Nancy H. Lord

Neuberger Berman Partners Fund Investor Class /nka Large Cap — Int/Div — Exempt

Neuberger Berman Focus Fund Investor Class — None — Exempt

MetLife, Inc common stock (MetLife Policy Holder Trust) — Int/Div — Exempt

MetLife "Whole Life" Policy — Int/Div — Exempt

Prudential (Herzfeld & Rubin, P.C. Empl 401K Plan) — None — Exempt

LP. Morgan Chase IRA (CD) — None — Exempt

New York State Assistant Attomey General / Section Head (Retired 2728/12), New York State Office of the Attomey General

Board Member (7/11 - 1/12) (Resigned prior to 2/29/12), Robert C. Parker School

Vice President and Board Member (Resigned prior to 2/29/12), States” Association of Bankruptcy Attorneys

Co-Trustee of Life Insurance Trust (Resigned prior to 2/29/12), (Non-Family Member Life Insurance Trust)

Agreement — 2/28/2012 — Pension - New York State Employees’ Retirement System - Monthly Pension Check (no control)

Liability — Key Bank — Unsecured Preferred Credit Line Account

Liability — MetLife — Loan against Own "Whole Lite" Life Insurance Proceeds

Income — 11/11:212 — Salary from State of New York, Office of the Attorney General for compensation as a New York State Assistant Attomey General — $155.000.00

Income — 1/1012710 — Salary from State of New York, Office of the Attorney General for compensation as & New York State Assistant Attomey General — $132,900.00

Income — 712 — Monthly Income Derived From NYS Retirement System Pension (per month amount) (Retired as of 2/28/12) — S1.624.0

Part VIL. Investments and Trusts

Re « Prudential / Herzfeld & Rubin, P.C. Employees’ 401{k) Plan, Nothing is being contributed by Herzfeld & Rubin, P.C. or has been contributed by Herzfeld

& Rubin, P.C. (a former employer) since 1 left the firm's employ in 1999. The names of the funds that are currently contained within the 401(k) account are: the

"American Funds Cap Inc BLD R3; the "Invesco Van Kampen Comstock R™ and the "Thomburg International Val.”

Part VIL. Investments and Trusts

Item 4 - A dividend is earned each year on the anniversary of this whole-life policy which automatically results in the acquisition of additional insurance coverage.

Since the anniversary date is in June each year, | have included the dividend amount for both 2011 and 2012, which has a combined value falling within category

"CT, The amount of additional insurance which resulted from the two dividend amounts falls within category "D”, For "gross value" at end of the reporting

period, I have provided the cash surrender value information which falls within category "L".

Part 1. Positions

Re - Life Insurance Trust. 1 was a co-trustee for a friend's life insurance trust. The sole asset in the trust was her life insurance policy. She is alive and the sole

beneficiary is her daughter. 1 resigned the position prior to taking the bench,