James Orenstein

bank accounts KE 11 — Interest

IBM — Int/Div

Verizon — Int/Div

Nathan Family Real Estate Trust — Interest

Computershare — Int/Div

Frontier Communications Corp — Int/Div

ERUBS ACCT (..12) — Int/Div — Sold (part) — UBS 34 line 79

UUBS Bank USA Deposit Acct — Interest

UNTS First Trust Target VIP May 2011 Sr. — None — Buy

UNTS First Trust Target VIP May 2011 Sr. — Sold (part)

UNTS FT Target VIP Portf, Feb. 2010 Sr. — Int/Div — Open — note m Part VII

UNTS FT Target VIP Portf, Feb. 2010 Sr. — Sold

WH UBS ACCT (..83) — None

Cash — None — from line 65) — UBS 3 lnc 65

Columbia Growth NY 529 Portfolio Class A — None

EEUBS ROTH (..47) — Int/Div

UBS Bank USA Deposit Account — None

UBS Liquid Assets Fund — Int/Div — Buy (add'l)

UBS Liquid Assets Fund — Sold (part)

UBS Liquid Assets Fund — Sold (part)

UBS Liquid Assets Fund — Sold (part)

UBS Liquid Assets Fund — Buy (add'l)

UBS Liquid Assets Fund — Sold (part)

UBS Liquid Assets Fund — Sold (part)

UBS Liquid Assets Fund — Buy (add'l)

UBS Liquid Assets Fund — Buy (add'l)

Apple Inc — None — from line 171) — fr UBS ..35 line 17

EMC Corp — None — Buy (add'l)

Google Inc — None

EGA Emerging Global Shares — Int/Div

Ishares Trust S&P Smallcap 600 Index Fund — Int/Div — from line 172) — fr UBS ..35 line 1m

Ishares Trust S&P Latin Amer 40 Index Fund — Int/Div — from line 173) — fr UBS ..35 line 173

SPDR S&P Midcap 400 — Int/Div — from line 174) — fr UBS ..35 line 174

Fidelity Advisor New Insights Fund — Int/Div — from line 178) — fr UBS ...35 line 178

El Paso Pipeline Partners LP — Int/Div

Nuveen Quality Preferred Income Fund 2 — Int/Div — Sold

Nuveen Quality Preferred Income Fund 2 — Int/Div — from line 175) — fr UBS ...35 lme 178

Nuveen Quality Preferred Income Fund — Int/Div — Sold

Nuveen Quality Preferred Income Fund — Int/Div — from line 176) — fr UBS ..35 line 176

Alliance Bernstemn High Income Fund — Int/Div — Buy (add'l)

Eaton Vance Global Macro Absolute Return Fund — Int/Div — from line 179) — fr UBS ..35 line 179

Putnam Diversified Income Trust — Int/Div

Templeton Global Total Return Class A — Int/Div — Buy

Templeton Global Total Return Class A — Buy (add'l)

SPDR Gold Trust — None — from line 177) — fr UBS ..35 line 177

DWS Floatmg Rate Plus Fund — Int/Div — Buy (add'l)

DWS Floatmg Rate Plus Fund — Sold

DWS Enhanced Commodity Strategy Fund A — Int/Div — Buy

DWS Enhanced Commodity Strategy Fund A — Buy (add'l)

Putnam Absolute Return S00 — Int/Div — Buy (add'l)

EEE #2 UBS ROTH (..4%) — Int/Div

UBS Bank USA Dep Acct — None

American Funds Capital World Growth & Income Fund C1 A — Int/Div

American Funds New World Fund C1 A — Int/Div

American Funds Smallcap World Fund CI A — Int/Div — from line 198%) — fr UBS ...79 line 19%

American Funds Euro Pacific Growth Fund C1 A — Int/Div

American Funds Growth Fund of America CA — Int/Div

American Funds Income Fund of America CA — Int/Div

American Funds New Perspective Fund Cl A — Int/Div

American Funds Washington Mutual Investors Fund C1 A — Int/Div

American Funds American Balanced Fund CA — Int/Div — from line 196) — fr UBS ...79 line 196

