David Brock Hornby

Alpine Funds

Bank of America accounts — Interest

Ally Bank accounts — Interest

Emigrant Direct — Interest — Closed

US. Savings Bonds — None

Maine State Tumpike Auth'y bonds — Interest — Sold (part)

Maine State Tumpike Auth'y bonds — Buy

Maine Health & Higher Edu. Facs. Auth'y bonds — Interest — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth'y bonds — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth'y bonds — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth'y bonds — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth'y bonds — Sold (part)

Puerto Rico Public Finance Corp. bond — Interest

Bangor ME bonds — Interest — Buy (add'l)

Scarborough ME bond — Interest

Maine Municipal Bond Bank bonds — Interest

Portland ME Airport bonds — Interest — Sold (part)

Puerto Rico Public Buildings Auth'y bond — Interest

Commonwealth of Puerto Rico bonds — Interest

Univ. of Maine System bonds — Interest — Buy (add'l)

Puerto Rico Elec. Power Auth'y bonds — Interest

Puerto Rico Aqueduct & Sewer Auth'y bonds — Interest

Lewiston, ME public improvement bond — Interest

Windham, ME gen'l purpose bond — Interest — Redeemed

ME Gov't Facilities Auth'y bond — Interest — Buy (add'l)

RBC Wealth Mgt money mkt acct — Interest

T. Rowe Price Mutual Int'l Stock Funds — Int/Div

Brokerage Acct T. Rowe Price

Cash Management Account — Interest

com stk General Electric Co. — Int/Div

ADR Diageo PLC new — Int/Div

com stk Avon Products — Int/Div — Sold

com stk First Service Corp. — Int/Div

Barclays Bank PLC iPath Index Fund — None — Sold

Vanguard Group Mutual Funds

Balanced Index Fund — Int/Div

Value Index Fund — Int/Div

Inflation Protected Security Inv — Int/Div

Strategic Equity Fund — Int/Div

Tax Mgt Int'l Fund — Int/Div

Dynamic Dividend — Int/Div

Intemational Real Estate — Int/Div

Alpine Found. Fund — Int/Div

Bridgeway Ultra-Small Company Mkt Fund — Int/Div

Matthews Asian Funds

Asia Growth Investor — Int/Div

eIndia — Int/Div

The Fairholme Fund — Int/Div

com stk HJ. Heinz Co, — Int/Div — Sold

com stk Hlinois Tool Works — Int/Div

com stk Boardwalk Pipeline Partners — Int/Div — Buy

com stk Boardwalk Pipeline Partners — Buy (add'l)

iShares MSCI Mexico Capped ETF — Int/Div — Buy

IRA Brokerage Acct T. Rowe Price #1

Cash Management Acct — Interest

com stk Intel Corp. — Int/Div

com stk Starbucks Corp — Int/Div — Sold (part)

com stk Popular, Inc — None

Washington REIT — Int/Div

com stk Pioneer Natural Resources — Int/Div

ETF I Shares MSC Japan — Int/Div

mutual Fairrholme Fund — Int/Div

Blackrock Int'l Bond Portfolio — Int/Div

American Campus Communities REIT — Int/Div

com stk Grupo Televisa — Int/Div

Turkish Investment Fund — Int/Div

Prudent Bear Fund — None

com stk Peabody Energy Corp — Int/Div

Alpine Total Dynamic Div. Fund — Int/Div — Sold

T. Rowe Price Emerging Europe Fund — Int/Div

Matthews Korea Fund — Int/Div

com stk Amazon.com — None

Wisdom Tree Large Cap Div Fund — Int/Div — Buy (add'l)

Facebook Inc — None — Sold (part)

IRA Brokerage Acct T. Rowe Price #2

Cash Management Acct — Interest

com stk Powershares QQQ — Int/Div — Sold (part)

