Colleen McMahon

Thomburg Ltd. Term Muni. Fd Nat'l — Int/Div

Kohl's Corp. Com (IRA) — Int/Div

Thomberg Value Fund Class A Mut Fd (IRA) — None

Morgan Stanley Venture Investors 11 LP (IRA) — None

Kohl's Corp Com (Trust #2) — Int/Div

Morgan Stanley Venture Investors [11 LP — None

EES 1986 LP — None — Closed — Note #3

Skvline Venture Partners.L.P — Distribution — Note #

MSCPIILP — Distribution — Note #

MA( 1998 300,0000) — None

MA (1998 300.000) — None

Bond Finance Intemational Con Due 117232058(IRA) — None — Closed — Note #3

Northwestern Mututal Life — None

EVILCO Life Insurnace (Trust 2 1) — None

Northwestern Mututal Life (Trust#1) — None

Northwestern Mututal Life{ Trust #1) — None

Madison National Life Ins{ Trust # 1) — Interest

Passport Money Market Fund (IRA) — None

SFM Domestic Investments LLC — None — Sold (part) — Note #5 To line # 128

SFM Domestic Investments LLC — Sold (part) — Note # 5-To line # 130

SFM Domestic Investments LLC — Sold

CSG Systems International Inc. Com — None — Buy (add'l)

Summit Mariner, LLC — None

Skyline Venture Partners Qualified Purchase Fund 1 — None

Trident Capital Fund-IV LP — Distribution — Sold (part) — Note #

Trident Capital Fund-IV LP — Sold (part)

Sentinel Capital Partners 11 LP — None

Summit Marmer LLC/AP Morgan Checking — Interest

Rental # 1 JPMorgan Checking — None

Rental #2 New York, NY(1999 S 900.004) — Rent

Rental # 2/JP Morgan -Checking — Interest

JP Morgan(Checking)- — None

Andex Resources LLC — None — Sold (part)

J and MA (1999 1 425.000 ) — None

Five Point Fund LLC — istnibution — Sold — Note #

Trident Capital Fund V LP — Distribution — Sold (part) — Note #

Linx Partners (Q) LP — Distribution — Note #

Grove Capital Commitment Partners LP — Distribution — Note #

mmm Golf Partners LLC — None

Silvans Corp Preferred B — None

JP Morgan (Checking) — Interest

NY State Dorm. Auth 6.1% due 07/19 — Interest — Sold

Oneida Coty NY 6.25% due 06/15 — Interest — Sold (part)

Oneida Coty NY 6.25% due 06/15 — Sold (part)

JK & B Capital IV QIP LP — Distribution — Buy (add'l) — Note #

JK & B Capital IV QIP LP — Sold (part)

JK & B Capital IV QIP LP — Sold (part)

JK & B Capital IV QIP LP — Sold (part) — Note #5 to line # 26

po Investor LP — Distribution — Buy (add'l) — Note #

po Investor LP — Sold (part)

po Investor LP — Sold (part)

Skyline Venture Partners Qualified Purchaser Fund 111 LP — Distribution — Sold (part) — Note #

Skyline Venture Partners Qualified Purchaser Fund 111 LP — Sold (part) — Note#S - To line 132

Skyline Venture Partners Qualified Purchaser Fund 111 LP — Sold (part) — Note#5-To line 134

Towerbrook Private Equity Partners Il LP — istmbution — Sold (part) — Note #

SPEP Limited Partners LLC — Distribution — Sold (part) — Note #

SPEP Limited Partners LLC — Sold (part)

Grovell LP — Distribution — Note #

Tactics 11 LP (N/C)Tactics 11 Venture LP — None

JP Morgan Checkmg( Foundation #1) — Interest

MM Community Funding 111 Sub Note — None

OR Music LLC — None

SFM Participation LP — None

Capital Income Builders Fd Cl A(IRA) — Int/Div

Kinderhook Capital LP — istmbution — Buy (add'l) — Note #

Kinderhook Capital LP — Sold (part)

Kinderhook Capital LP — Sold (part)

Kinderhook Capital LP — Sold (part)

Kinderhook Capital LP — Sold (part)

Capital World Grth & Income Fd Cl A(IRA) — Int/Div

Thomburg CRE GWT I(Y)

