William H. Pauley 3

MUIUAL FUNDS

AGDAX - ALLIANCE BERNSTEIN HIGH INC FD — Int/Div — Sold (part)

MCGFX - ASTON FUNDS MONTAG & CALDWELL — None — Sold

SMGIX - COLUMBIA CONTRARIAN CORE FD — None — Sold

GSFTX - COLUMBIA FDS SER TRI DIV INC — Int/Div — Sold (part)

DPLTX <- DREYFUS HIGH YIELD FD — Int/Div — Sold (part)

KDSSX « DWS VALUE SER INC SM CAP — None — Sold

SGUX - FIRST EAGLE GLOBAL FUND — None — Sold

ICHHX - FRANKLIN/TEMPLETON HARD CUR FD — None — Buy (add'l)

FNYZX - FRANKLIN NY TAX FREE INT TRM (formerly FNYTZ) — Interest — Sold (part)

HFMCX - HARTFORD MUTUAL FD MID CAP — None — Sold

HIPIX - HARTFORD INFLATION PLUS FD — Interest — Sold (part)

HSKSX - JP MORGAN TRI HIGHBRIDGE STAT FD — None — Sold

IVOAX - MORGAN STANLEY INTL VALUE EQUITY FD — None — Sold

SBNYX - LEGG MASON NY MUN FD — Interest — Sold

LSGIX «- LOOMIS SAYLES VALLE FD — Int/Div — Sold

LISFX - LORD ABBETT MUN INC TR INTER FD — Int/Div — Sold (part)

MGRAX -MFS INTLGROWTH FD — Int/Div — Sold

NEFJX - NATIXIS ADVISOR SM CAP VALFD — None — Sold

PCGRX - PIONEER MID CAP VAL FD — Int/Div — Sold

RMUNX <- ROCHESTER MUNI FD — Interest — Sold

RYMFX - RYDEX SGI MANAGED FUT STRAT — None — Sold

TGBAX - TEMPLETON GLOBAL BOND FD — Interest — Sold (part)

DBPIX - DWS ADVISOR FD SHORT DURATION PLUS — Interest — Sold

LFRFX- LORD ABBETT INVT TR FLTG RATEFDCLF — Interest — Sold (part)

PSSAX - PIMCO STOCKS PLUS TR SHORT STRATEGY — None — Sold

AFVPX - ALLIANZ NFJ INTL VALUE FDCLP — Interest — Buy

CIGIX - CALAMOS INVT TR NEW INTL GROWTHFDCL 1 — Interest — Buy

GNYTX- COLUMBIA FDS SER TR I NY INTERMEDATEMUNBDFDCL Z — Interest — Buy

DWOIX - DREYFUS RESH GROWTH FD INCSHS CL — Interest — Buy

DFRPX - DWS PORTFOLIO TR FLTG RATEPLUSFDCLS — Interest — Buy

HRVIX - HEARTLAND GROUP INC VALUE PLUS FUND — Interest — Buy

ISTIX - HANCOCK JOHN STRATEGIC SER INCOME FD CLI — Interest — Buy

NMCAX - ING EQUITY TR MID CAP OPPIYSFDCLA — None — Buy

ONSDX - INVESCO CONVERTIBLE SECURITIES FUND CLASS Y — Interest — Buy

JSMGX - JANUS INVT FD TRITON FD CL) — None — Buy

VANTX -JPMORGAN TR I NY TAX FREEBDFDCL A — Interest — Buy

LHYFX- LORD ABBETT HIGH YIELD FDCLF — Interest — Buy

FAQIX - NUVEEN EQUITY INCOME FUNDCLY — Interest — Buy

OOSYX - OPPENHEIMER SENIOR FLOATING RATE FUNDCLY — Interest — Buy

PUSYX - PUTNAM US GOVERNMENT INCOME TRUSTALY — Interest — Buy

VETAX- VICTORY PORTFOLIOS ESTABLISHED VALUEFD CL A — Int/Div — Buy

FMLSX - WASATCH FDS INC LONG; SHORT FD — None — Buy

SGRKX - WELLS FARGO ADVANTAGE GROWTH FUND ADMIN CL — None — Buy

ANNUITIES

DISCOVERY PLUS — Interest

CASH AND CASH EQUIVALENTS

JP MORGAN CHASE — Interest

U.S. TREASURY BILLS — Interest — Sold (part)

US. SAVINGS BONDS — Interest — Sold (part)

AXA FIN'L LIFE INS {Cash Surrender Value) — Int/Div

AXA FIN'L LIFE INS (Cash Surrender Value) — Int/Div

WACHOVIA MONEY MARKET ACCOUNT — Interest

NEW YORK 529 COLL SVGS MOD AGE- BASED OPT: INCOME PORTFOLIO — Interest

NEW YORK 529 COLL SVGS MOD AGE- BASED OPT: CONSERY GROWTH — Interest — Buy

NEW YORK 529 COLL SVGS INTEREST ACCUMULATION PORTFOLIO — Interest

TRMXX - RBC PRIME MONEY MARKET FD RESERVE CL — Interest — Sold (part)

RETIREMENT ACCOUNTS

401K PLAN - ING — Interest

IRA SCUDDER - DWS CORE PLUS INCOME FUND — Interest

IRA SCUDDER - DWS GLOBAL THEMATIC FUND — Interest

TRMXX - RBC PRIME MONEY MARKET FD RESERVE CL — None — with line 67)

