2018-11-14T16:50:14-06:00 2017-12-31 113518842 MARKS PANETH LLP 4 MANHATTANVILLE ROAD PURCHASE NY 10577 990PF 2017-01-01 133496263 The Kohlberg Foundation Inc KOHL 9142422388 111 Radio Circle Mt Kisco NY 10549 Nancy McCabe Exec. VP 9142422388 2018-11-14 1 Lawrence Goldberg P01246920 9145249000 65.51.91.130 2018-11-14 17:49:30 ES P 817252AD33D7940EC893A59D4D6CB92B4C783F05 DA0AA4DD40C1AD43D26BC340FF18C074B664187C 2017 2019-02-21 02:37:17Z X 238974146 X 36 X 1044750 1017005 5068011 5068011 18654446 128589772 18654446 -159115 87964 24608128 24827426 371897 0 371897 187700 0 187700 135508 0 135508 37599 0 37599 39903 7920 31983 1399851 1387714 12137 260639 81167 29472 3076 0 52745 0 52745 8398 0 8398 207771 123541 84230 2705087 1600342 951669 79787673 15787673 82492760 1600342 16739342 -57884632 23227084 18371156 7373722 7373722 785 1137 785 785 8084 8811 8811 175797063 131940834 150415295 18424896 10836808 11370355 32703357 43432712 69798930 45600 39352 9324 6248 6248 245315017 193599920 238974146 73 0 73 X 0 0 0 0 245315017 193599847 245315017 193599847 245315017 193599920 245315017 -57884632 6199862 193630247 30400 193599847 Sale of publicly traded securities P 126781018 109802734 16978284 16978284 Westbrook Real Estate Fund VII K-1 P 4135 4135 4135 Westbrook Real Estate Fund VIII K-1 P 51360 51360 51360 General Atlantic Partners K-1s P 879460 879460 879460 First Mark II K-1 P 1340 1340 1340 Kohlberg Partners VIIK-1 P 294898 294898 294898 Venture Lending and Leasing III K-1 P 4030 -4030 -4030 Venture Lending and Leasing III gain on disposition P 8715 8715 8715 Marathon P 128562 -128562 -128562 Secondary Opportunities Fund P 54570 54570 54570 Spindrift P 41076 41076 41076 Placer Creek P 68335 68335 68335 Capital Gains Dividends P 404865 404865 404865 18654446 0 14424464 270808910 0.053264 20499148 285041213 0.071916 25182221 302294102 0.083304 24314576 294890656 0.082453 17265219 296089697 0.058311 0.349248 0.069850 284891773 19899690 232271 20131961 16739342 464542 0 464542 0 464542 396728 0 0 396728 0 67814 0 0 0 0 0 0 0 0 1 1 0 1 1 NY 1 0 0 0 0 1 www.kohlbergfoundation.org The Kohlberg Foundation Inc 9142422388 111 Radio Circle Mount Kisco NY 10549 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0 0 0 Nancy Kohlberg 111 Radio Circle Mount Kisco NY 10549 President 0.50 0 0 0 Nancy McCabe 111 Radio Circle Mount Kisco NY 10549 Exec. VP/Treasurer 40.00 371897 66686 0 Jennifer Magnone 111 Radio Circle Mount Kisco NY 10549 Director/Secretary 0.50 0 0 0 Les Fagen 111 Radio Circle Mount Kisco NY 10549 Director 0.50 0 0 0 Rita Fragano 111 Radio Circle Mount Kisco NY 10549 Accountant 40.00 109024 41575 0 Amanda Dehann 111 Radio Circle Mount Kisco NY 10549 Office Manager 40.00 70508 27966 0 0 UBS 750 Washington Blvd 11th flr Stamford CT 06901 Financial services 996461 General Atlantic 600 Steamboat Rd Ste 105 Greenwich CT 06830 Financial services 372974 0 NONE 0 0 266479156 22751070 0 289230226 0 0 289230226 4338453 284891773 14244589 14244589 464542 464542 13780047 0 13780047 0 13780047 16739342 0 16739342 0 16739342 13780047 0 0 2941996 7727441 10389133 6452759 950677 28462006 16739342 0 0 0 13780047 2959295 0 0 31421301 0 0 0 0 0 0 2941996 28479305 7727441 10389133 6452759 950677 2959295 Nancy Kohlberg X A Home 141 Tompkins Avenue 3rd Floor Pleasantville NY 10570 PC Grant to further donee's exempt purpose 5000 Ability Beyond Disability 4 Berkshire Blvd Bethel CT 06801 PC Grant to further donee's exempt purpose 2000 Alliance for Justice 11 Dupont Circle NW 2nd Floor Washington DC 20036 PC Renew Annual Support for Judical Selection Watchdog Program. 50000 Animal Shelter of Martha's Vineyard Inc PO Box 1829 1 Pennywise Path Edgartown MA 02539 PC Support for the animal shelter of Martha's Vineyard. 2000 Bard College 23 Walters Road Annandale on Hudson NY 12504 PC Renew 2017 support for the Bard Prison Initiative: Gardens Program at Fishkill and Woodbourne Facilities and Food Systems 70000 Biodiversity Works PO Box 557 Edgartown MA 02539 PC Grant to further donee's exempt purpose 15000 Boston Med FlightNew England Life Flight Inc Robins Street Hangar 1727 Hanscom Air Force Base Bedford MA 01730 PC support for 2017 services to Martha's Vineyard residents. 25000 Boys & Girls Club of Northern Westchester 351 East Main Street Mount Kisco NY 10549 PC Grant to further donee's exempt purpose 5000 Brandeis University (Shuster Institute for Investigative Journalism) 415 South Street MS 043 Waltham MA 02454 PC Support for work for Incarcerated Clients and Post Incarcerated Clients. 10000 Brennan Center for Justice 161 Avenue of Americas 12th Floor New York NY 10013 PC For Programs in Democracy, Investigative Reporting and Criminal Justice Reform. 