Steven M. Gold

Chase Checking (046 — Interest

Chase Plus Saving 767 — Interest

CHASE DYNAMIC YIELD STRAT. mu

JPM Strip Inc Opp Fund — Int/Div — Buy

JPM Tri MLT SC Inc Fund — Int/Div — Buy

Harbor High Yield Bond m — Int/Div — Buy

Harbor High Yield Bond m — Sold (part)

Harbor Convertible Sec — Int/Div — Buy

Pimco Emerging Local Bond jg — Int/Div — Buy

Pimco Emerging Local Bond jg — Sold

Pimco Emerging Mrkts Corp Bone — Int — Buy

Pimco Emerging Mrkts Corp Bone — Sold (part)

Pimco Emerging Mrkts Corp Bone — Sold

Clearbridge Equity — Int./y — Buy

SIT Dividend Growth @ — Ine — Buy

Prudential Total Return — Int/Div — Buy

Prudential Total Return — Sold (part)

Prudential Total Return — Sold

Tortoise MLP and Pipeling — Int/Div — Buy

Ridgeworth SEIX Floating — Int/Div — Buy

Gateway Fund jg — Int/Div — Buy

Nuoveen Global Infrastructure J — Int/Div — Buy

Matthews Asia Dividend J — Int/Div — Buy

Eaton Vance Floating Rate — Int/Div — Buy

Blackrock High Yield Bond jg — Int/Div — Buy

Blackrock High Yield Bond jg — Sold (part)

Cohen & Steers Prefs Sec & Inc — Int/Div — Buy

HSBC Funds Total Return — Int/Div — Buy

Doubleline Total Return — Int/Div — Buy

1RP Inst Floating Rate — Int/Div — Buy

JPM Intrepid Eur Fund — Int/Div — Buy

JPM Intrepid Eur Fund — Buy (add'l)

Metropolitun West Funds — Int/Div — Buy

Avenue Mutual Funds — Int/Div — Buy

Avenue Mutual Funds — Buy (add'l)

Avenue Mutual Funds — Buy (add'l)

Columbia FD Ser TR jg — Int/Div — Buy

CHASE TAP ABSOLUTE RET m

JPM Sir Ine Opp Fund m — Int/Div — Buy

JPM Tri MLT SC Inc Fund — hy — Buy

JPM Tr I MLT SC Inc Fund — Sold (part)

PimcoUnconstrained Bond — Int — Buy

PimcoUnconstrained Bond — Sold (part)

Prudential Invt Portfolio 9 — Int/Div — Buy

Prudential Invt Portfolio 9 — Buy (add'l)

RBC Funds Tr Blubay mu — Int/Div — Buy

RBC Funds Tr Blubay mu — Buy (add'l)

Eaton Vance Floating Rate — Int/Div — Buy

Goldman Sachs Tr Strg — Int/Div — Buy

S10. — Buy (add'l)

S10. — Buy (add'l)

HSBC Funds Total Retum — Int/Div — Buy

Doubleline Total Return jg — Int/Div — Buy

Doubleline Total Return jg — Sold (part)

Vanguard Healthcare Fund IRA — Int/Div

CHASE MANAGED ACCOUNT (IRA)

Thomburg Intl Value (IRA) — hy

Thomburg Intl Value (IRA) — Sold

JP Morgan US Equity Fund (IRA) — Int/Div

JP Morgan US Equity Fund (IRA) — Sold

JP Morgan Emerging Markets (IRA) — Int/Div

JP Morgan Emerging Markets (IRA) — Sold

Pimco Total Return (IRA) — Int/Div

Pimco Total Return (IRA) — Sold

JP Morgan Core Bond Fund (IRA) — hy

JP Morgan Core Bond Fund (IRA) — Sold

JP Morgan Mid Cap Equity (IRA) — Int/Div

JP Morgan Mid Cap Equity (IRA) — Sold

JP Morgan High Yield Bond Fund (IRA) — Int

JP Morgan High Yield Bond Fund (IRA) — Sold

Deleware Emerging Markets Fund (IRA) — Int/Div

Deleware Emerging Markets Fund (IRA) — Sold

T Rowe Price New Income Prospectus {IRA — Int/Div

T Rowe Price New Income Prospectus {IRA — Sold

Oakmark Fund Class 1 (IRA) — Int/Div

Oakmark Fund Class 1 (IRA) — Sold

Wells Fargo Advig Grouwth (IRA) — Int/Div — Sold

JP Morgan International Value Select (IRA) — Int/Div

JP Morgan International Value Select (IRA) — Buy (add'l)

