PICKET FAMILY FOUNDATION INC: Form 990PF, tax year 2014
View the entire original 990 at ProPublica ↗
- Organization
- PICKET FAMILY FOUNDATION INC (EIN 26-3870611)
- Tax period
- 2014-01-01 to 2014-12-31
- Filed
- 2015-08-17
- IRS object ID
- 201522299349100237
- Schema version
- 2014v5.0
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990-PF
- Schedule B
- Investments Corp Stock Schedule
- Investments Other Schedule2
- Other Assets Schedule
- Other Expenses Schedule
- Other Increases Schedule
- Substantial Contributors Sch
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2015-08-17T12:54:11-05:00 | ReturnTs |
| Tax Period End | 2014-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Firm EIN | 111558868 | PreparerFirmEIN |
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | MARGOLIN WINER & EVENS LLP | BusinessNameLine1Txt |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 400 GARDEN CITY PLAZA | AddressLine1Txt |
| City | GARDEN CITY | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 115303323 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2014-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 263870611 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | PICKET FAMILY FOUNDATION INC | BusinessNameLine1Txt |
| Business Name Line2 | C/O GOTHAM ORGANIZATION INC | BusinessNameLine2Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | PICK | BusinessNameControlTxt |
| Phone | 2125990520 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1010 AVENUE OF THE AMERICAS | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10018 | ZIPCd |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | JOEL PICKET | PersonNm |
| Person Title | PRESIDENT | PersonTitleTxt |
| Phone | 2125990520 | PhoneNum |
| Signature | 2015-08-17 | SignatureDt |
| Discuss With Paid Preparer | Yes (1) | DiscussWithPaidPreparerInd |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | MICHAEL MCVETTY | PreparerPersonNm |
| PTIN | P00846030 | PTIN |
| Phone | 5167472000 | PhoneNum |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2014 | TaxYr |
| Build TS | 2016-02-25 16:41:14Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $2,443,455 | 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 | $500,000 | ContriRcvdRevAndExpnssAmt |
| Interest On Sav Rev And Expnss | $583 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $583 | InterestOnSavNetInvstIncmAmt |
| Dividends Rev And Expnss | $62,373 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $62,373 | DividendsNetInvstIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $135,524 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $3,043,900 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $135,524 | CapGainNetIncmNetInvstIncmAmt |
| Total Rev And Expnss | $698,480 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $198,480 | TotalNetInvstIncmAmt |
| Comp Ofcr Dir Trst Rev And Expnss | $0 | CompOfcrDirTrstRevAndExpnssAmt |
| Comp Ofcr Dir Trst Net Invst Incm | $0 | CompOfcrDirTrstNetInvstIncmAmt |
| Comp Ofcr Dir Trst Dsbrs Chrtbl | $0 | CompOfcrDirTrstDsbrsChrtblAmt |
| Interest Rev And Expnss | $43 | InterestRevAndExpnssAmt |
| Interest Net Invst Incm | $43 | InterestNetInvstIncmAmt |
| Interest Dsbrs Chrtbl | $0 | InterestDsbrsChrtblAmt |
| Taxes Rev And Expnss | $4,223 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $0 | TaxesNetInvstIncmAmt |
| Taxes Dsbrs Chrtbl | $0 | TaxesDsbrsChrtblAmt |
| Other Expenses Rev And Expnss | $12,691 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Net Invst Incm | $12,536 | OtherExpensesNetInvstIncmAmt |
| Other Expenses Dsbrs Chrtbl | $155 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $16,957 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $12,579 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $155 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $431,600 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $431,600 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $448,557 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $12,579 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Dsbrs Chrtbl | $431,755 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | $249,923 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $185,901 | NetInvestmentIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sav And Temp Cash Invst BOY | $56,516 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $397,511 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $397,511 | SavAndTempCashInvstEOYFMVAmt |
| Corporate Stock BOY | $344,502 | CorporateStockBOYAmt |
| Corporate Stock EOY | $38,732 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $49,027 | CorporateStockEOYFMVAmt |
| Other Investments BOY | $1,782,341 | OtherInvestmentsBOYAmt |
| Other Investments EOY | $1,996,854 | OtherInvestmentsEOYAmt |
| Other Investments EOYFMV | $1,996,121 | OtherInvestmentsEOYFMVAmt |
| Other Assets BOY | $251 | OtherAssetsBOYAmt |
| Other Assets EOY | $796 | OtherAssetsEOYAmt |
| Other Assets EOYFMV | $796 | OtherAssetsEOYFMVAmt |
| Total Assets BOY | $2,183,610 | TotalAssetsBOYAmt |
| Total Assets EOY | $2,433,893 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $2,443,455 | TotalAssetsEOYFMVAmt |
| Total Liabilities BOY | $0 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $0 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow SFAS117 | Yes (X) | OrgDoesNotFollowSFAS117Ind |
| Capital Stock BOY | $0 | CapitalStockBOYAmt |
| Capital Stock EOY | $0 | CapitalStockEOYAmt |
| Additional Paid In Capital BOY | $0 | AdditionalPaidInCapitalBOYAmt |
| Additional Paid In Capital EOY | $0 | AdditionalPaidInCapitalEOYAmt |
| Retained Earning BOY | $2,183,610 | RetainedEarningBOYAmt |
| Retained Earning EOY | $2,433,893 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $2,183,610 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $2,433,893 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $2,183,610 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $2,433,893 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $2,183,610 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | $249,923 | ExcessRevenueOverExpensesAmt |
| Other Increases | $360 | OtherIncreasesAmt |
| Subtotal | $2,433,893 | SubtotalAmt |
| Other Decreases | $0 | OtherDecreasesAmt |
| Tot Net Ast Or Fund Balances EOY | $2,433,893 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (398 entries)
| PropertyPropertyDesc | How AcquiredHowAcquiredCd | AcquiredAcquiredDt | SoldSoldDt | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt |
|---|---|---|---|---|---|---|---|
| SHORT TERM CAPITAL GAINS AND - 19.0000 SHS | P | 2014-03-21 | 2014-05-12 | $803 | $707 | $96 | $96 |
| SHORT TERM CAPITAL GAINS AND - 245.0000 SHS | P | 2014-03-21 | 2014-07-31 | $9,308 | $9,119 | $189 | $189 |
| AETNA INC NEW - 144.0000 SHS | P | 2014-02-05 | 2014-05-05 | $10,395 | $9,850 | $545 | $545 |
| BIOGEN IDEC INC - 33.0000 SHS | P | 2014-02-07 | 2014-03-28 | $9,730 | $10,317 | -$587 | -$587 |
| CSX CORP - 425.0000 SHS | P | 2013-11-20 | 2014-02-05 | $11,222 | $11,443 | -$221 | -$221 |
| CSX CORP - 12.0000 SHS | P | 2014-05-05 | 2014-05-12 | $348 | $336 | $12 | $12 |
| CSX CORP - 356.0000 SHS | P | 2014-05-05 | 2014-08-05 | $10,478 | $9,962 | $516 | $516 |
| COMCAST CORP NEW CL A - 184.0000 SHS | P | 2014-02-07 | 2014-02-13 | $9,765 | $10,048 | -$283 | -$283 |
| CAPITAL ONE FINL - 105.0000 SHS | P | 2013-06-12 | 2014-02-07 | $7,400 | $6,436 | $964 | $964 |
| CAPITAL ONE FINL - 9.0000 SHS | P | 2013-06-12 | 2014-05-12 | $699 | $552 | $147 | $147 |
| CONSOL ENERGY INC COM - 253.0000 SHS | P | 2014-06-05 | 2014-07-18 | $10,447 | $11,868 | -$1,421 | -$1,421 |
| CHECK POINT SOFTWRE TECH - 155.0000 SHS | P | 2014-02-07 | 2014-06-05 | $10,102 | $10,053 | $49 | $49 |
| CELCENE CORP COM - 65.0000 SHS | P | 2014-02-07 | 2014-03-21 | $9,465 | $10,157 | -$692 | -$692 |
| CITIGROUP INC COM NEW - 288.0000 SHS | P | 2014-01-08 | 2014-02-05 | $13,563 | $15,783 | -$2,220 | -$2,220 |
| CITIGROUP INC COM NEW - 238.0000 SHS | P | 2014-08-18 | 2014-12-09 | $13,114 | $11,781 | $1,333 | $1,333 |
| DISNEY (WALT) CO COM STK - 133.0000 SHS | P | 2014-02-07 | 2014-05-05 | $10,801 | $10,038 | $763 | $763 |
| DU PONT E 1 DE NEMOURS - 1.0000 SHS | P | 2014-03-05 | 2014-05-12 | $68 | $67 | $1 | $1 |
| DU PONT E 1 DE NEMOURS - 152.0000 SHS | P | 2014-03-05 | 2014-07-18 | $9,882 | $10,227 | -$345 | -$345 |
| EMC CORPORATION MASS - 395.0000 SHS | P | 2014-08-18 | 2014-09-26 | $11,351 | $11,815 | -$464 | -$464 |