3000000 Camalotte Foundation c/o James Kohlberg 3000 Alpine Rd Ste 100 Menlo Park CA 92008 PF Corpus grant to further donee's exempt purpose 13800000 Camalotte Foundation c/o James Kohlberg 3000 Alpine Rd Ste 100 Menlo Park CA 92008 PF Current use grant to further donee's exempt purpose 2200000 Cardinal Brook Trust c/o Kahn Litwin Renza 800 South St 300 Waltham MA 02453 PF Corpus grant to further donee's exempt purpose 16000000 Center for Biological Diversity PO Box 710 Tucson AZ 857020710 PC Environmental legal defense-Trump border wall lawsuit 300000 CHAD Relief Foundation 125 East De La Guerra Suite 102 Santa Barbara CA 93101 PC support to provide assistance to refugees and local population in southern Chad. 2000 Chilmark Public Library PO Box 180 Chilmark MA 02535 PC Grant to further donee's exempt purpose 500 Chilmark Town Affairs Council Inc PO Box 365 Chilmark MA 02535 PC support for the Center's daycare and youth programs. 1000 College & Community Fellowship 475 Riverside Drive Suite 1626 New York NY 10115 PC Support for Career Advancement Program, Re-entry Technical Assistance, General Support, Core Program 75000 Council on Foundations 2121 Crystal Drive Suite 700 Arlington VA 22202 PC Grant to further donee's exempt purpose 21600 CUNY Graduate School of Journalism Foundation Inc 219 West 40th Street New York NY 10018 PC Dean's Opportunity Fund. Renewed Support. 1000000 Dana Farber Cancer InstituteJimmy Fund Walk 450 Brookline Ave Boston MA 02215 PC Support for the 2017 Jimmy Fund/Kohlberg Family walk in honor of Amy & Timmy 115000 Drive Change 630 Flushing Avenue 5 Brooklyn NY 11206 PC Working Capital for Commissary Project. 100000 Environmental Defense Fund 18 Tremont Street Boston MA 02108 PC Support Climate Corps Program. 10000 Exodus Transitional Community 2271 3rd Avenue New York NY 10035 PC For transitional housing project. 25000 Family Services of Westchester 1 Gateway Plaza Port Chester NY 10573 PC My 2nd Home-Elder Scholarships. 20000 Getting Out and Staying Out 75 East 116th Street New York NY 10029 PC Grant to further donee's exempt purpose 10000 Great Pond Foundation PO Box 2005 Edgartown MA 02539 PC Support for ecological work, education, and conservation activity related to the Martha's Vineyard "Great Ponds". 50000 Hampshire Country School 28 Patey Circle Rindge NH 03461 PC Grant to further donee's exempt purpose 20000 Hands Up For Haiti PO Box 913 Mount Kisco NY 10549 PC Grant to further donee's exempt purpose 10000 Hospice Care Westchester & Putnam Inc 540 White Plains Road Suite 300 Tarrytown NY 10591 PC Grant to further donee's exempt purpose 5000 Hospice of Martha's Vineyard PO Box 1748 Vineyard Haven MA 02568 PC Grant to further donee's exempt purpose 5000 Hudson Link for Higher Education 23 State Street Ossining NY 10562 PC For New Beginnings Housing Proposal for those returning from jail and prison. 300000 Hudson Link for Higher Education 23 State Street Ossining NY 10562 PC For programs, college and pre-college at Shawangunk Correctional Facility. 70000 Indivisible Fund PO Box 43884 Washington DC 20010 PC For 501 ( c) (3) activities per 05/10/17 proposal. 75000 Indivisible Fund PO Box 43884 Washington DC 20010 PC Second installment of matching challenge. For 501 ( c) (3) activities per 05/10/17 proposal. 75000 Indivisible Fund co Tides Foundation as fiscal sponsor PO Box 43884 Washington DC 20010 PC For 501 ( c) (3) activities per 05/10/17 proposal. 100000 Institute for Integrative Health 2200 Kernan Drive Baltimore MD 21207 PC Permanent Reserve Fund 5000000 Investigative Reporters and Editors Inc 141 Neff Annex-Umc Columbia MO 65211 PC Renewed support for their Total Newsroom Training Program. 150000 Island Elderly Housing Inc 60B Village Road Tisbury MA 02568 PC Grant to further donee's exempt purpose 5000 Island Grown Initiative 80 Stoney Hill Road Vineyard Haven MA 02568 PC In support of administrative platforms and strategic planning serving all farm programs. 50000 Island Housing Trust Corporation 346 State Road Vineyard Haven MA 02568 PC Grant to further donee's exempt purpose 15000 JUSTLEADERSHIPUSA 1900 Lexington Avenue New York NY 10035 PC For Membership program. 