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IN PARTICULAR, GUIDE RESEARCH AND ADVOCACY TO IMPLEMENT TELEHEALTH IN SENIOR COMMUNITIES AND REDUCE UNNECESSARY EMERGENCY DEPARTMENT TRANSFERS. ADVOCACY AND RESEARCH IS CONDUCTED WITH THE GOAL OF BETTER CARE, WHEN NEEDED, AT LOWER COSTS TO THE PAYOR. 140759 IN ADDITION TO PROVIDING A GRANT TO THE UNIVERSITY OF ROCHESTER TO CO-SPONSOR THE 2017 D.HEALTH SUMMIT, THE FOUNDATION DIRECTLY PAID FOR COSTS OF A PRE-SUMMIT SESSION "REVOLUTIONIZING HEALTHCARE FOR SENIORS: A NEW BALLGAME FOR INVESTING IN AGING." THIS MEETING EXPLORED THE BUSINESS CASE FOR INVESTING AND ADVANCING IN CARE MODELS, PROGRAMS AND INITIATIVES FOR SUCCESSFUL AGING WITH LEADING HEALTHCARE EXPERTS. 45673 0 118352162 35115059 2111107 155578328 0 0 155578328 2333675 153244653 7662233 7662233 516237 516237 7145996 131332 7277328 0 7277328 11725472 0 11725472 0 11725472 7277328 0 0 16091591 12115073 19573324 3946700 8651201 60377889 11725472 0 0 0 7277328 4448144 0 0 64826033 0 0 0 0 0 0 16091591 48734442 12115073 19573324 3946700 8651201 4448144 GARY L WEST MARY E WEST GARY L WEST MARY E WEST X AMERICAN SOCIETY ON AGING 575 MARKET STREET SUITE 2100 SAN FRANCISCO CA 941052869 NONE PC TO SUPPORT BROAD DISSEMINATION OF RESOURCES AND EDUCATIONAL MATERIALS TO IMPROVE THE BUSINESS ACUMEN OF NON-PROFIT ORGANIZATIONS THAT SERVE OLDER ADULTS. 15000 AMERICAN SOCIETY ON AGING 575 MARKET STREET SUITE 2100 SAN FRANCISCO CA 941052869 NONE PC TO SUPPORT GENERAL OPERATIONS. 15000 ASSOCIATION OF FUNDRAISING PROFESSIONALS PO BOX 882088 SAN DIEGO CA 921682088 NONE PC TO SUPPORT GENERAL OPERATIONS. 1000 CALIFORNIA STATE UNIVERSITY SAN MARCOS FOUNDATION 333 SOUTH TWIN OAKS VALLEY ROAD SAN MARCOS CA 920960001 NONE PC TO SUPPORT SEVEN RESEARCH GRANTS FOR PALLIATIVE CARE-RELATED RESEARCH CONDUCTED BY FACULTY. 45000 CHALLENGE CENTER 5540 LAKE PARK WAY LA MESA CA 91942 NONE PC TO SUPPORT THE HEALTH, WELLNESS, AND INDEPENDENCE INITIATIVE FOR SENIORS. 34000 CHALLENGE CENTER 5540 LAKE PARK WAY LA MESA CA 91942 NONE PC TO SUPPORT THE HEALTH, WELLNESS, AND INDEPENDENCE INITIATIVE FOR SENIORS. 37500 CHALLENGE CENTER 5540 LAKE PARK WAY LA MESA CA 91942 NONE PC TO SUPPORT GENERAL OPERATIONS. 500 CREIGHTON UNIVERSITY 2500 CALIFORNIA PLAZA OMAHA NE 68178 NONE PC TO SUPPORT A COMMUNITY-BASED PILOT PROJECT SERVING SENIORS AT CREIGHTON UNIVERSITY SCHOOL OF DENTISTRY. 25000 ELDERHELP OF SAN DIEGO 3860 CALLE FORTUNADA SUITE 101 SAN DIEGO CA 92123 NONE PC TO SUPPORT A TECHNOLOGY UPGRADE PROJECT. 