1296 file is July data

July 2016 xl

attachments zip is Aug 2016 data

based on the July 2016 xl you have to prepare the Aug NAV of the company

PERENNIAL PROTECTION FUND LLC JULY 2016 BALANCE SHEET ASSETS SECURITIES OWNED 6,246,079.92 INTEREST RECEIVABLE DIVIDEND RECEIVABLE CASH DUE FROM BROKER RECEIVABLE FROM SALE OF SECURITIES OWNED PREPAID EXPENSES TOTAL ASSETS LIABILITIES SECURITIES SOLD SHORT PAYABLE TO AFFILIATE PAYABLE TO MANAGING MEMBER PAYABLE FOR SECURITIES PURCHASED DUE TO MEMBERS ACCRUED LIABILITIES TOTAL LIABILITIES 6,008,968.31 11,978.07 115,027.34 123,168.29 10,146.67 6,269,288.68 - (639,327.06) 11,701.17 (327,906.04) (16,291.67) (971,823.60) NET ASSETS (5,297,465.08) Check Check to TB 0.00 - PERENNIAL PROTECTION FUND LLC JULY 2016 KEY MONTH TO DATE INVESTMENT INCOME INTEREST DIVIDENDS TOTAL INVESTMENT INCOME a b (18,408.90) (2,000.00) (20,408.90) INVESTMENT EXPENSES MANAGEMENT FEE PROFESSIONAL FEE DIVIDENDS INTEREST EXPENSE STOCK BORROWING FEES OTHER TOTAL INVESTMENT EXPENSES c d e j f g 10,452.33 6,675.00 94.03 85.00 17,306.36 INVESTMENT INCOME/(EXP) - NET REALIZED AND UNREALIZED INVESTMENT ACTIVITY REALIZED (GAIN)/LOSS UNREALIZED (GAIN)/LOSS NET GAIN/(LOSS) ON INVESTMENTS NET (INCOME)/LOSS (3,102.54) h i 42,376.88 42,376.88 39,274.34 YEAR TO DATE (210,739.56) (5,803.56) (216,543.12) 50,034.50 46,724.95 6,904.32 5,033.01 3,065.79 2,777.56 114,540.13 (102,002.99) 48,652.21 60,648.61 109,300.82 7,297.83 PERENNIAL PROTECTION FUND LLC JULY 2016 TRIAL BALANCE KEY SECURITIES OWNED AT COST UNREALIZED ON SECURITIES OWNED AT COST INTEREST RECEIVABLE DIVIDEND RECEIVABLE CASH - BANC OF CALIFORNIA DUE FROM BROKER - MAXIM (PERSHING) RECEIVABLE FROM SALE OF RECOVERY I LLC PREPAID AUDIT FEE PREPAID TAX FEE PREPAID ADMINISTRATION FEE DUE FROM GP SECURITIES SOLD SHORT - PROCEEDS UNREALIZED ON SECURITIES SOLD SHORT PAYABLE TO AFFILIATE - PSIF PAYABLE TO MANAGING MEMBER PAYABLE FOR SECURITIES PURCHASED ACCRUED LIABILITIES DUE TO MEMBERS PARTNERS CAPITAL INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - CORPORATE BONDS DIVIDEND INCOME INTEREST EXPENSE MANAGEMENT FEE ADMINISTRATION FEE AUDIT FEE TAX FEE DIVIDEND EXPENSE STOCK BORROWING FEE BANK CHARGES TRANSACTION FEES OTHER EXPENSES REALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS a a a b j c d d d e f g g g h i OPENING BALANCE 6,650,920.45 (194,734.73) 8,341.68 144,794.24 1,121,292.32 12,280.00 0.00 704.00 (37,069.00) 2,949.50 (16,750.00) (327,906.04) (7,364,822.42) 0.00 CURRENT MONTH ACTIVITY DR CR (404,840.53) (42,376.88) 18,097.61 (14,461.22) 2,021,871.10 (2,051,638.00) 2,000.00 (1,000,124.03) (2,133.33) (602,258.06) 18,500.00 (10,452.33) 5,000.00 (4,541.67) 2,028,083.00 (311.29) (18,097.61) (2,000.00) 10,452.33 1,833.33 2,708.33 2,133.33 94.03 85.00 42,376.88 4,153,234.95 (4,153,234.95) Closing NAV CLOSING BALANCE 6,246,079.92 (237,111.61) 11,978.07 115,027.34 123,168.29 10,146.67 0.00 704.00 (639,327.06) 10,997.17 (16,291.67) (327,906.04) (5,336,739.42) (311.29) (18,097.61) (2,000.00) 10,452.33 1,833.33 2,708.33 2,133.33 94.03 85.00 42,376.88 0.00 (5,297,465.08) STATEMENT BAL: STATEMENT BAL: 115,027.34 123,168.29 (0.00) 0.00 PERENNIAL PROTECTION FUND LLC JULY 2016 TRIAL BALANCE KEY SECURITIES OWNED AT COST UNREALIZED ON SECURITIES OWNED AT COST INTEREST RECEIVABLE DIVIDEND RECEIVABLE CASH - BANC OF CALIFORNIA DUE FROM BROKER - MAXIM (PERSHING) RECEIVABLE FROM SALE OF RECOVERY I LLC PREPAID AUDIT FEE PREPAID TAX FEE PREPAID ADMINISTRATION FEE DUE FROM GP SECURITIES SOLD SHORT - PROCEEDS UNREALIZED ON SECURITIES SOLD SHORT PAYABLE TO AFFILIATE - PSIF PAYABLE TO MANAGING MEMBER PAYABLE FOR SECURITIES PURCHASED ACCRUED LIABILITIES DUE TO MEMBERS PARTNERS CAPITAL INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - CORPORATE BONDS DIVIDEND INCOME INTEREST EXPENSE MANAGEMENT FEE ADMINISTRATION FEE AUDIT FEE TAX FEE DIVIDEND EXPENSE STOCK BORROWING FEE BANK CHARGES TRANSACTION FEES OTHER EXPENSES REALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS a a a b j c d d d e f g g g h i OPENING BALANCE 8,215,068.00 (168,902.00) 22,723.00 847,949.00 2,553,877.00 115,972.00 12,280.00 2,350.00 704.00 (1,174,669.00) (7,561.00) (85,846.00) (6,401.00) (352,026.00) (9,975,518.00) - YEAR TO DATE ACTIVITY DR CR 2,529,421.66 (4,498,409.74) 267,775.71 (335,985.32) 102,056.89 (112,801.82) 5,356.17 (5,356.17) 4,733,503.96 (5,466,425.62) 3,841,986.65 (6,272,695.36) (115,972.00) 12,800.00 (14,933.32) 6,816.67 (9,166.65) 1,181,559.01 (6,890.00) 78,608.32 (71,047.32) 85,846.00 (639,327.06) 68,964.67 (51,566.50) 7,650.00 (23,941.65) 292,447.16 (268,327.20) 4,670,755.04 (2,496.95) (95,710.50) 6,000.00 (118,532.11) 5,356.17 (11,159.73) 5,033.01 51,566.50 (1,532.00) 12,833.32 18,958.32 14,933.32 6,904.32 3,065.79 295.00 275.56 2,207.00 241,583.88 (192,931.68) 407,032.64 (346,384.03) 18,661,592.72 (18,661,592.72) Closing NAV CLOSING BALANCE 6,246,079.92 (237,111.61) 11,978.07 115,027.34 123,168.29 10,146.68 0.02 704.00 0.01 (0.01) (639,327.06) 10,997.17 (16,291.65) (327,906.04) (5,304,762.96) (2,496.95) (95,710.50) (112,532.11) (5,803.56) 5,033.01 50,034.50 12,833.32 18,958.32 14,933.32 6,904.32 3,065.79 295.00 275.56 2,207.00 48,652.21 60,648.61 (0.00) (5,297,465.13) STATEMENT BAL: STATEMENT BAL: 115,027.34 123,168.29 (0.00) - PERENNIAL PROTECTION FUND LLC JULY 2016 JOURNAL ENTRIES DATE 7.01.2016 7.01.2016 7.11.2016 7.11.2016 7.25.2016 7.25.2016 7.29.2016 7.29.2016 7.05.2016 7.05.2016 7.18.2016 7.18.2016 7.18.2016 7.18.2016 7.05.2016 7.05.2016 7.06.2016 7.06.2016 7.18.2016 7.18.2016 7.26.2016 7.26.2016 7.29.2016 7.29.2016 7.01.2016 7.01.2016 7.11.2016 7.11.2016 7.12.2016 7.12.2016 7.12.2016 7.12.2016 7.25.2016 7.25.2016 7.29.2016 7.29.