60000 Kisco Cares Foundation c/o Kisco Senior Living 5790 Fleet St Ste 300 Carlsbad CA 92008 PF Corpus grant to further donee's exempt purpose 14000000 Kisco Cares Foundation c/o Kisco Senior Living 5790 Fleet St Ste 300 Carlsbad CA 92008 PF Current use grant to further donee's exempt purpose 2000000 Kovin Foundation c/o Eccles Co 6 Beacon St Boston MA 20109 PF Corpus grant to further donee's exempt purpose 14000000 Kovin Foundation c/o Eccles Co 6 Beacon St Boston MA 20109 PF Current use grant to further donee's exempt purpose 2000000 Lawyer's Committee for Civil Rights Under Law 1401 New York Avenue NW Suite 400 Washington DC 20005 PC Grant to further donee's exempt purpose 10000 Martha's Vineyard Community Hospital 1 Hospital Rd Oak Bluff MA 02557 PC Grant to further donee's exempt purpose 75000 Martha's Vineyard Community Services 111 Edgartown Road Vineyard Haven MA 02568 PC Grant to further donee's exempt purpose 75000 Martha's Vineyard Preservation Trust PO Box 5277 Edgartown MA 02539 PC Grant to further donee's exempt purpose 5000 Martha's Vineyard Shellfish Group PO Box 1552 Oak Bluffs MA 02557 PC Support for Oyster Restoration program 2017. 35000 Marymount Manhattan College 221 East 71st Street New York NY 10021 PC For Bedford Hills Facility, Textbooks, Library and Business Programs. 50000 Massachusetts Audubon Society 208 South Great Road Lincoln MA 01773 PC Support Felix Neck Wildlife Sanctuary. 1000 Meserve-Kunhardt Foundation Ltd 48 Wheeler Avenue 3rd Floor Pleasantville NY 10570 PC For current programming and exhibitions. 150000 Meserve-Kunhardt Foundation Ltd 48 Wheeler Avenue 3rd Floor Pleasantville NY 10570 PC Phase II- Fourth annual grant. For films and ed outreach materical covering: MLK, Gordon Parks, Barack Obama and Bryan Stevenson 1200000 Mount Kisco Child Care Center 95 Radio Circle Mount Kisco NY 10549 PC Family Scholarships. 50000 Mount Kisco Volunteer Ambulance Corp 310 Lexington Avenue Mount Kisco NY 10549 PC Grant to further donee's exempt purpose 500 Mount Kisco Volunteer Fire Department 55 West Way Mount Kisco NY 10549 PC Grant to further donee's exempt purpose 500 National Center for Family Philanthropy 1101 Connecticut Avenue NW Suite 220 Washington DC 20036 PC Renew support Friends of the Family Program 2017. 3500 Neighbors Link 27 Columbus Avenue Mount Kisco NY 10549 PC Grant to further donee's exempt purpose 25000 Northern Westchester Hospital Foundation 400 East Main Street Mount Kisco NY 10549 PC Integrative Medicine program renewal. 100000 Northern Westchester Hospital Foundation 400 East Main Street Mount Kisco NY 10549 PC Nursing Education and Magnet program renewal. 100000 Open Door 165 Main Street Ossining NY 10562 PC Support for the Mount Kisco facility ($10,000) and general operating support ($10,000). 20000 Per Scholas Inc 804 East 138th Street 2nd Floor Bronx NY 10454 PC Donation - Spring Clean-Up (computer recycling project). 573 ProPublica Inc One Exchange Plaza 23rd Floor New York NY 10006 PC For renewed support, unrestricted 100000 Puppies Behind Bars 263 West 38th Street 4th Floor New York NY 10018 PC For programs at Bedford Hills Facility 10000 Rehabilitaion Through The Arts 12 Huntsville Road Katonah NY 10536 PC Grant to further donee's exempt purpose 1000 Schwab Charitable 1958 Summit Park Dr Sutie 200 Orlando FL 32810 PC 2016-2017 Les Fage annual discretionary grant allocation 95000 Schwab Charitable 1958 Summit Park Dr Sutie 200 Orlando FL 32810 PC For Les Fagen discretionay givning per JK letter and NSK instructions. 1000000 Sheriff's Meadow Foundation 57 David Avenue Vineyard Haven MA 02568 PC Grant to further donee's exempt purpose 6000 Sponsors Inc 338 Highway 99 North Euguene OR 97402 PC Captial projects (Tiny Houses and Technical Assistance Consulting). 250000 Sponsors Inc 338 Highway 99 North Euguene OR 97402 PC Grant to further donee's exempt purpose 100000 Swarthmore College 500 College Avenue Swarthmore PA 190811397 PC Educating Socially Responsible Business Leaders Career Services. 100000 Teatown Lake Reservation Inc 1600 Spring Valley Road Ossining NY 10562 PC Grant to further donee's exempt purpose 20000 Tenacity Inc 38 Everett Street Boston MA 02134 PC Grant to further donee's exempt purpose 25000 The Foundation Center 32 Old Slip 24th Floor New York NY 10005 PC Grant to further donee's exempt purpose 1000 The Marshall Project 156 West 56th Street Suite 701 New York NY 10019 PC Grant to further donee's exempt purpose 100000 The Merserve-Kunhardt Foundation 48 Wheeler Avenue 3rd Floor Pleasantville NY 10570 PC For Endowment Match. 250000 The Polly Hill Arboretum PO Box 561 809 State Road West Tisbury MA 02575 PC Grant to further donee's exempt purpose 5000 The Vineyard House Inc PO Box 4599 56 Short Hill Road Vineyard Haven MA 02568 PC Grant to further donee's exempt purpose 10000 United States Veterans Initiative 800 West 6th Street Suite 1505 Los Angeles CA 90017 PC Support for Outside the Wire Community College Program. 100000 University of San Diego 5998 Alcala Park San Diego CA 92110 PC Protect Student Veterans initiative 500000 Vineyard Committee on Hunger PO Box 1874 Vineyard Haven MA 02568 PC support for Island Food Pantry. 