2019-10-03T15:45:17-05:00 2018-12-31 911741928 VON HARTEN & COMPANY INC PS 2101 4TH AVENUE SUITE 2050 SEATTLE WA 98121 990PF 2018-01-01 956944277 JAMES B PENDLETON CHARITABLE TRUST JAME 4252843095 11900 NE 1ST STREET SUITE 300 BELLEVUE WA 98005 DAYLE E IVERSON TRUSTEE & CEO 4252843095 2019-10-02 1 ELIZABETH C HEDLUND CPA P00173862 2064439017 2019-10-02 209.210.157.4 2019-10-02 20:58:41 PD P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 E3FD8AAFF9326A4D8E8464C1DB22A23EFF4AC8C6 2018 2020-01-14 16:20:31Z X 26348311 X X 3565 3565 739209 739209 640058 3942798 640058 1382832 1382832 180000 45000 135000 21120 5280 15840 362 326 36 73922 66530 7392 106753 106753 0 23480 18480 0 12359 6180 6179 1330 665 665 7299 2085 5214 426625 251299 170326 1000000 1000000 1426625 251299 1170326 -43793 1131533 502451 261132 261132 100000 0 0 26435587 26713257 26071029 13672 16150 16150 27051710 26990539 26348311 18311 933 18311 933 X 27033399 26989606 0 0 0 0 27033399 26989606 27051710 26990539 27033399 -43793 0 26989606 0 26989606 17,889.09 MFB NORTHERN STK INDEX FD P 2018-01-30 600000 507985 92015 92015 5,500 MFC VANGUARD FTSE ALL WORLD EX US ETF P 2018-02-06 2018-06-15 294522 303447 -8925 -8925 34,381.14 MFB NORTHERN ULTRA SHORT FIXED INCOME FD P 2017-02-03 2018-02-06 350000 350688 -688 -688 14,492.75 MFB NORTHERN BD INDEX FD P 2017-02-03 2018-02-06 150000 150000 0 0 3,063.73 MFB NORTHERN STK INDEX FD P 2017-02-03 2018-03-08 100000 84804 15196 15196 5,889.28 MFO CAUSEWAY INTL VALUE FD INSTL CL P 2017-02-03 2018-03-09 100000 84923 15077 15077 3,050.64 MFB NORTHERN STK INDEX FD P 2017-02-03 2018-03-14 100000 84442 15558 15558 4,715.15 MFB NORTHERN STK INDEX FD P 2017-02-03 2018-04-16 150000 130525 19475 19475 13,020.83 BLACKROCK HIGH YIELD BD PORTFOLIO P 2017-02-03 2018-05-14 100000 100781 -781 -781 9,560.23 MGO DFA INTL REAL ESTATE SECS PORT P 2017-02-08 2018-05-14 50000 45889 4111 4111 1,000 MFC FLEXSHARES MORNINGSTAR GLOBAL UPSTREAM NAT RES INDEX P 2017-02-14 2018-05-14 35109 30350 4759 4759 2,530.36 MFB NORTHN MID CAP INDEX FD P 2017-02-03 2018-05-14 50000 46559 3441 3441 3,079.77 MFB NORTHERN FDS STK INDEX FD P 2017-02-03 2018-05-14 100000 85248 14752 14752 250 ISHARES RUSSELL 1000 GROTH INDEX P 2017-02-01 2018-05-15 35207 27071 8136 8136 8,971.29 MFO VANGUARD FTSE ALL WORLD EX-US INDEX P 2017-02-03 2018-06-15 300000 258104 41896 41896 14,478.76 MFO DFA INTL REAL ESTATE SECS PORT P 2018-07-05 75000 69226 5774 5774 1,404.1 MFO DFA REAL ESTATE SECS PORTFOLIO P 2018-07-05 50000 48596 1404 1404 29,556.65 MFB NORTHERN ULTRA SHORT FIXED INCOME FD P 2018-08-01 300000 301773 -1773 -1773 3,500 MFC FLEXSHARES IBOXX 3 YR TARGET DURATION TIPS INDEX FD P 2017-02-03 2018-08-31 84349 87010 -2661 -2661 200 ISHARES RUSSELL 1000 GROWTH INDEX P 2017-02-01 2018-08-31 31067 21657 9410 9410 3,091.19 MFO VANGUARD FTSE ALL WORLD EX-US INDEX P 2017-08-25 2018-08-31 100000 99536 464 464 2,615.06 MFO DFA INTL SMALL CO PORTFOLIO FD P 2017-02-03 2018-10-12 50000 47516 2484 2484 400 ISHARES RUSSELL 1000 GROWTH INDEX P 2017-02-01 2018-10-12 58073 43314 14759 14759 6,983.24 MFB NORTHERN STK INDX FD P 2017-02-03 2018-10-31 225000 193296 31704 31704 $100,000 GEN