Nicholas Garaufis

BANK DEPOSIT SWEEP PROGRAM — Interest

DAVIS NEW YORK VENTURE CLASS A — Int/Div

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

NEUBERGER BERMAN FOCUS FUND — Sold (part)

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

INVESTCO VAN KAMPEN AMERICAN — Int/Div

INVESTCO GLOBAL GROWTHFDC(CLB — Int/Div

ALLIANCE BALANCED SHARES(CLB — Int/Div

ISHARES TR. RUSSELL 1000 — Int/Div

FIDELITY ADVISOR INFLATION PROTECTED BDFD CL A — Int/Div — Sold (part)

ALLIANCE REAL ESTATE INVESTMENT FD A — Int/Div

OPPENHEIMER SM & MID CAP VALUL FUND — Int/Div

ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND — Int/Div

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

CITY OF NEW YORK DEFERRED COMPENSATION PLAN — Int/Div

ABC PENSION PLAN — None

INVESTCO GLOBAL EQUITY FUND — Int/Div

ISHARES MIDCAP — Int/Div

ISHARES TRMSCI — Int/Div — Buy (add'l)

ISHARES TRMSCI — Buy (add'l)

ISHARES TRMSCI — Buy (add'l)

ISHARES RUSSELL 2000 — Int/Div — Sold (part)

ISHARES MSCI EMERGING MKT — Int/Div

MUTUAL SERIES CLASS C — Int/Div

SPDR S&P SOO ETF TR — Int/Div

PIMCO TOTAL RETURN CLC — Int/Div

OPPENHEIMER GLOBAL FUND — Int/Div

INVESTCO VAN KAMPEN EQUITY & INCOME — Int/Div

AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div

OPPENHEIMER LTD. TERM NY MUNI — Int/Div — Sold

ALLIANCE BERNSTEIN LG CAP GROWTH SB — Int/Div

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

OPPENHEIMER GLOBAL CLASS ( — Int/Div — with line 28)

AMERICAN GROWTH FD OF AMERICA { ud — Int/Div

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

INVESTCO DEVELOPING MKTCL A — Int/Div

OPPENHEIMER INT BD FD — Int/Div

VANGUARD INT TERM TAX — Int/Div — Sold (part)

PIMCO COMM REAL RETURN — Int/Div

ROYCE TOTAL RET. INV — Int/Div

I SHARES S&P SMCAP 600 — Int/Div

COLUMBIA SM CAP VAL II CIA — Int/Div

EAGLESMCAPFDA — Int/Div

ISHARES RUSSELL 2000 VALUE — Int/Div

2004 TRLST — None

RYDEX SGI MGE FUTURES — Int/Div — Sold (part)

RYDEX SGI MGE FUTURES — Sold

PIMCO UNCONSTRAINED — Int/Div

ARTISAN INTL INVESTOR — Int/Div

FORWARD SELECT INC INST — Int/Div

ISHARES TR COHEN & STEERS REALTY — Int/Div

PIMCOHIGH YIELD A — Int/Div

FORWARD TACTICAL GROWTH FD CL 5d — Int/Div

BLACKROCK GLOBAL ALLOCATION FDCLC — Int/Div — Buy

BLACKROCK GLOBAL ALLOCATION FDCLC — Buy (add'l)

BLACKROCK GLOBAL ALLOCATION FDCLC — Buy (add'l)

ARTISAN MID-CAP VALLE — Int/Div — Buy

LOCORR MANAGED FUTURES STRATEGY FD — Int/Div — Buy

MAINSTAY ICAP SELECT — Int/Div — Buy

MEMBER, BOARD OF DIRECTORS, SPECTATOR PUBLISHING COMPANY. INC

MEMBER. EXECUTIVE COMMITEE, NEW YORK CITY BAR ASSOCIATION

Income — 2011 — ABC INC. RETIREMENT PLAN — S13.053

Spouse's income — 2011 — CITIZENS BUDGET COMMISSION, FORM 1099-MISC, « CONSULTING INCOME

Spouse's income — 2011 — NEW YORK UNIVERSITY. FORM 1099-MISC - CONSULTING INCOME

Spouse's income — 3201 — PROSPECT PARK ALLIANCE. FORM 1099-MISC = CONSULTING INCOME

Spouse's income — 2011 — IPMORGAN CHASE FOR DELOITTE. FORM 11899.R « PENSION INCOME

VII, PAGE 4 OF 9, LINE 1:

NAME CHANGED FROM PRIME FUND - CAPITAL RESERVES TO BANK DEPOSIT SWEEP PROGRAM.

VII, PAGE 4 OF 9, LINE 6:

NAME CHANGED FROM INVESTCO LARGE CAP GROWTH FD CL B TO INVESTCO VAN KAMPEN AMERICAN.

VIL PAGE 3 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.