James Orenstein

Chase bank accounts (with Family Member #2) — Interest

IBM — Int/Div

Verizon — Int/Div

Nathan Family Real Estate Trust (as appraised on 11/12/2008) — None — note, Part VIII

JOUBSACCT(.12) — Int/Div

UBS Bank USA Deposit Acct — None

UNTSFTTGT VIP4Q 13 — Int/Div — Sold (part) — to line 65

JOUBS ACCT (.8}) — None

JPMorgan 529 Moderate Growth Portfolio Fund Class A — None

JOUBSROTH(.47) — Int/Div

UBS Bank USA Deposit Account — Interest

Apple Inc — Int/Div

EMC Corp — Int/Div

Google Inc — None

Ishares Trust Core S&P Smallcap — Int/Div

Ishares Trust S&P Latin Amer 40 Index Fund — None — Sold

SPDR S&P Midcap 400 — Int/Div

Fidelity Advisor New Insights Fund — Int/Div — Buy (add'l)

El Paso Pipeline Partners LP — Int/Div — Sold

Nuveen Quality Preferred Income Fund 2 — Int/Div

Nuveen Quality Preferred Income Fund — Int/Div

Alliance Bernstein High Income Fund — Int/Div — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

Alliance Bernstein High Income Fund — Buy (add'l)

St Johns Coty FL Wir Swr Sr B Municipal Bond — None

Putnam Diversified Income Trust — Int/Div — Buy (add'l)

Putnam Diversified Income Trust — Buy (add'l)

Templeton Global Total Return Class A — Int/Div — Buy (add'l)

SPDR Gold Trust — None — Sold (part)

Invesco Balanced-Risk Allocation Fund A — Int/Div — Buy (add'l)

Putnam Absolute Return S00 — Int/Div — Buy (add'l)

Putnam Capital Spectrum A — Int/Div — Buy (add'l)

pm #2 UBS ROTH (...48) — hy

UBS Bank USA Dep Acct — Interest

American Funds Capital World Growth & Income Fund Cl A — Int/Div

American Funds New World Fund C1 A — Int/Div — Buy (add'l)

American Funds Smallcap World Fund C1 A — Int/Div — Buy (add'l)

American Funds Euro Pacific Growth Fund C1 A — Int/Div

American Funds Growth Fund of America CA — Int/Div — Buy (add'l)

American Funds Growth Fund of America CA — Buy (add'l)

American Funds Income Fund of America CIA — Int/Div — Buy (add'l)

American Funds New Perspective Fund CIA — Int/Div — Buy (add'l)

American Funds Washington Mutual Investors Fund CI A — Int/Div — Buy (add'l)

American Funds Washington Mutual Investors Fund CI A — Buy (add'l)

American Funds American Balanced Fund CIA — Int/Div — Buy (add'l)

Kem County CA Mumcipal Bond — None

JOUBSACCT(..29) — None

Bond Fund of America — None

Capital World Growth & Income Fund — None

Euro Pac Growth Fund — None

Growth Fund of Amenica — None

Income Fund of America — None

New Perspective Fund — None

Smallcap World Fund — None

Washington Mutual Investors Fund — None

EEE UBS ACCT (..48) — Int/Div

UBS Bank USA Dep Acct — Interest

UNTSFTTGTVIP4Q 13 — None — from line 7)

Sallie Mae Ednotes Callable — Interest

Long Island NY Pwr Elec Municipal Bonds — None — Sold (part)

Long Island NY Pwr Elec Municipal Bonds — Sold (part)

Long Island NY Pwr Elec Municipal Bonds — Sold

NYC Water Municipal Bonds — Interest — Redeemed

NYS Dorm Municipal Bond — None — Sold

Oklahoma City OK Municipal Bond — None

Indiana Transn Fin Auth Municipal Bond — None — Sold

Dry Creek CA Municipal Bond — None

Yorba Linda CA Mumicipal Bond — None

DC Washington Mandarin Hotel Municipal Bond — None

Palo Alto CA Municipal Bond — None — Sold

Adams 12 Five Star Schs Colo Municipal Bond — None

New York City SR A Municipal Bond — None

Brock Tex Indpt Sch Dst Municipal Bond — None

Prosper Tx Isd Rfdg Bk Municipal Bond — None — Sold

Medina Valley TX Municipal Bond — None

San Rafael CA City Hi GH Municipal Bond — None — Sold

Utah Tran Auth Sales Tax Municipal Bond — None

Lewisville TX Municipal Bonds — None

Manhattan Beach USD Cal Municipal Bond — None — Sold

Chicago IL Bd of Ed Municipal Bond — None

Athens-Clarke County GA Municipal Bond — Interest

Monterey Peninsula CA Municipal Bond — None

Chicago IL Lakefront Municipal Bond — None

Houston TX Wir & Swr Municipal Bond — None — Sold

Washington State Ser E Municipal Bond — None — Sold

NJ Trans Trust Municipal Bonds — None

Wentzville Mo Sch Municipal Bond — None

Escondido CA UHSD Municipal Bond — None

San Joaquin Delta Comnty Ser B Municipal Bond — None

Denton TX Indep Sch Municipal Bond — None

Mesquite TX ISD Municipal Bond — None

Washington St Mtr Vehicl Municipal Bond — None

Ennis TX Indpt Sch Dst Municipal Bond — None

Evergreen CA Elem Sch Dist Municipal Bond — None

Pimco Dynamic Cr Income Fund — Int/Div — Distnbuted — to line 184

John Hancock New York Venture Annuity — None

Lincoln Life Moneyguard Reserve — None

mmm UBS ACCT (..49) — Int/Div

UBS Bank USA Dep Acct — Interest

Apple Computer Inc — Int/Div

AT&T Inc — Int/Div

Centurylink Inc — Int/Div

Kinder Morgan Inc — None — from line 147) — note, Part VIII

Kinder Morgan Inc — Sold (part)

