2014-06-26T11:44:46-05:00 2013-12-31 951777440 GREEN HASSON & JANKS LLP 10990 WILSHIRE BLVD 16TH FLOOR LOS ANGELES CA 900243929 990PF 2013-01-01 954622086 THE JACK ROTH CHARITABLE FOUNDATION JACK 3102038400 1801 CENTURY PARK EAST 20TH FLOOR LOS ANGELES CA 90067 JACK ROTH PRESIDENT 3102038400 2014-06-25 1 RICHARD L RUVELSON P00234075 3108731600 2013 2015-12-30 17:16:21Z X 1008083 X X 1 1 32037 10035 82612 133435 58485 24194 3848 138844 72369 0 0 0 6900 4485 2415 690 184 80 1587 2168 0 9177 6837 2495 200000 200000 209177 6837 202495 -70333 65532 60836 357830 357830 722442 353506 548542 51657 51657 46688 41167 42776 55023 876102 805769 1008083 0 0 X 0 0 0 0 876102 805769 876102 805769 876102 805769 876102 -70333 0 805769 0 805769 250 SHS PROSHARES ULTRASHORT 2012-05-07 2013-01-22 16106 18166 -2060 -2060 2000 SHS ROSS STORES INC 2012-04-10 2013-01-18 133435 114431 19004 19004 4000 SHS TJX COMPANIES INC P 2013-01-01 2013-04-19 183336 180439 2897 2897 20 SHS ERF 18JAN14 13.0P P 2013-12-12 2013-12-12 1070 248 822 822 20 SHS ERF 18JAN14 14.0P P 2013-12-12 2013-12-12 1070 248 822 822 5 SHS IBM 18JAN14 200.0C P 2013-12-09 2013-12-09 1996 102 1894 1894 5 SHS IBM 19JAN13 200.0C P 2013-01-18 2013-01-18 5764 5764 5764 5 SHS IBM 20JUL13 200.0C P 2013-07-19 2013-07-19 2968 2968 2968 10 SHS JCP 18MAY13 12.0P P 2013-05-17 2013-05-17 935 935 935 5 SHS JCP 18MAY13 15.0P P 2013-05-17 2013-05-17 657 657 657 10 SHS JCP 20JUL13 15.0P P 2013-07-19 2013-07-19 1555 1555 1555 10 SHS NRGY1 20JUL13 20.0C P 2013-07-19 2013-07-19 1138 1185 -47 -47 5 SHS ROST 20APR13 57.5P P 2013-04-19 2013-04-19 293 293 293 10 SHS TBT 18JAN14 60.0P P 2013-12-12 2013-12-12 1815 74 1741 1741 10 SHS TBT1 19JAN13 20.0C P 2013-01-18 2013-01-18 1109 1109 1109 40 SHS TJX 16MAR13 45.0C P 2013-03-15 2013-03-15 4200 4200 4200 10 SHS TJX 18JAN14 42.5P P 2013-12-12 2013-12-12 1250 126 1124 1124 10 SHS TJX 18JAN14 45.0P P 2013-12-12 2013-12-12 1295 126 1169 1169 10 SHS TJX 19JAN13 47.5C P 2013-01-18 2013-01-18 1835 1835 1835 4 SHS TLT 223FEB13 117.0C P 2013-02-15 2013-02-15 198 206 -8 -8 10 SHS VZ 20APR13 44.0C P 2013-03-25 2013-03-25 625 5021 -4396 -4396 10 SHS VZ 21DEC13 45.0P P 2013-12-20 2013-12-20 1385 1385 1385 120 SHS VZ 27DEC13 47.5P P 2013-12-27 2013-12-27 769 769 769 2000 SHS ENERPLUS CORP P 2012-02-28 2013-07-19 29270 47511 -18241 -18241 1200 SHS AMERICAN ELECTRIC POWER P 2012-01-20 2013-05-07 54881 49320 5561 5561 1000 SHS ATLAS PIPELINE PARTNERS LP P 2012-01-20 2013-08-02 35934 37490 -1556 -1556 1000 SHS CUBESMART P 2010-12-06 2013-01-22 14592 14592 14592 400 SHS ENTERPRISE PRODUCTS PARTNERS P 2012-01-20 2013-07-26 22974 19248 3726 3726 100 SHS ENTERPRISE PRODUCTS PARTNERS P 2012-01-20 2013-10-28 5743 4812 931 931 131 SHS GENERAL MOTORS CO P 