CHASE FOUNDATION: Form 990PF, tax year 2017

View the entire original 990 at ProPublica ↗

Organization: CHASE FOUNDATION (EIN 36-7466258)
Tax period: 2017-01-01 to 2017-12-31
Filed: 2018-09-10
IRS object ID: 201822539349100107
Schema version: 2017v2.3
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
Schedule B
Accounting Fees Schedule
Depreciation Schedule
Investments Corp Bonds Schedule
Investments Corp Stock Schedule
Investments Other Schedule2
Land Etc Schedule2
Legal Fees Schedule
Other Expenses Schedule
Other Income Schedule2
Taxes Schedule

Return header ReturnHeader

Field	Value	IRS element (for citing)
Return	2018-09-10T09:34:01-06:00	ReturnTs
Tax Period End	2017-12-31	TaxPeriodEndDt

Preparer Firm PreparerFirmGrp

Field	Value	IRS element (for citing)
Preparer Firm EIN	850435604	PreparerFirmEIN

Preparer Firm Name PreparerFirmName

Field	Value	IRS element (for citing)
Business Name Line1	JOHNATHAN L SHUMAN PC	BusinessNameLine1Txt

Preparer US Address PreparerUSAddress

Field	Value	IRS element (for citing)
Address Line1	512 W TEXAS AVE A	AddressLine1Txt
City	ARTESIA	CityNm
State Abbreviation	NM	StateAbbreviationCd
ZIP	882102083	ZIPCd

Field	Value	IRS element (for citing)
Return Type	990PF	ReturnTypeCd
Tax Period Begin	2017-01-01	TaxPeriodBeginDt

Filer Filer

Field	Value	IRS element (for citing)
EIN	367466258	EIN

Business Name BusinessName

Field	Value	IRS element (for citing)
Business Name Line1	CHASE FOUNDATION	BusinessNameLine1Txt
Business Name Line2	MACK C CHASE TRUSTEE	BusinessNameLine2Txt

Field	Value	IRS element (for citing)
Business Name Control	CHAS	BusinessNameControlTxt
Phone	5757464610	PhoneNum

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	2103 W MAIN ST	AddressLine1Txt
City	ARTESIA	CityNm
State Abbreviation	NM	StateAbbreviationCd
ZIP	88210	ZIPCd

Business Officer BusinessOfficerGrp

Field	Value	IRS element (for citing)
Person	RICHARD PRICE	PersonNm
Person Title	EXECUTIVE DIRECTOR	PersonTitleTxt
Signature	2018-09-10	SignatureDt

Preparer Person PreparerPersonGrp

Field	Value	IRS element (for citing)
Preparer Person	JOHNATHAN L SHUMAN	PreparerPersonNm
PTIN	P00755236	PTIN
Phone	5757481213	PhoneNum
Preparation	2018-09-10	PreparationDt

Filing Security Information FilingSecurityInformation

IP Address IPAddress

Field	Value	IRS element (for citing)
I Pv4 Address	174.137.66.66	IPv4AddressTxt

Field	Value	IRS element (for citing)
IP	2018-09-10	IPDt
IP Tm	10:34:01	IPTm
IP Timezone	CD	IPTimezoneCd
Filing License Type	P	FilingLicenseTypeCd
At Submission Creation Device Id	CFF38A3B8A5CDF535A8E8E989AA1BC26E082A1E7	AtSubmissionCreationDeviceId
At Submission Filing Device Id	CFF38A3B8A5CDF535A8E8E989AA1BC26E082A1E7	AtSubmissionFilingDeviceId

Field	Value	IRS element (for citing)
Tax	2017	TaxYr
Build TS	2018-06-14 16:35:46Z	BuildTS

Form 990-PF IRS990PF

Field	Value	IRS element (for citing)
Organization501c3 Exempt PF	Yes (X)	Organization501c3ExemptPFInd
FMV Assets EOY	$44,086,175	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	$218,382	ContriRcvdRevAndExpnssAmt
Interest On Sav Rev And Expnss	$109,148	InterestOnSavRevAndExpnssAmt
Interest On Sav Net Invst Incm	$109,148	InterestOnSavNetInvstIncmAmt
Interest On Savings Adj Net Incm	$109,148	InterestOnSavingsAdjNetIncmAmt
Dividends Rev And Expnss	$435,145	DividendsRevAndExpnssAmt
Dividends Net Invst Incm	$435,145	DividendsNetInvstIncmAmt
Dividends Adj Net Incm	$435,145	DividendsAdjNetIncmAmt
Net Gain Sale Ast Rev And Expnss	$1,158,333	NetGainSaleAstRevAndExpnssAmt
Gross Sales Price	$8,452,349	GrossSalesPriceAmt
Cap Gain Net Incm Net Invst Incm	$1,158,333	CapGainNetIncmNetInvstIncmAmt
Net ST Capital Gain Adj Net Incm	$98,108	NetSTCapitalGainAdjNetIncmAmt
Other Income Rev And Expnss	$1,339,089	OtherIncomeRevAndExpnssAmt
Other Income Net Invst Incm	$1,325,581	OtherIncomeNetInvstIncmAmt
Other Income Adj Net Incm	$1,339,089	OtherIncomeAdjNetIncmAmt
Total Rev And Expnss	$3,260,097	TotalRevAndExpnssAmt
Total Net Invst Incm	$3,028,207	TotalNetInvstIncmAmt
Total Adj Net Incm	$1,981,490	TotalAdjNetIncmAmt
Oth Empl Slrs Wgs Rev And Expnss	$584,196	OthEmplSlrsWgsRevAndExpnssAmt
Oth Empl Slrs Wgs Dsbrs Chrtbl	$584,196	OthEmplSlrsWgsDsbrsChrtblAmt
Pension Empl Bnft Rev And Expnss	$2,355	PensionEmplBnftRevAndExpnssAmt
Pension Empl Bnft Dsbrs Chrtbl	$2,355	PensionEmplBnftDsbrsChrtblAmt
Legal Fees Rev And Expnss	$400	LegalFeesRevAndExpnssAmt
Legal Fees Dsbrs Chrtbl	$400	LegalFeesDsbrsChrtblAmt
Accounting Fees Rev And Expnss	$19,595	AccountingFeesRevAndExpnssAmt
Accounting Fees Chrtbl Prps	$19,595	AccountingFeesChrtblPrpsAmt
Taxes Rev And Expnss	$4,986	TaxesRevAndExpnssAmt
Taxes Dsbrs Chrtbl	$4,986	TaxesDsbrsChrtblAmt
Deprec And Dpltn Rev And Expnss	$31,598	DeprecAndDpltnRevAndExpnssAmt
Occupancy Rev And Expnss	$15,595	OccupancyRevAndExpnssAmt
Occupancy Dsbrs Chrtbl	$15,595	OccupancyDsbrsChrtblAmt
Trav Conf Meeting Rev And Expnss	$11,167	TravConfMeetingRevAndExpnssAmt
Trav Conf Meeting Dsbrs Chrtbl	$8,167	TravConfMeetingDsbrsChrtblAmt
Printing And Pub Rev And Expnss	$19,821	PrintingAndPubRevAndExpnssAmt
Printing And Pub Dsbrs Chrtbl	$19,781	PrintingAndPubDsbrsChrtblAmt
Other Expenses Rev And Expnss	$405,350	OtherExpensesRevAndExpnssAmt
Other Expenses Net Invst Incm	$156,165	OtherExpensesNetInvstIncmAmt
Other Expenses Dsbrs Chrtbl	$249,185	OtherExpensesDsbrsChrtblAmt
Tot Opr Expenses Rev And Expnss	$1,095,063	TotOprExpensesRevAndExpnssAmt
Tot Opr Expenses Net Invst Incm	$156,165	TotOprExpensesNetInvstIncmAmt
Tot Opr Expenses Dsbrs Chrtbl	$904,260	TotOprExpensesDsbrsChrtblAmt
Contri Paid Rev And Expnss	$2,153,906	ContriPaidRevAndExpnssAmt
Contri Paid Dsbrs Chrtbl	$2,153,906	ContriPaidDsbrsChrtblAmt
Total Expenses Rev And Expnss	$3,248,969	TotalExpensesRevAndExpnssAmt
Total Expenses Net Invst Incm	$156,165	TotalExpensesNetInvstIncmAmt
Total Expenses Dsbrs Chrtbl	$3,058,166	TotalExpensesDsbrsChrtblAmt
Excess Revenue Over Expenses	$11,128	ExcessRevenueOverExpensesAmt
Net Investment Income	$2,872,042	NetInvestmentIncomeAmt
Adjusted Net Income	$1,981,490	AdjustedNetIncomeAmt

Form990 PF Balance Sheets Form990PFBalanceSheetsGrp

Field	Value	IRS element (for citing)
Cash BOY	$1,391,240	CashBOYAmt
Cash EOY	$61,155	CashEOYAmt
Cash EOYFMV	$61,155	CashEOYFMVAmt
Sav And Temp Cash Invst BOY	$1,536	SavAndTempCashInvstBOYAmt
Sav And Temp Cash Invst EOY	$51,988	SavAndTempCashInvstEOYAmt
Sav And Temp Cash Invst EOYFMV	$51,988	SavAndTempCashInvstEOYFMVAmt
Corporate Stock BOY	$16,372,335	CorporateStockBOYAmt
Corporate Stock EOY	$16,280,763	CorporateStockEOYAmt
Corporate Stock EOYFMV	$21,200,158	CorporateStockEOYFMVAmt
Corporate Bonds BOY	$6,583,629	CorporateBondsBOYAmt
Corporate Bonds EOY	$8,086,296	CorporateBondsEOYAmt
Corporate Bonds EOYFMV	$8,123,873	CorporateBondsEOYFMVAmt
Other Investments BOY	$13,158,976	OtherInvestmentsBOYAmt
Other Investments EOY	$13,058,844	OtherInvestmentsEOYAmt
Other Investments EOYFMV	$13,576,924	OtherInvestmentsEOYFMVAmt
Land Bldg Equip Cost Or Other Bss	$1,072,077	LandBldgEquipCostOrOtherBssAmt
Land Bldg Equip Accum Deprec	$167,758	LandBldgEquipAccumDeprecAmt
Land BOY	$924,645	LandBOYAmt
Land EOY	$904,319	LandEOYAmt
Land EOYFMV	$1,072,077	LandEOYFMVAmt
Total Assets BOY	$38,432,361	TotalAssetsBOYAmt
Total Assets EOY	$38,443,365	TotalAssetsEOYAmt
Total Assets EOYFMV	$44,086,175	TotalAssetsEOYFMVAmt
Accounts Payable BOY	$1,300	AccountsPayableBOYAmt
Accounts Payable EOY	$1,176	AccountsPayableEOYAmt
Total Liabilities BOY	$1,300	TotalLiabilitiesBOYAmt
Total Liabilities EOY	$1,176	TotalLiabilitiesEOYAmt
Org Does Not Follow SFAS117	Yes (X)	OrgDoesNotFollowSFAS117Ind
Capital Stock BOY	$38,431,061	CapitalStockBOYAmt
Capital Stock EOY	$38,431,061	CapitalStockEOYAmt
Retained Earning EOY	$11,128	RetainedEarningEOYAmt
Tot Net Ast Or Fund Balances BOY	$38,431,061	TotNetAstOrFundBalancesBOYAmt
Tot Net Ast Or Fund Balances EOY	$38,442,189	TotNetAstOrFundBalancesEOYAmt
Total Liabilities Net Ast BOY	$38,432,361	TotalLiabilitiesNetAstBOYAmt
Total Liabilities Net Ast EOY	$38,443,365	TotalLiabilitiesNetAstEOYAmt

Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp

Field	Value	IRS element (for citing)
Tot Net Ast Or Fund Balances BOY	$38,431,061	TotNetAstOrFundBalancesBOYAmt
Excess Revenue Over Expenses	$11,128	ExcessRevenueOverExpensesAmt
Subtotal	$38,442,189	SubtotalAmt
Tot Net Ast Or Fund Balances EOY	$38,442,189	TotNetAstOrFundBalancesEOYAmt

Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail

Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (717 entries)

