Lewis A. Kaplan

Citibank accounts — Interest

NYSPwr ASerD 5.87510 (E) — Interest — None

NYS Pwr A Ser GP 5.5 10(E) — Interest — None

NYSPwr ASerFS.510 — Interest — Redempt

Mun Inv Trust Ser ANY — Interest — Redempt

PW 1986 EES lim ptn — None — None

Handy Place Invest Part — None — None

Clarkstown 5.6 08 — Interest — Redeemed

NYSMCFFAS.12512 — Interest

NYS Dorm 5.12508 — Interest — Redeemed

NYS Dorm 5.25 13 — Interest — Redeemed

Triboro BTA 4.513 (E) — Interest — None

PuertoRico MFA 5.509 (E) — Interest — None

NYS Dorm 5.125 11 (E) — Interest — None

Triboro BTA 4.7516 — Interest — None

NYC Mun Wtr49 13 — Interest — None

Commack UFSD 437513 — Interest — None

NYS TwyS5.12513 — Interest — None

So Glens Falls CSD 5.25 14 — Interest — None

NY Tranat MTA 5.2 10 — Interest — None

NYSEnvFac5.12511 — Interest — None

NYS DormS5.125 11 — Interest — None

NYS Dorm 5.1 12 (E) — Interest — None

NYS Env Fac 4.5513 — Interest — None

NYSEanvFac4.9517 — Interest — None

ML BYB&T RASP — Interest

NYC Trans 5.0 19 — Interest — None

GreeceCSD4.517 — Interest — None

NYC437511(E) — Interest — None

FNMAS5012 — Interest — Redeemed

MTAS.023 — Interest — None

GECC4.7513 — Interest — None

Nat City Bk fka Provident Bank 5.0 15 — Interest — None

FHLMC multi % 18 — Interest — Redeemed

Hudson United Bk 5.0513 — Interest — Redeemed

NYC SerJ4.62518 — Interest — None

NYS Dorn 5.0 19 (mult. issues) — Interest — None

MTA4.7526 — Interest — None

LonglIsland Pwr4.7524 — Interest — None

NYS Dorm 4.7525 — Interest — None

Western Bank Puerto Rico — Interest — None

Bank Amer4.6512 — Interest — None

Capitol One Bk 4.75 10 — Interest — None

Port Auth NY&NJ4.2 19(E) — Interest — None

NYS Dorm 4.625 18 (E) — Interest — None

JP Morgan Chase accts g — Interest

NY Life whole life policies — Int/Div — None

ML CMA NY Mun Money — Interest

MTA Adj% 26 — Interest — Sold

ML CMA NY Mun Money (E) — Interest

MTA Adj% 26 (E) — Interest — Sold

Ulster Co 4.2521 — Interest — None

NYSDorm4.019 (E) — Interest — None

Banco Bilbao 4.46 12 — Interest — Redeemed

First Eagle Global C1 C — None — Sold (part)

First Eagle Global C1 C — Sold

Davis NY Venture Cl Y — None — Sold (part)

Davis NY Venture Cl Y — Sold

Blackrock Large Cap Value f/k/a ML Large Cap Value C11 — None — Sold (part)

Blackrock Large Cap Value f/k/a ML Large Cap Value C11 — Sold

Everegreen Sp Values Cl A — None — Sold (part)

Everegreen Sp Values Cl A — Sold

Pioneer Oak Ridge Small Cap C1 A — None — Sold (part)

Pioneer Oak Ridge Small Cap C1 A — Sold (part)

Goldman Sachs Mid Cap CI A — None — Sold (part)

Goldman Sachs Mid Cap CI A — Sold (part)

AmerInc Fund of Am Cl A — Distribution — Sold (part)

AmerInc Fund of Am Cl A — Sold (part)

