David Brock Hornby

Bank of America accounts — Interest

Ally Bank accounts — Interest

Emigrant Direct — Interest

PayPal Money Market — Interest — Closed

US. Savings Bonds — None

Maine State Turnpike Auth'y bonds — Interest

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

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

Puerto Rico Public Fmance Corp. bond — Interest

Bangor ME bond — Interest

Scarborough ME bond — Interest

Mame Municipal Bond Bank bond — Interest

Portland ME Airport bond — Interest

Puerto Rico Public Buildings Auth'y bond — Interest

Commonwealth of Puerto Rico bonds — Interest — Buy

Commonwealth of Puerto Rico bonds — Buy

Commonwealth of Puerto Rico bonds — Buy

Univ. of Mame System bond — Interest

Puerto Rico Elec. Power Auth'y bond — Interest

Puerto Rico Aqueduct & Sewer Auth'y bond — Interest — Buy

Lewiston, ME public improvement bond — Interest

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

ME Gov't Facilities Auth'y bond — Interest — Buy

RBC Wealth Mgt money mkt acct — Interest

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

Y) see Part VIII for explanation

The MP63 Fund, Inc. (mutual fund) — 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

ETF I Shares MSC Mexico — Int/Div — Donated

com stk First Service Comp. — None

com stk Sirius Satellite Radio — None — Sold

Barclays Bank PLC iPath Index Fund — None

com stk Newell Rubbermaid — Int/Div

Vanguard Group Mutual Funds®

Asset Allocation Fund* — Int/Div

Value Index Fund* — Int/Div

Inflation Protected Security Inv* — Int/Div

Strategic Equity Fund® — Int/Div

Tax Met Int'l Fund* — Int/Div

Alpine Funds®

Dynamic Dividend* — Int/Div

Intermational Real Estate* — Int/Div

Alpine Found. Fund fka Dynamic Balance* — Int/Div

Bridgeway Ultra-Small Company Mkt Fund* — Int/Div

Matthews Asian Funds*

Asia Growth Investor fka Asia Pacific* — Int/Div

eIndia* — Int/Div

The Fairholme Fund* — Int/Div

com stk Avon Products* — Int/Div

com stk HJ. Heinz Co.* — Int/Div — Sold (part)

com stk inois Tool Works* — Int/Div — Sold (part)

IRA Brokerage Acct T. Rowe Price #1

Cash Management Acct — Interest

com stk Intel Corp. — Int/Div

com stk Starbucks Corp — Int/Div — Buy

com stk Popular, Inc — None

Washington REIT — Int/Div

com stk Pioneer Natural Resources — Int/Div

ETF Shares MSC Japan — Int/Div

mutual Fairholme 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

com stk Patriot Coal Corp. — None

Alpe Total Dynamic Div. Fund — Interest

T. Rowe Price Emerging Europe Fund — None

Matthews Korea Fund — Int/Div

com stk Amazon.com — None

Wisdom Tree Large Cap Div Fund — Int/Div

IRA Brokerage Acct T. Rowe Price #2

Cash Management Acct — Interest

com stk DWS World Income Fund fkaDWS Europe Equity Fund — Int/Div

com stk Powershares QQQ — Int/Div

com six Immunogen Inc — None

U.S. Global Investors Eastern Europe (mutual) — None

Vanguard REIT Vipers — Int/Div

com stk Coca Cola — Int/Div

Vanguard Strategic Equity Fund — Int/Div

com stk Medtronic Inc — Int/Div — Sold

ADR Nokia Corp. — Int/Div — Sold

Developers Diversified Realty REIT preferred Class H — Int/Div — Sold

became DDR Corp. 09/12/11)

com stk Cisco Systems Inc — Int/Div

ADR Vodafone Group PLC — Int/Div — Sold

com stk Nautilus Group Inc — None — Sold

com stk Developers Diversified Realty REIT — Int/Div — Sold

became DDR Corp. 09/12/11)

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

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

Vanguard ¥ ISE All-World ex-US ETF — Int/Div

Pension Plan Acct. TIAA-CREF — None

Pension Plan Acct. TIAA-CREF — None

301K Plan CMC Interactive LLC

First Eagle Over A Fund — Int/Div

Am. Fds Growth Fund R4 (RGAEX) — Int/Div

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

Rovee Total Return Fund — Int/Div

Oukmark Equity & Income J Fund — Int/Div

Selected American Fund — Int/Div

Columbia Acom Fund — Int/Div

Pimco Tot! Return Fund — Int/Div

Schwab Int] Index Fund — Int/Div

Principal Investors High Yield [1 Fund — Int/Div

nonvotng stk Mandel Investment Corp. — Int/Div

1/2 unit ltd. partnership int. in Falls Development Assoc.

