KOHLBERG FOUNDATION INC: Form 990PF, tax year 2016

View the entire original 990 at ProPublica ↗

Organization: KOHLBERG FOUNDATION INC (EIN 13-3496263)
Tax period: 2016-01-01 to 2016-12-31
Filed: 2017-11-09
IRS object ID: 201733139349101023
Schema version: 2016v3.0
Source: Download XML · Original 990 at ProPublica

Every field in the e-filed return. Faint text is the IRS element name, for citing.

Return header
Form 990-PF
Schedule B
Accounting Fees Schedule
Depreciation Schedule
Investments Corp Bonds Schedule
Investments Corp Stock Schedule
Investments Other Schedule2
Land Etc Schedule2
Legal Fees Schedule
Other Decreases Schedule
Other Expenses Schedule
Other Income Schedule2
Other Increases Schedule
Other Professional Fees Schedule
Taxes Schedule

Return header ReturnHeader

Field	Value	IRS element (for citing)
Return	2017-11-09T13:21:06-06:00	ReturnTs
Tax Period End	2016-12-31	TaxPeriodEndDt

Preparer Firm PreparerFirmGrp

Field	Value	IRS element (for citing)
Preparer Firm EIN	061325235	PreparerFirmEIN

Preparer Firm Name PreparerFirmName

Field	Value	IRS element (for citing)
Business Name Line1	Dylewsky Goldberg & Brenner LLC	BusinessNameLine1Txt

Preparer US Address PreparerUSAddress

Field	Value	IRS element (for citing)
Address Line1	30 Oak Street	AddressLine1Txt
City	Stamford	CityNm
State Abbreviation	CT	StateAbbreviationCd
ZIP	06905	ZIPCd

Field	Value	IRS element (for citing)
Return Type	990PF	ReturnTypeCd
Tax Period Begin	2016-01-01	TaxPeriodBeginDt

Filer Filer

Field	Value	IRS element (for citing)
EIN	133496263	EIN

Business Name BusinessName

Field	Value	IRS element (for citing)
Business Name Line1	The Kohlberg Foundation Inc	BusinessNameLine1Txt

Field	Value	IRS element (for citing)
Business Name Control	KOHL	BusinessNameControlTxt
Phone	9142422388	PhoneNum

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	111 Radio Circle	AddressLine1Txt
City	Mt Kisco	CityNm
State Abbreviation	NY	StateAbbreviationCd
ZIP	10549	ZIPCd

Business Officer BusinessOfficerGrp

Field	Value	IRS element (for citing)
Person	Nancy McCabe	PersonNm
Person Title	Exec. VP	PersonTitleTxt
Phone	9142422388	PhoneNum
Signature	2017-11-09	SignatureDt
Discuss With Paid Preparer	Yes (1)	DiscussWithPaidPreparerInd

Preparer Person PreparerPersonGrp

Field	Value	IRS element (for citing)
Preparer Person	Lawrence Goldberg	PreparerPersonNm
PTIN	P01246920	PTIN
Phone	2039758830	PhoneNum

Filing Security Information FilingSecurityInformation

IP Address IPAddress

Field	Value	IRS element (for citing)
I Pv4 Address	96.56.36.92	IPv4AddressTxt

Field	Value	IRS element (for citing)
IP	2017-11-09	IPDt
IP Tm	14:20:27	IPTm
IP Timezone	ES	IPTimezoneCd
Filing License Type	P	FilingLicenseTypeCd
At Submission Creation Device Id	6C9B1A35775087DBDB8A6D25ECA509C7F6C27838	AtSubmissionCreationDeviceId
At Submission Filing Device Id	817252AD33D7940EC893A59D4D6CB92B4C783F05	AtSubmissionFilingDeviceId

Field	Value	IRS element (for citing)
Tax	2016	TaxYr
Build TS	2021-01-29 14:40:06Z	BuildTS

Form 990-PF IRS990PF

Field	Value	IRS element (for citing)
Organization501c3 Exempt PF	Yes (X)	Organization501c3ExemptPFInd
FMV Assets EOY	$281,703,412	FMVAssetsEOYAmt
Method Of Accounting Cash	Yes (X)	MethodOfAccountingCashInd

Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses

Field	Value	IRS element (for citing)
Contri Rcvd Rev And Expnss	$1,868,852	ContriRcvdRevAndExpnssAmt
Interest On Sav Rev And Expnss	$1,041,394	InterestOnSavRevAndExpnssAmt
Interest On Sav Net Invst Incm	$953,019	InterestOnSavNetInvstIncmAmt
Dividends Rev And Expnss	$4,004,821	DividendsRevAndExpnssAmt
Dividends Net Invst Incm	$4,004,821	DividendsNetInvstIncmAmt
Net Gain Sale Ast Rev And Expnss	$24,966	NetGainSaleAstRevAndExpnssAmt
Gross Sales Price	$77,493,827	GrossSalesPriceAmt
Cap Gain Net Incm Net Invst Incm	$24,966	CapGainNetIncmNetInvstIncmAmt
Other Income Rev And Expnss	$13,574	OtherIncomeRevAndExpnssAmt
Other Income Net Invst Incm	$29,870	OtherIncomeNetInvstIncmAmt
Total Rev And Expnss	$6,953,607	TotalRevAndExpnssAmt
Total Net Invst Incm	$5,012,676	TotalNetInvstIncmAmt
Comp Ofcr Dir Trst Rev And Expnss	$376,680	CompOfcrDirTrstRevAndExpnssAmt
Comp Ofcr Dir Trst Net Invst Incm	$0	CompOfcrDirTrstNetInvstIncmAmt
Comp Ofcr Dir Trst Dsbrs Chrtbl	$376,680	CompOfcrDirTrstDsbrsChrtblAmt
Oth Empl Slrs Wgs Rev And Expnss	$197,113	OthEmplSlrsWgsRevAndExpnssAmt
Oth Empl Slrs Wgs Net Invst Incm	$0	OthEmplSlrsWgsNetInvstIncmAmt
Oth Empl Slrs Wgs Dsbrs Chrtbl	$197,113	OthEmplSlrsWgsDsbrsChrtblAmt
Pension Empl Bnft Rev And Expnss	$136,815	PensionEmplBnftRevAndExpnssAmt
Pension Empl Bnft Net Invst Incm	$0	PensionEmplBnftNetInvstIncmAmt
Pension Empl Bnft Dsbrs Chrtbl	$136,815	PensionEmplBnftDsbrsChrtblAmt
Legal Fees Rev And Expnss	$3,109	LegalFeesRevAndExpnssAmt
Legal Fees Net Invst Incm	$0	LegalFeesNetInvstIncmAmt
Legal Fees Dsbrs Chrtbl	$3,109	LegalFeesDsbrsChrtblAmt
Accounting Fees Rev And Expnss	$40,796	AccountingFeesRevAndExpnssAmt
Accounting Fees Net Invst Incm	$0	AccountingFeesNetInvstIncmAmt
Accounting Fees Chrtbl Prps	$40,796	AccountingFeesChrtblPrpsAmt
Other Prof Fees Rev And Expnss	$1,476,977	OtherProfFeesRevAndExpnssAmt
Other Prof Fees Net Invst Incm	$1,464,746	OtherProfFeesNetInvstIncmAmt
Other Prof Fees Dsbrs Chrtbl	$12,231	OtherProfFeesDsbrsChrtblAmt
Taxes Rev And Expnss	$267,875	TaxesRevAndExpnssAmt
Taxes Net Invst Incm	$87,269	TaxesNetInvstIncmAmt
Taxes Dsbrs Chrtbl	$30,606	TaxesDsbrsChrtblAmt
Deprec And Dpltn Rev And Expnss	$3,521	DeprecAndDpltnRevAndExpnssAmt
Deprec And Dpltn Net Invst Incm	$0	DeprecAndDpltnNetInvstIncmAmt
Occupancy Rev And Expnss	$50,217	OccupancyRevAndExpnssAmt
Occupancy Net Invst Incm	$0	OccupancyNetInvstIncmAmt
Occupancy Dsbrs Chrtbl	$50,217	OccupancyDsbrsChrtblAmt
Trav Conf Meeting Rev And Expnss	$5,589	TravConfMeetingRevAndExpnssAmt
Trav Conf Meeting Net Invst Incm	$0	TravConfMeetingNetInvstIncmAmt
Trav Conf Meeting Dsbrs Chrtbl	$5,589	TravConfMeetingDsbrsChrtblAmt
Other Expenses Rev And Expnss	$218,393	OtherExpensesRevAndExpnssAmt
Other Expenses Net Invst Incm	$127,731	OtherExpensesNetInvstIncmAmt
Other Expenses Dsbrs Chrtbl	$90,662	OtherExpensesDsbrsChrtblAmt
Tot Opr Expenses Rev And Expnss	$2,777,085	TotOprExpensesRevAndExpnssAmt
Tot Opr Expenses Net Invst Incm	$1,679,746	TotOprExpensesNetInvstIncmAmt
Tot Opr Expenses Dsbrs Chrtbl	$943,818	TotOprExpensesDsbrsChrtblAmt
Contri Paid Rev And Expnss	$13,480,646	ContriPaidRevAndExpnssAmt
Contri Paid Dsbrs Chrtbl	$13,480,646	ContriPaidDsbrsChrtblAmt
Total Expenses Rev And Expnss	$16,257,731	TotalExpensesRevAndExpnssAmt
Total Expenses Net Invst Incm	$1,679,746	TotalExpensesNetInvstIncmAmt
Total Expenses Dsbrs Chrtbl	$14,424,464	TotalExpensesDsbrsChrtblAmt
Excess Revenue Over Expenses	-$9,304,124	ExcessRevenueOverExpensesAmt
Net Investment Income	$3,332,930	NetInvestmentIncomeAmt

Form990 PF Balance Sheets Form990PFBalanceSheetsGrp

Field	Value	IRS element (for citing)
Sav And Temp Cash Invst BOY	$21,471,639	SavAndTempCashInvstBOYAmt
Sav And Temp Cash Invst EOY	$18,371,156	SavAndTempCashInvstEOYAmt
Sav And Temp Cash Invst EOYFMV	$18,371,156	SavAndTempCashInvstEOYFMVAmt
Acct Rcvbl	$1,137	AcctRcvblAmt
Acct Rcvbl BOY	$777	AcctRcvblBOYAmt
Acct Rcvbl EOY	$1,137	AcctRcvblEOYAmt
Acct Rcvbl EOYFMV	$1,137	AcctRcvblEOYFMVAmt
Prepaid Expenses EOY	$8,084	PrepaidExpensesEOYAmt
Prepaid Expenses EOYFMV	$8,084	PrepaidExpensesEOYFMVAmt
Corporate Stock BOY	$149,166,873	CorporateStockBOYAmt
Corporate Stock EOY	$146,995,147	CorporateStockEOYAmt
Corporate Stock EOYFMV	$159,944,176	CorporateStockEOYFMVAmt
Corporate Bonds BOY	$48,531,761	CorporateBondsBOYAmt
Corporate Bonds EOY	$47,226,810	CorporateBondsEOYAmt
Corporate Bonds EOYFMV	$46,217,622	CorporateBondsEOYFMVAmt
Other Investments BOY	$35,469,156	OtherInvestmentsBOYAmt
Other Investments EOY	$32,703,359	OtherInvestmentsEOYAmt
Other Investments EOYFMV	$57,151,913	OtherInvestmentsEOYFMVAmt
Land Bldg Equip Cost Or Other Bss	$45,600	LandBldgEquipCostOrOtherBssAmt
Land Bldg Equip Accum Deprec	$36,276	LandBldgEquipAccumDeprecAmt
Land BOY	$15,528	LandBOYAmt
Land EOY	$9,324	LandEOYAmt
Land EOYFMV	$9,324	LandEOYFMVAmt
Total Assets BOY	$254,655,734	TotalAssetsBOYAmt
Total Assets EOY	$245,315,017	TotalAssetsEOYAmt
Total Assets EOYFMV	$281,703,412	TotalAssetsEOYFMVAmt
Accounts Payable BOY	$57	AccountsPayableBOYAmt
Total Liabilities BOY	$57	TotalLiabilitiesBOYAmt
Total Liabilities EOY	$0	TotalLiabilitiesEOYAmt
Org Does Not Follow SFAS117	Yes (X)	OrgDoesNotFollowSFAS117Ind
Capital Stock BOY	$0	CapitalStockBOYAmt
Capital Stock EOY	$0	CapitalStockEOYAmt
Additional Paid In Capital BOY	$0	AdditionalPaidInCapitalBOYAmt
Additional Paid In Capital EOY	$0	AdditionalPaidInCapitalEOYAmt
Retained Earning BOY	$254,655,677	RetainedEarningBOYAmt
Retained Earning EOY	$245,315,017	RetainedEarningEOYAmt
Tot Net Ast Or Fund Balances BOY	$254,655,677	TotNetAstOrFundBalancesBOYAmt
Tot Net Ast Or Fund Balances EOY	$245,315,017	TotNetAstOrFundBalancesEOYAmt
Total Liabilities Net Ast BOY	$254,655,734	TotalLiabilitiesNetAstBOYAmt
Total Liabilities Net Ast EOY	$245,315,017	TotalLiabilitiesNetAstEOYAmt

Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp

Field	Value	IRS element (for citing)
Tot Net Ast Or Fund Balances BOY	$254,655,677	TotNetAstOrFundBalancesBOYAmt
Excess Revenue Over Expenses	-$9,304,124	ExcessRevenueOverExpensesAmt
Other Increases	$1,239,490	OtherIncreasesAmt
Subtotal	$246,591,043	SubtotalAmt
Other Decreases	$1,276,026	OtherDecreasesAmt
Tot Net Ast Or Fund Balances EOY	$245,315,017	TotNetAstOrFundBalancesEOYAmt

Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail

Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (710 entries)

