Graham Calder Mullen

RE¥S

BRANCH BANK & TRUST CO. (Bank Accounts) — Interest

Smith Bamey Money Market Fund (See explanation) — Int/Div

Smith Bamey Money Market Fund (See explanation) — Int/Div

Central Fund - Canada — Int/Div

Intel Corp — Int/Div

Merck & Co — Int/Div

Proctor & Gamble — Int/Div

General Electric — Int/Div

Chart Indus — None

IRA {See explanation) — Int/Div

Blackrock Funds - Large Cap Value — Sold

John Hancock - Large Cap Equity Fund — Sold (part)

John Hancock - Large Cap Equity Fund — Sold

Loomis Sayles Funds IT Strategic Inc Fund — Buy

Loomis Sayles Funds IT Strategic Inc Fund — Sold (part)

Loomis Sayles Funds IT Strategic Inc Fund — Sold (part)

Loomis Sayles Funds IT Strategic Inc Fund — Sold (part)

MFS Resh Int'l Fund — Sold

Oppenheimer Int'l Bond Fund — Buy (add'l)

Oppenheimer Int'l Bond Fund — Buy (add'l)

Oppenheimer Int'l Bond Fund — Sold (part)

Oppenheimer Int'l Small Co Fund — Sold (part)

Oppenheimer Int'l Small Co Fund — Buy (add'l)

Oppenheimer Int'l Small Co Fund — Sold (part)

Oppenheimer Int'l Small Co Fund — Sold (part)

Satuit Cap Micro Cap Fund — Buy (add'l)

Satuit Cap Micro Cap Fund — Sold (part)

Satuit Cap Micro Cap Fund — Sold (part)

American Funds Gr. Fund — Sold (part)

S10. — Sold

Keeley Funds Small Cap Value — Sold

Oppenheimer Gold & Sp. Minerals — Sold

Oppenheimer Gold & Sp. Minerals — Buy

Oppenheimer Gold & Sp. Minerals — Sold (part)

Oppenheimer Gold & Sp. Minerals — Sold (part)

Fidelity Advisor SPR 1 Leveraged Co Hb Fund — Sold (part)

Fidelity Advisor SPR 1 Leveraged Co Hb Fund — Sold (part)

Fidelity Advisor SPR 1 Leveraged Co Hb Fund — Sold (part)

Permanent Portfolio Fd — Sold (part)

Blackrock Global Allocation — Buy

Blackrock Global Allocation — Sold (part)

Blackrock Global Allocation — Sold (part)

Columbia Select Large Cap Growth Fd — Buy

Columbia Select Large Cap Growth Fd — Sold (part)

Delaware Pooled TR Diversified Inc Fd — Buy

Delaware Pooled TR Diversified Inc Fd — Sold (part)

First Eagle Fds Global Fd — Buy

First Eagle Fds Global Fd — Buy (add'l)

First Eagle Fds Global Fd — Sold (part)

Yacktman Fd — Buy

Yacktman Fd — Sold (part)

Yacktman Fd — Sold (part)

Fairholme Fds — Buy

Fairholme Fds — Sold

John Hancock Global Oppty Fd — Buy

John Hancock Global Oppty Fd — Sold

Pimco Fds - Total Return Fd — Buy

Pimco Fds - Total Return Fd — Sold (part)

Rovce Premier Fd — Buy

Rovce Premier Fd — Buy (add'l)

Rovce Premier Fd — Sold (part)

Rovce Premier Fd — Sold (part)

Rovce Premier Fd — Sold (part)

Templeton Fds « TR Global Bd Advisor — Buy

Templeton Fds « TR Global Bd Advisor — Sold (part)

MFS « Int'l New Discovery Fd — Buy

MFS « Int'l New Discovery Fd — Sold (part)

MFS « Int'l New Discovery Fd — Sold (part)

JP Morgan Core Bond FD Select — Buy

JP Morgan Core Bond FD Select — Sold (part)

Neuberger Berman Income New Strategic Fd — Buy

Neuberger Berman Income New Strategic Fd — Sold (part)

Nuveen Invt Tradewinds Value Oppty — Buy

Nuveen Invt Tradewinds Value Oppty — Sold (part)

Nuveen Invt Tradewinds Value Oppty — Sold (part)

Hondo Minerals Corp — None — Buy

Hondo Minerals Corp — Buy (add'l)