PropertyPropertyDesc	How AcquiredHowAcquiredCd	AcquiredAcquiredDt	SoldSoldDt	Gross Sales PriceGrossSalesPriceAmt	Cost Or Other BasisCostOrOtherBasisAmt	Gain Or LossGainOrLossAmt	Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt
SUN COMMUNITIES INC CMN	P	2015-11-20	2017-12-22	$1,377	$777	$600	$600
CINCINNATI BELL INC. CMN	P	2014-04-07	2017-11-06	$2,018	$1,899	$119	$119
JOHN BEAN TECHNOLOGIES CORPORA CMN	P	2017-06-27	2017-10-19	$1,538	$1,411	$127	$127
U.S. TREASURY NOTE 2.125000% 07/31/2	P	2017-08-03	2017-08-24	$10,075	$10,041	$34	$34
CINCINNATI BELL INC. CMN	P	2013-11-19	2017-08-02	$907	$770	$137	$137
TORO CO (DELAWARE) CMN	P	2013-03-12	2017-06-27	$3,860	$1,323	$2,537	$2,537
AETNA INC. CMN	P	2016-07-12	2017-06-07	$7,305	$5,654	$1,651	$1,651
BERKSHIRE HATHAWAY INC. CLASS B	P	2017-04-26	2017-06-07	$3,163	$3,208	-$45	-$45
CAPITAL ONE FINANCIAL CORP CMN	P	2014-12-04	2017-06-07	$5,548	$5,730	-$182	-$182
CISCO SYSTEMS, INC. CMN	P	2011-11-10	2017-06-07	$4,741	$2,815	$1,926	$1,926
COTY, INC. CMN CLASS A	P	2016-09-28	2017-06-07	$2,320	$2,884	-$564	-$564
FORD MOTOR COMPANY CMN	P	2016-05-17	2017-06-07	$4,676	$5,605	-$929	-$929
HARTFORD FINANCIAL SRVCS GROUP CMN	P	2016-08-04	2017-06-07	$7,058	$5,732	$1,326	$1,326
JUNIPER NETWORKS, INC. CMN	P	2017-02-15	2017-06-07	$2,998	$2,848	$150	$150
MARSH & MCLENNAN CO INC CMN	P	2013-10-16	2017-06-07	$8,150	$4,742	$3,408	$3,408
MORGAN STANLEY CMN	P	2016-01-13	2017-06-07	$8,642	$5,376	$3,266	$3,266
PFIZER INC. CMN	P	2016-10-21	2017-06-07	$4,803	$4,830	-$27	-$27
PNC FINANCIAL SERVICES GROUP, CMN	P	2013-03-12	2017-06-07	$7,175	$3,947	$3,228	$3,228
STRYKER CORPORATION CMN	P	2014-09-25	2017-06-07	$9,504	$5,362	$4,142	$4,142
TJX COMPANIES INC (NEW) CMN	P	2012-12-26	2017-06-07	$3,578	$1,982	$1,596	$1,596
VF CORP CMN	P	2012-03-05	2017-06-07	$751	$515	$236	$236
CARS.COM INC. CMN	P	2014-03-20	2017-06-02	$54	$50	$4	$4
WELLS FARGO & CO (NEW) CMN	P	2016-01-07	2017-05-03	$1,093	$1,008	$85	$85
FLOTEK INDUSTRIES, INC. CMN	P	2013-03-14	2017-04-19	$398	$529	-$131	-$131
POPEYES LOUISIANA KITCHEN INC CMN	P	2012-08-20	2017-03-28	$3,555	$1,079	$2,476	$2,476
CLARCOR, INC. CMN	P	2013-03-12	2017-02-28	$5,810	$3,730	$2,080	$2,080
CEB INC. CMN	P	2013-03-12	2017-02-02	$1,526	$1,115	$411	$411
EOG RESOURCES INC CMN	P	2012-06-05	2017-01-26	$4,809	$2,110	$2,699	$2,699
3M COMPANY	P	2015-08-04	2017-02-02	$19,514	$16,901	$2,613	$2,613
AUTOMATIC DATA PROC	P	2015-04-02	2017-05-02	$8,609	$7,123	$1,486	$1,486
PROCTER & GAMBLE CO	P	2016-03-02	2017-05-02	$31,766	$30,134	$1,632	$1,632
SPDR US FINANCIAL SECTOR	P	2015-04-08	2017-12-04	$1,517	$1,152	$365	$365
WAL-MART STORES INC	P	2015-05-04	2017-12-04	$12,004	$9,708	$2,296	$2,296
CCO HLDGS LLC/CAP 6.62%	P	2012-01-12	2017-02-16	$7,232	$7,010	$222	$222
US TSY 1.625% NOV 15 20	P	2012-12-18	2017-04-07	$9,780	$9,820	-$40	-$40
COH & STR GLB REALTY I	P	2011-10-19	2017-12-29	$49,991	$33,334	$16,657	$16,657
PRUDENTIAL JENNISON	P	2016-06-17	2017-09-27	$6,411	$5,945	$466	$466
PRUDENTIAL JENNISON	P	2014-09-19	2017-09-27	$16	$18	-$2	-$2
PRUDENTIAL JENNISON	P	2012-06-22	2017-09-27	$15,110	$12,205	$2,905	$2,905
3M COMPANY	P	2017-05-02	2017-12-04	$21,868	$17,536	$4,332	$4,332
AMGEN INC COM	P	2017-06-02	2017-11-02	$18,192	$16,659	$1,533	$1,533
EMERSON ELEC CO	P	2017-02-02	2017-07-05	$8,487	$8,371	$116	$116
QUALCOMM INC	P	2017-07-05	2017-08-02	$530	$550	-$20	-$20
TIFFANY & CO NEW	P	2016-08-02	2017-03-02	$542	$378	$164	$164
US TSY 1.500% AUG 15 20	P	2016-10-06	2017-08-17	$6,611	$6,849	-$238	-$238
US TSY 1.500% AUG 15 20	P	2016-11-29	2017-08-22	$15,103	$14,949	$154	$154
MAINSTAY HI YLD CRP BD I	P	2017-03-31	2017-06-13	$1,265	$1,250	$15	$15
MAINSTAY HI YLD CRP BD I	P	2016-06-30	2017-06-13	$1,253	$1,186	$67	$67
SUN COMMUNITIES INC CMN	P	2015-11-03	2017-12-22	$367	$248	$119	$119
CINCINNATI BELL INC. CMN	P	2013-12-02	2017-11-06	$1,416	$1,131	$285	$285
BRITISH AMERICAN TOBACCO PLC SPONS A	P	2017-06-27	2017-10-17	$21		$21	$21
U.S. TREASURY NOTE 2.125000% 07/31/2	P	2017-08-03	2017-08-24	$10,075	$10,042	$33	$33
CINCINNATI BELL INC. CMN	P	2013-11-18	2017-08-02	$352	$307	$45	$45
USII INFL IX NOTE 0.125000% 04/15/20	P	2016-04-11	2017-06-09	$21,115	$21,260	-$145	-$145
AETNA INC. CMN	P	2016-03-16	2017-06-07	$6,858	$5,188	$1,670	$1,670
BERKSHIRE HATHAWAY INC. CLASS B	P	2017-03-29	2017-06-07	$6,826	$6,851	-$25	-$25
CAPITAL ONE FINANCIAL CORP CMN	P	2014-11-11	2017-06-07	$2,298	$2,383	-$85	-$85
CITIGROUP INC. CMN	P	2017-02-15	2017-06-07	$3,088	$3,033	$55	$55
COTY, INC. CMN CLASS A	P	2016-09-21	2017-06-07	$2,301	$2,865	-$564	-$564
FORD MOTOR COMPANY CMN	P	2016-05-03	2017-06-07	$4,566	$5,570	-$1,004	-$1,004
HARTFORD FINANCIAL SRVCS GROUP CMN	P	2016-08-03	2017-06-07	$7,107	$5,758	$1,349	$1,349
JUNIPER NETWORKS, INC. CMN	P	2014-07-29	2017-06-07	$2,851	$2,308	$543	$543
MEDTRONIC PUBLIC LIMITED COMPA CMN	P	2015-01-27	2017-06-07	$10,528	$9,322	$1,206	$1,206
MORGAN STANLEY CMN	P	2013-05-14	2017-06-07	$5,185	$2,919	$2,266	$2,266
PFIZER INC. CMN	P	2015-03-17	2017-06-07	$5,699	$6,092	-$393	-$393
PNC FINANCIAL SERVICES GROUP, CMN	P	2011-02-01	2017-06-07	$10,404	$5,313	$5,091	$5,091
TEGNA INC. CMN	P	2014-03-20	2017-06-07	$1,319	$1,381	-$62	-$62
TJX COMPANIES INC (NEW) CMN	P	2012-12-20	2017-06-07	$7,082	$4,020	$3,062	$3,062
WALT DISNEY COMPANY (THE) CMN	P	2012-02-15	2017-06-07	$2,013	$785	$1,228	$1,228
CARS.COM INC. CMN	P	2014-02-20	2017-06-02	$1,505	$1,411	$94	$94
WELLS FARGO & CO (NEW) CMN	P	2015-12-21	2017-05-03	$3,114	$3,061	$53	$53
WELLS FARGO & CO (NEW) CMN	P	2015-11-24	2017-04-19	$3,270	$3,417	-$147	-$147
POPEYES LOUISIANA KITCHEN INC CMN	P	2012-02-21	2017-03-28	$62,410	$13,548	$48,862	$48,862
CLARCOR, INC. CMN	P	2011-03-22	2017-02-28	$1,245	$662	$583	$583
CEB INC. CMN	P	2012-10-23	2017-02-02	$1,144	$676	$468	$468
EOG RESOURCES INC CMN	P	2012-05-24	2017-01-26	$732	$352	$380	$380
3M COMPANY	P	2015-07-10	2017-02-02	$4,356	$3,882	$474	$474
AUTOMATIC DATA PROC	P	2015-02-03	2017-05-02	$5,808	$4,718	$1,090	$1,090
PROCTER & GAMBLE CO	P	2016-03-02	2017-07-05	$7,368	$6,935	$433	$433
SPDR US FINANCIAL SECTOR	P	2015-04-08	2017-10-03	$2,683	$2,198	$485	$485
WAL-MART STORES INC	P	2015-04-30	2017-12-04	$683	$600	$83	$83
CONOCOPHILLIPS 4.20% 202	P	2016-06-15	2017-11-20	$2,124	$2,153	-$29	-$29
US TSY 2.000% AUG 15 20	P	2015-09-17	2017-07-24	$7,913	$7,844	$69	$69
COHEN & STEERS GLOBAL	P	2011-10-19	2017-12-29	$6	$4	$2	$2
PRUDENTIAL JENNISON	P	2016-06-17	2017-09-27	$16	$15	$1	$1
PRUDENTIAL JENNISON	P	2014-06-20	2017-09-27	$13,260	$14,510	-$1,250	-$1,250
PRUDENTIAL JENNISON	P	2012-03-23	2017-09-27	$9,219	$7,918	$1,301	$1,301
3M COMPANY	P	2016-12-02	2017-02-02	$16,204	$16,056	$148	$148
AMGEN INC COM	P	2017-05-02	2017-11-02	$116,951	$110,310	$6,641	$6,641
EMERSON ELEC CO	P	2017-02-02	2017-12-04	$7,878	$7,015	$863	$863
QUALCOMM INC	P	2017-06-02	2017-08-02	$265	$293	-$28	-$28
TIFFANY & CO NEW	P	2016-05-03	2017-03-02	$19,675	$15,492	$4,183	$4,183
US TSY 1.500% AUG 15 20	P	2016-10-03	2017-08-17	$1,889	$1,978	-$89	-$89
US TSY 1.500% FEB 28 20	P	2016-03-30	2017-03-30	$21,221	$21,889	-$668	-$668
MAINSTAY HI YLD CRP BD I	P	2017-03-31	2017-06-13	$6	$6
NEU BER INST VLE CL INST	P	2017-12-18	2017-12-29
SUN COMMUNITIES INC CMN	P	2015-11-03	2017-12-21	$1,636	$1,117	$519	$519
CINCINNATI BELL INC. CMN	P	2013-11-26	2017-11-06	$504	$400	$104	$104
CLOROX COMPANY (THE) 5.95% 10/15/201	P	2016-10-13	2017-10-15	$75,000	$75,000
U.S. TREASURY NOTE 2.125000% 07/31/2	P	2017-08-03	2017-08-24	$10,075	$10,042	$33	$33
CINCINNATI BELL INC. CMN	P	2013-11-15	2017-08-02	$481	$412	$69	$69
ABBOTT LABORATORIES CMN	P	2016-07-14	2017-06-07	$1,900	$1,729	$171	$171
AETNA INC. CMN	P	2016-01-20	2017-06-07	$3,727	$2,564	$1,163	$1,163
BERKSHIRE HATHAWAY INC. CLASS B	P	2017-03-20	2017-06-07	$6,326	$6,560	-$234	-$234
CARS.COM INC. CMN	P	2014-03-20	2017-06-07	$834	$724	$110	$110
CITIGROUP INC. CMN	P	2016-03-14	2017-06-07	$9,265	$6,385	$2,880	$2,880
COTY, INC. CMN CLASS A	P	2016-09-21	2017-06-07	$3,621	$4,575	-$954	-$954
FRANKLIN RESOURCES INC CMN	P	2015-09-30	2017-06-07	$6,551	$5,678	$873	$873
HONEYWELL INTL INC CMN	P	2017-01-24	2017-06-07	$3,584	$3,173	$411	$411
JUNIPER NETWORKS, INC. CMN	P	2013-03-12	2017-06-07	$3,644	$2,594	$1,050	$1,050
MEDTRONIC PUBLIC LIMITED COMPA CMN	P	2015-01-27	2017-06-07	$8,544	$7,564	$980	$980
MORGAN STANLEY CMN	P	2013-03-12	2017-06-07	$7,907	$4,204	$3,703	$3,703
PFIZER INC. CMN	P	2013-03-12	2017-06-07	$4,387	$3,852	$535	$535
PRAXAIR, INC. CMN	P	2017-02-15	2017-06-07	$3,215	$2,818	$397	$397
TEGNA INC. CMN	P	2014-02-20	2017-06-07	$2,423	$2,516	-$93	-$93
TJX COMPANIES INC (NEW) CMN	P	2012-12-18	2017-06-07	$6,486	$3,791	$2,695	$2,695
WALT DISNEY COMPANY (THE) CMN	P	2012-02-06	2017-06-07	$11,018	$4,204	$6,814	$6,814
CARS.COM INC. CMN	P	2014-02-05	2017-06-02	$1,586	$1,403	$183	$183
WELLS FARGO & CO (NEW) CMN	P	2015-12-14	2017-05-03	$2,349	$2,273	$76	$76
FLOTEK INDUSTRIES, INC. CMN	P	2013-03-14	2017-04-18	$625	$809	-$184	-$184
THE PROGRESSIVE CORPORATION CMN	P	2013-02-11	2017-03-21	$3,094	$1,810	$1,284	$1,284
USII INFL IX BOND 2.500000% 01/15/20	P	2014-03-06	2017-02-27	$13,921	$13,159	$762	$762
EOG RESOURCES INC CMN	P	2015-08-12	2017-02-02	$1,699	$1,311	$388	$388
USII INFL IX NOTE 0.625000% 01/15/20	P	2016-06-07	2017-01-10	$10,602	$10,771	-$169	-$169
3M COMPANY	P	2015-05-04	2017-02-02	$13,068	$11,958	$1,110	$1,110
AUTOMATIC DATA PROC	P	2015-01-05	2017-01-04	$23,890	$19,308	$4,582	$4,582
QUALCOMM INC	P	2016-05-03	2017-08-02	$10,924	$10,225	$699	$699
TIFFANY & CO NEW	P	2016-02-10	2017-03-02	$131,408	$90,692	$40,716	$40,716
WAL-MART STORES INC	P	2015-04-02	2017-12-04	$7,515	$6,214	$1,301	$1,301
GOLDMAN SACHS GRO 6.15%	P	2012-01-17	2017-11-02	$13,235	$13,046	$189	$189
US TSY 3.125% NOV 15 20	P	2012-05-03	2017-03-31	$6,137	$6,022	$115	$115
FIRST EAG GLOBAL CL I	P	2011-02-22	2017-12-29	$92,405	$74,130	$18,275	$18,275
PRUDENTIAL JENNISON	P	2015-12-18	2017-09-27	$24,183	$21,024	$3,159	$3,159
PRUDENTIAL JENNISON	P	2014-03-21	2017-09-27	$33,986	$35,347	-$1,361	-$1,361
PRUDENTIAL JENNISON	P	2012-02-09	2017-09-27	$8,813	$7,455	$1,358	$1,358
3M COMPANY	P	2016-11-02	2017-02-02	$37,112	$35,042	$2,070	$2,070
AMGEN INC COM PV 0.0001	P	2017-05-02	2017-07-05	$20,924	$19,774	$1,150	$1,150
FOOT LOCKER INC N.Y. COM	P	2017-08-02	2017-09-06	$15,009	$19,844	-$4,835	-$4,835
QUALCOMM INC	P	2017-05-02	2017-08-02	$2,333	$2,329	$4	$4
TIFFANY & CO NEW	P	2016-02-10	2017-01-04	$1,420	$1,121	$299	$299
US TSY 1.500% AUG 15 20	P	2016-09-01	2017-03-30	$2,772	$2,980	-$208	-$208
US TSY 1.500% MAR 31 20	P	2016-04-25	2017-02-06	$4,806	$4,942	-$136	-$136
MAINSTAY HI YLD CRP BD I	P	2017-02-28	2017-06-13	$1,248	$1,242	$6	$6
PRUDENTIAL JENNISON	P	2017-09-22	2017-09-27	$5,112	$5,125	-$13	-$13
SUN COMMUNITIES INC CMN	P	2015-11-03	2017-12-20	$3,495	$2,359	$1,136	$1,136
CINCINNATI BELL INC. CMN	P	2013-11-25	2017-11-06	$795	$645	$150	$150
USII INFL IX NOTE 0.625000% 01/15/20	P	2017-03-21	2017-10-03	$7,499	$7,494	$5	$5
MARKETAXESS HOLDINGS INC CMN	P	2013-03-12	2017-08-18	$2,849	$586	$2,263	$2,263
CINCINNATI BELL INC. CMN	P	2012-02-15	2017-08-02	$8,251	$8,529	-$278	-$278
ABBOTT LABORATORIES CMN	P	2016-04-28	2017-06-07	$4,355	$3,903	$452	$452
AETNA INC. CMN	P	2016-01-19	2017-06-07	$3,578	$2,514	$1,064	$1,064
BORGWARNER INC. CMN	P	2016-01-20	2017-06-07	$4,534	$3,055	$1,479	$1,479
CHARTER COMMUNICATIONS, INC. CMN	P	2016-08-11	2017-06-07	$6,211	$4,610	$1,601	$1,601
CITIGROUP INC. CMN	P	2015-04-16	2017-06-07	$1,297	$1,143	$154	$154
COTY, INC. CMN CLASS A	P	2010-12-03	2017-06-07	$4,772	$3,977	$795	$795
FRANKLIN RESOURCES INC CMN	P	2014-01-21	2017-06-07	$3,318	$4,554	-$1,236	-$1,236
HONEYWELL INTL INC CMN	P	2017-01-05	2017-06-07	$7,036	$6,213	$823	$823
JUNIPER NETWORKS, INC. CMN	P	2011-10-03	2017-06-07	$4,173	$2,449	$1,724	$1,724
MEDTRONIC PUBLIC LIMITED COMPA CMN	P	2015-01-27	2017-06-07	$6,386	$5,654	$732	$732
MORGAN STANLEY CMN	P	2013-03-07	2017-06-07	$4,105	$2,211	$1,894	$1,894
PFIZER INC. CMN	P	2011-02-01	2017-06-07	$16,362	$9,714	$6,648	$6,648
PRAXAIR, INC. CMN	P	2015-01-14	2017-06-07	$6,698	$6,222	$476	$476
TEGNA INC. CMN	P	2014-02-05	2017-06-07	$2,538	$2,501	$37	$37
TWENTY-FIRST CENTURY FOX, INC. CMN	P	2014-08-29	2017-06-07	$4,318	$5,443	-$1,125	-$1,125
WALT DISNEY COMPANY (THE) CMN	P	2012-01-04	2017-06-07	$8,899	$3,260	$5,639	$5,639
GARTNER, INC. CMN	P	2017-04-06	2017-06-02	$844	$768	$76	$76
COGNEX CORPORATION CMN	P	2013-03-12	2017-05-02	$3,956	$929	$3,027	$3,027
FLOTEK INDUSTRIES, INC. CMN	P	2013-03-14	2017-04-17	$776	$996	-$220	-$220
THE PROGRESSIVE CORPORATION CMN	P	2013-01-09	2017-03-21	$3,416	$1,876	$1,540	$1,540
U.S. TREASURY NOTE 1.750000% 03/31/2	P	2015-12-22	2017-02-13	$19,787	$19,736	$51	$51
EOG RESOURCES INC CMN	P	2015-07-27	2017-02-02	$5,197	$3,825	$1,372	$1,372
TEXAS INSTRUMENTS	P	2017-03-02	2017-07-05	$1,080	$1,100	-$20	-$20
3M COMPANY	P	2015-04-02	2017-02-02	$8,015	$7,483	$532	$532
AUTOMATIC DATA PROC	P	2015-01-05	2017-05-02	$2,074	$1,672	$402	$402
QUALCOMM INC	P	2016-03-02	2017-08-02	$35,528	$34,581	$947	$947
UNION PACIFIC CORP	P	2016-02-10	2017-12-04	$516	$308	$208	$208
WAL-MART STORES INC	P	2015-03-03	2017-12-04	$488	$455	$33	$33
NISOURCE FIN CORP 6.12%	P	2011-02-09	2017-05-26	$1,139	$1,039	$100	$100
