JAMES AND AUNE NELSON FOUNDATION: Form 990PF, tax year 2013
View the entire original 990 at ProPublica ↗
- Organization
- JAMES AND AUNE NELSON FOUNDATION (EIN 37-1371840)
- Tax period
- 2013-01-01 to 2013-12-31
- Filed
- 2014-05-15
- IRS object ID
- 201431359349100023
- Schema version
- 2013v3.1
- Source
- Download XML · Original 990 at ProPublica
Every field in the e-filed return. Faint text is the IRS element name, for citing.
- Return header
- Form 990-PF
- Accounting Fees Schedule
- Compensation Explanation
- Gain Loss Sale Other Assets Sch
- Investments Corp Bonds Schedule
- Investments Corp Stock Schedule
- Investments Govt Obligations Sch
- Legal Fees Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return | 2014-05-15T08:45:23-05:00 | ReturnTs |
| Tax Period End | 2013-12-31 | TaxPeriodEndDt |
Preparer Firm PreparerFirmGrp
Preparer Firm Name PreparerFirmName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CJ SCHLOSSER & COMPANY LLC | BusinessNameLine1 |
Preparer US Address PreparerUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 233 E CENTER DR | AddressLine1 |
| City | ALTON | City |
| State | IL | State |
| ZIP Code | 620025931 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnTypeCd |
| Tax Period Begin | 2013-01-01 | TaxPeriodBeginDt |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 371371840 | EIN |
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | JAMES AND AUNE NELSON FOUNDATION | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Control | JAME | BusinessNameControlTxt |
| Phone | 6184630700 | PhoneNum |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | PO BOX 5146 | AddressLine1 |
| City | GODFREY | City |
| State | IL | State |
| ZIP Code | 62035 | ZIPCode |
Business Officer BusinessOfficerGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Person | ROBERT MCCLELLAN | PersonNm |
| Person Title | TREASURER | PersonTitleTxt |
| Phone | 6184630700 | PhoneNum |
| Signature | 2014-05-13 | SignatureDt |
Preparer Person PreparerPersonGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Preparer Person | DAVID M BARTOSIAK | PreparerPersonNm |
| PTIN | P00383784 | PTIN |
| Phone | 6184657717 | PhoneNum |
| Preparation | 2014-05-13 | PreparationDt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax | 2013 | TaxYr |
| Build TS | 2015-12-30 17:16:21Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Organization501c3 Exempt PF | Yes (X) | Organization501c3ExemptPFInd |
| FMV Assets EOY | $20,826,211 | FMVAssetsEOYAmt |
| Method Of Accounting Cash | Yes (X) | MethodOfAccountingCashInd |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Schedule B Not Required | Yes (X) | ScheduleBNotRequiredInd |
| Interest On Sav Rev And Expnss | $19 | InterestOnSavRevAndExpnssAmt |
| Interest On Sav Net Invst Incm | $19 | InterestOnSavNetInvstIncmAmt |
| Interest On Savings Adj Net Incm | $19 | InterestOnSavingsAdjNetIncmAmt |
| Dividends Rev And Expnss | $385,344 | DividendsRevAndExpnssAmt |
| Dividends Net Invst Incm | $385,344 | DividendsNetInvstIncmAmt |
| Dividends Adj Net Incm | $385,344 | DividendsAdjNetIncmAmt |
| Net Gain Sale Ast Rev And Expnss | $271,919 | NetGainSaleAstRevAndExpnssAmt |
| Gross Sales Price | $16,408,973 | GrossSalesPriceAmt |
| Cap Gain Net Incm Net Invst Incm | $271,919 | CapGainNetIncmNetInvstIncmAmt |
| Other Income Rev And Expnss | $600 | OtherIncomeRevAndExpnssAmt |