JP Morgan Tax Free MM Premier Sweep — Interest

R Thompson Trucking(Com) — None — Sold

Captial Partners Lid — None — Note #2

Dynova Laboratories Inc (Com) — None — Sold — Note # 2

Camulos Partners LP — None — Sold (part)

Camulos Partners LP — Sold (part)

Camulos Partners LP — Sold (part)

Capital SLI Group LLC — None

CGI Partners.LP — None — Buy (add'l)

Micell Technologies Inc.(Com) — None

Lx Partmers II LP — Distribution — Buy (add'l) — Note #

Lx Partmers II LP — Buy (add'l)

Lx Partmers II LP — Sold (part)

Lx Partmers II LP — Sold (part)

Lone Cypress Company Ltd — Distribution — Sold (part) — Note #

Sentinel Capital Investors I LP — Distribution — Sold (part) — Note #

Sentinel Capital Investors I LP — Sold (part)

Sentinel Capital Investors I LP — Sold (part)

Sentinel Capital Investors I LP — Sold (part)

Sentinel Capital Investors I LP — Sold (part)

Sentinel Capital Investors I LP — Sold (part)

SFM Participation 11 LP — Distribution — Buy (add'l) — Note #

SFM Participation 11 LP — Buy (add'l)

SFM Participation 11 LP — Buy (add'l)

SFM Participation 11 LP — Sold (part)

SFM Participation 11 LP — Sold (part)

SFM Participation 11 LP — Sold (part)

SFM Participation 11 LP — Sold (part)

North Salem Acquisition & Development Fund 2005 LP — None — Sold (part)

Thomburg Core Growth Cl A (IRA) — None

Thomburg Inve Tr Intl Value C1 1(Y)

Jetblue (Com) — None

West 12th St LLC — None — Buy (add'l)

West 12th St LLC — Sold (part)

West 12th St LLC — Sold (part)

Aisling Capital 11 LP — Distribution — Buy (add'l) — Note #

Aisling Capital 11 LP — Buy (add'l)

Aisling Capital 11 LP — Buy (add'l)

Aisling Capital 11 LP — Sold (part)

By The Way Productions LLC — None — Sold (part)

JK & B Capital V LP — None — Buy (add'l)

JK & B Capital V LP — Buy (add'l)

JK & B Capital V LP — Buy (add'l)

SEEF1LP — Distribution — Buy (add'l) — Note #

SEEF1LP — Sold (part)

Towerbrook Investors Il Executive Fund LP — Distribution — Sold (part) — Note #

Trident VI LP — None — Sold (part) — Note # 5 to line # 140

Kinderhook Capital Fund 11 LP — Distribution — Buy (add'l) — Note #

Kinderhook Capital Fund 11 LP — Buy (add'l)

Kinderhook Capital Fund 11 LP — Sold (part)

Kohls Corp (Com). — Int/Div — Buy (add'l)

KPB Partners LP — Interest

App Orchard LLC — None — Buy

App Orchard LLC — None — Buy (add'l)

NYS Dormitory Authority 5.25% due 11/1523 — Interest — Sold

City of NY Genl Pur § % due 8/1/12 — Interest — Redeemed

NYS Dormitory Adj rate due 11/15/29 — Interest — Sold

Thomburg-Income Builder C1 1 — Int/Div

Thomburg Global Opportunity C1 1 — Int/Div

Thomburg CRE GWT 1 (Trust # 2) — None

Morgan Stanley Bank (Savings) — Interest

Thomburg CRE GWT (IRA) — None

Morgan Stanley Bank-(Savings)(Y)

Inavein LLC — None

Ironwood Management Partners Fund 11 LP — None — Buy (add'l)

Ironwood Management Partners Fund 11 LP — Buy (add'l)

Linx-Cimarron Energy Co-Invest, LLC — Distribution — Sold (part) — Note #

Linx-Cimarron Energy Co-Invest, LLC — Sold (part)

Linx-Cimarron Energy Co-Invest, LLC — Sold (part)

RGI Partners 1 BLP — None — Sold (part)

RG Partners Lid — None — Buy (add'l)

RG Partners Lid — Buy (add'l)

RG Partners Lid — Sold (part)

SC Capital (P) LP — None — Buy (add'l)

SC Capital (P) LP — Buy (add'l)

SC Capital (P) LP — Buy (add'l)