PropertyPropertyDesc	How AcquiredHowAcquiredCd	AcquiredAcquiredDt	SoldSoldDt	Gross Sales PriceGrossSalesPriceAmt	Cost Or Other BasisCostOrOtherBasisAmt	Gain Or LossGainOrLossAmt	Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt	DepreciationDepreciationAmt
3330 ALTRIA GROUP INC	P	2016-03-03	2016-04-11	$212,184	$205,618	$6,566	$6,566
7460 CORRECTIONS CORP OF AMER	P	2016-03-03	2016-09-21	$117,143	$223,977	-$106,834	-$106,834
30 CORRECTIONS CORP OF AMER	P	2016-07-19	2016-09-21	$471	$991	-$520	-$520
3822 HASBRO INC	P	2016-03-03	2016-06-22	$330,955	$300,902	$30,053	$30,053
2843 LOWES COMPANIES INC	P	2016-03-03	2016-07-21	$228,940	$197,583	$31,357	$31,357
6320 REYNOLDS AMERN INC (HOLDING CO)	P	2016-03-03	2016-04-11	$323,800	$323,203	$597	$597
4200 WELLS FARGO & CO 5.700%	P	2016-03-03	2016-10-13	$108,219	$105,853	$2,366	$2,366
398803.59 ALPINE INCOME TR	P	2014-05-28	2016-11-16	$4,000,000	$4,003,972	-$3,972	-$3,972
13675 ISHARES MSCI ACWI ETF	P	2015-06-12	2016-06-22	$773,447	$837,594	-$64,147	-$64,147
16325 ISHARES MSCI ACWI ETF	P	2015-06-12	2016-06-22	$923,091	$999,828	-$76,737	-$76,737
16325 ISHARES MSCI ACWI ETF	P	2015-06-12	2016-06-22	$923,329	$999,906	-$76,577	-$76,577
2650 ISHARES MSCI ACWI ETF	P	2015-06-12	2016-06-22	$149,843	$162,313	-$12,470	-$12,470
16325 ISHARES MSCI ACWI ETF	P	2015-06-12	2016-06-22	$923,091	$1,000,233	-$77,142	-$77,142
110772.64 OPPENHEIMER DEVELOPING MARKETS CLASS CLASS I	P	2013-05-10	2016-02-24	$3,067,294	$4,000,000	-$932,706	-$932,706
56850.48 OPPENHEIMER DEVELOPING MARKETS CLASS CLASS I	P	2013-08-12	2016-02-24	$1,574,190	$2,000,000	-$425,810	-$425,810
962.83 OPPENHEIMER DEVELOPING MARKETS CLASS CLASS I	P	2013-12-06	2016-02-24	$26,661	$35,692	-$9,031	-$9,031
810.4 OPPENHEIMER DEVELOPING MARKETS CLASS CLASS I	P	2013-12-06	2016-02-24	$22,440	$30,041	-$7,601	-$7,601
54024.85 OPPENHEIMER DEVELOPING MARKETS CLASS CLASS I	P	2014-04-07	2016-02-24	$1,495,948	$2,000,000	-$504,052	-$504,052
1830.34 OPPENHEIMER DEVELOPING MARKETS CLASS CLASS I	P	2014-12-05	2016-02-24	$50,682	$66,716	-$16,034	-$16,034
3663.31 OPPENHEIMER DEVELOPING MARKETS CLASS CLASS I	P	2014-12-05	2016-02-24	$101,437	$133,528	-$32,091	-$32,091
2198.86 OPPENHEIMER DEVELOPING MARKETS CLASS CLASS I	P	2015-12-02	2016-02-24	$60,886	$67,901	-$7,015	-$7,015
129224.65 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-02-27	2016-06-22	$1,298,707	$1,300,000	-$1,293	-$1,293
227.78 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-03-31	2016-06-22	$2,289	$2,291	-$2	-$2
76.76 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-04-30	2016-06-22	$771	$772	-$1	-$1
47.39 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-05-30	2016-06-22	$476	$477	-$1	-$1
59.94 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-06-30	2016-06-22	$602	$604	-$2	-$2
49.03 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-07-31	2016-06-22	$493	$494	-$1	-$1
43.97 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-08-29	2016-06-22	$442	$443	-$1	-$1
57.73 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-09-30	2016-06-22	$580	$581	-$1	-$1
52.68 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-10-31	2016-06-22	$529	$530	-$1	-$1
58.11 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-11-28	2016-06-22	$584	$585	-$1	-$1
77.55 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-12-29	2016-06-22	$779	$779	$0	$0
25.85 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-12-29	2016-06-22	$260	$260	$0	$0
65.72 PUTNAM SHORT DURATION INCOME FUND Y	P	2014-12-31	2016-06-22	$660	$660	$0	$0
58.44 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-01-30	2016-06-22	$587	$587	$0	$0
46.88 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-02-27	2016-06-22	$471	$471	$0	$0
61.09 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-03-31	2016-06-22	$614	$614	$0	$0
59.35 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-04-30	2016-06-22	$596	$596	$0	$0
53.65 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-05-29	2016-06-22	$539	$539	$0	$0
64.37 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-06-30	2016-06-22	$647	$646	$1	$1
54.26 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-07-31	2016-06-22	$545	$545	$0	$0
48.97 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-08-31	2016-06-22	$492	$492	$0	$0
56.75 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-09-30	2016-06-22	$570	$569	$1	$1
63.58 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-10-30	2016-06-22	$639	$638	$1	$1
71.13 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-11-30	2016-06-22	$715	$713	$2	$2
1046859.42 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-12-14	2016-06-22	$10,520,933	$10,500,000	$20,933	$20,933
211.33 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-12-29	2016-06-22	$2,124	$2,120	$4	$4
425.64 PUTNAM SHORT DURATION INCOME FUND Y	P	2015-12-31	2016-06-22	$4,278	$4,269	$9	$9
708.71 PUTNAM SHORT DURATION INCOME FUND Y	P	2016-01-29	2016-06-22	$7,123	$7,101	$22	$22
822.19 PUTNAM SHORT DURATION INCOME FUND Y	P	2016-02-29	2016-06-22	$8,263	$8,238	$25	$25
861.21 PUTNAM SHORT DURATION INCOME FUND Y	P	2016-03-31	2016-06-22	$8,655	$8,638	$17	$17
923.99 PUTNAM SHORT DURATION INCOME FUND Y	P	2016-04-29	2016-06-22	$9,286	$9,277	$9	$9
843.68 PUTNAM SHORT DURATION INCOME FUND Y	P	2016-05-31	2016-06-22	$8,479	$8,471	$8	$8
60000 SPDR EURO STOXX 50 ETF	P	2015-03-30	2016-06-22	$1,974,046	$2,366,400	-$392,354	-$392,354
15000 SPDR EURO STOXX 50 ETF	P	2015-03-30	2016-06-22	$493,549	$591,600	-$98,051	-$98,051
5000 SPDR EURO STOXX 50 ETF	P	2015-05-13	2016-06-22	$164,461	$199,350	-$34,889	-$34,889
20000 SPDR EURO STOXX 50 ETF	P	2015-05-13	2016-06-22	$658,065	$797,400	-$139,335	-$139,335
25000 SPDR EURO STOXX 50 ETF	P	2015-05-13	2016-06-22	$822,581	$997,142	-$174,561	-$174,561
50000 SPDR EURO STOXX 50 ETF	P	2015-05-26	2016-06-22	$1,644,612	$1,954,474	-$309,862	-$309,862
0.7 ADIENT PLC	P	2016-10-31	2016-10-31	$32	$33	-$1	-$1
1065 JOHNSON & JOHNSON COM	P	2010-11-17	2016-11-10	$127,433	$67,147	$60,286	$60,286
6375 JOHNSON CONTROLS INC	P	2016-06-10	2016-09-06	$291,412	$285,840	$5,572	$5,572
0.59 JOHNSON CTLS INTL PLC	P	2016-09-06	2016-09-06	$28	$28	$0	$0
1515 MICROSOFT CORP	P	2011-07-27	2016-11-10	$89,067	$42,265	$46,802	$46,802
1325 MICROSOFT CORP	P	2011-08-30	2016-11-10	$77,897	$34,490	$43,407	$43,407
350 NEXTERA ENERGY INC COM	P	2010-11-17	2016-11-14	$38,782	$18,427	$20,355	$20,355
210 QUALITY CARE PPTYS INC COM	P	2016-11-01	2016-11-11	$2,858	$6,479	-$3,621	-$3,621
440 QUALITY CARE PPTYS INC COM	P	2016-11-01	2016-11-11	$5,988	$13,574	-$7,586	-$7,586
350 QUALITY CARE PPTYS INC COM	P	2016-11-01	2016-11-11	$4,764	$10,798	-$6,034	-$6,034
422 QUALITY CARE PPTYS INC COM	P	2016-11-01	2016-11-11	$5,744	$13,019	-$7,275	-$7,275
960 QUALITY CARE PPTYS INC COM	P	2016-11-01	2016-11-11	$13,066	$29,616	-$16,550	-$16,550
358 QUALITY CARE PPTYS INC COM	P	2016-11-01	2016-11-11	$4,872	$11,044	-$6,172	-$6,172
460 QUALITY CARE PPTYS INC COM	P	2016-11-01	2016-11-11	$6,261	$14,191	-$7,930	-$7,930
1077 QUALITY CARE PPTYS INC COM	P	2016-11-01	2016-11-11	$14,658	$33,225	-$18,567	-$18,567
3190 RAYTHEON CO NEW	P	2012-04-09	2016-11-10	$471,077	$164,969	$306,108	$306,108
16900 SYMANTEC CORP	P	2014-03-12	2016-03-23	$315,658	$345,977	-$30,319	-$30,319
5935 SYMANTEC CORP	P	2015-06-16	2016-03-23	$110,854	$139,413	-$28,559	-$28,559
2617.91 VODAFONE GROUP PLC SPON ADR	P	2010-11-17	2016-11-10	$69,374	$127,955	-$58,581	-$58,581
1445.45 VODAFONE GROUP PLC SPON ADR	P	2011-08-30	2016-11-10	$38,304	$69,722	-$31,418	-$31,418
1145.45 VODAFONE GROUP PLC SPON ADR	P	2011-10-18	2016-11-10	$30,354	$56,905	-$26,551	-$26,551
627.27 VODAFONE GROUP PLC SPON ADR	P	2012-08-01	2016-11-10	$16,623	$33,853	-$17,230	-$17,230
1336.36 VODAFONE GROUP PLC SPON ADR	P	2013-02-08	2016-11-10	$35,413	$67,615	-$32,202	-$32,202
1581.82 VODAFONE GROUP PLC SPON ADR	P	2013-05-10	2016-11-10	$41,918	$86,669	-$44,751	-$44,751
542.73 VODAFONE GROUP PLC SPON ADR	P	2013-06-21	2016-11-10	$14,382	$27,256	-$12,874	-$12,874
1050 VODAFONE GROUP PLC SPON ADR	P	2013-08-14	2016-11-10	$27,825	$58,622	-$30,797	-$30,797
4315 VODAFONE GROUP PLC SPON ADR	P	2014-12-12	2016-11-10	$114,347	$145,873	-$31,526	-$31,526
25000 AKAMAI TECHNOLOGIES INC	P	2015-01-21	2016-04-06	$24,250	$25,656	-$1,406	-$1,406
150000 APOLLO COMMERCIAL NTS	P	2014-03-12	2016-04-06	$150,946	$153,188	-$2,242	-$2,242
61000 ARES CAP CORP NTS CONV	P	2012-12-04	2016-04-06	$61,244	$64,584	-$3,340	-$3,340
39000 ARES CAP CORP NTS CONV	P	2013-12-06	2016-04-06	$39,156	$41,998	-$2,842	-$2,842
30000 ARES CAP CORP NTS CONV	P	2013-12-27	2016-04-06	$30,120	$32,100	-$1,980	-$1,980
50000 ARES CAP CORP NTS CONV	P	2014-03-03	2016-04-06	$50,200	$53,999	-$3,799	-$3,799
45000 ARES CAP CORP NTS CONV	P	2014-04-24	2016-04-06	$45,180	$48,769	-$3,589	-$3,589
20000 BARCLAYS BANK PLC NTS	P	2014-07-16	2016-04-06	$18,544	$20,000	-$1,456	-$1,456
250000 BARCLAYS BANK PLC NTS	P	2014-07-16	2016-06-27	$233,000	$250,000	-$17,000	-$17,000
6000 BGC PARTNERS INC NTS	P	2012-09-05	2016-04-06	$6,089	$5,960	$129	$129
94000 BGC PARTNERS INC NTS	P	2013-04-10	2016-04-06	$95,399	$97,878	-$2,479	-$2,479
140000 BGC PARTNERS INC NTS	P	2014-02-24	2016-04-06	$142,083	$149,538	-$7,455	-$7,455
100000 BLACKROCK FUNDS II NTS	P	2014-03-07	2016-04-06	$102,750	$104,563	-$1,813	-$1,813
60000 BLACKROCK FUNDS II NTS	P	2014-03-07	2016-06-06	$61,529	$62,738	-$1,209	-$1,209
30000 BLACKROCK FUNDS II NTS	P	2014-03-26	2016-06-06	$30,764	$31,350	-$586	-$586
30000 BLACKROCK FUNDS II NTS	P	2014-04-08	2016-06-06	$30,764	$31,463	-$699	-$699
80000 BLACKROCK FUNDS II NTS	P	2014-04-11	2016-06-06	$82,038	$84,250	-$2,212	-$2,212
100000 BLACKSTONE MTG TR INC	P	2014-03-05	2016-12-23	$111,543	$111,500	$43	$43
150000 BLACKSTONE MTG TR INC	P	2014-03-05	2016-04-06	$156,135	$167,250	-$11,115	-$11,115
30000 BLACKSTONE MTG TR INC	P	2014-04-08	2016-12-23	$33,463	$33,254	$209	$209
70000 BLACKSTONE MTG TR INC	P	2014-04-15	2016-12-23	$78,080	$77,674	$406	$406
25000 CHART INDUSTRIES INC	P	2011-10-20	2016-07-20	$23,594	$25,125	-$1,531	-$1,531
75000 CHART INDUSTRIES INC	P	2014-10-24	2016-07-20	$70,781	$80,446	-$9,665	-$9,665
2000 GREENBRIER COS INC NTS	P	2012-09-18	2016-04-06	$2,171	$1,845	$326	$326
27000 GREENBRIER COS INC NTS	P	2012-09-18	2016-12-05	$33,187	$24,864	$8,323	$8,323
45000 GREENBRIER COS INC NTS	P	2012-11-20	2016-12-05	$55,312	$41,850	$13,462	$13,462
22000 GREENBRIER COS INC NTS	P	2012-12-04	2016-12-05	$27,041	$21,047	$5,994	$5,994
6000 GREENBRIER COS INC NTS	P	2013-01-24	2016-12-05	$7,375	$5,746	$1,629	$1,629
90000 HELIX ENERGY SOLUTIONS	P	2012-04-02	2016-06-21	$79,875	$114,540	-$34,665	-$34,665
160000 HELIX ENERGY SOLUTIONS	P	2015-03-16	2016-06-21	$142,000	$170,308	-$28,308	-$28,308
350000 HORNBECK OFFSHORE SVCS	P	2014-10-23	2016-06-20	$204,750	$324,077	-$119,327	-$119,327
71000 INTEGRA LIFESCIENCE NTS	P	2012-07-06	2016-02-23	$80,724	$70,498	$10,226	$10,226
53000 INTEGRA LIFESCIENCE NTS	P	2012-07-10	2016-02-23	$60,259	$52,796	$7,463	$7,463
6000 INTEGRA LIFESCIENCE NTS	P	2013-12-20	2016-02-23	$6,822	$6,352	$470	$470
280000 J2 GLOBAL INC NTS CONV	P	2014-06-27	2016-03-24	$299,740	$311,481	-$11,741	-$11,741
20000 J2 GLOBAL INC NTS CONV	P	2014-07-10	2016-03-24	$21,410	$22,083	-$673	-$673
52000 MERITAGE HOMES CORP NTS	P	2012-11-14	2016-10-17	$51,740	$50,830	$910	$910
198000 MERITAGE HOMES CORP NTS	P	2014-04-23	2016-10-17	$197,010	$208,257	-$11,247	-$11,247
25000 NATL HEALTH INVESTORS	P	2014-03-21	2016-04-06	$25,563	$25,000	$563	$563
100000 NATL HEALTH INVESTORS	P	2014-04-10	2016-04-06	$102,250	$99,248	$3,002	$3,002
55000 NEWPARK RESOURCES INC	P	2012-04-03	2016-06-16	$50,843	$61,170	-$10,327	-$10,327
4000 NEWPARK RESOURCES INC	P	2012-11-08	2016-06-16	$3,698	$4,053	-$355	-$355
7000 NEWPARK RESOURCES INC	P	2012-11-15	2016-06-16	$6,471	$7,156	-$685	-$685
100000 PHOTRONICS INC NTS CONV	P	2013-03-19	2016-12-05	$117,151	$100,975	$16,176	$16,176
60000 REDWOOD TR INC CONV B/E	P	2014-02-25	2016-04-06	$56,250	$62,543	-$6,293	-$6,293
127000 RESOURCE CAPITAL CORP	P	2013-10-16	2016-11-14	$119,380	$127,134	-$7,754	-$7,754
103000 RESOURCE CAPITAL CORP	P	2014-03-03	2016-11-14	$96,820	$106,164	-$9,344	-$9,344
20000 RESOURCE CAPITAL CORP	P	2014-04-09	2016-11-14	$18,800	$20,030	-$1,230	-$1,230
25000 RESOURCE CAPITAL CORP	P	2014-04-23	2016-11-14	$23,500	$25,063	-$1,563	-$1,563
57000 SANDISK CORP NTS CONV	P	2015-01-08	2016-02-25	$58,165	$68,570	-$10,405	-$10,405
125000 TICC CAP CORP CONV B/E	P	2013-11-13	2016-07-20	$125,313	$133,594	-$8,281	-$8,281
75000 TICC CAP CORP CONV B/E	P	2014-03-05	2016-07-20	$75,188	$83,063	-$7,875	-$7,875
125000 TTM TECHNOLOGIES INC	P	2013-12-17	2016-12-06	$186,234	$125,975	$60,259	$60,259
55000 TTM TECHNOLOGIES INC	P	2014-02-25	2016-12-06	$81,943	$58,807	$23,136	$23,136
150000 VERINT SYSTEMS INC NTS	P	2014-06-13	2016-04-06	$133,500	$152,856	-$19,356	-$19,356
200000 BROCADE COMM SYSTEMS INC	P	2016-04-07	2016-11-17	$200,700	$196,454	$4,246	$4,246
100000 CHART INDUSTRIES INC	P	2016-04-07	2016-07-20	$94,375	$90,938	$3,437	$3,437
250000 KB HOME CONV B/E	P	2016-04-14	2016-06-07	$233,875	$239,930	-$6,055	-$6,055
300000 LINKEDIN CORP CONV B/E	P	2015-08-04	2016-04-06	$272,490	$297,813	-$25,323	-$25,323
200000 REPLIGEN CORP NTS CONV	P	2016-05-20	2016-11-21	$238,303	$203,880	$34,423	$34,423
100000 REPLIGEN CORP NTS CONV	P	2016-06-16	2016-11-21	$119,151	$97,418	$21,733	$21,733
65000 RESOURCE CAPITAL CORP	P	2016-04-07	2016-11-14	$61,100	$61,100	$0	$0
350000 SEACOR HLDGS INC CONV	P	2016-04-11	2016-08-04	$269,562	$281,002	-$11,440	-$11,440
75 ALEXION PHARMACEUTICALS INC	P	2013-05-10	2016-01-13	$11,916	$7,493	$4,423	$4,423
2425 ALIBABA GROUP HLDG LTD SPON ADR	P	2014-10-03	2016-02-18	$161,774	$214,485	-$52,711	-$52,711
25 ALPHABET INC CL A	P	2012-08-01	2016-01-13	$18,153	$7,937	$10,216	$10,216
100 ATHENAHEALTH INC	P	2012-06-07	2016-01-13	$15,374	$7,599	$7,775	$7,775
1175 BAIDU INC ADS REPSNTG CL A ORD SHS SPON ADR	P	2013-07-18	2016-01-28	$190,830	$127,184	$63,646	$63,646
425 BAIDU INC ADS REPSNTG CL A ORD SHS SPON ADR	P	2013-08-06	2016-01-28	$69,024	$57,132	$11,892	$11,892
675 CERNER CORP	P	2012-11-15	2016-11-18	$33,402	$25,492	$7,910	$7,910
200 CERNER CORP	P	2013-03-07	2016-11-18	$9,897	$9,141	$756	$756
2600 CERNER CORP	P	2013-05-10	2016-11-18	$128,660	$122,215	$6,445	$6,445
2100 CERNER CORP	P	2013-08-15	2016-11-18	$103,918	$99,201	$4,717	$4,717
1775 CERNER CORP	P	2013-11-01	2016-11-18	$87,835	$99,587	-$11,752	-$11,752
200 CERNER CORP	P	2014-02-14	2016-11-18	$9,897	$11,921	-$2,024	-$2,024
325 FACEBOOK INC CL A	P	2012-11-15	2016-12-27	$38,488	$7,182	$31,306	$31,306
275 FACEBOOK INC CL A	P	2012-11-15	2016-01-13	$26,446	$6,077	$20,369	$20,369
2025 FACEBOOK INC CL A	P	2012-12-11	2016-12-27	$239,808	$56,680	$183,128	$183,128
1050 FACEBOOK INC CL A	P	2013-02-22	2016-12-27	$124,345	$28,628	$95,717	$95,717
