2022-11-11T21:38:54-06:00 2021-12-31 911741928 VON HARTEN & COMPANY INC PS 2101 4TH AVENUE SUITE 930 SEATTLE WA 98121 990PF 2021-01-01 956944277 JAMES B PENDLETON CHARITABLE TRUST JAME 4252843095 11900 NE 1ST STREET SUITE 300 BELLEVUE WA 98005 DAYLE E IVERSON TRUSTEE & CEO 4252843095 2022-11-07 1 DAYLE IVERSON 999009999 ELIZABETH C HEDLUND CPA P00173862 2064439017 2022-11-07 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z X 33834788 X X 14 14 735220 735220 788978 2660641 788978 1524212 1524212 180000 45000 135000 12375 0 12375 24244 5825 18419 1444 144 1300 51820 46638 5182 109399 109399 0 20830 15830 0 20127 10064 10063 55 28 27 4962 1622 3340 425256 234550 185706 1650000 1650000 2075256 234550 1835706 -551044 1289662 420410 337597 337597 24985264 24520239 33479765 20612 17426 17426 25426286 24875262 33834788 6696 6716 6696 6716 X 25419590 24868546 0 0 0 0 25419590 24868546 25426286 24875262 25419590 -551044 0 24868546 0 24868546 7,467.15 NORTHERN SMALL CAP INDEX FD 2020-12-15 2021-01-15 125000 117309 7691 7691 4,422.17 NORTHERN SMALL CAP INDEX FD 2020-12-15 2021-03-24 75000 69472 5528 5528 1,000 FLEXSHARES TR MORNINGSTAR GLOBAL UPSTREAM NAT RES INDEX FD 2017-02-01 2021-01-20 35334 30231 5103 5103 1,139.99 NORTHERN STK INDEX FD 2020-02-20 2021-03-24 50000 44220 5780 5780 3,673.29 NORTHERN STK INDEX FD 2017-02-01 2021-04-21 170000 140566 29434 29434 3,103.02 NORTHERN MID CAP INDEX FD 2017-02-01 2021-08-19 75000 57559 17441 17441 2,617.12 VANGUARD FTSE ALL WORLD EX-US INDEX FD 2017-02-01 2014-08-19 100000 80520 19480 19480 1,914.24 DFA EMERGING MKTS CORE EQUITY PORT 2017-02-03 2021-09-14 50000 35892 14108 14108 200 ISHARES RUSSELL 1000 GROWTH INDEX 2020-03-12 2021-09-01 58337 29904 28433 28433 3,961.97 NORTHERN MID CAP INDEX FD 2017-02-03 2021-09-01 100000 72900 27100 27100 1,003.21 NORTHERN STK INDEX FD 2017-02-01 1951-09-14 50000 36304 13696 13696 200 ISHARES RUSSELL 1000 GROWTH INDEX 2020-03-12 2021-09-24 57335 29904 27431 27431 2,051.28 NORTHERN STK INDEX FD 2020-03-02 2021-10-01 100000 72923 27077 27077 25,380.71 BLACKROCK HIGH YIELD BD PORT 2017-02-01 2021-10-04 200000 196456 3544 3544 1,500 FLEXSHARES TR MORNINGSTAR GLOBAL UPSTREAM NAT RES INDEX FD 2017-02-03 2021-10-04 56140 45300 10840 10840 200 ISHARES RUSSELL 1000 GROWTH INDEX 2017-02-01 2021-10-05 55135 25781 29354 29354 9,233.61 NORTHERN BD INDEX FD 2017-02-01 2021-10-05 100000 97081 2919 2919 9,285.05 NORTHERN BD INDEX FD 2017-02-01 2021-10-11 100000 97448 2552 2552 1,000 FLEXSHARES TR MORNINGSTAR GLOBAL UPSTREAM NAT RES INDEX FD 2017-02-03 2021-10-14 39165 30200 8965 8965 100 ISHARES RUSSELL 1000 GROWTH INDEX 2017-02-01 2021-10-14 28282 10828 17454 17454 12,705.48 BLACKROCK HIGH YIELD BD PORT 2017-02-03 2021-10-18 100000 98348 1652 1652 9,225.09 NORTHERN BD INDEX FD 2017-02-03 2021-10-14 100000 96587 3413 3413 13,106.80 NORTHERN ULTRA SHORT FIXED INCOME FD 2017-02-21 2021-10-18 135000 133689 1311 1311 9,250.69 NORTHERN BD INDEX FD 2017-02-01 2021-10-18 100000 96690 3310 3310 2,561.48 VANGUARD FTSE ALL WORLD EX-US INDEX FD 2017-02-03 2021-10-21 100000 73694 26306 26306 1,000 FLEXSHARES TR MORNINGSTAR GLOBAL UPSTREAM NAT RES INDEX FD 2017-02-03 2021-11-04 38505 30200 8305 8305 200 ISHARES RUSSELL 1000 GROWTH INDEX 2017-02-01 2021-11-04 60957 21657 39300 39300 CAPITAL GAINS DIVIDENDS P 401451 401451 401451 788978 17926 0 17926 0 17926 10315 0 16000 0 