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 ACCOUNT BANK CHARGES CASH - BANC OF CALIFORNIA BANK CHARGES CASH - BANC OF CALIFORNIA BANK CHARGES CASH - BANC OF CALIFORNIA BANK CHARGES CASH - BANC OF CALIFORNIA ACCRUED LIABILITIES CASH - BANC OF CALIFORNIA PAYABLE TO MANAGING MEMBER CASH - BANC OF CALIFORNIA PAYABLE TO MANAGING MEMBER CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA PAYABLE TO AFFILIATE - PSIF CASH - BANC OF CALIFORNIA SECURITIES OWNED AT COST CASH - BANC OF CALIFORNIA SECURITIES OWNED AT COST CASH - BANC OF CALIFORNIA SECURITIES OWNED AT COST CASH - BANC OF CALIFORNIA DUE FROM BROKER - MAXIM (PERSHING) CASH - BANC OF CALIFORNIA INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS DR 10.00 10.00 10.00 25.00 5,000.00 4,500.00 14,000.00 255,000.00 460,000.00 7,083.00 1,300,000.00 6,000.00 600,000.00 400,000.00 2,965.70 1,874.83 1,000,000.00 311.29 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.12.2016 7.12.2016 7.31.2016 7.31.2016 7.20.2016 7.20.2016 7.25.2016 7.25.2016 7.19.2016 7.19.2016 7.01.2016 7.01.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA PAYABLE TO AFFILIATE - PSIF CHANGE IN UNREALIZED ON INVESTMENTS UNREALIZED ON SECURITIES OWNED AT COST DUE FROM BROKER - MAXIM (PERSHING) DIVIDEND INCOME BANK CHARGES DUE FROM BROKER - MAXIM (PERSHING) STOCK BORROWING FEE DUE FROM BROKER - MAXIM (PERSHING) MANAGEMENT FEE PAYABLE TO MANAGING MEMBER ADMINISTRATION FEE ACCRUED LIABILITIES AUDIT FEE ACCRUED LIABILITIES TAX FEE PREPAID TAX FEE 18,097.61 14,461.22 2,258.06 42,376.88 2,000.00 30.00 94.03 10,452.33 1,833.33 2,708.33 2,133.33 CR (10.00) (10.00) (10.00) (25.00) (5,000.00) (4,500.00) (14,000.00) (255,000.00) (460,000.00) (7,083.00) (1,300,000.00) (6,000.00) (600,000.00) (400,000.00) (2,965.70) (1,874.83) (1,000,000.00) (311.29) (9,837.42) (1,075.27) (15.71) (21.99) (6,619.79) (527.43) (8,981.38) (1,075.27) (15.41) (21.58) (11.29) (2.12) (3,843.75) (510.42) (2,258.06) (42,376.88) (2,000.00) (30.00) (94.03) (10,452.33) (1,833.33) (2,708.33) (2,133.33) Control Check DESCRIPTION WIRE FEE WIRE FEE WIRE FEE WIRE FEE WIRE FEE WIRE FEE WIRE FEE WIRE FEE PAYMENT MADE TO PARTNERSADMIN PAYMENT MADE TO PARTNERSADMIN PAYMENT TO F500 FOR MANAGEMENT FEES PAYMENT TO F500 FOR MANAGEMENT FEES PAYMENT TO F500 FOR MANAGEMENT FEES PAYMENT TO F500 FOR MANAGEMENT FEES Mildred Primanti Revocable Living Trust - B Shares Mildred Primanti Revocable Living Trust - B Shares Murray 2007 Trust - B Shares Murray 2007 Trust - B Shares THE SHERYLE ULYATE TRUST DTD 07/16 THE SHERYLE ULYATE TRUST DTD 07/16 Stanton See Perry Revocable Living Trust - B Shares Stanton See Perry Revocable Living Trust - B Shares Scott Parent - Sub Account of GP Scott Parent - Sub Account of GP Due to Foundation Specialty Financing Fund Due to Foundation Specialty Financing Fund Receipt of Paydown on Class D Receipt of Paydown on Class D (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B - PRINCIPAL PAYDOWN (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B - PRINCIPAL PAYDOWN (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B - PRINCIPAL PAYDOWN (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B - PRINCIPAL PAYDOWN Transfer from Broker Transfer from Broker Interest earned on Banc of California Interest earned on Banc of California PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G INTEREST INCOME FOR JULY 2016 ON PRIVATE INVESTMENTS PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G RECEIPT OF INTEREST INCOME ON PRIVATE INVESTMENTS DUE TO AFFILIATE - INCORRECTLY ALLOCATED TO PPF DUE TO AFFILIATE - INCORRECTLY ALLOCATED TO PPF CHANGE IN UNREALIZED ON PORTFOLIO FOR JULY 2016 CHANGE IN UNREALIZED ON PORTFOLIO FOR JULY 2016 PREFERRED APT CMNTYS INC PFD SER A REDEEMABLE OPT OF HOLDER EXP 09/15/2015 09/15/2025 (74039E786) PREFERRED APT CMNTYS INC PFD SER A REDEEMABLE OPT OF HOLDER EXP 09/15/2015 09/15/2025 (74039E786) WIRE FEE WIRE FEE STOCK BORROWING FEE FOR JULY 2016 STOCK BORROWING FEE FOR JULY 2016 MANAGEMENT FEE FOR THIRD QUARTER 2016 MANAGEMENT FEE FOR THIRD QUARTER 2016 JULY ADMIN FEE ACCRUAL JULY ADMIN FEE ACCRUAL JULY AUDIT FEE ACCRUAL JULY AUDIT FEE ACCRUAL JULY TAX FEE ACCRUAL JULY TAX FEE ACCRUAL PERENNIAL PROTECTION FUND LLC JULY 2016 GENERAL LEDGER DATE 01.31.2016 2.29.2016 3.14.2016 3.31.2016 4.30.2016 5.31.2016 01.31.2016 2.29.2016 3.31.2016 4.30.2016 5.31.2016 01.31.2016 2.29.2016 3.31.2016 4.30.2016 5.31.2016 04.01.2016 2.29.2016 5.06.2016 5.10.2016 5.10.2016 01.31.2016 04.01.2016 04.01.2016 1.04.2016 1.12.2016 1.14.2016 1.15.2016 1.29.2016 2.01.2016 2.01.2016 2.01.2016 2.02.2016 2.03.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 ACCOUNT ACCRUED LIABILITIES ACCRUED LIABILITIES ACCRUED LIABILITIES ACCRUED LIABILITIES ACCRUED LIABILITIES ACCRUED LIABILITIES ADMINISTRATION FEE ADMINISTRATION FEE ADMINISTRATION FEE ADMINISTRATION FEE ADMINISTRATION FEE AUDIT FEE AUDIT FEE AUDIT FEE AUDIT FEE AUDIT FEE BANK CHARGES BANK CHARGES BANK CHARGES BANK CHARGES BANK CHARGES CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA DR 2,650.00 1,833.33 1,833.33 1,833.33 1,833.33 1,833.33 2,708.33 2,708.33 2,708.33 2,708.33 2,708.33 10.00 10.00 10.00 10.00 30.00 0.70 14,743.22 11,647.87 14,238.88 688.61 2,169.64 3,100.00 3,333.33 4,039.50 43,173.67 1,830.49 2.10.2016 2.11.2016 2.12.2016 2.26.2016 2.29.2016 2.29.2016 2.29.2016 2.29.2016 3.02.2016 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.11.2016 3.14.2016 3.14.2016 3.17.2016 3.31.2016 4.01.2016 4.04.2016 4.04.2016 4.06.2016 4.11.2016 4.11.2016 4.15.2016 4.15.2016 4.15.2016 4.15.2016 4.19.2016 4.29.2016 5.06.2016 5.06.2016 5.09.2016 5.09.2016 5.09.2016 5.09.2016 5.09.2016 5.10.2016 5.10.2016 5.10.2016 