ELEC CAP CORP 4.55% DUE 03-15-2018 P 2010-03-08 2018-03-15 100000 100000 0 0 CLASS ACTION PROCEEDS - BANK OF NEW YORK MELLON CORP P 2018-07-27 95 95 95 CLASS ACTION PROCEEDS - BANK OF NEW YORK MELLON CORP P 2018-11-16 93 93 93 CAPITAL GAINS DIVIDENDS P 354283 354283 354283 640058 0 1529121 28078813 0.054458 1363057 26181317 0.052062 1353002 27161136 0.049814 1283422 27532020 0.046616 1140603 25917668 0.044009 0.246959 0.049392 29049221 1434799 11315 1446114 1170326 22631 0 22631 0 22631 17470 15000 0 32470 X 0 9839 9839 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 106753 VON HARTEN & COMPANY INC PS 2101 FOURTH AVENUE 2050 SEATTLE WA 98121 ACCOUNTING SERVICES 61922 0 0 28883837 591608 16150 29491595 0 0 29491595 442374 29049221 1452461 1452461 22631 22631 1429830 0 1429830 0 1429830 1170326 0 1170326 0 1170326 1429830 714451 0 0 1170326 714451 0 0 455875 0 0 0 0 0 0 0 0 973955 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 200000 SCRIPPS RESEARCH INSTITUTE 10550 N TORREY PINES ROAD LA JOLLA CA 92037 PUBLIC CHARITY HIV/AIDS RESEARCH 200000 THE UCLA FOUNDATION 10920 WILSHIRE BLVD SUITE 1400 LOS ANGELES CA 90024 PUBLIC CHARITY HIV/AIDS RESEARCH 100000 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 92093 PUBLIC CHARITY HIV/AIDS RESEARCH 300000 1000000 0 14 3565 14 739209 18 640058 0 1382832 0 1382832 0 0 0 0 0 0 0 0 0 0 ACCOUNTING FEES - VON HARTEN & COMPANY INC PS 61922 55730 6192 AUDIT FEES - PETERSON SULLIVAN LLP 12000 10800 1200 BLACKROCK HIGH YIELD BD PORTFOLIO AT COST 1910984 1763033 DOUBLELINE CORE FIXED INCOME FUND AT COST 2055000 2013079 FLEXSHARES IBOXX$ 3 YR TARGET TIPS INDEX AT COST 410190 393030 FLEXSHARES MORNINGSTAR GLOBAL UPSTREAM NAT RES AT COST 842634 819840 ISHARES TR GLOBAL INFRASTRUCTURE ETF AT COST 315033 315040 ISHARES TR RUSSELL 1000 GROWTH ETF AT COST 909737 1047280 CAUSEWAY CAP MGMT INTL VALUE FD AT COST 931915 866162 DFA EMERGING MKTS CORE EQUITY PORTFOLIO AT COST 1300000 1334666 DFA INTL REAL ESTATE SECS PORTFOLIO AT COST 334885 320173 DFA INTL SMALL CO PORTFOLIO AT COST 513779 451151 DFA REAL ESTATE SECS PORTFOLIO AT COST 302719 285901 DFA US L/C VALUE PORTFOLIO AT COST 1291242 1157349 DFA US SMALL CAP PORTFOLIO AT COST 1046954 900390 HARDING LOEVNER INTL EQUITY PORTFOLIO AT COST 656046 670035 NORTHERN BD INDEX FD AT COST 1700000 1674214 NORTHERN MID CAP INDEX FD AT COST 1422838 1223232 NORTHERN STK INDEX FD AT COST 5586776 5803445 NORTHERN ULTRA SHORT FIXED INCOME FD AT COST 1648821 1638639 VANGUARD EMERGING MKTS STK INDEX AT COST 600000 579982 VANGUARD FTSE ALL WORLD EX-US INDEX AT COST 2827360 2707195 VANGUARD FTSE EMERGING MKTS STK ETF AT COST 106344 106680 ACCRUED INCOME FROM SECURITIES AT COST 0 513 LEGAL FEES - GREENBERG GLUSKER LLP 362 326 36 INCOME REPORTED ON TAX RETURN NOT YET RECEIVED 13672 16150 16150 PAYROLL PROCESSING EXPENSE 1278 319 959 DUES AND SUBSCRIPTIONS 1218 609 609 BANK CHARGES 14 7 7 POSTAGE 48 24 24 STATE REGISTRATION FEES 235 0 235 INSURANCE 4506 1126 3380 CREDIT CARD PAYABLE 5354 933 REFUND PAYABLE 12957 0 INVESTMENT MANAGEMENT FEES - THE NORTHERN TRUST COMPANY 106753 106753 0 FEDERAL EXCISE TAX PAYMENTS 5000 0 0 FOREIGN TAXES PAID 18480 18480 0