| EASTMAN CHEMICAL CO COM - 119.0000 SHS | P | 2014-03-28 | 2014-07-31 | $9,405 | $10,180 | -$775 | -$775 |
| EQUINIX INC - 54.0000 SHS | P | 2014-05-05 | 2014-09-30 | $11,516 | $10,285 | $1,231 | $1,231 |
| EXXON MOBIL CORP COM - 12.0000 SHS | P | 2014-08-18 | 2014-12-09 | $1,096 | $1,192 | -$96 | -$96 |
| EOG RESOURCES INC - 100.0000 SHS | P | 2014-04-16 | 2014-06-05 | $10,752 | $10,138 | $614 | $614 |
| EXPRESS SCRIPTS HLDG CO - 127.0000 SHS | P | 2014-03-21 | 2014-05-05 | $8,497 | $9,861 | -$1,364 | -$1,364 |
| EXPRESS SCRIPTS HLDG CO - 161.0000 SHS | P | 2014-09-04 | 2014-09-23 | $11,595 | $11,883 | -$288 | -$288 |
| ENSCO PLC SHS CL A - 204.0000 SHS | P | 2014-05-05 | 2014-08-05 | $10,074 | $10,330 | -$256 | -$256 |
| FREEPORT-MCMORAN INC - 326.0000 SHS | P | 2014-08-18 | 2014-09-04 | $11,586 | $11,850 | -$264 | -$264 |
| FLUOR CORP NEW DEL COM - 130.0000 SHS | P | 2014-02-07 | 2014-05-05 | $9,658 | $10,028 | -$370 | -$370 |
| FIFTH THIRD BANCORP - 464.0000 SHS | P | 2014-03-05 | 2014-08-05 | $9,124 | $10,289 | -$1,165 | -$1,165 |
| FRANKLIN RES INC - 213.0000 SHS | P | 2014-08-18 | 2014-12-09 | $12,196 | $11,759 | $437 | $437 |
| VANGUARD MSCI EMERGING - 15.0000 SHS | P | 2014-12-09 | 2014-12-10 | $600 | $603 | -$3 | -$3 |
| WASH SALE VANGUARD MSCI EMERGING - 15.0000 SHS | P | 2014-12-09 | 2014-12-10 | $3 | $3 | $3 | |
| VANGUARD MSCI EMERGING - 80.0000 SHS | P | 2014-12-09 | 2014-12-10 | $3,198 | $3,215 | -$17 | -$17 |
| WISDOMTREE TRUST JAPAN HEDGED EQUITY FD - 341.0000 SHS | P | 2013-03-06 | 2014-01-21 | $17,188 | $14,356 | $2,832 | $2,832 |
| WISDOMTREE TRUST JAPAN HEDGED EQUITY FD - 244.0000 SHS | P | 2013-03-28 | 2014-01-21 | $12,299 | $10,499 | $1,800 | $1,800 |
| WISDOMTREE EMERGING MRKT - 0 SHS | P | 2013-10-15 | 2014-01-21 | $50,633 | $56,088 | -$5,455 | -$5,455 |
| SPDR INDEX SHS FDS - 521.0000 SHS | P | 2013-08-06 | 2014-05-12 | $22,758 | $18,996 | $3,762 | $3,762 |
| SPDR INDEX SHS FDS - 965.0000 SHS | P | 2013-10-10 | 2014-09-10 | $39,651 | $38,011 | $1,640 | $1,640 |
| SPDR INDEX SHS FDS - 473.0000 SHS | P | 2014-08-18 | 2014-10-17 | $17,444 | $19,048 | -$1,604 | -$1,604 |
| SPDR S AND P INTL DVD ETF - 71.0000 SHS | P | 2014-10-17 | 2014-12-10 | $3,055 | $3,151 | -$96 | -$96 |
| WASH SALE SPDR S AND P INTL DVD ETF - 71.0000 SHS | P | 2014-10-17 | 2014-12-10 | $96 | $96 | $96 | |
| SPDR S AND P INTL DVD ETF - 8.0000 SHS | P | 2014-10-17 | 2014-12-10 | $344 | $355 | -$11 | -$11 |
| SPDR S AND P INTL DVD ETF - 35.0000 SHS | P | 2014-10-17 | 2014-12-10 | $1,506 | $1,553 | -$47 | -$47 |
| WASH SALE SPDR S AND P INTL DVD ETF - 35.0000 SHS | P | 2014-10-17 | 2014-12-10 | $47 | $47 | $47 | |
| GENL DYNAMICS CORP COM - 97.0000 SHS | P | 2014-08-18 | 2014-09-05 | $12,117 | $11,737 | $380 | $380 |
| GOOGLE INC CL A - 20.0000 SHS | P | 2014-08-18 | 2014-09-30 | $11,739 | $11,872 | -$133 | -$133 |
| GENERAL MOTORS CO - 280.0000 SHS | P | 2014-02-05 | 2014-11-12 | $8,735 | $9,905 | -$1,170 | -$1,170 |
| GENERAL MOTORS CO - 48.0000 SHS | P | 2014-08-18 | 2014-11-12 | $1,497 | $1,647 | -$150 | -$150 |
| GILEAD SCIENCES INC COM - 129.0000 SHS | P | 2014-02-07 | 2014-03-21 | $9,351 | $10,015 | -$664 | -$664 |
| HALLIBURTON COMPANY - 172.0000 SHS | P | 2014-08-18 | 2014-09-23 | $11,166 | $11,818 | -$652 | -$652 |
| HUNTNGTN BANCSHS INC MD - 799.0000 SHS | P | 2013-08-06 | 2014-02-07 | $7,178 | $6,897 | $281 | $281 |
| HUNTNGTN BANCSHS INC MD - 8.0000 SHS | P | 2013-08-06 | 2014-05-12 | $75 | $69 | $6 | $6 |
| HUNTNGTN BANCSHS INC MD - 1102.0000 SHS | P | 2013-08-06 | 2014-07-18 | $10,602 | $9,513 | $1,089 | $1,089 |
| ILLUMINA INC COM - 69.0000 SHS | P | 2014-08-18 | 2014-09-26 | $11,380 | $11,869 | -$489 | -$489 |
| /SHARES S&P WO - 316.0000 SHS | P | 2014-10-17 | 2014-12-10 | $28,747 | $26,670 | $2,077 | $2,077 |
| /SHARES CORE HIGH - 115.0000 SHS | P | 2014-10-17 | 2014-12-10 | $8,806 | $8,362 | $444 | $444 |
| DEUTSCHE X-TRACKERS MSCI EAFE HEDGED EQUITY ETF - 132.0000 SHS | P | 2014-12-09 | 2014-12-10 | $3,700 | $3,715 | -$15 | -$15 |
| DEUTSCHE X-TRACKERS MSCI EAFE HEDGED EQUITY ETF - 133.0000 SHS | P | 2014-12-09 | 2014-12-10 | $3,728 | $3,744 | -$16 | -$16 |
| WASH SALE DEUTSCHE X-TRACKERS MSCI EAFE HEDGED EQUITY ETF - 133.0000 SHS | P | 2014-12-09 | 2014-12-10 | $16 | $16 | $16 | |
| JPMORGAN CHASE & CO - 205.0000 SHS | P | 2014-08-18 | 2014-12-09 | $12,729 | $11,727 | $1,002 | $1,002 |
| KOHLS CORP WISC PV 1CT - 205.0000 SHS | P | 2014-08-18 | 2014-09-05 | $12,257 | $11,809 | $448 | $448 |
| L-3 COMMNCTNS HLDGS - 105.0000 SHS | P | 2014-09-05 | 2014-10-03 | $12,043 | $11,716 | $327 | $327 |
| LYONDELLBASELL INDUSTRIE - 106.0000 SHS | P | 2014-08-18 | 2014-11-12 | $9,221 | $11,770 | -$2,549 | -$2,549 |
| LIBERTY MEDIA CORPORATIO - 158.0000 SHS | P | 2013-05-17 | 2014-04-11 | $19,887 | $20,034 | -$147 | -$147 |
| LEUCADIA NATL CORP - 769.0000 SHS | P | 2013-04-24 | 2014-04-11 | $20,012 | $23,272 | -$3,260 | -$3,260 |
| LEUCADIA NATL CORP - 34.0000 SHS | P | 2013-05-29 | 2014-04-11 | $885 | $1,051 | -$166 | -$166 |
| ELI LILLY & CO - 115.0000 SHS | P | 2014-01-06 | 2014-02-07 | $6,128 | $5,933 | $195 | $195 |
| ELI LILLY & CO - 189.0000 SHS | P | 2014-01-06 | 2014-05-05 | $11,128 | $9,751 | $1,377 | $1,377 |
| LOEWS CORP - 360.0000 SHS | P | 2013-06-12 | 2014-04-11 | $15,643 | $16,004 | -$361 | -$361 |
| LOEWS CORP - 118.0000 SHS | P | 2013-06-12 | 2014-04-14 | $5,136 | $5,246 | -$110 | -$110 |
| METUFE INC COM - 193.0000 SHS | P | 2014-04-03 | 2014-05-05 | $9,949 | $10,386 | -$437 | -$437 |
| MCDONALDS CORP COM - 18.0000 SHS | P | 2014-08-18 | 2014-12-09 | $1,643 | $1,698 | -$55 | -$55 |
| MYLAN INC - 224.0000 SHS | P | 2014-02-07 | 2014-04-14 | $10,282 | $10,040 | $242 | $242 |
| NEWELL RUBBERMAID INC - 326.0000 SHS | P | 2014-02-07 | 2014-04-03 | $9,718 | $10,034 | -$316 | -$316 |
| NXP SEMICONDUCTORS N.V. - 35.0000 SHS | P | 2014-02-07 | 2014-05-12 | $2,201 | $1,780 | $421 | $421 |
| NXP SEMICONDUCTORS N.V. - 164.0000 SHS | P | 2014-02-07 | 2014-09-30 | $11,143 | $8,342 | $2,801 | $2,801 |
| NXP SEMICONDUCTORS N.V. - 18.0000 SHS | P | 2014-08-18 | 2014-09-30 | $1,223 | $1,128 | $95 | $95 |
| NOBLE CORP PLC SHS - 334.0000 SHS | P | 2014-05-05 | 2014-08-05 | $8,820 | $9,043 | -$223 | -$223 |
| NORFOLK SOUTHERN CORP - 1.0000 SHS | P | 2014-02-05 | 2014-05-12 | $97 | $92 | $5 | $5 |
| NORFOLK SOUTHERN CORP - 107.0000 SHS | P | 2014-02-05 | 2014-12-09 | $11,022 | $9,841 | $1,181 | $1,181 |
| NUCOR CORPORATION - 3.0000 SHS | P | 2014-05-05 | 2014-05-12 | $158 | $155 | $3 | $3 |
| NUCOR CORPORATION - 196.0000 SHS | P | 2014-05-05 | 2014-08-05 | $9,803 | $10,134 | -$331 | -$331 |
| OREILL Y AUTOMOTIVE INC - 67.0000 SHS | P | 2014-02-13 | 2014-05-05 | $9,895 | $10,222 | -$327 | -$327 |
| OREILL Y AUTOMOTIVE INC - 118.0000 SHS | P | 2014-08-18 | 2014-09-22 | $11,414 | $11,848 | -$434 | -$434 |
| PIONEER NATURAL RES CO - 51.0000 SHS | P | 2014-05-05 | 2014-09-22 | $9,951 | $10,098 | -$147 | -$147 |
| PIONEER NATURAL RES CO - 5.0000 SHS | P | 2014-08-18 | 2014-09-22 | $976 | $1,017 | -$41 | -$41 |
| PARKER HANNIFIN CORP - 74.0000 SHS | P | 2013-07-09 | 2014-02-07 | $8,692 | $7,248 | $1,444 | $1,444 |
| PARKER HANNIFIN CORP - 4.0000 SHS | P | 2013-07-09 | 2014-05-12 | $504 | $392 | $112 | $112 |
| PRICE T ROWE GROUP INC - 150.0000 SHS | P | 2014-08-18 | 2014-11-05 | $12,416 | $11,798 | $618 | $618 |
| PRINCIPAL FINANCIAL GRP - 155.0000 SHS | P | 2013-02-22 | 2014-02-07 | $6,696 | $4,885 | $1,811 | $1,811 |
| PARAGON OFFSHORE PLC SHS | P | 2014-05-05 | 2014-08-15 | $3 | $4 | -$1 | -$1 |
| PARAGON OFFSHORE PLC SHS - 111.0000 SHS | P | 2014-05-05 | 2014-08-19 | $1,034 | $1,266 | -$232 | -$232 |
| PROCTER & GAMBLE CO - 140.0000 SHS | P | 2013-11-01 | 2014-02-05 | $10,719 | $11,357 | -$638 | -$638 |
| PROCTER & GAMBLE CO - 143.0000 SHS | P | 2014-08-18 | 2014-12-09 | $12,873 | $11,794 | $1,079 | $1,079 |
| STATE STREET CORP - 163.0000 SHS | P | 2014-09-05 | 2014-12-09 | $12,847 | $11,796 | $1,051 | $1,051 |
| SKYWORKS SOLUTIONS INC - 254.0000 SHS | P | 2014-06-05 | 2014-09-30 | $14,709 | $11,811 | $2,898 | $2,898 |
| 3M COMPANY - 6.0000 SHS | P | 2014-08-18 | 2014-12-09 | $957 | $864 | $93 | $93 |
| UNITED TECHS CORP COM - 1.0000 SHS | P | 2014-05-05 | 2014-05-12 | $119 | $117 | $2 | $2 |
| UNITED TECHS CORP COM - 87.0000 SHS | P | 2014-05-05 | 2014-12-09 | $9,844 | $10,162 | -$318 | -$318 |
| UNITED TECHS CORP COM - 16.0000 SHS | P | 2014-08-18 | 2014-12-09 | $1,810 | $1,728 | $82 | $82 |
