2017-11-15T09:39:21-06:00 2016-12-31 270928388 TANCURA LLC 551 FIFTH AVE 33RD FLOOR NEW YORK NY 10176 990PF 2016-01-01 383973256 THE TANG FUND TANG 6467016084 551 FIFTH AVE 33FL NEW YORK NY 10176 OSCAR L TANG PRESIDENT 6467016088 2017-11-15 1 GWENN S WINKHAUS P00020964 6467016084 50.74.49.226 2017-11-15 09:54:45 ES P EA0748FF8726A0DAF23213C698CFF65077469EBF EA0748FF8726A0DAF23213C698CFF65077469EBF 2016 2017-02-10 21:41:12Z X 72284491 X 69261640 11300 11300 262360 262360 595148 856194 595148 376 376 70130824 869184 0 0 0 5030 0 0 11357 5113 0 217635 217460 0 234022 222573 0 186350 186350 420372 222573 186350 69710452 646611 6023759 2414607 2414607 0 61644 709590 0 20210495 69160294 6023759 22686746 72284491 0 0 X 0 0 0 0 6023759 22686746 6023759 22686746 6023759 22686746 6023759 69710452 0 75734211 53047465 22686746 PASS THRU FROM AVALON VENTURES VI LP P 39102 -39102 -39102 PASS THRU FROM BUCKINGHAM RAF PARTNERS, LP P 28607 -28607 -28607 PASS THRU FROM BUCKINGHAM RAF PARTNERS, LP P 209 209 209 PASS THRU FROM EINBEITA PARTNERS, LP P 12451 12451 12451 PASS THRU FROM EINBEITA PARTNERS, LP P 244101 244101 244101 PASS THRU FROM LCP I, LP P 105674 -105674 -105674 PASS THRU FROM LCP I, LP P 15061 -15061 -15061 PASS THRU FROM MICROLAM PARTNERS, LP P 26574 26574 26574 PASS THRU FROM MICROLAM PARTNERS, LP P 24505 24505 24505 PASS THRU FROM MPM BIOVENTURES III QP, LP P 60090 -60090 -60090 PASS THRU FROM MPM BIOVENTURES IV QP, LP P 12283 -12283 -12283 PASS THRU FROM NORTHAVEN PARTNERS, LP P 6377 6377 6377 PASS THRU FROM REGIMENT CAPITAL SSF V, LP P 508 508 508 PASS THRU FROM REGIMENT CAPITAL SSF III, LP P 13 13 13 PASS THRU FROM SILCHESTER INT'L INVESTORS VALUE EQUITY TRUST P 7851 7851 7851 PASS THRU FROM SILCHESTER INT'L INVESTORS VALUE EQUITY TRUST P 65057 65057 65057 PASS THRU FROM TAUBENPOST CAPITAL, LP P 229 -229 -229 PASS THRU FROM TAUBENPOST CAPITAL, LP P 111115 111115 111115 PASS THRU FROM TUCEK PARTNERS II, LP P 166448 166448 166448 PASS THRU FROM TUCEK PARTNERS II, LP P 45345 45345 45345 CAPITAL GAINS DIVIDENDS P 145640 145640 145640 595148 0 3618842 71834480 0.050378 3507386 74024469 0.047381 2544461 70950623 0.035862 169175 64551688 0.002621 311774 60908618 0.005119 0.141361 0.028272 70277012 1986872 6466 1993338 186350 12932 0 12932 0 12932 402 15000 15402 2470 2470 0 0 0 0 0 0 0 0 0 0 0 1 1 DE 1 0 0 0 0 1 N/A CATHERINE L WORNOM 6467016082 551 FIFTH AVE 33RD FLOOR NEW YORK NY 10176 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 OSCAR L TANG 551 FIFTH AVE 33FL NEW YORK NY 10176 PRESIDENT 2.00 0 0 0 HSIN-MEI AGNES HSU 551 FIFTH AVE 33FL NEW YORK NY 10176 DIRECTOR/VICE PRESIDENT 1.00 0 0 0 TRACY L TANG 5 INDIAN CHASE DRIVE GREENWICH CT 06830 DIRECTOR/VICE PRESIDENT 1.00 0 0 0 GWENN S WINKHAUS 551 FIFTH AVE 33FL NEW YORK NY 10176 SECRETARY/TREASURER 1.00 0 0 0 CATHERINE L WORNOM 551 FIFTH AVE 33FL NEW YORK NY 10176 ASST. SECRETARY 2.00 0 0 0 NONE 0 NONE 0 0 3638722 4327955 63380543 71347220 0 0 