WELLS FARGO & CO 4.60% 2	P	2013-11-01	2017-06-14	$4,333	$4,219	$114	$114
FIRST EAG GLOBAL CL I	P	2011-02-09	2017-12-29	$7,592	$6,084	$1,508	$1,508
PRUDENTIAL JENNISON	P	2015-12-18	2017-09-27	$16	$14	$2	$2
PRUDENTIAL JENNISON	P	2013-12-20	2017-09-27	$16	$16
PRUDENTIAL JENNISON	P	2012-02-09	2017-06-23	$106,845	$92,554	$14,291	$14,291
3M COMPANY	P	2016-05-03	2017-02-02	$10,977	$10,583	$394	$394
AUTOMATIC DATA PROC	P	2017-09-06	2017-12-04	$7,391	$6,859	$532	$532
FOOT LOCKER INC N.Y. COM	P	2017-07-05	2017-09-06	$94,866	$134,421	-$39,555	-$39,555
QUALCOMM INC	P	2016-12-02	2017-08-02	$25,506	$30,565	-$5,059	-$5,059
UNITED TECHS CORP COM	P	2017-02-02	2017-05-02	$42,455	$38,404	$4,051	$4,051
US TSY 1.500% AUG 15 20	P	2016-09-01	2017-03-30	$5,543	$6,082	-$539	-$539
US TSY 1.500% MAR 31 20	P	2016-04-25	2017-02-06	$6,728	$6,919	-$191	-$191
MAINSTAY HI YLD CRP BD I	P	2017-01-31	2017-06-13	$1,248	$1,235	$13	$13
PRUDENTIAL JENNISON	P	2017-09-22	2017-09-27	$6	$6
AMPLIFY SNACK BRANDS, INC. CMN	P	2017-01-12	2017-12-18	$406	$355	$51	$51
CINCINNATI BELL INC. CMN	P	2013-11-22	2017-11-06	$679	$550	$129	$129
HEICO CORPORATION (NEW) CMN	P	2014-12-16	2017-09-25	$1,343	$666	$677	$677
AMERICAN CAMPUS CMNTYS, INC CMN	P	2014-08-15	2017-08-16	$2,130	$1,626	$504	$504
REYNOLDS AMERICAN INC CMN	P	2017-06-13	2017-07-25	$31,198	$30,805	$393	$393
ABBOTT LABORATORIES CMN	P	2016-03-16	2017-06-07	$8,247	$7,143	$1,104	$1,104
AETNA INC. CMN	P	2016-01-15	2017-06-07	$3,578	$2,498	$1,080	$1,080
BORGWARNER INC. CMN	P	2015-09-21	2017-06-07	$2,572	$2,516	$56	$56
CHARTER COMMUNICATIONS, INC. CMN	P	2016-02-08	2017-06-07	$8,971	$4,757	$4,214	$4,214
CITIGROUP INC. CMN	P	2014-05-16	2017-06-07	$8,586	$6,460	$2,126	$2,126
DISCOVER FINANCIAL SERVICES CMN	P	2017-05-16	2017-06-07	$9,716	$9,935	-$219	-$219
FRANKLIN RESOURCES INC CMN	P	2013-12-05	2017-06-07	$3,829	$4,867	-$1,038	-$1,038
HONEYWELL INTL INC CMN	P	2016-12-08	2017-06-07	$7,169	$6,241	$928	$928
KIMBERLY-CLARK CORPORATION CMN	P	2013-03-12	2017-06-07	$6,368	$4,421	$1,947	$1,947
METLIFE, INC. CMN	P	2017-03-13	2017-06-07	$5,723	$6,122	-$399	-$399
MORGAN STANLEY CMN	P	2013-02-08	2017-06-07	$3,543	$1,910	$1,633	$1,633
PFIZER INC. CMN	P	2010-12-03	2017-06-07	$9,061	$4,724	$4,337	$4,337
PRAXAIR, INC. CMN	P	2014-07-07	2017-06-07	$5,358	$5,304	$54	$54
THE GOODYEAR TIRE & RUBBER CO. CMN	P	2017-02-15	2017-06-07	$3,574	$3,669	-$95	-$95
TWENTY-FIRST CENTURY FOX, INC. CMN	P	2014-07-14	2017-06-07	$4,072	$5,135	-$1,063	-$1,063
WALT DISNEY COMPANY (THE) CMN	P	2011-12-20	2017-06-07	$953	$324	$629	$629
GARTNER, INC. CMN	P	2017-04-06	2017-06-02	$482	$439	$43	$43
MONRO, INC. CMN	P	2013-03-12	2017-05-02	$101	$78	$23	$23
WELLS FARGO & CO (NEW) CMN	P	2015-11-24	2017-04-17	$1,987	$2,094	-$107	-$107
USII INFL IX NOTE 0.125000% 04/15/20	P	2016-04-11	2017-03-21	$16,802	$16,782	$20	$20
CARDTRONICS PLC CMN	P	2013-03-12	2017-02-10	$643	$557	$86	$86
U.S. TREASURY NOTE 2.250000% 11/15/2	P	2016-07-29	2017-02-01	$9,846	$10,668	-$822	-$822
WAL-MART STORES INC	P	2015-04-02	2017-07-05	$530	$565	-$35	-$35
3M COMPANY	P	2015-02-03	2017-02-02	$3,136	$2,982	$154	$154
JOHNSON AND JOHNSON COM	P	2015-08-04	2017-12-04	$8,245	$5,912	$2,333	$2,333
QUALCOMM INC	P	2015-10-23	2017-08-02	$2,970	$3,404	-$434	-$434
UNION PACIFIC CORP	P	2015-08-04	2017-10-03	$802	$674	$128	$128
WAL-MART STORES INC	P	2015-02-03	2017-05-02	$4,906	$5,597	-$691	-$691
NISOURCE FIN CORP 6.12%	P	2010-08-10	2017-05-26	$5,696	$5,532	$164	$164
WELLS FARGO & CO 4.60% 2	P	2013-02-19	2017-06-14	$1,083	$1,067	$16	$16
MAINSTAY HI YLD CRP BD I	P	2016-05-31	2017-06-13	$6	$6
PRUDENTIAL JENNISON	P	2015-12-18	2017-09-27	$106,063	$92,209	$13,854	$13,854
PRUDENTIAL JENNISON	P	2013-12-20	2017-09-27	$6,395	$6,619	-$224	-$224
PRUDENTIAL JENNISON	P	2011-09-16	2017-06-23	$13,615	$10,875	$2,740	$2,740
3M COMPANY	P	2016-02-10	2017-02-02	$32,930	$29,171	$3,759	$3,759
AUTOMATIC DATA PROC	P	2017-06-02	2017-08-02	$20,138	$17,414	$2,724	$2,724
HONEYWELL INTL INC DEL	P	2017-08-02	2017-09-06	$143,312	$145,208	-$1,896	-$1,896
QUALCOMM INC	P	2016-11-02	2017-08-02	$10,871	$13,801	-$2,930	-$2,930
UNITED TECHS CORP COM	P	2017-02-02	2017-07-05	$7,706	$6,777	$929	$929
US TSY 1.500% AUG 15 20	P	2016-09-01	2017-08-17	$2,833	$3,041	-$208	-$208
US TSY 1.625% FEB 15 20	P	2016-11-15	2017-02-28	$22,578	$22,776	-$198	-$198
MAINSTAY HI YLD CRP BD I	P	2016-12-15	2017-06-13	$1,253	$1,224	$29	$29
PRUDENTIAL JENNISON	P	2017-06-23	2017-09-27	$3,019	$2,948	$71	$71
AMPLIFY SNACK BRANDS, INC. CMN	P	2016-05-25	2017-12-18	$358	$382	-$24	-$24
CINCINNATI BELL INC. CMN	P	2013-11-21	2017-11-06	$873	$707	$166	$166
SHIRE ACQUISITIONS INVESTMENTS 1.9%	P	2016-09-19	2017-09-25	$49,906	$49,960	-$54	-$54
AMERICAN CAMPUS CMNTYS, INC CMN	P	2013-03-12	2017-08-16	$805	$708	$97	$97
TORO CO (DELAWARE) CMN	P	2013-03-12	2017-07-20	$1,426	$481	$945	$945
ABBOTT LABORATORIES CMN	P	2014-09-25	2017-06-07	$3,707	$3,367	$340	$340
ALPHABET INC. CMN CLASS A	P	2015-03-06	2017-06-07	$4,991	$2,896	$2,095	$2,095
BORGWARNER INC. CMN	P	2015-08-21	2017-06-07	$8,719	$8,951	-$232	-$232
CHARTER COMMUNICATIONS, INC. CMN	P	2015-07-08	2017-06-07	$10,006	$5,567	$4,439	$4,439
CITIGROUP INC. CMN	P	2013-03-12	2017-06-07	$3,088	$2,344	$744	$744
EASTMAN CHEMICAL COMPANY CMN	P	2014-10-23	2017-06-07	$2,495	$2,417	$78	$78
FRANKLIN RESOURCES INC CMN	P	2013-12-03	2017-06-07	$3,829	$4,932	-$1,103	-$1,103
ILLINOIS TOOL WORKS CMN	P	2013-03-12	2017-06-07	$2,449	$1,053	$1,396	$1,396
KIMBERLY-CLARK CORPORATION CMN	P	2012-06-20	2017-06-07	$5,069	$3,051	$2,018	$2,018
METLIFE, INC. CMN	P	2015-12-08	2017-06-07	$3,495	$3,394	$101	$101
MORGAN STANLEY CMN	P	2013-01-17	2017-06-07	$5,272	$2,514	$2,758	$2,758
PHILIP MORRIS INTL INC CMN	P	2017-03-17	2017-06-07	$2,327	$2,172	$155	$155
PRAXAIR, INC. CMN	P	2014-06-27	2017-06-07	$5,492	$5,392	$100	$100
THE GOODYEAR TIRE & RUBBER CO. CMN	P	2014-10-22	2017-06-07	$4,240	$2,529	$1,711	$1,711
TWENTY-FIRST CENTURY FOX, INC. CMN	P	2014-06-24	2017-06-07	$2,760	$3,384	-$624	-$624
WHIRLPOOL CORP. CMN	P	2015-04-21	2017-06-07	$4,345	$4,499	-$154	-$154
GARTNER, INC. CMN	P	2017-04-06	2017-06-02	$241	$219	$22	$22
MONRO, INC. CMN	P	2011-12-22	2017-05-02	$253	$199	$54	$54
CEB INC. CMN	P	2013-10-08	2017-04-06	$759	$702	$57	$57
USII INFL IX NOTE 0.125000% 04/15/20	P	2016-04-11	2017-03-21	$14,704	$14,684	$20	$20
CARDTRONICS PLC CMN	P	2013-03-12	2017-02-09	$2,033	$1,592	$441	$441
U.S. TREASURY NOTE 2.250000% 11/15/2	P	2016-05-31	2017-02-01	$9,846	$10,334	-$488	-$488
WAL-MART STORES INC	P	2015-02-03	2017-07-05	$379	$431	-$52	-$52
3M COMPANY	P	2015-01-05	2017-01-04	$10,003	$9,094	$909	$909
JOHNSON AND JOHNSON COM	P	2015-07-10	2017-07-05	$1,727	$1,296	$431	$431
QUALCOMM INC	P	2015-08-25	2017-08-02	$9,068	$12,339	-$3,271	-$3,271
UNION PACIFIC CORP	P	2015-08-04	2017-12-04	$20,118	$15,026	$5,092	$5,092
WAL-MART STORES INC	P	2015-01-05	2017-05-02	$9,963	$11,349	-$1,386	-$1,386
OWENS CORNING INC 7.00%	P	2010-08-11	2017-07-07	$2,613	$2,028	$585	$585
WELLS FARGO & CO 4.60% 2	P	2011-03-23	2017-06-14	$8,667	$7,990	$677	$677
MAINSTAY HI YLD CRP BD I	P	2016-05-31	2017-06-13	$1,253	$1,177	$76	$76
PRUDENTIAL JENNISON	P	2015-09-18	2017-09-27	$16	$16
PRUDENTIAL JENNISON	P	2013-12-20	2017-09-27	$57,974	$60,010	-$2,036	-$2,036
PRUDENTIAL JENNISON	P	2011-09-16	2017-06-23	$16	$13	$3	$3
AIR PRODUCTS&CHEM	P	2017-08-02	2017-09-06	$6,487	$6,666	-$179	-$179
AUTOMATIC DATA PROC	P	2016-12-02	2017-08-02	$16,782	$13,830	$2,952	$2,952
HONEYWELL INTL INC DEL	P	2016-12-02	2017-05-02	$19,508	$16,970	$2,538	$2,538
RAYTHEON CO DELAWARE NEW	P	2017-05-02	2017-06-02	$136,930	$130,080	$6,850	$6,850
UNITED TECHS CORP COM	P	2017-02-02	2017-12-04	$5,949	$5,271	$678	$678
US TSY 1.750% MAY 31 20	P	2017-06-05	2017-12-05	$7,868	$8,006	-$138	-$138
US TSY 1.625% FEB 15 20	P	2016-10-26	2017-02-28	$11,289	$11,852	-$563	-$563
MAINSTAY HI YLD CRP BD I	P	2016-12-15	2017-06-13	$6	$6
PRUDENTIAL JENNISON	P	2017-06-23	2017-06-23	$5	$5
AMPLIFY SNACK BRANDS, INC. CMN	P	2016-05-24	2017-12-18	$656	$698	-$42	-$42
CINCINNATI BELL INC. CMN	P	2013-11-20	2017-11-06	$2,774	$2,244	$530	$530
ADVANCE AUTO PARTS, INC. 4.5% 01/15/	P	2015-06-24	2017-09-22	$26,460	$25,817	$643	$643
MARKETAXESS HOLDINGS INC CMN	P	2013-03-12	2017-08-16	$6,348	$1,289	$5,059	$5,059
TORO CO (DELAWARE) CMN	P	2013-03-12	2017-07-19	$928	$313	$615	$615
ABBOTT LABORATORIES CMN	P	2014-03-04	2017-06-07	$2,409	$2,090	$319	$319
ALPHABET INC. CMN CLASS A	P	2015-03-04	2017-06-07	$2,994	$1,724	$1,270	$1,270
BORGWARNER INC. CMN	P	2015-05-05	2017-06-07	$2,136	$3,005	-$869	-$869
CIMAREX ENERGY CO. CMN	P	2017-01-30	2017-06-07	$201	$272	-$71	-$71
CITIGROUP INC. CMN	P	2012-12-19	2017-06-07	$4,756	$3,062	$1,694	$1,694
EASTMAN CHEMICAL COMPANY CMN	P	2014-10-22	2017-06-07	$3,703	$3,590	$113	$113
HANESBRANDS INC. CMN	P	2016-06-28	2017-06-07	$2,218	$2,662	-$444	-$444
ILLINOIS TOOL WORKS CMN	P	2011-02-01	2017-06-07	$17,718	$6,549	$11,169	$11,169
KIMBERLY-CLARK CORPORATION CMN	P	2012-05-18	2017-06-07	$5,329	$3,099	$2,230	$2,230
METLIFE, INC. CMN	P	2015-12-02	2017-06-07	$5,774	$5,792	-$18	-$18
MORGAN STANLEY CMN	P	2013-01-11	2017-06-07	$6,481	$3,019	$3,462	$3,462
PHILIP MORRIS INTL INC CMN	P	2017-02-15	2017-06-07	$5,634	$4,719	$915	$915
PROCTER & GAMBLE COMPANY (THE) CMN	P	2016-12-09	2017-06-07	$6,749	$6,399	$350	$350
THE GOODYEAR TIRE & RUBBER CO. CMN	P	2014-10-20	2017-06-07	$3,118	$1,817	$1,301	$1,301
UNITED TECHNOLOGIES CORPORATIO CMN	P	2017-02-15	2017-06-07	$5,864	$5,485	$379	$379
WHIRLPOOL CORP. CMN	P	2014-05-14	2017-06-07	$6,801	$5,202	$1,599	$1,599
U.S. TREASURY NOTE 2.250000% 01/31/2	P	2017-01-31	2017-06-01	$10,150	$9,950	$200	$200
MONRO, INC. CMN	P	2011-06-22	2017-05-02	$507	$337	$170	$170
CEB INC. CMN	P	2013-10-04	2017-04-06	$1,519	$1,433	$86	$86
THE PROGRESSIVE CORPORATION CMN	P	2013-01-09	2017-03-15	$2,992	$1,656	$1,336	$1,336
EQUINIX, INC. REIT	P	2015-11-10	2017-02-08	$1,530	$1,302	$228	$228
UNITED PARCEL SERVICE, INC. CLASS B	P	2015-08-25	2017-02-01	$1,599	$1,460	$139	$139
US TSY 1.625% NOV 15 20	P	2013-02-19	2017-04-07	$978	$978
3M COMPANY	P	2015-01-05	2017-02-02	$8,363	$7,795	$568	$568
JOHNSON AND JOHNSON COM	P	2015-07-10	2017-12-04	$1,258	$897	$361	$361
QUALCOMM INC	P	2015-07-31	2017-08-02	$9,969	$13,215	-$3,246	-$3,246
UNION PACIFIC CORP	P	2015-07-10	2017-07-05	$4,829	$4,307	$522	$522
WAL-MART STORES INC	P	2014-11-05	2017-05-02	$18,568	$19,243	-$675	-$675
RIO TINTO FIN USA 3.50%	P	2016-04-05	2017-06-07	$2,056	$2,022	$34	$34
COMCAST CORP 6.30%NOV15	P	2011-02-03	2017-11-15	$3,000	$3,000
MAINSTAY HI YLD CRP BD I	P	2016-04-29	2017-06-13	$6	$5	$1	$1
PRUDENTIAL JENNISON	P	2015-09-18	2017-09-27	$10,679	$10,548	$131	$131
PRUDENTIAL JENNISON	P	2013-12-20	2017-09-27	$16	$17	-$1	-$1
PRUDENTIAL JENNISON	P	2011-08-19	2017-06-23	$79,519	$60,706	$18,813	$18,813
AIR PRODUCTS&CHEM	P	2017-06-02	2017-09-06	$9,658	$9,805	-$147	-$147
AUTOMATIC DATA PROC	P	2016-11-02	2017-08-02	$33,448	$25,824	$7,624	$7,624
HONEYWELL INTL INC DEL	P	2016-11-02	2017-01-04	$13,549	$12,682	$867	$867
RAYTHEON CO DELAWARE NEW	P	2017-01-04	2017-03-02	$164,266	$156,377	$7,889	$7,889
ALTRIA GROUP INC 4.00% 2	P	2017-05-17	2017-12-06	$8,540	$8,512	$28	$28
VERIZON COMMUN 5.15% 202	P	2016-12-22	2017-02-03	$1,119	$1,096	$23	$23
US TSY 1.625% FEB 15 20	P	2016-04-29	2017-02-28	$11,289	$11,771	-$482	-$482
MAINSTAY HI YLD CRP BD I	P	2016-11-30	2017-06-13	$1,253	$1,218	$35	$35
PRUDENTIAL JENNISON	P	2017-03-24	2017-06-07	$5	$5
AMPLIFY SNACK BRANDS, INC. CMN	P	2016-05-19	2017-12-18	$955	$977	-$22	-$22
AMERICAN INTL GROUP, INC. CMN	P	2012-02-15	2017-11-03	$30,069	$13,053	$17,016	$17,016
USII INFL IX NOTE 0.125000% 04/15/20	P	2017-03-21	2017-09-08	$16,928	$17,032	-$104	-$104
AMERICAN CAMPUS CMNTYS, INC CMN	P	2013-03-12	2017-08-15	$848	$750	$98	$98
U.S. TREASURY NOTE 1.625000% 07/31/2	P	2016-03-31	2017-07-18	$40,117	$40,571	-$454	-$454
ABBOTT LABORATORIES CMN	P	2014-02-20	2017-06-07	$5,375	$4,526	$849	$849
ALPHABET INC. CMN CLASS A	P	2015-02-17	2017-06-07	$10,980	$6,015	$4,965	$4,965
BORGWARNER INC. CMN	P	2015-04-29	2017-06-07	$2,049	$2,863	-$814	-$814
CIMAREX ENERGY CO. CMN	P	2015-07-27	2017-06-07	$4,417	$4,400	$17	$17
CITIGROUP INC. CMN	P	2012-12-14	2017-06-07	$3,768	$2,293	$1,475	$1,475
EASTMAN CHEMICAL COMPANY CMN	P	2014-10-20	2017-06-07	$2,012	$1,881	$131	$131
HANESBRANDS INC. CMN	P	2016-06-27	2017-06-07	$3,263	$3,824	-$561	-$561
ILLINOIS TOOL WORKS CMN	P	2010-12-03	2017-06-07	$10,372	$3,481	$6,891	$6,891
KIMBERLY-CLARK CORPORATION CMN	P	2011-02-01	2017-06-07	$8,578	$4,087	$4,491	$4,491
METLIFE, INC. CMN	P	2015-11-10	2017-06-07	$6,787	$6,809	-$22	-$22
PARKER-HANNIFIN CORP. CMN	P	2013-03-12	2017-06-07	$7,738	$4,854	$2,884	$2,884
PHILIP MORRIS INTL INC CMN	P	2013-05-02	2017-06-07	$2,939	$2,299	$640	$640
PROCTER & GAMBLE COMPANY (THE) CMN	P	2014-03-03	2017-06-07	$3,819	$3,335	$484	$484
THE GOODYEAR TIRE & RUBBER CO. CMN	P	2014-10-15	2017-06-07	$4,450	$2,474	$1,976	$1,976
UNITED TECHNOLOGIES CORPORATIO CMN	P	2013-03-12	2017-06-07	$9,694	$7,527	$2,167	$2,167
WHIRLPOOL CORP. CMN	P	2013-10-16	2017-06-07	$5,856	$4,140	$1,716	$1,716
CAPITAL ONE FINANCIAL CORP CMN	P	2014-11-11	2017-05-16	$3,002	$3,040	-$38	-$38
TORO CO (DELAWARE) CMN	P	2013-03-12	2017-05-02	$781	$289	$492	$492
CEB INC. CMN	P	2013-03-12	2017-04-06	$2,388	$1,673	$715	$715