JP Morgan International Value Select (IRA) — Sold

JP Morgan Small Cap Equity (IRA) — Int/Div

JP Morgan Small Cap Equity (IRA) — Sold

Goldman Sachs Small Cap Equity (IRA) — Int/Div

Goldman Sachs Small Cap Equity (IRA) — Sold

Goldman Sachs Emerging Mkts Debt Fund {IRA — Int/Div

Goldman Sachs Emerging Mkts Debt Fund {IRA — Sold (part)

Goldman Sachs Emerging Mkts Debt Fund {IRA — Sold

DWS Core Equity (IRA) — Int/Div

DWS Core Equity (IRA) — Sold

SPDR S&P S00 ETF Trust (IRA) — Int/Div

SPDR S&P S00 ETF Trust (IRA) — Sold (part)

SPDR S&P S00 ETF Trust (IRA) — Sold

JP Morgan Real Estate Fund (IRA) — Int/Div

JP Morgan Real Estate Fund (IRA) — Sold

Blackrock US Opportunity (IRA) — Int/Div

Blackrock US Opportunity (IRA) — Sold

Blackrock High Yield Bond (IRA) — Int/Div

Blackrock High Yield Bond (IRA) — Sold

Cohen and Steers Realty Income (IRA) — Int/Div

Cohen and Steers Realty Income (IRA) — Sold

Federated Inst'l High Yield Bond (IRA) — Int/Div

Federated Inst'l High Yield Bond (IRA) — Sold (part)

Federated Inst'l High Yield Bond (IRA) — Sold

MFS Ser Tr X Emerging Mkt (IRA) — Int/Div

MFS Ser Tr X Emerging Mkt (IRA) — Sold

Vanguard Sector Index (IRA) — Int/Div

Vanguard Sector Index (IRA) — Sold

IShares Trust Russell — Int./y — Buy

IShares Trust Russell — Sold

JPM Realty Income (IRA) — Int/Div — Buy

JPM Realty Income (IRA) — Sold

JPMorgan TR EX-G4(IRA) — Int/Div — Buy

JPMorgan TR EX-G4(IRA) — Sold (part)

JPM Intrepid Value (IRA) — Int/Div — Buy

JPM China Region (IRA) — Int/Div — Buy

JPM Strip Inc Opp (IRA) — Int/Div — Buy

JPM Large Cap Growth (IRA) — Int/Div — Buy

JPM Large Cap Growth (IRA) — Sold

JPM Short Duration Bond (IRA) — hy — Buy

JPM Short Duration Bond (IRA) — Buy (add'l)

JIPM TR IMLT SC Inc (IRA) — Int/Div — Buy

JPM TR Inf] Mngd Bd (IRA) — Int/Div — Buy

JPM Tax Aware Equity (IRA) — Int/Div — Buy

AIM Invt FDS Bal Risk (IRA) — Int/Div — Buy

Aberdeen Asia Pacific — Int/Div — Buy

Pimco FDS Unconstr Bd (IRA) — Int/Div — Buy

Pimco FDS Unconstr Bd (IRA) — Buy (add'l)

Pimco Commodities Plus Strat (IRA) — Int/Div — Buy

Pimco Commodities Plus Strat (IRA) — Buy (add'l)

Neub Berman Multi Cap Opp (IRA) — Int — Buy

Primecap Odyssey Find (IRA) — Int/Div — Buy

Primecap Odyssey Find (IRA) — Sold (part)