Itd. real estate partnership purchased 12/30/85: total

of $16,489.50 pd in installments completed 2/10/90 — None

ltd. partnership int. in Miraculous, LLC, Id

real estate partnership purchased 2/11/02 $50.000 — Distribution

Mmnesota Life-endowment life — Int/Div

Homby Zeller Properties LLC (Y)

BACHZA, Inc. (Y)

Member #1 (upon member's death assumed

power-of-atty on 8/25/11 and reporting

only for period thereafler)

Advent Claymore Global Convert. Sec. & Income Fund — Int/Div — Sold

AGIC Convert. & Income Fund — Int/Div — Sold

AGIC Convert. & Income Fund II — None — Sold

AlhanceBernstem Global Bond Fund CL A — None

AllianceBernstem Global High Income Fund Inc. — Int/Div

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

Alpine Ultra Short Tax Opt. Income Fund Investor Cl. — Int/Div

Bank of America Subord. InterNotes — Interest

Calamos Convert. Opportunities & Income Fund — Int/Div — Sold (part)

Calamos Global Dynamic Income Fund — Int/Div

Calamos Strategic Total Return Fund — Int/Div

Cohen & Steers Closed End Opportunity Fund Inc. — Int/Div

Comerstone Strategic Value Fund Inc — Int/Div

Comerstone Total Return Fund Inc — Int/Div — Sold

Credit Suisse High Yield Bond Fund — Int/Div — Sold

Cross Timbers Rovalty Trust — Int/Div

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

Delaware River Port Auth'y PA&NI Marine Terminal Bonds — Interest

Dividend & Income Fund Inc — Int/Div — Sold

Dreyfus High Yield Strategies Fund — Int/Div — Sold

Eaton Vance Ltd Duration Income Fund — Int/Div

Eaton Vance Nat'l Municipal Income Trust — Int/Div — Sold

Eaton Vance Tax Advantaged Div. Income Fund — Int/Div

Essex Cty NJ Improve. Auth. Bonds — Int/Div

1Ist Tr. Strategic High Inc. Fund 11 - became "10/04/11 — Int/Div

FL State Bd of Public Educ. Bonds — Interest

Gen'l Elec. Cap. Corp. InterNotes — Interest

Gen'l Motors Acceptance Corp. SmartNotes — Interest

Harris Cty TX Cultural ED Bonds — Interest

Helios High Yield Fund — Int/Div

Hudson Cty NJ Improve. Auth. Bonds. Weehawken — Interest

Hudson Cty NJ Improve. Auth. Bonds. Hudson Cry lease — None — Buy

ING Global Equity Div. & Prem Opportunity Fund — Int/Div — Sold

Inland Western Retail Real Estate Trust — Int/Div

iShares iBoxx $ High Yield Corp. Bond Fund — Int/Div

iSharies iBoxx § Invest. Grade Corp. Bond Fund — Int/Div

Invesco High Yield Invest. Fund Inc — Int/Div

Invesco Van Kampen High Income Trust 11 — Int/Div

JEA FL Elec. Sys. Rev. Elec. Bonds — Interest

Lazard World Div. & Income Fund Inc — Int/Div

LMP Real Estate Income Fund Inc — Int/Div

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

New America High Income Fund Inc — Int/Div

NJ Healthcare FACS Meridian Health Sys Bonds — Interest

Nuveen Floating Rate Income Fund — Int/Div

Nuveen Floating Rate Income Opportunity Fund — Int/Div

Oppenheimer AMT-FREE Munis Fund C1 A — Int/Div

com stk Pace Oil & Gas Lid. — None

Peace River/Manasota Regl Wir Bonds — Interest

Pengrowth Enegry Corp. aka Pengrowth Energy Trust — Int/Div

Permian Basin Royalty Trust — Int/Div

Pimco Income Strategy Fund — Int/Div

Pimco Income Strategy Fund [1 — Int/Div

com stk Provident Energy Lid. — Int/Div

Prudential Financial Inc. InterNotes — Interest

Puerto Rico Aqueduct & Sewer Bonds 24 — Interest

Puerto Rico Aqueduct & Sewer Bond 2044 — None — Buy

