SHAFFER FAMILY FOUNDATION: Form 990PF, tax year 2019
View the entire original 990 at ProPublica ↗
- Organization
- SHAFFER FAMILY FOUNDATION (EIN 45-6314648)
- Tax period
- 2019-01-01 to 2019-12-31
- Filed
- 2020-10-13
- IRS object ID
- 202022879349100902
- Schema version
- 2019v5.0
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990-PF
- Accounting Fees Schedule
- Other Assets Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Other Professional Fees Schedule
- Substantial Contributors Sch
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2020-10-13T10:55:20-07:00 | ReturnTs |
| Tax Period End | 2019-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 953518255 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | Lawrence M Schwartz CPA | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 2211 Encinitas Blvd 200 | AddressLine1Txt |
| City | Encinitas | CityNm |
| State Abbreviation | CA | StateAbbreviationCd |
| ZIP | 920244361 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2019-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 456314648 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | SHAFFER FAMILY FOUNDATION DTD 42911 | BusinessNameLine1Txt |
| Business Name Line2 | CO LAWRENCE M SCHWARTZ CPA | BusinessNameLine2Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | SHAF | BusinessNameControlTxt |
| Phone | 7607534434 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 2211 ENCINITAS BLVD | AddressLine1Txt |
| City | ENCINITAS | CityNm |
| State Abbreviation | CA | StateAbbreviationCd |
| ZIP | 92024 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | JAMES D SHAFFER | PersonNm |
| Person Title | Trustee | PersonTitleTxt |
| Signature | 2020-10-12 | SignatureDt |
| Discuss With Paid Preparer | Yes (true) | DiscussWithPaidPreparerInd |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | Lawrence M Schwartz | PreparerPersonNm |
| PTIN | P00016922 | PTIN |
| Phone | 7607534434 | PhoneNum |
| Self Employed | Yes (X) | SelfEmployedInd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2019 | TaxYr |
| Build TS | 2021-04-22 16:20:28Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $32,557,496 | FMVAssetsEOYAmt |
| Method Of Accounting Cash | Yes (X) | MethodOfAccountingCashInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contri Rcvd Rev And Expnss | $162,101 | ContriRcvdRevAndExpnssAmt |
| Schedule B Not Required | Yes (X) | ScheduleBNotRequiredInd |
| Interest On Sav Rev And Expnss | $104,911 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $104,911 | InterestOnSavNetInvstIncmAmt |
| Interest On Savings Adj Net Incm | $104,911 | InterestOnSavingsAdjNetIncmAmt |
| Dividends Rev And Expnss | $813,480 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $813,480 | DividendsNetInvstIncmAmt |
| Dividends Adj Net Incm | $813,480 | DividendsAdjNetIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $814,045 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $10,852,085 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $814,045 | CapGainNetIncmNetInvstIncmAmt |
| Net ST Capital Gain Adj Net Incm | $37,489 | NetSTCapitalGainAdjNetIncmAmt |
| Other Income Rev And Expnss | -$66,129 | OtherIncomeRevAndExpnssAmt |
| Other Income Net Invst Incm | -$66,129 | OtherIncomeNetInvstIncmAmt |
| Total Rev And Expnss | $1,828,408 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $1,666,307 | TotalNetInvstIncmAmt |
| Total Adj Net Incm | $955,880 | TotalAdjNetIncmAmt |
| Accounting Fees Rev And Expnss | $14,000 | AccountingFeesRevAndExpnssAmt |
| Accounting Fees Net Invst Incm | $7,000 | AccountingFeesNetInvstIncmAmt |
| Accounting Fees Adj Net Incm | $1,400 | AccountingFeesAdjNetIncmAmt |
| Accounting Fees Chrtbl Prps | $1,400 | AccountingFeesChrtblPrpsAmt |
| Other Prof Fees Rev And Expnss | $103,372 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $99,617 | OtherProfFeesNetInvstIncmAmt |
| Other Prof Fees Adj Net Incm | $25,000 | OtherProfFeesAdjNetIncmAmt |
| Other Prof Fees Dsbrs Chrtbl | $3,755 | OtherProfFeesDsbrsChrtblAmt |
| Taxes Rev And Expnss | $17,208 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $17,208 | TaxesNetInvstIncmAmt |
| Other Expenses Rev And Expnss | $413 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Net Invst Incm | $390 | OtherExpensesNetInvstIncmAmt |
| Other Expenses Adj Net Incm | $23 | OtherExpensesAdjNetIncmAmt |
| Tot Opr Expenses Rev And Expnss | $134,993 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $124,215 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Adj Net Incm | $26,423 | TotOprExpensesAdjNetIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $5,155 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $1,842,550 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $1,842,550 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $1,977,543 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $124,215 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Adj Net Incm | $26,423 | TotalExpensesAdjNetIncmAmt |
| Total Expenses Dsbrs Chrtbl | $1,847,705 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | -$149,135 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $1,542,092 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $929,457 | AdjustedNetIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sav And Temp Cash Invst BOY | $557,073 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $904,228 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $904,228 | SavAndTempCashInvstEOYFMVAmt |
| US Government Obligations BOY | $1,584,999 | USGovernmentObligationsBOYAmt |
| US Government Obligations EOY | $108,154 | USGovernmentObligationsEOYAmt |
| US Govt Obligations EOYFMV | $100,852 | USGovtObligationsEOYFMVAmt |
| Corporate Stock BOY | $12,034,215 | CorporateStockBOYAmt |
| Corporate Stock EOY | $19,960,322 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $27,639,671 | CorporateStockEOYFMVAmt |
| Corporate Bonds BOY | $1,476,618 | CorporateBondsBOYAmt |
| Corporate Bonds EOY | $2,789,626 | CorporateBondsEOYAmt |
| Corporate Bonds EOYFMV | $2,846,561 | CorporateBondsEOYFMVAmt |
| Other Investments BOY | $9,324,744 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $1,037,831 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $1,037,831 | OtherInvestmentsEOYFMVAmt |