50000 GARY AND MARY WEST HEALTH POLICY CENTER INC 1909 K ST NW SUITE 730 WASHINGTON DC 20006 NONE POF TO SUPPORT SUCCESSFUL AGING OBJECTIVES IN THE AREAS OF HOME-BASED PRIMARY CARE, VALUE-BASED INSURANCE DESIGN, LONG-TERM SERVICES AND SUPPORTS, AND CARE COORDINATION. 3967676 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC TO SUPPORT DENTAL CENTER EFFORTS IN PROVIDING LOW-INCOME SENIORS WITH ORAL HEALTHCARE THROUGH AN INTEGRATED, COMMUNITY-BASED MODEL OF CARE. 1055685 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC CHALLENGE GRANT TO MATCH FUNDRAISING EFFORTS FOR OPERATING EXPENSES. 170890 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC TO SUPPORT GENERAL OPERATIONS. 2300 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC TO SUPPORT DENTAL CENTER EFFORTS IN PROVIDING LOW-INCOME SENIORS WITH ORAL HEALTHCARE THROUGH AN INTEGRATED, COMMUNITY-BASED MODEL OF CARE. 20000 GARY AND MARY WEST SENIOR SERVICES INC 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 NONE PC TO SUPPORT THE CREATION OF GARY & MARY WEST PACE CLINIC WITH A CAPITAL GRANT FOR NEW LOCATION BUILDOUT AND EQUIPMENT. 1000000 GIFFORD MEDICAL CENTER 44 SOUTH MAIN STREET RANDOLPH VT 05060 NONE PC TO SUPPORT GENERAL OPERATIONS. 1000 GRANTMAKERS IN AGING 2001 JEFFERSON DAVIS HIGHWAY SUITE 504 ARLINGTON VA 22202 NONE PC TO SUPPORT GENERAL OPERATIONS. 7500 GRANTMAKERS IN AGING 2001 JEFFERSON DAVIS HIGHWAY SUITE 504 ARLINGTON VA 22202 NONE PC TO SUPPORT GENERAL OPERATIONS. 20000 GRANTMAKERS IN HEALTH 1100 CONNECTICUT AVENUE NW SUITE 1200 WASHINGTON DC 200364110 NONE PC TO SUPPORT GENERAL OPERATIONS. 5750 HOME INSTEAD SENIOR CARE FOUNDATION 13323 CALIFORNIA STREET OMAHA NE 68154 NONE PF TO SUPPORT THE GIVE65 EVENT 2017: SOCIAL MEDIA CAMPAIGN. 10000 ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI - CENTER TO ADVANCE PALLIATIVE CARE 55 W 125TH ST SUITE 1302 NEW YORK NY 10027 NONE PC TO SUPPORT ACCESS TO HIGH QUALITY PALLIATIVE CARE. 250000 INTERCULTURAL SENIOR CENTER 3010 R STREET OMAHA NE 68107 NONE PC TO SUPPORT GENERAL OPERATING, HOME VISITATION PILOT, AND LANGUAGE CAPACITY BUILDING. 25000 INTERCULTURAL SENIOR CENTER 3010 R STREET OMAHA NE 68107 NONE PC TO SUPPORT SOCIAL SERVICES AND GENERAL OPERATIONS. 25000 INTERFAITH COMMUNITY SERVICES INC 550 WEST WASHINGTON AVENUE SUITE B ESCONDIDO CA 92025 NONE PC TO SUPPORT SENIOR SERVICES IN NORTH SAN DIEGO COUNTY. 37500 JEWISH FAMILY SERVICE OF SAN DIEGO TURK FAMILY CENTER 8804 BALBOA AVENUE SAN DIEGO CA 921231506 NONE PC TO SUPPORT FOODMOBILE FOR SENIORS. 