Lewis A. Kaplan

IRA #1 (H)

CITIBANK (various accounts) — Interest

JP MORGAN CHASE (various accounts) — Interest — 2.30

NATIONAL UNION BANK — Int/Div — 10

NY LIFE INS. (whole life policies) — Int/Div — 3

BROKERAGE ACCOUNT #1 (H)

JPM TAX FREE MMKT INST SWEEP FD {cushy — Interest — 25,36, 37

EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DK-9 NR /AA2 — Int/Div — Redeemed — 73

PUTNAM CNTY NY REF PUBLIC IMPT 746639.SU-8 NR /AA2 — Int/Div — Redeemed — Hn

BETHLEHEM NY CENTRL SCH DIST 087329.LFE-6 NR /AAY — Int/Div — 70

WALLKILL NEW YORK PUB IMP 932610-MC9 AA /A2 — Int/Div — Hl

COUNTY OF ORANGE NEW YORK VAR PURP 684575-R9-6 NR /AA3 — Int/Div — 29

COUNTY OF DUTCHESS NEW YORK 267039-K5-3 NR /AA2 — Int/Div — 28

NY ST REF-SER C 649791-JB-7 AA+ AAl — Int/Div — 111

PORT WA NY UN FREE SCH DIST REF T35581-LU-2 NR /AA2 — Int/Div — 103

NORTH SHORE NY CENTRL SCH DIST 662323. HJ-6 NR /AA — Int/Div — 99

FALCONER NEW YORK CENTRAL SCHOOL 306117-CU-4 AA /A2 — Int/Div — 42

PEMBROKE NEW YORK CENTRAL SCHOOL 706427-BY-6 AA-/NR — Int/Div — +4

WESTCHESTER CNTY NY SER B 057161 -ZS-6 AAA /AAL — Int/Div — 113

PLAINVIEW OLD BETHPAGE NY CENTRL SCH 726715-HX-6 AAA /NR — Inv — HH

NASSAU CNTY NY INTERIM FIN AUTH 631663-NN-7 AAA NR — Int/Div — 101

SHENENDEHOWA NY CENTRL SCH DIST REF 823194.F2-6 AA /NR — Int/Div — 129

ISLAND TREES NY UNION FREE 464568-GK-4 NR /AA2 — Int/Div — Hs

SARATOGA SPRINGS NY REF-PUB IMPT RO3531-TR-3 AA+ /NR — Inv — 102

NY CITY NY TRNSTIONAL FIN AUTH REV FUTURE 64971W-FV-7 AAA /AAI — Int/Div — 107

NY ST DORM AUTH ST PERSNL INC TAX 64990F-3R-6 AAA JAA — None — Buy

NY ST DORM AUTH SALES TAX REV 64990A-DR-3 AAA JAA — Int/Div — 132

SALES TAX ASSET RECEIVABLE CORP NY 794665-FM-6 AAA JAA — Int/Div — Buy

PORT AUTHORITY NEW YORK & NEW JERSEY CONS T1358T-M2.4 AA. /AA3 — Int/Div — 14

BROKERAGE ACCOUNT #22 (H)

JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest — 25,36, 37

ONTARIO CNTY NY 683055-WC-T NR AAl — hy — Sold (part) — 74

ONTARIO CNTY NY 683055-WC-T NR AAl — Redeemed

BETHLEHEM NY CENTRL SCH DIST 0873129. F-6 NR /AA3 — Int — 70

CITY OF NEW YORK NY REF 64966(:- AK-8 AA JAA2 — Int/Div — 128

WESTCHESTER CNTY NY LIMITED O573I6L-YW-8 AAA JAA — Int/Div — 71

SACHEM NY CENTRL SCH DIST OF HOLBROOK 785721-TR-2 AA /NR — Int/Div — 75

ARLINGTON NEW YORK CENTRAL SCHOOL (41717-LD-9 AA- 'NR — Int/Div — 104

PORT WA NY UN FREE SCH DIST REF T3558 1-LU-2 NR /AA2 — Int/Div — 103

COLD SPRING HBR NY CENTRL SCH DIST REF 192867-FM-6 AAA /NR — Int/Div — 9%

PEMBROKE NEW YORK CENTRAL SCHOOL 706427-BY «6 AA-/NR — Int/Div — P=)

EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DP-8 NR /AA2 — Int/Div — 72

ISLIP NY REF 464722.6W-2 AA+ AAI — Int/Div — 131

NY ST DORM AUTH SALES TAX REV H64990A-BA-2 AAA AAI — Int/Div — 132

NORTH SHORE NY CENTRL SCH DIST 662123. HL-1 NR /AAL — Int/Div — 100

SHENENDEHOWA NY CENTRL SCH DIST REF 823194.F2.6 AA /NR — Int/Div — 129

PITTSFORD NY CENTRL SCH DIST 725635-EJ<1 NR JAA — Int/Div — 119

SARATOGA SPRINGS NY REF-PUB IMPT S0O3531-TR-3 AA+ NR — Int/Div — 102

NY CITY NY TRNSTIONAL FIN AUTH REV 6497 1W-FV-7 AAA JAA — Int/Div — 107

NY CITY NY TRNSTIONALFIN AUTH BLDG AID REV 64972H-VC-3 AA /AA2 — Int/Div — Buy

NY ST DORM AUTH REVS NON ST 649907.724-7T NR /AAA — Ihy — 121

ONONDAGA CNTY NY 682745-7TH-1 AA + (AA2 — None — Buy

UTIL DEBT SECURITIZATION AUTH NY 91802R-BZ-1 AAA /AAA — Int/Div — Buy

PORT CHESTER NY REF-PUBLIC IMPT- SER 731760-US-9 NR /AAY — Int/Div — Buy

PORT AUTHORITY NEW YORK & NEW JERSEY CONS TI1358T-M2.4 AA. /AA3 — Int — 14

BROKERAGE ACCOUNT #3 (MH)