| WISDOMTREE EUROPE HEDGED EQUITY FUND - 25.0000 SHS | P | 2014-12-09 | 2014-12-10 | $1,458 | $1,463 | -$5 | -$5 |
| WISDOMTREE EUROPE HEDGED EQUITY FUND - 40.0000 SHS | P | 2014-12-09 | 2014-12-10 | $2,333 | $2,340 | -$7 | -$7 |
| WASH SALE WISDOMTREE EUROPE HEDGED EQUITY FUND - 40.0000 SHS | P | 2014-12-09 | 2014-12-10 | $7 | $7 | $7 | |
| ACE LIMITED - 108.0000 SHS | P | 2014-10-08 | 2014-11-05 | $11,853 | $11,531 | $322 | $322 |
| WAL-MART STORES INC - 19.0000 SHS | P | 2014-08-18 | 2014-12-09 | $1,576 | $1,418 | $158 | $158 |
| WELLS FARGO & CO NEW DEL - 18.0000 SHS | P | 2014-08-18 | 2014-12-09 | $976 | $911 | $65 | $65 |
| HENDERSON EUROPEAN FOCUS - 1476.0000 SHS | P | 2014-01-21 | 2014-12-09 | $50,184 | $52,649 | -$2,465 | -$2,465 |
| HENDERSON EUROPEAN FOCUS - 130.0000 SHS | P | 2014-06-18 | 2014-12-09 | $4,420 | $4,840 | -$420 | -$420 |
| HENDERSON EUROPEAN FOCUS - 1.0000 SHS | P | 2014-08-18 | 2014-12-09 | $34 | $37 | -$3 | -$3 |
| HENDERSON EUROPEAN FOCUS - .8060 SHS | P | 2014-08-18 | 2014-12-09 | $27 | $28 | -$1 | -$1 |
| HENDERSON EUROPEAN FOCUS - 74.0000 SHS | P | 2014-08-18 | 2014-12-09 | $2,516 | $2,580 | -$64 | -$64 |
| TCW TOTAL RETURN BOND FD CL I - .2270 SHS | P | 2014-06-18 | 2014-12-10 | $2 | $2 | $0 | $0 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 2890.0000 SHS | P | 2013-08-23 | 2014-05-12 | $34,680 | $31,559 | $3,121 | $3,121 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - .0700 SHS | P | 2014-03-25 | 2014-05-12 | $1 | $1 | $0 | $0 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 5533.0000 SHS | P | 2013-08-23 | 2014-08-01 | $66,119 | $60,420 | $5,699 | $5,699 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - .5960 SHS | P | 2013-08-23 | 2014-08-01 | $7 | $7 | $0 | $0 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - .2550 SHS | P | 2014-06-24 | 2014-08-01 | $3 | $3 | $0 | $0 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 237.0000 SHS | P | 2013-09-17 | 2014-09-09 | $2,780 | $2,581 | $199 | $199 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 2972.0000 SHS | P | 2013-10-10 | 2014-09-09 | $34,862 | $32,098 | $2,764 | $2,764 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 1.0000 SHS | P | 2013-12-18 | 2014-09-09 | $12 | $11 | $1 | $1 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 295.0000 SHS | P | 2013-12-18 | 2014-09-09 | $3,460 | $3,254 | $206 | $206 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 231.0000 SHS | P | 2014-03-25 | 2014-09-09 | $2,710 | $2,668 | $42 | $42 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 1.0000 SHS | P | 2014-06-18 | 2014-09-09 | $12 | $12 | $0 | $0 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 1494.0000 SHS | P | 2014-06-18 | 2014-09-09 | $17,525 | $18,316 | -$791 | -$791 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 1.0000 SHS | P | 2014-06-24 | 2014-09-09 | $12 | $12 | $0 | $0 |
| THIRD AVENUE FOCUSED CREDIT FUND CL INSTL - 242.0000 SHS | P | 2014-06-24 | 2014-09-09 | $2,839 | $2,916 | -$77 | -$77 |
| PRUDENTIAL JENNISON NATURAL RESOURCES INC Z - 1217.0000 SHS | P | 2014-04-16 | 2014-12-09 | $49,471 | $68,030 | -$18,559 | -$18,559 |
| PRUDENTIAL JENNISON NATURAL RESOURCES INC Z - 1.0000 SHS | P | 2014-08-18 | 2014-12-09 | $41 | $56 | -$15 | -$15 |
| PRUDENTIAL JENNISON NATURAL RESOURCES INC Z - .4000 SHS | P | 2014-08-18 | 2014-12-09 | $16 | $23 | -$7 | -$7 |
| PRUDENTIAL JENNISON NATURAL RESOURCES INC Z - 116.0000 SHS | P | 2014-08-18 | 2014-12-09 | $4,715 | $6,661 | -$1,946 | -$1,946 |
| MATTHEWS ASIA GROWTH FUND INVESTOR CLASS - 1.0000 SHS | P | 2014-01-21 | 2014-12-09 | $22 | $19 | $3 | $3 |
| MATTHEWS ASIA GROWTH FUND INVESTOR CLASS - 132.0000 SHS | P | 2014-01-21 | 2014-12-09 | $2,856 | $2,785 | $71 | $71 |
| MATTHEWS ASIA GROWTH FUND INVESTOR CLASS - .9130 SHS | P | 2014-06-18 | 2014-12-09 | $20 | $19 | $1 | $1 |
| MATTHEWS ASIA GROWTH FUND INVESTOR CLASS - 387.0000 SHS | P | 2014-06-18 | 2014-12-09 | $8,375 | $8,433 | -$58 | -$58 |
| DOUBLEUNE TOTAL RETURN BOND FUND CL I - .2240 SHS | P | 2014-11-28 | 2014-12-10 | $2 | $2 | $0 | $0 |
| DOUBLEUNE CORE FIXED INCOME FUND CL I - .4700 SHS | P | 2014-10-07 | 2014-12-10 | $5 | $5 | $0 | $0 |
| DOUBLEUNE CORE FIXED INCOME FUND CL I - 1.0000 SHS | P | 2014-10-07 | 2014-12-10 | $11 | $11 | $0 | $0 |
| DOUBLEUNE CORE FIXED INCOME FUND CL I - 33.0000 SHS | P | 2014-10-07 | 2014-12-10 | $363 | $364 | -$1 | -$1 |
| DOUBLEUNE CORE FIXED INCOME FUND CL I - .1080 SHS | P | 2014-11-28 | 2014-12-10 | $1 | $1 | $0 | $0 |
| DOUBLELINE CORE FIXED INCOME FUND CL IL - 1.0000 SHS | P | 2014-10-07 | 2014-12-10 | $11 | $11 | $0 | $0 |
| DOUBLELINE CORE FIXED INCOME FUND CL IL - 33.0000 SHS | P | 2014-10-07 | 2014-12-10 | $363 | $364 | -$1 | -$1 |
| DOUBLELINE CORE FIXED INCOME FUND CL IL - 595.0000 SHS | P | 2014-10-07 | 2014-12-10 | $6,539 | $6,557 | -$18 | -$18 |
| DOUBLELINE CORE FIXED INCOME FUND CL IL - WASH SALE | P | 2014-10-07 | 2014-12-10 | $20 | $20 | $20 | |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - .0650 SHS | P | 2014-05-12 | 2014-05-15 | $1 | $1 | $0 | $0 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - .4690 SHS | P | 2014-06-18 | 2014-10-07 | $4 | $4 | $0 | $0 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 338.0000 SHS | P | 2014-03-05 | 2014-10-15 | $2,532 | $2,660 | -$128 | -$128 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - .7090 SHS | P | 2014-03-05 | 2014-10-15 | $5 | $6 | -$1 | -$1 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - .2650 SHS | P | 2014-06-18 | 2014-10-15 | $2 | $2 | $0 | $0 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 455.0000 SHS | P | 2014-03-05 | 2014-12-10 | $3,422 | $3,581 | -$159 | -$159 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - .0480 SHS | P | 2014-03-05 | 2014-12-10 | $0 | $0 | ||
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - .2910 SHS | P | 2014-03-05 | 2014-12-10 | $2 | $2 | $0 | $0 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 4506.0000 SHS | P | 2014-03-05 | 2014-12-11 | $33,930 | $35,462 | -$1,532 | -$1,532 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - .9520 SHS | P | 2014-03-05 | 2014-12-11 | $7 | $7 | $0 | $0 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 3241.0000 SHS | P | 2014-06-18 | 2014-12-11 | $24,405 | $25,604 | -$1,199 | -$1,199 |
| OAKMARK GLOBAL SELECT FUND CL 1 - .2870 SHS | P | 2013-05-29 | 2014-05-12 | $5 | $4 | $1 | $1 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 1.0000 SHS | P | 2014-08-18 | 2014-12-09 | $17 | $11 | $6 | $6 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 479.0000 SHS | P | 2014-08-18 | 2014-12-09 | $8,181 | $8,114 | $67 | $67 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 1.0000 SHS | P | 2014-10-17 | 2014-12-09 | $17 | $17 | $0 | $0 |
| OAKMARK GLOBAL SELECT FUND CL 1 - .0740 SHS | P | 2014-10-17 | 2014-12-09 | $1 | $1 | $0 | $0 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 965.0000 SHS | P | 2014-10-17 | 2014-12-09 | $16,482 | $15,353 | $1,129 | $1,129 |
| NEUBERGER BERMAN LONG SHORT FUND INSTL CL - 10124.0000 SHS | P | 2013-08-23 | 2014-04-11 | $126,449 | $121,286 | $5,163 | $5,163 |
| NEUBERGER BERMAN LONG SHORT FUND INSTL CL - 5.0000 SHS | P | 2013-12-23 | 2014-04-11 | $62 | $63 | -$1 | -$1 |
| NEUBERGER BERMAN LONG SHORT FUND INSTL CL - 1.0000 SHS | P | 2013-12-23 | 2014-04-11 | $12 | $12 | $0 | $0 |
| NEUBERGER BERMAN LONG SHORT FUND INSTL CL - .7100 SHS | P | 2013-12-23 | 2014-04-11 | $9 | $9 | $0 | $0 |
| NEUBERGER BERMAN LONG SHORT FUND INSTL CL - 42.0000 SHS | P | 2013-12-23 | 2014-04-11 | $525 | $530 | -$5 | -$5 |
| IVY ASSET STRATEGY FUND CL I - 1.0000 SHS | P | 2013-12-12 | 2014-01-24 | $31 | $27 | $4 | $4 |
| IVY ASSET STRATEGY FUND CL I - .5490 SHS | P | 2013-12-12 | 2014-01-24 | $17 | $17 | $0 | $0 |
| IVY ASSET STRATEGY FUND CL I - 11.0000 SHS | P | 2013-12-12 | 2014-01-24 | $346 | $343 | $3 | $3 |
| JOHN HANCOCK GLOBAL ABS RTRN STRGYS FUND CL I - .4550 SHS | P | 2014-10-21 | 2014-12-10 | $5 | $5 | $0 | $0 |
| JOHN HANCOCK GLOBAL ABS RTRN STRGYS FUND CL I - 470.0000 SHS | P | 2014-10-21 | 2014-12-10 | $5,367 | $5,335 | $32 | $32 |
| JOHN HANCOCK GLOBAL ABS RTRN STRGYS FUND CL I - .0890 SHS | P | 2014-10-21 | 2014-12-10 | $1 | $1 | $0 | $0 |
| JOHN HANCOCK GLOBAL ABS RTRN STRGYS FUND CL I - 5106.0000 SHS | P | 2014-10-21 | 2014-12-12 | $58,106 | $57,953 | $153 | $153 |
| JOHN HANCOCK GLOBAL ABS RTRN STRGYS FUND CL I - .9110 SHS | P | 2014-10-21 | 2014-12-12 | $10 | $10 | $0 | $0 |
| MAINSTAY MARKETFIELD FUND CL I - 2838.0000 SHS | P | 2013-08-23 | 2014-01-21 | $52,985 | $50,460 | $2,525 | $2,525 |
