2020-09-17T14:05:16-05:00 2019-12-31 911741928 VON HARTEN & COMPANY INC PS 2101 4TH AVENUE SUITE 2050 SEATTLE WA 98121 990PF 2019-01-01 956944277 JAMES B PENDLETON CHARITABLE TRUST JAME 4252843095 11900 NE 1ST STREET SUITE 300 BELLEVUE WA 98005 DAYLE E IVERSON TRUSTEE & CEO 4252843095 2020-09-01 1 ELIZABETH C HEDLUND CPA P00173862 2064439017 2020-09-01 209.210.157.4 2020-09-01 17:12:04 PD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 9996106860C7B5CA7E501F2D3E18810E0C39608C 2019 2022-01-07 14:23:13Z X 30179766 X X 2131 2131 814696 814696 149845 2720137 149845 966672 966672 180000 45000 135000 21659 5415 16244 193 174 19 31055 27949 3106 102093 102093 0 33565 18565 0 17038 8519 8519 27 14 13 5313 1664 3649 390943 209393 166550 1200000 1200000 1590943 209393 1366550 -624271 757279 261132 407475 407475 26713257 25945207 29754091 16150 18200 18200 26990539 26370882 30179766 933 5547 933 5547 X 26989606 26365335 0 0 0 0 26989606 26365335 26990539 26370882 26989606 -624271 0 26365335 0 26365335 3,500 VANGUARD FTSE EMERGING MKTS ETF 2019-06-18 145317 134201 11116 11116 1,000 ISHARES TR GLOBAL INFRASTRUCTURE ETF 2017-02-01 2019-01-07 40219 39379 840 840 3,500 FLEXSHARES TR IBOXX 3 YR TARGET DURATION TIPS INDEX FD 2017-02-03 2019-01-11 83780 87010 -3230 -3230 4,902.7355 NORTHERN ULTRA SHORT FIXED INCOME FD 2019-01-11 49665 50106 -441 -441 33.0945 NORTHERN ULTRA SHORT FIXED INCOME FD 2017-05-01 2019-01-11 335 335 0 0 4,215.85 NORTHERN MID CAP INDEX FD 2019-02-12 75000 81619 -6619 -6619 2,040.82 DFA REAL ESTATE SECS PORTFOLIO 2019-02-13 75000 70659 4341 4341 3,292.72 VANGUARD FTSE ALL WORLD EX-US INDEX FD 2018-01-30 2019-02-13 100000 118044 -18044 -18044 2,000 FLEXSHARES TR MORNINGSTAR GLOBAL UPSTREAM NAT RES INDEX FD 2017-02-14 2019-02-26 65779 60700 5079 5079 2,275.96 VANGUARD EMERGING MKTS STK INDEX FD 2017-07-17 2019-02-26 80000 79909 91 91 8,108.11 NORTHERN MID CAP INDEX FD 2019-05-02 150000 149337 663 663 4,445.76 NORTHERN STK INDEX FD 2018-02-06 2019-05-02 150000 142442 7558 7558 24,390.24 NORTHERN ULTRA SHORT FIXED INCOME FD 2019-08-08 250000 249023 977 977 10,520.78 DFA EMERGING MKTS CORE EQUITY PORT 2017-02-03 2019-08-14 200000 197265 2735 2735 5,773.67 NORTHERN STK INDEX FD 2018-06-29 2019-10-15 200000 186316 13684 13684 3,030.3 DFA US SMALL CAP 2019-10-16 100000 113386 -13386 -13386 3,172.59 VANGUARD FTSE ALL WORLD EX-US INDEX FD 2018-01-30 2019-10-16 100000 113737 -13737 -13737 13,000 FLEXSHARES TR IBOXX 3 YR TARGET DURATION TIPS INDEX FD 2017-02-03 2019-10-17 318981 323180 -4199 -4199 5,366.73 DFA INTL REAL ESTATE SECS PORT 2017-02-03 2019-10-24 30000 25653 4347 4347 945.85 DFA REAL ESTATE SECS PORTFOLIO 2017-02-03 2019-10-24 40000 32736 7264 7264 14,634.15 NORTHERN ULTRA SHORT FIXED INCOME FD 2017-02-14 2019-10-24 150000 149268 732 732 9,242.14 NORTHERN BD INDEX FD 2017-09-29 2019-10-24 100000 97689 2311 2311 3,642.55 DFA EMERGING MKTS CORE EQUITY PORT 2017-02-03 2019-10-31 75000 68298 6702 6702 CAPITAL GAINS DIVIDENDS P 