THE PROGRESSIVE CORPORATION CMN	P	2012-12-27	2017-03-15	$319	$167	$152	$152
EQUINIX, INC. REIT	P	2015-02-02	2017-02-08	$14,915	$8,398	$6,517	$6,517
UNITED PARCEL SERVICE, INC. CLASS B	P	2015-07-08	2017-02-01	$3,198	$2,872	$326	$326
ASTRAZENECA PLC 5.90% 20	P	2011-02-03	2017-09-15	$4,000	$4,000
3M COMPANY	P	2014-11-05	2017-01-04	$4,823	$4,192	$631	$631
JOHNSON AND JOHNSON COM	P	2015-05-04	2017-07-05	$8,765	$6,618	$2,147	$2,147
QUALCOMM INC	P	2015-01-26	2017-01-04	$7,097	$8,935	-$1,838	-$1,838
UNION PACIFIC CORP	P	2015-07-10	2017-10-03	$2,637	$2,251	$386	$386
WAL-MART STORES INC	P	2014-07-11	2017-01-04	$5,374	$5,997	-$623	-$623
TIME WARNER CABLE 5.85%	P	2013-02-19	2017-04-10	$1,003	$1,002	$1	$1
COMCAST CORP 6.30%NOV15	P	2010-08-09	2017-11-15	$14,000	$14,000
MAINSTAY HI YLD CRP BD I	P	2016-04-29	2017-06-13	$1,248	$1,169	$79	$79
PRUDENTIAL JENNISON	P	2015-06-19	2017-09-27	$5,973	$6,480	-$507	-$507
PRUDENTIAL JENNISON	P	2013-09-20	2017-09-27	$5,567	$5,581	-$14	-$14
PRUDENTIAL JENNISON	P	2011-08-19	2017-06-07	$51,513	$39,301	$12,212	$12,212
AIR PRODUCTS&CHEM	P	2017-05-02	2017-07-05	$6,053	$6,006	$47	$47
C.H. ROBINSON WORLDWIDE,	P	2017-11-02	2017-12-04	$13,392	$12,059	$1,333	$1,333
HONEYWELL INTL INC DEL	P	2016-11-02	2017-05-02	$156,722	$130,862	$25,860	$25,860
TEXAS INSTRUMENTS	P	2017-03-02	2017-05-02	$44,278	$44,061	$217	$217
ANHEUSER-BUSCH IN 3.30%	P	2016-12-22	2017-10-12	$1,037	$1,010	$27	$27
VERIZON COMMUN 5.15% 202	P	2016-11-17	2017-02-03	$15,664	$15,510	$154	$154
US TSY 1.875% AUG 31 20	P	2016-02-25	2017-02-16	$2,968	$3,071	-$103	-$103
MAINSTAY HI YLD CRP BD I	P	2016-11-30	2017-06-13	$6	$6
PRUDENTIAL JENNISON	P	2017-03-24	2017-09-27	$1,899	$1,811	$88	$88
HEICO CORPORATION (NEW) CMN	P	2015-12-31	2017-12-13	$182	$88	$94	$94
CINCINNATI BELL INC. CMN	P	2013-11-20	2017-11-03	$1,499	$1,208	$291	$291
USII INFL IX NOTE 0.125000% 04/15/20	P	2016-04-11	2017-09-08	$10,580	$10,645	-$65	-$65
VOYA FINANCIAL, INC. STEP 02/15/2018	P	2015-05-12	2017-08-11	$21,149	$21,583	-$434	-$434
COGNEX CORPORATION CMN	P	2013-03-12	2017-07-13	$5,355	$1,239	$4,116	$4,116
ABBOTT LABORATORIES CMN	P	2014-02-12	2017-06-07	$4,309	$3,556	$753	$753
ALPHABET INC. CMN CLASS A	P	2015-02-13	2017-06-07	$19,963	$11,016	$8,947	$8,947
BORGWARNER INC. CMN	P	2015-04-20	2017-06-07	$6,016	$8,457	-$2,441	-$2,441
CIMAREX ENERGY CO. CMN	P	2014-09-09	2017-06-07	$3,715	$4,961	-$1,246	-$1,246
CITIGROUP INC. CMN	P	2012-09-14	2017-06-07	$3,397	$1,908	$1,489	$1,489
EASTMAN CHEMICAL COMPANY CMN	P	2014-10-15	2017-06-07	$2,254	$2,007	$247	$247
HANESBRANDS INC. CMN	P	2016-06-13	2017-06-07	$2,496	$3,054	-$558	-$558
JPMORGAN CHASE & CO CMN	P	2013-03-12	2017-06-07	$5,270	$3,178	$2,092	$2,092
KIMBERLY-CLARK CORPORATION CMN	P	2010-12-03	2017-06-07	$4,159	$1,904	$2,255	$2,255
METLIFE, INC. CMN	P	2014-04-11	2017-06-07	$2,988	$2,915	$73	$73
PARKER-HANNIFIN CORP. CMN	P	2011-02-01	2017-06-07	$12,072	$6,957	$5,115	$5,115
PHILIP MORRIS INTL INC CMN	P	2013-04-03	2017-06-07	$2,817	$2,176	$641	$641
PROCTER & GAMBLE COMPANY (THE) CMN	P	2014-02-21	2017-06-07	$6,394	$5,674	$720	$720
THE GOODYEAR TIRE & RUBBER CO. CMN	P	2014-09-23	2017-06-07	$2,348	$1,576	$772	$772
UNITED TECHNOLOGIES CORPORATIO CMN	P	2011-02-01	2017-06-07	$17,952	$12,264	$5,688	$5,688
WHIRLPOOL CORP. CMN	P	2013-06-24	2017-06-07	$3,589	$2,093	$1,496	$1,496
U.S. TREASURY NOTE 2.250000% 01/31/2	P	2017-01-31	2017-05-16	$10,100	$9,950	$150	$150
U.S. TREASURY BOND 3.625000% 08/15/2	P	2015-08-10	2017-05-02	$11,197	$11,413	-$216	-$216
GARTNER, INC. CMN	P	2017-04-06	2017-04-06	$80		$80	$80
THE PROGRESSIVE CORPORATION CMN	P	2012-12-27	2017-03-13	$6,677	$3,530	$3,147	$3,147
EQUINIX, INC. REIT	P	2014-11-25	2017-02-08	$765	$591	$174	$174
UNITED PARCEL SERVICE, INC. CLASS B	P	2015-06-29	2017-02-01	$3,411	$3,144	$267	$267
ASTRAZENECA PLC 5.90% 20	P	2010-08-09	2017-09-15	$21,000	$21,000
AUTOMATIC DATA PROC	P	2016-05-03	2017-08-02	$16,782	$12,888	$3,894	$3,894
JOHNSON AND JOHNSON COM	P	2015-04-02	2017-05-02	$7,391	$5,945	$1,446	$1,446
QUALCOMM INC	P	2015-01-26	2017-08-02	$21,847	$33,630	-$11,783	-$11,783
UNION PACIFIC CORP	P	2015-07-01	2017-07-05	$659	$653	$6	$6
WAL-MART STORES INC	P	2014-07-11	2017-05-02	$8,605	$8,765	-$160	-$160
TIME WARNER CABLE 5.85%	P	2011-02-09	2017-04-10	$3,008	$3,003	$5	$5
US TSY 0.625% AUG 31 20	P	2015-03-06	2017-08-31	$20,000	$20,000
MAINSTAY HI YLD CRP BD I	P	2016-03-31	2017-06-13	$1,283	$1,166	$117	$117
PRUDENTIAL JENNISON	P	2015-03-20	2017-09-27	$16	$17	-$1	-$1
PRUDENTIAL JENNISON	P	2013-06-20	2017-09-27	$16,749	$15,470	$1,279	$1,279
PRUDENTIAL JENNISON	P	2011-06-30	2017-06-07	$56,335	$50,012	$6,323	$6,323
AIR PRODUCTS&CHEM	P	2017-05-02	2017-09-06	$125,118	$124,131	$987	$987
CVS HEALTH CORP	P	2017-08-02	2017-10-03	$10,436	$10,330	$106	$106
MICROSOFT CORP	P	2016-12-02	2017-02-02	$26,933	$25,150	$1,783	$1,783
TEXAS INSTRUMENTS	P	2017-03-02	2017-12-04	$13,286	$10,760	$2,526	$2,526
AT&T INC 3.60%FEB17 23	P	2017-02-07	2017-08-03	$12,414	$12,086	$328	$328
WAL-MART STORES 6.50% 20	P	2016-07-12	2017-07-06	$15,258	$16,228	-$970	-$970
COH & STR GLB REALTY I	P	2017-12-06	2017-12-29	$3	$3
MAINSTAY HI YLD CRP BD I	P	2016-10-31	2017-06-13	$1,236	$1,214	$22	$22
PRUDENTIAL JENNISON	P	2016-12-23	2017-09-27	$7,531	$7,081	$450	$450
HEICO CORPORATION (NEW) CMN	P	2014-12-19	2017-12-13	$2,279	$1,162	$1,117	$1,117
CINCINNATI BELL INC. CMN	P	2013-11-19	2017-11-03	$2,200	$1,775	$425	$425
BRITISH AMERICAN TOBACCO PLC SPONS A	P	2017-07-25	2017-08-30	$15,336	$17,243	-$1,907	-$1,907
MARKETAXESS HOLDINGS INC CMN	P	2013-03-12	2017-08-07	$2,438	$469	$1,969	$1,969
U.S. TREASURY NOTE 2.000000% 04/30/2	P	2017-05-16	2017-07-13	$9,903	$9,925	-$22	-$22
ABBOTT LABORATORIES CMN	P	2014-02-04	2017-06-07	$3,012	$2,357	$655	$655
APPLE INC. CMN	P	2016-01-13	2017-06-07	$9,336	$5,853	$3,483	$3,483
CAPITAL ONE FINANCIAL CORP CMN	P	2017-02-15	2017-06-07	$2,298	$2,631	-$333	-$333
CIMAREX ENERGY CO. CMN	P	2013-11-12	2017-06-07	$7,730	$7,807	-$77	-$77
CITIGROUP INC. CMN	P	2012-09-13	2017-06-07	$11,736	$6,525	$5,211	$5,211
FIRST REPUBLIC BANK CMN SERIES	P	2017-05-09	2017-06-07	$6,666	$6,597	$69	$69
HANESBRANDS INC. CMN	P	2016-05-18	2017-06-07	$4,330	$5,434	-$1,104	-$1,104
JPMORGAN CHASE & CO CMN	P	2012-12-19	2017-06-07	$3,178	$1,672	$1,506	$1,506
LOEWS CORPORATION CMN	P	2015-12-08	2017-06-07	$3,598	$2,936	$662	$662
METLIFE, INC. CMN	P	2014-04-08	2017-06-07	$3,090	$3,149	-$59	-$59
PARKER-HANNIFIN CORP. CMN	P	2010-12-03	2017-06-07	$7,738	$4,199	$3,539	$3,539
PHILIP MORRIS INTL INC CMN	P	2013-03-12	2017-06-07	$2,449	$1,814	$635	$635
PROCTER & GAMBLE COMPANY (THE) CMN	P	2013-03-12	2017-06-07	$6,394	$5,569	$825	$825
THERMO FISHER SCIENTIFIC INC CMN	P	2016-01-20	2017-06-07	$4,057	$3,037	$1,020	$1,020
UNITED TECHNOLOGIES CORPORATIO CMN	P	2010-12-03	2017-06-07	$11,729	$7,680	$4,049	$4,049
WHIRLPOOL CORP. CMN	P	2013-04-04	2017-06-07	$3,967	$2,350	$1,617	$1,617
U.S. TREASURY NOTE 2.250000% 01/31/2	P	2017-01-31	2017-05-16	$10,100	$9,950	$150	$150
U.S. TREASURY BOND 3.625000% 08/15/2	P	2015-08-10	2017-04-28	$11,209	$11,413	-$204	-$204
THE PROGRESSIVE CORPORATION CMN	P	2013-03-14	2017-03-29	$3,348	$2,144	$1,204	$1,204
THE PROGRESSIVE CORPORATION CMN	P	2012-12-21	2017-03-13	$4,938	$2,644	$2,294	$2,294
EQUINIX, INC. REIT	P	2014-10-08	2017-02-08	$9,178	$4,842	$4,336	$4,336
UNITED PARCEL SERVICE, INC. CLASS B	P	2015-05-11	2017-02-01	$2,985	$2,820	$165	$165
BERKSHIRE HATHAWA 1.60%	P	2012-09-11	2017-05-15	$20,000	$20,000
AUTOMATIC DATA PROC	P	2016-02-10	2017-08-02	$50,461	$35,894	$14,567	$14,567
JOHNSON AND JOHNSON COM	P	2015-04-02	2017-07-05	$1,195	$892	$303	$303
QUALCOMM INC	P	2015-01-22	2017-01-04	$2,957	$3,514	-$557	-$557
UNION PACIFIC CORP	P	2015-06-02	2017-05-02	$23,189	$21,192	$1,997	$1,997
ALCOA INC 5.90%FEB01 27	P	2013-02-19	2017-04-20	$1,065	$1,035	$30	$30
TIME WARNER CABLE 5.85%	P	2010-08-10	2017-04-10	$7,020	$7,009	$11	$11
US TSY 0.625% AUG 31 20	P	2012-10-31	2017-07-31	$9,997	$9,978	$19	$19
MAINSTAY HI YLD CRP BD I	P	2016-03-03	2017-06-13	$221,668	$198,334	$23,334	$23,334
PRUDENTIAL JENNISON	P	2015-03-20	2017-09-27	$6,524	$7,228	-$704	-$704
PRUDENTIAL JENNISON	P	2013-03-22	2017-09-27	$16	$14	$2	$2
PRUDENTIAL JENNISON	P	2011-06-17	2017-06-07	$13,544	$11,538	$2,006	$2,006
ALTRIA GROUP INC	P	2017-10-03	2017-11-02	$18,433	$18,230	$203	$203
CVS HEALTH CORP	P	2017-06-02	2017-10-03	$18,121	$17,603	$518	$518
MICROSOFT CORP	P	2016-11-02	2017-02-02	$21,256	$20,169	$1,087	$1,087
TEXAS INSTRUMENTS	P	2017-03-02	2017-10-03	$719	$628	$91	$91
CAP ONE FINCL CO 2.45% 1	P	2017-05-24	2017-12-04	$8,014	$8,036	-$22	-$22
US TSY 1.500% AUG 15 20	P	2017-04-27	2017-11-16	$932	$935	-$3	-$3
FIRST EAG GLOBAL CL I	P	2017-12-14	2017-12-29	$3	$3
MAINSTAY HI YLD CRP BD I	P	2016-09-30	2017-06-13	$6	$6
PRUDENTIAL JENNISON	P	2016-12-23	2017-09-27	$16	$15	$1	$1
HEICO CORPORATION (NEW) CMN	P	2014-12-18	2017-12-13	$1,732	$869	$863	$863
CALATLANTIC GROUP, INC. CMN	P	2014-06-24	2017-10-30	$1,734	$1,366	$368	$368
COCA-COLA COMPANY (THE) CMN	P	2017-06-13	2017-08-30	$21,973	$21,781	$192	$192
U.S. TREASURY NOTE 2.000000% 05/31/2	P	2017-06-06	2017-08-03	$9,972	$10,029	-$57	-$57
U.S. TREASURY NOTE 2.000000% 04/30/2	P	2017-05-16	2017-07-11	$9,898	$9,925	-$27	-$27
ABBOTT LABORATORIES CMN	P	2013-03-12	2017-06-07	$2,456	$1,849	$607	$607
APPLE INC. CMN	P	2013-04-24	2017-06-07	$15,249	$5,636	$9,613	$9,613
CAPITAL ONE FINANCIAL CORP CMN	P	2016-01-29	2017-06-07	$6,103	$4,928	$1,175	$1,175
CIMAREX ENERGY CO. CMN	P	2013-07-01	2017-06-07	$6,626	$4,387	$2,239	$2,239
CITIGROUP INC. CMN	P	2012-08-07	2017-06-07	$5,250	$2,482	$2,768	$2,768
FIRST REPUBLIC BANK CMN SERIES	P	2017-05-03	2017-06-07	$6,666	$6,513	$153	$153
HARTFORD FINANCIAL SRVCS GROUP CMN	P	2017-03-15	2017-06-07	$3,330	$3,330
JPMORGAN CHASE & CO CMN	P	2012-05-16	2017-06-07	$7,612	$3,263	$4,349	$4,349
LOEWS CORPORATION CMN	P	2015-08-24	2017-06-07	$6,589	$5,179	$1,410	$1,410
MICROSOFT CORPORATION CMN	P	2017-03-01	2017-06-07	$7,454	$6,641	$813	$813
PEPSICO, INC. CMN	P	2017-04-20	2017-06-07	$4,448	$4,317	$131	$131
PHILIP MORRIS INTL INC CMN	P	2013-03-05	2017-06-07	$5,266	$3,978	$1,288	$1,288
PROCTER & GAMBLE COMPANY (THE) CMN	P	2011-02-01	2017-06-07	$14,920	$10,671	$4,249	$4,249
THERMO FISHER SCIENTIFIC INC CMN	P	2016-01-19	2017-06-07	$5,115	$3,889	$1,226	$1,226
VF CORP CMN	P	2017-02-15	2017-06-07	$4,771	$4,479	$292	$292
WORLDPAY, INC. CMN CLASS A	P	2014-03-19	2017-06-07	$4,569	$2,367	$2,202	$2,202
COMCAST CORPORATION CMN CLASS A VOTI	P	2012-01-04	2017-05-11	$6,636	$2,069	$4,567	$4,567
U.S. TREASURY BOND 3.750000% 11/15/2	P	2016-11-30	2017-04-27	$11,504	$11,309	$195	$195
THE PROGRESSIVE CORPORATION CMN	P	2013-03-12	2017-03-29	$3,191	$2,023	$1,168	$1,168
CISCO SYSTEMS, INC. CMN	P	2011-11-10	2017-03-01	$2,193	$1,201	$992	$992
CARDTRONICS PLC CMN	P	2013-03-12	2017-02-06	$1,631	$1,234	$397	$397
U.S. TREASURY NOTE 2.250000% 12/31/2	P	2017-01-10	2017-01-31	$9,956	$10,047	-$91	-$91
GENERAL ELEC CAP CORP	P	2014-06-27	2017-09-15	$22,000	$22,000
AUTOMATIC DATA PROC	P	2015-08-04	2017-07-05	$6,912	$5,429	$1,483	$1,483
JOHNSON AND JOHNSON COM	P	2015-02-03	2017-05-02	$10,716	$8,873	$1,843	$1,843
QUALCOMM INC	P	2015-01-21	2017-01-04	$2,168	$2,669	-$501	-$501
UNION PACIFIC CORP	P	2015-06-02	2017-01-04	$10,092	$9,883	$209	$209
ALCOA INC 5.90%FEB01 27	P	2011-02-09	2017-04-20	$1,065	$975	$90	$90
TIME WARNER INC 6.62% 20	P	2015-12-17	2017-04-06	$1,237	$1,182	$55	$55
US TSY 0.625% AUG 31 20	P	2012-10-31	2017-08-22	$4,999	$4,989	$10	$10
NEU BER INST VLE CL INST	P	2011-06-30	2017-12-29	$49,984	$37,656	$12,328	$12,328
PRUDENTIAL JENNISON	P	2014-12-19	2017-09-27	$5,989	$6,365	-$376	-$376
PRUDENTIAL JENNISON	P	2013-03-22	2017-09-27	$9,430	$8,831	$599	$599
PRUDENTIAL JENNISON	P	2011-06-03	2017-06-07	$75,367	$67,003	$8,364	$8,364
ALTRIA GROUP INC	P	2017-08-02	2017-11-02	$142,344	$145,315	-$2,971	-$2,971
CVS HEALTH CORP	P	2016-12-02	2017-05-02	$29,680	$27,887	$1,793	$1,793
MICROSOFT CORP	P	2016-08-02	2017-01-04	$19,751	$17,902	$1,849	$1,849
TIFFANY & CO NEW	P	2017-09-06	2017-12-04	$8,425	$8,022	$403	$403
EBAY INC 3.80%MAR09 22	P	2016-03-30	2017-01-06	$8,253	$8,166	$87	$87
US TSY 1.500% AUG 15 20	P	2017-01-31	2017-08-22	$8,496	$8,307	$189	$189
MAINSTAY HI YLD CRP BD I	P	2017-05-31	2017-06-13	$5	$5
MAINSTAY HI YLD CRP BD I	P	2016-09-30	2017-06-13	$1,224	$1,204	$20	$20
TETON WESTWOOD MIGHTY	P	2017-11-28	2017-12-29	$11	$11
HEICO CORPORATION (NEW) CMN	P	2014-12-16	2017-12-13	$365	$178	$187	$187
CALATLANTIC GROUP, INC. CMN	P	2013-03-12	2017-10-30	$3,517	$2,725	$792	$792
HASBRO, INC. CMN	P	2017-06-13	2017-08-30	$7,965	$9,164	-$1,199	-$1,199
U.S. TREASURY NOTE 2.000000% 05/31/2	P	2017-06-01	2017-08-03	$9,972	$9,972
AMERICAN CAMPUS CMNTYS, INC CMN	P	2013-03-12	2017-06-29	$1,429	$1,257	$172	$172
ABBOTT LABORATORIES CMN	P	2011-02-01	2017-06-07	$11,444	$5,366	$6,078	$6,078
APPLE INC. CMN	P	2013-03-12	2017-06-07	$5,446	$2,162	$3,284	$3,284
CAPITAL ONE FINANCIAL CORP CMN	P	2015-04-27	2017-06-07	$396	$403	-$7	-$7
CISCO SYSTEMS, INC. CMN	P	2015-12-02	2017-06-07	$2,908	$2,560	$348	$348
COMCAST CORPORATION CMN CLASS A VOTI	P	2013-08-30	2017-06-07	$11,526	$5,834	$5,692	$5,692
FORD MOTOR COMPANY CMN	P	2017-02-15	2017-06-07	$3,924	$4,472	-$548	-$548