| Other Income Net Invst Incm | $600 | OtherIncomeNetInvstIncmAmt |
| Other Income Adj Net Incm | $600 | OtherIncomeAdjNetIncmAmt |
| Total Rev And Expnss | $657,882 | TotalRevAndExpnssAmt |
| Total Net Invst Incm | $657,882 | TotalNetInvstIncmAmt |
| Total Adj Net Incm | $385,963 | TotalAdjNetIncmAmt |
| Oth Empl Slrs Wgs Rev And Expnss | $5,945 | OthEmplSlrsWgsRevAndExpnssAmt |
| Oth Empl Slrs Wgs Dsbrs Chrtbl | $5,945 | OthEmplSlrsWgsDsbrsChrtblAmt |
| Pension Empl Bnft Rev And Expnss | $455 | PensionEmplBnftRevAndExpnssAmt |
| Pension Empl Bnft Dsbrs Chrtbl | $455 | PensionEmplBnftDsbrsChrtblAmt |
| Legal Fees Rev And Expnss | $252 | LegalFeesRevAndExpnssAmt |
| Legal Fees Dsbrs Chrtbl | $252 | LegalFeesDsbrsChrtblAmt |
| Accounting Fees Rev And Expnss | $4,528 | AccountingFeesRevAndExpnssAmt |
| Accounting Fees Net Invst Incm | $3,660 | AccountingFeesNetInvstIncmAmt |
| Accounting Fees Adj Net Incm | $3,660 | AccountingFeesAdjNetIncmAmt |
| Accounting Fees Chrtbl Prps | $868 | AccountingFeesChrtblPrpsAmt |
| Other Prof Fees Rev And Expnss | $160,331 | OtherProfFeesRevAndExpnssAmt |
| Other Prof Fees Net Invst Incm | $160,331 | OtherProfFeesNetInvstIncmAmt |
| Other Prof Fees Adj Net Incm | $160,331 | OtherProfFeesAdjNetIncmAmt |
| Taxes Rev And Expnss | $29,580 | TaxesRevAndExpnssAmt |
| Taxes Net Invst Incm | $20,094 | TaxesNetInvstIncmAmt |
| Taxes Adj Net Incm | $20,094 | TaxesAdjNetIncmAmt |
| Taxes Dsbrs Chrtbl | $10 | TaxesDsbrsChrtblAmt |
| Trav Conf Meeting Rev And Expnss | $1,377 | TravConfMeetingRevAndExpnssAmt |
| Trav Conf Meeting Dsbrs Chrtbl | $1,377 | TravConfMeetingDsbrsChrtblAmt |
| Printing And Pub Rev And Expnss | $45 | PrintingAndPubRevAndExpnssAmt |
| Printing And Pub Dsbrs Chrtbl | $45 | PrintingAndPubDsbrsChrtblAmt |
| Other Expenses Rev And Expnss | $4,774 | OtherExpensesRevAndExpnssAmt |
| Other Expenses Dsbrs Chrtbl | $4,728 | OtherExpensesDsbrsChrtblAmt |
| Tot Opr Expenses Rev And Expnss | $207,287 | TotOprExpensesRevAndExpnssAmt |
| Tot Opr Expenses Net Invst Incm | $184,085 | TotOprExpensesNetInvstIncmAmt |
| Tot Opr Expenses Adj Net Incm | $184,085 | TotOprExpensesAdjNetIncmAmt |
| Tot Opr Expenses Dsbrs Chrtbl | $13,680 | TotOprExpensesDsbrsChrtblAmt |
| Contri Paid Rev And Expnss | $680,820 | ContriPaidRevAndExpnssAmt |
| Contri Paid Dsbrs Chrtbl | $680,820 | ContriPaidDsbrsChrtblAmt |
| Total Expenses Rev And Expnss | $888,107 | TotalExpensesRevAndExpnssAmt |
| Total Expenses Net Invst Incm | $184,085 | TotalExpensesNetInvstIncmAmt |
| Total Expenses Adj Net Incm | $184,085 | TotalExpensesAdjNetIncmAmt |
| Total Expenses Dsbrs Chrtbl | $694,500 | TotalExpensesDsbrsChrtblAmt |
| Excess Revenue Over Expenses | -$230,225 | ExcessRevenueOverExpensesAmt |
| Net Investment Income | $473,797 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $201,878 | AdjustedNetIncomeAmt |
Form990 PF Balance Sheets Form990PFBalanceSheetsGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sav And Temp Cash Invst BOY | $554,269 | SavAndTempCashInvstBOYAmt |
| Sav And Temp Cash Invst EOY | $433,029 | SavAndTempCashInvstEOYAmt |
| Sav And Temp Cash Invst EOYFMV | $433,029 | SavAndTempCashInvstEOYFMVAmt |
| Prepaid Expenses BOY | $1,400 | PrepaidExpensesBOYAmt |
| Prepaid Expenses EOY | $2,971 | PrepaidExpensesEOYAmt |
| Prepaid Expenses EOYFMV | $2,971 | PrepaidExpensesEOYFMVAmt |
| US Government Obligations BOY | $3,924,957 | USGovernmentObligationsBOYAmt |