| MAINSTAY MARKETFIELD FUND CL I - .1680 SHS | P | 2013-08-23 | 2014-01-21 | $3 | $3 | $0 | $0 |
| MAINSTAY MARKETFIELD FUND CL I - .6110 SHS | P | 2013-12-04 | 2014-01-21 | $11 | $11 | $0 | $0 |
| MAINSTAY MARKETFIELD FUND CL I - 1354.0000 SHS | P | 2013-08-23 | 2014-04-11 | $24,128 | $24,074 | $54 | $54 |
| MAINSTAY MARKETFIELD FUND CL I - .5910 SHS | P | 2013-08-23 | 2014-04-11 | $11 | $11 | $0 | $0 |
| MAINSTAY MARKETFIELD FUND CL I - .8290 SHS | P | 2014-08-18 | 2014-09-09 | $14 | $15 | -$1 | -$1 |
| MAINSTAY MARKETFIELD FUND CL I - .0170 SHS | P | 2014-08-18 | 2014-12-10 | $0 | $0 | ||
| MAINSTAY MARKETFIELD FUND CL I - 1367.0000 SHS | P | 2014-06-18 | 2014-12-12 | $22,077 | $24,456 | -$2,379 | -$2,379 |
| PIMCO TOTAL RETURN FUND CLP - 9.0000 SHS | P | 2014-02-28 | 2014-05-15 | $98 | $98 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - 11.0000 SHS | P | 2014-03-31 | 2014-05-15 | $120 | $119 | $1 | $1 |
| PIMCO TOTAL RETURN FUND CLP - 1.0000 SHS | P | 2014-04-30 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - 11.0000 SHS | P | 2014-04-30 | 2014-05-15 | $120 | $119 | $1 | $1 |
| PIMCO TOTAL RETURN FUND CLP - 1.0000 SHS | P | 2014-05-12 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - .7850 SHS | P | 2014-05-12 | 2014-05-15 | $9 | $9 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - 3639.0000 SHS | P | 2014-05-12 | 2014-05-15 | $39,738 | $39,592 | $146 | $146 |
| PIMCO TOTAL RETURN FUND CLP - 1.0000 SHS | P | 2013-09-30 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - 1.0000 SHS | P | 2014-01-31 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - 1.0000 SHS | P | 2013-05-24 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - 1.0000 SHS | P | 2013-05-31 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - 1.0000 SHS | P | 2013-06-28 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - 5553.0000 SHS | P | 2013-05-24 | 2014-05-15 | $60,639 | $61,960 | -$1,321 | -$1,321 |
| PIMCO TOTAL RETURN FUND CLP - 315.0000 SHS | P | 2013-05-29 | 2014-05-15 | $3,440 | $3,493 | -$53 | -$53 |
| PIMCO TOTAL RETURN FUND CLP - 28.0000 SHS | P | 2013-05-31 | 2014-05-15 | $306 | $309 | -$3 | -$3 |
| PIMCO TOTAL RETURN FUND CLP - 27.0000 SHS | P | 2013-06-28 | 2014-05-15 | $295 | $290 | $5 | $5 |
| PIMCO TOTAL RETURN FUND CLP - 18.0000 SHS | P | 2013-09-30 | 2014-05-15 | $197 | $194 | $3 | $3 |
| PIMCO TOTAL RETURN FUND CLP - 21.0000 SHS | P | 2013-10-31 | 2014-05-15 | $229 | $228 | $1 | $1 |
| PIMCO TOTAL RETURN FUND CLP - 8.0000 SHS | P | 2014-01-31 | 2014-05-15 | $87 | $86 | $1 | $1 |
| PIMCO TOTAL RETURN FUND CLP - .6470 SHS | P | 2014-05-30 | 2014-06-03 | $7 | $7 | $0 | $0 |
| PIMCO TOTAL RETURN FUND CLP - .0010 SHS | P | 2014-06-30 | 2014-07-16 | $0 | $0 | ||
| PIMCO ALL ASSET ALL AUTHORITY FUND CL P - .5080 SHS | P | 2014-10-17 | 2014-12-10 | $5 | $5 | $0 | $0 |
| PIMCO ALL ASSET ALL AUTHORITY FUND CL P - 211.0000 SHS | P | 2014-10-17 | 2014-12-10 | $2,017 | $2,091 | -$74 | -$74 |
| PIMCO ALL ASSET ALL AUTHORITY FUND CL P - .2810 SHS | P | 2014-10-17 | 2014-12-12 | $3 | $3 | $0 | $0 |
| PIMCO ALL ASSET ALL AUTHORITY FUND CL P - 6111.0000 SHS | P | 2014-10-17 | 2014-12-12 | $57,749 | $60,560 | -$2,811 | -$2,811 |
| GOTHAM ABSOLUTE RETURN FUND INSTL CLASS - .5420 SHS | P | 2014-08-18 | 2014-12-10 | $8 | $7 | $1 | $1 |
| GOTHAM ABSOLUTE RETURN FUND INSTL CLASS - 1249.0000 SHS | P | 2014-08-18 | 2014-12-10 | $17,536 | $17,199 | $337 | $337 |
| KOPERNIK GLOBAL ALL CAP FUND INSTL CLASS - .0250 SHS | P | 2014-08-18 | 2014-12-09 | $0 | $0 | ||
| KOPERNIK GLOBAL ALL CAP FUND INSTL CLASS - .0970 SHS | P | 2014-08-18 | 2014-12-10 | $1 | $1 | $0 | $0 |
| UAM FPA CRESCENT PORT - 550.0000 SHS | P | 2013-08-23 | 2014-05-12 | $18,639 | $17,507 | $1,132 | $1,132 |
| UAM FPA CRESCENT PORT - .4640 SHS | P | 2013-12-19 | 2014-05-12 | $16 | $15 | $1 | $1 |
| UAM FPA CRESCENT PORT - .4740 SHS | P | 2014-07-02 | 2014-12-10 | $16 | $16 | $0 | $0 |
| WELLS FARCO ADV ABSOLUTE RETURN FD INSTL CL - 108.0000 SHS | P | 2014-08-18 | 2014-12-12 | $1,192 | $1,246 | -$54 | -$54 |
| WELLS FARCO ADV ABSOLUTE WASH SALE | P | 2014-08-18 | 2014-12-12 | $54 | $54 | $54 | |
| WELLS FARCO ADV ABSOLUTE RETURN FD INSTL CL - 11238.0000 SHS | P | 2014-08-18 | 2014-12-12 | $124,068 | $129,696 | -$5,628 | -$5,628 |
| WELLS FARCO ADV ABSOLUTE RETURN FD INSTL CL - .5000 SHS | P | 2014-12-12 | 2014-12-12 | $6 | $6 | $0 | $0 |
| WELLS FARCO ADV ABSOLUTE RETURN FD INSTL CL - .0119 SHS | P | 2014-12-12 | 2014-12-12 | $0 | $0 | ||
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - .7800 SHS | P | 2014-05-15 | 2014-12-10 | $10 | $10 | $0 | $0 |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - 1.0000 SHS | P | 2014-05-15 | 2014-12-10 | $13 | $13 | $0 | $0 |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - 26.0000 SHS | P | 2014-05-15 | 2014-12-10 | $344 | $349 | -$5 | -$5 |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - 1.0000 SHS | P | 2014-05-15 | 2014-12-10 | $13 | $13 | $0 | $0 |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - 1.0000 SHS | P | 2014-05-15 | 2014-12-10 | $13 | $13 | $0 | $0 |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - 30.0000 SHS | P | 2014-05-15 | 2014-12-10 | $397 | $403 | -$6 | -$6 |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - 21.0000 SHS | P | 2014-05-15 | 2014-12-10 | $278 | $282 | -$4 | -$4 |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - 31.0000 SHS | P | 2014-05-15 | 2014-12-10 | $410 | $417 | -$7 | -$7 |
| LOOMIS SAYLES CORE PLUS WASH SALE | P | 2014-05-15 | 2014-12-10 | $24 | $24 | $24 | |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - 1016.0000 SHS | P | 2014-05-15 | 2014-12-10 | $13,432 | $13,655 | -$223 | -$223 |
| LOOMIS SAYLES CORE PLUS BOND FD CL Y - .1960 SHS | P | 2014-11-25 | 2014-12-10 | $3 | $3 | $0 | $0 |
| AMERICAN INTERNATIONAL CROUP INC - 135.0000 SHS | P | 2012-02-15 | 2014-01-06 | $6,835 | $3,590 | $3,245 | $3,245 |
| AMERICAN INTERNATIONAL CROUP INC - 212.0000 SHS | P | 2012-12-06 | 2014-01-06 | $10,734 | $7,031 | $3,703 | $3,703 |
| AUTOMATIC DATA PROC - 21.0000 SHS | P | 2011-05-20 | 2014-05-12 | $1,657 | $1,135 | $522 | $522 |
| AUTOMATIC DATA PROC - 23.0000 SHS | P | 2011-05-20 | 2014-12-09 | $1,952 | $1,086 | $866 | $866 |
| AUTOMATIC DATA PROC - 108.0000 SHS | P | 2011-12-21 | 2014-12-09 | $9,164 | $4,990 | $4,174 | $4,174 |
| BROOKFIELD ASSET MCMT INC CL A - 313.0000 SHS | P | 2013-03-28 | 2014-05-12 | $13,384 | $11,341 | $2,043 | $2,043 |
| BROOKFIELD ASSET MCMT INC CL A - 42.0000 SHS | P | 2013-03-28 | 2014-12-09 | $2,040 | $1,522 | $518 | $518 |
| BROOKFIELD ASSET MCMT INC CL A - 120.0000 SHS | P | 2013-04-11 | 2014-12-09 | $5,829 | $4,584 | $1,245 | $1,245 |
| BROOKFIELD ASSET MCMT INC CL A - 87.0000 SHS | P | 2013-04-11 | 2014-12-10 | $4,179 | $3,323 | $856 | $856 |
| CAPITAL ONE FINL - 133.0000 SHS | P | 2013-06-12 | 2014-08-05 | $10,489 | $8,152 | $2,337 | $2,337 |
| CHEVRON CORP - 38.0000 SHS | P | 2011-05-20 | 2014-03-05 | $4,345 | $3,914 | $431 | $431 |
| CHEVRON CORP - 54.0000 SHS | P | 2011-12-21 | 2014-03-05 | $6,174 | $5,648 | $526 | $526 |
| CHESAPEAKE ENERGY OKLA - 52.0000 SHS | P | 2012-03-20 | 2014-01-08 | $1,344 | $1,337 | $7 | $7 |
| CHESAPEAKE ENERGY OKLA - 575.0000 SHS | P | 2012-12-06 | 2014-01-08 | $14,860 | $9,864 | $4,996 | $4,996 |
| CDK GLOBAL INC SHS - 7.0000 SHS | P | 2011-05-20 | 2014-10-02 | $215 | $143 | $72 | $72 |
| CDK GLOBAL INC SHS - 36.0000 SHS | P | 2011-12-21 | 2014-10-02 | $1,107 | $722 | $385 | $385 |
| CDK GLOBAL INC SHS | P | 2011-12-21 | 2014-10-10 | $17 | $13 | $4 | $4 |
| EXXON MOBIL CORP COM - 46.0000 SHS | P | 2011-03-22 | 2014-02-05 | $4,144 | $3,814 | $330 | $330 |
| EXXON MOBIL CORP COM - 18.0000 SHS | P | 2011-05-20 | 2014-02-05 | $1,622 | $1,471 | $151 | $151 |
| EXXON MOBIL CORP COM - 8.0000 SHS | P | 2011-05-20 | 2014-05-12 | $814 | $654 | $160 | $160 |
| EXXON MOBIL CORP COM - 26.0000 SHS | P | 2011-05-20 | 2014-12-09 | $2,374 | $2,124 | $250 | $250 |
| EXXON MOBIL CORP COM - 43.0000 SHS | P | 2011-12-21 | 2014-12-09 | $3,926 | $3,561 | $365 | $365 |
| EXXON MOBIL CORP COM - 6.0000 SHS | P | 2013-02-05 | 2014-12-09 | $548 | $539 | $9 | $9 |
| EXXON MOBIL CORP COM - 27.0000 SHS | P | 2013-05-29 | 2014-12-09 | $2,465 | $2,479 | -$14 | -$14 |
| EATON CORP PLC - 103.0000 SHS | P | 2012-12-04 | 2014-02-07 | $7,252 | $5,282 | $1,970 | $1,970 |
| EATON CORP PLC - 1.0000 SHS | P | 2012-12-04 | 2014-05-12 | $73 | $50 | $23 | $23 |
