2015-05-11T13:34:51-05:00 2014-12-31 911741928 VON HARTEN & COMPANY INC PS 2101 FOURTH AVE SUITE 2170 SEATTLE WA 98121 990PF 2014-01-01 956944277 JAMES B PENDLETON CHARITABLE TRUST C/O DAYLE E IVERSON JAME 4259437185 601 108TH AVE NE NO 1900 BELLEVUE WA 98004 DAYLE E IVERSON TRUSTEE & CEO 4259437185 2015-05-01 1 WILLIAM L MCQUEEN P00625423 2064439017 2014 2016-02-25 16:41:14Z X 28689839 X X 1232 1232 540530 540530 1075046 2906906 1075046 1616808 1616808 250000 140625 109375 7674 1919 5755 5254 4729 525 74850 67365 7485 243219 243219 0 39929 17098 8246 29404 14702 14702 19774 10060 9714 670104 499717 155802 1127620 1127620 1797724 499717 1283422 -180916 1117091 3599563 4481393 4481274 11915202 11048927 21809786 786210 595011 617463 1300932 1295016 1779043 1629 2273 2273 17603536 17422620 28689839 0 0 X 0 0 0 0 17603536 17422620 17603536 17422620 17603536 17422620 17603536 -180916 0 17422620 0 17422620 5,500 BUCKLE INC P 2010-08-09 2014-08-13 247154 149529 97625 97625 3,200 COACH INC P 2013-02-15 2014-06-20 110698 155108 -44410 -44410 7,000 ROCHE HLDG LTD SPONS ADR P 2009-11-12 2014-04-17 253111 139308 113803 113803 2,600 ROCHE HLDG LTD SPONS ADR P 2011-04-28 2014-04-17 94013 51814 42199 42199 2,800 TIFFANY & CO P 2012-06-20 2014-05-23 269806 151841 117965 117965 100,000 PRUDENTIAL FIN'L P 2009-06-25 2014-04-01 100000 95620 4380 4380 100,000 WELLPOINT INC P 2009-06-25 2014-09-11 106494 95580 10914 10914 239 AMC NETWORKS INC-A P 2002-02-22 2014-11-13 14600 2240 12360 12360 500 AMERICAN EXPRESS CO P 2008-01-31 2014-11-12 45724 24087 21637 21637 500 AMETECH INC P 2002-02-22 2014-11-13 25133 2349 22784 22784 200 ASCENT MEDIA CORP-A P 2009-01-21 2014-11-19 10702 5059 5643 5643 75 ASCENT MEDIA CORP-A P 2009-01-26 2014-11-19 4013 1885 2128 2128 1,000 BAXTER INTERNATIONAL INC P 2010-07-08 2014-11-19 72398 43015 29383 29383 300 BEAM INC P 2011-01-10 2014-05-01 25050 14345 10705 10705 500 BEAM INC P 2011-01-11 2014-05-01 41750 24176 17574 17574 500 BEAM INC P 2011-02-14 2014-05-01 41750 23490 18260 18260 700 BEAM INC P 2011-03-14 2014-05-01 58450 32668 25782 25782 1,000 BEAM INC P 2011-08-15 2014-05-01 83500 41868 41632 41632 500 BECTON DICKINSON & CO P 2011-01-28 2014-11-12 64588 41481 23107 23107 1,500 BOEING CO P 2011-01-13 2014-02-19 64483 34956 29527 29527 1,000 COCA-COLA CO P 2008-05-15 2014-11-12 42716 28526 14190 14190 1,000 CORNING INC P 2002-02-22 2014-11-12 20685 6910 13775 13775 1,000 CRANE CO P 2007-01-24 2014-11-12 61425 37174 24251 24251 600 DIEBOLD INC P 2010-07-08 2014-11-12 21429 16395 5034 5034 1,000 DIRECTV P 2009-11-20 2014-11-12 87307 26195 61112 61112 600 DR PEPPER SNAPPER GROUP P 2009-06-09 2014-11-12 