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SUITE 205 PROVIDENCE RI 02903 N/A PC FOR GENERAL OPERATING SUPPORT 7500 CONNECTICUT COLLEGE 270 MOHEGAN AVENUE NEW LONDON CT 06320 N/A PC TO SUPPORT FINANCIAL AID FOR STUDENTS THROUGH CONNECTICUT COLLEGE'S CAPITAL CAMPAIGN 100000 OCEAN DISCOVERY INSTITUTE 4255 THORN STREET SAN DIEGO CA 92105 N/A PC FOR GENERAL OPERATING SUPPORT 50000 PERFORMING ARTS WORKSHOP 768 DELANO AVENUE SAN FRANCISCO CA 94112 N/A PC FOR GENERAL OPERATING SUPPORT 7500 STORM KING ART CENTER 1 MUSEUM ROAD NEW WINDSOR NY 12553 N/A PC TO SUPPORT THE DEVELOPMENT OF A NEW FACILITY TO BE USED FOR CONSERVATION, ART STORAGE AND MAINTENANCE, AS PART OF THE CAPITAL CAMPAIGN 1500000 TEDDY BEAR CANCER FOUNDATION 3892 STATE STREET SANTA BARBARA CA 93105 N/A PC FOR GENERAL OPERATING SUPPORT 1000 THE COLBURN SCHOOL 200 SOUTH GRAND AVENUE LOS ANGELES CA 90012 N/A PC TO SUPPORT ACCESS PROGRAMS AS PART OF COLBURN'S EQUITY, DIVERSITY, AND INCLUSION INITIATIVE 200000 THE MERWIN CONSERVANCY INC PO BOX 809 HAIKU HI 96708 N/A PC TO SUPPORT THE PRESERVATION AND RESTORATION OF MERWIN'S HOME AND LIBRARY 40000 TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 10528 N/A POF TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT 2500000 8468500 525990 10102 14 1327026 525990 79886 525990 45359 18 19441204 135347 20768230 0 20903577 0 0 0 0 0 0 0 0 0 0 ACCOUNTING AND TAX PREPARATION 351602 0 345602 AUDIT 18000 0 18000 GLYNDEBOURNE PRODUCTIONS LIMITED NEW ROAD LEWES BN8 5UU EAST SUSSEX UK V3H7 8M 2020-12-03 25000 TO SUPPORT EDUCATION AND COMMUNITY PROGRAMS TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY KERE FOUNDATION ARNTSTR 34 BERLIN GM 10965 2020-12-03 100000 TO SUPPORT THE CONSTRUCTION OF A SECONDARY SCHOOL IN GANDO, BURKINA FASO TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY DRUID PERFORMING ARTS COMPANY THE DRUID BUILDING FLOOD STREET GALWAY EI H91 PWX5 2020-09-04 8383 TO SUPPORT A SERIES OF POETRY FILMS AND A PRODUCTION FILM OF DRUIDGREGORY TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY POET IN THE CITY 90 YORK WAY LONDON UK N1 9AG 2020-04-01 7334 TO SUPPORT THE PRODUCTION OF A SERIES OF POETRY FILMS 7334 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 07/31/2020 THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY POET IN THE CITY 90 YORK WAY LONDON UK N1 9AG 2020-06-22 3608 TO SUPPORT THE CREATION OF A SERIES OF POETRY FILMS 3608 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 02/31/2020 THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-01-28 1000000 (OF $8M GRANT APPROVED IN 4/2019) TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT 1000000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 10/01/2020 THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-03-04 500000 (OF $8M GRANT APPROVED IN 