Return of Private Foundation

Transcription

1 Form 990-PF Return of Private Foundation OMB No or Section 4947(a)(1) Trust Treated as Private Foundation Do not enter social security numbers on this form as it may be made public. À¾µ» Department of the Treasury Internal Revenue Service I Go to for instructions and the latest information. Open to Public Inspection For calendar year 2017 or tax year beginning, 2017, and ending, 20 Name of foundation A Employer identification number F.M. KIRBY FOUNDATION, INC Number and street (or P.O. box number if mail is not delivered to street address) Room/suite B Telephone number (see instructions) City or town, state or province, country, and ZIP or foreign postal code C If exemption application is pending, check here m m m m m m m m D 1. Foreign organizations, check here m m 2. Foreign organizations meeting the 85% test, check here and attach MORRISTOWN, NJ G Check all that apply: Initial return Initial return of a former public charity I Final return Amended return Address change Name change computation m m m m m m m m m I H Check type of organization: X Section 501(c)(3) exempt private foundation E If private foundation status was terminated Section 4947(a)(1) nonexempt charitable trust Other taxable private foundation under section 507(b)(1)(A), check here m I I Fair market value of all assets at J Accounting method: Cash X Accrual F If the foundation is in a 60-month termination end of year (from Part II, col. (c), line Other (specify) under section 507(b)(1)(B), check here m I I 16) $ 378,424,352. (Part I, column (d) must be on cash basis.) Part I Analysis of Revenue and Expenses (The (d) Disbursements (a) Revenue and total of amounts in columns (b), (c), and (d) (b) Net investment (c) Adjusted net for charitable expenses per may not necessarily equal the amounts in income income purposes books column (a) (see instructions).) (cash basis only) 1 Contributions, gifts, grants, etc., received (attach schedule) 2 Check if the foundation is not required to I attach Sch. B m m m m m m m m m 3 Interest on savings and temporary cash investments m Revenue Operating and Administrative Expenses 17 DEHART STREET ( 973) Dividends and interest from securities 5a Gross rents m m m m m m m m m m m m m m m m m b Net rental income or (loss) 6a Net gain or (loss) from sale of assets not on line 10 b Gross sales price for all assets on line 6a 7 Capital gain net income (from Part IV, line 2) m 8 Net short-term capital gain 9 Income modifications m m m m m m m m m m m 10 a Gross sales less returns and allowances m m m m b Less: Cost of goods sold m c Gross profit or (loss) (attach schedule) 11 Other income (attach schedule) ATCH 2 12 Total. Add lines 1 through 11 m m m m m m 13 Compensation of officers, directors, trustees, etc. 14 Other employee salaries and wages 15 Pension plans, employee benefits 16 a Legal fees (attach schedule) ATCH m m m 3 b Accounting fees (attach schedule) ATCH m m m 4 c Other professional fees (attach schedule) [5] 17 Interest m m m m m m m m m m m m m m m m m 18 Taxes (attach schedule) (see instructions)m [6] m 19 Depreciation (attach schedule) and depletion 20 Occupancy m m m m m m m m m m m 21 Travel, conferences, and meetings 22 Printing and publications m m m m 23 Other expenses (attach schedule) ATCH m m m m7m m 24 Total operating and administrative expenses. Add lines 13 through 23 m m m m 25 Contributions, gifts, grants paid m m m m m m m 26 Total expenses and disbursements. Add lines 24 and Subtract line 26 from line 12: 452,141,178. a Excess of revenue over expenses and disbursements m m b Net investment income (if negative, enter -0-) c Adjusted net income (if negative, enter -0-) m m 10,032, ,032,180. ATCH 1 42,223, ,223,750. 1,046,151. 1,046, ,302, ,302, , , , , , , , , ,888. 1,999. 1, , , ,250. 1,271,389. 1,268,989. 2, , , , , , ,895. 5,168. 2,584. 2, , , ,159. 2,815,548. 1,787, , ,437, ,250, ,253,048. 1,787, ,771, ,950, ,514,286. JSA For Paperwork Reduction Act Notice, see instructions. Form 990-PF (2017) 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 1 I

2 Form 990-PF (2017) Page 2 Attached schedules and amounts in the Beginning of year End of year Part II Balance Sheets description column should be for end-of-year amounts only. (See instructions.) (a) Book Value (b) Book Value (c) Fair Market Value Assets Liabilities Net Assets or Fund Balances 1 Cash - non-interest-bearing m m m m m m m 2 Savings and temporary cash investments m m m m m m m m m m m 3 Accounts receivable I Less: allowance for doubtful accounts I 4 Pledges receivable I Less: allowance for doubtful accounts I 5 Grants receivable m m m m m m m m m m m m m m m m m m m m m m m 6 Receivables due from officers, directors, trustees, and other disqualified persons (attach schedule) (see instructions) m m m m 7 Other notes and loans receivable (attach schedule) I Less: allowance for doubtful accounts I 8 Inventories for sale or use m m m m m m m 9 Prepaid expenses and deferred charges m m m m m ATCH m m m m m8 10a Investments - U.S. and state government obligations (attach schedule) b Investments - corporate stock (attach schedule) ATCH 9 c Investments - corporate bonds (attach schedule) m m m m m m m m 11 Investments - land, buildings, and equipment: basis Less: accumulated depreciation (attach schedule) I 12 Investments - mortgage loans m m m m 13 Investments - other (attach schedule) m m m m m ATCH m m m m 10 m m m m 14 Land, buildings, and equipment: basis I Less: accumulated depreciation (attach schedule) I 15 Other assets (describe ATCH 11 ) I 16 Total assets (to be completed by all filers - see the instructions. Also, see page 1, item I) m m 17 Accounts payable and accrued expenses 18 Grants payable m 19 Deferred revenue m m m m m m m m m m m m m m m m m m m m m 20 Loans from officers, directors, trustees, and other disqualified persons 21 Mortgages and other notes payable (attach schedule) m m m m m 22 Other liabilities (describe I ATCH 12 ) 23 Total liabilities (add lines 17 through 22) m m m m m m m m m m m Foundations that follow SFAS 117, check here m m m m I and complete lines 24 through 26, and lines 30 and Unrestricted m m m m m 25 Temporarily restricted m m m m m m m m m m m m m m m m m m m m 26 Permanently restricted m m m m m m m m m m m m m m m m m m m m Foundations that do not follow SFAS 117, check here I X and complete lines 27 through Capital stock, trust principal, or current funds m m m 28 Paid-in or capital surplus, or land, bldg., and equipment fund m m m m 29 Retained earnings, accumulated income, endowment, or other funds 30 Total net assets or fund balances (see instructions) m m m m m m 31 Total liabilities and net assets/fund balances (see instructions) m m m m m m m m m m m m m m m m m m m m m m m m m F.M. KIRBY FOUNDATION, INC ATCH 41, , ,597, ,597, ,270, ,402, ,402,617. ATCH 273,594, ,991, ,784, ,549, ,526, ,041, ,401, ,116,307. Part III Analysis of Changes in Net Assets or Fund Balances 1 Total net assets or fund balances at beginning of year - Part II, column (a), line 30 (must agree with end-of-year figure reported on prior year's return) 1 300,120, Enter amount from Part I, line 27a m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 2-15,950, Other increases not included in line 2 (itemize) I ATCH , Add lines 1, 2, and 3 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 4 284,297, Decreases not included in line 2 (itemize) I ATCH , ,931,129. Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 m m m m 869, , , ,401, ,116, ,424, , , ,903, ,090, ,281, ,185, ,120, ,931,129. Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 2

3 Form 990-PF (2017) Page 3 Part IV 1 a b c d e a b c d e a b c d e Capital Gains and Losses for Tax on Investment Income (e) Gross sales price (a) List and describe the kind(s) of property sold (for example, real estate, 2-story brick warehouse; or common stock, 200 shs. MLC Co.) SEE PART IV SCHEDULE (f) Depreciation allowed (or allowable) (g) Cost or other basis plus expense of sale Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69. (i) FMV as of 12/31/69 F.M. KIRBY FOUNDATION, INC (j) Adjusted basis as of 12/31/69 (k) Excess of col. (i) over col. (j), if any If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) $ & 2 If (loss), enter -0- in Part I, line 7 3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6): If gain, also enter in Part I, line 8, column (c). See instructions. If (loss), enter -0- in & Part I, line 8 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 3 (b) How acquired P - Purchase D - Donation Part V Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income (For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.) (c) Date acquired (mo., day, yr.) (h) Gain or (loss) ((e) plus (f) minus (g)) (d) Date sold (mo., day, yr.) (l) Gains (Col. (h) gain minus col. (k), but not less than -0-) or Losses (from col. (h)) 42,223, If section 4940(d)(2) applies, leave this part blank. Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? If "Yes," the foundation doesn't qualify under section 4940(e). Do not complete this part. 1 Enter the appropriate amount in each column for each year; see the instructions before making any entries. (a) (b) (c) (d) Base period years Distribution ratio Calendar year (or tax year beginning in) Adjusted qualifying distributions Net value of noncharitable-use assets (col. (b) divided by col. (c)) ,627, ,101, ,402, ,606, ,796, ,655, ,397, ,439, ,382, ,114, Total of line 1, column (d) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 3 Average distribution ratio for the 5-year base period - divide the total on line 2 by 5.0, or by m m m m m m m m the number of years the foundation has been in existence if less than 5 years 3 4 Enter the net value of noncharitable-use assets for 2017 from Part X, line 5 m m m m m m m m m 5 Multiply line 4 by line 3 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 6 Enter 1% of net investment income (1% of Part I, line 27b) m m m m m m m m m m m m m m m m m m m 7 Add lines 5 and 6 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 8 Enter qualifying distributions from Part XII, line 4 m m m m m m m m m m m m m m m m m m m m m m m m 8 39,771,697. If line 8 is equal to or greater than line 7, check the box in Part VI, line 1b, and complete that part using a 1% tax rate. See the Part VI instructions. JSA Form 990-PF (2017) 7E Yes X ,519, ,016, , ,531,925. CED11L F505 5/7/2018 9:20:14 AM V F PAGE 3 No

4 F.M. KIRBY FOUNDATION, INC Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or see instructions) Form 990-PF (2017) Page 4 1a Exempt operating foundations described in section 4940(d)(2), check here I and enter "N/A" on line 1. m m m 7 Date of ruling or determination letter: (attach copy of letter if necessary - see instructions) * I 8 here X and enter 1% of Part I, line 27b m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Part VI b Domestic foundations that meet the section 4940(e) requirements in Part V, check 1 c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of 9 Part I, line 12, col. (b). 2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only; others, enter -0-) 2 3 Add lines 1 and 2 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 3 4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only; others, enter -0-) 4 5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- m m m m m m m m m m m m m 5 6 Credits/Payments: a 2017 estimated tax payments and 2016 overpayment credited to a 515,697. b Exempt foreign organizations - tax withheld at source m m m m m m 6b c Tax paid with application for extension of time to file (Form 8868) 6c d Backup withholding erroneously withheld m m m m m 6d 7 Total credits and payments. Add lines 6a through 6d m m m m m m m m m m m m m m m m m m m m m m 7 8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached m 8 9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed m m m m m m I 9 m m m m m m m m m m 10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter I the amount overpaid 554. I I Enter the amount of line 10 to be: Credited to 2018 estimated tax Refunded 11 Part VII-A 1a b Statements Regarding Activities During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it participate or intervene in any political campaign? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Did it spend more than $100 during the year (either directly or indirectly) for political purposes? See the instructions for the definition If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials published or distributed by the foundation in connection with the activities. c Did the foundation file Form 1120-POL for this year? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 1c d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year: (1) On the foundation. I $ (2) On foundation managers. I $ e Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed I on foundation managers. $ 2 2 Has the foundation engaged in any activities that have not previously been reported to the IRS? m m m m m m m m m m m m m m m If "Yes," attach a detailed description of the activities. 4a Did the foundation have unrelated business gross income of $1,000 or more during the year? m m m m m m m m m m m m m m m m m b If "Yes," has it filed a tax return on Form 990-T for this year? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 5 Was there a liquidation, termination, dissolution, or substantial contraction during the year?m m m m m m m m m m m m m m m m m m If "Yes," attach the statement required by General Instruction T. 3 Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes 3 6 Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either: % By language in the governing instrument, or By state legislation that effectively amends the governing instrument so that no mandatory directions that 6 conflict with the state law remain in the governing instrument? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Enter the states to which the foundation reports or with which it is registered. See instructions. I 7 Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c), and Part XV 8a b DE, If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney General (or designate) of each state as required by General Instruction G? If "No," attach explanation m m m m m m m m m m m m m m m m m 9 Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3) or m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 4942(j)(5) for calendar year 2017 or the tax year beginning in 2017? See the instructions for Part XIV. If "Yes," complete Part XIV 9 10 Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names and addresses 10 1a 1b 4a 4b 5 7 8b 515, , , ,697. Yes X X X 554. No X X X X X X X X X Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 4

5 Form 990-PF (2017) F.M. KIRBY FOUNDATION, INC Page 5 Part VII-A Statements Regarding Activities (continued) Yes No At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the meaning of section 512(b)(13)? If "Yes," attach schedule. See instructions m m m m m m m m m m m m m m m m m m m m m m m m m m m 11 X Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had advisory privileges? If "Yes," attach statement. See instructions m m m m m m m m m m m m m m m m m m m m m m m m m m 12 X Did the foundation comply with the public inspection requirements for its annual returns and exemption application? 13 X Website address I The books are in care of I F.M. KIRBY FOUNDATION, INC. Telephone no Located at I17 DEHART STREET, MORRISTOWN, NJ ZIP+4 I Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu m of m m Form m m m 1041 m m m m - m check m m m m here m m m m m m m m m m m m m m I I and enter the amount of tax-exempt interest received or accrued during the year 15 Yes No m m m m m m m m m m m m m m m m m m m m m m m m m m m m m X See the instructions for exceptions and filing requirements for FinCEN Form 114. If "Yes," enter the name of 16 At any time during calendar year 2017, did the foundation have an interest in or a signature or other authority over a bank, securities, or other financial account in a foreign country? 16 the foreign country I Part VII-B Statements Regarding Activities for Which Form 4720 May Be Required 2 3a File Form 4720 if any item is checked in the "Yes" column, unless an exception applies. 1a During the year, did the foundation (either directly or indirectly): (1) Engage in the sale or exchange, or leasing of property with a disqualified person? Yes X No (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from) a b If any answer is "Yes" to 1a(1)-(6), did any of the acts fail to qualify under the exceptions described in Regulations c a c b If "Yes," did it have excess business holdings in 2017 as a result of (1) any purchase by the foundation or b m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m (5) Transfer any income or assets to a disqualified person (or make any of either available for m m m m m m m m m m m m m m m m m m m m m m m m m m m m disqualified person? Yes No (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? X Yes No (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? X Yes No the benefit or use of a disqualified person)? Yes No (6) Agree to pay money or property to a government official? (Exception. Check "No" if the foundation agreed to make a grant to or to employ the official for a period after termination of government service, if terminating within 90 days.) m m m m m m m m m m m m m m m m m Yes X No section (d)-3 or in a current notice regarding disaster assistance? See instructions m m m m m m m Organizations relying on a current notice regarding disaster assistance, check here m m m m m m m m m m m m m m m I Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts, that were not corrected before the first day of the tax year beginning in 2017? m m m m m m m m m m m m m m m m m m m m m m m m m m m Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private operating foundation defined in section 4942(j)(3) or 4942(j)(5)): m m m m m m m m m m m m m m m m m m m m m m m m m m At the end of tax year 2017, did the foundation have any undistributed income (lines 6d and I 6e, Part XIII) for tax year(s) beginning before 2017? Yes No If "Yes," list the years,,, b Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2) (relating to incorrect valuation of assets) to the year's undistributed income? (If applying section 4942(a)(2) to all years listed, answer "No" and attach statement - see instructions.) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I,,, Did the foundation hold more than a 2% direct or indirect interest in any business enterprise If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here. m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m at any time during the year? Yes No disqualified persons after May 26, 1969; (2) the lapse of the 5-year period (or longer period approved by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest; or (3) the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine if the foundation had excess business holdings in 2017.) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes? Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2017? X X X X 1b 1c 2b 3b 4a 4b Yes No X X X X X Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 5

6 F.M. KIRBY FOUNDATION, INC Statements Regarding Activities for Which Form 4720 May Be Required (continued) Form 990-PF (2017) Page 6 Part VII-B m m m m m m (2) Influence the outcome of any specific public election (see section 4955); or to carry on, m m m m m m m m m m m m m (3) Provide a grant to an individual for travel, study, or other similar purposes? m m m m m m m m m m m (4) Provide a grant to an organization other than a charitable, etc., organization described in section 4945(d)(4)(A)? See instructions m m m m m m m m m m m m m m m m m m m m m m m m m m m m 5a During the year, did the foundation pay or incur any amount to: Yes No b c 6a (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))? Yes No directly or indirectly, any voter registration drive? Yes No (5) Provide for any purpose other than religious, charitable, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals? m m m m m m m m m m m m m m m m Yes X No If any answer is "Yes" to 5a(1)-(5), did any of the transactions fail to qualify under the exceptions described in Regulations section or in a current notice regarding disaster assistance? See instructions m m Organizations relying on a current notice regarding disaster assistance, check here m m m m m m m m m m m m m m m m m m I If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the tax because it maintained expenditure responsibility for the grant? m m m m m m m m m m m m m m m m m m m X Yes No If "Yes," attach the statement required by Regulations section (d). Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Yes X No b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? m m m m m m m m m m If "Yes" to 6b, file Form m m X b If "Yes," did the foundation receive any proceeds or have any net income attributable to the transaction? m m m m m m m m m m 7a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? Yes No Part VIII Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors 1 List all officers, directors, trustees, foundation managers and their compensation. See instructions. (a) Name and address (b) Title, and average hours per week devoted to position (c) Compensation (If not paid, enter -0-) Yes Yes No No (d) Contributions to employee benefit plans and deferred compensation 5b 6b 7b (e) Expense account, other allowances ATCH , , X X X X X X 2 Compensation of five highest-paid employees (other than those included on line 1 - see instructions). If none, enter "NONE." (a) Name and address of each employee paid more than $50,000 (b) Title, and average hours per week devoted to position (c) Compensation (d) Contributions to employee benefit plans and deferred compensation (e) Expense account, other allowances ATCH 16 58,667. 5, Total number of other employees paid over $50,000 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 6

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10 FRED M. and JESSIE A. KIRBY EPISCOPAL HOUSE, INC. 381 Sunset Road Mountain Top, PA August 8, 2017 William H. Byrnes, Jr. Vice President-Grants F.M. Kirby Foundation, Inc. 17 DeHart Street P.O. Box 151 Morristown, Nj Dear Mr. Byrnes: Please find attached the signed Agreement of Grantee delivered to me today. Thank you for the swift response from your foundation. The funds will be used for continued restoration at Graystone Terrace. Thanks, also, for the "luck" comment. A lot of prayer would be helpful, too. Best regards, Claudia B. Sharp Manager Enclosure

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16 Macculloch Hall Historical Museum 45 MaccullochAvenue, Morristown, NJ (973) maccullochhall.org William Byrnes,Vice President Grants F. M. Kirby Foundation, Inc. 17 DeHart Street P.O. Box 151 Morristown, NJ June 22, 2017 Dear Mr. Byrnes, On behalfof the Board oftrustees and staffof Macculloch Hall Historical Museum, I write to thank the F. M. Kirby Foundation for its generous grant of$27,500in support of the Museum's FY18 general operating expenses. Enclosed please find the executed Agreement of Grantee. The F. M. Kirby Foundation's continued support enables Macculloch Hall Historical Museum to develop an array of educationalprogramming and culturalevents that engage the more than 5,000 visitors who visit us annually, including the more than 300 children who willvisit this summer to learn in our gardens. In addition, the F. M. Kirby Foundation's support permits our continued focus on curatorial research. Enclosed please find a copy of The Supreme Court Historical SocietyQuarterly featuringan article on the political cartoons ofthomas Nast ( ) by F. M. Kirby Curator of Collections Ryan Hyman. I hope you can visit this summer. I would be happyto walkyou through the house and grounds to share our progress. Warm regards,? ' aajuj^ Patricia C. Pongrac2, Ph.D. Executive Director

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28 F.M. KIRBY FOUNDATION, INC Form 990-PF (2017) Page 7 Part VIII Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors (continued) 3 Five highest-paid independent contractors for professional services. See instructions. If none, enter "NONE." (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation NONE Total number of others receiving over $50,000 for professional services m m m m m m m m m m m m m m m m m m m m m m Part IX-A Summary of Direct Charitable Activities I List the foundation's four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. 1 N/A Expenses Part IX-B Summary of Program-Related Investments (see instructions) Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. 1 NONE Amount 2 3 All other program-related investments. See instructions. NONE Total. Add lines 1 through 3 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 7

29 Form 990-PF (2017) Page 8 Part X Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations, see instructions.) 1 Fair market value of assets not used (or held for use) directly in carrying out charitable, etc., a b c d e m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m purposes: Average monthly fair market value of securities Average of monthly cash balances m m m m m m m m m m Fair market value of all other assets (see instructions) Total (add lines 1a, b, and c) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Reduction claimed for blockage or other factors reported on lines 1a and 1c (attach detailed explanation) m m m m m m m m m m m m m m m m m m m m 1e Acquisition indebtedness applicable to line 1 assets Subtract line 2 from line 1d m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Cash deemed held for charitable activities. Enter 1 1/2 % of line 3 (for greater amount, see instructions) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 5 Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4 6 Minimum investment return. Enter 5% of line 5 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Part XI and certain foreign organizations, check here I and do not complete this part.) 1 Minimum investment return from Part X, line 6 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 2 a Tax on investment income for 2017 from Part VI, line 5 m m m m m 2a b Income tax for (This does not include the tax from Part VI.) 2b c Add lines 2a and 2b m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 3 Distributable amount before adjustments. Subtract line 2c from line 1 4 Recoveries of amounts treated as qualifying distributions 5 Add lines 3 and 4 m m m m m m m m m m m m m m m m m m m m m 6 Deduction from distributable amount (see instructions)m m m m m m m m m m m m m m m m m m m m m m m m m m 7 Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII, line 1m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Part XII Distributable Amount (see instructions) (Section 4942(j)(3) and (j)(5) private operating foundations Qualifying Distributions (see instructions) F.M. KIRBY FOUNDATION, INC ,143. m m m m m m m m m m m m m m m m 1 Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes: a Expenses, contributions, gifts, etc. - total from Part I, column (d), line 26 b Program-related investments - total from Part IX-B m m m m m m m m m m m m m m m m m m m m m m m m m m m m 2 Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc., purposes m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 3 Amounts set aside for specific charitable projects that satisfy the: a Suitability test (prior IRS approval required) m m m m m b Cash distribution test (attach the required schedule) m m m m m m m m m m m m m m m m m m m m m m m m m m m 4 Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4 5 Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment income. m m m m m m m m m 6 m m m m m m m m m m m m m m m m m m m m m m Enter 1% of Part I, line 27b. See instructions Adjusted qualifying distributions. Subtract line 5 from line , ,256,554. Note: The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for the section 4940(e) reduction of tax in those years. 1a 1b 1c 1d c a 1b 2 3a 3b 4 347,457, ,507, ,964, ,964,233. 5,444, ,519, ,875, ,875, , ,360, ,360, ,360, ,771, ,771,697. Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 8

30 Form 990-PF (2017) Page 9 Undistributed Income (see instructions) Part XIII 1 Distributable amount for 2017 from Part XI, 2 line 7 m m m m m m m m m m m m m m m m m m m m m Undistributed income, if any, as of the end of 2017: a Enter amount for 2016 onlym m m m m m m m m m m b Total for prior years: 20 15,20 14, Excess distributions carryover, if any, to 2017: a From 2012 b From 2013 c From 2014 d From 2015 e From 2016 m m m m m m f Total of lines 3a through e m m m m m m m m m m m 4 Qualifying distributions for 2017 from Part XII, line 4: I $ 39,771,697. a Applied to 2016, but not more than line 2a m m m b Applied to undistributed income of prior years (Election required - see instructions) m m m m m m m c Treated as distributions out of corpus (Election required - see instructions) m m m m m d Applied to 2017 distributable amount m m m m e Remaining amount distributed out of corpusm m m 5 Excess distributions carryover applied to 2017 (If an amount appears in column (d), the same amount must be shown in column (a).) 6 Enter the net total of each column as indicated below: a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 b Prior years' undistributed income. Subtract line 4b from line 2bm m m m m m m m m m m m m m m c Enter the amount of prior years' undistributed income for which a notice of deficiency has been issued, or on which the section 4942(a) tax has been previously assessed m m m m m m m m amount - see instructions m m m m m m m m m m m m instructions m m m m m m m m m m m m m m m m m m d Subtract line 6c from line 6b. Taxable e Undistributed income for Subtract line 4a from line 2a. Taxable amount - see f Undistributed income for Subtract lines 4d and 5 from line 1. This amount must be distributed in 2018 m m m m m m m m m m m m m m m 7 Amounts treated as distributions out of corpus to satisfy requirements imposed by section 170(b)(1)(F) or 4942(g)(3) (Election may be required - see instructions) m m m m m m m m m m m 8 Excess distributions carryover from 2012 not applied on line 5 or line 7 (see instructions) m m m 9 Excess distributions carryover to Subtract lines 7 and 8 from line 6a m m m m m m m 10 Analysis of line 9: a Excess from 2013 b Excess from 2014 c Excess from 2015 d Excess from ,933,212. e Excess from 2017 m m m 22,410,851. F.M. KIRBY FOUNDATION, INC ,933,212. (a) Corpus 22,933, ,410, ,344, ,344,063. (b) Years prior to 2016 (c) 2016 (d) ,360, ,360,846. Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 9

31 F.M. KIRBY FOUNDATION, INC Private Operating Foundations (see instructions and Part VII-A, question 9) NOT APPLICABLE Form 990-PF (2017) Page 10 Part XIV foundation, and the ruling is effective for 2017, enter the date of the ruling m m m m m m m m m m m m m m I 1 a If the foundation has received a ruling or determination letter that it is a private operating b Check box to indicate whether the foundation is a private operating foundation described in section 4942(j)(3) or 4942(j)(5) 2 a Enter the lesser of the adjusted net income from Part I or the minimum investment return from Part X for each year listed m m b 85% of line 2a m m m m m m c Qualifying distributions from Part XII, line 4 for each year listed m d Amounts included in line 2c not used directly for active conduct of exempt activities m m m m m e Qualifying distributions made directly for active conduct of exempt activities. Subtract line 2d from line 2c m m m m m m 3 Complete 3a, b, or c for the alternative test relied upon: a "Assets" alternative test - enter: (1) Value of all assetsm m m m (2) Value of assets qualifying under section b "Endowment" 4942(j)(3)(B)(i) m m m m m alternative testenter 2/3 of minimum investment return shown in Part X, line 6 for each year listed m m m c "Support" alternative test - enter: (1) Total support other than gross investment income (interest, dividends, rents, payments on securities loans (section 512(a)(5)), or royalties) m m m m m m (2) Support from general public and 5 or more exempt organizations as provided in section 4942 (j)(3)(b)(iii) m m m m m m organization m m m m m m (3) Largest amount of support from an exempt (4) Gross investment income m Part XV Tax year Prior 3 years (a) 2017 (b) 2016 (c) 2015 (d) 2014 (e) Total Supplementary Information (Complete this part only if the foundation had $5,000 or more in assets at any time during the year - see instructions.) 1 Information Regarding Foundation Managers: a List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).) N/A b List any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the ownership of a partnership or other entity) of which the foundation has a 10% or greater interest. 2 JSA 7E N/A Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs: I Check here if the foundation only makes contributions to preselected charitable organizations and does not accept unsolicited requests for funds. If the foundation makes gifts, grants, etc., to individuals or organizations under other conditions, complete items 2a, b, c, and d. See instructions. a The name, address, and telephone number or address of the person to whom applications should be addressed: ATCH 17 b The form in which applications should be submitted and information and materials they should include: ATCH 18 c Any submission deadlines: ATCH 19 d Any restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other factors: ATCH 20 Form 990-PF (2017) CED11L F505 5/7/2018 9:20:14 AM V F PAGE 10

32 F.M. KIRBY FOUNDATION, INC Form 990-PF (2017) Page 11 Part XV Supplementary Information (continued) 3 Grants and Contributions Paid During the Year or Approved for Future Payment If recipient is an individual, Recipient Foundation show any relationship to any foundation manager status of Purpose of grant or contribution Name and address (home or business) or substantial contributor recipient Amount a Paid during the year SEE STATEMENT 22 NONE PC SEE STATEMENT 22 39,250,500. VARIOUS MORRISTOWN, NJ Total m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I 3a 39,250,500. b Approved for future payment SEE STATEMENT 23 NONE PC SEE STATEMENT 23 54,340,000. VARIOUS MORRISTOWN, NJ JSA 7E Total m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I 3b 54,340,000. Form 990-PF (2017) CED11L F505 5/7/2018 9:20:14 AM V F PAGE 11

33 Form 990-PF (2017) Page 12 Part XVI-A Analysis of Income-Producing Activities Enter gross amounts unless otherwise indicated. 1 Program service revenue: a b c d e f g Fees and contracts from government agencies 2 Membership dues and assessments m m m m m 3 Interest on savings and temporary cash investments 4 Dividends and interest from securities m m m m 5 Net rental income or (loss) from real estate: a Debt-financed property m m m m m m m m m b Not debt-financed property m 6 Net rental income or (loss) from personal property 7 Other investment income m m m m m m m m m m 9 Net income or (loss) from special events m 10 Gross profit or (loss) from sales of inventory m m 8 Gain or (loss) from sales of assets other than inventory 11 Other revenue: a b c d Unrelated business income Excluded by section 512, 513, or 514 (a) Business code (b) Amount (c) Exclusion code (d) Amount e 12 Subtotal. Add columns (b), (d), and (e) m m m m 13 Total. Add line 12, columns (b), (d), and (e) 13 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m (See worksheet in line 13 instructions to verify calculations.) Relationship of Activities to the Accomplishment of Exempt Purposes Part XVI-B Line No. L F.M. KIRBY FOUNDATION, INC ,032, ,223,750. ATCH 21 1,046, ,302,081. (e) Related or exempt function income (See instructions.) 53,302,081. Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to the accomplishment of the foundation's exempt purposes (other than by providing funds for such purposes). (See instructions.) JSA 7E Form 990-PF (2017) CED11L F505 5/7/2018 9:20:14 AM V F PAGE 12

34 F.M. KIRBY FOUNDATION, INC Information Regarding Transfers to and Transactions and Relationships With Noncharitable Exempt Organizations Form 990-PF (2017) Page 13 Part XVII 1 Did the organization directly or indirectly engage in any of the following with any other organization described in section 501(c) (other than section 501(c)(3) organizations) or in section 527, relating to political organizations? a Transfers from the reporting foundation to a noncharitable exempt organization of: b c d (1) Cash m m m m (2) Other assets m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Other transactions: (1) Sales of assets to a noncharitable exempt organization m m m m m (2) Purchases of assets from a noncharitable exempt organizationm (3) Rental of facilities, equipment, or other assets (4) Reimbursement arrangements (5) Loans or loan guarantees m m m m m m m m m m m m m m m m m m m m m m m (6) Performance of services or membership or fundraising solicitations m m m m Sharing of facilities, equipment, mailing lists, other assets, or paid employees m m m m m m m m m m m m m m m m m m m m If the answer to any of the above is "Yes," complete the following schedule. Column (b) should always show the fair market value of the goods, other assets, or services given by the reporting foundation. If the foundation received less than fair market value in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received. (a) Line no. (b) Amount involved (c) Name of noncharitable exempt organization (d) Description of transfers, transactions, and sharing arrangements N/A N/A 1a(1) 1a(2) 1b(1) 1b(2) 1b(3) 1b(4) 1b(5) 1b(6) 1c Yes No X X X X X X X X X m m m m m m m m m m m m m m m m m m m m 2a Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations described in section 501(c) (other than section 501(c)(3)) or in section 527? Yes X No b If "Yes," complete the following schedule. (a) Name of organization (b) Type of organization (c) Description of relationship Sign Here Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than taxpayer) is based on all information of which preparer has any knowledge. M S. DILLARD KIRBY PRESIDENT M May the IRS discuss this return with the preparer shown below? Signature of officer or trustee Date Title See instructions. Yes No X Paid Preparer Print/Type preparer's name Preparer's signature Date Check if PTIN 05/08/2018 BARBARA TAIBI self-employed P EISNERAMPER LLP Firm's name I Firm's EIN I Use Only Firm's address 111 WOOD AVE SO STE 600 ISELIN, NJ Phone no. Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 13

35 2017 FORM 990-PF F.M. KIRBY FOUNDATION, INC FORM 990-PF - PART IV CAPITAL GAINS AND LOSSES FOR TAX ON INVESTMENT INCOME P Kind of Property Description or Date D acquired Gross sale Depreciation Cost or FMV Adj. basis Excess of Gain price less allowed/ other as of as of FMV over or expenses of sale allowable basis 12/31/69 12/31/69 adj basis (loss) TOTAL SHORT-TERM COMMON TRUST FUND AND PARTNERSHIP, S CORPORATION, AND OTHER ESTATES OR TRUST GAIN OR LOSS 76,234. TOTAL LONG-TERM COMMON TRUST FUND AND PARTNERSHIP, S CORPORATION, AND OTHER ESTATES OR TRUST GAIN OR LOSS 2,345,409. Date sold 3,254, SHS EATON VANCE INST'L SEN P VAR VAR PROPERTY TYPE: SECURITIES , , SHS STATE STREET SPDR ENERGY P VAR VAR PROPERTY TYPE: SECURITIES 8,746,729. 9,999, , SHS VANGUARD SHORT-TERM BOND P VAR VAR PROPERTY TYPE: SECURITIES , ,993, SHS J.P. MORGAN PRIME MON P VAR VAR PROPERTY TYPE: SECURITIES ,199. SEE ATTACHMENT A P VAR VAR PROPERTY TYPE: SECURITIES SEE ATTACHMENT B P VAR VAR PROPERTY TYPE: SECURITIES ,570,377. SEE ATTACHMENT C P VAR VAR PROPERTY TYPE: SECURITIES TOTAL GAIN(LOSS) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 14