ISORAY — None

Valero Energy — Int/Div

Mosaic — Int/Div

Hecla Mining — Int/Div

GDX Goldmmers ETF — Int/Div

Curtiss-Wright — Int/Div

Northwestern Mutual (NML) Insurance Policies

Whole Life XXX113 — Int/Div

NML Whole Life XXXI88 — Int/Div

NML Whole Life XXX510 — Int/Div

NML Whole Life XXX69% — Int/Div

NML Extraord. Life 403 — Int/Div

NML Adjustable Comp XXX 100 — Int/Div

NML 65 Life 913 — Int/Div

NML 6S Life473 — Int/Div

NML Whole Life 437 — Int/Div

NML Whole Life 800 — None

Kinross Gold — Int/Div

Select SPDR Energy — Int/Div

Prudent Bear Fund — None

Cantango Oil & Gas — None — Sold

Eldorado Gold — Int/Div

Verizon Comm. — Int/Div

ishares Japan Fd — Int/Div — Sold

Cisco Sys — None — Sold

Click Software Tech. — None

Chart Indus — None

Nanoviricides — None

Neural Stem Inc — None

S&P North Amer Tech Fd — Int/Div — Sold

E-Bay Inc — None — Sold

International Stem Cell Corp. — None

Pro-Pharmaceuticals (See below) — None

NOTE: Name change to Galectin Therapeutics

Brigus Gold — None

Capstone Turbine — None — Sold (part)

Capstone Turbine — Sold

Globe Specialty Metals — Int/Div — Sold

Inovio Pharmaceuticals — None — Buy (add'l)

Argentex Mining — None

Wells Fargo Warrants — None — Sold

Apple Inc — None — Buy (add'l)

Apple Inc — Sold

First Trust High Income Long/Short FD — Int/Div

CenturyLink Inc — Int/Div

Janus Short Term Bond Fund for 2010 Report(See Explanation) — Int/Div

Janus Short Term Bond Fund — None — Sold

Nuveen Ltd Term Muni Bond for 2010 Report (See Explanation.) — Int/Div

Nuveen Ltd Term Muni Bond — None — Sold

Morgan Stanley Smith Barmey Unified Managed Acct-est1 2/10/10

Cambiar Small Cap Fd — Int/Div — Sold (part)

Cambiar Small Cap Fd — Sold (part)

Cambiar Small Cap Fd — Sold (part)

Cambiar Small Cap Fd — Sold

Blackrock Inflation Preferred Bond Port — Int/Div — Buy (add'l)

Blackrock Inflation Preferred Bond Port — Buy (add'l)

Blackrock Inflation Preferred Bond Port — Sold (part)

Blackrock Inflation Preferred Bond Port — Sold (part)

Blackrock Inflation Preferred Bond Port — Buy (add'l)

Eaton Vance Commodity Strategy Fd — Int/Div — Buy (add'l)

Eaton Vance Commodity Strategy Fd — Sold (part)

Eaton Vance Commodity Strategy Fd — Buy (add'l)

Eaton Vance Commodity Strategy Fd — Sold (part)

Eaton Vance Large Cap Value Fund — Int/Div — Sold (part)

Eaton Vance Large Cap Value Fund — Sold (part)

Eaton Vance Large Cap Value Fund — Sold (part)

Eaton Vance Large Cap Value Fund — Sold

Eaton Vance Income Fund of Boston — Int/Div — Sold (part)

Eaton Vance Income Fund of Boston — Buy (add'l)

Eaton Vance Income Fund of Boston — Sold (part)

Eaton Vance Income Fund of Boston — Sold (part)

Eaton Vance Income Fund of Boston — Buy (add'l)

Goldman Sachs TR Growth Opp. Fd. — None — Sold (part)

Goldman Sachs TR Growth Opp. Fd. — Sold (part)

Goldman Sachs TR Growth Opp. Fd. — Sold

Goldman Sachs Absolute Return Tracker — None — Buy (add'l)

Goldman Sachs Absolute Return Tracker — Buy (add'l)

Goldman Sachs Absolute Return Tracker — Buy (add'l)

Goldman Sachs Absolute Return Tracker — Sold (part)

Goldman Sachs Absolute Return Tracker — Buy (add'l)

Goldman Sachs Absolute Return Tracker — Buy (add'l)

Ing Global Real Estate — Int/Div — Sold (part)

Ing Global Real Estate — Buy (add'l)

Ing Global Real Estate — Sold (part)