400 FACEBOOK INC CL A	P	2013-03-07	2016-12-27	$47,370	$11,460	$35,910	$35,910
25 FACEBOOK INC CL A	P	2013-05-10	2016-12-27	$2,961	$674	$2,287	$2,287
575 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2012-06-07	2016-02-17	$14,710	$23,396	-$8,686	-$8,686
825 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2012-08-01	2016-02-17	$21,105	$38,127	-$17,022	-$17,022
675 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2012-11-15	2016-02-17	$17,268	$27,010	-$9,742	-$9,742
150 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2013-03-07	2016-02-17	$3,837	$7,633	-$3,796	-$3,796
1800 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2013-05-10	2016-02-17	$46,048	$100,140	-$54,092	-$54,092
1725 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2013-08-15	2016-02-17	$44,129	$91,763	-$47,634	-$47,634
1475 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2013-11-01	2016-02-17	$37,733	$74,428	-$36,695	-$36,695
1550 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2013-12-18	2016-02-17	$39,652	$82,033	-$42,381	-$42,381
175 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2014-02-14	2016-02-17	$4,477	$8,974	-$4,497	-$4,497
1325 FMC TECHNOLOGIES INC MERGER EFF: 01/2017	P	2015-02-05	2016-02-17	$33,896	$52,402	-$18,506	-$18,506
225 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2013-09-06	2016-06-24	$42,760	$56,883	-$14,123	-$14,123
550 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2013-10-17	2016-06-24	$104,525	$131,158	-$26,633	-$26,633
275 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2013-11-01	2016-06-24	$52,262	$60,433	-$8,171	-$8,171
400 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2013-11-22	2016-06-24	$76,018	$87,660	-$11,642	-$11,642
325 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2013-11-22	2016-08-03	$62,511	$71,224	-$8,713	-$8,713
825 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2014-02-11	2016-08-03	$158,682	$167,236	-$8,554	-$8,554
50 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2014-02-14	2016-09-23	$9,625	$9,499	$126	$126
25 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2014-02-14	2016-08-03	$4,809	$4,749	$60	$60
625 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2014-03-28	2016-09-23	$120,307	$140,588	-$20,281	-$20,281
625 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2014-04-09	2016-09-23	$120,307	$108,137	$12,170	$12,170
700 LINKEDIN CORP MERGER EFF: 12/2016 CL A	P	2014-05-09	2016-09-23	$134,744	$103,634	$31,110	$31,110
700 MONSANTO CO NEW	P	2013-08-05	2016-04-21	$65,745	$68,124	-$2,379	-$2,379
1125 MONSANTO CO NEW	P	2013-08-05	2016-10-17	$114,648	$109,485	$5,163	$5,163
225 MONSANTO CO NEW	P	2013-08-05	2016-11-16	$22,621	$21,897	$724	$724
950 MONSANTO CO NEW	P	2013-08-15	2016-11-16	$95,512	$91,585	$3,927	$3,927
450 MONSANTO CO NEW	P	2013-09-20	2016-11-16	$45,242	$48,155	-$2,913	-$2,913
950 MONSANTO CO NEW	P	2013-11-01	2016-11-16	$95,512	$100,119	-$4,607	-$4,607
100 MONSANTO CO NEW	P	2014-02-14	2016-11-16	$10,054	$11,019	-$965	-$965
1575 MONSANTO CO NEW	P	2014-03-05	2016-11-16	$158,349	$177,904	-$19,555	-$19,555
300 REGENERON PHARMACEUTICLS INC	P	2013-05-10	2016-05-03	$112,170	$81,355	$30,815	$30,815
125 REGENERON PHARMACEUTICLS INC	P	2013-05-10	2016-04-21	$50,841	$33,898	$16,943	$16,943
375 SALESFORCE.COM INC	P	2012-11-15	2016-01-13	$27,264	$13,163	$14,101	$14,101
875 SALESFORCE.COM INC	P	2012-11-15	2016-10-17	$63,874	$30,714	$33,160	$33,160
600 SALESFORCE.COM INC	P	2013-03-07	2016-10-17	$43,800	$27,741	$16,059	$16,059
975 SALESFORCE.COM INC	P	2013-05-10	2016-10-17	$71,174	$42,771	$28,403	$28,403
300 SPLUNK INC	P	2013-04-18	2016-01-13	$15,244	$12,620	$2,624	$2,624
0.52 UNDER ARMOUR INC CL C	P	2015-12-03	2016-06-29	$20	$22	-$2	-$2
200 VISA INC CL A	P	2012-08-01	2016-01-13	$14,694	$6,402	$8,292	$8,292
521 AGREE REALTY CORP	P	2013-08-14	2016-09-28	$25,995	$14,641	$11,354	$11,354
334 AGREE REALTY CORP	P	2013-11-04	2016-09-28	$16,665	$10,333	$6,332	$6,332
571 ALASKA AIR GROUP INC	P	2016-07-07	2016-12-09	$51,095	$33,817	$17,278	$17,278
537 ALBEMARLE CORP	P	2014-07-16	2016-05-09	$36,346	$37,183	-$837	-$837
329 ALBEMARLE CORP	P	2014-07-18	2016-05-09	$22,268	$23,056	-$788	-$788
78 ALBEMARLE CORP	P	2014-08-05	2016-05-09	$5,279	$4,824	$455	$455
486 ALBEMARLE CORP	P	2014-08-05	2016-06-02	$38,745	$30,059	$8,686	$8,686
541 ALBEMARLE CORP	P	2014-09-30	2016-06-02	$43,130	$32,202	$10,928	$10,928
314 ALBEMARLE CORP	P	2014-12-12	2016-06-02	$25,033	$17,559	$7,474	$7,474
736 ALERIAN MLP ETF	P	2013-05-10	2016-02-03	$7,224	$11,516	-$4,292	-$4,292
9291 ALERIAN MLP ETF	P	2013-08-14	2016-02-03	$91,189	$143,934	-$52,745	-$52,745
6361 ALERIAN MLP ETF	P	2013-11-04	2016-02-03	$62,432	$101,168	-$38,736	-$38,736
969 ALERIAN MLP ETF	P	2013-11-25	2016-02-03	$9,511	$15,624	-$6,113	-$6,113
927 ALERIAN MLP ETF	P	2013-11-25	2016-02-18	$8,815	$14,670	-$5,855	-$5,855
1258 ALERIAN MLP ETF	P	2013-12-27	2016-02-18	$11,962	$19,777	-$7,815	-$7,815
530 ALERIAN MLP ETF	P	2014-02-14	2016-02-18	$5,040	$8,447	-$3,407	-$3,407
2827 ALERIAN MLP ETF	P	2014-02-27	2016-02-18	$26,881	$44,385	-$17,504	-$17,504
3421 ALERIAN MLP ETF	P	2014-12-10	2016-02-18	$32,530	$52,860	-$20,330	-$20,330
9089 ALERIAN MLP ETF	P	2014-12-12	2016-02-18	$86,425	$140,359	-$53,934	-$53,934
3190 ALERIAN MLP ETF	P	2015-06-15	2016-02-18	$30,333	$48,498	-$18,165	-$18,165
287 ALEXANDRIA REAL ESTATE EQUITIES	P	2013-10-07	2016-04-01	$25,889	$17,976	$7,913	$7,913
229 ALEXANDRIA REAL ESTATE EQUITIES	P	2013-10-10	2016-04-01	$20,657	$14,394	$6,263	$6,263
21 ALEXANDRIA REAL ESTATE EQUITIES	P	2013-11-04	2016-04-01	$1,894	$1,363	$531	$531
481 ALEXANDRIA REAL ESTATE EQUITIES	P	2013-11-04	2016-08-25	$52,608	$31,052	$21,556	$21,556
1020 ALLIANT ENERGY CORP	P	2013-05-10	2016-07-05	$41,618	$26,395	$15,223	$15,223
316 ALLIANT ENERGY CORP	P	2013-08-13	2016-07-05	$12,893	$8,330	$4,563	$4,563
610 ALLIANT ENERGY CORP	P	2013-08-13	2016-07-19	$24,092	$16,081	$8,011	$8,011
597 ALLIANT ENERGY CORP	P	2013-08-14	2016-07-19	$23,579	$15,582	$7,997	$7,997
3209 ALLIED WORLD ASSURN CHF	P	2015-10-15	2016-12-22	$171,996	$124,590	$47,406	$47,406
316 APPLIED INDL TECH INC	P	2013-03-15	2016-09-02	$15,152	$14,190	$962	$962
807 APPLIED INDL TECH INC	P	2013-05-10	2016-09-02	$38,696	$37,003	$1,693	$1,693
72 APPLIED INDL TECH INC	P	2013-08-14	2016-09-02	$3,452	$3,629	-$177	-$177
702 APPLIED INDL TECH INC	P	2013-08-14	2016-11-02	$34,847	$35,386	-$539	-$539
318 APPLIED INDL TECH INC	P	2013-11-04	2016-11-02	$15,785	$15,286	$499	$499
412 APPLIED INDL TECH INC	P	2013-11-04	2016-12-08	$25,296	$19,804	$5,492	$5,492
80 APPLIED INDL TECH INC	P	2014-02-14	2016-12-08	$4,912	$3,938	$974	$974
516 APPLIED INDL TECH INC	P	2014-03-03	2016-12-08	$31,681	$26,063	$5,618	$5,618
546 APPLIED INDL TECH INC	P	2014-12-11	2016-12-08	$33,523	$24,849	$8,674	$8,674
265 APPLIED INDL TECH INC	P	2014-12-12	2016-12-08	$16,270	$11,755	$4,515	$4,515
866 ARES CAPITAL CORP	P	2013-03-15	2016-05-26	$12,818	$15,629	-$2,811	-$2,811
158 ARES CAPITAL CORP	P	2013-04-15	2016-05-26	$2,339	$2,670	-$331	-$331
2626 ARES CAPITAL CORP	P	2013-05-10	2016-05-26	$38,869	$47,215	-$8,346	-$8,346
495 ARES CAPITAL CORP	P	2013-06-05	2016-05-26	$7,327	$8,265	-$938	-$938
174 ARES CAPITAL CORP	P	2013-06-26	2016-05-26	$2,575	$2,954	-$379	-$379
1620 BANCO LATINOAMERICANO DE COMERCIO EXTERIOR	P	2015-03-11	2016-09-19	$46,232	$51,433	-$5,201	-$5,201
928 BANK OF THE OZARKS INC	P	2016-06-23	2016-11-28	$43,624	$36,427	$7,197	$7,197
618 BOK FINANCIAL CORP NEW	P	2015-09-02	2016-11-28	$50,189	$37,951	$12,238	$12,238
998 CABOT CORP	P	2013-08-14	2016-01-12	$37,139	$40,371	-$3,232	-$3,232
57 CABOT CORP	P	2013-08-14	2016-01-25	$2,215	$2,306	-$91	-$91
387 CABOT CORP	P	2013-10-30	2016-01-25	$15,036	$18,332	-$3,296	-$3,296
477 CABOT CORP	P	2013-11-04	2016-01-25	$18,532	$22,271	-$3,739	-$3,739
733 CABOT CORP	P	2013-11-04	2016-02-04	$30,182	$34,224	-$4,042	-$4,042
262 CABOT CORP	P	2014-12-12	2016-02-04	$10,788	$10,442	$346	$346
984 CABOT CORP	P	2014-12-12	2016-05-05	$44,034	$39,217	$4,817	$4,817
966 CABOT CORP	P	2014-12-12	2016-10-10	$50,137	$38,500	$11,637	$11,637
292 CABOT CORP	P	2015-06-15	2016-10-10	$15,155	$12,027	$3,128	$3,128
371 CABOT CORP	P	2015-06-15	2016-10-20	$19,260	$15,281	$3,979	$3,979
1049 CABOT CORP	P	2015-08-20	2016-10-20	$54,458	$35,550	$18,908	$18,908
438 CITY HOLDING CO W. VA	P	2013-08-14	2016-02-16	$19,294	$19,642	-$348	-$348
650 CITY HOLDING CO W. VA	P	2013-11-04	2016-02-16	$28,633	$29,546	-$913	-$913
58 CITY HOLDING CO W. VA	P	2014-02-14	2016-02-16	$2,555	$2,513	$42	$42
601 CITY HOLDING CO W. VA	P	2014-12-12	2016-02-16	$26,475	$26,704	-$229	-$229
194 CITY HOLDING CO W. VA	P	2015-06-15	2016-02-16	$8,546	$9,170	-$624	-$624
774 COLONY CAP INC REIT	P	2013-03-15	2016-10-28	$14,686	$17,599	-$2,913	-$2,913
1919 COLONY CAP INC REIT	P	2013-05-10	2016-10-28	$36,411	$45,464	-$9,053	-$9,053
1095 CONSOLIDATED COMMUNICATIONS HOLDINGS INC	P	2013-11-04	2016-03-09	$25,726	$18,877	$6,849	$6,849
762 CONSOLIDATED COMMUNICATIONS HOLDINGS INC	P	2013-11-04	2016-03-09	$17,903	$13,136	$4,767	$4,767
112 COPA HOLDINGS SA CL A	P	2014-09-26	2016-07-07	$6,126	$11,746	-$5,620	-$5,620
326 COPA HOLDINGS SA CL A	P	2014-11-14	2016-07-07	$17,832	$36,680	-$18,848	-$18,848
634 COPA HOLDINGS SA CL A	P	2014-12-12	2016-07-07	$34,680	$60,736	-$26,056	-$26,056
716 COPA HOLDINGS SA CL A	P	2014-12-17	2016-07-07	$39,165	$67,550	-$28,385	-$28,385
439 COPA HOLDINGS SA CL A	P	2015-01-15	2016-07-07	$24,013	$46,491	-$22,478	-$22,478
426 COPA HOLDINGS SA CL A	P	2015-04-02	2016-07-07	$23,302	$42,069	-$18,767	-$18,767
891 COPA HOLDINGS SA CL A	P	2015-06-15	2016-07-07	$48,738	$75,997	-$27,259	-$27,259
116 COPA HOLDINGS SA CL A	P	2015-08-25	2016-07-07	$6,345	$6,062	$283	$283
281 COPA HOLDINGS SA CL A	P	2015-08-25	2016-07-19	$18,618	$14,685	$3,933	$3,933
1096 COPA HOLDINGS SA CL A	P	2015-09-01	2016-07-19	$72,618	$54,420	$18,198	$18,198
76 COPA HOLDINGS SA CL A	P	2015-09-01	2016-08-08	$5,895	$3,774	$2,121	$2,121
738 COPA HOLDINGS SA CL A	P	2015-09-08	2016-08-08	$57,248	$35,718	$21,530	$21,530
233 CRANE CO	P	2013-03-15	2016-11-08	$15,944	$13,075	$2,869	$2,869
450 CRANE CO	P	2013-05-10	2016-11-08	$30,792	$26,170	$4,622	$4,622
606 CULLEN FROST BANKERS INC	P	2014-12-05	2016-06-23	$40,114	$45,427	-$5,313	-$5,313
592 CULLEN FROST BANKERS INC	P	2014-12-11	2016-11-28	$48,390	$42,388	$6,002	$6,002
284 CULLEN FROST BANKERS INC	P	2014-12-11	2016-06-23	$18,799	$20,335	-$1,536	-$1,536
8 CULLEN FROST BANKERS INC	P	2014-12-12	2016-11-28	$654	$565	$89	$89
1259 CYS INVTS INC SBI	P	2014-02-14	2016-02-02	$8,551	$10,708	-$2,157	-$2,157
5147 CYS INVTS INC SBI	P	2014-12-12	2016-02-02	$34,957	$46,481	-$11,524	-$11,524
610 DIGITAL REALTY TRUST INC REIT	P	2013-08-14	2016-03-21	$52,701	$32,966	$19,735	$19,735
292 DIGITAL REALTY TRUST INC REIT	P	2013-08-14	2016-04-04	$26,023	$15,780	$10,243	$10,243
237 DIGITAL REALTY TRUST INC REIT	P	2013-10-30	2016-04-04	$21,122	$11,921	$9,201	$9,201
86 DIGITAL REALTY TRUST INC REIT	P	2013-10-30	2016-05-06	$7,883	$4,326	$3,557	$3,557
508 DIGITAL REALTY TRUST INC REIT	P	2013-11-04	2016-05-06	$46,567	$24,285	$22,282	$22,282
816 DIGITAL REALTY TRUST INC REIT	P	2013-11-04	2016-05-10	$75,963	$39,009	$36,954	$36,954
610 DIGITAL REALTY TRUST INC REIT	P	2013-11-05	2016-05-10	$56,786	$29,259	$27,527	$27,527
173 DIGITAL REALTY TRUST INC REIT	P	2013-11-05	2016-05-18	$16,348	$8,298	$8,050	$8,050
421 DIGITAL REALTY TRUST INC REIT	P	2013-11-27	2016-05-18	$39,784	$19,835	$19,949	$19,949
122 DIGITAL REALTY TRUST INC REIT	P	2014-02-14	2016-05-18	$11,529	$6,547	$4,982	$4,982
1318 DIGITAL REALTY TRUST INC REIT	P	2014-12-12	2016-05-18	$124,548	$88,290	$36,258	$36,258
499 DIGITAL REALTY TRUST INC REIT	P	2015-06-15	2016-05-18	$47,154	$32,672	$14,482	$14,482
920 EAST WEST BANCORP INC	P	2016-10-10	2016-11-28	$43,444	$36,266	$7,178	$7,178
3115 ENLINK MIDSTREAM LLC	P	2013-08-14	2016-06-23	$49,870	$59,341	-$9,471	-$9,471
562 ENLINK MIDSTREAM LLC	P	2013-08-14	2016-10-05	$9,066	$10,706	-$1,640	-$1,640
2954 ENLINK MIDSTREAM LLC	P	2013-11-04	2016-10-05	$47,652	$89,565	-$41,913	-$41,913
139 ENLINK MIDSTREAM LLC	P	2014-02-14	2016-10-05	$2,242	$5,394	-$3,152	-$3,152
793 ENLINK MIDSTREAM LLC	P	2014-03-31	2016-10-05	$12,792	$26,617	-$13,825	-$13,825
357 EPR PROPERTIES REIT	P	2013-03-15	2016-07-19	$29,006	$17,262	$11,744	$11,744
273 EPR PROPERTIES REIT	P	2013-05-10	2016-07-19	$22,181	$15,416	$6,765	$6,765
118 FIDELITY NATIONAL FINANCIAL IN COM	P	2013-03-15	2016-09-19	$4,384	$2,391	$1,993	$1,993
123 FIDELITY NATIONAL FINANCIAL IN COM	P	2013-03-19	2016-09-19	$4,569	$2,448	$2,121	$2,121
1366 FIDELITY NATIONAL FINANCIAL IN COM	P	2013-05-10	2016-09-19	$50,746	$30,080	$20,666	$20,666
1344 FIRSTMERIT CORP MERGER EFF: 08/2016	P	2013-08-14	2016-01-28	$25,416	$30,650	-$5,234	-$5,234
3012 FIRSTMERIT CORP MERGER EFF: 08/2016	P	2013-11-04	2016-01-28	$56,960	$66,801	-$9,841	-$9,841
177 FIRSTMERIT CORP MERGER EFF: 08/2016	P	2014-02-14	2016-01-28	$3,347	$3,588	-$241	-$241
2120 FIRSTMERIT CORP MERGER EFF: 08/2016	P	2014-04-24	2016-01-28	$40,091	$40,365	-$274	-$274
2232 FIRSTMERIT CORP MERGER EFF: 08/2016	P	2014-12-12	2016-02-04	$43,415	$40,306	$3,109	$3,109
1184 FIRSTMERIT CORP MERGER EFF: 08/2016	P	2014-12-12	2016-01-28	$22,391	$21,381	$1,010	$1,010
812 FIRSTMERIT CORP MERGER EFF: 08/2016	P	2014-12-12	2016-03-02	$16,696	$14,663	$2,033	$2,033
1441 FIRSTMERIT CORP MERGER EFF: 08/2016	P	2015-06-15	2016-03-02	$29,630	$29,728	-$98	-$98
0.46 FORTIS INC CANADA ORD CAD	P	2016-10-14	2016-10-17	$15	$15	$0	$0
705 GARMIN LTD SHS CHF	P	2013-08-14	2016-02-18	$27,642	$27,446	$196	$196
866 GARMIN LTD SHS CHF	P	2013-08-14	2016-02-04	$30,337	$33,713	-$3,376	-$3,376
1149 GARMIN LTD SHS CHF	P	2013-11-04	2016-02-23	$46,543	$54,567	-$8,024	-$8,024
468 GARMIN LTD SHS CHF	P	2013-11-04	2016-02-18	$18,349	$22,226	-$3,877	-$3,877
177 GARMIN LTD SHS CHF	P	2013-11-04	2016-04-29	$7,512	$8,406	-$894	-$894
192 GARMIN LTD SHS CHF	P	2014-02-14	2016-04-29	$8,148	$8,801	-$653	-$653
449 GARMIN LTD SHS CHF	P	2014-07-31	2016-04-29	$19,055	$24,997	-$5,942	-$5,942
204 GARMIN LTD SHS CHF	P	2014-12-12	2016-04-29	$8,658	$10,723	-$2,065	-$2,065
937 GARMIN LTD SHS CHF	P	2014-12-12	2016-07-19	$42,822	$49,254	-$6,432	-$6,432
171 GARMIN LTD SHS CHF	P	2014-12-12	2016-08-03	$9,419	$8,989	$430	$430
561 GARMIN LTD SHS CHF	P	2015-06-15	2016-08-03	$30,902	$24,746	$6,156	$6,156
295 GARMIN LTD SHS CHF	P	2015-08-03	2016-08-03	$16,250	$12,211	$4,039	$4,039
3321 GEO GROUP INC NEW COM	P	2016-08-25	2016-11-08	$80,004	$74,842	$5,162	$5,162
5777 GEO GROUP INC NEW COM	P	2016-08-25	2016-11-14	$186,340	$130,190	$56,150	$56,150
345 GREAT PLAINS ENERGY INC	P	2013-08-14	2016-05-05	$10,899	$8,129	$2,770	$2,770
838 GREAT PLAINS ENERGY INC	P	2013-11-04	2016-05-05	$26,474	$19,600	$6,874	$6,874
1880 HARMAN INTL INDS INC NEW MERGER EFF: 03/2017	P	2016-01-20	2016-11-16	$205,636	$137,027	$68,609	$68,609