| Other Assets EOY | $28,353 | OtherAssetsEOYAmt |
| Other Assets EOYFMV | $28,353 | OtherAssetsEOYFMVAmt |
| Total Assets BOY | $24,977,649 | TotalAssetsBOYAmt |
| Total Assets EOY | $24,828,514 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $32,557,496 | TotalAssetsEOYFMVAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Organization Follows FASB117 | Yes (X) | OrganizationFollowsFASB117Ind |
| No Donor Rstr Net Assests BOY | $24,977,649 | NoDonorRstrNetAssestsBOYAmt |
| Tot Net Ast Or Fund Balances BOY | $24,977,649 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $24,828,514 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $24,977,649 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $24,828,514 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $24,977,649 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | -$149,135 | ExcessRevenueOverExpensesAmt |
| Subtotal | $24,828,514 | SubtotalAmt |
| Tot Net Ast Or Fund Balances EOY | $24,828,514 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (250 entries)
| PropertyPropertyDesc | How AcquiredHowAcquiredCd | AcquiredAcquiredDt | SoldSoldDt | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt |
|---|---|---|---|---|---|---|---|
| 9 ALPHABET INC CAP STK CL C | P | 2019-02-14 | 2019-04-04 | $10,909 | $10,135 | $774 | $774 |
| 40.1482 ALPHABET INC CAP STK CL C | P | 2014-04-25 | 2019-04-04 | $48,663 | $20,668 | $27,995 | $27,995 |
| 5.0137 ALPHABET INC CAP STK CL C | P | 2012-09-25 | 2019-04-04 | $6,077 | $1,895 | $4,182 | $4,182 |
| 10.0275 ALPHABET INC CAP STK CL C | P | 2012-08-30 | 2019-04-04 | $12,154 | $3,408 | $8,746 | $8,746 |
| 10.0275 ALPHABET INC CAP STK CL C | P | 2012-06-07 | 2019-04-04 | $12,154 | $2,909 | $9,245 | $9,245 |
| 10.0275 ALPHABET INC CAP STK CL C | P | 2012-03-07 | 2019-04-04 | $12,154 | $3,037 | $9,117 | $9,117 |
| 15.0412 ALPHABET INC CAP STK CL C | P | 2012-02-07 | 2019-04-04 | $18,231 | $4,540 | $13,691 | $13,691 |
| 18.7144 ALPHABET INC CAP STK CL C | P | 2012-01-24 | 2019-04-04 | $22,683 | $5,393 | $17,290 | $17,290 |
| 107 APPLE INC COM | P | 2012-02-07 | 2019-04-04 | $20,917 | $7,161 | $13,756 | $13,756 |
| 557 AT&T INC COM | P | 2018-07-12 | 2019-04-04 | $17,847 | $17,944 | -$97 | -$97 |
| 432 AT&T INC COM | P | 2018-04-09 | 2019-04-04 | $13,842 | $15,391 | -$1,549 | -$1,549 |
| 319 AT&T INC COM | P | 2018-02-13 | 2019-04-04 | $10,221 | $11,559 | -$1,338 | -$1,338 |
| 50000 AT&T INC GLOBAL NT 2.625% 12/01/22 B/E DTD 12/11/12 CLB | P | 2016-09-27 | 2019-04-04 | $49,373 | $50,440 | -$1,067 | -$1,067 |
| 20 BLACKROCK INC COM | P | 2018-12-21 | 2019-04-04 | $8,801 | $7,438 | $1,363 | $1,363 |
| 37 BLACKROCK INC COM | P | 2018-08-08 | 2019-04-04 | $16,281 | $18,093 | -$1,812 | -$1,812 |
| 107 BLACKROCK INC COM | P | 2014-06-09 | 2019-04-04 | $47,084 | $33,550 | $13,534 | $13,534 |
| 20 BOEING CO COM | P | 2019-02-14 | 2019-04-04 | $7,883 | $8,224 | -$341 | -$341 |
| 13 BOEING CO COM | P | 2012-03-07 | 2019-04-04 | $5,124 | $956 | $4,168 | $4,168 |
| 77 BOEING CO COM | P | 2011-10-04 | 2019-04-04 | $30,349 | $4,455 | $25,894 | $25,894 |
| 50000 CAROLINA PWR & LT CO 1ST MTG BD 3.000% 09/15/21 B/E DTD 09/15/11 CLB | P | 2015-03-03 | 2019-04-04 | $50,324 | $50,741 | -$417 | -$417 |
| 50000 CATERPILLAR FINL SVCS CORP MEDIUM TERM NTS- FXD RT NTS SER-H 3.300% 06/09/24 B/E DTD 06/09/14 | P | 2017-09-20 | 2019-04-04 | $50,979 | $51,452 | -$473 | -$473 |
| 54 CELANESE CORP DEL COM | P | 2019-02-14 | 2019-04-04 | $5,632 | $5,392 | $240 | $240 |
| 52 CELANESE CORP DEL COM | P | 2014-11-24 | 2019-04-04 | $5,424 | $3,177 | $2,247 | $2,247 |
| 165 CELANESE CORP DEL COM | P | 2012-03-07 | 2019-04-04 | $17,209 | $7,463 | $9,746 | $9,746 |
| 160 CELANESE CORP DEL COM | P | 2012-02-07 | 2019-04-04 | $16,688 | $8,246 | $8,442 | $8,442 |
| 170 CELANESE CORP DEL COM | P | 2012-01-06 | 2019-04-04 | $17,731 | $7,624 | $10,107 | $10,107 |
| 198 CELANESE CORP DEL COM | P | 2011-10-04 | 2019-04-04 | $20,651 | $6,149 | $14,502 | $14,502 |
| 698 CISCO SYSTEMS INC | P | 2012-05-21 | 2019-04-04 | $38,476 | $11,559 | $26,917 | $26,917 |
| 210 CISCO SYSTEMS INC | P | 2012-03-07 | 2019-04-04 | $11,576 | $4,097 | $7,479 | $7,479 |
| 525 CISCO SYSTEMS INC | P | 2012-01-06 | 2019-04-04 | $28,939 | $9,954 | $18,985 | $18,985 |
| 36 CITIGROUP INC COM NEW ISIN#US1729674242 | P | 2014-06-25 | 2019-04-04 | $2,363 | $1,731 | $632 | $632 |
| 260 CITIGROUP INC COM NEW ISIN#US1729674242 | P | 2014-06-09 | 2019-04-04 | $17,070 | $12,863 | $4,207 | $4,207 |
| 259 CITIGROUP INC COM NEW ISIN#US1729674242 | P | 2014-03-25 | 2019-04-04 | $17,004 | $13,042 | $3,962 | $3,962 |
| 105 CME GROUP INC COM | P | 2018-10-01 | 2019-04-04 | $17,735 | $18,204 | -$469 | -$469 |
| 17 CME GROUP INC COM | P | 2012-06-07 | 2019-04-04 | $2,871 | $912 | $1,959 | $1,959 |
| 50000 CNA FINL CORP FXD RT 3.950% 05/15/24 B/E DTD 02/27/14 CLB | P | 2017-09-20 | 2019-04-04 | $51,111 | $51,863 | -$752 | -$752 |
| 249 COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A | P | 2016-10-03 | 2019-04-04 | $18,319 | $12,395 | $5,924 | $5,924 |
| 271 COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A | P | 2016-08-23 | 2019-04-04 | $19,938 | $15,772 | $4,166 | $4,166 |
| 184 COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A | P | 2016-08-22 | 2019-04-04 | $13,537 | $10,624 | $2,913 | $2,913 |
| 534 COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A | P | 2016-03-16 | 2019-04-04 | $39,287 | $31,452 | $7,835 | $7,835 |
| 215 CVS HEALTH CORP COM | P | 2018-01-24 | 2019-04-04 | $11,445 | $17,431 | -$5,986 | -$5,986 |
| 168 CVS HEALTH CORP COM | P | 2017-08-09 | 2019-04-04 | $8,943 | $13,331 | -$4,388 | -$4,388 |
| 180 CVS HEALTH CORP COM | P | 2012-03-07 | 2019-04-04 | $9,582 | $8,071 | $1,511 | $1,511 |
| 143 CVS HEALTH CORP COM | P | 2012-02-07 | 2019-04-04 | $7,612 | $6,206 | $1,406 | $1,406 |
| 47 DIAGEO PLC SPONSORED ADR NEW ISIN#US25243Q2057 | P | 2018-12-21 | 2019-04-04 | $7,643 | $6,643 | $1,000 | $1,000 |
| 79 DIAGEO PLC SPONSORED ADR NEW ISIN#US25243Q2057 | P | 2018-11-21 | 2019-04-04 | $12,847 | $11,418 | $1,429 | $1,429 |
| 122 DIAGEO PLC SPONSORED ADR NEW ISIN#US25243Q2057 | P | 2016-04-22 | 2019-04-04 | $19,840 | $13,355 | $6,485 | $6,485 |