Kem County CA Municipal Bond — None

WH UBS ACCT (..34) — Int/Div — Sold (part) — to UBS ..35 line 162

WH UBS ACCT (..34) — Sold (part) — to UBS ...79 line 191

WH UBS ACCT (..34) — Sold (part) — UBS ..83 lnc 14

WH UBS ACCT (..34) — Sold (part) — UBS ..49 line 253

WH UBS ACCT (..34) — Sold (part) — to UBS _. 48 line 201

WH UBS ACCT (..34) — Sold (part) — to UBS ..48 line 202

WH UBS ACCT (..34) — Sold (part) — to UBS ..49 line 256

WH UBS ACCT (..34) — Sold (part) — to UBS .. 49 line 257

WH UBS ACCT (..34) — Sold (part) — to UBS ..48 line 203

WH UBS ACCT (..34) — Sold (part) — UBS ..48 line 204

WH UBS ACCT (..34) — Sold (part) — to UBS ..48 line 208

WH UBS ACCT (..34) — Sold (part) — to UBS ..48 line 206

WH UBS ACCT (..34) — Sold (part) — to UBS ..48 line 207

WH UBS ACCT (..34) — Sold (part) — UBS ..48 line 208

WH UBS ACCT (..34) — Sold (part) — to UBS ..48 line 210

WH UBS ACCT (..34) — Sold (part) — to UBS .. 49 line 259

WH UBS ACCT (..34) — from line 7) — UBS .12line 7

Cash — None

RMA NY Money Fund — Int/Div — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Sold (part)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

RMA NY Money Fund — Buy (add'l)

Stag Ind] Inc — Int/Div — Buy

Teekay LNG Partners LP — Int/Div — Buy

UNTS FT Target VIP Portf. Feb 2010 SR — Int/Div — Sold

UNTS FT Target VIP Portf. May 2011 SR — Int/Div — Buy

Lehman Bros Holdings Inc. { Defaulted) — None

Sallie Mae Ednotes Callable — Interest

Florida State Brd. Ed. Cap. Outlay FSA — Interest

Sentinel Short Maturity Govt Fnd — Int/Div

John Hancock New York Venture Annuity — None

Linn Energy LLC Units Resptg Ltd Liability Co Ints — None — Buy

Linn Energy LLC Units Resptg Ltd Liability Co Ints — Sold

Universal Display Corp. — None — Buy

Universal Display Corp. — Sold

Energy Transfer Partners LP MLP — None — Buy

Energy Transfer Partners LP MLP — Sold

Qihoo 360 Technology Co Ltd ADR — None — Buy

Qihoo 360 Technology Co Ltd ADR — Sold

Box Ships Inc — None — Buy

Box Ships Inc — Sold

Targa Resources Investments — None — Buy

Targa Resources Investments — Sold

Mosaic Co. — None — Buy

Mosaic Co. — Sold

Danaher Corp. — Int/Div — Buy

Danaher Corp. — Sold

Kior Inc — None — Buy

Kior Inc — Sold

Enbridge Energy Partners LP MLP — Int/Div — Buy

Enbridge Energy Partners LP MLP — Sold

Plains All Amer Pipeline LP Unit Ltd — None — Buy

Plains All Amer Pipeline LP Unit Ltd — Sold

Realty Income Corp MD SBI — Int/Div — Buy

Realty Income Corp MD SBI — Sold

Wl UBS ACCT (...35) — Int/Div — from line 63) — UBS 34 line 63

Wl UBS ACCT (...35) — Sold (part) — holdings to uBs 47

Wl UBS ACCT (...35) — Sold (part) — holdings to UBS 47

Wl UBS ACCT (...35) — Sold (part) — holdings to UBS 47

Wl UBS ACCT (...35) — Distnbuted — holdings to UBS 47

UBS Liquid Assets Fund — Int/Div — Buy (add'l)

UBS Liquid Assets Fund — Sold (part)

UBS Liquid Assets Fund — Sold (part)

UBS Liquid Assets Fund — Sold

Apple Inc — None — Distnbuted — UBS ..47 line 27

Ishares Trust S&P Smallcap 600 Index Fund — Int/Div — Distnbuted — UBS ..47 line 31

Ishares Trust S&P Latin Amer 40) Index Fund — Int/Div — Distributed — UBS ..47 line 32

