FINANCIAL GROU P 174610105 1202016 11212017 37.145 0 21142 1600 0 0 0 18003

748 COMCAST CORP CL__A_ _ _ _ _20 /366101 _ 5/42017 91112017 11,31 3 0 45111s __ __.-201 0

- ------0 -201____

749 CITIZENS FINANCIAL GROU P 174610105

_ _

7202016

_

11/21/2017__-___

37,145

_ _

0___ _ _

20 . 817 16 , 328 0 o 0 16 , 328750 COMCAST CORP CL A 2003ON101 4202017 5112017 3.518 0 3 . 420 98 0 0 0 98

751 COMCAS7CORPCLA 20030N101 3/4/2013 9/112017 2,263 0 .207 1,056 _

752 COMCAST CORP CL A - - 2003ON101 /112017 9 / 112017

_____

22 . 626 -

___----_

0 - 23, 585 -95 9 -753 COMCAST CORP CL A 20030N101 5/4/2017 10/ 12/1017 23 , 460 0 24,947 -1,48 -1 487

754 COMCASTCORP CLA 20030N101 202017 10/12/2017 8176

----

0 6459 -323 0 -323

755 CMCSCORD CA

C

20030N101

-

202017 lorzonon 1,911 0 3,800 82 0-0

0

756 COM ST CORP CL A 20030N101

-/20/2017

_ _12/15/2017 1 912 0

11 . 900 82 0 0 0 82

757 COMCAST CORP 3125% 7/1 20030NBD2 3182013 3/142017 5è 0 51, 10 -68 0 0 0 -68

758 COMCAST CORP 3125% 7/1 20036NB02 /172014 3/017 _ 5044 __ 0 0^ 6 0 6768 COMCASTCORP 7175_.17%1 20070NBD2 12 012 5/170172017 __ 15,61E _____ ___ ___ 0

4___ 14987 __ _ 627



Long Term CG Dlatribwons 327 , 979Short Term CG Datnbsliona 0 10926 571 0 0 9 943 553 983 018 0 0 0 983 , 018

Cog or Other F M V Adjusted Baal E .° ces5 of FMS G04o Minus

Aegobvnn Date Dale Gross Depecia on Be.. Pan ool ant Over Exass FMV OrerDelul bn Of Pro Sew CUSIP a Method A o9ej Sold Sales PrIco 61150,4 Ad Imenla Fa mn of Sale Gam or Lass 12/31169 17/StIES AdWed Bneb A4 Baeh a Loaea

760 CONOCOPRILLIPS 20825C104 6/9/2016 1 / 122017 6 . 55a 0 6202 352 0 0 0 352761 G N M A POOL 0 M64322 4 36179SYT8 3/302017 6292017 31 357 0 31 `45 - 188 0 0 .188762 G N MA POOL #1.18432 4 5°

_

_36179SYU5_3282017 5202017

°

7 9 0 41 2 0 0 2763 G N M A POOL #101.432451 36179SYU5 328/2017 620!2017 84 -- ---- 0 ------90 -6 0 0 -0 ---764 G N M A POOL 8MA432 4 5° 36179SYU5 3282017 7202017 161 0 172 11 0 0 0 -11765 G N M A II POOL OMA432 4 5• 76179SYU5 _ _ 7282017 7242017 10 0̀2 0 70 1 77 -7 5 0 0 _0 -75

-----766 G N M A II POOL 8!86432 4 5 • _361795YU5

- --

3282017

-_8202017 173 - 0 195-- 12 0 0 0 _ __ -12

--767 GNMA II MA4511 40% 36179TALS 629(!017 7202017 21 - -- 0

_ __

23 1 - 2 - p -- 0 2768 GNMA II MA4511 4 0% 36179TALQ 6292017 7202017 21 0 23 -2 0 0 -2769 GNMA II 101.1.511 40% 3617BTAL8 _ 6292017 _ __7202017 21

_

0 27 -2 0 _0 0 _-2770 GNMA II 1%4 516 4 03C 6 36179TA19 6292017 8202017 34 0 35 - 1 0 0 0 -1771 GNMA II MA4511 40% 6 36179TA19 6/29/2017 8202017 3 0 35 1 0 0 0 1772 4 9% _ 76179TAL9

-

6292017 820/2017 34 0 35 1 0 0 _ _ __ 1773088/All MA4511 40% 36178TAL9 --- - 6292017 9202017 ------ 61 ---- --- 0 64 - - - - --- 3 0

_ _ _

---- 0

__ _

0

_ _

-3774 GNMA II MA4511 40% 36178TAL9 6292017 920/2017 61 0 64 3 0 0 0 3775 GNMA II "45I1 4 0% 3617871.19 __ 6292017 9202017 61 0 64 - 3 0 0 -3

-770 GNMA II MA4511 4 0% _6 36179TA 6/2912017 10202017_84 - ---- 0 - -- - 69 ------ ---- -5 - - ---- 0 -- -- - p

_______- - -5.

777 GNMA II MA4511 40% 3617971.LQ

18_ _ _

6292017 102020178d 0 B9 ______ _ _ _ _-5 _- ____ _0 __ __ _ _ 0 _ __ ___.0 5

-_ ____ _. _ _

778 GNMA II MA4511 40% 36179TALO 6292017 10202017 84 0 89 -5 0 0

___

0 -5779 GNMA II MA4511 06 6 36178TA19_ 6292017 11/102017 10 172 0 19,270 0 0 0 0

------ -

_ -98

- -780 GNMA II MA4511 40% 36179TALQ 6292017 11 / 10201 7 --- - !0 172 ---- - --- - 0 - 10 266 -- _ --94_ __

- -- - 0 -- - - 0 0 -94781 GNMA II MA4511 40% 36179TALO 6292017 11 / 102017 10_72 0 10,265 -93 0 0 0 -93782 GNMAIIMA4511 40% 6 _ 36179TALB _ 6292017 _ 11202017 _ 61 0 _ 96 _S _ __0 6 _0783 GNMA II MA4511 4 0!6 _7617871.18 _ 6292017 11202017 91 0

__ _

9B

___ ___

-5

__ _ _ _

0 0 0 -5784 GNMA II MA4511 40% 36179TA19 6292017 11202017

_91 0

_

96 0 0 0785 GNMA II POOL 8 M64588 4 5° 36179TCZS 7242017 9202017 5 0 53 3 0 0 0 -3786 GNMA II POOL 4 MA4588 4 5, _ 36179TC56

-- ---

7242017 10202017 84 0 90 0 0 A787 GNMAII POOL C MA4588 4 S• 36179T CZ5 - - 7242017 11202017 -- - - 107 0 ---- - 114 --- --- -7 -- 0 0

_

- 0- -7788 GNMA II POOL 8 MA4568 4

5136179TCZ8 7242017 12202017 100 0 108 -6 0 0 0 .8

789 GNMA II POOL 0_MA45B8 4 51

.

36179TCZ6

_

7242017 1202018 225 240 - 15 0 0790 GNMA MA4718 70% 36179TG73 - 9/192017

_

102020172_ _ O

_-2z....-1

O ..0i

791 GNMA MA4718 30% 36179TG33 9/192017 10202017 21 0 22 0 0 -1792 GNMA 101.471 B_ _7 0%__8 _ 76179TG33__ 9/192017 11202017 25 S 16 _7 0 0793 GNMA 101.4718 _3q% 9 36178TG77 9/182017 11202017 25

_ __ __ _

26 0 1

794 COSTCO NMSL CORP NEW 2216OK105 12/42015 12 / 152017 2720 0 2002

_____

718

___

0 0 0 318795 UNITED STATES TREAS 1 3 912828201 10/132016 3/16/2017 4 . 724 0 4.947 -223 0 0 0 -223796 UNITED STATES TREAS 8D - 812810RV2 82!2017 9/52017 1 0647 _ 0 _____ 1 0,708 339 0 ___ 0 _ 0 ___ 739787 UNITED STATES TREAS NT 9128282J8 926/2017 10/102017 9,870 9,985 __ ______75 0 0 0 __ -15798 UNITED STATES TREAS 1 7 9128282X7 10202017 11/82017 4 97 0 g 982 -6 0 0 0 .6799 U S TREASURY NOTE _ 2_12 ! _ 912828F21 1142017 3/132017 15U27 15,120 _93 0 0 0 _93

800 US TREASURY NOTE 212 _913828F21 1/40017_

5/42017

_

1 0,128 ---- ,080 --- 48 - - 0 - 0 _ 48801 U 5 TREASURY INFIATIO 0 1 912828K33

_

9/28/2015 3 /1312017 5 , 230 0 5 , 123 107

__

0 0

__

0 107

902 USTREASINFLIND% 13751 812828MF4 6232010 3/13/2017 5 , 884 0 5.706 178 0 0 0 178

803 US TREAS /NFL IND% 1 2751 B 1282810!4

--

6232010 3232017 ,911 0 7 165, 195 0 195804 UNITED STATES TREAS 11 912828N63 -- -9/162016

__3/132017 ----- 19,922 -------- 0

- .

----- 20133

_-211 ------0 ---- 0 0 -211

805 UNITED STATES TREAS 11 812828N63 9222016 3/13/2017 9,961 0 10 , 059 -9B 0 0 0 -98806 UNITED STATES TREAS 1 912828863 10242016_ __3/17/2017 19,922 0 0089 167 _167807 UNITED STATESTREAS 1 812828N63 _10/712016 _ 3/132017 __ 19 922 20 091_ -169 ___ 0 _ 0 _ _0 __-69808 UNITED STATESTREAS 1 912828863 3222016 652017 9 , 972 0 10035 .63 0 0 0 -63

809 UNITED STATES TREAS 1.1 912828863 5232016 682017 4 ,986 5 013 0 0 0 -27810 UNITED STATES TREAS 1 1 __912828N63__ 3/102016 6192017 -4 0 0 _219811 UNITED STATES TREA11 912826863 31102016 6222017 9 , 971 0 10,012 41 0 0 0 -41812 UNITED STATES TRESS 1 912828883 3/10/2016 6272017 4 , 984 0 5 . 0 08 -22 0 0 0 -22813 UNITED STATES TREAS 1 912828863 3/152016 6272017_ 4984 0 5,002 - 18 0 - -2 0 _18

814 UNITEDSTATES TREAS _71 __91282BN83 _ 3/152016_ 8142017 _ 19,945 20W7 _ _ 0 0 0 _32815 UNITED STATES TREAS 1 912828863 1/192017

_

8/42017______

4 . 9 86 0 4 . 987 0 0 0 1

816 UNITED STATES TREAS 1 912828N 83 1/192017 8272017 979 0 9 . 974 5 0 0 0 5

817 UNITED STATES TREAS_ _912828087 5/12/2016 3 / 132017 __ 4,841 0 4,983 _.142 _ _ _ _ 0 0 0 142

818 UNITED STATES TREAS 1 012828087 9/152016 3/132017 48 . 406 0 49 . 936 - 1,57 0 0 0 -1 530

819 U S TREASURY NOTE 2 62 912826PT7 9/102013 1 /42017 5 . 088 0 5 2_27 -179 0 0 0 -139

820 USTREASURYNOTE 282 912828PT1 7272015 _ 1/42017 _ 10,176 0 10,440 -264 0 0 __0 _ _ -264

821 U S TREASURY NOTE 262 912828PT1 721201 5 1 /42017 15264 0 15.641 - 377 0 0 0 377

822 US TREASURY NOTE 262 912828PTI 7212015 2/ 102017 10,167 0 10 427 .260 0 0 0 -260

823 US TREASURY NOTE 262 _ 912828PT1 -

---11/162015 _ 2/102017 30,502 0 31°104

__

-602 0 0 -0 .802

624 FWi PO LOMA287B 40° _31418CFVi_ _ 12/92036 _ 3242017 _ 0 31340_ _ 18 0 0 -187

825 FNMA POOL MA2879 4 0 314 18CFV7 12/92016 325/2017 1 0 139 7 0 0 -7

820 FNMA POOL 6663997 4 0 31418CGR9 1/112017 2252017 0 49 2 0 0 0827 FNMA POOL 81492907 4 0 31418CGR9 1/112017 3252017 65 0 69 -4 0828 FNMA POOL 310162907 4 0 _31418CGR8_ 2/2/2017

_3252 4 0 - -51 - -_ ___ 2 _ 0

_

0


Part IV (990-PF ) - Capital Gains and Losses for Tax on Investment Income

Long Term CG DlsblbuSons 327 979Short Term CG Drslnbullom 0 10926571 0 0 9947557 983018 0 0 0 983018

Ca.. r Other F M V A4mled Bash Excess al FMV Get. Mums

Angalsnbn oars Dale Cross Depedalbn BassPM sal sel Over Eacen FMVOcer

Desal bn of Pro SaId CUSIP a Mallnd A uoed Said Sales Prix flawed Ae uslmenis Er nse er Sale Gain or Loss 12/31169 12/.11160 Ae Ie4 Bads Ad Basis or Lads.