SC Capital (P) LP — Buy (add'l)

po LP — istnibution — Buy (add'l) — Note # 1 & Note ry

po LP — Buy (add'l)

po LP — Sold (part)

po LP — Sold (part)

po LP — Sold (part)

po LP — Sold (part)

po LP — Sold (part)

0 Lp — Distribution — Note #

po (GP) LP — Distribution — Sold (part) — Note # 1 & Note #4

po (GP) LP — Sold (part)

po (GP) LP — Sold (part)

po (GP) LP — Sold (part)

po (GP) LP — Sold (part)

Apex Companies LLC — None — Note #4

Archway Marketing Services Inc — None — Sold — Note #4

Transit Wireless LLC — None — Note #24

Freedom Innovations LLC — None — Sold — Note #4

Hamilton State Bancshares Inc — None — Note #4

Oceus Networks Inc — None — 4

Nautilus Neurosciences Inc — None — Note 24

Optimal Solutions Integration, ine — None — Note #4

TowerCo Il Holdings LLC — None — Sold — Note #4

Versapharm — None — Note #4

Cumberland Consulting Group LLC — None — Note #4

RE Transportation Inc — None — Note #4

West Texas Plastics — None — Buy — Note #4

Northeast Comm of Wisconsin Inc — None — Buy — Note #4

Camulos Special Situations Fund LP — None

Wall Street Sources Inc{Com) — None

Navagate Inc (Promissory Note) — None — Buy (add'l)

Ommilink Systems Inc (Ser B Preferred Stock) — None — Buy (add'l)

Ommilink Systems Inc (Ser B Preferred Stock) — Buy (add'l)

Amencan Home Food Products Ine (Com) — None

7 Partners — Distribution — Buy (add'l) — Note #

7 Partners — Sold (part)

7 Partners — Sold (part)

Syndicate Holdings Corp{ Com) — None — Sold (part)

NYS Dorm 5.75 Due 7/1/13 — Interest — Sold (part)

City of NY 5.5% Due 8/1/12 — Interest — Redeemed

NYS Dorm 5.7 Due 7/1/13 — Interest — Sold

City of NY Health & Hosp 4 % Due 2/15/13 — Interest

NYS Mtg Agency § % Due 10/1/17 — Interest — Sold (part)

State of NY Dorm 4 % Due 9/1/12 — Interest — Redeemed

State of NY Dorm 4.125% Due 4/1/13 — Interest

State of NY Dorm 4.125% Due 4/1/13 — Distribution — Buy (add'l) — Note #

State of NY Dorm 4.125% Due 4/1/13 — Sold (part)

State of NY Dorm 4.125% Due 4/1/13 — Sold (part)

Safe Bulkers InciCom) — Int/Div — Buy (add'l)

Safe Bulkers InciCom) — Buy (add'l)

Safe Bulkers InciCom) — Buy (add'l)

Safe Bulkers InciCom) — Buy (add'l)

West 12th Street LLC(Working Capital Loan) — None — Buy (add'l)

Artisanal Cheese LLC(Bridge Loan) — None

Nassau Point Partners LP — istrnibution — prt) — Note #

Nassau Point Partners 11 LP — Distribution — Sold (part) — Note #

Camulos BioEnergy Debt Holdings LLC — None

Camulos BioEnergy Parters LLC — None

Camulos Fountain Hills Partners LLC — None

Camulos Gateway HI Partners LLC — None

Camulos Gateway RH Partners LLC — None

Asling Investors 111 LP — Distribution — Buy (add'l) — Note #

Asling Investors 111 LP — Buy (add'l)

Asling Investors 111 LP — Buy (add'l)

Asling Investors 111 LP — Buy (add'l)

Asling Investors 111 LP — Buy (add'l)

Asling Investors 111 LP — Sold (part)

Asling Investors 111 LP — Sold (part) — Note #5 to line 336

Eastern Growth Capital LP — None

Easter Growth Capital 11 LP — None — Sold (part)

Easter Growth Capital 11 LP — Sold (part)

Eastern Growth Capital 11 LP(IRA) — None — put)

Eastern Growth Capital 11 LP(IRA) — Sold (part)

Lmx-Metaltech Co Investment LLC — Interest — Sold (part)

Lmx-Metaltech Co Investment LLC — Sold (part)

