William H. Pauley 3

TAIBX - TARGET PORTFOLIO INTER TERM BD — Int/Div — Sold

MUTUAL FUNDS

VALUE GEAX) — Int/Div — B

DRYDEN STRATEGIC VALUE FUND CL A {SUVAX) — None — Sold

SELIG SM CAP VALUE FD CL A (SSCVX) — None — Sold

AGDAX - ALLIANCE BERNSTEIN HIGH INC FD — Int/Div — Buy

26. MCGFX - ASTON FUNDS MONTAG & CALDWELL — Int/Div — Buy

SMGIX - COLUMBIA CONTRARIAN COREFD — Int/Div — Buy

HIPIX - HARTFORD INFLATION PLUS FD — Interest — Buy

LISFX-LORDABBETT MUNINC TR INTER FD — Int/Div — Buy

MGRAX - MFS INTL GROWTH FD — Int/Div — Buy

DISCOVERY PLUS — Interest

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

WACHOVIA MONEY MARKET ACCOUNT — Interest

EVERGREEN MUNICIPAL MONEY MARKET FUND — Interest — Sold

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

ACMXX - RBC MONEY MARKET i OBLIGATIONS TRUST — Interest — Buy

JENNISON MID-CAP GROWTH FUND CL A (PEEAX) — None — Sold

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

WACHOVIA MONEY MARKET FUNDS — Interest — Sold

ICHHX - FRANKLIN/TEMPLETON ; HARD CUR FD — Int/Div — Buy

HLLVX -JP MORGAN SHORT DUR BOND FD — Int/Div — Buy

HSKSX - JP MORGAN TR1 HIGHBRIDGE STAT FD — Int/Div — Buy

WOBDX-JPMORGANTR2COREBD — Int/Div — Buv

LSGLX - LOOMIS SAYLES VALUE FD — Int/Div — Buy

MGRAX - MFS INTL GROWTH FD ] — Int/Div — Buy

RYMFX - RYDEX SGI MANAGED FUT STRA'l — Int/Div — Buy

TAIBX - TARGET PORTFOLIO INTER TERM BD — Int/Div — Buy

Member of Board of Visitors, Duke University School of Law

Agreement — 1.1998 — 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 16-17, 2009 — Durham, NC — Board of Visitors Meeting — Travel. food, and lodging.

Reimbursement — Duke University School of Law — October 29-30, 2009 — Durham, NC — Board of Visitors Meeting — Travel, food, and lodging

Reimbursement — George Washington Univ School of Law — November 10-11 2009 — Washington DC — Moot Court Trial — Travel, food. and lodging

Spouse's income — 2009 — Self-Employed Licensed Real Estate Sales Person

Spouse's income — 2009 — Self-Employed Floral Designer

None.

2

Spr