829 FNMA POOL 7MA2007 40' 31418CGRO 1/112017 4/25/2017 105 0 111 -6 0 0 0 -6

830 FNMA POOL BMA2907 4 0_ 314 18CGR9 2/2(2017 4252017 79 0 83 -4 0 0 -4

871 FNMA POOL YMA2907 4 01 314 18CGR9 1112017 5/52017 _ty524 0 1 5,E2 -0 8 0 0 -48

872 FNMA POOL CMA3907 4 0 31418CGR9 1/112017 5/252017 141 0 149 -8 0 0 0 -8BJJ FNMA POOL #MA2907 40 31418CGR9 22/2017 525/2017 105 0 111 5 0 0 0 -5

834 CONSTELLATON BRANDS I 21036PI08 11/16/2016 5112017 i107---3 _ 0 _2,771 7_32 0 __ 0 0 3J2

875 CONSTELLATION BRANDS I 2I076P108 _ 1/62017 10202017 ,445,4 0 __ _ 31, 73_ 1,3_12 0 _ 0 0 __ 1`12

838 CONSTELLATIONBRANDSI 21038P108 1)5/2017 12 / 152017 2 , 238

__

0 1492 746 0 0 0 746

837 CONSUMERS ENERGY CO 210518CZ7 8/12016 7/142017 4,722 0 4,961 0 __ 0 ----S b39

878 RABOBANK NEDER D 21685WBT3_ _ 7232014 3/132017 5.323 0 5540 217 0 0 _217

839)AN

RA80BANK NEDERUWD 21685WBT3 6/82013 3/132017 532 0 5 , 485 - 162 0 0 .162

840 CORNING INC 218350105 7252017 10202017 3.001 0 3 , 209 -208 0 0 0 -208

841 CORNING INC 210350105 17/142017 12M 52017 4 0 1931 -7 0 0 0 __ -7

842 COSTCO WHSL CORP NEW 221606105-

12/4/2015 5/ 1/2017 3 . 209

__________ _

0 3.00 206 0 0 0 206

143 COSTCOWHSLCORPNEW 2216OK105 12/42015 10202017 3.694 0 3 838 144 0 0 0 -144

844 COSTCOWHSLCORPNEW _22160K105 12/42015 12 / 192017 8 ,61d 0 8,509 _ __ __ 1,105 ______0 0 _______0 _ _ 1105

845 COSTCO WHSL CORP NEW_

22160K105____ _ _ ._.

182017 12/192017

_ __...._-0 13,335 0 0 0 2,122

846 CREDIT SUISSE GRP FU 71 225433W2(7

__

17!72016

_

3/152017 9 . 99 0 101, 02 - 107 0 0 0 -107

847 CREDIT SUISSE GRP FU 3 1 225433AK7 11/72016 10/ 19/2017 10 , 204 0 10 . 10 102 0 0 0 102

848 CUBESMART LP 48%7/152 22966R654 6282016 3/142017 5,294 0 5,571 -277 0 ___ 0 -----0

849 DFA E MERG MKTS CORE ED

__

233203421

_

3/1012017

__ __

5 / 12017

_ _

37 , 000

_______ _

0

____

34 9, 75

__

20_25 0 0 0 52 , 02850 DFA E MERG MKTS CORE ED 233203421 6/12017 10202017 64,500 0 59 . 31 5.19 0 0 0 5,190

851 DEERE B CO 244199105 __ 8182017 10202017 _ _3,349 _ 0 ___ 3,426 77 0 0 0 __ 77

852 DEERE & CO 244199105 8/82017 12/152017

_ ____

1,966 0 1,717 253 0 - 0 0 253

853 DEUTSCHE BANK AG LOND 25152CMN3 10152016

_

3/ 172017

___ _

5 ,083

_

0 5 , 108 -25 0 0 0 -25

854 DEUTSCHE BANK AG LONG 25152CMN3 10/5/2016 9/ 1/2017 10000 0 10,216 -216 0 0 0 -216

855

WALT

DISNEYCO/THE 254687106 12/62016 5/1/2017 3448 _ 0 ,011 __ __437 0 0 0 __ __ __437

1158 WALT DISNEY COI THE 254687106 12/62016

_

1N10%2017

____

2 , 977

_

0 3 011 34 0 0 -34

857 ALT DISNEY CO/THE 254687106 12/12 12016 10/252017 1 , 56 0 1 ,666 10 0 0 0 -103

858 W_ ALT DISNEY CO/THE 254687106 _11212016 _10252017 1 , 368 1,371 3 0 _ _ 0 0 _ __ _ 3

859 ALT DISNEY CO/THE 254687106 121152017 12/152017 1.671 0 1 , 665 0 0 0 6

860 DOMINION RES INC VA NEW 25746U109 11/162016- 5/12017 2 . 709 0 2 . 13 172 0 0 0 172

861 DOMINION ENERGVINC __ __ 257d6U109 _ _7/102017 _7/102017 8480 _0 B,9_26 46 0 -048

862 DOMINION ENERGY INC 25746UIS9 7/128017 7252017 71 0 74 3 0 __ _ ___ 3

863_

DOMINION ENERGY INC

__ _-25746UI09

___. ._. _ _-___1/5/2016

_-_ -9/27/2017

_____61_59

___ __ _

0 5 . 484 675

_ __

0 0 0 675

864 DOMINION ENERGY INC 25746U109 1/712016 8272017 7713 0 65 , 09 8.04 0 0 0 8 , 049

865 DOMINION ENERGY INC 257462(109 1 1/162016 9272017 770 0 712 58 0 0 SB

860 DOMINION RESOURCES INC

_

257d6U869 1/12000 5222017

_

0 0 0 ____ 0 0 0 _ __0

867 DOMINION ENERGY INC 257462(869 6/17/2016 7!1/1017 5 000 0 5 115 - 115 0 0 0 -115

68 DOMINION ENERGY INC _ 257462(869 711 32016 7!1/1017 3 500 0 3,654 _1 54 0 _ 0 _154

86 DOMINION ENERGY INC 25746LLW9 12/52016 7/32017 500 _ 0 ____502 _ 2 0 0 0 -2

870 DOW CHEMICAL CO 260543103 11/162016 5/12017 7136 0 267 466 0 0 0 466

871 DOWDUPONT INC 260783100 10/72014 10202017 2.84 0 2 . 000 843 0 0 0 843

872 DOVVDUPONT PLC_ 7607&1100 10/72014 12/ 152017 1, 102 0 1 000^ 402 0 0 _ _ ___ 0 402

877 DREYFUS FLOATING RATE / 261948739

_ .____5/12014 10202017 1,13

-___ ---- _0

__--1.176

_--04

_ _90 0 0 -44

874 DREYFUS FLOATING RATE I 261949739 6212014 10/202017 1 . 197 0 1 , 245 -08 0 0 0 -48

875 DREVFUS FLOATING RATE I 261949739 12/312013 10202017 255 0 265 10 0 ----- - o __ _ 0 ____ -10

878 DREVFUS /NFL TN ADJ SEC - 28196 7760 9/52012

_

5/ 12017

__

800

_ _ _

0 487 0 0 ____887

877 DR EYFUS /NFL TN ADJ SEC- 261867760_

9/52012 5/312017

_

68 611

_

0 77504 -0 893 0 0 0 4.893

878 OREVFUS /NFL TN ADJ SEC- 281867780 121202012 51312017 5889 0 6412^ -523 0 0 --- .523

879 DREVFUS /NFL L ADJ SEG __261967780_

12202012

_

10202017 5,500

_ ____

0_

6 055 _ _555 0 _0 0 -555

880 DREYFUS /NFL TN ADJ SEC- 261867780

_ __

12202012

_

17!172017 367 0 406 - 79 0 0 0 J9

881 OREYFUS INFL TN ADJ SEC- 261967780 6/142013 12/272017 139633 0 145 ,661 .6 02 0 0 0 .6028

882 DREVFUS HIGH YIELD - I 261880759 1/31/2017 5/12017 2, 0 2,276 22

-_017 5/ 12017_ 2,011 __0 2,008 __DREYFUS HIGH YIELD - 1 261980759 3/312017 5/12017 2 0 2 705 2 22

DREYFUS HIGH YIELD - I 281980759

-

4282017 5 / 12017 2 ,68 0 2,682 0

U S TREASURY NOTE 2 B2 012828PT1 1/162015 3 /132017 5,067 _ __ ___ _ _0 5 184 _117 0 - 0 0 __ _117

887 FNMA POOL 4 AS9451 3 5% 3138MODO 5/192017 11/25/2017 52 0 54 -2 0 0 0 -2

888 FNMA POOL 8 AS9451 3 5% 31381/0(0 00 5/192017 12252017 56 0 58 -2 0 0 0 -2

889 FNMA POOL O A 94 5113 SS 3138WKOD0 5/192017 125201 6 56 0 58 -2 0 __-2

890_ _ _

FNMA M4277 5 - 2 5% 10 31418CCM4 9/132016

_

2252017 225 0

_

232 7 0 0 0 -7

691 FNMA MA2775 2 5% 1 0 31418CCM4 9222016 2/252017 32 0 3 3 0 0 0 -1

892 FNMA POOLBAU6278 501 3138%5605 1162014 27252017 10 0 1, - 1 _ 0

M Fl/MA POOL b 42(6278 § O*, 3178%5605

_

1/G2014_7252017 141

894_

FNMA POOL#AU6278 50°

_

3138%5605

_

182014 42512017 221 0 242 -21 0 0 0 -21

895 FNMA POOL#AU8278 501 313805605 1/62014 5/5/2017 3 758 0 3,731 27 0 0 0 27

896 FNMA MA2775 2 5410 3l418CCM4 10/112016 2/252017 32 0 3 - 1 0 .897 FNMA POOL # 42(6278_J 011

____

_ 3130165805__ _

__-_ __

_ _- _ 1/82014_ _1

__

__5f25/2017_

_

10 0 11 1 L 0 9 _ _ _ _ -1


Part IV ( 990-PF) - Capital Gains and Losses for Tax on Investment IncomeAmmon

Long Term CG Ostrlbul,onsShort Term CG D,stnb6/,ons

327 , 979

0 810926571 0 0 9 . 913 . 553 983 . 01 8 0 0 0 993 . 01

Descrl bnol Pre Sold CUSIPR

Ac hfthDnMcI5E

Dale

A airedD.I.

Sow

Goss

Seles Pke

Depe0000n

AIbned Ad Inwnte

Cow or Dine,

Basle Plus

E• nee el Sete Da lnw I...

F M V

sal12/31/69

AdSnIed Bella

sol

12131169"'re

FMV

Ad I6d8asle

W Mmua

Excess FMVOuer

Ad Beals wlnsses898 FNMA MA2775 2 5% 70 31418CCM4 10/782016 2052017 32 0 33 -1 0 0 0 1

899 FNMA POOL II AU6278 50° 313905605 1162014 6252017 101 0 111 -10 0 0 0 .10900 FNMA POOLp A_U6278 50• 3738X5605 1B/l014 7252017 5 0 5 0

---

0 0

---

0

- -----

0

- - --901 FN M A A58949 3 5% 3 7179WJ5KO 61152077 7252077 44 - - ---- 0 -------- 45 -7- 0 0 0 .1902 FNMA MA2775 2 5% 10 71418CCM4 12/82016 2052017 32 0 32 0 0 0 0 0