HARTFORD FINANCIAL SRVCS GROUP CMN	P	2017-03-13	2017-06-07	$2,137	$2,136	$1	$1
JPMORGAN CHASE & CO CMN	P	2012-05-14	2017-06-07	$7,862	$3,373	$4,489	$4,489
LOEWS CORPORATION CMN	P	2015-07-24	2017-06-07	$7,103	$5,747	$1,356	$1,356
MICROSOFT CORPORATION CMN	P	2017-02-15	2017-06-07	$4,125	$3,669	$456	$456
PEPSICO, INC. CMN	P	2017-01-26	2017-06-07	$3,512	$3,129	$383	$383
PHILIP MORRIS INTL INC CMN	P	2013-03-01	2017-06-07	$4,164	$3,118	$1,046	$1,046
PROCTER & GAMBLE COMPANY (THE) CMN	P	2010-12-03	2017-06-07	$1,243	$870	$373	$373
THERMO FISHER SCIENTIFIC INC CMN	P	2016-01-15	2017-06-07	$6,702	$5,066	$1,636	$1,636
VF CORP CMN	P	2013-03-12	2017-06-07	$5,146	$3,892	$1,254	$1,254
WORLDPAY, INC. CMN CLASS A	P	2014-03-12	2017-06-07	$3,755	$1,932	$1,823	$1,823
WELLS FARGO & CO (NEW) CMN	P	2016-01-28	2017-05-09	$5,139	$4,567	$572	$572
WELLS FARGO & CO (NEW) CMN	P	2015-12-14	2017-04-27	$3,195	$3,119	$76	$76
THE PROGRESSIVE CORPORATION CMN	P	2013-02-11	2017-03-29	$276	$165	$111	$111
CISCO SYSTEMS, INC. CMN	P	2011-02-01	2017-03-01	$7,777	$4,862	$2,915	$2,915
CARDTRONICS PLC CMN	P	2011-10-24	2017-02-06	$1,052	$796	$256	$256
U.S. TREASURY NOTE 2.250000% 12/31/2	P	2016-12-28	2017-01-31	$19,912	$19,892	$20	$20
TOYOTA MTR CREDIT 1.25%	P	2012-10-03	2017-10-05	$19,000	$19,000
AUTOMATIC DATA PROC	P	2015-08-04	2017-08-02	$13,773	$9,643	$4,130	$4,130
JOHNSON AND JOHNSON COM	P	2015-01-05	2017-01-04	$9,126	$8,233	$893	$893
QUALCOMM INC	P	2015-01-18	2017-01-04	$197	$248	-$51	-$51
UNION PACIFIC CORP	P	2015-06-02	2017-07-05	$768	$693	$75	$75
ALCOA INC 5.90%FEB01 27	P	2011-01-11	2017-04-20	$5,326	$4,937	$389	$389
TIME WARNER INC 6.62% 20	P	2011-02-09	2017-04-06	$1,237	$1,055	$182	$182
US TSY 0.625% AUG 31 20	P	2012-10-31	2017-08-31	$10,000	$9,978	$22	$22
NEUBERGER BERMAN	P	2011-06-30	2017-12-29	$16	$12	$4	$4
PRUDENTIAL JENNISON	P	2014-12-19	2017-09-27	$5,259	$5,589	-$330	-$330
PRUDENTIAL JENNISON	P	2012-12-21	2017-09-27	$16	$14	$2	$2
PRUDENTIAL JENNISON	P	2011-04-18	2017-06-07	$3,235	$2,827	$408	$408
ALTRIA GROUP INC	P	2017-03-02	2017-05-02	$31,741	$33,919	-$2,178	-$2,178
CVS HEALTH CORP	P	2016-12-02	2017-01-04	$16,826	$16,089	$737	$737
MICROSOFT CORP	P	2016-08-02	2017-02-02	$110,003	$98,801	$11,202	$11,202
TIFFANY & CO NEW	P	2017-06-02	2017-07-05	$12,973	$12,579	$394	$394
EXPRESS SCRIPTS H 3.00%	P	2016-08-22	2017-06-08	$3,979	$4,067	-$88	-$88
US TSY 1.500% AUG 15 20	P	2017-01-31	2017-10-11	$14,030	$13,861	$169	$169
MAINSTAY HI YLD CRP BD I	P	2017-05-31	2017-06-13	$1,807	$1,801	$6	$6
MAINSTAY HI YLD CRP BD I	P	2016-08-31	2017-06-13	$6	$6
VANGUARD HIGH DVD YIELD	P	2017-04-03	2017-12-29	$85,851	$77,270	$8,581	$8,581
PATRICK INDUSTRIES, INC. CMN	P	2017-05-02	2017-12-11	$35		$35	$35
CALATLANTIC GROUP, INC. CMN	P	2012-09-14	2017-10-30	$2,279	$1,399	$880	$880
U.S. TREASURY NOTE 1.750000% 09/30/2	P	2016-05-10	2017-08-24	$9,978	$10,138	-$160	-$160
U.S. TREASURY NOTE 2.000000% 06/30/2	P	2017-07-18	2017-08-03	$9,965	$9,954	$11	$11
MARKETAXESS HOLDINGS INC CMN	P	2013-03-12	2017-06-29	$2,026	$391	$1,635	$1,635
ABBOTT LABORATORIES CMN	P	2010-12-03	2017-06-07	$2,595	$1,271	$1,324	$1,324
APPLE INC. CMN	P	2013-01-25	2017-06-07	$2,490	$1,009	$1,481	$1,481
CAPITAL ONE FINANCIAL CORP CMN	P	2015-01-13	2017-06-07	$6,182	$6,094	$88	$88
CISCO SYSTEMS, INC. CMN	P	2015-11-17	2017-06-07	$10,210	$8,739	$1,471	$1,471
COMCAST CORPORATION CMN CLASS A VOTI	P	2013-03-12	2017-06-07	$1,921	$939	$982	$982
FORD MOTOR COMPANY CMN	P	2016-06-24	2017-06-07	$2,266	$2,616	-$350	-$350
HARTFORD FINANCIAL SRVCS GROUP CMN	P	2016-10-27	2017-06-07	$3,280	$2,872	$408	$408
JPMORGAN CHASE & CO CMN	P	2011-02-01	2017-06-07	$16,980	$9,237	$7,743	$7,743
MARSH & MCLENNAN CO INC CMN	P	2013-10-28	2017-06-07	$7,612	$4,617	$2,995	$2,995
MICROSOFT CORPORATION CMN	P	2013-03-12	2017-06-07	$19,829	$7,608	$12,221	$12,221
PEPSICO, INC. CMN	P	2017-01-13	2017-06-07	$3,629	$3,144	$485	$485
PNC FINANCIAL SERVICES GROUP, CMN	P	2017-04-27	2017-06-07	$3,229	$3,265	-$36	-$36
STRYKER CORPORATION CMN	P	2014-10-22	2017-06-07	$4,608	$2,642	$1,966	$1,966
TJX COMPANIES INC (NEW) CMN	P	2017-02-15	2017-06-07	$5,069	$5,311	-$242	-$242
VF CORP CMN	P	2012-04-10	2017-06-07	$5,575	$3,812	$1,763	$1,763
WORLDPAY, INC. CMN CLASS A	P	2014-03-11	2017-06-07	$1,064	$548	$516	$516
WELLS FARGO & CO (NEW) CMN	P	2016-01-07	2017-05-09	$1,824	$1,664	$160	$160
WELLS FARGO & CO (NEW) CMN	P	2015-11-24	2017-04-27	$108	$110	-$2	-$2
THE SOUTHERN COMPANY 1.55% 07/01/201	P	2016-05-19	2017-03-29	$49,779	$49,965	-$186	-$186
CISCO SYSTEMS, INC. CMN	P	2010-12-03	2017-03-01	$2,021	$1,126	$895	$895
U.S. TREASURY NOTE 2.250000% 11/15/2	P	2016-07-29	2017-02-03	$9,859	$10,667	-$808	-$808
ADVANCE AUTO PARTS, INC. 4.5% 01/15/	P	2015-06-24	2017-01-27	$26,458	$25,930	$528	$528
US TSY 0.625% FEB 15 20	P	2016-12-29	2017-02-15	$35,000	$35,000
AUTOMATIC DATA PROC	P	2015-07-10	2017-05-02	$1,867	$1,471	$396	$396
JOHNSON AND JOHNSON COM	P	2015-01-05	2017-05-02	$19,092	$16,154	$2,938	$2,938
SPDR US FINANCIAL SECTOR	P	2015-04-08	2017-07-05	$11,796	$10,093	$1,703	$1,703
UNION PACIFIC CORP	P	2015-06-02	2017-05-02	$16,388	$14,549	$1,839	$1,839
ALTRIA GROUP INC 2.85% 2	P	2013-12-05	2017-05-17	$5,093	$4,761	$332	$332
US TSY 0.625% JUL 31 20	P	2015-07-30	2017-07-05	$2,999	$2,993	$6	$6
US TSY 2.000% FEB 15 20	P	2015-03-19	2017-02-16	$21,030	$21,281	-$251	-$251
POWERSHARS BUYBCK ACHVRS	P	2014-10-09	2017-12-29	$88,813	$65,727	$23,086	$23,086
PRUDENTIAL JENNISON	P	2014-12-19	2017-09-27	$46,580	$49,508	-$2,928	-$2,928
PRUDENTIAL JENNISON	P	2012-12-21	2017-09-27	$23,761	$20,423	$3,338	$3,338
TETON WESTWOOD MIGHTY	P	2010-11-19	2017-12-29	$29,454	$17,418	$12,036	$12,036
ALTRIA GROUP INC	P	2017-03-02	2017-06-02	$137,966	$139,149	-$1,183	-$1,183
CVS HEALTH CORP	P	2016-12-02	2017-10-03	$118,194	$111,931	$6,263	$6,263
NORFOLK SOUTHERN CORP	P	2017-09-06	2017-10-03	$139,902	$132,123	$7,779	$7,779
TIFFANY & CO NEW	P	2017-06-02	2017-08-02	$134,363	$130,676	$3,687	$3,687
EXPRESS SCRIPTS H 3.00%	P	2016-08-17	2017-06-08	$3,979	$4,057	-$78	-$78
US TSY 1.500% AUG 15 20	P	2017-01-31	2017-11-16	$8,391	$8,323	$68	$68
MAINSTAY HI YLD CRP BD I	P	2017-04-28	2017-06-13	$6	$6
MAINSTAY HI YLD CRP BD I	P	2016-08-31	2017-06-13	$1,224	$1,197	$27	$27
UNIVERSAL FOREST PRODUCTS INC CMN	P	2011-02-01	2017-11-10	$1,666	$568	$1,098	$1,098
CALATLANTIC GROUP, INC. CMN	P	2011-02-01	2017-10-30	$248	$92	$156	$156
U.S. TREASURY NOTE 1.750000% 09/30/2	P	2016-05-10	2017-08-24	$19,957	$20,289	-$332	-$332
U.S. TREASURY NOTE 2.000000% 06/30/2	P	2017-07-13	2017-08-03	$19,931	$19,783	$148	$148
WEST PHARMACEUTICAL SERVICES INC	P	2011-02-01	2017-06-29	$1,414	$301	$1,113	$1,113
AETNA INC. CMN	P	2016-11-11	2017-06-07	$4,025	$3,281	$744	$744
AXALTA COATING SYSTEMS LTD. CMN	P	2016-07-28	2017-06-07	$13,780	$11,533	$2,247	$2,247
CAPITAL ONE FINANCIAL CORP CMN	P	2014-12-16	2017-06-07	$5,152	$5,108	$44	$44
CISCO SYSTEMS, INC. CMN	P	2013-03-12	2017-06-07	$4,394	$3,014	$1,380	$1,380
COMCAST CORPORATION CMN CLASS A VOTI	P	2012-02-06	2017-06-07	$12,277	$3,973	$8,304	$8,304
FORD MOTOR COMPANY CMN	P	2016-06-10	2017-06-07	$2,310	$2,739	-$429	-$429
HARTFORD FINANCIAL SRVCS GROUP CMN	P	2016-10-21	2017-06-07	$3,380	$2,905	$475	$475
JPMORGAN CHASE & CO CMN	P	2010-12-03	2017-06-07	$251	$117	$134	$134
MARSH & MCLENNAN CO INC CMN	P	2013-10-23	2017-06-07	$8,073	$4,805	$3,268	$3,268
MICROSOFT CORPORATION CMN	P	2011-02-01	2017-06-07	$9,625	$3,691	$5,934	$5,934
PEPSICO, INC. CMN	P	2016-11-23	2017-06-07	$6,906	$6,028	$878	$878
PNC FINANCIAL SERVICES GROUP, CMN	P	2017-04-19	2017-06-07	$3,348	$3,302	$46	$46
STRYKER CORPORATION CMN	P	2014-10-16	2017-06-07	$3,456	$1,912	$1,544	$1,544
TJX COMPANIES INC (NEW) CMN	P	2013-03-18	2017-06-07	$3,876	$2,339	$1,537	$1,537
VF CORP CMN	P	2012-04-09	2017-06-07	$1,501	$1,039	$462	$462
WORLDPAY, INC. CMN CLASS A	P	2014-03-05	2017-06-07	$10,891	$5,552	$5,339	$5,339
MONRO, INC. CMN	P	2013-03-12	2017-05-03	$1,682	$1,281	$401	$401
FLOTEK INDUSTRIES, INC. CMN	P	2015-10-22	2017-04-20	$490	$746	-$256	-$256
POPEYES LOUISIANA KITCHEN INC CMN	P	2016-08-17	2017-03-28	$1,580	$1,059	$521	$521
WYNDHAM WORLDWIDE CORPORATION 2.95%	P	2015-07-22	2017-03-01	$50,000	$50,000
ANALOGIC CORP (NEW) CMN	P	2014-03-07	2017-02-02	$1,513	$1,613	-$100	-$100
EOG RESOURCES INC CMN	P	2015-07-27	2017-01-26	$1,254	$883	$371	$371
US TSY 0.875% MAY 15 20	P	2016-01-22	2017-05-15	$26,000	$26,000
AUTOMATIC DATA PROC	P	2015-07-10	2017-07-05	$5,571	$4,413	$1,158	$1,158
JOHNSON AND JOHNSON COM	P	2014-12-02	2017-01-04	$2,195	$2,048	$147	$147
SPDR US FINANCIAL SECTOR	P	2015-04-08	2017-01-04	$1,534	$1,387	$147	$147
WAL-MART STORES INC	P	2015-08-04	2017-12-04	$10,345	$7,661	$2,684	$2,684
ANHEUSER-BUSCH IN 3.30%	P	2016-07-20	2017-10-12	$15,553	$15,727	-$174	-$174
US TSY 0.625% JUL 31 20	P	2015-07-30	2017-07-31	$13,000	$12,972	$28	$28
VERIZON COMMUN 5.15% 202	P	2015-10-16	2017-02-03	$5,594	$5,513	$81	$81
PRUDENTIAL JENNISON	P	2016-09-23	2017-09-27	$16	$14	$2	$2
PRUDENTIAL JENNISON	P	2014-12-19	2017-09-27	$16	$17	-$1	-$1
PRUDENTIAL JENNISON	P	2012-09-21	2017-09-27	$19,638	$17,158	$2,480	$2,480
TETON WESTWOOD MIGHTY	P	2010-11-18	2017-12-29	$20,535	$12,122	$8,413	$8,413
AMGEN INC COM	P	2017-10-03	2017-11-02	$2,945	$3,174	-$229	-$229
CVS HEALTH CORP	P	2016-12-02	2017-07-05	$10,740	$10,266	$474	$474
PAYCHEX INC	P	2017-10-03	2017-12-04	$16,513	$14,993	$1,520	$1,520
TIFFANY & CO NEW	P	2016-12-02	2017-03-02	$4,332	$3,954	$378	$378
GENL MTRS FINL 3.45% 202	P	2017-04-07	2017-06-07	$8,116	$8,048	$68	$68
US TSY 1.500% AUG 15 20	P	2016-12-29	2017-08-22	$6,608	$6,447	$161	$161
MAINSTAY HI YLD CRP BD I	P	2017-04-28	2017-06-13	$1,801	$1,791	$10	$10
MAINSTAY HI YLD CRP BD I	P	2016-07-29	2017-06-13	$1,236	$1,191	$45	$45
CINCINNATI BELL INC. CMN	P	2014-04-10	2017-11-06	$3,007	$2,798	$209	$209
USII INFL IX NOTE 0.250000% 01/15/20	P	2017-02-27	2017-10-23	$10,242	$10,360	-$118	-$118
U.S. TREASURY NOTE 2.125000% 07/31/2	P	2017-08-03	2017-08-24	$30,225	$30,126	$99	$99
U.S. TREASURY NOTE 2.250000% 01/31/2	P	2017-02-13	2017-08-03	$10,149	$10,004	$145	$145
COGNEX CORPORATION CMN	P	2013-03-12	2017-06-27	$1,351	$310	$1,041	$1,041
AETNA INC. CMN	P	2016-11-10	2017-06-07	$3,727	$3,006	$721	$721
AXALTA COATING SYSTEMS LTD. CMN	P	2016-07-28	2017-06-07	$3,294	$2,768	$526	$526
CAPITAL ONE FINANCIAL CORP CMN	P	2014-12-15	2017-06-07	$5,389	$5,395	-$6	-$6
CISCO SYSTEMS, INC. CMN	P	2012-12-13	2017-06-07	$2,213	$1,376	$837	$837
COMCAST CORPORATION CMN CLASS A VOTI	P	2012-01-04	2017-06-07	$2,297	$673	$1,624	$1,624
FORD MOTOR COMPANY CMN	P	2016-06-03	2017-06-07	$5,074	$5,986	-$912	-$912
HARTFORD FINANCIAL SRVCS GROUP CMN	P	2016-09-15	2017-06-07	$6,809	$5,751	$1,058	$1,058
JUNIPER NETWORKS, INC. CMN	P	2017-02-28	2017-06-07	$3,497	$3,338	$159	$159
MARSH & MCLENNAN CO INC CMN	P	2013-10-17	2017-06-07	$7,920	$4,662	$3,258	$3,258
MOLSON COORS BREWING CO CMN CLASS B	P	2017-05-18	2017-06-07	$6,707	$6,467	$240	$240
PEPSICO, INC. CMN	P	2016-11-18	2017-06-07	$6,906	$5,987	$919	$919
PNC FINANCIAL SERVICES GROUP, CMN	P	2017-04-17	2017-06-07	$2,033	$2,000	$33	$33
STRYKER CORPORATION CMN	P	2014-10-15	2017-06-07	$3,024	$1,665	$1,359	$1,359
TJX COMPANIES INC (NEW) CMN	P	2013-03-12	2017-06-07	$4,995	$2,989	$2,006	$2,006
VF CORP CMN	P	2012-03-23	2017-06-07	$3,002	$2,051	$951	$951
FIDELITY NATIONAL INFORMATION 1.45%	P	2015-06-08	2017-06-05	$50,000	$49,842	$158	$158
TORO CO (DELAWARE) CMN	P	2013-03-12	2017-05-03	$650	$241	$409	$409
FLOTEK INDUSTRIES, INC. CMN	P	2015-10-22	2017-04-19	$211	$320	-$109	-$109
POPEYES LOUISIANA KITCHEN INC CMN	P	2012-08-21	2017-03-28	$1,185	$360	$825	$825
CLARCOR, INC. CMN	P	2016-07-29	2017-02-28	$830	$624	$206	$206
ANALOGIC CORP (NEW) CMN	P	2014-02-21	2017-02-02	$454	$691	-$237	-$237
EOG RESOURCES INC CMN	P	2013-03-12	2017-01-26	$2,718	$1,691	$1,027	$1,027
WACHOVIA CORP 5.75% 2017	P	2011-02-03	2017-06-15	$17,000	$17,000
AUTOMATIC DATA PROC	P	2015-05-04	2017-05-02	$9,024	$7,509	$1,515	$1,515
JOHNSON AND JOHNSON COM	P	2014-11-05	2017-01-04	$3,697	$3,480	$217	$217
SPDR US FINANCIAL SECTOR	P	2015-04-08	2017-08-02	$2,026	$1,707	$319	$319
WAL-MART STORES INC	P	2015-07-10	2017-12-04	$5,368	$4,040	$1,328	$1,328
AT&T INC 3.87%AUG15 21	P	2014-02-26	2017-02-07	$12,443	$12,238	$205	$205
US TSY 1.625% NOV 15 20	P	2016-02-26	2017-04-07	$978	$1,007	-$29	-$29
VERIZON COMMUN 5.15% 202	P	2013-09-12	2017-02-03	$19,020	$17,505	$1,515	$1,515
PRUDENTIAL JENNISON	P	2016-09-23	2017-09-27	$6,378	$5,891	$487	$487
PRUDENTIAL JENNISON	P	2014-09-19	2017-09-27	$4,918	$5,478	-$560	-$560
PRUDENTIAL JENNISON	P	2012-06-22	2017-09-27	$16	$14	$2	$2
3M COMPANY	P	2017-05-02	2017-07-05	$10,700	$9,937	$763	$763
AMGEN INC COM	P	2017-08-02	2017-11-02	$9,356	$9,401	-$45	-$45
EMERSON ELEC CO	P	2017-02-02	2017-05-02	$22,695	$23,345	-$650	-$650
PROCTER & GAMBLE CO	P	2016-03-02	2017-01-04	$13,670	$13,375	$295	$295
TIFFANY & CO NEW	P	2016-11-02	2017-03-02	$24,729	$19,922	$4,807	$4,807
GENL MTRS FINL 3.95% 202	P	2017-06-07	2017-12-18	$8,255	$8,085	$170	$170
US TSY 1.500% AUG 15 20	P	2016-11-29	2017-08-03	$1,886	$1,868	$18	$18
MAINSTAY HI YLD CRP BD I	P	2017-04-03	2017-06-13	$101,046	$99,832	$1,214	$1,214
MAINSTAY HI YLD CRP BD I	P	2016-07-29	2017-06-13	$6	$6