Ing Global Real Estate — Sold (part)

Ing Global Real Estate — Sold (part)

Ing Global Real Estate — Sold (part)

Ivy Mid Cap Growth 1 — Int/Div — Buy

Ivy Mid Cap Growth 1 — Sold (part)

pak) — Sold (part)

pak) — Sold (part)

pak) — Buy (add'l)

JP Morgan Dynamic Small Cap Growth — Int/Div — Sold (part)

JP Morgan Dynamic Small Cap Growth — Sold (part)

JP Morgan Dynamic Small Cap Growth — Sold

Lazard Emerging Mkts Port — Int/Div — Sold (part)

Lazard Emerging Mkts Port — Sold (part)

Lazard Emerging Mkts Port — Sold

Legg Mason Western Asset Int. Muni — Int/Div — Sold (part)

Legg Mason Western Asset Int. Muni — Buy (add'l)

Legg Mason Western Asset Int. Muni — Buy (add'l)

Legg Mason Western Asset Int. Muni — Buy (add'l)

Legg Mason Western Asset Int. Muni — Sold (part)

Mainstay Large Cap Growth Fd — Distribution — Buy (add'l)

Mainstay Large Cap Growth Fd — Sold (part)

Mainstay Large Cap Growth Fd — Sold (part)

Mainstay Large Cap Growth Fd — Sold (part)

Mainstay Large Cap Growth Fd — Sold (part)

Mainstay Large Cap Growth Fd — Buy (add'l)

Managers Systematic MD CP — Int/Div — Buy

Managers Systematic MD CP — Sold (part)

Managers Systematic MD CP — Sold (part)

Managers Systematic MD CP — Sold (part)

RITES — Buy

Pimco Funds Emerging Local Bond — Int/Div — Sold (part)

Pimco Funds Emerging Local Bond — Sold (part)

RIT)

Pimco Short Term Fund CL P — Int/Div — Buy

Pimco Short Term Fund CL P — Buy (add'l)

Pimco Short Term Fund CL P — Sold (part)

Rydex SGI Managed Futures Strategy Fd — Int/Div — Buy

NOTE: Guggenheim bought Rydex in 2011 — Sold (part)

NOTE: Future Reports will identify this as Guggenheim, — Buy (add'l)

NOTE: Future Reports will identify this as Guggenheim, — Sold

NOTE: Future Reports will identify this as Guggenheim, — Buy (add'l)

NOTE: Future Reports will identify this as Guggenheim, — Buy (add'l)

TCW Value Opportunities Fund — Int/Div — Sold (part)

TCW Value Opportunities Fund — Sold

Templeton Global Bond Fund Advisor Class — Int/Div — Sold

Thomburg Int'l Value Fund — Int/Div — Sold (part)

Thomburg Int'l Value Fund — Sold (part)

Thomburg Int'l Value Fund — Sold (part)

Thomburg Int'l Value Fund — Sold (part)

Thomburg Int'l Value Fund — Sold (part)

Thomburg Int'l Value Fund — Buy (add'l)

Homorary Lite Member, Duke Umiversity Law School Board of Visitors

Member ad unct faculty, Department of Political Science UNC Charlotte

Member HOA Board, Roval Crest Home Owners

Explanation of line items contained in Part VII.

Lines 3 and 5 - Smith Barney Money Market fund includes deposits m that fund which the broker has moved into their Bank Deposit program.

Line 21 - The IRA was established from my Thrift Savings Plan, all capital gains and dividends are re-invested. Periodically, small numbers of shares are sold to

pay the trustee's fees. These are reported. This income is aggregated and not reported for each separate fund.

Line 216- Janus Short Term Bond Fund bought m 2009 and shown on the 2009 Report. However, no activity and not shown on the 2010 Report. This is a Self-

Initiated Amendment to the 2010 Report.

Line 190 - Nuveen Ltd Term Muni Bond Fund bought in 2009 and shown on the 2009 Report. However, no activity and not shown on the 2010 Report, This is 4

Self-Initiated Amendment to the 2010 Report.

Line 224 - The assets within the managed account are included in this report on lines 225 - 333, inclusive.

Line 252 - Goldman Sachs TR Growth Opp. Fd. is shown in the 2010 Report on Part VII, page 7, line 36 as Goldman Sachs TR Fin Mkt. Fund.

2010 Report - Part VII, page 7, line 53, Oppenheimer Small Cap Value Fund is an error and should not be listed at all.