903 FNMA POOL 0 MA2737 3 0 __31476CBF0 8117/2016 12252017 727 0 132 _ 0804

905

FNMA POOL 0 MA2737 30FNMA MA2775 25%1(

_ 31418CBF0

37d 18CCMa ---

_

81722016

8222016

_1252018

31152017

____

747

---- 4 ,745 -- --

0

---0

_____

753

- -- 4980.6

-- ---- .235

0

------- 0

0

----- --- 0

0

--- ---- 0-6

-----235908 FNMA POOL 4MA2752 3 _ 71418CBW3 _ _ 8/372016__ 2/232017 _ __14,512 0 2 083 -571 0 __ 0 _ 0 =571

907908

FNMA POOL RMA7752 30FNMA POOL RMA2752 30

71418CBWJ

3141BCBWJ ------

9/122016

--11212076

2232077

2/330017

_4 9024704 ------

_ _ __ __ 0- 0

_ S,OdO

----- - 4732

138

------28

0

---- 0

0

------ 0 ------ 0

_778

-18909 FNMA POOL#MA2752 30 31n18CBW3 8/31201 6 2/1571077 757 0 775 18 0 0 0 -18

910

X11

FNMA POOL 9MA2752 _ _3 0FNMA POOL BMA2752

30

_ 3141BC8W3

31418CBW3

922/2016

11212016

_2/252017

2052017

71

71 ----- -

0

- - --- --00

75

7474

-4

J

0

0

0

-- --- -- - -0

0

---- ---0

-4

-7

912 FNMA POOL NMA2752 30 314l8CBW3 11212016 3252017 193 0

__

200 7 0 0 0 -7

977

915

915

FNMAMA2775 2 5% 10FNMA MA2775 2 5% 10

FNMA MA2775 2 5% 10

71418CCM4

31418CCM4

71418CCM4

_

-- _

---

10/112016_10/182016

6%132016

3242017

7242017

3242017

4802

4802

- 1n 406- - -

---- -- -

_ _ _0

0

- 0

4964

4864

14.857

-162

-162

-e 51

0

0

0

_ 0

--- 0

- -- - 0

_ 0

------ 0

---- -- 0

-162

-1§2

-051

976 FNMA MA2775 2 5% 10 3141BCCM4 922/2016 3252017 39 0 40 -1 0 0 0 -1

917

918

SOLlrHWESTERN ENERGY

SOUTHWESTERN ENERGY

845467109

645467109

4/172017

7/172017

4252017

7262017

3

124

0

0

3

128

0

-4

0

0

0

0

0

0

0

-4

919 SOUTHWESTERN ENERGY 845467109 7/172017 726/2017 2 0 2 0 0 0 0 0

020

921

972

SOlf1HVvESTERN ENERGY

SOUTHVJESTERN ENERGV

SOUTHWESTERN ENERGY

845467109

__845467109

845467208

10/162017

10/18201 7

72/6/1016

10252017

70262017

10262017

_

1638

_U

0

2

118

4133

-132495

0

0

0

0

0

0

_0

0

17

2495

923 SOUTHWESTERN ENERGY 845467208 1242017 10262017 819 0 1629 -810 0 0 0 -810

924

925

SOUTHWESTERN ENERGY

SPECTRA ENERGY PARTNE

845467208

84756NAF6

4272077

3/92015

10262017

--3/172017

717

- 4,833 --

0

--- - -0 -- ---

183

4B`

-66

- -- --152

0

0

0

---- -- - 0

_0

0

66

----- - 152

926 SPLUNK INC 848637104 3/12017 5/12017 1,956 0 1 900 48 0 0 0 48

927

928

CABOT OIL & GAS CORP CLCABOT OIL 8 GAS CORP CL

12797

127097103 12/82016 3/52017 17.981 0

8

18,861

-27

-880 0 0

____0

0

-257

-880

929 CABOT O IL 8 GAS CORP CL 127097103 12/92016 3/62017 18.672 0 19 872 -1.200 0 0 0 -1 200

930

X37

CALFORNIA ST EARTHD 2 8CALIFORNIA ST EART 2 805

13017HAE6

13017HAE6

10282014

10292014

_31132017

7/12017

4994

800

0

_0

000

600

__ .6

0

0

0

0

0 0

.60

932 CALIFORNIA ST EMT 2 805 13017HAE6 11152014 7/12017 800 0 800 0 0 0 0 0

933 CELANESE CORP-SERA 150870103 11/162016 5/12017 2636 0 2.356 280 0 0 0 280

934

975

976 CELANESE CORP •SER A

150870103

150870103

11/62016

_272011 _

9232011

10202017

_ 10202017

121152017

1 55

1 920

0

---_-_0

0

7B5

__-_-_ -----1 244

640

0

1.280

0

0

0

0

0

0

___0

0

270

i 280

977

938

939

DREYFUS FLOATING RATE I

DEVFUS SELECT MGR LIS

DREYFUS SELECT MGR LIS

261949739

_6188X809

08BXB09

242014

720205

7202015

1 0202017

5172017

10202017

799

16,400

21 000

_

0

0

0

632___ _ 16547

20 869

__ __37

7

13 1

0

_0

0

__ _ _ 0

0

_ 0

0

_ _ _3

131

940 DREYFU S FLOATING RATE I 261949739 2/112014 5/12017 25.700 0 26,847 -1 147 0 0 0 -1 147

041

942

DREFUS FLOATING RATE IDREFUS FLOATING RATE 1

261949739

2619497392/112014

7/•d2014

_10202017

10202017

23,174

1,020 0

24,149

1 062

_-975

-d2

0

0

0

0

0

0

_ ___ --4

947 DRE

Y

FUS FLOATING RATE I 26194 9739 4/12014 10202017 1,027 0 1 064 41 0 0 0 -41

644

845

946

FMLMC GOLD POOL Oa259FHLMC GOLD 047258 3 5FHLMC GOLD 043259 3 5°

7132VIF7E7

3132WGTR8

3132WGTR8

212/82016

72/8(2016

3242017

__2/15/2017

3/152017

14681

44

362 - -- --

_0

0

- 0

_15,238

_ 45

973

.557

1

- 11

_ 0

0

0

0

0

- - 0

_ _ 0

0

--

_ __557

_ 1

-11

B47

048

949

FHLMC GOLD 043259 3 5°FHLMC GOLDOd3259 7 5°FHLMC GOLD 043259 35°

_ 3132WGTR8

7132WGTR8

---3132WGTR8 ----------

12/82016

77/OFlOi6

12/82016

_7

_ 5501

5/152017

16874 737

-- --- X268 --- -------

__

_ ____ _

0

_ 14 78

- --- -276

45

- - - -8

_ 0

0

- - -- 0

__ _ _ _

0

--- -- 0

__ _ _ _ _ _- 0

_0

- - 0

_

-- - --A

950 FHLMC GOLD 043259 3 5• 3132WGTR8 12/16 6/1512017 4 842 0 4.876 6 0 0 0 6

951

852

053

MC GOLD32593 5°FHLMC GOLD 047259 _ 7 5°FHLMC GOLD 043259 35°

_3172WGTR8

_ 7132WGTRB _

3132WGTR8

12/82016

17/82016

12/8/2016

6/150017

_7/151101 7

8/152017

66-___-_____75

61

0

_ ___0

0

275

_-_

67

9--_-_-

2

_ 0

0 0

00

___9

_2

954 FHLMC GOLD 043259 35• 3132WGTR8 17/82016 9/152017 67 0 69 2 0 0 0 2

955

958FHLMC GOLD 04325935°

FHLMC GOLD Od3259 35°_ 3132WGTR8

7t32wGTRe___- 12/82016_

17/8lt07

10/15/2017_t7N52017

34

630

05

65_

2 0 0 0 2957 FHLMC GOLD 043259 35° 3132WGTR8 12/82076 17/152017 36 0 37 1 0 0 0 1

658

959

FHLMC GOLD 043259 35°F G 050127 4 0% 8/01

3132WGTRB

3132XS056

12/82016

82920

1/152018

10/752017 17

0

0

68

18

2

-1

0

0

0

0

0

0

2

1

960 DREYFUS HIGH YIELD•I 261980759 3/702077 5/12017 5.781 0 5699 82 0 0 0 82

967 DREYFUS HIGH YIELD-I _267980759 ____ _5312017 10202017 3 090 0 080 10 0 0 0 10

882 DREVFUSHIGH YIELD-I 261980759 _ 6/302017 _10202017

_

0 _2,846 18 _ 0 0 0 _ 18

987 DREYFUSMIGM YIELD-I 261980759 7/312017 1020/2017 2 773 0 2 973 0 0 0 0 0

984 DREYFUS HIGH YIELD-I 261980759 8/!72017 70202017 7,0 0 2.985 19 0 0 0 19

965

908

DFUS HGH YIELD I

IGH YIED-I _

__26180759

__ 261880759

___ _

_____

_ 922017_

_ 3/102017

10202017_

_ 02

__ ___ 2 66

____ ___ 2,803 _ _ - _ 53 -__q _0 57



Long Term CG Dms61bulons 327 979

Short Term CG Distnbuhons 0 10 , 926 , 571 0 0 9 , 943 , 553 983 . 018 0 0 0 983 , 018

Cost or dher F M V Adiosled Basis Faces of FMV Gains Minus

AouWIbn Dale Dale Gross Dep,ada/ion Basle Plus sol sof Orar Esttss FMV Orar

Otani bn of Pro,1 Sold CUSIP a MnINOd A ul/IG Sold Sains Prko 450,55E A4 uslnrenls Er nse of S-° Gain or Loss 1201/69 12131159 Ad te8 Basis AE Basis or Losoos987 DREYFUS GLOBAL REAL ES 261986277 3212017 5/12017 3 , 059 0 2,992 67 0 0 67

968 DREYFUS GLOBAL REAL ES 261986277 _3/132017 5/12017 10,741 0 10,398 7969 DREYFUS GLOBAL REAL ES 261986277 3/132017 10/202017

_

16,000 0 14 , 86j 0 0 _1,139

970 DREYFUS OPPORTUNISTIC 26209C403 3/14/2017 5/1/2017 1840 0 18,235 16 0 0 0 165

971 DREYFUS INTL SMALL CAP- 26201F777 6/82015 5/12017 27 100 0 26.05 1,04 0 0 0 1 045

972 DREYFUS INTL SMALL CARL _26201 F777 6/82015 10202017 33,500 5 036 0 ____0

973 DREYFUSMEVJTON INTERN _ 26203E695 _ 9r 2015 _ _ 5/12017 _ __ _ _ _ 20,900 _ __ _ --0 __ ____ 20,216 __ __ 684 _ 0 0 0 B84

974 DREYFUS/NEW1ON INTERN 26203E695 9/32015 1020/2017 25 . 500 0 22.140 3 . 360 0 0 0 3 . 360975 DUPONT FABROS TECHNOL _ _266130186 10202016 8/72017 _ _ 3,713 0 2,527 1186 -0 0 0 1,186

