Lewis A. Kaplan

Citibank accounts — Interest

IP Morgan Chase accts (S) — Interest

NY Life whole life policies — Int/Div

NYSDom40I19(E) — Interest

New York NY Ser N40 1714S) — Interest

Minisink CSD 4.0 12(S) — Interest

A Brookhaven CSD (S) — Interest

GECCS016(S) — Interest

NYSDom4.019(S) — Interest

National Union Bank of Kinderhook — Int/Div

New York NY IDA 4017 (S) — Interest

Clarkstown 4.25 20 (E) — Interest

NYCS5021(E) — Interest

Port Auth 4.75 32 — Interest

NYSTwylsSiI8 — Interest

NYSTwy4528 — Interest

JP Morgan Chase (IRA) — Interest

JP Morgan Tax Free Money Mkt (E) — Int/Div

Ithaca NY 4.0 16(E) — Interest

JP Morgan Treas Agy Fd (S) — Distribution

JP Morgan Strategic Inc Fd — Distribution

IP Morgan US Equity Fd — Int/Div

JP Morgan Short Duration Bd Fd — Distribution

JP Morgan brokerage accts — Interest

JP Morgan Tax Free Money Mkt — Int/Div

Perinton NY 3.2515 — Interest — Redeemed

Niskayuna NY 3.375 16 — Interest

Dutchess Co. NY 5.018 — Interest

Orange Co. NY 42519 — Interest

JP Morgan Chase checking accounts — Interest

JP Morgan Treas & Agency Fd (S) — Int/Div

JP Morgan Strategic Income (S) — Distribution

JP Morgan International Value Fund (S) — istnbution

JP Morgan US Equity Fund (S) — Distribution

JP Morgan Short Duration Bond Fd (S) — Iistnbution

JP Morgan brokerage accts (S) — Interest

JP Morgan Tax Free Money Market Fd (S) — Int/Div

JP Morgan Intl Value — Int/Div

JP Morgan High Yield Bond — Distribution

JP Morgan Core Bond — Distribution

Falconer CSD 4015 — Interest — Redeemed

Falconer CSD 4.7520 — Interest

Marietta Ga4.0 16 — Interest

Pembroke CSD 4.020 — Interest

Starpoint CSD 4.015 — Interest — Redeemed

JP Morgan High Yield Bond (S) — Distribution

Am Century Eq Inc Fd (S) — Int/Div

JP Morgan Core Bond (S) — Distribution

Ellenville CSD 4.0 16(S) — Interest

Falconer CSD 4.75 20(S) — Interest

Hawaii 4.0 15(S) — Interest

Ozark Mo 4.018(S) — Interest

Port Jefferson 3.5 15(S) — Interest

Rocky Point CSD 4.0 16(S) — Interest

New Mexico 4.0 1S (E) — Interest

Hewlett Woodmere 4.0 20(E) — Interest

Riverhead 4.0 18(E) — Interest

Rocky Point CSD 4.0 16(E) — Interest

Alpine Ut4.0 13 (E) — Interest

Dallas Tx Comm Coll 4.0 17 — Interest

Wallkill 3.517 — Interest

NYSDomd4s5 1S — Interest — Redeemed

NYSEnvFacS5015(E) — Interest

Greece NY 4.125 17(E) — Interest

Am Century Eq Inc Fd — Distribution

Plainview Old Beth 4.0 21 — Interest

Putnam Co NY 40 16 — Interest

Island Trees UFSD 4.0 22 — Interest

Triboro BTA 4.020 — Interest

Bethlehem CSD 4.017 — Interest

Westchester Co 3.018 — Interest

Edgemont UFSD 4.0 20 — Interest

Edgemont 3.0 16 — Interest

Ontano Co 3.0 16 — Interest

Sachem CSD 3.018 — Interest

JP Morgan Equity Inc Fd — Distribution

JP Morgan Unconstrained Bd Fd fk/a Tr Mit SC Ine. — Distribution

Rockville Centre 40 22 (E) — Interest

Edgemont NY UFSD 4.0 22 (E) — Interest

New Hyde Pk UFSD 4.0 22 (S) — Interest

East Islip UFSD 4.0 21 (S) — Interest

Roslyn NY UFSD 3.0 18 (S) — Interest

NYS Env Facs 4.0 18(S) — Interest

JP Morgan Equity Inc (S) — Distribution — Buy (add'l)

JP Morgan Unconstrained Bd Fd fik/a Tr MI SC Inc (S) — Int/Div

Federated Tax Free Oblig Fd Inst Sh(T) — Interest

Janus Enterprise Fd C11(T) — Int/Div

8 — Distribution

Oppenheimer Intl Growth Fd C1 Y — Int/Div

Weingarten Rity Invs Sh Ben Int (T) — Int/Div — Sold

91 — Distribution

JP Morgan Floating Rate Inc, Fund — Distribution

JP Morgan Large Cap Growth Fd — Distribution

JP Morgan Floating Rate Inc Fd (S) — Int/Div

JP Morgan Large Cap Growth Fd (S) — istnbution

Erie Co. 5.0 23 (E) — Interest

NYS Bridge Auth 4.0 23 (E) — Interest

Cold Spring Hrbr 4.25 20 — Interest

North Shore CSD 4.0 19 — Interest

North Shore CSD 4.021 — Interest

Nassau Co. 4.021 — Interest

Saratoga Springs 5.0 23 — Interest

Port Wash UFSC 5.0 19 — Interest

Arlington UFSD 5.0 19 — Interest

NYC Mun Wir 3.25 18 — Interest

NYC Mun Wir 5.022 — Interest

NYC Trans Fin 5.0 23 — Interest

NYS Dorm Gt Neck 5.0 24 — Interest

NYS Dorm 5.021 — Interest

NYS Env Fac 5.024 — Interest

NYSSer. C5019 — Interest

Pittsford UFSD 4.0 22 — Interest

Westchester Co. 4.0 21 — Interest

Halfmoon NY 4.0 19 — Interest

JP Morgan Value Adv Fd (S) — Distribution

NYC Tr for Cult. 4.021 (S) — Interest

NYS Dorm 5.022(S) — Interest

Pine Bush CSD 5.02348) — Interest

Pittsford CSD 4.0 22(S) — Interest

Nassau Co. 5024 (E) — None

NYS Dorm 5.024 (E) — Interest

Brookhaven 5.0 23 (E) — Interest

Columbia Contrarian Core Fd (T) — Int/Div

124 — Distribution

Legg Mason Clearbridge Sm Cap Growth Fd(T — istmbution

Columbia Emg Mkts Fd (T) — Int/Div

Prudential Global Real Est Fd (T) — Int/Div — Sold

NYCRef 5017 — Interest — Buy

Shenendehowa CSD 4.0 22 — Interest — Buy

NYS Dorm Gt Neck 5.025 — Interest

Islip 5.021 — Interest

NYS Dorm Sales Tax 5.025 — None — Buy

JP Morgan Value Adv Fd — istmbution — Buy

JP Morgan Value Adv Fd — Buy

Permton 3.25 15(E) — Interest — Redeemed

Trustee, Trust for family member

Trustee, Trust w'w/o deceased relative

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

1

(E) designates assets held as trustee ww/o deceased relative , (S) assets held by spouse, and (T) assets held as trustee f/b/o family member, These

designations are very helpful to me in reporting properly, They may be redacted for any public release.

2

2

The listings at Part VII, pages 6 and 7, lines 32 and 46, for "JP Morgan brokerage accounts” reflect only cash balances and interest thereon, The individual

non-cash assets are mutual funds listed elsewhere i the report.