ML CMA NY Mun Money (g) — Int/Div

ML Bank RASP (g) — Interest

New York NY Ser N 4.0517 (g) — Interest — None

Minisink CSD 4.0 12(g) — Interest — None

Wayne CSD 4.0 20 (ig) — Interest — None

Brookhaven CSD (gg) — Int/Div — None

Amer Inc Fd of Amer C1 A (g) — Distribution — Sold

Davis NY Venture C1 Y (§) — None — Sold

Goldman Sachs Mid Cap C1 A g — None — Sold

Pimco Comm Real Return C1 A — Distribution — Sold

Penn MutFd f/k/a Royce (g) — None — Sold

DWS Dreman f/k/a Scudder High Return [1] — Distribution — Sold

Oakmark Select (jg — None — Sold

Community B&T 4.4 08 (g) — Interest — Redeemed

FNMA multi% 09 (g) — Interest — Redeemed

FNMA multi% 15 (gg) — Interest — Redeemed

HSBC Fin Corp 4.65 10 (§) — Interest — None

Principal Life Inc. 5.0 12¢g) — Interest — Redeemed

GECC5016(g» — Interest — None

NYS Dorm4.019(g) — Interest — None

National Union Bank of “locality — Int/Div

Southside Bank 5.35 11 — Interest — Redeemed

Ivy Asset Strat CI A — Distribution — Sold (part)

Ivy Asset Strat CI A — Redeemed

New York NY IDA 4.0 17 (g) — Interest

Clarkstown 4.25 20 (E) — Interest — Buy

MBank S00 10 — Interest — Redeemed

Geauga SavBk 5.210 — Interest — Redeemed

McFarland St Bk 5.3512 — Interest — Redeemed

Henderson Eur Focus — None — Sold (part)

Henderson Eur Focus — Redeemed

Henderson Eur Focus (g§» — None — Sold (part)

Henderson Eur Focus (g§» — Redeemed

Am Inc Fund of Am CI F (g) — Distribution — Redeemed

NYS Dorm 5.0 24 (E) — Int/Div — Buy

NYC 5.021 (E) — None — Buy

Port Auth 4.75 32 — Int/Div — Buy

NYS Twy 3.518 — None — Buy

NYS Twy 4.528 — None — Buy

NYS Dorm 5.024 — Int/Div — Buy

ML US Treas Money Fd — Int/Div — Buy

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

M&I Marshall & Lsley 5.15 18 — Int/Div — Buy

M&I Bank 5.1518 — Int/Div — Buy

M&I Marshall & Isley 5.2518 — Int/Div — Buy

Eurobank CD — Int/Div — Buy

Eurobank CD — Redeemed

National City Bank 5.2 18 — Int/Div — Buy

Wachovia 13 — Int/Div — Buy

Wachovia 13 — Redeemed

Branch B&T 5.519 — Int/Div — Buy

Branch B&T 5.516 — Int/Div — Buy

US Treas 0% 1/2/09 — None — Buy

US Treas 0% 3/5/09 — None — Buy

Pacific Capital Bank CD — None — Buy

Goldman Sachs Bank CD — None — Buy

ML BKB&T (ig) — Interest — Open

US Treas 0% 12/4/08 — None — Buy

US Treas 0% 12/4/08 — Matured

US Treas 0% 1/22/09 — None — Buy

Discover Bank 3.411 — Int/Div — Buy

New Frontier Bank 3.6 12 — Int/Div — Buy

M& I Bank 5.015 — Int/Div — Buy

Southwest Bk of StL 5.2 18 — Int/Div — Buy

US Treas 0% 12-18-08 — None — Buy

US Treas 0% 12-18-08 — Matured

Pacific Capital 1.6 09 — None — Buy

Partner, Handy Place Investment Partnership

Reimbursement — Stanford University — 2/8-9/08 — Palo Alto, CA — Speak at conference — Transportation, lodging, food

Reimbursement — American Bar Assn Section of Antitrust Law — 3/26/08 — Washington, DC — Speak at conference — Transportation, lodging, food "check lodg ing”

Income — 11-24-08 — Ritz sale of used clothing — $1,250.00

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

1

(E) designates assets held as trustee ww/o ER

2

Part VII, line 89

- name of locality omitted for security reasons

3

Income for 1986 EES and Handy Place partnerships equals distributions