Ronald H. Sargis

194, — Distribution

Rental Property #1, Sacrarmento, California — Rent

Rental Property #2, Sacramento, California — Rent

Bank of America Demand Accounts — Interest

Golden 1 Credit Umon Demand Account — Interest

Bank of the West Money Market Account — Interest

Bank of America Accounts, — Interest

Bank of America Accounts, — Interest

State Farm Whole Life Insurance — Int/Div

MINERAL RIGHTS, Livingston, CA — None

RR ERT AY

Brokerage Account #1

amended: MERRIL LYNCH DIRECT DEPOSIT (CASH ACCOUNT) — Int/Div — Open

ADT CORP — Distribution — from Ime 15)

PENTAIRLTD — Distribution — from line 15)

TYCO INTERNAT TYC — Int/Div

COVIDIEN PLC COV — Int/Div

TE CONNECTIVITY LTD (name change from TYCO ELECTRONICS) TEL — Int/Div

THERMOGENSIS KOOL — None

NOKIA NOK — Int/Div

NOKIA NOK — Buy (add'l)

NOKIA NOK — Buy (add'l)

SIRIUS XM SIRI — Int/Div

All Interests Fully Divested in Yr for Brokerage Account #1

STARBUCKS SBUX — Int/Div — Sold

HOME DEPOT INC HD — Int/Div — Sold

ansdnandsuusspisons san ssn

Brokerage Account #2

CASH ACCOUNT, GOLDMAN SACHS BANK USA (X) — Interest

amended: FIRST TENNESSEE BANK, NA «CASH ACCOUNT — Int/Div — Open

ORACLE ORCL — Int/Div

DREYFUS TECH GROWTH DTGBX — Int/Div — Sold (part)

All Interests Fully Divested in Yr for Brokerage Account #2

ALLIANZ NFS SMALL CAP PCVAX — Int/Div — Sold

u — Distribution

DREYFUS CORE EQUITY DLTSX — Int/Div — Sold

FED EQUITY FDS, CAP APPRE CPABX — Distribution — Sold

17 — Int/Div

FED MKT OPPORTUNITY FMAAX — Int/Div — Sold

PIONEER CULLEN VALUE — Int/Div — Sold

ecsssnminensni—————————

Brokerage Account #3

HARTFORD CAP APPRC FD HCACX — Int/Div — Sold (part)

Sime ——

Brokerage Account 24

GROWTH FD AMER GFACX — Int/Div

SECURITY EQUITY FUND (Renamed GLUGG MDCP)YSEVSX — Distribution

47 — Int/Div

BLACKROCK GLOBAL ALLOCATION MCLOX — Int/Div

iicniiadimi—————

BROKERAGE ACCOUNT #5

amended: GOLDMAN SACHS INSURED CASH ACCOUNT — Interest — Open

COSTCO — Int/Div

STARBUCKS — Int/Div — Sold

Casio ———————

BROKERAGE ACCOUNT #8 IRA Rollover

Assets Owned 12/31/12

GENERAL MARKET CASH FUND, RW BAIRD — Int/Div

GLOBAL X FUNDS ASEAN 40 ETF ASEA — Int/Div — Sold (part)

ISHARES MSCI ACWI EX US INDEX FD ACWX — Int/Div

ISHARES MSCI ACWI EX US INDEX FD ACWX — Sold (part)

ISHARES MSCI ALL COUNTRY ASIA EX JAPAN ETF AAX) — Int/Div — Buy

ISHARES MSCI ALL COUNTRY ASIA EX JAPAN ETF AAX) — Buy (add'l)

ISHARES MSCI CANADA INDEX ETF FWC — Int/Div — Buy

ISHARES MSCI GERMANY INDEX ETF FWG — Int/Div — Buy

ISHARES MSCI GERMANY INDEX ETF FWG — Sold (part)

ISHARES MSCK PACIFIC EX JAPAN ETF EPP — Int/Div — Buy

ISHARES MSCK PACIFIC EX JAPAN ETF EPP — None — Sold (part)

ISHARES MSCI SWITZERLAND INDEX EFT EWL — None — Buy

ISHARES MSCI UNITED KINGDON INDEX ETF EWU — Int/Div — Sold (part)

ISHARES MSCI UNITED KINGDON INDEX ETF EWU — Sold (part)

ISHARES MSC! EAFE INDEX ETF EFA — Int/Div — Buy

ISHARES TR MSCI EMERGING MKTS ETF EEM — Int/Div — Buy (add'l)

