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Report Required by the Ethics AO JO FINANCIAL DISCLOSURE REPORT in Government Acr of 1978 Rev. 112008 FOR CALENDAR YEAR 2007 (5 U.S.C. app. §§IOI-I 11)

I. Person Reporting (last name, first. middle i nitial)

WOOD, KIMBA M

2. Court or Organization

U.S. District Court, SONY

3. Date or Report

0511212008

4. Tille (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time)

Chief U.S. District Judge (active)

Sa. Report T (check appropriate type)

D Nomination, Date

D Initial 0 Annual D Final

Sb. D Amended Report

6. Reporting Period

0110112007 lo

12/31/2007

7. Chambers or Office Address

500 Pearl Street New York, N.Y. 10007

8. On the basis or the Information contained In this Report and any modincatlons pertaining thereto, It Is, In my opinion, In compliance with applicable laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box/or each par/ where you have no reportable information. Sign on last page.

J. POSJTI ONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

0 NONE (No reportable positions.)

NAME OF ORGANIZATION/ENTITY

l. Board Member New York City Ballet, Inc.

2. Board Member CEELI Institute

3.

4.

5.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instruclions.)

IZJ NONE (No reportable agreements.)

PARTIES AND TERMS

o.,,

U>:P-c:_,.. ,.c••

o;;- --:-11 -1'1

fl1

r-4

)>

f11

rn o ··

. ,

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I.

2.

3.

SOURCE AND TYPE

SOURCE DATES LOCATION PURPOSE ITEMS

2.

Name of Person Reporting Date of Report FINAN IAL DISCLOSURE REPORT

Page 2of6 WOOD, KIMBA M 05/12/2008

Ill. NON-INVESTMENT IN COME, (Reporting individual and spouse; see pp. 17-U of filing instructions.)

A. Filer's Non-Investment Income

[ZJ NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

1.

3.

4.

B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.)

0 NONE (No reportable non-investment income.)

1.2001 (various) Rockefeller Brothers Fund - Committee Fees

2. 2001 (various) Sonic Corp. - various Board & Committee Fees

3. 2001 (various) Park Avenue Equity, Harding Services, Vestar, Lehman Brothers & Bear Steams Merchant Bank - Fee Income

4.

JV. REIMBURSEMENTS -transportatian, /odging,food, entertainmenL (Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

[Z] NONE (No reportable reimbursements.)

PAID OR PROVIDED

1.

2.

3.

4.

5.

SOURCE DESCRIPTION

DESCRIPTION

VALUE

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 3 of 6 WOOD, KIMBA M 05/12/2008

V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[{] NONE (No reportable gifts.)

I.

2.

3.

4.

5.

VI, LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

CREDITOR VALUE CODE

Margin Account P2

2. Citibank Line of Credit P2

I. Goldman, Sachs

3. Citibank Line of Credit P2

4. Citibank Line of Credit Pl

5. ENM, Inc. Escrow Account

6. Vestar Loans K

7. Citibank

8. Citibank

9. American Express

Rental Property Mortgage N

Unsecured Tenn Note Pl

Credit Card K

IO. Citibank Credit Card

II.

A.

I.

2.

6.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 4of6 WOOD, KIMBA M 05112/2008

VII. INVESTMENTS and TR u STS - income, value, transactions (Includes those of spouse and dependent chiJdren; see PP· 34-60 of filing instructions.)

D NONE (No reportable income, assets, or transactions.)

Description of Assets

(including trust assets)

Place "(X)" after each asset exempt from prior disclosure

See attached

B. c. D. Income during Gross value at end of Transactions during reporting period

reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

3.

4.

5.

7.

8.

9.

10.

I I.

12.

13.

14.

15.

16.

17.

I. Income Gain Codes: A =S 1,000 or less B =Sl,001 -S2,500 C =S2,501 - S5,000 D=S5,00l ·Sl5,000 E=Sl5,00l ·S50,000 (Sec Columns Bl and 04) F =$50,001 -SI00,000 G =SI00,001 -Sl,000,000 HI =S 1,000,00 I · SS,000,000 H2 =More than $5,000,000

2. Value Codes J =Si5,000 or less K =Si5,001 -S50,000 L =S50,00 I · SI 00,000 M =SI 00,00 I -S250,000 (See Columns Cl a nd 03) N =s250.001 . ssoo.090 o =S500.001 :s1.ooo.ooo Pl =Sl,000,001 - Sl,000,000 P2 =$5,000,001 - S25,000,000

Pl =S25,000,00 I -$50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S ==Assessment T =Cash Market

(See Column C2) U =Book Value v =Other W =Estimated

------

( 1)

1/5

13

Kimba M. Wood MAY, 2008

A. B. c. D.

GROSS VALUE AT

INCOME DURING END OF REPORTING

DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

AMT CODE

( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)

TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

EXXON CORP COMMON STOCK

(A- H)

B DIVIDEND

CODE

( J - P)

L

METHOD

( Q-W)

T

CODE

( J - P) ------

CODE

(A- H)

( IF

PRIVATE)

2 CREST FUND LP ( IRA) ( SEE NOTE 1 IN SECTION VllQ G K-1 DISTR P1 T

3

4

NEW YORK URB DEV CORP ZERO COUPON BOND

( SEE NOTE 2 IN SECTION VllQ

A OID PARTIAL SALE

SOLD

1/2

2/26

J

J

c

D

5 GOLDMAN SACHS BANK DEPOSIT #1 B INTEREST K T

6 GOLDMAN SACHS BANK DEPOSIT #2 A INTEREST J T

7 AMERICA MOVIL COMMON STOCK B DIVIDEND L T PURCHASE 2/9 L

8 BLACKROCK INC COMMON STOCK B DIVIDEND M T PARTIAL SALE 12/13 K D

K TA DIVIDEND9 CONOCOPHILLIPS COMMON STOCK

10 FEDEX CORP COMMON STOCK A DIVIDEND K T

11 HEWLETT-PACKARD CO COMMON STOCK A DIVIDEND L T

NONE SOLD

JOHNSON & JOHNSON COMMON STOCK A DIVIDEND J T

12 HOME DEPOT COMMON STOCK

PARTIAL SALE

K D

2/9 J A

14 SONIC COMMON STOCK NONE L T

15 STRYKER CORP COMMON STOCK A DIVIDEND K T

16 SUNCOR ENERGY INC COMMON STOCK A DIVIDEND K T

17 CMA TAX EXEMPT FUND - ML #1 A DIVIDEND K T

18 MERRILL LYNCH ACCOUNT - ML #2 A INTEREST J T

( NEVVl (LINES 29-10§2

------

( 2')

35

1/9

1/9


A. B. c. D.

GROSS VALUE AT



( 1) (2') ( 1) ( 1) (2') ( 3) (4) ( 5) AMT CODE

(A- H)

TYPE VALUE

CODE

( J - P)

VALUE

METHOD

( Q-W)

TYPE DATE VALUE GAIN

CODE CODE

( J - P) (A- H)

--- --- ---

IDENTITY

(IF

PRIVATE)

19 FEDERATED CAPITAL RESERVES MONEY MARKET A DIVIDEND ACCOUNT CLOSED 2127 M

20 AMERICAN MUTUAL FUND NONE SOLD K D

21 CAPITAL INCOME BUILDER FUND (MUTUAL FUND) NONE SOLD 2/16 K c

22 FUNDAMENTAL INVESTORS INC (MUTUAL FUND) A DIV/DISTR PARTIAL SALE 2/16 K D

23 SOLD 2/26 J

24 GROWTH FUND OF AMERICA ( MUTUAL FUND) NONE SOLD 2/16 L D

25 INVESTMENT COMPANY OF AMERICA ( MUTUAL FUND) NONE SOLD 2/16 K c

26 WASHINGTON MUTUAL INVESTORS FUND (MUTUAL FUND) NONE SOLD 2/16 L D

27 U.S. GOVERNMENT SECURITIES FUND A DIVIDEND PARTIAL SALE

( MUTUAL FUND)

J

28

BROKERAGE ACCOUNT #1

29 DREYFUS CASH MNGT INVESTOR MONEY MARKET

30 ABBOTT LABS COMMON STOCK

31

32

33 AEGEAN MARINE PETROLEUM NETWORK CMN STOCK

34 AMERICAN TOWER CORP COMMON STOCK

c DIVIDEND M T

A DIVIDEND K T

A DIVIDEND J T

NONE J T

SOLD 2/16 J

ACCOUNT OPENED 3/8 M

PURCHASE 9/21 J

PURCHASE 10/23 J

PURCHASE 10/26 J

PURCHASE 8/2 J

PURCHASE 3/8 J

PURCHASE 3/8 JARCH CAPITAL GROUP LTD COMMON STOCK NONE J T

------

--- ----

( 1)

37

38

48

52

( 1)

( J - P)

3/8

3/8

Kimba M. Wood MAY, 2ooa

A. B. C. D.

GROSS VALUE AT



( 2) ( 1) ( 2) ( 2) ( 3) (4) ( 5)

AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- H) CODE METHOD CODE CODE (IF

( J - P) ( Q-W) (A- H) PRIVATE)

36 COMCAST CORP COMMON STOCK NONE PURCHASE 3/8 J

PURCHASE 10/25 J

SOLD 11/13 J

39 DELTA PETROLEUM CORP COMMON STOCK NONE J T PURCHASE 3/8 J

40 PURCHASE 4/24 J

41 PARTIAL SALE 10/16 J

42 PURCHASE 12/31 J

43 DENISON MINES CORP COMMON STOCK NONE J T PURCHASE 6/13 J

44 PURCHASE 6/28 J

45 EITZEN CHEMICAL ASA COMMON STOCK NONE J T PURCHASE 6/14 J

46 EVEREST REINSURANCE GROUP LTD CMN STOCK NONE PURCHASE 3/8 J

47 SOLD 4/17 J A

B DIVIDEND K T PURCHASEGOLAR LNG LTD COMMON STOCK .