1000 Vineyard Conservation Society PO Box 2189 57 David Avenue Vineyard Haven MA 02568 PC support for legal defense fund for land preservation. 5000 Westchester Arc Foundation 265 Saw Mill River Road Hawthorne NY 10532 PC Grant to further donee's exempt purpose 1000 Westchester Land Trust 403 Harris Road Bedford Hills NY 10507 PC Grant to further donee's exempt purpose 1000 YMCA of Martha's Vineyard 111R Edgartown Vineyard Haven Rd Vineyard Haven MA 02568 PC Grant to further donee's exempt purpose 100000 Yorktown Heights Engine Company #1 PO Box 10 1916 Commerce Street Yorktown NY 10598 PC Grant to further donee's exempt purpose 500 Young Invincibles 1411 K Street NW 400 Washington DC 20005 PC Support for Young Voter Engagement 250000 Youth Inc 535 8th Avenue Suite 1400 New York NY 10018 PC Grant to further donee's exempt purpose 1000 79787673 Brennan Center for Justice 161 Avenue of Americas 12th Floor New York NY 10013 PC For Programs in Democracy, Investigative Reporting and Criminal Justice Reform. 3000000 CUNY Graduate School of Journalism Foundation Inc 219 West 40th Street New York NY 10018 PC Dean's Opportunity Fund. Renewed Support. 1000000 Dana Farber Cancer InstituteJimmy Fund Walk 450 Brookline Ave Boston MA 02215 PC Support for the 2017 Jimmy Fund/Kohlberg Family walk in honor of Amy & Timmy 115000 Individible Civic Engagement Inc c/o Tides Fdn PO Box 43884 Washington DC 20010 PC Support Democracy programs 1000000 Investigative Reporters and Editors Inc 141 Neff Annex-Umc Columbia MO 65211 PC Renewed support for their Total Newsroom Training Program. 150000 Kunhardt Film Foundation 48 Wheeler Avenue 3rd Floor Pleasantville NY 10570 PC Legacy grant for permanent reserve fund 20000000 Northern Westchester Hospital Foundation 400 East Main Street Mount Kisco NY 10549 PC Capital program 1000000 Northern Westchester Hospital Foundation 400 East Main Street Mount Kisco NY 10549 PC Integrative Medicine program renewal. 100000 Northern Westchester Hospital Foundation 400 East Main Street Mount Kisco NY 10549 PC Nursing Education and Magnet program renewal. 100000 Sponsors Inc 338 Highway 99 North Euguene OR 97402 PC Captial projects (Tiny Houses and Technical Assistance Consulting). 450000 Swarthmore College 500 College Avenue Swarthmore PA 190811397 PC Educating Socially Responsible Business Leaders Career Services. 100000 University of San Diego 5998 Alcala Park San Diego CA 92110 PC Protect Student Veterans initiative 500000 27515000 14 1044750 14 5068011 18 18654446 Rental RE income from passthroughs 14 29858 Other Portfolio income from passthroughs 14 -3 Misc other income from passthroughs 14 113452 Ordinary income from passthroughs 14 -55343 UBTI income from passthroughs 523000 -247079 -247079 24855171 0 24608092 0 0 0 0 0 0 0 0 0 0 Dylewsky, Goldberg & Brenner 31680 7920 23760 Prestige HR service fee 2780 0 2780 Marks Paneth 5443 0 5443 Software 2002-02-14 3410 3410 SL 3.000000000000 0 0 Software 2007-12-13 2540 2540 SL 3.000000000000 0 0 Software 2009-03-17 2738 2738 SL 3.000000000000 0 0 Lenovo 3 yr onsite warranty 2013-11-26 115 115 SL 3.000000000000 0 0 Projector 2006-01-12 1078 1078 SL 5.000000000000 0 0 Telephones 2010-01-15 5625 5625 SL 5.000000000000 0 0 Telephones 2010-09-09 3123 3123 SL 5.000000000000 0 0 Computer Hardware 2011-12-21 886 886 SL 5.000000000000 0 0 Computer Hardware 2011-12-21 754 754 SL 5.000000000000 0 0 DELL COMPUTER 2012-09-21 674 574 SL 5.000000000000 100 0 Lenovo Thinkpad 2013-11-26 1319 814 SL 5.000000000000 264 0 Furniture 1998-09-09 10239 10239 SL 7.000000000000 0 0 SOFTWARE 2015-01-05 380 254 SL 3.000000000000 126 0 SOFTWARE 2015-01-05 311 208 SL 3.000000000000 103 0 COMPUTER Hardware 2015-01-05 2091 836 SL 5.000000000000 420 0 HP Server Installation (Roundtable) 2015-02-06 5430 2082 SL 5.000000000000 1091 0 Firewall and router (plus labor Roundtable) 2015-07-30 1992 564 SL 5.000000000000 398 0 HP Desktop Pro (Amanda's computer) 2016-03-29 842 126 SL 5.000000000000 168 0 HP ProBook 650 (Janet's laptop) 2016-03-18 1050 171 SL 5.000000000000 205 0 HP Business P232 23" LED LCD Monitor (Janet) 2016-03-18 150 25 SL 5.000000000000 30 0 HP Business Desktop Prodesk 40 (Rita's computer) 2016-04-20 853 114 SL 5.000000000000 171 0 Camalotte Foundation c/o James Kohlberg 3000 Alpine Rd Ste 100 Menlo Park CA 92008 2017-12-05 13800000 Capital endowment grant to support grantee's 501(c)(3) exempt purposes 0 10/17/18 To the Foundation's knowledge, grantee has not diverted any of the grant funds from the purpose of the grant. The Foundation has not conducted any independent verification of the grant reports received as it has no reason to doubt their accuracy or reliabilty. Camalotte