4/2019) TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT 500000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 10/01/2020 THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-03-30 1000000 (OF $8M GRANT APPROVED IN 4/2019) TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT 1000000 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED 10/01/2020 THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-06-08 500000 (OF $5M GRANT APPROVED IN 6/2020) TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-07-30 500000 (OF $5M GRANT APPROVED IN 6/2020) TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-09-28 500000 (OF $5M GRANT APPROVED IN 6/2020) TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-11-09 500000 (OF $5M GRANT APPROVED IN 6/2020) TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY TIPPET RISE FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-12-10 500000 (OF $5M GRANT APPROVED IN 6/2020) TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF PROGRAMS AND VENUES TO PROVIDE ACCESS TO ART IN A NATURAL ENVIRONMENT TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY ADRIAN BRINKERHOFF POETRY FOUNDATION C/O PKF OCONNOR DAVIES LLP 500 MAMARONECK AVENUE SUITE 301 HARRISON NY 105281633 2020-06-25 250000 TO SUPPORT THE FOUNDATION'S CHARITABLE AND EDUCATIONAL PURPOSE AS A PRIVATE OPERATING FOUNDATION, INCLUDING THE DEVELOPMENT AND OPERATION OF LITERARY PROGRAMS TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY WIGMORE HALL TRUST 36 WIGMORE STREET LONDON UK W1U 2BP 2020-08-20 53912 FOR GENERAL OPERATING SUPPORT TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY ROYAL SHAKESPEARE COMPANY ROYAL SHAKESPEARE THEATRE WATERSIDE STRATFORD-UPON-AVON WARWICKSHIRE UK CV37 6BB 2020-01-22 40000 TO SUPPORT DREAM2020 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED PENDING FINAL REPORT THE FOUNDATION HAS NOT UNDERTAKEN AN INVESTIGATION OF THE GRANTEE'S REPORTS BECAUSE THE FOUNDATION HAS NO REASON TO BELIEVE THAT THOSE REPORTS ARE OF DUBIOUS ACCURACY OR RELIABILITY SPECIAL TRUSTEES OF THE COLORADO FUND PART VIII, LINE 1 NET ASSETS WITH DONOR RESTRICTIONS CONSIST OF THE COLORADO FUND (THE "FUND"). THIS FUND, WHICH HAS ALSO BEEN REFERRED TO AS THE "SPECIAL ACCOUNT", IS A COMPLETELY SEPERATE FUND MAINTAINED BY THE FOUNDATION'S SPECIAL TRUSTEES, HAROLD R. LOGAN, JR. AND ANN M. LOGAN. THE FUND WAS CREATED PURSUANT TO A TIMELY-FILED QUALIFIED DISCLAIMER, PURSUANT TO SECTION 2518 OF THE INTERNAL REVENUE CODE OF 1986, AS AMEDNED, IN CONNECTION WITH THE ADMINISTRATION OF THE ESTATE OF SIDNEY E. FRANK. (MR. FRANK WAS THE INTITAL SOLE TRUSTEE OF THE FOUNDATION). SAID DISCLAIMER WAS THE SUBJECT OF A COURT PROCEEDING AND OF AN INTERNAL REVENUE SERVICE PRIVATE LETTER RULING. THE COURT PROCEEDING AND THE PRIVATE LETTER RULING APPROVED OF THE CREATION OF THE FUND, PROVIDED THAT CERTAIN