Nicholas Garaufis

BANK DEPOSIT SWEEP PROGRAM — Interest

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

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

BLACKROCK FLEXIBLE EQUITY FD CLA — Int/Div — Sold (part)

INVESTCO VAN KAMPEN AMERICAN FRANCHISE — Int/Div

INVESTCO GLOBAL GROWTH FDC(CLB — Int/Div

ALLIANCE BALANCED SHARES (CL B — Int/Div

ISHARES TR. RUSSELL 1000 — Int/Div — Buy (add'l)

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

ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND — Int/Div — Sold (part)

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

CITY OF NEW YORK DEFERRED COMPENSATION PLAN — Int/Div

ABC PENSION PLAN — None

INVESTCO GLOBAL QUANTITATIVE CORE — Int/Div

ISHARES MIDCAP — Int/Div

ISHARES TRMSC1 — Int/Div

ISHARES RUSSELL 2000 — Int/Div

ISHARES MSC EMERGING MKT — Int/Div

MUTUAL SERIES CLASS C — Int/Div

SPDR S&P SOOETF TR — Int/Div

PIMCO TOTAL RETURN CL C — Int/Div — Sold (part)

OPPENHEIMER GLOBAL FUND — Int/Div

INVESTCO VAN KAMPEN EQUITY & INCOME — Int/Div

AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div

ALLIANCE BERNSTEIN LG CAP GROWTHB — Int/Div

AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER CLASS ( — Int/Div

AMERICAN GROWTH FD OF AMERICA C — Int/Div

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

INVESTCO DEVELOPING MKT CL A — Int/Div

OPPENHEIMER INT BD FD — Int/Div

PIMCO COMM REAL RETURN — Int/Div

ROYCE TOTAL RET. INV — Int/Div — Sold (part)

SHARES S&P SMCAP 600 — Int/Div

COLUMBIA SM CAP VAL II CIA — Int/Div

EAGLESMCAPFD A — Int/Div — Sold (part)

ISHARES RUSSELL 2000 VALLE — Int/Div

2004 TRUST — None

PIMCO UNCONSTRAINED — Int/Div

ARTISAN INTL INVESTOR — Int/Div

FORWARD SELECT INC INST — Int/Div

ISHARES TR COHEN & STEERS REALTY — Int/Div

PIMCO HIGH YIELD A — Int/Div

FORWARD TACTICAL GROWTH FD CL C — Int/Div

BLACKROCK GLOBAL ALLOCATION FDCLC — Int/Div

ARTISAN MID-CAP VALUE — Int/Div — Buy (add'l)

LOCORR MANAGED FUTURES STRATEGY FD — Int/Div — Sold

MAINSTAY ICAP SELECT — Int/Div

DWS DREMAN SM CAP VALLES — Int/Div — Buy

GOLDMAN SACHS SATELLITE STRAT PORTFOLIO — Int/Div — Buy

GOLDMAN SACHS SATELLITE STRAT PORTFOLIO — Buy (add'l)

BLACKROCK EQUITY DIVIDEND — Int/Div — Buy

FIDELITY ADVISORS FLOATING GHIGH INC FD — Int/Div — Buy

ISHARES S&P S00 GROWTH — Int/Div — Buy

ISHARES S&P MID-CAP 300 GROWTH — Int/Div — Buy

MEMBER, EXECUTIVE COMMITEE, NEW YORK CITY BAR ASSOCIATION

Income — 2012 — YESHIVA UNIVERSITY « TEACHING — S13.600.00

Spouse's income — 2012 — CITIZENS BUDGET COMMISSION, FORM 1099-MISC, « CONSULTING INCOME

Spouse's income — 2012 — PROSPECT PARK ALLIANCE, FORM 1099-MISC - CONSULTING INCOMF

Spouse's income — 2012 — JIPMORGAN CHASE FOR DELOITTE. FORM 1099-R = PENSION INCOME

VII, PAGE 4 OF 9, LINE 4:

NAME CHANGED FROM BLACKROCK MID CAP VALUE FUND TO BLACKROCK FLEXIBLE EQUITY FD

VII, PAGE 5 OF 9, LINE IT:

NAME CHANGED FROM INVESTCO GLOBAL EQUITY FUND TO INVESTCO QUANTITATIVE CORE.

VII PAGE 6 OF 9, LINE 39 OF 2011 REPORT ERRONEOUSLY LISTED VANGUARD INT TERM TAX PARTIALLY SOLD WHEN, IN FACT, IT WAS

SOLD IN ITS ENTIRETY ON 04/18/11, THEREFORE, IT IS NOT LISTED IN CURRENT REPORT

VIL, PAGE 5 OF 9, LINE 17:

ABC. INC. PENSION PLAN. | AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER

PENSION PLAN.

PART 111, LINE 2 DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON MY DEATH.