| US Government Obligations EOY | $4,277,275 | USGovernmentObligationsEOYAmt |
| US Govt Obligations EOYFMV | $4,204,538 | USGovtObligationsEOYFMVAmt |
| Corporate Stock BOY | $8,657,121 | CorporateStockBOYAmt |
| Corporate Stock EOY | $9,926,116 | CorporateStockEOYAmt |
| Corporate Stock EOYFMV | $13,054,538 | CorporateStockEOYFMVAmt |
| Corporate Bonds BOY | $4,898,058 | CorporateBondsBOYAmt |
| Corporate Bonds EOY | $3,162,765 | CorporateBondsEOYAmt |
| Corporate Bonds EOYFMV | $3,131,135 | CorporateBondsEOYFMVAmt |
| Total Assets BOY | $18,035,805 | TotalAssetsBOYAmt |
| Total Assets EOY | $17,802,156 | TotalAssetsEOYAmt |
| Total Assets EOYFMV | $20,826,211 | TotalAssetsEOYFMVAmt |
| Accounts Payable BOY | $3,727 | AccountsPayableBOYAmt |
| Accounts Payable EOY | $303 | AccountsPayableEOYAmt |
| Total Liabilities BOY | $3,727 | TotalLiabilitiesBOYAmt |
| Total Liabilities EOY | $303 | TotalLiabilitiesEOYAmt |
| Org Does Not Follow SFAS117 | Yes (X) | OrgDoesNotFollowSFAS117Ind |
| Retained Earning BOY | $18,032,078 | RetainedEarningBOYAmt |
| Retained Earning EOY | $17,801,853 | RetainedEarningEOYAmt |
| Tot Net Ast Or Fund Balances BOY | $18,032,078 | TotNetAstOrFundBalancesBOYAmt |
| Tot Net Ast Or Fund Balances EOY | $17,801,853 | TotNetAstOrFundBalancesEOYAmt |
| Total Liabilities Net Ast BOY | $18,035,805 | TotalLiabilitiesNetAstBOYAmt |
| Total Liabilities Net Ast EOY | $17,802,156 | TotalLiabilitiesNetAstEOYAmt |
Chg In Net Assets Fund Balances ChgInNetAssetsFundBalancesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Net Ast Or Fund Balances BOY | $18,032,078 | TotNetAstOrFundBalancesBOYAmt |
| Excess Revenue Over Expenses | -$230,225 | ExcessRevenueOverExpensesAmt |
| Subtotal | $17,801,853 | SubtotalAmt |
| Tot Net Ast Or Fund Balances EOY | $17,801,853 | TotNetAstOrFundBalancesEOYAmt |
Cap Gains Loss Tx Invst Incm Detail CapGainsLossTxInvstIncmDetail
Cap Gains Loss Tx Invst Incm CapGainsLossTxInvstIncmGrp (546 entries)
| PropertyPropertyDesc | How AcquiredHowAcquiredCd | AcquiredAcquiredDt | SoldSoldDt | Gross Sales PriceGrossSalesPriceAmt | Cost Or Other BasisCostOrOtherBasisAmt | Gain Or LossGainOrLossAmt | Gains Minus Excess Or LossesGainsMinusExcessOrLossesAmt |
|---|---|---|---|---|---|---|---|
| 0-FNCL 3.5 TBA 01/14 01-01-44(FMF350 | P | 2012-12-03 | 2013-01-07 | $106,172 | $106,562 | -$390 | -$390 |
| 164790.7852-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-01-25 | $1,640 | $1,730 | -$90 | -$90 |
| 30000-CITIZENS PPTY INS CORP FL12A1 | P | 2012-06-13 | 2013-02-20 | $35,471 | $32,933 | $2,538 | $2,538 |
| 1000-CHINA SHENHUA ENERGY(1088.HK) | P | 2012-09-10 | 2013-03-25 | $3,710 | $3,760 | -$50 | -$50 |
| 10000-COMCAST CORP SR UNSEC3.125% 07 | P | 2012-06-26 | 2013-04-11 | $10,420 | $9,991 | $429 | $429 |
| 0-FNCL 3.5 TBA 05/14 05-01-44(FMF391 | P | 2013-04-01 | 2013-05-06 | $106,172 | $105,344 | $828 | $828 |
| 0-G2SF 3.5 TBA 06/13 06-20-43(FMG277 | P | 2013-06-04 | 2013-06-04 | $130,732 | $130,732 | ||
| 17590.35-US TREASURY I/L FRN 2.0%01- | P | 2013-06-06 | 2013-06-19 | $20,585 | $21,413 | -$828 | -$828 |
| 0-FNCI 2.5 TBA 07/13 07-01-28(FMF520 | P | 2013-06-13 | 2013-07-10 | $123,652 | $127,090 | -$3,438 | -$3,438 |
| 0-FNCL 3.5 TBA 09/13 09-01-43(FMF462 | P | 2013-08-07 | 2013-08-15 | $124,424 | $125,625 | -$1,201 | -$1,201 |
| 31000-FNCL 4.5 TBA 09/13 09-01-43(FM | P | 2013-08-15 | 2013-09-06 | $32,535 | $32,727 | -$192 | -$192 |