| EATON CORP PLC - 141.0000 SHS | P | 2012-12-04 | 2014-08-05 | $9,518 | $7,023 | $2,495 | $2,495 |
| VANGUARD DIVIDEND APPRECIATION ETF - 257.0000 SHS | P | 2013-02-05 | 2014-05-12 | $19,749 | $16,342 | $3,407 | $3,407 |
| VANGUARD DIVIDEND APPRECIATION ETF - 80.0000 SHS | P | 2013-02-05 | 2014-07-17 | $6,192 | $5,087 | $1,105 | $1,105 |
| VANGUARD DIVIDEND APPRECIATION ETF - 187.0000 SHS | P | 2013-04-11 | 2014-07-17 | $14,473 | $12,507 | $1,966 | $1,966 |
| VANGUARD DIVIDEND APPRECIATION ETF - 122.0000 SHS | P | 2013-04-11 | 2014-12-10 | $9,839 | $8,159 | $1,680 | $1,680 |
| WISDOMTREE TRUST JAPAN HEDGED EQUITY FD - 471.0000 SHS | P | 2013-03-28 | 2014-04-11 | $21,115 | $20,267 | $848 | $848 |
| WISDOMTREE TRUST JAPAN HEDGED EQUITY FD - 26.0000 SHS | P | 2013-03-28 | 2014-05-12 | $1,200 | $1,119 | $81 | $81 |
| WISDOMTREE TRUST JAPAN HEDGED EQUITY FD - 60.0000 SHS | P | 2013-03-28 | 2014-12-09 | $3,329 | $2,582 | $747 | $747 |
| WISDOMTREE TRUST JAPAN HEDGED EQUITY FD - 166.0000 SHS | P | 2013-03-28 | 2014-12-10 | $9,103 | $7,143 | $1,960 | $1,960 |
| VANGUARD FTSE ALL WORLD EX US - 329.0000 SHS | P | 2012-12-06 | 2014-05-12 | $16,891 | $14,627 | $2,264 | $2,264 |
| VANGUARD FTSE ALL WORLD EX US - 317.0000 SHS | P | 2012-12-06 | 2014-12-10 | $15,106 | $14,094 | $1,012 | $1,012 |
| SPDR INDEX SHS FDS - 275.0000 SHS | P | 2013-08-06 | 2014-09-10 | $11,300 | $10,027 | $1,273 | $1,273 |
| SPDR INDEX SHS FDS - 677.0000 SHS | P | 2013-08-19 | 2014-09-10 | $27,817 | $25,063 | $2,754 | $2,754 |
| SPDR INDEX SHS FDS - 680.0000 SHS | P | 2013-10-10 | 2014-10-17 | $25,078 | $26,785 | -$1,707 | -$1,707 |
| HONEYWELL INTL INC DEL - 20.0000 SHS | P | 2011-10-14 | 2014-05-12 | $1,880 | $979 | $901 | $901 |
| HONEYWELL INTL INC DEL - 5.0000 SHS | P | 2011-12-21 | 2014-05-12 | $470 | $270 | $200 | $200 |
| HONEYWELL INTL INC DEL - 110.0000 SHS | P | 2011-12-21 | 2014-07-18 | $10,613 | $5,948 | $4,665 | $4,665 |
| HESS CORP - 87.0000 SHS | P | 2013-01-08 | 2014-02-07 | $6,691 | $4,787 | $1,904 | $1,904 |
| HESS CORP - 14.0000 SHS | P | 2013-01-08 | 2014-05-12 | $1,237 | $770 | $467 | $467 |
| HESS CORP - 117.0000 SHS | P | 2013-01-08 | 2014-12-09 | $8,386 | $6,438 | $1,948 | $1,948 |
| JOHNSON AND JOHNSON COM - 21.0000 SHS | P | 2013-03-07 | 2014-05-12 | $2,112 | $1,634 | $478 | $478 |
| JOHNSON AND JOHNSON COM - 103.0000 SHS | P | 2013-03-07 | 2014-12-09 | $11,012 | $8,016 | $2,996 | $2,996 |
| MCDONALDS CORP COM - 15.0000 SHS | P | 2011-03-22 | 2014-05-12 | $1,543 | $1,110 | $433 | $433 |
| MCDONALDS CORP COM - 9.0000 SHS | P | 2011-03-22 | 2014-12-09 | $822 | $666 | $156 | $156 |
| MCDONALDS CORP COM - 36.0000 SHS | P | 2011-05-20 | 2014-12-09 | $3,287 | $2,958 | $329 | $329 |
| MCDONALDS CORP COM - 56.0000 SHS | P | 2011-12-21 | 2014-12-09 | $5,113 | $5,534 | -$421 | -$421 |
| MICROSOFT CORP - 55.0000 SHS | P | 2011-08-03 | 2014-05-12 | $2,196 | $1,468 | $728 | $728 |
| MICROSOFT CORP - 225.0000 SHS | P | 2011-08-03 | 2014-12-09 | $10,693 | $6,007 | $4,686 | $4,686 |
| MICROSOFT CORP - 34.0000 SHS | P | 2012-12-06 | 2014-12-09 | $1,616 | $911 | $705 | $705 |
| PARKER HANNIFIN CORP - 82.0000 SHS | P | 2013-07-09 | 2014-07-18 | $10,117 | $8,031 | $2,086 | $2,086 |
| PRINCIPAL FINANCIAL CRP - 233.0000 SHS | P | 2013-02-22 | 2014-03-05 | $10,810 | $7,343 | $3,467 | $3,467 |
| 3M COMPANY - 23.0000 SHS | P | 2012-09-18 | 2014-05-12 | $3,283 | $2,150 | $1,133 | $1,133 |
| 3M COMPANY - 73.0000 SHS | P | 2012-09-18 | 2014-12-09 | $11,648 | $6,825 | $4,823 | $4,823 |
| WAL-MART STORES INC - 18.0000 SHS | P | 2011-08-15 | 2014-05-12 | $1,416 | $890 | $526 | $526 |
| WAL-MART STORES INC - 32.0000 SHS | P | 2011-08-15 | 2014-12-09 | $2,654 | $1,582 | $1,072 | $1,072 |
| WAL-MART STORES INC - 100.0000 SHS | P | 2011-12-21 | 2014-12-09 | $8,292 | $5,928 | $2,364 | $2,364 |
| WELLS FARGO & CO NEW DEL - 162.0000 SHS | P | 2012-08-03 | 2014-02-07 | $7,316 | $5,565 | $1,751 | $1,751 |
| WELLS FARGO & CO NEW DEL - 14.0000 SHS | P | 2012-08-03 | 2014-05-12 | $695 | $481 | $214 | $214 |
| WELLS FARGO & CO NEW DEL - 111.0000 SHS | P | 2012-08-03 | 2014-12-09 | $6,019 | $3,813 | $2,206 | $2,206 |
| WELLS FARGO & CO NEW DEL - 97.0000 SHS | P | 2012-12-26 | 2014-12-09 | $5,260 | $3,335 | $1,925 | $1,925 |
| TCW TOTAL RETURN BOND FD CL 1 - 301.0000 SHS | P | 2012-08-08 | 2014-12-10 | $3,118 | $2,977 | $141 | $141 |
| TCW TOTAL RETURN BOND FD CL 1 - 1.0000 SHS | P | 2013-05-24 | 2014-12-10 | $10 | $10 | $0 | $0 |
| TCW TOTAL RETURN BOND FD CL 1 - 1272.0000 SHS | P | 2013-05-24 | 2014-12-10 | $13,178 | $13,051 | $127 | $127 |
| TCW TOTAL RETURN BOND FD CL 1 - .3210 SHS | P | 2013-05-24 | 2014-12-10 | $3 | $3 | $0 | $0 |
| THIRD A VENUE FOCUSED CREDIT FUND CL INSTL - 2683.0000 SHS | P | 2013-08-23 | 2014-09-09 | $31,472 | $29,298 | $2,174 | $2,174 |
| THIRD A VENUE FOCUSED CREDIT FUND CL INSTL - .4040 SHS | P | 2013-08-23 | 2014-09-09 | $5 | $4 | $1 | $1 |
| MATTHEWS ASIA GROWTH FUND INVESTOR CLASS - 3778.0000 SHS | P | 2013-03-06 | 2014-12-09 | $81,756 | $72,538 | $9,218 | $9,218 |
| MATTHEWS ASIA GROWTH FUND INVESTOR CLASS - 1.0000 SHS | P | 2013-05-29 | 2014-12-09 | $22 | $19 | $3 | $3 |
| MATTHEWS ASIA GROWTH FUND INVESTOR CLASS - 80.0000 SHS | P | 2013-05-29 | 2014-12-09 | $1,731 | $1,670 | $61 | $61 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 1.0000 SHS | P | 2011-02-24 | 2014-12-10 | $11 | $11 | $0 | $0 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 47.0000 SHS | P | 2011-02-24 | 2014-12-10 | $518 | $523 | -$5 | -$5 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 1.0000 SHS | P | 2011-03-10 | 2014-12-10 | $11 | $11 | $0 | $0 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 22.0000 SHS | P | 2011-03-10 | 2014-12-10 | $242 | $242 | $0 | $0 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 1.0000 SHS | P | 2011-03-17 | 2014-12-10 | $11 | $11 | $0 | $0 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 10.0000 SHS | P | 2011-03-17 | 2014-12-10 | $110 | $109 | $1 | $1 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 15.0000 SHS | P | 2012-09-28 | 2014-12-10 | $165 | $171 | -$6 | -$6 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 72.0000 SHS | P | 2012-11-30 | 2014-12-10 | $793 | $818 | -$25 | -$25 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 1.0000 SHS | P | 2012-12-31 | 2014-12-10 | $11 | $11 | $0 | $0 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 52.0000 SHS | P | 2012-12-31 | 2014-12-10 | $573 | $589 | -$16 | -$16 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 430000 SHS | P | 2013-01-31 | 2014-12-10 | $474 | $488 | -$14 | -$14 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 40.0000 SHS | P | 2013-02-28 | 2014-12-10 | $441 | $454 | -$13 | -$13 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 41.0000 SHS | P | 2013-03-28 | 2014-12-10 | $452 | $465 | -$13 | -$13 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 40.0000 SHS | P | 2013-04-30 | 2014-12-10 | $441 | $456 | -$15 | -$15 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 1.0000 SHS | P | 2013-05-24 | 2014-12-10 | $11 | $11 | $0 | $0 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 2021.0000 SHS | P | 2013-05-24 | 2014-12-10 | $22,271 | $22,979 | -$708 | -$708 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 12.0000 SHS | P | 2012-09-28 | 2014-12-10 | $132 | $137 | -$5 | -$5 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 1.0000 SHS | P | 2012-10-31 | 2014-12-10 | $11 | $11 | $0 | $0 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 24.0000 SHS | P | 2012-10-31 | 2014-12-10 | $264 | $273 | -$9 | -$9 |
| DOUBLELINE TOTAL RETURN BOND FUND CL 1 - 50.0000 SHS | P | 2012-10-31 | 2014-12-10 | $551 | $568 | -$17 | -$17 |
| DOUBLELINE TOTAL RETURN BOND WASH SALE | P | 2012-10-31 | 2014-12-10 | $33 | $33 | $33 | |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 1.0000 SHS | P | 2013-01-31 | 2014-05-15 | $8 | $8 | $0 | $0 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 4873.0000 SHS | P | 2013-01-31 | 2014-05-15 | $38,156 | $38,253 | -$97 | -$97 |