Field	Value	IRS element (for citing)
Capital Gain Net Income	$1,158,333	CapitalGainNetIncomeAmt
Net Short Term Capital Gain Loss	$98,108	NetShortTermCapitalGainLossAmt

Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp

Field	Value	IRS element (for citing)
Liable Section4942 Tax	false	LiableSection4942TaxInd
Adjusted Qlfy Distri Yr1	$2,585,778	AdjustedQlfyDistriYr1Amt
Net Vl Noncharitable Assets Yr1	$38,041,221	NetVlNoncharitableAssetsYr1Amt
Distribution Yr1	0.067973	DistributionYr1Rt
Adjusted Qlfy Distri Yr2	$2,749,928	AdjustedQlfyDistriYr2Amt
Net Vl Noncharitable Assets Yr2	$41,330,482	NetVlNoncharitableAssetsYr2Amt
Distribution Yr2	0.066535	DistributionYr2Rt
Adjusted Qlfy Distri Yr3	$2,285,770	AdjustedQlfyDistriYr3Amt
Net Vl Noncharitable Assets Yr3	$43,933,218	NetVlNoncharitableAssetsYr3Amt
Distribution Yr3	0.052028	DistributionYr3Rt
Adjusted Qlfy Distri Yr4	$2,439,146	AdjustedQlfyDistriYr4Amt
Net Vl Noncharitable Assets Yr4	$42,884,748	NetVlNoncharitableAssetsYr4Amt
Distribution Yr4	0.056877	DistributionYr4Rt
Adjusted Qlfy Distri Yr5	$2,358,770	AdjustedQlfyDistriYr5Amt
Net Vl Noncharitable Assets Yr5	$41,831,959	NetVlNoncharitableAssetsYr5Amt
Distribution Yr5	0.056387	DistributionYr5Rt
Total Distribution	0.299800	TotalDistributionRt
Average Distribution	0.059960	AverageDistributionRt
Net Vl Noncharitable Assets	$41,436,910	NetVlNoncharitableAssetsAmt
Adj Net Vl Noncharitable Assets	$2,484,557	AdjNetVlNoncharitableAssetsAmt
Net Investment Income Pct	$28,720	NetInvestmentIncomePctAmt
Adj Nonchrtbl Net Invst Incm Pct	$2,513,277	AdjNonchrtblNetInvstIncmPctAmt
Qualifying Distributions	$3,058,166	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	$28,720	InvestmentIncomeExciseTaxAmt
Subtotal	$28,720	SubtotalAmt
Tax Based On Investment Income	$28,720	TaxBasedOnInvestmentIncomeAmt
Estimated Plus Ovpmt Incm Tx	$43,619	EstimatedPlusOvpmtIncmTxAmt
Total Payments And Credits	$43,619	TotalPaymentsAndCreditsAmt
Overpayment	$14,899	OverpaymentAmt
Applied To ES Tax	$14,899	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	Yes (true)	Section508eRqrSatisfiedInd
At Least5000 In Assets	Yes (true)	AtLeast5000InAssetsInd
Org Report Or Register State	NM	OrgReportOrRegisterStateCd
Form990 PF Filed With Atty Gen	Yes (true)	Form990PFFiledWithAttyGenInd
Private Operating Foundation	false	PrivateOperatingFoundationInd
New Substantial Contributors	false	NewSubstantialContributorsInd
Own Controlled Entity	false	OwnControlledEntityInd
Donor Advised Fund	false	DonorAdvisedFundInd
Comply With Public Insp Rqr	Yes (true)	ComplyWithPublicInspRqrInd
Website Address	WWW.CHASEFOUNDATION.COM	WebsiteAddressTxt