J

JJ T PURCHASE49 HORIZON LINES INC COMMON STOCK A DIVIDEND

50 INGERSOLL RAND CO COMMON STOCK NONE J T PURCHASE 11/12 J

51 INTL FLAVORS AND FRAGRANCES INC CMN STOCK A DIVIDEND J T PURCHASE 4/23 J

PARTIAL SALE 10/26 J A

------

-----

( J - P) ( J - P)

53 8/3

54

55

56

3/8

65

67

8/9

70


A. B. C. D.

GROSS VALUE AT



( 1) (2') ( 1) (2') ( 1) ( 2) ( 3) ( 4) ( 5)


(A H) CODE METHOD CODE CODE (IF-

( Q-W) (A- H) PRIVATE)

-

JISTAR FINL INC COMMON STOCK NONE PURCHASE

SOLD 8/21 J A

KEPPEL LTD COMMON STOCK A DIVIDEND J T PURCHASE 3/8 J

PURCHASE 3/12 J

57 PARTIAL SALE 6/22 J A

58 PARTIAL SALE 7110 J A

59 LIBERTY MEDIA HLDG CORP COMMON STOCK NONE PURCHASE 6/29 J

60 PURCHASE 7120 J

61 SOLD 10/4 J

NONE J T PURCHASE62 LIONS GATE ENTMT CORP COMMON STOCK J

PURCHASE 6/19 J63

PURCHASE 719 J64

PURCHASE 7/11 J

PURCHASE 7/16 J

PURCHASE 7/24 J

PURCHASE J

PURCHASE 9/21 J69 LOEWS CORPORATION COMMON STOCK NONE

SOLD 11/13 J

66

68

--- ---

--- ---

---

C.

( Q-W)

72

73

74

75

79

80

85

3/9


A. B. D.

GROSS VALUE AT


Df,SCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

( 1) (2') ( 1) ( 2) ( 1) (2) ( 3) (4) ( 5)


(A- HJ CODE METHOD CODE CODE (IF

( J - P) ( J P)- (A- H) PRIVATE;)

71 MARINE HARVEST ASA COMMON STOCK NONE PURCHASE J

PURCHASE 3/30 J

PURCHASE 4/30 J

PURCHASE 5/10 J

PARTIAL SALE 10/18 J


77 SOLD 11/13 J

78 MIRANT CORP COMMON STOCK NONE J T PURCHASE 9/21 J

J T PURCHASE 3/8 JNEWS CORP COMMON STOCK A DIVIDEND

PURCHASE 5/1 J

PURCHASE 5/10 J81

82 NOVA CHEMICALS COMMON STOCK A DIVIDEND PURCHASE 3/8 J

PURCHASE 3/13 J83

PARTIAL SALE 5/15 J A84

PARTIAL SALE 715 J A

SOLD 10/31 J A

NONE J T PURCHASE 7/24 J87 PETROLEUM DEV CORP COMMON STOCK

86

( J - PJ ( J - PJ

3/8

91

92

93

94

95

3/8


A. B. c. D.

GROSS VALUE AT



------

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) (4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( Q-W) (A- H) PRIVATE) ------

88 PURCHASE 7/30 J

89 PIONEER NAT RES CO COMMON STOCK NONE J T PURCHASE 10/18 J

90 ROWAN COS INC COMMON STOCK A DIVIDEND j T PURCHASE J

DOCKWISE L TD/FKA SEALIFT LTD COMMON STOCK NONE PURCHASE 6/12 J



NONE

DIVIDEND J

SOLD 10/24 J

PURCHASE 8/6 JSTOLT NIELSEN COMMON STOCK

SOLD 11/13 J96

T PURCHASE 4/12 J

PARTIAL SALE 10/11 J B

97 TEXTRON INC COMMON STOCK A

98

NONE J T PURCHASE99 THERMO FISHER SCIENTIFIC INC COMMON STOCK J

PURCHASE 8/1 J

SOLD 11113 J

100 TIME WARNER CABLE INC COMMON STOCK NONE

101

A DIVIDEND PURCHASE 7120 J

PURCHASE 8/2 J

102 TYCO INTERNATIONAL LTD COMMON STOCK

103

SOLD 10/18 J104

J T PURCHASE 5/10 J105 WILHWILHELMSEN LTD COMMON STOCK A DIVIDEND

------

(LINES 107-391)

( 1)

( J - P)


A. B. c. D.

GROSS VALUE AT



( 1) ( 2) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)



( J P)- ( 0-W) (A- H) PRIVATE)

------

106 WILLIS GROUP HOLDINGS LTD COMMON STOCK NONE J T PURCHASE 12/19 J

ADDITIONAL COMMON STOCKS/MUTUAL FNDS

107 ABBOTT LABORATORIES E DIVIDEND P1 T PARTIAL SALE 519 N G

108 PARTIAL SALE 519 M G

109 ACCENTURE LTD A DIVIDEND J T PURCHASE 215 J

110 PURCHASE 216 J

111 AES CORP NONE SOLD 3/9 J

112 AETNA INC A DIVIDEND M T PARTIAL SALE 12117 K E

113 AKAMAI TECHNOLOGIES NONE SOLD 512 J A

114 ALC. N INC c DIVIDEND PARTIAL SALE 5129 M G

115 TENDERED 10/29 N G

116 ALLEGHENY TECHNOLOGIES INC A DIVIDEND J T

117 ALLERGAN INC A DIVIDEND PARTIAL SALE 4/19 J A

118 . SOLD 5/9 J A

119 ALLIANCE DATA SYSTEMS CORP NONE PURCHASE 2/9 J

120 SOLD 5/18 J A

121 ALL TELL CORP B DIVIDEND SOLD 6/29 M F

122 ALTRIA GROUP ( NON IRA A/C) E DIVIDEND 0 T PURCHASE 3/5 0

----- ------

------

(Q-W)

124 4/2

4/9


A. B. c. D.

GROSS VALUE AT



( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - P) ( J - P) (A - H) PRIVATE)

123 PURCHASE 3/5 L

SPUN OFF KRAFT FOODS M

(SEE LINE 255 BELOW)

125 PURCHASE K

126 AMAZON.COM NONE J T PURCHASE 4/27 J

.

127 PURCHASE 5/29 J

128 AMERICA MOVIL G DIVIDEND P1 T

129 AMERIPRISE FINANCIAL INC A DIVIDEND J T PURCHASE 7120 J

130 ANADARKO PETROLEUM CORP B DIVIDEND N T PURCHASE 6/6 K

131 ANHEUSER BUSCH CO E DIVIDEND 0 T

132 AON CORP A DIVIDEND J T PURCHASE 8/6 J

133 APACHE CORP NONE J T PURCHASE 11/6 J

134 PURCHASE 12/14 J

135 APOLLO GROUP NONE J T PURCHASE 7/30 J

136 PURCHASE 9/25 J

137 PURCHASE 11/5 J

138 APPLE COMPUTER INC NONE K T PARTIAL SALE 2/28 J A


------

------

A.

( 1)

( J - P)

140

147

148

3/2

DESCRIPTION OF ASSETS


B. c. D.

GROSS VALUE AT


REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

----.

( 1) ( 2) ( 1) ( 2) ( 2) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENT ITY


(Q-VV) ( J - P) (A- H) PRIVATE)

PARTIAL SALE 5/25 J B

PARTIAL SALE 6/29 J B141

PARTIAL SALE 7126 J B142

PARTIAL SALE 10/29 J c143

A DIVIDEND SOLD 2/23 J A144 APPLERA CORP

A DIVIDEND SOLD 2/8 J A145 AT&T INC

NONE J T PURCHASE 10/8 J146 AUTODESK

NONE J T PURCHASE 3/7 JAVNET INC

PARTIAL SALE 2/8 L DAXIS CAPITAL HOLDINGS LTD A DIVIDEND

149 SOLD 3/12 L D

150 BABCOCK & BROWN AIR LTD NONE L T PURCHASE 10/2 K

151 PURCHASE 12/17 L

152 BAKER HUGHES INC A DIVIDEND SOLD 2/1 J

153 BANK OF AMERICA F DIVIDEND 0 T

A DIVIDEND J T PURCHASE154 BECTON DICKINSON & CO J

A DIVIDEND J T PURCHASE 3/19 J

D DIVIDEND PARTIAL SALE 11/19 0 G

155 BELDEN INC

156 BERKLEY WR CORP

------

( 1)

157

158

5/9

6/4


A. B. c. D.

GROSS VALUE AT



( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) AMT CODE

(A- H}

TYPE VALUE

CODE

(J-P')

VALUE

METHOD

( Q-W)

TYPE

SOLD

DATE VALUE

CODE

(J-P') ------

11/20 L

GAIN

CODE

(A- H}

E

IDENTITY

(IF

PRIVATE)

BERKSHIRE HATHAWAY NONE N T

159 BIOGEN IDEC NONE J T PURCHASE 9/24 J

160 BLACKROCK INC E DIVIDEND P1 T PARTIAL SALE N G

161 BURGER KING HOLDINGS INC A DIVIDEND J T PURCHASE

162 CAMERON INTL NONE K T

J

163 CAREMARK RX INC A DIVIDEND SOLD 1/16 J B

164 CARPENTER TECHNOLOGY CORP A DIVIDEND L T PURCHASE 2/1 L

165 CELGENE CORP NONE J T

166 CEMEX S A A DIVIDEND PARTIAL SALE 5/8 K c

SOLD 10/25 L167

168 CF INDUSTRIES HOLDINGS INC A DIVIDEND J T PURCHASE 7/18 J

169 CHICAGO MERCANTILE EXCH/AKA CME GROUP INC A DIVIDEND 0 T PARTIAL SALE 6/15 J B

PURCHASE 11/30 0170

171 CHIPOTLE MEXICAN GRILL NONE J T PURCHASE 10/10 J

NONE J T PURCHASE 1/16 J

B DIVIDEND M T PARTIAL SALE 3/9 L E

172 CISCO SYSTEMS

173 CIT GROUP

PURCHASE 7/23 K174

{ Q-W)