com stk Immunogen Inc — None

U.S. Global Investors Eastern Europe (mutual) — Int/Div

Vanguard REIT Vipers — Int/Div

com stk Coca Cola — Int/Div

Vanguard Strategic Equity Fund — Int/Div

com stk Cisco Systems Inc — Int/Div — Sold

Value Line Fund Inc — Int/Div

Prudent Bear Fund — None

Fidelity Nordic Countries Fund — Int/Div

1 Shares MSC Japan — Int/Div

T. Rowe Price Africa & Middle East Fund — Int/Div

I shares TR S&P Global Infrastructure Index Fund — Int/Div

Vanguard FTSE All-World ex-US ETF — Int/Div

Janus Triton Fund — Int/Div

Pamassus Equity Income Fund — Int/Div

Pension Plan Acct. TIAA-CREF — None

Pension Plan Acct. TIAA-CREF — None

401K Plan CMC Interactive LLC

First Eagle Over A Fund — Int/Div

Perkins Mid-Cap Value Inv (JMCVX) Fund — Int/Div

Royee Total Return Fund — Int/Div

Oakmark Equity & Income J Fund — Int/Div

Columbia Acom Fund — Int/Div

Pimco Total Return Fund — Int/Div

Principal Investors High Yield [1 Fund — Int/Div

Laoudus Growth Investors — Int/Div

voting & nonvoting com stk Mandel Investment Corp, — Int/Div

See Sec. VII note

1/2 unit led. partnership int. in Falls Development Assoc, — None

td. real estate partmership purchased 12/30/85: total

of $16,489.50 pd in mstallments completed 210090

Ltd. partnership int. in Miraculous, LLC purchased — Distribution

2/11/02 $50,000

Mimnesota Life-endowment life — Int/Div

See Sec. VII note

Trust #1 (co-trustee)

AllianceBernstein Global High Income Fund Inc. — Int/Div

Credit Suisse Asset Mgt Fund — Int/Div

Virtus Total Return Fund fka DCA Total Return Fund — Int/Div

Detroit Mich Water Supply Sys Bonds — Interest

Fort Myers FL Improvement Bonds — Interest

Miami-Dade Cty FL Aviation Bonds — Interest

RBC Bank Prime MM Fund RBC Reserve Class — Interest

iShares iBoxx $ High Yield Corporate Bond Fund — Int/Div — Sold

Helios Strategic Income Fund — Int/Div

Neuberger Berman Real Estate Sec. Income Fund — Int/Div

Neuberger Berman High Yield Strategies Fund — Int/Div

SPDR Series Trust Barclays High Yield Bond ETF — Int/Div — Sold

Zweig Total Return Fund Inc — Int/Div — Sold

NJ Tpike Auth'y bond — Interest

Miami FL Revenue bond — Interest

Univ. of Maine Sys bond — Interest

Cape Coral FL water & sewer bond — Interest

Mass. Port Auth'y bond — Interest

MD Dep't of Transp. bond — Interest — Sold

NJ State Transp. Auth'y bond — Interest

Maine Health & Higher Edu bond — Interest

Fundamental Investors Income Fund — Int/Div — Buy

Franklin Income Funds — Int/Div — Buy

Franklin Income Funds — Buy (add'l)

Thomburg Investment Income Builder Fund — Int/Div — Buy

Trust #2 Ju co-trustee)

Alpme Total Dynamic Div. Fund — Int/Div — Sold

com stk Ares Capital Corp — Int/Div

ADR Banco Santander. S.A — Int/Div

ADR Barclays Bank PLC — Int/Div

com stk Blackstone Group L.P — Int/Div

Calamos Convert. Opportunities & Income Fund — Int/Div

CBRE Clarion Global Real Estate Income Fund — Int/Div — Sold

com stk Citizens Republic Bancorp Inc — None — Sold

Clipper Funds Inc — None — Sold

com stk Coeur D Alene Mes Corp — None — Sold

com stk Coming Inc — Int/Div

pfd stk Dillards Capital Trust — Interest — Sold

Dodge & Cox Int'l Stock Fund — Int/Div

com stk RR Donnelley & Sons Co — Int/Div — Sold

Eaton Vance Ltd Duration Income Fund — Int/Div

com stk Exxon Mobil Corp — Int/Div — Sold (part)

Fidelity NJ Municipal money mkt — Interest

First Industrial Realty Trust Inc. PFD See Sec. VII note — Int/Div — Sold

com stk General Motors Co. — Int/Div — Sold (part)

See Sec. VII note

pfd stk General Motors Co. See Sec. VIII noe — Int/Div

ADR Gerdau, S.A — Int/Div — Sold

GMAC LLC Note — Interest

Great Atl & Pac Tea Co Inc. Note — Interest

Hodges Fund — Int/Div

com stk Hudson Pacific Properties Inc — Int/Div — Sold

Hussman Strategic Growth Fund — Int/Div

pfd stk ING Groep, N.V. PFD — Int/Div

ADR ltau Unibanco Holdings, S.A — Int/Div

Lexington Realty Trust See Sec. VII note — None

Mkt Vectors ETF Trust Mkt Veetors India Sm. Cap Index ETF — None — Sold

Market Vectors Vietnam ETF — Int/Div — Sold

com stk Merck & Co Inc — Int/Div

com stk Morgan Stanley — Int/Div

New Jersey State Tpk Auth. Revenue Bonds — Interest — Redeemed

ADR Nokia Oyj — None

Nuveen Global Value Opportunities Fund — Int/Div

Nuveen Quality Preferred Income Fund 2 — Int/Div

pfd stk PartnerRe Ltd. PFD — Int/Div

ADR Petroleo Brasileiro, S.A. Petrobras — Int/Div — Sold

Pimco High Income Fund — Int/Div

com stk Robert Half Int] Inc — Int/Div — Sold

pfd stk Royal Bank of Scotland Group PLC PFD — Int/Div

pfd stk SL Green Realty Corp. Ser. C See Sec. VIII note — Int/Div — Sold

pfd stk Sterling Bancorp Trust PFD — Interest

ADR Tata Motors Ltd — Int/Div — Buy (add'l)

