Randolph J. Haines

IRA #1 — Distribution

SPDR Gold Tr Gold Shares ETF - GLD — None — Sold

SPDR Gold Tr Gold Shares ETF - GLD — Sold (part)

SPDR Gold Tr Gold Shares ETF - GLD — Sold (part)

Pimco FDS Real Est Real Return Strat FD PETAX(Y)

Powershares Pharmaceuticals Port - PIP (Y)

SPDR Dow Jones REIT EFT - RWR (Y)

Rydex/SGI FDS High Yield - SIHAX (Y)

Touchstone FDS High Yield CL A THYAX(Y)

DWS Global Inflation C - TIPAX (Y)

USAA Mut FD Inc High Yield OPPS LUSHYX(Y)

Vanguard Info Tech Index - VGT (Y)

AMEX SPDR Utilities Select Index - XLU iY)

SPDR S&P Retail ETF <« XRT (Y)

Morgan Stanley Dean Witter Range ACRUL «HI T4SEW23 (LY)

Consumer Staples Select Sec - XLP (Y)

IShares Barclays 20+ Yr Tre - TLT (Y)

IShares Barclays TIPS Bond - TIP (Y)

IShares JPMorgan USD Emergi - EMB (Y)

Mainstay Fds High Yield Cor - MHCAX {Y)

Mainstay Marketfield Fund - MFLDX — Int/Div — Sold (part)

Mainstay Marketfield Fund - MFLDX — Buy (add'l)

Nicholas High Income FD - NNHIX (Y)

Permanent Perm Portfolio - PRPFX (Y)

PIMCO Fds Pac Invt Mgmt Ser - PASAX — Int/Div — Sold

Pioneer High Income Municip - PIMAX — Int/Div — Sold

Powershares DB Commodity In - DBC (Y)

Powershares QQ Nasdag 100 - QQQ(Y)

Sierra Core Retirement Fund - SIRRX (Y)

Spdr S&P S00 ETF TR - SPY (Y)

Babson Capital Blobal Short Duration High Yield Fund - BGH — Int/Div

JPMorgan Intrepid Capital - ICMBX — None — Sold

Pimco Income Fund - PIMIX — Int/Div — Sold

Pimco Stocksplus AR Short S < PSSAX — None — Sold

Pimco Stocksplus AR Short S < PSSAX — Sold (part)

Pimco Stocksplus AR Short S < PSSAX — Buy (add'l)

Pimco Stocksplus AR Short S < PSSAX — Sold (part)

Pimco Stocksplus AR Short S < PSSAX — Buy (add'l)

Pimco Stocksplus AR Short S < PSSAX — Sold (part)

Pimeo Stocksplus AR Short Str - PSSDX — None — Sold

Angel Oak Multi-Strategy - ANGLX — Int/Div — Sold

Angel Oak Multi-Strategy - ANGLX — Buy

Calvert High Yield Bond - CYBAX — Int/Div — Sold

Calvert High Yield Bond - CYBAX — Buy

Gold & Special Minerals Fund - OPGSX — None — Sold

Gold & Special Minerals Fund - OPGSX — Buy (add'l)

Gold & Special Minerals Fund - OPGSX — Buy

Hennessy Focus Fund Inv CL «- HFCSX — None — Sold

Hennessy Focus Fund Inv CL «- HFCSX — Sold (part)

Hennessy Focus Fund Inv CL «- HFCSX — Buy

Invesco Global Real Estate - ASRAX — Int/Div — Sold

Invesco Global Real Estate - ASRAX — Buy (add'l)

Invesco Global Real Estate - ASRAX — Buy

Neuberger Berman Real Estate - NBRFX — Int/Div — Sold

Neuberger Berman Real Estate - NBRFX — Buy

Nuveen Preferred Securities - NPSAX — Int/Div — Sold

Nuveen Preferred Securities - NPSAX — Buy

Ontrack Core Fund-Open End - OTRFX — Int/Div — Sold

Ontrack Core Fund-Open End - OTRFX — Sold (part)

Ontrack Core Fund-Open End - OTRFX — Buy (add'l)

Ontrack Core Fund-Open End - OTRFX — Buy

Pimeo Income Fund - PONAX — Int/Div — Sold

Pimeo Income Fund - PONAX — Buy

Pimco Int'l Stocksplus AR ST - PIPAX — Int/Div — Sold

Pimco Int'l Stocksplus AR ST - PIPAX — Buy (add'l)

Pimco Int'l Stocksplus AR ST - PIPAX — Sold (part)

Pimco Int'l Stocksplus AR ST - PIPAX — Buy (add'l)