3/2

186

5/8


A. B. c. D.

GROSS VALUE AT



------

{ 1) ( 2) ( 1) { 2) { 1) ( 2) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

{A- H) CODE METHOD CODE C ODE (IF

{ J - P) ( J - P) (A H) PRIVATE)-------

175 PARTIAL SALE 10/22 L


177 PURCHASE 12/17 M

178 PARTIAL SALE 12/17 L

179 CITIGROUP NONE PURCHASE 11/30 L

180 SOLD 12/14 L

181 COACH INC NONE PARTIAL SALE 6/8 J c

182 SOLD 9/5 J c

183 COCA COLA CO A DIVIDEND J T PURCHASE 10/5 j

184 COGNIZANT TECHNOLOGY SOLUTIONS NONE j T

185 COMCAST CORP NONE PARTIAL SALE j

SOLD 5/9 j

187 CONOCOPHILLIPS E DIVIDEND .

P1 T PARTIAL SALE K E

NONE j T PURCHASE 6/18 j

189 DANAHER CORP A DIVIDEND SOLD 5/21 j

190 DENTSPLY INTERNATIONAL NONE j T PURCHASE 11/8 j

191 DIRECTV GROUP INC

188 CROCS INC

NONE PARTIAL SALE 1/8 M G

( J - P)

194 8/9


A. B. c. D.

GROSS VALUE AT



------



( J P)- (Q-W) (A- 1-1) PRIVATE;) ------



SOLD J A

195 DISCOVER HOLDINGS NONE J T PURCHASE 9/25 J

196 DUN & BRADSTREET CORP A DIVIDEND J T PURCHASE 7119 J

197 ELECTRONIC ART NONE J T PURCHASE 12113 J

.

198 EMBRAER-EMPRESA BRASILEIRA DE AERONAUTICA c DIVIDEND M T PARTIAL SALE 8120 L D

199 EMC CORP NONE J T PURCHASE 7/26 J

200 PURCHASE 1115 J

201 ENSCO INTERNATIONAL INC A DIVIDEND PURCHASE 114 J

202 PURCHASE 4130 J

203 PURCHASE 5129 M

204 PARTIAL SALE 8/23 M

205 SOLD 11/7 J A

206 EXPEDITORS INTERNATIONAL NONE SOLD 218 J

207 EXPRESS SCRIPTS INC NONE J T SOLD 1/16 J

208 PURCHASE 1116 J

209 FACTSET RESH SYS INC A DIVIDEND J T PURCHASE 6/28 J

------

D.

( 1) ( 4)


A. B. c.

GROSS VALUE AT


REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD DESCRIPTION OF ASSETS

( 1) ( 2) ( 1) ( 2) ( 2) ( 3) ( 5) AMT CODE

(A. H)

TYPE VALUE

CODE

( J. P')

VALUE

METHOD

( Q ·WJ

TYPE DATE VALUE

CODE

( J. P) ------

GAIN

CODE

(A. H)

IDENTITY

(IF

PRIVATE)

210 FEDEX CORP B DIV IDEND SOLD 7/26 0

211 FIRST SOLAR NONE J T PURCHASE 11/19 J

212 FLIR SYSTEM INC NONE J T PURCHASE 5/14

213 FLUOR CORP A DIVIDEND J T PURCHASE 7/26 J

214 FOCUS MEDIA HOLDINGS NONE J T PURCHASE 10/10 J

215 FOMENTO ECONOMICO MEXICANO A DIVIDEND PURCHASE 2/5 J

216 PURCHASE 2/13 J

217 SOLD 9/19 J

218 FOREST LABORATORIES NONE PARTIAL SALE 7/12 J

219 SOLD 7/16 J

220 FOSSIL NONE J T PURCHASE 11/27 J

221 FRANKLIN RESOURCES INC A DIVIDEND SOLD 11/15 J c

222 GAMESTOP CORP NONE J T PURCHASE 6/29 J

223 GARMIN LTD A DIVIDEND SOLD 10/8 K D

224 GENERAL CABLE CORP NONE J T PURCHASE 6/19 J

225 GENERAL DYNAMICS CORP A DIVIDEND SOLD 6/21 J A

226 GEN PROBE NONE J T PURCHASE 10/12 J

------

------

( 2)

( J - P)

3/8

231

917

234

235

237

238

519


A. B. c. D.

GROSS VALUE AT



( 1) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) VALUEAMT CODE TYPE VALUE TYPE DATE VALUE GAIN IDENTITY


( Q-W) ( J - P) (A- HJ PRIVATE)

227 GILEAD SCIENCES INC NONE K T

228 GLOBAL SANTAFE CORP A DIVIDEND PURCHASE 5/8 M

229 TENDERED 11/27 M E

230 GOLDMAN SACHS GROUP c DIVIDEND P1 T PURCHASE

( INCLUDES CALL OPTION PURCHASED PRE-2007)

0

PURCHASE 6/15 M

PARTIAL SALE 232

PURCHASE233

J

9/18 M

GOOGLE INC NONE K T PURCHASE 7/17 J

HEAL TH NET INC NONE J T PURCHASE 4/25 J

236 HEWLETT-PACKARD CO c DIVIDEND 0 T

HOME DEPOT INC D DIVIDEND PARTIAL SALE 1/5 0 G

SOLD 9/26 0 F

239 HONEYWELL INTL INC A DIVIDEND J T PURCHASE J

240 HUGOTON ROYAL TY TRUST A DIVIDEND SOLD 5/9 J

241 IAC/INTERACTIVECORP NONE PURCHASE 2120 J

242 SOLD 819 J

243 INTERNATIONAL BUSINESS MACHINES c DIVIDEND M T PURCHASE 4/27 L

PURCHASE 6/6 K244

--- --- ----

C.

( 2)

256

( 1)

--------- -

(4)

4/9

( 5)

IDENTITY

(IF

PRIVATE)


A. B. D.

GROSS VALUE AT



( 1) ( 1) ( 2) ( 2) ( 3)

AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN

(A- H) CODE METHOD CODE CODE

( J - P) ( 0-W) ( J P) (A H)--

245 INTUITIVE SURGICAL INC NONE SOLD 1/10 J

246 INVERNESS MEDICAL INNOVATIONS NONE J T PURCHASE 12/17 J

247 ITT EDUCATIONAL SYSTEMS NONE J T PURCHASE 11/30 J

NONE J T PURCHASE 8/10 J248 JACOBS ENGINEERING GROUP

NONE PURCHASE 6/20 J249 J CREW GROUP INC

SOLD 11/20 J250

F DIVIDEND P1 T PARTIAL SALE 3/26 0 G251 JOHNSON & JOHNSON

PARTIAL SALE 3/26 J252

PARTIAL SALE 5/9 P1 G253

DIVIDEND J T PURCHASE 9120 J254 KENNAMETAL INC A

A GIL SPUN OFF FROM ALTRIA 4/2 M

(SEE LINE 124 ABOVE) 255 KRAFT FOODS

PARTIAL SALE K B

SOLD 5/9 M E257 .

NONE PARTIAL SALE 7125 J258 KOHLS CORP

SOLD 9/13 J259

NONE PURCHASE 7123 J260 KYPHON INC

SOLD 11/6 j B261

------

( 2)

( Q-W)

3/5


A. B. c. D.

GROSS VALUE AT



( 1) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)



( J - P) ( J - P) (A- H) PRIVATE)

------

262 LAM RESEARCH CORP NONE SOLD 2/2 J

263 LAS VEGAS SANDS CORP NONE SOLD 5/31 J A

264 LENNAR CORP A DIVIDEND SOLD 2/27 L c

265 LEVEL 3 COMMUNICATIONS INC NONE PURCHASE 1/11 0

266 SOLD 7/26 N

267 LEXMARK INTERNATIONAL NONE

268 LINCOLN NATIONAL CORP c DIVIDEND M T

SOLD J A

269 LSI LOGIC CORP NONE SOLD 1/4 J A

270 LUBRIZOL CORP A DIVIDEND J T PURCHASE 5/10 J

271 LUCENT TECHNOLOGIES CONV PREFD NONE J T

272 MANITOWOC INC ( MANITOWOC CO INC) A DIVIDEND J T

273 MANOR CARE INC A DIVIDEND SOLD 7/19 J B

274 MANPOWER INC A DIVIDEND SOLD 11/30 J

275 MATTELL INC NONE PARTIAL SALE 8/9 J

SOLD 9/14 J276

277 MEDCO HEAL TH SOLUTIONS NONE J T PURCHASE 9/14 J

278 MEDTRONIC INC A DIVIDEND SOLD 2/22 N E

------

D.