36 F.M. KIRBY FOUNDATION, INC FORM 990-PF ATTACHMENT 1 FORM 990PF, PART I - DIVIDENDS AND INTEREST FROM SECURITIES REVENUE AND NET EXPENSES INVESTMENT DESCRIPTION PER BOOKS INCOME DIVIDEND AND INTEREST INCOME 10,032, ,032,180. TOTAL 10,032, ,032,180. ATTACHMENT 1 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 15

37 F.M. KIRBY FOUNDATION, INC FORM 990-PF ATTACHMENT 2 FORM 990PF, PART I - OTHER INCOME REVENUE AND NET EXPENSES INVESTMENT DESCRIPTION PER BOOKS INCOME INCOME FROM LIMITED PARTNERSHIPS 1,046,151. 1,046,151. TOTALS 1,046,151. 1,046,151. ATTACHMENT 2 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 16

38 F.M. KIRBY FOUNDATION, INC FORM 990-PF ATTACHMENT 3 FORM 990PF, PART I - LEGAL FEES REVENUE AND NET ADJUSTED EXPENSES INVESTMENT NET CHARITABLE DESCRIPTION PER BOOKS INCOME INCOME PURPOSES LEGAL FEES 1,999. 1, TOTALS 1,999. 1, ATTACHMENT 3 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 17

39 F.M. KIRBY FOUNDATION, INC FORM 990-PF ATTACHMENT 4 FORM 990PF, PART I - ACCOUNTING FEES REVENUE AND NET ADJUSTED EXPENSES INVESTMENT NET CHARITABLE DESCRIPTION PER BOOKS INCOME INCOME PURPOSES ACCOUNTING FEES 46, , ,250. TOTALS 46, , ,250. ATTACHMENT 4 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 18

40 F.M. KIRBY FOUNDATION, INC FORM 990-PF ATTACHMENT 5 FORM 990PF, PART I - OTHER PROFESSIONAL FEES REVENUE AND NET EXPENSES INVESTMENT CHARITABLE DESCRIPTION PER BOOKS INCOME PURPOSES INVESTMENT MANAGEMENT FEES 1,266,589. 1,266,589. CONSULTING FEES 4,800. 2,400. 2,400. TOTALS 1,271,389. 1,268,989. 2,400. ATTACHMENT 5 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 19

41 F.M. KIRBY FOUNDATION, INC FORM 990-PF ATTACHMENT 6 FORM 990PF, PART I - TAXES REVENUE AND NET EXPENSES INVESTMENT CHARITABLE DESCRIPTION PER BOOKS INCOME PURPOSES PAYROLL TAXES 48, , ,298. FEDERAL EXCISE TAXES 506,576. TOTALS 555, , ,298. ATTACHMENT 6 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 20

42 F.M. KIRBY FOUNDATION, INC FORM 990-PF ATTACHMENT 7 FORM 990PF, PART I - OTHER EXPENSES REVENUE AND NET EXPENSES INVESTMENT CHARITABLE DESCRIPTION PER BOOKS INCOME PURPOSES INSURANCE 13,763. 6,882. 6,881. SOFTWARE MAINTENANCE & SUPPORT 43, , ,798. ONLINE SERVICES/INTERNET FEES 19,965. 9,983. 9,982. REPAIRS & MAINTENANCE 5,450. 2,725. 2,725. TELEPHONE 3,750. 1,875. 1,875. OFFICE SUPPLIES 4,362. 2,181. 2,181. SERVICE CONTRACTS POSTAGE 2,447. 1,280. 1, , COMPUTER SUPPLIES NJ FILING FEES (B) ADMINISTRATION FEES 5,088. 2,544. 2,544. BANK CHARGES PERSONNEL REPLACEMENT FEE 2,000. 1,000. 1,000. TOTALS 102, , ,159. ATTACHMENT 7 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 21

43 F.M. KIRBY FOUNDATION, INC FORM 990-PF FORM 990PF, PART II - PREPAID EXPENSES AND DEFERRED CHARGES ATTACHMENT 8 BEGINNING ENDING ENDING DESCRIPTION BOOK VALUE BOOK VALUE FMV FEDERAL EXCISE TAX 41,576. TOTALS 41,576. ATTACHMENT 8 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 22

44 F.M. KIRBY FOUNDATION, INC FORM 990-PF FORM 990PF, PART II - CORPORATE STOCK ATTACHMENT 9 BEGINNING ENDING ENDING DESCRIPTION BOOK VALUE BOOK VALUE FMV EQUITY INVESTMENTS 273,594, ,991, ,784,896. SEE STATEMENT 9A TOTALS 273,594, ,991, ,784,896. ATTACHMENT 9 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 23

45 F.M. Kirby Foundation PORTFOLIO APPRAISAL F.M. KIRBY FOUNDATION, INC. CONSOLIDATED INVESTMENT PORTFOLIO 31 Dec 17 Unit Total Market Pct. Cur. Quantity Security Cost Cost Price Value Assets Yield CASH AND EQUIVALENTS J.P. Morgan Money Market Fund / Income $ 1,392, $ 1,392, J.P. Morgan Money Market Fund / Principal $ 3,227, $ 3,227, $ 4,619, $ 4,619, COMMON STOCK Adobe Systems Inc. $ $ 431, $ $ 2,032, Alphabet Inc. Class C $ $ 390, $ 1, $ 1,678, Amphenol Corp. $ $ 391, $ $ 1,835, Automatic Data Processing, Inc. $ $ 438, $ $ 1,230, Cerner Corp $ $ 1,294, $ $ 1,624, Cisco Systems, Inc. $ $ 1,355, $ $ 1,884, Cognizant Technology Solutions Corp. $ $ 1,617, $ $ 1,860, Colgate Palmolive Co. $ $ 906, $ $ 1,569, EOG Resources Inc. $ $ 906, $ $ 2,233, Edward Lifesciences Corp $ $ 1,171, $ $ 1,194, Fastenal Co. $ $ 677, $ $ 1,892, Gilead Sciences Inc. $ $ 1,669, $ $ 1,182, Intuitive Surgical, Inc. $ $ 671, $ $ 1,784, Johnson & Johnson $ $ 689, $ $ 1,578, Mastercard Inc. $ $ 285, $ $ 1,861, Microsoft Corporation $ $ 722, $ $ 2,112, Nike Inc. Class B $ $ 388, $ $ 1,745, Oracle Corporation $ $ 688, $ $ 1,531, Praxair Inc. $ $ 1,303, $ $ 1,856, Schlumberger Ltd. $ $ 1,915, $ $ 1,509, Starbucks Corporation $ $ 1,356, $ $ 1,481, Stryker Corporation $ $ 1,033, $ $ 1,950, TJX Companies, Inc. $ $ 767, $ $ 1,643, The Walt Disney Company $ $ 1,514, $ $ 1,730, $ 22,587, $ 41,005, MUTUAL FUNDS J.P. Morgan Global Allocation R6 $ $ 35,000, $ $ 40,709, J.P. Morgan Prime Money Mkt Cap Fund $ 1.00 $ 580, $ 1.00 $ 580, Vanguard Int Term Investment Grade Fun $ 9.82 $ 7,783, $ 9.75 $ 7,729, Vanguard International Value Fund $ $ 37,779, $ $ 38,208, Vanguard Short Term Investment Grade F $ $ 11,677, $ $ 11,624, Vanguard Total Bond Market Index Fund $ $ 19,432, $ $ 19,397, Vanguard Total Intl. Stock Index Fund $ $ 18,745, $ $ 19,039, Vanguard Total Stock Market Index Fund $ $ 18,648, $ $ 19,246, Vanguard Windsor Fund $ $ 38,985, $ $ 38,905, $ 188,633, $ 195,443,

46 ADR'S (TAIWAN) Taiwan Semiconductor Mfg Company (AD $ $ 747, $ $ 1,657, $ 747, $ 1,657, INT'L EQUITIES (AUSTRALIA) CSL Limited ORD $ $ 471, $ $ 1,569, $ 471, $ 1,569, INT'L EQUITIES (CANADA) Alimentation Couche ORD $ $ 790, $ $ 853, $ 790, $ 853, INT'L EQUITIES (SWITZERLAND) Nestle SA ORD $ $ 674, $ $ 1,504, Novartis AG ORD $ $ 1,611, $ $ 1,606, Roche Holdings AG ORD $ $ 1,651, $ $ 1,720, $ 3,938, $ 4,831, INT'L EQUITIES (EUROPE) Essilor International SA ORD $ $ 636, $ $ 1,421, Inditex ORD $ $ 483, $ $ 1,513, Kone OYJ B ORD $ $ 749, $ $ 849, LVMH Moet Hennessy ORD $ $ 906, $ $ 1,561, Loreal ORD $ $ 692, $ $ 1,599, $ 3,468, $ 6,945, INT'L EQUITIES (DENMARK) Novo Nordisk A/S B ORD $ $ 578, $ $ 1,623, $ 578, $ 1,623, INT'L EQUITIES (GREAT BRITAIN) Compass Group ORD $ $ 1,289, $ $ 1,649, Reckitt Benckiser PLC ORD $ $ 794, $ $ 1,403, $ 2,083, $ 3,053, INT'L EQUITIES (HONG KONG) AIA Group LTD ORD $ 4.31 $ 1,156, $ 8.53 $ 2,288, China Mobile LTD ORD $ $ 1,502, $ $ 1,449, Cnooc Ltd ORD $ 1.20 $ 1,717, $ 1.44 $ 2,051, Hong Kong & China Gas Ltd ORD $ 0.98 $ 578, $ 1.96 $ 1,160, $ 4,955, $ 6,949,

47 INT'L EQUITIES (JAPAN) Denso Corporation ORD $ $ 1,087, $ $ 1,650, Fanuc Ltd ORD $ $ 890, $ $ 2,209, Keyence Corporation ORD $ $ 346, $ $ 2,245, Shin Etsu Chemical Co. ORD $ $ 1,139, $ $ 1,849, $ 3,463, $ 7,956, INT'L EQUITIES (SWEDEN) Hennes & Mauritz AB ORD $ $ 1,274, $ $ 895, $ 1,274, $ 895, LIMITED PARTNERSHIPS Blackstone GSO Private Investors Fund I $ 3, $ 3,481, $ 2, $ 2,212, Blackstone GSO Private Investors Fund II $ 6, $ 6,425, $ 7, $ 7,209, $ 9,906, $ 9,421, TOTAL PORTFOLIO $ 247,518, $ 286,826, ================ ================ ====== ===== PART II BALANCE SHEET LINE 10B $ 232,991, $ 272,784, LINE 13 $ 14,526, * $ 14,041, ** $ 247,518, $ 286,826, * Book Value of Investment In Partnership = 9,906,558 ** FMV of Investment In Partnership = 9,421,465

48 F.M. KIRBY FOUNDATION, INC FORM 990-PF FORM 990PF, PART II - OTHER INVESTMENTS ATTACHMENT 10 BEGINNING ENDING ENDING DESCRIPTION BOOK VALUE BOOK VALUE FMV MONEY MARKET FUNDS 5,093,771. 4,619,744. 4,619,744. INVESTMENT IN LIMITED PTRSHP 19,455,898. 9,906,558. 9,421,465. TOTALS 24,549, ,526, ,041,209. ATTACHMENT 10 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 24

49 F.M. KIRBY FOUNDATION, INC FORM 990-PF FORM 990PF, PART II - OTHER ASSETS ATTACHMENT 11 BEGINNING ENDING ENDING DESCRIPTION BOOK VALUE BOOK VALUE FMV ACCRUED INVESTMENT INCOME 848, , ,635. ART & OTHER COLLECTIBLE ITEMS 20, , ,705. TOTALS 869, , ,340. ATTACHMENT 11 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 25

50 2017 FORM 990-PF F.M. KIRBY FOUNDATION, INC FORM 990PF, PART II - OTHER LIABILITIES ATTACHMENT 12 BEGINNING ENDING DESCRIPTION BOOK VALUE BOOK VALUE PROMISES TO GIVE 27,903, ,090,000. TOTALS 27,903, ,090,000. CED11L F505 5/7/2018 9:20:14 AM V F PAGE 26

51 2017 FORM 990-PF F.M. KIRBY FOUNDATION, INC ATTACHMENT 13 FORM 990PF, PART III - OTHER INCREASES IN NET WORTH OR FUND BALANCES DESCRIPTION AMOUNT LAZARD ESTIMATED GAIN PER BOOKS 65,448. EATON BOOK GAIN IN EXCESS OF TAX GAIN 62,630. TOTAL 128,078. CED11L F505 5/7/2018 9:20:14 AM V F PAGE 27

52 FORM 990PF, PART III OTHER INCREASES IN NET WORTH OR FUND BALANCES F.M. KIRBY FOUNDATION, INC. FORM THROUGH NET INVESTMENT INCOME INCLUDES ALL ORDINARY INCOME AND CAPITAL GAIN INCOME PER 2017 ANNUAL PFIC STATEMENT RECEIVED IN APRIL OF 2018 FROM EATON VANCE INSTITUTIONAL SENIOR LOAN FUND. THIS AMOUNT IS NEEDED TO REPORT ADDITIONAL ORDINARY LOSS TO BE INCLUDED FOR TAXABLE YEAR ENDED DECEMBER 31, STATEMENT 13A

53 2017 FORM 990-PF F.M. KIRBY FOUNDATION, INC ATTACHMENT 14 FORM 990PF, PART III - OTHER DECREASES IN NET WORTH OR FUND BALANCES DESCRIPTION AMOUNT EATON ESTIMATED LOSS PER BOOKS 366,164. TOTAL 366,164. CED11L F505 5/7/2018 9:20:14 AM V F PAGE 28

54 F.M. KIRBY FOUNDATION, INC FORM 990-PF FORM 990PF, PART VIII - LIST OF OFFICERS, DIRECTORS, AND TRUSTEES ATTACHMENT 15 CONTRIBUTIONS EXPENSE ACCT TITLE AND AVERAGE HOURS PER TO EMPLOYEE AND OTHER NAME AND ADDRESS WEEK DEVOTED TO POSITION COMPENSATION BENEFIT PLANS ALLOWANCES S. DILLARD KIRBY PRESIDENT 170, , DEHART STREET MORRISTOWN, NJ WILLIAM H. BYRNES, JR. VICE PRESIDENT/GRANTS 169, , DEHART STREET MORRISTOWN, NJ JEFFERSON W. KIRBY VICE PRESIDENT VAN BEUREN ROAD 0. MORRISTOWN, NJ ALICE K. HORTON ASSISTANT SECRETARY W. CORNWALLIS ROAD 0. DURHAM, NC WALKER D. KIRBY DIRECTOR LONG HILL ROAD 0. NEW VERNON, NJ SANDRA BROWN SHERMAN DIRECTOR C/O SHERMAN WELLS SYLVESTER & 0. STAMELMAN LLP 210 PARK AVE, STE 200 FLORHAM PARK, NJ ATTACHMENT 15 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 29

55 F.M. KIRBY FOUNDATION, INC FORM 990-PF FORM 990PF, PART VIII - LIST OF OFFICERS, DIRECTORS, AND TRUSTEES ATTACHMENT 15 (CONT'D) CONTRIBUTIONS EXPENSE ACCT TITLE AND AVERAGE HOURS PER TO EMPLOYEE AND OTHER NAME AND ADDRESS WEEK DEVOTED TO POSITION COMPENSATION BENEFIT PLANS ALLOWANCES WILSON M. COMPTON, M.D. M.P.E. DIRECTOR NATIONAL INSTITUTE ON DRUG ABUSE EXECUTIVE BOULEVARD, MSC 9589 BETHESDA, MD FRANK N. BARRA TREASURER/SECRETARY 79,805. 7, DEHART STREET MORRISTOWN, NJ JOANN F. TIEFAU PROGRAM OFFICER 114, , DEHART STREET MORRISTOWN, NJ WARD K. HORTON DIRECTOR CONGRESS STREET 0. FAIRFIELD, CT LEIGH C. KIRBY DIRECTOR CRAIG STREET 0. RALEIGH, NC ATTACHMENT 15 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 30

56 F.M. KIRBY FOUNDATION, INC FORM 990-PF FORM 990PF, PART VIII - LIST OF OFFICERS, DIRECTORS, AND TRUSTEES ATTACHMENT 15 (CONT'D) CONTRIBUTIONS EXPENSE ACCT TITLE AND AVERAGE HOURS PER TO EMPLOYEE AND OTHER NAME AND ADDRESS WEEK DEVOTED TO POSITION COMPENSATION BENEFIT PLANS ALLOWANCES DIANA L. KOSTAS TREASURER/SECRETARY 40,135. 4, DEHART STREET MORRISTOWN, NJ GRAND TOTALS 573, , ATTACHMENT 15 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 31

57 F.M. KIRBY FOUNDATION, INC FORM 990-PF PF, PART VIII - COMPENSATION OF THE FIVE HIGHEST PAID EMPLOYEES ATTACHMENT 16 TITLE AND AVERAGE CONTRIBUTIONS EXPENSE ACCT HOURS PER WEEK TO EMPLOYEE AND OTHER NAME AND ADDRESS DEVOTED TO POSITION COMPENSATION BENEFIT PLANS ALLOWANCES LINDA M. D'ADDARIO EXECUTIVE ASSISTANT 58,667. 5, DEHART STREET MORRISTOWN, NJ TOTAL COMPENSATION 58,667. 5, ATTACHMENT 16 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 32

58 2017 FORM 990-PF F.M. KIRBY FOUNDATION, INC ATTACHMENT 17 FORM 990PF, PART XV - NAME, ADDRESS AND PHONE FOR APPLICATIONS WILLIAM H. BYRNES, JR., VP GRANTS 17 DEHART STREET, PO BOX 151 MORRISTOWN, NJ CED11L F505 5/7/2018 9:20:14 AM V F PAGE 33

59 2017 FORM 990-PF F.M. KIRBY FOUNDATION, INC ATTACHMENT PF, PART XV - FORM AND CONTENTS OF SUBMITTED APPLICATIONS WILLIAM H. BYRNES, JR., VP GRANTS SOLICITATIONS MUST BE IN WRITING. SUGGESTED SOLICITATION GUIDELINES ARE AVAILABLE IN WRITING FROM THE FOUNDATION AND CAN BE FOUND ON THE INTERNET AT A VALID INTERNAL REVENUE SERVICE TAX-EXEMPTION LETTER MUST ACCOMPANY EACH SOLICITATION. CED11L F505 5/7/2018 9:20:14 AM V F PAGE 34

60 2017 FORM 990-PF F.M. KIRBY FOUNDATION, INC ATTACHMENT PF, PART XV - SUBMISSION DEADLINES WILLIAM H. BYRNES, JR., VP GRANTS SUBMISSION DEADLINE IS OCTOBER 31ST OF EACH YEAR. SOLICITATIONS RECEIVED AFTER OCTOBER 31ST ARE HELD FOR CONSIDERATION IN THE FOLLOWING YEAR. CED11L F505 5/7/2018 9:20:14 AM V F PAGE 35

61 2017 FORM 990-PF F.M. KIRBY FOUNDATION, INC ATTACHMENT PF, PART XV - RESTRICTIONS OR LIMITATIONS ON AWARDS WILLIAM H. BYRNES, JR., VP GRANTS NO GRANTS ARE MADE TO INDIVIDUALS. SUCCESSFUL APPLICANTS TEND TO BE LIMITED TO ORGANIZATIONS ALREADY WELL KNOWN TO ONE OR MORE OF OUR DIRECTORS. CED11L F505 5/7/2018 9:20:14 AM V F PAGE 36

62 F.M. KIRBY FOUNDATION, INC FORM 990-PF FORM 990-PF, PART XVI-A - ANALYSIS OF OTHER REVENUE ATTACHMENT 21 BUSINESS EXCLUSION RELATED OR EXEMPT DESCRIPTION CODE AMOUNT CODE AMOUNT FUNCTION INCOME INCOME FROM LIMITED PARTNERSHIPS ,046,151. TOTALS 1,046,151. ATTACHMENT 21 CED11L F505 5/7/2018 9:20:14 AM V F PAGE 37

63 F.M. KIRBY FOUNDATION, INC. Cumulative List of Grants January 1, 2017 through December 31, 2017 Organization Project Description Grant Amount Paid A.P. Kirby, Jr. Family Fund $9,000,000 Mendham, NJ For: A donor advised fund at the Community Foundation of New Jersey for the benefit of the A.P. Kirby, Jr. Family Fund-$9,000,000 December 2016 and January 2017 The Acorn Hill Fund $9,000,000 New York, NY For: A donor advised fund at the BNY Mellon Charitable Gift Fund for the benefit of The Acorn Hill Fund- $9,000,000 December 2016 and January 2017 The Adirondack Council, Inc. $50,000 Elizabethtown, NY Adirondack Experience (formerly known as The Adirondack Museum) Blue Mountain Lake, NY $20,000 Adirondack Land Trust, Inc. $30,000 Keene Valley, NY Alfre, Inc. $25,000 Morristown, NJ Alzheimer's Association/National Office $150,000 Chicago, IL For: Support for Early-Career Investigators through the International Research Grant Program American Ballet Theatre $10,000 New York, NY American Cancer Society, Inc./Eastern Division $250,000 Cedar Knolls, NJ For: Programs in the Northwest New Jersey Region- $30,000; National Home Office-Extramural Research support in immunotherapy-$220,000 American Council of Trustees and Alumni $25,000 Washington, DC

64 American Council on Science and Health $30,000 New York, NY American Diabetes Association Research Foundation, Inc. $40,000 Alexandria, VA Toward the final-year funding of Dr. Diana E. Stanescu's Junior Faculty Development Award to improve the function of stem cell-derived beta cells American Enterprise Institute for Public Policy Research $50,000 Washington, DC Toward the Human Dignity Project American Red Cross/National Headquarters $250,000 Washington, DC For: National Disaster Relief Fund American Red Cross/Northeastern Pennsylvania Community Chapter Wilkes-Barre, PA Toward disaster relief operations in Luzerne County, specifically Wilkes-Barre and Wyoming Valley, PA $30,000 American Red Cross/Northern New Jersey Region $75,000 Summit, NJ Toward disaster relief in Morris County, NJ-$67,500; toward blood donor programs in Morris County, NJ- $7,500 America's Future Foundation $30,000 Washington, DC Ann K. Kirby Foundation $9,000,000 Richmond, VA For: The Community Foundation Serving Richmond and Central Virginia for the benefit of the Ann K. Kirby Foundation-$9,000,000 December 2016 and January 2017 Appalachian Trail Conservancy $20,000 Harpers Ferry, WV The ARC/Morris County Chapter, New Jersey, Inc. $35,000 Morris Plains, NJ For: Morris County Adaptive Recreational Program Atlantic Legal Foundation $37,500 Harrison, NY The Bald Head Island Conservancy, Inc. $50,000 Bald Head Island, NC

65 Bill of Rights Institute $25,000 Arlington, VA Bipartisan Policy Center $20,000 Washington, DC Toward the Struggle of Ideas Task Force BluePath Service Dogs, Inc. $7,500 Hopewell Junction, NY Bob Woodruff Foundation $15,000 New York, NY Bonnie Brae $15,000 Liberty Corner, NJ Boy Scouts of America/Patriots' Path Council, Inc. $40,000 Cedar Knolls, NJ For: Morris County programs Cancer Hope Network, Inc. $10,000 Chester, NJ Cancer Research Institute, Inc. $75,000 New York, NY For: The Irvington Postdoctoral Fellowship Program Caring House, Inc. $15,000 Durham, NC Carolina Ballet, Inc. $15,000 Raleigh, NC Carolina Theatre of Durham, Inc. $30,000 Durham, NC Cary Institute of Ecosystem Studies, Inc. $25,000 Millbrook, NY For: Support to develop legislative and policy remedies to prevent future forest pest introduction in the U.S. Center for Child & Family Health $27,500 Durham, NC For: Healthy Futures Fund Center for Immigration Studies, Inc. $25,000 Washington, DC

66 Center For Individual Rights $100,000 Washington, DC Center for Non-Profit Corporations, Inc. $10,000 Mercerville, NJ Central Park Conservancy $20,000 New York, NY Cheshire Home, Inc. $20,000 Florham Park, NJ Toward the renovation of the health care facility's main door entrance Children's Hospital Corporation $175,000 Boston, MA Toward the F.M. Kirby Neurobiology Center, specifically the Innovation and Education Fund Christopher and Dana Reeve Foundation $150,000 Short Hills, NJ For: Continued support of the work of Drs. Sam Pfaff and Chet Moritz through the International Research Consortium on Spinal Cord Injury Cold Spring Harbor Laboratory $100,000 Cold Spring Harbor, NY Toward the continued operation of the Preclinical Experimental Therapeutics (PET) facility Community Hope, Inc. $45,000 Parsippany, NJ Conservation Trust for North Carolina $25,000 Raleigh, NC Cornerstone Family Programs $150,000 Morristown, NJ Toward the Morristown Neighborhood House Preschool Program and After School Program for Kindergarten through 8th Grade-$70,000 Council of New Jersey Grantmakers, Inc. $25,000 Trenton, NJ Toward specific programs for family philanthropies- $2,900 Court Appointed Special Advocates of Morris & Sussex Counties, Inc. Morristown, NJ $30,000

67 Covenant House New Jersey, Inc. $40,000 Newark, NJ Toward the Crisis/Community Service Center in Newark Daytop Village of New Jersey, Inc. $30,000 Mendham, NJ Delaware and Lehigh National Heritage Corridor (formerly known as Hugh Moore Historical Park and Museums, Inc.) Easton, PA For: Support of activities related to the operation of the National Canal Museum $25,000 The Discovery Orchestra, Inc. $10,000 Warren, NJ In honor of Sandra Brown Sherman Dolgeville Fun & Fitness $10,000 Dolgeville, NY For: One-time support toward the creation and operation of the Dolgeville Fun & Fitness Area Drew University $75,000 Madison, NJ Toward Phase XII of the Campus Revitalization Project: Improvements behind the Ehinger Center Durham Academy, Inc. $20,000 Durham, NC Durham Symphony Incorporated $12,000 Durham, NC For: Young Artists Competition and concert-$3,000; free classical concert with KidZnotes at Emily Krzyzewski Center-$2,500; Hillsborough Pops Concert-$6,500 East Durham Children's Initiative (EDCI) $20,000 Durham, NC For: Support to engage 20 HillRAP students at Y.E. Elementary in the EDCI Parent Advocate program Eastern Environmental Law Center, Inc. $10,000 Newark, NJ Emily K Center, Inc. $30,000 Durham, NC Employment Horizons, Inc. $50,000 Cedar Knolls, NJ

68 EngenderHealth, Inc. $65,000 New York, NY Eno River Association $15,000 Durham, NC Environmental Defense Fund, Inc. $90,000 New York, NY Toward science-based policy solutions to protect the Adirondacks from acid deposition Episcopal Preaching Foundation, Inc. $25,000 Springfield, NJ F.M. Kirby Center for the Performing Arts $140,000 Wilkes-Barre, PA Fairfield University $10,000 Fairfield, CT Toward the Adrienne Kirby Family Literacy Project The Federalist Society for Law & Public Policy Studies $25,000 Washington, DC Federation For American Immigration Reform $65,000 Washington, DC For: Research, analysis, and educational activities (nonlobbying) that provide statistical and practical impacts of legislative remedies First Night Morris, Inc. $10,000 Morristown, NJ The Foundation Center $16,000 New York, NY Foundation for Individual Rights in Education, Inc. $75,000 Philadelphia, PA Fred M. & Jessie A. Kirby Episcopal House, Inc. $750,000 Wilkes-Barre, PA Toward the Fred M. and Jessie A. Kirby Episcopal House restoration and systems integration The Frick Collection $10,000 New York, NY The Fund for American Studies $35,000 Washington, DC

69 The Fuqua School of Business $330,000 Durham, NC To establish the Rex D. and Ellen Adams Loan Assistance Endowment-$300,000 in 2016 and 2017, along with all funds in the Reserved for Future Decision Fund (approximately $1.9 million); for the Annual Fund- $30,000 in 2016 and 2017 Garden State Initiative $20,000 Morristown, NJ Gilder Lehrman Institute of American History $40,000 New York, NY For: Teaching Literacy through History program in the Dover, Madison, and Morristown school districts during the academic year Gill St. Bernard's School $25,000 Gladstone, NJ For: The Annual Fund Girl Scouts of Northern New Jersey, Inc. $40,000 Riverdale, NJ For: Morris Area programs Gladney Center for Adoption $20,000 Fort Worth, TX Good Grief, Inc. $22,500 Morristown, NJ For: Support of the Morristown location only Grace Episcopal Church $25,000 Madison, NJ For: Capital improvements Great Swamp Watershed Association $20,000 New Vernon, NJ The Greater Morristown YMCA, Inc. $37,500 Cedar Knolls, NJ For: Direct financial aid for Morris County residents only, through the Annual Support Campaign Greater Newark Conservancy, Inc. $50,000 Newark, NJ For: Community Greening Program-$35,000; toward capacity building of the City Bloom Landscaping Initiative-$15,000

70 Greener New Jersey Productions, Inc. $15,000 Stockton, NJ Greens Farms Academy, Inc. $70,000 Greens Farms, CT Toward endowment support of Phase II of the Lead with Excellence capital campaign-$50,000; for the Annual Giving Fund-$20,000 in 2016 and 2017; $70,000 pledged for like purposes 2018 Greensboro Day School $20,000 Greensboro, NC Grow It Green Morristown, Inc. $10,000 Morristown, NJ The Growing Stage, The Children's Theatre of New Jersey $25,000 Netcong, NJ GuideStar USA, Inc. $10,000 Williamsburg, VA Guttmacher Institute, Inc. $30,000 New York, NY Habitat for Humanity Orange County, N.C., Inc. $50,000 Chapel Hill, NC Harding Land Trust, Inc. $20,000 New Vernon, NJ The Hill Center, Inc. $80,000 Durham, NC Historic Hillsborough Commission $7,500 Hillsborough, NC Homeless Solutions, Inc. $55,000 Morristown, NJ Hope House $27,500 Dover, NJ For: The Chore Program for Morris County residents only

71 Hospital For Special Surgery $80,000 New York, NY For: Support of research directed toward better treatment and prevention of osteoarthritis Housing for New Hope, Inc. $25,000 Durham, NC Hudson Institute, Inc. $20,000 Washington, DC To support the Center for American Common Culture The Injured Marine Semper Fi Fund $35,000 Oceanside, CA Toward the Veterans to Veterans program in New Jersey and North Carolina-$25,000 Institute for American Values $25,000 New York, NY Toward the One America Initiative Institute for Humane Studies $25,000 Arlington, VA Institute For Justice $40,000 Arlington, VA Intercollegiate Studies Institute, Inc. $150,000 Wilmington, DE Interfaith Food Pantry, Inc. $25,000 Morris Plains, NJ JDRF International $200,000 Newport, VA Toward Beta Cell Restoration and Beta Cell Replacement research Jersey Battered Women's Service, Inc. $85,000 Morristown, NJ JerseyCAN $30,000 Cranford, NJ Lafayette College / Alumni Endowment $25,000 Easton, PA For: Alumni Association Endowment Fund

72 Lafayette College / Alumni (Annual) Fund $33,500 Easton, PA For: Alumni Fund - Class of '68-$7,500 in honor of William J. Raver; Class of '80-$5,000; Class of '81- $5,000; Class of '84-$10,000; Class of '87-$5,000; Class of '13-$1,000 Lafayette College / Athletics Merit Scholarships $50,000 Easton, PA For: Athletics Merit Scholarships Lafayette College / Bailey Endowment $10,000 Easton, PA For: Carolyn Huntington Bailey Health Center Endowment Fund Lafayette College / F.M. Kirby Foundation, Inc. Scholars Fund $50,000 Easton, PA For: The F.M. Kirby Foundation, Inc. Scholars Fundtoward the 2017 President's Challenge for Financial Aid Lafayette College / Kirby Athletics Enhancement Endowment Fund Easton, PA For: Kirby Athletics Enhancement Endowment Fund $150,000 Lafayette College / Kirby Athletics Enhancement Gift Funds $225,000 Easton, PA For: Kirby Athletics Enhancement Gift Fund Lafayette College / Maroon Club $50,000 Easton, PA For: Maroon Club-$6,000; Friends of Lafayette Football Program-$13,000; Maroon Club-Lacrosse Program- $25,000 (Men's-$10,000 and Women's-$15,000); Maroon Club-Swimming Program-$6,000 The Land Conservancy of New Jersey $30,000 Boonton, NJ The Lawrenceville School $550,000 Lawrenceville, NJ For: The F.M. Kirby Math and Science Center Endowment Fund The Leader in Me Lehigh Valley $15,000 Allentown, PA Toward The Leader in Me Program in Forks Elementary and Palmer Elementary Schools in Easton, PA

73 The Leukemia & Lymphoma Society, Inc./New Jersey Chapter $125,000 Cranford, NJ For: Ongoing Acute Myeloid Leukemia research within the Beat AML Initiative Lincoln Center Theater $15,000 New York, NY Literacy Volunteers of Morris County, Inc. $17,500 Morristown, NJ Little Theatre of Wilkes-Barre $20,000 Wilkes-Barre, PA For: One-time support toward a challenge grant to renovate the Little Theatre Building Macculloch Hall Historical Museum $27,500 Morristown, NJ Madison Area YMCA $225,000 Madison, NJ Toward the F.M. Kirby Children's Center Annual Scholarship Fund-$85,000; toward the Our Community Our Future campaign-$140,000; $135,000 pledged in 2018 and 2019 toward the campaign along with all funds in the Reserved for Future Decision account Madison Jr. Football, Inc. $10,000 Madison, NJ Toward the helmet acquisition program-$5,000 each for the 6th grade and 7th grade participants Manhattan Institute for Policy Research, Inc. $75,000 New York, NY Market Street Mission, Inc. $40,000 Morristown, NJ For: Support of the Morristown operation only Mayo Performing Arts Center $100,000 Morristown, NJ Mental Health Association of Essex and Morris, Inc. $25,000 Mountain Lakes, NJ For: Morris County programs and services The Metropolitan Museum of Art $10,000 New York, NY Morris Arts $45,000 Morristown, NJ