511 HARMAN INTL INDS INC NEW MERGER EFF: 03/2017	P	2016-01-25	2016-11-16	$55,893	$40,116	$15,777	$15,777
1092 HARMAN INTL INDS INC NEW MERGER EFF: 03/2017	P	2016-02-02	2016-11-16	$119,444	$80,073	$39,371	$39,371
485 HARRIS CORP DELA	P	2013-08-14	2016-09-19	$43,734	$28,250	$15,484	$15,484
458 HASBRO INC	P	2013-08-14	2016-03-08	$35,880	$20,880	$15,000	$15,000
434 HASBRO INC	P	2013-08-14	2016-06-30	$36,398	$19,786	$16,612	$16,612
3288 HATTERAS FINANCIAL CORP REIT	P	2014-02-25	2016-01-20	$34,773	$63,314	-$28,541	-$28,541
3151 HATTERAS FINANCIAL CORP REIT	P	2014-12-12	2016-01-20	$33,324	$59,774	-$26,450	-$26,450
2588 HATTERAS FINANCIAL CORP REIT	P	2015-01-22	2016-01-20	$27,370	$47,823	-$20,453	-$20,453
3320 HATTERAS FINANCIAL CORP REIT	P	2015-06-15	2016-01-20	$35,111	$57,951	-$22,840	-$22,840
314 HELMERICH & PAYNE INC	P	2015-01-22	2016-11-21	$21,785	$19,842	$1,943	$1,943
1298 HELMERICH & PAYNE INC	P	2015-01-27	2016-11-21	$90,053	$82,233	$7,820	$7,820
178 HELMERICH & PAYNE INC	P	2015-06-15	2016-11-21	$12,349	$12,872	-$523	-$523
880 HERCULES CAPITAL INC	P	2013-05-10	2016-10-03	$11,977	$11,483	$494	$494
39 HERCULES CAPITAL INC	P	2013-05-21	2016-10-03	$531	$532	-$1	-$1
3264 HERCULES CAPITAL INC	P	2013-08-14	2016-10-03	$44,425	$48,491	-$4,066	-$4,066
178 HNI CORP	P	2013-08-14	2016-11-28	$9,742	$6,769	$2,973	$2,973
1381 HNI CORP	P	2013-08-14	2016-11-08	$57,894	$52,515	$5,379	$5,379
460 HNI CORP	P	2013-11-04	2016-11-28	$25,175	$17,759	$7,416	$7,416
1775 HUNTSMAN CORP	P	2013-05-10	2016-03-08	$21,322	$33,565	-$12,243	-$12,243
722 HUNTSMAN CORP	P	2013-08-14	2016-03-08	$8,673	$13,465	-$4,792	-$4,792
2719 HUNTSMAN CORP	P	2013-08-14	2016-04-22	$41,074	$50,708	-$9,634	-$9,634
3277 HUNTSMAN CORP	P	2013-11-04	2016-04-22	$49,503	$75,275	-$25,772	-$25,772
79 HUNTSMAN CORP	P	2014-02-14	2016-04-22	$1,193	$1,826	-$633	-$633
820 HUNTSMAN CORP	P	2014-12-12	2016-04-22	$12,387	$17,884	-$5,497	-$5,497
1921 HUNTSMAN CORP	P	2014-12-12	2016-05-27	$29,238	$41,897	-$12,659	-$12,659
884 HUNTSMAN CORP	P	2014-12-15	2016-12-02	$17,255	$18,754	-$1,499	-$1,499
709 HUNTSMAN CORP	P	2014-12-15	2016-05-27	$10,791	$15,041	-$4,250	-$4,250
1583 HUNTSMAN CORP	P	2015-01-27	2016-12-02	$30,898	$34,331	-$3,433	-$3,433
1206 HUNTSMAN CORP	P	2015-03-02	2016-12-02	$23,540	$26,504	-$2,964	-$2,964
604 IDEX CORP	P	2013-05-10	2016-03-22	$50,045	$32,877	$17,168	$17,168
276 IDEX CORP	P	2013-05-10	2016-06-14	$23,591	$15,023	$8,568	$8,568
171 IDEX CORP	P	2013-08-14	2016-06-14	$14,616	$10,462	$4,154	$4,154
200 INGREDION INC COM	P	2014-09-30	2016-01-20	$17,365	$15,273	$2,092	$2,092
334 INGREDION INC COM	P	2014-10-21	2016-01-20	$29,000	$24,882	$4,118	$4,118
213 INGREDION INC COM	P	2014-10-21	2016-07-01	$27,572	$15,868	$11,704	$11,704
193 INGREDION INC COM	P	2014-12-12	2016-07-01	$24,983	$15,847	$9,136	$9,136
275 INGREDION INC COM	P	2014-12-12	2016-10-05	$36,608	$22,580	$14,028	$14,028
69 INGREDION INC COM	P	2015-03-12	2016-10-05	$9,185	$5,325	$3,860	$3,860
1337 ITC HOLDINGS CORP MERGER :10/2016	P	2014-05-23	2016-07-19	$61,970	$49,325	$12,645	$12,645
134 ITC HOLDINGS CORP MERGER :10/2016	P	2014-05-29	2016-07-19	$6,211	$4,873	$1,338	$1,338
778 ITC HOLDINGS CORP MERGER :10/2016	P	2014-05-29	2016-09-19	$35,561	$28,293	$7,268	$7,268
252 ITC HOLDINGS CORP MERGER :10/2016	P	2014-07-08	2016-09-19	$11,519	$9,008	$2,511	$2,511
833 ITC HOLDINGS CORP MERGER :10/2016	P	2014-07-08	2016-10-14	$38,542	$29,776	$8,766	$8,766
656 ITC HOLDINGS CORP MERGER :10/2016	P	2014-09-04	2016-10-14	$30,353	$24,666	$5,687	$5,687
1294 ITC HOLDINGS CORP MERGER :10/2016	P	2014-12-12	2016-10-14	$59,872	$50,096	$9,776	$9,776
1869 ITC HOLDINGS CORP MERGER :10/2016	P	2015-04-20	2016-10-14	$86,477	$68,648	$17,829	$17,829
984 ITC HOLDINGS CORP MERGER :10/2016	P	2015-05-14	2016-10-14	$45,529	$34,586	$10,943	$10,943
846 ITC HOLDINGS CORP MERGER :10/2016	P	2015-06-15	2016-10-14	$39,144	$26,955	$12,189	$12,189
400 J2 GLOBAL INC COM	P	2013-11-26	2016-01-05	$32,077	$19,313	$12,764	$12,764
572 J2 GLOBAL INC COM	P	2013-12-03	2016-01-05	$45,870	$25,763	$20,107	$20,107
466 J2 GLOBAL INC COM	P	2013-12-05	2016-07-19	$30,465	$20,902	$9,563	$9,563
149 J2 GLOBAL INC COM	P	2013-12-05	2016-02-16	$11,089	$6,683	$4,406	$4,406
34 J2 GLOBAL INC COM	P	2013-12-05	2016-01-05	$2,727	$1,525	$1,202	$1,202
217 J2 GLOBAL INC COM	P	2014-01-06	2016-07-19	$14,187	$10,792	$3,395	$3,395
112 LINCOLN ELEC HOLDINGS NEW	P	2013-03-15	2016-02-10	$6,337	$6,354	-$17	-$17
668 LINCOLN ELEC HOLDINGS NEW	P	2013-05-10	2016-02-10	$37,794	$37,971	-$177	-$177
235 LINCOLN ELEC HOLDINGS NEW	P	2013-05-10	2016-12-02	$18,583	$13,358	$5,225	$5,225
540 LINCOLN ELEC HOLDINGS NEW	P	2013-08-14	2016-12-02	$42,702	$33,720	$8,982	$8,982
1234 MAXIM INTEGRATED PRODS INC	P	2013-08-14	2016-09-19	$48,188	$35,443	$12,745	$12,745
773 MCGRATH RENTCORP	P	2013-08-14	2016-03-11	$19,574	$26,549	-$6,975	-$6,975
100 MCGRATH RENTCORP	P	2013-11-04	2016-06-17	$3,010	$3,632	-$622	-$622
223 MCGRATH RENTCORP	P	2013-11-04	2016-03-11	$5,647	$8,099	-$2,452	-$2,452
955 MCGRATH RENTCORP	P	2013-11-04	2016-03-11	$24,183	$34,686	-$10,503	-$10,503
112 MCGRATH RENTCORP	P	2014-02-14	2016-06-17	$3,371	$4,097	-$726	-$726
1155 MCGRATH RENTCORP	P	2014-12-12	2016-06-17	$34,766	$39,654	-$4,888	-$4,888
567 MCGRATH RENTCORP	P	2015-06-15	2016-06-17	$17,067	$17,741	-$674	-$674
680 MEDICAL PROPERTIES TRUST INC REIT	P	2013-03-15	2016-06-23	$10,255	$9,777	$478	$478
1556 MEDICAL PROPERTIES TRUST INC REIT	P	2013-05-10	2016-06-23	$23,465	$24,913	-$1,448	-$1,448
362 MEDICAL PROPERTIES TRUST INC REIT	P	2013-08-14	2016-06-23	$5,459	$4,674	$785	$785
617 MICROCHIP TECHNOLOGY INC	P	2013-05-10	2016-09-23	$37,639	$20,321	$17,318	$17,318
692 MICROCHIP TECHNOLOGY INC	P	2013-05-10	2016-08-26	$43,056	$22,791	$20,265	$20,265
120 MICROCHIP TECHNOLOGY INC	P	2013-08-14	2016-09-23	$7,320	$4,401	$2,919	$2,919
1568 MICROCHIP TECHNOLOGY INC	P	2013-08-14	2016-11-16	$102,778	$57,507	$45,271	$45,271
433 MICROCHIP TECHNOLOGY INC	P	2013-11-04	2016-11-16	$28,382	$16,824	$11,558	$11,558
1128 MICROCHIP TECHNOLOGY INC	P	2013-11-04	2016-11-28	$74,665	$43,422	$31,243	$31,243
116 MICROCHIP TECHNOLOGY INC	P	2014-02-14	2016-11-28	$7,678	$4,903	$2,775	$2,775
1474 MICROCHIP TECHNOLOGY INC	P	2014-12-12	2016-11-28	$97,567	$62,299	$35,268	$35,268
617 MICROCHIP TECHNOLOGY INC	P	2015-06-15	2016-11-28	$40,841	$28,172	$12,669	$12,669
1565 MICROCHIP TECHNOLOGY INC	P	2016-01-20	2016-11-28	$103,591	$64,313	$39,278	$39,278
333 MTS SYSTEMS CORP	P	2013-05-10	2016-01-28	$16,779	$18,618	-$1,839	-$1,839
550 MTS SYSTEMS CORP	P	2013-08-14	2016-01-28	$27,713	$33,998	-$6,285	-$6,285
511 MTS SYSTEMS CORP	P	2013-11-04	2016-01-28	$25,748	$33,359	-$7,611	-$7,611
52 MTS SYSTEMS CORP	P	2014-02-14	2016-01-28	$2,620	$3,792	-$1,172	-$1,172
473 MTS SYSTEMS CORP	P	2014-12-12	2016-01-28	$23,833	$32,304	-$8,471	-$8,471
200 MTS SYSTEMS CORP	P	2015-06-15	2016-01-28	$10,077	$13,979	-$3,902	-$3,902
476 NORDSON CORP	P	2016-01-11	2016-06-14	$40,440	$27,385	$13,055	$13,055
1928 NORDSTROM INC	P	2016-05-19	2016-08-16	$101,290	$70,927	$30,363	$30,363
1425 NORDSTROM INC	P	2016-05-19	2016-10-14	$76,358	$52,423	$23,935	$23,935
1110 ONE GAS INC	P	2014-12-12	2016-01-05	$54,290	$47,056	$7,234	$7,234
320 ONE GAS INC	P	2014-12-12	2016-01-12	$15,632	$13,566	$2,066	$2,066
475 ONE GAS INC	P	2015-06-15	2016-01-12	$23,204	$20,012	$3,192	$3,192
496 PACKAGING CORP OF AMERICA	P	2013-05-10	2016-08-25	$38,958	$24,453	$14,505	$14,505
201 PACKAGING CORP OF AMERICA	P	2013-08-14	2016-08-25	$15,787	$10,998	$4,789	$4,789
402 PACWEST BANCORP	P	2013-03-15	2016-08-25	$16,906	$11,308	$5,598	$5,598
571 PACWEST BANCORP	P	2013-05-10	2016-08-25	$24,013	$15,793	$8,220	$8,220
908 PACWEST BANCORP	P	2013-05-10	2016-12-15	$49,357	$25,114	$24,243	$24,243
0.53 PLAINS GP HOLDINGS LP CL A MLP	P	2016-02-03	2016-11-16	$17	$10	$7	$7
702 PNM RESOURCES INC (HOLDING CO)	P	2013-08-14	2016-01-12	$21,196	$16,471	$4,725	$4,725
425 PNM RESOURCES INC (HOLDING CO)	P	2013-10-30	2016-01-12	$12,832	$10,370	$2,462	$2,462
179 PNM RESOURCES INC (HOLDING CO)	P	2013-10-30	2016-07-29	$6,099	$4,367	$1,732	$1,732
1017 PNM RESOURCES INC (HOLDING CO)	P	2013-11-04	2016-07-29	$34,649	$24,070	$10,579	$10,579
812 RPM INTL INC (DELA)	P	2013-08-14	2016-06-14	$41,034	$28,963	$12,071	$12,071
332 SANDERSON FARMS INC	P	2015-03-27	2016-01-20	$24,444	$26,341	-$1,897	-$1,897
565 SANDERSON FARMS INC	P	2015-03-27	2016-01-11	$43,945	$44,828	-$883	-$883
448 SANDERSON FARMS INC	P	2015-04-02	2016-01-20	$32,985	$37,474	-$4,489	-$4,489
513 SANDERSON FARMS INC	P	2015-04-07	2016-01-20	$37,771	$40,169	-$2,398	-$2,398
76 SANDERSON FARMS INC	P	2015-04-07	2016-01-21	$5,799	$5,951	-$152	-$152
458 SANDERSON FARMS INC	P	2015-05-11	2016-01-21	$34,947	$37,510	-$2,563	-$2,563
273 SANDERSON FARMS INC	P	2015-06-15	2016-01-21	$20,831	$21,230	-$399	-$399
457 SANDERSON FARMS INC	P	2015-08-19	2016-01-21	$34,871	$33,152	$1,719	$1,719
1043 TARGA RESOURCES INVESTMENTS	P	2014-12-17	2016-04-27	$41,302	$100,058	-$58,756	-$58,756
133 TARGA RESOURCES INVESTMENTS	P	2014-12-17	2016-05-17	$5,776	$12,651	-$6,875	-$6,875
443 TARGA RESOURCES INVESTMENTS	P	2015-01-06	2016-05-17	$19,239	$40,362	-$21,123	-$21,123
210 TARGA RESOURCES INVESTMENTS	P	2015-01-15	2016-05-17	$9,120	$17,439	-$8,319	-$8,319
520 TARGA RESOURCES INVESTMENTS	P	2015-01-15	2016-10-03	$25,334	$42,762	-$17,428	-$17,428
189 TARGA RESOURCES INVESTMENTS	P	2015-06-15	2016-10-03	$9,208	$16,198	-$6,990	-$6,990
475 TARGA RESOURCES INVESTMENTS	P	2015-08-05	2016-10-03	$23,141	$38,583	-$15,442	-$15,442
757 TARGA RESOURCES INVESTMENTS	P	2015-08-10	2016-10-03	$36,880	$55,615	-$18,735	-$18,735
19 TARGA RESOURCES INVESTMENTS	P	2015-08-19	2016-10-03	$926	$1,323	-$397	-$397
268 TELEFLEX INC	P	2013-08-14	2016-06-30	$47,337	$20,740	$26,597	$26,597
25 TRIANGLE CAPITAL CORP	P	2014-04-14	2016-05-06	$434	$655	-$221	-$221
104 TRIANGLE CAPITAL CORP	P	2014-06-25	2016-05-06	$1,804	$2,805	-$1,001	-$1,001
29 TRIANGLE CAPITAL CORP	P	2014-06-25	2016-05-06	$503	$782	-$279	-$279
110 TRIANGLE CAPITAL CORP	P	2014-09-24	2016-05-06	$1,908	$2,871	-$963	-$963
10 TRIANGLE CAPITAL CORP	P	2014-09-24	2016-05-06	$173	$261	-$88	-$88
1 TRIANGLE CAPITAL CORP	P	2014-09-24	2016-05-06	$17	$26	-$9	-$9
1547 TRIANGLE CAPITAL CORP	P	2014-12-12	2016-05-06	$26,839	$29,934	-$3,095	-$3,095
145 TRIANGLE CAPITAL CORP	P	2014-12-24	2016-05-06	$2,516	$2,957	-$441	-$441
164 TRIANGLE CAPITAL CORP	P	2015-03-25	2016-05-06	$2,845	$3,852	-$1,007	-$1,007
464 TRIANGLE CAPITAL CORP	P	2015-06-15	2016-05-06	$8,050	$11,006	-$2,956	-$2,956
121 TRIANGLE CAPITAL CORP	P	2015-06-24	2016-05-06	$2,099	$2,935	-$836	-$836
85 TRIANGLE CAPITAL CORP	P	2015-09-23	2016-05-06	$1,475	$2,198	-$723	-$723
79 TRIANGLE CAPITAL CORP	P	2015-12-23	2016-05-06	$1,371	$1,514	-$143	-$143
78 TRIANGLE CAPITAL CORP	P	2016-03-23	2016-05-06	$1,353	$1,553	-$200	-$200
303 TUPPERWARE BRANDS CORP	P	2013-03-15	2016-02-02	$13,665	$23,841	-$10,176	-$10,176
769 TUPPERWARE BRANDS CORP	P	2013-05-10	2016-02-02	$34,680	$63,059	-$28,379	-$28,379
177 TUPPERWARE BRANDS CORP	P	2013-08-14	2016-08-16	$11,542	$15,479	-$3,937	-$3,937
572 TUPPERWARE BRANDS CORP	P	2013-08-14	2016-02-02	$25,796	$50,021	-$24,225	-$24,225
492 TUPPERWARE BRANDS CORP	P	2013-11-04	2016-08-16	$32,082	$44,693	-$12,611	-$12,611
761 UMPQUA HOLDINGS CORP OR	P	2013-10-10	2016-10-10	$11,797	$12,544	-$747	-$747
2449 UMPQUA HOLDINGS CORP OR	P	2013-10-14	2016-10-10	$37,964	$40,687	-$2,723	-$2,723
1502 UMPQUA HOLDINGS CORP OR	P	2013-10-30	2016-10-10	$23,284	$25,097	-$1,813	-$1,813
893 UMPQUA HOLDINGS CORP OR	P	2013-11-04	2016-10-10	$13,843	$14,627	-$784	-$784
2044 UMPQUA HOLDINGS CORP OR	P	2013-11-04	2016-10-27	$31,662	$33,481	-$1,819	-$1,819
251 UMPQUA HOLDINGS CORP OR	P	2014-02-14	2016-10-27	$3,888	$4,256	-$368	-$368
1309 UMPQUA HOLDINGS CORP OR	P	2014-02-28	2016-10-27	$20,277	$23,119	-$2,842	-$2,842
519 UMPQUA HOLDINGS CORP OR	P	2014-05-02	2016-10-27	$8,040	$8,626	-$586	-$586
950 UMPQUA HOLDINGS CORP OR	P	2014-05-02	2016-11-11	$16,229	$15,789	$440	$440
4342 UMPQUA HOLDINGS CORP OR	P	2014-12-12	2016-11-11	$74,175	$73,227	$948	$948
358 VALIDUS HOLDINGS LTD	P	2013-03-15	2016-12-16	$18,931	$13,424	$5,507	$5,507
535 VALIDUS HOLDINGS LTD	P	2013-05-10	2016-12-16	$28,290	$20,286	$8,004	$8,004
1007 WASH TRUST BANCORP INC	P	2013-05-10	2016-09-19	$43,183	$28,587	$14,596	$14,596
0.5 ADIENT PLC	P	2016-10-31	2016-10-31	$23	$23	$0	$0
166.94 ADIENT PLC	P	2016-10-31	2016-11-01	$7,565	$7,777	-$212	-$212
408.55 ADIENT PLC	P	2016-10-31	2016-11-01	$18,513	$19,032	-$519	-$519
380.38 ADIENT PLC	P	2016-10-31	2016-11-01	$17,237	$17,720	-$483	-$483
118.13 ADIENT PLC	P	2016-10-31	2016-11-01	$5,353	$5,503	-$150	-$150
1771 ADT CORP COM MERGER : 05/2016	P	2013-11-08	2016-02-16	$71,011	$74,818	-$3,807	-$3,807
3231 ADT CORP COM MERGER : 05/2016	P	2014-02-14	2016-02-16	$129,552	$100,473	$29,079	$29,079
2072 ADT CORP COM MERGER : 05/2016	P	2014-04-07	2016-02-16	$83,080	$64,253	$18,827	$18,827
3243 ADT CORP COM MERGER : 05/2016	P	2015-06-16	2016-02-16	$130,033	$117,291	$12,742	$12,742
1742.73 ALLERGAN PLC	P	2013-11-08	2016-02-25	$497,400	$250,619	$246,781	$246,781
708.49 ALLERGAN PLC	P	2014-02-14	2016-02-25	$202,212	$150,543	$51,669	$51,669
204.78 ALLERGAN PLC	P	2014-04-07	2016-02-25	$58,447	$45,676	$12,771	$12,771
497 AMC NETWORKS INC CL A	P	2013-11-08	2016-02-25	$33,810	$33,907	-$97	-$97
2756 ANADARKO PETROLEUM CORP	P	2013-11-08	2016-02-25	$104,312	$250,876	-$146,564	-$146,564
3687 ANADARKO PETROLEUM CORP	P	2014-02-14	2016-02-25	$139,550	$299,520	-$159,970	-$159,970
1045 ANADARKO PETROLEUM CORP	P	2014-04-07	2016-02-25	$39,552	$103,444	-$63,892	-$63,892
1407 ANADARKO PETROLEUM CORP	P	2014-11-04	2016-02-25	$53,254	$125,126	-$71,872	-$71,872
4389 ANADARKO PETROLEUM CORP	P	2014-12-12	2016-02-25	$166,120	$324,941	-$158,821	-$158,821
3550 AUTODESK INC	P	2013-11-08	2016-02-25	$175,686	$149,947	$25,739	$25,739
2210 AUTODESK INC	P	2014-02-14	2016-02-25	$109,371	$120,130	-$10,759	-$10,759
1559 AUTODESK INC	P	2014-04-07	2016-02-25	$77,153	$73,413	$3,740	$3,740
637 BIOGEN INC	P	2013-11-08	2016-02-25	$166,827	$151,004	$15,823	$15,823
312 BIOGEN INC	P	2014-02-14	2016-02-25	$81,711	$99,875	-$18,164	-$18,164
557 BIOGEN INC	P	2014-04-07	2016-02-25	$145,875	$164,075	-$18,200	-$18,200
191 BIOGEN INC	P	2014-10-13	2016-02-25	$50,022	$58,333	-$8,311	-$8,311
11 BIOGEN INC	P	2014-10-15	2016-02-25	$2,881	$3,335	-$454	-$454
0.38 BROADCOM LTD SGD	P	2013-11-08	2016-02-02	$51	$22	$29	$29
2499.46 BROADCOM LTD SGD	P	2013-11-08	2016-02-25	$326,872	$142,956	$183,916	$183,916
1255.54 BROADCOM LTD SGD	P	2014-02-14	2016-02-25	$164,196	$86,863	$77,333	$77,333
1681 CITRIX SYSTEMS INC	P	2013-11-08	2016-02-25	$116,692	$100,496	$16,196	$16,196
43 CITRIX SYSTEMS INC	P	2013-12-04	2016-02-25	$2,985	$2,530	$455	$455
1926 CITRIX SYSTEMS INC	P	2014-02-14	2016-02-25	$133,700	$110,167	$23,533	$23,533
308 CITRIX SYSTEMS INC	P	2014-04-07	2016-02-25	$21,381	$17,228	$4,153	$4,153