42064 12840 29224 29224 600 ENERGIZER HLDS INC P 2002-03-04 2014-11-19 74435 12907 61528 61528 3,000 FREEPORT MCMORAN COPPER 7 GOLD INC P 2012-08-31 2014-12-17 65534 107457 -41923 -41923 1,000 FREEPORT MCMORAN COPPER 7 GOLD INC P 2013-06-17 2014-12-17 21845 29830 -7985 -7985 500 FREEPORT MCMORAN COPPER 7 GOLD INC P 2013-08-02 2014-12-17 10922 14555 -3633 -3633 500 FREEPORT MCMORAN COPPER 7 GOLD INC P 2013-08-05 2014-12-17 10922 14555 -3633 -3633 2,000 HILLSHIRE BRANDS CO P 2010-10-18 2014-07-30 126000 45283 80717 80717 600 HILLSHIRE BRANDS CO P 2011-01-10 2014-07-30 37800 16680 21120 21120 400 HILLSHIRE BRANDS CO P 2012-11-16 2014-07-30 25200 10670 14530 14530 300 INGREDION INC P 2002-02-22 2014-11-12 23980 4581 19399 19399 500 JOHNSON & JOHNSON P 2007-09-26 2014-11-19 54121 32739 21382 21382 500 KINNEVIK INVESTMENT AB-B P 2014-06-12 2014-11-19 15863 20290 -4427 -4427 0.425 LIBERTY VENTURES SER A P 2003-10-02 2014-11-24 15 8 7 7 3,000 SANOFI-AVENTIS SA CVR P 2011-02-17 2014-12-01 2470 6690 -4220 -4220 41.6 TIME INC P 2002-07-26 2014-06-20 963 308 655 655 41.6 TIME INC P 2002-09-03 2014-06-20 963 351 612 612 41.6 TIME INC P 2003-10-02 2014-06-20 963 445 518 518 83.3 TIME INC P 2003-11-04 2014-06-20 1923 903 1020 1020 41.6 TIME INC P 2006-05-10 2014-06-20 960 495 465 465 125 TIME INC P 2009-03-23 2014-06-20 2885 706 2179 2179 250 TIME INC P 2009-06-19 2014-06-20 5770 1956 3814 3814 2,000 TRW AUTOMOTIVE HLDGS CORP P 2014-09-22 2014-12-15 204734 205085 -351 -351 500 AMC NETWORKS INC-A P 2002-02-22 2014-11-12 30864 10826 20038 20038 261.5 AMC NETWORKS INC-A P 2002-02-22 2014-11-13 16008 5658 10350 10350 1,000 FLOWSERVE CORP P 2002-07-23 2014-02-19 81424 4908 76516 76516 500 FLOWSERVE CORP P 2002-07-23 2014-04-29 36053 2454 33599 33599 330 AT&T INC P 2004-12-13 2014-11-12 11669 8468 3201 3201 274 AT&T INC P 2005-01-31 2014-11-12 9688 6533 3155 3155 EL PASO CORPORATION CL ACTION PROCEEDS P 2014-01-03 584 584 584 EL PASO CORPORATION CL ACTION PROCEEDS P 2014-01-23 602 602 602 2011 EURO DIVIDEND TAX RECLAIM P 2014-01-27 1009 -1009 -1009 TREDEGAR CORP REDEMPTION OF RIGHTS P 2014-03-11 15 15 15 5,166 UNITS OF EURO P 2014-07-01 7066 7051 15 15 DYNEGY INC CL ACTION PROCEEDS P 2014-07-02 31 31 31 CAPITAL GAINS DIVIDENDS P 15591 15591 15591 1075046 0 1140603 25917668 0.044009 1110427 23054331 0.048166 1072091 22837128 0.046945 969776 21538894 0.045024 1235098 19178305 0.064401 0.248545 0.049709 27532020 1368589 11171 1379760 1283422 22342 0 22342 0 22342 21050 21050 X 1292 0 0 0 0 0 0 0 0 0 0 1 1 CA 1 0 0 0 0 1 N/A VON HARTEN COMPANY INC PS 2064439017 2101 FOURTH AVENUE STE 2170 SEATTLE WA 98121 