( 1) ( 1)

719

294


A. B. c. GROSS VALUE AT



( 1) ( 21 ( 21 ( 21 ( 3) (4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- H) CODE ( J - P)

METHOD

( Q-W) CODE

(J - P) CODE

(A- H) (IF

PRIVATE)

------

279 MEMC ELECTR MATLS INC NONE K T PARTIAL SALE 4/19 J c

280 MERRILL LYNCH & CO A DIVIDEND PARTIAL SALE J

281 SOLD 7/24 J

282 MGM MIRAGE NONE PURCHASE 2/8 J

283 SOLD 7/26 J

284 MICROSOFT A DIVIDEND J T

285 MILLICOM INTERNATIONAL NONE J T PURCHASE 10/31 J

286 PURCHASE 11/9 J

287 MOBILE TELESYSTEMS NONE M T PURCHASE 11/20 M

288 MSCI NONE M T PURCHASE 11/20 L

289 NASDAQ STOCK MARKET NONE J T PURCHASE 11/7 J

290 NATIONAL OILWELL VARCO NONE J T PURCHASE 519 J

291 NAVTEQCORP NONE PURCHASE 6/25 J

292 SOLD 11/6 J c

293 NCR CORP NONE J T PURCHASE 3/12 J

PURCHASE 3/13 J

295 NEWS CORP A DIVIDEND SOLD 11/5 J A

296 NIKE A DIVIDEND K T

------

( 1)

304

305


A. B. C. D.

GROSS VALUE AT



( 1) (2') ( 1) (2') (2') ( 3) ( 4) ( 5) AMT CODE

(A- H)

TYPE VALUE

CODE

( J - Pl

VALUE

METHOD

( Q-W)

TYPE DATE VALUE

CODE

( J - Pl ------

GAIN

CODE

(A - H)

IDENTITY

(IF

PRIVATE)

297 NOKIA NONE J T PURCHASE 5125 J

298 PURCHASE 6/6 J

299 NUANCE COMMUNICATIONS NONE J T PURCHASE 2/21 J

300 NUCOR CORP NONE M T PURCHASE 10/25 L


302 NVIDIA CORP NONE J T PURCHASE 9/24 J

303 OCCIDENTAL PETE CORP B DIVIDEND M T PURCHASE 616 L

E DIVIDEND M T PURCHASE 12/11 K

A DIVIDEND PARTIAL SALE 8/2 J A

OLSTEIN ALL CAP VALUE FUND (MUTUAL FUND)

OMNICOM GROUP

306 SOLD 10/2 J

307 ORACLE CORP NONE N T

308 PACKAGING CORP c DIVIDEND M T PURCHASE 3/12 L

309 PURCHASE 6/6 K

310 PALL CORP NONE PURCHASE 6/15 J

311 SOLD 9/18 J

312 PARAMETRIC TECHNOLOGY CORP NONE PURCHASE 3/6 J

313 SOLD 9/24 J


314

A.


PEPSICO

B.

INCOME DURING

REPORTING PERIOD

( 1) ( 2) AMT CODE TYPE

(A-t-0

D DIVIDEND

c. GROSS VALUE AT

END OF REPORTING

PERIOD

( 1) ( 2) VALUE VALUE

CODE METHOD

( J - P) ( Q-WJ

0 T

D.

TRANSACTIONS DURING REPORTING PERIOD

------

( 1) ( 2) ( 3) (4) TYPE DATE VALUE GAIN

CODE CODE

( J - P) (A - H) ------

( 5) IDENTITY

(IF

PRIVATE)

315 PETROLEO BRASILEIRO D DIVIDEND PARTIAL SALE 4/3 L E

316 SOLD 616 M F

317 PIONEER NATURAL RESOURCES A DIVIDEND K T

318 PRAXAIR INC A DIVIDEND J T PURCHASE 11/8 J

319 ALTRIA GROUP - IRA ACCOUNT c DIVIDEND L T PURCHASE 1/4 J

320 SPUN OFF KRAFT FOODS

(SEE LINE 321 BELOW)

4/2 K

321 KRAFT FOODS INC - IRA ACCOUNT A DIV/CIL K T SPUN OFF FROM ALTRIA

( SEE LINE 320 ABOVE)

4/2 K

322 PRECISION CASTPARTS CORP A DIVIDEND J T PURCHASE 8/10 J

323 PURCHASE 10/8 J

324 PROSHARES TR ULTRASHORT FINANCIAL B DIVIDEND PURCHASE 7/30 N

325 SOLD 11/13 N E

326 RESEARCH IN MOTION NONE K T PURCHASE 216 J

327 .

PURCHASE 7/26 J

328 ROCKWELL AUTOMATION INC B DIVIDEND M T PURCHASE 2/14 M

329 ROCKWELL COLLINS INC A DIVIDEND J T PURCHASE 3/13 J

330 PURCHASE 4/17 J

337

338

343

344

347


A.


B.

INCOME DURING

REPORTING PERIOD

c. GROSS VALUE AT

END OF REPORTING

PERIOD

D.


( 1) AMT CODE

(A- 1-1)

( 2) TYPE

( 1) VALUE

CODE

( J - P)

( 2) VALUE

METHOD

( Q-W)

( 1) TYPE

--- --- ---

( 2) ( 3) (4) DATE VALUE GAIN

CODE CODE

( J - P) (A- 1-1) --- ---

( 5) IDENTITY

( IF

PRIVATE)

331 ROWAN COMPANIES A DIVIDEND M T PURCHASE 8123 M

332 SCHERING-PLOUGH A DIVIDEND J T PARTIAL SALE 1117 J B

333 SCHLUMBERGER NONE M T PURCHASE 11130 M

334 SEARS HOLDINGS CORP NONE SOLD 9126 0

335 SEI INVESTMENT CO A DIVIDEND J T PARTIAL SALE 7117 J

336 SIRTRIS PHARMAEUTICALS NONE K T SPUN OFF FROM RED ABBEY 12113 J (SEE LINE 972 BELOW)

SMITH INTERNATIONAL A DIVIDEND J T

SMITHTOWN BANCORP A DIVIDEND L T PURCHASE 318 L

339 PURCHASE 5/16 K

340 SMURFIT-STONE CONTAINER CORP NONE M T PURCHASE 5/8 K

341 PURCHASE 8/23 J

342 SONIC CORP NONE P3 T

SONY CORP A DIVIDEND PURCHASE 5130 J

SOLD 11115 J

SOVEREIGN BANCORP NONE K T PURCHASE 12117 K

A M T PURCHASE 12117 K346 SPRINT NEXTEL CORP ( FKA SPRINT CORP) DIVIDEND

B DIVIDEND 0 TSTRYKER CORP

345

------

( 1) ( 2)

349

351

352

353

354

355

356

5/30

Kimba M. Wood MAY, 20G8

A. B. C. D.

GROSS VALUE AT



( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J P) ( Q-W) ( J P) (A H) PRIVATE)-- -. --- ----

348 SUNCOR ENERGY D DIVIDEND P1 T

SUNPOWER NONE J T PURCHASE 11/6 J

350 SUPERVALU INC A DIVIDEND PURCHASE J

SOLD 12/14 J

TELEFONOS DE MEXICO A DIVIDEND PURCHASE 5/29 J

SOLD 11/21 J

TELETECH HOLDINGS INC NONE PURCHASE 3/8 J

SOLD 10/3 J

NONE J T PURCHASE 10/1 JTERADATA CORP

357 TEXTRON NONE J T PURCHASE 1117 J


359 THERMO FISHER SCIENTIFIC NONE PURCHASE 1/16 J

360 SOLD 11/2 J A

361 THIRD AVENUE !NTL VALUE FUND (MUTUAL FND) E DIV/DISTR M T PURCHASE 12/19 K

362 TRANSOCEAN INC A GIL M T PURCHASE 5/17 J

363 PURCHASE 8/30 J

364 TENDERED ORIGINAL SHARES 11/27 J A

373

375

377


365

A.


B.

INCOME DURING

REPORTING PERIOD


(A- H)

C.

GROSS VALUE AT

END OF REPORTING

PERIOD


CODE METHOD

(J- P) ( Q-W)

D.


------

( 1) ( 2) ( 3) (4) TYPE DATE VALUE GAIN

CODE CODE

( J- P) (A - HJ ------

RECEIVED NEW SHARES 11/27 M FROM MERGER

( 5) IDENTITY

(IF

PRIVATE)


367 PURCHASE 12120 J

368 T ROWE PRICE NONE J T PURCHASE 11/20 J

369 TUIAG NONE M T PURCHASE 6/28 M

370 UNITED TECH CORP E DIVIDEND P1 T

371 UNITEDHEALTH GROUP A DIVIDEND M T

372 UNUM GROUP ( FKA UNUMPROVIDENT) c DIVIDEND M T

VALERO ENERGY B DIVIDEND N T

374 VERIFONE HOLDINGS INC NONE PURCHASE 9/20 J

SOLD 12/6 J

376 VERIGY LTD NONE SOLD 1/16 J A

E DIVIDEND P1 T PARTIAL SALE 5/9 0 G

PARTIAL SALE 11/13 N G

WAL MART STORES

379 PARTIAL SALE 11/13 N G

380 WARREN RESOURCES INC NONE L T

381 WCI COMMUNITIES INC NONE PURCHASE 2/8 L

378

(NEW! (LINES 393-66§'.l (SEE VllD

A.

391

392

393

394

Kimba M. Wood MAY, 2008 ·

B. C. D.

GROSS VALUE AT


REPORTING PERIOD PERIODDESCRIPTION OF ASSETS TRANSACTIONS DURING REPORTING PERIOD

------



( J - P) ( Q-W) ( J - P) (A - H) PRIVATE) ------

382 SOLD 5/8 L

383 WELLS FARGO D DIVIDEND M T

384 WESTERN DIGITAL CORP NONE J T PURCHASE 11/16 J

385 WEYERHAEUSER CO A DIVIDEND PARTIAL SALE 1/24 L c

SOLD 2/14 M E

387 WYNN RESORTS LTD A DIVIDEND J T PURCHASE 5/2 J

388 XEROX NONE M T PURCHASE 12/17 L

386


390 ZIMMER HOLDINGS INC NONE PURCHASE 2/15 J

389 YUM! BRANDS

SOLD 11/15 J

CORPORATE BOND

GENERAL ELECTRIC BOND G INTEREST P2 T

OPTIONS NOTE 4 IN SECTION

NONE PURCHASE 2/16 J

PARTIAL SALE 3113 J

SOLD 3/14 J

S&P 500 INDEX - PUT

.

SOLD SHORT 2116 K

PURCHASE TO COVER PART 3/13 J

396 S&P 500 INDEX - PUT NONE

397

PURCHASE TO COVER 3/14 K

395

398

------

( J - P)

399

400 3/5

402 3/5

404 3/2

408 3/2

409 3/5

3/5


A. B. c. D.

GROSS VALUE AT



------


(A-H) CODE METHOD CODE CODE (IF

( Q-W) ( J - P) (A- H) PRIVATE)

S&P 500 INDEX - PUT NONE PURCHASE 2/20 J

SOLD K E

401 S&P 500 INDEX - PUT NONE SOLD SHORT 2120 J

PURCHASE TO COVER L

403 S&P 500 INDEX - PUT NONE PURCHASE 2/21 J

SOLD K E

405 S&P 500 INDEX - PUT .

NONE SOLD SHORT 2/21 J

406 PURCHASE TO COVER 3/2 K


JPARTIAL SALE c

KSOLD E

NONE SOLD SHORT 2122 J

PURCHASE TO COVER 3/5 K

410 S&P 500 INDEX - PUT

411

NONE PURCHASE 2/23 J412 S&P 500 INDEX - PUT

SOLD K E


PURCHASE TO COVER 3/5 L


415

413

----------

D.