7533 COMCAST CORP NEW CL A	P	2013-11-08	2016-02-25	$440,671	$353,366	$87,305	$87,305
6660 COMCAST CORP NEW CL A	P	2014-02-14	2016-02-25	$389,602	$343,359	$46,243	$46,243
2731 COMCAST CORP NEW CL A	P	2014-04-07	2016-02-25	$159,760	$132,399	$27,361	$27,361
0.8 COMMERCEHUB INC SER A	P	2013-11-08	2016-07-25	$10	$7	$3	$3
17.46 COMMERCEHUB INC SER A	P	2013-11-08	2016-07-26	$225	$154	$71	$71
51.89 COMMERCEHUB INC SER A	P	2014-02-14	2016-07-26	$670	$478	$192	$192
39.65 COMMERCEHUB INC SER A	P	2014-04-07	2016-07-26	$512	$373	$139	$139
35.91 COMMERCEHUB INC SER C	P	2013-11-08	2016-07-26	$462	$318	$144	$144
0.6 COMMERCEHUB INC SER C	P	2013-11-08	2016-07-25	$8	$5	$3	$3
103.78 COMMERCEHUB INC SER C	P	2014-02-14	2016-07-26	$1,336	$959	$377	$377
79.3 COMMERCEHUB INC SER C	P	2014-04-07	2016-07-26	$1,021	$749	$272	$272
2699 CREE INC	P	2013-11-08	2016-02-25	$82,561	$152,034	-$69,473	-$69,473
2499 CREE INC	P	2014-02-14	2016-02-25	$76,443	$150,364	-$73,921	-$73,921
2747 CREE INC	P	2014-04-07	2016-02-25	$84,029	$152,323	-$68,294	-$68,294
1755 CREE INC	P	2014-05-06	2016-02-25	$53,684	$81,512	-$27,828	-$27,828
10915 CREE INC	P	2014-12-12	2016-02-25	$333,883	$330,192	$3,691	$3,691
228 CREE INC	P	2015-06-16	2016-02-25	$6,974	$7,026	-$52	-$52
4870 DISCOVERY COMMUNICATIONS INC CL A	P	2015-05-12	2016-02-25	$123,598	$155,871	-$32,273	-$32,273
1419 DOLBY LABORATORIES INC CL A	P	2013-11-08	2016-02-25	$55,496	$50,252	$5,244	$5,244
1092 DOLBY LABORATORIES INC CL A	P	2014-02-14	2016-02-25	$42,707	$45,303	-$2,596	-$2,596
869 DOLBY LABORATORIES INC CL A	P	2014-04-07	2016-02-25	$33,986	$37,790	-$3,804	-$3,804
170 DOLBY LABORATORIES INC CL A	P	2015-06-16	2016-02-25	$6,649	$6,724	-$75	-$75
1947 FLUOR CORP NEW	P	2013-11-08	2016-02-25	$89,326	$150,582	-$61,256	-$61,256
1975 FLUOR CORP NEW	P	2014-02-14	2016-02-25	$90,611	$157,297	-$66,686	-$66,686
1920 FLUOR CORP NEW	P	2014-04-07	2016-02-25	$88,088	$145,135	-$57,047	-$57,047
607 FLUOR CORP NEW	P	2014-12-12	2016-02-25	$27,849	$35,067	-$7,218	-$7,218
2062 FREEPORT-MCMORAN INC	P	2013-11-08	2016-02-25	$14,722	$75,216	-$60,494	-$60,494
2586 FREEPORT-MCMORAN INC	P	2014-02-14	2016-02-25	$18,464	$87,394	-$68,930	-$68,930
1982 FREEPORT-MCMORAN INC	P	2014-04-07	2016-02-25	$14,151	$66,131	-$51,980	-$51,980
5731 FREEPORT-MCMORAN INC	P	2014-12-12	2016-02-25	$40,918	$129,399	-$88,481	-$88,481
2324 IMMUNOGEN INC	P	2013-11-08	2016-02-25	$16,988	$31,636	-$14,648	-$14,648
1504 IONIS PHARMACEUTICALS INC	P	2013-11-08	2016-02-25	$52,639	$50,292	$2,347	$2,347
478 IONIS PHARMACEUTICALS INC	P	2014-02-14	2016-02-25	$16,730	$16,730	$0	$0
1916 IONIS PHARMACEUTICALS INC	P	2014-04-07	2016-02-25	$67,059	$67,059	$0	$0
453 IONIS PHARMACEUTICALS INC	P	2016-02-12	2016-02-25	$15,855	$15,590	$265	$265
0.66 JOHNSON CTLS INTL PLC	P	2014-04-07	2016-09-06	$32	$29	$3	$3
1973 L-3 COMMUNICATIONS HOLDINGS CORP	P	2013-11-08	2016-02-25	$232,178	$200,047	$32,131	$32,131
1698 L-3 COMMUNICATIONS HOLDINGS CORP	P	2014-02-14	2016-02-25	$199,816	$192,701	$7,115	$7,115
1224 L-3 COMMUNICATIONS HOLDINGS CORP	P	2014-04-07	2016-02-25	$144,037	$141,600	$2,437	$2,437
0.6 LIBERTY BRAVES GROUP	P	2013-11-08	2016-04-18	$11	$16	-$5	-$5
0.4 LIBERTY BRAVES GROUP SER C	P	2014-04-07	2016-04-18	$7	$7	$0	$0
194 LIBERTY BROADBAND CORP	P	2013-11-08	2016-02-25	$9,500	$9,704	-$204	-$204
97 LIBERTY BROADBAND CORP SER A	P	2013-11-08	2016-02-25	$4,752	$4,892	-$140	-$140
0.2 LIBERTY EXPEDIA HOLDINGS INC SER A	P	2013-11-08	2016-11-07	$8	$5	$3	$3
72.83 LIBERTY EXPEDIA HOLDINGS INC SER A	P	2013-11-08	2016-11-08	$3,168	$1,903	$1,265	$1,265
207.57 LIBERTY EXPEDIA HOLDINGS INC SER A	P	2014-02-14	2016-11-08	$9,028	$5,660	$3,368	$3,368
158.6 LIBERTY EXPEDIA HOLDINGS INC SER A	P	2014-04-07	2016-11-08	$6,898	$4,418	$2,480	$2,480
0.8 LIBERTY INTERACTIVE CORP COM	P	2013-11-08	2016-11-07	$32	$21	$11	$11
3617 LIBERTY INTERACTIVE CORP QVC GROUP COM SER A	P	2013-11-08	2016-02-25	$94,619	$84,728	$9,891	$9,891
2513 LIBERTY INTERACTIVE CORP QVC GROUP COM SER A	P	2014-02-14	2016-02-25	$65,739	$61,429	$4,310	$4,310
0.5 LIBERTY MEDIA CORP-LIBERTY FORMULA	P	2014-04-07	2016-04-18	$9	$9	$0	$0
1006 LIBERTY MEDIA CORP	P	2013-11-08	2016-02-25	$33,801	$36,764	-$2,963	-$2,963
1324 LIBERTY MEDIA CORP	P	2014-02-14	2016-02-25	$44,485	$43,604	$881	$881
1079 LIBERTY MEDIA CORP	P	2014-04-07	2016-02-25	$36,254	$33,487	$2,767	$2,767
0.5 LIBERTY MEDIA CORP - LIBERTY FORMULA ONE	P	2013-11-08	2016-04-18	$9	$11	-$2	-$2
140 LIBERTY MEDIA CORP CL A	P	2013-11-08	2016-02-25	$4,821	$5,358	-$537	-$537
331 LIBERTY VENTURES SER A	P	2013-11-08	2016-02-25	$11,628	$9,528	$2,100	$2,100
0.82 LIONS GATE ENTERTAINMENT CORP CL B	P	2016-12-09	2016-12-09	$21	$21	$0	$0
597.5 MEDTRONIC PLC	P	2015-01-27	2016-02-25	$45,816	$45,374	$442	$442
1503.5 MEDTRONIC PLC	P	2015-01-27	2016-02-25	$115,286	$114,175	$1,111	$1,111
1231 NATL-OILWELLVARCO INC	P	2013-11-08	2016-02-25	$34,898	$90,810	-$55,912	-$55,912
1242 NATL-OILWELLVARCO INC	P	2014-02-14	2016-02-25	$35,210	$85,309	-$50,099	-$50,099
307 NOW INC COM	P	2013-11-08	2016-02-25	$4,596	$9,851	-$5,255	-$5,255
377.5 NOW INC COM	P	2014-02-14	2016-02-25	$5,651	$11,278	-$5,627	-$5,627
259.5 NOW INC COM	P	2014-04-07	2016-02-25	$3,885	$7,952	-$4,067	-$4,067
1884 NOW INC COM	P	2014-11-17	2016-02-25	$28,203	$53,549	-$25,346	-$25,346
1536 NOW INC COM	P	2014-11-18	2016-02-25	$22,993	$42,681	-$19,688	-$19,688
1527 NUANCE COMMUNICATIONS INC	P	2014-03-14	2016-02-25	$29,180	$23,434	$5,746	$5,746
2852 NUANCE COMMUNICATIONS INC	P	2014-03-19	2016-02-25	$54,501	$46,508	$7,993	$7,993
2778 NUCOR CORP	P	2013-11-08	2016-02-25	$108,173	$150,956	-$42,783	-$42,783
3342 NUCOR CORP	P	2014-02-14	2016-02-25	$130,135	$171,207	-$41,072	-$41,072
1078 NUCOR CORP	P	2014-04-07	2016-02-25	$41,976	$54,876	-$12,900	-$12,900
1124 PENTAIR PLC	P	2013-11-08	2016-02-25	$53,793	$75,260	-$21,467	-$21,467
539 PENTAIR PLC	P	2014-02-14	2016-02-25	$25,796	$41,992	-$16,196	-$16,196
16.73 RTS LIBERTY MEDIA CORP DEL EXP 06/16/16	P	2013-11-08	2016-06-07	$33		$33	$33
31.03 RTS LIBERTY MEDIA CORP DEL EXP 06/16/16	P	2014-02-14	2016-06-07	$61		$61	$61
27.23 RTS LIBERTY MEDIA CORP DEL EXP 06/16/16	P	2014-04-07	2016-06-07	$54		$54	$54
154 RTS LIBERTY MEDIA CORP DEL EXP 06/16/16	P	2016-05-19	2016-06-07	$303		$303	$303
1 RTS LIBERTY MEDIA CORP DEL EXP 06/16/16	P	2016-05-19	2016-06-07	$2		$2	$2
1 RTS LIBERTY MEDIA CORP DEL EXP 06/16/16	P	2016-05-19	2016-06-07	$2		$2	$2
2211 SANDISK CORP MERGER : 05/2016	P	2013-11-08	2016-02-25	$153,175	$150,259	$2,916	$2,916
1990 SANDISK CORP MERGER : 05/2016	P	2014-02-14	2016-02-25	$137,864	$148,016	-$10,152	-$10,152
1383 SANDISK CORP MERGER : 05/2016	P	2014-04-07	2016-02-25	$95,812	$110,021	-$14,209	-$14,209
2109 SANDISK CORP MERGER : 05/2016	P	2015-01-14	2016-02-25	$146,108	$168,378	-$22,270	-$22,270
1597 SANDISK CORP MERGER : 05/2016	P	2015-04-16	2016-05-13	$121,803	$107,015	$14,788	$14,788
209 SANDISK CORP MERGER : 05/2016	P	2015-04-16	2016-02-25	$14,479	$14,005	$474	$474
2153 SANDISK CORP MERGER : 05/2016	P	2015-06-16	2016-05-13	$164,209	$139,052	$25,157	$25,157
996 SANDISK CORP MERGER : 05/2016	P	2015-08-18	2016-05-13	$75,965	$56,705	$19,260	$19,260
4196 SEAGATE TECHNOLOGY PLC SHS	P	2013-11-08	2016-02-25	$130,115	$201,068	-$70,953	-$70,953
4148 SEAGATE TECHNOLOGY PLC SHS	P	2014-02-14	2016-02-25	$128,627	$207,399	-$78,772	-$78,772
1411 SEAGATE TECHNOLOGY PLC SHS	P	2014-04-07	2016-02-25	$43,754	$78,635	-$34,881	-$34,881
900 STARZ MERGER EFF: 12/2016 SER A	P	2013-11-08	2016-12-09	$32,136	$25,115	$7,021	$7,021
846 STARZ MERGER EFF: 12/2016 SER A	P	2014-02-14	2016-12-09	$30,207	$25,287	$4,920	$4,920
540 STARZ MERGER EFF: 12/2016 SER A	P	2014-04-07	2016-12-09	$19,281	$17,377	$1,904	$1,904
3862 TE CONNECTIVITY LTD CHF	P	2013-11-08	2016-02-25	$220,013	$200,306	$19,707	$19,707
3432 TE CONNECTIVITY LTD CHF	P	2014-02-14	2016-02-25	$195,517	$196,171	-$654	-$654
554 TE CONNECTIVITY LTD CHF	P	2014-04-07	2016-02-25	$31,561	$32,784	-$1,223	-$1,223
4331 TWITTER INC	P	2015-09-28	2016-02-25	$77,740	$108,515	-$30,775	-$30,775
2060 TWITTER INC	P	2015-09-29	2016-02-25	$36,976	$52,419	-$15,443	-$15,443
779 TWITTER INC	P	2015-09-30	2016-02-25	$13,983	$20,254	-$6,271	-$6,271
6947 TWITTER INC	P	2015-12-03	2016-02-25	$124,696	$177,178	-$52,482	-$52,482
111 TWITTER INC	P	2015-12-08	2016-02-25	$1,992	$2,718	-$726	-$726
4147 TYCO INTL PLC REVERSE SPLIT EFF: 09/2016	P	2013-11-08	2016-02-25	$142,488	$148,423	-$5,935	-$5,935
3374 TYCO INTL PLC REVERSE SPLIT EFF: 09/2016	P	2014-02-14	2016-02-25	$115,928	$140,525	-$24,597	-$24,597
1369 TYCO INTL PLC REVERSE SPLIT EFF: 09/2016	P	2014-04-07	2016-02-25	$47,038	$56,726	-$9,688	-$9,688
4291 UNITEDHEALTH GROUP INC	P	2013-11-08	2016-02-25	$515,767	$301,306	$214,461	$214,461
2688 UNITEDHEALTH GROUP INC	P	2014-02-14	2016-02-25	$323,091	$196,274	$126,817	$126,817
1634 VERTEX PHARMACEUTICAL INC	P	2013-11-08	2016-02-25	$142,694	$100,348	$42,346	$42,346
229 VERTEX PHARMACEUTICAL INC	P	2014-02-14	2016-02-25	$19,998	$18,840	$1,158	$1,158
6903 WEATHERFORD INTL PLC	P	2013-11-08	2016-02-25	$41,900	$118,110	-$76,210	-$76,210
1804 WSTN DIGITAL CORP	P	2015-11-03	2016-02-25	$78,797	$122,721	-$43,924	-$43,924
4 WSTN DIGITAL CORP	P	2015-11-03	2016-02-25	$175	$272	-$97	-$97
482 WSTN DIGITAL CORP	P	2015-11-04	2016-02-25	$21,053	$32,723	-$11,670	-$11,670
0.87 WSTN DIGITAL CORP	P	2015-11-04	2016-05-13	$31	$31	$0	$0
113000 ALCOA INC	P	2014-04-14	2016-05-18	$119,356	$121,098	-$1,742	-$1,742
22000 ALCOA INC	P	2015-08-20	2016-05-18	$23,238	$23,165	$73	$73
20000 ALCOA INC B/E	P	2016-01-25	2016-04-21	$20,500	$17,931	$2,569	$2,569
73000 ALCOA INC B/E	P	2016-01-25	2016-05-11	$73,913	$65,519	$8,394	$8,394
88000 AVNET INC NTS B/E	P	2014-04-14	2016-08-30	$96,136	$91,712	$4,424	$4,424
111000 AVNET INC NTS B/E	P	2014-04-14	2016-09-28	$120,767	$115,631	$5,136	$5,136
21000 AVNET INC NTS B/E	P	2015-06-09	2016-09-28	$22,848	$21,696	$1,152	$1,152
212000 CA INC NTS B/E	P	2014-05-20	2016-07-26	$233,465	$229,700	$3,765	$3,765
157000 DELUXE CORP NTS B/E	P	2014-04-14	2016-11-15	$161,710	$162,437	-$727	-$727
23000 DELUXE CORP NTS B/E	P	2015-09-29	2016-11-15	$23,690	$23,966	-$276	-$276
230000 DIRECTV HOLDINGS/FING	P	2014-12-03	2016-03-21	$238,653	$230,465	$8,188	$8,188
153000 FLEXTRONICS INTL LTD NTS	P	2016-08-09	2016-08-10	$165,399	$165,122	$277	$277
73000 FLEXTRONICS INTL LTD NTS	P	2016-08-09	2016-08-10	$78,960	$78,784	$176	$176
141000 HCA INC NTS B/E	P	2015-06-23	2016-12-08	$144,701	$141,659	$3,042	$3,042
47000 INTL GAME TECHNOLOGY B/E	P	2014-04-14	2016-10-04	$52,346	$51,842	$504	$504
112000 INTL GAME TECHNOLOGY B/E	P	2014-12-15	2016-10-04	$124,740	$117,472	$7,268	$7,268
190000 JARDEN CORP	P	2014-04-11	2016-03-02	$194,750	$201,269	-$6,519	-$6,519
212000 LEXMARK INTL INC NTS B/E	P	2014-04-22	2016-05-20	$215,710	$219,683	-$3,973	-$3,973
73000 LIMITED BRANDS INC B/E	P	2015-04-22	2016-01-07	$77,745	$79,874	-$2,129	-$2,129
61000 LIMITED BRANDS INC B/E	P	2015-05-06	2016-01-07	$64,965	$66,066	-$1,101	-$1,101
2000 SEAGATE HDD CAYMAN NTS	P	2015-07-10	2016-03-02	$1,620	$2,019	-$399	-$399
3000 SEAGATE HDD CAYMAN NTS	P	2015-07-10	2016-03-01	$2,423	$3,028	-$605	-$605
3000 SEAGATE HDD CAYMAN NTS	P	2015-07-10	2016-03-07	$2,453	$3,028	-$575	-$575
12000 SEAGATE HDD CAYMAN NTS	P	2015-07-10	2016-03-17	$10,170	$12,113	-$1,943	-$1,943
197000 SEAGATE HDD CAYMAN NTS	P	2014-04-16	2016-03-16	$196,508	$215,410	-$18,902	-$18,902
83000 STEEL DYNAMICS INC NTS	P	2016-10-13	2016-12-07	$86,632	$86,430	$202	$202
23000 SVC CORP INTL NTS B/E	P	2015-06-11	2016-04-28	$24,150	$24,192	-$42	-$42
13000 SVC CORP INTL NTS B/E	P	2015-06-11	2016-01-28	$13,520	$13,699	-$179	-$179
54000 TRANSDIGM INC NTS B/E	P	2016-02-05	2016-11-28	$57,038	$54,945	$2,093	$2,093
26000 TRANSDIGM INC NTS B/E	P	2016-02-12	2016-11-28	$27,463	$26,162	$1,301	$1,301
233000 XEROX CORP	P	2015-11-17	2016-03-11	$209,919	$220,005	-$10,086	-$10,086
1 Expedia Inc Note	P	2016-10-10	2016-10-10	$553		$553	$553
350000 ACE INA HOLDINGS INC B/E	P	2015-10-27	2016-06-23	$367,790	$348,925	$18,865	$18,865
350000 ACTAVIS FUNDING SCS B/E	P	2015-11-23	2016-04-05	$359,740	$352,449	$7,291	$7,291
350000 AIR PRODUCTS & CHEMICALS	P	2015-11-20	2016-06-23	$373,401	$353,646	$19,755	$19,755
350000 ALBERMARLE CORP NTS B/E	P	2015-11-04	2016-06-23	$368,882	$346,087	$22,795	$22,795
200000 AMERICAN TOWER CORP B/E	P	2016-01-08	2016-06-23	$214,748	$199,426	$15,322	$15,322
300000 AUTOMATIC DATA	P	2015-12-01	2016-06-23	$321,036	$308,491	$12,545	$12,545
350000 BOEING CO B/E	P	2015-10-27	2016-06-23	$359,061	$341,596	$17,465	$17,465
175000 CATERPILLAR INC B/E	P	2016-01-05	2016-06-23	$187,035	$177,001	$10,034	$10,034
300000 CHEVRON CORP B/E	P	2015-12-02	2016-06-23	$315,018	$306,283	$8,735	$8,735
300000 CIMAREX ENERGY CO	P	2015-10-20	2016-06-23	$310,083	$298,881	$11,202	$11,202
350000 COMCAST CORP NEW B/E	P	2015-11-19	2016-06-23	$372,988	$357,103	$15,885	$15,885
350000 DANAHER CORP B/E	P	2015-11-30	2016-06-23	$380,649	$356,953	$23,696	$23,696
175000 FORD MOTOR CRDT CO LLC	P	2016-04-06	2016-06-23	$185,766	$182,340	$3,426	$3,426
50000 HALLIBURTON CO B/E	P	2015-11-10	2016-06-23	$154,687	$149,788	$4,899	$4,899
350000 INTL LEASE FIN CORP NTS	P	2016-04-29	2016-06-23	$363,328	$363,185	$143	$143
350000 J P MORGAN CHASE & CO	P	2015-12-03	2016-06-23	$372,281	$360,432	$11,849	$11,849
350000 MICROSOFT CORP NTS B/E	P	2015-10-29	2016-06-23	$369,981	$349,909	$20,072	$20,072
350000 PACIFIC GAS & ELEC B/E	P	2015-11-02	2016-06-23	$374,538	$355,222	$19,316	$19,316
100000 PNC FINANCIAL SERVICES	P	2015-11-03	2016-06-23	$106,518	$101,651	$4,867	$4,867
200000 PNC FINANCIAL SERVICES	P	2015-12-09	2016-06-23	$213,036	$204,709	$8,327	$8,327
150000 SIMON PPTY GROUP LP B/E	P	2016-01-08	2016-06-23	$156,628	$149,101	$7,527	$7,527
350000 TOLL BROS FIN CORP B/E	P	2015-10-27	2016-06-23	$350,910	$351,660	-$750	-$750
350000 UNION PAC CORP B/E	P	2015-10-27	2016-06-23	$375,231	$358,844	$16,387	$16,387
350000 UNITED AIR 2015-1 AA PTT	P	2015-11-02	2016-06-23	$363,160	$350,000	$13,160	$13,160
350000 WELLS FARGO & CO	P	2015-11-23	2016-06-23	$367,668	$353,074	$14,594	$14,594
Westbrook Real Estate Fund VII K-1	P			$109,859		$109,859	$109,859
Westbrook Real Estate Fund VIII K-1	P			$43,140		$43,140	$43,140
General Atlantic Partners K-1s	P			$2,411,056		$2,411,056	$2,411,056
First Mark FHVF LP K-1	P			$2,587		$2,587	$2,587
First Mark FHVF LP gain on disposition	P			$39		$39	$39
Midtown III Liquidating Trust K-1	P				$79,090	-$79,090	-$79,090
Midtown III Liquidating Trust gain on disposition	P			$79,555		$79,555	$79,555
Quantum Value K-1	P			$91,687		$91,687	$91,687
Venture Lending and Leasing III K-1	P			$48,132		$48,132	$48,132
Secondary Opportunities Fund	P			$15,011		$15,011	$15,011
Spindrift	P			$63,066		$63,066	$63,066
Loss on disposal of fixed assets	P				$24,230	-$5,579	-$5,579	$18,651
Capital Gains Dividends	P			$491,381		$491,381	$491,381