74 Morris County Organization for Hispanic Affairs $20,000 Dover, NJ For: The Center for Citizenship and Legal Immigration Morris County Prevention Is Key, Inc. $20,000 Rockaway, NJ For: Morris County Programs Morris Habitat for Humanity, Inc. $40,000 Randolph, NJ For: Projects in Morris County only The Morris Museum, Inc. $40,000 Morristown, NJ Mount Vernon Ladies' Association of the Union $39,000 Mt. Vernon, VA Toward the acquisition of the Washington to the Marquis de Chastellux letter of May 10, 1783 highlighting philanthropy and benevolence Mountaintop Hose Company No. 1 $6,000 Mountaintop, PA Toward the purchase of a Utility Task Vehicle (UTV) and trailer Moving Picture Institute $25,000 New York, NY National Constitution Center $67,500 Philadelphia, PA Toward support of the Freedom Rising program National Council For Adoption $45,000 Alexandria, VA National Fatherhood Initiative $20,000 Germantown, MD The National Football Foundation and College Hall of Fame, Inc. $85,000 Irving, TX National Right To Work Legal Defense Foundation, Inc. $75,000 Springfield, VA For: Continued efforts to thwart union compulsory political activities

75 The Nature Conservancy in New Jersey $115,000 Chester, NJ Toward support for a stewardship endowment for acquired land in northwestern New Jersey-$25,000 The Nature Conservancy/Adirondack Chapter $30,000 Keene Valley, NY For: Support of the Adirondack Chapter's ongoing activities and programs Network for Teaching Entrepreneurship $75,000 New York, NY Toward domestic programs New Jersey AIDS Services, Inc. $15,000 Morristown, NJ New Jersey Audubon Society $40,000 Bernardsville, NJ New Jersey Conservation Foundation $115,000 Far Hills, NJ New Jersey Performing Arts Center Corporation $20,000 Newark, NJ New Jersey Theatre Alliance $20,000 Morristown, NJ New Vernon Volunteer Fire Department Fund $7,500 New Vernon, NJ For: First Aid Squad-$3,500 Newark Academy $75,000 Livingston, NJ Toward the Petrello Matching Gift Challenge; specific allocation of funds is Reserved for Future Decision The Newark Museum Association $50,000 Newark, NJ Newark Public Radio, Inc./WBGO $5,000 Newark, NJ NewBridge Services, Inc. $25,000 Pequannock, NJ North Carolina Arts in Action, Inc. $12,500 Durham, NC

76 North Carolina Coastal Land Trust $45,000 Wilmington, NC North Carolina Public Radio - WUNC $25,000 Chapel Hill, NC North Carolina State University Foundation, Inc./NCSU Libraries $25,000 Raleigh, NC Orange Congregations in Mission $35,000 Hillsborough, NC Overlook Foundation $40,000 Summit, NJ For: Support of the Neuroscience Institute at Overlook Medical Center P.G. Chambers School, Inc. $70,000 Cedar Knolls, NJ For: Early Intervention Program Paper Mill Playhouse $70,000 Millburn, NJ The Peck School $20,000 Morristown, NJ For: The Annual Giving Fund The Philanthropy Roundtable $50,000 Washington, DC For: General operating support, other than lobbying, for The Alliance for Charitable Reform-$10,000; for the Veterans Initiative-$10,000; for the Culture of Freedom Project-$25,000 Phillips Exeter Academy $10,000 Exeter, NH Toward The Exeter Fund in honor of Dr. Wilson M. Compton, Class of '77 Plaid House, Inc. $30,000 Morristown, NJ In honor of Audrey F. VonPoelnitz, MD-$5,000 Planned Parenthood Federation of America, Inc. $90,000 New York, NY For: The Health Care Division - Clinical Operations (formerly known as Affiliate Services Division)

77 Planned Parenthood Keystone $35,000 Trexlertown, PA For: General operating support, particularly Luzerne and Northampton Counties Planned Parenthood of Northern, Central, and Southern New Jersey, Inc. Morristown, NJ For: General operating support in Morris County only $100,000 Planned Parenthood South Atlantic $40,000 Raleigh, NC Toward education programs and support services in Durham and Orange counties Pre-K Our Way $20,000 Florham Park, NJ Toward the 2017 Community Communication project Preschool Advantage, Inc. $25,000 Morristown, NJ Toward preschool scholarship assistance for Morris County residents-$20,000; toward capacity building- $5,000 Protect the Adirondacks, Inc. $25,000 Lake George, NY For: Continued support of the Adirondack Park water quality regional assessment-$15,000 Public Media NJ, Inc. $20,000 Englewood, NJ Reach Out and Read New Jersey $20,000 Basking Ridge, NJ Re-Creation USA, Inc. $20,000 Port Trevorton, PA Regional Plan Association, Inc. $20,000 Princeton, NJ For: New Jersey programs Rising Tide Capital, Inc. $20,000 Jersey City, NJ The Rockefeller University $125,000 New York, NY Toward the purchase of a VisiTech (VT) i-sim (instant structured illumination microscope)

78 Roundabout Theatre Company, Inc. $25,000 New York, NY Rowan University Foundation $20,000 Glassboro, NJ Toward the NJ Municipal Asset Profiler (NJMAP) project Rutgers University Foundation/Rutgers Cancer Institute of New Jersey New Brunswick, NJ Toward the Translational Cancer Research Fellowship program $100,000 Salisbury Historical Society $4,000 Salisbury Center, NY Toward the replacement of the roof at the rear of the 1805 Frisbie House The Salvation Army/Morristown Area Services $42,500 Morristown, NJ For: Emergency Assistance for Morris County residents- $7,500 The Sarah P. Duke Gardens $333,000 Durham, NC Toward the expansion of the Doris Duke Center at Sarah P. Duke Gardens, specifically Kirby-Horton Hall additions and renovations-$334,000 in 2015, $333,000 in 2016 and 2017 Scheie Eye Institute $100,000 Philadelphia, PA For: Capital equipment for the F.M. Kirby Center for Molecular Ophthalmology-$100,000 in 2016 and 2017 The Seeing Eye, Inc. $75,000 Morristown, NJ Sexuality Information and Education Council of the United States, Inc. Washington, DC For: Sexual and reproductive health education programs $37,500 The Shakespeare Theatre of New Jersey, Inc. $115,000 Florham Park, NJ Southern Environmental Law Center $30,000 Chapel Hill, NC For: Continued efforts in North Carolina

79 St. Peter's Episcopal Church $40,000 Morristown, NJ For: One-time support for the Rector's discretionary fund- $5,000 St. Stephen's Episcopal Church/Durham $18,000 Durham, NC In support of the field education program for seminarians State Theatre Center for the Arts, Inc. $85,000 Easton, PA Stratford Volunteer Fire Company, Inc. $5,000 Stratford, NY Toward the purchase of equipment Student U $40,000 Durham, NC Summit Speech School $65,000 New Providence, NJ Talent Market $10,000 Mount Pleasant, SC Teach For America, Inc. $70,000 Newark, NJ For: Greater Newark-$40,000; Eastern North Carolina- $30,000 TeenPride, Inc. $20,000 Morristown, NJ Township of Harding $25,000 New Vernon, NJ Toward renovations to the Marian S. and Allan P. Kirby Municipal building Triangle Land Conservancy, Inc. $40,000 Durham, NC Trout Unlimited, Inc. $27,500 Arlington, VA Toward the Upper Delaware Watershed Home Rivers Initiative in New Jersey-$20,000 The Trust for Public Land $115,000 Morristown, NJ For: New Jersey programs only

80 United Way of Northern New Jersey $225,000 Morristown, NJ For: General allocation to partner agencies in Morris County only United Way of the Greater Triangle, Inc. $200,000 Morrisville, NC For: Orange and Durham Counties collaborative partnership support-$160,000; for Orange and Durham Counties Basic Needs support-$40,000 United Way of Wyoming Valley $90,000 Wilkes-Barre, PA For: Annual allocations to community-based social service agencies and programs University of North Carolina at Chapel Hill/PlayMakers Repertory Company Chapel Hill, NC For: Playmakers Repertory Company - toward education and outreach programs $10,000 The University of North Carolina Center for Public Television $17,500 Research Triangle Park, NC For: Outreach efforts USA Swimming Foundation $10,000 Colorado Springs, CO The Violet Festival $4,000 Dolgeville, NY For: The Violet Festival in Dolgeville, NY Wake Forest University $25,000 Winston-Salem, NC For: The Wake Forest Fund Writers Theatre of NJ (formerly known as Playwrights Theatre of New Jersey) Madison, NJ $20,000 Wyoming Seminary $100,000 Kingston, PA Toward the Allan P. and Marian Sutherland Kirby Center for Creative Arts Endowment Fund Yale University/School of Medicine $140,000 New Haven, CT Toward operational costs of the CNNR Imaging Facility Young America's Foundation $75,000 Reston, VA

81 Zeta Psi Educational Foundation $25,000 Pearl River, NY For: The Kirby Presidents Leadership Conference at Lafayette College held in January, 2017 Zufall Health Center, Inc. $20,000 Dover, NJ For: The Morristown Health Clinic Grand Total $39,250,500

82 F.M. KIRBY FOUNDATION, INC. Outstanding Pledges As of December 31, 2017 Organization Project Description Due Date Payment Amount January, 2018 A.P. Kirby, Jr. Family Fund 1/4/2018 $18,000,000 For: A donor advised fund at the Community Foundation of New Jersey for the benefit of the A.P. Kirby, Jr. Family Fund The Acorn Hill Fund 1/4/2018 $18,000,000 For: A donor advised fund at the BNY Mellon Charitable Gift Fund for the benefit of The Acorn Hill Fund Ann K. Kirby Foundation 1/4/2018 $18,000,000 For: The Community Foundation Serving Richmond and Central Virginia for the benefit of the Ann K. Kirby Foundation December, 2018 Total for January, 2018 $54,000,000 Greens Farms Academy, Inc. 12/7/2018 $70,000 Toward endowment support of Phase II of the Lead with Excellence capital campaign-$50,000; for the Annual Giving Fund-$20,000 in 2016 and 2017; $70,000 pledged for like purposes 2018 Madison Area YMCA 12/7/2018 $135,000 Toward the Our Community Our Future campaign- $140,000 in 2017; $135,000 pledged in 2018 and 2019 toward the campaign along with all funds in the Reserved for Future Decision account December, 2019 Total for December, 2018 $205,000 Madison Area YMCA Toward the Our Community Our Future campaign- $140,000 in 2017; $135,000 pledged in 2018 and 2019 toward the campaign along with all funds in the Reserved for Future Decision account 12/9/2019 $135,000 Total for December, 2019 $135,000 Grand Total $54,340,000

83 SCHEDULE D (Form 1041) Department of the Treasury Internal Revenue Service Name of estate or trust Capital Gains and Losses I I Attach to Form 1041, Form 5227, or Form 990-T. Use Form 8949 to list your transactions for lines 1b, 2, 3, 8b, 9 and 10. Go to for instructions and the latest information. I Employer identification number F.M. KIRBY FOUNDATION, INC Note: Form 5227 filers need to complete only Parts I and II. Part I Short-Term Capital Gains and Losses - Assets Held One Year or Less See instructions for how to figure the amounts to enter on the lines below. This form may be easier to complete if you round off cents to whole dollars. 1a Totals for all short-term transactions reported on Form 1099-B for which basis was reported to the IRS and for which you have no adjustments (see instructions). However, if you choose to report all these transactions on Form 8949, leave this line blank and go to line 1b m (d) Proceeds (sales price) (e) Cost (or other basis) (g) Adjustments to gain or loss from Form(s) 8949, Part I, line 2, column (g) 1b Totals for all transactions reported on Form(s) 8949 with Box A checked m m m m m m m m m m m m m m m m m m m 2 Totals for all transactions reported on Form(s) 8949 with Box B checked m m m m m m m m m m m m m m m m m m m 3 Totals for all transactions reported on Form(s) 8949 with Box C checked m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 5 Net short-term gain or (loss) from partnerships, S corporations, and other estates or trusts m m m m m m m m m 6 Short-term capital loss carryover. Enter the amount, if any, from line 9 of the 2016 Capital Loss Carryover Worksheet m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 4 Short-term capital gain or (loss) from Forms 4684, 6252, 6781, and m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 7 Net short-term capital gain or (loss). Combine lines 1a through 6 in column (h). Enter here and on line 17, column (3) on the back Part II Long-Term Capital Gains and Losses - Assets Held More Than One Year See instructions for how to figure the amounts to enter on the lines below. This form may be easier to complete if you round off cents to whole dollars. 8a Totals for all long-term transactions reported on Form 1099-B for which basis was reported to the IRS and for which you have no adjustments (see instructions). However, if you choose to report all these transactions on Form 8949, leave this line blank and go to line 8b m 8b Totals for all transactions reported on Form(s) 8949 with Box D checked m m m m m m m m m m m m m m m m m m m with Box E checked m m m m m m m m m m m m m m m m m m m with Box F checked m m m m m m m m m m m m m m m m m m m 9 Totals for all transactions reported on Form(s) Totals for all transactions reported on Form(s) 8949 (d) Proceeds (sales price) (e) Cost (or other basis) I (g) Adjustments to gain or loss from Form(s) 8949, Part II, line 2, column (g) 11 Long-term capital gain or (loss) from Forms 2439, 4684, 6252, 6781, and 8824 m m m m m m m m m m m m m m Net long-term gain or (loss) from partnerships, S corporations, and other estates or trusts m m m m m m m m m m Capital gain distributionsm m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Gain from Form 4797, Part I m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Long-term capital loss carryover. Enter the amount, if any, from line 14 of the 2016 Capital Loss Carryover Worksheet m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Net long-term capital gain or (loss). Combine lines 8a through 15 in column (h). Enter here and on line 18a, column (3) on the back m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I 16 OMB No À¾µ» (h) Gain or (loss) Subtract column (e) from column (d) and combine the result with column (g) 76,234. ( ) 76,234. (h) Gain or (loss) Subtract column (e) from column (d) and combine the result with column (g) 439,706, ,903, ,802,107. 2,345,409. ( ) 42,147,516. For Paperwork Reduction Act Notice, see the Instructions for Form Schedule D (Form 1041) 2017 JSA 7F CED11L F505 5/7/2018 9:20:14 AM V F PAGE 38

84 Schedule D (Form 1041) 2017 Page 2 Part III Summary of Parts I and II Caution: Read the instructions before completing this part. m m m m m m m m m m m m m m m m m m m m m 17 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I 19 (1) Beneficiaries' (see instr.) (2) Estate's or trust's (3) Total Net short-term gain or (loss) Net long-term gain or (loss): a b c Total for year Unrecaptured section 1250 gain (see line 18 of the wrksht.) 28% rate gain 18a 18b 18c 42,147, Total net gain or (loss). Combine lines 17 and 18a 42,223,750. Note: If line 19, column (3), is a net gain, enter the gain on Form 1041, line 4 (or Form 990-T, Part I, line 4a). If lines 18a and 19, column (2), are net gains, go to Part V, and don't complete Part IV. If line 19, column (3), is a net loss, complete Part IV and the Capital Loss Carryover Worksheet, as necessary. Part IV Capital Loss Limitation 20 Enter here and enter as a (loss) on Form 1041, line 4 (or Form 990-T, Part I, line 4c, if a trust), the smaller of: a The loss on line 19, column (3) or b $3,000 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 20 ( ) Note: If the loss on line 19, column (3), is more than $3,000, or if Form 1041, page 1, line 22 (or Form 990-T, line 34), is a loss, complete the Capital Loss Carryover Worksheet in the instructions to figure your capital loss carryover. Part V Tax Computation Using Maximum Capital Gains Rates Form 1041 filers. Complete this part only if both lines 18a and 19 in column (2) are gains, or an amount is entered in Part I or Part II and there is an entry on Form 1041, line 2b(2), and Form 1041, line 22, is more than zero. Caution: Skip this part and complete the Schedule D Tax Worksheet in the instructions if: Either line 18b, col. (2) or line 18c, col. (2) is more than zero, or % Both Form 1041, line 2b(1), and Form 4952, line 4g are more than zero. Form 990-T trusts. Complete this part only if both lines 18a and 19 are gains, or qualified dividends are included in income in Part I of Form 990-T, and Form 990-T, line 34, is more than zero. Skip this part and complete the Schedule D Tax Worksheet in the instructions if either line 18b, col. (2) or line 18c, col. (2) is more than zero Enter taxable income from Form 1041, line 22 (or Form 990-T, line 34)m m m 21 Enter the smaller of line 18a or 19 in column (2) but not less than zero m m m m m m m m m m m m m m m 22 Enter the estate's or trust's qualified dividends from Form 1041, line 2b(2) (or enter the qualified dividends included in income in Part I of Form 990-T) 23 Add lines 22 and 23 m m m m m m m m m m m m m m m m 24 If the estate or trust is filing Form 4952, enter the m m m I 25 m m m m m m m m m m m m 26 amount from line 4g; otherwise, enter Subtract line 25 from line 24. If zero or less, enter Subtract line 26 from line 21. If zero or less, enter Enter the smaller of the amount on line 21 or $2, m m m m m m m m m m m m 29 m m m m m m m m m m m 31 m m m m m m m m m m m m m m m m m m m m m m m m m m 36 m m m m m m m m m m m m 38 m m m m m m m m m m m m m m m m m m 39 m m m m m m m m m m m m m m m m m m m m m m m m m m m 40 m m m m m m m m m m m m m m m m Enter the smaller of the amount on line 27 or line 28 Subtract line 29 from line 28. If zero or less, enter -0-. This amount is taxed at 0% Enter the smaller of line 21 or line 26 Subtract line 30 from line 26 Enter the smaller of line 21 or $12,500 Add lines 27 and 30 Subtract line 34 from line 33. If zero or less, enter -0- Enter the smaller of line 32 or line 35 Multiply line 36 by 15% (0.15) Enter the amount from line 31 Add lines 30 and 36 Subtract line 39 from line 38. If zero or less, enter -0- Multiply line 40 by 20% (0.20) Figure the tax on the amount on line 27. Use the 2017 Tax Rate Schedule for Estates and Trusts (see the Schedule G instructions in the instructions for Form 1041) Add lines 37, 41, and 42 m m m m m m m m m m m m m m m m m m m m m m m m m m m m Figure the tax on the amount on line 21. Use the 2017 Tax Rate Schedule for Estates and Trusts (see the Schedule G instructions in the instructions for Form 1041) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 44 I 30 I 37 I 41 Tax on all taxable income. Enter the smaller of line 43 or line 44 here and on Form 1041, Schedule G, line 1a (or Form 990-T, line 36) I 45 76,234. Schedule D (Form 1041) 2017 JSA 7F CED11L F505 5/7/2018 9:20:14 AM V F PAGE 39

85 Form 8949 (2017) Attachment Sequence No. 12A Page 2 Name(s) shown on return. Name and SSN or taxpayer identification no. not required if shown on other side F.M. KIRBY FOUNDATION, INC. Social security number or taxpayer identification number Before you check Box D, E, or F below, see whether you received any Form(s) 1099-B or substitute statement(s) from your broker. A substitute statement will have the same information as Form 1099-B. Either will show whether your basis (usually your cost) was reported to the IRS by your broker and may even tell you which box to check. Part II Long-Term. Transactions involving capital assets you held more than 1 year are long term. For short-term transactions, see page 1. Note: You may aggregate all long-term transactions reported on Form(s) 1099-B showing basis was reported to the IRS and for which no adjustments or codes are required. Enter the totals directly on Schedule D, line 8a; you aren't required to report these transactions on Form 8949 (see instructions). You must check Box D, E, or F below. Check only one box. If more than one box applies for your long-term transactions, complete a separate Form 8949, page 2, for each applicable box. If you have more long-term transactions than will fit on this page for one or more of the boxes, complete as many forms with the same box checked as you need. (D) Long-term transactions reported on Form(s) 1099-B showing basis was reported to the IRS (see Note above) (E) Long-term transactions reported on Form(s) 1099-B showing basis wasn't reported to the IRS (F) Long-term transactions not reported to you on Form 1099-B 1 X (a) Description of property (Example: 100 sh. XYZ Co.) (b) Date acquired (Mo., day, yr.) (c) Date sold or disposed (Mo., day, yr.) (d) Proceeds (sales price) (see instructions) (e) Cost or other basis. See the Note below and see Column (e) in the separate instructions Adjustment, if any, to gain or loss. If you enter an amount in column (g), enter a code in column (f). See the separate instructions. (f) Code(s) from instructions (g) Amount of adjustment (h) Gain or (loss). Subtract column (e) from column (d) and combine the result with column (g) 3,254, SHS EATO VANCE INST'L SENIOR , , SHS STATE STREET SPDR ENERGY 8,746,729.9,999, , SHS VANGUARD SHORT-TERM , ,993, SHS J.P MORGAN PRIME MONEY ,199. SEE ATTACHMENT A SEE ATTACHMENT B ,570,377. SEE ATTACHMENT C Totals. Add the amounts in columns (d), (e), (g), and (h) (subtract negative amounts). Enter each total here and include on your Schedule D, line 8b (if Box D above is checked), line 9 (if Box E above is checked), or line 10 (if Box F above is checked) I Note: If you checked Box D above but the basis reported to the IRS was incorrect, enter in column (e) the basis as reported to the IRS, and enter an adjustment in column (g) to correct the basis. See Column (g) in the separate instructions for how to figure the amount of the adjustment. JSA 7X Form 8949 (2017)

86 F.M. Kirby Foundation REALIZED GAINS AND LOSSES F.M. KIRBY FOUNDATION, INC. PORTION OF THE ACCOUNT MANAGED BY LAZARD ASSET MANAGEMENT GLOBAL EQUITY SELECT From Through Cost Date Quantity Security Basis Proceeds Gain Or Loss 1/5/ Sampo Insurance Co ORD $ 378, $ 390, $ 12, /5/2017 European Currency (EMU) $ 390, $ 390, /6/2017 Canadian Dollar (CAD) $ 732, $ 726, $ (5,379.00) 1/6/ NXP Semiconductors NV $ 541, $ 698, $ 157, /9/ Sampo Insurance Co ORD $ 139, $ 145, $ 5, /9/2017 European Currency (EMU) $ 145, $ 145, /12/2017 Swedish Kroners (SEK) $ 26, $ 26, /13/2017 Swedish Kroners (SEK) $ 135, $ 135, /16/2017 Swedish Kroners (SEK) $ 37, $ 36, $ (721.76) 1/17/2017 Swedish Kroners (SEK) $ 55, $ 55, /18/2017 Swedish Kroners (SEK) $ 8, $ 8, /18/ Procter & Gamble Company $ 285, $ 348, $ 63, /19/2017 Swedish Kroners (SEK) $ 25, $ 25, /20/2017 Swedish Kroners (SEK) $ 12, $ 12, /23/2017 Swedish Kroners (SEK) $ 4, $ 4, /24/ CVS Health Corporation $ 534, $ 595, $ 61, /24/ Reynolds American Inc. $ 501, $ 778, $ 277, /26/2017 Swedish Kroners (SEK) $ 12, $ 12, /30/2017 Swedish Kroners (SEK) $ 25, $ 25, /31/ Actelion LTD ORD $ 467, $ 959, $ 491, /31/2017 Swiss Francs (CHF) $ 959, $ 959, /31/2017 Swedish Kroners (SEK) $ 49, $ 49, /1/2017 Swedish Kroners (SEK) $ 13, $ 13, /2/ Anheuser Busch InBev SA/NV ORD $ 752, $ 872, $ 119, /2/2017 Swedish Kroners (SEK) $ 40, $ 40, /3/2017 Swedish Kroners (SEK) $ 11, $ 11, /6/2017 Swedish Kroners (SEK) $ 40, $ 40, /7/2017 Swedish Kroners (SEK) $ 12, $ 12, /7/2017 Swedish Kroners (SEK) $ 53, $ 53, /8/2017 Swedish Kroners (SEK) $ 121, $ 121, /10/2017 Brazilian Real (BRL) $ 28, $ 28, /13/2017 Brazilian Real (BRL) $ 13, $ 13, $ (20.60) 2/13/2017 Brazilian Real (BRL) $ 46, $ 46, $ (72.14) 2/13/ Applied Materials Inc. $ 91, $ 151, $ 59, /14/2017 Brazilian Real (BRL) $ 63, $ 63, $ (175.24) 2/14/ Applied Materials Inc. $ 10, $ 17, $ 6, /15/2017 Brazilian Real (BRL) $ 11, $ 11, $ (6.60) 2/15/2017 Brazilian Real (BRL) $ 92, $ 92, $ (52.63) 2/15/ Applied Materials Inc. $ 50, $ 83, $ 33, /15/ Mead Johnson Nutrition Company $ 519, $ 624, $ 105, /16/2017 Brazilian Real (BRL) $ 23, $ 23, $ (129.86) 2/17/2017 Brazilian Real (BRL) $ 32, $ 32, $ (493.66) 2/17/2017 Brazilian Real (BRL) $ 18, $ 17, $ (273.92) 2/17/2017 Swiss Francs (CHF) $ 38, $ 38, /20/2017 Brazilian Real (BRL) $ 26, $ 26, $ (136.09) 2/20/2017 Swiss Francs (CHF) $ 76, $ 75, $ (839.43) 2/21/2017 Brazilian Real (BRL) $ 59, $ 59, $

87 2/21/2017 Swiss Francs (CHF) $ 75, $ 75, /22/2017 Brazilian Real (BRL) $ 74, $ 73, $ (269.95) 2/22/2017 Swiss Francs (CHF) $ 17, $ 17, /23/2017 Swiss Francs (CHF) $ 19, $ 19, /24/2017 Brazilian Real (BRL) $ 145, $ 143, $ (1,036.34) 2/24/2017 Swiss Francs (CHF) $ 38, $ 38, /27/2017 Swiss Francs (CHF) $ 1, $ 1, /28/2017 Swiss Francs (CHF) $ 30, $ 30, /2/2017 Swiss Francs (CHF) $ 24, $ 24, /3/2017 Swiss Francs (CHF) $ 27, $ 27, /6/2017 Swiss Francs (CHF) $ 16, $ 16, $ /6/ Microsoft Corporation $ 303, $ 385, $ 81, /6/ Schlumberger Ltd. $ 366, $ 387, $ 20, /7/2017 Swiss Francs (CHF) $ 18, $ 18, /8/2017 Swiss Francs (CHF) $ 33, $ 33, /9/2017 Canadian Dollar (CAD) $ 294, $ 294, $ /9/2017 Brazilian Real (BRL) $ 530, $ 530, $ (198.99) 3/9/2017 Swiss Francs (CHF) $ 19, $ 19, /9/ Anheuser Busch InBev SA/NV ORD $ 637, $ 754, $ 117, /9/2017 European Currency (EMU) $ 754, $ 754, /9/ Zoetis Inc. $ 248, $ 372, $ 123, /9/ United Technologies Corp. $ 362, $ 401, $ 38, /9/ Visa Inc Class A $ 194, $ 365, $ 171, /9/ Rockwell Automation Inc. $ 199, $ 263, $ 64, /10/2017 Brazilian Real (BRL) $ 236, $ 238, $ 1, /10/2017 Canadian Dollar (CAD) $ 201, $ 202, $ /10/ Recruit Holding Co LTD ORD $ 237, $ 354, $ 117, /10/2017 Japanese Yen (JPY) $ 354, $ 354, /13/2017 Swiss Francs (CHF) $ 20, $ 20, /14/ Relx NV ORD $ 340, $ 375, $ 34, /14/ Wolters Kluwer ORD $ 179, $ 217, $ 38, /14/2017 European Currency (EMU) $ 217, $ 217, /14/2017 Hong Kong Dollars (HKD) $ 280, $ 280, /14/ Assa Abloy AB ORD $ 190, $ 248, $ 57, /14/2017 Swedish Kroners (SEK) $ 248, $ 248, /14/ Procter & Gamble Company $ 597, $ 782, $ 185, /15/2017 Swiss Francs (CHF) $ 33, $ 33, /16/2017 Swiss Francs (CHF) $ 29, $ 29, /17/2017 Swiss Francs (CHF) $ 4, $ 4, /20/2017 Swiss Francs (CHF) $ 51, $ 51, /21/ Red Hat Inc. $ 175, $ 197, $ 22, /22/ Red Hat Inc. $ 36, $ 41, $ 4, /23/ Alphabet Inc. Class C $ 244, $ 395, $ 150, /23/ Red Hat Inc. $ 69, $ 78, $ 9, /28/ Indiabulls Housing Finance LTD (ADR) $ 4, $ 6, $ 2, /28/ Alphabet Inc. Class C $ 5, $ 8, $ 3, /28/ Alphabet Inc. Class A $ 15, $ 25, $ 10, /28/ Apple Inc. $ 18, $ 31, $ 12, /28/ Applied Materials Inc. $ 8, $ 16, $ 7, /28/ AutoZone Inc. $ 6, $ 10, $ 4, /28/ Bank of America Corp. $ 13, $ 14, $ 1, /28/ Biogen Inc. $ 10, $ 9, $ (641.89) 3/28/ Cisco Systems, Inc. $ 13, $ 17, $ 4, /28/ Coca Cola Company $ 13, $ 13, $ /28/ Comerica Inc. $ 9, $ 9, $ /28/ Commerce Bancshares Inc. $ 7, $ 7, $ (551.82) 3/28/ Crown Holdings Inc. $ 9, $ 9, $ (103.36) 3/28/ EOG Resources Inc. $ 8, $ 8, $ (576.86)

88 3/28/ EBay Inc. $ 4, $ 5, $ /28/ Fidelity National Information Services $ 10, $ 12, $ 2, /28/ Five Below Inc $ 9, $ 10, $ /28/ Honeywell International Inc. $ 11, $ 17, $ 6, /28/ Intercontinental Exchange, Inc. $ 10, $ 17, $ 6, /28/ Kellogg Co $ 6, $ 6, $ /28/ Microsoft Corporation $ 17, $ 22, $ 4, /28/ Molson Coors Brewing Co $ 9, $ 13, $ 4, /28/ Monsanto Company $ 10, $ 10, $ /28/ Motorola Solutions Inc. $ 9, $ 10, $ /28/ PPG Industries, Inc. $ 9, $ 9, $ /28/ Quintiles Transnational Holdings $ 10, $ 13, $ 3, /28/ Red Hat Inc. $ 6, $ 7, $ 1, /28/ Rockwell Automation Inc. $ 10, $ 14, $ 3, /28/ S&P Global Inc. $ 12, $ 14, $ 2, /28/ Charles Schwab Corp. $ 8, $ 13, $ 5, /28/ Snap On Inc. $ 9, $ 9, $ /28/ Taiwan Semiconductor Mfg Company (ADR) $ 7, $ 13, $ 5, /28/ Thermo Fisher Scientific Inc. $ 11, $ 13, $ 2, /28/ United Technologies Corp. $ 13, $ 15, $ 1, /28/ Vantiv Inc Class A $ 12, $ 15, $ 2, /28/ Visa Inc Class A $ 7, $ 14, $ 6, /28/ Welbilt Inc. $ 7, $ 8, $ 1, /28/ Zoetis Inc. $ 11, $ 18, $ 6, /28/ Schlumberger Ltd. $ 17, $ 18, $ /28/ Coca Cola European Partners PLC (ADR) $ 7, $ 8, $ /28/ AON PLC (ADR) $ 12, $ 15, $ 2, /28/ Medtronic Inc. $ 7, $ 8, $ /28/ Johnson Controls International PLC $ 14, $ 13, $ (721.65) 3/28/ Accenture Ltd $ 17, $ 19, $ 1, /28/ Eaton Corporation $ 8, $ 10, $ 2, /30/ Julius Baer Group LTD ORD $ 7, $ 8, $ /30/2017 Swiss Francs (CHF) $ 8, $ 8, /30/ Novo Nordisk A/S B ORD $ 7, $ 7, $ (131.84) 3/30/ Carlsberg AS B ORD $ 10, $ 11, $ /30/2017 Danish Kroners (DKK) $ 11, $ 11, /30/ Relx NV ORD $ 13, $ 15, $ 2, /30/2017 European Currency (EMU) $ 15, $ 15, /30/ Sampo Insurance Co ORD $ 10, $ 11, $ /30/2017 European Currency (EMU) $ 11, $ 11, /30/ Wolters Kluwer ORD $ 12, $ 15, $ 3, /30/2017 European Currency (EMU) $ 15, $ 15, /30/ Symrise AG ORD $ 11, $ 14, $ 3, /30/ Continental AG ORD $ 16, $ 18, $ 2, /30/2017 European Currency (EMU) $ 18, $ 18, /30/ Convatec Group PLC ORD $ 4, $ 5, $ /30/2017 Pound Sterling (GBP) $ 5, $ 5, /30/ Compass Group PLC ORD $ 12, $ 13, $ /30/2017 Pound Sterling (GBP) $ 13, $ 13, /30/ Unilever PLC ORD $ 8, $ 10, $ 1, /30/2017 Pound Sterling (GBP) $ 10, $ 10, /30/ Shire PLC ORD $ 21, $ 20, $ (1,160.82) 3/30/ Ashtead Group PLC ORD $ 10, $ 11, $ 1, /30/2017 Pound Sterling (GBP) $ 11, $ 11, /30/ Diageo ORD $ 14, $ 15, $ 1, /30/2017 Pound Sterling (GBP) $ 15, $ 15, /30/ British American Tobacco PLC ORD $ 9, $ 10, $ 1, /30/2017 Pound Sterling (GBP) $ 10, $ 10,913.55