976 D_UPONT FABROS TECHN_OL 266130106_ 10282016 8/72017 619

- -0 _404 _ _ 215 0 0 _ 0

-

215

-_977 DUPONT FABROS TECHNOL 266130106 10282016--

_---8/82017 - -- -- 3 . 701 ---- ---- - - ----- - 0 2 , 421 1,280 0 0 0 801 . 2

978 DUPONT FABROS TECHNOL 266130108 12/52016 8/82017 1.230 0 779 455 0 0 0 455

979 EASTMAN CME74ICALCO 36 2774725110 _5292012 3/17/2017____ _ 5,129_ _ - __0 4961__.__ 168_ _ -__ ___ __ _ 0__ 0 _ 0 68

980980 EBAY INC 26%7/1522 278642AE7 6!72016 3/172017 4 ,86 0 4.948 -83 0 0 0 -83

981 ELECTRONIC ARTS INC 285512109 2/102017 5/12017 4,753 0 4,307 446 0 0 0 446

982 ELECTRONIC ARTS INC 265512109 2/102017 10202017 4,473 0 3,7 04 1,169 _ 0 0 0 _ 1.169

983 ELECTRONIC ARTS INC_______ __ 2B5_512t09_

?/102017 10262017 10,286 ---- - 0 6 ________2,,620

_

_ _ 0_ __...._. _ 2,820_984 FG 051086 7 5% 10/0 31325TF45

__9262017

__1__ __17/152017

___18

__0

_18 0 U 0 0 0

985 FG 051086 3 5% 1010 313 2XTF45 9262017 1/152018 18 0 18 0 0 0 0 0

986 FHLMC GOLD 052046 3_ M61 3132XUHY4 11/142017 1/152018 41 0 42 -1 0

- --- -

0

__ -- ---- - _

0 -1

987 FHLMC GOLD 052093 35'_-

3132XUKF1 ---- -11/102017 1/15/2018 91 -- --- -- ---^ 0 93- - - ----- - -2 -- 0 0 0 2

988 FHLMC GOLD 052104 4 0° 3132XUKS3 11212017 12/15/2017 97 0 102 -5 0 0 0 -5

989 FHLMC GOLD 052104 4 0• 3132XUKS3 1 V272 17 1/15201 8 62 0 66 -4 0 0 4

990 Fti LM C G60921 4 5!G

_ _

_317358AK8 6/162017 7/152017__

74 0-- ---

80-

0 0

- ^-

0 _6

991 F H L M C G60921 45% 31335BAVr6 -

_

6/162017 81152017 ----62 0 -_ -- 67 5 0 0 0 -5

992 F H L M C G60921 45% 31335BAWS 6/162017 9/152017 178 0 193 -15 0 0 0 15

993 F H L M.C G60921 4 55k_ 31335BAV.6

-

6/162017 10/152017 12

-

0

--

____ __ 13__--- ---

1

----

0 ____ ____ 0 ---9 __ -- j994 F H L M C 660921 4 5% 31335BAVr8

_

6%16/2017 11/152017 - 133 -- - - - 0

_1d4 -11 0 0 0 -11

995 F H L M C G60921 4 5% 31335BAV.6 61162017 12/15/2017 87 0 94 -7 0 0 -7

996 FNMA MA2775 _ 2 5% 10 31418CCM4 91732016 3252017 _ 272 0 281 -9 0 _0 - _0 -9

997 FNMA M312775 2 5% 10 31418CCM4 10/112018 3252017 3 0 40 1 0 0 0 -1

998 FNMA MA2775 25°.410 31418CCM4 10/182016 3252017 39 0 40 -1 0 0 0 1

999 FNMA MA2775 __ 2 54 1 31418CCM4 12/82016 3252017 0 39 0 0 0 0 0

1000_

FNMA MA2775 10 31418CCM4 9/13/2016 4252017 181 _ __ 0 _ 198 __7 __ _0 __ 0 0 -7

1001 FNMAMA2775 2551 10 31418CCM4 12/62016 425/2017 48

_ _

0 d8 0 0 0 0 0

1002 FNMA MA2775 25%10 31418CCM4 91132016 5(252017 158 0 155 5 0 0 0 -5

1003 FNMA MA2775 25%1 31418CCM4 22/82016 5252017 37 0 38 -1 0 0 0

1004 FNMAMA2775 _25%10 31418CCM4 9/132016 6252017 207 0 214

__

7

____

0

-- -

0

--

0 _7

-^- - _-1005 FNMAMA2775 25°010 3141BCCM4 - - -- - -_

-12/82018 6252017 52 0 52 0 0 0 0 0

1006 FNMAMA277S 25%10 3141BCCM4 9/13/2016 7252017 0 2 .6 _ _ _ b

1007 FNMAMA2775 %

_ __

31418CCM4 12/82016 7252017 5 0

_

- _ ___ -1

1008 FNMAMA2775 % 31418CCM4 9/13/2016 8252017 20 0 -1009 FNMAMA2775 .4 31418CCM4 12/82016 8252017 0 - -1

1010 FMAM2775 18CCM4 9/132016 2017 1 0 _ __

1011 FNMA MA2775 71418CCM4 12/82016 9252017 0 01012 F N M A POOL OMA3038 31418CLU6 5232017 9252017 1 20 -1 -75

1013 F N M A POOL OMA3038 4 5 71418CLU6 7212017 925/2017 0 1 - -7

1014 F N M A POOL pMA3078 4 5 31418CLL16 5232017 10252017 1 1

1015 F N M A POOL OMA3038 4 5 31418CLU6 1017 10/252017 0 .6 -6

1016 F N M A POOL 8MA3038 4 5 3141BCLL1 5232017 11/152017 9,7 0 98 -11 .111

1017 F N M A POOL pMA3078 4 S 3141BCLU8- 7212017 11/152017 45 0 45

_

5 0 51

1018 F N M A POOL #MA3038 4 5 31418CLU6 523/2017 11252017 3 0 3 2 -29

1019 F N M A POOL OMA3038 4 5 31418CLU6 7212017 11252017 1 0 1 -1 14

1020 F N M A POOL 0MA3038 4 5 31418CLU6 7212017 12!2520 3 0 3 -2

1021 FNMA MA307B 3 0% 7 31418CM43

-

6262017 7252017 _

1022 FNMA MA3078 3 0% 7 31418CM43 6262017 8252017 0

1023 FNMA MA3078 30% 31418CM43 6/76(2017 9252017 0 -

1024 FNMA MA707B 3 0% 7 J1CM47 6262017 10252017 0 76 ___ ____ _ _

1025 FNMA MA307B 3 0% 7

_31418CM43 626/27

_

125207 1 0 12 -

1026 FNMA MA3078 3 0% 7 31418CM43 6262017 12/252017 0 -1027 FNMA MA3078 3 0% 7 31418CM43 6262017 125201 B 0 9 _ _

1028 FNMA POOL 9 MA3149 4 0 31418CO83 9292017 11252017_

0 64 0 0

1029 FNMA POOL 0 MAJ149 4 0 31418COB3 9292017 121252017 0 5 - 0 0

1030 FNMA POOL p MA7149 4 0 9292017 1252018 _ 0 _0

1037 SPLUNK I NC 07104_ 3112017 10202017 21563 ___ ------- 0 - _2,5 19 _ 0 _ 0

1032 SPLUNK INC 848637104 3/12017 12/15/2017 1 6 1,272 402 0 0 402

1033 STARBUCKS CORP 855244109 6/52017 10202017 2 0 3.224 30 0 0 .504

f0]d TRBUCCP 855244109 615!1017 12/152017 ? 0 0 ____._____07075

__DREYFUS SELECT MGER SI 86271F52B 711d2017__ __5/t/1017 _ 18,400

____-__-__

._ 675767517 ______ 725 _____0


Part IV (990-PF ) - Capital Gains and Losses for Tax on Investment Income

Long Term CO Distn6Wons 327 978Shod Term CG 0,stnbuhons 0 10926571 0 0 9 , 943 , 553 987018 0 0 983 , 018

Cosl or Oiler FMV Aaleted Base Eness al FMV Gabe MInusAoqu606n Date Data Gross Oepeaalbn Basle Plus • al nls Over Excess FMVOre,

Desc,t bn of Pra

to

CUSIP • Mottled A abed Sow Sates Prte Aoaxd Ad justments E• nseol sale Galn er Lass 12/3 1/65 17/31/69 AL Icd Bosh Ad Basis er Losses1038 DREYFUS SELECT MGER SI 86271F529 3/142017 10202017 22,50 0 19 , 40 3 . 096 0 0 3 , 0961037 DREYFUS INTERNATIONAL __86271F537 _ 3/132017 5 /12017 21,100_ 0 20,006 1094 0 0 0 1,0941038 DREYFUSINTERNATIONAL 86271F537 3/132017 10202017

_ ___ _

25,500_

0 21,895_ _

3605 0

__ _____

0

_

0

___ __

30051039 DREYFUS SELECT MGER 0/ 86271F560 2/1112014 5/12017 14 . §l2

___ _____

0

_

14,297 719

____

0

_

0 0 3191040 DREYFUS SELECT MGER 5/ 86271F 560 17!302016 5 /12017 355959 0 3.47 88 0 0 0 881041 DREYFUS SELECT MGER SI 86271F560 3/14/2017 5/12017 29 0 29 0 0 0 0 07047 CELGENE CORP 151070104 17/162016_ 5 /12017 1 ,994 0 1,920 --- 74 0 -- 0 ---0 741043 CELGENE CORP 151020104 12%192016 10202017 2 , 508

_____

0

,

2 . 227 81 0

__

0 0 811044 CELGENE CORP __ 151020104 12/192016 1 2/ 152017 984 0 1,055 -71 0 9 0 .711045 CHEVRON CORPORATION ___166764100 11/16/3926 5/12017 2,19 0 212 -5

_ _ _ . ____

1048 CHEVRON CORPORATION 166764100 12/52016 6222017 1 0 1___

-1 -101047 FNMA BC9007 40% 3140F5AH6 2/102017 4252017 0 . 1 0 0 -181048 FNMA POOL B BDI480 3140F8UE5 9282016 2252017 _ 0 _2 0 0 -21049 FNMA POOL 0 BD1480 3140F8UE5 9282016 3251

_ ____ __ _ __

0 -2 0 0 -21050 FNMA POOL a BD1480 3140F8UE5 9282016 4252017 0 -2 0 0 0 -21051 FNMA POOL 0 BD14805 3140F8UE5 9282016 5/52017 101 0 104 - 324 0 0 0 -3241052 POOL A B480 _ 3 3140FBUE5 9282016 5252017

_

0 40 -1053 FNMA POOL Y 801480 3 5 3140F8UE5 9282016 6252017 0 2 -

_

0 0 0 -11054 FNMA POOL 0 BD1480 3 5 3140F8UE5

-

928/2016 7252017 0 2 - 0 0 0 -11055 F G 050123 4 0% 8/0 3132 X SO55 8282017 1 /15(1018 0

-^-^ ---8

--

0 0

- ---

-41056 FHLMC GOLD POOL 050341 3132XSLX5 8/42017 9n 52017 0 1 0 0 -11057 F G 050123 4 0% 8/0 3132XSD56 8292017 11/152017 176 0 786 -10

___

0 0 -101058 FHLMC GOLD POOL 050341 3132XSLX6 8/42017 10/ 152017 0 1 -4 0 01059 G 050123 0% B0 3732XSD56 8292017 1 2/1 5201 7 67 0 8 4 0 01080 FMLMC GOLD POOL 050341 7132% SLXB 8/42017 11/152017 15 0

_1 0 0 0 0

1081 FHLMC GOLD POOL 050341 3132XSLX6 8/42017 17/ 152017 86 0 -3 0 -31082 FHLMCGOLDPOOLO50341 3132XSLX6 8/42017 1/152018 15 0 0 01083 FHLMC 050589 3 5% 3132XSUP3 9212017 11%152017 - -- 39 ------ - ----- - 0 ------39 -- -- -- 7 ----- - 0 - --- - 0 0 -- ------11064 FHLMC 050589 35% 3132X5U P3 9272017 11115/2017 3B 0 39 - 1 0 0 0 -11065 FHLMC 050589 35%_ 7132XSUP3

---

9212017 121 /500/7 _ 20

-----

0. . .. . 30

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0 0 0 1

-----1068 F H L M C 1260921 45% 31335BAV)9 6/162017 1 / 152018 140..

0 - 152 - -12 0 0 -121067 FNMA AL4082 35%10 3138ELRC9 6/82016 2/152017 192 0 204 12 0 0

_____

0 -721068 FNMA POOLYAL4191 35• _3138ELUR2

- -1/62014 2252017 88 0 92 -0 0 0 0 -E

70811 FNMA 2014 -28 ND 35% 3136AIK47

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1071 FNMA AL4082 3 5% 1 3138ELRC9 6182016 2/14/2017 8 . 786 0 8.94 160 0 0 0 -1601072 FNMA POOL n AL4191 3 5 3138ELUR2 1/302014__ 2/252017 88 0 92 4 0 0 01073 FNMA POOL 4 AL4191_3 51_- 138ELUR2___7 .

_

713 CLI 3/152017 5,167 0 5 275 - 108 0 0 0 081074 FNMA POOL 0 AL4191 35-, 3138ELUR2

_1162014

_ _.- _31 152017

_2 .422

__

0 2 ,461_

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0 -391075 FNMA POOL C AL4191 3 5 3138ELUR2 1)62014 _ _3242017 ___ _ _ 2,546

-

0 2,52,5 _ 5 _ 0 25

_1076 FNMAPOOLBAL4191 3138ELUR2 1/6/701 325/2017 209 2 -10 -101077 FNMA POOL s ALB150 4 3138ENZO5 2/162014 2/142017 8 ,648

_ _,

8 8

__- 158 0 0 -159

1078 FNMA POOL B AL6150 4 3138ENZ05 2/162014 225(2017 153 1 -12 -121079 FNMA POOL N AL6895 3138EPUV4 6/82015 2/152017 117 11080 FNMA POOL C AL6895 3138EPW4 282015 2/25/2017 39 -2 - • -21081 FNMA POOL AL6895 3 3138EPUV4 22/2016 2252017 39 42 3 -1082 FNMA POOL 0 AL6B95 3138EPUV4 282015 3242017 4304 43 56 52 52

-7083 FNMA POOL a A16895 3 3138EPUV4 222016 3202017 4 304 4485 . 181 _ -1811084 FNMA POOL AL6895 3 3138EPUV4 6/82015 3242017 8,608

-

8.689 -81 -617085 FNMA POOL a AL6895 3 3138EPUV4 6 /82015 3252017 0 _ 11086 FNMA POOL N AL6B95 3 3138EPUV4

-

282015_

3252017 8 8 0

_ __ _

1087 FNMA POOL B AL6895 3 5 3138EPUV4 222016 3252017 8 8 0 01088 FNMA POOL 4 AL6895 3 5 3138EPUV4 /10/2017 3252017 8 8 0 01089 FNMBE959845% 3140FVUY0 /102017 825/2017 75 9 -41090 FNMA8E9598 4 0% 5 _ 925207 16 171091 FNMA 8E9598 4 0% 5 3140FVUYO /102017 10252017

-

69 73 -4

,

1092 FNMA SE9598 4 0% 5 3140FVUYO /102017 11252017 32 -2 0 0 0 -21093 FNMA 13E9598 4 0% 5 _ 3140FVUY0 /102017 12/152017 27 0 29 _ 0 0 0 _ _ --1094 FNMA BE9598 4 0% 5 3140FVUYO /102

_

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1095 PEPSICO INC 71 3448108 6192016 11 /82017 222 207 0 151096 PEPSICO INC 713448108

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- ---^-7097 PEPSFCOINC 713448108 6/12012 11182017 7 779 - 0 1,,081- 19 8 0 0 0 6981098 PEPSICO INC 713448108 11202008 12 / 152017 1,668 0 719 949 0 0 0 9491098 PEPSICO INC 45% 1l 713448BN7 _ 1/112010 3/142017 0,690 _ 9,966 724 01100 PETROLEOS ME%ICANOS 4 716540887 _ 272015 _ 7/15/1017 5 0 5,356 - 303 0 _ -3031101 PETROLEOS MEXICANOS 4 716540887 4/15/2014 3/15%2017 5.0 5.262

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__ _

0 -2091102 PFIZER INC 717081103 11 / 162016 5 / 12017 20 1.972 94 0 941103 N_ 717080 _ 11202008 5242017 1 53 _ _ 0 01 _ _ 0 79,7704 NC _ 717081103 11/12 524(1017 _ 320 __ _ _ 0 ___ 3221______ 7 0 ___ __ 0 __ 0 __2



Long Term CO DretnbWnne 327 . 979

Shod Term CG Omnbuboru 0 10926571 0 0 9 , 943 . 557 983 , 018 0 0 0 9113 , 018

Gm1 or Outer M VI Adjusted Bask Eswu o1 FMV Gal,. Minus

Atqub4nn Dale Date Gross Depedaoon ea&sPWS

'

col 505 Over E,ono FMVOver

DesW Ion of Pro SoM CUSIPC Method A Ired Sow Sales Prm A%-d Ad tments E. nse of Sate rah., Lop l2t3//69 12/31164 AC sled Base AEBasla or Losses1105 PFIZER INC 717081103 10242017 12)152017 .1141 1 .03 21 0 0 217108 DREYFUS SELECT MGER _Sr 86271F560 7/142017 1_0202017 1,5002 0 19,757 _2,143 0 ____o __ 0 2,1471107 SYNCHRONY FINANCIAL ___ 871658103_ _ 11/162016 5/12017 __2,,252 _ __ ___0 _2_,628 377 0 __0 0 -3777108 SYNCHRONY FINANCIAL 871658703 11n62016 10202017 658 0 657 1 0 0 0 11109 SYNCHRONY FINANCIAL 871658103 10/72016 10202017 3 . 620 0 3 .07 588 0 0 0 5881110 SYNCHRONY FINANCIAL___ 871658103__-__ ___ 10/62016 1120201 7_ 30 495_ 0 n2 a4. _ 5691 0 0 5,691--_-__17175YNCHRONY FINANCIPL

--

871658107

- --------1N62016

-12/152017

- -- --

1,866 0

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1,37

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<88 0

-----

0

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_ 4881112 T -MOBILE US INC 872590104 6/82017 10202017 3 . 020 -- 0

.