5.11.2016 5.11.2016 5.11.2016 5.12.2016 5.12.2016 5.31.2016 CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA 2,895.52 505.54 45,000.00 14,955.90 238.17 150.57 1,400.40 7,468.78 11,199.14 200,000.00 567.00 790.80 499.17 12,513.64 2,559.00 1,148.04 6,122.90 167.79 37,069.00 3,582.78 2,265.71 115,067.75 350,000.00 1,007.67 5,374.27 12,689.90 9,262.78 133.99 01.31.2016 01.31.2016 2.29.2016 2.29.2016 3.31.2016 3.31.2016 4.30.2016 4.30.2016 5.31.2016 5.31.2016 03.18.2016 03.29.2016 03.31.2016 2.05.2015 5.25.2016 5.25.2016 01.31.2016 03.18.2016 03.29.2016 03.31.2016 1.13.2016 1.20.2016 1.20.2016 1.20.2016 1.29.2016 1.4.2016 1.7.2016 2.01.2016 2.03.2016 2.03.2016 2.03.2016 2.05.2015 2.19.2016 2.26.2016 2.26.2016 2.29.2016 3.02.2016 3.04.2016 3.04.2016 3.11.2016 3.15.2016 3.18.2016 3.18.2016 3.31.2016 4.04.2016 4.14.2016 4.15.2016 4.19.2016 CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS CHANGE IN UNREALIZED ON INVESTMENTS DIVIDEND EXPENSE DIVIDEND EXPENSE DIVIDEND INCOME DIVIDEND INCOME DIVIDEND INCOME DIVIDEND RECEIVABLE DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) 25,951.97 23,034.82 54,731.04 143,029.26 40,102.50 69,896.17 7,910.00 1,360.00 2,236.47 5,356.17 3,412.50 812.50 61,500.00 6,388.00 2,966.00 391.06 2,708.47 76,369.90 45,000.00 5,000.00 3,250.00 950.00 14,600.00 6,252.00 812.50 2,500.00 5.03.2016 5.03.2016 5.10.2016 5.10.2016 5.16.2016 5.19.2016 5.19.2016 5.24.2016 5.25.2016 5.25.2016 5.25.2016 5.25.2016 5.26.2016 5.26.2016 5.26.2016 5.27.2016 5.27.2016 5.31.2016 5.31.2016 5.31.2016 5.31.2016 1.04.2016 1.1.2016 2.02.2016 2.11.2016 2.29.2016 3.17.2016 4.19.2016 2.03.2016 2.03.2016 2.03.2016 5.03.2016 5.25.2016 1.29.2016 2.29.2016 3.31.2016 4.29.2016 5.31.2016 01.31.2016 1.29.2016 1.7.2016 3.02.2016 3.11.2016 3.15.2016 3.31.2016 4.04.2016 4.14.2016 4.15.2016 DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE FROM BROKER - MAXIM (PERSHING) DUE TO MEMBERS DUE TO MEMBERS DUE TO MEMBERS DUE TO MEMBERS DUE TO MEMBERS DUE TO MEMBERS DUE TO MEMBERS INTEREST EXPENSE INTEREST EXPENSE INTEREST EXPENSE INTEREST EXPENSE INTEREST EXPENSE INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS 3,000.00 2,500.00 15,322.88 25,486.14 2,540.94 38,304.21 17,846.60 28,016.38 98,480.00 236.11 96,510.00 38,620.00 666.67 411.67 7,083.00 200,000.00 45,000.00 23,366.00 16,998.16 1,569.44 1,152.78 754.72 1,250.00 194.44 6,000.00 4.29.2016 5.16.2016 5.27.2016 5.31.2016 5.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 01.31.2016 2.29.2016 2.29.2016 2.29.2016 2.29.2016 2.29.2016 2.29.2016 2.29.2016 2.29.2016 2.29.2016 2.29.2016 3.31.2016 3.31.2016 3.31.2016 3.31.2016 3.31.2016 3.31.2016 3.31.2016 3.31.2016 3.31.2016 3.31.2016 4.30.2016 4.30.2016 4.30.2016 4.30.2016 4.30.2016 4.30.2016 4.30.2016 5.31.2016 5.31.2016 5.31.2016 INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS 5.31.2016 5.31.2016 5.31.2016 5.31.2016 5.31.2016 01.31.2016 01.31.2016 1.11.2016 1.11.2016 1.11.2016 1.11.2016 1.11.2016 1.13.2016 1.15.2016 1.15.2016 1.4.2016 1.7.2016 1.7.2016 2.01.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.29.2016 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.23.2016 3.23.2016 3.31.2016 4.11.2016 4.15.2016 4.15.2016 4.15.2016 4.15.2016 4.15.2016 4.15.2016 INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE 12,692.64 2,966.00 380.39 14,925.66 12,513.64 4.15.2016 4.15.2016 4.15.2016 4.29.2016 4.30.2016 5.03.2016 5.10.2016 5.12.2016 5.12.2016 5.12.2016 5.12.2016 5.12.2016 5.18.2016 5.18.2016 5.31.2016 01.31.2016 2.29.2016 3.31.2016 4.30.2016 5.31.2016 5.09.2016 5.09.2016 1.1.2016 2.01.2016 2.26.2016 3.02.2016 3.14.2016 4.01.2016 4.04.2016 4.04.2016 4.06.2016 4.19.2016 5.09.2016 2.01.2016 2.01.2016 5.06.2016 01.31.2016 04.01.2016 2.12.2016 2.29.2016 3.31.2016 4.30.2016 5.31.2016 01.31.2016 2.01.2016 2.29.2016 3.31.2016 4.30.2016 INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE MANAGEMENT FEE MANAGEMENT FEE MANAGEMENT FEE MANAGEMENT FEE MANAGEMENT FEE OTHER EXPENSES OTHER EXPENSES PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PARTNERS CAPITAL PAYABLE TO AFFILIATE - PSIF PAYABLE TO AFFILIATE - PSIF PAYABLE TO AFFILIATE - PSIF PAYABLE TO MANAGING MEMBER PAYABLE TO MANAGING MEMBER PAYABLE TO MANAGING MEMBER PAYABLE TO MANAGING MEMBER PAYABLE TO MANAGING MEMBER PAYABLE TO MANAGING MEMBER PAYABLE TO MANAGING MEMBER PREPAID ADMINISTRATION FEE PREPAID ADMINISTRATION FEE PREPAID ADMINISTRATION FEE PREPAID ADMINISTRATION FEE PREPAID ADMINISTRATION FEE 3,000.00 13,073.64 7,688.03 21,347.27 19,766.90 668.00 1,539.00 223,327.20 7,083.00 22,875.00 7,083.00 30,000.00 7,083.00 4,557.00 500,000.00 30,000.00 26,497.84 7,083.00 85,845.95 0.05 25,000.00 20,000.00 44.00 3.00 6.00 5,500.00 5.31.2016 01.31.2016 2.03.2016 2.29.2016 3.31.2016 4.30.2016 5.31.2016 01.31.2016 01.31.2016 1.12.2016 1.12.2016 1.12.2016 1.14.2016 1.20.2016 2.01.2016 2.10.2016 2.10.2016 2.26.2016 3.10.2016 3.10.2016 4.15.2016 5.10.2016 5.12.2016 5.19.2016 5.24.2016 5.25.2016 5.25.2016 5.26.2016 5.26.2016 5.26.2016 5.27.2016 5.31.2016 5.31.2016 1.14.2016 1.14.2016 1.14.2016 1.20.2016 1.8.2016 1.8.2016 2.03.2016 2.03.2016 2.03.2016 2.10.2016 2.10.2016 2.10.2016 2.10.2016 2.26.2016 3.04.2016 PREPAID ADMINISTRATION FEE PREPAID TAX FEE PREPAID TAX FEE PREPAID TAX FEE PREPAID TAX FEE PREPAID TAX FEE PREPAID TAX FEE REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS RECEIVABLE FROM SALE OF RECOVERY I LLC REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS REALIZED ON INVESTMENTS SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST 12,800.00 1.38 6,890.00 0.51 76,369.00 95,000.00 95,650.00 37,740.00 250,000.00 3.10.2016 3.10.2016 3.10.2016 3.10.2016 3.11.2016 3.18.2016 4.11.2016 4.11.2016 