Robert David Sack

JPMORGAN CHASE ACCOUNTS — Interest

OPP ADVANTAGE MUNICIPAL LIQ FUND (X) — Int/Div

OPP BOEING CO — Int/Div

OPP COHEN & STEERS MLP INC & ENRGY COM SHS — Distribution — Buy

OPP INVESCO GLOBAL CORE EQ FD CLA) — Int/Div

OPP INVESCO VAN KAMPEN SMALL CAPVALUEFDCL A(X) — Int/Div

OPPIVYSCIENCE& TECHFDY — Int/Div — Buy

OPPMSIFGROWTHFDCLA(X) — Int/Div

OPP MSIF SMALL CO GRTH PORT CL A xX) — Int/Div

OPP DEUTSCHE STRATEGIC HIGH YIELD TAX-FREE FUND-INST (X) — Int/Div — Buy

OPP DEUTSCHE STRATEGIC HIGH YIELD TAX-FREE FUND-INST (X) — Buy (add'l)

OPP FRANKLIN NY TAX FREE INCOME FDINCCLA(X) — Int/Div

OPP IVY MUNICIPAL HIGH INCOME FUND CLASS 1 — Interest — Buy

OPP IVY MUNICIPAL HIGH INCOME FUND CLASS 1 — Buy (add'l)

OPP NUVEEN HIGH YIELD MUNICIPAL BDFDR — Interest — Buy

OPP NUVEEN HIGH YIELD MUNICIPAL BDFDR — Buy (add'l)

OPP ROCHESTER AMT-FREE NY NUMI FDCL A(X) — Int/Div — Sold (part)

OPP ROCHESTER AMT-FREE NY NUMI FDCL A(X) — Sold (part)

OPP EATON VANCE ENHANCED EQ INC FD — Int/Div — Buy

OPP HANCOCK JOHN FINL OPPTYS FD SH BEN INT NEW — Int/Div — Buy

OPP TEKLA LIFE SCIENCES INVS SH BENINT — Int/Div — Buy

OPP TEKLA LIFE SCIENCES INVS SH BENINT — Buy (add'l)

OPP TORTOISE ENERGY INDEPENDENC FD — Int/Div — Buy

OPP INVESCO TR INVT GRADE NY MUNS TAX FREE COM — Int/Div

OPP MAINSTAY DEFINED TERM MN OPP FD TAX FREE COM — Int/Div — Buy (add'l)

OPP MAINSTAY DEFINED TERM MN OPP FD TAX FREE COM — Buy (add'l)

OPP NUVEEN NY PERFORM PLUS MUN FD TAX FREE COM — Interest — Buy

OPP NUVEEN INTER DURATION MN TMFD TAX FREE COM — Int/Div — Buy (add'l)

OPP NEW YORK N'Y NY 4% DUE 0201/22 BELGO OID (X) — Interest

OPPLIPANYELECDUE 6/1/14 (X) — Interest — Matured

Northwestern Mutual Life Insurance Policy — Int/Div

Guardian Life Insurance Policy — Int/Div

Massachusetts Mutual Life Insurance Policy — Interest

Morgan Stanley Money Market Fund (Y)

Morgan Stanley LIPA 5.60 Zero Coupon Bond due 6/1/14 (Y)

MS NYS Power Auth Rev Ref Ser-C 4% due 1 1/1520(Y)

MS NYC Genl Oblig Ser-1 4% Due 2/1/22 {Y)

MSFOCUSGROWTHFDA(Y)

MSIF Small Co Growth A (Y)

MS FRANKLINNY TX FRAY)

MS Invesco Gobal Core Equity A (Y)

MS Invesco Small Cap Value A (Y)

MS OPPENHEIMER AMT-FREE NY MUN AY)

JPMorgan Federal Money Market Fund Morgan (Y)

AMERIPRISE INSURED MONEY MARKET ACCTS — Int/Div

ADV-BLACKROCK EQUITY DIVIDEND CLA — Int/Div — Sold (part)

ADV-COLUMBIA DIVIDEND OPPORTUNITY CL A — Int/Div

ADV-COLUMBIA INCOME OPPCL A — Int/Div

ADV-EATON VANCE AMT FREE MUNICIPAL — Int/Div

ADV-FIDELITY ADVISOR FLOATING RATEHIGHINCCL A — Int/Div

ADV-OPPENHEIMER AMT FREE NY MUNICIPAL CL A — Int/Div

ADV-PIONEER AMT FREE MUNICIPAL CLA — Int/Div

ADV-TAX EXEMPT BOND AMERICA CLA — Int/Div

ADV-VIRTUS TAX EXEMPT BOND CL A — Int/Div

ONE-INVESCO MUNICIPAL INCOME CLA — Int/Div

ONE-BLACKROCK EQUITY DIVIDEND CLA — Int/Div

ONE-BLACKROCK FLOATING RATE INCOME INVESTOR CL A — Int/Div

ONE-COLUMBIA DIVIDEND OPPORTUNITY CL A — Int/Div

ONE-EATON VANCE FLTG RATE & HIGH INCOME CL A — Int/Div — Sold

ONE-FIDELITY ADVISOR NEW INSIGHTS CL A — None

ONE-GABELLI EQUITY INCOME CL A — Int/Div — Sold (part)

