David Brock Hornby

Bank of America accounts — Interest

Ally Bank accounts — Interest

Emigrant Direct — Interest

US. Savings Bonds — None

Maine State Tumpike 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)

Maine Health & Higher Edu. Facs. Auth’y bonds — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth’y bonds — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth’y bonds — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth’y bonds — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth’y bonds — Buy (add'l)

Maine Health & Higher Edu. Facs. Auth’y bonds — Buy (add'l)

Puerto Rico Public Finance Corp. bond — Interest

Bangor ME bonds — Interest — Buy (add'l)

Scarborough ME bond — Interest

Maine Municipal Bond Bank bonds — Interest

Portland ME Airport bonds — Interest — Buy (add'l)

Puerto Rico Public Buildings Auth'y bond — Interest

Commonwealth of Puerto Rico bonds — Interest — Sold (part)

Commonwealth of Puerto Rico bonds — Buy (add'l)

Univ. of Mame System bonds — Interest — Buy (add'l)

Puerto Rico Elec. Power Auth'y bonds — Interest

Puerto Rico Aqueduct & Sewer Auth'y bonds — Interest

Lewiston, ME public improvement bond — Interest

Windham, ME gen'l purpose bond — Interest

ME Gov't Facilities Auth'y bond — Interest

RBC Wealth Mgt money mkt acct — Interest

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

The MP6 Fund. Inc. (mutual fund) — Int/Div — Sold

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 *See Sec. VIL note — Int/Div

com stk First Service Corp. — None

Barclays Bank PLC iPath Index Fund — None

com stk Newell Rubbermaid — Int/Div — Donated

Vanguard Group Mutual Funds

Balanced Index fka Asset Allocation Fund — Int/Div

Value Index Fund — Int/Div

Inflation Protected Security Inv — Int/Div

Strategic Equity Fund — Int/Div

Tax Mgt Int'l Fund — Int/Div

Alpine Funds

Dynamic Dividend — Int/Div

eeIntermational Real Estate — Int/Div

Alpine Found. Fund — Int/Div

Bridgeway Ultra-Small Company Mkt Fund — Int/Div

Matthews Asian Funds

Asia Growth Investor — None

India — Int/Div

The Farrholme Fund — None

See Sec. VII note

com stk HJ. Heinz Co. — Int/Div

com stk Hlinois Tool Works — Int/Div

IRA Brokerage Acct T. Rowe Price #1

Cash Management Acct — Interest

com stk Intel Corp. — Int/Div

com stk Starbucks Corp — Int/Div

com stk Popular, Inc — None

Washington REIT — Int/Div

com stk Pioneer Natural Resources — Int/Div — Sold (part)

ETF Shares MSC Japan — Int/Div

mutual Fairholme Fund — None

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. (Y)

Alpine Total Dynamic Div. Fund — Interest

T. Rowe Price Emerging Europe Fund — Int/Div

Matthews Korea Fund — Int/Div

com stk Amazon.com — None — Sold (part)

Wisdom Tree Large Cap Div Fund — Int/Div

Facebook Inc — None — Buy

Facebook Inc — Buy (add'l)

IRA Brokerage Acct T. Rowe Price #2

Cash Management Acct — Interest

com stk DWS World Income Fund fkaDWS Europe Equity Fund — None — Sold

com stk Powershares QQQ — Int/Div

com sIX Immunogen Inc — None

U.S. Global Investors Eastern Europe (mutual) — Int/Div

Vanguard REIT Vipers — Int/Div

com stk Coca Cola — Int/Div

Vanguard Strategic Equity Fund — Int/Div

com stk Cisco Systems lnc — Int/Div

Value Line Fund Inc — None

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

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

Vanguard FTSE All-World ex-US ETF — Int/Div

Janus Triton Fund — Int/Div — Buy

Pamassus Equity Income Fund — Int/Div — Buy

Pension Plan Acct. TIAA-CREF — None

Pension Plan Acct. TIAA-CREF — None

401K Plan CMC Interactive LLC

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

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

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

Royce Total Return Fund — Int/Div

Oakmark Equity & Income J Fund — Int/Div — Buy (add'l)

Selected American Fund — Int/Div — Sold

Columbia Acom Fund — Int/Div — Buy (add'l)

Pimco Total Return Fund — Int/Div

Schwab Int] Index Fund — Int/Div — Sold

Principal Investors High Yield Il Fund — Int/Div

Landus Growth Investors — Int/Div — Buy

voting & nonvoting com stk Mandel Investment Corp. (X) — Int/Div

1/2 unit ld. partnership int. in Falls Development Assoc,

td. real estate partmersinp purchased 12/30/85; total

of $16,489.50 pd in mstallments completed 2/1090 — None

ltd. partnership int. in Miraculous, LLC, hd

real estate partnership purchased 2/11/02 $50,000 — Distribution

Minnesota Life:endowment life — Int/Div

Family Member #1 {power of atty)