| PUTNAM DIVERSIFIED INCOME TR WASH SALE | P | 2013-01-31 | 2014-05-15 | $97 | $97 | $97 | |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 2242.0000 SHS | P | 2013-01-31 | 2014-05-15 | $17,555 | $17,600 | -$45 | -$45 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 2017.0000 SHS | P | 2013-01-31 | 2014-10-07 | $15,632 | $15,833 | -$201 | -$201 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 1.0000 SHS | P | 2013-01-31 | 2014-10-07 | $8 | $8 | $0 | $0 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 4873.0000 SHS | P | 2013-01-31 | 2014-10-07 | $37,766 | $38,740 | -$974 | -$974 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 1678.0000 SHS | P | 2013-05-24 | 2014-10-07 | $13,005 | $13,189 | -$184 | -$184 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 1243.0000 SHS | P | 2013-05-24 | 2014-10-15 | $9,310 | $9,770 | -$460 | -$460 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 1.0000 SHS | P | 2013-06-12 | 2014-10-15 | $7 | $8 | -$1 | -$1 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 6146.0000 SHS | P | 2013-06-12 | 2014-10-15 | $46,034 | $47,877 | -$1,843 | -$1,843 |
| PUTNAM DIVERSIFIED INCOME TRUST FUND CL Y - 576.0000 SHS | P | 2013-08-23 | 2014-10-15 | $4,314 | $4,481 | -$167 | -$167 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 705.0000 SHS | P | 2012-07-16 | 2014-05-12 | $11,781 | $7,818 | $3,963 | $3,963 |
| OAKMARK GLOBAL SELECT FUND CL 1 - .0310 SHS | P | 2012-07-16 | 2014-05-12 | $1 | $1 | $1 | |
| OAKMARK GLOBAL SELECT FUND CL 1 - 1617.0000 SHS | P | 2012-07-16 | 2014-12-09 | $27,618 | $17,933 | $9,685 | $9,685 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 1.0000 SHS | P | 2012-07-20 | 2014-12-09 | $17 | $11 | $6 | $6 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 2334.0000 SHS | P | 2012-07-20 | 2014-12-09 | $39,865 | $25,861 | $14,004 | $14,004 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 1.0000 SHS | P | 2012-10-01 | 2014-12-09 | $17 | $12 | $5 | $5 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 501.0000 SHS | P | 2012-10-01 | 2014-12-09 | $8,557 | $5,887 | $2,670 | $2,670 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 389.0000 SHS | P | 2013-04-23 | 2014-12-09 | $6,644 | $5,392 | $1,252 | $1,252 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 1.0000 SHS | P | 2013-05-29 | 2014-12-09 | $17 | $14 | $3 | $3 |
| OAKMARK GLOBAL SELECT FUND CL 1 - 130.0000 SHS | P | 2013-05-29 | 2014-12-09 | $2,220 | $1,927 | $293 | $293 |
| IVY ASSET STRATEGY FUND CL 1 - 72.0000 SHS | P | 2012-12-13 | 2014-01-24 | $2,265 | $1,845 | $420 | $420 |
| MAINSTA Y MARKETFIELD | P | 2013-08-23 | 2014-09-09 | $1,465 | $1,494 | -$29 | -$29 |
| MAINSTA Y MARKETFIELD WASH SALE | P | 2013-08-23 | 2014-09-09 | $29 | $29 | $29 | |
| MAINSTA Y MARKETFIELD - 1732.0000 SHS | P | 2013-08-23 | 2014-09-09 | $30,206 | $30,795 | -$589 | -$589 |
| MAINSTA Y MARKETFIELD - 354.0000 SHS | P | 2013-08-23 | 2014-12-10 | $5,738 | $6,294 | -$556 | -$556 |
| MAINSTA Y MARKETFIELD - .7430 SHS | P | 2013-08-23 | 2014-12-10 | $12 | $13 | -$1 | -$1 |
| MAINSTA Y MARKETFIELD - 84.0000 SHS | P | 2013-08-23 | 2014-12-12 | $1,357 | $1,504 | -$147 | -$147 |
| MAINSTA Y MARKETFIELD - 2163.0000 SHS | P | 2013-08-23 | 2014-12-12 | $34,932 | $38,458 | -$3,526 | -$3,526 |
| MAINSTAY MARKETFIELD FUND CL 1 - .2570 SHS | P | 2013-08-23 | 2014-12-12 | $4 | $5 | -$1 | -$1 |
| MAINSTAY MARKETFIELD FUND CL 1 - 3560.0000 SHS | P | 2013-10-10 | 2014-12-12 | $57,494 | $64,258 | -$6,764 | -$6,764 |
| MAINSTAY MARKETFIELD FUND CL 1 - 1.0000 SHS | P | 2013-12-04 | 2014-12-12 | $16 | $18 | -$2 | -$2 |
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2011-10-21 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND FL D - 7.0000 SHS | P | 2011-10-21 | 2014-05-15 | $76 | $77 | -$1 | -$1 |
| PIMCO TOTAL RETURN FUND WASH SALE | P | 2011-10-21 | 2014-05-15 | $0 | $0 | ||
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2011-10-28 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2012-04-10 | 2014-05-15 | $11 | $12 | -$1 | -$1 |
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2012-10-31 | 2014-05-15 | $11 | $12 | -$1 | -$1 |
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2012-11-30 | 2014-05-15 | $11 | $12 | -$1 | -$1 |
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2012-12-12 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2012-12-27 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND FL D - 44.0000 SHS | P | 2012-10-31 | 2014-05-15 | $480 | $509 | -$29 | -$29 |
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2013-01-31 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND FL D - 1.0000 SHS | P | 2013-02-28 | 2014-05-15 | $11 | $11 | $0 | $0 |
| PIMCO TOTAL RETURN FUND FL D - 13.0000 SHS | P | 2011-10-21 | 2014-05-15 | $142 | $143 | -$1 | -$1 |
| PIMCO TOTAL RETURN FUND FL D - 13.0000 SHS | P | 2011-10-21 | 2014-05-15 | $142 | $141 | $1 | $1 |
| PIMCO TOTAL RETURN FUND FL D - 50.0000 SHS | P | 2012-03-27 | 2014-05-15 | $546 | $553 | -$7 | -$7 |
| PIMCO TOTAL RETURN FUND FL D - 12.0000 SHS | P | 2012-03-27 | 2014-05-15 | $131 | $133 | -$2 | -$2 |
| PIMCO TOTAL RETURN FUND FL D - 11.0000 SHS | P | 2012-04-10 | 2014-05-15 | $120 | $121 | -$1 | -$1 |
| PIMCO TOTAL RETURN FUND FL D - 22.0000 SHS | P | 2012-08-31 | 2014-05-15 | $240 | $253 | -$13 | -$13 |
| PIMCO TOTAL RETURN FUND FL D - 30.0000 SHS | P | 2012-10-01 | 2014-05-15 | $328 | $347 | -$19 | -$19 |
| PIMCO TOTAL RETURN FUND FL D - 45.0000 SHS | P | 2012-11-30 | 2014-05-15 | $491 | $522 | -$31 | -$31 |
| PIMCO TOTAL RETURN FUND FL D - 163.0000 SHS | P | 2012-12-12 | 2014-05-15 | $1,780 | $1,848 | -$68 | -$68 |
| PIMCO TOTAL RETURN FUND FL D - 223.0000 SHS | P | 2012-12-12 | 2014-05-15 | $2,435 | $2,528 | -$93 | -$93 |
| PIMCO TOTAL RETURN FUND FL D - 112.0000 SHS | P | 2012-12-27 | 2014-05-15 | $1,223 | $1,256 | -$33 | -$33 |
| PIMCO TOTAL RETURN FUND FL D - 27.0000 SHS | P | 2012-12-31 | 2014-05-15 | $295 | $303 | -$8 | -$8 |
| PIMCO TOTAL RETURN FUND FL D - 17.0000 SHS | P | 2013-01-31 | 2014-05-15 | $186 | $190 | -$4 | -$4 |
| PIMCO TOTAL RETURN FUND FL D - 20.0000 SHS | P | 2013-02-28 | 2014-05-15 | $218 | $224 | -$6 | -$6 |
| PIMCO TOTAL RETURN FUND FL D - 26.0000 SHS | P | 2013-03-28 | 2014-05-15 | $284 | $292 | -$8 | -$8 |
| PIMCO TOTAL RETURN FUND FL D - 31.0000 SHS | P | 2013-04-30 | 2014-05-15 | $339 | $351 | -$12 | -$12 |
| PIMCO TOTAL RETURN FUND FL D - 7.0000 SHS | P | 2011-11-05 | 2014-06-03 | $76 | $77 | -$1 | -$1 |
| KOPERNIK GLOBAL ALL CAP FUND INSTL CLASS - 1.0000 SHS | P | 2013-11-14 | 2014-12-09 | $8 | $10 | -$2 | -$2 |
| KOPERNIK GLOBAL ALL CAP FUND INSTL CLASS - 94.0000 SHS | P | 2013-11-14 | 2014-12-09 | $764 | $926 | -$162 | -$162 |
| KOPERNIK GLOBAL ALL CAP FUND WASH SALE | P | 2013-11-14 | 2014-12-09 | $163 | $163 | $163 | |
| KOPERNIK GLOBAL ALL CAP FUND INSTL CLASS - 247.0000 SHS | P | 2013-11-14 | 2014-12-09 | $2,008 | $2,433 | -$425 | -$425 |
| KOPERNIK GLOBAL ALL CAP FUND INSTL CLASS - 895.0000 SHS | P | 2013-11-14 | 2014-12-10 | $7,169 | $8,816 | -$1,647 | -$1,647 |
| FPA CRESCENT FUND INSTL CL - 473.0000 SHS | P | 2013-08-23 | 2014-12-10 | $16,356 | $15,056 | $1,300 | $1,300 |
| IVY ASSET STRATEGY FUND CL 1 - 93.0000 SHS | P | 2011-09-22 | 2014-01-24 | $2,926 | $2,079 | $847 | $847 |
| IVY ASSET STRATEGY FUND CL 1 - 1711.0000 SHS | P | 2011-10-14 | 2014-01-24 | $53,828 | $40,397 | $13,431 | $13,431 |
| IVY ASSET STRATEGY FUND CL 1 - 37.0000 SHS | P | 2011-12-08 | 2014-01-24 | $1,164 | $848 | $316 | $316 |
| WELLS FARGO ADV ABSOLUTE RETURN FD INSTL CL - .0031 SHS | P | 2014-11-19 | 2014-12-12 | $0 | $0 | ||
| CAPITAL GAINS DIVIDENDS | P | $12,765 | $12,765 | $12,765 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $135,524 | CapitalGainNetIncomeAmt |
Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable Section4942 Tax | 0 | LiableSection4942TaxInd |
| Adjusted Qlfy Distri Yr1 | $490,397 | AdjustedQlfyDistriYr1Amt |
| Net Vl Noncharitable Assets Yr1 | $2,475,350 | NetVlNoncharitableAssetsYr1Amt |
| Distribution Yr1 | 0.198112 | DistributionYr1Rt |
| Adjusted Qlfy Distri Yr2 | $504,528 | AdjustedQlfyDistriYr2Amt |
| Net Vl Noncharitable Assets Yr2 | $2,387,304 | NetVlNoncharitableAssetsYr2Amt |
| Distribution Yr2 | 0.211338 | DistributionYr2Rt |
| Adjusted Qlfy Distri Yr3 | $591,069 | AdjustedQlfyDistriYr3Amt |
| Net Vl Noncharitable Assets Yr3 | $2,450,836 | NetVlNoncharitableAssetsYr3Amt |
| Distribution Yr3 | 0.241170 | DistributionYr3Rt |
| Adjusted Qlfy Distri Yr4 | $487,472 | AdjustedQlfyDistriYr4Amt |
| Net Vl Noncharitable Assets Yr4 | $1,945,427 | NetVlNoncharitableAssetsYr4Amt |
| Distribution Yr4 | 0.250573 | DistributionYr4Rt |
| Adjusted Qlfy Distri Yr5 | $375,658 | AdjustedQlfyDistriYr5Amt |
| Net Vl Noncharitable Assets Yr5 | $746,317 | NetVlNoncharitableAssetsYr5Amt |
| Distribution Yr5 | 0.503349 | DistributionYr5Rt |
| Total Distribution | 1.404542 | TotalDistributionRt |
| Average Distribution | 0.280908 | AverageDistributionRt |