| 36 DIAGEO PLC SPONSORED ADR NEW ISIN#US25243Q2057 | P | 2012-03-07 | 2019-04-04 | $5,854 | $3,420 | $2,434 | $2,434 |
| 90 DIAGEO PLC SPONSORED ADR NEW ISIN#US25243Q2057 | P | 2012-02-07 | 2019-04-04 | $14,636 | $8,420 | $6,216 | $6,216 |
| 100 DIAGEO PLC SPONSORED ADR NEW ISIN#US25243Q2057 | P | 2012-01-06 | 2019-04-04 | $16,262 | $8,698 | $7,564 | $7,564 |
| 74 DIAGEO PLC SPONSORED ADR NEW ISIN#US25243Q2057 | P | 2011-10-04 | 2019-04-04 | $12,034 | $5,516 | $6,518 | $6,518 |
| 47000 DOW CHEM CO FIXED RT NT 4.250% 11/15/20 B/E DTD 11/09/10 CLB | P | 2015-03-03 | 2019-04-04 | $47,898 | $48,257 | -$359 | -$359 |
| 50000 DTE ENERGY CO FIXED RT SR SER F 3.850% 12/01/23 B/E DTD 11/25/13 CLB | P | 2018-08-28 | 2019-04-04 | $51,365 | $50,346 | $1,019 | $1,019 |
| 203 EATON CORPORATION PLC SHS ISIN#IE00B8KQN827 | P | 2018-11-21 | 2019-04-04 | $16,836 | $15,150 | $1,686 | $1,686 |
| 360 EATON CORPORATION PLC SHS ISIN#IE00B8KQN827 | P | 2012-12-06 | 2019-04-04 | $29,857 | $15,105 | $14,752 | $14,752 |
| 100.437 EATON CORPORATION PLC SHS ISIN#IE00B8KQN827 | P | 2012-12-03 | 2019-04-04 | $8,330 | $4,262 | $4,068 | $4,068 |
| 62.084 EATON CORPORATION PLC SHS ISIN#IE00B8KQN827 | P | 2012-12-03 | 2019-04-04 | $5,149 | $2,635 | $2,514 | $2,514 |
| 44.479 EATON CORPORATION PLC SHS ISIN#IE00B8KQN827 | P | 2012-12-03 | 2019-04-04 | $3,689 | $1,888 | $1,801 | $1,801 |
| 162 ELECTRONIC ARTS INC COM | P | 2019-02-14 | 2019-04-04 | $15,886 | $17,098 | -$1,212 | -$1,212 |
| 384 ELECTRONIC ARTS INC COM | P | 2018-12-21 | 2019-04-04 | $37,656 | $29,375 | $8,281 | $8,281 |
| 156 EOG RES INC COM | P | 2018-11-21 | 2019-04-04 | $14,602 | $16,518 | -$1,916 | -$1,916 |
| 390 EOG RES INC COM | P | 2018-04-09 | 2019-04-04 | $36,505 | $40,897 | -$4,392 | -$4,392 |
| 524 FLEX LTD ORD SHS ISIN#SG9999000020 | P | 2019-02-14 | 2019-04-04 | $5,603 | $5,369 | $234 | $234 |
| 1203 FLEX LTD ORD SHS ISIN#SG9999000020 | P | 2018-07-12 | 2019-04-04 | $12,863 | $17,673 | -$4,810 | -$4,810 |
| 464 FLEX LTD ORD SHS ISIN#SG9999000020 | P | 2018-04-09 | 2019-04-04 | $4,961 | $7,570 | -$2,609 | -$2,609 |
| 2282 FLEX LTD ORD SHS ISIN#SG9999000020 | P | 2018-03-07 | 2019-04-04 | $24,400 | $42,043 | -$17,643 | -$17,643 |
| 209 GILEAD SCIENCES INC | P | 2017-03-24 | 2019-04-04 | $13,961 | $14,096 | -$135 | -$135 |
| 274 GILEAD SCIENCES INC | P | 2012-03-07 | 2019-04-04 | $18,304 | $6,192 | $12,112 | $12,112 |
| 145 GILEAD SCIENCES INC | P | 2012-01-06 | 2019-04-04 | $9,686 | $3,111 | $6,575 | $6,575 |
| 466 HAIN CELESTIAL GROUP INC COM | P | 2018-12-21 | 2019-04-04 | $10,114 | $7,294 | $2,820 | $2,820 |
| 289 HAIN CELESTIAL GROUP INC COM | P | 2017-06-26 | 2019-04-04 | $6,272 | $9,692 | -$3,420 | -$3,420 |
| 772 HAIN CELESTIAL GROUP INC COM | P | 2015-12-17 | 2019-04-04 | $16,755 | $31,659 | -$14,904 | -$14,904 |
| 103 HOME DEPOT INC COM | P | 2017-03-31 | 2019-04-04 | $20,561 | $15,138 | $5,423 | $5,423 |
| 100000 KLA-TENCOR CORP SR NT 4.125% 11/01/21 B/E DTD 11/06/14 CLB | P | 2014-11-25 | 2019-04-04 | $102,545 | $100,528 | $2,017 | $2,017 |
| 52 LAM RESEARCH CORP | P | 2018-10-01 | 2019-04-04 | $9,926 | $7,849 | $2,077 | $2,077 |
| 252 LAM RESEARCH CORP | P | 2018-07-24 | 2019-04-04 | $48,103 | $43,725 | $4,378 | $4,378 |
| 112 LAS VEGAS SANDS CORP COM | P | 2018-10-01 | 2019-04-04 | $7,286 | $6,724 | $562 | $562 |
| 293 LAS VEGAS SANDS CORP COM | P | 2018-07-27 | 2019-04-04 | $19,061 | $20,835 | -$1,774 | -$1,774 |
| 309 LAS VEGAS SANDS CORP COM | P | 2016-04-22 | 2019-04-04 | $20,102 | $14,493 | $5,609 | $5,609 |
| 494 LAS VEGAS SANDS CORP COM | P | 2014-09-10 | 2019-04-04 | $32,138 | $31,089 | $1,049 | $1,049 |
| 213 LILLY ELI & CO COM | P | 2016-11-29 | 2019-04-04 | $26,695 | $14,311 | $12,384 | $12,384 |
| 344 LILLY ELI & CO COM | P | 2016-10-03 | 2019-04-04 | $43,114 | $27,752 | $15,362 | $15,362 |
| 50000 LYB INTL FIN BC GTD NT ISIN#US50247VAA70 4.000% 07/15/23 B/E DTD 07/16/13 | P | 2018-05-16 | 2019-04-04 | $51,051 | $50,209 | $842 | $842 |
| 481 MANULIFE FINL CORP COM ISIN#CA56501R1064 | P | 2018-12-21 | 2019-04-04 | $8,443 | $6,709 | $1,734 | $1,734 |
| 1484 MANULIFE FINL CORP COM ISIN#CA56501R1064 | P | 2016-03-01 | 2019-04-04 | $26,047 | $20,846 | $5,201 | $5,201 |
| 1214 MANULIFE FINL CORP COM ISIN#CA56501R1064 | P | 2015-12-17 | 2019-04-04 | $21,308 | $17,836 | $3,472 | $3,472 |
| 304 MERCK & CO INC NEW COM | P | 2016-04-22 | 2019-04-04 | $24,770 | $17,255 | $7,515 | $7,515 |
| 26 MERCK & CO INC NEW COM | P | 2016-02-05 | 2019-04-04 | $2,118 | $1,283 | $835 | $835 |
| 93 MICROSOFT CORP COM | P | 2016-04-22 | 2019-04-04 | $11,058 | $4,816 | $6,242 | $6,242 |
| 91 MICROSOFT CORP COM | P | 2015-08-11 | 2019-04-04 | $10,820 | $4,225 | $6,595 | $6,595 |
| 403 MONDELEZ INTL INC CL A | P | 2018-10-01 | 2019-04-04 | $20,006 | $17,291 | $2,715 | $2,715 |
| 396 MONDELEZ INTL INC CL A | P | 2018-07-27 | 2019-04-04 | $19,658 | $17,021 | $2,637 | $2,637 |
| 270 MONDELEZ INTL INC CL A | P | 2018-07-17 | 2019-04-04 | $13,403 | $11,582 | $1,821 | $1,821 |
| 50000 MOSAIC CO NEW FXD RT SR NT 4.250% 11/15/23 B/E DTD 11/13/13 CLB | P | 2016-05-13 | 2019-04-04 | $51,744 | $52,038 | -$294 | -$294 |
| 235 NIKE INC CL B | P | 2017-10-30 | 2019-04-04 | $19,900 | $12,918 | $6,982 | $6,982 |
| 404 NIKE INC CL B | P | 2017-10-12 | 2019-04-04 | $34,212 | $20,498 | $13,714 | $13,714 |
| 50000 PACIFICORP FIXED RATE 1ST MTG BD 2.950% 06/01/23 B/E DTD 06/06/13 CLB | P | 2016-10-06 | 2019-04-04 | $50,191 | $51,642 | -$1,451 | -$1,451 |
| 258 PNC FINL SVCS GROUP INC COM | P | 2015-05-27 | 2019-04-04 | $33,156 | $24,760 | $8,396 | $8,396 |
| 100000 PRIMERICA INC SR NT 4.750% 07/15/22 B/E DTD 07/16/12 | P | 2012-07-12 | 2019-04-04 | $105,190 | $100,508 | $4,682 | $4,682 |
| 711 ROCHE HLDGS LTD SPONSORED ADR ISIN#US7711951043 | P | 2016-04-22 | 2019-04-04 | $24,323 | $23,044 | $1,279 | $1,279 |
| 385 ROCHE HLDGS LTD SPONSORED ADR ISIN#US7711951043 | P | 2015-10-23 | 2019-04-04 | $13,171 | $13,047 | $124 | $124 |
| 992 ROCHE HLDGS LTD SPONSORED ADR ISIN#US7711951043 | P | 2015-02-27 | 2019-04-04 | $33,936 | $33,806 | $130 | $130 |
| 445 SPIRIT AEROSYSTEMS HLDGS INC CL A | P | 2016-10-03 | 2019-04-04 | $40,252 | $20,121 | $20,131 | $20,131 |
| 470 SUNCOR ENERGY INC NEW COM ISIN#CA8672241079 | P | 2018-11-21 | 2019-04-04 | $15,337 | $15,840 | -$503 | -$503 |