( 1)

3/5


A. B. C.

GROSS VALUE AT


REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD DESCRIPTION OF ASSETS

( 1) ( 21 ( 21 ( 1) ( 21 ( 3) ( 4) ( 5) AMT CODE

(A - H)

TYPE VALUE

CODE

( J - PJ

VALUE

METHOD

( Q-W)

TYPE DATE VALUE

CODE

( J - PJ ------

GAIN

CODE

(A - H)

IDENTITY

(IF

PRIVATE)


417 OPTION EXPIRED 3/17

418 S&P 500 INDEX - PUT NONE SOLD SHORT J

419 OPTION EXPIRED 3/17 D



422 S&P 500 INDEX - PUT NONE SOLD SHORT 3/6 J

423 OPTION EXPIRED 3/17 D




427 OPTION EXPIRED 4/21 c




431 OPTION EXPIRED 4/21 B



----------

( 1)

434

435

436

437

438

439

440

443

444

447

449


A. B. c. D.

GROSS VALUE AT



( 1) ( 2) ( 1) ( 2) ( 2) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

( A-H) CODE METHOD CODE CODE (IF

( J - P) (Q-W) ( J - P) (A- H) PRIVATE)

------

S&P 500 INDEX - PUT NONE SOLD SHORT 3/12 J

OPTION EXPIRED 4/21 B

S&P 500 INDEX - PUT NONE PURCHASE 3/14 K

OPTION EXPIRED 4/21

S&P 500 INDEX - PUT NONE SOLD SHORT 3/14 K

OPTION EXPIRED 4/21 E


OPTION EXPIRED 4/21


441

OPTION EXPIRED 4/21 c

NONE PURCHASE 3/21 JS&P 500 INDEX - PUT

OPTION EXPIRED 4/21445

NONE SOLD SHORT 3/21 J446 S&P 500 INDEX - PUT



OPTION EXPIRED 4/21


448

450

------

--- --- -----

( 1)

454

455

458

459

460


A. B. c. D.

GROSS VALUE AT



AMT CODE

( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - PJ ( Q-W) ( J - PJ (A- H) PRIVATE)

451 OPTION EXPIRED 4/21 c



S&P 500 INDEX- PUT NONE SOLD SHORT 3/26 J







461

462 S&P WO INDEX - PUT

463


465

466 S&P 50? INDEX - PUT

467


OPTION EXPIRED 4/21




OPTION EXPIRED 4/21




------

------

( 1) ( 1)

( J - P)

473

474

475

476

479

480


A. 8. c. D.

GROSS VALUE AT



( 2) ( 1) ( 2) ( 2) ( 3) ( 4) ( 5)


(A - H) CODE METHOD CODE CODE (IF

( J P) ( Q-W) - (A- H) PRIVATE)

OPTION EXPIRED 4/21 c469


OPTION EXPIRED 4/21471

NONE SOLD SHORT . 4/12 J472 S&P 500 INDEX - PUT

OPTIONS EXPIRED 5/19 c


OPTIONS EXPIRED 5/19

S&P 500 iNDEX - PUT NONE SOLD SHORT 4/13 J

OPTIONS EXPIRED 5/19 B477



NONE SOLD SHORT 4/17 JS&P 500 INDEX - PUT

481 OPTIONS EXPIRED 5/19 B


483 OPTIONS EXPIRED 5/19



------

------

A.

(4)

( J - P)

495

496

497

498



B. c. D.

GROSS VALUE AT





( Q-W) ( J P) (A- H) PRIVATE)-




489 OPTIONS EXPIRED 5/19 c

490 S&P 500 INDEX - PUT NONE PURCHASE 4120 J





OPTIONS EXPIRED 5119 c



NONE SOLD SHORT 4124 JS&P 500 INDEX - PUT

OPTIONS EXPIRED 5119 D499



NONE SOLD SHORT 4/25 J502 S&P 500 INDEX - PUT

5/19 cOPTIONS EXPIRED 503

------

A.

5/1

513

5/1



B. C. D.

GROSS VALUE AT



( 1)

AMT CODE

(A- H)

( 2)

TYPE

( 1)

VALUE

CODE

( J - P)

( 2)

VALUE

METHOD

( Q-W)

( 1)

TYPE ( 2) ( 3)

DATE VALUE

CODE

( J - P) ------

( 4)

GAIN

CODE

(A - H)

( 5)

IDENTITY

(IF

PRIVATE)




507 OPTIONS EXPIRED 5/19 D





512 S&P 500 INDEX - PUT NONE PURCHASE J


NONE SOLD SHORT 514 S&P 500 INDEX - PUT

OPTIONS EXPIRED 515

J

5/19 D




517


OPTIONS EXPIRED 6/16 D519


------

( 1)

531

532

533

534

535

537


A. B. c. D.

GROSS VALUE AT



AMT CODE

( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

CODE METHOD(A- H) CODE CODE (IF

( J P) (A - H)-( J P)- ( Q-W) PRIVATE) ------















OPTIONS EXPIRED 6/16 D

S&P 500 INDEX - PUT NONE PURCHASE 5/22 j


NONE SOLD SHORT 5122 JS&P 500 INDEX - PUT

536

538

------

------

D.

(Q-VV) ( J - P)

539

543

544

545

546

547

548

551

553

554

555


A. B. C.

GROSS VALUE AT



( 1) ( 2,) ( 1) (2,) ( 1) ( 2) ( 3') ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - P) (A - H) PRIVATE)



541 PARTIAL SALE 6!7 J

542 OPTIONS EXPIRED 6116


PURCHASE TO COVER PART 617 J B


S&P 500 tNDEX - PUT NONE PURCHASE 5/23 J



OPTIONS EXPIRED 6/16 B


549



OPTIONS EXPIRED 6/16 A



552

------

--- --- ---

559

560

( 1)

5/24


A. B. c. D.

GROSS VALUE AT



( 1) ( 2) ( 1) ( 2) ( 2) ( 3) (4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - PJ ( Q-W) ( J PJ (A - H) PRIVATE)-

556 S&P 500 INDEX - PUT NONE SOLD SHORT J




S&P 500 INDEX - PUT NONE SOLD SHORT 5125 J

561


563


565


567


569


571


OPTIONS EXPIRED 6/16 B












OPTIONS EXPIRED 7/21 D 573

------

( Q-W)

574

575

576

577

578


A. B. c. D.

GROSS VALUE AT



------



( J - P) ( J - P) (A - H) PRIVATE)


















------

------

591

592

593

594

597

598

599

600


A. B. c. D.

GROSS VALUE AT





( J - P) ( Q-W) ( J - P) (A- H) PRIVATE)







595




NONE SOLD SHORT 6/22 JS&P 500 INDEX - PUT






606 S&P 5 0 INDEX - PUT NONE PURCHASE 6/28 J



------

( 1) ( 1)


A. B. C. D.

GROSS VALUE AT



( 2) ( 2) ( 1) ( 2) ( 3) (.f) ( 5) VALUE TYPE DATEAMT CODE TYPE VALUE VALUE GAIN IDENTITY

(A- HJ CODE

( J - P)

METHOD

(Q-W)

CODE

( J - P) ------

CODE

(A - H)

( IF

PRIVATE)







615 SOLD 8/15 J

616 S&P 5';10 INDEX - PUT NONE SOLD SHORT 7/17 J

617 PURCHASE TO COVER 8/15 J B





622 PURCHASE TO COVER PART 8/15 J A





626

A.


S&P 500 INDEX - PUT

B.

INCOME DURING

REPORTING PERIOD


(A- H)

NONE

c.

GROSS VALUE AT

END OF REPORTING

PERIOD


CODE METHOD

( J - P) (Q-VV)

D.


------

( 1) ( 2) ( 3) ( 4) TYPE DATE VALUE GAIN

CODE CODE

( J - P) (A- H) ------

SOLD SHORT 7/23 J

( 5) IDENTITY

(IF

PRIVATE)

627 OPTIONS EXPIRED 8118 D




631 OPTIONS EXPIRED 8118 c






637 PARTIAL SALE 816 J

638 OPTIONS EXPIRED 8118


640 PURCHASE TO COVER PART 8/6 J A

641 OPTIONS EXPIRED 8/18 A




A.


B.

INCOME DURING

REPORTING PERIOD


(A- H)

C.

GROSS VALUE AT

END OF REPORTING

PERIOD


CODE METHOD

( J - P) ( Q-W)

D.