ISHARES TR MSCI EMERGING MKTS ETF EEM — Sold (part)

ISHARES TR MSCI EMERGING MKTS ETF EEM — Sold (part)

ISHARES CORE S&P SMALL CAP ETF (Renamed SmallCap 600) JR — Int/Div — Buy (add'l)

amended FKA Small Cap 600 Index FD — Distribution — Sold (part)

amended FKA Small Cap 600 Index FD — Sold (part)

ISHARES CORE S&P MID CAP ETF (Renamed MidCap 400) 1TH — Int/Div — Sold (part)

amended -- FKA IShares S&P MidCap 400 Index FD — Sold (part)

amended -- FKA IShares S&P MidCap 400 Index FD — Sold (part)

amended -- FKA IShares S&P MidCap 400 Index FD — Sold (part)

ISHARES IBOXX $ HIGH YIELD CORP BOND ETF HYG — Int/Div — Sold (part)

ISHARES MSCI EMU INDEX ETF EZL — Int/Div — Buy

ISHARES TRUST JPMORGAN USD EMERG MARKETS BOND FD EMB — Int/Div — Buy (add'l)

ISHARES TRUST JPMORGAN USD EMERG MARKETS BOND FD EMB — Sold (part)

ISHARES TRUST JPMORGAN USD EMERG MARKETS BOND FD EMB — Sold (part)

POWERSHARES INTL DIVIDEND ACHIEVERS ETF PID — Int/Div — Sold (part)

POWERSHARES INTL DIVIDEND ACHIEVERS ETF PID — Sold (part)

POWERSHARES INTL DIVIDEND ACHIEVERS ETF PID — Sold (part)

POWERSHARES INTL DIVIDEND ACHIEVERS ETF PID — Sold (part)

POWERSHARES ETF DWA TECHNICAL LEADERS PDP — Int/Div — Sold (part)

POWERSHARES GLOBAL ETF FUND HIGH YIELD CORP BOND PHB — Int/Div — Sold (part)

POWERSHARES GLOBAL ETF FUND HIGH YIELD CORP BOND PHB — Sold (part)

POWERSHARES S&P 500 HIGH BETA ETF SPHB — Int/Div — Buy

POWERSHARES TRUST II S&P 500 LOW VOLATILITY ETF SPLV — Int/Div — Buy (add'l)

POWERSHARES TRUST II S&P 500 LOW VOLATILITY ETF SPLV — Sold (part)

POWERSHARES SENIOR LOAN PORT ETF BKLN (NYSE ARCA) — Int/Div — Buy

SPDR BARCLAYS CAP HIGH YIELD BOND ETF INK — Int/Div — Sold (part)

SPDR BARCLAYS CAP HIGH YIELD BOND ETF INK — Distribution — Sold (part)

SPDR BARCLAYS CAP HIGH YIELD BOND ETF INK — Sold (part)

VANGUARD DIVIDEND APPRECIATION ETF VIG — Int/Div — Buy

VANGUARD DIVIDEND APPRECIATION ETF VIG — Sold (part)

VANGUARD DIVIDEND APPRECIATION ETF VIG — Buy (add'l)

VANGUARD DIVIDEND APPRECIATION ETF VIG — Buy (add'l)

VANGUARD DIVIDEND APPRECIATION ETF VIG — Sold (part)

VANGUARD EMERGING MKTS ETF VWO — Int/Div — Sold (part)

VANGUARD EMERGING MKTS ETF VWO — Buy (add'l)

VANGUARD MSC EUROPE ETF VGK — Int/Div — Buy

VANGUARD MSC EUROPE ETF VGK — Sold (part)

VANGUARD MSC EUROPE ETF VGK — Buy (add'l)

VANGUARD MSC EUROPE ETF VGK — Buy (add'l)

VANGUARD MSC! EAFE ETF VEA — Int/Div — Buy

VANGUARD MSC! EAFE ETF VEA — Sold (part)

VANGUARD MSC! EAFE ETF VEA — Buy (add'l)

VANGUARD LARGE CAPETF VV — Int/Div — Sold (part)

VANGUARD LARGE CAPETF VV — Buy (add'l)

VANGUARD LARGE CAPETF VV — Buy (add'l)

VANGUARD LARGE CAPETF VV — Buy (add'l)

VANGUARD LARGE CAPETF VV — Buy (add'l)

VANGUARD LARGE CAPETF VV — Buy (add'l)