| 1055 SUNCOR ENERGY INC NEW COM ISIN#CA8672241079 | P | 2015-07-28 | 2019-04-04 | $34,426 | $27,045 | $7,381 | $7,381 |
| 1282 SUNCOR ENERGY INC NEW COM ISIN#CA8672241079 | P | 2015-07-08 | 2019-04-04 | $41,833 | $34,693 | $7,140 | $7,140 |
| 134 TE CONNECTIVITY LTD REG SHS ISIN#CH0102993182 | P | 2017-05-22 | 2019-04-04 | $11,528 | $10,112 | $1,416 | $1,416 |
| 609 TE CONNECTIVITY LTD REG SHS ISIN#CH0102993182 | P | 2016-11-07 | 2019-04-04 | $52,392 | $39,346 | $13,046 | $13,046 |
| 64 THERMO FISHER SCIENTIFIC INC COM | P | 2012-02-07 | 2019-04-04 | $17,520 | $3,553 | $13,967 | $13,967 |
| 278 TOTAL S A SPONSORED ADR | P | 2018-11-21 | 2019-04-04 | $15,591 | $15,803 | -$212 | -$212 |
| 379 TOTAL S A SPONSORED ADR | P | 2017-08-09 | 2019-04-04 | $21,255 | $19,507 | $1,748 | $1,748 |
| 286 TOTAL S A SPONSORED ADR | P | 2015-10-23 | 2019-04-04 | $16,039 | $14,446 | $1,593 | $1,593 |
| 135 TOTAL S A SPONSORED ADR | P | 2014-12-19 | 2019-04-04 | $7,571 | $7,195 | $376 | $376 |
| 625 TOTAL S A SPONSORED ADR | P | 2012-07-05 | 2019-04-04 | $35,051 | $28,291 | $6,760 | $6,760 |
| 942 UBS GROUP AG SHS ISIN#CH0244767585 | P | 2018-04-09 | 2019-04-04 | $11,842 | $16,441 | -$4,599 | -$4,599 |
| 2577 UBS GROUP AG SHS ISIN#CH0244767585 | P | 2018-01-24 | 2019-04-04 | $32,397 | $53,255 | -$20,858 | -$20,858 |
| 250 UNION PAC CORP COM | P | 2012-03-07 | 2019-04-04 | $42,106 | $13,497 | $28,609 | $28,609 |
| 93 UNION PAC CORP COM | P | 2012-02-07 | 2019-04-04 | $15,663 | $5,326 | $10,337 | $10,337 |
| 270 UNION PAC CORP COM | P | 2012-01-06 | 2019-04-04 | $45,475 | $14,518 | $30,957 | $30,957 |
| 62 UNION PAC CORP COM | P | 2011-10-04 | 2019-04-04 | $10,442 | $2,493 | $7,949 | $7,949 |
| 139 UNITED PARCEL SVC INC CL B | P | 2018-11-21 | 2019-04-04 | $15,820 | $15,171 | $649 | $649 |
| 99 UNITED PARCEL SVC INC CL B | P | 2017-03-24 | 2019-04-04 | $11,268 | $10,389 | $879 | $879 |
| 110 UNITED PARCEL SVC INC CL B | P | 2012-03-07 | 2019-04-04 | $12,520 | $8,328 | $4,192 | $4,192 |
| 49 UNITED PARCEL SVC INC CL B | P | 2012-02-07 | 2019-04-04 | $5,577 | $3,786 | $1,791 | $1,791 |
| 115 UNITED PARCEL SVC INC CL B | P | 2012-01-06 | 2019-04-04 | $13,089 | $8,462 | $4,627 | $4,627 |
| 135 UNITED PARCEL SVC INC CL B | P | 2011-10-04 | 2019-04-04 | $15,365 | $8,471 | $6,894 | $6,894 |
| 125000 UNITED STATES TREAS NTS 1.250% 01/31/20 B/E DTD 01/31/15 | P | 2016-02-08 | 2019-04-04 | $123,828 | $125,039 | -$1,211 | -$1,211 |
| 50000 UNITED STATES TREAS NTS 1.375% 08/31/23 B/E DTD 08/31/16 | P | 2016-09-26 | 2019-04-04 | $48,049 | $49,895 | -$1,846 | -$1,846 |
| 100000 UNITED STATES TREAS NTS 1.875% 08/31/24 B/E DTD 08/31/17 | P | 2017-09-20 | 2019-04-04 | $97,637 | $98,492 | -$855 | -$855 |
| 100000 UNITED STATES TREAS NTS 1.875% 11/30/21 B/E DTD 11/30/14 | P | 2016-02-08 | 2019-04-04 | $98,891 | $100,641 | -$1,750 | -$1,750 |
| 100000 UNITED STATES TREAS NTS 2.000% 02/15/23 B/E DTD 02/15/13 | P | 2017-03-03 | 2019-04-04 | $98,879 | $98,797 | $82 | $82 |
| 100000 UNITED STATES TREAS NTS 2.000% 11/30/22 B/E DTD 11/30/15 | P | 2016-12-21 | 2019-04-04 | $98,938 | $98,707 | $231 | $231 |
| 100000 UNITED STATES TREAS NTS 2.125% 02/29/24 B/E DTD 02/28/17 | P | 2017-03-03 | 2019-04-04 | $99,082 | $98,664 | $418 | $418 |
| 50000 UNITED STATES TREAS NTS 2.125% 09/30/21 B/E DTD 09/30/14 | P | 2016-12-21 | 2019-04-04 | $49,768 | $50,056 | -$288 | -$288 |
| 50000 UNITED STATES TREAS NTS 2.125% 11/30/23 B/E DTD 11/30/16 | P | 2017-03-07 | 2019-04-04 | $49,578 | $49,439 | $139 | $139 |
| 75000 UNITED STATES TREAS NTS 2.750% 02/15/24 B/E DTD 02/15/14 | P | 2018-05-01 | 2019-04-04 | $76,479 | $84,155 | -$7,676 | -$7,676 |
| 50000 UNITED STATES TREAS NTS 2.750% 04/30/23 B/E DTD 04/30/18 | P | 2018-05-01 | 2019-04-04 | $50,850 | $49,861 | $989 | $989 |
| 50000 UNITED STATES TREAS NTS 2.750% 08/31/25 B/E DTD 08/31/18 | P | 2018-09-12 | 2019-04-04 | $51,047 | $49,465 | $1,582 | $1,582 |
| 150000 UNITED STATES TREAS NTS 2.875% 04/30/25 B/E DTD 04/30/18 | P | 2018-05-07 | 2019-04-04 | $154,201 | $149,777 | $4,424 | $4,424 |
| 75000 UNITED STATES TREAS NTS 2.875% 07/31/25 B/E DTD 07/31/18 | P | 2018-08-27 | 2019-04-04 | $77,130 | $75,274 | $1,856 | $1,856 |
| 177 UNITEDHEALTH GROUP INC COM | P | 2012-02-07 | 2019-04-04 | $43,726 | $9,174 | $34,552 | $34,552 |
| 50000 WHIRLPOOL CORP SR NT 4.000% 03/01/24 B/E DTD 02/25/14 | P | 2018-05-16 | 2019-04-04 | $51,265 | $50,417 | $848 | $848 |
| 50000 WISCONSIN ELEC PWR CO FIXED RATE 2.950% 09/15/21 B/E DTD 09/13/11 CLB | P | 2016-01-11 | 2019-04-04 | $50,055 | $50,514 | -$459 | -$459 |
| 626 ZOETIS INC CL A | P | 2017-04-25 | 2019-04-04 | $63,444 | $34,512 | $28,932 | $28,932 |
| 100000 GOLDMAN SACHS GROUP INC FXD RT SR NT 3.850% 01/26/27 B/E DTD 01/26/17 CLB | P | 2019-04-04 | 2019-04-16 | $100,410 | $100,477 | -$67 | -$67 |
| 150000 CATERPILLAR FINL SVCS CORP MEDIUM TERM NTS FLTG RT SR NT SER I 3.193% 05/15/23 B/E DTD 05/16/ | P | 2019-04-04 | 2019-04-25 | $149,841 | $150,409 | -$568 | -$568 |
| 100000 ENERGY TRANSFER PARTNERS L P FXD RT SR NT 4.750% 01/15/26 B/E DTD 06/23/15 CLB | P | 2019-04-04 | 2019-04-25 | $104,702 | $104,430 | $272 | $272 |
| 30 APPLE INC COM | P | 2013-02-04 | 2019-04-29 | $6,148 | $1,907 | $4,241 | $4,241 |
| 85 APPLE INC COM | P | 2012-02-07 | 2019-04-29 | $17,421 | $5,689 | $11,732 | $11,732 |
| 64 TJX COS INC NEW COM | P | 2012-02-07 | 2019-04-29 | $3,511 | $1,107 | $2,404 | $2,404 |
| 300 TJX COS INC NEW COM | P | 2012-01-06 | 2019-04-29 | $16,458 | $4,988 | $11,470 | $11,470 |
| 1787.115 BOSTON PARTNERS LONG/SHORT RESEARCH FUND INST CLASS | P | 2016-10-18 | 2019-05-10 | $26,968 | $26,860 | $108 | $108 |
| 3353.454 BOSTON PARTNERS LONG/SHORT RESEARCH FUND INST CLASS | P | 2015-12-31 | 2019-05-10 | $50,604 | $50,000 | $604 | $604 |
| 3103.448 BOSTON PARTNERS LONG/SHORT RESEARCH FUND INST CLASS | P | 2014-04-10 | 2019-05-10 | $46,831 | $45,000 | $1,831 | $1,831 |
| 1729.387 BOSTON PARTNERS LONG/SHORT RESEARCH FUND INST CLASS | P | 2013-11-14 | 2019-05-10 | $26,096 | $24,281 | $1,815 | $1,815 |
| 5604.914 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I | P | 2012-03-07 | 2019-05-10 | $48,202 | $53,785 | -$5,583 | -$5,583 |
| 17705.109 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I | P | 2012-02-06 | 2019-05-10 | $152,264 | $170,077 | -$17,813 | -$17,813 |