12500 LEGAL AID SOCIETY OF SAN DIEGO INC 110 SOUTH EUCLID AVENUE SAN DIEGO CA 92114 NONE PC TO SUPPORT THE HEALTH ADVOCACY PROJECT AND CYBER CAFE AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 204076 MERRYMAKERS ASSOCIATION 12020 SHAMROCK PLAZA SUITE 200 OMAHA NE 68154 NONE PC MATCHING FUNDS FOR HOME INSTEAD'S GIVE65 CAMPAIGN 2017. 2500 MERRYMAKERS ASSOCIATION 12020 SHAMROCK PLAZA SUITE 200 OMAHA NE 68154 NONE PC TO SUPPORT SENIOR WELLNESS MUSIC PROJECT. 15000 NATIONAL FOUNDATION OF DENTISTRY FOR THE HANDICAPPED 1800 15TH STREET SUITE 100 DENVER CO 80202 NONE PC TO SUPPORT SAN DIEGO COUNTY DONATED DENTAL SERVICES PROGRAM. 26125 NOTRE DAME HOUSING INC 3439 STATE STREET OMAHA NE 68112 NONE PC TO SUPPORT KITCHEN EQUIPMENT UPGRADE. 20000 OMAHA COMMUNITY FOUNDATION 302 SOUTH 36TH STREET SUITE 100 OMAHA NE 68131 NONE PC TO SUPPORT GENERAL OPERATIONS. 550000 OUTLOOK NEBRASKA INC 4125 S 72ND STREET OMAHA NE 68127 NONE PC TO SUPPORT PROGRAMS TO IMPROVE THE QUALITY OF LIFE FOR BLIND AND VISUALLY IMPAIRED SENIORS. 19600 OUTLOOK NEBRASKA INC 4125 S 72ND STREET OMAHA NE 68127 NONE PC TO SUPPORT ADAPTIVE TECHNOLOGY TRAINING FOR SENIORS WITH VISION LOSS. 19342 PAWS'ITIVE TEAMS 10727 ESCOBAR DRIVE SAN DIEGO CA 92124 NONE PC TO SUPPORT PERSONNEL COSTS. 25000 REBUILDING TOGETHER OMAHA 7831 WAKELEY PLAZA OMAHA NE 68114 NONE PC TO SUPPORT HEALTHY AT HOME PROGRAM, SENIOR HOUSING REPAIRS. 50000 REBUILDING TOGETHER OMAHA 7831 WAKELEY PLAZA OMAHA NE 68114 NONE PC TO SUPPORT HEALTHY AT HOME PROGRAM, SENIOR HOUSING REPAIRS. 50000 SAN DIEGO REGIONAL ECONOMIC DEVELOPMENT FOUNDATION 530 B STREET SUITE 700 SAN DIEGO CA 92101 NONE PC TO SUPPORT AWARENESS FOR SAN DIEGO'S SENIOR ORAL HEALTH PROJECTS AND TO ATTRACT TOP TALENT TO THE REGION FOR SUCCESSFUL AGING INITIATIVES. 25000 SAN DIEGO REGIONAL ECONOMIC DEVELOPMENT FOUNDATION 530 B STREET SUITE 700 SAN DIEGO CA 92101 NONE PC TO SUPPORT AWARENESS FOR SAN DIEGO'S SENIOR ORAL HEALTH PROJECTS AND TO ATTRACT TOP TALENT TO THE REGION FOR SUCCESSFUL AGING INITIATIVES. 25000 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT EQUIPMENT NEEDED FOR HEPATITIS A PREVENTION. 11415 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT GENERAL OPERATIONS. 1500 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT GENERAL OPERATIONS FOR FY 2017 AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 254500 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT UPGRADES TO THE DINING ROOM OF THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 2093 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC CHALLENGE GRANT TO SUPPLEMENT THE FY 2018 GENERAL OPERATING GRANT. 