ACMXX - RBC MONEY MARKET OBLIGATIONS TRUST — Interest

AGDAX - ALLIANCE BERNSTEIN HIGH INC FD — Int/Div — Buy (add'l)

MCGFX - ASTON FUNDS MONTAG & CALDWELL — None — Sold

BGNIX - BLACKROCK GNMA PORTFOLIO — Int/Div — Sold (part)

SMGIX - COLUMBIA CONTRARIAN CORE FD — None — Sold

GSFTX - COLUMBIA FDS SER TR1 DIV INC — Int/Div — Sold (part)

DPLTX <- DREYFUS HIGH YIELD FD — Int/Div — Sold (part)

KDSSX « DWS VALUE SER INC SM CAP — None — Sold

SGHX - FIRST EAGLE GLOBAL FUND — Distribution — Sold

ICHHX - FRANKLIN/TEMPLETON HARD CUR FD — Int/Div — Buy (add'l)

HFMCX - HARTFORD MUTUAL FD MID CAP — None — Sold

HIPIX - HARTFORD INFLATION PLUS FD — Int/Div

HLLVX - JP MORGAN SHORT DUR BOND FD — Int/Div — Sold (part)

HSKSX - JP MORGAN TRI HIGHBRIDGE STAT FD — None — Sold

WOBDX «JP MORGAN TR2 CORE BD — Int/Div — Sold (part)

LSGIX <- LOOMIS SAYLES VALLE FD — None — Sold

MGRAX <- MFS INTL GROWTH FD — Int/Div — Sold

IVQAX - MORGAN STANLEY INTL VALUE EQUITY FD — None — Sold

NEFJX - NATIXIS ADVISOR SM CAP VALFD — None — Sold

PAGNX - PIMCO GNMA FD — Int/Div — Sold (part)

PCGRX - PIONEER MID CAP VAL FD — Int/Div — Sold

RYMFX - RYDEX SGI MANAGED FUT STRAT — None — Sold

TAIBX - TARGET PORTFOLIO INTER TERM BD — Int/Div — Sold

TGBAX - TEMPLETON GLOBAL BOND FD — Int/Div — Buy (add'l)

PSSAX - PIMCO STOCK PLUS TR SHORT STRATEGY — Interest — Sold

LFRFX- LORD ABBETT INVT TR FLTG RATEFD CLF — Interest — Sold (part)

RBLCX - RUSSELL INVT BALANCED STRATEGY FD CLC — Int/Div — Buy (add'l)

DBPIX - DWS ADVISOR FD SHORT DURATION PLUS — Interest — Sold

AGDAX - ALLIANCE BERNSTEIN HIGH INCOME FUNDCL A — Interest — Buy

AFVPX - ALLIANZ NFJ INTL VALUE FDCLP — Interest — Buy

CIGIX - CALAMOS INVT TR NEW INTL GROWTHFDCL — Interest — Buy

DWOIX - DREYFUS RESH GROWTH FD INCSHS CL — Interest — Buy

DFRPX - DWS PORTFOLIO TR FLTG RATEPLUSFDCLS — Interest — Buy

ICHHX - FRANKLINTEMPLETON HARD CURRENCY FUND-ADVISOR CL — None — Buy

JSTIX - HANCOCK JOHN STRATEGIC SER INCOME FD CLI — Interest — Buy

HIPIX « HARTFORD INFLATION PLUS FUNDCL 1 — Interest — Buy

HRVIX - HEARTLAND GROUP INC VALUE PLUS FUND — Interest — Buy

NMCAX «ING EQUITY TR MID CAP OPPTYSFDCL A — None — Buy

CNSDX - INVESCO CONVERTIBLE SECURITIES FUND CLASS Y — Interest — Buy

JSMGX - JANUS INVT FD TRITON FD CL — None — Buy

LHYFX - LORD ABBETT HIGH YIELD FDCLF — Interest — Buy

FAQIX - NUVEEN EQUITY INCOME FUNDCLY — Interest — Buy

PUSYX - PUTNAM US GOVERNMENT INCOME TRUSTLALY — Interest — Buy

TGBAX - TEMPLETON GLOBAL BOND FD — Interest — Buy

VETAX - VICTORY PORTFOLIOS ESTABLISHED VALUEFD CL A — Interest — Buy

SGRKX - WELLS FARGO ADVANTAGE GROWTH FUND ADMIN CL — None — Buy

FMLSX - WASATCH FDS INC LONG; SHORT FD — None — Buy

Semor Member of Board of Visitors, Duke Umiversity School of Law

Agreement — 1998 — Continuation of payments agreement with former law partner, Franklyn H. Smitow, and his law firm, Smtow Kanter Holtzer & Millus, LLP.

Reimbursement — Duke University School of Law — October 20-22. 2011 — Durham, NC — Board of Visitors Meeting — Travel, food, and lodging.

Reimbursement — George Washington Univ School of Law — November 15 - 16, 2001 — Washington, D.C — Moot Court Competition — Travel, food and lodging.

Spouse's income — 2011 — Self-Employed Licensed Real Estate Sales Person and Insurance Agent

Spouse's income — 2011 — Self-Employed Floral Designer

None.