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 DAVID E ELLISON 601 108TH AVENUE NE SUITE 1900 BELLEVUE WA 98004 SENIOR TRUSTEE 11.00 31250 0 0 DAVID E ELLISON 601 108TH AVENUE NE SUITE 1900 BELLEVUE WA 98004 INVESTMENT DIRECTOR 29.00 93750 0 0 DAYLE E IVERSON 601 108TH AVENUE NE SUITE 1900 BELLEVUE WA 98004 TRUSTEE & CEO 40.00 125000 7674 0 NONE 0 NONE 0 0 24518928 3432361 0 27951289 0 0 27951289 419269 27532020 1376601 1376601 22342 22342 1354259 0 1354259 0 1354259 1283422 0 1283422 0 1283422 1354259 1100790 0 0 1283422 1100790 0 0 182632 0 0 0 0 0 0 0 0 1171627 0 0 0 DAYLE E IVERSON 601 108TH AVENUE NE SUITE 1900 BELLEVUE WA 98004 4259437185 LETTER DISCUSSING PROGRAMS QUALIFYING UNDER INTERNAL REVENUE CODE SECTION 501(C)(3) FOR AIDS RESEARCH, CONTROL OR TREATMENT. NONE NONE CASE WESTERN RESERVE UNIVERSITY 10900 EUCLID AVENUE CLEVELAND OH 44106 NONE PUBLIC CHARITY RESEARCH 66792 EMORY UNIVERSITY 201 DOWMAN DRIVE ATLANTA GA 30322 NONE PUBLIC CHARITY RESARCH 250000 FRED HUTCHINSON CANCER RESEARCH CENTER 1100 FAIRVIEW AVE N SEATTLE WA 981091024 NONE PUBLIC CHARITY RESEARCH 80000 NORTHWESTERN UNIVERSITY FEINBERG SCHOOL OF MEDICINEINFECTIOUS DISEASE 645 N MICHIGAN AVENUE SUITE 900 CHICAGO IL 60611 NONE PUBLIC CHARITY RESEARCH 169650 SANFORD BURNHAM MEDICAL RESEARCH INSTITUTE 10901 NORTH TORREY PINES ROAD LA JOLLA CA 92037 NONE PUBLIC CHARITY RESEARCH 194352 UC SAN DIEGO AIDS RESEARCH INSTITUTE 9500 GILMAN DRIVE 0716 LA JOLLA CA 920930716 NONE PUBLIC CHARITY RESEARCH 198154 UCLA AIDS INSTITUTE 615 CHARLES E YOUNG DR EAST LOS ANGELES CA 90095 NONE PUBLIC CHARITY RESEARCH 104672 UNIVERSITY OF SOUTHERN CALIFORNIA KECK SCHOOL OF MEDICINE 1975 ZONAL AVENUE LOS ANGELES CA 90033 NONE PUBLIC CHARITY RESEARCH 64000 1127620 0 14 1232 14 540530 18 1075046 0 1616808 0 1616808 0 0 0 0 0 0 0 0 0 0 VON HARTEN & COMPANY, INC PS 66800 60120 6680 LOVERIDGE HUNT & CO, PLLC 8050 7245 805 GENERAL ELECTRIC CAP CP, 5.0%, 8/15/17 100000 107658 GENERAL ELECTRIC CAP CP, 4.3%, 10/15/15 100000 102036 PROCTER & GAMBLE, 3.5%, 2/15/15 99435 100354 PRUDENTIAL FINL, 4.75%, 4/1/14 0 0 WELLS FARGO BANK, 5.6%, 3/15/16 96704 99152 WELLPOINT INC, 5.25%, 1/15/16 0 0 GENERAL ELECTRIC CAP CP, 4.55%, 3/15/18 100000 106239 MORGAN STANLEY NOTES, 3.45% DUE 11/02/15 98872 102024 AMETEK INC NEW 21140 236835 CTS CORP 23777 71320 CORNING INC 27336 91720 ENERGIZER HLDGS INC 30116 179984 FLOWSERVE CORPORATION 16691 269235 HONEYWELL INTL INC 117130 399680 WATTS WATER TECHNOLOGIES INC 47271 190320 ARCHER DANIELS MIDLAND CO 42019 156000 CHURCH & DWIGHT INC 40977 315240 FLOWERS FOOD INC 28556 172710 CABLEVISION SYS CORP CL A 73124 206400 SCRIPPS (EW) CO OHIO CLASS A 51741 112905 AMERICAN