William H. Pauley 3

MUIUAL FUNDS

AGDAX - ALLIANCE BERNSTEIN HIGH INC FD — Int/Div — Sold

GSFTX - COLUMBIA FDS SER TR1 DIV INC — Int/Div — Sold

DPLTX - DREYFUS HIGH YIELD FD — Int/Div — Sold

ICHHX - FRANKLIN/TEMPLETON HARD CUR FD — Int/Div

FNYZX - FRANKLIN NY TAX FREE INT TRM (formerly FNYTZ) — Interest — Sold

HIPIX - HARTFORD INFLATION PLUS FD — Interest — Sold

LISFX - LORD ABBETT MUN INC TR INTER FD — Int/Div — Sold

TGBAX - TEMPLETON GLOBAL BOND FD — Interest — Sold

LFRFX - LORD ABBETT INVT TR FLTG RATE FD CLF — Interest — Sold

AFVPX - ALLIANZ NFJ INTL VALUE FDCLP — Interest

CIGIX - CALAMOS INVT TR NEW INTL GROWTHFDCL — Interest

GNYTX - COLUMBIA FDS SER TR NY INTERMEDATE MUNBDFDCL Z — Interest — Sold

DWOIX - DREYFUS RESH GROWTH FD INCSHSCL — Interest — Sold

DFRPX - DWS PORTFOLIO TR FLTG RATEPLUSFDCLS — Interest

HRVIX - HEARTLAND GROUP INC VALUE PLUS FUND — Interest

JSTIX - HANCOCK JOHN STRATEGIC SER INCOME FD CL 1 — Interest

NMCAX - ING EQUITY TR MID CAP OPPTYSFDCL A — None

ONSDX « INVESCO CONVERTIBLE SECURITIES FUND CLASS Y — Interest

ISMGX - JANUS INVT FD TRITON FD CLI — Interest

VANTX - JPMORGAN TR I NY TAX FREEBDFDCL A — Interest — Sold

LHYFX- LORD ABBETT HIGH YIELD FDCLF — Interest

FAQIX - NUVEEN EQUITY INCOME FUNDCLY — Interest — Sold

OOSYX - OPPENHEIMER SENIOR FLOATING RATEFUNDCL YY — Interest

PUSYX - PUTNAM US GOVERNMENT INCOME TRUSTACLY — Interest

VETAX- VICTORY PORTFOLIOS ESTABLISHED VALUEFDCL A — Int/Div

FMLSX - WASATCH FDS INC LONG/ SHORT FD — Interest — Sold (part)

SGRKX - WELLS FARGO ADVANTAGE GROWTH FUND ADMIN CL — Interest — Sold

ANNUITIES

DISCOVERY PLUS — Interest

CASH AND CASH EQUIVALENTS

JP MORGAN CHASE — Interest

U.S. TREASURY BILLS — Interest — Redeemed

US. SAVINGS BONDS — Interest

AXA FIN'L LIFE INS (Cash Surrender Value) — Int/Div

AXA FIN'L LIFE INS (Cash Surrender Value) — Int/Div

WACHOVIA MONEY MARKET ACCOUNT — Interest — Redeemed

NEW YORK 529 COLL SVGS MOD AGE- BASED OPT: INCOME PORTFOLIO — Interest — Sold (part)

NEW YORK 529 COLL SVGS MOD AGE- BASED OPT: CONSERY GROWTH — Interest — Buy (add'l)

NEW YORK 529 COLL SVGS INTEREST ACCUMULATION PORTFOLIO — Interest

TRMXX - RBC PRIME MONEY MARKET FD RESERVE CL — Interest — Buy (add'l)

RETIREMENT ACCOUNTS

401K PLAN -< ING — Interest

IRA SCUDDER - DWS CORE PLUS INCOME FUND — Interest

IRA SCUDDER - DWS GLOBAL THEMATIC FUND — Interest

ACMXX - RBC MONEY MARKET OBLIGATIONS TRUST — Interest

AGDAX - ALLIANCE BERNSTEIN HIGH INC FD — Int/Div

BGNIX - BLACKROCK GNMA PORTFOLIO — Int/Div — Sold

GSFTX - COLUMBIA FDS SER TRI DIV INC — Int/Div

DPLTX - DREYFUS HIGH YIELD FD — Interest — Sold

ICHHX - FRANKLIN/TEMPLETON HARD CUR FD — Int/Div

HIPIX - HARTFORD INFLATION PLUS FD — Int/Div

HLLVX - JP MORGAN SHORT DUR BOND FD — Int/Div — Sold

WOBDX «JP MORGAN TR2 CORE BD — Int/Div — Sold

PAGNX «- PIMCO GNMA FD — Int/Div — Sold

TGBAX - TEMPLETON GLOBAL BOND FD — Int/Div

LFRFX- LORD ABBETT INVT TR FLTG RATE FD CLF — Interest — Sold

RBLCX - RUSSELL INVT BALANCED STRATEGY FD CLC — Int/Div — Buy (add'l)

AGDAX - ALLIANCE BERNSTEIN HIGH INCOME FUNDCL A — Interest

AFVPX - ALLIANZ NFJ INTL VALUE FDCLP — Interest

CIGIX - CALAMOS INVT TR NEW INTL GROWTHFDCL 1 — Interest

DWOIX - DREYFUS RESH GROWTH FD INCSHS CL — Interest

DFRPX - DWS PORTFOLIO TR FLTG RATEPLUSFDCLS — Interest

ICHHX - FRANKLINTEMPLETON HARD CURRENCY FUND-ADVISOR CL — Int/Div

ISTIX - HANCOCK JOHN STRATEGIC SER INCOME FD CL — Interest

HIPIX - HARTFORD INFLATION PLUS FUNDCL 1 — Interest

HRVIX - HEARTLAND GROUP INC VALUE PLUS FUND — Interest

NMCAX - ING EQUITY TR MID CAP OPPTYSFDCL A — None

ONSDX - INVESCO CONVERTIBLE SECURITIES FUND CLASS Y — Interest

IJSMGX « JANUS INVT FD TRITON FD Ll — Interest

LHYFX - LORD ABBETT HIGH YIELD FDCLF — Interest

FAQIX - NUVEEN EQUITY INCOME FUNDCLY — Interest

PUSYX - PUTNAM US GOVERNMENT INCOME TRUSTACLY — Interest

TGBAX - TEMPLETON GLOBAL BOND FD — Interest

VETAX- VICTORY PORTFOLIOS ESTABLISHED VALUEFDCL A — Interest

SGRKX - WELLS FARGO ADVANTAGE GROWTH FUND ADMIN CL — None

FMLSX - WASATCH FDS INC LONG! SHORT FD — Interest

Semor Member of Board of Visitors, Duke Umiversity School of Law

Agreement — 1998 — Continuation of payments agreement with former law partner, Franklyn H. Smitow, and his law firm, Smtow Kanter Holtzer & Millus, LLP.

Reimbursement — Duke University School of Law — April 19 - 20, 2012 — Durham, NC — Board of Visitors Meeting — Travel, food, and lodging.

Reimbursement — Duke University School of } Law — June 14 - 15,2012 — Durham, NC — Center for Judicial Studies — Travel, food, and lodging.

Reimbursement — Duke University School of y Law — September 27 - 28, 2012 — Durham, NC — Board of Visitors Meeting — Travel, food and lodging.

Income — 062012 — Duke University Center for Judicial Studies - Lecture Fee — S1.000.00

Spouse's income — 2012 — Self-Employed Licensed Real Estate Sales Person and Insurance Agent

Spouse's income — 2012 — Self-Employed Floral Designer

None,