| 30000-MORGAN STANLEY SR UNSEC2.125% | P | 2013-04-22 | 2013-10-16 | $29,435 | $29,979 | -$544 | -$544 |
| 46886.8622-CSMC 06-C4 A3 5.467% 09-1 | P | 2013-04-02 | 2013-11-18 | $49 | $56 | -$7 | -$7 |
| 46827.5092-CSMC 06-C4 A3 5.467% 09-1 | P | 2013-04-02 | 2013-12-17 | $59 | $67 | -$8 | -$8 |
| 375-ENCANA CORP C (ECA.CN) | P | 2011-06-17 | 2013-01-14 | $7,306 | $11,532 | -$4,226 | -$4,226 |
| 100-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-01-23 | $403 | $706 | -$303 | -$303 |
| 500-DIAGEO PLC (DGE.LN) | P | 2011-06-17 | 2013-02-11 | $14,803 | $10,164 | $4,639 | $4,639 |
| 71-FUGRO NV (FUR.NA) | P | 2011-08-12 | 2013-02-22 | $3,341 | $3,950 | -$609 | -$609 |
| 140-LVMH MOET HENNESSYLOUIS VUITTON | P | 2013-03-14 | $24,747 | $20,899 | $3,848 | $3,848 | |
| 1000-PREMIER FARNELL PLC(PFL.LN) | P | 2011-06-20 | 2013-04-03 | $3,320 | $4,027 | -$707 | -$707 |
| 221-NOVARTIS AG NAMEN(NOVN1) | P | 2012-01-19 | 2013-04-05 | $15,453 | $12,792 | $2,661 | $2,661 |
| 800-PREMIER FARNELL PLC(PFL.LN) | P | 2013-04-11 | $2,604 | $3,218 | -$614 | -$614 | |
| 4000-HITACHI (6501.JP) | P | 2012-03-30 | 2013-05-01 | $25,114 | $25,867 | -$753 | -$753 |
| 100-NATIONAL INSTRUMENTSCORP (NATI) | P | 2012-02-22 | 2013-05-14 | $2,849 | $2,705 | $144 | $144 |
| 36-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-05-30 | $3,938 | $3,211 | $727 | $727 |
| 100-BG GROUP PLC (BG1) | P | 2011-06-17 | 2013-06-18 | $1,840 | $2,153 | -$313 | -$313 |
| 400-OI SA ON ADR (OIBR C) | P | 2011-06-17 | 2013-07-01 | $702 | $3,839 | -$3,137 | -$3,137 |
| 30-GILEAD SCIENCES INC (GILD) | P | 2012-02-16 | 2013-07-05 | $1,572 | $825 | $747 | $747 |
| 0-US TREASURY I/L FRN 1.875%07/15/13 | P | 2011-08-18 | 2013-07-15 | $69,689 | $73,342 | -$3,653 | -$3,653 |
| 64561.3515-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-07-25 | $2,137 | $2,327 | -$190 | -$190 |
| 30000-ECOLAB INC SR UNSEC2.375% 12/0 | P | 2011-12-05 | 2013-08-14 | $30,613 | $29,982 | $631 | $631 |
| 3000-HONG KONG/CHINA GAS(0003) | P | 2011-06-17 | 2013-09-05 | $7,105 | $5,564 | $1,541 | $1,541 |
| 35000-TIME WARNER CABLE 3.5%02/01/15 | P | 2011-06-28 | 2013-09-25 | $36,073 | $36,691 | -$618 | -$618 |
| 175-EMERSON ELECTRIC CO(EMR) | P | 2011-06-17 | 2013-10-22 | $11,616 | $9,154 | $2,462 | $2,462 |
| 200-BRISTOL-MYERS SQUIBB CO(BMY) | P | 2012-01-10 | 2013-11-20 | $10,348 | $6,926 | $3,422 | $3,422 |
| 15000-BNP PARIBAS FR UNSEC3.31315% 1 | P | 2012-02-23 | 2013-12-05 | $15,403 | $14,982 | $421 | $421 |
| 100-CENOVUS ENERGY INC US(CVE) | P | 2011-06-17 | 2013-12-17 | $2,776 | $3,393 | -$617 | -$617 |
| 50000-FNCI 2.5 TBA 01/14 01-01-29(FM | P | 2012-12-10 | 2013-01-08 | $52,209 | $52,203 | $6 | $6 |
| 900-PENGROWTH ENERGY CORPC (PGF.CN) | P | 2012-12-20 | 2013-01-25 | $4,175 | $4,596 | -$421 | -$421 |
| 50000-FNCI 2.5 TBA 03/13 03-01-28(FM | P | 2013-02-06 | 2013-02-20 | $51,715 | $51,766 | -$51 | -$51 |
| 218939.7893-FNCI 2.5 AB7084 85K MAX | P | 2013-03-25 | $1,400 | $817 | $583 | $583 | |
| 5000-FHLMC 1.75% 05/30/19(FDF823) | P | 2012-04-12 | 2013-04-11 | $5,165 | $4,999 | $166 | $166 |
| 5000-CITIGROUP INC SR UNSEC1.75% 05- | P | 2013-04-24 | 2013-05-08 | $5,004 | $4,996 | $8 | $8 |
| 30000-BANK OF AMERICA CORP SRUNSEC 2 | P | 2013-01-09 | 2013-06-05 | $29,573 | $29,989 | -$416 | -$416 |
| 0-FNCL 3.5 TBA 07/14 07-01-44(FMF456 | P | 2013-06-21 | 2013-06-21 | $110,584 | $110,584 | ||
| 46-SCHNEIDER ELECTRIC SA(SCHN1) | P | 2013-06-10 | 2013-07-15 | $3,317 | $3,668 | -$351 | -$351 |