89 3/30/ Prudential Corp PLC ORD $ 14, $ 12, $ (2,000.19) 3/30/ Tencent Holdings LTD ORD $ 12, $ 14, $ 2, /30/2017 Hong Kong Dollars (HKD) $ 14, $ 14, /30/ AIA Group LTD ORD $ 13, $ 14, $ /30/2017 Hong Kong Dollars (HKD) $ 14, $ 14, /30/ Assa Abloy AB ORD $ 11, $ 15, $ 4, /30/2017 Swedish Kroners (SEK) $ 15, $ 15, /30/ Hexagon AB B ORD $ 9, $ 10, $ /30/2017 Swedish Kroners (SEK) $ 10, $ 10, /31/ AmBev SA ORD $ 9, $ 10, $ /31/2017 Brazilian Real (BRL) $ 10, $ 10, $ (46.47) 3/31/ Cielo SA ORD $ 9, $ 9, $ (79.17) 3/31/2017 Brazilian Real (BRL) $ 9, $ 9, $ (44.93) 3/31/ National Bank of Canada ORD $ 16, $ 16, $ (98.70) 3/31/ Canadian National Railway Co. ORD $ 13, $ 16, $ 3, /31/2017 Canadian Dollar (CAD) $ 16, $ 16, /31/ Recruit Holding Co LTD ORD $ 6, $ 10, $ 3, /31/2017 Japanese Yen (JPY) $ 10, $ 10, /31/ Aeon Financial Service Co. LTD ORD $ 14, $ 11, $ (2,744.70) 3/31/2017 Japanese Yen (JPY) $ 11, $ 11, /31/ Daiwa House Industry Co Ltd ORD $ 11, $ 17, $ 6, /31/2017 Japanese Yen (JPY) $ 17, $ 17, /31/ Ryohin Keikaku Co. LTD ORD $ 21, $ 21, $ (503.73) 3/31/2017 Japanese Yen (JPY) $ 21, $ 21, /31/ Sanlam LTD ORD $ 9, $ 7, $ (1,493.24) 3/31/2017 South Africa Rand (ZAR) $ 7, $ 7, /3/2017 Israeli Shekel (ILS) $ 129, $ 129, /5/2017 Israeli Shekel (ILS) $ 118, $ 118, /5/2017 Israeli Shekel (ILS) $ 43, $ 43, /6/2017 Israeli Shekel (ILS) $ 129, $ 129, /10/2017 Israeli Shekel (ILS) $ 206, $ 207, $ /26/ Bank of America Corp. $ 120, $ 137, $ 16, /26/ Bank of America Corp. $ 232, $ 264, $ 31, /26/ Bank of America Corp. $ 679, $ 773, $ 93, /17/ Apple Inc. $ 227, $ 417, $ 190, /17/ Red Hat Inc. $ 467, $ 557, $ 89, /17/ Applied Materials Inc. $ 174, $ 358, $ 183, /19/ Five Below Inc $ 37, $ 48, $ 11, /22/ Five Below Inc $ 211, $ 273, $ 61, /23/2017 Japanese Yen (JPY) $ 141, $ 141, /23/2017 Japanese Yen (JPY) $ 79, $ 79, /24/2017 Japanese Yen (JPY) $ 172, $ 172, /26/2017 Japanese Yen (JPY) $ 111, $ 111, /29/2017 Japanese Yen (JPY) $ 98, $ 98, $ /30/2017 Japanese Yen (JPY) $ 110, $ 110, /5/ Fidelity National Information Services $ 68, $ 90, $ 22, /5/ Applied Materials Inc. $ 126, $ 275, $ 149, /5/ Cisco Systems, Inc. $ 364, $ 452, $ 88, /5/ Fidelity National Information Services $ 117, $ 156, $ 38, /7/ Alphabet Inc. Class C $ 465, $ 905, $ 439, /8/ Fidelity National Information Services $ 129, $ 168, $ 38, /8/ Fidelity National Information Services $ 491, $ 641, $ 149, /23/ Recruit Holding Co LTD ORD $ 500, $ 872, $ 372, /23/2017 Japanese Yen (JPY) $ 872, $ 872, /23/2017 Japanese Yen (JPY) $ 102, $ 102, /26/2017 Japanese Yen (JPY) $ 191, $ 191, /27/2017 Japanese Yen (JPY) $ 149, $ 149, /27/ Alibaba Group Holding LTD (ADR) $ 48, $ 50, $ 1,302.40

90 6/27/ Alphabet Inc. Class A $ 67, $ 129, $ 61, /27/ Apple Inc. $ 66, $ 116, $ 49, /27/ Applied Materials Inc. $ 19, $ 38, $ 19, /27/ AutoZone Inc. $ 27, $ 37, $ 9, /27/ Biogen Inc. $ 44, $ 41, $ (2,170.68) 6/27/ Cisco Systems, Inc. $ 35, $ 44, $ 9, /27/ Citigroup Inc. $ 66, $ 70, $ 4, /27/ Coca Cola Company $ 86, $ 90, $ 4, /27/ Comerica Inc. $ 39, $ 42, $ 3, /27/ Commerce Bancshares Inc. $ 35, $ 33, $ (1,542.89) 6/27/ Crown Holdings Inc. $ 42, $ 46, $ 4, /27/ DXC Technology Co $ 38, $ 39, $ /27/ EOG Resources Inc. $ 39, $ 35, $ (4,887.73) 6/27/ EBay Inc. $ 20, $ 24, $ 4, /27/ Five Below Inc $ 28, $ 33, $ 5, /27/ Honeywell International Inc. $ 44, $ 73, $ 29, /27/ Intercontinental Exchange, Inc. $ 45, $ 77, $ 32, /27/ Kellogg Co $ 27, $ 28, $ /27/ Microsoft Corporation $ 71, $ 98, $ 27, /27/ Molson Coors Brewing Co $ 39, $ 51, $ 12, /27/ Monsanto Company $ 42, $ 46, $ 3, /27/ Motorola Solutions Inc. $ 45, $ 48, $ 2, /27/ PPG Industries, Inc. $ 40, $ 44, $ 3, /27/ Quintiles Transnational Holdings $ 41, $ 62, $ 21, /27/ Rockwell Automation Inc. $ 45, $ 64, $ 18, /27/ S&P Global Inc. $ 48, $ 66, $ 17, /27/ Charles Schwab Corp. $ 34, $ 59, $ 24, /27/ Snap On Inc. $ 38, $ 38, $ /27/ Thermo Fisher Scientific Inc. $ 47, $ 64, $ 16, /27/ United Technologies Corp. $ 55, $ 66, $ 11, /27/ Vantiv Inc Class A $ 58, $ 68, $ 9, /27/ Visa Inc Class A $ 33, $ 66, $ 33, /27/ Welbilt Inc. $ 29, $ 33, $ 4, /27/ Zoetis Inc. $ 53, $ 94, $ 40, /27/ Taiwan Semiconductor Mfg Company (ADR) $ 34, $ 63, $ 29, /27/ Schlumberger Ltd. $ 76, $ 65, $ (10,732.64) 6/27/ Coca Cola European Partners PLC (ADR) $ 31, $ 36, $ 5, /27/ AON PLC (ADR) $ 56, $ 76, $ 19, /27/ Medtronic Inc. $ 46, $ 53, $ 6, /27/ Johnson Controls International PLC $ 60, $ 59, $ (1,665.99) 6/27/ Accenture Ltd $ 75, $ 82, $ 7, /27/ Eaton Corporation $ 32, $ 46, $ 13, /29/2017 Japanese Yen (JPY) $ 115, $ 115, /29/ Julius Baer Group LTD ORD $ 36, $ 40, $ 3, /29/2017 Swiss Francs (CHF) $ 40, $ 40, /29/ Novo Nordisk A/S B ORD $ 28, $ 36, $ 7, /29/2017 Danish Kroners (DKK) $ 36, $ 36, /29/ Carlsberg AS B ORD $ 43, $ 53, $ 9, /29/ Relx NV ORD $ 54, $ 71, $ 16, /29/2017 European Currency (EMU) $ 71, $ 71, /29/ Sampo Insurance Co ORD $ 43, $ 50, $ 7, /29/ Wolters Kluwer ORD $ 49, $ 65, $ 16, /29/2017 European Currency (EMU) $ 65, $ 65, /29/ Symrise AG ORD $ 50, $ 69, $ 19, /29/2017 European Currency (EMU) $ 69, $ 69, /29/ Continental AG ORD $ 69, $ 77, $ 8, /29/2017 European Currency (EMU) $ 77, $ 77, /29/ Convatec Group PLC ORD $ 17, $ 26, $ 9,423.62

91 6/29/2017 Pound Sterling (GBP) $ 26, $ 26, /29/ Unilever PLC ORD $ 36, $ 49, $ 13, /29/2017 Pound Sterling (GBP) $ 49, $ 49, /29/ Shire PLC ORD $ 84, $ 78, $ (6,622.29) 6/29/2017 Pound Sterling (GBP) $ 78, $ 78, /29/ Tencent Holdings LTD ORD $ 51, $ 76, $ 25, /29/2017 Hong Kong Dollars (HKD) $ 76, $ 76, /29/ AIA Group LTD ORD $ 54, $ 68, $ 13, /29/2017 Hong Kong Dollars (HKD) $ 68, $ 68, /29/ Israel Discount Bank ORD $ 35, $ 38, $ 3, /29/2017 Israeli Shekel (ILS) $ 38, $ 38, /29/ Assa Abloy AB ORD $ 46, $ 69, $ 23, /29/2017 Swedish Kroners (SEK) $ 69, $ 69, /29/ Hexagon AB B ORD $ 41, $ 50, $ 8, /29/ Ashtead Group PLC ORD $ 43, $ 50, $ 7, /29/ Prudential Corp PLC ORD $ 61, $ 57, $ (4,509.12) 6/29/2017 Pound Sterling (GBP) $ 57, $ 57, /29/ British American Tobacco PLC ORD $ 37, $ 47, $ 10, /29/2017 Pound Sterling (GBP) $ 47, $ 47, /29/ Diageo ORD $ 58, $ 64, $ 6, /29/2017 Pound Sterling (GBP) $ 64, $ 64, /29/ Compass Group ORD $ 56, $ 63, $ 6, /29/2017 Pound Sterling (GBP) $ 63, $ 63, $ (23.38) 6/30/ AmBev SA ORD $ 41, $ 41, $ (317.29) 6/30/2017 Brazilian Real (BRL) $ 41, $ 40, $ (205.85) 6/30/ Cielo SA ORD $ 39, $ 38, $ (672.88) 6/30/2017 Brazilian Real (BRL) $ 38, $ 38, $ (192.33) 6/30/ National Bank of Canada ORD $ 67, $ 65, $ (2,141.89) 6/30/2017 Canadian Dollar (CAD) $ 65, $ 65, /30/ Canadian National Railway Co. ORD $ 52, $ 72, $ 20, /30/2017 Canadian Dollar (CAD) $ 72, $ 72, /30/ Aeon Financial Service Co. LTD ORD $ 63, $ 54, $ (8,985.02) 6/30/2017 Japanese Yen (JPY) $ 54, $ 54, /30/ Daiwa House Industry Co Ltd ORD $ 47, $ 85, $ 38, /30/2017 Japanese Yen (JPY) $ 85, $ 85, /30/ Kao Corp. ORD $ 43, $ 43, $ (20.58) 6/30/2017 Japanese Yen (JPY) $ 43, $ 43, /30/ Ryohin Keikaku Co. LTD ORD $ 65, $ 78, $ 13, /30/2017 Japanese Yen (JPY) $ 78, $ 78, /30/2017 Japanese Yen (JPY) $ 123, $ 123, /30/ Sanlam LTD ORD $ 34, $ 27, $ (7,377.89) 6/30/2017 South Africa Rand (ZAR) $ 27, $ 27, /3/2017 Japanese Yen (JPY) $ 8, $ 8, /4/2017 Australian Dollars (AUD) $ 293, $ 497, $ 203, /4/2017 Australian Dollars (AUD) $ 481, $ 816, $ 335, /25/2017 European Currency (EMU) $ 293, $ 293, /26/2017 European Currency (EMU) $ 136, $ 136, /26/ EOG Resources Inc. $ 653, $ 624, $ (29,023.82) 7/27/2017 European Currency (EMU) $ 165, $ 165, /28/2017 European Currency (EMU) $ 200, $ 200, /31/ Novo Nordisk A/S B ORD $ 149, $ 179, $ 30, /31/2017 Danish Kroners (DKK) $ 179, $ 179, /31/ Novo Nordisk A/S B ORD $ 68, $ 81, $ 13, /31/2017 Danish Kroners (DKK) $ 81, $ 81, /31/ Novo Nordisk A/S B ORD $ 301, $ 358, $ 57, /31/2017 Danish Kroners (DKK) $ 358, $ 358, /16/ Sampo Insurance Co ORD $ 136, $ 164, $ 28, /16/2017 European Currency (EMU) $ 164, $ 164,872.31

92 8/22/ Convatec Group PLC ORD $ 8, $ 10, $ 2, /22/2017 Pound Sterling (GBP) $ 10, $ 10, /23/ Convatec Group PLC ORD $ 39, $ 53, $ 13, /23/2017 Pound Sterling (GBP) $ 53, $ 53, /23/ Convatec Group PLC ORD $ 3, $ 4, $ 1, /23/2017 Pound Sterling (GBP) $ 4, $ 4, $ (0.02) 8/24/ Convatec Group PLC ORD $ 9, $ 12, $ 3, /24/2017 Pound Sterling (GBP) $ 12, $ 12, /24/ Convatec Group PLC ORD $ 1, $ 2, $ /24/2017 Pound Sterling (GBP) $ 2, $ 2, /25/ Convatec Group PLC ORD $ 3, $ 4, $ 1, /25/2017 Pound Sterling (GBP) $ 4, $ 4, /25/ Convatec Group PLC ORD $ 7, $ 10, $ 2, /25/2017 Pound Sterling (GBP) $ 10, $ 10, /25/ Convatec Group PLC ORD $ 2, $ 3, $ /25/2017 Pound Sterling (GBP) $ 3, $ 3, /29/ Convatec Group PLC ORD $ 15, $ 20, $ 5, /29/ Convatec Group PLC ORD $ $ $ /29/2017 Pound Sterling (GBP) $ 20, $ 20, $ (0.52) 8/29/2017 Pound Sterling (GBP) $ $ $ /29/ Assa Abloy AB ORD $ 132, $ 192, $ 60, /29/ Assa Abloy AB ORD $ 146, $ 212, $ 65, /29/2017 Swedish Kroners (SEK) $ 212, $ 212, $ (308.60) 8/29/2017 Swedish Kroners (SEK) $ 191, $ 192, $ /30/ Convatec Group PLC ORD $ 10, $ 14, $ 3, /30/2017 Pound Sterling (GBP) $ 14, $ 14, /31/ Convatec Group PLC ORD $ 15, $ 20, $ 5, /31/ Convatec Group PLC ORD $ $ $ /31/2017 Pound Sterling (GBP) $ 20, $ 20, /31/2017 Pound Sterling (GBP) $ $ /1/ Convatec Group PLC ORD $ 2, $ 2, $ /1/ Convatec Group PLC ORD $ 2, $ 3, $ /1/2017 Pound Sterling (GBP) $ 2, $ 2, $ /1/2017 Pound Sterling (GBP) $ 3, $ 3, $ (1.92) 9/4/ Continental AG ORD $ 298, $ 352, $ 54, /4/ Convatec Group PLC ORD $ 39, $ 52, $ 13, /4/ Convatec Group PLC ORD $ 28, $ 37, $ 9, /4/2017 Pound Sterling (GBP) $ 90, $ 90, $ /4/2017 European Currency (EMU) $ 352, $ 352, $ (272.55) 9/4/2017 Pound Sterling (GBP) $ 646, $ 649, $ 3, /5/ Convatec Group PLC ORD $ 4, $ 5, $ 1, /5/2017 Pound Sterling (GBP) $ 5, $ 5, /6/ Daiwa House Industry Co Ltd ORD $ 89, $ 162, $ 73, /6/2017 Japanese Yen (JPY) $ 162, $ 162, /6/ Convatec Group PLC ORD $ 5, $ 7, $ 1, /6/2017 Pound Sterling (GBP) $ 7, $ 7, /7/ Daiwa House Industry Co Ltd ORD $ 104, $ 190, $ 86, /7/2017 Japanese Yen (JPY) $ 190, $ 188, $ (2,036.65) 9/7/ Convatec Group PLC ORD $ 3, $ 4, $ /7/2017 Pound Sterling (GBP) $ 4, $ 4, /21/ Apple Inc. $ 251, $ 462, $ 211, /21/ Apple Inc. $ 82, $ 152, $ 70, /26/ Alphabet Inc. Class A $ 125, $ 233, $ 108, /26/ Applied Materials Inc. $ 134, $ 291, $ 156, /26/ Microsoft Corporation $ 137, $ 199, $ 62, /26/ Taiwan Semiconductor Mfg Company (ADR) $ 141, $ 272, $ 131, /26/ Vantiv Inc Class A $ 149, $ 193, $ 43, /26/ Kellogg Co $ 480, $ 443, $ (36,980.17)

93 9/26/ Accenture Ltd $ 181, $ 224, $ 43, /28/2017 Canadian Dollar (CAD) $ 296, $ 294, $ (2,292.73) 9/29/2017 Canadian Dollar (CAD) $ 258, $ 257, $ (632.80) 9/29/ Tencent Holdings LTD ORD $ 58, $ 104, $ 45, /29/2017 Hong Kong Dollars (HKD) $ 104, $ 104, $ /29/ Tencent Holdings LTD ORD $ 102, $ 181, $ 79, /29/2017 Hong Kong Dollars (HKD) $ 181, $ 181, $ /2/2017 Japanese Yen (JPY) $ 127, $ 127, $ /2/2017 Japanese Yen (JPY) $ 3, $ 3, $ /2/2017 Canadian Dollar (CAD) $ 93, $ 93, $ (249.52) 10/3/2017 Japanese Yen (JPY) $ 412, $ 411, $ (898.29) 10/4/ Convatec Group PLC ORD $ 8, $ 11, $ 2, /4/2017 Pound Sterling (GBP) $ 11, $ 11, $ /4/ Convatec Group PLC ORD $ 2, $ 2, $ /4/2017 Japanese Yen (JPY) $ 126, $ 126, $ (225.75) 10/5/ Convatec Group PLC ORD $ 8, $ 11, $ 2, /5/2017 Pound Sterling (GBP) $ 11, $ 11, /5/ Convatec Group PLC ORD $ 1, $ 2, $ /5/2017 Pound Sterling (GBP) $ 2, $ 2, /6/ Convatec Group PLC ORD $ 11, $ 15, $ 4, /6/2017 Pound Sterling (GBP) $ 15, $ 15, /6/ Convatec Group PLC ORD $ 3, $ 4, $ 1, /6/2017 Pound Sterling (GBP) $ 4, $ 4, /9/ Convatec Group PLC ORD $ 6, $ 9, $ 2, /9/2017 Pound Sterling (GBP) $ 9, $ 9, $ (115.40) 10/9/ Convatec Group PLC ORD $ 3, $ 5, $ 1, /9/2017 Pound Sterling (GBP) $ 5, $ 5, $ (65.31) 10/10/ Convatec Group PLC ORD $ 10, $ 14, $ 3, /10/2017 Pound Sterling (GBP) $ 14, $ 14, /11/ Convatec Group PLC ORD $ 2, $ 2, $ /11/2017 Pound Sterling (GBP) $ 2, $ 2, /11/ Convatec Group PLC ORD $ 3, $ 4, $ 1, /11/2017 Pound Sterling (GBP) $ 4, $ 4, /11/ Convatec Group PLC ORD $ 11, $ 15, $ 3, /11/2017 Pound Sterling (GBP) $ 15, $ 15, /11/ Convatec Group PLC ORD $ 1, $ 2, $ /12/ Convatec Group PLC ORD $ 6, $ 8, $ 2, /12/2017 Pound Sterling (GBP) $ 8, $ 8, /16/ Convatec Group PLC ORD $ 2, $ 3, $ /16/2017 Pound Sterling (GBP) $ 3, $ 3, /16/ Convatec Group PLC ORD $ 4, $ 6, $ 1, /16/2017 Pound Sterling (GBP) $ 6, $ 6, /17/ Convatec Group PLC ORD $ 4, $ 6, $ 1, /17/ Convatec Group PLC ORD $ 2, $ 3, $ /17/2017 Pound Sterling (GBP) $ 3, $ 3, /17/ Convatec Group PLC ORD $ 3, $ 4, $ 1, /17/2017 Pound Sterling (GBP) $ 4, $ 4, /18/ Convatec Group PLC ORD $ 8, $ 8, $ /18/2017 Pound Sterling (GBP) $ 8, $ 8, /26/ Indiabulls Housing Finance LTD (ADR) $ 374, $ 682, $ 307, /26/ Alibaba Group Holding LTD (ADR) $ 859, $ 1,051, $ 191, /26/ Alphabet Inc. Class A $ 1,038, $ 2,063, $ 1,024, /26/ Apple Inc. $ 825, $ 1,551, $ 725, /26/ Applied Materials Inc. $ 223, $ 579, $ 356, /26/ AutoZone Inc. $ 523, $ 699, $ 175, /26/ Biogen Inc. $ 978, $ 1,030, $ 52, /26/ Cisco Systems, Inc. $ 619, $ 836, $ 216, /26/ Citigroup Inc. $ 1,122, $ 1,368, $ 245,974.57

94 10/26/ Coca Cola Company $ 1,819, $ 1,933, $ 114, /26/ Comerica Inc. $ 665, $ 810, $ 145, /26/ Crown Holdings Inc. $ 715, $ 804, $ 89, /26/ DXC Technology Co $ 598, $ 706, $ 108, /26/ EBay Inc. $ 340, $ 431, $ 91, /26/ Honeywell International Inc. $ 806, $ 1,469, $ 662, /26/ Intercontinental Exchange, Inc. $ 795, $ 1,386, $ 590, /26/ Microsoft Corporation $ 1,113, $ 1,739, $ 626, /26/ Molson Coors Brewing Co $ 698, $ 866, $ 168, /26/ Monsanto Company $ 728, $ 825, $ 96, /26/ PPG Industries, Inc. $ 693, $ 807, $ 113, /26/ Quintiles Transnational Holdings $ 725, $ 1,229, $ 504, /26/ Rockwell Automation Inc. $ 807, $ 1,318, $ 511, /26/ S&P Global Inc. $ 892, $ 1,348, $ 455, /26/ Charles Schwab Corp. $ 643, $ 1,156, $ 512, /26/ J.M. Smucker Co. $ 805, $ 785, $ (19,460.47) 10/26/ Snap On Inc. $ 658, $ 678, $ 20, /26/ Taiwan Semiconductor Mfg Company (ADR) $ 417, $ 892, $ 474, /26/ Thermo Fisher Scientific Inc. $ 844, $ 1,313, $ 469, /26/ United Technologies Corp. $ 973, $ 1,147, $ 173, /26/ Vantiv Inc Class A $ 1,240, $ 1,569, $ 329, /26/ Visa Inc Class A $ 571, $ 1,332, $ 761, /26/ Zoetis Inc. $ 862, $ 1,559, $ 696, /26/ Five Below Inc $ 466, $ 634, $ 167, /26/ Commerce Bancshares Inc. $ 566, $ 564, $ (1,969.95) 10/26/ Motorola Solutions Inc. $ 734, $ 791, $ 57, /26/ Welbilt Inc. $ 546, $ 712, $ 165, /26/ Schlumberger Ltd. $ 1,288, $ 1,071, $ (216,977.01) 10/26/ AON PLC (ADR) $ 930, $ 1,421, $ 490, /26/ Medtronic Inc. $ 925, $ 933, $ 7, /26/ Johnson Controls International PLC $ 1,009, $ 966, $ (43,752.25) 10/26/ Accenture Ltd $ 1,099, $ 1,401, $ 301, /26/ Eaton Corporation $ 602, $ 875, $ 273, /26/ Coca Cola European Partners PLC (ADR) $ 866, $ 975, $ 108, /30/ Compass Group ORD $ 918, $ 1,002, $ 84, /30/2017 Pound Sterling (GBP) $ 1,002, $ 1,002, /30/ Unilever PLC ORD $ 583, $ 787, $ 204, /30/2017 Pound Sterling (GBP) $ 787, $ 787, /30/ Shire PLC ORD $ 1,536, $ 1,155, $ (380,851.56) 10/30/2017 Pound Sterling (GBP) $ 1,155, $ 1,155, /30/ Ashtead Group PLC ORD $ 740, $ 1,070, $ 329, /30/2017 Pound Sterling (GBP) $ 1,070, $ 1,070, $ (0.01) 10/30/ Diageo ORD $ 1,024, $ 1,275, $ 250, /30/2017 Pound Sterling (GBP) $ 1,275, $ 1,275, /30/ British American Tobacco PLC ORD $ 654, $ 776, $ 121, /30/ Prudential Corp PLC ORD $ 1,021, $ 995, $ (25,692.65) 10/30/2017 Pound Sterling (GBP) $ 995, $ 995, /30/ Carlsberg AS B ORD $ 765, $ 990, $ 224, /30/2017 Danish Kroners (DKK) $ 990, $ 990, /30/ Julius Baer Group LTD ORD $ 573, $ 693, $ 120, /30/2017 Swiss Francs (CHF) $ 693, $ 693, /30/ Assa Abloy AB ORD $ 544, $ 764, $ 220, /30/2017 Swedish Kroners (SEK) $ 764, $ 764, /30/ Hexagon AB B ORD $ 711, $ 890, $ 178, /30/2017 Swedish Kroners (SEK) $ 890, $ 890, /30/ Nordea Bank AB ORD $ 788, $ 767, $ (20,832.40) 10/30/2017 Swedish Kroners (SEK) $ 767, $ 767, /30/ Ubisoft Entertainment ORD $ 796, $ 971, $ 175,105.25

95 10/30/2017 European Currency (EMU) $ 971, $ 971, /30/ Relx NV ORD $ 982, $ 1,319, $ 336, /30/2017 European Currency (EMU) $ 1,319, $ 1,319, /30/ Wolters Kluwer ORD $ 897, $ 1,283, $ 386, /30/2017 European Currency (EMU) $ 1,283, $ 1,283, /30/ Symrise AG ORD $ 848, $ 1,252, $ 404, /30/ Continental AG ORD $ 862, $ 1,122, $ 259, /30/2017 European Currency (EMU) $ 1,122, $ 1,122, /30/ Sampo Insurance Co ORD $ 648, $ 775, $ 126, /30/ Israel Discount Bank ORD $ 591, $ 650, $ 58, /30/2017 Israeli Shekel (ILS) $ 650, $ 650, /30/ Canadian National Railway Co. ORD $ 956, $ 1,336, $ 380, /30/2017 Canadian Dollar (CAD) $ 1,336, $ 1,336, /30/ National Bank of Canada ORD $ 1,187, $ 1,367, $ 179, /30/2017 Canadian Dollar (CAD) $ 1,367, $ 1,367, /30/ Link Administration Holdings ORD $ 1,313, $ 800, $ (513,025.91) 10/30/2017 Australian Dollars (AUD) $ 800, $ 802, $ 2, /30/ Tencent Holdings LTD ORD $ 762, $ 1,397, $ 634, /30/2017 Hong Kong Dollars (HKD) $ 1,397, $ 1,397, /30/ AIA Group LTD ORD $ 932, $ 1,177, $ 245, /30/ Rio Tinto PLC ORD $ 649, $ 616, $ (33,765.84) 10/30/2017 Pound Sterling (GBP) $ 616, $ 616, $ /30/ CAE Inc. $ 645, $ 653, $ 8, /30/2017 Canadian Dollar (CAD) $ 653, $ 652, $ (740.22) 10/31/ Sanlam LTD ORD $ 655, $ 508, $ (147,846.74) 10/31/2017 South Africa Rand (ZAR) $ 508, $ 508, /31/ AmBev SA ORD $ 718, $ 840, $ 122, /31/2017 Brazilian Real (BRL) $ 840, $ 825, $ (15,069.40) 10/31/ Cielo SA ORD $ 730, $ 633, $ (96,711.62) 10/31/2017 Brazilian Real (BRL) $ 633, $ 622, $ (11,363.93) 10/31/ Daiwa House Industry Co Ltd ORD $ 646, $ 1,231, $ 585, /31/2017 Japanese Yen (JPY) $ 1,231, $ 1,231, /31/ Kao Corp. ORD $ 795, $ 803, $ 8, /31/2017 Japanese Yen (JPY) $ 803, $ 803, /31/ Ryohin Keikaku Co. LTD ORD $ 1,024, $ 1,350, $ 325, /31/2017 Japanese Yen (JPY) $ 1,350, $ 1,350, /31/ Aeon Financial Service Co. LTD ORD $ 1,049, $ 913, $ (136,358.62) 10/31/2017 Japanese Yen (JPY) $ 913, $ 913, /31/ Technopro Holdings Inc. ORD $ 863, $ 920, $ 56, /31/2017 Japanese Yen (JPY) $ 920, $ 920, /31/ Yamaha Corp. $ 668, $ 705, $ 36, /31/2017 Japanese Yen (JPY) $ 705, $ 704, $ (586.15) TOTAL GAINS $ 26,358, TOTAL LOSSES $ (1,810,883.06) $ 132,560, $ 157,108, $ 24,547, ============== ============== ============= ==============================

96 F.M. Kirby Foundation REALIZED GAINS AND LOSSES F.M. KIRBY FOUNDATION, INC. PORTION OF THE ACCOUNT MANAGED BY OAKTREE CAPITAL MANAGEMENT From Through Cost Date Quantity Security Basis Proceeds Gain Or Loss 1/3/ Citrix Systems Inc 144A $ 53, $ 58, $ 4, % Due /3/ Array Bio Inc $ 27, $ 34, $ 7, % Due /3/ Allscripts Healthcare $ 31, $ 28, $ (3,187.87) 1.250% Due /3/ J2 Global Communications $ 58, $ 72, $ 14, % Due /4/ Allscripts Healthcare $ 116, $ 104, $ (11,849.03) 1.250% Due /4/ Array Bio Inc $ 16, $ 20, $ 4, % Due /4/ J2 Global Communications $ 58, $ 73, $ 15, % Due /4/ Cardtronics Inc $ 55, $ 65, $ 10, % Due /4/ Evolent Health Inc. 144A $ 40, $ 39, $ (655.44) 2.000% Due /4/ Citrix Systems Inc 144A $ 53, $ 58, $ 4, % Due /4/ Vipshop Holding LTD $ 49, $ 44, $ (4,124.97) 1.500% Due /5/ American Tower Corp CV 5.5% PFD $ 111, $ 114, $ 2, /5/ Array Bio Inc $ 21, $ 28, $ 6, % Due /5/ J2 Global Communications $ 42, $ 53, $ 10, % Due /5/ Evolent Health Inc. 144A $ 85, $ 83, $ (1,800.88) 2.000% Due /5/ Huron Consulting Group I 144A $ 25, $ 24, $ (1,128.89) 1.250% Due /6/ InterDigital Inc. $ 94, $ 119, $ 24, % Due /6/ Vipshop Holding LTD $ 49, $ 44, $ (4,160.97) 1.500% Due /6/ J2 Global Communications $ 47, $ 60, $ 12, % Due /6/ Pattern Energy Group Inc. $ 88, $ 88, $ (851.34) 4.000% Due /6/ Vipshop Holding LTD $ 49, $ 44, $ (4,068.72) 1.500% Due /6/ Evolent Health Inc. 144A $ 45, $ 45, $ % Due /9/ Pattern Energy Group Inc. $ 64, $ 63, $ (817.78) 4.000% Due /9/ Huron Consulting Group I 144A $ 5, $ 4, $ (243.44)

97 1.250% Due /9/ Herbalife LTD 144A $ 18, $ 18, $ (406.56) 2.000% Due /9/ Herbalife LTD 144A $ 122, $ 119, $ (2,786.65) 2.000% Due /9/ Vipshop Holding LTD $ 103, $ 94, $ (8,850.77) 1.500% Due /9/ Evolent Health Inc. 144A $ 40, $ 39, $ (225.68) 2.000% Due /9/ American Tower Corp CV 5.5% PFD $ 173, $ 176, $ 3, /10/ Vipshop Holding LTD $ 92, $ 84, $ (7,897.86) 1.500% Due /10/ Herbalife LTD 144A $ 80, $ 78, $ (2,036.07) 2.000% Due /10/ Herbalife LTD 144A $ 51, $ 50, $ (1,324.28) 2.000% Due /10/ NRG Yield Inc. 144A $ 24, $ 24, $ (410.41) 3.250% Due /10/ Huron Consulting Group I 144A $ 15, $ 14, $ (729.84) 1.250% Due /10/ Pattern Energy Group Inc. $ 39, $ 39, $ (507.81) 4.000% Due /10/ Depomed Inc. $ 103, $ 106, $ 2, % Due /10/ Evolent Health Inc. 144A $ 45, $ 45, $ % Due /11/ Vipshop Holding LTD $ 119, $ 109, $ (10,501.26) 1.500% Due /11/ Pattern Energy Group Inc. $ 44, $ 43, $ (519.32) 4.000% Due /11/ American Tower Corp CV 5.5% PFD $ 274, $ 276, $ 1, /11/ Huron Consulting Group I 144A $ 20, $ 19, $ (1,005.76) 1.250% Due /11/ Herbalife LTD 144A $ 80, $ 78, $ (2,131.61) 2.000% Due /11/ Synchronoss Technologies $ 26, $ 26, $ (417.96) 0.750% Due /11/ Array Bio Inc $ 16, $ 22, $ 5, % Due /11/ Evolent Health Inc. 144A $ 35, $ 35, $ % Due /11/ Herbalife LTD 144A $ 4, $ 4, $ (95.39) 2.000% Due /12/ Green Plains Inc. 144A $ 46, $ 49, $ 3, % Due /12/ Pattern Energy Group Inc. $ 39, $ 38, $ (551.61) 4.000% Due /12/ Euronet Worldwide Inc. $ 190, $ 203, $ 13, % Due /12/ Huron Consulting Group I 144A $ 15, $ 14, $ (749.07) 1.250% Due /12/ Herbalife LTD 144A $ 396, $ 384, $ (11,950.16) 2.000% Due /12/ World Wrestling Entertainment 144A $ 70, $ 68, $ (1,225.74) 3.375% Due /12/ Evolent Health Inc. 144A $ 40, $ 41, $ 1,247.08