4.15.2016 4.15.2016 5.09.2016 5.09.2016 5.11.2016 5.11.2016 5.11.2016 5.19.2016 5.19.2016 5.24.2016 5.24.2016 5.25.2016 5.25.2016 5.25.2016 5.26.2016 5.26.2016 5.26.2016 5.26.2016 5.26.2016 5.26.2016 5.27.2016 5.27.2016 5.31.2016 5.31.2016 5.31.2016 5.31.2016 1.20.2016 1.20.2016 1.20.2016 1.20.2016 5.25.2016 5.25.2016 1.20.2016 2.19.2016 3.18.2016 4.19.2016 5.19.2016 01.31.2016 2.29.2016 3.31.2016 SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES SOLD SHORT - PROCEEDS SECURITIES SOLD SHORT - PROCEEDS SECURITIES SOLD SHORT - PROCEEDS SECURITIES SOLD SHORT - PROCEEDS SECURITIES SOLD SHORT - PROCEEDS SECURITIES SOLD SHORT - PROCEEDS STOCK BORROWING FEE STOCK BORROWING FEE STOCK BORROWING FEE STOCK BORROWING FEE STOCK BORROWING FEE TAX FEE TAX FEE TAX FEE 219,937.50 500,000.00 321.38 483.64 40.69 125,000.00 800.46 344.85 513.63 2,830.00 1,510.00 880.00 193,220.00 44,120.00 90,828.84 3,550.98 249,940.00 845.29 447.47 477.60 538.38 379.72 2,133.33 2,133.33 2,133.33 4.30.2016 5.31.2016 2.03.2016 3.04.2016 01.31.2016 2.29.2016 3.31.2016 4.30.2016 5.31.2016 01.31.2016 2.29.2016 3.31.2016 4.30.2016 5.31.2016 6.30.2016 6.30.2016 6.30.2016 6.30.2016 6.30.2016 6.30.2016 6.30.2016 6.30.2016 6.30.2016 6.15.2016 6.10.2016 6.14.2016 6.14.2016 6.15.2016 6.15.2016 6.15.2016 6.15.2016 6.15.2016 6.30.2016 6.30.2016 6.07.2016 6.07.2016 6.22.2016 6.22.2016 6.07.2016 6.07.2016 6.22.2016 6.22.2016 6.10.2016 6.10.2016 6.06.2016 6.06.2016 6.08.2016 6.08.2016 TAX FEE TAX FEE TRANSACTION FEES TRANSACTION FEES UNREALIZED ON SECURITIES OWNED AT COST UNREALIZED ON SECURITIES OWNED AT COST UNREALIZED ON SECURITIES OWNED AT COST UNREALIZED ON SECURITIES OWNED AT COST UNREALIZED ON SECURITIES OWNED AT COST UNREALIZED ON SECURITIES SOLD SHORT UNREALIZED ON SECURITIES SOLD SHORT UNREALIZED ON SECURITIES SOLD SHORT UNREALIZED ON SECURITIES SOLD SHORT UNREALIZED ON SECURITIES SOLD SHORT INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA INTEREST INCOME - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA DUE FROM BROKER - MAXIM (PERSHING) CASH - BANC OF CALIFORNIA DUE FROM BROKER - MAXIM (PERSHING) BANK CHARGES CASH - BANC OF CALIFORNIA BANK CHARGES CASH - BANC OF CALIFORNIA PAYABLE TO MANAGING MEMBER CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA 2,133.33 2,133.33 45.00 15.00 34,599.87 7,232.50 1,285.00 16,719.28 12,133.31 122.73 1,200,000.00 550,000.00 10.00 10.00 3,932.67 20,000.00 7,083.00 6.08.2016 6.08.2016 6.08.2016 6.08.2016 6.23.2016 6.23.2016 6.30.2016 6.30.2016 6.10.2016 6.10.2016 6.15.2016 6.15.2016 6.10.2016 6.10.2016 6.15.2016 6.15.2016 6.03.2016 6.03.2016 6.03.2016 6.03.2016 6.24.2016 6.24.2016 6.24.2016 6.24.2016 6.27.2016 6.27.2016 6.27.2016 6.27.2016 6.07.2016 6.07.2016 6.07.2016 6.07.2016 6.24.2016 6.24.2016 6.24.2016 6.24.2016 6.27.2016 6.27.2016 6.27.2016 6.27.2016 6.01.2016 6.01.2016 6.01.2016 6.01.2016 6.06.2016 6.06.2016 6.06.2016 6.06.2016 PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PAYABLE TO MANAGING MEMBER MANAGEMENT FEE CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES OWNED AT COST SECURITIES SOLD SHORT - PROCEEDS REALIZED ON INVESTMENTS TRANSACTION FEES DUE FROM BROKER - MAXIM (PERSHING) SECURITIES SOLD SHORT - PROCEEDS REALIZED ON INVESTMENTS TRANSACTION FEES DUE FROM BROKER - MAXIM (PERSHING) SECURITIES SOLD SHORT - PROCEEDS REALIZED ON INVESTMENTS TRANSACTION FEES DUE FROM BROKER - MAXIM (PERSHING) SECURITIES SOLD SHORT - PROCEEDS REALIZED ON INVESTMENTS TRANSACTION FEES DUE FROM BROKER - MAXIM (PERSHING) SECURITIES SOLD SHORT - PROCEEDS REALIZED ON INVESTMENTS TRANSACTION FEES DUE FROM BROKER - MAXIM (PERSHING) SECURITIES SOLD SHORT - PROCEEDS REALIZED ON INVESTMENTS TRANSACTION FEES DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST REALIZED ON INVESTMENTS TRANSACTION FEES DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST REALIZED ON INVESTMENTS DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST 440,000.00 810,000.00 500,000.00 1,479.00 2,238.03 1,414.82 335.03 1,786.82 180,772.16 30,827.85 30.00 90,386.08 12,443.92 10.00 90,386.08 9,928.92 15.00 119,177.44 7,347.56 75.00 47,670.98 10.00 71,506.46 45.00 30.56 25,569.44 2,535.00 192,980.00 6.06.2016 6.06.2016 6.07.2016 6.07.2016 6.07.2016 6.07.2016 6.07.2016 6.07.2016 6.22.2016 6.22.2016 6.22.2016 6.22.2016 6.22.2016 6.22.2016 6.06.2016 6.06.2016 6.13.2016 6.13.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.31.2016 6.17.2016 6.17.2016 6.6.2016 6.7.2016 6.13.2016 6.22.2016 6.22.2016 6.09.2016 6.09.2016 6.03.2016 6.09.2016 6.17.2016 6.24.2016 6.19.2016 6.23.2016 6.23.2016 5.10.2016 5.10.2016 REALIZED ON INVESTMENTS DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST REALIZED ON INVESTMENTS DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST REALIZED ON INVESTMENTS DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST REALIZED ON INVESTMENTS DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST REALIZED ON INVESTMENTS DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST DUE FROM BROKER - MAXIM (PERSHING) SECURITIES OWNED AT COST DUE FROM BROKER - MAXIM (PERSHING) UNREALIZED ON SECURITIES OWNED AT COST CHANGE IN UNREALIZED ON INVESTMENTS UNREALIZED ON SECURITIES SOLD SHORT CHANGE IN UNREALIZED ON INVESTMENTS ADMINISTRATION FEE ACCRUED LIABILITIES AUDIT FEE ACCRUED LIABILITIES TAX FEE PREPAID TAX FEE PREPAID ADMINISTRATION FEE ACCRUED LIABILITIES STOCK BORROWING FEE DUE FROM BROKER - MAXIM (PERSHING) BANK CHARGES BANK CHARGES BANK CHARGES BANK CHARGES DUE FROM BROKER - MAXIM (PERSHING) DIVIDEND INCOME DIVIDEND RECEIVABLE INTEREST INCOME - CORPORATE BONDS INTEREST INCOME - CORPORATE BONDS DIVIDEND EXPENSE DIVIDEND EXPENSE INTEREST EXPENSE INTEREST INCOME - CORPORATE BONDS DUE FROM BROKER - MAXIM (PERSHING) REALIZED ON INVESTMENTS RECEIVABLE FROM SALE OF RECOVERY I LLC 375.00 195,140.00 156,750.00 1,343,250.00 1,036,400.00 11,895.00 388,120.00 1,685.00 47,205.00 750,000.00 372,000.00 233,175.84 70,090.82 1,833.33 2,708.33 2,133.33 1,316.67 283.30 30.00 30.00 30.00 30.00 5,356.17 2,310.00 997.85 111.63 10,467.68 904.25 7.01.2016 7.01.2016 7.11.2016 7.11.2016 7.25.2016 7.25.2016 7.29.2016 7.29.2016 7.05.2016 7.05.2016 7.18.2016 7.18.2016 7.18.2016 7.18.2016 7.05.2016 7.05.2016 7.06.2016 7.06.2016 7.18.2016 7.18.2016 7.26.2016 7.26.2016 7.29.2016 7.29.2016 7.01.2016 7.01.2016 7.11.2016 7.11.2016 7.12.2016 7.12.2016 7.12.2016 7.12.2016 7.25.2016 7.25.2016 7.29.2016 7.29.