Lmx-Metaltech Co Investment LLC — Sold (part)

Olympus Capital Asia IV LP — None — Buy (add'l)

Olympus Capital Asia IV LP — Buy (add'l)

Olympus Capital Asia IV LP — Buy (add'l)

Olympus Capital Asia IV LP — Buy (add'l)

Olympus Capital Asia IV LP — Sold (part)

Stag Investments IV LP — Distribution — Sold (part) — Note #

Stag Investments IV LP — Sold (part)

Stag Investments IV LP — Distnbuted — Note#5 to line 43318

UBS RMA Tax Free (MM) — Interest

Safe Bulkers Inc (ComXIRA) — Int/Div

Towerbrok Investors 11 Executive Fund LP — Distribution — Note #

Tactics 11 Stem Cell Ventures QP LP — None

Cellular Dynamics International Inc{Pref A) — None

Inves Van Kampen Equities (401K) — None

Thomburg Intl Val Fd R2(401k) — None — Buy (add'l)

Vanguard Interm Corp FD(Foundation # 1) — Int/Div — Sold (part)

Georgia Gulf Corp Com Foundation # 1) — None — Sold

Morgan Stanley Bank(Saving } Foundation 1 — Interest

NYS Dormitory 4 % due 10/1/15 — Interest

NYS Dormitory 5.25 due 8/15/15 — Interest — Sold (part)

NYS Dormitory 5.25 due 8/15/15 — Sold (part)

NYS Dormitory 5.25 due 8/15/15 — Sold (part)

NYS Dormitory 5.5 due 7/1/16 — Interest

Morgan Stunley Bank (Trust # 2) — Interest

First Republic Bank({ Checking )( Trust # 2) — None

First Republic Bank (Checking) — Interest

The West Africa Fund LP — None

NuCana Biomed Ltd (Ordinary Shares) (IRA) — None

Cookstr LLC(Convertible Unsecured Promissory Note) — None

Cordis Bancorp Ser B(Com)(IRA) — None

ConnectEdu Inc{ComNIRA) — None — Buy (add'l)

ConnectEdu Inc{ComNIRA) — Buy (add'l)

Michael Walsdorf- (Personal Loan-Note Receivable) — None — Buy (add'l)

Leo DeSorcy-(Personal Loan-Note Receivable) — None — Closed

MV Beach Stret Realty(Mortgage Note) — Interest

Beryllium LLC — None

Kinderhook Capital Fund 111 LP — istnbution — Buy (add'l) — Note #1]

Kinderhook Capital Fund 111 LP — Buy (add'l)

Kinderhook Capital Fund 111 LP — Buy (add'l)

Kinderhook Capital Fund 111 LP — a

Kinderhook Capital Fund 111 LP — Buy (add'l)

Kinderhook Capital Fund 111 LP — Sold (part)

Ommlink Systems Inc(Bridge Loan) — None

NYS Dormitory 5.25 due 5/15/15 — Interest

Nuclea Biotechnologies Inc<Convertible Note — None — Buy (add'l)

Corda Bancorp Inc Ser B (Com) — None — Buy (add'l)

ConnectEDLU Ser D (Com) — None — Buy (add'l)

Rapid Ratings Intemational Inc (Com) — None — Buy (add'l)

Rapid Ratings Intemational Inc (Com) — Buy (add'l)

Rapid Ratings Intemational Inc (Com) — Buy (add'l)

West 12th Street Manager LLC — None — Buy (add'l)

Parkstone Capital Partners LLC — Distribution — Sold (part) — Note #

Lone Peak Partners Fund LP — None

UBS Bank USA Dep MM (IRA) — Interest

Thomburg Core Growth A (Trust # 2) — None

NYS Dorm 5.625 %c due 6/1/16 — Interest — Sold (part)

NYS Dorm 5.625 %c due 6/1/16 — Sold (part)

NY NY St Enviommental FAC 4.5 % due 4/15/18 — Interest — Sold

NYS Dorm 5.25% due 11/15/23 — Interest — Sold (part)

NYS Dorm 5.25% due 1/1/13 — Interest

NYS Dorm 5.25% due 2/15/13 — Interest — Sold (part)

