Lewis A. Kaplan

NYSPwrASerFS5510 — Interest — Redeemed

Mun Inv Trust Ser ANY — Interest — Sold

PW 1986 EES lim ptn — None

NYSMCFFA 5.12512 — Interest — par)

NYSTwyS.12513 — Interest — Redeemed

NY Tranat MTA 5.210 — Interest — Sold

NYSDomS5.12511 — Interest — pan)

NYSEnvFac49517 — Interest

NYC Trans 5019 — Interest

NYC4.375 11 (E) — Interest

MTAS.023 — Interest

GECC4.7513 — Interest

NYC Ser J4.625 18 — Interest

NYS Dorm 5.0 19 (mult. issues) — Interest

MTA4.7526 — Interest

Port Auth NY&NJ4.2 19(E) — Interest

JP Morgan Chase accts (S) — Interest

Minisink CSD 4.0 12 (S) — Interest

Brookhaven CSD (S) — Int/Div

HSBC Fin Corp 4.65 10(S) — Interest — Sold

GECCS5.016(S) — Interest

NYSDom4.019(S) — Interest

National Union Bank of locality — Int/Div

New York NYIDA4017(S) — Interest

Clarkstown 4.25 20 (E) — Intercst

NYS Dorm 5.024 (E) — Int/Div — Redeemed

Port Auth4.7532 — Int/Div

NYS Twy3S518 — Int/Div

NYS Twy 4.528 — Int/Div

NYS Dom 5.024 — Int/Div — Redeemed

Southwest Bk of St Louis CD — Int/Div — Redeemed

M&I Marshall & Isley 5.15 18 — Int/Div — Redeemed

M&I Bank 5.15 18 — Int/Div — Redeemed

M&I Marshall & Isley 5.25 18 — Int/Div — Redeemed

Discover Bank 3411 (S) — Int/Div

Southwest Bk of StL 5.2 18 (S) — Int/Div — Sold

JP Morgan Chase (IRA) — Int/Div

Pimco Fds Total Retum — Distribution

JP Morgan Tax Free Money Mkt (E) — Interest

NYC Trans Fin 5.25 12 (E) — Interest

Perinton NY 3.25 15 (E) — Interest

Ithaca NY 4.016 (E) — Interest — Buy

JP Morgan Treas Agy Fd — Distribution

JP Morgan Strategic Inc Fd — Distribution

JP Morgan Int'l Cuirency Fd — Distribution — Buy

JP Morgan US Equity Fd — Distribution — Buy (add'l)

JP Morgan Short Duration Bd Fd — Distribution — Buy (add'l)

JP Morgan Short Duration Bd Fd — pan)

NYCSerF-15021 — Interest — Redeemed

JP Morgan Tax Free Money Mkt — Int/Div

Schenectady Co. NY 2011 — Interest

IthacaNY 4.013 — None

Islip NY 5.0 14 — Interest

Perinton NY 3.2515 — Interest

Niskayuna NY 3.375 16 — Interest

DutchessCo. NY S018 — Interest

JP Morgan Treas & Agency Fd — Int/Div

Pimco Funds Total Return — Distribution

JP Morgan Strategic Incomt — Distribution

JP Morgan US Equity Fund — Distribution

JP Morgan Short Duration Bond Fd: — Distribution

JP Morgan Tax Free Money Market Fd, ) — Int/Div

Schenectady Co. NY 2.0 115 — Interest

Ithaca NY 4.0 1Z — None — Buy

Clarkstown NY 3.512(S) — Interest

ArtiolIntl Eqll — Distribution — Buy

Causcway Int Value — Distribution — Buy

Causcway Int Value — Buy (add'l)

JP Morgan Intl Value — Distribution — Buy

JP Morgan High Yield Bond — Distribution — Buy

JP Morgan High Yield Bond — Buy (add'l)

Albany Co.4.013 — Interest — Buy

Falconer CSD 4.75 20 — Interest — Buy

ManecttaGa4.016 — Interest — Buy

Nassau Co. 5015 — Interest — Buy

Pembroke CSD 4.0 20 — Interest — Buy

StarpointCSD 40 15 — Interest — Buy

Causeway Intl Values: — Distribution — Buy

Causeway Intl Values: — Buy (add'l)

JP Morgan Int'l Currency: — Distribution — Buy

AstioIntl Eq IL) — Distribution — Buy

JP Morgan High Yield Bond — Distribution — Buy

Am Century Eq Inc Fd — Distribution — Buy

Ellenville CSD 4.0 16: — Interest — Buy

Falconer CSD 4.7520. — Interest — Buy

Hawaii4.015 ) — Interest — Buy

NYSTwy 2.511; — Interest — Buy

Three Village CSD 3.0 13 (7) — Interest — Buy

New Mexico 4.0 18(E) — Interest — Buy

Riverhcad 4.0 18 (E) — Interest — Buy

Rocky Point CSD 40 16 (F) — Interest — Buy

Alpine Ut4.0 13 (E) — Interest — Buy

Partner, Handy Place Investment Partnership

Trustee, Trust. fH V = = —_— EE AR HEN I = =e ry =x

3., or. & oO

WL - 2 £2 TZ TC -

Reimbursement — University of Pennsylvania — 10/29-30/2009 — Philadelphia, Pa — Lecture — Travel, lodging, meals

Spouse's income — Vanous — Pension and retirement plan pmts -pension plans for benefit of retirces of Random House, Inc

i

(E) designates assets held as trustee,

Eo

I

2

Pant VII, linc 40

- name of locality omitted for security reasons

3

{ncome for 1986 EES and Handy Place partnerships equals distributions