98 2.000% Due /13/ Depomed Inc. $ 3, $ 3, $ % Due /13/ Green Plains Inc. 144A $ 15, $ 16, $ % Due /13/ Euronet Worldwide Inc. $ 48, $ 52, $ 3, % Due /13/ Nuvasive Inc. 144A $ 22, $ 27, $ 5, % Due /13/ Green Plains Inc. 144A $ 35, $ 37, $ 2, % Due /13/ Array Bio Inc $ 10, $ 16, $ 5, % Due /17/ Citrix Systems Inc 144A $ 60, $ 65, $ 5, % Due /17/ Pattern Energy Group Inc. $ 59, $ 59, $ (242.42) 4.000% Due /17/ Southwestern Energy Co $ 109, $ 86, $ (22,716.10) 1/17/ Pattern Energy Group Inc. $ 49, $ 49, $ % Due /17/ Array Bio Inc $ 10, $ 16, $ 5, % Due /17/ Synchronoss Technologies $ 37, $ 36, $ (915.01) 0.750% Due /18/ Medidata Solutions Inc. $ 21, $ 21, $ % Due /18/ Pattern Energy Group Inc. $ 39, $ 39, $ % Due /18/ Synchronoss Technologies $ 28, $ 28, $ (653.89) 0.750% Due /18/ Depomed Inc. $ 51, $ 52, $ % Due /19/ Pattern Energy Group Inc. $ 64, $ 64, $ % Due /19/ Blackstone Mortgage Trust $ 56, $ 62, $ 5, % Due /19/ Synchronoss Technologies $ 58, $ 57, $ (1,263.25) 0.750% Due /19/ Synchronoss Technologies $ 95, $ 93, $ (2,010.89) 0.750% Due /19/ Oasis Petroleum Inc. $ 53, $ 60, $ 7, % Due /19/ J2 Global Communications $ 42, $ 54, $ 12, % Due /19/ Liberty Media Corporation 144A $ 86, $ 90, $ 3, % Due /19/ Array Bio Inc $ 21, $ 33, $ 11, % Due /19/ Depomed Inc. $ 51, $ 51, $ (517.48) 2.500% Due /19/ InterDigital Inc. $ 41, $ 53, $ 11, % Due /19/ Starwood Property Trust $ 55, $ 60, $ 5, % Due /19/ Live Nation Entertainment $ 21, $ 21, $ % Due

99 1/19/ Euronet Worldwide Inc. $ 27, $ 29, $ 2, % Due /19/ Liberty Media Corporation $ 90, $ 96, $ 5, % Due /20/ Liberty Media Corporation $ 59, $ 63, $ 3, % Due /20/ Liberty Media Corporation $ 12, $ 12, $ % Due /20/ Array Bio Inc $ 10, $ 17, $ 6, % Due /20/ Cardtronics Inc $ 3, $ 3, $ % Due /20/ Depomed Inc. $ 174, $ 171, $ (2,513.32) 2.500% Due /20/ Medidata Solutions Inc. $ 232, $ 237, $ 4, % Due /20/ Blackstone Mortgage Trust $ 15, $ 17, $ 1, % Due /20/ Rovi Corp. $ 11, $ 12, $ % Due /23/ Euronet Worldwide Inc. $ 38, $ 40, $ 2, % Due /23/ Dish Network Corp 144A $ 23, $ 27, $ 3, % Due /23/ Synchronoss Technologies $ 95, $ 94, $ (1,054.64) 0.750% Due /23/ Seacor Holdings Inc. $ 7, $ 8, $ 1, % Due /23/ Southwestern Energy Co $ 13, $ 12, $ (868.68) 1/23/ CSG Systems Int'l Inc. 144A $ 15, $ 16, $ 1, % Due /23/ Southwestern Energy Co $ 129, $ 97, $ (32,655.30) 1/23/ Spectranetics Corp. $ 15, $ 17, $ 2, % Due /23/ Medidata Solutions Inc. $ 52, $ 53, $ % Due /24/ Clovis Oncology Inc. $ 4, $ 6, $ 1, % Due /24/ Euronet Worldwide Inc. $ 48, $ 51, $ 2, % Due /24/ Euronet Worldwide Inc. $ 211, $ 224, $ 12, % Due /24/ SM Energy Co. $ 5, $ 5, $ % Due /24/ Southwestern Energy Co $ 135, $ 105, $ (30,588.97) 1/24/ InterDigital Inc. $ 12, $ 16, $ 3, % Due /24/ Chesapeake Energy Corp 144A $ 15, $ 16, $ 1, % Due /24/ Tutor Perini Corp 144A $ 10, $ 11, $ 1, % Due /24/ Array Bio Inc $ 21, $ 33, $ 11, % Due /24/ Biomarin Pharmaceutical $ 5, $ 5, $ (125.12) 0.750% Due /24/ Healthsouth Corp. $ 5, $ 5, $

100 2.000% Due /24/ Medidata Solutions Inc. $ 137, $ 140, $ 2, % Due /24/ Sucampo Pharmaceuticals 144A $ 70, $ 68, $ (1,927.17) 3.250% Due /25/ Dycom Industries Inc. $ 1, $ 1, $ % Due /25/ Array Bio Inc $ 16, $ 25, $ 8, % Due /25/ Spirit Realty Capital Inc. $ 52, $ 56, $ 3, % Due /25/ Healthsouth Corp. $ 36, $ 40, $ 4, % Due /25/ Nuance Communications $ 146, $ 144, $ (1,328.98) 1.500% Due /25/ Empire State Realty Trust 144A $ 139, $ 160, $ 20, % Due /25/ Rovi Corp. $ 7, $ 8, $ % Due /25/ Sucampo Pharmaceuticals 144A $ 40, $ 38, $ (1,091.68) 3.250% Due /25/ Colony Financial Inc. $ 5, $ 5, $ (28.01) 5.000% Due /25/ Liberty Media Corporation $ 35, $ 37, $ 2, % Due /26/ Liberty Interactive LLC 144A $ 10, $ 11, $ % Due /26/ Blackstone Mortgage Trust $ 87, $ 95, $ 8, % Due /26/ Array Bio Inc $ 21, $ 33, $ 11, % Due /26/ Macquarie Infrastructure $ 45, $ 45, $ (223.34) 2.000% Due /26/ Sucampo Pharmaceuticals 144A $ 45, $ 43, $ (1,233.00) 3.250% Due /27/ Huron Consulting Group I 144A $ 246, $ 233, $ (13,099.81) 1.250% Due /27/ Sucampo Pharmaceuticals 144A $ 20, $ 19, $ (481.38) 3.250% Due /27/ Bunge Limited 4.875% CV PFD $ 9, $ 9, $ /27/ Micron Technology Inc. $ 20, $ 25, $ 4, % Due /27/ Horizon Pharma INV LTD $ 9, $ 9, $ (131.71) 2.500% Due /27/ Zillow Inc. 144A $ 65, $ 66, $ % Due /27/ Ironwood Pharmaceuticals $ 4, $ 5, $ % Due /27/ World Wrestling Entertainment 144A $ 10, $ 10, $ % Due /30/ Huron Consulting Group I 144A $ 91, $ 85, $ (5,101.90) 1.250% Due /30/ Sucampo Pharmaceuticals 144A $ 50, $ 48, $ (1,786.90) 3.250% Due /30/ Apollo Commercial Real Estate Finance $ 11, $ 11, $ % Due

101 1/30/ Array Bio Inc $ 22, $ 33, $ 11, % Due /31/ Liberty Media Corporation $ 50, $ 54, $ 3, % Due /31/ Sucampo Pharmaceuticals 144A $ 95, $ 92, $ (2,585.33) 3.250% Due /31/ Array Bio Inc $ 20, $ 31, $ 10, % Due /31/ Spirit Realty Capital Inc. $ 91, $ 97, $ 6, % Due /1/ Citrix Systems Inc 144A $ 198, $ 211, $ 13, % Due /1/ Huron Consulting Group I 144A $ 85, $ 80, $ (5,094.71) 1.250% Due /1/ Rovi Corp. $ 184, $ 190, $ 6, % Due /1/ Sucampo Pharmaceuticals 144A $ 20, $ 19, $ (578.22) 3.250% Due /1/ Huron Consulting Group I 144A $ 46, $ 43, $ (2,780.23) 1.250% Due /1/ Blackstone Mortgage Trust $ 56, $ 61, $ 4, % Due /2/ Spirit Realty Capital Inc. $ 76, $ 81, $ 5, % Due /2/ Liberty Media Corporation $ 45, $ 49, $ 3, % Due /2/ CSG Systems Int'l Inc. 144A $ 114, $ 113, $ (933.23) 4.250% Due /2/ Horizon Pharma INV LTD $ 91, $ 91, $ (804.67) 2.500% Due /2/ CSG Systems Int'l Inc. 144A $ 36, $ 36, $ (104.47) 4.250% Due /3/ Rovi Corp. $ 170, $ 175, $ 5, % Due /3/ Portfolio Recovery Associates $ 2, $ 2, $ (107.62) 3.000% Due /3/ CSG Systems Int'l Inc. 144A $ 73, $ 73, $ (18.48) 4.250% Due /3/ Insulet Corporation 144A $ 5, $ 4, $ (29.16) 1.250% Due /6/ Live Nation Entertainment $ 21, $ 21, $ % Due /6/ Dycom Industries Inc. $ 52, $ 53, $ 1, % Due /6/ Southwestern Energy Co $ 118, $ 91, $ (26,780.31) 2/6/ Wells Fargo & Co. Mtn. $ 155, $ 167, $ 12, % Due /6/ Belden Inc CV PFD $ 5, $ 5, $ /6/ Horizon Pharma INV LTD $ 58, $ 57, $ (178.16) 2.500% Due /6/ Synchronoss Technologies $ 42, $ 41, $ (1,252.73) 0.750% Due /7/ Rovi Corp. $ 175, $ 181, $ 6, % Due /7/ Live Nation Entertainment $ 48, $ 48, $ % Due

102 2/7/ Synchronoss Technologies $ 42, $ 41, $ (1,518.73) 0.750% Due /7/ Clovis Oncology Inc. $ 34, $ 44, $ 9, % Due /7/ Spirit Realty Capital Inc. $ 95, $ 102, $ 6, % Due /7/ Liberty Media Corporation $ 90, $ 97, $ 7, % Due /7/ Apollo Commercial Real Estate Finance $ 46, $ 47, $ 1, % Due /7/ Synchronoss Technologies $ 47, $ 46, $ (1,745.56) 0.750% Due /8/ Apollo Commercial Real Estate Finance $ 72, $ 73, $ 1, % Due /8/ Synchronoss Technologies $ 58, $ 55, $ (2,844.50) 0.750% Due /8/ Akamai Technologies Inc. $ 84, $ 81, $ (2,710.65) 0.000% Due /8/ Zillow Inc. 144A $ 100, $ 100, $ (218.27) 2.000% Due /8/ Synchronoss Technologies $ 37, $ 35, $ (1,789.03) 0.750% Due /9/ Apollo Commercial Real Estate Finance $ 25, $ 26, $ % Due /9/ Zillow Inc. 144A $ 35, $ 34, $ (420.02) 2.000% Due /9/ Microchip Technology Inc. $ 194, $ 266, $ 71, % Due /9/ Synchronoss Technologies $ 76, $ 71, $ (5,495.28) 0.750% Due /10/ Akamai Technologies Inc. $ 89, $ 86, $ (2,853.11) 0.000% Due /10/ Macquarie Infrastructure $ 35, $ 34, $ (680.02) 2.000% Due /10/ General Cable Corporation $ 72, $ 70, $ (1,590.23) 4.500% Due /10/ Ctrip.com Intl LTD 144A $ 50, $ 49, $ (221.45) 1.250% Due /10/ CSG Systems Int'l Inc. 144A $ 15, $ 15, $ % Due /10/ Dish Network Corp 144A $ 88, $ 101, $ 12, % Due /10/ NRG Yield Inc. 144A $ 44, $ 44, $ % Due /10/ Starwood Property Trust $ 35, $ 38, $ 3, % Due /10/ Horizon Pharma INV LTD $ 91, $ 90, $ (1,225.90) 2.500% Due /10/ Dycom Industries Inc. $ 94, $ 96, $ 2, % Due /10/ Zillow Inc. 144A $ 90, $ 90, $ (403.89) 2.000% Due /10/ Cardtronics Inc $ 140, $ 150, $ 9, % Due /13/ Cardtronics Inc $ 55, $ 58, $ 3, % Due

103 2/13/ Akamai Technologies Inc. $ 179, $ 172, $ (6,610.12) 0.000% Due /13/ Live Nation Entertainment $ 37, $ 37, $ % Due /13/ Scorpio Tankers Inc 144A $ 49, $ 47, $ (2,280.15) 2.375% Due /13/ Cheniere Energy Inc. $ 19, $ 16, $ (2,183.99) 4.250% Due /14/ Cardtronics Inc $ 30, $ 32, $ 1, % Due /14/ Liberty Media Corporation $ 181, $ 194, $ 12, % Due /14/ Akamai Technologies Inc. $ 68, $ 66, $ (2,478.32) 0.000% Due /14/ Akamai Technologies Inc. $ 42, $ 40, $ (1,479.68) 0.000% Due /14/ CSG Systems Int'l Inc. 144A $ 52, $ 52, $ % Due /14/ Helix Energy Solutions $ 31, $ 31, $ % Due /14/ Horizon Pharma INV LTD $ 275, $ 271, $ (4,614.52) 2.500% Due /16/ Blackhawk Network Hold 144A $ 40, $ 39, $ (1,111.04) 1.500% Due /16/ Nabors Industries Inc. 144A $ 178, $ 172, $ (6,010.23) 0.750% Due /16/ Blackhawk Network Hold 144A $ 20, $ 19, $ (494.64) 1.500% Due /16/ Blackhawk Network Hold 144A $ 40, $ 39, $ (1,084.68) 1.500% Due /17/ Akamai Technologies Inc. $ 89, $ 85, $ (3,977.24) 0.000% Due /17/ Green Plains Inc. 144A $ 5, $ 5, $ % Due /17/ InterDigital Inc. $ 41, $ 58, $ 16, % Due /17/ Macquarie Infrastructure $ 35, $ 34, $ (676.87) 2.000% Due /17/ Micron Technology Inc. $ 12, $ 15, $ 2, % Due /17/ Micron Technology Inc. $ 25, $ 30, $ 5, % Due /17/ CSG Systems Int'l Inc. 144A $ 46, $ 47, $ % Due /17/ Finisar Corporation $ 63, $ 68, $ 5, % Due /17/ General Cable Corporation $ 7, $ 7, $ (300.79) 4.500% Due /17/ Seacor Holdings Inc. $ 7, $ 8, $ 1, % Due /17/ Nabors Industries Inc. 144A $ 143, $ 137, $ (5,116.61) 0.750% Due /17/ Starwood Property Trust $ 5, $ 5, $ % Due /21/ Ensco Jersey Finance LTD 144A $ 21, $ 21, $ % Due

104 2/21/ InterDigital Inc. $ 36, $ 51, $ 14, % Due /21/ Starwood Property Trust $ 10, $ 11, $ 1, % Due /21/ Cypress Semiconductor Co. 144A $ 15, $ 17, $ 1, % Due /21/ Macquarie Infrastructure $ 55, $ 54, $ (1,235.53) 2.000% Due /21/ Micron Technology Inc. $ 12, $ 15, $ 2, % Due /21/ Akamai Technologies Inc. $ 52, $ 50, $ (2,265.25) 0.000% Due /21/ Akamai Technologies Inc. $ 52, $ 50, $ (2,278.65) 0.000% Due /21/ Amtrust Financial Services $ 17, $ 17, $ (303.71) 2.750% Due /21/ Healthsouth Corp. $ 20, $ 24, $ 3, % Due /21/ Macquarie Infrastructure $ 50, $ 49, $ (1,195.61) 2.000% Due /21/ Nabors Industries Inc. 144A $ 35, $ 34, $ (1,101.52) 0.750% Due /22/ Aeojet Rocketdyne Holding 144A $ 20, $ 20, $ % Due /22/ Macquarie Infrastructure $ 90, $ 88, $ (2,134.28) 2.000% Due /22/ Biomarin Pharmaceutical $ 5, $ 5, $ % Due /22/ Ezcorp Inc. $ 9, $ 9, $ % Due /22/ Rovi Corp. $ 4, $ 4, $ % Due /22/ Electronics for Imaging $ 20, $ 21, $ % Due /22/ Nabors Industries Inc. 144A $ 250, $ 240, $ (9,924.75) 0.750% Due /22/ CTrip.com International LTD. $ 15, $ 16, $ % Due /22/ On Semiconductor Corp $ 10, $ 11, $ % Due /22/ Akamai Technologies Inc. $ 47, $ 45, $ (2,094.12) 0.000% Due /23/ Ensco Jersey Finance LTD 144A $ 10, $ 10, $ % Due /23/ Nabors Industries Inc. 144A $ 51, $ 48, $ (2,362.76) 0.750% Due /23/ Teradyne Inc. 144A $ 10, $ 11, $ % Due /23/ CSG Systems Int'l Inc. 144A $ 15, $ 15, $ % Due /23/ Healthsouth Corp. $ 5, $ 5, $ % Due /23/ InterDigital Inc. $ 99, $ 123, $ 24, % Due /23/ Nice Systems Inc 144A $ 5, $ 5, $ % Due

105 2/23/ Chesapeake Energy Corp 144A $ 101, $ 99, $ (2,403.87) 5.500% Due /23/ MGIC Investment Corp 144A $ 6, $ 6, $ % Due /23/ Liberty Media Corporation 144A $ 5, $ 5, $ % Due /23/ Insulet Corporation 144A $ 5, $ 5, $ % Due /23/ SM Energy Co. $ 92, $ 89, $ (2,459.38) 1.500% Due /23/ Micron Technology Inc. $ 50, $ 60, $ 10, % Due /24/ Microchip Technology Inc. 144A $ 85, $ 86, $ 1, % Due /24/ Micron Technology Inc. $ 41, $ 50, $ 8, % Due /24/ Nabors Industries Inc. 144A $ 71, $ 67, $ (4,042.86) 0.750% Due /24/ Nabors Industries Inc. 144A $ 20, $ 19, $ (1,175.10) 0.750% Due /24/ Nuvasive Inc. 144A $ 36, $ 47, $ 11, % Due /24/ Clovis Oncology Inc. $ 4, $ 6, $ 1, % Due /24/ Micron Technology Inc. $ 75, $ 89, $ 14, % Due /24/ Chesapeake Energy Corp 144A $ 106, $ 105, $ (1,444.87) 5.500% Due /24/ PDC Energy Inc. $ 5, $ 5, $ % Due /24/ SM Energy Co. $ 56, $ 54, $ (1,573.29) 1.500% Due /27/ Citrix Systems Inc 144A $ 5, $ 6, $ % Due /27/ Ironwood Pharmaceuticals $ 5, $ 6, $ 1, % Due /27/ Weatherford Bermuda $ 10, $ 11, $ 1, % Due /27/ Micron Technology Inc. $ 16, $ 20, $ 3, % Due /27/ Micron Technology Inc. $ 50, $ 60, $ 10, % Due /28/ Dish Network Corp 144A $ 67, $ 78, $ 10, % Due /28/ Micron Technology Inc. $ 50, $ 60, $ 9, % Due /28/ Macquarie Infrastructure $ 95, $ 93, $ (2,371.60) 2.000% Due /28/ Akamai Technologies Inc. $ 100, $ 95, $ (4,919.20) 0.000% Due /28/ Microchip Technology Inc. 144A $ 95, $ 96, $ 1, % Due /28/ SM Energy Co. $ 353, $ 340, $ (12,569.87) 1.500% Due /28/ Cardtronics Inc $ 50, $ 52, $ 2, % Due

106 2/28/ Nabors Industries Inc. 144A $ 46, $ 43, $ (2,268.00) 0.750% Due /1/ Akamai Technologies Inc. $ 353, $ 336, $ (17,124.55) 0.000% Due /1/ Nabors Industries Inc. 144A $ 30, $ 29, $ (1,226.14) 0.750% Due /1/ Portfolio Recovery Associates $ 9, $ 9, $ (740.62) 3.000% Due /1/ Macquarie Infrastructure $ 95, $ 92, $ (2,781.24) 2.000% Due /2/ Nabors Industries Inc. 144A $ 46, $ 43, $ (2,355.98) 0.750% Due /2/ Chesapeake Energy Corp 144A $ 106, $ 103, $ (3,460.87) 5.500% Due /3/ Priceline.com Inc. $ 80, $ 105, $ 24, % Due /3/ Nabors Industries Inc. 144A $ 97, $ 91, $ (5,183.69) 0.750% Due /3/ Nuvasive Inc. 144A $ 47, $ 62, $ 14, % Due /3/ Ensco Jersey Finance LTD 144A $ 63, $ 61, $ (1,419.86) 3.000% Due /3/ Macquarie Infrastructure $ 90, $ 88, $ (2,507.78) 2.000% Due /6/ Helix Energy Solutions $ 15, $ 15, $ (307.79) 4.250% Due /6/ Ensco Jersey Finance LTD 144A $ 116, $ 110, $ (5,774.38) 3.000% Due /6/ Nabors Industries Inc. 144A $ 56, $ 52, $ (3,286.54) 0.750% Due /6/ Chesapeake Energy Corp 144A $ 61, $ 58, $ (2,130.10) 5.500% Due /6/ Microchip Technology Inc. $ 389, $ 543, $ 153, % Due /6/ Nuvasive Inc. 144A $ 57, $ 75, $ 17, % Due /7/ Nabors Industries Inc. 144A $ 117, $ 110, $ (6,728.10) 0.750% Due /8/ Ensco Jersey Finance LTD 144A $ 47, $ 43, $ (3,567.21) 3.000% Due /8/ Chesapeake Energy Corp 144A $ 106, $ 99, $ (7,457.48) 5.500% Due /8/ Ensco Jersey Finance LTD 144A $ 58, $ 53, $ (4,966.25) 3.000% Due /8/ Ezcorp Inc. $ 18, $ 18, $ % Due /9/ Helix Energy Solutions $ 17, $ 16, $ (789.18) 4.250% Due /9/ Weatherford Bermuda $ 58, $ 67, $ 9, % Due /9/ Weatherford Bermuda $ 58, $ 68, $ 9, % Due /9/ Ensco Jersey Finance LTD 144A $ 94, $ 84, $ (10,957.54) 3.000% Due /9/ Ensco Jersey Finance LTD 144A $ 94, $ 83, $ (11,928.64) 3.000% Due

107 3/9/ Ironwood Pharmaceuticals $ 55, $ 70, $ 15, % Due /9/ Macquarie Infrastructure $ 50, $ 48, $ (1,444.71) 2.000% Due /9/ Ezcorp Inc. $ 87, $ 88, $ 1, % Due /10/ Helix Energy Solutions $ 3, $ 2, $ (128.88) 4.250% Due /10/ Helix Energy Solutions $ 11, $ 10, $ (493.02) 4.250% Due /10/ Dish Network Corp 144A $ 151, $ 174, $ 22, % Due /10/ Macquarie Infrastructure $ 20, $ 19, $ (577.76) 2.000% Due /13/ Nuance Communications $ 14, $ 14, $ % Due /13/ Cemex SAB DE SUB $ 82, $ 83, $ 1, % Due /13/ Ensco Jersey Finance LTD 144A $ 42, $ 38, $ (4,118.54) 3.000% Due /13/ Micron Technology Inc. $ 12, $ 15, $ 3, % Due /13/ Dish Network Corp 144A $ 192, $ 221, $ 28, % Due /13/ Ensco Jersey Finance LTD 144A $ 63, $ 56, $ (6,321.92) 3.000% Due /13/ PDC Energy Inc. $ 46, $ 46, $ % Due /13/ Nuance Communications $ 14, $ 14, $ % Due /13/ Macquarie Infrastructure $ 35, $ 34, $ (985.75) 2.000% Due /13/ Dish Network Corp 144A $ 31, $ 35, $ 4, % Due /14/ Ensco Jersey Finance LTD 144A $ 26, $ 23, $ (3,362.63) 3.000% Due /14/ Finisar Corporation 144A $ 25, $ 24, $ (1,167.56) 0.500% Due /14/ Nuance Communications $ 107, $ 107, $ (18.95) 1.000% Due /14/ PDC Energy Inc. $ 190, $ 187, $ (2,866.10) 1.125% Due /14/ Nuance Communications $ 51, $ 51, $ (51.14) 1.000% Due /14/ Nuance Communications $ 46, $ 46, $ % Due /14/ Chesapeake Energy Corp 144A $ 106, $ 99, $ (7,255.04) 5.500% Due /14/ Ensco Jersey Finance LTD 144A $ 36, $ 32, $ (4,629.08) 3.000% Due /14/ Helix Energy Solutions $ 93, $ 87, $ (6,004.02) 4.250% Due /14/ Emerald Oil Inc. 144A $ 20, $ 19, $ (481.21) 2.000% Due /14/ Nuance Communications $ 89, $ 89, $ % Due

108 3/15/ Ensco Jersey Finance LTD 144A $ 47, $ 42, $ (5,353.44) 3.000% Due /15/ Nuance Communications $ 135, $ 135, $ (4.76) 1.000% Due /15/ Ensco Jersey Finance LTD 144A $ 36, $ 32, $ (4,431.89) 3.000% Due /15/ Emerald Oil Inc. 144A $ 20, $ 19, $ (421.07) 2.000% Due /15/ Ensco Jersey Finance LTD 144A $ 36, $ 32, $ (4,333.71) 3.000% Due /16/ Ensco Jersey Finance LTD 144A $ 105, $ 94, $ (11,229.54) 3.000% Due /16/ Rovi Corp. $ 166, $ 168, $ 2, % Due /17/ Emerald Oil Inc. 144A $ 35, $ 34, $ (201.16) 2.000% Due /20/ Emerald Oil Inc. 144A $ 15, $ 14, $ (102.19) 2.000% Due /20/ Chesapeake Energy Corp 144A $ 50, $ 48, $ (2,898.43) 5.500% Due /20/ PDC Energy Inc. $ 46, $ 46, $ % Due /21/ Chesapeake Energy Corp 144A $ 56, $ 52, $ (3,722.82) 5.500% Due /21/ Microchip Technology Inc. 144A $ 65, $ 64, $ (532.94) 1.625% Due /21/ PDC Energy Inc. $ 51, $ 51, $ (256.02) 1.125% Due /21/ Horizon Pharma INV LTD $ 197, $ 183, $ (13,994.67) 2.500% Due /21/ Teva Pharmaceutical CV PFD $ 131, $ 116, $ (14,480.34) 3/21/ Micron Technology Inc. $ 33, $ 41, $ 8, % Due /21/ Micron Technology Inc. $ 33, $ 41, $ 8, % Due /22/ Chesapeake Energy Corp 144A $ 40, $ 37, $ (3,143.19) 5.500% Due /22/ CSG Systems Int'l Inc. 144A $ 15, $ 15, $ (294.67) 4.250% Due /22/ Teva Pharmaceutical CV PFD $ 65, $ 58, $ (7,427.56) 3/22/ Micron Technology Inc. $ 79, $ 99, $ 20, % Due /22/ Microchip Technology Inc. 144A $ 95, $ 95, $ (101.94) 1.625% Due /23/ Helix Energy Solutions $ 41, $ 38, $ (3,218.45) 4.250% Due /23/ CSG Systems Int'l Inc. 144A $ 62, $ 61, $ (971.70) 4.250% Due /23/ Proofpoint Inc. $ 62, $ 74, $ 11, % Due /23/ Helix Energy Solutions $ 31, $ 28, $ (2,458.84) 4.250% Due /23/ Teva Pharmaceutical CV PFD $ 131, $ 117, $ (13,883.95) 3/24/ Chesapeake Energy Corp 144A $ 64, $ 59, $ (4,185.13) 5.500% Due /24/ Finisar Corporation $ 5, $ 5, $ (81.88)

109 0.500% Due /24/ PDC Energy Inc. $ 46, $ 45, $ (726.27) 1.125% Due /27/ Green Plains Inc. 144A $ 88, $ 89, $ 1, % Due /27/ Helix Energy Solutions $ 20, $ 19, $ (1,709.23) 4.250% Due /27/ Helix Energy Solutions $ 46, $ 42, $ (3,902.01) 4.250% Due /27/ Rovi Corp. $ 52, $ 53, $ % Due /27/ PDC Energy Inc. $ 97, $ 95, $ (2,458.26) 1.125% Due /28/ Helix Energy Solutions $ 46, $ 42, $ (3,789.51) 4.250% Due /28/ Ezcorp Inc. $ 13, $ 13, $ % Due /28/ Rovi Corp. $ 52, $ 53, $ % Due /28/ Envestnet Inc. $ 49, $ 46, $ (2,972.23) 1.750% Due /28/ Emerald Oil Inc. 144A $ 5, $ 4, $ (174.64) 2.000% Due /28/ Ezcorp Inc. $ 13, $ 13, $ % Due /29/ Emerald Oil Inc. 144A $ 25, $ 24, $ (904.53) 2.000% Due /29/ Rovi Corp. $ 37, $ 38, $ % Due /30/ Ezcorp Inc. $ 9, $ 9, $ % Due /30/ Rovi Corp. $ 90, $ 92, $ 1, % Due /30/ Clovis Oncology Inc. $ 58, $ 76, $ 18, % Due /30/ Envestnet Inc. $ 44, $ 41, $ (2,669.65) 1.750% Due /30/ Cypress Semiconductor Co. 144A $ 91, $ 104, $ 13, % Due /30/ J2 Global Communications $ 5, $ 6, $ 1, % Due /30/ Emerald Oil Inc. 144A $ 15, $ 14, $ (711.31) 2.000% Due /30/ Pacira Pharmaceuticals 144A $ 10, $ 10, $ % Due /30/ Rovi Corp. $ 9, $ 9, $ % Due /30/ Ezcorp Inc. $ 18, $ 18, $ % Due /31/ Nuvasive Inc. $ 68, $ 88, $ 20, % Due /31/ Ezcorp Inc. $ 9, $ 9, $ % Due /31/ Envestnet Inc. $ 59, $ 55, $ (3,335.38) 1.750% Due /31/ Microchip Technology Inc. 144A $ 30, $ 30, $ 57.93

110 1.625% Due /31/ CSG Systems Int'l Inc. 144A $ 36, $ 36, $ (164.04) 4.250% Due /31/ Emerald Oil Inc. 144A $ 55, $ 52, $ (2,524.14) 2.000% Due /31/ Proofpoint Inc. $ 48, $ 56, $ 8, % Due /31/ Finisar Corporation 144A $ 65, $ 63, $ (2,323.19) 0.500% Due /3/ Acorda Therapeutics Inc. $ 124, $ 108, $ (15,600.65) 1.750% Due /3/ Micron Technology Inc. $ 16, $ 22, $ 5, % Due /3/ Microchip Technology Inc. 144A $ 45, $ 45, $ (66.60) 1.625% Due /3/ Finisar Corporation 144A $ 45, $ 43, $ (1,709.16) 0.500% Due /4/ Finisar Corporation 144A $ 40, $ 38, $ (1,877.78) 0.500% Due /4/ Acorda Therapeutics Inc. $ 46, $ 40, $ (5,966.07) 1.750% Due /4/ Microchip Technology Inc. 144A $ 50, $ 50, $ % Due /4/ Ezcorp Inc. $ 22, $ 23, $ % Due /4/ Micron Technology Inc. $ 50, $ 66, $ 16, % Due /5/ Finisar Corporation $ 103, $ 97, $ (6,379.98) 0.500% Due /5/ Micron Technology Inc. $ 37, $ 49, $ 11, % Due /5/ Finisar Corporation $ 103, $ 97, $ (6,603.81) 0.500% Due /5/ Finisar Corporation 144A $ 30, $ 28, $ (1,614.58) 0.500% Due /5/ Microchip Technology Inc. 144A $ 45, $ 45, $ % Due /5/ Finisar Corporation 144A $ 70, $ 66, $ (4,642.08) 0.500% Due /5/ Acorda Therapeutics Inc. $ 27, $ 24, $ (3,449.14) 1.750% Due /6/ Clovis Oncology Inc. $ 92, $ 115, $ 22, % Due /6/ Micron Technology Inc. $ 41, $ 55, $ 13, % Due /6/ Biomarin Pharmaceutical $ 52, $ 50, $ (1,563.65) 0.750% Due /6/ Microchip Technology Inc. 144A $ 55, $ 55, $ % Due /6/ Ironwood Pharmaceuticals $ 95, $ 115, $ 19, % Due /6/ Sanchez Energy Corp CV PFD $ 6, $ 6, /7/ Clovis Oncology Inc. $ 29, $ 35, $ 6, % Due /7/ Liberty Interactive LLC 144A $ 41, $ 45, $ 4, % Due

111 4/7/ Finisar Corporation $ 57, $ 53, $ (3,741.18) 0.500% Due /7/ Finisar Corporation 144A $ 50, $ 47, $ (3,286.67) 0.500% Due /7/ Microchip Technology Inc. 144A $ 40, $ 40, $ % Due /7/ Portfolio Recovery Associates $ 24, $ 22, $ (2,414.05) 3.000% Due /7/ CSG Systems Int'l Inc. 144A $ 10, $ 10, $ (144.95) 4.250% Due /7/ CSG Systems Int'l Inc. 144A $ 62, $ 61, $ (728.70) 4.250% Due /7/ Dish Network Corp 144A $ 31, $ 35, $ 4, % Due /7/ Biomarin Pharmaceutical $ 57, $ 56, $ (1,483.69) 0.750% Due /7/ Acorda Therapeutics Inc. $ 32, $ 27, $ (4,874.92) 1.750% Due /7/ Acorda Therapeutics Inc. $ 18, $ 15, $ (2,699.43) 1.750% Due /7/ Cardtronics Inc $ 45, $ 47, $ 2, % Due /10/ Microchip Technology Inc. 144A $ 45, $ 45, $ % Due /10/ Finisar Corporation 144A $ 40, $ 37, $ (2,618.30) 0.500% Due /10/ Proofpoint Inc. $ 91, $ 106, $ 15, % Due /10/ Micron Technology Inc. $ 29, $ 37, $ 8, % Due /10/ Finisar Corporation $ 34, $ 32, $ (2,244.50) 0.500% Due /11/ Ironwood Pharmaceuticals $ 40, $ 47, $ 7, % Due /11/ Clovis Oncology Inc. $ 58, $ 70, $ 12, % Due /11/ On Semiconductor Corp $ 190, $ 195, $ 4, % Due /11/ Proofpoint Inc. $ 88, $ 103, $ 14, % Due /11/ Finisar Corporation 144A $ 106, $ 98, $ (7,799.23) 0.500% Due /11/ Micron Technology Inc. $ 41, $ 53, $ 11, % Due /11/ Microchip Technology Inc. 144A $ 45, $ 44, $ (397.71) 1.625% Due /11/ Micron Technology Inc. $ 41, $ 53, $ 11, % Due /11/ Spectranetics Corp. $ 4, $ 5, $ 1, % Due /12/ Clovis Oncology Inc. $ 48, $ 58, $ 10, % Due /12/ J2 Global Communications $ 58, $ 72, $ 14, % Due /12/ InterDigital Inc. $ 52, $ 64, $ 11, % Due