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 BANK CHARGES CASH - BANC OF CALIFORNIA BANK CHARGES CASH - BANC OF CALIFORNIA BANK CHARGES CASH - BANC OF CALIFORNIA BANK CHARGES CASH - BANC OF CALIFORNIA ACCRUED LIABILITIES CASH - BANC OF CALIFORNIA PAYABLE TO MANAGING MEMBER CASH - BANC OF CALIFORNIA PAYABLE TO MANAGING MEMBER CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA PARTNERS CAPITAL CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA PAYABLE TO AFFILIATE - PSIF CASH - BANC OF CALIFORNIA SECURITIES OWNED AT COST CASH - BANC OF CALIFORNIA SECURITIES OWNED AT COST CASH - BANC OF CALIFORNIA SECURITIES OWNED AT COST CASH - BANC OF CALIFORNIA DUE FROM BROKER - MAXIM (PERSHING) CASH - BANC OF CALIFORNIA INTEREST INCOME - BANC OF CALIFORNIA INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST INCOME - PRIVATE INVESTMENTS INTEREST RECEIVABLE 10.00 10.00 10.00 25.00 5,000.00 4,500.00 14,000.00 255,000.00 460,000.00 7,083.00 1,300,000.00 6,000.00 600,000.00 400,000.00 2,965.70 1,874.83 1,000,000.00 311.29 18,097.61 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.12.2016 7.12.2016 7.31.2016 7.31.2016 7.20.2016 7.20.2016 7.25.2016 7.25.2016 7.19.2016 7.19.2016 7.01.2016 7.01.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 7.31.2016 INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE INTEREST RECEIVABLE CASH - BANC OF CALIFORNIA CASH - BANC OF CALIFORNIA PAYABLE TO AFFILIATE - PSIF CHANGE IN UNREALIZED ON INVESTMENTS UNREALIZED ON SECURITIES OWNED AT COST DUE FROM BROKER - MAXIM (PERSHING) DIVIDEND INCOME BANK CHARGES DUE FROM BROKER - MAXIM (PERSHING) STOCK BORROWING FEE DUE FROM BROKER - MAXIM (PERSHING) MANAGEMENT FEE PAYABLE TO MANAGING MEMBER ADMINISTRATION FEE ACCRUED LIABILITIES AUDIT FEE ACCRUED LIABILITIES TAX FEE PREPAID TAX FEE 14,461.22 2,258.06 42,376.88 2,000.00 30.00 94.03 10,452.33 1,833.33 2,708.33 2,133.33 6,000.00 CR (2,708.33) (2,708.33) (2,708.33) (2,708.33) (2,708.33) (10.00) (25,000.00) (7,083.00) (5,500.00) (85,845.95) (7,083.00) (200,000.00) (12,800.00) (45,000.00) (20,000.00) (22,875.00) (45,000.00) (10.00) (7,083.00) (2,650.00) (30,000.00) (23,366.00) (7,083.00) (4,557.00) (500,000.00) (30,000.00) (43,496.00) (10.00) (668.00) (1,539.00) (7,083.00) (10.00) (500,000.00) (7,232.50) (34,599.87) (1,285.00) (3,412.50) (391.06) (5,356.17) (1.38) (1,360.00) (2,236.47) (845.29) (76,369.00) (237,340.00) (380.39) (45.00) (3,476.94) (228,390.00) (447.47) (15.00) (250,000.00) (219,937.50) (477.60) (538.38) (1,250.00) (350,000.00) (30.00) (379.72) (194.44) (249,940.00) (125,000.00) (223,327.20) (45,000.00) (688.61) (505.54) (567.00) (167.79) (133.99) (2,966.00) (61,500.00) (5,000.00) (3,250.00) (950.00) (14,600.00) (6,252.00) (812.50) (2,500.00) (3,000.00) (2,500.00) (236.11) (666.67) (411.67) (5,269.64) (3,333.33) (12.60) (17.64) (2,238.89) (845.36) (158.51) (22.86) (73.60) (172.84) (10.60) (9.34) (527.43) (8,280.74) (3,333.33) (13.82) (19.35) (2,094.44) (420.02) (78.75) (57.28) (134.53) (493.40) (7,542.83) (3,333.33) (25.03) (35.04) (650.00) (229.23) (42.98) (15.04) (112.73) (527.43) (8,540.19) (3,333.33) (19.75) (27.65) (982.75) (143.13) (26.84) (3,100.00) (3,333.33) (16.20) (22.68) (53.05) (9.95) (114.97) (1,037.85) (983.36) (2,487.04) (3,100.00) (3,333.33) (4,296.19) (812.50) (16.23) (22.73) (6,000.00) (6,388.00) (2,966.00) (2,169.64) (3,100.00) (3,333.33) (2,238.90) (845.36) (158.51) (22.86) (73.60) (172.84) (527.43) (8,280.74) (3,333.33) (2,094.44) (420.02) (78.75) (57.28) (134.53) (493.40) (26.42) (36.99) (3,333.33) (7,542.83) (25.03) (35.04) (650.00) (229.23) (42.98) (15.04) (112.73) (527.43) (3,000.00) (3,333.33) (8,540.19) (143.13) (26.84) (88.59) (510.42) (19.75) (27.65) (44.00) (3.00) (6.00) (37,069.00) (21,347.27) (19,766.90) (1,833.33) (1,833.33) (1,833.33) (1,833.33) (1,833.33) (2,133.33) (2,133.33) (2,133.33) (2,133.33) (2,133.33) (0.70) (1,828.36) (3,770.18) (9,144.68) (0.51) (94,379.82) (0.05) (1,388.56) (2,863.29) (2,708.47) (7,518.12) (3,681.02) (2,559.00) (115,067.75) (9,262.78) (321.38) (483.64) (40.69) (800.46) (344.85) (513.63) (2,830.00) (1,510.00) (880.00) (1,148.51) (6,125.37) (2,679.85) (1,694.14) (6,145.55) (32,776.27) (1,830.49) (2,895.52) (76,369.90) (238.17) (150.57) (1,400.40) (7,468.78) (200,000.00) (790.80) (499.17) (1,148.04) (6,122.90) (3,582.78) (2,265.71) (1,007.67) (5,374.27) (15,322.88) (25,486.14) (2,540.94) (38,304.21) (17,846.60) (28,016.38) (98,480.00) (96,510.00) (38,620.00) (6,890.00) (25,951.97) (54,731.04) (143,029.26) (69,896.17) (23,034.82) (40,102.50) (7,910.00) (8,981.38) (3,333.33) (15.41) (21.58) (11.29) (2.12) (3,843.75) (510.42) (8,144.29) (3,333.33) (16.20) (22.68) (53.05) (9.95) (26.38) (527.43) (122.73) (1,200,000.00) (550,000.00) (10.00) (10.00) (3,932.67) (20,000.00) (7,083.00) (440,000.00) (810,000.00) (500,000.00) (1,479.00) (2,238.03) (1,414.82) (335.03) (1,786.82) (211,630.00) (102,840.00) (100,330.00) (126,600.00) (2,670.98) (45,010.00) (6,448.01) (65,103.45) (25,002.50) (597.50) (195,515.00) (195,515.00) (1,500,000.00) (1,000,015.00) (36,385.00) (400,015.00) (48,890.00) (750,000.00) (372,000.00) (233,175.84) (70,090.82) (1,833.33) (2,708.33) (2,133.33) (1,316.67) (283.30) (120.00) (5,356.17) (5,000.00) (5,371.53) (3,515.63) (904.25) (10.00) (10.00) (10.00) (25.00) (5,000.00) (4,500.00) (14,000.00) (255,000.00) (460,000.00) (7,083.00) (1,300,000.00) (6,000.00) (600,000.00) (400,000.00) (2,965.70) (1,874.83) (1,000,000.00) (311.29) (9,837.42) (1,075.27) (15.71) (21.99) (6,619.79) (527.43) (8,981.38) (1,075.27) (15.41) (21.58) (11.29) (2.12) (3,843.75) (510.42) (2,258.06) (42,376.88) (2,000.00) (30.00) (94.03) (10,452.33) (1,833.33) (2,708.33) (2,133.33) Control