Field	Value	IRS element (for citing)
Capital Gain Net Income	$24,966	CapitalGainNetIncomeAmt

Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp

Field	Value	IRS element (for citing)
Liable Section4942 Tax	0	LiableSection4942TaxInd
Adjusted Qlfy Distri Yr1	$20,499,148	AdjustedQlfyDistriYr1Amt
Net Vl Noncharitable Assets Yr1	$285,041,213	NetVlNoncharitableAssetsYr1Amt
Distribution Yr1	0.071916	DistributionYr1Rt
Adjusted Qlfy Distri Yr2	$25,182,221	AdjustedQlfyDistriYr2Amt
Net Vl Noncharitable Assets Yr2	$302,294,102	NetVlNoncharitableAssetsYr2Amt
Distribution Yr2	0.083304	DistributionYr2Rt
Adjusted Qlfy Distri Yr3	$24,314,576	AdjustedQlfyDistriYr3Amt
Net Vl Noncharitable Assets Yr3	$294,890,656	NetVlNoncharitableAssetsYr3Amt
Distribution Yr3	0.082453	DistributionYr3Rt
Adjusted Qlfy Distri Yr4	$17,265,219	AdjustedQlfyDistriYr4Amt
Net Vl Noncharitable Assets Yr4	$296,089,697	NetVlNoncharitableAssetsYr4Amt
Distribution Yr4	0.058311	DistributionYr4Rt
Adjusted Qlfy Distri Yr5	$17,255,600	AdjustedQlfyDistriYr5Amt
Net Vl Noncharitable Assets Yr5	$304,420,333	NetVlNoncharitableAssetsYr5Amt
Distribution Yr5	0.056683	DistributionYr5Rt
Total Distribution	0.352667	TotalDistributionRt
Average Distribution	0.070533	AverageDistributionRt
Net Vl Noncharitable Assets	$270,808,910	NetVlNoncharitableAssetsAmt
Adj Net Vl Noncharitable Assets	$19,100,965	AdjNetVlNoncharitableAssetsAmt
Net Investment Income Pct	$33,329	NetInvestmentIncomePctAmt
Adj Nonchrtbl Net Invst Incm Pct	$19,134,294	AdjNonchrtblNetInvstIncmPctAmt
Qualifying Distributions	$14,424,464	QualifyingDistributionsAmt

Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp

Field	Value	IRS element (for citing)
Investment Income Excise Tax	$66,659	InvestmentIncomeExciseTaxAmt
Tax Under Section511	$0	TaxUnderSection511Amt
Subtotal	$66,659	SubtotalAmt
Subtitle A Tax	$0	SubtitleATaxAmt
Tax Based On Investment Income	$66,659	TaxBasedOnInvestmentIncomeAmt
Estimated Plus Ovpmt Incm Tx	$313,387	EstimatedPlusOvpmtIncmTxAmt
Total Payments And Credits	$313,387	TotalPaymentsAndCreditsAmt
Overpayment	$246,728	OverpaymentAmt
Applied To ES Tax	$246,728	AppliedToESTaxAmt
Refund	$0	RefundAmt

Statements Regarding Acty StatementsRegardingActyGrp

Field	Value	IRS element (for citing)
Legislative Political Acty	0	LegislativePoliticalActyInd
More Than100 Spent	0	MoreThan100SpentInd
Form1120 POL Filed	0	Form1120POLFiledInd
Section4955 Organization Tax	$0	Section4955OrganizationTaxAmt
Section4955 Managers Tax	$0	Section4955ManagersTaxAmt
Tax Reimbursed	$0	TaxReimbursedAmt
Activities Not Previously Rpt	0	ActivitiesNotPreviouslyRptInd
Changes To Articles Or Bylaws	0	ChangesToArticlesOrBylawsInd
Unrelated Bus Incm Over Limit	0	UnrelatedBusIncmOverLimitInd
Organization Dissolved Etc	0	OrganizationDissolvedEtcInd
Section508e Rqr Satisfied	Yes (1)	Section508eRqrSatisfiedInd
At Least5000 In Assets	Yes (1)	AtLeast5000InAssetsInd
Org Report Or Register State	NY	OrgReportOrRegisterStateCd
Form990 PF Filed With Atty Gen	Yes (1)	Form990PFFiledWithAttyGenInd
Private Operating Foundation	0	PrivateOperatingFoundationInd
New Substantial Contributors	0	NewSubstantialContributorsInd
Own Controlled Entity	0	OwnControlledEntityInd
Donor Advised Fund	0	DonorAdvisedFundInd
Comply With Public Insp Rqr	Yes (1)	ComplyWithPublicInspRqrInd
Website Address	www.kohlbergfoundation.org	WebsiteAddressTxt
Individual With Books	The Kohlberg Foundation Inc	IndividualWithBooksNm
Phone	9142422388	PhoneNum

Location Of Books US Address LocationOfBooksUSAddress

Field	Value	IRS element (for citing)
Address Line1	111 Radio Circle	AddressLine1Txt
City	Mount Kisco	CityNm
State Abbreviation	NY	StateAbbreviationCd
ZIP	10549	ZIPCd

Field	Value	IRS element (for citing)
Foreign Accounts Question	0	ForeignAccountsQuestionInd

Statements Regarding Acty4720 StatementsRegardingActy4720Grp

Field	Value	IRS element (for citing)
Sale Or Exch Disqualified Prsn	0	SaleOrExchDisqualifiedPrsnInd
Brrw Or Lend Disqualified Prsn	0	BrrwOrLendDisqualifiedPrsnInd
Furn Goods Disqualified Prsn	Yes (1)	FurnGoodsDisqualifiedPrsnInd
Pay Comp Disqualified Prsn	Yes (1)	PayCompDisqualifiedPrsnInd
Transfer Ast Disqualified Prsn	0	TransferAstDisqualifiedPrsnInd
Payment To Government Official	0	PaymentToGovernmentOfficialInd
Acts Fail To Qlfy As Exceptions	0	ActsFailToQlfyAsExceptionsInd
Uncorrected Prior Acts	0	UncorrectedPriorActsInd
Undistributed Income PY	0	UndistributedIncomePYInd
Business Holdings	0	BusinessHoldingsInd
Jeopardy Investments	0	JeopardyInvestmentsInd
Uncorrected PY Jeopardy Invst	0	UncorrectedPYJeopardyInvstInd
Influence Legislation	0	InfluenceLegislationInd
Influence Election	0	InfluenceElectionInd
Grants To Individuals	0	GrantsToIndividualsInd
Grants To Organizations	0	GrantsToOrganizationsInd
Noncharitable Purpose	0	NoncharitablePurposeInd
Rcv Fnds To Pay Prsnl Bnft Cntrct	0	RcvFndsToPayPrsnlBnftCntrctInd
Pay Premiums Prsnl Bnft Cntrct	0	PayPremiumsPrsnlBnftCntrctInd
Prohibited Tax Shelter Trans	0	ProhibitedTaxShelterTransInd

Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp

Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (4 entries)

Address Line1USAddress/AddressLine1Txt	CityUSAddress/CityNm	State AbbreviationUSAddress/StateAbbreviationCd	ZIPUSAddress/ZIPCd	TitleTitleTxt	Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt	CompensationCompensationAmt	Employee Benefit ProgramEmployeeBenefitProgramAmt	Expense Account Other AllwncExpenseAccountOtherAllwncAmt
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	$376,680	$62,864	$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

Compensation Highest Paid Empl CompensationHighestPaidEmplGrp (2 entries)

Address Line1USAddress/AddressLine1Txt	CityUSAddress/CityNm	State AbbreviationUSAddress/StateAbbreviationCd	ZIPUSAddress/ZIPCd	TitleTitleTxt	Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt	CompensationCompensationAmt	Employee BenefitsEmployeeBenefitsAmt	Expense AccountExpenseAccountAmt
Rita Fragano
111 Radio Circle	Mount Kisco	NY	10549	Accountant	40.00	$98,471	$37,413	$0
Amanda Dehann
111 Radio Circle	Mount Kisco	NY	10549	Office Manager	40.00	$68,361	$25,586	$0

Field	Value	IRS element (for citing)
Other Employee Paid Over50k	0	OtherEmployeePaidOver50kCnt

Compensation Of Hghst Pd Cntrct CompensationOfHghstPdCntrctGrp

Business Name BusinessName

Field	Value	IRS element (for citing)
Business Name Line1	Clarfeld Financial Advisors	BusinessNameLine1Txt

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	520 White Plains Rd	AddressLine1Txt
City	Tarrytown	CityNm
State Abbreviation	NY	StateAbbreviationCd
ZIP	10591	ZIPCd

Field	Value	IRS element (for citing)
Service Type	Consulting	ServiceTypeTxt
Compensation	$79,429	CompensationAmt

Field	Value	IRS element (for citing)
Contractor Paid Over50k	0	ContractorPaidOver50kCnt