Foundation c/o James Kohlberg 3000 Alpine Rd Ste 100 Menlo Park CA 92008 2017-12-05 2200000 To support grantee's 501(c)(3) exempt purpose 0 10/17/18 To the Foundation's knowledge, grantee has not diverted any of the grant funds from the purpose of the grant. The Foundation has not conducted any independent verification of the grant reports received as it has no reason to doubt their accuracy or reliabilty. Cardinal Brook Trust c/o Kahn Litwin Renza 800 South St 300 Waltham MA 02453 2017-12-17 16000000 Capital endowment grant to support grantee's 501(c)(3) exempt purposes 0 09/07/18 To the Foundation's knowledge, grantee has not diverted any of the grant funds from the purpose of the grant. The Foundation has not conducted any independent verification of the grant reports received as it has no reason to doubt their accuracy or reliabilty. Kisco Cares Foundation c/o Kisco Senior Living 5790 Fleet St Ste 300 Carlsbad CA 92008 2017-12-05 14000000 Capital endowment grant to support grantee's 501(c)(3) exempt purposes 0 09/15/18 To the Foundation's knowledge, grantee has not diverted any of the grant funds from the purpose of the grant. The Foundation has not conducted any independent verification of the grant reports received as it has no reason to doubt their accuracy or reliability. Kisco Cares Foundation c/o Kisco Senior Living 5790 Fleet St Ste 300 Carlsbad CA 92008 2017-12-05 2000000 To support grantee's 501(c)(3) exempt purpose 0 09/15/18 To the Foundation's knowledge, grantee has not diverted any of the grant funds from the purpose of the grant. The Foundation has not conducted any independent verification of the grant reports received as it has no reason to doubt their accuracy or reliability. Kovin Foundation c/o Eccles Co 6 Beacon St Boston MA 20109 2017-11-09 2000000 To support grantee's 501(c)(3) exempt purpose 0 09/05/18 To the Foundation's knowledge, grantee has not diverted any of the grant funds from the purpose of the grant. The Foundation has not conducted any independent verification of the grant reports received as it has no reason to doubt their accuracy or reliability. Kovin Foundation c/o Eccles Co 6 Beacon St Boston MA 20109 2017-11-09 14000000 Capital endowment grant to support grantee's 501(c)(3) exempt purposes 0 09/05/18 To the Foundation's knowledge, grantee has not diverted any of the grant funds from the purpose of the grant. The Foundation has not conducted any independent verification of the grant reports received as it has no reason to doubt their accuracy or reliability. Form 4720 Exception explanation Form 990PF, Part VII-B, Line 1a (4) The organization pays reasonable compensation to an officer of the corporation. This meets the exception; therefore, Form 4720 has not been prepared. RESTORATION HARDWARE NTS CONV 144A RATE 0.000% MATURES 06/15/19 176000 198500 LGI HOMES INC NTS CONV B/E RATE 04.250% MATURES 11/15/19 82664 313763 ANI PHARMACEUTICALS INC NTS CONV RATE 03.000% MATURES 12/01/19 117434 114813 GOLDMAN SACHS 0.000% 012420 DTD012513 CONV FOR AAPL 162353 255791 WELLS FARGO & CO 0.000% 060520 DTD061213 CONV FOR INTC 111116 160400 WELLS FARGO & CO 0.000% 061020 DTD061713 CONVERTIBLE FOR IP 268505 255300 NEXTERA ENERGY PARTNERS LP NTS 144A RATE 01.500% MATURES 09/15/20 246596 249845 ACETO CORP NTS CONV B/E RATE 02.000% MATURES 11/01/20 237626 215700 ON SEMICONDUCTOR COPR NTS CONV RATE 01.000% MATURES 12/01/20 163607 229725 TTM TECHNOLOGIES INC CONV B/E RATE 01.750% MATURES 12/15/20 122041 205426 GOLMAN SACHS GROUP INC 0.000% 021921 DTD021914 CONVER FOR GOOG 194893 234161 JAZZ INVESTMENTS I LTD NTS CONV RATE 01.875% MATURES 08/15/21 261271 250470 BARCLAYS BK PLC CONV ZERO CPN RATE 00.000% MATURES 08/18/21 199520 180620 SOCIETE GENERALE SA MTN CONV B/E RATE 00.000% MATURES 11/16/21 150000 163440 AEGEAN MARINE PETROLEUM NTS CONV 144A RATE 04.250% MATURES 12/15/21 206463 139126 SUCAMPO PHARMACEUT NTS CONV B/E RATE 03.250% MATURES 12/15/21 202295 243562 NEW YORK MORTGAGE TRUST INC NTS RATE 06.250% MATURES 01/15/22 199783 203750 HERCULES CPTL INC NTS CONV B/E 144A RATE 04.375% MATURES 02/01/22 253655 257033 ATLAS AIR WORLDWIDE HOLDINGS RATE 02.250% MATURES 06/01/22 172649 229376 SYNAPTICS INC NTS CONV B/E RATE 00.500% MATURES 06/15/22 277541 276750 APOLLO COMMERCIAL NTS CONV B/E RATE 04.3750% MATURES 08/21/17 249371 253908 HANNON ARMSTRONG SUSTAIN CALL@MW+50BP RATE 04.125% MATURES 09/01/22 273165 277763 INTEGRATED DEVICE TECH NTS CONV RATE 00.875% MATURES 11/15/22 140511 167345 COWEN GROUP INC NTS CONV B/E 144A RATE 03.000% MATURES 12/15/22 218199 214200 REDWOOD TRUST INC NTS CONV B/E RATE 04.750% MATURES 08/15/23 249375 241250 VIAVI SOLUTIONS INC NTS CONV B/E 144A RATE 