| 30000-GENERAL ELEC CORP SRUNSEC 2.7% | P | 2012-10-01 | 2013-08-15 | $28,100 | $29,929 | -$1,829 | -$1,829 |
| 0-FNCL 4.5 TBA 09/13 09-01-43(FMF316 | P | 2013-08-15 | 2013-09-10 | $25,273 | $25,337 | -$64 | -$64 |
| 10000-PETROBRAS SR UNSEC 3.0%01-15-1 | P | 2013-05-13 | 2013-10-16 | $9,495 | $9,935 | -$440 | -$440 |
| 25252.7937-LBUBS 07-C2 A1A 5.387% 02 | P | 2013-10-25 | 2013-11-18 | $9 | $10 | -$1 | -$1 |
| 25242.4611-LBUBS 07-C2 A1A 5.387% 02 | P | 2013-10-25 | 2013-12-17 | $10 | $12 | -$2 | -$2 |
| 500-ENCANA CORP C (ECA.CN) | P | 2011-06-17 | 2013-01-15 | $9,657 | $15,375 | -$5,718 | -$5,718 |
| 900-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-01-24 | $3,577 | $6,354 | -$2,777 | -$2,777 |
| 400-GENPACT LTD (G) | P | 2013-02-11 | $6,683 | $6,326 | $357 | $357 | |
| 71018.0217-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-02-25 | $3,600 | $3,921 | -$321 | -$321 |
| 100-AFLAC INC (AFL) | P | 2011-11-22 | 2013-03-15 | $5,098 | $4,099 | $999 | $999 |
| 558-NEWCREST MINING NPV(NCM) | P | 2011-06-17 | 2013-04-04 | $10,802 | $21,761 | -$10,959 | -$10,959 |
| 600-ORACLE CORP (ORCL) | P | 2011-06-17 | 2013-04-05 | $19,074 | $18,952 | $122 | $122 |
| 0.35-FIRST QUANTUM MINERALSLTD C (F | P | 2012-02-03 | 2013-04-12 | $7 | $7 | ||
| 125-INTERNATIONAL BUSINESSMACHINES C | P | 1997-12-17 | 2013-05-01 | $25,185 | $6,480 | $18,705 | $18,705 |
| 200-NATIONAL INSTRUMENTSCORP (NATI) | P | 2012-02-22 | 2013-05-15 | $5,704 | $5,410 | $294 | $294 |
| 1-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-05-31 | $111 | $89 | $22 | $22 |
| 10000-US TREASURY NOTE 2.625%02/29/1 | P | 2011-08-10 | 2013-06-18 | $10,593 | $10,819 | -$226 | -$226 |
| 300-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-07-01 | $487 | $2,118 | -$1,631 | -$1,631 |
| 1500-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-07-05 | $2,305 | $10,590 | -$8,285 | -$8,285 |
| 16-SCHNEIDER ELECTRIC SA(SCHN1) | P | 2011-06-17 | 2013-07-16 | $1,157 | $1,251 | -$94 | -$94 |
| 100-ICICI BANK LTD SPON ADR(IBN) | P | 2011-06-17 | 2013-07-25 | $3,498 | $4,600 | -$1,102 | -$1,102 |
| 300-CARNIVAL CORP COMMONPAIRED STOCK | P | 2012-01-20 | 2013-08-19 | $10,794 | $9,428 | $1,366 | $1,366 |
| 3000-HONG KONG/CHINA GAS(0003) | P | 2011-06-17 | 2013-09-11 | $6,979 | $5,564 | $1,415 | $1,415 |
| 25000-DISNEY WALT CO SR UNSEC4.5% 12 | P | 2011-06-28 | 2013-10-01 | $25,204 | $27,122 | -$1,918 | -$1,918 |
| 100-KLA-TENCOR CORP (KLAC) | P | 2011-08-23 | 2013-10-22 | $6,479 | $3,532 | $2,947 | $2,947 |
| 900-DIAGEO PLC (DGE.LN) | P | 2013-11-20 | $29,112 | $24,014 | $5,098 | $5,098 | |
| 100-CENOVUS ENERGY INC C(CVE.CN) | P | 2011-06-17 | 2013-12-11 | $2,872 | $3,403 | -$531 | -$531 |
| 10000-AETNA INC SR UNSEC 2.75%11-15- | P | 2012-11-02 | 2013-12-18 | $9,299 | $9,831 | -$532 | -$532 |
| 0-FNCL 3.0 TBA 01/13 01-01-43(FMF507 | P | 2012-12-04 | 2013-01-08 | $125,283 | $126,037 | -$754 | -$754 |
| 700-PENGROWTH ENERGY CORPC (PGF.CN) | P | 2012-12-20 | 2013-01-28 | $3,218 | $3,574 | -$356 | -$356 |
| 220340.2725-FNCI 2.5 AB7084 85K MAX | P | 2012-11-15 | 2013-02-25 | $1,413 | $1,483 | -$70 | -$70 |
| 161539.6406-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-03-25 | $904 | $953 | -$49 | -$49 |
| 10000-AIG GROUP SR UNSEC 4.875%06-01 | P | 2012-05-21 | 2013-04-15 | $11,474 | $9,916 | $1,558 | $1,558 |
| 20000-CITIGROUP INC SR UNSEC1.75% 05 | P | 2013-04-24 | 2013-05-08 | $20,010 | $19,986 | $24 | $24 |