JPM TAX FREE MMKT INST SWEEP FD (cash) — Interest — 37

CITY OF NEW YORK NY INDUSTRIAL H64971CTR-ONR NR (XY — Int/Div — Redeemed

ELLENVILLE NEW YORK CENTRAL SCHOOL 288372.DP-7 AA /NR — Int/Div — Redeemed — 49

ROCKY POINT NEW YORK UNION FREE 774766-KF-8 AA /NR — Int/Div — Redeemed — 54

MAHOPAC NY CENT SCH DIST 560177- GW-1 NR /AA2 — Int/Div — Buy

OZARK MISSOURI REORG SCHOOL DISTRICT 692634.C7-9 AA+ /NR — Int/Div — 52

ROSLYN NY UN FREE SCH DIST T78190-FY-9 NR JAA — Int/Div — 82

NY ST ENVRNMNTL FACS CORP REV HIRSH IV-D AAA AAA — Int/Div — 83

HALFMOON NY REF-PUB IMPT 405729- LR-3 AA /NR — Int/Div — 114

HILTON NY CENTRL SCH DIST 432884 MJO AA-NR(X) — Int/Div

FALCONER NEW YORK CENTRAL SCHOOL 306117-CU-4 AA /A2 — Int/Div — S50

SHENENDEHOWA NY CENTRL SCH DIST REF 823194.E7-6 AA /NR — Int/Div — 129

NY CITY NY TR FOR CULTURAL RES 649717-RK-3 AA /AA2 — Int/Div — 116

NY ST BRDG AUTH 649807-CB-8 AA. AA3 — Int/Div — 97

EAST ISLIP NY UNION FREE SCH DIST 273173-KC-7 AA /NR — Int/Div

PITTSFORD NY CENTRL SCH DIST 725635-EJ-1 NR JAA — Int/Div — 112

NY ST DORM AUTH REVS NON ST 649907-A7-7 AA /NR — Int/Div — 117

NEW HYDE PARK & GARDEN CITY PARK NY 645541.CY-TNR /AA2 — Int/Div — =0

HAVERSTRAW-STONY POINT NY CENTRL SCH 419578. RM-3INR/AA2Z (XD) — Int/Div

PINE BUSH NY CENTRL SCH DIST T722477-L0O-7 NR /AA3 — Int/Div — 118

NY ST UNLIMITED TAX A 649791-HH-6 AA+ AAT (XD — Int/Div

CLARKSTOWN NY CENTRL SCH DIST 1823124.UU-S NR /AA2 — Int — Buy

NY ST DORM AUTH REVS NON ST 649907-Z3.9 NR /AAA — Int/Div — 109

NY ST DORM AUTH ST PERSNL INC TAX 64990F-YE-1 AAA /AAL — Int/Div — Buy

PORT AUTH OF NY & NJ NY CONSOL ONE 7T31358W.RR-7 AA- AAI (XD — Int/Div

UTIL DEBT SECURITIZATION AUTH NY 91802R-BZ-1 AAA /AAA — Int/Div — Buy

JPM CHASE (cash) — Interest — 17

AMER CENTURY EQUITY INCOME: INV — Int/Div — Sold (part) — 65

JPM EQUITY INCOME FD 4812C0-49-8 HLIE X — Int/Div — Sold (part) — 76

JPM LARGE CAP GROWTH FD — None — Sold (part) — 93

JPM US EQUITY FD — Int/Div — Sold (part) — 22

JPM VALUE ADVANTAGE FD — Int/Div — 133

JPM INTL VALUE FD — None — Redeemed — a8

JPM STRATEGIC INCOME OPPORTUNITIES FD — Int/Div — Sold (part) — 21

JPM CORE BOND FD — Int/Div — Buy (add'l) — 40

JPM CORE BOND FD — Sold (part)

JPM SHORT DURATION BOND FD — Int/Div — Buy (add'l) — 23

JPM SHORT DURATION BOND FD — Sold (part)

JPM UNCONSTRAINED DEBT FD — Int/Div — Buy (add'l) — il

JPM FLOATING RATE INCOME FD — Int/Div — Sold (part) — 92

JPM MANAGED INCOME FD — Int/Div — Buy

IRA #2 (H)

JPM CHASE (cash) — Interest — 17

AMER CENTURY EQUITY INCOME- INV — Int/Div — 47

JPM EQUITY INCOME FD — Int/Div — 84

JPM LARGE CAP GROWTH FD — Int/Div — 95

JPM US EQUITY FD — Int/Div — 13

JPM VALUE ADVANTAGE FD - SEL FUND 1399 4812A2.59.5 IVAS X — Int/Div — 115

JPM INTL VALUE FD — None — Redeemed — 13

GENERAL ELECTRIC CAP CORP — hy — Redeemed

JPM STRATEGIC INCOME OPPORTUNITIES FD — Int/Div — Sold (part) — 12

JPM CORE BOND FD — Int/Div — Buy (add'l) — 45

JPM SHORT DURATION BOND FD — Int/Div — Buy (add'l) — 15

JPM UNCONSTRAINED DEBT FD — Int/Div — Buy (add'l) — 85

JPM FLOATING RATE INCOME FD — Int/Div — Sold (part) — 03

IRA 23 (H)

JPM EQUITY INCOME FD — Int/Div — 76

JPM CORE BOND FD — Int/Div — 4%

JPM TREASURY & AGENCY FD — Int/Div — 31

JPM UNCONSTRAINED DEBT FD — Int — 85

TRUST £1 (H)

