Lewis A. Kaplan

Citibank accounts — Interest

Kinderhook CSD 6 07 (fil — Interest — Sell

NYSPwrA SerD 5.875 10 (fl) — Interest — None

NYSPwrASerF5510 — Interest — Redempt

MunlInvTrustSer ANY — Interest — Redempt

MunlInvTrustSer ANY — Redempt

MunlInvTrustSer ANY — Redempt

PW 1986 EES lim ptn — None — None

Handy Place Invest Part — None — None

Westchester Co 5.6 07 (F) — Interest — Redemption

Clarkstown 5.6 08 — Interest — None

NYCMun Wtr5.37507 (@) — Interest — Redemption

NYS MCFFA 5.125 12 — Interest — Redemption

NYS Dorm 5.12508 — Interest — None

NYS Dorm 5.2513 — Interest — None

Triboro BTA 4.513 (gy) — Interest — None

Puerto Rico MFA 5.5 09 (fp — Interest — None

NYS Dorm 5.125 11 gg) — Interest — None

Triboro BTA 4.75 16 — Interest — None

NYCMunWtr4913 — Interest — None

Commack UFSD 4.375 13 — Interest — None

NYS Twy 5.125 13 — Interest — None

So Glens Falls CSD 5.25 14 — Interest — None

NY Tran at MTA 5.2 10 — Interest — None

NYS EnvFac5.12511 — Interest — None

NYSDomS5.12511 — Interest — None

NYS Dorm 5.1 124m) — Interest — None

NYS EnvFac4.5513 — Interest — None

NYS EnvFac49517 — Interest — None

ML Bk/B&T RASP — Interest

NYC Trans 5.019 — Interest — None

Greece CSD4.517 — Interest — None

NYS Env Fac4.2 12 — Interest — Sell

MTA 4.012 — Interest — Sell

MTA 4013 — Interest — Sell

NYC437511 (@ — Interest — None

FNMAS5.012 — Interest — None

Triboro BTA3.7513 — Interest — Sell

William Floyd UFSD 4.125 15 — Interest — Sell

MTA 5.023 — Interest — None

GECC4.7513 — Interest — None

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

FHLMC multi % 18 — Interest — None

Hudson United Bk 5.0513 — Interest — None

NYC SerJ4.62518 — Interest — None

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

MTA 4.7526 — Interest — None

Long Island Pwr 4.75 24 — Interest — None

NYS Dorm 4.75 25 — Interest — None

Western Bank Puerto Rico — Interest — None

Bank Amer4.6512 — Interest — None

Capitol One Bk 4.75 10 — Interest — None

Port AuthNY&NJ 4.219 (@ — Interest — None

NYS Dorm 4.625 18 (§) — Interest — None

JP Morgan Chase accts (f§) — Interest

NY Life whole life policies — Int/Div — None

ML CMA NY Mun Money — Interest

MTA Adj% 26 — Interest — None

ML CMA NY Mun Money (ig) — Interest

MTA Adj% 26 — Interest — None

UlsterCo4.2521 — Interest — None

NYSDorm4.019 [1 — Interest — None

Banco Bilbao 4.46 12 — Interest — None

First Eagle Global Cl C — Distribution

Davis NY Venture Cl Y — Distribution

Blackrock Large Cap Value f/k/a ML Large Cap Value C1 I — Distribution

Everegreen Sp Values Cl A — Distribution

Pimco Comm Real Return Cl A — Distribution

Pioneer Oak Ridge Small Cap Cl A — Distribution

Goldman Sachs Mid Cap CI A — Distribution

Amer Inc Fund of Am Cl A — Distribution

ML CMA NY Mun Money (§) — Int/Div

ML Bank RASP (@) — Interest

New York NY Ser N 4.05 17 (g) — Interest — None

Minisink CSD 4.0 12 (gg) — Interest — None

Wayne CSD 4.0 20g) — Interest — None

Brookhaven CSD (g) — Int/Div — None

Amer Inc Fd of Amer Cl A (g — Distribution

Davis NY Venture C1Y (§) — Distribution

Goldman Sachs Mid Cap CI A (§) — Distribution

Pimco Comm Real Retum Cl A (@) — Distribution

Penn Mut Fd f/k/a Royce(g — Distribution

DWS Dreman f/k/a Scudder High Return gi — Distribution

Oakmark Select (§§ — Distribution

Community B&T 4.4 08 (&' — Interest — None

FNMA multi% 09 (@ — Interest — None

FNMA multi% 15 (8) — Interest — None

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

Principal Life Inc. 5.0 12 (g) — Interest — None

GECCS5.016/@ — Interest — None

NYS Dorm 4.019 (ap — Interest — None

National Union Bank of “locality — Int/Div

Countrywide Bank 4.4 07 — Interest — Redemption

Southside Bank 5.3511 — Interest

Lehman Bros Bank 6.0 16 — Distribution — Redemption

Ivy Asset Strat Cl A — Distribution

New York NY IDA 4.0 17 (§? — Interest

Clarkstown 4.25 20 (g) — Interest — Buy

MBank 5.00 10 — Interest — Buy

Geauga Sav Bk 5.2 10 — Interest — Buy

McFarland St Bk 5.35 12 — Interest — Buy

Henderson Eur Focus — Distribution — Buy

Henderson Eur Focus (§§) — Distribution — Buy

First Bank PR 5.34 10 (§) — Interest — Buy

First Bank PR 5.34 10 (§) — Redemption

Am Inc Fund of Am CIF (@) — Distribution — Buy

Partner, Handy Place Investment Partnership

Trustee

4., = Se ] P= in ori <2 oO

5, pt Hy SE oe i J TH a. Ry max wt

Reimbursement — University of Rochester — Rochester, N.Y

Reimbursement — Association, Section of Antitrust Law

Reimbursement — Association, Section of Antitrust Law

Income — 1.9-13-07 — Marsh McLennan class action settlement payment — $10.06

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

Spouse's income — Criminal Defense Lawyers

1

@ designates assets held as trustee u/w/o EED

2

Part VII, line 93

- name of locality omitted for security reasons

3

Income for 1986 EES and Handy Place partnerships equals distributions

4. Part V - value is an estimate