Allan L Gropper

NYC SerK 4.0% Bond

Chase Manhattan Bank Account — Interest

Comcast Corp. stock — Int/Div — Sold

T Rowe Price Intl New Asia Fund — Int/Div — Sold

Brandywine Fund Inc — None

Kevbank — Interest

DNG Acquisition Group LLC — Distribution

Sheridan Properties , LLC — istrnibution

Shendan Equity Partners — None

JP Morgan Bank Account — Interest

Trust u'w/o Member — Int/Div

US Treasury Notes

Air Products & Chems stock — Sold

Allstate Corp. stock — Sold (part)

Allstate Corp. stock — Sold (part)

Exxon Mobil Corp. stock

General Mills stock

Goodrich Corp. stock

NYS Environmental Facs Corp. Bond

Roval Dutch Petroleum stock

Tax Exempt Securities Trust

Vanguard Tax Managed Balanced Fund — Buy

Worldwide Golf Resources stock

Nassau County Swr Fin Auth Bond

Nassau County Swr Fin Auth Bond — Buy (add'l)

Vanguard Life Strategy Inc. Fund

Longleaf Partmers Inc. Fund

Longleaf Partners Inc. Fund — Buy (add'l)

Churchville Chili NY School Bond — Redeemed

Bay Shore NY School Dist Bond

Hewlett-Woodmere NY Sch Dist Bond — Redeemed

Met. Transp. Auth 5.25% Bond

NYC SerC-l 5.25% Bond

NYC Ser C-1 5.25% Bond

NYCSerE 5.0% Bond

South Huntington NY Sch Dist Bond

Vanguard Index Fund Short Term

Vanguard World Utilities

NYC Health Hosp Corp Rfdg Ser A — Buy

Wisconsm St. Rfdg Ser 1 — Buy

Tilson Dividend Fund — Buy

PIMCO Unconstrained Bond Fund — Buy

FPA Crescent Portfolio Fund — Buy

Vanguard Life Income Fund — Buy

FDIC Insured Bank Deposits — Int/Div

Exxon Mobil Corp. stock — Int/Div

Allstate Corp. stock — Int/Div — Sold (part)

Allstate Corp. stock — Int/Div — Sold (part)

Brown Forman stock — Int/Div

Costco Wholesale Corp stock — Int/Div

Johnson & Johnson stock — Int/Div

Vanguard Health Care Fund — Int/Div — Sold (part)

Vanguard Dividend Growth Income Fund — Int/Div

Vanguard Tax Managed Small Cap Fund — Int/Div — Sold (part)

Loomis Sayles Strategic Income Fund — Sold

Vanguard Tax Managd Small Cap Fund — Int/Div — Sold (part)

Vanguard Tax Managd Small Cap Fund — Int/Div — Sold (part)

Vanguard Growth Index Fund — Int/Div — Sold (part)

Vanguard Growth Index Fund — Int/Div — Sold

Vanguard Index Fund — Int/Div — Sold

Vanguard Total International Fund — Int/Div — Sold (part)

Vanguard Index Fund-Short Term — Int/Div

Vanguard High Yield Corp. Fund — Int/Div — Buy

Vanguard Wellesley Income Fund — Int/Div — Buy

PIMCO Unconstramed Bond Fund — Int/Div — Buy

Amherst NY Rfdg Bond — Interest

Blind Brook-Rye School Dist Bond — Interest — Redeemed

Elwood NY Sch Dist Bond — Interest

New Rochelle Series A Bond — Interest — Redeemed

NYS Series H Bond — Interest — Redeemed

NYC Senes G 5.35% Bonds — Interest

NYS Dorm. Auth Fin. Authority Bonds — Interest

NYS Environmental Facs. Bond — Interest — Redeemed

NYC Transitional Fmance Auth Bonds — Interest

Riverhead NY Pub. Bond — Interest

Saratoga Spr. Series A Bond — Interest — Redeemed

Sag Harbor NY Sch Dist Bond — Interest

Berkshire Hathaway — None

NYS Twy Auth Ser A 5.0% — Interest — Buy

Charles Schwab IRA — Int/Div

Schwab US Treas. Money Fund

Blackrock GNMA — Buy (add'l)

Driehaus Active Income Fund — Buy

Driehaus Active Income Fund — Sold (part)

Driehaus Active Income Fund — Sold

Managers Bond Fund

Dodge & Cox Income Fund — Sold (part)

DoubleLine Total Return Bond Fund

FPA New Income Fund

Permanent Portfolio Specialty Fund — Sold (part)

Permanent Portfolio Specialty Fund — Sold

Rydex Inverse Govt Long Bond Fund — Buy

Rydex Inverse Govt Long Bond Fund — Sold (part)

Rydex Inverse Govt Long Bond Fund — Sold

Rydex Long/Short Interest Rate Strategy — Sold (part)

Invesco Van Kampen Equity & Income Fund — Buy

Invesco Van Kampen Equity & Income Fund — Sold

ProFunds Rising Rates Oppty. Fund — Buy

ProFunds Rising Rates Oppty. Fund — Sold

Vanguard STAR Fund

Vanguard Wellington Fund

Vanguard Growth & Income Fund

Vanguard Explorer Fund

Vanguard Equity Fund

Vanguard $00 Index Fund

NYS 529 College Savings Account (no control) — Int/Div

Mid-Cap Stock Index Portfolio

Small-Cap Stock Index Portfolio

Bond Market Index Portfoho

Columbia Univ SIP — Int/Div — Buy (add'l)

Charles Schwab IRA — Int/Div

Schwab US Treas. Money Fund

American High Income Bond Fund — Buy (add'l)

American High Income Bond Fund — Buy (add'l)