100000 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT A TECHNOLOGY UPGRADE. 99100 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT GENERAL OPERATIONS FOR FY 2018 AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 152913 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT INTEGRATION OF DENTAL AND WELLNESS COORDINATION TEAMS. 123841 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT SERVING SENIORS' CIVIC ENGAGEMENT GROUP. 700 UC SAN DIEGO FOUNDATION 9500 GILMAN DRIVE 0664 LA JOLLA CA 920930664 NONE PC TO SUPPORT 2017 SENIOR HOUSING SYMPOSIUM OF THE UC SAN DIEGO CENTER FOR HEALTHY AGING. 2500 VOLUNTEERS ASSISTING SENIORS 1941 SOUTH 42ND STREET SUITE 312 OMAHA NE 68105 NONE PC MATCHING FUNDS FOR HOME INSTEAD'S GIVE65 CAMPAIGN 2017. 1500 VOLUNTEERS ASSISTING SENIORS 1941 SOUTH 42ND STREET SUITE 312 OMAHA NE 68105 NONE PC TO SUPPORT AN INTAKE COORDINATOR FOR SENIORS BENEFITS COUNSELING. 19000 VOLUNTEERS ASSISTING SENIORS 1941 SOUTH 42ND STREET SUITE 312 OMAHA NE 68105 NONE PC TO SUPPORT GENERAL OPERATIONS. 20000 8654506 AMERICAN SOCIETY ON AGING 575 MARKET STREET SUITE 2100 SAN FRANCISCO CA 941052869 NONE PC TO SUPPORT BROAD DISSEMINATION OF RESOURCES AND EDUCATIONAL MATERIALS TO IMPROVE THE BUSINESS ACUMEN OF NON-PROFIT ORGANIZATIONS THAT SERVE OLDER ADULTS. 15000 CHALLENGE CENTER 5540 LAKE PARK WAY LA MESA CA 91942 NONE PC TO SUPPORT THE HEALTH, WELLNESS, AND INDEPENDENCE INITIATIVE FOR SENIORS. 112500 GARY AND MARY WEST HEALTH INSTITUE 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 NONE PC TO SUPPORT 2018 HEALTHCARE COSTS INNOVATION SUMMIT: "TAKING BOLD ACTION AND CREATING ACCOUNTABILITY TO SOLVE OUR NATION'S HEALTHCARE COSTS CRISIS" WHICH IS PARTICULARLY DEVASTATING FOR VULNERABLE SENIORS. 750000 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC TO SUPPORT DENTAL CENTER EFFORTS IN PROVIDING LOW-INCOME SENIORS WITH ORAL HEALTHCARE THROUGH AN INTEGRATED, COMMUNITY-BASED MODEL OF CARE. 577304 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC CHALLENGE GRANT TO MATCH FUNDRAISING EFFORTS FOR OPERATING EXPENSES. 79110 GARY AND MARY WEST SENIOR SERVICES INC 10350 NORTH TORREY PINES ROAD LA JOLLA CA 92037 NONE PC TO SUPPORT THE CREATION OF GARY & MARY WEST PACE CLINIC WITH A CAPITAL GRANT FOR NEW LOCATION BUILDOUT AND EQUIPMENT. 2000000 ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI - CENTER TO ADVANCE PALLIATIVE CARE 55 W 125TH ST SUITE 1302 NEW YORK NY 10027 NONE PC TO SUPPORT ACCESS TO HIGH QUALITY PALLIATIVE CARE. 250000 INTERCULTURAL SENIOR CENTER 3010 R STREET OMAHA NE 68107 NONE PC TO SUPPORT SOCIAL SERVICES AND GENERAL OPERATIONS. 