CRITERIA WERE MET, INCLUDING, THAT NO MEMBER OF SIDNEY E. FRANK'S FAMILY WAS TO HAVE ANY INVOLVEMENT WITH THE FUND. TO THAT END, AND AS REQUIRED BY THE AFOREMENTIONED PRIVATE LETTER RULING, THE FOUNDATION'S GOVERNING INSTRUMENT WAS AMENDED BY THE FIRST AMENDMENT THERETO, DATED AUGUST 21, 2006, WHICH AMENDMENT REQUIRED, AMONG OTHER THINGS, THAT ONLY NON-FAMILY MEMBERS COULD BE APPOINTED TO SERVE AS THE SPECIAL TRUSTEES OF THE FUND AND THAT THE PROPERTY COMPRISING THE FUND BE MAINTAINED IN A SEGREGATED ACCOUNT MAINTAINED COMPLETELY SEPERATE AND APART FROM THE FOUNDATION'S OTHER ASSETS. THE LOGANS WERE APPOINTED SPECIAL TRUSTEES ON AUGUST 30, 2006. THE FUND WAS FUNDED ON DECEMBER 29, 2006 WITH THE SUM OF FIVE MILLION AND 00/100 DOLLARS. (NO ADDITIONAL FUNDS HAVE BEEN, NOR IS IT ANTICIPATED THAT ANY ADDITIONAL FUNDS WILL BE, SUBSEQUENTLY ADDED TO THE FUND). THE LOGANS HAVE OVERSEEN THE MANAGEMENT OF THE FUND SINCE ITS INCEPTION AND, ACCORDINGLY, NO MEMBER OF THE FRANK FAMILY HAS HAD ANY SUCH ROLE IN THE FUND'S ACTIVITIES DURING ITS EXISTENCE. TRANSFERS TO CONTROLLED ENTITIES PART VII-A, LINE 11 NAME OF CONTROLLED ENTITY: TIPPET RISE FOUNDATIONEMPLOYER ID NO: 35-6933159ADDRESS: C/O PKF O'CONNOR DAVIES, LLP, 500 MAMARONECK AVENUE, SUITE 301, HARRISON, NY 10528-1633DESCRIPTION OF TRANSFER: FUNDING OF CONTINUED OPERATIONS AND CONSTRUCTION OF ART CENTERAMOUNT OF TRANSFER: $5,000,000EXCESS BUSINESS HOLDING: NONAME OF CONTROLLED ENTITY: ADRIAN BRINKERHOFF POETRY FOUNDATIONEMPLOYER ID NO: 81-3608525ADDRESS: C/O PKF O'CONNOR DAVIES, LLP, 500 MAMARONECK AVENUE, SUITE 301, HARRISON, NY 10528-1633DESCRIPTION OF TRANSFER: FUNDINGAMOUNT OF TRANSFER: $250,000EXCESS BUSINESS HOLDING: NO ABBVIE, INC. DTD 5/14/15 3.600% DUE 5/14/25 150,000.000 QUANTITY 167819 167819 ACE INA HLDG INC SR UNSE DTD 3/13/13 2.700% DUE 3/13/23 150,000.000 QUANTITY 159173 159173 APPLE INC. DTD 2/23/16 2.850% DUE 2/23/23 50,000.000 QUANTITY 53013 53013 AT&T, INC. SR UNSECD NT DTD 5/4/15 3.400% DUE 5/15/25 150,000.000 QUANTITY 167369 167369 AUTOZONE, INC. DTD 4/18/19 3.125% DUE 4/18/24 100,000.000 QUANTITY 108236 108236 AUTOZONE, INC. SR NT DTD 4/29/15 3.250% DUE 4/15/25 100,000.000 QUANTITY 110254 110254 BANK NEW YORK MELLON CORP. 8/13/18 3.450% DUE 8/11/23 125,000.000 QUANTITY 136797 136797 BANK OF AMERICA C VAR CALLABLE 10/23/24 350,000.000 QUANTITY 399000 399000 BB&T CORP. DTD 5/10/16 2.050% DUE 5/10/21 150,000.000 QUANTITY 151160 151160 BOEING CO UNSECD SR NT DTD 10/29/15 2.600% DUE 10/30/25 58,000.000 QUANTITY 60765 60765 BOEING CO UNSECD SR NT DTD 2/15/19 2.800% DUE 3/1/24 17,000.000 QUANTITY 18011 18011 BRISTOL MYERS SQUIBB CO DTD 1/26/20 2.900% DUE 7/26/24 150,000.000 QUANTITY 164662 164662 CATERPILLAR FINL SVCS CORP DTD 7/8/20 0.650% DUE 7/7/23 150,000.000 QUANTITY 151726 151726 CITIGROUP INC CALLABLE 12/10/25 4.000% 