ONE-MFS MUNICIPAL LIMITED MATURITY CL A — Int/Div

ONE-OPPENHEIMER SENIOR FLOATING RATECL A — Int/Div — Sold

ONE-OPPENHEIMER ROCHESTER LTD TERMMUNCL A — Int/Div

ONE-PERMANENT PORTFOLIO — Int/Div

ONE-ROCHESTER LTD TERM NY MUNICL A — Int/Div

ONE-TAX EXEMPT BOND AMERICA CLA — Int/Div

CASH RESERVE CERTIFICATE mm — Interest — Open

CASH RESERVE CERTIFICATE mm — Sold (part)

CASH RESERVE CERTIFICATE mm — Sold (part)

CASH RESERVE CERTIFICATE mm — Sold (part)

CASH RESERVE CERTIFICATE mm — Interest — Open

CASH RESERVE CERTIFICATE mm — Sold (part)

CASH RESERVE CERTIFICATE mm — Sold (part)

CASH RESERVE CERTIFICATE mm — Sold (part)

CASH RESERVE CERTIFICATE mm — Sold (part)

CASH RESERVE CERTIFICATE mm — Sold (part)

CASH RESERVE CERTIFICATE mm — Sold (part)

AFI Flexible Savings Certificate — Interest — Redeemed

AFI Flexible Savings Certificate — Interest — Redeemed

RiverSource Retirement Advisor 4 Advantage VA-Annuity — Int/Div

Ameriprise IRA (AH) — Int/Div

Columbus Circle LCG, IRA — Sold (part)

Lazard IA. IRA

Alu LCC. IRA — Sold (part)

Munder MCC, IRA — Sold (part)

MILLER HOWARD IE MLP. IRA — Buy

MILLER HOWARD IE MLP. IRA — Buy (add'l)

MILLER HOWARD IE MLP. IRA — Buy (add'l)

Flexible Savings Certificate, IRA

Lecturer in Law and Adjunct Professor, Columbia Law School

Member, Columbia Board of Visitors, Columbia Law School

Agreement — 1998 — Gibson, Dunn & Crutcher LLP Retirement Agreement, Gibson Dunn & Crutcher LLP and Robert DD. Sack; Terms $6,000 per month/life, no increase, decrease or cap

Agreement — 2010 — Practising Law Institute and Robert D. Sack, publication of 4th edition of treatise on defamation kaw; royalty 15% of net receipts

Liability — Citibank Mastercard — Credit Card

Liability — Amcrican Express — Credit Card

Reimbursement — Roger Williams University School of Law — 2/20-212014 — Bristol, RI — Cruest Lecturer — Travel, Hotel and Meals

Reimbursement — University of Alabama School of Law — 2/27-3/112014 — Tuscaloosa, AL — Guest Lecturer — Travel, Hotel and Meals

Reimbursement — University of Minnesota — 4/22.232014 — Minneapolis, MN — Panelist and Guest Speaker — Travel, Hotel and Meals

Income — 2014 — Practising Law Institute Book Royalties — $22 988.75

Income — 2004 — Lecturer in Law, Columbia Law School — S15.000.00

Spouse's income — 2014 — Thomson Reuters Rovalties

A pending claim against Worldcom is currently in litigation (02 Civ. 3288 (DLC)). The worth of that claim cannot be determined at this time.

A pending claim against American International Group, Inc. is currently in litigation (4 Civ, 8141 (DAB) (AJP). The worth of that claim cannot be determined at

this time,

JP Morgan Federal Money Market Fund-Morgan (Line 24 on the 2013 report; Line 46 on this report) was sold on 9/27/2013 and the funds were deposited into the

Judge's JPMorgan Chase Checking Account. We inadvertently omitted this sale in the 2013 report. The JP Morgan Federal Money Market Fund-Morgan is no

longer reportable and will be deleted from future reports,

On January 10, 2014, ten assets were transferred to Oppenheimer from Morgan Stanley. The assets transferred to Oppenheimer are marked with an (X), and the

assets transferred out of Morgan Stanley are marked with a (Y). These assets are:

MORGAN STANLEY MONEY MARKET FUND

INVESCO GLOBAL CORE EQ FD CL A

INVESCO VAN KAMPEN SMALL CAP VALUEFD CL A

FRANKLIN NY TAX FREE INCOME FD INC CL A

LIPA NY ELEC NY FSA DUE 06/01/14

MORGAN STANLEY FOCUS GROWTH CL A

MSIF SMALL CO GRTH PORT CL A

NEW YORK N Y NY 4% DUE 02/01/22

NEW YORK ST PWR AUTH REV NY MBIA 4% DUE 11/1520

OPPENHEIMER ROCHESTER AMT-FREE NY MUNI FD CL A

These assets had no reportable income while at Morgan Stanley in 2014,

Lime 10, DEUTSCHE STRATEGIC HIGH YIELD TAX-FREE FUND-INST was formerly called DWS STRATEGIC HIGH YIELD TAX-FREE FUND.

Line 21, TEKLA LIFE SCIENCES INVS SH BEN INT was formerly called H & Q LIFE SCIENCES INVS SH BEN INT,

In 2014, MORGAN STANLEY FOCUS GROWTH CLA merged into MSIF GROWTH FD CL A (Line 8).