City of NY GO 5.5 due 8/1/12 — Interest — Redeemed

NYS Dorm 6% due 8/15/12 — Interest — Redeemed

Tidewater Acquisition Inc Pref) — Int/Div — Sold

Group LLC — None

Emerald Biostructures Inc.(Loan) — Interest

Empowered World Ventures LLC(Preferred A) — None

CSL Energy opportunity Fd LP — None — Buy (add'l)

CSL Energy opportunity Fd LP — Buy (add'l)

CSL Energy opportunity Fd LP — Buy (add'l)

CSL Energy opportunity Fd LP — Buy (add'l)

CSL Europe Energy Services LP — None

KCM Long Only Fund LP — istnibution — Note #

Parkstone Capital Partners 11 LP — Distribution — Buy (add'l) — Note #

Parkstone Capital Partners 11 LP — Sold (part)

Tactics 11 CDI Ser B (Pid) — None

Highland Investment Group LLC — None

Peaks Capital Partners LLC (Promissory Note) — None — Buy (add'l)

Syracuse NY Ind Dev 3.05/11/13 — Interest

NYS auth Rev Nonst S$ % 10/1/14 — Interest

NYS Energy Res & Dev 2.25% 12/1/15 — Interest — Sold (part)

Patchogue Hetford NY Un 4.25 11/15 — Interest

Suffolk Coty NY Trans 1.5% 9/1/12 — Interest — Sold (part)

Suffolk Coty NY Trans 1.5% 9/1/12 — Redeemed

Ceres Inc (Com) — None — Sold

Artiman Venture Fund LP — Distribution — Sold (part) — Note #

Inavien LLC(Promissory Note) — Interest

Vocalocity Inc (Ser -B-1) — None

EOS Sleep Management LLC — None

SRD Systems Inc (Preferred Stock) — None

SRD Systems Inc (Promossory Note) — None — Buy (add'l)

OD Funding Partners LLC — None

Prollie Inc (Preferred St) — None — Buy (add'l)

Nextremity Solutions LLC — None — Buy (add'l)

Nextremity Solutions LLC — Buy (add'l)

Linx-Ad Co-Invest LLC — Interest — Sold (part)

Kumani EsentialS LLC — None — Sold

Collision Funding Partners LLC — None — Buy (add'l)

Clean Pool & Services LLC — None — Buy (add'l)

Clean Pool & Services LLC — Buy (add'l)

Clean Pool & Services LLC — Buy (add'l)

Verisign Inc (Com) — None — Sold

Splunk Inc (Com) — None — from line 48) — Note #26

Splunk Inc (Com) — Donated

Bluefly Inc(Com) — None — from line 19) — Note #26

Bluefly Inc(Com) — Donated

Cyoptics Inc. (Com) — None — from line 20) — Note #26

Cyoptics Inc. (Com) — Sold

MAP Pharmaceuticals Inc.(Com) — None — from line 53) — Note #6

MAP Pharmaceuticals Inc.(Com) — Donated

MAP Pharmaceuticals Inc.(Com) — None — from line 54) — Note #26

MAP Pharmaceuticals Inc.(Com) — Donated

Clovis Oncology Inc (Com) — None — from line 215) — Note #6

Clovis Oncology Inc (Com) — Donated

STAG Industrial Inc (Com) — None — from line 231) — Note #26

STAG Industrial Inc (Com) — Donated

Homeaway Inc (Com) — None — from line 118) — 6

R*3] — Donated

Tactics 11 CDI Series B Investors 111 LLC — None — Buy

adTheorent Inc Convertible Promissory Note) — None — Buy

4DK Technology Inc (Ser B) — None — Buy

4DK Technology Inc (Ser B) — Buy (add'l)