Principal Invs Fd Midcap (IRA) — Int/Div — Buy

Doubleline FDS TR — Int — Buy

Dreyfus Laurel Emerging Mkt (IRA) — Int/Div — Buy

Dreyfus Laurel Emerging Mkt (IRA) — Sold

Ridgeowrth FDS SEIX (IRA) — Int/Div — Buy

Ridgeowrth FDS SEIX (IRA) — Sold (part)

Gateway Fund — Int/Div — Buy

Gateway Fund — Buy (add'l)

Eaton Vance Mut FDS Macro Abs (IRA) — Int/Div — Buy

T Rowe Price Overseas Stock (IRA) — Int/Div — Buy

T Rowe Price Overseas Stock (IRA) — Buy (add'l)

Oppenheimer Develpg Mkts (IRA) — Int/Div — Buy

Oppenheimer Develpg Mkts (IRA) — Sold (part)

Blackrock High Yield Bond (IRA) — Int/Div — Buy

Columbia FDS Series TR 11 Mass Asia (IRA) — Int/Div — Buy

Vanguard FI Secs F (IRA) — Int/Div — Buy

Vanguard FI Secs F (IRA) — Sold

Capital Private Client (IRA) — Int/Div — Buy

Arbitrage Funds (IRA) — Int/Div — Buy

Ishares MSCI Emerging Mkts (IRA) — Int. — Buy

Ishares MSCI Emerging Mkts (IRA) — Sold

SPDR Gold Trust (IRA) — Int/Div — Buy

SPDR Gold Trust (IRA) — Sold (part)

Ishares MSC EAFE Index Fd (IRA) — Int/Div — Buy

Ishares MSC EAFE Index Fd (IRA) — Buy (add'l)

Ishares MSC EAFE Index Fd (IRA) — Buy (add'l)

Ishares Core S&P Midcap (IRA) — Int/Div — Buy

SDR S&P S00 ETF Trust (IRA) — Int/Div — Buy

SDR S&P S00 ETF Trust (IRA) — Buy (add'l)

Vanguard FTSE Europe (IRA) — Int/Div — Buy

Vanguard FTSE Europe (IRA) — Buy (add'l)

MFS Int Value (IRA) — Int/Div — Buy

MFS Int Value (IRA) — Buy (add'l)

Equinox FDS Tr (IRA) — Int/Div — Buy

CHASE MANAGED ACCT (IRA) mn

JP Morgan Liquid Assets MMkt (IRA) m1 — Int/Div

DWS Blue Chip Fund (IRA mm — None — Part VIL note §

DWS Core Equity (IRA 1m — None — Part VIL note §

DWS Core Equity (IRA 1m — Sold

T Rowe Price new Income (IRA) — Int/Div

American Century Growth (IRA mm — Int/Div

American Century Growth (IRA mm — Sold

Goldman Sachs Small Cap Value (IRA) m — Int

Thomburg Intl Value (IRA) mm — Int/Div

Thomburg Intl Value (IRA) mm — Sold (part)

Pimco Total Return (IRA) — Int/Div

Pimco Total Return (IRA) — Sold (part)

Oppenheimer Developing Markets (IRA) — Int/Div

Oppenheimer Developing Markets (IRA) — Sold (part)

Aston/Airpointe Mid Cap (IRA) J — Int/Div

Wells Fargo Advantage Growth (IRA) mu — Int/Div

Wells Fargo Advantage Growth (IRA) mu — Buy (add'l)

SDPR S&P S00 ETF Trust (IRA 3m — Int/Div

SDPR S&P S00 ETF Trust (IRA 3m — Sold (part)

SDPR S&P S00 ETF Trust (IRA 3m — Sold (part)

Oakmark Fund (IRA) pu — Int/Div

Oakmark Fund (IRA) pu — Sold (part)

JP Morgan High Yield Bond (IRA) mu — Int./y

JP Morgan High Yield Bond (IRA) mu — Buy (add'l)

JP Morgan Core Bond (IRA) — Int/Div

JP Morgan Core Bond (IRA) — Sold (part)

JP Morgan Small Cap Equity (IRA) m1 — Int/Div

JP Morgan US Equity Fund (IRA) — Int/Div

JP Morgan US Equity Fund (IRA) — Sold (part)