| Net Vl Noncharitable Assets | $2,528,759 | NetVlNoncharitableAssetsAmt |
| Adj Net Vl Noncharitable Assets | $710,349 | AdjNetVlNoncharitableAssetsAmt |
| Net Investment Income Pct | $1,859 | NetInvestmentIncomePctAmt |
| Adj Nonchrtbl Net Invst Incm Pct | $712,208 | AdjNonchrtblNetInvstIncmPctAmt |
| Qualifying Distributions | $431,755 | QualifyingDistributionsAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | $3,718 | InvestmentIncomeExciseTaxAmt |
| Tax Under Section511 | $0 | TaxUnderSection511Amt |
| Subtotal | $3,718 | SubtotalAmt |
| Subtitle A Tax | $0 | SubtitleATaxAmt |
| Tax Based On Investment Income | $3,718 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $2,800 | EstimatedPlusOvpmtIncmTxAmt |
| Applied To Es Tax | $3,000 | AppliedToEsTaxAmt |
| Total Payments And Credits | $5,800 | TotalPaymentsAndCreditsAmt |
| Es Penalty | $13 | EsPenaltyAmt |
| Overpayment | $2,069 | OverpaymentAmt |
| Applied To ES Tax | $2,069 | AppliedToESTaxAmt |
| Refund | $0 | RefundAmt |
Statements Regarding Acty StatementsRegardingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Acty | 0 | LegislativePoliticalActyInd |
| More Than100 Spent | 0 | MoreThan100SpentInd |
| Form1120 POL Filed | 0 | Form1120POLFiledInd |
| Section4955 Organization Tax | $0 | Section4955OrganizationTaxAmt |
| Section4955 Managers Tax | $0 | Section4955ManagersTaxAmt |
| Tax Reimbursed | $0 | TaxReimbursedAmt |
| Activities Not Previously Rpt | 0 | ActivitiesNotPreviouslyRptInd |
| Changes To Articles Or Bylaws | 0 | ChangesToArticlesOrBylawsInd |
| Unrelated Bus Incm Over Limit | 0 | UnrelatedBusIncmOverLimitInd |
| Organization Dissolved Etc | 0 | OrganizationDissolvedEtcInd |
| Section508e Rqr Satisfied | Yes (1) | Section508eRqrSatisfiedInd |
| At Least5000 In Assets | Yes (1) | AtLeast5000InAssetsInd |
| Org Report Or Register State | DE | OrgReportOrRegisterStateCd |
| Form990 PF Filed With Atty Gen | Yes (1) | Form990PFFiledWithAttyGenInd |
| Private Operating Foundation | 0 | PrivateOperatingFoundationInd |
| New Substantial Contributors | Yes (1) | NewSubstantialContributorsInd |
| Own Controlled Entity | 0 | OwnControlledEntityInd |
| Donor Advised Fund | 0 | DonorAdvisedFundInd |
| Comply With Public Insp Rqr | Yes (1) | ComplyWithPublicInspRqrInd |
| Website Address | N/A | WebsiteAddressTxt |
Persons With Books Name PersonsWithBooksName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | DAVID PICKET CO GOTHAM ORGINC | BusinessNameLine1Txt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Phone | 2125990520 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1010 AVENUE OF THE AMERICAS | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10018 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Accounts Question | 0 | ForeignAccountsQuestionInd |
Statements Regarding Acty4720 StatementsRegardingActy4720Grp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exch Disqualified Prsn | 0 | SaleOrExchDisqualifiedPrsnInd |
| Brrw Or Lend Disqualified Prsn | 0 | BrrwOrLendDisqualifiedPrsnInd |
| Furn Goods Disqualified Prsn | 0 | FurnGoodsDisqualifiedPrsnInd |
| Pay Comp Disqualified Prsn | 0 | PayCompDisqualifiedPrsnInd |
| Transfer Ast Disqualified Prsn | 0 | TransferAstDisqualifiedPrsnInd |
| Payment To Government Official | 0 | PaymentToGovernmentOfficialInd |
| Uncorrected Prior Acts | 0 | UncorrectedPriorActsInd |
| Undistributed Income PY | 0 | UndistributedIncomePYInd |
| Business Holdings | 0 | BusinessHoldingsInd |
| Jeopardy Investments | 0 | JeopardyInvestmentsInd |
| Uncorrected PY Jeopardy Invst | 0 | UncorrectedPYJeopardyInvstInd |
| Influence Legislation | 0 | InfluenceLegislationInd |
| Influence Election | 0 | InfluenceElectionInd |
| Grants To Individuals | 0 | GrantsToIndividualsInd |
| Grants To Organizations | 0 | GrantsToOrganizationsInd |
| Noncharitable Purpose | 0 | NoncharitablePurposeInd |
| Rcv Fnds To Pay Prsnl Bnft Cntrct | 0 | RcvFndsToPayPrsnlBnftCntrctInd |
| Pay Premiums Prsnl Bnft Cntrct | 0 | PayPremiumsPrsnlBnftCntrctInd |
| Prohibited Tax Shelter Trans | 0 | ProhibitedTaxShelterTransInd |
Officer Dir Trst Key Empl Info OfficerDirTrstKeyEmplInfoGrp
Officer Dir Trst Key Empl OfficerDirTrstKeyEmplGrp (6 entries)
| Address Line1USAddress/AddressLine1Txt | Address Line2USAddress/AddressLine2Txt | CityUSAddress/CityNm | State AbbreviationUSAddress/StateAbbreviationCd | ZIPUSAddress/ZIPCd | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt | Employee Benefit ProgramEmployeeBenefitProgramAmt | Expense Account Other AllwncExpenseAccountOtherAllwncAmt |
|---|---|---|---|---|---|---|---|---|---|
| JOEL I PICKET | |||||||||
| C/O GOTHAM ORGANIZATION 1010 AVENUE | OF THE AMERICAS | NEW YORK | NY | 10018 | DIRECTOR & PRESIDENT | 0.00 | $0 | $0 | $0 |
| DAVID L PICKET | |||||||||
| C/O GOTHAM ORGANIZATION 1010 AVENUE | OF THE AMERICAS | NEW YORK | NY | 10018 | DIRECTOR & TRASURER | 0.00 | $0 | $0 | $0 |
| ALLISON D FEHRENBAKER | |||||||||
| C/O GOTHAM ORGANIZATION 1010 AVENUE | OF THE AMERICAS | NEW YORK | NY | 10018 | DIRECTOR & SECRETARY | 0.00 | $0 | $0 | $0 |
| JOAN R PICKET | |||||||||
| C/O GOTHAM ORGANIZATION 1010 AVENUE | OF THE AMERICAS | NEW YORK | NY | 10018 | DIRECTOR & VICE PRES. | 0.00 | $0 | $0 | $0 |
| RONA J PICKET | |||||||||
| C/O GOTHAM ORGANIZATION 1010 AVENUE | OF THE AMERICAS | NEW YORK | NY | 10018 | DIRECTOR | 0.00 | $0 | $0 | $0 |
| LAWRENCE G FEHRENBAKER | |||||||||
| C/O GOTHAM ORGANIZATION 1010 AVENUE | OF THE AMERICAS | NEW YORK | NY | 10018 | DIRECTOR | 0.00 | $0 | $0 | $0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Hghst Pd Empl Or NONE | NONE | CompOfHghstPdEmplOrNONETxt |
| Other Employee Paid Over50k | 0 | OtherEmployeePaidOver50kCnt |
| Comp Of Hghst Pd Cntrct Or NONE | NONE | CompOfHghstPdCntrctOrNONETxt |
| Contractor Paid Over50k | 0 | ContractorPaidOver50kCnt |
Sum Of Program Related Invst SumOfProgramRelatedInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total | $0 | TotalAmt |
Minimum Investment Return MinimumInvestmentReturnGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Average Monthly FMV Of Sec | $2,313,264 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $254,004 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $2,567,268 | TotalFMVOfUnusedAssetsAmt |
| Reduction Claimed | $0 | ReductionClaimedAmt |
| Acquisition Indebtedness | $0 | AcquisitionIndebtednessAmt |
| Adjusted Total FMV Of Unused Ast | $2,567,268 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $38,509 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $2,528,759 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $126,438 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $126,438 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $3,718 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $3,718 | TotalTaxAmt |
| Distributable Before Adj | $122,720 | DistributableBeforeAdjAmt |
| Recoveries Qualfied Distri | $0 | RecoveriesQualfiedDistriAmt |
| Distributable Before Ded | $122,720 | DistributableBeforeDedAmt |
| Deduction From Distributable | $0 | DeductionFromDistributableAmt |
| Distributable As Adjusted | $122,720 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $431,755 | ExpensesAndContributionsAmt |
| Program Related Invst Total | $0 | ProgramRelatedInvstTotalAmt |
| Qualifying Distributions | $431,755 | QualifyingDistributionsAmt |
| Pct Sect4940e Org Net Invst Incm | $0 | PctSect4940eOrgNetInvstIncmAmt |
| Adjusted Qualifying Distri | $431,755 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $122,720 | DistributableAsAdjustedAmt |
| Undistributed Income PY | $0 | UndistributedIncomePYAmt |
| Total For Prior Years | $0 | TotalForPriorYearsAmt |
| Excess Distribution Cyov Yr5 | $338,641 | ExcessDistributionCyovYr5Amt |
| Excess Distribution Cyov Yr4 | $390,875 | ExcessDistributionCyovYr4Amt |
| Excess Distribution Cyov Yr3 | $469,993 | ExcessDistributionCyovYr3Amt |
| Excess Distribution Cyov Yr2 | $387,433 | ExcessDistributionCyovYr2Amt |
| Excess Distribution Cyov Yr1 | $369,413 | ExcessDistributionCyovYr1Amt |
| Total Excess Distribution Cyov | $1,956,355 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $431,755 | QualifyingDistributionsAmt |
| Applied To Year1 | $0 | AppliedToYear1Amt |
| Applied To Prior Years | $0 | AppliedToPriorYearsAmt |
| Treated As Distri From Corpus | $0 | TreatedAsDistriFromCorpusAmt |
| Applied To Current Year | $122,720 | AppliedToCurrentYearAmt |
| Remaining Distri From Corpus | $309,035 | RemainingDistriFromCorpusAmt |