| 120000-FNCI 2.5 TBA 06/13 06-01-28(F | P | 2013-06-06 | $122,630 | $125,161 | -$2,531 | -$2,531 | |
| 0-FNCL 3.5 TBA 07/14 07-01-44(FMF456 | P | 2013-06-21 | 2013-06-21 | $100,500 | $100,500 | ||
| 60-SCHNEIDER ELECTRIC SA(SCHN1) | P | 2013-06-10 | 2013-07-16 | $4,341 | $4,784 | -$443 | -$443 |
| 47757.9964-CSMC 06-C4 A3 5.467% 09-1 | P | 2013-04-02 | 2013-08-16 | $50 | $56 | -$6 | -$6 |
| 0-FNCI 2.5 TBA 09/13 09-01-28(FMF462 | P | 2013-09-11 | 2013-09-11 | $122,876 | $122,695 | $181 | $181 |
| 54-SAP AG (SAPG1) | P | 2013-05-21 | 2013-10-17 | $3,964 | $4,315 | -$351 | -$351 |
| 1000-DBS GROUP HOLDINGS LTD(DBS.SP) | P | 2013-11-20 | $13,662 | $13,807 | -$145 | -$145 | |
| 0-FNCL 3.5 TBA 01/14 01-01-44(FMF350 | P | 2013-12-19 | 2013-12-19 | $147,883 | $148,069 | -$186 | -$186 |
| 48-SONOVA HOLDING AG(SOON.VX) | P | 2011-06-17 | 2013-01-15 | $5,488 | $4,766 | $722 | $722 |
| 400-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-01-24 | $1,583 | $2,824 | -$1,241 | -$1,241 |
| 400-GENPACT LTD (G) | P | 2013-02-11 | $6,697 | $6,276 | $421 | $421 | |
| 125-FUGRO NV (FUR.NA) | P | 2013-02-25 | $6,071 | $6,954 | -$883 | -$883 | |
| 800-PREMIER FARNELL PLC(PFL.LN) | P | 2011-06-17 | 2013-03-15 | $2,661 | $3,222 | -$561 | -$561 |
| 4200-AIA GROUP LTD (1299.HK) | P | 2011-06-17 | 2013-04-05 | $18,256 | $13,912 | $4,344 | $4,344 |
| 600-PROGRESSIVE CORP OHIO(PGR) | P | 2011-06-17 | 2013-04-05 | $15,048 | $12,069 | $2,979 | $2,979 |
| 200-PREMIER FARNELL PLC(PFL.LN) | P | 2011-06-20 | 2013-04-17 | $626 | $791 | -$165 | -$165 |
| 100-SEATTLE GENETICS INC(SGEN) | P | 2011-07-06 | 2013-05-01 | $3,567 | $2,068 | $1,499 | $1,499 |
| 709-HENNES & MAURITZ AB(HMB.SS) | P | 2011-06-17 | 2013-05-16 | $24,927 | $23,679 | $1,248 | $1,248 |
| 3-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-05-31 | $333 | $268 | $65 | $65 |
| 53-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-06-21 | $5,947 | $4,728 | $1,219 | $1,219 |
| 250-ECOLAB INC (ECL) | P | 2011-06-17 | 2013-07-02 | $21,555 | $13,632 | $7,923 | $7,923 |
| 500-ICICI BANK LTD SPON ADR(IBN) | P | 2011-06-17 | 2013-07-08 | $18,323 | $22,998 | -$4,675 | -$4,675 |
| 340000-US TREASURY NOTE 2.625%02/29/ | P | 2013-07-16 | $358,860 | $362,751 | -$3,891 | -$3,891 | |
| 200-ICICI BANK LTD SPON ADR(IBN) | P | 2011-06-17 | 2013-07-25 | $6,993 | $9,199 | -$2,206 | -$2,206 |
| 225-CARNIVAL CORP COMMONPAIRED STOCK | P | 2013-08-20 | $8,115 | $6,942 | $1,173 | $1,173 | |
| 3000-HONG KONG/CHINA GAS(0003) | P | 2011-06-17 | 2013-09-12 | $6,993 | $5,564 | $1,429 | $1,429 |
| 25000-ANADARKO PETROLEUMCORP SR UNSE | P | 2011-06-28 | 2013-10-16 | $29,166 | $28,693 | $473 | $473 |
| 1300-CAE INC C (CAE.CN) | P | 2013-10-23 | $14,167 | $17,189 | -$3,022 | -$3,022 | |
| 15-GOOGLE INC CL A (GOOGL) | P | 2011-06-17 | 2013-11-20 | $15,448 | $7,487 | $7,961 | $7,961 |
| 100-CENOVUS ENERGY INC C(CVE.CN) | P | 2011-06-17 | 2013-12-11 | $2,897 | $3,403 | -$506 | -$506 |
| 170000-FNCL 3.5 AB5665 HLTV 07-01-42 | P | 2013-12-19 | $148,542 | $158,590 | -$10,048 | -$10,048 | |
| 30000-BANK OF AMERICA CORP3.875% 03- | P | 2012-04-09 | 2013-01-09 | $32,553 | $29,743 | $2,810 | $2,810 |
| 0-G2SF 3.0 TBA 02/13 02-20-43(FMG291 | P | 2013-01-16 | 2013-01-31 | $46,921 | $47,440 | -$519 | -$519 |
| 162443.4235-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-02-25 | $2,347 | $2,475 | -$128 | -$128 |