- 3 . 286 1 266 0 0 0 2681113 T MOBILE US INC 872590104 6/82017 12/ 152017 1 256 0 1,714 -58 0 0

-

0 581114 VOYA FINANCIALINC 829088100 101=015 11/13/2017 _ ___2,860 0 2,929 31 0 0__ 0 311715 VOVA FINANCIAL INC 829089100 10212015 11 / 132017 1 . 562 0 1 524 38 0 0 0 381116 VOYA FINANCIAL INC 929089100 10212015 12/152017 1 . 830 0 1 ,605 225 0 0 0 2251117 _AL MART STORES INC 931142103 7252016 _2/162017 1,774

-----

__ 0 1476 - 102

---^--

0

----

0

-^-

-102

---7778 LLS FARGO S COMPANY 949746101 1242017 5/12017 2.182 0 2 . 200 18 0 0 9 -181118 WELLS FARGO B COMPANY 949746101 1242017 5/222017 19 . 53 0 20 . 35 -816 0 0 0 .8161120 WELLS FARGO & COMPANY 849748101__ __ 8)102015 JQ212017 3,696 _ 0 __ 3,683 _ 13 0 0 131121 __ LLS FARGO 8 COMPANY 949746101

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57,227

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0 0 0 53,2271122 WELLS FARGO & COMPANY 849746101 9/102015 71112017 3 ,303 0 3,157- 146 0 0 0 146

1123 WE LLS FARGO 8 COMPANY 949746101 11/162016 7/112017 2 . 75 0 2 . 577 175 0 0 175

1124 FHLMC GOLD POOL 1!30871 __ 7128MJYN4_ __9282016 _ _ 3242017

.

144 90......

^

0- -

15 ,020 -530----- -

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0 -5301125 FHLMC GOLD 618667 35' 3128MMVJSB 12/112017 11152018

.

Ba 0 67 3 0 0 0 -31126 FHLMC GOLD POOL C91738 3128924 0 8 2/42014 2/ 152017 101 0 107 -6

_0 0 0 -6

1127 FHLMC GOLD POOL C91738 3128P74 08 11292016 2/1572017 50 0 54 4 0 0 01128 FHLMC GOLD.___POOL C91738__ 3128P74%8 11292016____ 3 /82017______ _ 7,057 0 __3,093 _ -36____ _ 0 0 0_ -36___ _1129 FHLMC GOLD POOL C91738 J128P74X8 2/42014 3 /82017 6.020 0 6 ,057 . 37 0 0 0 37

1130 FHLMC GOLD POOL 091738 3128P74 06 2/42014 3/ 152017 89 0 85 -6 0 0 0 -67731 FNMA POOL 8 801480 35

.'

3140F8UE5

-

9282018 8252017 22 0 23 - 1 0

-- -- -

0 0

--_--

11132 FNMA POOL n BD1480 35• 340FSUE 5 9282016 9252017 ---22 ^^--- -- -- 0 3 -- - -1 0 0 0 -1

1133 FNMA POOL # BD1480 35', 3140F8UE5 928/2016 10/252017 364 0 386 22 0 0 0 -22

1134 FNMA POOL 9 BD1480 35 , _3140FBUE5 8282018 11/132017 14 078 0 _14,584 -0 86 0 _ __ ___9 __ __4861135 FNMA POOL 8 BD1480 35 1 3140F8UE5 928//2016 11252017 252 0 266 - 16 0 0 0 AS1136 FNMA POOL Y 801480 35 , 3140F8UE5 9282016 12/25/2017 397 0 421 -24 0 0 0 24

1137 FNMA POOL # BE2362 35'

, . - _314OFMTUO 3292017 5252017 48

----0

--

50 -2 0

- --

0 0 -21138 FNMA POOL Y BE2362 155 3140FMTU0 __ 3292017 6252017 73 0 75 -2 _9 _ _ ____0 0 -2

1138 F N M A POOL a BE2362 35S 3140FMTU0 32912017 7252017 66 0 68 -2 0 0 0 21140 F N M A POOL C BE2362 35S 314OFMTUO 3/292017 8252017 38 0 39 .1 0 0 0 -11141 FNMA POOL 0 BE2362 35S 3140FMT5J0 3292017 _ 9252017 84 0 2 0 0 . ----- .21142 F N M A POOL C BE2362 3 St 3140FMTU0 3292017 16125/56!F71 9 0 40 - 1 0 0

-- ---

0

-------

-1

---_----1143 F N M A POOL 0 BE2362 35• 314OFMTUD_3292017 11252017 ------21 --------- -- ^- 0 22 -------- 1 ----0 0 0 -1

1144 F N M A POOL 0 BE2362 35 , 4140F9TU0 3/292017 12!152017

-68

--^ ^ - - --0 70 __2 0

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1145FNMABH7i54 40% 7/ _ 314032032 _ 7252017 9252017 -- - 14 - -- --- 0 15 - 1 0 _ __ 0 _ ___D_ ___-1

1146 F N M A BH3154 40% 71 3140G9OG2 7/2512017 107252017

_ _

15

__ _

0 15 0 0 0 0 01147 F N M A BH3154 40% 7/ 3140GROG2 7252017 11252017 1d 0 15 1 0 0 0 -1

1148 F N M A BH3154 45% 7/ 3140GR0G2 7252017 12/252017 145 153 -8 0 0 0 -8

1149 F N M A BHJ754 40% 71 314032032 7252017 1252018

_

173 0

_

182 -9 0 0 0 -9

1150 FNMA POOL 98135017 30', 314OGT5F8 8/4/2017 9252017 16 0 16 0 0 0 0 0

7151 FNMA POOL OBH5017 3_01. 3140GTSF8 8/42017 10252017 16 0 16 o 0 __0 0

1152 FNMA POOL YBH50 17 70•_

_7140GTSF8 _ 8)42017 112520 17 16 0.16

- -___0 0 0 0 0

1153 FNMA POOL Y8H5017 309 314OGTSF8 8142017 12/2520 17 16 0 16 0 0 0 0 0

1154 FNMA POOL 0 MA2670 3 0 714188666

- -- -

9222016 3/252017 24 0 25 1

-- -- -

0 _ 0 _17755 FNMA MA1897 35% 5 314188089 527(1014 2/152017 10 0 ---- 11 - - - -1 0

1156 FNMA MAi897 35% 37d188DB9

__ _

6202074

_

304%2017 157 0 161 -4 0 0 0

4

-0

1157 FNMA MA1897 35% 31418BD89 523/2014 3242017 5 . 387 0 5 , 478 95 0 0 0 -95

1756 FNMA MA1897 35% 5 314188089 5272014 3252017 4 2 _ 0 430 -8 0 ____ 0 _0 -8

1159 FNMA POOL MA2aB4 d 09 _314188%Ni __ _ 1/112017 _ _ 17,347

_

0 3,517 . 174 _ _ ____ 0 _ 0 .174

1180 FNMA POOL MA2484 40 1 314188061 12/22016 1 / 112017 3 . 937 0 3 , 941 -0 0 0 -4

1151 FNMA POOL MA2561 30' 31418BZ33 2232016 1/4/2017 22.029 0 22 , 441 -012 0 0 -412

1162FNMAPOOL 88H5017 30! 31409TSFB 8/42017 1252018 17 0 17 0 0

-- -

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1093 FNMA POOL MA2561 30' 31418BZ33 -3W016

__

1/42017 - -- ----- 12.820 -- --^---- 0

_ ___ ____

13 , 035 - -- -215 0- - - - 0 0 -215

1164 FNMA MA2653 40% 31418B5P7 7282016 2/22017 14 , 649 0 14 . 993 -344 0 0 0 .344

1165 FNMA MA2653 AS % 6 714188557

_

7282016 2252017 148 0 159 - 11 0 0 0 -11

1166 FNMAPOOL 0 MA2705 30 1 31418CAF1 7/82016

_

2052017 171

__ __ _ __

0 136 - 5

_____

0

___

0 0

__

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1167 FNMA POOL 0 MA2670 3 0 31418B6G6 7/82016 2/25/2017 110 0 115 -5 0 0 0 -5

71 8 FNMA POOL#MA2670 3 0 31418666 8222016 7!252017 22 0 23 1 0 0 ____o-

1

- _ ---

6 _1188 FNMA POOL

6

MA2670 7 0

__ _ __7141896G6

______ _

7/8!1016 3242017- -

___591- _? ------ 0 24,819---^ 1,228 - 0 -- - ---- 0 -_ _1218__

1170 FNMA POOL 0 MA2670 3 0_

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._4 . 71 8

___0

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_ __-252

___ _0 0 0 .252

1171 FNMA POOL Y MA2670 3. ' 3141886(26 7/82018 3/75/2017 118 0 123 - 5 0 0 0 -5

7172 FNMAPOOL II MA2705 70 37418CAF1 9282016 2lSY2017 0 77 7 ____0 0 ______ - 11173 FNMA POOL # MA2705 30 ' 31418CAF1

_ _

928/2016 31142017 4 759 0

_ _

_5005

____

__ 24_ 6

_

0 0 _ __ 246



Long Term CG Dstububons 327 . 972Short Term CG Drstnbuhons 0 10 926 571 0 0 9 . 943 . 553 983 , 01 8 0 0 0 983 , 018

Cog or Other F M V Adjusted Bask Eawss of FMV Gains MinusAaq,WtIon Data Dale Gross Depretlalon Basis PM aof sal per EGress FMV Over

Desorl rbn of Pro Solo CUSIP Y Me/rod A aired S.M Sales Price Aloes. Ad j ustments E.ae of Sale Gain or Loss 12131169 12/21169 AEUC1e- Oasis AD Basis or Lasses1174 FNMA POOL # AL6895 35-1 3138EPUV4 6182015 4252017 44 0 45 -1 0 0 0 -11175 FNMA POOL N AL6895 __ 3 5• __3138EPUV4 21102017 42512017 44 0 45 - 1 0 0 07776 FNMA POOL p AL6895 _ 3 5° _ 3178EPUV4

_

618(1015 5252017 0 -- 2

_

0 0 0 2MA POOL AL6895 3 5 3138EPUV4 2/102017 5252017 70 - --- - 2 0 0 0 2MA POOL # AL6895 3 5° 3138EPUV4 5182015 6252017 34 1 0 0 0 -MAPOOL 0 AL6895 35° 3138EPUV4 2/102017 6252017 3a - 1 0 0 0 -LLSFARGO 8 COMPANY 949746101 6/132016 1 0/1 22 0 1 7 542

- -

- 91 1 ]8 0 0 0 1,381LS FARGO 8 COMPANY 94974BGM6 7/122016 3 / 172077 J6 5 1 -132 0 0 0 -132LS FARGO U COMPANY 949748GM6 7/120016 10/ 122017 070 5 0 00LS FARG08 COMPANY 9497aBG07 71192015 31132017 101 _ ---^ - 0 132ERN DIGITAL CORP 958102105 12 /52016 9/152017 884 0 268ERN DIGITAL CORP 9581021 05 1/17/2017 9 /15/2017 69 1ERN DIGITAL CORP 958102105 2/92017 9 / 152017 69 1 208

TERN DIGITAL CORP 958102105 10/72016 9 / 152017

-

84__

294ERN DIGITAL CORP 958102105 10/72016 11202017 04 314TERN DIGITAL CORP 958102105 10172016 12/512017 3 1 1128IAMS COS INC 969457100 9272016 1/18/2017 378 68 -5 -5,261AMS COS INC 969457100 11/162016 1/182017 5] 2 -176BRANDS INC 988498101 4/62017 5/12017 88 3BRANDS INC 989499101 4/62017 10202017 43 2,585 458 0 0 458BRANDS INC 988498101 4162017 12/152017 71