112 4/12/ Spectranetics Corp. $ 13, $ 16, $ 3, % Due /12/ Micron Technology Inc. $ 46, $ 58, $ 12, % Due /12/ Microchip Technology Inc. 144A $ 60, $ 59, $ (784.62) 1.625% Due /12/ Ironwood Pharmaceuticals $ 60, $ 70, $ 10, % Due /12/ Priceline.com Inc. $ 167, $ 218, $ 51, % Due /12/ Nuvasive Inc. $ 57, $ 72, $ 14, % Due /12/ Belden Inc CV PFD $ 80, $ 74, $ (6,329.56) 4/12/ General Cable Corporation $ 37, $ 37, $ (197.52) 4.500% Due /13/ Cardtronics Inc $ 95, $ 98, $ 3, % Due /13/ Portfolio Recovery Associates $ 19, $ 17, $ (1,943.74) 3.000% Due /13/ Liberty Interactive LLC 144A $ 5, $ 5, $ % Due /18/ Finisar Corporation 144A $ 5, $ 4, $ (372.45) 0.500% Due /19/ Finisar Corporation $ 305, $ 274, $ (31,635.61) 0.500% Due /19/ PDC Energy Inc. $ 46, $ 44, $ (1,500.90) 1.125% Due /19/ Scorpio Tankers Inc 144A $ 9, $ 8, $ (64.27) 2.375% Due /19/ Cemex SAB DE SUB $ 32, $ 33, $ % Due /19/ CTrip.com International LTD. $ 41, $ 43, $ 1, % Due /20/ Nevro Corp $ 92, $ 99, $ 6, % Due /20/ PDC Energy Inc. $ 21, $ 20, $ (906.20) 1.125% Due /20/ PDC Energy Inc. $ 30, $ 29, $ (1,121.95) 1.125% Due /20/ Dish Network Corp 144A $ 31, $ 35, $ 3, % Due /20/ Sanchez Energy Corp CV PFD $ 40, $ 29, $ (10,988.31) 4/20/ Proofpoint Inc. $ 91, $ 105, $ 14, % Due /20/ Sanchez Energy Corp CV PFD $ 36, $ 26, $ (9,767.38) 4/20/ General Cable Corporation $ 75, $ 76, $ % Due /20/ Emerald Oil Inc. 144A $ 10, $ 9, $ (416.79) 2.000% Due /20/ Portfolio Recovery Associates $ 54, $ 49, $ (4,857.17) 3.000% Due /20/ Encore Capital Group Inc. $ 25, $ 24, $ (1,217.12) 3.000% Due /20/ Integrated Device Tech $ 33, $ 32, $ (1,512.56) 0.875% Due /20/ Integrated Device Tech $ 28, $ 27, $ (1,117.08)

113 0.875% Due /20/ Allergan PLC 5.5% CV PFD $ 2, $ 2, $ /21/ Belden Inc CV PFD $ 101, $ 95, $ (5,850.80) 4/21/ Green Plains Inc. 144A $ 25, $ 26, $ % Due /21/ Weatherford Bermuda $ 19, $ 21, $ 1, % Due /21/ WPX Energy Inc. CV PFD $ 54, $ 54, $ /24/ Helix Energy Solutions $ 61, $ 55, $ (5,779.72) 4.250% Due /24/ Portfolio Recovery Associates $ 4, $ 4, $ (426.56) 3.000% Due /25/ Aegean Marine Petroleum 144A $ 30, $ 31, $ 1, % Due /25/ Weatherford Bermuda $ 42, $ 47, $ 4, % Due /25/ Cardtronics Inc $ 90, $ 93, $ 3, % Due /26/ Portfolio Recovery Associates $ 14, $ 13, $ (1,242.18) 3.000% Due /27/ Knowles Corp 144A $ 45, $ 54, $ 8, % Due /27/ Cardtronics Inc $ 60, $ 63, $ 2, % Due /27/ Ensco Jersey Finance LTD 144A $ 63, $ 55, $ (7,968.92) 3.000% Due /27/ Teradyne Inc. 144A $ 31, $ 38, $ 7, % Due /27/ Weatherford Bermuda $ 101, $ 110, $ 9, % Due /27/ Acorda Therapeutics Inc. $ 87, $ 73, $ (13,637.39) 1.750% Due /28/ Inphi Corp 144A $ 35, $ 35, $ % Due /1/ Starwood Property Trust $ 85, $ 92, $ 7, % Due /1/ Ensco Jersey Finance LTD 144A $ 36, $ 31, $ (4,977.85) 3.000% Due /1/ Ensco Jersey Finance LTD 144A $ 15, $ 13, $ (2,140.43) 3.000% Due /1/ Blackstone Mortgage Trust $ 46, $ 51, $ 4, % Due /2/ Integrated Device Tech $ 142, $ 136, $ (6,266.20) 0.875% Due /2/ Cypress Semiconductor Co. 144A $ 64, $ 72, $ 7, % Due /2/ CSG Systems Int'l Inc. 144A $ 50, $ 50, $ (12.96) 4.250% Due /2/ Ensco Jersey Finance LTD 144A $ 105, $ 89, $ (16,069.64) 3.000% Due /2/ Portfolio Recovery Associates $ 4, $ 4, $ (376.56) 3.000% Due /2/ Microchip Technology Inc. 144A $ 85, $ 87, $ 1, % Due /2/ Ensco Jersey Finance LTD 144A $ 52, $ 45, $ (7,316.82) 3.000% Due

114 5/2/ Inphi Corp 144A $ 96, $ 96, $ % Due /3/ Inphi Corp 144A $ 48, $ 45, $ (3,093.55) 0.750% Due /3/ Weatherford Bermuda $ 53, $ 56, $ 3, % Due /3/ Mandatory Exch Trust CV PFD $ 48, $ 56, $ 7, /3/ General Cable Corporation $ 26, $ 27, $ % Due /3/ WPX Energy Inc. CV PFD $ 54, $ 53, $ (979.11) 5/3/ Bunge Limited 4.875% CV PFD $ 18, $ 19, $ 1, /3/ Bunge Limited 4.875% CV PFD $ 37, $ 39, $ 2, /3/ Bunge Limited 4.875% CV PFD $ 55, $ 59, $ 3, /3/ Inphi Corp 144A $ 57, $ 54, $ (3,709.96) 0.750% Due /3/ InterDigital Inc. $ 57, $ 70, $ 12, % Due /3/ Microchip Technology Inc. 144A $ 70, $ 71, $ % Due /3/ Veeco Instruments Inc. $ 35, $ 38, $ 3, % Due /3/ Flexion Therapeutics Inc 144A $ 200, $ 206, $ 6, % Due /3/ Ensco Jersey Finance LTD 144A $ 52, $ 44, $ (7,965.42) 3.000% Due /3/ Inphi Corp 144A $ 97, $ 92, $ (5,131.48) 0.750% Due /3/ Priceline Group Inc. $ 37, $ 40, $ 2, % Due /3/ Tesla Motors Inc. $ 97, $ 106, $ 9, % Due /3/ Blackstone Mortgage Trust $ 108, $ 117, $ 9, % Due /4/ Inphi Corp 144A $ 116, $ 110, $ (6,209.76) 0.750% Due /4/ Emerald Oil Inc. 144A $ 145, $ 137, $ (7,921.14) 2.000% Due /4/ Priceline Group Inc. $ 48, $ 51, $ 3, % Due /4/ Electronics for Imaging $ 46, $ 48, $ 1, % Due /4/ Veeco Instruments Inc. $ 40, $ 44, $ 3, % Due /4/ Weatherford Bermuda $ 101, $ 105, $ 4, % Due /4/ WPX Energy Inc. CV PFD $ 170, $ 159, $ (10,964.03) 5/4/ Blackstone Mortgage Trust $ 118, $ 128, $ 9, % Due /4/ Micron Technology Inc. $ 37, $ 48, $ 11, % Due /4/ Silver Standard Resource $ 5, $ 4, $ (442.12) 2.875% Due /5/ J2 Global Communications $ 58, $ 78, $ 19, % Due /8/ Priceline Group Inc. $ 54, $ 57, $ 3, % Due

115 5/8/ Nevro Corp $ 103, $ 110, $ 6, % Due /10/ Rovi Corp. $ 114, $ 115, $ % Due /10/ Healthsouth Corp. $ 41, $ 53, $ 11, % Due /10/ Nevro Corp $ 54, $ 54, $ % Due /11/ Healthsouth Corp. $ 51, $ 66, $ 14, % Due /12/ Healthsouth Corp. $ 82, $ 106, $ 23, % Due /15/ Nevro Corp $ 65, $ 64, $ (1,101.32) 1.750% Due /15/ Inphi Corp 144A $ 101, $ 99, $ (1,908.29) 0.750% Due /15/ World Wrestling Entertainment 144A $ 47, $ 46, $ (770.13) 3.375% Due /15/ Healthsouth Corp. $ 82, $ 105, $ 23, % Due /16/ World Wrestling Entertainment 144A $ 89, $ 87, $ (1,914.61) 3.375% Due /16/ Amtrust Financial Services $ 224, $ 152, $ (71,608.88) 2.750% Due /16/ Healthsouth Corp. $ 51, $ 64, $ 13, % Due /17/ Inphi Corp 144A $ 126, $ 122, $ (4,303.86) 0.750% Due /17/ Finisar Corporation $ 63, $ 58, $ (4,737.40) 0.500% Due /17/ World Wrestling Entertainment 144A $ 138, $ 135, $ (3,923.19) 3.375% Due /18/ Amtrust Financial Services $ 152, $ 107, $ (44,869.04) 2.750% Due /18/ Nuvasive Inc. $ 194, $ 241, $ 46, % Due /18/ Cypress Semiconductor Co. 144A $ 225, $ 248, $ 23, % Due /18/ InterDigital Inc. $ 131, $ 154, $ 23, % Due /18/ Tutor Perini Corp 144A $ 193, $ 207, $ 13, % Due /18/ Cardtronics Inc $ 30, $ 28, $ (1,359.15) 1.000% Due /18/ Cardtronics Inc $ 65, $ 62, $ (2,938.38) 1.000% Due /18/ Biomarin Pharmaceutical $ 202, $ 196, $ (6,370.87) 0.750% Due /18/ Weatherford Bermuda $ 170, $ 179, $ 9, % Due /18/ World Wrestling Entertainment 144A $ 42, $ 41, $ (894.52) 3.375% Due /18/ Vector Group LTD. $ 218, $ 220, $ 1, % Due /19/ Priceline Group Inc. $ 311, $ 324, $ 13, % Due

116 5/19/ Nuance Communications $ 180, $ 188, $ 8, % Due /19/ Cardtronics Inc $ 60, $ 57, $ (2,493.29) 1.000% Due /19/ Blackhawk Network Hold 144A $ 287, $ 311, $ 23, % Due /19/ Encore Capital Group Inc. $ 150, $ 154, $ 4, % Due /19/ World Wrestling Entertainment 144A $ 23, $ 22, $ (431.15) 3.375% Due /22/ Tesla Motors Inc. $ 339, $ 366, $ 27, % Due /22/ Teradyne Inc. 144A $ 182, $ 218, $ 36, % Due /22/ Electronics for Imaging $ 277, $ 288, $ 11, % Due /22/ Insulet Corporation 144A $ 210, $ 209, $ (1,126.18) 1.250% Due /22/ Veeco Instruments Inc. $ 140, $ 149, $ 8, % Due /23/ Golar LNG LTD 144A $ 65, $ 65, $ % Due /23/ Liberty Media Corporation $ 64, $ 72, $ 7, % Due /23/ Liberty Media Corporation 144A $ 237, $ 241, $ 4, % Due /23/ Dycom Industries Inc. $ 73, $ 85, $ 11, % Due /23/ Wright Medical Group Inc. $ 248, $ 260, $ 12, % Due /23/ Knowles Corp $ 116, $ 137, $ 21, % Due /23/ Cardtronics Inc $ 53, $ 50, $ (2,666.16) 1.000% Due /23/ Micron Technology Inc. $ 236, $ 306, $ 69, % Due /23/ Hercules Capital Inc. 144A $ 85, $ 86, $ 1, % Due /23/ OSI Systems Inc. 144A $ 179, $ 178, $ (1,458.22) 1.250% Due /23/ Greenbrier Cos. 144A $ 140, $ 142, $ 2, % Due /24/ Aegean Marine Petroleum 144A $ 30, $ 23, $ (6,146.87) 4.250% Due /24/ Aegean Marine Petroleum 144A $ 20, $ 16, $ (3,695.93) 4.250% Due /24/ Live Nation Entertainment $ 233, $ 242, $ 9, % Due /24/ InterDigital Inc. $ 31, $ 37, $ 6, % Due /24/ Cemex SAB DE SUB $ 241, $ 245, $ 4, % Due /24/ Scorpio Tankers Inc 144A $ 112, $ 111, $ (1,115.91) 2.375% Due /24/ Teradyne Inc. 144A $ 31, $ 37, $ 6, % Due

117 5/24/ Silver Standard Resource $ 109, $ 101, $ (7,910.32) 2.875% Due /25/ Aegean Marine Petroleum 144A $ 40, $ 30, $ (9,246.58) 4.250% Due /25/ Cypress Semiconductor Co. 144A $ 75, $ 86, $ 11, % Due /25/ Encore Capital Group Inc. $ 40, $ 41, $ 1, % Due /25/ OSI Systems Inc. 144A $ 35, $ 35, $ % Due /25/ Knowles Corp $ 30, $ 35, $ 5, % Due /25/ Live Nation Entertainment $ 5, $ 5, $ % Due /25/ Acorda Therapeutics Inc. $ 87, $ 74, $ (13,458.41) 1.750% Due /25/ Ensco Jersey Finance LTD 144A $ 84, $ 69, $ (14,427.31) 3.000% Due /25/ Job Inc. $ 102, $ 109, $ 6, % Due /25/ Insulet Corporation 144A $ 60, $ 60, $ (233.30) 1.250% Due /25/ Square Inc. 144A $ 308, $ 353, $ 45, % Due /25/ Stericycle Inc. 5.25% CV PFD $ 119, $ 114, $ (5,686.52) 5/25/ Portfolio Recovery Associates $ 34, $ 33, $ (1,637.68) 3.000% Due /25/ Electronics for Imaging $ 67, $ 69, $ 2, % Due /26/ Portfolio Recovery Associates $ 9, $ 9, $ (403.12) 3.000% Due /26/ Scorpio Tankers Inc 144A $ 13, $ 13, $ (246.41) 2.375% Due /26/ Theravance Inc. $ 175, $ 171, $ (3,276.66) 2.125% Due /26/ Acorda Therapeutics Inc. $ 9, $ 7, $ (1,462.24) 1.750% Due /30/ Sanchez Energy Corp CV PFD $ 90, $ 55, $ (34,919.67) 5/30/ Envestnet Inc. $ 68, $ 67, $ (1,740.59) 1.750% Due /30/ Encore Capital Group Inc. $ 30, $ 30, $ % Due /30/ Portfolio Recovery Associates $ 49, $ 47, $ (2,015.61) 3.000% Due /30/ Knowles Corp $ 40, $ 47, $ 6, % Due /30/ Neurocrine Biosciences 144A $ 135, $ 131, $ (3,758.94) 2.250% Due /31/ Vipshop Holding LTD $ 150, $ 145, $ (5,140.51) 1.500% Due /31/ CTrip.com International LTD. $ 309, $ 346, $ 37, % Due /31/ Tutor Perini Corp 144A $ 20, $ 22, $ 1, % Due /31/ Acorda Therapeutics Inc. $ 124, $ 105, $ (19,503.64) 1.750% Due

118 5/31/ Electronics for Imaging $ 11, $ 11, $ % Due /31/ Theravance Inc. $ 36, $ 36, $ (707.02) 2.125% Due /31/ Healthsouth Corp. $ 144, $ 176, $ 32, % Due /31/ Neurocrine Biosciences 144A $ 55, $ 52, $ (2,011.79) 2.250% Due /31/ Nevro Corp $ 43, $ 41, $ (2,525.14) 1.750% Due /31/ Encore Capital Group Inc. $ 27, $ 27, $ (61.72) 3.000% Due /31/ Hercules Capital Inc. 144A $ 10, $ 10, $ % Due /1/ Sanchez Energy Corp CV PFD $ 58, $ 36, $ (22,081.21) 6/1/ Colony Financial Inc. $ 31, $ 31, $ % Due /1/ Tutor Perini Corp 144A $ 41, $ 45, $ 3, % Due /1/ Healthsouth Corp. $ 56, $ 70, $ 13, % Due /2/ Tutor Perini Corp 144A $ 20, $ 22, $ 1, % Due /2/ Healthsouth Corp. $ 30, $ 38, $ 7, % Due /5/ Seacor Holdings Inc. $ 58, $ 64, $ 5, % Due /5/ Seacor Holdings Inc. $ 58, $ 64, $ 5, % Due /5/ Healthsouth Corp. $ 41, $ 50, $ 9, % Due /5/ Silver Standard Resource $ 31, $ 28, $ (2,231.83) 2.875% Due /6/ Healthsouth Corp. $ 24, $ 30, $ 5, % Due /6/ Seacor Holdings Inc. $ 19, $ 21, $ 1, % Due /8/ Hercules Capital Inc. 144A $ 20, $ 20, $ % Due /8/ Portfolio Recovery Associates $ 29, $ 28, $ (1,303.11) 3.000% Due /8/ Seacor Holdings Inc. $ 15, $ 16, $ 1, % Due /8/ Weatherford Bermuda $ 90, $ 88, $ (2,094.30) 5.875% Due /8/ Scorpio Tankers Inc 144A $ 13, $ 13, $ (292.85) 2.375% Due /8/ Stericycle Inc. 5.25% CV PFD $ 7, $ 6, $ (790.77) 6/8/ Rexnord Corp New PFD $ 228, $ 220, $ (8,464.79) 6/8/ Stericycle Inc. 5.25% CV PFD $ 52, $ 46, $ (5,638.34) 6/9/ Tesla Motors Inc. $ 107, $ 130, $ 22, % Due /14/ Vipshop Holding LTD $ 82, $ 80, $ (2,843.02) 1.500% Due /14/ Vipshop Holding LTD $ 72, $ 70, $ (2,487.65) 1.500% Due

119 6/14/ Dish Network Corp 144A $ 239, $ 286, $ 46, % Due /15/ Citrix Systems Inc 144A $ 429, $ 461, $ 31, % Due /15/ Portfolio Recovery Associates $ 74, $ 70, $ (3,608.41) 3.000% Due /15/ Silicon Laboratories Inc. 144A $ 421, $ 432, $ 10, % Due /15/ Theravance Inc. $ 46, $ 44, $ (1,914.03) 2.125% Due /15/ CTrip.com International LTD. $ 170, $ 187, $ 17, % Due /15/ InterDigital Inc. $ 134, $ 158, $ 23, % Due /15/ Nice Systems Inc 144A $ 190, $ 205, $ 14, % Due /15/ Inphi Corp 144A $ 111, $ 106, $ (4,646.28) 0.750% Due /15/ Nuance Communications $ 40, $ 42, $ 1, % Due /15/ Microchip Technology Inc. 144A $ 130, $ 142, $ 11, % Due /15/ Teradyne Inc. 144A $ 135, $ 153, $ 18, % Due /15/ Live Nation Entertainment $ 32, $ 35, $ 2, % Due /15/ Cypress Semiconductor Co. 144A $ 177, $ 198, $ 21, % Due /15/ Job Inc. $ 48, $ 51, $ 3, % Due /15/ Neurocrine Biosciences 144A $ 140, $ 134, $ (5,432.42) 2.250% Due /15/ Priceline Group Inc. $ 81, $ 84, $ 2, % Due /15/ Veeco Instruments Inc. $ 40, $ 41, $ 1, % Due /16/ Silicon Laboratories Inc. 144A $ 82, $ 84, $ 1, % Due /16/ Theravance Inc. $ 36, $ 35, $ (1,639.50) 2.125% Due /16/ Electronics for Imaging $ 176, $ 185, $ 9, % Due /16/ InterDigital Inc. $ 83, $ 98, $ 14, % Due /16/ Scorpio Tankers Inc 144A $ 49, $ 49, $ (574.16) 2.375% Due /16/ Weatherford Bermuda $ 209, $ 202, $ (6,666.06) 5.875% Due /16/ Job Inc. $ 5, $ 5, $ % Due /16/ Priceline Group Inc. $ 86, $ 89, $ 3, % Due /16/ Veeco Instruments Inc. $ 90, $ 92, $ 2, % Due /16/ cpus25746u869 $ 126, $ 127, $ ?% Due??????

120 6/19/ Nice Systems Inc 144A $ 30, $ 33, $ 2, % Due /19/ Weatherford Bermuda $ 74, $ 72, $ (1,938.92) 5.875% Due /19/ Scorpio Tankers Inc 144A $ 36, $ 35, $ (395.69) 2.375% Due /19/ Cypress Semiconductor Co. 144A $ 80, $ 89, $ 9, % Due /19/ Seacor Holdings Inc. $ 27, $ 29, $ 1, % Due /20/ Portfolio Recovery Associates $ 166, $ 158, $ (8,242.44) 3.000% Due /20/ Ezcorp Inc. $ 151, $ 157, $ 6, % Due /20/ Cheniere Energy Inc. $ 11, $ 10, $ (1,120.06) 4.250% Due /20/ OSI Systems Inc. 144A $ 45, $ 43, $ (1,697.01) 1.250% Due /20/ Seacor Holdings Inc. $ 3, $ 4, $ % Due /20/ Silver Standard Resource $ 135, $ 125, $ (9,218.87) 2.875% Due /21/ Seacor Holdings Inc. $ 3, $ 4, $ % Due /21/ Cheniere Energy Inc. $ 7, $ 6, $ (682.01) 4.250% Due /21/ Ezcorp Inc. $ 50, $ 52, $ 2, % Due /21/ OSI Systems Inc. 144A $ 50, $ 48, $ (1,996.32) 1.250% Due /22/ Green Plains Inc. 144A $ 90, $ 82, $ (8,137.70) 4.125% Due /22/ Golar LNG LTD 144A $ 75, $ 69, $ (5,997.07) 2.750% Due /23/ Green Plains Inc. 144A $ 26, $ 24, $ (2,230.57) 4.125% Due /23/ Seacor Holdings Inc. $ 11, $ 12, $ % Due /26/ Encore Capital Group Inc. $ 106, $ 113, $ 7, % Due /26/ Spectranetics Corp. $ 232, $ 301, $ 69, % Due /26/ Insulet Corporation 144A $ 110, $ 118, $ 7, % Due /26/ Jazz Investments I LTD $ 188, $ 199, $ 10, % Due /26/ MGIC Investment Corp 144A $ 120, $ 124, $ 3, % Due /26/ J2 Global Communications $ 106, $ 141, $ 35, % Due /26/ Liberty Media Corporation 144A $ 225, $ 252, $ 27, % Due /26/ Pacira Pharmaceuticals 144A $ 135, $ 138, $ 2, % Due /26/ Integrated Device Tech $ 194, $ 193, $ (1,896.87) 0.875% Due

121 6/26/ Anthem Inc. 5.25% CV PFD $ 152, $ 167, $ 15, /26/ Allergan PLC 5.5% CV PFD $ 166, $ 176, $ 9, /26/ Bunge Limited 4.875% CV PFD $ 169, $ 189, $ 20, /27/ Green Plains Inc. 144A $ 26, $ 24, $ (2,191.02) 4.125% Due /27/ Liberty Interactive LLC 144A $ 296, $ 322, $ 26, % Due /27/ On Semiconductor Corp $ 267, $ 274, $ 6, % Due /27/ RTI International Metals $ 35, $ 31, $ (3,444.03) 1.625% Due /27/ Verint Systems Inc $ 198, $ 200, $ 1, % Due /27/ Zillow Inc. 144A $ 135, $ 152, $ 17, % Due /27/ RTI International Metals $ 381, $ 348, $ (32,861.71) 1.625% Due /27/ Cheniere Energy Inc. $ 11, $ 10, $ (985.51) 4.250% Due /27/ Hercules Capital Inc. 144A $ 70, $ 71, $ 1, % Due /27/ Square Inc. 144A $ 154, $ 186, $ 32, % Due /27/ Silver Standard Resource $ 5, $ 4, $ (293.02) 2.875% Due /28/ On Semiconductor Corp $ 164, $ 168, $ 3, % Due /28/ General Cable Corporation $ 98, $ 97, $ (963.47) 4.500% Due /28/ Spectranetics Corp. $ 72, $ 108, $ 35, % Due /28/ Teradyne Inc. 144A $ 130, $ 146, $ 16, % Due /28/ Spectranetics Corp. $ 72, $ 108, $ 35, % Due /28/ Veeco Instruments Inc. $ 75, $ 77, $ 1, % Due /28/ Silicon Laboratories Inc. 144A $ 66, $ 67, $ % Due /28/ Blackhawk Network Hold 144A $ 87, $ 95, $ 7, % Due /28/ Inphi Corp 144A $ 76, $ 73, $ (2,396.32) 0.750% Due /28/ Spectranetics Corp. $ 72, $ 108, $ 35, % Due /29/ Green Plains Inc. 144A $ 42, $ 39, $ (2,996.51) 4.125% Due /29/ Cheniere Energy Inc. $ 81, $ 74, $ (6,285.68) 4.250% Due /29/ RTI International Metals $ 88, $ 80, $ (7,546.94) 1.625% Due /29/ Silicon Laboratories Inc. 144A $ 30, $ 31, $ % Due /29/ Stericycle Inc. 5.25% CV PFD $ 119, $ 102, $ (16,916.66) 6/30/ Viavi Solutions Inc. 144A $ 185, $ 193, $ 8, % Due

122 6/30/ Inphi Corp 144A $ 31, $ 30, $ (1,326.46) 0.750% Due /30/ J2 Global Communications $ 85, $ 109, $ 24, % Due /30/ Cheniere Energy Inc. $ 6, $ 5, $ (385.61) 4.250% Due /30/ CTrip.com International LTD. $ 41, $ 46, $ 4, % Due /30/ General Cable Corporation $ 30, $ 30, $ % Due /30/ Silicon Laboratories Inc. 144A $ 15, $ 15, $ % Due /30/ Knowles Corp $ 91, $ 105, $ 14, % Due /5/ CTrip.com International LTD. $ 46, $ 51, $ 5, % Due /5/ Teradyne Inc. 144A $ 15, $ 17, $ 1, % Due /5/ Teradyne Inc. 144A $ 41, $ 46, $ 5, % Due /6/ Tesla Motors Inc. $ 57, $ 63, $ 6, % Due /6/ Tesla Motors Inc. $ 57, $ 64, $ 6, % Due /6/ Teradyne Inc. 144A $ 23, $ 26, $ 2, % Due /6/ Liberty Interactive LLC 144A $ 51, $ 56, $ 4, % Due /6/ Tesla Motors Inc. $ 33, $ 37, $ 3, % Due /6/ J2 Global Communications $ 42, $ 53, $ 10, % Due /6/ Vector Group LTD. $ 55, $ 56, $ % Due /6/ Silver Standard Resource $ 5, $ 4, $ (349.27) 2.875% Due /6/ Nuance Communications 144A $ 30, $ 30, $ % Due /7/ J2 Global Communications $ 5, $ 6, $ 1, % Due /7/ Sanchez Energy Corp CV PFD $ 3, $ 3, $ (694.02) 7/10/ Nuance Communications 144A $ 75, $ 75, $ % Due /11/ Golar LNG LTD 144A $ 15, $ 14, $ (825.00) 2.750% Due /12/ Knowles Corp $ 40, $ 46, $ 5, % Due /12/ Ezcorp Inc. 144A $ 60, $ 60, $ % Due /12/ Synaptics Inc. 144A $ 80, $ 82, $ 2, % Due /12/ Vector Group LTD. $ 55, $ 56, $ % Due /13/ Dexcom Inc. 144A $ 68, $ 64, $ (3,411.78) 0.750% Due /13/ Zillow Inc. 144A $ 83, $ 89, $ 6,286.26

123 2.000% Due /13/ Vector Group LTD. $ 55, $ 56, $ % Due /14/ Knowles Corp $ 30, $ 34, $ 4, % Due /19/ Knowles Corp $ 15, $ 17, $ 2, % Due /19/ Apollo Commercial Real Estate Finance $ 92, $ 96, $ 4, % Due /20/ Scorpio Tankers Inc 144A $ 81, $ 80, $ (641.46) 2.375% Due /20/ Nuance Communications 144A $ 70, $ 69, $ (729.05) 1.250% Due /20/ Verint Systems Inc $ 63, $ 62, $ (118.53) 1.500% Due /20/ Knowles Corp $ 111, $ 127, $ 16, % Due /20/ Silver Standard Resource $ 39, $ 37, $ (2,351.23) 2.875% Due /20/ Dycom Industries Inc. $ 22, $ 23, $ % Due /20/ Silver Standard Resource $ 2, $ 1, $ (119.71) 2.875% Due /21/ Verint Systems Inc $ 77, $ 77, $ (233.88) 1.500% Due /21/ Dycom Industries Inc. $ 39, $ 40, $ 1, % Due /24/ WebMD Health Corporation $ 39, $ 39, $ % Due /24/ WebMD Health Corporation $ 73, $ 74, $ 1, % Due /24/ Dycom Industries Inc. $ 27, $ 28, $ % Due /25/ WebMD Health Corporation $ 68, $ 69, $ 1, % Due /25/ Cemex SAB DE SUB $ 27, $ 29, $ 2, % Due /25/ Pacira Pharmaceuticals 144A $ 73, $ 72, $ (1,003.12) 2.375% Due /26/ Spectranetics Corp. $ 79, $ 117, $ 38, % Due /26/ Pacira Pharmaceuticals 144A $ 78, $ 77, $ (1,185.70) 2.375% Due /27/ Sanchez Energy Corp CV PFD $ 178, $ 79, $ (99,672.36) 7/27/ Pacira Pharmaceuticals 144A $ 83, $ 81, $ (2,356.99) 2.375% Due /28/ Micron Technology Inc. $ 33, $ 44, $ 11, % Due /28/ Wells Fargo & Co. Mtn. $ 250, $ 283, $ 33, % Due /28/ Integrated Device Tech $ 63, $ 63, $ % Due /28/ On Semiconductor Corp $ 77, $ 80, $ 3, % Due /28/ Vector Group LTD. $ 72, $ 72, $ % Due

124 7/31/ Intercept Pharmas $ 40, $ 40, $ % Due /31/ Micron Technology Inc. $ 33, $ 43, $ 10, % Due /1/ Intercept Pharmas $ 80, $ 80, $ % Due /1/ Pacira Pharmaceuticals 144A $ 78, $ 75, $ (3,113.80) 2.375% Due /2/ Square Inc. 144A $ 25, $ 33, $ 7, % Due /2/ Job Inc. $ 21, $ 24, $ 3, % Due /2/ Pacira Pharmaceuticals 144A $ 82, $ 78, $ (4,085.52) 2.375% Due /2/ Intercept Pharmas $ 70, $ 69, $ (902.56) 3.250% Due /2/ Micron Technology Inc. $ 41, $ 54, $ 12, % Due /2/ Square Inc. 144A $ 41, $ 52, $ 11, % Due /2/ Synaptics Inc. 144A $ 75, $ 76, $ 1, % Due /2/ Micron Technology Inc. $ 8, $ 10, $ 2, % Due /2/ Nice Systems Inc 144A $ 15, $ 16, $ % Due /2/ Wright Medical Group Inc. $ 52, $ 54, $ 1, % Due /3/ Mandatory Exch Trust CV PFD $ 119, $ 176, $ 56, /3/ Verint Systems Inc $ 63, $ 61, $ (1,054.53) 1.500% Due /3/ Finisar Corporation $ 74, $ 72, $ (1,807.40) 0.500% Due /3/ Dycom Industries Inc. $ 44, $ 45, $ % Due /4/ Integrated Device Tech $ 73, $ 72, $ (1,695.36) 0.875% Due /4/ Ironwood Pharmaceuticals $ 155, $ 185, $ 29, % Due /4/ J2 Global Communications $ 95, $ 115, $ 20, % Due /4/ Finisar Corporation $ 85, $ 81, $ (4,628.86) 0.500% Due /4/ Liberty Expedia Hold Inc. 144A $ 36, $ 37, $ 1, % Due /4/ Viavi Solutions Inc. 144A $ 93, $ 89, $ (3,752.53) 1.000% Due /4/ Dish Network Corp 144A $ 190, $ 219, $ 28, % Due /4/ Mandatory Exch Trust CV PFD $ 47, $ 70, $ 22, /4/ Verint Systems Inc $ 361, $ 355, $ (6,387.06) 1.500% Due /4/ Dycom Industries Inc. $ 33, $ 33, $ % Due /4/ Wells Fargo & Co. Mtn. $ 105, $ 115, $ 10, % Due