Check DESCRIPTION January audit fee accrual Feb Audit fee accrual Payment to EisnerAmper - audit fees Mar Audit fee accrual Apr Audit fee accrual May Audit fee accrual January admin fee accrual Feb Admin fee accrual Mar Admin fee accrual Apr Admin fee accrual May Admin fee accrual January audit fee accrual Feb Audit fee accrual Mar Audit fee accrual Apr Audit fee accrual May Audit fee accrual INCOMING WIRE FEE Incoming wire fee - February 2016 INCOMING WIRE FEE INCOMING WIRE FEE WIRED FUND FEES Correction of opening balance rounding INCOMING WIRE FEE PAYMENT TO MANAGING MEMBER - April 2016 Payout of member withdrawal Receipt of January principle paydown Receipt of January principle paydown Interest received in January 2016 Banc of California Interest earned Payment to North Street Global - Admin fee Payment to Foundation Speciality Financing Fund Sheryle Ulyate Trust - Feb 2016 withdrawal Rosemary Peek - withdrawal Payment to North Street Global - Tax fees INTEREST INCOME RECEIVED INTEREST INCOME RECEIVED Class D interest income Portion of $47,213.17 received pertaining to interest income Interest and principle received Principal payment - Class B Principal payment - Class B Phillip Vigil - withdrawal paid Payment to manager - F500 Advisory Services, Inc. Stanton See Perry Revocable Inter V Banc of California Interest earned Transfer to broker from Banc of California Incoming wire fee - February 2016 Incoming wire - Phillip Vigil Sheryle Ulyate Trust dtd 07/16 - monthly withdrawal Receipt of Interest income on private investments (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B - MAR PAYDOWN (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B - MAR PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 - MAR PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 - MAR PAYDOWN RECEIPT OF PAYDOWN ON CLASS F PRIVATE INVESTMENTS (FSFFLICB061314) Foundation Specialty Financing Fund LLC 061314 Limited Interests - Class B - MAR PAYDOWN Payment to EisnerAmper - audit fees Capital withdrawal - Philip Vigil Rosemary Peek - final portion of withdrawal paid Banc of California interest earned Capital withdrawal Capital withdrawal Capital withdrawal Capital withdrawal (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B - PRINCIPAL PAYDOWN (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B - PRINCIPAL PAYDOWN Receipt of Interest income on private investments CLASS F PRINCIPAL PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 - PRINCIPAL PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 - PRINCIPAL PAYDOWN Capital withdrawal Banc of California interest earned INCOMING WIRE FEE WIRE TRANSFER RECEIVED INTENDED FOR PERENNIAL SPECIALTY INCOME FUND CORPORATION SERVICE COMPANY CORPORATION SERVICE COMPANY THE SHERYLE ULYATE TRUST DTD 07/16 (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B INCOMING WIRE FEE FINAL PAYMENT ON BVF FUNDS TRANSFER FROM BROKER TO BOC (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 Foundation Speciality Financing Fund LLC - NEW INVESTMENT Receipt of interest income on private investments CLASS F PRINCIPAL PAYDOWN Banc of California interest earned Change in unrealized on long positions Change in unrealized on short positions Change in unrealized on long positions - Feb 2016 Change in unrealized on short positions - Feb 2016 Change in unrealized on long positions - Mar 2016 Change in unrealized on short positions - Mar 2016 Change in unrealized on long positions - Apr 2016 Change in unrealized on short positions - Apr 2016 Change in unrealized on long positions - May 2016 Change in unrealized on short positions - May 2016 VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETF ISHARES TR CORE S&P 500 ETF DIV INC - (ECCZ) EAGLE PT CR CO Dividend income earned - Feb 2016 JP Morgan Chase & Co. Medium term NTS Yield NTS (JPM4341573) JP Morgan Chase & Co. Medium term NTS Yield NTS (JPM4341573) Correction of opening balance rounding DIV EXP - VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETF DIV EXP - ISHARES TR CORE S&P 500 ETF DIV INC - (ECCZ) EAGLE PT CR CO 50000 Credit Suisse Medium Term BK NTS LKD to PERF of S&P 500 Stock borrowing fee January 2016 (HYG) ISHARES TR IBOXX HIGH YIELD CORP BD ETF PURCHASE OF SECURITIES TO COVER SHORT - JANUARY 2016 (05579TFV3) BNP PARIBAS/ BNP PARIBAS US MTN LNKD Cash dividend charge (IVV) 400000 Credit Suisse MTN LK to S&P 500 Index and Russell 2000 Bond interest payment received Transaction fee on purchase of Prospect CAP Corp Internotes Accrued interest purchased on purchase of Prospect Cap Corp Internotes Cost of securities purchased in February Dividend income earned - Feb 2016 Stock borrowing fee - Feb 2016 Realized on sale of ISHARES TR IBOXX - 1000 units SALE OF - (HYG) ISHARES TR IBOXX HIGH YIELD CORP BD ETF Transfer to broker from Banc of California INT INC - (06741UQG2) BARCLAYS BANK PLC Transaction fee on purchase of JP Morgan Chase & Co. Medium Term NTS Yield NTS Purchase of - JP Morgan Chase & Co. Medium term NTS Yield NTS (JPM4341573) INT INC - (22547QDF0) CREDIT SUISSE SECS USACS 0 06/10/19 INT INC - PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 Purchase of - Credit Suisse London BRH MTN LKD to SPX RTY INDEX (CS4345620) Stock borrowing fee - Mar 2016 INT INC - (63873HKT0) NATIXIS US MTN LLCKNFP 0 12/28/23 (22547QB54) CREDIT SUISSE LONDONCS 6 10/02/18 (22547QET9) CREDIT SUISSE SECS USACS 0 07/15/19 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 Stock borrowing fee - Apr 2016 (22547QC46) CREDIT SUISSE LONDONCS 6 10/31/18 (037833AJ9) APPLE INCAAPL 1 05/03/18 FUNDS TRANSFER FROM BROKER TO BOC WIRED FUND FEES PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 Stock borrowing fee - May 2016 (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO INTEREST PURCHASED ON APPLE INC FXD RT 1.000% 05/03/18 - PURCHASE TO COVER SHORT (037833AJ9) APPLE INCAAPL 1 05/03/18 (ECCZ) EAGLE PT CR CO (22548Q6M23) CREDIT SUISSE AG, LONDON LKD TO SPX RTY 0 05/28/21 (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 Payout of member withdrawal Rosemary Peek 100% withdrawal from the fund Rosemary Peek - withdrawal Phillip Vigil - withdrawal paid Incoming wire - Phillip Vigil Rosemary Peek - final portion of withdrawal paid Jack Weiblen - B Shares PROSPECT CAP CORP INTERNOTES FXD RT - interest purchased PROSPECT CAP CORP INTERNOTES FXD RT - interest purchased PROSPECT CAP CORP INTERNOTES FXD RT - interest purchased (037833AJ9) APPLE INCAAPL 1 05/03/18 INTEREST PURCHASED ON APPLE INC FXD RT 1.000% 05/03/18 - PURCHASE TO COVER SHORT Banc of California Interest earned Banc of California Interest earned Banc of California interest earned Banc of California interest earned Banc of California interest earned 50000 Credit Suisse Medium Term BK NTS LKD to PERF of S&P 500 - January 2016 accrual per broker stmt (05579TFV3) BNP PARIBAS/ BNP PARIBAS US MTN LNKD 400000 Credit Suisse MTN LK to S&P 500 Index and Russell 2000 - reversal of prior month accrual INT INC - (06741UQG2) BARCLAYS BANK PLC INT INC - (22547QDF0) CREDIT SUISSE SECS USACS 0 06/10/19 INT INC - PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 INT INC - (63873HKT0) NATIXIS US MTN LLCKNFP 0 12/28/23 (22547QB54) CREDIT SUISSE LONDONCS 6 10/02/18 (22547QET9) CREDIT SUISSE SECS USACS 0 07/15/19 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 (22547QC46) CREDIT SUISSE LONDONCS 6 10/31/18 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 - ACCRUED INTEREST PURCH PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 - ACCRUED INTEREST PURCH PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 - ACCRUED INTEREST PURCH PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G Interest receivable for January 2016 50000 Credit Suisse Medium Term BK NTS LKD to PERF of S&P 500 - January 2016 accrual per broker stmt Interest PrimaLand Nov Dividend PrimaLand Dec Dividend Interest Interest 50000 Credit Suisse Medium Term BK NTS LKD to PERF of S&P 500 Interest Interest Cash dividend charge (IVV) 400000 Credit Suisse MTN LK to S&P 500 Index and Russell 2000 - reversal of prior month accrual 400000 Credit Suisse MTN LK to S&P 500 Index and Russell 2000 Bond interest payment received DEC DIVIDEND PRIMALEND JAN PRIMALEND DIVIDEND Class D interest income Interest income received Interest income received Interest income received Interest income received Interest income received Interest income received Interest income received FEBRUARY INTEREST INCOME RECEIVABLE PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Speciality Financing Fund - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Interest income for March 2016 on private investments Genesis Financial Services Fund - Class D PrimaLend Preferred participation Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G (22547QC46) CREDIT SUISSE LONDONCS 6 10/31/18 Interest income for April 2016 on private investments (22547QC46) CREDIT SUISSE LONDONCS 6 10/31/18 Genesis Financial Services Fund - Class D PrimaLend Preferred participation Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Interest income for May 2016 on private investments January 2016 management fee Reversal of management fees on capital withdrawal - Sheryle Ulyate Reversal of management fees on capital withdrawal - Sheryle Ulyate April 2016 Management Fee Reversal of management fees on capital withdrawal - Sheryle Ulyate CORPORATION SERVICE COMPANY CORPORATION SERVICE COMPANY Rosemary Peek 100% withdrawal from the fund Sheryle Ulyate Trust - Feb 2016 withdrawal Stanton See Perry Revocable Inter V Sheryle Ulyate Trust dtd 07/16 - monthly withdrawal Capital withdrawal - Philip Vigil THE SHERYLE ULYATE TRUST DTD 07/16 Stanton See Perry Revocable Living Trust - B Shares Jack Weiblen - B Shares PHILIP VIGIL Jack Weiblen - B Shares THE SHERYLE ULYATE TRUST DTD 07/16 Payment to Foundation Speciality Financing Fund Correction of rounding difference WIRE TRANSFER RECEIVED INTENDED FOR PERENNIAL SPECIALTY INCOME FUND January 2016 management fee PAYMENT TO MANAGING MEMBER - April 2016 Payment to manager - F500 Advisory Services, Inc. Reversal of management fees on capital withdrawal - Sheryle Ulyate Reversal of management fees on capital withdrawal - Sheryle Ulyate April 2016 Management Fee Reversal of management fees on capital withdrawal - Sheryle Ulyate January admin fee accrual Payment to North Street Global - Admin fee Feb Admin fee accrual Mar Admin fee accrual Apr Admin fee accrual May Admin fee accrual January tax fee accrual Payment to North Street Global - Tax fees Feb tax fee accrual Mar tax fee accrual Apr tax fee accrual May tax fee accrual Correction of opening balance rounding Correction of opening balance