141061 141061 141061 149845 0 1170326 29049221 0.040288 1529121 28078813 0.054458 1363057 26181317 0.052062 1353002 27161136 0.049814 1283422 27532020 0.046616 0.243238 0.048648 28521247 1387502 7573 1395075 1366550 15146 0 15146 0 15146 9839 21000 0 30839 X 0 15693 15693 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 2050 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 102093 0 0 28648247 289134 18200 28955581 0 0 28955581 434334 28521247 1426062 1426062 15146 15146 1410916 0 1410916 0 1410916 1366550 0 1366550 0 1366550 1410916 973955 0 0 1366550 973955 0 0 392595 0 0 0 0 0 0 0 0 1018321 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 J DAVID GLADSTONE INSTITUTES 1650 OWENS STREET SAN FRANCISCO CA 94158 PUBLIC CHARITY HIV/AIDS RESEARCH 250000 THE SCRIPPS RESEARCH INSTITUTE 10550 N TORREY PINES ROAD LA JOLLA CA 92037 PUBLIC CHARITY HIV/AIDS RESEARCH 250000 THE UCLA FOUNDATION 10889 WILSHIRE BOULEVARD SUITE 1500 LOS ANGELES CA 900244201 PUBLIC CHARITY HIV/AIDS RESEARCH 200000 UC DAVIS - UNIVERSITY OF CALIFORNIA 202 COUSTEAU PLACE SUITE 185 DAVIS CA 95618 PUBLIC CHARITY HIV/AIDS RESEARCH 200000 UC SAN DIEGO FOUNDATION 9500 GILMAN DRIVE 0940 LA JOLLA CA 920930940 PUBLIC CHARITY HIV/AIDS RESEARCH 300000 1200000 0 14 2131 14 814696 18 149845 0 966672 0 966672 0 0 0 0 0 0 0 0 0 0 ACCOUNTING FEES - VON HARTEN & COMPANY INC PS 31055 27949 3106 BLACKROCK HIGH YIELD BD PORTFOLIO AT COST 2113353 2130873 CAUSEWAY CAP MGMT INTL VALUE FD AT COST 946414 1008627 DFA EMERGING MKTS CORE EQUITY PORTFOLIO AT COST 1034438 1201051 DFA INTL REAL ESTATE SECS PORTFOLIO AT COST 309232 322818 DFA INTL SMALL CO PORTFOLIO AT COST 525129 546748 DFA REAL ESTATE SECS PORTFOLIO AT COST 299810 357159 DFA US L/C VALUE PORTFOLIO AT COST 1371723 1478619 DFA US SMALL CAP PORTFOLIO AT COST 955612 976357 DOUBLELINE CORE FIXED INCOME FUND AT COST 2405000 2458443 FLEXSHARES MORNINGSTAR GLOBAL UPSTREAM NAT RES INDEX FD AT COST 827328 922075 HARDING LOEVNER INTL EQUITY PORTFOLIO AT COST 656046 825832 ISHARES TR GLOBAL INFRASTRUCTURE ETF AT COST 275654 335370 ISHARES TR RUSSELL 1000 GROWTH ETF AT COST 977561 1495320 NORTHERN BD INDEX FD AT COST 1792406 1858247 NORTHERN MID CAP INDEX FD AT COST 1202494 1279455 NORTHERN STK INDEX FD AT COST 5837250 7687641 NORTHERN ULTRA SHORT FIXED INCOME FD AT COST 1300088 1308244 VANGUARD FTSE ALL WORLD EX-US INDEX FD AT COST 2595578 2970350 DFA EMERGING MKTS STK INDEX FD AT COST 520091 590662 ACCRUED INCOME FROM SECURITIES AT COST 0 200 LEGAL FEES - GREENBERG GLUSKER LLP 193 174 19 INCOME REPORTED ON TAX RETURN NOT YET RECEIVED 16150 18200 18200 PAYROLL PROCESSING EXPENSE 1398 350 1048 DUES AND SUBSCRIPTIONS 1184 592 592 POSTAGE 115 58 57 STATE REGISTRATION FEES 160 0 160 INSURANCE 2253 563 1690 OFFICE EXPENSES 203 101 102 CREDIT CARD PAYABLE 933 0 EXPENSE REIMBURSEMENT PAYABLE 0 5547 INVESTMENT MANAGEMENT FEES - THE NORTHERN TRUST COMPANY 102093 102093 0 FEDERAL EXCISE TAX PAYMENTS 15000 0 0 FOREIGN TAXES PAID 18565 18565 0