SPDR S&P Midcap 400 — Int/Div — Distributed — UBS ..47 line 33

Nuveen Quality Preferred Income Fund 2 — Int/Div — Distnbuted — UBS ..47 line 37

Nuveen Quality Pd Income Fd — Int/Div — Distnbuted — UBS ..47 line 39

SPDR Gold Trust — None — Distributed — UBS ..47 linc 45

Fidelity Advisor New Insights Fund — Int/Div — Distnibuted — UBS ..47 line 34

Eaton Vance Global Macro Absolute Return Fund A — Int/Div — Sold (part) — UBS ..47 linc 41

Eaton Vance Global Macro Absolute Return Fund A — Distnibuted — UBS ..47 linc 41

m@ UBS ACCT {...29) — None

Cash — None

Bond Fund of America — None

Capital World Growth & Income Fund — None

Euro Pac Growth Fund — None

Growth Fund of Amenca — None

Income Fund of America — None

New Perspective Fund — None

Smallcap World Fund — None

Washington Mutual Investors Fund — None

HER #2 UBS ACCT (..79) — Int/Div — from lime 64) — fr UBS 34 line 64

HER #2 UBS ACCT (..79) — Distnbuted — holdings to UBS 47

UBS Bank USA Dep Acct — Interest

American Funds American Balanced Fund CA — Int/Div — Buy (add'l)

American Funds American Balanced Fund CA — Buy (add'l)

American Funds American Balanced Fund CA — Distnbuted — UBS .. 47 line 61

American Funds Smallcap World Fund CI A — Buy

American Funds Smallcap World Fund CI A — Distributed — UBS ..47 lme 55

EEE UBS ACCT (..48) — Int/Div — Sold (part) — to UBS ..49 line 254

EEE UBS ACCT (..48) — Sold (part) — to UBS ..49 line 256

EEE UBS ACCT (..48) — from line 67) — UBS 3 linc 67

EEE UBS ACCT (..48) — from line 68) — UBS 34 linc 68

EEE UBS ACCT (..48) — from line 71) — UBS 34 lme 71

EEE UBS ACCT (..48) — from line 72) — UBS 3 lnc 72

EEE UBS ACCT (..48) — from line 73) — UBS 34 1lme 73

EEE UBS ACCT (..48) — from line 74) — UBS 34 lnc 74

EEE UBS ACCT (..48) — from line 75) — UBS 34 lnc 75

EEE UBS ACCT (..48) — from line 76) — UBS 3M lnc 76

EEE UBS ACCT (..48) — from line 258) — tr UBS ..49 line 258%

EEE UBS ACCT (..48) — from line 77) — UBS . Milne 77

UBS Bank USA Dep Acct — Interest

UNTS AAM Global Gold Income Port! — Int/Div

Oppenheimer Developing Markets Fund ClA — Int/Div — Distnbuted — UBS ..49 line 152

Long Island NY Pwr Elec Municipal Bonds — None

NYC Water Municipal Bonds — Interest

NYS Dorm Municipal Bond — None — Buy (add'l)

Oklahoma City OK Municipal Bond — None

Indiana Transn Fin Auth Municipal Bond — None — Buy

Yorba Linda CA Municipal Bond — None

Clark Co Wash Vancouver Ser Municipal Bond — None — Buy

DC Washington Mandarin Hotel Municipal Bond — None

Wentzville MO Sch Municipal Bond — None

New Jersey St Transn Municipal Bond — None

NYS Urb Dev Bond — None — Redeemed

Palo Alto CA Municipal Bond — None

Coppell Tex ISD Municipal Bond — None — Buy

Adams 12 Five Star Schs Colo Municipal Bond — None — Buy

New York City SR A Municipal Bond — None — Buy

Brock Tex Indpt Sch Dst Municipal Bond — None — Buy

Prosper Tx Isd Rfdg Bk Municipal Bond — None — Buy

Salem-Keizer OR Municipal Bond — None

Medina Valley TX Mumicipal Bond — None

San Rafael CA City Hi GH Municipal Bond — None — Buy

Utah Tran Auth Sales Tax Municipal Bond — None — Buy

Utah Tran Auth Sales Tax Municipal Bond — Buy (add'l)