750,000.000 QUANTITY 770625 770625 CITIGROUP INC UN SR NT DTD 3/30/16 2.700% DUE 03/30/21 150,000.000 QUANTITY 151891 151891 CITIGROUP INC VAR 99 CALLABLE 1/30/23 DUE 12/31/99 700,000.000 QUANTITY 731500 731500 CITIGROUP INC VAR 99 CALLABLE 2/15/21 DUE 12/31/99 1,000,000.000 QUANTITY 998750 998750 CITIGROUP INC VAR CALLABLE 2/15/21 800,000.000 QUANTITY 801000 801000 COMCAST CORP NEW SR NT DTD 10/05/18 3.7000% DUE 4/15/24 200,000.000 QUANTITY 221604 221604 CONSTELLATION BRANDS, INC. 5/14/13 4.250% DUE 5/1/23 125,000.000 QUANTITY 137140 137140 CVS HEALTH CORP. DTD 3/9/18 3.700% DUE 3/9/23 14,000.000 QUANTITY 15139 15139 HCA INC 1ST LIEN SR NT DTD 3/17/14 5.000% DUE 3/15/24 100,000.000 QUANTITY 113969 113969 HERSHEY CO. DTD 5/10/18 3.375% DUE 5/15/23 100,000.000 QUANTITY 107507 107507 HOME DEPOT, INC. DTD 4/5/13 2.700% DUE 4/1/23 150,000.000 QUANTITY 158337 158337 JPMORGAN CHASE & CO NT DTD 7/23/18 3.797% DUE 7/23/24 200,000.000 QUANTITY 220285 220285 JPMORGAN CHASE & VAR 99 CALLABLE 2/1/24 DUE 12/31/99 100,000.000 QUANTITY 112250 112250 JPMORGAN CHASE & VAR CALLABLE 5/1/20 1,045,000.000 QUANTITY 1041081 1041081 MFRS & TRADERS TR CO. DTD 5/18/17 2.500% DUE 5/18/22 150,000.000 QUANTITY 154762 154762 MORGAN STANLEY SR UN GMTN DTD 4/21/16 2.500% DUE 4/41/21 150,000.00 QUANTITY 151659 151659 MORGAN STANLEY VAR 99 CALLABLE 1/15/21 DUE 12/31/99 1,050,000.000 QUANTITY 1038188 1038188 MORGAN STANLEY VAR 99 CALLABLE 2/3/21 DUE 12/31/99 525,000.000 QUANTITY 521063 521063 ORACLE CORP UNSECD SR NT DTD 4/1/20 2.500% DUE 4/1/25 150,000.000 QUANTITY 162151 162151 PEPSICO, INC. DTD 2/28/13 2.750% DUE 3/1/23 100,000.000 QUANTITY 106498 106498 PNC BK NA PITTSBURGH PA DTD 6/8/18 3.500% DUE 6/8/23 150,000.000 QUANTITY 161363 161363 REGIONS FINL CORP NEW NT DTD 5/18/20 2.250% DUE 5/18/25 125,000.000 QUANTITY 132896 132896 RYDER SYS INC. DTD 5/22/19 2.875% DUE 6/1/22 100,000.000 QUANTITY 103541 103541 SCHWAB CHARLES CORP NEW DTD 12/7/17 2.650% DUE 1/25/23 150,000.000 QUANTITY 158856 158856 SUNTRUST BK ATLANTA GA DTD 3/18/19 3.200% DUE 4/1/24 150,000.000 QUANTITY 164019 164019 THE GOLDMAN SACHS VAR 99 DUE 12/31/99 1,275,000.000 QUANTITY 1271813 1271813 UNITEDHEALTH GROUP, INC. DTD 6/19/18 3.500% DUE 6/15/23 150,000.000 QUANTITY 162107 162107 VERIZON COMM INC SR NT DTD 10/29/14 3.500% DUE 11/1/24 150,000.000 QUANTITY 166553 166553 VISA, INC. DTD 9/11/17 2.150% DUE 9/15/22 150,000.000 QUANTITY 155606 155606 WELLS FARGO & CO NEW UNS DTD 1/25/17 3.069% DUE 1/24/23 150,000.000 QUANTITY 156289 156289 WELLS FARGO COML MTG TR DTD 7/1/16 2.495% DUE 7/15/48 150,000.000 QUANTITY 151153 151153 A.O. SMITH CORP (AOS) 2,010.000 SHARES 110188 110188 AMERICAN WATER WORKS CO. INC (AWK) 1,166.000 SHARES 178946 178946 ARCADIS NV (ARCAY) 8,355.000 SHARES 276286 276286 ARRAY TECHNOLOGIES, INC. (ARRY) 4,655.000 SHARES 200817 200817 BADGER