Lorillard Inc — Int/Div — Buy (add'l)

Lorillard Inc — Buy (add'l)

Lorillard Inc — Buy (add'l)

Lorillard Inc — Buy (add'l)

Salesforce.com Inc — None

Ishares Trust S&P Latin Amer 40) Index Fund — Int/Div — Sold

Mainstay Cushing MLP Premier Fund — Int/Div — Buy (add'l) — note, Part VII

Mainstay Cushing MLP Premier Fund — Buy (add'l)

Mainstay Cushing MLP Premier Fund — Buy (add'l)

Mainstay Cushing MLP Premier Fund — Buy (add'l)

Fidelity Advisor Biotechnology Fund — Int/Div — Buy

Fidelity Advisor Biotechnology Fund — Buy (add'l)

Fidelity Advisor Biotechnology Fund — Buy (add'l)

Fidelity Advisor New Insights Fund C1 A — Int/Div — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Int/Div — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Henderson Global Equity Income Fund C1 A — Buy (add'l)

Hennessy Cornerstone Growth Fund Institutional Class — None

JP Morgan U.S. Large Cap Core Plus Fund A — Int/Div — Buy (add'l)

JP Morgan U.S. Large Cap Core Plus Fund A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Int/Div — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Equity Income Fund Class A — Buy (add'l)

Neuberger Berman Intrinsic Value Fund Class A — Int/Div — Buy (add'l)

Oakmark Fund Class — Int/Div — Buy (add'l)

Oppenheimer Developing Markets Fund ClA — Int/Div — Buy (add'l)

Kinder Morgan Energy Partners MLP — Int/Div — Distnibuted — line 111

Aberdeen Global High Income Fund Class A — Int/Div — Buy (add'l)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Aberdeen Global High Income Fund Class A — Sold (part)

Aberdeen Global High Income Fund Class A — Buy (add'l)

Deutsche Floating Rate Fund Class S — Int/Div — Sold (part)

Loomis Sayles Strategic Income Fund Class A — Int/Div — Buy (add'l)

Lord Abbett Floating Rate Fund — Int/Div — Buy (add'l)

Lord Abbett Floating Rate Fund — Buy (add'l)

Lord Abbett Floating Rate Fund — Buy (add'l)

Lord Abbett Floating Rate Fund — Buy (add'l)

Lord Abbett Floating Rate Fund — Sold (part)

Lord Abbett Floating Rate Fund — Buy (add'l)

Mamstay High Yield Opportunity Class A — Int/Div — Buy (add'l)

Mamstay High Yield Opportunity Class A — Buy (add'l)

Mamstay High Yield Opportunity Class A — Buy (add'l)

Mamstay High Yield Opportunity Class A — Buy (add'l)

Mamstay High Yield Opportunity Class A — Buy (add'l)

Mamstay High Yield Opportunity Class A — Sold (part)

Mamstay High Yield Opportunity Class A — Buy (add'l)

Pimco Total Return Fund Class A — Int/Div — Sold (part)

Pimco Total Return Fund Class A — Sold (part)

Pimco Total Return Fund Class A — Sold

Virtus Multi-Sector Short Term Bond Fund Class A — Int/Div — Sold (part)

Virtus Multi-Sector Short Term Bond Fund Class A — Sold (part)

Virtus Multi-Sector Short Term Bond Fund Class A — Sold

Gateway Fund Class A — Int/Div

Mainstay Marketfield Fund Class — None

Neuberger Berman Long Short Fund Class A — Int/Div — Buy (add'l)

First Eagle Global Fund Class A — Int/Div — Buy (add'l)

DWS Floating Rate Fund Class A — Int/Div — Sold

Putnam Capital Spectrum Fund Class Y — Buy

Putnam Capital Spectrum Fund Class Y — Buy (add'l)

Pimco Dynamic Cr Income Fund — Int/Div — from line 103)

Pimco Dynamic Cr Income Fund — Sold

mm 43 UBS ACCT (..77) — Int/Div

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund C1 A — Int/Div — Buy (add'l)

I #4 UBS ACCT (..79) — Int/Div

UBS Bank USA Dep Acct — None

Amer Funds Capital World Growth & Income Fund C1 A — Int/Div — Buy (add'l)

Adpunct professor, New York Umiversaty School of Law

Gift — Robert Jones — Tickets to Camegie Hall opening night gala — $5,000.00

Income — 2014 — New York University School of Law — $26,955.00

Spouse's income — 2014 — Department of Justice - US. Attorney's Office, Eastern District of New York

Part VII, generally: For all asset sales resulting in a loss or no net gain, | have left Column D{4) blank. Also, 1 no longer report "— Cash” as a separate asset line

within individual UBS accounts (as | did in some prior reports), as such information merely duplicates information provided in the line providing the overall

value of the account itself. For similar reasons, and to simplify this report, I no longer report on separate lines the movement of money between UBS accounts in

connection with transactions reported in the lines for specific assets.

Part VII, Jine 4: The valuation of my share of the Nathan JI Real Estate Trust is based on an appraisal of the value of the property held in trust as of January

23, 2008 (the date | inherited my share), The appraisal was reported on November 12, 2008.

Part VII, line 115: The asset formerly reported as Cushing MLP Premier Fund changed its name to Mainstay Cushing MLP Premier Fund on July 11, 2014.

Part VII, lines 111 and 141: Kinder Morgan Energy Partners MLP was merged into Kinder Morgan Inc. and my shares in the former were tendered in exchange for

shares in the latter,