| 1059 ISHARES TR MICRO-CAP ETF | P | 2012-02-06 | 2019-05-10 | $99,977 | $53,901 | $46,076 | $46,076 |
| 964 ISHARES TR RUSSELL 2000 ETF | P | 2018-01-11 | 2019-05-10 | $150,345 | $151,329 | -$984 | -$984 |
| 2480 ISHARES TR RUSSELL MID-CAP ETF | P | 2015-12-31 | 2019-05-10 | $135,714 | $100,133 | $35,581 | $35,581 |
| 2125 ISHARES TR RUSSELL MID-CAP ETF | P | 2012-12-27 | 2019-05-10 | $116,287 | $59,287 | $57,000 | $57,000 |
| 662 ISHARES TR TIPS BD ETF | P | 2012-02-06 | 2019-05-10 | $74,950 | $78,665 | -$3,715 | -$3,715 |
| 10245.902 JOHN HANCOCK ABSOLUTE RETURN CURRENCY FUND CLASS I | P | 2016-12-29 | 2019-05-10 | $91,189 | $100,000 | -$8,811 | -$8,811 |
| 13426.423 JOHN HANCOCK ABSOLUTE RETURN CURRENCY FUND CLASS I | P | 2016-10-18 | 2019-05-10 | $119,495 | $125,000 | -$5,505 | -$5,505 |
| 4691.93 JOHN HANCOCK ABSOLUTE RETURN CURRENCY FUND CLASS I | P | 2016-06-10 | 2019-05-10 | $41,758 | $43,541 | -$1,783 | -$1,783 |
| 36.073 PIMCO INTERNATIONAL BOND FUND INSTL CL (U.S. DOLLAR-HEDGED) | P | 2019-04-30 | 2019-05-10 | $394 | $393 | $1 | $1 |
| 4.83 PIMCO INTERNATIONAL BOND FUND INSTL CL (U.S. DOLLAR-HEDGED) | P | 2019-03-29 | 2019-05-10 | $53 | $53 | ||
| 9310.987 PIMCO INTERNATIONAL BOND FUND INSTL CL (U.S. DOLLAR-HEDGED) | P | 2012-03-07 | 2019-05-10 | $101,676 | $99,774 | $1,902 | $1,902 |
| 9389.671 PIMCO INTERNATIONAL BOND FUND INSTL CL (U.S. DOLLAR-HEDGED) | P | 2012-02-06 | 2019-05-10 | $102,535 | $99,772 | $2,763 | $2,763 |
| 42.92 PIMCO INTERNATIONAL BOND FUND INSTL CL (U.S. DOLLAR-HEDGED) | P | 2012-01-05 | 2019-05-10 | $469 | $453 | $16 | $16 |
| 900 VANGUARD SCOTTSDALE FDS VANGUARD MTG BACKED SECS ETF | P | 2014-12-17 | 2019-05-10 | $46,936 | $47,992 | -$1,056 | -$1,056 |
| 1400 VANGUARD SCOTTSDALE FDS VANGUARD MTG BACKED SECS ETF | P | 2014-09-08 | 2019-05-10 | $73,012 | $73,635 | -$623 | -$623 |
| 50000 BANK AMER CORP SR NT SER L 3.300% 01/11/23 B/E DTD 01/11/13 | P | 2016-09-27 | 2019-05-15 | $50,704 | $51,227 | -$523 | -$523 |
| 50000 CITIGROUP INC FXD RT SR NT 3.875% 10/25/23 B/E DTD 10/25/13 | P | 2017-02-08 | 2019-05-15 | $52,063 | $51,401 | $662 | $662 |
| 50000 EQUINOR ASA ISIN#US85771PAK84 2.650% 01/15/24 B/E DTD 05/15/13 | P | 2017-09-20 | 2019-05-15 | $50,146 | $49,924 | $222 | $222 |
| 50000 PRUDENTIAL FINL INC MEDIUM TERM NTS FIXED RATE SER D 3.500% 05/15/24 B/E DTD 05/15/14 | P | 2017-09-20 | 2019-05-15 | $51,955 | $51,807 | $148 | $148 |
| 25000 UNION PAC CORP SR NT 2.750% 04/15/23 B/E DTD 03/15/13 CLB | P | 2016-10-06 | 2019-05-15 | $24,934 | $25,523 | -$589 | -$589 |
| 145000 UNITED STATES TREAS NTS 2.375% 02/29/24 B/E DTD 02/28/19 | P | 2019-04-25 | 2019-05-15 | $146,575 | $145,342 | $1,233 | $1,233 |
| 100000 UNITED STATES TREAS NTS 2.625% 03/31/25 B/E DTD 03/31/18 | P | 2019-04-25 | 2019-05-15 | $102,309 | $101,299 | $1,010 | $1,010 |
| 50000 VIACOM INC NEW SR NT 3.875% 12/15/21 B/E DTD 12/12/11 | P | 2015-07-21 | 2019-05-15 | $51,026 | $50,004 | $1,022 | $1,022 |
| 50000 VISA INC FXD RT SR NT 2.800% 12/14/22 B/E DTD 12/14/15 CLB | P | 2016-05-13 | 2019-05-15 | $50,393 | $51,189 | -$796 | -$796 |
| 246 C H ROBINSON WORLDWIDE INC COM NEW | P | 2019-04-04 | 2019-06-03 | $19,637 | $21,951 | -$2,314 | -$2,314 |
| 166 GOLDMAN SACHS GROUP INC COM | P | 2019-04-04 | 2019-06-03 | $30,264 | $33,524 | -$3,260 | -$3,260 |
| 138 PNC FINL SVCS GROUP INC COM | P | 2016-06-10 | 2019-06-03 | $17,755 | $12,027 | $5,728 | $5,728 |
| 130 PNC FINL SVCS GROUP INC COM | P | 2015-05-27 | 2019-06-03 | $16,726 | $12,476 | $4,250 | $4,250 |
| 175000 SAN LEANDRO CALIF PENSION OBLIG PENSION OBLIG BDS 2012 4.320% 06/01/19 B/E DTD 03/22/12 | P | 2012-03-15 | 2019-06-03 | $175,000 | $175,000 | ||
| 86 ISHARES TR RUSSELL 2000 ETF | P | 2018-01-11 | 2019-06-20 | $13,361 | $13,500 | -$139 | -$139 |
| 125 ISHARES TR RUSSELL 2000 ETF | P | 2012-02-06 | 2019-06-20 | $19,420 | $10,345 | $9,075 | $9,075 |
| 525 ISHARES TR RUSSELL MID-CAP ETF | P | 2012-12-27 | 2019-06-20 | $29,449 | $14,647 | $14,802 | $14,802 |
| 3430.532 VANGUARD HIGH YIELD CORPORATE BOND FUND ADMIRAL SHARES | P | 2018-01-11 | 2019-06-20 | $20,137 | $20,377 | -$240 | -$240 |
| 310 VANGUARD INDEX FDS REAL ESTATE INDEX FD ETF | P | 2015-12-31 | 2019-06-20 | $28,403 | $24,297 | $4,106 | $4,106 |
| 100000 FLORIDA ST BRD ED LOTTERY REV REV BDS 2010B 5.741% 07/01/22 B/E DTD 03/11/10 PRF | P | 2012-03-30 | 2019-07-01 | $100,000 | $100,000 | ||
| 0.0005 CORTEVA INC COM | P | 2019-04-04 | 2019-07-23 | ||||
| 100000 AMAZON COM INC FXD RT SR NT 5.200% 12/03/25 B/E DTD 12/03/17 CLB | P | 2019-04-04 | 2019-07-24 | $116,196 | $112,781 | $3,415 | $3,415 |
| 30000 WALMART INC FXD RT SR NT 3.050% 07/08/26 B/E DTD 04/23/19 CLB | P | 2019-04-16 | 2019-07-24 | $31,352 | $29,960 | $1,392 | $1,392 |
| 70000 WALMART INC FXD RT SR NT 3.050% 07/08/26 B/E DTD 04/23/19 CLB | P | 2019-04-16 | 2019-07-24 | $73,155 | $70,159 | $2,996 | $2,996 |
| 75000 UNION PAC CORP FXD RT SR NTS 2.950% 03/01/22 B/E DTD 02/19/19 | P | 2019-05-15 | 2019-08-15 | $76,770 | $75,702 | $1,068 | $1,068 |
| 60000 ORACLE CORP FXD RT NT 3.250% 11/15/27 B/E DTD 11/09/17 CLB | P | 2019-04-04 | 2019-08-16 | $64,105 | $60,072 | $4,033 | $4,033 |
| 40000 ORACLE CORP FXD RT NT 3.250% 11/15/27 B/E DTD 11/09/17 CLB | P | 2019-04-04 | 2019-08-16 | $42,722 | $40,048 | $2,674 | $2,674 |
| 593 JOHNSON & JOHNSON COM | P | 2019-04-04 | 2019-08-29 | $76,187 | $80,219 | -$4,032 | -$4,032 |
| 100000 CROWN CASTLE INTL CORP NEW FXD RT SR NT 3.400% 02/15/21 B/E DTD 02/08/16 CLB | P | 2019-04-04 | 2019-09-18 | $101,355 | $100,623 | $732 | $732 |
| 85000 PRICELINE GROUP INC FXD RT SR NT 3.650% 03/15/25 B/E DTD 03/13/15 CLB PUT | P | 2019-07-24 | 2019-09-18 | $90,123 | $89,451 | $672 | $672 |
| 10000 CONSTELLATION BRANDS INC GTD FXD RT SR NT 3.700% 12/06/26 B/E DTD 12/06/16 CLB | P | 2019-07-31 | 2019-10-09 | $10,643 | $10,498 | $145 | $145 |
| 100000 CONSTELLATION BRANDS INC GTD FXD RT SR NT 3.700% 12/06/26 B/E DTD 12/06/16 CLB | P | 2019-04-04 | 2019-10-09 | $106,434 | $99,593 | $6,841 | $6,841 |
| 15 AMAZON COM INC | P | 2019-04-04 | 2019-10-21 | $26,656 | $27,191 | -$535 | -$535 |
| 1 CORTEVA INC COM | P | 2019-08-29 | 2019-10-21 | $26 | $30 | -$4 | -$4 |
| 228 CORTEVA INC COM | P | 2019-04-04 | 2019-10-21 | $5,890 | $6,573 | -$683 | -$683 |