American High Income Bond Fund — Sold (part)

American Funds Capital Income Builder — Buy (add'l)

American Funds Capital Income Builder — Sold

Bond Fund of America

Federated Bond Fund

Loomis Sayles Strategic Income Fund — Sold (part)

Metropolitan West Total Return Bond Fund

PIMCO Foreign Bond D

PIMCO Total Return D

Invesco Van Kampen Equity & Inc. Fund — Buy

Invesco Van Kampen Equity & Inc. Fund — Buy (add'l)

Invesco Van Kampen Equity & Inc. Fund — Sold (part)

Invesco Van Kampen Equity & Inc. Fund — Sold

ProFunds Rising Rates Oppty. Fund — Buy

ProFunds Rismg Rates Oppty. Fund — Sold (part)

ProFunds Rising Rates Oppty. Fund — Sold

Rydex Inverse Govt Long Bond Fund — Buy (add'l)

Rydex Inverse Govt Long Bond Fund — Sold (part)

Rydex Inverse Govt Long Bond Fund — Sold (part)

Rydex Inverse Govt Long Bond Fund — Sold (part)

Rydex Inverse Govt Long Bond Fund — Sold

Rydex Inverse High Yield Strategy H Fund — Buy

Rydex Inverse High Yield Strategy H Fund — Sold

Gateway Index Plus Fund — Sold (part)

Gateway Index Plus Fund — Buy (add'l)

Rydex Healthcare Fund — Buy

Rydex Healthcare Fund — Buy (add'l)

Rydex Healthcare Fund — Buy (add'l)

Rydex Healthcare Fund — Sold (part)

Rydex Inverse Emerging Mkts 2X — Buy

Rydex Inverse Emerging Mkts 2X — Sold

Rydex Inverse High Yield Strategy H — Buy

Rydex Inverse High Yield Strategy H — Buy (add'l)

Rydex Inverse High Yield Strategy H — Sold (part)

Rydex Inverse High Yield Strategy H — Sold

Loomis Sayles Bond Fund — Buy (add'l)

Loomis Sayles Bond Fund — Sold (part)

Loomis Sayles Bond Fund — Sold (part)

Loomis Sayles Bond Fund — Buy (add'l)

Pioneer Global High Yield A — Sold (part)

Pioneer Global High Yield A — Sold

Pioneer High Yield Fund Class A — Sold (part)

Pioneer High Yield Fund Class A — Sold

Pro Funds Short Real Estate Fund — Buy

Pro Funds Short Real Estate Fund — Sold

Rydex Technology — Sold (part)

Rydex Technology — Sold (part)

Rydex Technology — Sold

DireXion HY Bear Fund — Buy

DireXion HY Bear Fund — Buy (add'l)

DireXion HY Bear Fund — Sold (part)

DWS High-Yield Fund — Buy

DWS High-Yield Fund — Buy (add'l)

JP Morgan Core Plus Bond Fund A

Franklin Convertible Securities A — Buy

Franklin Convertible Securities A — Sold (part)

Franklin Convertible Securities A — Sold

Schwab Emergmg Markets Equity — Sold (part)

Schwab Emerging Markets Equity — Sold

T.Rowe Price Capital Appreciation — Sold (part)

T.Rowe Price Capital Appreciation — Sold

Pro Funds Large Cap Growth — Sold (part)

Pro Funds Large Cap Growth — Sold

Trustee, The Browning School

Treasurer and Member of Executive Committee, Association of the Bar of the City of New York (from May 2011)

Treasurer and Member, Board of Directors, Association of the Bar of the City of New York Fund, Inc. (from May 2011)

Agreement — 11/100 — White & Case LLP Retirement Income Plans (former law firm; no control)

Reimbursement — Umted Nations Cmsn on Intl Trade Law and INSOL Intl — 03082011-0311.200 — Singapore, Smgapore — Seminar and program — Transportation, meals, lodging

Reimbursement — Assn, Francaise en Faveur de L'Institution Consulaire — 04/18/2001 1-04200201 — Pans, France — Seminar and program — Transportation, meals, lodging

Reimbursement — INSOL International — 05/18/2011-05/20/201 — Tortola, British West Indies — Sermnar and program — Transportation, meals, lodging

Reimbursement — University of Kentucky — 06/02,201 1-06103/201 — Lexington, KY — Seminar and program — Transportation, meals, lodging

Reimbursement — Bay Area Bankruptcy Forum — 07/05:2011-0706/201 — San Francisco, CA — Seminar and program — Transportation, meals, lodging

Reimbursement — Amencan Bar Associaton — N0S5201 1-0806/2011 — Toronto, Canada — Seminar and program — Transportation, meals, lodging

Income — 2011 — Fordham Law School (teaching) — $5,000

Income — 2011 — Retirement meome from White & Case LLP Retirement Income Plan — S41.517

Income — 2001 — INSOL International (teaching) — S1.642.00

Income — 2011 — Matthew Bender & Co. Inc. (editing textbook) — S1.360.00

Spouse's income — 2011 — Columbia Lmversaty (salary)

Part VII, Line 106.

These are monthly contributions to a SIP account by automatic deductions from a paycheck. No further mformation is available.

Part VII, Line 36.

On the 2010 form lines 40 and 48 were duplicates and both showed ownership of South Huntington NY School Dist bonds. This holding

has been continued at line 36 only.

Part VII, lines 105-108,

In amended report, line 105 has been amended and lines 106-108 have been added in response to letter dated July 17, 2012. All

subsequent line numbers have been changed accordingly.

Part VII, lines 176-177

In amended report, lines 176-177 have been added to correct an omission in the initial report, in response to letter dated July 17, 2012,