| Excess Distri Cyov App CY Corpus | $0 | ExcessDistriCyovAppCYCorpusAmt |
| Excess Distribution Cyov App CY | $0 | ExcessDistributionCyovAppCYAmt |
| Total Corpus | $2,265,390 | TotalCorpusAmt |
| Prior Year Undistributed Incm | $0 | PriorYearUndistributedIncmAmt |
| Prior Year Deficiency Or Tax | $0 | PriorYearDeficiencyOrTaxAmt |
| Taxable1 | $0 | Taxable1Amt |
| Taxable2 | $0 | Taxable2Amt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Corpus Distri170b1 E Or4942g3 | $0 | CorpusDistri170b1EOr4942g3Amt |
| Excess Distri Cyov From Yr5 | $338,641 | ExcessDistriCyovFromYr5Amt |
| Excess Distri Cyov To Next Yr | $1,926,749 | ExcessDistriCyovToNextYrAmt |
| Excess From Year4 | $390,875 | ExcessFromYear4Amt |
| Excess From Year3 | $469,993 | ExcessFromYear3Amt |
| Excess From Year2 | $387,433 | ExcessFromYear2Amt |
| Excess From Year1 | $369,413 | ExcessFromYear1Amt |
| Excess From Current Year | $309,035 | ExcessFromCurrentYearAmt |
Supplementary Information SupplementaryInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Only Contri To Preselected | Yes (X) | OnlyContriToPreselectedInd |
Grant Or Contribution Pd Dur Yr GrantOrContributionPdDurYrGrp (14 entries)
| Address Line1RecipientUSAddress/AddressLine1Txt | CityRecipientUSAddress/CityNm | State AbbreviationRecipientUSAddress/StateAbbreviationCd | ZIPRecipientUSAddress/ZIPCd | Recipient RelationshipRecipientRelationshipTxt | Recipient Foundation StatusRecipientFoundationStatusTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt |
|---|---|---|---|---|---|---|---|
| CORNELL UNIVERSITY | |||||||
| 130 E SENECA STREET SUITE 400 | ITHACA | NY | 14850 | NONE | PUBLIC CHARITY | UNRESTRICTED | $15,000 |
| FORDHAM UNIVERSITY | |||||||
| 441 EAST FORDHAM ROAD | BRONX | NY | 10458 | NONE | PUBLIC CHARITY | UNRESTRICTED | $73,000 |
| METROPOLITAN MUSEUM OF ART | |||||||
| 1000 5TH AVENUE | NEW YORK | NY | 10028 | NONE | PUBLIC CHARITY | UNRESTRICTED | $18,500 |
| MOUNT SINAI HOSPITAL | |||||||
| 1 GUSTAVE L LEVY PL | NEW YORK | NY | 10029 | NONE | PUBLIC CHARITY | UNRESTRICTED | $125,000 |
| NEW YORK PHILHARMONIC | |||||||
| 10 LINCOLN CENTER PLAZA | NEW YORK | NY | 10023 | NONE | PUBLIC CHARITY | UNRESTRICTED | $91,000 |
| PARK AVENUE ARMORY | |||||||
| 643 PARK AVENUE | NEW YORK | NY | 100656122 | NONE | PUBLIC CHARITY | UNRESTRICTED | $30,000 |
| UJA FEDERATION OF NEW YORK | |||||||
| 130 EAST 59TH STREET | NEW YORK | NY | 10022 | NONE | PUBLIC CHARITY | UNRESTRICTED | $57,000 |
| WILLIAM F RYAN COMMUNITY | |||||||
| 110 WEST 97TH STREET | NEW YORK | NY | 10025 | NONE | PUBLIC CHARITY | UNRESTRICTED | $2,000 |
| CASA COLUMBIA | |||||||
| 633 THIRD AVENUE | NEW YORK | NY | 10017 | NONE | PUBLIC CHARITY | UNRESTRICTED | $1,000 |
| FUND FOR THE AGED INC | |||||||
| 120 W 106TH ST | NEW YORK | NY | 10025 | NONE | PUBLIC CHARITY | UNRESTRICTED | $1,500 |
| HARLEM VILLAGE ACADEMIES | |||||||
| 35 WEST 124TH STREET | NEW YORK | NY | 10027 | NONE | PUBLIC CHARITY | UNRESTRICTED | $15,000 |
| HEBREW EDUCATIONAL SOCIETY | |||||||
| 9502 SEAVIEW AVE | BROOKLYN | NY | 11236 | NONE | PUBLIC CHARITY | UNRESTRICTED | $600 |
| ST ALOYSIUS SCHOOL | |||||||
| 223 W 132ND ST | NEW YORK | NY | 10027 | NONE | PUBLIC CHARITY | UNRESTRICTED | $1,000 |
| THE CHILDRENS HEARING INSTITUTE INC | |||||||
| 380 2ND AVE FL 9 | NEW YORK | NY | 10010 | NONE | PUBLIC CHARITY | UNRESTRICTED | $1,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $431,600 | TotalGrantOrContriPdDurYrAmt |
| Total Grant Or Contri Apprv Fut | $0 | TotalGrantOrContriApprvFutAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $583 | ExclusionAmt |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $62,373 | ExclusionAmt |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $135,524 | ExclusionAmt |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Unrelated Business Taxbl Incm | $0 | UnrelatedBusinessTaxblIncmAmt |
| Exclusion | $198,480 | ExclusionAmt |
| Related Or Exempt Function Incm | $0 | RelatedOrExemptFunctionIncmAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $198,480 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | 0 | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | 0 | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | 0 | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | 0 | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | 0 | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | 0 | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | 0 | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | 0 | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | 0 | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | 0 | RelationshipsNonchrtblEOInd |
Schedule B IRS990ScheduleB
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| General Rule | Yes (X) | GeneralRuleInd |
Contributor Information ContributorInformationGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Contributor | 1 | ContributorNum |
| Contributor Person | GOTHAM ORGANIZATION INC | ContributorPersonNm |
Contributor US Address ContributorUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1010 AVENUE OF THE AMERICAS | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NY | StateAbbreviationCd |
| ZIP | 10018 | ZIPCd |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Contributions | $500,000 | TotalContributionsAmt |
| Person Contribution | Yes (X) | PersonContributionInd |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Stock | BROOKFIELD ASSET MGMT INC CLA | StockNm |
| EOY Book Value | $38,732 | EOYBookValueAmt |
| EOYFMV | $49,027 | EOYFMVAmt |
Investments Other Schedule2 InvestmentsOtherSchedule2
Investments Other InvestmentsOtherGrp (18 entries)
| Category Or ItemCategoryOrItemTxt | Listed At Cost Or FMVListedAtCostOrFMVCd | Book ValueBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|---|
| BLACKSTONE ALT MULTI STRATEGY FUND CL | AT COST | $120,010 | $120,130 |
| DEUTSCHE X-TRACKERS MSCI | AT COST | $106,159 | $101,817 |
| DOUBLELINE CORE FIXED INCOME FUND | AT COST | $118,181 | $117,459 |
| DOUBLELINE TOTAL RETURN BOND FUND CL I | AT COST | $177,682 | $175,708 |
| FPA CRESCENT FUND | AT COST | $112,493 | $117,577 |
| GOTHAM ABSOLUTE RETURN FUND | AT COST | $115,750 | $116,834 |
| ISHARES CORE HIGH | AT COST | $104,384 | $105,625 |
| ISHARES S&P 100 | AT COST | $309,557 | $316,653 |
| KOPERNIK GLOBAL ALL CAP FUND INSTL CLASS | AT COST | $85,520 | $68,222 |
| LOOMIS SAYLES CORE PLUS | AT COST | $120,460 | $117,680 |
| SPDR S AND P INTL DVD | AT COST | $55,378 | $51,559 |
| TCW TOTAL RETURN BOND FD CL I | AT COST | $116,193 | $117,005 |
| VANGUARD DIVIDEND APPRECIATION ETF | AT COST | $92,126 | $106,320 |
| VANGUARD FTSE ALL WORLD EX US | AT COST | $160,955 | $155,763 |
| VANGUARD MSCI EMERGING MARKETS ETF | AT COST | $53,090 | $52,866 |
| WELLS FARGO ADV ABSOLUTE RETURN | AT COST | $1,318 | $1,177 |
| WISDOMTREE EUROPE HEDGED EQUITY | AT COST | $53,017 | $50,392 |
| WISDOMTREE TRUST JAPAN HEDGED EQUITY FD | AT COST | $94,581 | $103,334 |
Other Assets Schedule OtherAssetsSchedule
Other Assets Schedule OtherAssetsScheduleGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | DIVIDEND RECEIVABLE | Desc |
| BOY Book Value | $251 | BOYBookValueAmt |
| EOY Book Value | $796 | EOYBookValueAmt |
| EOYFMV | $796 | EOYFMVAmt |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (3 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Net Investment IncomeNetInvestmentIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|
| NYS FILING FEE | $250 | $125 | $125 |
| INVESTMENT FEES | $12,381 | $12,381 | $0 |
| MISCELLANEOUS | $60 | $30 | $30 |
Other Increases Schedule OtherIncreasesSchedule
Other Increases Detail OtherIncreasesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | NONDIVIDEND DISTRIBUTIONS | Desc |
| Amt | $360 | Amt |
Substantial Contributors Sch SubstantialContributorsSch
Substantial Contributor Detail SubstantialContributorDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | GOTHAM ORGANIZATION INC | PersonNm |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1010 AVENUE OF THE AMERICAS | AddressLine1Txt |
| City | NEW YORK | CityNm |
| State Abbreviation | NE | StateAbbreviationCd |
| ZIP | 10018 | ZIPCd |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (2 entries)
| CategoryCategoryTxt | AmtAmt | Net Investment IncomeNetInvestmentIncomeAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|---|
| FEDERAL EXCISE TAX | $3,314 | $0 | $0 |
| FOREIGN TAX | $909 | $0 | $0 |