| 2000-CHINA SHENHUA ENERGY(1088.HK) | P | 2013-03-27 | $7,369 | $7,497 | -$128 | -$128 | |
| 15000-US TREASURY NOTE 2.625%02/29/1 | P | 2012-06-01 | 2013-04-17 | $15,988 | $16,189 | -$201 | -$201 |
| 25000-US TREASURY NOTE 2.625%02/29/1 | P | 2012-06-01 | 2013-05-10 | $26,601 | $26,983 | -$382 | -$382 |
| 123905.5863-FNCN 2.5 MA1431 05-01-23 | P | 2013-06-06 | $126,950 | $129,965 | -$3,015 | -$3,015 | |
| 65000-US TREASURY NOTE 1.0% 05-31-18 | P | 2013-06-20 | 2013-06-24 | $63,344 | $64,089 | -$745 | -$745 |
| 47808.2261-CSMC 06-C4 A3 5.467% 09-1 | P | 2013-04-02 | 2013-07-17 | $254 | $285 | -$31 | -$31 |
| 25000-CARDINAL HEALTH INC SRUNSEC 3. | P | 2013-08-26 | $23,017 | $25,055 | -$2,038 | -$2,038 | |
| 0-FNCI 2.5 TBA 09/13 09-01-28(FMF462 | P | 2013-08-08 | 2013-09-11 | $122,695 | $124,795 | -$2,100 | -$2,100 |
| 46936.3319-CSMC 06-C4 A3 5.467% 09-1 | P | 2013-04-02 | 2013-10-18 | $754 | $847 | -$93 | -$93 |
| 40000-US TREASURY BOND 1.75%05-15-23 | P | 2013-08-26 | 2013-11-21 | $36,550 | $36,416 | $134 | $134 |
| 5000-APACHE CORP SR UNSEC 2.625% | P | 2013-08-21 | 2013-12-20 | $4,507 | $4,474 | $33 | $33 |
| 44-SONOVA HOLDING AG(SOON.VX) | P | 2011-06-17 | 2013-01-15 | $5,027 | $4,369 | $658 | $658 |
| 74617.5483-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-01-25 | $96 | $104 | -$8 | -$8 |
| 400-JACK HENRY & ASSOC INC(JKHY) | P | 2011-06-17 | 2013-02-11 | $17,402 | $11,608 | $5,794 | $5,794 |
| 81-FUGRO NV (FUR.NA) | P | 2013-02-26 | $3,845 | $4,506 | -$661 | -$661 | |
| 100-AFLAC INC (AFL) | P | 2011-11-22 | 2013-03-18 | $5,045 | $4,099 | $946 | $946 |
| 198-BAYER AG (BAYN.GR) | P | 2011-06-17 | 2013-04-05 | $20,468 | $16,147 | $4,321 | $4,321 |
| 52-SAMSUNG ELEC GDS N/V PF(0593Q1) | P | 2011-06-17 | 2013-04-05 | $20,384 | $14,040 | $6,344 | $6,344 |
| 20000-US TREASURY BOND 4.0%02/15/201 | P | 2011-10-14 | 2013-04-18 | $21,367 | $22,225 | -$858 | -$858 |
| 200-SYSMEX CORP (6869.JP) | P | 2011-06-17 | 2013-05-01 | $12,645 | $7,395 | $5,250 | $5,250 |
| 215-HENNES & MAURITZ AB(HMB.SS) | P | 2011-06-17 | 2013-05-16 | $7,513 | $7,181 | $332 | $332 |
| 5-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-05-31 | $558 | $446 | $112 | $112 |
| 66697.8795-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-06-25 | $90 | $98 | -$8 | -$8 |
| 300-GILEAD SCIENCES INC (GILD) | P | 2012-02-16 | 2013-07-02 | $15,606 | $8,247 | $7,359 | $7,359 |
| 188-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-07-08 | $293 | $1,327 | -$1,034 | -$1,034 |
| 47-SCHNEIDER ELECTRIC SA(SCHN1) | P | 2011-06-17 | 2013-07-17 | $3,402 | $3,675 | -$273 | -$273 |
| 100-DRIL-QUIP INC (DRQ) | P | 2011-09-06 | 2013-07-26 | $9,150 | $6,095 | $3,055 | $3,055 |
| 200-CARNIVAL CORP COMMONPAIRED STOCK | P | 2012-01-20 | 2013-08-20 | $7,212 | $6,286 | $926 | $926 |
| 220-HONG KONG/CHINA GAS(0003) | P | 2011-06-17 | 2013-09-13 | $520 | $408 | $112 | $112 |
| 700-REPUBLIC SERVICES INC(RSG) | P | 2011-06-17 | 2013-10-16 | $23,140 | $21,324 | $1,816 | $1,816 |
| 700-CAE INC C (CAE.CN) | P | 2013-10-23 | $7,708 | $9,141 | -$1,433 | -$1,433 | |
| 200-HOME DEPOT INC (HD) | P | 2011-09-20 | 2013-11-20 | $16,104 | $6,991 | $9,113 | $9,113 |
| 15000-MODELEZ INTL INC UNSEC 5.375% | P | 2012-09-04 | 2013-12-11 | $16,763 | $18,027 | -$1,264 | -$1,264 |
| 298812.0498-FNCL 3.5 AB5665 HLTV 07- | P | 2013-12-25 | $983 | $983 | $983 | ||
| 0-FNCI 2.5 TBA 01/14 01-01-29(FMF508 | P | 2013-01-10 | $78,226 | $78,258 | -$32 | -$32 | |