JPM TAX FREE MMKT INST SWEEP FD (cash) (X) — Interest

ROCKY POINT NEW YORK UNION FREE 774766-KE-8 AA /NR — Int/Div — Redeemed — 58

GREECE NY 392442.XG9 AA /AA2 — Int — Redeemed — Ha

ALPINE UTAH SCH DIST REF 021087. QI-3 NR /AAA — Int/Div — 59

STATE NEW MEXICO UNIVERSITY 647421-BD-7 AA- /AA3 — Int/Div — 55

RIVERHEAD NY 768738-LUB-) AA- /AAZ — Int/Div — 57

NASSAU CNTY NY INTERIM FIN AUTH 631663-NV-9 AAA NRX) — Int/Div

CLARKSTOWN NEW YORK 182306- XX-3 AA+/AA3 — Int/Div — 12

ERIE CNTY NY INDL DEV AGY SCHFAC REV 20509P-KD) AA /AA2 — Int/Div — Buy

HEWLETT WOODMERE NY UN FREE SCH DIST 428246-FVA NR /AAL — Int/Div — 56

CITY OF NEW YORK N'Y 64966H-ED-8 AA JAA2 (X) — Int/Div

ROCKVILLE CENTRE NY 774132-W3-4 AAA /NR — Int/Div — 78

EDGEMONT NY UN FREE SCH DIST OF GREENBURGH 280101-DR-4 NR /AA2 — Int/Div — 79

BROOKHAVEN NY REF 113152-US-9 AA+/AA2 — Int/Div — 7.122

NY ST DORM AUTH ST PERSNL INC TAX 64990FE-NF-0) AAA ‘AAI — Int/Div — 121

NASSAU CNTY NY SWR & STORM WTR FIN 631660-BY-5 AAA AAS — Int/Div — 120

ORANGE CNTY NY REF-VAR PURP- SER A 684575.3IM.3 AA JAA (IX) — Int/Div

NY CITY NY TRNSTIONALFIN AUTH BLDG 64972H-XJ-6 AA JAA2 — Int/Div — Buy

PORT AUTH OF NY & NJ NY SER 179 TIISSW0O0O4 AA-/AAY — Int/Div — Buy

THREE VLG NY CENTRL SCH DIST REF 885766-NT-8 NR /AA2 — Int/Div — Buy

TRUST #2(H)

FEDERATED TAX FREE OBLIG FUND INSTL SHARES 60934N401 — Interest — Closed — ®6

COLUMBIA CONTRARIAN CORE FUND SMGIX — None — Sold (part) — 123

COLUMBIA CONTRARIAN CORE FUND SMGIX — Redeemed

COLUMBIA DIVIDEND AND INCOME FUND GSFT X — None — Buy

COLUMBIA DIVIDEND AND INCOME FUND GSFT X — Redeemed

COLUMBIA VALUE AND RESTRUCTURING FUND UMBIX (XO) — None — Sold (part)

COLUMBIA VALUE AND RESTRUCTURING FUND UMBIX (XO) — Redeemed

JANUS ENTERPRISE FUND IMGR X — None — Sold (part) — 87

JANUS ENTERPRISE FUND IMGR X — Sold (part)

JANUS ENTERPRISE FUND IMGR X — Redeemed

ISHARES RUSSELL 2000 ETF IWM — None — Buy

ISHARES RUSSELL 2000 ETF IWM — Redeemed

LEGG MASON CLEARBRIDGE SMALL CAP GROWTH FUND SBPY X — None — Sold (part) — 125

LEGG MASON CLEARBRIDGE SMALL CAP GROWTH FUND SBPY X — Sold (part)

LEGG MASON CLEARBRIDGE SMALL CAP GROWTH FUND SBPY X — Redeemed

OPPENHEIMER INT'L GROWTH FUND OGY X — None — Sold (part) — 89

OPPENHEIMER INT'L GROWTH FUND OGY X — Sold (part)

OPPENHEIMER INT'L GROWTH FUND OGY X — Redeemed

COLUMBIA EMERGING MARKETS FUND UMEM X — None — Sold (part) — 126

COLUMBIA EMERGING MARKETS FUND UMEM X — Redeemed

Spouse's income — 2016 — Pension and retirement plan pmits-pension plans for benefit of retirees of Random House, Inc

To facilitate reporting. holdings now are now listed by account. Names of assets have been updated to provide a more detailed description, and excess information

has been removed. To facilitate this reporting transition, corresponding 2015 lines are identified in Column XS).

The items listed in 2015, lines 5,6, 11, 13, 18, 19, 39, 43, 46, 51, und 53 are not reportable in 2016 (Y).