William H. Pauley 3

MUIUAL FUNDS

ICHHX - FRANKLIN/TEMPLETON HARD CUR FD — Int/Div — Sold

AFVPX - ALLIANZ NFJ INTL VALUE FDCLP — Interest — Sold

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

DFRPX - DWS PORTFOLIO TR FLTG RATEPLUSFDCLS — Interest — Sold

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

JSTIX - HANCOCK JOHN STRATEGIC SER INCOME FD CL — Interest — Sold

NMCAX - ING EQUITY TR MID CAP OPPTYSFDCL A — Int/Div — Sold

ONSDX - INVESCO CONVERTIBLE SECURITIES FUNDCLASS Y — Interest — Sold

JSMGX = JANUS INVT FD TRITON FD Ll — Interest — Sold

LHYFX - LORD ABBETT HIGH YIELD FDCLF — Interest — Sold

OOSYX - OPPENHEIMER SENIOR FLOATING RATEFUNDCLY — Interest — Sold

PUSYX - PUTNAM US GOVERNMENT INCOME TRUSTALY — Interest — Sold

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

FMLSX - WASATCH FDS INC LONG/ SHORT FD — Interest — Sold

ANNUITIES

DISCOVERY PLUS — Interest

CASH AND CASH EQUIVALENTS

JP MORGAN CHASE — Interest — Buy (add'l)

US. SAVINGS BONDS — Interest

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

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

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 (add'l)

NEW YORK 529 COLL SVGS INTEREST ACCUMULATION PORTFOLIO — Interest

TRMXX - RBC PRIME MONEY MARKET FD RESERVE CL — Interest — Redeemed

RETIREMENT ACCOUNTS

401K PLAN «ING — Interest — Redeemed

401K PLAN = FIDELITY FREEDOM K — Interest — Buy

IRA SCUDDER - DWS CORE PLLS INCOME FUND — Interest

IRA SCUDDER - DWS GLOBAL THEMATIC FUND — Interest

ACMXX - RBC MONEY MARKET OBLIGATIONS TRUST — Interest — Redeemed

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

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

ICHHX - FRANKLINTEMPLETON HARD CUR FD — Int/Div — Sold

HIPIX - HARTFORD INFLATION PLUS FD — Int/Div — Sold

TGBAX - TEMPLETON GLOBAL BOND FD — Int/Div — Sold

RBLCX - RUSSELL INVT BALANCED STRATEGY FD CLC — Int/Div — Sold

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

AFVPX - ALLIANZ NFJ INTL VALUE FDODCLP — Interest — Sold

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

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

DFRPX - DWS PORTFOLIO TR FLTG RATEPLUSFDCLS — Interest — Sold

ICHHX - FRANKLINTEMPLETON HARD CURRENCY FUND-ADVISOR CL — Int/Div — Sold

ISTIX - HANCOCK JOHN STRATEGIC SER INCOME FD CL 1 — Interest — Sold

HIPIX - HARTFORD INFLATION PLUS FUNDCL — Interest — Sold

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

NMCAX - ING EQUITY TR MID CAP OPPTYSFDCL A — Int/Div — Sold

ONSDX - INVESCO CONVERTIBLE SECURITIES FUNDCLASS Y — Interest — Sold

JSMGX - JANUS INVT FD TRITON FD Ll — Interest — Sold

LHYFX - LORD ABBETT HIGH YIELD FDCLF — Interest — Sold

FAQIX - NUVEEN EQUITY INCOME FUNDCLY — Interest — Sold

PUSYX - PUTNAM US GOVERNMENT INCOME TRUSTACL Y — Interest — Sold

TGBAX - TEMPLETON GLOBAL BOND FD — Interest — Sold

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

SGRKX - WELLS FARGO ADVANTAGE GROWTH FUND ADMIN CL — Interest — Sold

FMLSX - WASATCH FDS INC LONG/ SHORT FD — Interest — Sold

VMMXX VANGUARD PRIME MONEY MARKET «- TRADITIONAL IRA — Interest — Buy

VMMXX VANGUARD PRIME MONEY MARKET « TRADITIONAL IRA — Interest — Buy

VMMXX VANGUARD PRIME MONEY MARKET «- ROTH IRA — Interest — Buy

VMMXX VANGUARD PRIME MONLY MARKET « ROTH IRA — Interest — Buy

VMMXX VANGUARD PRIME MONEY MARKET - SEP-IRA — Interest — 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 — March 7-8, 2013 — Durham, NC — Board of Visitors Meeting — Travel, food, and lodging.

Reimbursement — Duke University School of Law — November 14-16, 2013 — Durham, NC — Board of Visitors Meeting — Travel, food and lodging.

Spouse's income — 2013 — Self-Employed Licensed Real Estate Sales Person and Insurance Agent

Spouse's income — 2013 — Self-Employed Floral Designer

None,