| 143 MICROSOFT CORP COM | P | 2015-08-11 | 2019-10-21 | $19,729 | $6,639 | $13,090 | $13,090 |
| 100000 BLACKROCK INC FXD RT SR NT 3.200% 03/15/27 B/E DTD 03/28/17 | P | 2019-04-04 | 2019-10-22 | $105,951 | $100,885 | $5,066 | $5,066 |
| 100000 TOTAL CAPITAL SA SR NT ISIN#US89152UAH59 3.883% 10/11/28 B/E DTD 10/11/18 | P | 2019-04-04 | 2019-10-29 | $111,051 | $105,637 | $5,414 | $5,414 |
| 100000 SCHWAB CHARLES CORP NEW FXD RT SR NT 3.250% 05/22/29 B/E DTD 05/22/19 CLB | P | 2019-08-14 | 2019-11-04 | $105,211 | $106,112 | -$901 | -$901 |
| 1720.578 DODGE & COX INTERNATIONAL FUND | P | 2015-01-02 | 2019-11-12 | $75,069 | $72,161 | $2,908 | $2,908 |
| 300.464 EATON VANCE FLOATING RATE FUND (INSTITUTIONAL SHARES) | P | 2019-04-30 | 2019-11-12 | $2,632 | $2,695 | -$63 | -$63 |
| 333.578 EATON VANCE FLOATING RATE FUND (INSTITUTIONAL SHARES) | P | 2019-03-29 | 2019-11-12 | $2,922 | $2,962 | -$40 | -$40 |
| 1649.063 EATON VANCE FLOATING RATE FUND (INSTITUTIONAL SHARES) | P | 2013-05-09 | 2019-11-12 | $14,446 | $15,201 | -$755 | -$755 |
| 182.513 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I | P | 2019-04-29 | 2019-11-12 | $1,604 | $1,748 | -$144 | -$144 |
| 5065.856 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I | P | 2013-05-23 | 2019-11-12 | $44,529 | $48,415 | -$3,886 | -$3,886 |
| 10193.68 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I | P | 2012-12-27 | 2019-11-12 | $89,602 | $95,883 | -$6,281 | -$6,281 |
| 13395.086 EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CLASS I | P | 2012-03-07 | 2019-11-12 | $117,743 | $128,540 | -$10,797 | -$10,797 |
| 117 ISHARES TR MICRO-CAP ETF | P | 2012-03-06 | 2019-11-12 | $10,816 | $5,634 | $5,182 | $5,182 |
| 416 ISHARES TR MICRO-CAP ETF | P | 2012-02-06 | 2019-11-12 | $38,458 | $21,174 | $17,284 | $17,284 |
| 13 ISHARES TR MICRO-CAP ETF | P | 2011-02-01 | 2019-11-12 | $1,202 | $657 | $545 | $545 |
| 315 ISHARES TR RUSSELL 2000 ETF | P | 2012-02-06 | 2019-11-12 | $50,098 | $26,069 | $24,029 | $24,029 |
| 2750 ISHARES TR RUSSELL MID-CAP ETF | P | 2012-12-27 | 2019-11-12 | $158,124 | $76,724 | $81,400 | $81,400 |
| 750 ISHARES TR RUSSELL MID-CAP ETF | P | 2012-02-06 | 2019-11-12 | $43,125 | $20,169 | $22,956 | $22,956 |
| 1666.667 MAINSTAY MACKAY CONVERTIBLE FUND CLASS I | P | 2018-01-11 | 2019-11-12 | $30,050 | $28,950 | $1,100 | $1,100 |
| 2500 SPDR INDEX SHS FDS DOW JONES INTL REAL ESTATE ETF | P | 2014-01-24 | 2019-11-12 | $99,732 | $99,842 | -$110 | -$110 |
| 10 SPDR INDEX SHS FDS DOW JONES INTL REAL ESTATE ETF | P | 2012-02-06 | 2019-11-12 | $399 | $356 | $43 | $43 |
| 5054.097 THE MERGER FUND INSTITUTIONAL CLASS | P | 2012-02-06 | 2019-11-12 | $86,728 | $78,900 | $7,828 | $7,828 |
| 2620.663 THE MERGER FUND INSTITUTIONAL CLASS | P | 2012-01-05 | 2019-11-12 | $44,971 | $40,754 | $4,217 | $4,217 |
| 1400 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN | P | 2015-12-31 | 2019-11-12 | $18,667 | $25,105 | -$6,438 | -$6,438 |
| 4975 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN | P | 2014-01-27 | 2019-11-12 | $66,319 | $144,612 | -$78,293 | -$78,293 |
| 3490 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN | P | 2014-01-24 | 2019-11-12 | $46,535 | $101,158 | -$54,623 | -$54,623 |
| 5000 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN | P | 2014-01-24 | 2019-11-12 | $66,678 | $144,925 | -$78,247 | -$78,247 |
| 25 UBS AG LONDON BRH ETRACS ALERIAN MLP INDEX ETN | P | 2014-01-24 | 2019-11-12 | $333 | $725 | -$392 | -$392 |
| 6779.661 VANGUARD HIGH YIELD CORPORATE BOND FUND ADMIRAL SHARES | P | 2018-01-11 | 2019-11-12 | $40,000 | $40,271 | -$271 | -$271 |
| 354.032 VANGUARD INTERNATIONAL GROWTH FUND ADMIRAL CLASS | P | 2015-01-02 | 2019-11-12 | $34,295 | $24,212 | $10,083 | $10,083 |
| 420.521 VANGUARD INTERNATIONAL GROWTH FUND ADMIRAL CLASS | P | 2014-01-24 | 2019-11-12 | $40,736 | $30,000 | $10,736 | $10,736 |
| 9 CVS HEALTH CORP COM | P | 2019-08-29 | 2019-11-19 | $677 | $541 | $136 | $136 |
| 152 CVS HEALTH CORP COM | P | 2012-02-07 | 2019-11-19 | $11,436 | $6,596 | $4,840 | $4,840 |
| 300 CVS HEALTH CORP COM | P | 2012-01-06 | 2019-11-19 | $22,570 | $12,468 | $10,102 | $10,102 |
| 28 JP MORGAN CHASE & CO COM ISIN#US46625H1005 | P | 2012-02-07 | 2019-11-19 | $3,660 | $1,067 | $2,593 | $2,593 |
| 150000 CITIGROUP INC GLOBAL SR NT FLTG 2.625% 10/27/22 B/E DTD 10/27/17 CLB | P | 2019-04-04 | 2019-11-20 | $150,893 | $149,882 | $1,011 | $1,011 |
| 664 COMCAST CORP | P | 2011-10-04 | 2019-02-19 | $24,790 | $6,889 | $17,901 | $17,901 |
| 280 COMCAST CORP | P | 2012-01-06 | 2019-02-19 | $10,453 | $3,469 | $6,984 | $6,984 |
| 50000 DEUTSCHE BANK AG LON 2.500% 2/13/19 | P | 2015-03-03 | 2019-02-13 | $50,000 | $50,795 | -$795 | -$795 |
| 334.905 MATLINPATTERSON SEC CRED II | P | 2018-01-29 | 2019-03-05 | $295,605 | $300,000 | -$4,395 | -$4,395 |
| 100000 WORLD FINANCIAL NETW 3.140% 1/17/23 | P | 2014-09-08 | 2019-03-18 | $100,000 | $104,238 | -$4,238 | -$4,238 |
| 359.273 CANYON BALANCED II ASP FUND | P | 2018-01-29 | 2019-08-02 | $428,669 | $428,669 | ||
| BLUE TREND ASP FUND | P | 2018-01-29 | 2019-08-02 | $231,217 | $231,220 | -$3 | -$3 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $814,045 | CapitalGainNetIncomeAmt |
| Net Short Term Capital Gain Loss | $37,489 | NetShortTermCapitalGainLossAmt |
Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable Section4942 Tax | false | LiableSection4942TaxInd |
| Adjusted Qlfy Distri Yr1 | $2,516,265 | AdjustedQlfyDistriYr1Amt |
| Net Vl Noncharitable Assets Yr1 | $32,648,374 | NetVlNoncharitableAssetsYr1Amt |
| Distribution Yr1 | 0.07707 | DistributionYr1Rt |
| Adjusted Qlfy Distri Yr2 | $1,667,370 | AdjustedQlfyDistriYr2Amt |
| Net Vl Noncharitable Assets Yr2 | $31,504,180 | NetVlNoncharitableAssetsYr2Amt |
| Distribution Yr2 | 0.05293 | DistributionYr2Rt |
| Adjusted Qlfy Distri Yr3 | $1,744,740 | AdjustedQlfyDistriYr3Amt |
| Net Vl Noncharitable Assets Yr3 | $29,312,841 | NetVlNoncharitableAssetsYr3Amt |
| Distribution Yr3 | 0.05952 | DistributionYr3Rt |
| Adjusted Qlfy Distri Yr4 | $1,486,256 | AdjustedQlfyDistriYr4Amt |
| Net Vl Noncharitable Assets Yr4 | $30,520,916 | NetVlNoncharitableAssetsYr4Amt |
| Distribution Yr4 | 0.04870 | DistributionYr4Rt |