125 8/4/ Electronics for Imaging $ 197, $ 180, $ (16,828.74) 0.750% Due /4/ Veeco Instruments Inc. $ 156, $ 144, $ (11,590.42) 2.700% Due /7/ Veeco Instruments Inc. $ 15, $ 14, $ (1,253.27) 2.700% Due /8/ Veeco Instruments Inc. $ 31, $ 28, $ (2,909.08) 2.700% Due /8/ Veeco Instruments Inc. $ 78, $ 70, $ (7,332.71) 2.700% Due /8/ CSG Systems Int'l Inc. 144A $ 26, $ 26, $ (165.72) 4.250% Due /8/ Aeojet Rocketdyne Holding 144A $ 87, $ 104, $ 17, % Due /8/ Finisar Corporation $ 68, $ 66, $ (2,222.89) 0.500% Due /8/ Liberty Expedia Hold Inc. 144A $ 82, $ 84, $ 1, % Due /8/ CSG Systems Int'l Inc. 144A $ 10, $ 10, $ (37.49) 4.250% Due /8/ Veeco Instruments Inc. $ 31, $ 28, $ (2,832.58) 2.700% Due /8/ Liberty Expedia Hold Inc. 144A $ 25, $ 26, $ % Due /8/ Jazz Investments I LTD $ 10, $ 10, $ % Due /8/ Ironwood Pharmaceuticals $ 65, $ 75, $ 10, % Due /8/ Jazz Investments I LTD $ 36, $ 38, $ 1, % Due /8/ Blackhawk Network Hold $ 25, $ 27, $ 1, % Due /8/ Blackhawk Network Hold $ 35, $ 38, $ 2, % Due /9/ Nuvasive Inc. $ 63, $ 73, $ 10, % Due /9/ PRA Group Inc. 144A $ 15, $ 15, $ (41.46) 3.500% Due /9/ Priceline Group Inc. $ 110, $ 115, $ 5, % Due /9/ Nuance Communications 144A $ 205, $ 201, $ (3,067.82) 1.250% Due /9/ Cheniere Energy Inc. $ 53, $ 48, $ (4,487.25) 4.250% Due /9/ Liberty Media Corporation 144A $ 86, $ 93, $ 6, % Due /9/ Priceline Group Inc. $ 38, $ 40, $ 1, % Due /9/ Jazz Investments I LTD $ 57, $ 58, $ % Due /9/ Live Nation Entertainment $ 27, $ 29, $ 1, % Due /9/ Jazz Investments I LTD $ 26, $ 26, $ % Due /9/ Zillow Inc. 144A $ 72, $ 77, $ 4, % Due

126 8/9/ J2 Global Communications $ 31, $ 37, $ 5, % Due /10/ J2 Global Communications $ 69, $ 79, $ 10, % Due /10/ Biomarin Pharmaceutical $ 185, $ 169, $ (15,641.12) 0.750% Due /10/ Mandatory Exch Trust CV PFD $ 167, $ 245, $ 78, /10/ Cheniere Energy Inc. $ 7, $ 6, $ (682.01) 4.250% Due /10/ CTrip.com International LTD. $ 170, $ 189, $ 19, % Due /10/ Wells Fargo & Co. Mtn. $ 85, $ 91, $ 6, % Due /10/ Zillow Inc. 144A $ 83, $ 85, $ 2, % Due /10/ Dish Network Corp 144A $ 182, $ 178, $ (3,771.62) 2.375% Due /10/ Citrix Systems Inc 144A $ 78, $ 80, $ 1, % Due /10/ Veeco Instruments Inc. $ 36, $ 32, $ (4,000.51) 2.700% Due /10/ Stericycle Inc. 5.25% CV PFD $ 27, $ 24, $ (3,089.91) 8/10/ Biomarin Pharmaceutical $ 78, $ 76, $ (2,163.36) 0.599% Due /11/ Dycom Industries Inc. $ 55, $ 55, $ (46.79) 0.750% Due /11/ Cheniere Energy Inc. $ 7, $ 6, $ (682.01) 4.250% Due /11/ Integrated Device Tech $ 168, $ 161, $ (7,128.86) 0.875% Due /14/ CTrip.com International LTD. $ 51, $ 56, $ 4, % Due /17/ Ctrip.com Intl LTD 144A $ 76, $ 78, $ 1, % Due /17/ Cheniere Energy Inc. $ 3, $ 3, $ (316.00) 4.250% Due /18/ Dish Network Corp 144A $ 72, $ 70, $ (1,933.76) 2.375% Due /18/ Wells Fargo & Co. Mtn. $ 40, $ 44, $ 4, % Due /18/ Dish Network Corp 144A $ 83, $ 80, $ (2,368.97) 2.375% Due /18/ Nuance Communications $ 46, $ 44, $ (1,493.12) 1.500% Due /18/ Nuvasive Inc. $ 84, $ 98, $ 13, % Due /18/ Veeco Instruments Inc. $ 57, $ 50, $ (7,192.32) 2.700% Due /21/ Dycom Industries Inc. $ 50, $ 47, $ (2,586.27) 0.750% Due /23/ Dish Network Corp 144A $ 10, $ 10, $ (238.01) 2.375% Due /25/ Biomarin Pharmaceutical $ 86, $ 79, $ (7,304.55) 0.750% Due /25/ Cheniere Energy Inc. $ 3, $ 3, $ (328.50) 4.250% Due

127 8/28/ Nuvasive Inc. $ 79, $ 89, $ 10, % Due /28/ CSG Systems Int'l Inc. 144A $ 32, $ 31, $ (185.75) 4.250% Due /28/ Allergan PLC 5.5% CV PFD $ 25, $ 23, $ (1,238.18) 8/29/ Dish Network Corp 144A $ 124, $ 120, $ (4,596.14) 2.375% Due /29/ Allergan PLC 5.5% CV PFD $ 67, $ 63, $ (3,306.95) 8/30/ Cheniere Energy Inc. $ 3, $ 3, $ (328.50) 4.250% Due /31/ Stericycle Inc. 5.25% CV PFD $ 19, $ 16, $ (2,412.80) 8/31/ Stericycle Inc. 5.25% CV PFD $ 48, $ 42, $ (6,347.42) 9/5/ Amtrust Financial Services $ 13, $ 10, $ (2,877.38) 2.750% Due /5/ Cheniere Energy Inc. $ 3, $ 3, $ (309.75) 4.250% Due /5/ Cheniere Energy Inc. $ 30, $ 27, $ (2,578.03) 4.250% Due /5/ CSG Systems Int'l Inc. 144A $ 16, $ 15, $ (89.38) 4.250% Due /5/ Amtrust Financial Services $ 40, $ 31, $ (8,670.85) 2.750% Due /5/ Amtrust Financial Services $ 13, $ 10, $ (2,890.28) 2.750% Due /5/ Allergan PLC 5.5% CV PFD $ 134, $ 128, $ (6,210.14) 9/6/ Hercules Capital Inc. 144A $ 65, $ 66, $ 1, % Due /6/ Nuvasive Inc. $ 84, $ 95, $ 10, % Due /6/ Dish Network Corp 144A $ 46, $ 45, $ (1,207.40) 2.375% Due /7/ Greenbrier Cos. 144A $ 67, $ 69, $ 1, % Due /7/ Cheniere Energy Inc. $ 3, $ 3, $ (341.00) 4.250% Due /7/ Dish Network Corp 144A $ 41, $ 39, $ (1,668.41) 2.375% Due /7/ Amtrust Financial Services $ 13, $ 10, $ (2,684.03) 2.750% Due /8/ Apollo Commercial Real Estate Finance $ 66, $ 68, $ 2, % Due /8/ Dish Network Corp 144A $ 41, $ 39, $ (1,715.85) 2.375% Due /8/ Zillow Inc. 144A $ 41, $ 42, $ % Due /8/ Greenbrier Cos. 144A $ 46, $ 47, $ % Due /11/ Liberty Media Corporation $ 131, $ 131, $ % Due /12/ Golar LNG LTD 144A $ 35, $ 32, $ (2,842.17) 2.750% Due /12/ Nuvasive Inc. $ 42, $ 47, $ 5, % Due /12/ CSG Systems Int'l Inc. 144A $ 26, $ 26, $ (128.77) 4.250% Due /12/ Greenbrier Cos. 144A $ 88, $ 90, $ 1,904.09

128 2.875% Due /12/ Ironwood Pharmaceuticals $ 75, $ 87, $ 12, % Due /12/ Tutor Perini Corp $ 21, $ 22, $ 1, % Due /13/ Colony Financial Inc. $ 36, $ 36, $ (397.14) 5.000% Due /13/ Colony Financial Inc. $ 72, $ 71, $ (1,056.78) 5.000% Due /13/ Hercules Capital Inc. 144A $ 40, $ 40, $ % Due /13/ Cemex SAB DE SUB $ 43, $ 44, $ % Due /13/ Dish Network Corp 144A $ 83, $ 79, $ (4,198.25) 2.375% Due /13/ Zillow Inc. 144A $ 41, $ 42, $ 1, % Due /13/ Anthem Inc. 5.25% CV PFD $ 38, $ 41, $ 3, /14/ Starwood Property Trust $ 25, $ 25, $ (165.96) 4.375% Due /14/ Job Inc. $ 21, $ 29, $ 7, % Due /14/ Starwood Property Trust $ 137, $ 143, $ 6, % Due /14/ Square Inc. 144A $ 46, $ 62, $ 16, % Due /14/ Liberty Interactive LLC 144A $ 41, $ 49, $ 7, % Due /14/ Radius Health Inc. $ 55, $ 49, $ (5,516.28) 3.000% Due /15/ Hercules Capital Inc. 144A $ 20, $ 20, $ % Due /15/ JDS Uniphase Corporation $ 144, $ 139, $ (5,573.42) 0.625% Due /15/ CSG Systems Int'l Inc. 144A $ 42, $ 42, $ (664.63) 4.250% Due /15/ Square Inc. 144A $ 46, $ 62, $ 16, % Due /15/ Tutor Perini Corp $ 21, $ 22, $ 1, % Due /15/ Cheniere Energy Inc. $ 7, $ 6, $ (657.01) 4.250% Due /15/ Redwood Trust Inc. $ 60, $ 59, $ (499.88) 4.750% Due /15/ Radius Health Inc. $ 20, $ 17, $ (2,244.38) 3.000% Due /15/ Radius Health Inc. $ 80, $ 72, $ (7,830.88) 3.000% Due /18/ Job Inc. $ 32, $ 42, $ 10, % Due /18/ Liberty Interactive LLC 144A $ 83, $ 95, $ 12, % Due /18/ CSG Systems Int'l Inc. 144A $ 21, $ 21, $ (185.27) 4.250% Due /19/ Colony Financial Inc. $ 83, $ 82, $ (927.74) 5.000% Due

129 9/19/ Nuvasive Inc. $ 33, $ 35, $ 2, % Due /19/ Nuvasive Inc. $ 44, $ 47, $ 3, % Due /19/ Cheniere Energy Inc. $ 3, $ 3, $ (328.50) 4.250% Due /19/ Hercules Capital Inc. 144A $ 50, $ 50, $ % Due /19/ Allergan PLC 5.5% CV PFD $ 125, $ 117, $ (8,695.51) 9/19/ Bunge Limited 4.875% CV PFD $ 20, $ 23, $ 2, /20/ Cheniere Energy Inc. $ 3, $ 3, $ (316.00) 4.250% Due /20/ Allergan PLC 5.5% CV PFD $ 141, $ 128, $ (13,782.33) 9/20/ Bunge Limited 4.875% CV PFD $ 83, $ 93, $ 9, /21/ Colony Financial Inc. $ 83, $ 82, $ (1,007.74) 5.000% Due /21/ PRA Group Inc. 144A $ 35, $ 32, $ (3,516.98) 3.500% Due /21/ PRA Group Inc. 144A $ 15, $ 13, $ (1,599.15) 3.500% Due /21/ Redwood Trust Inc. $ 40, $ 39, $ (244.81) 4.750% Due /21/ NRG Yield Inc. 144A $ 34, $ 34, $ % Due /21/ Allergan PLC 5.5% CV PFD $ 134, $ 117, $ (16,409.99) 9/21/ Allergan PLC 5.5% CV PFD $ 67, $ 58, $ (8,777.68) 9/22/ PRA Group Inc. 144A $ 76, $ 66, $ (9,542.63) 3.500% Due /22/ CSG Systems Int'l Inc. 144A $ 48, $ 47, $ (417.63) 4.250% Due /22/ Cheniere Energy Inc. $ 3, $ 3, $ (316.00) 4.250% Due /25/ Priceline Group Inc. $ 60, $ 62, $ 2, % Due /25/ Wright Medical Group Inc. $ 26, $ 26, $ % Due /25/ Amtrust Financial Services $ 8, $ 7, $ (1,564.36) 2.750% Due /25/ JDS Uniphase Corporation $ 161, $ 151, $ (9,824.55) 0.625% Due /25/ Square Inc. 144A $ 35, $ 47, $ 11, % Due /25/ Micron Technology Inc. $ 47, $ 68, $ 20, % Due /25/ Cemex SAB DE SUB $ 43, $ 45, $ 1, % Due /25/ Live Nation Entertainment $ 32, $ 39, $ 6, % Due /25/ Amtrust Financial Services $ 40, $ 33, $ (7,152.10) 2.750% Due /25/ Aeojet Rocketdyne Holding 144A $ 35, $ 50, $ 14, % Due /25/ Liberty Interactive LLC 144A $ 155, $ 176, $ 20, % Due /26/ Amtrust Financial Services $ 4, $ 3, $ (775.93) 2.750% Due

130 9/26/ Wright Medical Group Inc. $ 42, $ 43, $ % Due /26/ Liberty Expedia Hold Inc. 144A $ 72, $ 74, $ 1, % Due /26/ Amtrust Financial Services $ 26, $ 22, $ (4,655.57) 2.750% Due /26/ Dish Network Corp 144A $ 52, $ 49, $ (2,924.96) 2.375% Due /26/ Zillow Inc. 144A $ 67, $ 69, $ 2, % Due /26/ Dexcom Inc. 144A $ 78, $ 75, $ (3,368.75) 0.750% Due /26/ JDS Uniphase Corporation $ 94, $ 88, $ (6,261.90) 0.625% Due /26/ Nuance Communications $ 56, $ 54, $ (1,656.68) 1.500% Due /27/ Dexcom Inc. 144A $ 83, $ 79, $ (3,974.69) 0.750% Due /27/ Wright Medical Group Inc. $ 301, $ 308, $ 6, % Due /27/ JDS Uniphase Corporation $ 89, $ 83, $ (5,228.12) 0.625% Due /27/ Aeojet Rocketdyne Holding 144A $ 30, $ 44, $ 14, % Due /27/ Amtrust Financial Services $ 33, $ 27, $ (5,834.36) 2.750% Due /27/ Bunge Limited 4.875% CV PFD $ 65, $ 73, $ 7, /28/ Aeojet Rocketdyne Holding 144A $ 15, $ 22, $ 6, % Due /28/ Wright Medical Group Inc. $ 89, $ 91, $ 1, % Due /28/ Quidel Corp $ 22, $ 29, $ 7, % Due /28/ Bunge Limited 4.875% CV PFD $ 122, $ 135, $ 12, /29/ PRA Group Inc. 144A $ 55, $ 50, $ (5,642.73) 3.500% Due /29/ Wayfair Inc. 144A $ 80, $ 76, $ (3,796.16) 0.375% Due /2/ Becton Dickinson & Co. CV PFD $ 133, $ 145, $ 11, /2/ Tesla Motors Inc. $ 93, $ 106, $ 13, % Due /2/ Wayfair Inc. 144A $ 121, $ 115, $ (5,262.96) 0.375% Due /2/ Bunge Limited 4.875% CV PFD $ 184, $ 203, $ 19, /3/ Cheniere Energy Inc. $ 3, $ 3, $ (253.50) 4.250% Due /3/ Jazz Investments I LTD $ 193, $ 195, $ 2, % Due /4/ NRG Yield Inc. 144A $ 79, $ 79, $ % Due /4/ Liberty Media Corporation $ 158, $ 160, $ 2, % Due /4/ PRA Group Inc. 144A $ 25, $ 22, $ (2,628.08) 3.500% Due /5/ Starwood Property Trust $ 76, $ 75, $ (287.88) 4.375% Due

131 10/5/ Illumina, Inc. $ 63, $ 63, $ % Due /5/ Colony Financial Inc. $ 83, $ 82, $ (1,147.74) 5.000% Due /5/ NRG Yield Inc. 144A $ 19, $ 19, $ % Due /6/ Colony Financial Inc. $ 83, $ 82, $ (1,143.74) 5.000% Due /6/ AMG Capital Trust II 5.15% CV PFD $ 76, $ 80, $ 3, /6/ Starwood Property Trust $ 162, $ 162, $ (362.14) 4.375% Due /6/ NRG Yield Inc. 144A $ 74, $ 74, $ % Due /9/ Dish Network Corp 144A $ 83, $ 78, $ (4,814.89) 2.375% Due /9/ Green Plains Inc. $ 36, $ 35, $ (886.56) 4.125% Due /9/ Allergan PLC 5.5% CV PFD $ 135, $ 118, $ (17,272.71) 10/9/ On Semiconductor Corp $ 53, $ 60, $ 7, % Due /9/ Aegean Marine Petroleum 144A $ 60, $ 44, $ (15,957.09) 4.250% Due /10/ Aeojet Rocketdyne Holding 144A $ 61, $ 90, $ 28, % Due /10/ Square Inc. 144A $ 51, $ 74, $ 22, % Due /10/ Wayfair Inc. 144A $ 45, $ 42, $ (2,445.07) 0.375% Due /10/ Cemex SAB DE SUB $ 49, $ 49, $ (254.90) 3.720% Due /10/ Cemex SAB DE $ 62, $ 64, $ 1, % Due /11/ Cemex SAB DE $ 356, $ 363, $ 7, % Due /11/ Cemex SAB DE SUB $ 27, $ 26, $ (658.51) 3.720% Due /12/ Aegean Marine Petroleum 144A $ 130, $ 94, $ (36,040.88) 4.250% Due /12/ Blackhawk Network Hold $ 177, $ 172, $ (5,344.08) 1.500% Due /12/ Dish Network Corp 144A $ 260, $ 240, $ (20,169.29) 2.375% Due /12/ Blackhawk Network Hold $ 99, $ 98, $ (588.50) 1.500% Due /12/ Wright Medical Group Inc. $ 5, $ 5, $ % Due /12/ Liberty Interactive LLC 144A $ 529, $ 599, $ 69, % Due /12/ Allergan PLC 5.5% CV PFD $ 204, $ 179, $ (25,085.65) 10/12/ Blackhawk Network Hold $ 506, $ 492, $ (14,012.50) 1.500% Due /13/ Aeojet Rocketdyne Holding 144A $ 51, $ 72, $ 21, % Due /13/ Lendingtree Inc. 144A $ 30, $ 39, $ 8, % Due /13/ Yahoo Inc. $ 79, $ 92, $ 13,629.59

132 0.000% Due /16/ Yahoo Inc. $ 927, $ 1,090, $ 162, % Due /17/ Evolent Health Inc. 144A $ 45, $ 42, $ (2,983.28) 2.000% Due /17/ Aeojet Rocketdyne Holding 144A $ 246, $ 340, $ 94, % Due /17/ Radius Health Inc. $ 20, $ 18, $ (1,058.80) 3.000% Due /18/ Atlas Air Worldwide Hldg $ 35, $ 35, $ % Due /19/ Biomarin Pharmaceutical $ 98, $ 98, $ % Due /19/ Encore Capital Group Inc. $ 278, $ 317, $ 38, % Due /19/ Lendingtree Inc. 144A $ 394, $ 489, $ 94, % Due /19/ Square Inc. 144A $ 405, $ 596, $ 190, % Due /19/ Amag Pharmaceuticals Inc. $ 160, $ 147, $ (12,820.76) 3.250% Due /19/ Ctrip.com Intl LTD 144A $ 209, $ 217, $ 8, % Due /20/ Seacor Holdings Inc. $ 211, $ 244, $ 33, % Due /20/ Herbalife LTD 144A $ 458, $ 460, $ 1, % Due /20/ NRG Yield Inc. 144A $ 165, $ 167, $ 2, % Due /20/ American Tower Corp CV 5.5% PFD $ 420, $ 432, $ 12, /20/ Anthem Inc. 5.25% CV PFD $ 462, $ 495, $ 33, /20/ Insulet Corporation $ 504, $ 611, $ 106, % Due /20/ Jazz Investments I LTD $ 212, $ 211, $ (1,033.80) 1.875% Due /20/ KB Home $ 272, $ 282, $ 9, % Due /20/ Nice Systems Inc 144A $ 330, $ 365, $ 35, % Due /20/ Stanley Black & Decker CV PFD $ 397, $ 459, $ 61, /20/ Realpage Inc. 144A $ 568, $ 630, $ 62, % Due /20/ Neurocrine Biosciences 144A $ 506, $ 535, $ 28, % Due /20/ On Semiconductor Corp $ 942, $ 1,096, $ 154, % Due /20/ Proofpoint Inc. $ 231, $ 275, $ 44, % Due /20/ Palo Alto Networks $ 456, $ 473, $ 17, % Due /20/ Servicenow Inc. 144A $ 1,002, $ 1,080, $ 77, % Due /20/ Vector Group LTD. $ 218, $ 220, $ 2, % Due /23/ Microchip Technology Inc. 144A $ 979, $ 1,192, $ 213, % Due

133 10/23/ Micron Technology Inc. $ 625, $ 1,053, $ 427, % Due /23/ Dycom Industries Inc. $ 64, $ 65, $ % Due /23/ Nextera Energy Inc CV PFD $ 502, $ 528, $ 26, /23/ Radius Health Inc. $ 65, $ 61, $ (3,168.75) 3.000% Due /23/ Priceline Group Inc. $ 795, $ 851, $ 56, % Due /23/ AMG Capital Trust II 5.15% CV PFD $ 264, $ 279, $ 14, /23/ Hannon Armstrong Sustain $ 238, $ 246, $ 7, % Due /23/ RTI International Metals $ 540, $ 514, $ (25,700.39) 1.625% Due /23/ Weatherford Bermuda $ 170, $ 157, $ (13,761.28) 5.875% Due /23/ Electronics for Imaging $ 365, $ 366, $ % Due /23/ Crown Castle Int'l Corp % CV PFD $ 503, $ 529, $ 26, /23/ Live Nation Entertainment $ 636, $ 757, $ 121, % Due /23/ Cypress Semiconductor Co. $ 518, $ 614, $ 95, % Due /23/ Extra Space Storage LP 144A $ 584, $ 594, $ 9, % Due /23/ Ironwood Pharmaceuticals $ 99, $ 113, $ 13, % Due /23/ Dynegy Inc. 7.0% CV PFD $ 202, $ 196, $ (6,365.04) 10/23/ Becton Dickinson & Co. CV PFD $ 618, $ 701, $ 83, /24/ Ezcorp Inc. 144A $ 133, $ 150, $ 16, % Due /24/ Greenbrier Cos. 144A $ 260, $ 292, $ 32, % Due /24/ Illumina, Inc. $ 612, $ 626, $ 14, % Due /24/ Citrix Systems Inc 144A $ 188, $ 206, $ 17, % Due /24/ General Cable Corporation $ 155, $ 199, $ 44, % Due /24/ Liberty Expedia Hold Inc. 144A $ 180, $ 189, $ 8, % Due /24/ Kinder Morgan Inc. 9.75% CV PFD $ 208, $ 179, $ (28,927.59) 10/24/ Biomarin Pharmaceutical $ 307, $ 284, $ (22,719.24) 0.750% Due /24/ Biomarin Pharmaceutical $ 106, $ 98, $ (7,602.06) 1.500% Due /24/ Envestnet Inc. $ 271, $ 294, $ 23, % Due /24/ Job Inc. $ 214, $ 297, $ 83, % Due /24/ Dominion Res Inc. CV PFD $ 321, $ 321, $ (427.72) 10/24/ MGIC Investment Corp 144A $ 405, $ 437, $ 31, % Due /24/ Apollo Commercial Real Estate Finance CV $ 138, $ 143, $ 4, % Due /24/ Blackstone Mortgage Trust $ 278, $ 282, $ 4,203.13

134 4.375% Due /24/ Carbonite Inc. $ 133, $ 134, $ 1, % Due /24/ Colony Financial Inc. $ 47, $ 47, $ (406.95) 5.000% Due /24/ Apollo Commercial Real Estate Finance $ 270, $ 284, $ 14, % Due /24/ Nuance Communications $ 147, $ 141, $ (5,881.03) 1.500% Due /24/ Wright Medical Group Inc. $ 121, $ 123, $ 2, % Due /24/ Liberty Media Corporation $ 211, $ 259, $ 48, % Due /24/ PRA Group Inc. 144A $ 116, $ 104, $ (12,116.40) 3.500% Due /24/ Allscripts Healthcare $ 408, $ 423, $ 14, % Due /24/ Cheniere Energy Inc. $ 219, $ 202, $ (17,052.82) 4.250% Due /24/ Kaman Corp 144A $ 346, $ 363, $ 16, % Due /24/ CSG Systems Int'l Inc. 144A $ 71, $ 71, $ % Due /24/ Integrated Device Tech $ 511, $ 527, $ 15, % Due /24/ Hubspot Inc. 144A $ 445, $ 485, $ 39, % Due /24/ Atlas Air Worldwide Hldg $ 266, $ 268, $ 2, % Due /25/ Sucampo Pharmaceuticals 144A $ 48, $ 43, $ (5,135.80) 3.250% Due /25/ Theravance Inc. $ 41, $ 41, $ (347.43) 2.125% Due /25/ Teladoc Inc. 144A $ 334, $ 335, $ % Due /25/ World Wrestling Entertainment 144A $ 367, $ 374, $ 6, % Due /25/ Oasis Petroleum Inc. $ 31, $ 31, $ % Due /25/ Liberty Media Corporation $ 173, $ 172, $ (1,698.58) 2.250% Due /25/ WPX Energy Inc. CV PFD $ 60, $ 56, $ (4,276.37) 10/26/ istar Inc. 144A $ 120, $ 121, $ 1, % Due /26/ Liberty Media Corporation $ 258, $ 255, $ (2,827.65) 2.250% Due /26/ Redwood Trust Inc. $ 65, $ 64, $ (354.92) 4.750% Due /26/ Nevro Corp $ 375, $ 387, $ 11, % Due /26/ Oasis Petroleum Inc. $ 93, $ 95, $ 1, % Due /26/ Pattern Energy Group Inc. $ 136, $ 133, $ (3,040.71) 4.000% Due /26/ Green Plains Inc. $ 135, $ 127, $ (8,207.20) 4.125% Due

135 10/26/ II VI Inc. 144A $ 488, $ 540, $ 51, % Due /26/ Wright Medical Group Inc. $ 89, $ 91, $ 1, % Due /26/ GoPro Inc. 144A $ 202, $ 191, $ (10,755.62) 3.500% Due /26/ Meritor Inc. 144A $ 168, $ 171, $ 2, % Due /26/ Resource Capital Corp. $ 160, $ 159, $ (400.00) 4.500% Due /26/ Calamp Corp $ 71, $ 75, $ 3, % Due /26/ Wayfair Inc. 144A $ 156, $ 146, $ (10,439.40) 0.375% Due /26/ Teradyne Inc. 144A $ 158, $ 214, $ 56, % Due /26/ Liberty Media Corporation 144A $ 613, $ 709, $ 95, % Due /26/ Quidel Corp $ 187, $ 247, $ 60, % Due /26/ Theravance Inc. $ 304, $ 305, $ % Due /26/ Belden Inc CV PFD $ 487, $ 511, $ 23, /26/ Tesla Motors Inc. $ 781, $ 877, $ 96, % Due /26/ Silicon Laboratories Inc. 144A $ 454, $ 516, $ 62, % Due /26/ Wells Fargo & Co CV PFD $ 466, $ 482, $ 16, /27/ JDS Uniphase Corporation $ 122, $ 114, $ (7,878.47) 0.625% Due /27/ Ionis Pharmaceuticals Inc $ 461, $ 475, $ 13, % Due /27/ Rexnord Corp New PFD $ 362, $ 378, $ 15, /27/ WPX Energy Inc. CV PFD $ 106, $ 105, $ (1,068.07) 10/27/ Colony Starwood Homes 144A $ 686, $ 701, $ 15, % Due /27/ Wells Fargo & Co. Mtn. $ 105, $ 118, $ 13, % Due /27/ Workday Inc. 144A $ 240, $ 240, $ % Due /27/ OSI Systems Inc. 144A $ 450, $ 480, $ 29, % Due /27/ Sucampo Pharmaceuticals 144A $ 53, $ 47, $ (6,208.50) 3.250% Due /27/ Marriott Vacation Worldwide CV 144A $ 241, $ 258, $ 17, % Due /27/ Tutor Perini Corp $ 230, $ 249, $ 19, % Due /27/ Golar LNG LTD 144A $ 125, $ 112, $ (12,812.50) 2.750% Due TOTAL GAINS $ 7,827, TOTAL LOSSES $ (2,257,271.82) $ 108,364, $ 113,935, $ 5,570, ============== ============== ============= ===============================

136 F.M. Kirby Foundation REALIZED GAINS AND LOSSES F.M. KIRBY FOUNDATION, INC. PORTION OF THE ACCOUNT MANAGED BY WALTER SCOTT & PARTNERS From Through Cost Date Quantity Security Basis Proceeds Gain Or Loss 1/10/ Komatsu Ltd ORD $ 41, $ 41, $ /11/ Komatsu Ltd ORD $ 41, $ 41, $ /11/2017 Japanese Yen (JPY) $ 41, $ 41, $ 1/12/ Komatsu Ltd ORD $ 29, $ 29, $ (8.54) 1/12/2017 Japanese Yen (JPY) $ 29, $ 29, $ 1/13/ Komatsu Ltd ORD $ 29, $ 29, $ (20.20) 1/13/2017 Japanese Yen (JPY) $ 29, $ 29, $ 1/16/ Komatsu Ltd ORD $ 29, $ 29, $ /16/2017 Japanese Yen (JPY) $ 29, $ 29, $ (224.71) 3/14/ Grainger, W.W. Inc. $ 26, $ 26, $ /15/ Grainger, W.W. Inc. $ 33, $ 33, $ /16/ Grainger, W.W. Inc. $ 17, $ 17, $ /17/ Grainger, W.W. Inc. $ 24, $ 24, $ /20/ Grainger, W.W. Inc. $ 28, $ 28, $ (134.31) 3/21/ Grainger, W.W. Inc. $ 21, $ 21, $ (316.10) 3/22/ Grainger, W.W. Inc. $ 24, $ 23, $ (370.72) 3/23/ Grainger, W.W. Inc. $ 19, $ 19, $ (165.09) 3/27/ Grainger, W.W. Inc. $ 34, $ 33, $ (1,036.51) 3/28/ Adobe Systems Inc. $ 130, $ 449, $ 319, /28/ Amphenol Corp. $ 99, $ 376, $ 277, /28/ Grainger, W.W. Inc. $ 34, $ 33, $ (614.25) 3/29/ Grainger, W.W. Inc. $ 104, $ 102, $ (1,655.14) 3/31/ CSL Limited ORD $ 149, $ 730, $ 581, /31/2017 Australian Dollars (AUD) $ 730, $ 427, $ (302,997.80) 4/3/ Grainger, W.W. Inc. $ 48, $ 46, $ (2,391.47) 4/4/ Grainger, W.W. Inc. $ 34, $ 32, $ (1,739.36) 4/5/ Grainger, W.W. Inc. $ 85, $ 82, $ (3,677.07) 4/6/ Grainger, W.W. Inc. $ 41, $ 39, $ (2,173.77) 4/7/ Grainger, W.W. Inc. $ 26, $ 25, $ (1,534.03) 4/10/ Syngenta AG ORD $ 14, $ 18, $ 4, /10/2017 Swiss Francs (CHF) $ 18, $ 18, $ (47.35) 4/10/ Grainger, W.W. Inc. $ 87, $ 82, $ (4,823.56) 4/11/ Syngenta AG ORD $ 32, $ 41, $ 9, /11/2017 Swiss Francs (CHF) $ 41, $ 41, $ (210.64) 4/11/ Grainger, W.W. Inc. $ 29, $ 27, $ (1,673.25) 4/12/ Syngenta AG ORD $ 15, $ 19, $ 4, /12/2017 Swiss Francs (CHF) $ 19, $ 19, $ (28.43) 4/13/ Syngenta AG ORD $ 16, $ 21, $ 4, /13/2017 Swiss Francs (CHF) $ 21, $ 21, $ /13/ Grainger, W.W. Inc. $ 34, $ 31, $ (2,774.06) 4/17/ Grainger, W.W. Inc. $ 31, $ 28, $ (2,663.25) 4/18/ Syngenta AG ORD $ 86, $ 113, $ 26, /18/2017 Swiss Francs (CHF) $ 113, $ 114, $ /18/ Grainger, W.W. Inc. $ 56, $ 46, $ (10,068.66)