Desert Calif Cmty Clge Municipal Bond — None — Buy

Lewisville TX Mumcipal Bonds — None

Manhattan Beach USD Cal Municipal Bond — None — Buy

Chicago IL Bd of Ed Municipal Bond — None

Athens-Clarke Conty GA Municipal Bond — None — Buy

Illinois Dev Fin Au Reti Hsg Municipal Bond — None — Buy

Monterey Peninsula CA Municipal Bond — None — Buy

Chicago IL Lakefront Municipal Bond — None — Buy

Houston TX Wir & Swr Municipal Bond — None — Buy

Washington State Ser E Municipal Bond — None

NJ Truns Trust Ser C Municipal Bond — None — Buy

NJ Truns Trust Ser C Municipal Bond — Buy (add'l)

San Joaquin Delta Comnty Ser B Municipal Bond — None — Buy

Denton TX Indep Sch Municipal Bond — None — Buy

Mesquite TX ISD Municipal Bond — None

Washington St Mir Vehicl Municipal Bond — None — Buy

Ennis TX Indpt Sch Dst Municipal Bond — None — Buy

EEE UBS ACCT (..49) — Int/Div — from line 66) — tr UBS 34 line 66

EEE UBS ACCT (..49) — from line 199) — fr UBS 48 line 199

EEE UBS ACCT (..49) — from line 200) — fr UBS 48 line 200

EEE UBS ACCT (..49) — from line 69) — UBS 34 linc 69

EEE UBS ACCT (..49) — from line 70) — UBS 3 lnc 70

EEE UBS ACCT (..49) — Sold (part) — UBS .. 49 line 200

EEE UBS ACCT (..49) — from line 78) — UBS 34 lm 78

RMA Government Portfolio — None — Buy (add'l)

RMA Government Portfolio — Buy (add'l)

RMA Government Portfolio — Sold (part)

RMA Government Portfolio — Buy (add'l)

RMA Government Portfolio — Sold (part)

RMA Government Portfolio — Sold (part)

RMA Government Portfolio — Buy (add'l)

RMA Government Portfolio — Sold (part)

RMA Government Portfolio — Buy (add'l)

RMA Government Portfolio — Buy (add'l)

RMA Government Portfolio — Buy (add'l)

bad) — Buy (add'l)

bad) — Buy (add'l)

pak) — Buy (add'l)

pak) — Sold (part)

pak) — Sold (part)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — a

pak) — Sold (part)

pak) — Sold (part)

pak) — Sold (part)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Sold (part)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Sold (part)

pak) — Buy (add'l)

pak) — Buy (add'l)

pak) — Sold (part)

pak) — Buy (add'l)

RITES — Buy (add'l)

RITES — Buy (add'l)

RITES — Buy (add'l)

RITES — Buy (add'l)

RITES — Buy (add'l)

RIT) — Sold (part)

RIT) — Buy (add'l)

RIT) — Buy (add'l)

Apple Computer Inc — None

AT&T Inc — None — Buy (add'l)

Centurylink Inc — None — from line 322) — Part VII re merger

Centurylink Inc — Sold (part)

Johnson & Johnson Com — Int/Div — Buy (add'l)

Johnson & Johnson Com — Buy (add'l)

Lorillard Inc — Int/Div — Buy (add'l)

Lorillard Inc — Buy (add'l)

Lorillard Inc — Buy (add'l)

Lorillard Inc — Buy (add'l)

Qwest Commumcations Intl Inc — Int/Div — Sold (part) — Part VII re merger

Salesforce.com Inc — None

Teekay Tankers Ltd — Sold

Teekay Tankers Ltd — Buy

Teekay Tankers Ltd — Buy (add'l)

Teekay Tankers Ltd — Sold

Eaton Vance Tax Managed Buy Write Opportunities Fund — None

Eaton Vance Tax Managed Diversified Equity Income Fund — None

Ishares Trust S&P Latin Amer 40 Index Fund — None

Blackrock U.S. Opportunities — Buy (add'l)

Blackrock U.S. Opportunities — Buy (add'l)

FBR Small Cap Fund Investor Class — Int/Div — Buy

Fidelity Advisor New Insights Fund C1 A — Int/Div — Buy

Fidelity Advisor New Insights Fund C1 A — Buy (add'l)