JP Morgan Emerging Markets Equity (IRA) [ — Int/Div

JP Morgan Emerging Markets Equity (IRA) [ — Sold (part)

JP Morgan Mid Cap Equity (IRA) — Int/Div

JP Morgan Mid Cap Equity (IRA) — Sold (part)

JP Morgan US Real Estate (IRA) mm — Int/Div — Sold

JP Morgan Intl Value (IRA) mm — hy

JP Morgan Intl Value (IRA) mm — Buy (add'l)

JP Morgan Intl Value (IRA) mm — Sold (part)

Blackrock US Opportunity (IRA) mm — Int/Div

Blackrock High Yid Bond (IR gm — Int/Div

Cohen and Steers Realty Income (IRA) ma — Ine

Federated Insti] High Yield Bond (IRA gm — Int/Div

Goldman Sachs Emerging Mkkts (IRA J — Int/Div

Vanguard Sector Index Fd (IRA g — Int/Div

Causeway Cap Mngmnt gg (IRA) — Ine — Buy

Deleware Gp Emerg. Mkts J (IRA) — hy — Buy

Harbor Intl Fund (IRA mm — Int/Div — Buy

JP Morgan Short Dur'n Bond IRA — Int/Div — Buy

JPMorgan Value Adv (IRA m1 — Int/Div — Buy

Mass, Invstrs Trust (IRA gg — Int/Div — Buy

Sterling Cap FDS Capital (IRA gm — Int/Div — Buy

Pimco Short Term Fund (IRA mg — Int/Div — Buy

IShares NSCI EAFE — Int/Div — Part VIL note 6

TROWE PRICE RTMNT. PLAN m1

T Rowe Price Personal Strategy Fund 403(b) — Int/Div

T Rowe Price Health Sciences Fund 403(b) [ — Int/Div

T Rowe Price Prime Reserve Fund 403(b) [ ] — Int/Div

REFORM PENSION BOARD 403(b) ma

Reform Pension Board Equity Fund 403(h) 1] — Redeemed

Reform Pension Board Core Bond Fund 403(b) — Redeemed

Ref. Pens Bd. Apprecn &lnc, Fund 403(b) [1] — Int/Div — Buy

Ref. Pens Bd. Apprecn &lnc, Fund 403(b) [1] — Buy (add'l)

P/ame Adjunct Prof. of Law, Brooklyn Law School

Board Member, Co-op Bourd, a

Reimbursement — US.-Asia :aw Institute, NYU Luw School — 12/10:22013 12/2172013 — China — Educational Conference — Travel, lodging, food

Income — 2013 — Salary/Ad Prof of Law/Brooklyn Law School — S20.000.00

Income — 2013 — Lecturer, Brooklyn Law School — S1.O00.00

Spouse's income — 2013 — Salary/Executive Director, I

1}

as defined in 26 USC 152 durmg 2013 and information pertaining to Ji is therefore not

included in my report this year. More specifically,

was 10 longer JIN and largely supported JIN May through December,

2) Borrowing from the example on p. 55 of the filing instructions, | have inserted Titles of four accounts through which various investments, each listed

individually, arc held. Lines 3, 38, 56, 167, 220 und 224 arc headers,

3) Chase checking 569 and savings 484, reported on lines 2 and 3 of my 2012 report, are omitted this year because the accounts are being used by [NNN

PE AlthougHIN is a cosignor on the accounts, the funds in the accounts belong to JIN and Ji is the one with control over the

activities in the accounts.

4) 1 cannot find any record pertaining to the JP Morgan Liquid Assets MMkt included in my 2012 report, | can only infer that it was a short term money market

account used to hold funds briefly between other investments, and that I did not realize that when 1 filed my 2012 report.

5) The investments listed in Part VII on lines 169 and 170 (DWS Blue Chip Fund (IRA J and DWS Core Equity (IRA Jl ) do not appear in my 2013 statements

as holdings of the managed account. | presume these investments were sold over time m amounts of less than $1,000.

6) The purchase of the investment listed in Part VII on Line 219 (IShares MSCI EAFE (IRA Jl is not listed bacause it appears to have been acquired in a

transaction of less than $1,000.