_ _

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_

532R BIOMET HOLDINGS 98956P102 5272016 5/ 12017 5 2. 2 -26

ER 91OMET HOLDINGS 9a956P02 5262016

-

8/102017 19 62 , -620 6,208ER BIOMET HOLDINGS , 989560102 5272016 8/10/2017 15 14 47-1, 0 -1 177ER BIOMET HOLDINGS 98956P102 11/162016 8/10/2017 18 0 2 , 1 22

,

196 0 0 0 1961199 ALLERGAN PLC G0177J108 5/192016 5/12017 2 . 4 66 0 2 2 75 191 0 0 0 1911200 ALLERGAN PLC

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- 0 - - - 0 0 -3881702 ACCENTURE PLC-CL A G1151C701 3/172017 4 /5/2017 14 . 212 0 14 . 99 -785 0 0 0 -7851203 ACCENTURE PLC_-CLA G1151C701 3 / 172017 5/12017 3037 31 -8 0 -87

ACCENTUREPLC -CLA G1151C101 3/172017 6/82017 14,232 14 1 11 0 110ACCENTURE PLC -CLA G1151C101 3/172017 6212017 19.025 187 27 0 279ACCENTURE PLC-CL A _ G1151C101 7217 5262017 16,556 16,8 315 315CCENTURE PLC CL A G1151C101 11282016 626/2017 21707

_

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ACCENTURE PLC CLA G11S1C101 11/62014 6292017 45.092 30` 1456 0 14,562N M A POOL Y BE2362 3 14OFMTUO 329/2017 1252018 33 0 33 0 0 0 0 0

1270 F N M A POOL BE3767. 35% 3140FPFH7

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1211 FNMA POOL BE3767 _ 3 5° _ 3140FPFFI7 8/42017 10252017 87 - 0 90 - - 3 0 - - 0 0 - --31212 F N M A POOL BE3767 35% 314OFPFH7 8/42017 11252017

_

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---6202017 925/2017 d8 -48

NMA POOLB AL6895 3 3138EPUV4 6/82015_

7252017 46 - - 0 - -1NMA POOL0 AL6895 35 3138EPUV4 2/10/2017 7252017 40 - 0 -1FNMA POOL R AL68953 5 3138EPUV4 6/82015 812017 4,159 4,151 B 0 0 0 8FNMAPOOLCAL6895 35 3138EPUV4 - 2/102017 8 /42017 3996

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_

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_

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- - ----6FNMA POOL 9 AL9867 3% 2 31 7 4%7201 7 5252017 --- -78 - - -- -- 2 - - 0 0 0 -- - -- -2FNMA POOL 8 AL9867 3% 3138ER6D7 422017 6252017 95 3 0 0 0 -3FNMA POOL n AL9867 3% / 3138ER6D7 4!72017 7252017 119 1 - 3 0 0 0FNMA POOL # A0867 3% 2/ 3138ER6D7 4/7/2017 O/352017 106 1 ,4 0 0

__

0 -4FNMA POOL 8 AL9867 3% 2 3138ER6D7 4/72017 9252017

_

97 100

_

3 0 0 0

_

-3FNMA POOL 0 AL9867 3% 2 3138ER6D7 4/72017 10252017 1 01 104 -3 0 0 0 3FNMAPOOL8 AL98673% 2/ 3138ER6D7 4/72017 11252017 92 95 3 0 0 0 -FNMA POOL b AL9B87 3% 7/ 3138ER6D7 422017 12!252017 - --^ 96 99 -3

_

p 0

_

0 -- ---- - ---31277 FNMA POOL 0 AL9867 3% 2/ 1 3138ER6D7

-

4/72017 1252018 108 0 112 -4 0 0 0 -41234 FNMA AL91219%7 3138ERD31 71/12016 2/142017 9,217 8,322 0 -105

FNMA AL9121 4 0% 7 313SERD31 11/1201 6 225/2017 241_ _

256

____

-15 0 0

_

-15FNMAAL9596 40% 313BERX21 822/2017 10252017 170 180 - 10 0 0 -10FN1996 4 0% 3

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8222017 11112017 9,289 9,390 101 0 0 0 -101FNMA ALM96 40%7 _3138ERX21

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822/2017 11252017 - - -- 158_

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_

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_

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0 0NMAPOOLAS7844 30° 3 WEB 8/ 192017 7252017 98 99 -1 0 0 -1FNMA POOL 4578443 0° 3138NRNJE8 41192017 8252017 101 101 0 0 0MA O457844 _ 7 0° 713WWWEB 41192017 _ _ 9!15/1017 69 0 70

___ __

---

-

-1



Lone Term CG Distributions 327 972Short Term CG Dmtnbullons 0 10928577 0 0 9943553 983018 0 0 0 983 . 018

C.90 , Olin, F M V Adjusted S.W. Eccosa at FMV Gain MinusAWUle4bn Sale Data Goss Deprctlelbn Bede Plus a of a of Ovar E.cesa FMV per

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_

3,767__

0 0 0 66 51246 ACCENTURE PLC-CLA G1 757C101 11/162016 6/292017 1 , 474 0 1 . 4 09 65 0 0 0 651247 ACCENTl1RE PLC-CLA G1151C101 11282016 6(292017 7372 0 7.266 106 0 0 0 1051248 ACCENNRE PLC-CL A _ _ _G1151C701 3202017 71712077 7216 0 3,240 24 0 0 0 -241249 EATON CORP PLC _ 629783103

- - - --

71/162016_ _5/12017

-3,809

-0 3,262 547

__

0 0 0 5471250 EATON CORP PLC 029183103 802015 8/82017 - 734 - - - - --0 ---- - 542 - ---192 0

_

0 --- - 0 - - 1921251 EATON CORP PLC_ __ ___ 628183103 BM2015 0 86 1 723 1,7271252 EATON CORP_. _PLC___ 629103103 111162016 8/82017 734 0 508 226 0 0 0 2261253 INGERSOLL-RAND PLC 647791101 11116/2016

__70202017 972 0 753 179 0 0 0 179

1254 EATON CORP PLC 629183103 11/302012 810/2017 26,435 15480 10 . 95 0 0 0 510 . 951255 EATON CORP PLC _ 029183103

------

_11/702012 10202017 3 156

--- -- -

0

-------

1,720

-----

1,43p 0

------- ----

0

-----

436

- ---- -1256 EATON CORP PLC 629183103 11/302012 12/15/2017 776 0 424 352 0 0 0 3521257 INGERSOLL RAND PLC 647791101 21162012 102012017 4,662 0 1.595 3 . 06 0 0 0 3 ,0671258 INGERSOLL-RAND P_LC 647791101-

--- --

_ 2/162012 _ _12/152017_ _ _ 2,614 0 957 7,657 0 0 0 1_ 657

- ---12591NVESCO LTD- _ __ G491BT108 111160016 5/12017 7608 0 3,516 - 92 - - ----^ 0 - 0 92

^ - -1260 INVESCO LTD 649187108 11/162016 10202017 1 20 - - 959 1 --- - 0 - - - 0 - 0 1611261 INVESCO LTD 649187108 7202016 10202017 3361 2.525 8 0 0 8381252INSCOLTD G4918T108 7202016 12/152017 2202 1,683 5 01263 JOHNSON CTLS INTL PLC 051502105 11/82016 8/B2017 5153

__

5.636 -d_

0

_

-0831284 JOHNSON CTLS INTL PLC 051502105 12/52016 8/82017 396 454 - 0 0 -58

M

5 NABORS INDUSTRIES LTD G6359F103 112017 176 176 08 NA90RS INDUSTRIES LTD 1,407 877 4 0

__4 30

1267 NABORS INDUSTRIES LTD G6359F I03 10282016 1/242017 341__

244

__

0 0 971268 NABORS INDUSTRIES LTD O9359F107 8/172016 1242017 1.193 702 4 0 01289NABORSINDUSTRIESLTD _ G6359F103 81172016 2017 3,959 Z08 0 _ _0 _ 1,4511270 FNMA POOL OMA2907 4 0 31418CGR9 1/112017 625/2017 58 61 0 0 0 31271 SEAGATE TECHNOLOGY G7945M107 4212017 5/192017 5,526 6296 -7

_

0 0 -7701272 ALLIED WORLD ASSURANC H01531104 4/182016 4/172017 2,133 1 0 _1273 ALLIED WORLD ASSURANC H01531104 4/182018 4/182017 2,657 1,833

_ _ _

8 0 0

__ _824

1274 ALLIED V.ORLD ASSURANC H01531104 4/152016 4/192017 2.648 1 794 8 0 0 8521275 ALLIED VWORLD ASSURANC X01531104 4/182016 4/192017 529 3 1 0 01278 BROADCOM LTD - Y0B877109

-

3/772016 3/172017 9082 6211 ___ 78817277 BROADCOM LTD Y0982710g 71%162016 3/172017 7,76.2 5.839 1,8 0 0 1,8231278 BROADCOM LTD Y09827109 12722016 3/172017 35.260 26 089 9.1 0 0 9.1711279 BROADCOM LTD 709627109 2/32016 3/172017 15,080

- - -^

9,001 8,079 0 0

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0

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6,079

--------1280 FNMA M0.7753 40%10 7141BCOF4 10/42017 11252017 56 0 -0 0-- - ---- --1287 FNMA MA3153 40%70 3141BCOF4 10/42017 12/552017 60 63 -0 0 -3

1282 GENERAL ELECTRIC CO 369604103 _ 923/2011 6/162017 358 0 _ 0 3,0721283 FNMA MA1153 40h111 8COFa_ 42017 -

-

0

----- --

0

- -- ---

-2

-- -1284 F N M A POOL #MA3038 4 31476CLU6 523%2017 6252017 102 1 0 01285 F N M A POOL #MA3038 4 31418CLU6 7212017 8252017 51 0 0 -01286 FNMAMA3155 30% 1 31418 COH0 45 0 0 -01287 FNMA MA3155 3 0% 1 31018COH0 9222017 7 137 1

_ _ _

0

___ _ __

0 -01288 FNMA MA3155 3 0% 1 31418COHO 922/2017 1252018 135 11289 FNMA MA31844 5% 1 31418CRE6 11/2/2017 12252017 84

-----7280 FNMA MA318d 4 5% 1 77d18CRE6 1 722017 1252018

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_-_ 0 -_ _ 51291 FIDELITY NATL INFORM 3 B7 37620MAM8 2!!2015 72017- 3/1 5 . 101 0 5 . 216 113 0 0 0 1137292 FIDELITY NATL INFORM 387 31620MAM8 2/32015 7242017 11678 0 1474 164 0 0 0 1 641293 FLORIDA ST HURRICANE 2 9 34074GDH4 4/102013 3177/1017 2014 0 20 000 384 0 0 0 7841294 FORD MOTOR CREDIT CO 3 3453979A6 10/312016 3/17/2017 10040

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0

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10, 196 -1 1561295 GNMA II MA7877 3 0% 361785757 8252016 2/202017 -1296 GNMA II MA3873 3 0% 7195757 82501 -47297 GENERAL ELECTRIC CO_ _ 769604103 _ ___ 11/18208_ 2017 _ 2 319 0

_

2,44 _ __0 0 __ _ -1287298 GENERAL ELECTRIC CO 369604103 122/2016 6/16(2017 8236 0 8O 2 1 2 1251299 GENERAL ELECTRIC CO 369604103 11/162018 6/162017 5 0 6 - 341300 GENERAL ELECTRIC CO 369604103_ __ _12/52016 6/162017 2 3 - ___ _1301 GENERAL ELECTRIC CO 369604103 923/2011 9/152017 54

_

0 34 0 2,0431302 DOSE SYSTEMS INC 00724F101 4152017 12/152017 3.375 0 24 8 8871303 ADOBE SYSTEMS INC 3 2 00724FAC5 1212015 3/1 Yt017 4 ,966 01304 VANTAGE DYN TOTAL RE 007565146 12!232016 5/12017 869 0 839 3

_30

1305 DVANTAGE DYN TOTAL RE 007565146 9/142016 5112017 10.831 0 10,426 40 4051306 DVANTAGE OYN TOTAL RE 007565146_ __ _ _ 9/742016 9/72017 40,000 0 38,4

-

1 _ 1,9167707 ADVANTAGE DVN TOTAL RE 00756574 9%1x%2018 10202017 1 604 87 715 0 0 0 1131308 ADVANTAGE DYN TOTAL RE 007565146 10/142015 10202017 10 396

_

0

__

9 535

_

861

_

0 0 0 6611309 FNMA POOL C AU6278 5 0• 3138x5605 1/6/2014 8252017 5 0 5 0 0 0 0 01310 FNML 0 AUGt78 5 0° 3138%5605 1/82014 1025/2017 5 0 0 0 01311 FNMA POOL # AY55B0 3 5 8222016 17107 .L4 0 4_,56 -140 _140


Part IV (990-PF ) - Capital Gains and Losses for Tax on Investment IncomeAm

Long Term CG O,st nbulions 327 . 972Short Term CG D,stnbullons 0 10926571 0 0 9947553 983018 0 0 0 983018