METER INC (BMI) 1,696.000 SHARES 159526 159526 BANK OF AMERICA 7.25% PFD SER L (BAC+L) 800.000 SHARES 1214864 1214864 BEIJING ENTERPRISES WATER GROUP LTD (BJWTF) 174,000.000 SHARES 70014 70014 BILLERUDKORSNAS AB (BLRDF) 4,981.000 SHARES 88348 88348 BROOKFIELD RENEWABLE CORPORATION (BEPC) 1,335.000 SHARES 77790 77790 BROOKFIELD RENEWABLE PARTNERS MLP (BEP) 5,344.000 SHARES 230594 230594 BUREAU VERITAS SA (BVRDF) 7,015.000 SHARES 186678 186678 CHINA EVERBRIGHT GREENTECH LTD (1257.HK) 112,000.000 SHARES 49400 49400 CHINA EVERBRIGHT INTL LTD (CHFFF) 207,000.000 SHARES 116930 116930 COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PAULO (SBS) 4,463.000 SHARES 38337 38337 DANAHER CORPORATION (DHR) 1,387.000 SHARES 308108 308108 ENEL SPA (ENLAY) 30,330.000 SHARES 306972 306972 ESSENTIAL UTILITIES, INC. (WTRG) 5,023.000 SHARES 237538 237538 FLIR SYSTEMS INC (FLIR) 2,780.000 SHARES 121847 121847 GEBERIT AG (GBERY) 154.000 SHARES 96560 96560 HALMA PLC (HLMAF) 4,523.000 SHARES 151439 151439 HANNON ARMSTRONG SUSTAINABLE INFRASTRUSTURE CAPITAL (HASI) 4,212.000 SHARES 267167 267167 ILLUMINA INC (ILMN) 209.000 SHARES 77330 77330 IRIDIUM COMMUNICATIONS INC (IRDM) 5,632.000 SHARES 221478 221478 ITRON INC (ITRI) 3,051.000 SHARES 292591 292591 KUBOTA CORPORATION (KUBTY) 15,000.000 SHARES 327085 327085 MAXAR TECHNOLOGIES INC. (MAXR) 1,150.000 SHARES 44379 44379 METAWATER CO LTD (MTWTF) 8,200.000 SHARES 184446 184446 MORGAN STANLEY 6.875% PFD SER F (MS+F) 3,100.000 SHARES 88350 88350 ORSTED AS (DOGEF) 1,898.000 SHARES 388072 388072 P/F BAKKAFROST (BKFKF) 2,168.000 SHARES 155135 155135 PENNON GROUP PLC (PEGRF) 6,405.000 SHARES 83189 83189 PENTAIR PLC (PNR) 2,807.000 SHARES 149024 149024 ROPER INDUSTRIES INC (ROP) 210.000 SHARES 90529 90529 SCHNEIDER ELECTRIC SA (SBGSF) 2,397.000 SHARES 346784 346784 STANTEC INC (STN) 2,560.000 SHARES 82959 82959 STERICYCLE, INC. (SRCL) 1,143.000 SHARES 79244 79244 SUEZ SA (SZEVF) 3,724.000 SHARES 73870 73870 TETRA TECH INC (TTI) 2,138.000 SHARES 247538 247538 THE GORMAN-RUPP COMPANY (GRC) 2,355.000 SHARES 76420 76420 THERMO FISHER SCIENTIFIC INC (TMO) 672.000 SHARES 313004 313004 TOMRA SYSTEMS ASA (TMRAF) 4,070.000 SHARES 200941 200941 TPI COMPOSITES INC (TPIC) 6,751.000 SHARES 356318 356318 TRIMBLE INC (TRMB) 4,289.000 SHARES 286377 286377 U.S. BANCORP 6.500% PFD (USB+M) 8,575.000 SHARES 228610 228610 VAISALA OYJ A SHARES (VAIAF) 2,938.000 SHARES 144978 144978 VERISK ANALYTICS INC (VRSK) 856.000 SHARES 177697 177697 XYLEM INC (XYL) 2,901.000 SHARES 295293 295293 12250091 12250091 1484739 1484739 ACACIA CONSERVATION FUND (OFFSHORE), LTD. FMV 723665 723665 AEOLUS PROPERTY CATASTROPHE KEYSTONE PF FUND, L.P. FMV 381170 381170 AKRE FOCUS FD INST (AKRIX) 273,936.953 SHARES FMV 15080229 15080229 ALTOR FUND III (NO. 2), L.P. FMV 494322 494322 ALTOR FUND IV (NO. 1), AB FMV 