VANGUARD LARGE CAPETF VV — Sold (part)

VANGUARD LARGE CAPETF VV — Buy (add'l)

VANGUARD LARGE CAPETF VV — Buy (add'l)

VANGUARD LARGE CAPETF VV — Buy (add'l)

VANGUARD SHORT TERM CORP BOND ETF VOSH — Int/Div — Buy

VANGUARD SHORT TERM CORP BOND ETF VOSH — Distribution — Sold (part)

WISDOMTREE TR EMERGING MARKETS SMALL CAP DIVIDEND DGS — Int/Div — Sold (part)

WISDOMTREE JAPAN HEDGED EQUITY ETF DXJ — Int/Div — Buy

WISDOMTREE LARGE CAP DIVIDEND ETF DIN — Int/Div — Buy (add'l)

WISDOMTREE LARGE CAP DIVIDEND ETF DIN — Sold (part)

WISDOMTREE LARGE CAP DIVIDEND ETF DIN — Sold (part)

WISDOMTREE LARGE CAP DIVIDEND ETF DIN — Buy (add'l)

WISDOMTREE LARGE CAP DIVIDEND ETF DIN — Buy (add'l)

All Interests Fully Divested in Yr for Brokerage Account #8

Correction) GLOBAL X FUNDS CHINA CONSUMER CHIQ — Sold — Part VII

DBX ETF TRUST MSCI EAFE CURRENCY HEDGED EQUITY FD — Int/Div — Sold (part)

DBX ETF TRUST MSCI EAFE CURRENCY HEDGED EQUITY FD — Sold

FIRST TRUST NASDAQ ABA COMM BANK INDX QABA — Int/Div — Sold

139, — Distribution

ISHARES INC MSCI1 JAPAN INDEX FD — None — Buy

ISHARES INC MSCI1 JAPAN INDEX FD — Sold

ISHARES MSC1 CDA INDX — Int/Div — Sold

ISHARES TR DOW JONES US FINL SVCS INDEX FD — Int/Div — Buy

ISHARES TR DOW JONES US FINL SVCS INDEX FD — Sold (part)

ISHARES TR DOW JONES US FINL SVCS INDEX FD — Sold (part)

ISHARES TR DOW JONES US FINL SVCS INDEX FD — Buy (add'l)

ISHARES TR DOW JONES US FINL SVCS INDEX FD — Sold (part)

ISHARES TR DOW JONES US FINL SVCS INDEX FD — Sold

ISHARES TR DOW JONES US ENERGY SECTOR — Int/Div — Sold (part)

ISHARES TR DOW JONES US ENERGY SECTOR — Sold (part)

ISHARES TR DOW JONES US ENERGY SECTOR — Sold

ISHARES TRUST S&P LATIN AMERN 40 INDEX FD — Int/Div — Buy

ISHARES TRUST S&P LATIN AMERN 40 INDEX FD — Sold (part)

ISHARES TRUST S&P LATIN AMERN 40 INDEX FD — Sold

amended: Lines 155 and 156 Listed in Error

Duplicate of Lines 92 and 93 Above

POWERSHARES ETF DIVIDEND ACHIEVERS — None — Sold (part)

POWERSHARES ETF DIVIDEND ACHIEVERS — Sold (part)

POWERSHARES ETF DIVIDEND ACHIEVERS — Sold

SECTOR SPDR SBI CONSUMER DISCRETIONARY XLY — Int/Div — Sold

SECTOR SPDR SBI CONSUMER DISCRETIONARY XLY — Int/Div — Sold (part)

SECTOR SPDR SBI CONSUMER DISCRETIONARY XLY — Sold (part)

SECTOR SPDR SBI CONSUMER DISCRETIONARY XLY — Sold

SELECT SECTOR SPDR TRUST SBI UTILITIES — Int/Div — Buy

SELECT SECTOR SPDR TRUST SBI UTILITIES — Sold

POWERSHARES EFT DIVIDENED ACHIEVERS PFM — None — Sold (part)

POWERSHARES EFT DIVIDENED ACHIEVERS PFM — Sold (part)

POWERSHARES EFT DIVIDENED ACHIEVERS PFM — Sold

SPDR SERIES DOW JONES REIT ETF — Distribution — Buy (add'l)

SPDR SERIES DOW JONES REIT ETF — Int/Div — Sold (part)

SPDR SERIES DOW JONES REIT ETF — Sold (part)

SPDR SERIES DOW JONES REIT ETF — Sold (part)