01.000% MATURES 03/01/24 199646 197126 FINISAR CORP NTS CONV B/E RATE 00.500% MATURES 12/15/36 271302 254710 HCI GROUP INC NTS CONV B/E 144A RATE 04.250% MATURES 03/01/37 275434 254064 AMTR FINL SVCS INC CONV B/E RATE 02.750% MATURES 12/15/11 214586 180000 TRINITY BIOTECH CONV B/E RATE 04.000% MATURES 04/01/45 262211 198908 TUTOR PERINI CORP NTS B/E RATE 02.875% MATURES 06/15/21 259756 275625 RPM INTL INC NTS B/E 5BP RATE 06.500% MATURES 02/15/18 134697 134690 VERISK ANALYTICS INC MED TERM NTS RATE 04.875% MATURES 01/15/19 116239 116735 AMERICAN TOWER CORP B/E CALL@MW+30BP RATE 03.400% MATURES 02/15/19 112996 113269 VALMONT INDUSTRIES INC +45BP RATE 06.625% MATURES 04/20/20 127558 130559 DISH DBS CORP NTS B/E CALL@MW+50BP RATE 05.125% MATURES 05/01/20 61898 64339 INTL GAME TECHNOLOGY B/E RATE 05.500% MATURES 06/15/20 53507 54730 L-3 COMMS CORP NTS B/E RATE 04.750% MATURES 07/15/20 110187 111515 EXPEDIA INC NTS B/E CALL@MW+50BP RATE 05.950% MATURES 08/15/20 131798 134486 TOTAL SYS SERVICES INC CALL@MW+37.5BP RATE 03.800% MATURES 04/01/21 13056 13325 GAP INC CALL@MW T+40BP RATE 05.950%MATURES 04/12/21 127657 130473 DISH DBS CORP NTS B/E CALL@MW+50BP RATE 06.750% MATURES 06/01/21 66450 65100 STEEL DYNAMICS INC NTS CALL@MW+50BP RATE 05.125% MATURES 10/01/21 29800 29725 AMER TOWER CORP CALL@MW T+50BP RATE 05.900% MATURES 11/01/21 20660 21016 MASCO CORP B/E 0BP RATE 05.950% MATURES 03/15/22 112810 117356 ARROW ELECTRONICS INC CALL@MW+30BP RATE 03.500% MATURES 04/01/22 74070 72965 TRANSDIGN INC NTS B/E CALL@MW+50BP RATE 06.000% MATURES 07/15/22 133701 132600 DAVITA INC NTS B/E CALL@MW+50BP RATE 05.750% MATURES 08/15/22 64216 63783 VERISK ANALYTICS INC NTS CALL@MW+40BP RATE 04.125% MATURES 09/12/22 26547 26100 FISERV INC NTS B/E RATE 03.500% MATURES 10/01/22 CALLABLE 135411 137921 DUN & BRADSTREET CORP CALL@MW+45BP RATE 04.625% MATURES 12/01/22 130286 132858 ARROW ELECTRONICS INC CALL@MW+40BP RATE 04.500% MATURES 03/01/23 23200 23140 TOTAL SYS SERVICES INC CALL@MW+30BP RATE 03.750% MATURES 06/01/23 115956 121488 CDW LLC/CDW FIN CORP CALL@MV+50BP RATE 05.000% MATURES 09/01/23 134235 135421 VIACOM INC B/E CALL@MW+30BP RATE 04.250% MATURES 09/01/23 CALLABLE 137509 136813 VERIZON COMMUNICATIONS CALL@MW+40BP RATE 05.150% MATURES 09/15/23 135988 136855 L BRANDS INC NTS B/E CALL@MW+50BP RATE 05.625% MATURES 10/15/23 129788 133765 HOST HOTELS & RESORTS LP CALL@MW+30BP RATE 03.750% MATURES 10/15/23 130509 133349 LAB CORP OF AMER HLDGS CALL@MW+25BP RATE 04.000% MATURES 11/01/23 132141 132884 CENTURYLINK INC NTS B/E CALL@MW+50BP RATE 07.500% MATURES 04/01/24 140598 132668 WILLIS NA INC NTS B/E CALL@MW+20BP RATE 03.600% MATURES 05/15/24 134333 134191 L-3 COMMUNICATIONS CORP CALL@MW+20BP RATE 03.950% MATURES 05/28/24 24140 23942 DAVITA HEALTHCARE PARTNE CALL@MW+50BP RATE 05.125% MATURES 07/15/24 37988 38380 MOTOROLA SOLUTIONS INC CALL@MW+30BP RATE 04.000% MATURES 09/01/24 134761 138464 ARROW ELECTRONICS INC CALL@MW+25BP RATE 03.250% MATURES 09/08/24 88454 87209 KLA-TENCOR CORP NTS B/E CALL@MW+37.5BP RATE 04.650% MATURES 11/01/24 122638 134503 AT&T INC NTS B/E CALL@MW+30BP RATE 03.950% MATURES 01/15/25 135907 135150 QVC INC B/E CALL@MW+30BP RATE 04.450% MATURES 02/15/25 131898 136689 MASCO CORP NTS B/E CALL@MW+40BP RATE 04.450% MATURES 04/01/25 19856 20146 DAVITA INC B/E CALL@MW+50BP RATE 05.000% MATUES 05/01/25 35793 36989 KRAFT HEINZ FOODS CO NTS CALL@MW+25BP RATE 03.950% MATURES 07/15/25 82713 82630 UNITED RENTALS NORTH AM CALL@MW+50BP RATE 05.500% MATURES 07/15/25 130740 134620 KOHLS CORP B/E CALL @MW+30BP RATE 4.250% MATURES 07/17/25 133200 138188 SALLY HOLDINGS/SALLY CAP CALL@MW+50BP RATE 05.625% MATURES 12/01/25 68513 66665 DISCOVERY COMM INC B/E CALL@MW+50BP RATE 04.900% MATURES 03/11/26 129132 136552 OMINICOM GROUP INC B/E CALL@MW+30BP RATE 03.600% MATURES 04/15/26 143706 143659 ISHARES MSCI EAFE ETF 15206293 17884473 SPDR S&P 500 EFT TR 4689601 5829039 CALVERT US LARGE CAP CORE RSPNB CLASS I 4553623 4755833 DFA EMERGING MARKETS CORE EQUITY FUND CLASS I 2043747 2334998 DFA US SMALL CAP FUND CLASS I 2100859 2227662 MAINGATE MLP FUND CL I 4126114 3473042 PAX GLOBAL ENVIRONMENTAL MARKETS FUND CLASS INSTITUTIONAL 4576237 4789761 WASATCH INTERNATIONAL GROWTH FUND 5127722 6461491 BLACKROCK STRATEGIC INCOME I 13062755 12903580 DOUBLE LINE TOTAL RETURN FUND INSTL 12130850 11837410 METROPOLITAN WEST TOTAL RETURN BOND FUND CLASS I 6576750 6433565 PIMCO INCOME FUND CLASS I 5009166 5013123 RIVERNORTH/DOUBLELINE STRATEGIC INCOME FUND I 3107007 3043471 UBS Select Government Capital Fund 267 267 ADIENT PLC 24783 41868 ALTRIA GROUP INC 228238 453454 ASTRAZENECA PLC SPON ADR 288799 379965 AT&T INC 445052 503496 BCE INC NEW CAD 498710 549715 BOEING