75000 INTERFAITH COMMUNITY SERVICES INC 550 WEST WASHINGTON AVENUE SUITE B ESCONDIDO CA 92025 NONE PC TO SUPPORT SENIOR SERVICES IN NORTH SAN DIEGO COUNTY. 37500 JEWISH FAMILY SERVICE OF SAN DIEGO TURK FAMILY CENTER 8804 BALBOA AVENUE SAN DIEGO CA 921231506 NONE PC TO SUPPORT FOODMOBILE FOR SENIORS. 12500 LEGAL AID SOCIETY OF SAN DIEGO INC 110 SOUTH EUCLID AVENUE SAN DIEGO CA 92114 NONE PC TO SUPPORT THE HEALTH ADVOCACY PROJECT AND CYBER CAFE AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 209000 OUTLOOK NEBRASKA INC 4125 S 72ND STREET OMAHA NE 68127 NONE PC ADAPTIVE TECHNOLOGY TRAINING FOR SENIORS WITH VISION LOSS. 19342 REBUILDING TOGETHER OMAHA 7831 WAKELEY PLAZA OMAHA NE 68114 NONE PC TO SUPPORT HEALTHY AT HOME PROGRAM, SENIOR HOUSING REPAIRS. 50000 SAN DIEGO REGIONAL ECONOMIC DEVELOPMENT FOUNDATION 530 B STREET SUITE 700 SAN DIEGO CA 92101 NONE PC TO SUPPORT AWARENESS FOR SAN DIEGO'S SENIOR ORAL HEALTH PROJECTS AND TO ATTRACT TOP TALENT TO THE REGION FOR SUCCESSFUL AGING INITIATIVES. 25000 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT GENERAL OPERATIONS FOR FY 2018 AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 152913 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT INTEGRATION OF DENTAL AND WELLNESS COORDINATION TEAMS. 123841 UNIVERSITY OF ROCHESTER CHET 265 CRITTENDEN BOULEVARD CU 420694 ROCHESTER NY 14642 NONE PC TO SUPPORT 2018 D.HEALTH SUMMIT "REVOLUTIONIZING HEALTHCARE: A NEW BALLGAME FOR INVESTING IN AGING." 150000 VOLUNTEERS ASSISTING SENIORS 1941 SOUTH 42ND STREET SUITE 312 OMAHA NE 68105 NONE PC TO SUPPORT GENERAL OPERATIONS. 60000 4699010 14 5674292 14 994487 18 6879493 0 13548272 0 13548272 0 0 0 0 0 0 0 0 0 0 X X 1 GARY L WEST 2013 DE TRUST 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 1297898 X 2 MARY E WEST 2013 DE TRUST 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 1297898 X 3 GARY L WEST 2013 DE TRUST 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 456402 X 4 MARY E WEST 2013 DE TRUST 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 456403 X 5 WEST DEVELOPMENT LLC 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 77148 X 1 43,343 SHARES OF SUN COMMUNITIES INC 3473941 2017-02-15 2 43,343 SHARES OF SUN COMMUNITIES INC 3473941 2017-02-15 3 127,155.500 SHARES OF LEVEL 3 COMMUNICATIONS INC COM NEW 7358489 2017-02-15 4 127,155.500 SHARES OF LEVEL 3 COMMUNICATIONS INC COM NEW 7358489 2017-02-15 ACCOUNTING FEES 37700 30160 7540 GARY AND MARY WEST HEALTH POLICY CENTER INC (EIN 27-5388874) 1909 K STREET NW SUITE 730 WASHINGTON DC 20006 2017-01-05 3967676 TO SUPPORT THE GARY AND MARY WEST HEALTH POLICY CENTER (THE "POLICY CENTER") IN CARRYING OUT ITS CHARITABLE PURPOSES RELATED TO RESEARCH OBJECTIVES IN THE AREAS OF MEDICARE REFORM AND VALUE-BASED INSURANCE DESIGN. THE AMOUNT EXPENDED BY THE POLICY CENTER IN 2017 WAS $3,886,158. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION WAS $3,967,676. $81,518 OF FUNDS, IN EXCESS OF EXPENDITURES IN 2017, WAS RETURNED TO THE FOUNDATION IN 2018. SIMILARLY, $115,504 WAS REFUNDED IN 2017 FOR EXCESS DISTRIBUTIONS IN 2016. 3886158 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED. MIDTERM 08/04/17, FINAL 02/06/18. MONTHLY EXPENSE REPORTS THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE, BEYOND THE RECEIPT AND REVIEW OF THE RECONCILIATION TO THE GRANTEE'S AUDITED FINANCIAL STATEMENTS. FORM 990-PF; PART VII-B; QUESTION 1A(4) WEST FAMILY INVESTMENTS, INC. PROVIDED INVESTMENT MANAGEMENT SERVICES TO THE GARY AND MARY WEST FOUNDATION DURING 2017 FOR A MARKET BASED FEE. WEST FAMILY INVESTMENTS, INC. IS OWNED BY GARY AND MARY WEST, SUBSTANTIAL CONTRIBUTORS TO THE FOUNDATION AND TWO ADDITIONAL MEMBERS OF THE FOUNDATION. THIS IS EXCEPTED FROM SELF-DEALING BY IRC SECTION 4941(D)(2)(E).WEST DEVELOPMENT, LLC PROVIDED PROFESSIONAL INFORMATION TECHNOLOGY SERVICES TO THE GARY AND MARY WEST FOUNDATION DURING 2017 FOR A MARKET BASED FEE. WEST FAMILY HOLDINGS, LLC IS THE SOLE MEMBER OF WEST DEVELOPMENT, LLC. THE TWO MEMBERS OF WEST FAMILY HOLDINGS, LLC ARE THE GARY L. WEST 2010 REVOCABLE LIVING TRUST AND THE MARY E. WEST 2010 REVOCABLE LIVING TRUST. BOTH MEMBERS OWN 50% OF WEST FAMILY HOLDINGS, LLC. THIS IS EXCEPTED FROM SELF-DEALING BY IRC SECTION 4941(D)(2)(E). EXPLANATION PART XV, QUESTION 1B GARY WEST AND MARY WEST COLLECTIVELY OWN 10% OR MORE OF PASSIVE INVESTMENT PARTNERSHIPS. FORM 990-PF THE FOUNDATION'S FINANCIAL STATEMENTS ARE PREPARED IN ACCORDANCE WITHACCOUNTING PRINCIPLES GENERALLY ACCEPTED IN THE UNITED STATES OFAMERICA (U.S. GAAP). ACCORDINGLY, THE FOUNDATION'S BOOKS ARE ON THEACCRUAL BASIS AND IT RECORDS FIXED-INCOME, EQUITY SECURITIES,DERIVATIVE CONTRACTS, MUTUAL FUNDS, AND ALTERNATIVE INVESTMENTS AT FAIRVALUE IN THE FINANCIAL STATEMENTS AND THE TAX RETURN IN ACCORDANCE WITHFINANCIAL ACCOUNTING STANDARDS BOARD, ASC 820, FAIR VALUE MEASUREMENTS. ELM PARK ADVANTEDGE 668784 668784 GREAT CIRCLE TERM LOAN 992669 992669 PVTPL PFD TERM SECS XVII LTD/PFD 71995 71995 PVTPL PFD TERM SECS XXVI LTD 69280 69280 PVTPL TRAPEZA CDO XI LTD/TRAPEZA 691829 691829 PVTPL TRAPEZA CDO