2013-01-01 2013-01-22 3739 165 3574 3574 1000 SHS INERGY LP P 2012-01-20 2013-07-19 12711 10820 1891 1891 0.052 SHS INERGY MIDSTREAM LP P 2012-01-20 2013-06-19 1 1 0 0 430 SHS INERGY MIDSTREAM LP P 2012-01-20 2013-07-19 8474 7162 1312 1312 500 SHS INTL BUSINESS MACHINES CORP P 2012-01-20 2013-12-09 88912 90260 -1348 -1348 119 SHS GM 10JUL16 P 2013-01-01 2013-01-22 2292 101 2191 2191 100 SHS GM 10JUL19 18.33C P 2010-12-06 2013-01-22 1254 1254 1254 19 SHS GM 10JUL19 18.33C P 2010-12-06 2013-01-22 238 72 166 166 58485 0 7795 816054 0.009552 2020 718235 0.002812 454985 100791 4.514143 253455 39152 6.473616 301620 71112 4.241478 15.241601 3.048320 1048773 3196996 655 3197651 202495 1311 0 1311 0 1311 280 1500 1780 469 469 0 0 0 0 0 0 0 0 0 1 1 0 1 1 CA 1 0 0 0 0 1 N/A JACK ROTH 3102038400 1801 CENTURY PARK EAST 20TH FL LOS ANGELES CA 90067 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 JACK ROTH 1801 CENTURY PARK EAST 20TH FLOOR LOS ANGELES CA 90067 DIRECTOR/PRESIDENT 5.00 0 0 0 ARLYNN WHITTAKER 1801 CENTURY PARK EAST 20TH FLOOR LOS ANGELES CA 90067 DIRECTOR/SECRETARY 5.00 0 0 0 TIM BALZER 1801 CENTURY PARK EAST 20TH FLOOR LOS ANGELES CA 90067 DIRECTOR/CFO 5.00 0 0 0 NONE 0 NONE 0 0 691397 373347 0 1064744 0 0 1064744 15971 1048773 52439 52439 1311 1311 51128 0 51128 0 51128 202495 0 202495 0 202495 51128 0 0 301620 253455 454985 2020 7795 1019875 202495 0 0 0 51128 151367 0 0 1171242 0 0 0 0 0 0 301620 869622 253455 454985 2020 7795 151367 JACK ROTH X UNIVERSITY OF MICHIGAN 3003 SOUTH GATE STREET SUITE 8000 ANN ARBOR MI 48109 UNRELATED PC COMMUNITY SUPPORT 200000 200000 0 14 1 14 32037 18 24194 18 82612 0 138844 0 138844 0 0 0 0 0 0 0 0 0 0 ACCOUNTING 6900 4485 2415 SEC 53.4942(A)-3(D)(2) ELECTIONORGANIZATION HEREBY ELECTS UNDER IRC REG. SECTION 53.4942(A)-3(D)(2) TO TREAT $7,795 OF THE QUALIFYING DISTRIBUTIONS FOR 2012 AS HAVING BEEN DISTRIBUTED OUT OF CORPUS. LEHMAN BROS MED TERM NOTES 34313 31500 LEHMAN BROS MTN FLT RT 17344 15188 AMERICAN ELECTRIC POWER CO 904 1028 ATLAS PIPELINE UNITS LP 0 0 CUBESMART COMMON 0 0 ENT PRODS PARTNERS COM 0 0 ENTERPLUS CORP 0 0 INERGY LP UNIT PARTNERSHIP 0 0 IBM COMMON 0 0 SUBURBAN PROPANE PARTNERS 3983 5065 PENN VA RES PARTNERSHIP 95400 96588 SHOE PAVILION INC COMMON 191 192 SUNOCO LOG PARTNERHSIP 162180 339660 TJX 0 0 WINDSTREAM CORP COMMON 5616 3990 GENERAL MOTORS CORP SR DEB 0 0 VERIZON 85232 98280 GENERAL MOTORS CO 0 3739 INERGY MIDSTREAM LP 0 0 NORTHSTAR REALTY AT COST 2753 7303 TORTOISE ENERGY INFRASTRUCTURE CORP AT COST 39990 47670 CRESTWOOD MIDSTREAM PARTNERS AT COST 33 50 INVESTMENT FEES 1587 1587 0 SCHEDULE K-1 DEDUCTIONS 0 581 0 RETURN OF CAPITAL 24194 0 24194 FRANCHISE TAX BOARD 10 0 10 FILING FEE 70 0 70 FOREIGN TAXES 184 184 0 EXCISE TAX 426 0 0