COMPANY 160206 353892 BRIGHTHOUSE FINANCIAL INC 70445 73300 CHEVRON CORP 484593 563355 CHUBB LTD CHF 397907 533375 CISCO SYSTEMS INC 361986 587905 CONOCOPHILLIPS 584436 565367 CORNING INC 225450 358288 DIAGEO PLC NEW GB SPON ADR 356351 459995 DOWDUPONT INC 361813 541272 EXXON MOBILE CORP 418903 455838 GENL ELECTRIC CO 530619 404840 GENUINE PARTS CO 266455 338236 HCP INC 350741 286489 HSBC HOLDINGS PLC NEW GB SPON ADR 365924 369226 INTEL CORP 181313 362356 JOHNSON CTLS INTL PLC 476143 417305 JOHNSON & JOHNSON COM 361217 530936 JPMORGAN CHASE & CO 282599 545394 KIMBERLY CLARK CORP 318180 380079 LILLY ELI & CO 219019 354732 MERCK & CO INC NEW COM 463378 511494 METLIFE INC 404741 444928 MICROSOFT CORP 205992 453362 NEXTERA ENERGY INC COM 294377 546665 NOVARTIS AG SPON ADR 357172 403008 PFIZER INC 469124 532434 PHILIP MORRIS INTL INC 304681 396188 RAYTHEON CO NEW 220343 450840 ROYAL DUTCH SHELL PLC ADS REPSTG 2 CL B ORD SHS SPON ADR 525078 559978 SIEMENS AG SPON ADO 289574 286778 SUNTRUST BANKS INC 301178 300666 TRAVELERS COS INC/THE 285279 447612 UNILEVER NV NY SHS NEW NETHERLANDS SPON SPON ADR 314917 447744 WELLS FARGO & CO NEW 503668 539963 WELLTOWER INC REIT 509605 532480 3M CO 191543 353055 ACTIVISION BLIZZARD INC 243653 243782 ADOBE SYSTEMS INC(DELAWARE) 229893 552006 ALEXION PHARMACEUTICALS INC 341030 337842 ALIBABA GROUP HOLDINGS LTD SPON ADR 363304 862150 ALPHABETA INC CL A 286083 626773 ALPHABETA INC CL C 54298 104640 AMAZON.COM INC 589880 964813 BAIDU INC ADS REPSNTG CL A ORD SHS SPON ADR 465388 597236 BIOGEN INC 157615 226185 BIOMARIN PHARMACEUTICAL INC 206805 256364 CHIPOTLE MEXICAN GRILL INC CL A 313119 223998 COSTAR GROUP INC 242195 267255 EDWARDS LIFESCIENCES CORP 173110 262051 FACEBOOK INC CL A 227203 824951 ILLUMINA INC 237776 376895 INCYTE CORP 347829 307808 LOXO ONCOLOGY INC 115266 124166 MONSTER BEVERAGE CORP NEW COM 283623 397145 NETFLIX INC 337489 585478 PALO ATLO NETWORKS INC 358174 351480 PRICELINE GROUP INC NEW 356497 460501 REGENERON PHARMACEUTICLS INC 305653 328965 SALESFORCE.COM INC 429424 789727 SCHWAB CHARLES CORP NEW 195867 404539 SERVICENOW INC 531279 645431 SPLUNK INC 217780 312721 STARBUCKS CORP 216948 213927 VISA INC CL A 413451 972021 ACUSHNET HLDGS CORP 189430 202263 ADIETN PLC 315604 358557 AGREE REALTY CORP 49468 83655 ALASKA AIR GROUP INC 299401 331898 ALBANY INTL CORP NEW CL A 63063 77980 ALLETE INC NEW 132694 196385 ALLIANT ENERGY CORP 168029 236315 APPLIED INDL TECH INC 58856 92276 ARES CAPITAL CORP 287165 286862 AUTOLIV INC $0.20 154248 200659 AVERY DENNISON CORP 141556 214444 B&G FOODS INC CL A 462831 434243 BANCO LATINOAMERICANO DE COMERCIO EXTERIOR, S.A. ORD 266770 259693 BANK OF THE OZARKS INC 394413 481012 BGC PARTNERS INC CL A 173747 287090 BOK FINANCIAL CORP NEW 97277 181501 BROADRIDGE FINANCIAL SOLUTIONS INC 129509 226088 COLONY NORTHSTAR INC REIT CL A 314573 292632 CONSOLIDATED COMMUNICATIONS HOLDINGS INC 94506 67630 CRANE CO 136856 214931 CULLEN FROST BANKERS INC 199225 325880 DONALDSON CO INC 78194 106417 EAST WEST BANCORP INC 169615 262907 EASTGROUP PROPERTIES INC (MARYLAND CORP) 59446 92180 ENLINK MIDSTREAM LLC 159052 308106 ENTERCOM COMMUNICATIONS CORP 183987 176105 EPR PROPERTIES REIT 206010 245017 FIDELITY NATIONAL FINANCIAL IN COM 161567 254040 FORTIS INC CANANDA ORD CAD 79607 92628 GALLAGHER ARTHUR J & CO 132312 180538 GARMIN LTD SHS CHF 103151 138322 GRAMERCY PPTY TRUST REIT 264541 283183 GREAT PLAINS ENERGY INC 212114 246668 HB FULLER CO 185826 181273 HASBRO INC 188607 186325 HAWAIIAN HOLDINGS INC 96423 106479 HERCULES CAPITAL INC 138982 138206 HNI CORP 326923 283528 HOLLYFRONTIER CORP COM 161001 331291 HOPE BANCORP INC COM 195289 186862 HUBBELL INC 118934 158212 HUNTSMAN CORP 61509 250640 IDEX CORP 76832 132894 INGREDION INC COM 172634 211517 JAMES RIV GROUP HLDGS LTD 168974 170843 J2 GOLBAL IN COM 243003 249550 KAR AUCTION SVCS INC 233424 258460 LASALLE HOTEL PROPERTIES SBI 133819 159017 LEIDOS HLDGS INC 193905 287918 LINCOLN ELEC HOLDINGS NEW 84924 115391 LITTLEFUSE INC 87624 183181 MAXIM INTEGRATED PRODS INC 74679 122963 MEDICAL PROPERTIES TRUST INC REIT 355532 390952 MKS INSTRUMENTS INC 103423 106407 MSA SAFETY INC COM 107036 179381 MSC INDL DIRECT CO INC 54619 73365 NORDSON CORP 83262 221503 NORDSTROM INC 189442 198901 OMEGA HEALTHCARE INVS INC 448658 414312 PACKAGING CORP OF AMERICA 116920 197823 PACWEST BANCORP 333784 410458 PEBBLEBROOK HOTEL TR 150455 214991 PNM RESOURCES INC (HOLDING CO) 84988 124101 RAMCO-GERSHENSON PROPERTIES MD NEW SBI 113765 129550 RPM INTL INC (DELA) 167115 174873 SINCLAIR BROADCAST GROUP INC CL A 330441 421233 SNAP ON INC 360281 400019 STERIS PLC GBP 301283 382594 TANGER FACTORY OUTLET CENTERS INC 172570 171255 TARGA