Pimco Int'l Stocksplus AR ST - PIPAX — Sold (part)

Pimco Int'l Stocksplus AR ST - PIPAX — Buy (add'l)

Pimco Int'l Stocksplus AR ST - PIPAX — Buy

Pimco Stocksplus Absolute R - PTOAX — Int/Div — Sold

Pimco Stocksplus Absolute R - PTOAX — Sold (part)

Pimco Stocksplus Absolute R - PTOAX — Buy

The Weitz Funds Partners VA - WPVLX — None — Buy (add'l)

The Weitz Funds Partners VA - WPVLX — Sold (part)

The Weitz Funds Partners VA - WPVLX — Buy (add'l)

The Weitz Funds Partners VA - WPVLX — Buy (add'l)

The Weitz Funds Partners VA - WPVLX — Buy

Blackrock Fds High Yield Bond - BHYAX — Int/Div — Buy (add'l)

Blackrock Fds High Yield Bond - BHYAX — Buy

Amencan Funds New Economy F - ANFFX — Int/Div — Buy (add'l)

Amencan Funds New Economy F - ANFFX — Buy (add'l)

Amencan Funds New Economy F - ANFFX — Buy

Scotia Dynamic US Growth - DWUGX — Int/Div — Open

Scotia Dynamic US Growth - DWUGX — with line £4)

Scotia Dynamic US Growth - DWUGX — Buy (add'l)

Scotia Dynamic US Growth - DWUGX — Buy (add'l)

Scotia Dynamic US Growth - DWUGX — Buy

Henderson Funds Euro Focus Fd CLA HFEAX — Int/Div — Buy

IRA 2

Calvert FD High Yield BD - CYBAX — Int/Div — Sold

Calvert FD High Yield BD - CYBAX — Buy

Rydex/Security Income FD Hight Yield SIHAX (Y)

Touchstone Invi TR - THYAX (Y)

DWS Global Inflation Fund C - TIPAX (Y)

Mainstay Fds High Yield Cor - MHCAX Y)

Nicholas High Income FD Inc - NNHIX (Y)

Permanent Perm Portfolio « PRPFX -(Y)

Pioneer High Income Municip - PIMAX — Int/Div — Sold

Sierra Core Retirement Fund - SIRRX (Y)

JPMorgan Intrepid Capital - ICMBX — None — Sold

Marketfield Fund - MFLDX — Int/Div — Sold

Pimco All Asset A - PASAX — Int/Div — Sold

Pimco Income Fund - PIMIX — Int/Div — Sold

Pimco Stocksplus Tr Short Stratedy D PSSDX — None — Sold

Blackrock Fds High Yield Bond A BHYAX — Int/Div — Buy

Scotia Dynamic US Growth - DWLGX — Int/Div — Open

Dynamic US Growth Fund Class DWLUGX — None — with line 107)

Nuveen Preferred Securities A - NPSAX — Int/Div — Sold

Nuveen Preferred Securities A - NPSAX — Buy

Ontrack Core Fund - OTRFX — Int/Div — Sold

Ontrack Core Fund - OTRFX — Buy

Pimco FDS Income Fund A - PONAX — Int/Div — Sold

Pimco FDS Income Fund A - PONAX — Buy

Gold & Special Minerals Fund - OPGSX — None — Sold

Gold & Special Minerals Fund - OPGSX — Buy

the Weitz Funds Partners VA - WPVLX — None — Buy (add'l)

the Weitz Funds Partners VA - WPVLX — Sold (part)

the Weitz Funds Partners VA - WPVLX — Buy

Wells Fargo Bank, NA — hy

Adpunct Faculty, Sandra Day (¥Connor College of Law (fka Anzona State University College of Law) (terminated eff. Dec. 2013)

Director

Reimbursement — Norton Bankruptcy Institute — Feb. 22-24. 2013 — Park City, Utah — Speaking at conference — Transportation, meals, and lodging

Reimbursement — Norton Bankruptcy Institute — March 20 - 22,2013 — Las Vegas, Nevada — Speaking at conference — Transportation, meals and lodging

Reimbursement — Attorneys — Tells, TTY, yh Ee A — TMNT ASTRO TR — WY THEATRE. aes Sepa Tg — a Ta a A A RR

Reimbursement — Norton Bankruptcy Institute — June 27 - July 1, 2013 — Jackson Hole, Wyoming — Speaking at conference — Transportation, meals and lodging

Reimbursement — Norton Bankruptcy Institute — Feb. 21-23, 2014 — Park City, Utah — Speaking at conference — Transportation, meals and lodging

Income — 2013 — Sandra Day O'Connor College of Law (teaching) — S3.000.00