Puerto Rico Common. G/O RFDG Gen'l Purpose Bonds — Interest

Puerto Rico Common. Hwys & Streets Bonds — Interest

Puerto Rico Sales Tax Fing Cofina Bonds Ser. A — Interest — Buy

Puerto Rico Sales Tax Fing Cofina Bonds 2010 Ser, C — None

Sabine Royalty Trust — Int/Div

San Juan Basin Royalty Trust — Int/Div

SLM Corp CPI Linked Med. Term Notes Ser A Mar. 2017 — Interest — Sold

SPDR Barclays Capital High Yield Bond FTF — Int/Div

Texas State Tpke Auth. Cent. TX Tpke Bonds — Interest

USA Loan Fund DST — Int/Div

Valero Energy Corp. New Notes — Interest

Wells Fargo Advantage Global Div Opport. Fund — Int/Div — Sold

Wells Fargo Advantage Multi Sector Income Fund — Int/Div

Western Asset High Income Fund 11 Inc — Int/Div — Sold

Western Asset Worldwide Income Fund Inc. — Int/Div

Zweig Total Return Fund Inc — Int/Div

RBC Bank Account — Interest

Clipper Fund Inc — Int/Div

DNP Select Income Fund Inc — Int/Div

com stk NRG Energy Inc. New — None

SPDR S&P Dividend ETF — Int/Div

com stk Goldcorp Inc — Int/Div

Credit Suisse Asset Mgt Income Fund Inc — Int/Div

Blackrock Diversified Income Strategies Fund Inc, — Int/Div

Highland Credit Strategies Fund — Int/Div

Helios Strategic Income Fund Inc — Int/Div

MFS Intermediate Income Trust — Int/Div

Pacholder High Yield Fund PHF — Int/Div

Putnam Master Intermediate Income Trust — Int/Div

NJ Econ. Devt Auth'y Motor Vehicle Bond — None — Buy

NJ Transp. Fund Rapid Transit Bond due 2020 — Interest — Buy

NJ Transp. Fund Rapid Transit Bond due 2038 — Interest — Buy

Virgin Islands Pub. Fin. Auth'y Bonds — None — Buy

NJ Econ. Dev. Auth'y Primary & Secondary Educ. Bond — None — Buy

NJ Educ. F Auth'y Princeton T Bond — None — Buy

Puerto Rico Pub. Bldg. Auth'y Gov't Fac Revenue Bond — None — Buy

Gloucester Cty NJ Improvement Auth'y Bond — None — Buy

Calamos Global Dynamic Income Fund — Int/Div

Prudent Bear Federated Equity Funds — None

RMR Real Estate Income Fund — Int/Div

Managed High Yield Plus Fund Inc — Int/Div — Sold

Pharmaceutical Holder Trust Depositary Rept — Int/Div — Sold

0il SVC Holders Trust Depositary Rept — None — Sold

Proshares Ultra S&P S00 111 — None — Sold

Proshares Tr Ultra FTSE China — Int/Div — Sold

Proshares Tr Ultra Real Estate — Int/Div — Sold (part)

Proshares Tr Ultra Real Estate — Sold

Eaton Vance Enhanced Equity Income Fund 1 — Int/Div — Sold

Powershares Global Exch. Traded Tr Fund Emg Mkts SovDebt — Int/Div — Sold

Vestn Realty Mig 11 — None — Sold

Proshares Ultrashort S&P S00 ETF — None — Sold

Proshares Ultrashort MSC EAFE ETF — None — Sold

Proshares Ultrashort FTSE China 25 — None — Sold

Proshares Ultrashort MSCI Emerging Mkt ETF — None — Sold

Proshares Ultrashort Gold ETF — None — Sold

Proshares Ultrashort Telecommunications — None — Sold

Proshares Ultrashort Financials — None — Sold

Proshares Ultrashort Basic Materials — None — Sold

Proshares Ultrashort Russell 2000 — None — Sold

Proshares Ultra Midcap 400 — None — Sold

Proshares Ultrashort QQQ — None — Sold

Proshares Ultrashort MSCI Europe — None — Sold

Proshares Ultrashort Lulities Fund — None — Sold

Proshares Ultrashort Yen — Int/Div — Sold

RMR Real Estate Income Fund — Int/Div

Member £2 (became Trustee/Co- Trustee

member as result of a death on 08/08/11 and reporting only

for period thereafter)