AllanceBernstein Global Bond Fund CL A — Int/Div

AllianceBernstein Global High Income Fund Inc. — Int/Div

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

Bank of America Subord. InterNotes — Interest — Redeemed

Calamos Convert. Opportunities & Income Fund — Int/Div

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 — 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 — Redeemed

Eaton Vance Ltd Duration Income Fund — Int/Div

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

Essex Cty NJ Improve. Auth. Bonds — Interest — Sold

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

FL State Bd of Public Edu. Bonds — Interest

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

Gen'l Motors Acceptance Corp. SmartNotes — Interest — Redeemed

Haris Cty TX Cultural ED Bonds — Interest

Helios High Yield Fund — Int/Div

Hudson Cty NJ Improve. Auth'y Bonds- Weehawken — Interest

Hudson Cry NJ Improve. Auth'y Bonds- Hudson Cry lease — Interest — Sold

Inland Western Retail Real Estate Trust now Retail — None — Sold (part)

Properties of America

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 — Sold

Invesco Van Kampen High Income Trust II — Int/Div

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

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

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 — Redeemed

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 Lud — None

Peace River/Manasota Regl Wir Bonds — Interest

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

Permian Basin Rovalty Trust — Int/Div

Pimco Income Strategy Fund — Int/Div — Sold

Pimco Income Strategy Fund [1 — Int/Div

com stk Provident Energy Ltd. (now Pembina Pipeline) — Int/Div

Prudential Financial Inc. Inter Notes — Interest

Puerto Rico Aqueduct & Sewer Bonds 2024 (grouped 2) — Interest

Puerto Rico Common. G/O RFDG Gen'l Purpose Bonds — Interest — Sold (part)

Puerto Rico Common. Hwys & Streets Bonds — Interest

Puerto Rico Sales Tax Fing Cofina Bonds Ser, A — Interest

Puerto Rico Sales Tax Fing Cofina Bonds 2010 Ser, C — Interest

Sabine Royalty Trust — Int/Div

San Juan Basin Royalty Trust — Int/Div

SPDR Barclays Capital High Yield Bond FTF — Int/Div

Texas State Tpke Auth'y Cent. TX Tpke Bonds — Interest — Redeemed

USA Loan Fund DST — Int/Div

Valero Energy Corp. New Notes — Interest — Sold

Wells Fargo Advantage Multi Sector Income Fund — Int/Div

Western Asset Worldwide Income Fund Inc. — Int/Div

Zweig Total Return Fund Inc — Int/Div

RBC Bank Account — Interest

Clipper Fund Inc — None — Sold

DNP Select Income Fund Inc — Int/Div — Sold

com stk NRG Energy Inc. New — Int/Div

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 — Sold

Highland Credit Strategies Fund (now PYXIS) — Int/Div — Sold

Helios Strategic Income Fund Inc — Int/Div

MFS Intermediate Income Trust — Int/Div — Sold

Pacholder High Yield Fund PHF — Int/Div

Putmam Master Intermediate Income Trust — Int/Div — Sold

NJ Econ. Devt Auth’y Motor Vehicle Bonds — None — Redeemed

NJ Transp. Fund Rapid Transit Bond due 2000 — Interest — Sold

NJ Transp. Fund Bonds — Interest — Buy (add'l)

NJ Transp. Fund Bonds — Buy (add'l)

NJ Transp. Fund Bonds — Buy (add'l)

NJ Transp. Fund Bonds — Buy (add'l)

Virgin Islands Pub. Fin. Auth'y Bonds — Interest

NJ Econ. Dev. Auth'y Bonds — Interest — Buy (add'l)

NJ Educ. F Auth'y Princeton T Bond — Interest

Puerto Rico Pub. Bldg. Auth'y Gov't Fac Revenue Bond — Interest

Gloucester Cty NJ Improvement Auth'y Bond — Interest

Calamos Global Dynamic Income Fund — Int/Div

Prudent Bear Federated Equity Funds — None — Sold

RMR Real Estate Income Fund — Int/Div — Sold

Puerto Rico public improvement bonds — Interest — Buy

Puerto Rico public improvement bonds — Interest — Buy (add'l)

East Windsor NJ Bd of Edu bond — Interest — Buy

NI Tpike Auth'y bonds — Interest — Buy

Bloomfield Twp NJ Bd of Edu — Interest — Buy

N. Hudson Sewer Auth'y bond — Interest — Buy

Goldman Sachs Group bond — Interest — Buy

Member #2 {co-trustee)