| Adjusted Qlfy Distri Yr5 | $1,518,371 | AdjustedQlfyDistriYr5Amt |
| Net Vl Noncharitable Assets Yr5 | $31,305,773 | NetVlNoncharitableAssetsYr5Amt |
| Distribution Yr5 | 0.04850 | DistributionYr5Rt |
| Total Distribution | 0.286715 | TotalDistributionRt |
| Average Distribution | 0.057343 | AverageDistributionRt |
| Net Vl Noncharitable Assets | $30,242,660 | NetVlNoncharitableAssetsAmt |
| Adj Net Vl Noncharitable Assets | $1,734,205 | AdjNetVlNoncharitableAssetsAmt |
| Net Investment Income Pct | $15,421 | NetInvestmentIncomePctAmt |
| Adj Nonchrtbl Net Invst Incm Pct | $1,749,626 | AdjNonchrtblNetInvstIncmPctAmt |
| Qualifying Distributions | $1,847,705 | QualifyingDistributionsAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Domestic Org Meeting Sect4940e | Yes (X) | DomesticOrgMeetingSect4940eInd |
| Investment Income Excise Tax | $15,421 | InvestmentIncomeExciseTaxAmt |
| Subtotal | $15,421 | SubtotalAmt |
| Tax Based On Investment Income | $15,421 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $17,451 | EstimatedPlusOvpmtIncmTxAmt |
| Extsn Request Income Tax Paid | $15,000 | ExtsnRequestIncomeTaxPaidAmt |
| Total Payments And Credits | $32,451 | TotalPaymentsAndCreditsAmt |
| Form2220 Attached | Yes (X) | Form2220AttachedInd |
| Overpayment | $17,030 | OverpaymentAmt |
| Applied To ES Tax | $17,030 | AppliedToESTaxAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | false | LegislativePoliticalActyInd |
| More Than100 Spent | false | MoreThan100SpentInd |
| Form1120 POL Filed | false | Form1120POLFiledInd |
| Activities Not Previously Rpt | false | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | false | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | false | UnrelatedBusIncmOverLimitInd |
| Organization Dissolved Etc | false | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | false | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (true) | AtLeast5000InAssetsInd |
| Org Report Or Register State | CA | OrgReportOrRegisterStateCd |
| Form990 PF Filed With Atty Gen | Yes (true) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | false | PrivateOperatingFoundationInd |
| New Substantial Contributors | Yes (true) | NewSubstantialContributorsInd |
| Own Controlled Entity | false | OwnControlledEntityInd |
| Donor Advised Fund | false | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (true) | ComplyWithPublicInspRqrInd |
| Website Address | N/A | WebsiteAddressTxt |
Persons With Books Name PersonsWithBooksName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | LAWRENCE M SCHWARTZ CPA | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 7607534434 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 2211 ENCINITAS BLVD 200 | AddressLine1Txt |
| City | ENCINITAS | CityNm |
| State Abbreviation | CA | StateAbbreviationCd |
| ZIP | 920244361 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | false | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | false | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | false | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | false | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | false | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | false | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | false | PaymentToGovernmentOfficialInd |
| Acts Fail To Qlfy As Exceptions | false | ActsFailToQlfyAsExceptionsInd |
| Uncorrected Prior Acts | false | UncorrectedPriorActsInd |
| Undistributed Income PY | false | UndistributedIncomePYInd |
| Business Holdings | false | BusinessHoldingsInd |
| Jeopardy Investments | false | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | false | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | false | InfluenceLegislationInd |
| Influence Election | false | InfluenceElectionInd |
| Grants To Individuals | false | GrantsToIndividualsInd |
| Grants To Organizations | false | GrantsToOrganizationsInd |
| Noncharitable Purpose | false | NoncharitablePurposeInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | false | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | false | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | false | ProhibitedTaxShelterTransInd |
| Subj To Tax Rmnrtn Ex Prcht Pymt | false | SubjToTaxRmnrtnExPrchtPymtInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (3 entries)
| Address Line1USAddress/AddressLine1Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt |
|---|---|---|---|---|---|---|
| JAMES D SHAFFER | ||||||
| PO BOX 9543 | RANCHO SANTA FE | CA | 92067 | Trustee | 10.00 | $0 |
| TANYA L SHAFFER | ||||||
| PO BOX 9543 | RANCHO SANTA FE | CA | 92067 | Trustee | 10.00 | $0 |
| KELLY C SHAFFER | ||||||
| PO BOX 9543 | RANCHO SANTA FE | CA | 92067 | Trustee | 10.00 | $0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Hghst Pd Empl Or NONE | NONE | CompOfHghstPdEmplOrNONETxt |
| Comp Of Hghst Pd Cntrct Or NONE | NONE | CompOfHghstPdCntrctOrNONETxt |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $30,703,208 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $0 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $30,703,208 | TotalFMVOfUnusedAssetsAmt |
| Reduction Claimed | $0 | ReductionClaimedAmt |
| Adjusted Total FMV Of Unused Ast | $30,703,208 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $460,548 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $30,242,660 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $1,512,133 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $1,512,133 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $15,421 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $15,421 | TotalTaxAmt |
| Distributable Before Adj | $1,496,712 | DistributableBeforeAdjAmt |
| Distributable Before Ded | $1,496,712 | DistributableBeforeDedAmt |
| Distributable As Adjusted | $1,496,712 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $1,847,705 | ExpensesAndContributionsAmt |
| Qualifying Distributions | $1,847,705 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $15,421 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $1,832,284 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $1,496,712 | DistributableAsAdjustedAmt |
| Excess Distribution Cyov Yr3 | $293,512 | ExcessDistributionCyovYr3Amt |