------

( 1) ( 2) ( 3) ( 4) TYPE DATE VALUE GAIN

CODE CODE

( J-P) (A - H) ------

( 5) IDENTITY

(IF

PRIVATE)

644 S&P 500 INDEX -PUT NONE SOLD SHORT 7/27 J


646 S&P 500 INDEX-PUT NONE PURCHASE 7/30 J


648 S&P 500 INDEX -PUT NONE SOLD SHORT 7130 J


650 S&P 500 INDEX-PUT NONE PURCHASE 7/31 J

651 SOLD 816 J

652 S&P 500 INDEX -PUT NONE SOLD SHORT 7131 J

653 PURCHASE TO COVER 816 J B


655 SOLD 8/6 J


657 PURCHASE TO COVER 8/6 J A

658 OSI RESTAURANT-CALL NONE PURCHASE 2/23 J

659 PURCHASE 2/26 K

660 PURCHASE 2/27 K

------

(LINES 667-688)

( 1)

( Q-WJ (J-PJ


A. 8. c. D.

GROSS VALUE AT





( J - PJ (A H)- PRIVATE)

661 SOLD

------

5/18 K

662 NABORS INDS LTD - CALL NONE K T PURCHASE 3/8 L

663 LEVEL 3 - CALL NONE J T PURCHASE 3/8 K

664 PURCHASE 11/8 J

665 GOLDMAN, SACHS - CALL NONE SOLD SHORT 11/13 K

666 OPTIONS EXPIRED 12/24 E

667

CASH/INVESTMENT/MONEY MARKET ACCOUNTS

BEAR STEARNS TEMPFUND ( BEAR STEARNS - IRA CASH) A DIVIDEND J T

668 GOLDMAN SACHS BANK DEPOSIT #3 F INTEREST M T

669 CITIBANK CHECKING ACCOUNT - FOUNDATION NONE K T

670 CITIBANK INTEREST CHECKING NC A INTEREST J T

671 MSIF MONEY MARKET

(SEE NOTE 11 IN SECTION VllD

c INTEREST

672 CITIBAr.JK CHECKING ACCOUNT NONE K T

673 CITIBANK ASSET ACCOUNT NONE J T

674 CITIBANK CASH RESERVE ACCOUNT G INTEREST P1 T

675 CITIBANK INTEREST CHECKING ACCOUNT# 2 A INTEREST J T

676 BEAR, STl!:ARNS ACCOUNT #1


NONE J T

------

------

(LINES 689-88§]

( FKA STOCKS/BONDS) (LINES 689-701)

( 2)

( J - P)

4/9

4/2


A. B. c. D.

GROSS VALUE AT



( 1)

AMT CODE TYPE

( 1) ( 2) ( 1) ( 2) ( 3) (4) ( 5) VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A-H) CODE METHOD CODE CODE ( IF

677 NEUBERGER BERMAN INSTL LIQDTY SER INSTL CASH #1 c DIVIDEND L

( Q-W) ( J - P) (A- H) PRIVATE)

T

678 DEUTSCHE BANK ALEX BROWN MONEY MARKET E INTEREST N T

679 DBAB CASH RESERVE PRIME SERIES MM FUND A DIVIDEND OPENED ACCOUNT 2/21 J

680 CLOSED ACCOUNT 4/9 J

681 DJAB CASH RESERVE TREASURY MM FUND A DIVIDEND OPENED ACCOUNT J

CLOSED ACCOUNT 5/21 K682

683 INV CASH TRST TREASURY INV CL MM FUND A DIVIDEND ACCOUNT OPENED 5/21 K

684 ACCOUNT CLOSED 10/3 K

685 DBA;3 SHORT CASH ACCOUNT NONE ACCOUNT OPENED 3/1 J

686 ACCOUNT CLOSED 8/31 J

687 LEHMAN BROTHERS CASH ACCOUNT A INTEREST J T

688 BLACKROCK MONEY MARKET/PNC CASH c DIVIDEND L T

FOUNDATION INVESTMENTS

FOUNDATION BROKERAGE ACCOUNT #1 FOUNDATION COMMON

COMMON STOCKS

689 ABBOTT LABORATORIES D DIVIDEND SOLD 11/30 N F

690 ALTRIA GROUP INC D DIV/CIL N T SPUN OFF KRAFT FOODS K

( SEE LINE 696 BELO\N)

691 AMERICA MOVIL NONE M T PURCHASE 11/30 M

692 BANK OF AMERICA D DIVIDEND M T

------

(NEV\!) (LINES 702-884)

( J - P)

514

514


A. B. c. D.

GROSS VALUE AT



------


(A - H) CODE METHOD CODE CODE (IF

( Q-W) ( J - P) (A - H) PRIVATE)

T PURCHASE693 CITIGRC;JP INC NONE L 11/30 M

694 DYERSBURG CORP NONE J T

695 GENERAL ELECTRIC CO c DIVIDEND M T

696 KRAFT FOODS INC B DIV/GIL M T SPUN OFF FROM ALTRIA


4/2 K

697 SCHLUMBERGER LTD NONE L T PURCHASE 11130 L

698 UNITED TECHNOLOGIES CORP D DIVIDEND. N T

699

MUTUAL FUNDS

GOLDMAN SACHS INTL REAL ESTATE SECS FUND E DIVIDEND N T PURCHASE 4116 N

700 PURCHASE 6128 J

701 PURCHASE 12/13 K

FOUNDATION BROKERAGE ACCOUNT #2

702 GOLDMAN SACHS BANK DEPOSIT #5/CASH ACCOUNT c INTEREST K T OPENED ACCOUNT 513 N

703 AFFILIATED MANAGERS GROUP INC NONE J T PURCHASE K

PURCHASE 7120 J704

PARTIAL SALE 8113 J705


PARTIAL SALE 10122 J A707

NONE K T PURCHASE708 AGCO CORP K

--- --- -----

( 2) ( 1)

( Q-W)

716

719

( J - P)

715

917

5/4

5/4


A. B. C. D.

GROSS VALUE AT





( J P)- (A - HJ PRIVATE)

------



711 PARTIAL SALE 11/2 J B


713 ALABAMA NATL BANCORP A DIVIDEND PURCHASE 5/14 J

714 PURCHASE 5/17 J

715 PURCHASE 6/22 J

PURCHASE J

PURCHASE 719 J717

PURCHASE 7118718

PARTIAL SALE J A

PARTIAL SALE 10/5 K c720

SOLD 10/8 J A721

NONE PURCHASE722 AMERICA SERVICE GROUP J

SOLD 7/11 J A

NONE PURCHASE724 ANDREW CORP K

PURCHASE 5/17 J725

PURCHASE 5/18 J726

723

------

------

( 1)

( J - P)

733

734

735

736

737

738

739

5/4

743


A. B. c. D.

GROSS VALUE AT



( 1) ( 2) ( 2) ( 1) ( 2) (3') ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A-H) CODE METHOD CODE CODE (IF

( J P) ( Q-W) - (A- H) PRIVATE)

727 PURCHASE 5/22 J

728 PURCHASE 6/20 J

729 SOLD 8/10 K B

730 ARCH CHEMICAL INC A DIVIDEND K T PURCHASE 8/16 J

731 PURCHASE 8/17 J

732 PURCHASE 9/11 J

PURCHASE 9/28 J

PURCHASE 11/5 J

PURCHASE 11/6 J

PURCHASE 11/13 J

PURCHASE 11120 J

PURCHASE 12/5 J

PURCHASE 12131 J

NONE J T PURCHASE740 CARAUSTAR INDUSTRIES, INC J

PURCHASE 518 J741

PURCHASE 5117 J742 .

PURCHASE 7/12 J

------

( 2)

( Q-W)

744

745

746

749 5/4

759


A. B. c. D.

GROSS VALUE AT



( 1) ( 1) ( 2) ( 1) ( 2) ( 3) (4) ( 5)



( J - P) ( J - P) ------

PURCHASE 7/18 J

PURCHASE 8/6 J

PURCHASE 9/27 J

(A- H) PRIVATE)

PURCHASE 9/28 J747

PURCHASE 12/31 J748

CASCADE CORP A DIVIDEND K T PURCHASE K

PURCHASE 5/8 J750

PURCHASE 5/15 J751

PURCHASE 5/17 J752 .

PURCHASE 5/18 j753

PARTIAL SALE 6/20 j A754

PURCHASE 8/9 j755


PURCHASE 9/28 j757

PURCHASE 12/4 J758

PURCHASE 12/7 J

PURCHASE 12127 J

PURCHASE 12/31 J

760

761

------

( J - P)

764 5/8

773 7/9

775

5/8


A. B. C. D.

GROSS VALUE AT


, DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

------



-( J P) ( 0-W) (A H) PRIVATE)-

762 COLONIAL BANCGROUP INC NONE J T PURCHASE 12/20 J

763 COLUMBIA SPORTSWEAR COMPANY A DIVIDEND K T PURCHASE 5/4 K

PURCHASE J


766 PURCHASE 9/11 J

767 PURCHASE 9126 J

768

765

PURCHASE 9/28 J


770 PURCHASE 12/4 J


772 DARLING INTERNATIONAL INC NONE K T PURCHASE 5/4 K

PARTIAL SALE J A




DIVIDEND K T PURCHASE 5/4 K777 FLOWSERVE CORPORATION A

PURCHASE J

774

776

778

C.

5/4

793

794


A. B. D.


INCOME DURING

REPORTING PERIOD

GROSS VALUE AT

END OF REPORTING

PERIOD TRANSACTIONS DURING REPORTING PERIOD ------

779

( 1)

AMT CODE

(A- H)

( 2)

TYPE

( 1)

VALUE

CODE

( J - P)

( 2) VALUE

METHOD

( Q-WJ

( 1)

TYPE

PARTIAL SALE

( 2) ( 3) DATE VALUE

CODE

( J - P) ------

7/17 J

( 4) GAIN

CODE

(A- H)

B

( 5) IDENTITY

(IF

PRIVATE)




783 GRAY TELEVISION INC A DIVIDEND J T PURCHASE 7/26 J

784 PURCHASE 8/7 J

785 PURCHASE 8/13 J

786 PURCHASE 8/14 J

787 PURCHASE 8/15 J

788 PURCHASE 9/11 J

789 PURCHASE 9/28 J

790 PURCHASE 12/4 J

791 PURCHASE 12/5 J

NONE792 JAMES RIVER COAL COMPANY K T PURCHASE J

PARTIAL SALE 6120 J A

PURCHASE 7118 J

PURCHASE 7120 J

PURCHASE 7125 J

795

796

- -

------

( 2) ( 2)

( J -P)

799


A. B. c. D.

GROSS VALUE AT



------



( Q-WJ ( J P) (A HJ PRIVATE)

797 PURCHASE 8/8 J

798 PURCHASE 9/28 J

800 KOPPERS HOLDINGS, INC

PURCHASE 11/28 J


PURCHASE 8/17 J

802

801

PURCHASE 11/6 J

PURCHASE 11/14 J

PURCHASE 11/20 J

803

804

805 LUBRIZOL CORPORATION A DIVIDEND PURCHASE 5/4 K



SOLD 8/22 J808

809 N;:WFIELD EXPLORATION CO NONE K T PURCHASE 5/4 J



PURCHASE 12/3 J812

PURCHASE 12/4 J813

------

------

( 1) ( 2)

( Q-W) ( J - P)

5/4


A. B. c. D.

GROSS VALUE AT





( J - P) (A- HJ PRIVATE)

814 NEWPORT CORP NONE K T PURCHASE K

815 PURCHASE 5/17 J

816 PURCHASE 6/1

817 PURCHASE 8/6 J

818 PURCHASE 9/26 J


820 PURCHASE 12/4 J

821 OGE ENERGY CORP A DIVIDEND K T PURCHASE 5/4 K

822 PURCHASE 5/18 J

823 PURCHASE 6/1 J

824 PURCHASE 6/20 J

825 PURCHASE 9/11 J

826 PURCHASE 11/6 J


828 PETROQUEST ENERGY, INC NONE J T PURCHASE 12/10 J



831 POLARIS INDS INC A DIVIDEND K T PURCHASE 5/4 K

-----

(A- HJ

( J - P)

841 8/9


A. B. C. D.

GROSS VALUE AT



------


CODE METHOD CODE CODE (IF

( Q-WJ ( J - P) (A- HJ PRIVATE)

-

832 PURCHASE 5/15 J

.


