Nicholas Garaufis

PRIME FUND - CAPITAL RESERVES — Interest

DAVISNEW YORK VENTURE CLASS A — Int/Div

NEUBERGER BERMAN FOCUS FUND — Int/Div — Sold (part)

BLACKROCK MID CAP VALUE FUND CLASS A — Int/Div — Sold (part)

FIDELITY ADVISOR DIVIDEND GROWTH — Int/Div — pant)

FIDELITY ADVISOR DIVIDEND GROWTH — Sold

INVESTCO LARGE CAP GROWTH FD CL.B — Int/Div

INVESTCO GLOBAL GROWTHFDCLB — Int/Div

ALLIANCE BALANCED SHARESCLB — Int/Div — Sold (part)

ISHARES TR. RUSSELL 1000 — Int/Div — pant)

WALT DISNEY COMPANY CS — Int/Div — Sold

FIDELITY ADVISOR INFLATION PROTECTED BDFD CL A — Int/Div

ALLIANCE REAL ESTATE INVESTMENT FD A — Int/Div

OPPENHEIMER SM & MID CAP VALUE FUND — Int/Div — Sold (part)

ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND — Int/Div

ALLIANCE GROWTH & INCOME FUND CLB — Int/Div — Sold (part)

ALLIANCE GROWTH & INCOME FUND CLB — Sold (part)

ABC PENSION PLAN — None

INVESTCO GLOBAL EQUITY FUND — Int/Div — Sold (part)

ISHARES MIDCAP — Int/Div

ISHARES TRMSCI — Int/Div

ISHARES RUSSELL 2000 — Int/Div

ISHARES MSCI EMERGING MKT — Int/Div

MUTUAL SERIES CLASS C — Int/Div

SPDR S&P 500 ETF TR — Int/Div — Sold (part)

SPDR S&P 500 ETF TR — Sold (part)

SPDR S&P 500 ETF TR — Sold (part)

PIMCO TOTAL RETURN CLC — Int/Div — Sold (part)

PIMCO TOTAL RETURN CLC — Sold (part)

OPPENHEIMER GLOBAL FUND — Int/Div

INVESTCO VAN KAMPEN EQUITY & INCOME — Int/Div — Sold (part)

INVESTCO VAN KAMPEN EQUITY & INCOME — Sold (part)

INVESTCO VAN KAMPEN EQUITY & INCOME — Sold (part)

INVESTCO VAN KAMPEN EQUITY & INCOME — Sold (part)

AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div

OPPENHEIMER LTD. TERM NY MUNI — Int/Div

ALLIANCE BERNSTEIN LG CAP GROWTHB — Int/Div

AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER.CLASS C — Int/Div

ROCHESTERFD. MUNI A — Int/Div — Sold

OPPENHEIMERGLOBAL CLASS C — Int/Div

AMERICAN GROWTH FD OF AMERICA C — Int/Div

AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Int/Div

ALLIANCE BERNSTEIN GROWTH FUNDCL A — Int/Div — Sold

INVESTCO DEVELOPING MKTCL A — Int/Div

OPPENHEIMER INT BDFD — Int/Div

VANGUARD INT TERM TAX — Int/Div — pant)

PIMCO COMM REAL RETURN — Int/Div

GABELLI ASSET FUND — Int/Div — Sold

ROYCE TOTAL RET. INV — Int/Div

ISHARES S&P SMCAP 600 — Int/Div

COLUMBIA SM CAP VALIICIA — Int/Div

EAGLESMCAPFDA — Int/Div

ISHARES RUSSELL 2000 VALUE — Int/Div

2004 TRUST — None

PIMCO UNCONSTRAINED — Int/Div — Buy (add'l)

ARTISAN INTL INVESTOR — Int/Div

FORWARD SELECT INC INST — Int/Div — Buy

ISHARES TR COHEN & STEERS REALTY — Int/Div — Buy

PIMCOHIGH YIELD A — Int/Div — Buy

FORWARD TACTICAL GROWTH FD CL id — Int/Div — Buy

MEMBER. BOARD OF DIRECTORS, SPECTATOR PUBLISHING COMPANY, INC

MEMBER, EXECUTIVE COMMITEE, NEW YORK CITY BAR ASSOCIATION

Reimbursement — UNITED STATES TENNIS ASSOCIATION — 03/19/10 - 03/22/10 — DALLAS, TX — CONFERENCE — TRAVEL

Reimbursement — UNITED STATES TENNIS ASSOCIATION — 09/04/10 - 09/07/10 — NEW YORK, NY — CONFERENCE — TRAVEL

Income — 2010 — ABC INC. RETIREMENT PLAN — £13.053

Spouse's income — 2010 — CITIZENS BUDGET COMMISSION, FORM 1099-MISC. - CONSULTING INCOME

Spouse's income — 2010 — NEW YORK UNIVERSITY, FORM 1099-MISC - CONSULTING INCOME

VII, PAGE 4 OF 9, LINE 7

NAME CHANGED FROM AIM LARGE CAP GROWTH FD CL B TO INVESTCO LARGE CAP GROWTH FD CL. B

VII, PAGE 4 OF 9, LINE 8

NAME CHANGED FROM AIM GLOBAL GROWTH FD CL B TO INVESTCO GLOBAL GROWTH FD CL B

VII, PAGE 4 OF 9, LINE 16

NAME CHANGED FROM ALLIANCE GLOBAL TECHNOLOGY A FUND TO ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND

VII, PAGE 5 OF 9, LINE 20:

ABC, INC. PENSION PLAN. I AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER!” 777270 :-] PENSION PLAN.

eno

PART Ill, LINE 2 DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON MY DEATH.”

VII. PAGE 5 OF 9, LINE 21

NAME CHANGED FROM AIM GLOBAL EQUITY FUND CL B TO INVESTCO GLOBAL EQUITY FUND

VII. PAGE 5 OF 9, LINE 27

NAME CHANGED FROM STANDARD & POORS DEPOSITORY RECEIPTS TO SPDR S&P 500 ETF TR

VII. PAGE 5 OF 9, LINE 33

NAME CHANGED FROM VAN KAMPEN EQUITY & INCOME TO INVESTCO VAN KAMPEN EQUITY & INCOME

VII, PAGE 6 OF 9, LINE 45

NAME CHANGED FROM ALLIANCE GROWTH CL A TO ALLIANCE BERNSTEIN GROWTH FUND CL A

VII, PAGE 6 OF 9, LINE 46

NAME CHANGED FROM AIM DEVELOPING MKT CL A TO INVESTCO DEVELOPING MKT CL A