Cog or COmr F M V Adjusted Basis Eacees of FMV Gain Minus

AcyulNllon Dale Data Cross Depradalbn Be.,. Plus sot sot Over Excess FMV Over

D scrl bn of Pro Sob CUSP S Metrad A ul,ed So. Sales Pried Anowed A4 uslmenls Et se of Sale Gain or LOSS 12)31169 12/31/69 AC^rsled Basis Ad Bests or Lessee1312 FNMA POOL 9AU6278 50° 3138X5605 1x62014 11252017 5 0 6 -1 0 0 •1

1773 FNMA POOL71AU6278 50._ _ _ _ _ 3138X5605

---

1(52014 _ 17252017_ 103 0 113 •10_ 0 -10

7314 FNMA POOL N AY558035° 31 38YKFWB 6182078__

1/112017_

30577 0 3124__- ___ _-

{67 p ____ 0 _ E87

1315 FNMA POOL # AU6278 5 011 3138X5605_

1(62014 1252018

___

5 0

_ __

5

_

0

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0

_

0 0

1316 FNMAAY8429 3 5% BI 3138YNLK1 12182076 2/252017 79 0 81 -2 0 0 0 -2

1317 FNMA AYBd29 3-5% 313SYNLK1 12.18/2016 3252017 34 0 35 - ----0 0 0

1319 FNMAAY8429 35% 3138YNL81 12/8%2016 4252017 36 3 -1320 FNMAAY8429 35% 3138YNLK7 2/102017 4252017 9

-

0

7727 FNMA AY842B35% 3138YNLK1 2/102017 5/5/1017 4647 2 •23

1322 FNMA AY8429 3 5% 3138YNLK1 12/82016 5 /5/2017 B 218 B 74 -2 -24

1323 FNMA AY8429 3 5% 3138YNLKI 12/82016 525/2017 1 1 -0

1324 FNMA AY8d293 5% 3178YNLK1 12/82016 625/2017 2 1

1725 FNMA AY8429 75% 7778YNLK7 725/1017 4 -2

1]26 FNMA AY8429 35% 3138YNLKI 12/82016 8/252017 6 - •2

1327 FNMA AY8429 30% 3136YNLK1 12/82016 8252017 4 - .1

1378 FNMA AY8429 3 5% 138YNLK 12/82016 8262017 8866 88 731329 FNMAAY8429 35% 3t38YNLKI 12/8/2016 10/252017 18 1

-6-6

1330 FNMA POOL a BC0885 3 3140EU6X2 6212016 2252017 1 1 -1331 FNMA POOL 0 BC08853 31e0EU6X2 6212016 3242017 23,351 24,26 _ _ _

1332 FNMA POOLS BC0885 3 3140EU6X2 6212016 3252017 87 - -3

1333 FNMA POOL 9 BC0885 3

_

3140EU6X2 6/42017 9252017 91

1334 ADVANTAGE DYN TOTAL R 007565146 10114/2015 12/272017 152 748 1158 687 6,875

1017 ^_ _ 20,279 ___

--J

20,2

1336 ADVANTAGE DYN TOTAL R 007565146 SPW12 12/27/2017 17 012 13 2 7 760 7 760

1337 DREYFUS OPPORT SM CA 007568878 3/142017 10202017 21.500 1992 1 577 1 577

1]38 AERCAP IRELAND CAP LT 00772BAF5 22213017 3 / 17/2017 _ 5,228 5,2 .62 0 62

1339 GILENT TECHNOLOGIES 00846U107 11/162016 5112017

_ __

1,676

_ __

1 4 269 0 269

1340 AGILENT TECHNOLOGIES 00846U101 6/72017 10202017 3,364 3.0 340 0 340

1341 AGILENT TECHNOLOGIES 00846U101 6/72017 12/8/2017 20,804 18, 2 , 056 0 2,058

1342 AGILENT TECHNOLOGIES 00846U101 72017 12/ 152017 1.357

_

12 143 0 143

1743 ALEXANDRIA REAL ESTAT 015271AH2 9232016 3/172017 5.1 53 .28 3 0 -283

1344 ALEXION PHARMACEUTIC 015351109 11/42016 5/12017 2,092 94 01]45 LEXIOWPHARMACEUTIC 015351109 11/4x2016 BIt MOW 18628 2926 832 -632

1348 ALEXION PHARMACEUTIC 015351109 11/42016 10202017 1.949 1 9 37 37

7747 LEXION PFIARMACEUTIC 015751109 11/42016 10242017 19 , 0 19.67 152 0 0 0 152

1348 ALEXION PHARMACEUTICA 015351109 11/42016 12/152017 809 0 956 - 147 0 0 147

1749 Al1GN TECHNOLOGY INC 016255101 8/152017 10202017_

7,013-

0 2,664 349 0 349

7750 ALIGN TECHNOLOGY INC

__

016255101 6/15/2017

_

121752017 1 . 643 0 1 247 400

_

0 0 0 400

1351 ALLY FINANCIAL INC 02005N100 1/7/2015 5 112017 7171 0 3,697 . 526 0 0 0 _ 528_

1352 ALLY FINANCIAL INC

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02005N 100 V712015 1020201 7 3,873 0

_

276 0 _ 0 0

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276

1757 ALLY FINANCIAL INC 020050700_1/72015

_

12/15/2017 2 . 584 0 2 , 07 505 0 0 0 505

1354 ALPRABET INC/CA -CL A 02079030 5 71172015 1/72017 17.746 0 11 . 834 1 , 912 0 0 1 ,912

1355'LPHABETINC/CACLA _ 020790305 _ ____ 7/172015 5/12017 7,472 0 5569 7907 0 0 903

1756 ALPHABET INCICA{L A

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7/172015 10202017 10,05_____

0 6 . 861 3 .096 0 0 0 3 090

1357 LPHABET INC/CA-CLA 0207SK305 7/ 172015 12 / 152017 5 . 359 0 3 ,481 1.87 0 0 0 1878

7758 LPHABET INC/CACL A 020790305 7/172015 12/212017 51 33415 18,090 0 0 0 1 09_

7359 TRIA GROUP INC 02209S103 7/162015 0 1,054

_

251

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1360 ALTRIAGROUPINC

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022095103 3/162015 10/1132017 2 610

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0 2 , 081

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1361 AMAZON COM INC 92313510k 1/182016) 5 / 12017 6 .672 0 5223 1,449 0 .. . ..-0 -0

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1364 AMAZON COM INC 023135106 101302015 12/152017 2 2 0 2 202

11712 3117/2 98 4

1366 AMERICANTOWERCORP

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6/182015 /2017 ----16914 - -

7]67 AMERICAN TOWER CORP U7027X700 624(1015 352017 5 842 d 0 978

1]88 AMERICAN TOVWER CORP 03027X700 11/162016 3162017 3.437 3 0 309

1369 AMERICAN TOWER CORP 03027X1100 625/2015 3/62017

7770 AMERICAN TOWER CORP 07027X100 201 5/12017 2.288 7 0 575

1371 AMERICAN TOWER CORP 03027X100

-

6252015 6/212017 6918 1 0 1875

1372 AMERICAN TOWER CORP _ 03027X100 7/62015 6212017 17490 12725 476 0 4,765

777] AMERICAN TOWER CORP 03027X100 7/62015 10202017 2 084

__

1 424 66 0 0 660

1374 AMERICAN TOWER CORP 03027X100 10/312017 12/ 15/2017 1 , 715 7 718 0 0 -3

1375 AMERICAN TOWER CORP P 03027X308 6152014 3(672517 7t 22 ,121 0 0 __ 1

1778ERICAN TOVOER CORP P 03027X308 6Hrt016 7/62017 200_

209__• •11777 ELECTRONIC ARTS INC 285572108 2%2/1012017 11202017 10539 8441 2098 0 2098

7]76 ELECTRONIC ARTS INC 285512108 125(2017 11202017 19250 14.576 4 .674 0 0 4674

1778 ROCARTSINC 285 1 252017 17/ 152017 2,87 _ 0 1 ,384 3 0 ?

7780 EMPIRE STATE REALTY TRU 297204106 2272027 _SIi2Ui7 _ _ 6,043 -^ -_ _ __0 _ 7 022 21 ___ - - _ 0

• 4.



Long Term CG CoUlbb.ns 327972Short Telm CG Dislnbwufu 0 10926571 0 0 9947553 987018 0 0 0 993 ,018

Cost 0, Chile, F M V Adjusted Basis Excess of FMV Gain MinusAepu086n Dale Dale Gloss Deyeaelbn Be., Plus of of 000, Excess FMV Over

DescA bn el Pro Sold CUSIPI Method A Ired Sold Sales P_ 666,04 A4u,monls E> nse of Sets Glnu,LOa 1]/]169 13131/69 Ad Isd Basis Ad Basis .,Lossee1381 EMPIRE STATE REALTY TRU 292104106 1232017 10202017 1,22 0 1 . 227 2 0 0 0 -21382 EMPIRE STATE REALTV TRU 292104106 11180017 1 0/312017 5 224 5086 _ -82 0 0 _ 0 -821383 EMPIRE STATE REALTY TRU 292104106 11192017 10/312017 12W9 0 12 132 - 123 0

_

0 1271384 EMPIRE STATE REALTY TRU 292104106 1202017 10/772077 2 . 002 0

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2 ,021 ------19 -----0 ___ __ 0 -191365 EMPIRE STATE REALTY TRU 292104106 1232017 10/712017 7 . 206 0 7.361 .155 0 0 0 1551386 EMPIRE STATE REALTY TRU __ 292101106 _ _720/2017_ 11/12017 _ 13,975 ___ 0 14,142 - 167 _ 0 _ 0 0 _____ -1677787 ENTERPRISE PRODUCTS _2 _ 29779V804 5/52015 _ 71172077 5 , 033 0 5,065 - 31 0 0 -311388 EOUINIX INC 29444U700 9272017 10202017 2806 0 2644 16

___

0 0 0 1621359 EOUINIX INC _ 28444U700 0/272017 _12/1512011 1.371 ta322 49 01390 EXELON CORP 30161N101 8202015 5172017 2,062 0

__

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14 0 0 1 41391 EXELON CORP 30161N101 6112017 61122017 21 0 20

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_

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0 4,125 - 125 0 0 0 -1251398 EXXON MOBIL CORP 302310102 11/162016 5/12017 -'' - 1 638 - - -- -- --- 0 1724 -86 ---0 0 - 0 -861399 EMPIRE STATE REALTY TRU 292104106 1202017 10/312017 2 , 002 0 2.020 - 18 0 0 0 -181400 EXXON MOBIL CORP _ 302310102 _ 92Y1011 10202017 490 0 435 0 01401 FNMA POOL d BC0885 3 0° 3140EU6X2 8142017 12252017 65

_

0 65

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0

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0 0 01402 FNMA POOL 0 BC0885 30', 3140EU8X2 8142017 1025/2017 76 0 77 - 1 0 0 0 -1740] FNMA POOL 8 800085 30° 3140EU5X2_ 8142017 11252017 7B 0 78 0 0 0 01404 FNMA POOL N BCOM8 _ _7 0° 31d0EU6X2 8142017

__ ___ __

68

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0 0

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01405 FNMA 909007 40% 11

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7140F5AH8_12/912016 2252017 322 0 340

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1406 FNMA BC9007 4 0% 11 3140FSAH6 17/92016 3252017 298 0 314 - 16 0 0 0 -167407 FNMA BC9007 4 0%_1 I _ 3140FSAH6 _ _ _ _2/10/2017 _ 3/252017 50 0 52 2 0 0 -21408 FNMA 808007 40% 71 7140F5AM6 12/92516

_4/42017

_30.469 0 30 , 610 .141 0 0 0 .141

1409 FNMA BC9007 4 0% 11 3140F5AH6 2/702017 4 /42017 4 , 738 0 4 , 760 .22 0 0 0 221410 EXXON MOBIL CORP 30231G102 10252017 171152017__ 1 664 0 1 870 b 0 0 0 _ .61411 EXXON OBILCORP 1 708 30277G4P7 3202016 1752017 3,998 0 5059 b1 0 0 0 .611412

FACEBO

FACEBOOKINGA 30303M102 12/162014 102017 6 , 991 0 4 , 52 2 , 468 0 0 0 24681e 13 FACE_____000K INCA_ 30303M102-___ __ __ _ _ __4/82014 __ 1 02017 6408 __ 0__ 3,210. __------ 7198_ - __ _ _ __ -_-0 __ 0 __ 3,1981414 FACEBOOKINGA_____ __ 30303M102 4/84 _ 5/12017 5933 0 ,2762 3 657 0 o1415 FACEBOOK INCA 30303M 102 4/8=20113 10202017 7.70 0

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- --1418 FHLMC GOLD POOL749005 _ _ 31287CAE2 _2/192014 _2/152017 - 71 --- --- --- - -- 0 74 - - - 3 -0 0 ------ - 0 - 3- -

-1418 FHLMC GOLD POOL 749005 71287CAE2 2/182014 7%15/2017 - 77 - -^ - -- - - --0 - -76 7 0 0 --- -- 31420 FHLMC GOLD POOL 739005 31287CAE7 71192014 3/152017 10,077