RESOURCES INVESTMENTS 212919 338553 TELEFLEX INC 147389 229163 TRAVELPORT WORLDWIDE LTD 330650 325064 TUPPERWARE BRANDS CORP 136986 138191 VALIDUS HOLDINGS LTD 290994 311971 VECTREN CORP 107603 163070 VERMILION ENERGY INC CAD 344219 333672 WASH TRUST BANCORP INC 114147 167791 ALLERGAN PLC 621254 415820 AMC NETWORKS INC CL A 107461 84419 ANADARKO PETROLEUM CORP 317786 460768 AUTODESK INC 139375 272663 BIOGEN INC 389332 457785 BIOVERATIV INC 39209 45239 BROADCOM LTD 67171 252790 CITRIX SYSTEMS INC 109289 174064 COMCAST CORP NEW CL A 439557 620415 CREE INC 71181 85793 DISCOVERY COMMUNICATIONS INC CL A 163112 130789 DOLBY LABORATORIES INC CL A 111306 174468 FLUOR CORP NEW 289338 265326 FREEPORT-MCMORAN INC 129195 233910 IMMUNOGEN INC 59895 27037 IONIS PHARMACEUTICALS INC 93753 176100 JOHNSON CTLS INTL PLC 353648 321610 LIBERTY MEDIA CORP-LIBERTY FORMULA ONE SER A 8105 13121 LIBERTY MEDIA CORP-LIBERTY FORMULA ONE SER C 8506 13186 LIBERTY SIRIUSXM GROUP SER A 30737 46442 LIBERTY SIRIUSXM GROUP SER C 69443 92844 LIBERTY INTERACTIVE CORP QVC GROUP COM SER A 179716 160855 LIBERTY BROADBAND CORP SER A 6710 13268 LIBERTY BROADBANK CORP 13129 26229 LIBERTY INTERACTIVE CORP COM 17959 35690 LIONS GATE ENTERTAINMENT CORP CL B 40455 49197 LOGMEIN INC 34766 50380 L3 TECHNOLOGIES INC 207965 355339 MEDTRONIC PLC 121873 129685 NATL-OILWELLVARCO INC 266456 182946 NOW INC COM 167468 81269 NUANCE COMMUNICATIONS INC 93774 94667 NUCOR CORP 163707 216935 PENTAIR PLC 113102 132271 SEAGATE TECHNOLOGY PLC SHS 384386 351205 TE CONNECTIVITY LTD CHF 225112 344330 TWITTER INC 154752 249104 UNITEDHEALTHCARE GROUP INC 252532 604722 VERTEX PHARMACEUTICAL INC 113321 224940 WEATHERFORD INTL PLC 860859 290732 WSTN DIGITAL CORP 82998 167490 ALTRIA GROUP INC 540752 591846 BERKSHIRE HATHAWAY INC NEW CL B 131580 191084 BLACKROCK INC 216745 343672 CA INC 205803 230264 CARNIVAL CORP NEW (PAIRED STOCK) 270747 372535 CHEVRON CORP 163190 205938 CINN FINANCIAL CORP 222521 260296 CISCO SYSTEMS INC 187984 269058 COCA COLA CO COM 150450 147045 CROWN CASTLE INTL CORP REIT 237780 246997 DIAGEO PLC NEW GB SPON ADR 210805 281254 DOMINION ENERGY INC 91684 107648 DUKE ENERGY CORP NEW 128460 146267 GENL DYNANICS CORP 288283 428873 GENL ELECTRIC CO 279331 161482 GEL MILLS INC 265903 249789 HASBRO INC 59047 68168 INTEL CORP 178735 268559 KINDER MORGAN INC 133832 129128 LILLY ELI & CO 200880 232518 LOWES COMPANIES INC 136239 181977 MERCK & CO INC NEW COM 211093 230707 MICROSOFT CORP 186206 306575 NEWMARKET CORP 149521 159353 NORFOLK STHN CORP 219371 406445 PAYCHEX INC 162751 211252 PFIZER INC 192923 234561 PHILIP MORRIS INTL INC 130724 125618 TARGET CORP 227499 268178 VERIZON COMMUNICATIONS INC 221275 218125 WELLS FARGO & CO NEW 326262 415954 LLP/LLC & other investment vehicles AT COST 43432712 69798930 Software 3410 3410 0 Software 2540 2540 0 Software 2738 2738 0 Lenovo 3 yr onsite warranty 115 115 0 Projector 1078 1078 0 Telephones 5625 5625 0 Telephones 3123 3123 0 Computer Hardware 886 886 0 Computer Hardware 754 754 0 DELL COMPUTER 674 674 0 Lenovo Thinkpad 1319 1078 241 Furniture 10239 10239 0 SOFTWARE 380 380 0 SOFTWARE 311 311 0 COMPUTER Hardware 2091 1256 835 HP Server Installation (Roundtable) 5430 3173 2257 Firewall and router (plus labor Roundtable) 1992 962 1030 HP Desktop Pro (Amanda's computer) 842 294 548 HP ProBook 650 (Janet's laptop) 1050 376 674 HP Business P232 23" LED LCD Monitor (Janet) 150 55 95 HP Business Desktop Prodesk 40 (Rita's computer) 853 285 568 Cummings and Lockwood legal 37599 0 37599 Deductions reported on 990-T 30400 Telephone 681 0 681 Office Supplies 2302 0 2302 Office Expense 5993 0 5993 Postage 2846 0 2846 Program expense 1430 0 1430 Insurance 38718 0 38718 Dues & Subscriptions 5055 0 5055 Miscellaneous 1636 0 1636 Meals & Entertainment 7177 0 7177 Licensing Fees 1593 0 1593 Computer/Audio 15905 0 15905 Other deductions - thru investments 46649 46649 0 Portfolio Deductions 76892 76892 0 Advertising 153 0 153 Moving and storage expense 741 0 741 Rental RE income from passthroughs 29858 29858 29858 Other Portfolio income from passthroughs -3 -3 -3 Misc other income from passthroughs 113452 113452 113452 Ordinary income from passthroughs -55343 -55343 -55343 UBTI income from passthroughs -247079 -247079 Investments - Book vs Tax 5296665 Non taxable distributions from investments 903197 Investment Advisory Fees UBS 996461 996461 0 Consulting Fees Roundtable Technology 11880 0 11880 Management fees General Atlantic 372974 372974 0 Management fees Westbrook VIII 13949 13949 0 management fees Westbrook VIII 4330 4330 0 consulting fees Calabrese 257 0 257 Foreign Taxes 81167 81167 0 Payroll Tax 29472 0 29472 Federal excise tax 150000 0 0