Double Dog Dare MediaLLC (Convertible Promissory Note) — None — Buy

Figue Holdings LLC (Promissory Note) — None — Buy

Jonathan Kully (Personal Loan-Notes Receivable) — None — Buy

JustFamily. Com. Inc. Ppreferred Stock) — None — Buy

Kenesto Corp (Preferred C) — None — Buy

MogilityCapital Fund LP — None — Buy

OpenFin Inc .( Preferred Stock) — None — Buy

Remedy Pharmaceuticals Inc — None — Buy

Tyrogenex Inc.(Ser B Convertible Preferred) — None — Buy

XCovery Holdings LLC — None — Buy

NYS Dorm 4% Due 7/1/16 — Interest — Buy

NYS Mtg Auth 1.2 % Due 4/1/16 — Interest — Buy

NYS Dorm 4% Due 7/1/17 — Interest — Buy

Monroe County NY 4% Due 6/1/15 — Interest — Buy

NYS Muni Bd Bank 5% Due 2/15/14 — Interest — Buy

NYS Mig § % Due 11/1/16 — Interest — Buy

Batavia NY 4% Due 3/1/17 — Interest — Buy

Dryden NY Cent School 4%Due 6/15/16 — Interest — Buy

NY NY S% Due 9/1/13 — Interest — Buy

Rochester NY Unliited Tax 3.25% Due 216 — None — Buy

NYS Muni Bd 5% Due 5/15/16 — Interest — Buy

NYS Mig 2 % Due 4/1/16 — Interest — Buy

Hampton Bay NY 4"%Due 9/15/13 — Interest — Buy

Buffalo NY 3% Due 12/1/13 — Interest — Buy

East Rochester NY 3 % Due 10/20/15 — None — Buy

Trustee, Foundanon #

Director, Music Bridges Internatinal Inc

Advisory Council, Ohio State Umiversity

Liability — Internal Revenue Service — Federal Income Taxes

Liability — New York State — NYS Income Tax

Reimbursement — Federal Bar Council — Feb 4-11 2012 — Kona, Hawan — Conference Speaker — Travel, Food and Lodging

Spouse's income — 2012 — Director Fee Fee

Spouse's income — 2012 — Inc-Director Fee Fee

Spouse's income — 2012 — Managing Director

Spouse's income — 2012 — Inc -Director Fee

Spouse's income — 2012 — SE Corp-Director Fee

Spouse's income — 2012 — Ltd-Employee

Spouse's income — 2012 — LLC _Director Fee

Spouse's income — 2012 — Morgan Stanley-Pension Income

Spouse's income — 2012 — Morgan Stanley-Deferred Compensation

Note #1

Explanation Re:Section VII,

Item #' 8,9,25,35,36,37,38,45,49,52,55,56,58,65,82,86,87,93,107,115,117,1 19,138,149,156,157,182,193,202,203 209,229,234,260,275,296,297,309

The income from mvestments in Limited partnerships usually contain more than one type of income. For income valuation purposes the various amounts were

combined to determine the amount code in column B(1)The type of income in column B(2)is labeled “distribution”, to denote more then one category of income

indicated on schedule K-1 received from the partnership.

Note #2

Explanation Section VII

Item 74,75

Ltd is a Sub-chapter S corporation owned 100%

The corporationd sold the secuities during 2012

which are listed below the corporate name

Note # 3

Explanation Section VII

Item # 7,12

These investmennts are worthless as of December 31, 2012. The assets are listed as “Closed” in Column D(1). The date in Column DY2) is December 31, 2012.

The value mn Colum X(3) is blank since no value was derived from the worthless mvestment.

Note # 4

Explanation Section VII

Item # 149-155, 157-175

LP and

is @ Managing partner of

(GP) LP. The partnerships have ownership interests

in the companies lised. The costs of the ownership interests are included in the Gross value at the end of the reporting period indicated on line # 149

LP Column C(1) and line # 157

( GP) LP, Column C(1). In addition,the cost of the the additional investments are

included on line 149 & 157 from line 174 & 175.. The invested companies are listed on lines 162 thru 175. .

Note # §

Explanation Section VII

Item # 19.20,48,53,54,118,215,231

The Limited Partnership distributed shares of securities that were purchased and held by the partnership. This infomration is noted as “Distributed * in Column

D(1). The date the shares were distributed is listed in Column D(2). The value in Column D(3) is the distributee's pro rata share of the aqusition cost of the assets

by the Limited Partnership, as reported by the General Partner. The transfer relates only to the specific security The entire partmership was not transferred.

Note # 6

Explanation Section VII

Item # 326,328,330,332,334,336,338,340

These securities were not purchased but were received from time to time as in-kind distributions from the various Limited Partherships. These securities are listed

us "Spinoff" in column D(1). The date in column D(2) 1s the effective date of the distribution. The Value in Column D (3) is the distributee’s pro rate share of the

#equsition costs

of the assets by the Limited Partnership, as reported by the General Partner,