SPDR SERIES DOW JONES REIT ETF — Sold

SPDR GOLD TRUST GOLD SHARES — None — Buy

SPDR GOLD TRUST GOLD SHARES — Sold

SPDR MIDCAP 400 ETF SER S&P DEP RCPT MDY — Int/Div — Sold (part)

SPDR MIDCAP 400 ETF SER S&P DEP RCPT MDY — Sold

SECTOR SPDR TR SHS BEN INT HEALTH CARE — Int/Div — Sold (part)

SECTOR SPDR TR SHS BEN INT HEALTH CARE — Sold

VANGUARD ENERGY ETF VDE — None — Sold (part)

VANGUARD ENERGY ETF VDE — Sold

VANGUARD INFORMATION TECH ETF vGT — None — Sold (part) — <

VANGUARD INFORMATION TECH ETF vGT — Sold (part)

VANGUARD INFORMATION TECH ETF vGT — Sold (part)

VANGUARD INFORMATION TECH ETF vGT — Sold

VANGUARD INFORMATION TECH ETF vGT — Sold

VANGUARD INDUSTRIALS ETF VIS — None — Sold (part)

VANGUARD INDUSTRIALS ETF VIS — Sold

snr msm avis a ——————

Brokerage Account #9 IRA Rollover

CASH/MONEY MARKET -- RW Baird General MMKT Class A — Int/Div

CAPITAL WORLD GWTH & INCOME FD CWGFX — Int/Div

CALAMOS CONVERTIBLE FUND CICVX — Int/Div

DAVIS NEW YORK VENTURE DNVYX — Int/Div — Sold (part)

196. — Distribution

GROWTH FUND AMER GFAFX — Int/Div — Buy (add'l)

GROWTH FUND AMER GFAFX — Sold (part)

HARRIS ASSOC INVT OAKMARK INTL FD OAKIX — Int/Div — Buy (add'l)

HUSSMAN INVT GROWTH FD HSGFX — Int/Div

IVY FDS INC ASSET STRATEGY FD WASYX — Int/Div

KEELEY FUNDS SMALL CAP VALUE KSCIX — None — Sold (part)

LOOMIS SAYLES BOND INSTL LSBDX — Int/Div — Buy

PERMANENT PORTFOLIO FD PRPFX — Distribution — Sold (part)

20 — Int/Div

SECURITY EQUITY FD MID CAP VALUE SEVAX — Distribution

STRATTON SMALL CAP VALUE STSCX — Distribution — Buy

211. — Int/Div

VANGUARD INTER TERM BOND FUND VBIX — Int/Div

213. — Distribution

LTR INP

Trust #1

CALIFORNIA BANK & TRUST - DEPOSIT ACCOUNTS — Interest

amended: BANK OF AMERICA. NA — Interest — Open

US GOVERNMENT BONDS — Interest

METROPOLITAN LIFE INSURANCE PROCEEDS — Interest — Matured

umsiisiameiwiimis bos

Estate ¥1 — None — Closed — Assets in Trust #1

Trustee —- Trust #1], Trust #1,

Executor -- Estate 41 -- No Probate - All Assets in Trust #1, Estate #1

Liability — Bank of the West — Rental Property #1, Sacramento, Califorma

Spouse's income — 2012 — State of California, Califorma Department of Public Health --- Salary

Part VII, Line 135 — Global X Funds China Consumer CHIQ — All shares were sold in 2011, November 23, 2011 sale of the remaining

shares of this fund

erroneously left off of 2011 Report

Part VII, Line 221 - Estate 1. No probate opened and no estate assets to be administered. All assets are part of Trust | and administered through the Trust.

November 6, 2013 Amendment

Part VII

Line 12 -- Opening date of deposit account shown for proceeds of sale.

Line 29 -- Opening date of deposit account shown for proceeds of sale.

Line 51 -- Opening date of deposit account shown for proceeds of sale.

Line 155, 156 -- Item on 155 listed in error, Duplicate of funds listed on lines 92 and 93 of Part VII,

Line 127 — Opending date of deposit account shown for insurance proceeds from Line 219.

From 2011 Report

2011 Report Line 58 MidCap 400 Index Fund was renamed IShares Core S&P MidCap ETF listed on line 78 of 2012 original and November 6, 2013 amended

report.

2011 Report Line 59 Shares TR S&P SMallCap 600 Indx FD was renamed IShares Core S&P SmallCap ETF listed on line 75 of 2012 original and November

6, 2013 amended report.