2422140 2422140 ALTOR FUND V (NO. 1), AB FMV 273333 273333 AMANSA FEEDER, LTD. FMV 2715325 2715325 BAIN CAPITAL EUROPE FUND III, L.P. FMV 149802 149802 BIL, LTD. FMV 201907 201907 BLACKSTONE ALTERNATIVE MULTI-STRATEGY FUND CLASS I (BXMIX) 3,626.828 SHARES FMV 37139 37139 BROOKSIDE CAYMAN, LTD. FMV 2626 2626 CERBERUS INTERNATIONAL SPV, LTD. FMV 31693 31693 CVC EUROPEAN EQUITY PARTNERS V FMV 138109 138109 D.E. SHAW OCULUS INTERNATIONAL FUND FMV 1532306 1532306 D1 CAPITAL PARTNERS OFFSHORE, L.P. FMV 8222151 8222151 DODGE & COX INTL STOCK FUND (DODFX) 10,176.870 SHARES FMV 444729 444729 DODGE & COX STOCK FUND (DODGX) 1,333.035 SHARES FMV 256690 256690 DYNAMO BRASIL VIII, LLC FMV 166208 166208 EATON VANCE FLOATING RATE FD (EIBLX) 33,579.920 SHARES FMV 292818 292818 EDGEWOOD GROWTH FD INSTL (EGFIX) 361,904.471 SHARES FMV 18735794 18735794 ELLIOT INTERNATIONAL, LTD. FMV 15766618 15766618 ENERGY CAPITAL PARTNERS II-B, L.P. FMV 362413 362413 EP LIFE SCIENCES, LTD. FMV 8376786 8376786 EP MFF LTD FMV 7500000 7500000 EP SCF LTD FMV 2500000 2500000 FARALLON CAPITAL INSTITUTIONAL PARTNERS, L.P. FMV 65047 65047 FEDERAL HOME LN MTG CORP POOL #C91366 4.500% DUE 4/1/31 108,004.850 SHARES FMV 119805 119805 FEDERAL HOME LN MTG CORP POOL #G60081 4.000% DUE 6/1/45 108,728.826 SHARES FMV 121965 121965 FEDERAL HOME LN MTG CORP POOL #QN3609 2.000% DUE 9/1/35 237,941.126 SHARES FMV 249719 249719 FEDERAL HOME LN MTG CORP POOL #RB5095 2.000% DUE 1/1/41 241,000.000 SHARES FMV 250613 250613 FEDERAL NATL MTG ASSN POOL #AL7277 3.500% DUE 7/1/28 55,874.508 SHARES FMV 59425 59425 FEDERAL NATL MTG ASSN POOL #BM4123 3.000% DUE 3/1/30 139,823.575 SHARES FMV 149403 149403 FEDERAL NATL MTG ASSN POOL #BM5381 3.000% DUE 6/1/28 139,687.646 SHARES FMV 147180 147180 FEDERAL NATL MTG ASSN POOL #CA5461 2.500% DUE 3/1/35 120,130.520 SHARES FMV 125509 125509 FEDERAL NATL MTG ASSN POOL #FM3836 1.500% DUE 8/1/35 93,344.570 SHARES FMV 96790 96790 FEDERAL NATL MTG ASSN POOL #MA4228 1.500% DUE 1/1/36 241,000.000 SHARES FMV 248064 248064 FORMATION8 PARTNERS FUND II, L.P. FMV 1368984 1368984 FR XII-A PARALLEL VEHICLE, L.P. FMV 179518 179518 GAOLING FEEDER, LTD. FMV 1950265 1950265 GENERATION IM FUND PLC. FMV 33343894 33343894 HARDING LOEVNER INTL EQUITY (HLMIX) 15,857.192 SHARES FMV 450661 450661 HIG BAYSIDE DEBT & LBO FUND II, L.P. FMV 397652 397652 HIG CAPITAL PARTNERS VI, L.P. FMV 87275 87275 HIG MIDDLE MARKET LBO FUND II, L.P. FMV 3408650 3408650 HIG MIDDLE MARKET LBO FUND III, L.P. FMV 70913 70913 IMPILO, AB FMV 5846200 5846200 INSTITUTIONAL DISTRESSED OPPORTUNITIES FUND, LTD. FMV 4757215 4757215 IRONWOOD INTERNATIONAL, LTD. FMV 842904 842904 JPMORGAN STRATEGIC INCOME OPPTY I (JSOSX) 3,540.8500 SHARES FMV 40720 40720 KHOSLA VENTURES III, L.P. FMV 4094150 4094150 KING STREET CAPITAL, LTD. FMV 8892 8892 LAZARD EMRG MKTS EQUITY (LZEMX) 