26315 X 0 8389 8389 0 0 0 0 0 0 0 0 0 0 0 1 1 CA 1 0 0 0 0 1 N/A VON HARTEN COMPANY INC PS 2064439017 2101 FOURTH AVENUE SUITE 930 SEATTLE WA 98121 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 DAYLE E IVERSON 11900 NE 1ST STREET SUITE 300 BELLEVUE WA 98005 TRUSTEE & CEO 40.00 150000 0 0 JUSTIN M O'CONNELL 11900 NE 1ST STREET SUITE 300 BELLEVUE WA 98005 PROGRAM OFFICER 8.33 30000 0 0 NONE 0 THE NORTHERN TRUST COMPANY 1301 SECOND AVENUE 2600 SEATTLE WA 98101 INVESTMENT MANAGEMENT 109399 0 0 32991853 301475 17426 33310754 0 0 33310754 499661 32811093 1640555 1640555 17926 17926 1622629 0 1622629 0 1622629 1835706 0 1835706 1622629 738988 0 0 1835706 738988 0 0 1096718 0 0 0 0 0 0 0 0 525911 0 0 0 DAYLE E IVERSON JAMES B PENDLETON CHARITABLE TRUST 11900 NE 1ST ST 300 BELLEVUE WA 98005 4252843095 LETTER DISCUSSING PROGRAMS QUALIFYING UNDER INTERNAL REVENUE CODE SECTION 501(C)(3) FOR HIV/AIDS RESEARCH, CONTROL OR TREATMENT. NONE NONE IMPERIAL COLLEGE FOUNDATION INC PO BOX 80526 ATLANTA GA 303660526 N/A - NONE PUBLIC CHARITY HIV/AIDS RESEARCH 250000 THE J DAVID GLADSTONE INSTITUTES 1650 OWENS STREET SAN FRANCISCO CA 94158 N/A - NONE PUBLIC CHARITY HIV/AIDS RESEARCH 300000 THE SCRIPPS RESEARCH INSTITUTE 10550 N TORREY PINES ROAD LA JOLLA CA 92037 N/A - NONE PUBLIC CHARITY HIV/AIDS RESEARCH 300000 THE UCLA FOUNDATION 10889 WILSHIRE BOULEVARD SUITE 1000 LOS ANGELES CA 900244201 N/A - NONE PUBLIC CHARITY HIV/AIDS RESEARCH 250000 UC DAVIS - UNIVERSITY OF CALIFORNIA 202 COUSTEAU PLACE SUITE 185 DAVIS CA 95618 N/A - NONE PUBLIC CHARITY HIV/AIDS RESEARCH 200000 UC SAN DIEGO FOUNDATION 9500 GILMAN DRIVE 0940 LA JOLLA CA 920930940 N/A - NONE PUBLIC CHARITY HIV/AIDS RESEARCH 350000 1650000 0 14 14 14 735220 18 788978 0 1524212 0 1524212 0 0 0 0 0 0 0 0 0 0 ACCOUNTING AND TAX RETURN PREPARATION FEES 40820 36738 4082 AUDITING FEES 11000 9900 1100 BLACKROCK HIGH YIELD BD PORTFOLIO AT COST 2333654 2443733 CAUSEWAY INTL VALUE FD AT COST 727172 876220 DFA EMERGING MKTS CORE EQUITY PORTFOLIO AT COST 661398 869779 DFA INTL SMALL CO PORTFOLIO AT COST 548124 653819 DFA REAL ESTATE SECS PORTFOLIO AT COST 355427 529772 DFA US L/C VALUE PORTFOLIO AT COST 1339054 1712748 DOUBLELINE CORE FIXED INCOME FUND AT COST 3319191 3331775 FLEXSHARES MORNINGSTAR GLOBAL UPSTREAM NAT RES INDEX FD AT COST 478360 631840 HARDING LOEVNER INTL EQUITY PORTFOLIO AT COST 748786 1152975 ISHARES ESG AWARE MSCI USA SMALL-CAP ETF AT COST 200932 241920 ISHARES TR GLOBAL INFRASTRUCTURE ETF AT COST 319069 380720 ISHARES TR RUSSELL 1000 GROWTH ETF AT COST 649709 1833540 NORTHERN BD INDEX FD AT COST 1296688 1336233 NORTHERN MID CAP INDEX FD AT COST 564938 725547 NORTHERN SMALL CAP INDEX FD AT COST 549998 668179 NORTHERN STK INDEX FD AT COST 5824589 10624478 NORTHERN ULTRA SHORT FIXED INCOME FD AT COST 1528381 1529993 VANGUARD FTSE ALL WORLD EX-US INDEX FD AT COST 2234011 2960821 VANGUARD EMERGING MKTS STK INDEX FD AT COST 840758 975666 ACCRUED INCOME AT COST 0 7 LEGAL FEES 1444 144 1300 INCOME REPORTED ON TAX RETURN NOT YET RECEIVED 20612 17426 17426 PAYROLL PROCESSING EXPENSE 1032 258 774 DUES AND SUBSCRIPTIONS 1320 660 660 POSTAGE 21 10 11 STATE REGISTRATION FEES 75 0 75 INSURANCE 2253 563 1690 OFFICE EXPENSES 261 131 130 EXPENSE REIMBURSEMENTS PAYABLE 6696 6716 INVESTMENT MANAGEMENT FEES 109399 109399 0 FEDERAL EXCISE TAX PAYMENTS 5000 0 0 FOREIGN TAXES PAID 15830 15830 0