834 PURCHASE 8/9 J

835 PURCHASE 9/11 J

836 PURCHASE 9/26 J

837 PURCHASE 11/6 j

838 QUANEX CORP A DIVIDEND PURCHASE 5/4 K


840 PURCHASE 8/6 J

PURCHASE J


843

842

SOLD 12/5 K c

844 SMITHFIELD FOODS INC NONE K T PURCHASE 5/4 K

PURCHASE 6/20 J845

PURCHASE 7/12 J846



-----

- -

------

( 2)

( Q-W)

853

854


A. B. C. D. GROSS VALUE AT



-

( 1) ( 2) ( 1) ( 2) ( 1) ( 3) (4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- H) CODE METHOD CODE CODE (IF ( J - P) ( J P) (A H) PRIVATE)

849 PURCHASE 9/20 J

850 PURCHASE 11/5 J

NONE K T PURCHASE 5/4 J

852

851 TRACTOR SUPPLY CO

PURCHASE 9/26 J

PURCHASE 11/2 J

PURCHASE 12/14 J

855 TRINITY INDUSTRIES INC A DIVIDEND K T PURCHASE 5/4 K

856 PURCHASE 6/20 J

857 PURCHASE 6/26 J

858 PURCHASE 8/6 J

859 PURCHASE 8/9 J

860 PURCHASE 9/11 J


862 URS CORPORATION NONE K T PURCHASE 5/4 K



865 '-PARTIAL SALE 11/2 J B


------

( 1)

( J - F')


A. B. C. D.

GROSS VALUE AT




(A- 1-1) CODE METHOD CODE CODE (IF

( J - F') ( Q-WJ (A - 1-1) PRIVATE) -------

867 USEC INC NONE K T PURCHASE 7/25 J

868 PURCHASE 8/9 J

869 PURCHASE 9/5 J

870 PURCHASE 917 J

871 PURCHASE 9/20 J

872 PURCHASE 9/28 J

873 PURCHASE 10/2 J

874 PURCHASE 10/5 J


876 WASHINGTON FEDERAL INC A DIVIDEND K T PURCHASE 5/4 K

877 PURCHASE 5/15 J

878 PURCHASE 6/20 J

879 PURCHASE 7/13 J

880 PURCHASE 7/18 J


882 PURCHASE 11/5 J


(NE ( 885-88§)

INVESTMENT (LINES 887-102 (SEE VllD

890 1/3


A. B. c. D. GROSS VALUE AT



------


( A-H) CODE METHOD CODE CODE (IF

( J - P) ( Q-W) ( J - P) (A- H) PRIVATE) ------


FOUNDATION BROKERAGE ACCOUNT #3 LINES

885 -- SPRUCEGROVE NON US EQUITY LLC/CASH ACCOUNT A INTEREST J T OPENED ACCOUNT 5/31 0

886 -- SPRUCEGROVE NON US EQUITY OFFSHORE LP NONE 0 T PURCHASE 5/31 0

IN NON-PUBLIC COMPANIES NOTES 5 & 7 IN SECTION

887 ARIZONA SNOWBOWL (AKA SUNWEST HOLDINGS) F K-1 DISTR N w

(SEE NOTE 1 IN SECTION VllQ

888 EN-rERTAINMENT ACQUISITION E K-1 DISTR/

(SEE NOTES 1 & 19 IN SECTION VllQ ROYALTIES

889 CARTOON CUTS NONE J w


COSMOS PARTNERS D K-1 DISTR K v NOTE PROCEEDS K

(SE NOTES 1 & 22 IN SECTION VllQ

891 TAMPA BAY DEVIL RAYS

(SEE NOTES 1 & 16 IN SECTION VllQ

NONE N w

892 FRESH DIRECT NONE 0 w

893

894

HALL CAPITAL PARTNERS ( FKA OFFIT HALL)


D K-1 DISTR DISTRIBUTION

WITHDREW ALL FUNDS

4/5

712

K

0 G

895 OPUS MEDIA PARTNERS


NONE 0 w ADDITIONAL INVESTMENT 4/19 L

896 BSMB/UHS CO-INVESTMENT PARNTERS, LP


NONE M w INITIAL INVESTMENT 715 M

------

( 1)

4/4


A. B. c. D.

GROSS VALUE AT



AMT CODE ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) (4) ( 5)

TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

897

898

BEAR STEARNS MERCHANT BANK II

(SEE NOTES 9 & 16 IN SECTION VllQ .

(A- H)

F K-1 DISTR

CODE

( J - P)

0

METHOD

( Q-WJ

w DISTRIBUTION

ADDITIONAL INVESTMENT

CODE

( J - P) ------

212 K

2/2 J

CODE

(A- H)

(IF

PRIVATE)

899 ADDITIONAL INVESTMENT 5114 K

900 DISTRIBUTION 5/14 J

901 ADDITIONAL INVESTMENT 10/1 J

902 DISTRIBUTION 10/1 M

903

904

BEAR STEARNS MERCHANT BANK Ill


A K-1 DISTR 0 w ADDITIONAL INVESTMENT


2/12

3/12

M

K

905 DISTRIBUTION 3112 J

906 ADDITIONAL INVESTMENT 614 M

907 ADDITIONAL INVESTMENT 8130 L

908 ADDITIONAL INVESTMENT 11/14 L

909

910

BLACKSTONE REAL ESTATE PARTNERS


NONE P1 w INITIAL INVESTMENT


9126

10/19

0

P1

911 ADDITIONAL INVESTMENT . 12110 K

912 CENTERVIEW CAPITAL


A K-1 DISTR M w INITIAL INVESTMENT 12/7 M

913 BIRDS EYE FOODS ( FKA AGRILINK)


G DIV P1 w RETURN OF CAPITAL P1 G

------

- -

------

A.

( 2)

917

415

4/4


B. C. D.

GROSS VALUE AT





-( J P) ( Q-W) ( J P) (A H) PRIVATE)

914 RETURN OF CAPITAL 7118 0 G

915 DISTRIBUTION 7120 L

916 ADVANCED ORGANICS NONE RETURN OF CAPITAL 12/21 J


BORDER MEDIA NONE N w ADDITIONAL INVESTMENT 5/29 M

(SEE NOTE 17 IN SECTION VllO

918 DYNA VOX NONE N w DISTRIBUTION 4/4 J


919 SIEGELGALE NONE RETURN OF CAPITAL 12/21 J

(SEE NOTE 17 & 21 IN SECTION VllO

920 VESTAR ASSOCIATES ( 10 NONE

(SEE NOTES 10 & 16 IN SECTION VllO

921 VESTAR CAPITAL PARTNERS/ASSOC. ( 110 NONE


922 VESTAR CAPITAL PARTNERS/ASSOC. (IV & AIV) G K-1 DISTR L w


RETURN OF CAPITAL J

DISTRIBUTION923

924 VESTAR CAPITAL PARTNERS/ASSOC ( V) D K-1 DISTR


925 GOLD TOE ( FKA CLUETT AMERICAN) NONE L w ADDITIONAL PROCEEDS

L

2/28 K E


926 CONSOLIDATED CONTAINER c INTEREST P1 w BOND TENDER PROCEEDS 12/21 L E


------

B. c.

( 2)

933 4/4

934

935

937


A. D.

GROSS VALUE AT



( 1) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)

927 ST JOHNS KNITS

( SEE NOTE 17 IN SECTION VllO

AMT CODE

(A- H)

TYPE

NONE

VALUE

CODE

( J - P)

0

VALUE

METHOD

( Q-W)

w

TYPE


DATE VALUE

CODE

( J - P) ------

12/21 L

GAIN

CODE

(A- H)

IDENTITY

(IF

PRIVATE)

928 ARGO TECH


NONE M w PARTIAL SALE 4/4 0 G EATON

CORP

929 AZ ELECTRONIC MATERIALS


NONE M w INITIAL INVESTMENT 3/23 M

930

931

CCS INCOME TRUST


NONE N w INITIAL INVESTMENT


11/5

11/26

N

J

932 CESARE FIORUCCI


NONE P1 w

DUFF & PHELPS NONE 0 w


DISTRIBUTION K

936 ESSENT HEALTHCARE


PARTIAL SALE 10/23 N G

DISTRIBUTION 10/24 J

NONE 0 w

NONE M wGLEASON CORP


HUISH DETERGENTS NONE N w INITIAL INVESTMENT 4/20 N


939 MEDI-MEDIA NONE M w


940 NATIQNAL MENTOR HOLDINGS NONE L w RETURN OF CAPITAL 7/30 M

938

------

( 2) ( 1)

( Q-W) ( J - P)

947

948

949

950


A. B. C. D.

GROSS VALUE AT



( 1) ( 2) ( 1) ( 2) ( 3) (4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J P)- (A- H) PRIVATE)