| Excess Distribution Cyov Yr2 | $116,767 | ExcessDistributionCyovYr2Amt |
| Excess Distribution Cyov Yr1 | $915,754 | ExcessDistributionCyovYr1Amt |
| Total Excess Distribution Cyov | $1,326,033 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $1,847,705 | QualifyingDistributionsAmt |
| Treated As Distri From Corpus | $0 | TreatedAsDistriFromCorpusAmt |
| Applied To Current Year | $1,496,712 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $350,993 | RemainingDistriFromCorpusAmt |
| Total Corpus | $1,677,026 | TotalCorpusAmt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Excess Distri Cyov To Next Yr | $1,677,026 | ExcessDistriCyovToNextYrAmt |
| Excess From Year3 | $293,512 | ExcessFromYear3Amt |
| Excess From Year2 | $116,767 | ExcessFromYear2Amt |
| Excess From Year1 | $915,754 | ExcessFromYear1Amt |
| Excess From Current Year | $350,993 | ExcessFromCurrentYearAmt |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributing Manager | JAMES D SHAFFER | ContributingManagerNm |
| Contributing Manager | TANYA L SHAFFER | ContributingManagerNm |
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (10 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient RelationshipRecipientRelationshipTxt | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt |
|---|---|---|---|---|---|---|---|
| SCRIPPS HEALTH FOUNDATION | |||||||
| 4275 CAMPUS POINT COURT | SAN DIEGO | CA | 92121 | NONE | PC | Funding Research for Bone & Cartilage Regeneration | $800,000 |
| UCLA Foundation Broad Stem Cell Res | |||||||
| 650 CHARLES E YOUNG DRIVE SOUTH | Los Angeles | CA | 90095 | NONE | PC | Support UCLA Broad Stem Cell Research Training Program | $100,000 |
| UCLA Foundation Dept of Urology | |||||||
| 300 Stein Plaza Suite 300 | Los Angeles | CA | 90024 | NONE | PC | UCLA Dept of Urology Pelvic Medicine & Reconstructive Surgery Program | $75,000 |
| UCSD Foundation Health Sciences | |||||||
| 9500 Gilman Drive 0937 | La Jolla | CA | 92093 | NONE | PC | Support UCSD Health Science - Dept of Orthopaedic Surgery Research Program | $50,000 |
| Sanford Burnham Prebys Medical Disc | |||||||
| 10901 North Torrey Pines Road | La Jolla | CA | 92037 | NONE | PC | Support graduate student and post-doctoral salaries in Jerold Chun's lab for work on Alzheimers | $100,000 |
| Palo Verde High School | |||||||
| 667 North Lovekin | Blythr | CA | 92225 | NONE | PC | Scholarships | $5,000 |
| UCLA FOUNDATION | |||||||
| 650 CHARLES E YOUNG DRIVE SOUTH | LOS ANGELES | CA | 90095 | NONE | PC | FUNDING RESEARCH AND EDUCATION RELATING TO ESRD DIALYSIS CORE | $125,000 |
| UCLA FOUNDATION | |||||||
| 650 CHARLES E YOUNG DRIVE SOUTH | LOS ANGELES | CA | 90095 | NONE | PC | FUNDING RESEARCH AND EDUCATION RELATING TO PRECISION ANITBIOTICS | $100,000 |
| UCLA FIELDING SCHOOL OF PUBLIC HEAL | |||||||
| 650 CHARLES E YOUNG DRIVE SOUTH | LOS ANGELES | CA | 90095 | NONE | PC | FUNDING FOR DR. ANNE RIMOIN'S LAB | $287,550 |
| LA JOLLA INSTITUTE FOR IMMUNOLOGY | |||||||
| 9420 ATHENA CIRCLE | LA JOLLA | CA | 92037 | NONE | PC | FUNDING FOR DR. ERICA'S RESEARCH | $200,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $1,842,550 | TotalGrantOrContriPdDurYrAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $104,911 | ExclusionAmt |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $813,480 | ExclusionAmt |
Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $66,129 | ExclusionAmt |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $814,045 | ExclusionAmt |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | $1,666,307 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $1,666,307 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | false | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | false | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | false | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | false | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | false | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | false | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | false | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | false | RelationshipsNonchrtblEOInd |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees Detail AccountingFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | Tax Preparation | CategoryTxt |
| Amt | $14,000 | Amt |
| Net Investment Income | $7,000 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $1,400 | AdjustedNetIncomeAmt |
| Disbursements Charitable Prps | $1,400 | DisbursementsCharitablePrpsAmt |
Other Assets Schedule OtherAssetsSchedule
Other Assets Schedule OtherAssetsScheduleGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | Accrued Interest Paid | Desc |
| EOY Book Value | $28,353 | EOYBookValueAmt |
| EOYFMV | $28,353 | EOYFMVAmt |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (2 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt | Adjusted Net IncomeAdjustedNetIncomeAmt |
|---|---|---|---|
| Bank Charges | $390 | $390 | |
| Miscellaneous Expenses | $23 | $23 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | Other Investment Income | Desc |
| Revenue And Expenses Per Books | -$66,129 | RevenueAndExpensesPerBooksAmt |
| Net Investment Income | -$66,129 | NetInvestmentIncomeAmt |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees Detail OtherProfessionalFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | Investment Management Fees | CategoryTxt |
| Amt | $103,372 | Amt |
| Net Investment Income | $99,617 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $25,000 | AdjustedNetIncomeAmt |
| Disbursements Charitable Prps | $3,755 | DisbursementsCharitablePrpsAmt |
Substantial Contributors Sch SubstantialContributorsSch
Substantial Contributor Detail SubstantialContributorDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | JAMES TANYA SHAFFER | PersonNm |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | PO BOX 9543 | AddressLine1Txt |
| City | RANCHO SANTA FE | CityNm |
| State Abbreviation | CA | StateAbbreviationCd |
| ZIP | 92067 | ZIPCd |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (3 entries)
| CategoryCategoryTxt | AmtAmt | Net Investment IncomeNetInvestmentIncomeAmt |
|---|---|---|
| Federal | $15,000 | $15,000 |
| Foreign Taxes Paid | $2,048 | $2,048 |
| State Taxes | $160 | $160 |
Comments