Persons With Books Name PersonsWithBooksName

Field	Value	IRS element (for citing)
Business Name Line1	JOHNATHAN L SHUMAN	BusinessNameLine1Txt

Field	Value	IRS element (for citing)
Phone	5757481213	PhoneNum

Location Of Books US Address LocationOfBooksUSAddress

Field	Value	IRS element (for citing)
Address Line1	512 W TEXAS AVE	AddressLine1Txt
City	ARTESIA	CityNm
State Abbreviation	NM	StateAbbreviationCd
ZIP	88210	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
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

Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp

Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (11 entries)

Address Line1USAddress/AddressLine1Txt	CityUSAddress/CityNm	State AbbreviationUSAddress/StateAbbreviationCd	ZIPUSAddress/ZIPCd	TitleTitleTxt	Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt	CompensationCompensationAmt	Employee Benefit ProgramEmployeeBenefitProgramAmt	Expense Account Other AllwncExpenseAccountOtherAllwncAmt
MACK C CHASE
2103 W MAIN ST	ARTESIA	NM	88210	TRUSTEE/ADVI	000.00	$0	$0	$0
RICHARD PRICE
2103 W MAIN ST	ARTESIA	NM	88210	EXECUTIVE DI	000.00	$0	$0	$0
GEREN FERGUSON
2103 W MAIN STREET	ARTESAI	NM	88210	ADVISOR	000.00	$0	$0	$0
ROBERT CHASE
2103 W MAIN STREET	ARTESIA	NM	88210	ADVISOR	000.00	$0	$0	$0
DEB CHASE
2103 W MAIN STREET	ARTESIA	NM	88210	ADVISOR	000.00	$0	$0	$0
RICHARD CHASE
2103 W MAIN STREET	ARTESIA	NM	88210	ADVISOR	000.00	$0	$0	$0
KARLA CHASE
2103 W MAIN STREET	ARTESIA	NM	88210	ADVISOR	000.00	$0	$0	$0
JOHNNY KNORR
2103 W MAIN STREET	ARTESIA	NM	88210	ADVISOR	000.00	$0	$0	$0
CHANCE CHASE
2103 W MAIN ST	ARTESIA	NM	88210	ADVISOR	000.00	$0	$0	$0
KORTNEY CHASE
2103 W MAIN ST	ARTESIA	NM	88210	ADVISOR	000.00	$0	$0	$0
BRAD BARTEK
2103 W MAIN ST	ARTESIA	NM	88210	ADVISOR	000.00	$0	$0	$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

Sum Of Program Related Invst SumOfProgramRelatedInvstGrp

Field	Value	IRS element (for citing)
Description1	N/A	Description1Txt

Minimum Investment Return MinimumInvestmentReturnGrp

Field	Value	IRS element (for citing)
Average Monthly FMV Of Sec	$40,422,679	AverageMonthlyFMVOfSecAmt
Average Monthly Cash Balances	$573,173	AverageMonthlyCashBalancesAmt
FMV All Other Noncharitable Ast	$1,072,077	FMVAllOtherNoncharitableAstAmt
Total FMV Of Unused Assets	$42,067,929	TotalFMVOfUnusedAssetsAmt
Adjusted Total FMV Of Unused Ast	$42,067,929	AdjustedTotalFMVOfUnusedAstAmt
Cash Deemed Charitable	$631,019	CashDeemedCharitableAmt
Net Vl Noncharitable Assets	$41,436,910	NetVlNoncharitableAssetsAmt
Minimum Investment Return	$2,071,846	MinimumInvestmentReturnAmt

Distributable Amount DistributableAmountGrp

Field	Value	IRS element (for citing)
Minimum Investment Return	$2,071,846	MinimumInvestmentReturnAmt
Tax Based On Investment Income	$28,720	TaxBasedOnInvestmentIncomeAmt
Total Tax	$28,720	TotalTaxAmt
Distributable Before Adj	$2,043,126	DistributableBeforeAdjAmt
Distributable Before Ded	$2,043,126	DistributableBeforeDedAmt
Distributable As Adjusted	$2,043,126	DistributableAsAdjustedAmt

Qualifying Distri Part XII QualifyingDistriPartXIIGrp

Field	Value	IRS element (for citing)
Expenses And Contributions	$3,058,166	ExpensesAndContributionsAmt
Qualifying Distributions	$3,058,166	QualifyingDistributionsAmt
Pct Sect4940e Org Net Invst Incm	$28,720	PctSect4940eOrgNetInvstIncmAmt
Adjusted Qualifying Distri	$3,029,446	AdjustedQualifyingDistriAmt

Undistributed Income UndistributedIncomeGrp

Field	Value	IRS element (for citing)
Distributable As Adjusted	$2,043,126	DistributableAsAdjustedAmt
Excess Distribution Cyov Yr5	$287,726	ExcessDistributionCyovYr5Amt
Excess Distribution Cyov Yr4	$331,593	ExcessDistributionCyovYr4Amt
Excess Distribution Cyov Yr3	$172,676	ExcessDistributionCyovYr3Amt
Excess Distribution Cyov Yr2	$683,404	ExcessDistributionCyovYr2Amt
Excess Distribution Cyov Yr1	$764,479	ExcessDistributionCyovYr1Amt
Total Excess Distribution Cyov	$2,239,878	TotalExcessDistributionCyovAmt
Qualifying Distributions	$3,058,166	QualifyingDistributionsAmt
Applied To Current Year	$2,043,126	AppliedToCurrentYearAmt
Remaining Distri From Corpus	$1,015,040	RemainingDistriFromCorpusAmt
Total Corpus	$3,254,918	TotalCorpusAmt
Undistributed Income CY	$0	UndistributedIncomeCYAmt
Excess Distri Cyov From Yr5	$287,726	ExcessDistriCyovFromYr5Amt
Excess Distri Cyov To Next Yr	$2,967,192	ExcessDistriCyovToNextYrAmt
Excess From Year4	$331,593	ExcessFromYear4Amt
Excess From Year3	$172,676	ExcessFromYear3Amt
Excess From Year2	$683,404	ExcessFromYear2Amt
Excess From Year1	$764,479	ExcessFromYear1Amt
Excess From Current Year	$1,015,040	ExcessFromCurrentYearAmt

Supplementary Information SupplementaryInformationGrp

Application Submission Info ApplicationSubmissionInfoGrp

Field	Value	IRS element (for citing)
Recipient Person	CHASE FOUNDATION	RecipientPersonNm

Recipient US Address RecipientUSAddress

Field	Value	IRS element (for citing)
Address Line1	2103 W MAIN STREET	AddressLine1Txt
City	ARTESIA	CityNm
State Abbreviation	NM	StateAbbreviationCd
ZIP	88210	ZIPCd

Field	Value	IRS element (for citing)
Recipient Phone	5757464610	RecipientPhoneNum
Recipient Email Address	INFO@CHASEFOUNDATION.COM	RecipientEmailAddressTxt
Form And Info And Materials	SEE APPLICATION FORMS AT WWW.CHASEFOUNDATION.COM	FormAndInfoAndMaterialsTxt
Submission Deadlines	THE 2018 APPLICATION DEADLINE IS APRIL 25, 2018 FOR FALL 2018 SCHOLARSHIPS.	SubmissionDeadlinesTxt
Restrictions On Awards	GRADUATING SENIOR FROM ARTESIA NM HIGH SCHOOL OR A PRIOR AWARD RECIPIENT.	RestrictionsOnAwardsTxt

Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (82 entries)

Address Line1RecipientUSAddress/AddressLine1Txt	CityRecipientUSAddress/CityNm	State AbbreviationRecipientUSAddress/StateAbbreviationCd	ZIPRecipientUSAddress/ZIPCd	Recipient Foundation StatusRecipientFoundationStatusTxt	Grant Or Contribution PurposeGrantOrContributionPurposeTxt	AmtAmt	Business Name Line2RecipientBusinessName/BusinessNameLine2Txt	Address Line2RecipientUSAddress/AddressLine2Txt
AMARILLO COLLEGE
2201 S WASHINGTON ST	AMARILLO	TX	79109	NO	SCHOLARSHIP	$5,131
ART INSTITUTE OF CALIFORNIA - SAN
10 UNITED NATIOINS PLAZA	SAN FRANCISCO	CA	94102	NO	SCHOLARSHIP	$3,250	FFRANCISCO
ARTESIA ARTS COUNCIL
310 W MAIN ST	ARTESIA	NM	88210	NO	GRANT	$10,000
ARTESIA HIGH SCHOOL
1002 W RICHARDSON	ARTESIA	NM	88210	NO	VAR PROGRAMS/TEACHER MASTERS	$357,613
ARTESIA LITERACY COUNCIL
1507 W HERMOSA DR	ARTESIA	NM	88210	NO	GRANT	$1,500
ARTESIA PATHWAY
1802 W HERMOSA DR	ARTESIA	NM	88210	NO	GRANT	$2,500
AUSTIN COMMUNITY COLLEGE
1212 RIO GRANDE ST	AUSTIN	TX	78701	NO	SCHOLARSHIP	$6,500
BAYLOR UNIVERSITY
1301 S UNIVERSITY PARKS	WACO	TX	76798	NO	SCHOLARSHIP	$6,500
BIOLA UNIVERSITY
13800 BIOLA AVE	LA MIRANDA	CA	90639	NO	SCHOLARSHIP	$9,250
BYU-IDAHO
525 S CENTER ST	REXBURG	ID	83460	NO	SCHOLARSHIP	$13,000
CARC INC
902 W CHERRY LN	CARLSBAD	NM	88220	NO	GRANT	$1,500
CATALYST CHURCH
1302 HERMOSA DR	ARTESIA	NM	88210	NO	GRANT PROGRAM	$52,500
CENTRAL NEW MEXICO COMMUNITY
525 BUENA VISTA DR SE	ALBUQUERQUE	NM	87106	NO	SCHOLARSHIP	$46,250	COLLEGE
CHARLESTON SOUTHER UNIVERSITY
9200 UNIVERSTIY BLVD	NORTH CHARLESTON	SC	29406	NO	SCHOLARSHIP	$13,000
CLARENDON COLLEGE
1122 W 2ND ST	CLARENDON	TX	79226	NO	SCHOLARSHIP	$6,000
CLOVIS COMMUNITY COLLEGE
417 SCHEPPS BLVD	CLOVIS	NM	88101	NO	SCHOLARSHIP	$2,750
COLORADO CHRISTIAN UNIVERSITY
8787 W ALAMEDA AVE	LAKEWOOD	CO	80226	NO	SCHOLARSHIP	$6,500
COVENANT FOUNDATION
3623 22ND ST	LUBBOCK	TX	79410	NO	GRANT	$7,500
CREIGHTON UNIVERSITY
2500 CALIFORNIA PLAZA	OMAHA	NE	68178	NO	SCHOLARSHIP	$3,250
DALLAS BAPTIST UNIVERSITY
3000 MOUNTAIN CREEK PKWY	DALLAS	TX	75211	NO	SCHOLARSHIP	$6,500
DONA ANA COMMUNITY COLLEGE
3400 S ESPINA ST	LAS CRUCES	NM	88003	NO	SCHOLARSHIP	$27,750
EAST CENTERAL COLLEGE
1964 PRAIRIE DELL RD	UNION	MO	63084	NO	SCHOLARSHIP	$2,750
EASTERN NEW MEXICO UNIVERSITY
1500 S AVENUE K	PORTALES	NM	88130	NO	SCHOLARSHIP	$134,000
ENMU-ROSWELL
52 UNIVERSITY BLVD	ROSWELL	NM	88203	NO	SCHOLARSHIP	$21,662
EVANGEL UNIVERSITY
1111 N GLENSTONE AVE	SPRINGFIELD	MO	65802	NO	SCHOLARSHIP	$2,750
FIDM-LOS ANGELES
919 S GRAND AVE	LOS ANGELES	CA	90015	NO	SCHOLARSHIP	$2,750
GREATER ARTESIA FOUNDATION
PO BOX 1344	ARTESIA	NM	88211	YES	SENIOR SALUTE/RIDE FOR BIKES	$4,500
HAGERMAN HIGH SCHOOL
406 N CAMBRIDGE AVE	HAGERMAN	NM	88232	NO	GRANT	$2,500
HARDIN SIMMONS UNIVERSITY
2200 HICKORY ST	ABILENE	TX	79601	NO	SCHOLARSHIP	$12,000
HIGHLAND COMMUNITY COLLEGE
606 W MAIN ST	HIGHLAND	KS	66035	NO	SCHOLARSHIP	$2,750
IDAHO STATE UNIVERSITY
921 S 8TH AVE	POCATELLO	ID	83209	NO	SCHOLARSHIP	$6,500
LUBBOCK CHRISTIAN UNIVERSITY
5601 19TH ST	LUBBOCK	TX	79407	NO	SCHOLARSHIP	$54,500
MCMURRY UNIVERSIY
1400 SAYLES BLVD	ABILENE	TX	79605	NO	SCHOLARSHIP	$9,250
MIDLAND COLLEGE
3600 N GARFIELD ST	MIDLAND	TX	79705	NO	SCHOLARSHIP	$5,500
MISSISSIPPI STATE UNIVERSITY
BS HOOD RD	MISSISSIPPI STATE UNIV	MS	39759	NO	SCHOLARSHIP	$6,500
NEW MEXICO INSTITUTE OF MINING &
801 LEROY PL	SOCORRO	NM	87801	NO	SCHOLARSHIP	$3,250	TECHNOLOGY
NEW MEXICO MILITARY INSTITUTE
101 W COLLEGE BLVD	ROSWELL	NM	88210	NO	SCHOLARSHIP	$11,000
NEW MEXICO STATE UNIVERSITY
1500 UNIVERSITY DR	CARLSBAD	NM	88220	NO	SCHOLARSHIP	$12,250	CARLSBAD
NEW MEXICO STATE UNIVERSITY
1780 E UNIVERSITY AVE	LAS CRUCES	NM	88003	NO	SCHOLARSHIP	$425,750
NMSU FOUNDATION
PO BOX 3003	LAS CRUCES	NM	88003	NO	GRANT	$5,000
NM COMMUNITY ACTION
549 DON PASQUAL RD	LOS LUNAS	NM	87031	NO	GRANT	$1,000
NM TECH SOCIETY OF PETROLEUM ENGINE
MSEC 300A 801 LEROY PLACE	SOCORRO	NM	87801	NO	GRANT	$2,500
NORTH EDDY COUNTY UNITED WAY
PO BOX 990	ARTESIA	NM	88211	NO	GRANT	$500
NORTHERN ARIZONA UNIVERSITY
S SAN FRANCISCO ST	FLAGSTAFF	AZ	86011	NO	SCHOLARSHIP	$2,750
ODESSA COLLEGE
201 W UNIVERSITY BLVD	ODESSA	TX	79764	NO	SCHOLARSHIP	$2,750
OKLAHOMA STATE UNIVERSITY
OKLAHOMA STATE UNIVERSITY	STILLWATER	OK	74074	NO	SCHOLARSHIP	$12,500
OLYMPIAN UNIVERSITY
4501 N MAIN ST	ROSWELL	NM	88201	NO	SCHOLARSHIP	$2,750
RANGER COLLEGE
1100 COLLEGE CIR	RANGER	TX	76470	NO	SCHOLARSHIP	$2,750
REINS FOR LIFE
370 CADDO RD	DEXTER	NM	88230	NO	GRANT	$5,000
SAN JUAN COLLEGE
4601 COLLEGE BLVD	FARMINGTON	NM	87402	NO	SCHOLARSHIP	$2,750
SHERIDAN ROTARY FOUNDATION
PO BOX 997	SHERIDAN	WY	82801	YES	WOUNDED WARRIORS GRANT	$10,000
SOUTH PLAINS COLLEGE
1401 COLLEGE AVE	LEVELLAND	TX	79336	NO	SCHOLARSHIP	$55,250
SOUTHERN WESLEYAN UNIVERSITY
215 CLAYTON ST	CENTRAL	SC	29630	NO	SCHOLARSHIP	$3,250
ST MARY'S UNIVERSITY
1 CAMINO SANTA MARIA	SAN ANTONIO	TX	78228	NO	SCHOLARSHIP	$3,250
STRAKE JESUIT
8900 BELLAIR BOULEVARD	HOUSTON	TX	77036	NO	GRANT	$15,000
SUL ROSS STATE UNIVERSITY
79830 US-90	ALPINE	TX	79830	NO	SCHOLARSHIP	$5,500
SWARTHMORE COLLEGE
500 COLLEGE AVE	SWARTHMORE	PA	19081	NO	SCHOLARSHIP	$6,500
TABOR COLLEGE
400 S JEFFERSON ST	HILLSBORO	KS	67063	NO	SCHOLARSHIP	$3,250
TEXAS A&M
1372 TAMU	COLLEGE STATION	TX	778431372	NO	SCHOLARSHIP	$6,000
TEXAS A&M - KINGSVILLE
955 UNIVERSITY BLVD	KINGSVILLE	TX	78363	NO	SCHOLARSHIP	$5,500
TEXAS CHRISTIAN UNIVERSITY
2800 S UNIVERSITY DR	FORT WORTH	TX	76129	NO	SCHOLARSHIP	$9,250
TEXAS STATE UNIVERSITY
601 UNIVERSITY DR	SAN MARCOS	TX	78666	NO	SCHOLARSHIP	$5,500
TEXAS TECH HEALTH SCIENCES CENTER
3601 4TH ST	LUBBOCK	TX	79430	NO	SCHOLARSHIP	$6,000
TEXAS TECH UNIVERSITY
2500 BROADWAY	LUBBOCK	TX	79409	NO	SCHOLARSHIP	$183,250
THINK NEW MEXICO
1227 PASEO DE PERALTA	SANTA FE	NM	87501	NO	GRANT	$1,000
UNIVERISTY OF WYOMING
1000 E UNIVERSITY AVE	LARAMIE	WY	82071	NO	SCHOLARSHIP	$12,500
UNIVERSAL TECHNICAL INST
16220 N SCHOTTSDALE RD	SCOTTSDALE	AZ	85254	NO	SCHOLARSHIP	$3,250
UNIVERSTIY OF ALABAMA
700 UNIVERSITY BLVD	TUSCALOOSA	AL	35401	NO	SCHOLARSHIP	$2,750
UNIVERSITY OF DALLAS
1845 E NORTHGATE DR	IRVING	TX	75062	NO	SCHOLARSHIP	$6,500
UNIVERSITY OF DENVER
2199 S UNIVERSITY BLVD	DENVER	CO	80208	NO	SCHOLARSHIP	$3,250
UNIVERSITY OF MINNESOTA
3 MORRILL HALL	MINNEAPOLIS	MN	55455	NO	SCHOLARSHIP	$5,500		100 CHURHC ST SE
UNIVERSITY OF NEW MEXICO
1155 UNIVERSITY BLVD	ALBUQUERQUE	NM	87131	NO	SCHOLARSHIP	$348,500
UNIVERSITY OF OKLAHOMA
660 PARRINGTON OVAL	NORMAN	OK	73019	NO	SCHOLARSHIP	$3,250
UNIVERSITY OF TEXAS
PO BOX 8058	AUSTIN	TX	787138058	NO	SCHOLARSHIP	$3,250
UNIVERSITY OF TEXAS - ARLINGTON
701 S NEDDERMAN DR	ARLINGTON	TX	76019	NO	SCHOLARSHIP	$6,500
UNIVERSITY OF TEXAS - TYLER
3900 UNIVERSITY BLVD	TYLER	TX	75799	NO	SCHOLARSHIP	$3,250
UNIVERSITY OF TEXAS SAN ANTONIO
1 UTSA CIRCLE	SAN ANTONIO	TX	78249	NO	SCHOLARSHOP	$3,250
UNIVERSITY OF THE SOUTHWEST
6610 N LOVINGTON HWY	HOBBS	NM	88240	NO	SCHOLARSHIP	$2,750
UTAH VALLEY UNIVERSITY
800 W UNIVERSITY PKWY	OREM	UT	84058	NO	SCHOLARSHIP	$6,500
VICTORY LIFE FELLOWSHIP
PO BOX 1087	ARTESIA	NM	88211	NO	GRANT	$1,500
WAYLAND BAPTIST UNIVERSITY
1900 W 7TH ST	PLAINVIEW	TX	79072	NO	SCHOLARSHIP	$26,750
WEST TEXAS A&M UNIVERSITY
2501 4TH AVE	CANYON	TX	79016	NO	SCHOLARSHIP	$47,000