XIII LTD 83441 83441 REDDY ICE CORP TERM LOAN 451890 451890 SEADRILL LTD 85000 85000 THORNBURG MORTGAGE, INC 10 10 THORNBURG MORTGAGE, INC 12 12 TRAPEZA CDO XII 412457 412457 WBB TERM LOAN 498750 498750 ACACIA MINING CMN 132771 132771 AGNC INVT CORP COM 528978 528978 ANNALY CAPITAL MANAGEMENT, INC CMN 3148520 3148520 BANCO LATINOAMERICANO EXPORT CMN CLASS E 2166069 2166069 BROOKDALE SENIOR LIVING, INC CMN 2096568 2096568 CENTURYLINK INC COM 8428020 8428020 CHIMERA INVESTMENT CORPORATION CMN 15669654 15669654 CISCO SYSTEMS, INC CMN 3830000 3830000 COMCAST CORPORATION CMN CLASS A NON VOTING 4806000 4806000 CORPORATE CAP TR INC COM 1499515 1499515 CYS INVESTMENTS, INC CMN 2003846 2003846 ELLINGTON RESIDENTIAL MORT REIT CMN 17252 17252 EXCHANGE BK SANTA ROSA CALIF CMN 1028736 1028736 EXELON CORPORATION CMN 709380 709380 FIDUS INVESTMENT CORPORATION CMN 1271295 1271295 CAUTIVO MINING INC COM 2393 2393 GENERAL ELECTRIC CO CMN 367270 367270 GENERAL MOTORS COMPANY CMN 776597 776597 GOLDMAN SACHS GROUP, INC CMN 4203540 4203540 GRANITE PT MTG TR INC COM 330124 330124 HORIZON TECHNOLOGY FINANCE CORPORATION CMN 4185 4185 ISTAR FINANCIAL INC PFD 7.5% SERIES I 187731 187731 KINDER MORGAN INC CMN CLASS P 50596 50596 LARGO RESOURCES LTD COMMON STOCK 2143498 2143498 MEDLEY CAPITAL CORPORATION CMN 425253 425253 MFA FINANCIAL, INC CMN 1131079 1131079 MFC ALPS ETF TR ALERIAN MLP ETF 1156213 1156213 MLP ENERGY TRANSFER PARTNERS LP 95352 95352 MONDELEZ INTERNATIONAL, INC CMN 856000 856000 MONROE CAP CORP COM 226476 226476 MOTORS LIQUIDATION COMPANY GUC TRUST 23674 23674 MVC CAPITAL, INC CLOSED END FUND 1194896 1194896 NEW MOUNTAIN FINANCE CORP CMN 1087740 1087740 NEW RESIDENTIAL INVESTMENT CORP CMN 286080 286080 NSTAR ELEC CO 746700 746700 NUSTAR ENERGY LP PFD SER C 382261 382261 PENNANTPARK FLOATING RATE CAT LTD 754353 754353 PENNANTPARK INVESTMENT CORP MUTUAL FUND 1459896 1459896 PFIZER, INC CMN 2548874 2548874 REDDY ICE HOLDINGS, INC CMN 17486 17486 REDDY ICE HOLDINGS, INC CONV PFD 19345 19345 REVERSE MORTGAGE INVESTMENT TR INC COM 975000 975000 SIERRA METALS, INC CMN 764574 764574 SOLAR CAPITAL LTD CMN 2112895 2112895 SOLAR SENIOR CAPITAL LTD CMN 1703486 1703486 STARWOOD PROPERTY TRUST INC CMN 1547918 1547918 SUTHERLAND ASSET MANAGEMENT CORPORATION COM 398612 398612 SYNCHRONY FINANCIAL CMN 1233474 1233474 TCG BDC INC COM 407193 407193 TCP CAP CORP 256383 256383 TETRAGON FINANCIAL GROUP LTD CMN 441161 441161 THL CREDIT INC CMN 890049 890049 TRANSATLANTIC PETROLEUM LTD CMN 76128 76128 TRANSOCEAN LTD CMN 177288 177288 TWO HARBORS INVESMENT