Summary Of Direct Chrtbl Acty SummaryOfDirectChrtblActyGrp

Field	Value	IRS element (for citing)
Description1	NONE	Description1Txt
Expenses1	$0	Expenses1Amt

Sum Of Program Related Invst SumOfProgramRelatedInvstGrp

Field	Value	IRS element (for citing)
Total	$0	TotalAmt

Minimum Investment Return MinimumInvestmentReturnGrp

Field	Value	IRS element (for citing)
Average Monthly FMV Of Sec	$200,004,668	AverageMonthlyFMVOfSecAmt
Average Monthly Cash Balances	$21,592,508	AverageMonthlyCashBalancesAmt
FMV All Other Noncharitable Ast	$53,335,728	FMVAllOtherNoncharitableAstAmt
Total FMV Of Unused Assets	$274,932,904	TotalFMVOfUnusedAssetsAmt
Reduction Claimed	$0	ReductionClaimedAmt
Acquisition Indebtedness	$0	AcquisitionIndebtednessAmt
Adjusted Total FMV Of Unused Ast	$274,932,904	AdjustedTotalFMVOfUnusedAstAmt
Cash Deemed Charitable	$4,123,994	CashDeemedCharitableAmt
Net Vl Noncharitable Assets	$270,808,910	NetVlNoncharitableAssetsAmt
Minimum Investment Return	$13,540,446	MinimumInvestmentReturnAmt

Distributable Amount DistributableAmountGrp

Field	Value	IRS element (for citing)
Minimum Investment Return	$13,540,446	MinimumInvestmentReturnAmt
Tax Based On Investment Income	$66,659	TaxBasedOnInvestmentIncomeAmt
Total Tax	$66,659	TotalTaxAmt
Distributable Before Adj	$13,473,787	DistributableBeforeAdjAmt
Recoveries Qualfied Distri	$0	RecoveriesQualfiedDistriAmt
Distributable Before Ded	$13,473,787	DistributableBeforeDedAmt
Deduction From Distributable	$0	DeductionFromDistributableAmt
Distributable As Adjusted	$13,473,787	DistributableAsAdjustedAmt

Qualifying Distri Part XII QualifyingDistriPartXIIGrp

Field	Value	IRS element (for citing)
Expenses And Contributions	$14,424,464	ExpensesAndContributionsAmt
Program Related Invst Total	$0	ProgramRelatedInvstTotalAmt
Qualifying Distributions	$14,424,464	QualifyingDistributionsAmt
Pct Sect4940e Org Net Invst Incm	$0	PctSect4940eOrgNetInvstIncmAmt
Adjusted Qualifying Distri	$14,424,464	AdjustedQualifyingDistriAmt

Undistributed Income UndistributedIncomeGrp

Field	Value	IRS element (for citing)
Distributable As Adjusted	$13,473,787	DistributableAsAdjustedAmt
Undistributed Income PY	$0	UndistributedIncomePYAmt
Total For Prior Years	$0	TotalForPriorYearsAmt
Excess Distribution Cyov Yr4	$2,941,996	ExcessDistributionCyovYr4Amt
Excess Distribution Cyov Yr3	$7,727,441	ExcessDistributionCyovYr3Amt
Excess Distribution Cyov Yr2	$10,389,133	ExcessDistributionCyovYr2Amt
Excess Distribution Cyov Yr1	$6,452,759	ExcessDistributionCyovYr1Amt
Total Excess Distribution Cyov	$27,511,329	TotalExcessDistributionCyovAmt
Qualifying Distributions	$14,424,464	QualifyingDistributionsAmt
Applied To Year1	$0	AppliedToYear1Amt
Applied To Prior Years	$0	AppliedToPriorYearsAmt
Treated As Distri From Corpus	$0	TreatedAsDistriFromCorpusAmt
Applied To Current Year	$13,473,787	AppliedToCurrentYearAmt
Remaining Distri From Corpus	$950,677	RemainingDistriFromCorpusAmt
Excess Distri Cyov App CY Corpus	$0	ExcessDistriCyovAppCYCorpusAmt
Excess Distribution Cyov App CY	$0	ExcessDistributionCyovAppCYAmt
Total Corpus	$28,462,006	TotalCorpusAmt
Prior Year Undistributed Incm	$0	PriorYearUndistributedIncmAmt
Prior Year Deficiency Or Tax	$0	PriorYearDeficiencyOrTaxAmt
Taxable1	$0	Taxable1Amt
Taxable2	$0	Taxable2Amt
Undistributed Income CY	$0	UndistributedIncomeCYAmt
Corpus Distri170b1 E Or4942g3	$0	CorpusDistri170b1EOr4942g3Amt
Excess Distri Cyov From Yr5	$0	ExcessDistriCyovFromYr5Amt
Excess Distri Cyov To Next Yr	$28,462,006	ExcessDistriCyovToNextYrAmt
Excess From Year4	$2,941,996	ExcessFromYear4Amt
Excess From Year3	$7,727,441	ExcessFromYear3Amt
Excess From Year2	$10,389,133	ExcessFromYear2Amt
Excess From Year1	$6,452,759	ExcessFromYear1Amt
Excess From Current Year	$950,677	ExcessFromCurrentYearAmt

Supplementary Information SupplementaryInformationGrp

Field	Value	IRS element (for citing)
Contributing Manager	Nancy Kohlberg	ContributingManagerNm
Only Contri To Preselected	Yes (X)	OnlyContriToPreselectedInd

Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (82 entries)

Address Line1RecipientUSAddress/AddressLine1Txt	CityRecipientUSAddress/CityNm	State AbbreviationRecipientUSAddress/StateAbbreviationCd	ZIPRecipientUSAddress/ZIPCd	Recipient RelationshipRecipientRelationshipTxt	Recipient Foundation StatusRecipientFoundationStatusTxt	Grant Or Contribution PurposeGrantOrContributionPurposeTxt	AmtAmt	Address Line2RecipientUSAddress/AddressLine2Txt
Institute for Integrative Health
2200 Kernan Drive	Baltimore	MD	21207	none	501(c)(3)	Renewed support for working capital.	$2,550,000
Brennan Center for Justice
161 Avenue of Americas 12th Floor	New York	NY	10013	none	501(c)(3)	For Voter protection Democracy and CFR program Investigative Journalism post election.	$2,000,000
University of Maryland Baltimore Foundation
520 West Lombard Street East Hall	Baltimore	MD	21201	none	501(c)(3)	Support Integrative Medicine Programs.	$1,350,000
Meserve-Kunhardt Foundation Ltd
48 Wheeler Avenue 3rd Floor	Pleasantville	NY	10570	none	501(c)(3)	Support for development, production activities, and educational films. First installment year one (1) 2016 of a three (3) year 2017 and 2018 agreement.	$1,200,000
CUNY Graduate School of Journalism Foundation Inc
219 West 40th Street	New York	NY	10018	none	501(c)(3)	Q4 - 2016 installment for their Dean's Opportunity Fund.	$1,000,000
Manhattanville College
2900 Purchase Street	Purchase	NY	10577	none	501(c)(3)	Final payment 2011 Capital Pledge - Implementation of strategic plan	$1,000,000
University of San Diego
5998 Alcala Park	San Diego	CA	92110	none	501(c)(3)	Support for their Veterans Legal Clinic and Protect Student Veterans program.	$500,000
Brennan Center for Justice
161 Avenue of Americas 12th Floor	New York	NY	10013	none	501(c)(3)	Support for Money & Politics, Voter Protection and Investigative Journalism.	$500,000
Mount Vernon Ladies' Association of the Union
PO Box 110	Mount Vernon	VA	22121	none	501(c)(3)	New Livestock Facility.	$500,000
Sponsors Inc
338 Highway 99 North	Euguene	OR	97402	none	501(c)(3)	Capital support for the Oaks Project.	$250,000
The Merserve-Kunhardt Foundation
48 Wheeler Avenue 3rd Floor	Pleasantville	NY	10570	none	501(c)(3)	2016 Matching Component-Endowment- Phase II.	$250,000
Investigative Reporters and Editors Inc
141 Neff Annex-Umc	Columbia	MO	65211	none	501(c)(3)	Support for their Total Newsroom Training (TNT) program.	$150,000
Meserve-Kunhardt Foundation Ltd
48 Wheeler Avenue 3rd Floor	Pleasantville	NY	10570	none	501(c)(3)	Support for exhibits, archives, and scholarships.	$150,000
Dana Farber Cancer InstituteJimmy Fund Walk
450 Brookline Ave	Boston	MA	02215	none	501(c)(3)	Support for the 2016 Jimmy Fund/Kohlberg Family walk in honor of Amy & Timmy (23 family members @ $5,000 each)	$115,000
Sponsors Inc
338 Highway 99 North	Euguene	OR	97402	none	501(c)(3)	General Support.	$100,000
Marlboro College
PO Box A	Marlboro	VT	05344	none	501(c)(3)	Program support for Veterans transferring from community colleges.	$100,000
The Marshall Project
156 West 56th Street Suite 701	New York	NY	10019	none	501(c)(3)	Unrestricted support. Investigative reporting in criminal justice.	$100,000
ProPublica Inc
One Exchange Plaza 23rd Floor	New York	NY	10006	none	501(c)(3)	General Support.	$100,000
United States Veterans Initiative
800 West 6th Street Suite 1505	Los Angeles	CA	90017	none	501(c)(3)	Support for their Outside the Wire Community College Program.	$100,000
Northern Westchester Hospital Foundation
400 East Main Street	Mount Kisco	NY	10549	none	501(c)(3)	Integrative Medicine program.	$100,000
Northern Westchester Hospital Foundation
400 East Main Street	Mount Kisco	NY	10549	none	501(c)(3)	Nursing Education and Magnet program.	$100,000
Swarthmore College
500 College Avenue	Swarthmore	PA	190811397	none	501(c)(3)	Educating Socially Responsible Business Leaders Career Services.	$100,000
YMCA of Martha's Vineyard
111R Edgartown Vineyard Haven Rd	Vineyard Haven	MA	02568	none	501(c)(3)	General support.	$100,000
Martha's Vineyard Community Services
111 Edgartown Road	Vineyard Haven	MA	02568	none	501(c)(3)	Unrestricted support.	$75,000
Martha's Vineyard Community Hospital
1 Hospital Rd	Oak Bluff	MA	02557	none	501(c)(3)	Annual appeal.	$75,000
Hudson Link for Higher Education
23 State Street	Ossining	NY	10562	none	501(c)(3)	For Programs at Shawangunk Correctional Facility.	$70,000
Bard College
23 Walters Road	Annandale on Hudson	NY	12504	none	501(c)(3)	Support Garden & Horticulture Program at Bard Prison Initiative,	$70,000
JUSTLEADERSHIPUSA
1900 Lexington Avenue	New York	NY	10035	none	501(c)(3)	For Membership program.	$60,000
Great Pond Foundation
PO Box 2005	Edgartown	MA	02539	none	501(c)(3)	General support for their ecological work, education, and interns on Martha's Vineyard.	$50,000
Island Grown Initiative
80 Stoney Hill Road	Vineyard Haven	MA	02568	none	501(c)(3)	Support of administrative platform serving farm programs on Martha's Vineyard.	$50,000
Alliance for Justice
11 Dupont Circle NW 2nd Floor	Washington	DC	20036	none	501(c)(3)	Support for Judical Selection Watchdog Program.	$50,000
Mount Kisco Child Care Center
95 Radio Circle	Mount Kisco	NY	10549	none	501(c)(3)	Family Scholarships.	$50,000
Marymount Manhattan College
221 East 71st Street	New York	NY	10021	none	501(c)(3)	For Computer Lab at BHCP Learning Center.	$50,000
Center for Biological Diversity
PO Box 710	Tucson	AZ	857020710	none	501(c)(3)	General support.	$40,000
Martha's Vineyard Shellfish Group
PO Box 1552	Oak Bluffs	MA	02557	none	501(c)(3)	Support for their Oyster Restoration program.	$33,000
Hospital for Special Surgery
535 East 70th Street	New York	NY	10021	none	501(c)(3)	Support for their Academy of Medical Educators under the leadership of Dr. Paget. (Les Fagen).	$25,000
Hospital for Special Surgery
535 East 70th Street	New York	NY	10021	none	501(c)(3)	Support for the Academy of Medical Educators under the leadership of Dr. Paget.	$25,000
Drive Change
630 Flushing Avenue5	Brooklyn	NY	11206	none	501(c)(3)	For working capital. Food truck Fellowship for Post Incarcerated.	$25,000
Tenacity Inc
38 Everett Street	Boston	MA	02134	none	501(c)(3)	General support.	$25,000
Council on Foundations
2121 Crystal Drive Suite 700	Arlington	VA	22202	none	501(c)(3)	General support. Membership.	$21,600
Family Services of Westchester
1 Gateway Plaza	Port Chester	NY	10573	none	501(c)(3)	My 2nd Home-Elder Scholarships.	$20,000
Hampshire Country School
28 Patey Circle	Rindge	NH	03461	none	501(c)(3)	General program support.	$20,000
Neighbors Link
27 Columbus Avenue	Mount Kisco	NY	10549	none	501(c)(3)	Capital support for the Oaks Project.	$20,000
Open Door
165 Main Street	Ossining	NY	10562	none	501(c)(3)	Support for the Mount Kisco facility ($10,000) and general operating support ($10,000).	$20,000
Teatown Lake Reservation Inc
1600 Spring Valley Road	Ossining	NY	10562	none	501(c)(3)	General operating support.	$20,000
Biodiversity Works
PO Box 557	Edgartown	MA	02539	none	501(c)(3)	Support for Ecology and Habitat Preservation on Martha's Vineyard.	$15,000
Boston Med FlightNew England Life Flight Inc
Robins Street Hangar 1727 Hanscom	Bedford	MA	01730	none	501(c)(3)	Operating support for Boston Med Flight for the residents of Martha's Vineyard.	$15,000	Air Force Base
Island Housing Trust Corporation
346 State Road	Vineyard Haven	MA	02568	none	501(c)(3)	General Operating Support. Martha's Vineyard Affordable Housing.	$10,000
Getting Out and Staying Out
75 East 116th Street	New York	NY	10029	none	501(c)(3)	General Support. Re-entry Services for Post Incarcerated.	$10,000
Grind Arts Company
29 W 27th Street Apt 5A	New York	NY	10001	none	501(c)(3)	Grind Arts Company-Unrestricted working capital. (Les discretionary)	$10,000
Hands Up For Haiti
PO Box 913	Mount Kisco	NY	10549	none	501(c)(3)	Unrestricted support Opthamalogy clinic in Haiti.	$10,000
Environmental Defense Fund
18 Tremont Street	Boston	MA	02108	none	501(c)(3)	Support for the Environmental Defense Fund Climate Corps Program.	$10,000
The Vineyard House Inc
PO Box 4599 56 Short Hill Road	Vineyard Haven	MA	02568	none	501(c)(3)	General operating support.	$10,000
Puppies Behind Bars
263 West 38th Street 4th Floor	New York	NY	10018	none	501(c)(3)	For programs at Bedford Hills Facility	$10,000
Sheriff's Meadow Foundation
57 David Avenue	Vineyard Haven	MA	02568	none	501(c)(3)	General operating support.	$6,000
A Home
141 Tompkins Avenue 3rd Floor	Pleasantville	NY	10570	none	501(c)(3)	General Operating Support.	$5,000
Boys & Girls Club of Northern Westchester
351 East Main Street	Mount Kisco	NY	10549	none	501(c)(3)	General Operating Support.	$5,000
Hospice Care Westchester & Putnam Inc
540 White Plains Road Suite 300	Tarrytown	NY	10591	none	501(c)(3)	General program support.	$5,000
Hospice of Martha's Vineyard
PO Box 1748	Vineyard Haven	MA	02568	none	501(c)(3)	General operating support.	$5,000
Island Elderly Housing Inc
60B Village Road	Tisbury	MA	02568	none	501(c)(3)	General operating support.	$5,000
Martha's Vineyard Preservation Trust
PO Box 5277	Edgartown	MA	02539	none	501(c)(3)	General operating support.	$5,000
Vineyard Conservation Society
PO Box 2189 57 David Avenue	Vineyard Haven	MA	02568	none	501(c)(3)	General operating support for legal defense fund for land preservation.	$5,000
The Polly Hill Arboretum
PO Box 561 809 State Road	West Tisbury	MA	02575	none	501(c)(3)	General operating support.	$5,000
National Center for Family Philanthropy
1101 Connecticut Avenue NW Suite	Washington	DC	20036	none	501(c)(3)	General Support.	$3,000	220
Columbia Law School
435 West 116th Street PO Box A-2	New York	NY	100277927	none	501(c)(3)	Unrestricted operating support - recommended by Leslie Gordon Fagen.	$2,500
Lawyer's Committee for Civil Rights Under Law
1401 New York Avenue NW Suite 400	Washington	DC	20005	none	501(c)(3)	General operating support on behalf of Les Fagen.	$2,500
Environmental Grantmakers Association
475 Riverside Drive Suite 960	New York	NY	10115	none	501(c)(3)	General Support.	$2,200
Ability Beyond Disability
4 Berkshire Blvd	Bethel	CT	06801	none	501(c)(3)	General Operating Support.	$2,000
Animal Shelter of Martha's Vineyard Inc
PO Box 1829 1 Pennywise Path	Edgartown	MA	02539	none	501(c)(3)	Support for the animal shelter of Martha's Vineyard.	$2,000
CHAD Relief Foundation
125 East De La Guerra Suite 102	Santa Barbara	CA	93101	none	501(c)(3)	General support to provide assistance to refugees and local population in southern Chad.	$2,000
Chilmark Town Affairs Council Inc
PO Box 365	Chilmark	MA	02535	none	501(c)(3)	General support for the Center's daycare and youth programs.	$1,000
Massachusetts Audubon Society
208 South Great Road	Lincoln	MA	01773	none	501(c)(3)	Support Felix Neck Wildlife Sanctuary.	$1,000
Westchester Land Trust
403 Harris Road	Bedford Hills	NY	10507	none	501(c)(3)	General program support.	$1,000
Vineyard Committee on Hunger
PO Box 1874	Vineyard Haven	MA	02568	none	501(c)(3)	General support for Island Food Pantry.	$1,000
Westchester Arc Foundation
265 Saw Mill River Road	Hawthorne	NY	10532	none	501(c)(3)	General operating support.	$1,000
The Foundation Center
32 Old Slip 24th Floor	New York	NY	10005	none	501(c)(3)	General support.	$1,000
Per Scholas Inc
804 East 138th Street 2nd Floor	Bronx	NY	10454	none	501(c)(3)	Donation - Spring Clean-Up (computer recycling project).	$546
Chilmark Public Library
PO Box 180	Chilmark	MA	02535	none	501(c)(3)	General program support - Friends of Chilmark.	$500
Mount Kisco Volunteer Ambulance Corp
310 Lexington Avenue	Mount Kisco	NY	10549	none	501(c)(3)	General operating support.	$500
Mount Kisco Volunteer Fire Department
55 West Way	Mount Kisco	NY	10549	none	501(c)(3)	General operating support.	$500
Yorktown Heights Engine Company #1
PO Box 10 1916 Commerce Street	Yorktown	NY	10598	none	501(c)(3)	General support.	$500
Edgartown Fireman's Association
PO Box 737	Edgartown	MA	02539	none	501(c)(3)	Support for the Edgartown Fireman's Association Scholarship Program.	$300

