William H. Pauley 3

COMMON STOCKS

EXXONMOBIL — Int/Div

AXA AMERICAN DEPOSITORY SHARES — Int/Div

PRUDENTIAL FIN'L SRVS — Int/Div

IBM — Int/Div

MUTUAL FUNDS

AIM SM CAP EQUITY FUND CL B (SMEBX) — Int/Div

ALGERFDBALPORTFOLIO(ALGBX) — Int/Div

ALLIANCE FOCUSED GROWTH INCOME CL B (ADGBX) — Int/Div — Conversion

ALLIANCE FOCUSED GROWTH INCOME CL A (ADGAX) — Int/Div — Conversion

DAVISNY VENTURE FUND CL B (NYVBX) — Int/Div — Conversion

DAVISNY VENTURE FUND CL A (NYVTX) — Int/Div — Conversion

DRYDEN TOTAL RETURN BOND FUND (PDBAX) — Int/Div

DRYDEN ACTIVE ALLOCATION FUND CL B (PBFBX) — Int/Div — Conversion

DRYDENACTIVE ALLOCATION FUND — Int/Div — Conv

A (PIBAX)

DRYDEN INTL EQTY FD CL B (PJRBX) — Int/Div — Conversion

DRYDEN INTL EQTY FD CL A (PJRAX) — Int/Div — Conversion

DRYDEN STOCK INDEX FUND CL B (PBSIX) — Int/Div — Conversion

DRYDEN STOCK INDEX FUND CL A (PSIAX) — Int/Div — Conv

DRYDEN SM CAP COREEQTY FD CL B (PQVBX) — Int/Div — Conversion

DRYDEN SM CAP COREEQTY FD CL A (PQVAX) — None — Conversion

FEDERATED INTERNATIONAL VALUE FUND CL B (FGFBX) — Int/Div

GOLDMAN SACHS MID CAP VALUE FUND CL B (GCMBX) — Int/Div — Conv

GOLDMAN SACHS MID CAP VALUE FUND CL A (GCMAX) — Int/Div — Conversion

J. HANCOCK US GLOBAL LEADERS GROWTH CL A (USGLX) — Int/Div

JENNISON NATURAL RESOURCES FUND CL A (PGNAX) — Int/Div

JENNISON FIN SERVS FD CL B (PUFBX) — Int/Div — Conversion

JENNISON FIN SERVS FD CL A (PFSAX) — Int/Div — Conv

JENNISON EQTY OPP CL A (PJIAX) — Int/Div

JENNISON UTILITY FUND CL B (PRUTX) — None — Conversion

JENNISON UTILITY FUND CL A — Int/Div — Conversion

(PRUAX)

JENNISON SMALL CO FUND CL B (CHNDX) — Int/Div — Conversion

JENINSON SMALL CO. FUND CLASS A (PGOAX) — Int/Div — Conv

DRYDEN STRATEGIC VALUE FUND CI B (SUVBX) — None — Conversion

DRYDEN STRATEGIC VALUE FUND CL A (SUVAX) — None — Conversion

PUTNAM HEALTH SCI TRUST CL B (PHSBX) — None — Conv

PUTNAM HEALTH SCI TRUST CL A (PHSTX) — None — Conversion

PUTNAM SM CAP VALUE CL A (PSLAX) — Int/Div

SELIG LASALLE DIVIDEND REAL ESTATE FUND CL B (SREBX) — Int/Div — Conv

SELIG LASALLE DIVIDEND REAL ESTATE FUND CL A (SREAX) — Int/Div — Conv

SELIG INCOME FUND CL B (SIBBX) — Int/Div

SELIG SM CAP VALUEFD CLB (SSCBX) — Int/Div

SELIG FRONTIER FUND CL B (SLFBX) — Int/Div

ANNUITIES

DISCOVERY PLUS — Interest

CASH AND CASH EQUIVALENTS

JP MORGAN CHASE — Interest

U.S.TREASURY BILLS — Interest

U.S. SAVINGS BONDS — Interest

AXA FIN'L LIFE INS (Cash Surrender Value) — Int/Div

AXA FIN'L LIFE INS (Cash Surrender Value) — Int/Div

WACHOVIA MONEY MARKET ACCOUNT — Interest

EVERGREEN MUNICIPAL MONEY MARKET FUND — Interest

NEW YORK STATE COLLEGE TUITION SAVINGS FUND PROGRAM — Interest — Buy

WACHOVIA — None

BB & TBANK CD — None

THIRD FEDERAL S&L CD — None

FIFTH THIRD BANK CD — None

RETIREMENT ACCOUNTS

401K PLAN - ING — Int/Div

IRA SCUDDER — Interest

ALGER CAPITAL APPRECIATION FD CL B (ACAPX) — None

JENNISON GROWTH CL A (PJFAX) — Int/Div — Conv

JENNISON GROWTH CL B (PJFBX) — Conversion

JENNISONTECHFUND CL A (PTYAX) — None — Conversion

JENNISON TECH FUND CL B (PTYBX) — Int/Div — Coversion

DAVIS NY VENTURE FUND CL A (NYVTX) — Int/Div

GOLDMAN SACHS TRUST FUND CAP GRWTH PORTFOLIO CL A (GSCGX) — None

JENNISON HLTH SCI FD CL A (PHLAX) — Int/Div — Conv

JENNISON HLTH SCI FD CL B (PHLBX) — None — Conversion

JENNISON SELECT GROWTH FUND CL B (SPFBX) — None

STRATEGIC PARTNERS NEW ERA GRWTH FD CL B (SNGBX) — None

SELIG COMM & INFO FD CL A (SLMCX) — Int/Div

WACHOVIA MONEY MARKET FUNDS — Interest

U.S. THRIFT SAVINGS PLAN (GOVT SECURITIES FUND) — Interest

UTS GOV'T SEC EQUITY TRUST — Int/Div

Member of Board of Visitors, Duke University School of Law

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Agreement — 1998 — Continuation of payments agreement with former law partner, Franklyn H. Snitow, and his law firm, Snitow Kanfer Holtzer & Millus, LLP.

Reimbursement — Duke University School of Law — April 20-21 and October 26-27, 2006. Law School Board of Visitors Meetings. (travel, food and lodging)

Income — 2006 — Snitow & Pauley, a former law partnership winding-down its affairs (continuation of payments agreement described in Part I, line 1) — $6,063

Spouse's income — 2006 — Self-Employed Licensed Real Estate Sales Person

Spouse's income — 2006 — Self-Employed Floral Designer

None.