71347220 1070208 70277012 3513851 3513851 12932 12932 3500919 0 3500919 0 3500919 186350 0 186350 0 186350 3500919 0 0 0 186350 0 0 0 186350 0 0 0 0 0 0 0 0 3314569 0 0 0 X ADOPT-A-DOG INC 849 LAKE AVENUE GREENWICH CT 06831 NONE 501(C)(3) CHARITABLE 2000 BROOKLYN PUBLIC LIBRARY 10 GRAND ARMY PLAZA BROOKLYN NY 11238 NONE 501(C)(3) CHARITABLE 500 CARAMOOR CENTER FOR MUSIC & ARTS PO BOX 816 KATONAH NY 10536 NONE 501(C)(3) CHARITABLE 5000 CHARLES H TAYLOR ARTS CENTER FOUNDATIONTHE HAMPTON ARTS FOUNDATION 125 EAST MELLEN STREET HAMPTON VA 23663 NONE 501(C)(3) CHARITABLE 1000 CITY HARVEST 6 EAST 32ND STREET 5FL NEW YORK NY 10016 NONE 501(C)(3) CHARITABLE 500 CITYMEALS-ON-WHEELS 355 LEXINGTON AVENUE NEW YORK NY 10017 NONE 501(C)(3) CHARITABLE 500 COMMITTEE OF 100 INC 257 PARK AVENUE 19TH FL NEW YORK NY 10010 NONE 501(C)(3) CHARITABLE 151000 CONCERNED CITIZENS OF MONTAUK PO BOX 915 MONTAUK NY 11954 NONE 501(C)(3) CHARITABLE 1000 DANNY & RON'S RESCUE PO BOX 604 CAMDEN SC 29021 NONE 501(C)(3) CHARITABLE 500 DUKE UNIVERSITY PO BOX 90581 DURHAM NC 27701 NONE 501(C)(3) CHARITABLE 10000 EAST COAST ASSISTANCE DOGS INC PO BOX 831 TORRINGTON CT 06790 NONE 501(C)(3) CHARITABLE 500 GRACE CHURCH SCHOOL 86 FOURTH AVENUE NEW YORK NY 10003 NONE 501(C)(3) CHARITABLE 5000 GREENWICH LIBRARY 101 WEST PUTNAM AVENUE GREENWICH CT 06830 NONE 501(C)(3) CHARITABLE 2350 JOB PATH INC 256 WEST 38TH STREET 2ND FL NEW YORK NY 10018 NONE 501(C)(3) CHARITABLE 1000 NATIONAL BRAIN TUMOR SOCIETY INC 55 CHAPEL STREET SUITE 200 NEWTON MA 02458 NONE 501(C)(3) CHARITABLE 500 POLICE ATHETIC LEAGUE 34 1/2 EAST 12TH STREET NEW YORK NY 10003 NONE 501(C)(3) CHARITABLE 1500 READING PARTNERS 180 GRAND AVENUE SUITE 800 OAKLAND CA 94612 NONE 501(C)(3) CHARITABLE 1500 THE GO PROJECT 50 COOPER SQUARE 3RD FL NEW YORK NY 10003 NONE 501(C)(3) CHARITABLE 1000 UNITED ANIMAL NATIONS (RED ROVER) PO BOX 188890 SACRAMENTO CA 95818 NONE 501(C)(3) CHARITABLE 1000 186350 0 11300 262360 376 595148 0 0 869184 869184 3 CHARITABLE CONTRIBUTIONS 4 CHARITABLE CONTRIBUTIONS 7 CHARITABLE CONTRIBUTIONS 8 CHARITABLE CONTRIBUTIONS 0 0 0 0 0 0 0 0 0 0 X X 1 ROBERT F HOERLE C/O STONE RUN CAPITAL 551 5TH AVE 3 NEW YORK NY 10176 50000 X 2 NANCY FRANCIS 620 SAND HILL ROAD APT 115D PALO ALTO CA 94304 50000 X 3 THE TANG FUND C/O OSCAR TANG 551 5TH AVE 33FL NEW YORK NY 10176 69161640 X 3 SECURITIES AND OTHER INVESTMENT PROPERTY PURSUANT TO MERGER AGREEMENT WITH TANG FUND EIN 13-3256295 69161640 2016-11-08 CORPORATE STOCK 61644 709590 TOCQUEVILLE SELECT FUND AT COST 928706 3086959 AMERICAN SECURITIES PARTNERS VII AT COST 96875 98737 AVALON VENTURES VI, LP AT COST 0 12625 BUCKINGHAM RAF PARTNERS AT COST 0 1554539 COMMON FUND CAPITAL VENTURE PARTNERS VI LP AT COST 0 1151905 EINBEITA PARTNERS LP AT COST 1000000 2234685 ISZO CAPITAL PARTNERS LP AT COST 731730 237076 LCP I, LP AT COST 1500000 1069097 LUMINUS SPECIAL OPPORTUNITIES I PIE, L.P. 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