Michael E. Ridgway

Northwestern Mutual Life Ins. - Adjustable Comp, Life — Int/Div

Northwestern Mutual Life Ins Extraordmary Life — Int/Div

Northwestern Mutual IRA — None

Select Bond (Mason Street Advisors)

Brokerage # (Merrill Lynch)

FIA Card Services, NA. (Bank of America) — Interest

Calamos Growth Fund CL (CGRIX) — istrnibution

Keeley Small Cap Value Fund CL A (KSCVX) — Int/Div — Sold (part)

Oppenheimer Developimg Markets FD CLY (ODVYX) — Int/Div

Putnam Investors FD CL Y (PNVYX) — Int/Div

Thomburg LTD Term Inc. FD CL (THIIX) — Int/Div

Neuberger Berman Equity, Inc. Fund INBHIX) — Int/Div

Hennessy Focus Fund (HFCIX) — Distribution

First Eagle Global Fund, Class [ (SGIIX) — Int/Div

Brokerage # 2 (IRA) (Merrill Lynch)

FIA Card Services NA, RASP (Bank of America) — Interest

HSBC HLDGS PLC Pref. Stock — Int/Div — Sold

Wells Fargo & Co., New Series J Pref Stock — Int/Div — Sold

Alliance Bernstein Global Bond Fund, CL (ANAYX) — Int/Div — Sold

American Fund Global Balanced Fund CL F2(GBLFX) — Int/Div — Sold

DWS Enhanced Commodity Strategy Fund CL S(SKSRX) — None — Sold

Fidelity ADV DIV INTL 1 (FDVIX) — Int/Div

John Hancock Classic Value Fund CL UCVIX) — Int/Div

Principal Preferred Secunites Fund CL P (PPSPX) — Int/Div — Buy (add'l)

Principal Global Diversified, Inc. Fund (PGDPX) — Int/Div

RS Global Natural Resources Fund CL Y (RSNYX) — Distribution

SunAmerica Senior Floating Rate Fund CL A (SASFX) — Int/Div

Thomburg LTD Term Inc. FD CL (THX) — Int/Div

Eaton Vance Atlanta Capital - SMID (EISMX) — Int/Div

Nuveen Preferred Securities (NPSRX) — Int/Div

Oppenheimer Developing Markets FD CL Y (ODVYX) — Int/Div

Oppenheimer Rising Dividends (OYRDX) — Int/Div

JP Morgan Chase & Co. CLD, Pref Stock, Series J — Int/Div — Redeemed

Brandywine Blue Fund (Y)

Scout Mid Cap Fund CL Retail (UMBMX) 1X) — Int/Div — Buy

Putnam Equity Spectrum Fund CL Y (PYSYXOH (XO) — Int/Div — Buy

Goldman Sachs Strategic Income Fund CL 1GSZIX) (XX) — Int/Div — Buy

Brokerage # 3 (ROTH IRA) (Merrill Lynch)

FIA Card Services NA, RASP (Bank of America) — Interest

Putnam FD for Growth & Income FD CL Y(PGIYX) — Int/Div

Putnam Multi Cap. Growth Fund CL Y (PNOYX) — Int/Div

Delaware Value Fund INSTL CL (DDVIX) — Int/Div

Oppenheimer Developimg Markets FD CLY(ODVYX) — Int/Div

Scout Mid Cap Fund CL Retail (UMBMX) xX) — Int/Div — Buy

The undersigned is mindful of the instructions (issued January 2013) at page 45 regarding the requirement to include "reportable income." Accordingly, it should

be noted that no "reportable income” was attributable to the respective funds listed on the following lines of Part VII: 34,79, 13, 21-23, 26, 29,31, 33, 34, 38, &

40,

Part VIL, line 34, reflects an asset that was owned at a time during the period covered by my Initial Report [01/01/12 to 09/30/13]. It was sold on 01/11/12 for a

loss.