941


DISTRIBUTION

------

7130 K E

942 NYBRON FLOORING


NONE M w

943

944

OGF GROUP


NONE N w SOLD

ROLLOVER INVESTMENT

10/23

10/23

P1

M

H1 ASTORG

PARTNERS

945 ADDITIONAL PROCEEDS 10/24 M G

NONE M w RETURN OF CAPITAL 7130 K c946 PARIS RE


FL SELENIA NONE ADDITIONAL PROCEEDS 12/28 M G

(SEE NOTE 17 & 21 IN SECTION VllO

SEVES SPA NONE L w

(SF,E NOTE 17 IN SECTION VllO

SOLO CUP COMPANY


NONE P1 w

SUNRISE MEDICAUJOERNS HEALTHCARE NONE 0 w


951 SYMETRA FINANCIAL


F DIVIDEND 0 w

952 VALIDUS HOLDINGS


NONE P1 w

953 WILTON RE HOLDINGS


NONE 0 w

954 4/4

955

957

3/5


A. B. c. D.

GROSS VALUE AT



------

( 1)

AMT CODE

(A- H)

( 2)

TYPE

( 1)

VALUE

CODE

( J - P)

( 2)

VALUE

METHOD

(Q-W)

( 1)

TYPE

( 2)

DATE

( 3)

VALUE

CODE

( J - P)

( 4)

GAIN

CODE

(A - H)

( 5)

IDENTITY

(IF

PRIVATE)

---------

ZANUSSI METALLURGICA NONE ADDITIONAL SALE PROCEEDS

(SEE NOTES 17 & 21 IN SECTION VllQ .

AVON DISTRIBUTION LLC NONE P1 v


J D

956 FLAG VENTURE PARTNERS G K-1DISTR P1 w DISTRIBUTION 2/27 K


ADDITIONAL INVESTMENT 3/14 L

958 DISTRIBUTION 5/10 L

959 DISTRIBUTION 5/31 K

960 ADDITIONAL INVESTMENT 6/26 K

961 ADDITIONAL INVESTMENT 7/31 L

962 DISTRIBUTION 9/13 L

ADDITIONAL INVESTMENT 11/20 L963

DISTRIBUTION 12/19 L964

E K-1 DISTR 0 w DISTRIBUTION 212 J965 RED ABBEY


ADDITIONAL INVESTMENT K

ADDITIONAL INVESTMENT 4/30 K

DISTRIBUTION 617 J

967

968

ADDITIONAL INVESTMENT 11/21 K969

966

------

( 2)

973

974

975

976

977

978 9/27

979


A. B. C. D.

GROSS VALUE AT





( J - P) ( Q-W) ( J - P) (A - H) PRIVATE)

------

970 DEEMED INVESTMENT NOV/ K

DEC

971 DEEMED DISTRIBUTION NOV/ K

DEC

972 DELIVERED SIRTRIS STOCK 12/13 J


SENTINEL CAPITAL PARTNERS/SENTINEL PARTNERS ( D

(SEE NOTES 10 & 16 IN SECTION VllD

A K-1 DISTR/

INTEREST

SENTINEL CAPITAL PARTNERS/SENTINEL PARTNERS (ID


G K-1 DISTR

SENTINEL CAPITAL PARTNERS ( llD


E K-1 DISTR

ALEMITE HOLDINGS NONE ADDITIONAL SALE PROCEEDS 7/31 L F


FASLOC NONE SOLD 1/23 P1 H1 DYWIDAG

(SEE NOTE 17 IN SECTION VllD SYSTEMS

ADDITIONAL SALE PROCEEDS K E

HAS CO NONE ADDITIONAL SALE PROCEEDS 4/20 K E


INSCAPE NONE 0 w INITIAL INVESTMENT 9/27 0


981 INTERIM HEALTHCARE

( SEE NOTE 17 IN SECTION VllD

NONE 0 w

982 L Tl FLEXIBLE PRODUCTS


NONE N w

980

------

( 1)

( Q-W) (J-P')

993

995


A. B. c. D.

GROSS VALUE AT




(A- H) CODE METHOD CODE CODE ( IF

( J- P') (A - H) PRIVATE)

983 MADILL CORP


NONE

------

984 METROPOLITAN DENTAL


NONE SOLD 9/27 0 G AMERICAN

DENTAL

985

986

MIDWEST WHOLESALE HARDWARE


NONE N w INITIAL INVESTMENT

RECAPITALIZATION

7/2

9/27

N

M

987 NIVEL


NONE SOLD 10/19 P1 H1 THE AUOAX

GROUP

988 REACHOUT HEALTHCARE


NONE N w INITIAL INVESTMENT 12/12 N

989 BUFFETS INC


NONE

990 SPIN RITE


NONE P1 w ADDITIONAL INVESTMENT 12/12 0

991 STRATEGIC PARTNERS


NONE P1 w

992 TRINITY CONSULTANTS HOLDINGS



TRUSSBIL T HOLDINGS



VINTAGE HOLDINGS



SCIENS CAPITAL PARTNERS NONE 0 w

994

------

( 2) ( 1)

( Q-W) ( J - P)

999

1000 519

1001

1002 6/4


A. B. c. D.

GROSS VALUE AT


DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD ------



( J - P) (A - HJ PRIVATE)


996 NORTHERN HELLENIC HOLDINGS LLC NONE N v


997 SCI ENS VENTURE PARTNERS (AKA ZILKHA VENTURE) G K-1 DISTR DISTRIBUTION 3/19 M

(SEE NOTES 8, 9 & 16 IN SECTION VllO

998 PARK AVENUE PARTNERS E K-1 DISTR P1 w ADDITIONAL INVESTMENT 2/20 K

(SEE NOTES 9 & 16 IN SECTION VllO ADDITIONAL INVESTMENT 3/28 J

DISTRIBUTION K

DISTRIBUTION 614 K

ADDITIONAL INVESTMEMT J

1003 DISTRIBUTION 12/5 j

1004 ADDITIONAL INVESTMEMT 12/5 J

1005

1006

QUINTANA ENERGY PARTNERS


D K-1 DISTR 0 w INITIAL INVESTMENT

ADDITIONAL INVESTMEMT

1/29

6126

N

M

1007 ADDITIONAL INVESTMEMT 8114 K

1008 ADDITIONAL INVESTMEMT 12118 M

1009

1010

LEHMAN BROTHERS CO-INVSTMNT LP/CAYMAN AIV LP


G K-1 DISTRI

INT/DIV

P1 w ADDITIONAL INVESTMEMT

ADDITIONAL INVESTMEMT

1/30

3122

K

M


------

( 1023-103Il

A.

( 1) ( 2)

( J - P) ( J - P)



B. c. D.

GROSS VALUE AT



( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) AMT CODE. TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( Q-W) (A- H) PRIVATE) ------


1013 .

ADDITIONAL INVESTMEMT 5125 L

1014 ADDITIONAL INVESTMEMT 6125 L

1015 DISTRIBUTION 7126 K


1017 ADDITIONAL INVESTMEMT 917 M

1018 ADDITIONAL INVESTMEMT 9/20 L

1019 ADDITIONAL INVESTMEMT 9128 L

1020 DISTRIBUTION 10/1 J


1022 DISTRIBUTION 12/28 N

1023

OTHER INVESTMENTS/NOTES RECEIVABLE

CHESAPEAKE PARTNERS ( SEE NOTE 1 IN SECTION VllQ H1 K-1 DISTR P2 u

1024 FARALLON CAPITAL PARTNERS


G K-1 DISTR P1 u

1025 AXIOM INTERNATIONAL INVESTORS LLC


H1 K-1 DISTR P1 u

1026 THE BLENHEIM FUND LLC (SEE NOTE 1 IN SECTION VllQ G K-1 DISTR P1 u

1027 PORTAGE PARTNERS (SEE NOTE 1 IN SECTION VllQ G K-1 DISTR P1 u INITIAL INVESTMENT 5/30 P1

-------

------

(LINES 1038-10392

C.

2/5


A. B. D. GROSS VALUE AT

INCOME DURING END OF REPORTING DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD


( A-H) CODE METHOD CODE CODE (IF ( J ( Q-WJ ( J - P) (A- H) PRIVATE)- P)

1028 TOWLE CAPITAL PARTNERS (SEE NOTE 1 IN SECTION VllQ NONE 0 u INITIAL INVESTMENT 10/30 0

1029 WHALE ROCK FLAGSHIP FUND ( SEE NOTE 1 IN SECTION VIII E K-1 DISTR P1 u INITIAL INVESTMENT 10/26 P1

1030 BLUE AND GRAY PARTNERSHIP NONE K v (SEE NOTES 1, 15 & 16 IN SECTION VllQ

1031 F.E. RICHARDSON & CO NONE P1 v ( SEE NOTES 1, 13 & 16 IN SECTION VllQ

NONE L w1032 RACE HORSES

1033 OP40 INC (SEE NOTE 5 IN SECTION VllQ NONE L w

1034 OSCAR S SCHAFER PARTNERS II H1 K-1 DISTR P2 u ADDITIONAL INVESTMENT 11/29 0


1035 NOTE RECEIVABLE - ALISON SALMON NONE M T LOAN M

A INTEREST LOAN 12/7 J

1037 LOAN FORGIVEN 12/31 J

1036 NOTE RECEIVABLE - PAT PURTELL

PROFIT SHARING PLAN FUNDS

1038 --- ING T. ROWE PRICE EQ INCOME PT NONE M T

1039 --- ING MARSICO INTERNATIONAL OPP PORT NONE L T

1040 GOLDMAN SACHS BANK DEPOSIT #4 D CIUINT CLOSED ACCOUNT 11/6 J

1041 CITIBANK INTEREST CHECKING ACCOUNT #3

(MISTAKINGLY CALLED ACCOUNT #2 ON 2006 FDR)

A INTEREST J T

1042 AVON DISTRIBUTION LLC NONE K v

( J - P) ( J - P)

315

Kimb

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