EXPRESS CO 125837 418680 EL PASO ELEC CO 71926 200300 TELEPHONE & DATA SYSTEMS INC 226479 176750 WESTAR ENERGY INC 51251 164960 VIVENDI UNIVERSAL 58396 129336 SOUTHWEST GAS CORP 113690 309050 TIME WARNER INC 120369 427100 UNITED STATES CELLULAR CORP 89180 119490 CAVCO INDUSTRIES INC 49752 198175 CHEMED CORP NEW 35827 211340 DEERE & CO 31575 88470 GENERAL MILLS INC 119991 266650 LIBERTY GLOBAL PLC (SER A) 4647 26358 LIBERTY GLOBAL PLC (SER C) 12974 76088 VIACOM INC CL A 131845 302000 AT&T INC COM 83754 134360 INTERNATIONAL FLAVORS & FRAGRANCES 47588 101360 ITT CORPORATION 18513 40460 LIBERTY MEDIA HOLDING CORP 35235 73550 NAVISTAR INTL CORP 72901 100440 PFIZER INC 103514 184096 TREDEGAR INDS INC 25140 33735 VERIZON COMMUNICATIONS 175242 280680 CAMPBELL SOUP CO 118257 176000 CRANE CO 64689 117400 GATX CORP 138358 230160 JOHNSON & JOHNSON 130956 209140 WASTE MANAGEMENT INC 113763 153960 3M COMPANY 139291 345072 BANK OF NEW YORK/MELLON CO 92946 121710 CHEVRON CORP 108766 168270 DU PONT E I DE NEMOUR & CO 130259 295760 EXXON MOBIL CORP 86464 110940 GENERAL ELECTRIC CO 172154 219849 INT'L BUSINESS MACHINES 114389 176484 MASCO CORP 84953 110880 PFIZER INCORPORATED 110033 177555 PROCTER & GAMBLE 119612 191289 UNILEVER PLC ADR NEW 110361 161920 UNITED PARCEL SERVICE CL B 128888 244574 UNITED TECHOLOGIES CORP 109126 230000 WAL-MART STORES INC 98059 171760 ASCENT MEDIA CORP - A 19937 42344 COCA-COLA CO 142628 211100 DIEBOLD INC 36979 48496 DISCOVERY COMMUNICATIONS - A 5262 25837 DISCOVERY COMMUNICATIONS - C 14539 75870 DISH NETWORK CORP - A 139060 583120 DR PEPPER SNAPPLE GROUP 65835 243712 ECHOSTAR HOLDING CORP - A 20851 42000 GRAFTECH INTL LTD 5947 5060 NCR CORP 64762 145700 PRECISION CASTPARTS CORP 123713 337232 ZEP INC 44402 45450 AT&T INC COM 133507 164591 BANK OF NEW YORK MELLON CORP 190670 283990 BOSTON SCIENTIFIC CORP 38891 79500 DANONE SPNS ADR 64212 78102 JP MORGAN CHASE & CO 109272 187740 KAMAN CORP 29480 80180 LEGG MASON INC 126264 266850 NATIONAL FUEL GAS CO 176427 278120 RPC INC 16483 58680 MICROSOFT CORP 95452 218315 NOVARTIS AG SPONS ADR 136974 291879 ROCHE HLDG LTD SPONS ADR 0 0 TOTAL SA ADR 147224 122880 WASTE MANAGEMENT INC 137138 236072 BAXTER INTERNATIONAL INC 148846 219870 BUCKLE INC 0 0 ILLINOIS TOOL WORKS INC 178370 388270 BAXTER INTERNATIONAL, INC 42533 73290 BIGLARI HOLDINGS, INC 102479 143824 CURTISS WRIGHT CORP 58447 141180 GRIFFON CORP 46289 53200 JANUS CAP 140162 241950 MADISON SQUARE GAR INC-A 22950 188150 MILLICOM INTL CELLULAR 148551 134784 NORTHERN TR CORP 160099 269600 STATE STREET CORP 186024 314000 AMC NETWORKS INC-A 10813 95655 BEAM INC 0 0 BECTON DICKINSON & CO 82961 139160 THE