Field	Value	IRS element (for citing)
Total Grant Or Contri Pd Dur Yr	$2,153,906	TotalGrantOrContriPdDurYrAmt

Analysis Income Producing Acty AnalysisIncomeProducingActyGrp

Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp

Field	Value	IRS element (for citing)
Exclusion	14	ExclusionCd
Exclusion	$109,148	ExclusionAmt

Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp

Field	Value	IRS element (for citing)
Exclusion	14	ExclusionCd
Exclusion	$435,145	ExclusionAmt

Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp

Field	Value	IRS element (for citing)
Exclusion	14	ExclusionCd
Exclusion	$787	ExclusionAmt

Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp

Field	Value	IRS element (for citing)
Exclusion	14	ExclusionCd
Exclusion	$1,158,333	ExclusionAmt

Other Revenue Described OtherRevenueDescribedGrp (4 entries)

DescDesc	ExclusionExclusionCd	ExclusionExclusionAmt
RENT	16	$2,300
PASSTHROUGH INV INC(LOSS)	14	$1,420,191
VOIDED CHECKS	41	$11,208
PENNYBACKER NEG BASIS AJD P	14	-$95,397

Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp

Field	Value	IRS element (for citing)
Exclusion	$3,041,715	ExclusionAmt

Field	Value	IRS element (for citing)
Total Income Producing Acty	$3,041,715	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

Schedule B IRS990ScheduleB

Field	Value	IRS element (for citing)
Organization501c3 Exempt PF	Yes (X)	Organization501c3ExemptPFInd
General Rule	Yes (X)	GeneralRuleInd

Contributor Information ContributorInformationGrp (12 entries)

ContributorContributorNum	Address Line1ContributorUSAddress/AddressLine1Txt	CityContributorUSAddress/CityNm	State AbbreviationContributorUSAddress/StateAbbreviationCd	ZIPContributorUSAddress/ZIPCd	Total ContributionsTotalContributionsAmt	Person ContributionPersonContributionInd
AES DRILLING FLUIDS
1	4605 FIELDER ST	MIDLAND	TX	79707	$9,000	Yes (X)
FIRST AMERICAN BANK
7	303 W MAIN ST	ARTESIA	NM	88210	$75,667	Yes (X)
BP ENERGY PARTNERS
2	8117 PRESTON ROAD	DALLAS	TX	75225	$5,000	Yes (X)
JAYNES CORPORATION
8	2906 BROADWAY	ALBUQUERQUE	NM	87112	$5,000	Yes (X)
BREWER OIL COMPANY
3	2701 CANDELARIA NE	ALBUQUERQUE	NM	87107	$16,236	Yes (X)
NM MUTUAL
9	3900 SINGER BLVD	ALBUQUERQUE	NM	87109	$10,000	Yes (X)
BMBSWC RANCHES INC
4	550 W TEXAS AVE	MIDLAND	TX	79701	$8,500	Yes (X)
WILLIAM LEVEN
10	1815 NORTH BLVD	HOUSTON	TX	770985415	$7,500	Yes (X)
CHAMBER OF COMMERCE
5	107 N 1ST ST	ARTESIA	NM	88210	$8,260	Yes (X)
MISC DONATIONS UNDER 5000
11	VARIOUS	VARIOUS	NM	88210	$39,719	Yes (X)
CONCHO RESOURCES
6	600 W ILLINOIS AVE	MIDLAND	TX	79701	$25,000	Yes (X)
WILLIAM CHANDLER
12	808 N HALDEMAN RD	ARTESIA	NM	88210	$8,500	Yes (X)

Accounting Fees Schedule AccountingFeesSchedule

Accounting Fees Detail AccountingFeesDetail

Field	Value	IRS element (for citing)
Category	INDIRECT ACCOUNTING FEES	CategoryTxt
Amt	$19,595	Amt
Disbursements Charitable Prps	$19,595	DisbursementsCharitablePrpsAmt

Depreciation Schedule DepreciationSchedule

Depreciation Property DepreciationPropertyGrp (31 entries)

PropertyPropertyDesc	AcquiredAcquiredDt	Cost Or Other BasisCostOrOtherBasisAmt	Prior Year DepreciationPriorYearDepreciationAmt	Computation MethodComputationMethodTxt	LifeLifeRt	Current Year ExpenseCurrentYearExpenseAmt
OFFICE FURNITURE	2007-05-24	$1,267	$1,216	S/L	10.0000	$51
OFFICE FURNITURE	2007-06-04	$1,082	$1,035	S/L	10.0000	$47
OFFICE FURNITURE	2007-09-10	$446	$419	S/L	10.0000	$27
OFFICE FURNITURE	2007-09-20	$3,780	$3,497	S/L	10.0000	$283
OFFICE FURNITURE	2007-11-08	$714	$652	S/L	10.0000	$62
OFFICE FURNITURE	2007-11-19	$143	$128	S/L	10.0000	$14
OFFICE FURNITURE	2006-12-15	$4,734	$4,734	S/L	10.0000
COMPUTER EQUIPMENT	2007-07-10	$71	$71	S/L	5.0000
PRINTER	2006-12-15	$1,140	$1,140	S/L	5.0000
TELEPHONE EQUIPMENT	2006-12-15	$10,571	$10,571	S/L	5.0000
OFFICE FURNITURE	2008-01-10	$529	$477	S/L	10.0000	$52
OFFICE FURNITURE	2008-02-06	$1,696	$1,514	S/L	10.0000	$170
OFFICE FURNITURE - CARPET	2008-08-04	$406	$337	S/L	10.0000	$41
COMPUTER EQUIPMENT	2008-10-14	$86	$86	S/L	5.0000
OFFICE EQUIPMENT	2008-11-12	$331	$331	S/L	7.0000
OFFICE FURNITURE	2008-11-12	$146	$121	S/L	10.0000	$15
COMPUTER EQUIPMENT	2008-12-02	$64	$64	S/L	5.0000
COMPUTER EQUIPMENT	2008-12-11	$64	$64	S/L	5.0000
OFFICE FURNITURE	2010-02-28	$15,422	$15,422	S/L	5.0000
OFFICE FURNITURE	2011-05-18	$2,547	$2,547	S/L	5.0000
COMPUTER EQUIPMENT	2011-09-01	$2,161	$2,161	S/L	5.0000
COMPUTER EQUIPMENT	2012-05-14	$4,388	$4,096	S/L	5.0000	$292
OFFICE FURNITURE	2012-05-18	$1,490	$1,366	S/L	5.0000	$124
COMPUTER EQUIPMENT	2012-06-25	$3,324	$2,992	S/L	5.0000	$332
OFFICE FURNITURE	2012-07-10	$1,525	$1,373	S/L	5.0000	$152
OFFICE FURNITURE	2012-12-11	$401	$401	S/L	3.0000
LAND - MAIN STREET	2014-05-14	$55,000
BUILDING - MAIN (W/IMPRV)	2014-05-14	$878,905	$59,178	S/L	39.0000	$22,536
OFFICE FURN (MAIN ST)	2014-06-01	$61,978	$16,011	S/L	10.0000	$6,197
OFFICE EQUIP	2015-06-01	$6,394	$4,156	S/L	5.0000	$639
COMPUTER EQUIPMENT	2017-11-08	$11,272		200DB	5.0000	$564

Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule

Investments Corporate Bonds InvestmentsCorporateBondsGrp (5 entries)

BondBondNm	EOY Book ValueEOYBookValueAmt	EOYFMVEOYFMVAmt
MERRILL LYNCH - 7EG-04044 NEUBERGER	$1,501,108	$1,509,167
MERRILL LYNCH - LOOMIS SAYLES	$1,707,153	$1,685,307
GOLDMAN SACHS - GSAM: TAXABLE	$1,688,435	$1,661,715
GOLDMAN SACHS - CORP FIXED INC	$1,848,753	$1,849,781
GOLMAN SACHS - LONDON CO	$1,340,847	$1,417,903

Investments Corp Stock Schedule InvestmentsCorpStockSchedule

Investments Corporate Stock InvestmentsCorporateStockGrp (9 entries)

StockStockNm	EOY Book ValueEOYBookValueAmt	EOYFMVEOYFMVAmt
MERRILL LYNCH - 7EG-02041 CXO OPTION	$4,371	$753,378
MERRILL LYNCH - 7EG-02042 PIA MNGED	$8,510,759	$11,260,151
MERRILL LYNCH - 7EG-02043 NJF INTL	$4,778	$4,778
MERRILL LYNCH - 7EG-02019 DIV PORT	$2,156,994	$2,541,168
GOLDMAN SACHS - BROKERAGE	$396,186	$396,186
GOLDMAN SACHS - ADVISORY BROK II	$4,138,147	$4,606,999
GOLDMAN SACHS - AVENIR	$682,281	$1,088,385
GOLDMAN SACHS - GANNETT WELSH	$386,918	$548,784
GOLDMAN SACHS - DIAMOND HILL	$329	$329

Investments Other Schedule2 InvestmentsOtherSchedule2

Investments Other InvestmentsOtherGrp (13 entries)

Category Or ItemCategoryOrItemTxt	Listed At Cost Or FMVListedAtCostOrFMVCd	Book ValueBookValueAmt	EOYFMVEOYFMVAmt
MERRILL LYNCH - 7EG-02040 ALTERNATIV	AT COST	$1,156,162	$1,674,242
ENCAP ENERGY CAPITAL FUND VII	AT COST	$2,278,767	$2,278,767
PENNY BACKER	AT COST	$5,987	$5,987
QSI HOLDINGS, L.P.	AT COST	$364,042	$364,042
ENCAP FLATROCK	AT COST	$913,968	$913,968
NGP NATURAL RESOURCES	AT COST	$601,557	$601,557
ENCAP ENERGY IX	AT COST	$3,913,577	$3,913,577
PENNY BACKER III	AT COST	$686,247	$686,247
BP NATURAL GAS	AT COST	$1,103,327	$1,103,327
ENCAP ENERGY X	AT COST	$1,275,175	$1,275,175
BP OFFSHORE HOLDINGS	AT COST	$187,787	$187,787
PENNYBACKER IV	AT COST	$290,369	$290,369
SI 4343 INVESTOR LP	AT COST	$281,879	$281,879

Land Etc Schedule2 LandEtcSchedule2

Land Etc LandEtcGrp (2 entries)

Category Or ItemCategoryOrItemTxt	Cost Or Other BasisCostOrOtherBasisAmt	Accumulated DepreciationAccumulatedDepreciationAmt	Book ValueBookValueAmt	EOYFMVEOYFMVAmt
BUILDINGS/FURN&FIX	$1,017,077	$167,758	$849,319	$1,017,077
LAND	$55,000		$55,000	$55,000

Legal Fees Schedule LegalFeesSchedule

Legal Fees LegalFeesGrp

Field	Value	IRS element (for citing)
Category	INDIRECT LEGAL FEES	CategoryTxt
Legal Fees	$400	LegalFeesAmt
Disbursements Charitable Prps	$400	DisbursementsCharitablePrpsAmt

Other Expenses Schedule OtherExpensesSchedule

Other Expenses Schedule OtherExpensesScheduleGrp (26 entries)

DescDesc	Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt	Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt	Net Investment IncomeNetInvestmentIncomeAmt
EXPENSES
ADVERTISING	$8,455	$8,455
AUTO EXPENSE	$3,688	$3,688
COMMUNITY SERVICE PROGRAM	$15,492	$15,492
DUES/SUBSCRIPTION	$1,977	$1,977
EQUIPMENT LEASE	$4,325	$4,325
EVENT SPONSOR	$44,250	$44,250
GRADUATION INCENTIVE	$13,000	$13,000
INSURANCE	$6,225	$6,225
BANK FEE	$400	$400
NEW SCHOLAR ORIENTATION	$43,107	$43,107
OFFICE EXPENSE	$2,475	$2,475
POSTAGE	$2,697	$2,697
MARKETING	$1,200	$1,200
REPAIRS & MAINTENANCE	$9,451	$9,451
SCHOLARSHIP MENTORING PROGRAM	$26,749	$26,749
STUDENT LUNCHEON
SPONSORSHIP	$2,000	$2,000
STORAGE RENTAL	$603	$603
SUPPLY	$4,935	$4,935
WEB SITE EXPENSE	$6,963	$6,963
INVESTMENT/ADVISORY FEES	$156,165		$156,165
MACK SELECT TOURNEY	$47,595	$47,595
OTHER INVESTMENT LOSS
MISC.	$1,897	$1,897
RECEPTIONS	$1,701	$1,701

Other Income Schedule2 OtherIncomeSchedule2

Other Income Detail OtherIncomeDetail (6 entries)

DescDesc	Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt	Net Investment IncomeNetInvestmentIncomeAmt	Adjusted Net IncomeAdjustedNetIncomeAmt
OTHER INVEST. BROK. ACTIVITY	-$22,040	-$22,040	-$22,040
OTHER BROKERAGE DIV/INT BOOKS	$22,827	$22,827	$22,827
RENT	$2,300		$2,300
PASSTHROUGH INV INC(LOSS)	$1,420,191	$1,420,191	$1,420,191
VOIDED CHECKS	$11,208		$11,208
PENNYBACKER NEG BASIS AJD PY	-$95,397	-$95,397	-$95,397

Taxes Schedule TaxesSchedule

Taxes Detail TaxesDetail (4 entries)

CategoryCategoryTxt	AmtAmt	Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt
FOREIGN TAX
PROPERTY TAX	$4,876	$4,876
SECTION 4940
OTHER	$110	$110