CORP 975194 975194 VALE SA ADR 55035 55035 ZIMMER HLDGS, INC CMN 241340 241340 ZOETIS, INC CMN CLASS A 1525375 1525375 ARENA-PLASTIC VENTURES FMV 500 500 ARIAS RESOURCE CAPITAL FMV 1229957 1229957 BLUE RIVER ARBITRAGE FMV 2443639 2443639 CENTURYLINK INC L3 DISTN PUT OPTION FMV 157500 157500 DIALECTIC ANTITHESIS OFF FMV 374767 374767 ELM PARK CREDIT OPP FUND II FMV 415575 415575 EMERGING EUROPE FMV 1047786 1047786 ETON PARK OVERSEAS FUND FMV 142151 142151 FORTRESS MSR FMV 589712 589712 GCP FUND III REIT & CORP FMV 3990451 3990451 GCP FUND IV REIT FMV 168906 168906 GLOBAL PARTNERS FMV 1852414 1852414 GS ANCHORAGE FMV 5013 5013 GS MEZZANINE FMV 139910 139910 GS MIDDLE MARKET LENDING CORP FMV 667496 667496 INVESCO MORTG RECOVERY FMV 72838 72838 LARGO RES LTD WARRANT CERT W-2016-63 FMV 169224 169224 MARATHON EUROPEAN CREDIT FMV 167518 167518 OAKTREE RE DEBT FUND CAYMAN FMV 481332 481332 OAKTREE RE DEBT II FEED CAYMAN FMV 60656 60656 OHA EUROPEAN SCF OFFSHORE FMV 309833 309833 OHA SCF PARALLEL FMV 64399 64399 PONDFIELD CAPITAL, LLC FMV 2047321 2047321 SCG ATLAS FMV 861472 861472 SKELLIG OFFSHORE FMV 48810 48810 STARWOOD OPPORTUNITY FUND FMV 591569 591569 SUMMIT WATER DEVELOPMENT FMV 111935 111935 TACONIC EUROPEAN FUND II FMV 89529 89529 TACONIC SIDECAR OFFSHORE III FMV 2184921 2184921 VWH OFFSHORE FUND LP FMV 8748 8748 WTS/GENERAL MOTORS COMPANY FMV 6255 6255 XPV WATER FUND FMV 1109115 1109115 FURNITURE & EQUIPMENT 288416 147986 140430 140430 COMPUTER EQUIPMENT 93448 76673 16775 16775 LEASEHOLD IMPROVEMENTS 558014 221597 336417 336417 LEGAL FEES 18995 594 18410 SECURITY DEPOSIT 15096 15096 15096 INTEREST RECEIVABLE 152712 69554 69554 DIVIDENDS RECEIVABLE 883330 752289 752289 PARTNERSHIP DISTRIBUTION RECEIVABLE 73864 218984 218984 NT - TRANSACTIONS RECEIVABLE 73380 299743 299743 UNREALIZED LOSS ON INVESTMENTS 836047 GRANTEE PROJECT EXPENSES 505157 0 468623 DUES & SUBSCRIPTIONS 48731 130 43495 COMPUTER EXPENSE 43678 10919 31803 TELEPHONE 28178 7045 21762 INSURANCE 19599 4451 17986 SUPPLIES 10060 2515 7207 FEES 7965 1991 5977 IT SUPPORT 5489 1372 2520 POSTAGE 3697 924 2821 MISCELLANEOUS EXPENSES 2225 556 1869 MINOR FURNITURE & EQUIPMENT 1807 452 1355 PARTNERSHIP INCOME 994219 994219 994219 LEGAL SETTLEMENT INCOME 273 273 273 FOREIGN CURRENCY LOSS -5 -5 -5 UNREALIZED GAIN ON FOREIGN CURRENCY 21 LIABILITIES UNDER OPTION CONTRACTS 386525 133451 ADVOCACY AND ADMINISTRATION 1009722 0 1205827 INVESTMENT FEES 682479 682479 0 FEDERAL EXCISE TAX 514927 0 0 PAYROLL TAXES 52785 11987 40799 OTHER TAXES 3156 789 2367 USE TAX 568 142 426