Third Ave. Sm Cap Value Fund Inc — Int/Div

com stk Valley National Bancorp — Int/Div

com stk Vishay Intertechnology Inc — None — Sold

pfd stk Vornado Realty Trust — Int/Div — Redeemed

ADS CTRIP.com Int'l Ltd — None — Sold

com stk Freeport McMoran Copper & Gold Inc. — Int/Div

pfd stk EPR Properties — Int/Div

com stk Cisco Sys Inc — Int/Div

ADR Orange (previously France Telecom) — Int/Div

com stk AT&T Inc — Int/Div

Select Income REIT — Int/Div

com stk Equity Residential — Int/Div — Buy (add'l)

Whitestone REIT — Int/Div

com stk Microsoft Corp — Int/Div

com stk CSX Corp. — Int/Div — Sold

com stk US Steel Corp. — Int/Div — Buy

com stk US Steel Corp. — Sold

com stk Nordic American Tankers — Int/Div — Buy

pfd stk Armour Residential REIT — Int/Div — Buy

BGC Partners Inc — Int/Div — Buy

com stk Century Link Inc — Int/Div — Buy

First Potomac Realty Trust — Int/Div — Buy

First Energy Corp — Int/Div — Buy

com stk Intrexon Corp — None — Buy

Newmont Mining Corp — Int/Div — Buy

Pepco Holdings Inc — Int/Div — Buy

com stk Philip Morris Int'l Inc — Int/Div — Buy

SL Green Realty Pid Ser. — Int/Div — Buy

Statoil ADR — Int/Div — Buy

Teco Energy Inc — Int/Div — Buy

Teva Pharmaceuticals ADR — Int/Div — Buy

com stk Chambers STR — Int/Div — Buy

Mack Cali Realty Corp. — Int/Div — Buy

Trust #3 pm trustee) See Sec. VII note

com stk Mandel Investment Corp. See Sec VII note — Int/Div

Fidelity Investments

iShares Core S&P Small-Cap — Int/Div — Buy

Guggenheim S&P S00A Equal Weight — Int/Div — Buy

Fidelity SpartanA 500 Index AdvigA — Int/Div — Buy

Cash Mgt Acct — Interest — Open

Council Member, The American Law Institute

Member, Committee on Science, Technology and the Law, The National Academies (ending 12/31/2013)

Power-of-Attomey

Co-Trustee, Trust #1 Member #2 (ending 04/01/2014)

Executive Committee Member, Federal Judges Association

Reimbursement — The National Academics — 05/12-1472013 — Washington, DC — CSTL Committee Meeting — paid travel, lodging and meal expenses

Reimbursement — The American Law Institute — 10/16-18/2013 — New York, NY — Council Meeting — pad travel, lodging and meal expenses

Reimbursement — The National Academies — 11/17-19.2013 — Washmgton, DX — CSTL Committee Meeting — pad travel, lodgmg and meal expenses

Spouse's income — 2013 — self-employed mn management consulting, software development and rental property

Part VII, Investments and Trusts:

Lines 104-105, D.(1): Corporation liquidated.

Line 112: Entries on Lines 121-215 of 2012 Report are omitted from 2013 Report because they are assets subject to a power-of-attorney held for al member.

Line 157: In 2012 Report, Line 280, erroneously stated entire holding sold: only part was sold on 12/21/12: D3): J; D4): A.

Lines 158-159, D.(1): Additional common stock acquired by stock exchange from preferred to common (see Line 160),

Line 160, D.(1): Preferred stock exchanged for common stock (see Line 159).

Line 169: In 2012 Report, Line 292, failed to report sold (part) on $/31/12, D.(3): J; D.(4): no gain,

Line 183: In 2012 Report, Line 310, erroneously stated entire holding sold; only purt was sold on 9/24/12; D.(3): J: D4): A.

Lines 219-220: This Trust should have been reported in 2012. It was created 10/13/12 with a single asset, common stock in Mandel Investment Corp; B.(1): D: B.

(2): Dividend; C.(1): 0; C2): U

Line 220, D.(1): effected corporation liquidation.