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0 01423 AMERICAN TOWER CORP P 03027 X308 12/5/2016 3152017 216 0 205 11 0 0 0 111424 MGENINC ___ 565%6/ _031162BH2 __ 1010(2014 2/82017 5,684 0 5787 107 0 0 0 1031425 AMGEN INC 5 65% 6/ 031162BH2 2/24201 2

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0 871426 AMGEN INC 565%6/ 031162BH2 7242012 3/ 1512017 5 .633 0 9755, 36 0 0 36427 ANALOG DEVICES INC 072654105 _ _1272017 4212017 1,547 0

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,527 24 0 0 24,1diB ANDEAVOR 073A9Mt05

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__ -----1429 ANDEAVOR 03749M 105 1,702017 10202017 3.190 0 2 , 490 700 0 0 0 7001430 ANDEAVOR 03349M105 100(2617 12/ 152017 1,667 0 1 245 418 0 0 0 4187437 !WHEUSER -BUSH INBEV FI _2L2d2AN6 425!016 _ 71142017 5 243 0

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0 0 4971432 ANHEUSER -BUSH INBEV FI 035242AN6 1/732016 3 / 142017

_____

5 743 0 4 .988 255 0 0 0 2551433 APACHE CORP 3 25% 41152 037411029 8/82015 3/ 17/2017 5 . 10 0 4 99 113 0 0 0 1131434 APPLE INC 037833100 3/1Y2017_ 5112017 4,697 4,4S3 _ 244

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___1435 APPLE INC _037833100 __2272017__2272017 _ 6/5/2017 2,921 ____ 0 2,603 318 0 0 07478 APPLE INC 03783310 6 /52017 308

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218 90 0 0 0 901437 APPLE INC 037833100 31132077 6 /82017 18 ,613 0 16 , 699 1 , 914 0 0 0 1 , Q141438 APPLE INC _ 037833700

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9 , 134

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-----1438 APPLE INC 077837100 31132017 61212017 9,629 0 99 , 185 444 0 0 0 4441440 APPLE INC 037833100 10/1712017 10202017 5800 0 5 , 929 -729 0 0

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0 -1291441 __ PLE IN(L__ 01112017 12/5/2017 1 23. 0 869 55 0 0 00 557643 APPLE INC

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1443 APPLE INC 4 375% 5/1 03783313112 1202016 3/152017 5.058 0 4 984 74 0 0 0 741444 ARROWELECTRONICS INC __ 042735801 __ 2232015 3/15/2017 5,004 0 &992 12 0 0

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-------1445 ARROW ELECTRONICS INC 032775601-

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4Ti216 51192017 1 , 869 0 1,718 15 0 1517449 BP CAP MKTS P L C d 75A 055650976 212075 3 / 17/2017 5 270 5553 _ 287 _ _ 0_ 0 -287

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Long Term

CO

DlsvlbWOns 327.972Shod Term CG Drstnbwons 0 10 , 926 , 571 0 0 9.943.553 983 . 0% 0 0 0 983 . 018

Coal or ONer F M V A476ted BasIs Faces, of FMV GaW U/mnAoqubllbn Data Date Gross Deprecation Beds Plus a of a al Over Ext.. FMV Doer

DesW on of Pm Sap CUS'P' MetME A u4ed so. Sales Prlte Albved Ad aaente E. nso of sale Gelnor Loss IN]U69 17/31/99 Ad ed Bash AC Beals or Looses1450 BNY MELLON CORP BOND 05569M368 628/1012 3/10/2017 300,000 0 298 435 1,56 0 0 0 1 5651457 BNY MEIION CORP BOND _ _ 05569M368 _ 6282012 5/12017 15000 0 698 302 0 3027d-- BNY MELLON CORP BOND 05569M368 _628/2012 5/31/2017 372500 0 2,747 8,757 0 9.7571453 BNY MELLOW CORP BOND- 05565M368 6282012 10202017 5 . 8 00 0 5.626 174 0 0 0 1741454 BNY MELLON CORP BOND- 05569M368 6/282012 12/272017 40,00 0 39.042 958 0 0 9581455 BNV MELLON M/C MULTI-ST _ 05569M509 3/16/2017 5/1/2017 85,400 0 84,981 419 0 0 0 4197458 BNV MELLON M/C MULTI-ST 05569M509 3/16/2017 10202017_ 64,830 _U 60019 4,811

--

_Q

-0 0 4,871

1457 BNV MELLON M/C MULTI-ST 05569M509 6182015 10202017 35 , 171 0 31.316 3.855 0 0 0 3.8551458 BNV MELLON INTERMEDIAT 05569M814 6/172013 3/10/2017_ ___300,000 ___ 0 _ 313,023 - 1_3,023 _ 0 __ 0 0 __13,0231459 BNV MELLON IUIERME016T 05569MB14 6/17!!013

-

SI12017 77 500 0 18,128 -628 0 0 0 6281460 FNMA POOL 0 AU6278 5 0° 3138X5605

_1162014 8052017 - - ---- - 5 0 - - - - 5 --- - - 0 - - - - - 0

_

- - - 0 -- - - - - 0 - -- - -^ 01461 FLIGIO PE FUND VII SR GAIN 2.205 0 0 220 0 0 0 22,OS1492 FUGIO PE FUND VII L/F GAM

--- ----- ---- -229 933 229,933 0 0 0 22833

1463 FUGIO PE FUND VII SECTIO - - -- ----- - - ----- -------- ---- -- 18

__

18 0 0 .181464

_

FUGIO PE FUND VIII S/T GAIP 1,170 0 1 17 0 0 0 1 , 1701485 FUGIO PE FUND VIII L/F CAl_ __ 2`482 .22482 0 0 0 21821466 FUGIO PE FUND VIII 6ECTI0 99

_-_ ____ _ - -

1467 FUGUIO PE FUND IX FUND S 25_25

0 0 0 25

11/2/2018 11 . 12 51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

Part XVI-A , Lines 11a-11e 990-PF - Other Revenue

1234567891011121314151617181920

Unrelated Business Income Excluded by Section 512, 513, or 514

Prog ram Service RevenueBusiness

Code AmountExclusion

Code AmountRelated or ExemptFunction Income

REIMBURSEMENT OF FEES 42 142 , 180OTHER INCOME 42 711FUGIO PE FUND VII OTHER INCO 42 -56FUGION PE FUND IX OTHER INC 42 4FUGIO PE FUND VII UBTI 525990 -6 , 661FUGIO PE FUND VIII UBTI 525990 -5 , 128FUGIO PE FUND IX UBTI 525990 -150

„fa


Part VI. Line 6a (990 -PF) - Estimated Tax PaymentsDate Amount

1 Credit from prior year return 1 9,559

2 First quarter estimated tax payment 5/9/2017 2 4,800

3 Second quarter estimated tax payment 6/8/2017 3 5,740

4 Third quarter estimated tax payment 9/11/2017 4 6,770

5 Fourth quarter estimated tax payment 12/8/2017 5 3,730

6 Other payments 6

7 Total 7 30,599

11/2/2018 11 : 12:51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA

BNY MELLON FOUNDATION 31-1605320 Page 1 of 3

Continuation of Part XV, Line 3a (990-PF ) - Grants and Contributions Paid During the YearRecipient( s) paid during the year

NameUINVERISTY OF NEW YORKStreet160 CONCENT AVENUECity State Zip Code Foreign CountryNEW YORK NY 10031Relationship Foundation StatusNONE PCPurpose of grant/contribution AmountGENERAL OPERATION PURPOSE 100 , 000

NameTHE CITY COLLEGE FUNDStreet160 CONCENT AVENUE. SHEPARD HALL #5City State Zip Code Foreign CountryNEW YORK NY 10031Relationship Foundation StatusNONE PCPurpose of grant/contribution AmountGENERAL OPERATION PURPOSE 100 , 000

NameCODE2040Street

City State Zip Code Foreign CountrySAN FRANCISCO CA 94103Relationship Foundation Status

Purpose of grant/contribution

NameTHE TIDES FOUNDATIONStreet1014 TORNEY AVENUE

nt

City State Zip Code Foreign CountrySAND FRANCISCO CA 94129Relationship Foundation StatusNONE PCPurpose of grant/contribution AmountGENERAL OPERATION PURPOSE 100 , 000

NameGIRL SCOUT COUNCIL OF GREATER NEW YORK. INCStreet

City State Zip Code Foreign CountryNEW YORK NY 10005Relationship Foundation StatusNONE PCPurpose of grant/contribution Amount

GENERAL OPERATION PURPOSE 75,000

NameGRAHAM WINDHAMStreet1 PIERREPONT PLAZA , SUITE 901City State Zip Code Foreign Country

BROOKLYN NY 11201Relationship Foundation Status

Purpose of grant/contribution Amount

GENERAL OPERATION PURPOSE 100 ,000

11/2/2018 11 : 12.51 AM - XXXXXXX3560 - 44 - PIT - BANK OF NEW YORK MELLON CORP FDN-IMA


Continuation of Part XV , Line 3a (990-PF ) - Grants and Contributions Paid During the YearRecipient ( s) paid during the year

Name

MAYOR'S FUND TO ADVANCEStreet

City State Zip Code Foreign CountryNEW YORK NY 10007Relationship Foundation StatusNONE PCPurpose of grant/contribution AmountGENERAL OPERATION PURPOSE 100 , 000

NameTAPROOT FOUNDATIONStreet

City I State Zip Code Foreign Country

Relationship (Foundation Status

Purpose of grant/contribution AmountGENERAL OPERATION PURPOSE 100.000

NameYEAR UP - NEW YORKStreet

85 BROAD STREETCity State Zip Code Foreign CountryNEW YORK NY 10004Relationship Foundation StatusNONE PCPurpose of grant/contribution Amount

NameBUILD BOSTONStreet745 ATLANTIC AVENUE . 8TH FLOORCity State Zip Code ( Foreign CountryBOSTON MA 02111Relationship Foundation StatusNONE PCPurpose of grant/contribution AmountGENERAL OPERATION PURPOSE 100.000

Name

COLUMBIA UNIVERSITYStreet615 WEST 131ST STREET , 6TH FLOORCity State Zip Code Foreign CountryNEW YORK NY 10027Relationship Foundation Status


GENERAL OPERATION PURPOSE 250,000

Name

MASSCHALLENGE, INCStreet

City State Zip Code Foreign Country

BOSTON MA 02210Relationship Foundation StatusNONE PCPurpose of grant/contribution AmountGENERAL OPERATION PURPOSE 250 , 000



Continuation of Part XV, Line 3a (990-PF ) - Grants and Contributions Paid During the YearRecipient ( s) paid during the year

NameNEW YORK HALL OF SCIENCEStreet47-01 111TH STREETCity State Zip Code Foreign CountryNEW YORK NY 11368Relationship Foundation StatusNONE PCPurpose of granticontribution AmountGENERAL OPERATION PURPOSE 150 , 000

NameUNITED NATIONS FOUNDATION - GIRL UPStreet1750 PENNSYLVANIA AVENUE NW, STE 300City State Zip Code Foreign CountryWASHINGTON DC 20006Relationship Foundation StatusNONE PCPurpose of grant/contribution AmountGENERAL OPERATION PURPOSE 300.000

Name

Street


Relationship Foundation Status


Name

Street




Name

Street



Purpose of grant/contribution (Amount

Name

Street





Part VIII, Line 1 ( 990-PF) - Compensation of Officers, Directors , Trustees and Foundation Managers

Check'X' Avg His ExpenseNama it Business Street ci ty State Zip Code Forei g n Count ry Title Per Week Com p ensation Benefits Account

MONIGUE R HERENA C/O BNY MELLON NEW YORK NY 10286 CHAIRMAN 1 00 0

DAISEY HOLMES C/O BNY MELLON NEW YORK NY 10288 PRESIDENT 1 co 0

_-JOSEPH M SAMULSKI

---------_.-__-C/O BNY MELLON NEW YORK NY 10286 TREASURE 0 25 0

_------

R

JYOTI CHOPRA C/O BNY MELLON NEW YORK NY 10288 BOARD 0 25 0

MEMBER

- - - - - -- - --- ----KIMBERLY B DAVIS C/O BNY MELLON NEW YORK NY 10286 --- - - TREASURESURE 0 25 0

R_____ _-

JOANNE Y JAXTIMER C/O BNY MELLON NEW YORK NY 10286 BOARD_

0 25_-----_ -

0_

MEMBER8

BRIAN D OBERGFELL C/O BNY MELLON NEWYORK NY 10286 BOARD 025 0MEMBER

DOUGLAS SHULMAN C!O BNV MELLON NEW YORK NY 10286 BOARD 0 25 0

MEMBER8

Documents

11/2/2018 1.251 AM- XXXXX 3560- 44-'PIT ......11/2/2018 1.251 AM- XXXXX 3560- 44-'PIT - BANKOFNEWYORKMELLONCORPFDN-IMA-N 2949133504000 990-PF Return of Private Foundation MBNo 15450052