137 4/19/ Syngenta AG ORD $ 72, $ 95, $ 22, /19/2017 Swiss Francs (CHF) $ 95, $ 95, $ (28.61) 4/19/ Grainger, W.W. Inc. $ 56, $ 44, $ (11,416.40) 4/21/ Syngenta AG ORD $ 31, $ 41, $ 10, /21/2017 Swiss Francs (CHF) $ 41, $ 41, $ /24/ Syngenta AG ORD $ 14, $ 19, $ 4, /24/2017 Swiss Francs (CHF) $ 19, $ 19, $ (16.90) 4/24/ C.R. Bard, Inc. $ 222, $ 851, $ 629, /25/ Syngenta AG ORD $ 25, $ 33, $ 7, /25/2017 Swiss Francs (CHF) $ 33, $ 33, $ /25/ C.R. Bard, Inc. $ 205, $ 786, $ 581, /26/ Syngenta AG ORD $ 6, $ 9, $ 2, /26/2017 Swiss Francs (CHF) $ 9, $ 9, $ 4/26/ C.R. Bard, Inc. $ 122, $ 471, $ 348, /28/2017 Danish Kroners (DKK) $ 36, $ 36, $ (9.95) 4/28/ C.R. Bard, Inc. $ 48, $ 187, $ 138, /1/2017 Danish Kroners (DKK) $ 21, $ 21, $ 5/1/ C.R. Bard, Inc. $ 27, $ 105, $ 78, /2/2017 European Currency (EMU) $ 839, $ 839, $ 5/2/2017 Danish Kroners (DKK) $ 69, $ 69, $ (155.74) 5/3/2017 Danish Kroners (DKK) $ 27, $ 27, $ (61.67) 5/3/2017 Danish Kroners (DKK) $ 9, $ 9, $ (21.33) 5/8/2017 Danish Kroners (DKK) $ 95, $ 94, $ (458.32) 5/9/2017 Danish Kroners (DKK) $ 98, $ 98, $ (12.28) 5/11/2017 Danish Kroners (DKK) $ 72, $ 72, $ /19/ Contra ORD $ 376, $ 502, $ 125, /27/ Alphabet Inc. Class A $ 145, $ 573, $ 427, /27/ Intuitive Surgical, Inc. $ 247, $ 560, $ 313, /27/ Johnson & Johnson $ 183, $ 407, $ 224, /27/ Mastercard Inc. $ 67, $ 357, $ 289, /27/ Oracle Corporation $ 182, $ 438, $ 255, /27/ Taiwan Semiconductor Mfg Company (ADR) $ 232, $ 457, $ 225, /29/ CSL Limited ORD $ 63, $ 352, $ 289, /29/2017 Australian Dollars (AUD) $ 352, $ 203, $ (148,276.27) 6/29/ Nestle SA ORD $ 181, $ 409, $ 228, /29/2017 Swiss Francs (CHF) $ 409, $ 413, $ 4, /29/ Loreal ORD $ 173, $ 388, $ 215, /29/2017 European Currency (EMU) $ 388, $ 394, $ 5, /30/ Keyence Corporation ORD $ 69, $ 363, $ 294, /30/2017 Japanese Yen (JPY) $ 363, $ 363, $ 7/10/ Automatic Data Processing, Inc. $ 192, $ 483, $ 290, /11/ Automatic Data Processing, Inc. $ 38, $ 95, $ 56, /12/ Automatic Data Processing, Inc. $ 23, $ 58, $ 34, /13/ LVMH Moet Hennessy ORD $ 26, $ 38, $ 11, /13/2017 European Currency (EMU) $ 38, $ 38, $ /13/ Automatic Data Processing, Inc. $ 20, $ 49, $ 29, /14/ LVMH Moet Hennessy ORD $ 232, $ 334, $ 102, /14/2017 European Currency (EMU) $ 334, $ 334, $ (759.10) 7/14/ Automatic Data Processing, Inc. $ 14, $ 36, $ 21, /17/ LVMH Moet Hennessy ORD $ 134, $ 195, $ 60, /17/2017 European Currency (EMU) $ 195, $ 195, $ (57.87) 7/17/ Automatic Data Processing, Inc. $ 10, $ 24, $ 14, /11/2017 Canadian Dollar (CAD) $ 55, $ 55, $ /14/2017 Canadian Dollar (CAD) $ 163, $ 163, $ (77.55) 8/25/ Suncor Energy Inc. ORD $ 493, $ 421, $ (72,411.92)

138 8/28/ Hong Kong & China Gas Ltd ORD $ 174, $ 334, $ 159, /28/ Denso Corporation ORD $ 375, $ 458, $ 82, /30/2017 Canadian Dollar (CAD) $ 421, $ 421, $ 8/31/2017 Japanese Yen (JPY) $ 458, $ 458, $ 8/31/2017 Canadian Dollar (CAD) $ 215, $ 215, $ 8/31/ Hong Kong & China Gas Ltd ORD $ 26, $ 50, $ 24, /31/2017 Hong Kong Dollars (HKD) $ 50, $ 50, $ 9/1/2017 Hong Kong Dollars (HKD) $ 10, $ 10, $ (8.75) 9/11/2017 Canadian Dollar (CAD) $ 225, $ 225, $ 9/21/2017 Canadian Dollar (CAD) $ 222, $ 222, $ 10/11/ Suncor Energy Inc. ORD $ 41, $ 39, $ (2,513.36) 10/12/ Suncor Energy Inc. ORD $ 19, $ 17, $ (1,524.03) 10/12/ Suncor Energy Inc. ORD $ 54, $ 50, $ (4,488.72) 10/12/2017 Canadian Dollar (CAD) $ 39, $ 39, $ (6.37) 10/12/2017 Canadian Dollar (CAD) $ 17, $ 17, $ /12/2017 Canadian Dollar (CAD) $ 50, $ 50, $ /13/ Suncor Energy Inc. ORD $ 77, $ 70, $ (6,834.25) 10/13/2017 Canadian Dollar (CAD) $ 70, $ 70, $ 10/16/2017 Canadian Dollar (CAD) $ 50, $ 50, $ /16/ Suncor Energy Inc. ORD $ 54, $ 50, $ (4,498.79) 10/16/2017 Canadian Dollar (CAD) $ 58, $ 58, $ /16/ Suncor Energy Inc. ORD $ 63, $ 58, $ (5,383.57) 10/17/2017 Canadian Dollar (CAD) $ 40, $ 40, $ /17/ Suncor Energy Inc. ORD $ 54, $ 50, $ (4,625.02) 10/17/ Suncor Energy Inc. ORD $ 133, $ 122, $ (11,332.70) 10/17/2017 Canadian Dollar (CAD) $ 50, $ 50, $ 10/17/2017 Canadian Dollar (CAD) $ 81, $ 81, $ 10/18/2017 Canadian Dollar (CAD) $ 40, $ 40, $ (180.57) 10/18/ Suncor Energy Inc. ORD $ 44, $ 40, $ (3,685.13) 10/18/ Suncor Energy Inc. ORD $ 27, $ 25, $ (2,219.37) 10/18/2017 Canadian Dollar (CAD) $ 25, $ 25, $ 10/19/ Suncor Energy Inc. ORD $ 54, $ 49, $ (4,727.57) 10/19/ Suncor Energy Inc. ORD $ 77, $ 71, $ (6,827.93) 10/20/ Suncor Energy Inc. ORD $ 87, $ 78, $ (8,392.68) 10/21/2017 Canadian Dollar (CAD) $ 49, $ 49, $ /21/2017 Canadian Dollar (CAD) $ 70, $ 71, $ /22/2017 Canadian Dollar (CAD) $ 79, $ 78, $ (567.38) 10/23/ Suncor Energy Inc. ORD $ 42, $ 38, $ (4,112.20) 10/23/2017 Canadian Dollar (CAD) $ 38, $ 38, $ 10/24/ Suncor Energy Inc. ORD $ 71, $ 64, $ (7,297.44) 10/24/ Suncor Energy Inc. ORD $ 109, $ 98, $ (11,255.09) 10/25/ Suncor Energy Inc. ORD $ 126, $ 113, $ (13,558.59) 10/25/2017 Canadian Dollar (CAD) $ 113, $ 113, $ 10/26/2017 Canadian Dollar (CAD) $ 49, $ 49, $ /26/ Suncor Energy Inc. ORD $ 54, $ 49, $ (5,022.80) 10/26/2017 Canadian Dollar (CAD) $ 153, $ 154, $ /26/ Suncor Energy Inc. ORD $ 169, $ 153, $ (15,863.08) 10/27/2017 Canadian Dollar (CAD) $ 42, $ 42, $ (35.17) 10/27/ Suncor Energy Inc. ORD $ 46, $ 42, $ (3,973.88) 10/27/2017 Canadian Dollar (CAD) $ 107, $ 107, $ (88.42) 10/27/ Suncor Energy Inc. ORD $ 117, $ 107, $ (9,968.49) 11/1/ Suncor Energy Inc. ORD $ 164, $ 151, $ (12,950.98) 11/1/ Suncor Energy Inc. ORD $ 66, $ 61, $ (5,520.94) 11/1/2017 Canadian Dollar (CAD) $ 61, $ 61, $ /1/ Suncor Energy Inc. ORD $ 64, $ 60, $ (4,134.05)

139 11/1/2017 Canadian Dollar (CAD) $ 59, $ 60, $ /2/ Suncor Energy Inc. ORD $ 61, $ 56, $ (4,835.72) 11/2/2017 Canadian Dollar (CAD) $ 56, $ 56, $ (39.55) 11/2/2017 Canadian Dollar (CAD) $ 152, $ 151, $ (105.70) 11/2/2017 Swiss Francs (CHF) $ 51, $ 51, $ (117.81) 11/27/ Keyence Corporation ORD $ 43, $ 307, $ 264, /27/2017 Japanese Yen (JPY) $ 307, $ 307, $ 11/27/ Shin Etsu Chemical Co. ORD $ 131, $ 238, $ 107, /27/2017 Japanese Yen (JPY) $ 238, $ 238, $ 11/27/ Denso Corporation ORD $ 126, $ 181, $ 54, /27/2017 Japanese Yen (JPY) $ 181, $ 181, $ 11/27/ Fanuc Ltd ORD $ 174, $ 457, $ 283, /27/2017 Japanese Yen (JPY) $ 457, $ 457, $ 11/28/ Novartis AG ORD $ 186, $ 187, $ /28/2017 Swiss Francs (CHF) $ 187, $ 186, $ (854.81) 11/28/ Roche Holdings AG ORD $ 194, $ 201, $ 7, /28/2017 Swiss Francs (CHF) $ 201, $ 200, $ (918.97) 11/28/ Nestle SA ORD $ 77, $ 175, $ 98, /28/2017 Swiss Francs (CHF) $ 175, $ 174, $ (800.17) 11/28/ Novo Nordisk A/S B ORD $ 291, $ 788, $ 496, /28/2017 Danish Kroners (DKK) $ 788, $ 782, $ (5,579.28) 11/28/ Kone OYJ B ORD $ 90, $ 98, $ 8, /28/2017 European Currency (EMU) $ 98, $ 97, $ (696.35) 11/28/ LVMH Moet Hennessy ORD $ 239, $ 412, $ 173, /28/2017 European Currency (EMU) $ 412, $ 409, $ (2,918.31) 11/28/ Essilor International SA ORD $ 75, $ 156, $ 80, /28/2017 European Currency (EMU) $ 156, $ 155, $ (1,106.11) 11/28/ Inditex ORD $ 56, $ 179, $ 123, /28/2017 European Currency (EMU) $ 179, $ 178, $ (1,272.53) 11/28/ Loreal ORD $ 76, $ 178, $ 101, /28/2017 European Currency (EMU) $ 178, $ 177, $ (1,262.65) 11/28/ Compass Group ORD $ 152, $ 183, $ 31, /28/2017 Pound Sterling (GBP) $ 183, $ 184, $ /28/ Reckitt Benckiser PLC ORD $ 90, $ 148, $ 58, /28/2017 Pound Sterling (GBP) $ 148, $ 149, $ /28/ AIA Group LTD ORD $ 203, $ 399, $ 196, /28/2017 Hong Kong Dollars (HKD) $ 399, $ 399, $ 11/28/ Hong Kong & China Gas Ltd ORD $ 66, $ 132, $ 66, /28/2017 Hong Kong Dollars (HKD) $ 132, $ 132, $ 11/28/ Cnooc Ltd ORD $ 201, $ 226, $ 24, /28/ China Mobile LTD ORD $ 178, $ 174, $ (3,936.41) 11/28/2017 Hong Kong Dollars (HKD) $ 174, $ 174, $ 11/28/ Hennes & Mauritz AB ORD $ 150, $ 119, $ (30,763.99) 11/28/2017 Swedish Kroners (SEK) $ 119, $ 118, $ (1,147.62) 11/28/ Alimentation Couche ORD $ 92, $ 96, $ 4, /28/2017 Canadian Dollar (CAD) $ 96, $ 96, $ 11/28/ Schlumberger Ltd. $ 222, $ 161, $ (61,267.28) 11/28/ Adobe Systems Inc. $ 52, $ 259, $ 207, /28/ Alphabet Inc. Class C $ 48, $ 210, $ 161, /28/ Amphenol Corp. $ 46, $ 227, $ 180, /28/ Automatic Data Processing, Inc. $ 50, $ 133, $ 83, /28/ Cerner Corp $ 155, $ 200, $ 44, /28/ Cisco Systems, Inc. $ 154, $ 210, $ 56, /28/ Cognizant Technology Solutions Corp. $ 191, $ 225, $ 34, /28/ Colgate Palmolive Co. $ 108, $ 181, $ 72,731.65

140 11/28/ The Walt Disney Company $ 178, $ 195, $ 16, /28/ EOG Resources Inc. $ 105, $ 239, $ 134, /28/ Edward Lifesciences Corp $ 132, $ 134, $ 2, /28/ Fastenal Co. $ 78, $ 198, $ 120, /28/ Gilead Sciences Inc. $ 192, $ 137, $ (54,972.00) 11/28/ Intuitive Surgical, Inc. $ 219, $ 644, $ 424, /28/ Johnson & Johnson $ 79, $ 181, $ 102, /28/ Mastercard Inc. $ 34, $ 231, $ 196, /28/ Microsoft Corporation $ 84, $ 245, $ 160, /28/ Nike Inc. Class B $ 45, $ 195, $ 150, /28/ Oracle Corporation $ 80, $ 186, $ 105, /28/ Praxair Inc. $ 152, $ 217, $ 65, /28/ Starbucks Corporation $ 157, $ 168, $ 11, /28/ Stryker Corporation $ 123, $ 232, $ 109, /28/ TJX Companies, Inc. $ 89, $ 179, $ 90, /28/ Taiwan Semiconductor Mfg Company (ADR) $ 89, $ 205, $ 115, /30/ CSL Limited ORD $ 56, $ 190, $ 134, /30/2017 Australian Dollars (AUD) $ 190, $ 191, $ TOTAL GAINS $ 11,802, TOTAL LOSSES $ (909,304.74) $ 26,867, $ 37,760, $ 10,893, ============== ============== ============= ==============================

141 F.M. KIRBY FOUNDATION, INC FEDERAL FOOTNOTES PAGE 4 - PART VII-A: STATEMENTS REGARDING ACTIVITIES QUESTION 6: "THE FOUNDATION HAS TAKEN NO ACTION TO BE EXCLUDED FROM THE APPLICABLE STATE LEGISLATION RELATING TO IRC SECTION 508(E)". CED11L F505 5/7/2018 9:20:14 AM V F PAGE 40

142 Form 990-PF Return of Private Foundation OMB No or Section 4947(a)(1) Trust Treated as Private Foundation Do not enter social security numbers on this form as it may be made public. À¾µ» Department of the Treasury Internal Revenue Service I Go to for instructions and the latest information. Open to Public Inspection For calendar year 2017 or tax year beginning, 2017, and ending, 20 Name of foundation A Employer identification number F.M. KIRBY FOUNDATION, INC Number and street (or P.O. box number if mail is not delivered to street address) Room/suite B Telephone number (see instructions) City or town, state or province, country, and ZIP or foreign postal code C If exemption application is pending, check here m m m m m m m m D 1. Foreign organizations, check here m m 2. Foreign organizations meeting the 85% test, check here and attach MORRISTOWN, NJ G Check all that apply: Initial return Initial return of a former public charity I Final return Amended return Address change Name change computation m m m m m m m m m I H Check type of organization: X Section 501(c)(3) exempt private foundation E If private foundation status was terminated Section 4947(a)(1) nonexempt charitable trust Other taxable private foundation under section 507(b)(1)(A), check here m I I Fair market value of all assets at J Accounting method: Cash X Accrual F If the foundation is in a 60-month termination end of year (from Part II, col. (c), line Other (specify) under section 507(b)(1)(B), check here m I I 16) $ 378,424,352. (Part I, column (d) must be on cash basis.) Part I Analysis of Revenue and Expenses (The (d) Disbursements (a) Revenue and total of amounts in columns (b), (c), and (d) (b) Net investment (c) Adjusted net for charitable expenses per may not necessarily equal the amounts in income income purposes books column (a) (see instructions).) (cash basis only) 1 Contributions, gifts, grants, etc., received (attach schedule) 2 Check if the foundation is not required to I attach Sch. B m m m m m m m m m 3 Interest on savings and temporary cash investments m Revenue Operating and Administrative Expenses 17 DEHART STREET ( 973) Dividends and interest from securities 5a Gross rents m m m m m m m m m m m m m m m m m b Net rental income or (loss) 6a Net gain or (loss) from sale of assets not on line 10 b Gross sales price for all assets on line 6a 7 Capital gain net income (from Part IV, line 2) m 8 Net short-term capital gain 9 Income modifications m m m m m m m m m m m 10 a Gross sales less returns and allowances m m m m b Less: Cost of goods sold m c Gross profit or (loss) (attach schedule) 11 Other income (attach schedule) ATCH 2 12 Total. Add lines 1 through 11 m m m m m m 13 Compensation of officers, directors, trustees, etc. 14 Other employee salaries and wages 15 Pension plans, employee benefits 16 a Legal fees (attach schedule) ATCH m m m 3 b Accounting fees (attach schedule) ATCH m m m 4 c Other professional fees (attach schedule) [5] 17 Interest m m m m m m m m m m m m m m m m m 18 Taxes (attach schedule) (see instructions)m [6] m 19 Depreciation (attach schedule) and depletion 20 Occupancy m m m m m m m m m m m 21 Travel, conferences, and meetings 22 Printing and publications m m m m 23 Other expenses (attach schedule) ATCH m m m m7m m 24 Total operating and administrative expenses. Add lines 13 through 23 m m m m 25 Contributions, gifts, grants paid m m m m m m m 26 Total expenses and disbursements. Add lines 24 and Subtract line 26 from line 12: 452,141,178. a Excess of revenue over expenses and disbursements m m b Net investment income (if negative, enter -0-) c Adjusted net income (if negative, enter -0-) m m 10,032, ,032,180. ATCH 1 42,223, ,223,750. 1,046,151. 1,046, ,302, ,302, , , , , , , , , ,888. 1,999. 1, , , ,250. 1,271,389. 1,268,989. 2, , , , , , ,895. 5,168. 2,584. 2, , , ,159. 2,815,548. 1,787, , ,437, ,250, ,253,048. 1,787, ,771, ,950, ,514,286. JSA For Paperwork Reduction Act Notice, see instructions. Form 990-PF (2017) 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 1 I

143 Form 990-PF (2017) Page 2 Attached schedules and amounts in the Beginning of year End of year Part II Balance Sheets description column should be for end-of-year amounts only. (See instructions.) (a) Book Value (b) Book Value (c) Fair Market Value Assets Liabilities Net Assets or Fund Balances 1 Cash - non-interest-bearing m m m m m m m 2 Savings and temporary cash investments m m m m m m m m m m m 3 Accounts receivable I Less: allowance for doubtful accounts I 4 Pledges receivable I Less: allowance for doubtful accounts I 5 Grants receivable m m m m m m m m m m m m m m m m m m m m m m m 6 Receivables due from officers, directors, trustees, and other disqualified persons (attach schedule) (see instructions) m m m m 7 Other notes and loans receivable (attach schedule) I Less: allowance for doubtful accounts I 8 Inventories for sale or use m m m m m m m 9 Prepaid expenses and deferred charges m m m m m ATCH m m m m m8 10a Investments - U.S. and state government obligations (attach schedule) b Investments - corporate stock (attach schedule) ATCH 9 c Investments - corporate bonds (attach schedule) m m m m m m m m 11 Investments - land, buildings, and equipment: basis Less: accumulated depreciation (attach schedule) I 12 Investments - mortgage loans m m m m 13 Investments - other (attach schedule) m m m m m ATCH m m m m 10 m m m m 14 Land, buildings, and equipment: basis I Less: accumulated depreciation (attach schedule) I 15 Other assets (describe ATCH 11 ) I 16 Total assets (to be completed by all filers - see the instructions. Also, see page 1, item I) m m 17 Accounts payable and accrued expenses 18 Grants payable m 19 Deferred revenue m m m m m m m m m m m m m m m m m m m m m 20 Loans from officers, directors, trustees, and other disqualified persons 21 Mortgages and other notes payable (attach schedule) m m m m m 22 Other liabilities (describe I ATCH 12 ) 23 Total liabilities (add lines 17 through 22) m m m m m m m m m m m Foundations that follow SFAS 117, check here m m m m I and complete lines 24 through 26, and lines 30 and Unrestricted m m m m m 25 Temporarily restricted m m m m m m m m m m m m m m m m m m m m 26 Permanently restricted m m m m m m m m m m m m m m m m m m m m Foundations that do not follow SFAS 117, check here I X and complete lines 27 through Capital stock, trust principal, or current funds m m m 28 Paid-in or capital surplus, or land, bldg., and equipment fund m m m m 29 Retained earnings, accumulated income, endowment, or other funds 30 Total net assets or fund balances (see instructions) m m m m m m 31 Total liabilities and net assets/fund balances (see instructions) m m m m m m m m m m m m m m m m m m m m m m m m m F.M. KIRBY FOUNDATION, INC ATCH 41, , ,597, ,597, ,270, ,402, ,402,617. ATCH 273,594, ,991, ,784, ,549, ,526, ,041, ,401, ,116,307. Part III Analysis of Changes in Net Assets or Fund Balances 1 Total net assets or fund balances at beginning of year - Part II, column (a), line 30 (must agree with end-of-year figure reported on prior year's return) 1 300,120, Enter amount from Part I, line 27a m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 2-15,950, Other increases not included in line 2 (itemize) I ATCH , Add lines 1, 2, and 3 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 4 284,297, Decreases not included in line 2 (itemize) I ATCH , ,931,129. Total net assets or fund balances at end of year (line 4 minus line 5) - Part II, column (b), line 30 m m m m 869, , , ,401, ,116, ,424, , , ,903, ,090, ,281, ,185, ,120, ,931,129. Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 2

144 Form 990-PF (2017) Page 3 Part IV 1 a b c d e a b c d e a b c d e Capital Gains and Losses for Tax on Investment Income (e) Gross sales price (a) List and describe the kind(s) of property sold (for example, real estate, 2-story brick warehouse; or common stock, 200 shs. MLC Co.) SEE PART IV SCHEDULE (f) Depreciation allowed (or allowable) (g) Cost or other basis plus expense of sale Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69. (i) FMV as of 12/31/69 F.M. KIRBY FOUNDATION, INC (j) Adjusted basis as of 12/31/69 (k) Excess of col. (i) over col. (j), if any If gain, also enter in Part I, line 7 2 Capital gain net income or (net capital loss) $ & 2 If (loss), enter -0- in Part I, line 7 3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6): If gain, also enter in Part I, line 8, column (c). See instructions. If (loss), enter -0- in & Part I, line 8 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 3 (b) How acquired P - Purchase D - Donation Part V Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income (For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.) (c) Date acquired (mo., day, yr.) (h) Gain or (loss) ((e) plus (f) minus (g)) (d) Date sold (mo., day, yr.) (l) Gains (Col. (h) gain minus col. (k), but not less than -0-) or Losses (from col. (h)) 42,223, If section 4940(d)(2) applies, leave this part blank. Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period? If "Yes," the foundation doesn't qualify under section 4940(e). Do not complete this part. 1 Enter the appropriate amount in each column for each year; see the instructions before making any entries. (a) (b) (c) (d) Base period years Distribution ratio Calendar year (or tax year beginning in) Adjusted qualifying distributions Net value of noncharitable-use assets (col. (b) divided by col. (c)) ,627, ,101, ,402, ,606, ,796, ,655, ,397, ,439, ,382, ,114, Total of line 1, column (d) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 3 Average distribution ratio for the 5-year base period - divide the total on line 2 by 5.0, or by m m m m m m m m the number of years the foundation has been in existence if less than 5 years 3 4 Enter the net value of noncharitable-use assets for 2017 from Part X, line 5 m m m m m m m m m 5 Multiply line 4 by line 3 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 6 Enter 1% of net investment income (1% of Part I, line 27b) m m m m m m m m m m m m m m m m m m m 7 Add lines 5 and 6 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 8 Enter qualifying distributions from Part XII, line 4 m m m m m m m m m m m m m m m m m m m m m m m m 8 39,771,697. If line 8 is equal to or greater than line 7, check the box in Part VI, line 1b, and complete that part using a 1% tax rate. See the Part VI instructions. JSA Form 990-PF (2017) 7E Yes X ,519, ,016, , ,531,925. CED11L F505 5/7/2018 9:20:14 AM V F PAGE 3 No

145 F.M. KIRBY FOUNDATION, INC Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or see instructions) Form 990-PF (2017) Page 4 1a Exempt operating foundations described in section 4940(d)(2), check here I and enter "N/A" on line 1. m m m 7 Date of ruling or determination letter: (attach copy of letter if necessary - see instructions) * I 8 here X and enter 1% of Part I, line 27b m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Part VI b Domestic foundations that meet the section 4940(e) requirements in Part V, check 1 c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of 9 Part I, line 12, col. (b). 2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only; others, enter -0-) 2 3 Add lines 1 and 2 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 3 4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only; others, enter -0-) 4 5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- m m m m m m m m m m m m m 5 6 Credits/Payments: a 2017 estimated tax payments and 2016 overpayment credited to a 515,697. b Exempt foreign organizations - tax withheld at source m m m m m m 6b c Tax paid with application for extension of time to file (Form 8868) 6c d Backup withholding erroneously withheld m m m m m 6d 7 Total credits and payments. Add lines 6a through 6d m m m m m m m m m m m m m m m m m m m m m m 7 8 Enter any penalty for underpayment of estimated tax. Check here if Form 2220 is attached m 8 9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed m m m m m m I 9 m m m m m m m m m m 10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter I the amount overpaid 554. I I Enter the amount of line 10 to be: Credited to 2018 estimated tax Refunded 11 Part VII-A 1a b Statements Regarding Activities During the tax year, did the foundation attempt to influence any national, state, or local legislation or did it participate or intervene in any political campaign? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Did it spend more than $100 during the year (either directly or indirectly) for political purposes? See the instructions for the definition If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials published or distributed by the foundation in connection with the activities. c Did the foundation file Form 1120-POL for this year? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 1c d Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year: (1) On the foundation. I $ (2) On foundation managers. I $ e Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed I on foundation managers. $ 2 2 Has the foundation engaged in any activities that have not previously been reported to the IRS? m m m m m m m m m m m m m m m If "Yes," attach a detailed description of the activities. 4a Did the foundation have unrelated business gross income of $1,000 or more during the year? m m m m m m m m m m m m m m m m m b If "Yes," has it filed a tax return on Form 990-T for this year? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 5 Was there a liquidation, termination, dissolution, or substantial contraction during the year?m m m m m m m m m m m m m m m m m m If "Yes," attach the statement required by General Instruction T. 3 Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes 3 6 Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either: % By language in the governing instrument, or By state legislation that effectively amends the governing instrument so that no mandatory directions that 6 conflict with the state law remain in the governing instrument? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Enter the states to which the foundation reports or with which it is registered. See instructions. I 7 Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c), and Part XV 8a b DE, If the answer is "Yes" to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney General (or designate) of each state as required by General Instruction G? If "No," attach explanation m m m m m m m m m m m m m m m m m 9 Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3) or m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 4942(j)(5) for calendar year 2017 or the tax year beginning in 2017? See the instructions for Part XIV. If "Yes," complete Part XIV 9 10 Did any persons become substantial contributors during the tax year? If "Yes," attach a schedule listing their names and addresses 10 1a 1b 4a 4b 5 7 8b 515, , , ,697. Yes X X X 554. No X X X X X X X X X Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 4

146 Form 990-PF (2017) F.M. KIRBY FOUNDATION, INC Page 5 Part VII-A Statements Regarding Activities (continued) Yes No At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the meaning of section 512(b)(13)? If "Yes," attach schedule. See instructions m m m m m m m m m m m m m m m m m m m m m m m m m m m 11 X Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had advisory privileges? If "Yes," attach statement. See instructions m m m m m m m m m m m m m m m m m m m m m m m m m m 12 X Did the foundation comply with the public inspection requirements for its annual returns and exemption application? 13 X Website address I The books are in care of I F.M. KIRBY FOUNDATION, INC. Telephone no Located at I17 DEHART STREET, MORRISTOWN, NJ ZIP+4 I Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu m of m m Form m m m 1041 m m m m - m check m m m m here m m m m m m m m m m m m m m I I and enter the amount of tax-exempt interest received or accrued during the year 15 Yes No m m m m m m m m m m m m m m m m m m m m m m m m m m m m m X See the instructions for exceptions and filing requirements for FinCEN Form 114. If "Yes," enter the name of 16 At any time during calendar year 2017, did the foundation have an interest in or a signature or other authority over a bank, securities, or other financial account in a foreign country? 16 the foreign country I Part VII-B Statements Regarding Activities for Which Form 4720 May Be Required 2 3a File Form 4720 if any item is checked in the "Yes" column, unless an exception applies. 1a During the year, did the foundation (either directly or indirectly): (1) Engage in the sale or exchange, or leasing of property with a disqualified person? Yes X No (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from) a b If any answer is "Yes" to 1a(1)-(6), did any of the acts fail to qualify under the exceptions described in Regulations c a c b If "Yes," did it have excess business holdings in 2017 as a result of (1) any purchase by the foundation or b m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m (5) Transfer any income or assets to a disqualified person (or make any of either available for m m m m m m m m m m m m m m m m m m m m m m m m m m m m disqualified person? Yes No (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person? X Yes No (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? X Yes No the benefit or use of a disqualified person)? Yes No (6) Agree to pay money or property to a government official? (Exception. Check "No" if the foundation agreed to make a grant to or to employ the official for a period after termination of government service, if terminating within 90 days.) m m m m m m m m m m m m m m m m m Yes X No section (d)-3 or in a current notice regarding disaster assistance? See instructions m m m m m m m Organizations relying on a current notice regarding disaster assistance, check here m m m m m m m m m m m m m m m I Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts, that were not corrected before the first day of the tax year beginning in 2017? m m m m m m m m m m m m m m m m m m m m m m m m m m m Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private operating foundation defined in section 4942(j)(3) or 4942(j)(5)): m m m m m m m m m m m m m m m m m m m m m m m m m m At the end of tax year 2017, did the foundation have any undistributed income (lines 6d and I 6e, Part XIII) for tax year(s) beginning before 2017? Yes No If "Yes," list the years,,, b Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2) (relating to incorrect valuation of assets) to the year's undistributed income? (If applying section 4942(a)(2) to all years listed, answer "No" and attach statement - see instructions.) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I,,, Did the foundation hold more than a 2% direct or indirect interest in any business enterprise If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here. m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m at any time during the year? Yes No disqualified persons after May 26, 1969; (2) the lapse of the 5-year period (or longer period approved by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest; or (3) the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine if the foundation had excess business holdings in 2017.) m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m 4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes? Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2017? X X X X 1b 1c 2b 3b 4a 4b Yes No X X X X X Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 5

147 F.M. KIRBY FOUNDATION, INC Statements Regarding Activities for Which Form 4720 May Be Required (continued) Form 990-PF (2017) Page 6 Part VII-B m m m m m m (2) Influence the outcome of any specific public election (see section 4955); or to carry on, m m m m m m m m m m m m m (3) Provide a grant to an individual for travel, study, or other similar purposes? m m m m m m m m m m m (4) Provide a grant to an organization other than a charitable, etc., organization described in section 4945(d)(4)(A)? See instructions m m m m m m m m m m m m m m m m m m m m m m m m m m m m 5a During the year, did the foundation pay or incur any amount to: Yes No b c 6a (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))? Yes No directly or indirectly, any voter registration drive? Yes No (5) Provide for any purpose other than religious, charitable, scientific, literary, or educational purposes, or for the prevention of cruelty to children or animals? m m m m m m m m m m m m m m m m Yes X No If any answer is "Yes" to 5a(1)-(5), did any of the transactions fail to qualify under the exceptions described in Regulations section or in a current notice regarding disaster assistance? See instructions m m Organizations relying on a current notice regarding disaster assistance, check here m m m m m m m m m m m m m m m m m m I If the answer is "Yes" to question 5a(4), does the foundation claim exemption from the tax because it maintained expenditure responsibility for the grant? m m m m m m m m m m m m m m m m m m m X Yes No If "Yes," attach the statement required by Regulations section (d). Did the foundation, during the year, receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m Yes X No b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? m m m m m m m m m m If "Yes" to 6b, file Form m m X b If "Yes," did the foundation receive any proceeds or have any net income attributable to the transaction? m m m m m m m m m m 7a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? Yes No Part VIII Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees, and Contractors 1 List all officers, directors, trustees, foundation managers and their compensation. See instructions. (a) Name and address (b) Title, and average hours per week devoted to position (c) Compensation (If not paid, enter -0-) Yes Yes No No (d) Contributions to employee benefit plans and deferred compensation 5b 6b 7b (e) Expense account, other allowances ATCH , , X X X X X X 2 Compensation of five highest-paid employees (other than those included on line 1 - see instructions). If none, enter "NONE." (a) Name and address of each employee paid more than $50,000 (b) Title, and average hours per week devoted to position (c) Compensation (d) Contributions to employee benefit plans and deferred compensation (e) Expense account, other allowances ATCH 16 58,667. 5, Total number of other employees paid over $50,000 m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m m I Form 990-PF (2017) JSA 7E CED11L F505 5/7/2018 9:20:14 AM V F PAGE 6

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151 FRED M. and JESSIE A. KIRBY EPISCOPAL HOUSE, INC. 381 Sunset Road Mountain Top, PA August 8, 2017 William H. Byrnes, Jr. Vice President-Grants F.M. Kirby Foundation, Inc. 17 DeHart Street P.O. Box 151 Morristown, Nj Dear Mr. Byrnes: Please find attached the signed Agreement of Grantee delivered to me today. Thank you for the swift response from your foundation. The funds will be used for continued restoration at Graystone Terrace. Thanks, also, for the "luck" comment. A lot of prayer would be helpful, too. Best regards, Claudia B. Sharp Manager Enclosure

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157 Macculloch Hall Historical Museum 45 MaccullochAvenue, Morristown, NJ (973) maccullochhall.org William Byrnes,Vice President Grants F. M. Kirby Foundation, Inc. 17 DeHart Street P.O. Box 151 Morristown, NJ June 22, 2017 Dear Mr. Byrnes, On behalfof the Board oftrustees and staffof Macculloch Hall Historical Museum, I write to thank the F. M. Kirby Foundation for its generous grant of$27,500in support of the Museum's FY18 general operating expenses. Enclosed please find the executed Agreement of Grantee. The F. M. Kirby Foundation's continued support enables Macculloch Hall Historical Museum to develop an array of educationalprogramming and culturalevents that engage the more than 5,000 visitors who visit us annually, including the more than 300 children who willvisit this summer to learn in our gardens. In addition, the F. M. Kirby Foundation's support permits our continued focus on curatorial research. Enclosed please find a copy of The Supreme Court Historical SocietyQuarterly featuringan article on the political cartoons ofthomas Nast ( ) by F. M. Kirby Curator of Collections Ryan Hyman. I hope you can visit this summer. I would be happyto walkyou through the house and grounds to share our progress. Warm regards,? ' aajuj^ Patricia C. Pongrac2, Ph.D. Executive Director

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