Nicholas Garaufis

RCA CAPITAL GROUP LLC BANK DEPOSIT SWEEP PROGRAM — Interest

DAVIS NEW YORK VENTURE CLASS A — Int/Div

NEUBERGER BERMAN FOCUS FUND — Int/Div

BLACKROCK FLEXIBLE EQUITY FD CLA — Int/Div

INVESTCO VAN KAMPEN AMERICAN FRANCHISE — Int/Div

INVESTCO GLOBAL GROWTH FD CL B — Int/Div

ALLIANCE BALANCED SHARES CL B — Int/Div

ISHARES TR. RUSSELL 1000 — Int/Div

FIDELITY ADVISOR INFLATION PROTECTED BDFD CL A — Int/Div — Sold

ALLIANCE REAL ESTATE INVESTMENT FD A — Int/Div

OPPENHEIMER SM & MID CAP VALUE FUND — Int/Div — Sold (part)

ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND — Int/Div — Sold

ALLIANCE GROWTH & INCOME FUND CLB — Int/Div

CITY OF NEW YORK DEFERRED COMPENSATION PLAN — Int/Div

ABC PENSION PLAN — None

INVESTCO GLOBAL LOW VOLATILITY — Int/Div

ISHARES MIDCAP — Int/Div

ISHARES MSCI EAFE ETF — Int/Div — Sold (part)

ISHARES MSCI EAFE ETF — Sold (part)

ISHARES MSCI EAFE ETF — Buy (add'l)

ISHARES RUSSELL 2000 — Int/Div

ISHARES MSCI EMERGING MKT — Int/Div — Buy (add'l)

MUTUAL SERIES CLASS C — Int/Div

SPDR S&P 500 ETF TR — Int/Div — Sold (part)

SPDR S&P 500 ETF TR — Sold (part)

PIMCO TOTAL RETURN CL C — Int/Div

OPPENHEIMER GLOBAL FUND — Int/Div

INVESTCO VAN KAMPEN EQUITY & INCOME — Int/Div

AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div — Sold (part)

ALLIANCE BERNSTEIN LG CAP GROWTH B — Int/Div

AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER.CLASS C — Int/Div

AMERICAN GROWTH FD OF AMERICA Cc — Int/Div

AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Int/Div — Sold (part)

AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Sold (part)

INVESTCO DEVELOPING MKT CL A — Int/Div

OPPENHEIMER INT BD FD — Int/Div — Sold

PIMCO COMM REAL RETURN — Int/Div

ROYCE TOTAL RET. INV — Int/Div

SHARES S&P SMCAP 600 — Int/Div

COLUMBIA SM CAP VAL 11 CIA — Int/Div

EAGLE SM CAPFD A — Int/Div — Sold (part)

SHARES RUSSELL 2000 VALUE — Int/Div

PIMCO UNCONSTRAINED — Int/Div — Sold (part)

ARTISAN INTL INVESTOR — Int/Div — Buy (add'l)

ARTISAN INTL INVESTOR — Buy (add'l)

ARTISAN INTL INVESTOR — Buy (add'l)

ARTISAN INTL INVESTOR — Buy (add'l)

FORWARD SELECT INC INST — Int/Div

ISHARES TR COHEN & STEERS REALTY — Int/Div

PIMCO HIGH YIELD A — Int/Div

FORWARD TACTICAL GROWTH FD CL 8] — Int/Div

BLACKROCK GLOBAL ALLOCATION FDCLC — Int/Div

ARTISAN MID-CAP VALUE — Int/Div

MAINSTAY ICAP SELECT — Int/Div

DWS DREMAN SM CAP VALUES — Int/Div

GOLDMAN SACHS SATELLITE STRAT PORTFOLIO — Int/Div — Sold (part)

BLACKROCK EQUITY DIVIDEND — Int/Div

FIDELITY ADVISORS FLOATING GHIGH INC FD — Int/Div

ISHARES S&P 500 GROWTH — Int/Div

ISHARES S&P MID-CAP 400 GROWTH — Int/Div

ISHARES RUSSELL TOP 200 VALUE — Int/Div — Buy

ISHARES S&P MIDCAP 400 VALUE — Int/Div — Buy

PIMCO ALL ASSET ALL ACTIVITY — Int/Div — Buy

ALLIANZGI NFS INTL VALUE — Int/Div — Buy

JPMORGAN LARGE CAP GROWTH — Int/Div — Buy

VII, PAGE 4 OF 9, LINE 16:

ABC, INC. PENSION PLAN. I AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER PENSION PLAN

PART III, LINE 2 DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON MY DEATH.

VII, PAGE 5 OF 9, LINE 17:

NAME CHANGED FROM INVESTCO QUANTITATIVE CORE. TO INVESCO GLOBAL LOW VOLATILITY.

VII, PAGE 5 OF 9, LINE 19:

NAME CHANGED FROM ISHARES TRMSCI TO ISHARES MSCI EAFE ETF