BOEING COMPANY 69912 129980 BRINKS CO 132255 122050 BROWN FORMAN CORP CL A 20365 39492 CINCINNATI BELL INC 72468 79750 FIRSTENERGY CORP 15468 77980 FORTUNE BRANDS HOME & SECURITY INC 40259 135810 INTERNAP NETWORK SERVICES CORP 146513 159200 SANOFI AVENTIS SA CVR 0 0 XYLEM INC 137821 190350 HEWLETT PACKARD COMPANY 223406 226734 JPMORGAN CHASE & CO 146169 278481 PEPSICO INCORPORATED 151744 222216 TRAVELERS COMPANIES INC 144614 264625 DIRECTV 92834 433500 FREEPORT MCMORAN COPPER & GOLD INC 0 0 HILLSHIRE BRANDS CO 0 0 KINDER MORGAN INC DEL 3821 13632 MONDELEZ INTERNATIONAL 96331 181625 LIBERTY VENTURES 10097 26065 PATTERSON COS INC 170964 240500 SNYDERS-LANCE INC 4608 6110 PEP BOYS MANNY MOE & JACK 26671 29460 RYMAN HOSPITALITY INC 68168 149201 INGREDION INC 18324 101808 WELLS FARGO & COMPANY 166196 274100 WEATHERFORD INTERNATIONAL LTD 59458 57250 ST JUDE MEDICAL INC 208201 357665 TIFFANY & CO 0 0 LIBERTY MEDIA CORP (LMCA) 1836 23843 NEWS CORP 17181 39225 TWENTY-FIRST CENTURY FOX, INC 127445 384050 CISCO SYSTEMS INC 168824 208613 COACH INC 0 0 PRUDENTIAL FINANCIAL INC 155685 244242 LIBERTY TRIP ADVISOR HLDG A 3685 9038 LIBERTY BROADBAND-A 638 8465 LIBERTY BROADBAND-C 1216 16839 LIBERTY MEDIA CORP (LMCK) 3638 47361 CHEMTURA CORP 23613 24730 DRESSER-RAND GROUP INC 163976 163600 INTERPUBLIC GROUP COS INC 39448 41540 KINNEVIK INVESTMENT A-B 40580 32940 LIBERTY BROADBAND (LBRKR) 0 969 GLAXOSMITHKLINE PLC ADR 163234 132494 HEALTH CARE REIT INC AT COST 125521 287546 HOSPITALITY PPTYS TRUST SH BEN INT AT COST 131650 120900 LIBERTY PROPERTY TRUST REIT AT COST 149946 173098 MACK CALI REALTY CORP REIT AT COST 121098 70522 HOME PROPERTIES INC REIT AT COST 123979 196800 HCP INC REIT AT COST 159916 272986 DUKE REALTY CORP REIT AT COST 149967 189880 DIGITAL REALTY TRUST INC AT COST 145154 179010 PROLOGIS INC NEW AT COST 187785 288301 GREENBERG GLUSKER 5254 4729 525 DIVIDENDS RECEIVABLE CONSTRUCTIVELY RECEIVED 1136 1966 1966 LTCG DISTRIBUTION RECEIVABLE CONSTRUCTIVELY RECEIVED 493 307 307 TELEPHONE EXPENSE 4616 2308 2308 PAYROLL PROCESSING EXPENSE 1088 544 544 MEMBERSHIP DUES 4524 2262 2262 OFFICE SUPPLIES 257 128 129 BANK CHARGES 146 73 73 MISCELLANEOUS: ADR FEES 348 348 0 POSTAGE 172 86 86 PARKING 6373 3186 3187 D&O INSURANCE 2250 1125 1125 GARLAND CAPITAL MANAGEMENT 56356 56356 0 GABELLI ASSET MANAGEMENT COMPANY 162694 162694 0 MELLON PRIVATE ASSET MANAGEMENT 24169 24169 0 PAYROLL TAXES - TRUSTEE & CEO 9066 2266 6800 PAYROLL TAXES - SENIOR TRUSTEE 2267 1133 1134 PAYROLL TAXES - INVESTMENT DIRECTOR 6800 6800 0 CALIFORNIA FILING FEES 85 0 0 PAYROLL TAXES - L&I 624 312 312 FEDERAL EXCISE TAX 14500 0 0 FOREIGN TAXES PAID 6587 6587 0