rounding Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class F To correct rounding difference noted between portfolio and balance sheet REALIZED ON SETTLEMENT OF SHORT POSITIONS Correction of rounding difference Class F # 12 paydown received Class F # 13 paydown received Realized on sale of ISHARES TR IBOXX - 1000 units Foundation Speciality Financing Fund - Class F - MAR PAYDOWN Foundation Speciality Financing Fund - Class F - MAR PAYDOWN CLASS F PRINCIPAL PAYDOWN FINAL PAYMENT ON BVF CLASS F PRINCIPAL PAYDOWN (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (037833AJ9) APPLE INCAAPL 1 05/03/18 (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 - January paydown (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 - January paydown To correct rounding difference noted between portfolio and balance sheet (HYG) ISHARES TR IBOXX HIGH YIELD CORP BD ETF (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B - January paydown (FHOF051512CB) Foundation Healthcare Opportunities Fund LLC 051512 - Class B - January paydown PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B SALE OF - (HYG) ISHARES TR IBOXX HIGH YIELD CORP BD ETF Purchase of - JP Morgan Chase & Co. Medium term NTS Yield NTS (JPM4341573) (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B - MAR PAYDOWN (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B - MAR PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 - MAR PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 - MAR PAYDOWN (FSFFLICB061314) Foundation Specialty Financing Fund LLC 061314 Limited Interests - Class B - MAR PAYDOWN Purchase of - Credit Suisse London BRH MTN LKD to SPX RTY INDEX (CS4345620) (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B - PRINCIPAL PAYDOWN (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B - PRINCIPAL PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 - PRINCIPAL PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 - PRINCIPAL PAYDOWN (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 Foundation Speciality Financing Fund LLC - NEW INVESTMENT (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (22548Q6M23) CREDIT SUISSE AG, LONDON LKD TO SPX RTY 0 05/28/21 (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO (ECCZ) EAGLE PT CR CO PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 11/15/18 B/E DTD 11/29/13 - PSEC4074738 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 04/15/20 B/E DTD 04/25/13 - PSEC3996701 PROSPECT CAP CORP INTERNOTES FXD RT 5.000% 03/15/19 B/E DTD 03/06/14 - PSEC4103219 (IWM) ISHARES TR RUSSEL 2000 ETF (VGK) VANGUARD INTL EQUITY INDEX FDS FTSE (IWM) ISHARES TR RUSSEL 2000 ETF (VGK) VANGUARD INTL EQUITY INDEX FDS FTSE (037833AJ9) APPLE INCAAPL 1 05/03/18 (037833AJ9) APPLE INCAAPL 1 05/03/18 Stock borrowing fee January 2016 Stock borrowing fee - Feb 2016 Stock borrowing fee - Mar 2016 Stock borrowing fee - Apr 2016 Stock borrowing fee - May 2016 January tax fee accrual Feb tax fee accrual Mar tax fee accrual Apr tax fee accrual May tax fee accrual Transaction fee on purchase of Prospect CAP Corp Internotes Transaction fee on purchase of JP Morgan Chase & Co. Medium Term NTS Yield NTS Change in unrealized on long positions Change in unrealized on long positions - Feb 2016 Change in unrealized on long positions - Mar 2016 Change in unrealized on long positions - Apr 2016 Change in unrealized on long positions - May 2016 Change in unrealized on short positions Change in unrealized on short positions - Feb 2016 Change in unrealized on short positions - Mar 2016 Change in unrealized on short positions - Apr 2016 Change in unrealized on short positions - May 2016 PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G Interest income for June 2016 on private investments PrimaLend Preferred participation Genesis Financial Services Fund - Class D Foundation Healthcare Opportunities - Class B Foundation Healthcare Opportunities - Class B Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class E Foundation Speciality Financing Fund - Class F Foundation Speciality Financing Fund - Class G Receipt of interest income on private investments Banc of California interest earned Banc of California interest earned Transfer from broker to Banc of California Transfer from broker to Banc of California Transfer from broker to Banc of California Transfer from broker to Banc of California INCOMING WIRE FEE INCOMING WIRE FEE INCOMING WIRE FEE INCOMING WIRE FEE Payment to F500 Advisory Services Payment to F500 Advisory Services Charles Sandefur Bypass Trust - B Shares Charles Sandefur Bypass Trust - B Shares THE SHERYLE ULYATE TRUST DTD 07/16 THE SHERYLE ULYATE TRUST DTD 07/16 Robinson Family Revocable Living Trust - B Shares Robinson Family Revocable Living Trust - B Shares Claire Tracey - B Shares Claire Tracey - B Shares Brown Family Trust - B Shares Brown Family Trust - B Shares REVERSAL OF MANAGEMENT FEE CHARGE ON WITHDRAWN CAPITAL REVERSAL OF MANAGEMENT FEE CHARGE ON WITHDRAWN CAPITAL (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 (FHOF010913CB) Foundation Healthcare Opportunities Fund LLC 010913 - Class B - PRINCIPAL PAYDOWN (FHOF051512CB) Foundation Healthcrae Opportunities Fund LLC 051512 - Class B - PRINCIPAL PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 052213 - PRINCIPAL PAYDOWN (FSFFLICE092712) Foundation Speciality Financing Fund LLC - Class E - Limited Interest 092712 - PRINCIPAL PAYDOWN (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (IVV) ISHARES TR CORE S&P 500 ETF (VGK) VANGUARD INTL EQUITY INDEX FDS FTSE (VGK) VANGUARD INTL EQUITY INDEX FDS FTSE (VGK) VANGUARD INTL EQUITY INDEX FDS FTSE (VGK) VANGUARD INTL EQUITY INDEX FDS FTSE (VGK) VANGUARD