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

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

Alpine Global Premier Properties Fund — None

AllianceBernstem Global High Income Fund Inc, — None

American Strategic Income Portfolio 111 Fund — None — Sold

Blackrock Senior High Income Fund — None

Boulder Growth & Income Fund — None — Sold

Comerstone Progressive Return Fund — None — Sold

Credit Suisse Asset Mgt Fund — Int/Div — Sold

Credit Suisse High Yield Bond Fund — None — Sold

Virtus Total Return Fund fka DCA Total Return Fund — None

Detroit Mich Water Supply Sys Bonds — Interest

Div. & Income Fund — None — Sold

DNP Select Income Fund Inc — Int/Div

Dreyfus High Yield Strategies Fund — None — Sold

First Strategic High Income Fund [1 — Int/Div

Fort Myers FL Improvement Bonds — None

com stk Gladstone Capital Corp — None — Sold

Helios Advantage Income Fund Inc — Int/Div

Highland Credit Strategies Fund — Int/Div

Managed High Yield Plus Fund Inc — Int/Div — Sold

Miami-Dade Cty FL Aviation Bonds — Interest

RBC Bank Prime MM Fund RBC Reserve Class — Interest

nonvoting stk Mandel Investment Corp — Int/Div

AGIC Convert. & Income Fund — Int/Div — Sold

Calamos Convertible Opportunities & Income Fund — Int/Div — Sold

ING Global Equity Div. & Prem Opportunity Fund — None — Sold

Westemn Asset High Income Fund — None — Sold

iShares iBoxx $ High Yield Corporate Bond Fund — None

Helios High Income Fund — None

Helios Strategic Income Fund — None

Helios Multi Sector High Income Fund — Int/Div

lnvesco High Yield Investments Fund — Int/Div

Invesco Van Kampen Senior Income Trust — None

MFS Intermediate Income Trust — None

Neuberger Berman Real Estate Sec. Income Fund — None

Neuberger Berman High Yield Strategies Fund — Int/Div

Pimco Income Strategy Fund — None

com stk Pengrowth Energy Corp. — Int/Div

Putnam Master Intermediate Income Trust — None

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

Westemn Asset High Income Fund 11 Inc — None — Sold

Zweig Total Return Fund Ine — Int/Div

Member #3 ( Co- Trustee of trust

on 11/17/11 with following investments and reporting only

for period thereafter):

AAG Holding Co. Inc. debentures — None

pfd ADR Aegon N.V — Int/Div

Alpine Total Dynamic Div. Fund — Int/Div

com stk & warrants American Int'l Group Inc. — None

pfd stk Apartment Investment & Management Co. — None

com stk Ares Capital Corp. — Int/Div

ADR Banco Santander. S.A — None

ADR Barclays Bank PLC — Int/Div

com stk Blackstone Group L.P — Int/Div

Brandywine Realty Trust — None

BRT Realty Trust — None

Calamos Convert. Opportunities & Income Fund — Int/Div

CBRE Clarion Global Real Estate Income Fund — Int/Div

com stk Citizens Republic Bancorp Inc — None

Clipper Funds Inc — Int/Div

com stk Coeur D Alene Mines Corp. — None

com stk Coming Inc — Int/Div

pfd stk Dillards Capital Trust — None

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

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

com stk Eastman Kodak — None

Eaton Vance Ltd Duration Income Fund — Int/Div

com stk Exxon Mobil Corp. — Int/Div

Fidelity NJ Municipal money mkt — Interest

First Industrial Realty Trust Inc. PFD — None

com stk General Motors Co. — None

pfd stk General Motors Co — Int/Div

ADR Gerdau. S.A — Int/Div

GMAC LLC Note — Interest

Great Atl & Pac Tea Co Inc. Note — None

Hodges Fund — None

com stk Hudson Pacific Properties Inc — Int/Div

Hussman Strategic Growth Fund — None

pfd stk ING Groep, N.V. PFD — Int/Div

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

com stk Lee Enterprises Inc — None

Lexington Realty Trust — None

Mkt Vectors ETF Trust Mkt Vectors India Sm. Cap Index ETF — Int/Div

Market Vectors Vietnam ETF — Int/Div

com stk McCormick & dehmicks Seatood Restaurants Inc. — None

com stk Merck & Co linc — None

com stk Morgan Stanley — None

pfd stk MPG Office Trust Inc — None

New Jersey State Tpk Auth. Revenue Bonds — None

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

Pimco High Income Fund — Int/Div

pfd stk Realty Income Corp. — Int/Div

com stk Robert Half Int] Inc — Int/Div

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

com stk Ruths Hospitality Group Inc — None

pfd stk SL Green Realty Corp. Ser. € — None

pfd stk SL Green Realty Corp. Ser. D — None

pfd stk Sterling Bancorp Trust PFD — Interest

ADR Tata Motors Ltd — None

pfd stk Taubman Centers Inc — Int/Div

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

com stk Valley National Bancorp — None

com stk Vishay Intertechnology Inc — None

pfd stk Vornado Realty Trust — None

Council Member, The American Law Institute

Member, Committee on Science, Technology and the Law, The Natwonal Academies

Power-of-Attomey, Member #1

Co-Trustee, A Trust for the benefit of Member #2 (name of trust

Reimbursement — The American Law Institute — 01/19-2172011 — Philadelphia, PA — Council Meeting — paid travel, lodging and meal expenses

Reimbursement — The National Academies — 04/10-1272011 — Washington, DC — CSTL Committee Meeting — pad travel, lodging and meal expenses

Reimbursement — The American Law Institute — 10/19-21/2011 — New York, NY — Council Meeting — pad travel, lodgmg and meal expenses

Spouse's income — 2011 — self-employed mn management consulting, software development and rental property

Part VII, Line 26: Several mvestments previously listed here are now listed under T. Rowe Price brokerage because they were transferred there 1029/11. They

are noted with "+."