Field	Value	IRS element (for citing)
Total Grant Or Contri Pd Dur Yr	$13,480,646	TotalGrantOrContriPdDurYrAmt

Grant Or Contri Apprv For Fut GrantOrContriApprvForFutGrp (13 entries)

Address Line1RecipientUSAddress/AddressLine1Txt	CityRecipientUSAddress/CityNm	State AbbreviationRecipientUSAddress/StateAbbreviationCd	ZIPRecipientUSAddress/ZIPCd	Recipient RelationshipRecipientRelationshipTxt	Recipient Foundation StatusRecipientFoundationStatusTxt	Grant Or Contribution PurposeGrantOrContributionPurposeTxt	AmtAmt
Institute for Integrative Health
2200 Kernan Drive	Baltimore	MD	21207	none	501(c)(3)	Renewed support for working capital.	$5,000,000
Brennan Center for Justice
161 Avenue of Americas 12th Floor	New York	NY	10013	none	501(c)(3)	For Voter protection Democracy and CFR program Investigative Journalism post election.	$3,000,000
Meserve-Kunhardt Foundation Ltd
48 Wheeler Avenue 3rd Floor	Pleasantville	NY	10570	none	501(c)(3)	Support for development, production activities, and educational films.	$400,000
Meserve-Kunhardt Foundation Ltd
48 Wheeler Avenue 3rd Floor	Pleasantville	NY	10570	none	501(c)(3)	Support for development, production activities, and educational films. Three year pledge	$1,200,000
University of San Diego
5998 Alcala Park	San Diego	CA	92110	none	501(c)(3)	Support for their Veterans Legal Clinic and Protect Student Veterans program.	$500,000
Investigative Reporters and Editors Inc
141 Neff Annex-Umc	Columbia	MO	65211	none	501(c)(3)	Support for their Total Newsroom Training (TNT) program.	$150,000
Dana Farber Cancer InstituteJimmy Fund Walk
450 Brookline Ave	Boston	MA	02215	none	501(c)(3)	Support for the Jimmy Fund/Kohlberg Family walk in honor of Amy & Timmy (23 family members @ $5,000 each)	$115,000
Sponsors Inc
338 Highway 99 North	Euguene	OR	97402	none	501(c)(3)	Capital support for the Oaks Project.	$250,000
Marlboro College
PO Box A	Marlboro	VT	05344	none	501(c)(3)	Program support for Veterans transferring from community colleges.	$100,000
Northern Westchester Hospital Foundation
400 East Main Street	Mount Kisco	NY	10549	none	501(c)(3)	Integrative Medicine program.	$100,000
Northern Westchester Hospital Foundation
400 East Main Street	Mount Kisco	NY	10549	none	501(c)(3)	Nursing Education and Magnet program.	$100,000
Northern Westchester Hospital Foundation
400 East Main Street	Mount Kisco	NY	10549	none	501(c)(3)	Possible new capital program total $5M, decision to be made annually	$1,000,000
Swarthmore College
500 College Avenue	Swarthmore	PA	190811397	none	501(c)(3)	Educating Socially Responsible Business Leaders Career Services.	$100,000

Field	Value	IRS element (for citing)
Total Grant Or Contri Apprv Fut	$12,015,000	TotalGrantOrContriApprvFutAmt

Analysis Income Producing Acty AnalysisIncomeProducingActyGrp

Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp

Field	Value	IRS element (for citing)
Exclusion	14	ExclusionCd
Exclusion	$1,041,394	ExclusionAmt

Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp

Field	Value	IRS element (for citing)
Exclusion	14	ExclusionCd
Exclusion	$4,004,821	ExclusionAmt

Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp

Field	Value	IRS element (for citing)
Business	523000	BusinessCd
Exclusion	14	ExclusionCd
Exclusion	$13,574	ExclusionAmt

Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp

Field	Value	IRS element (for citing)
Exclusion	18	ExclusionCd
Exclusion	$24,966	ExclusionAmt

Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp

Field	Value	IRS element (for citing)
Unrelated Business Taxbl Incm	$0	UnrelatedBusinessTaxblIncmAmt
Exclusion	$5,084,755	ExclusionAmt
Related Or Exempt Function Incm	$0	RelatedOrExemptFunctionIncmAmt

Field	Value	IRS element (for citing)
Total Income Producing Acty	$5,084,755	TotalIncomeProducingActyAmt

Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp

Field	Value	IRS element (for citing)
Trnsfr Of Cash To Nonchrtbl EO	0	TrnsfrOfCashToNonchrtblEOInd
Trnsfr Other Asset Nonchrtbl EO	0	TrnsfrOtherAssetNonchrtblEOInd
Sales Or Exchanges Of Assets	0	SalesOrExchangesOfAssetsInd
Purchase Of Assets Nonchrtbl EO	0	PurchaseOfAssetsNonchrtblEOInd
Rental Of Facilities Oth Assets	0	RentalOfFacilitiesOthAssetsInd
Reimbursement Arrangements	0	ReimbursementArrangementsInd
Loans Or Loan Guarantees	0	LoansOrLoanGuaranteesInd
Performance Of Services Etc	0	PerformanceOfServicesEtcInd
Sharing Of Facilities Etc	0	SharingOfFacilitiesEtcInd
Relationships Nonchrtbl EO	0	RelationshipsNonchrtblEOInd

Schedule B IRS990ScheduleB

Field	Value	IRS element (for citing)
Organization501c3 Exempt PF	Yes (X)	Organization501c3ExemptPFInd
General Rule	Yes (X)	GeneralRuleInd

Contributor Information ContributorInformationGrp

Field	Value	IRS element (for citing)
Contributor	1	ContributorNum

Contributor Business Name ContributorBusinessName

Field	Value	IRS element (for citing)
Business Name Line1	NK 1996 CHARITABLE LEAD TRUST	BusinessNameLine1Txt

Contributor US Address ContributorUSAddress

Field	Value	IRS element (for citing)
Address Line1	111 Radio Circle	AddressLine1Txt
City	Mount Kisco	CityNm
State Abbreviation	NY	StateAbbreviationCd
ZIP	10549	ZIPCd

Field	Value	IRS element (for citing)
Total Contributions	$1,868,852	TotalContributionsAmt
Person Contribution	Yes (X)	PersonContributionInd

Accounting Fees Schedule AccountingFeesSchedule

Accounting Fees Detail AccountingFeesDetail (2 entries)

CategoryCategoryTxt	AmtAmt	Net Investment IncomeNetInvestmentIncomeAmt	Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt
Dylewsky, Goldberg & Brenner	$37,412	$0	$37,412
Other professional fees	$3,384	$0	$3,384

Depreciation Schedule DepreciationSchedule

Depreciation Property DepreciationPropertyGrp (30 entries)

PropertyPropertyDesc	AcquiredAcquiredDt	Cost Or Other BasisCostOrOtherBasisAmt	Prior Year DepreciationPriorYearDepreciationAmt	Computation MethodComputationMethodTxt	LifeLifeRt	Current Year ExpenseCurrentYearExpenseAmt	Net Investment IncomeNetInvestmentIncomeAmt
Software	2002-02-14	$3,410	$3,410	SL	3.000000000000	$0	$0
Software	2007-12-13	$2,540	$2,540	SL	3.000000000000	$0	$0
Software	2009-03-17	$2,738	$2,738	SL	3.000000000000	$0	$0
Lenovo 3 yr onsite warranty	2013-11-26	$115	$80	SL	3.000000000000	$35	$0
Projector	2006-01-12	$1,078	$1,078	SL	5.000000000000	$0	$0
Computer	2008-04-15	$1,378	$1,378	SL	5.000000000000	$0	$0
Computer	2008-09-18	$1,064	$1,064	SL	5.000000000000	$0	$0
Computer	2009-03-17	$2,065	$2,065	SL	5.000000000000	$0	$0
Telephones	2010-01-15	$5,625	$5,625	SL	5.000000000000	$0	$0
Computer Hardware	2010-07-16	$956	$956	SL	5.000000000000	$0	$0
Telephones	2010-09-09	$3,123	$3,123	SL	5.000000000000	$0	$0
Computer Hardware	2011-04-18	$1,951	$1,820	SL	5.000000000000	$131	$0
Computer Hardware	2011-12-21	$886	$709	SL	5.000000000000	$177	$0
Computer Hardware	2011-12-21	$900	$720	SL	5.000000000000	$30	$0
Computer Hardware	2011-12-21	$754	$604	SL	5.000000000000	$150	$0
DELL COMPUTER	2012-09-21	$674	$439	SL	5.000000000000	$135	$0
Lenovo Thinkpad	2013-11-26	$1,319	$550	SL	5.000000000000	$264	$0
Furniture	1998-09-09	$10,239	$10,239	SL	7.000000000000	$0	$0
Furniture	2006-01-05	$4,450	$4,450	SL	7.000000000000	$0	$0
Furniture	2006-03-14	$4,400	$4,400	SL	7.000000000000	$0	$0
Office Construction	2007-02-15	$7,066	$1,608	SL	39.000000000000	$30	$0
SOFTWARE	2015-01-05	$380	$127	SL	3.000000000000	$127	$0
SOFTWARE	2015-01-05	$311	$104	SL	3.000000000000	$104	$0
COMPUTER Hardware	2015-01-05	$2,091	$418	SL	5.000000000000	$418	$0
HP Server Installation (Roundtable)	2015-02-06	$5,430	$996	SL	5.000000000000	$1,086	$0
Firewall and router (plus labor Roundtable)	2015-07-30	$1,992	$166	SL	5.000000000000	$398	$0
HP Desktop Pro (Amanda's computer)	2016-03-29	$842		SL	5.000000000000	$126	$0
HP ProBook 650 (Janet's laptop)	2016-03-18	$1,050		SL	5.000000000000	$171	$0
HP Business P232 23" LED LCD Monitor (Janet)	2016-03-18	$150		SL	5.000000000000	$25	$0
HP Business Desktop Prodesk 40 (Rita's computer)	2016-04-20	$853		SL	5.000000000000	$114	$0

Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule

Investments Corporate Bonds InvestmentsCorporateBondsGrp

Field	Value	IRS element (for citing)
Bond	Fixed Income Investments	BondNm
EOY Book Value	$47,226,810	EOYBookValueAmt
EOYFMV	$46,217,622	EOYFMVAmt

Investments Corp Stock Schedule InvestmentsCorpStockSchedule

Investments Corporate Stock InvestmentsCorporateStockGrp

Field	Value	IRS element (for citing)
Stock	Equity Investments	StockNm
EOY Book Value	$146,995,147	EOYBookValueAmt
EOYFMV	$159,944,176	EOYFMVAmt

Investments Other Schedule2 InvestmentsOtherSchedule2

Investments Other InvestmentsOtherGrp

Field	Value	IRS element (for citing)
Category Or Item	LLP/LLC & other investment vehicles	CategoryOrItemTxt
Listed At Cost Or FMV	AT COST	ListedAtCostOrFMVCd
Book Value	$32,703,359	BookValueAmt
EOYFMV	$57,151,913	EOYFMVAmt

Land Etc Schedule2 LandEtcSchedule2

Land Etc LandEtcGrp (21 entries)

Category Or ItemCategoryOrItemTxt	Cost Or Other BasisCostOrOtherBasisAmt	Accumulated DepreciationAccumulatedDepreciationAmt	Book ValueBookValueAmt
Software	$3,410	$3,410	$0
Software	$2,540	$2,540	$0
Software	$2,738	$2,738	$0
Lenovo 3 yr onsite warranty	$115	$115	$0
Projector	$1,078	$1,078	$0
Telephones	$5,625	$5,625	$0
Telephones	$3,123	$3,123	$0
Computer Hardware	$886	$886	$0
Computer Hardware	$754	$754	$0
DELL COMPUTER	$674	$574	$100
Lenovo Thinkpad	$1,319	$814	$505
Furniture	$10,239	$10,239	$0
SOFTWARE	$380	$254	$126
SOFTWARE	$311	$208	$103
COMPUTER Hardware	$2,091	$836	$1,255
HP Server Installation (Roundtable)	$5,430	$2,082	$3,348
Firewall and router (plus labor Roundtable)	$1,992	$564	$1,428
HP Desktop Pro (Amanda's computer)	$842	$126	$716
HP ProBook 650 (Janet's laptop)	$1,050	$171	$879
HP Business P232 23" LED LCD Monitor (Janet)	$150	$25	$125
HP Business Desktop Prodesk 40 (Rita's computer)	$853	$114	$739

Legal Fees Schedule LegalFeesSchedule

Legal Fees LegalFeesGrp

Field	Value	IRS element (for citing)
Category	Legal fees	CategoryTxt
Legal Fees	$3,109	LegalFeesAmt
Net Investment Income	$0	NetInvestmentIncomeAmt
Disbursements Charitable Prps	$3,109	DisbursementsCharitablePrpsAmt

Other Decreases Schedule OtherDecreasesSchedule

Other Decreases Detail OtherDecreasesDetail (2 entries)

DescDesc	AmtAmt
Investments - Book vs Tax	$1,108,500
Deductions reported on 990-T	$167,526

Other Expenses Schedule OtherExpensesSchedule

Other Expenses Schedule OtherExpensesScheduleGrp (16 entries)

DescDesc	Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt	Net Investment IncomeNetInvestmentIncomeAmt	Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt
Telephone	$1,009	$0	$1,009
Office Supplies	$2,190	$0	$2,190
Office Expense	$6,539	$0	$6,539
Postage	$2,401	$0	$2,401
Program expense	$1,442	$0	$1,442
Insurance	$40,388	$0	$40,388
Dues & Subscriptions	$6,947	$0	$6,947
Maintenance	$1,086	$0	$1,086
Miscellaneous	$1,679	$0	$1,679
Meals & Entertainment	$9,909	$0	$9,909
Licensing Fees	$1,605	$0	$1,605
Computer/Audio	$10,802	$0	$10,802
Other deductions - thru investments	$47,415	$47,415	$0
Portfolio Deductions	$80,316	$80,316	$0
Advertising	$150	$0	$150
Moving and storage expense	$4,515	$0	$4,515

Other Income Schedule2 OtherIncomeSchedule2

Other Income Detail OtherIncomeDetail (5 entries)

DescDesc	Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt	Net Investment IncomeNetInvestmentIncomeAmt	Adjusted Net IncomeAdjustedNetIncomeAmt
Rental Real Estate Inc. from Passthroughs	$16	$16	$16
Other Portfolio Inc. from passthroughs	$4,799	$4,799	$4,799
Miscellaneous Other In. from passthroughs	$119,435	$119,435	$119,435
Ordinary Inc. from passthroughs	-$110,676	-$110,676	-$110,676
UBTI from Passthroughs		$16,296

Other Increases Schedule OtherIncreasesSchedule

Other Increases Detail OtherIncreasesDetail

Field	Value	IRS element (for citing)
Desc	Non taxable distributions from investments	Desc
Amt	$1,239,490	Amt

Other Professional Fees Schedule OtherProfessionalFeesSchedule

Other Professional Fees Detail OtherProfessionalFeesDetail (3 entries)

CategoryCategoryTxt	AmtAmt	Net Investment IncomeNetInvestmentIncomeAmt	Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt
Investment Advisory Fees	$1,121,911	$1,121,911	$0
Consulting Fees	$12,231	$0	$12,231
Management fees	$342,835	$342,835	$0

Taxes Schedule TaxesSchedule

Taxes Detail TaxesDetail (3 entries)

CategoryCategoryTxt	AmtAmt	Net Investment IncomeNetInvestmentIncomeAmt	Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt
Foreign Taxes	$87,269	$87,269	$0
Payroll Tax	$30,606	$0	$30,606
Federal excise tax	$150,000	$0	$0

KOHLBERG FOUNDATION INC: Form 990PF, tax year 2016

Return header ReturnHeader

Preparer Firm PreparerFirmGrp

Preparer Firm Name PreparerFirmName

Preparer US Address PreparerUSAddress

Filer Filer

Business Name BusinessName

US Address USAddress

Business Officer BusinessOfficerGrp

Preparer Person PreparerPersonGrp

Filing Security Information FilingSecurityInformation

IP Address IPAddress

Form 990-PF IRS990PF

Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses

Form990 PF Balance Sheets Form990PFBalanceSheetsGrp

Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp

Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail

Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (710 entries)

Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp

Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp

Statements Regarding Acty StatementsRegardingActyGrp

Location Of Books US Address LocationOfBooksUSAddress

Statements Regarding Acty4720 StatementsRegardingActy4720Grp

Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp

Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (4 entries)

Compensation Highest Paid Empl CompensationHighestPaidEmplGrp (2 entries)

Compensation Of Hghst Pd Cntrct CompensationOfHghstPdCntrctGrp

Business Name BusinessName

US Address USAddress

Summary Of Direct Chrtbl Acty SummaryOfDirectChrtblActyGrp

Sum Of Program Related Invst SumOfProgramRelatedInvstGrp

Minimum Investment Return MinimumInvestmentReturnGrp

Distributable Amount DistributableAmountGrp

Qualifying Distri Part XII QualifyingDistriPartXIIGrp

Undistributed Income UndistributedIncomeGrp

Supplementary Information SupplementaryInformationGrp

Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (82 entries)

Grant Or Contri Apprv For Fut GrantOrContriApprvForFutGrp (13 entries)

Analysis Income Producing Acty AnalysisIncomeProducingActyGrp

Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp

Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp

Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp

Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp

Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp

Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp

Schedule B IRS990ScheduleB

Contributor Information ContributorInformationGrp

Contributor Business Name ContributorBusinessName

Contributor US Address ContributorUSAddress

Accounting Fees Schedule AccountingFeesSchedule

Accounting Fees Detail AccountingFeesDetail (2 entries)

Depreciation Schedule DepreciationSchedule

Depreciation Property DepreciationPropertyGrp (30 entries)

Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule

Investments Corporate Bonds InvestmentsCorporateBondsGrp

Investments Corp Stock Schedule InvestmentsCorpStockSchedule

Investments Corporate Stock InvestmentsCorporateStockGrp

Investments Other Schedule2 InvestmentsOtherSchedule2

Investments Other InvestmentsOtherGrp

Land Etc Schedule2 LandEtcSchedule2

Land Etc LandEtcGrp (21 entries)

Legal Fees Schedule LegalFeesSchedule

Legal Fees LegalFeesGrp

Other Decreases Schedule OtherDecreasesSchedule

Other Decreases Detail OtherDecreasesDetail (2 entries)

Other Expenses Schedule OtherExpensesSchedule

Other Expenses Schedule OtherExpensesScheduleGrp (16 entries)

Other Income Schedule2 OtherIncomeSchedule2

Other Income Detail OtherIncomeDetail (5 entries)

Other Increases Schedule OtherIncreasesSchedule

Other Increases Detail OtherIncreasesDetail

Other Professional Fees Schedule OtherProfessionalFeesSchedule

Other Professional Fees Detail OtherProfessionalFeesDetail (3 entries)

Taxes Schedule TaxesSchedule

Taxes Detail TaxesDetail (3 entries)

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