Fidelity Advisor New Insights Fund C1 A — Buy (add'l)

JP Morgan U.S, Large Cap Core Plus Fund A — Int/Div — Buy

JP Morgan U.S, Large Cap Core Plus Fund A — Buy (add'l)

Miller Convertible Fund Class A — Int/Div — Buy

Miller Convertible Fund Class A — Buy (add'l)

R¥3] — Buy (add'l)

R¥3] — Buy (add'l)

R¥3] — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Int/Div — Buy

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Adb6 — Buy (add'l)

Adb6 — Buy (add'l)

RETH — Buy (add'l)

RETH — Buy (add'l)

Oakmark Fund Class — Int/Div — Buy

Oakmark Fund Class — Buy (add'l)

Oppenheimer Developing Markets Fund ClA — istrnibution — from line 213) — fr UBS 48 linc 213

Oppenheimer Developing Markets Fund ClA — Buy (add'l)

Kinder Morgan Energy Partners MLP — Int/Div

DWS Municipal Income Trust — Int/Div — Buy

Nuveen Ins Muni Opport Fd — Int/Div — Buy

Nuveen Prem Income Mun Fund 2 Inc — Int/Div — Buy

Artio Global High Income Fund Class A — Int/Div — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Artio Global High Income Fund Class A — Buy (add'l)

Loomis Sayles Strategic Income Fund Class A — Int/Div — Buy (add'l)

Loomis Sayles Strategic Income Fund Class A — Buy (add'l)

Loomis Sayles Strategic Income Fund Class A — Buy (add'l)

Mainstay High Yield Opportunity Class A — Int/Div — Buy

Mainstay High Yield Opportunity Class A — Buy (add'l)

Mainstay High Yield Opportunity Class A — Buy (add'l)

Mainstay High Yield Opportunity Class A — Buy (add'l)

Putnam Diversified Income Trust Class A — Int/Div — Buy (add'l)

Putnam Diversified Income Trust Class A — Buy (add'l)

ARO. — Buy (add'l)

ARO. — Buy (add'l)

ARO. — Buy (add'l)

assy — Buy (add'l)

assy — Buy (add'l)

assy — Buy (add'l)

assy — Buy (add'l)

assy — Buy (add'l)

assy — Buy (add'l)

assy — Buy (add'l)

Gateway Fund Class A — Int/Div

Hatteras Alpha Hedged Strategies Fund — Int/Div — Buy

First Eagle Gold Fund Class A — Int/Div — Buy (add'l)

First Eagle Global Fund Class A — Int/Div — Buy

First Eagle Global Fund Class A — Buy (add'l)

Dreyfus Small Company Value Fund — Int/Div — Buy

Dreyfus Small Company Value Fund — Buy (add'l)

Dreyfus Small Company Value Fund — Sold

Adpunct professor, New York Umiversaty School of Law

Liability — Department of Education Direct Loan Servicing — IEEE student joan

Income — 2011 — New York University School of Law — $26,955.00

Spouse's income — 2011 — Department of Justice - US. Attorney's Office, Eastern District of New York

AR

* FRARFATE RR ARAL NLAALs RINE VFEVIYELR BR RAFLN AAA AE BARNA EL RRL Te (Hoe TY 4 Ye)

Part VII, generally: For all asset sales resulting in a loss or no net gain, | have left Column D{4) blank.

Part VII, Tine 4: The valuation of my share of the [MM Real Estate Trust is based on an appraisal of the value of the property held in trust as of January

23, 2008 (the date | inherited my share). The appraisal was reported on November 12, 2008.

Part VII, line 11: | inadvertently omitted this asset from my annual report for 2010 (due to reviewing a statement from an mactive account with a similar account

number). | respectfully request that my 2010 annual report be deemed to include a line within the report for account ... 12 that reports the following: Column B(1)

Amount code: A; Column B(2) Type: Dividend; Column C(I) Value code: J; Column C(2) Value Method code: T; Column D(1) Type: Buy; Column D{2) date:

02/23/10; Column D(3) Value code: 1.

Part VII, lines 314 & 322: As a result of a merger, my shares of Qwest were exchanged for shares of Centurylink Inc. | was unsure how best to record the

transaction in column D(1).