Lewis A. Kaplan

Citibank accounts — Interest

NYS Pwr A Ser) 5.875 10 (EF) — Interest — None

NYS Pwr A Ser GP 5.5 10(F) — Interest — Sold (part)

PW 1986 EES lim pm — None — None

Handy Place Invest Part — None — None

NYSMCFFAS5.12512 — Interest — Sold (part)

Triboro BTA 4.5 13 (E) — Interest — Sold

Puerto Rico MFA 5.5 09 (FE) — Interest — Sold

NYC MunWwrd9I13 — Interest — Redeemed

Commack UFSD 4.375 13 — Interest — None

NYS Twy5.12513 — Interest — Sold (part)

So Gleas Falls CSD 5.25 14 — Interest — Redeemed

NY Tranat MTA 5.2 10 — Interest — None

NYS Dom 5.1 12(E) — Interest — None

NYS EnvFac4.5513 — Interest — None

NYS Env Fac 4.95 17 — Interest — None

ML Bk/B&T RASP — Interest — Closed

NYC Trans 5.0 19 — Interest — Sold

Greece CSD 4.517 — Interest — None

MTAS023 — Interest — None

NYC Ser J 4.625 18 — Interest — None

MTA4.7526 — Interest — None

Lony Island Pwr 4.75 24 — Interest — Nong

Bank Amer 4.65 12 — Interest — None

Port Auth NY&NJ 4.2 19 (E) — Interest — Sold (part)

JP Morgan Chase acts” — Interest

NY Life whole life policies — Int/Div — None

Minisink CSD 4.0 12 — Interest — Sold (part)

Wayne CSD 4.0 20. — Interest — Sold (part)

Brookhaven CSD. — Int/Div — None

National City Bank 5.2 185% — Int/Div — Redeemed

US Treas 0% 1/2/09 — None — Matured

Pacific Capital Bank CD — Int/Div — Manured

US Treas 0% 1/22/09 — None — Matured

Pacific Capital 1.6 09 — Int/Div — Matured

US Treas 0% 4.23.09 — None — Buy

US Treas 0% 4.23.09 — Buy (add'l)

US Treas 0% 4.23.09 — Buy (add'l)

US Treas 0% 5.28.09 — None — Buy

US Treas 0% 5.28.09 — Matured

Pimco Fds Total Return — Distribution — Buy

Pimco Fds Total Return — Buy (add'l)

US Treas 0% 4.2.09 — None — Buy

US Treas 0% 4.2.09 — Matured

US Treas 0% 4.9.09 — None — Buy

JP Morgan Treas Agy Fd — Distribution — Buy

JP Morgan Treas Agy Fd — Buy (add'l)

JP Morgan Treas Agy Fd — Buy (add'l)

JP Morgan Int'l Currency Fd — Distribution — Buy

JP Morgan Short Duration Bd Fd — None — Buy

JPMorgan Tax Free Money Mkt — None — Open

Ithaca NY 4.013 — None — Buy

Perinton NY 3.2515 — None — Buy

Orange Co. NY 4.25 19 — None — Buy

Orange Co. NY 4.25 19 — Redeemed

Orange Co. NY 4.25 19 — Matured

JP Morgan Treas & Agency Fd — Int/Div — Buy

JP Morgan Treas & Agency Fd — Sold (part)

JP Morgan Treas & Agency Fd — Redeemed

JP Morgan Treas & Agency Fd — Marured

US Treas 0% 4/23/09 °° — None — Buy

US Treas 05 5/28/09 — None — Buy

US Treas 05 5/28/09 — Matured

US Treas 05 5/28/09 — Sold (part)

JP Morgan brokerage accts — A

JP Morgan brokerage accts — None — Buy

JP Morgan brokerage accts — None — Buy

JP Morgan brokerage accts — None — Buy

Nassau Co. NY 4.0 14 — None — Buy

Trustee, trast wwf ol

Reimbursement — Federal Bar Council — 2714-21709 — Cabo San Lucas, Mcxico — Professional meeting — Travel, food. lodging

Reimbursement — Widener University School of Law — 3/13-15/09 — Wilmington, DLE — 'cutre and moot court — Travel, food, lodging

Reimbursement — Open Skies — 11/26-12/4/09 — Paris, France — Personal — by in promotion

Spouse's income — 11/89 — Univ. of Pennsylvania

Spouse's income — Yarious — Pension and retirement plan pmts -pension pla

i

(E) designates assets held as trustee w/w/o

2

Part VII, line 55

- name of locality omitted for security reasons

3

Income for 1986 EES and Handy Place partnerships equals distributions