15,336.550 SHARES FMV 276671 276671 LBC FEEDER FUND IV, L.P. FMV 3028025 3028025 LEGACY VENTURE IX, LLC FMV 1958476 1958476 LEGACY VENTURE V (QP), LLC FMV 11106047 11106047 LEGACY VENTURE VIII, LLC FMV 5398667 5398667 LONE CASCADE, L.P. FMV 16784003 16784003 LOOMIS SAYLES INVESTMENT GRADE BOND FUND CLASS N (LGBNX) 3,568.542 SHARES FMV 41574 41574 MATTHEWS ASIA DIVIDEND FD (MIPIX) 139,961.795 SHARES FMV 3165936 3165936 METROPOLITAN WEST TOTAL RETURN (MWTSX) 4,277.099 SHARES FMV 44868 44868 MILLENIUM INTERNATIONAL, LTD. FMV 10591964 10591964 NEW SILK ROAD CHINA FUND, LTD. FMV 2619906 2619906 NORTH HAVEN REAL ESTATE FUND VII OFFSHORE INVESTORS GLOBAL, L.P. FMV 87169 87169 OCA CMTG, LLC FMV 4000000 4000000 OCA OHA CREDIT FUND SEGREGATED PORTFOLIO FMV 7130259 7130259 OCA SILVER LAKE V TE, LLC FMV 6298028 6298028 OCA TBP VI, LLC FMV 7637744 7637744 ODYSSEY INVESTMENT PARTNERS FUND V, L.P. FMV 3443961 3443961 ODYSSEY INVESTMENT PARTNERS FUND VI, LP FMV 260043 260043 PATRIA-PRIVATE EQUITY FUND VI FEEDER, L.P. FMV 1247473 1247473 PROVIDENCE STRATEGIC GROWTH III FMV 4400294 4400294 RIVERSTONE/CARLYLE RENEWABLE & ALTERNATIVE ENERGY FUND II, L.P. FMV 61221 61221 SCGE OFFSHORE FUND, L.P. FMV 5649163 5649163 SCULPTOR OVERSEAS FUND II, LTD. FMV 24 24 SPECIALTY LOAN FUND III, L.P. FMV 59197 59197 STONE RIDGE REINSURANCE RISK (SRRIX) 5,528.905 SHARES FMV 223755 223755 T ROWE PRICE BLUE CHIP GROWTH FD (TBCIX) 1,913.5740 SHARES FMV 317462 317462 TAL CHINA FOCUS FUND FMV 6872412 6872412 TCW DIRECT LENDING, LLC FMV 1411184 1411184 THE RESOLUTE FUND III, L.P. FMV 1250855 1250855 TORTOISE MLP & PIPELINE FUND INSTITUTIONAL CLASS (TORIX) 38,387.547 SHARES FMV 319384 319384 TPG ENDOWMENT FUND VI, L.P. FMV 570914 570914 VANGUARD 500 INDEX FD (VFIAX) 1,451.602 SHARES FMV 503082 503082 VANGUARD EXTENDED MARKET INDEX FD (VEXAX) 4,021.238 SHARES FMV 501649 501649 VARDE INVESTMENT PARTNERS (OFFSHORE), LTD. FMV 13697554 13697554 VERSUS CAP MULTI MNGR REAL ESTATE INCM FD (VCMIX) 10,302.236 SHARES FMV 280736 280736 VIKING GLOBAL EQUITIES III, LTD. FMV 15475155 15475155 VIKING LONG FUND III, LTD. FMV 14429092 14429092 VIRGIN GREEN FUND I, L.P. FMV 35385 35385 WCM FOCUSED INTL GROWTH FD (WCMIX) 339,981.448 SHARES FMV 8414541 8414541 WHALE ROCK LONG OPPORTUNITIES FUND, LTD. FMV 5822880 5822880 WOODLINE OFFSHORE FUND, LTD. FMV 4735314 4735314 GENERAL AND ADMINISTRATIVE 29411 26294 3117 INSURANCE 31370 0 31370 OFFICE EXPENSES 19081 0 19081 OTHER K-1 EXPENSES, NET OF UBI 0 1333670 0 OTHER K-1 INCOME, NET OF UBI 41666 UNREALIZED GAIN ON INVESTMENTS 47740475 BANK AND INVESTMENT 1773350 1773350 0 GRANTS ADMINISTRATION 469929 0 469929 FINANCIAL ADMINISTRATION 117201 0 117201 OTHER (MISC) 66329 0 66329 FOREIGN TAXES THRU K-1'S, NET OF UBI 0 11204 0 STATE UBI TAX 303 0 0 FEDERAL EXCISE TAX 300000 0 0 FOREIGN TAX WITHHELD 11979 11979 0