Alpine Global Premier Properties Fund — Int/Div — Sold

AllianceBernstem Global High Income Fund Inc, — Int/Div

Blackrock Senior High Income Fund — Int/Div — Sold

Credit Suisse Asset Mgt Fund **See Sec VIII. note — Int/Div

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

Detroit Mich Water Supply Sys Bonds — Interest

DNP Select Income Fund Inc — Int/Div — Sold

First Strategic High Income Fund 11 — Int/Div — Sold

Fort Myers FL Improvement Bonds — Interest

Helios Advantage Income Fund Inc — Int/Div — Sold

Highland Credit Strategies Fund (now PYXIS) — 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 — Distnbuted

iShares iBoxx $ High Yield Corporate Bond Fund — Int/Div

Helios High Income Fund — Int/Div — Sold

Helios Strategic Income Fund — Int/Div

Helios Multi Sector High Income Fund — Int/Div — Sold

Invesco High Yield Investments Fund — Int/Div — Sold

Invesco Van Kampen Senior Income Trust — Int/Div — Sold

MFS Intermediate Income Trust — Int/Div — Sold

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

Neuberger Berman High Yield Strategies Fund — Int/Div

Pimco Income Strategy Fund — Int/Div — Sold

com stk Pengrowth Energy Corp — Int/Div — Sold

Putnam Master Intermediate Income Trust — Int/Div — Sold

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

Zweig Total Return Fund Inc — Int/Div

NJ Tpike Auth’y bond — Interest — Buy

Miami FL Revenue bond — Interest — Buy

Univ. of Maine Sys bond — Interest — Buy

Cape Coral FL water & sewer bond — Interest — Buy

Mass. Port Auth'y bond — Interest — Buy

MD Dep't of Transp. bond — Interest — Buy

NJ State Transp. Auth'y bond — Interest — Buy

Maine Health & Higher Edu bond — None — Buy

Member #3 co-trustee)

AAG Holding Co. Inc. debentures — Interest — Sold

pfd ADR Aegon N.V — Int/Div — Sold

Alpine Total Dynamic Div. Fund — Int/Div

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

pfd stk Apartment Investment & Management Co. — Int/Div — Sold

com stk Ares Capital Corp. — Int/Div

ADR Banco Santander. S.A — Int/Div

ADR Barclays Bank PLC — Int/Div

com stk Blackstone Group L.P — Int/Div

Brandywine Realty Trust — Int/Div — Sold

BRT Realty Trust — None — Sold

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 — Interest

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

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

com stk Eastman Kodak — None — Sold

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 — Int/Div — Sold

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 — Int/Div

pfd stk ING Groep, N.V. PFD — Int/Div

ADR ltau Unibanco Holdings, S.A — Int/Div — Buy (add'l)

com stk Lee Enterprises Inc — None — Sold

Lexington Realty Trust — Int/Div

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

Market Vectors Vietnam ETF — Int/Div

com stk McCormick & Schmicks Seafood Restaurants Inc, — None — Sold

com stk Merck & Co li — Int/Div

com stk Morgan Stanley — Int/Div

pfd stk MPG Office Trust Inc — None — Sold

New Jersey State Tpk Auth. Revenue Bonds — Interest

ADR Nokia Oyj — Int/Div

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 — Sold

com stk Robert Half Int] Inc — Int/Div

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

com stk Ruths Hospitality Group Inc — None — Sold

pfd stk SL Green Realty Corp. Ser. € — Int/Div — Sold

pfd stk SL Green Realty Corp. Ser. D — Int/Div — Sold

pfd stk Sterling Bancorp Trust PFD — Interest

ADR Tata Motors Ltd — Int/Div

pfd stk Taubman Centers Inc — Int/Div — Sold

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

com stk Valley National Bancorp — Int/Div

com stk Vishay Intertechnology Inc — None

pfd stk Vornado Realty Trust — Int/Div

ADS CTRIP com Int'l Ltd — None — Buy

com stk Freeport McMoran Copper & Gold Ine. — Int/Div — Buy

pfd stk EPR Properties — None — Buy

ADR Gold Fields Lid. — None — Buy

ADR Gold Fields Lid. — Sold

com stk Cisco Sys Inc — Int/Div — Buy

ADR France Telecom — None — Buy

com stk AT&T Inc — None — Buy

Select Income REIT — None — Buy

com stk Equity Residential — None — Buy

com stk Equity Residential — Sold

Whitestone REIT — Int/Div — Buy

com stk Microsoft Corp — Int/Div — Buy

com stk CSX Corp. — Int/Div — Buy

Council Member, The American Law Institute

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

Power-of-Attomey, Member #1

Reimbursement — The National Academics — 03/25-272012 — Washington, DC — CSTL Committee Meeting — paid travel, lodging and meal expenses

Reimbursement — New York State Bar Association — 03/27.282012 — Toronto, Ontano, Canada — Ontario-New York Legal Summit — pad travel, lodging and meal expenses

Reimbursement — The American Law Institute — 10/17-202012 — New York, NY — Council Meeting — pad travel, lodging and meal expenses

Reimbursement — Eastern European Judicial Exchange Network — SY i - oe TT gy

Spouse's income — 2012 — self-employed mn management consulting, software development and rental property

* Part VIL. Investments and Trusts, Line 35 combines into one entry the two entries found at Lines 32 and 53 of the 2011 Report.

** Part VIL Investments and Trusts, Line 221: Error in 2011 Report - asset not sold