| 35000-PNC FINL SVCS SR UNSECVAR 11-0 | P | 2013-01-31 | $34,465 | $35,643 | -$1,178 | -$1,178 | |
| 97929.01-FNCI 2.5 AB7084 85K MAX 11- | P | 2012-11-15 | 2013-02-28 | $101,305 | $102,825 | -$1,520 | -$1,520 |
| 1000-CHINA SHENHUA ENERGY(1088.HK) | P | 2013-03-28 | $3,617 | $3,619 | -$2 | -$2 | |
| 0-FNCL 4.0 TBA 05/13 05-01-43(FMF389 | P | 2013-04-18 | 2013-04-18 | $106,953 | $106,953 | ||
| 0-FNCI 3.5 TBA 05/13 05/01/28(FMF452 | P | 2013-04-08 | 2013-05-13 | $132,527 | $132,617 | -$90 | -$90 |
| 25303.25-US TREASURY I/L FRN 0.125%0 | P | 2012-12-05 | 2013-06-06 | $26,065 | $27,907 | -$1,842 | -$1,842 |
| 118010.535-FNCI 2.5 AB7084 85K MAX 1 | P | 2012-11-15 | 2013-06-25 | $884 | $928 | -$44 | -$44 |
| 124199.51-G2SF 3.5 MA1012 05-20-43(F | P | 2013-06-03 | 2013-07-22 | $475 | $475 | $475 | |
| 115941.41-FNCI 2.5 AB7084 85K MAX 11 | P | 2012-11-15 | 2013-08-26 | $1,280 | $1,344 | -$64 | -$64 |
| 15000-AT&T CORP SR UNSEC 0.9%02-12-1 | P | 2013-02-07 | 2013-09-16 | $14,891 | $14,990 | -$99 | -$99 |
| 0-FNCL 4.0 TBA 11/13 11-01-43(FMF323 | P | 2013-10-21 | 2013-10-21 | $105,023 | $105,023 | ||
| 1959.77-FNCI 2.5 AB7084 85K MAX 11-0 | P | 2012-11-15 | 2013-11-25 | $1,960 | $2,058 | -$98 | -$98 |
| 0-FNCL 3.5 TBA 01/14 01-01-44(FMF350 | P | 2013-12-23 | 2013-12-23 | $148,709 | $148,709 | ||
| 125000-US TREASURY NOTE 1.375%01/15/ | P | 2011-06-17 | 2013-01-15 | $125,000 | $127,066 | -$2,066 | -$2,066 |
| 200-PENGROWTH ENERGY CORPC (PGF.CN) | P | 2012-01-23 | 2013-01-28 | $919 | $2,125 | -$1,206 | -$1,206 |
| 100-JACK HENRY & ASSOC INC(JKHY) | P | 2011-06-17 | 2013-02-11 | $4,350 | $2,902 | $1,448 | $1,448 |
| 79-FUGRO NV (FUR.NA) | P | 2013-02-26 | $3,720 | $4,104 | -$384 | -$384 | |
| 200-AFLAC INC (AFL) | P | 2013-03-18 | $10,071 | $8,049 | $2,022 | $2,022 | |
| 200-CERNER CORP (CERN) | P | 2011-06-17 | 2013-04-05 | $18,278 | $11,784 | $6,494 | $6,494 |
| 212-SCHNEIDER ELECTRIC SA(SCHN1) | P | 2011-06-17 | 2013-04-05 | $15,408 | $16,576 | -$1,168 | -$1,168 |
| 35000-MURRAY ST INV TRUST I (H)03/09 | P | 2013-04-22 | $38,430 | $35,359 | $3,071 | $3,071 | |
| 1000-HITACHI (6501.JP) | P | 2012-03-30 | 2013-05-02 | $6,152 | $6,467 | -$315 | -$315 |
| 100-NATIONAL INSTRUMENTSCORP (NATI) | P | 2012-02-22 | 2013-05-17 | $2,870 | $2,705 | $165 | $165 |
| 100-ALLERGAN INC (AGN) | P | 2011-06-17 | 2013-06-03 | $9,838 | $8,107 | $1,731 | $1,731 |
| 100-AGILENT TECHNOLOGIES INC(A) | P | 2012-02-07 | 2013-06-26 | $4,261 | $4,467 | -$206 | -$206 |
| 100-ICICI BANK LTD SPON ADR(IBN) | P | 2011-06-17 | 2013-07-02 | $3,905 | $4,600 | -$695 | -$695 |
| 100-DRIL-QUIP INC (DRQ) | P | 2011-09-07 | 2013-07-10 | $9,561 | $6,406 | $3,155 | $3,155 |
| 60-LINDE AG (LIN.GR) | P | 2011-06-17 | 2013-07-18 | $11,414 | $9,876 | $1,538 | $1,538 |
| 200-ICICI BANK LTD SPON ADR(IBN) | P | 2013-07-26 | $6,867 | $7,553 | -$686 | -$686 | |
| 25000-CONSUMERS ENERGY CO5.65% 09/15 | P | 2011-06-28 | 2013-08-21 | $29,419 | $28,428 | $991 | $991 |
| 100-ROYAL DUTCH SHELL CL AADR (RDS A | P | 2011-06-17 | 2013-09-13 | $6,545 | $6,839 | -$294 | -$294 |
| 2341-HSBC HOLDINGS PLC UKP(HSBA.LN) | P | 2011-06-17 | 2013-10-17 | $25,615 | $23,034 | $2,581 | $2,581 |
| 800-CAE INC C (CAE.CN) | P | 2013-10-24 | $8,800 | $10,563 | -$1,763 | -$1,763 | |
| 1058-HSBC HOLDINGS PLC UKP(HSBA.LN) | P | 2011-06-17 | 2013-11-20 | $11,810 | $10,410 | $1,400 | $1,400 |
| 30000-NEWS AMERICA SR UNSEC5.3% 12/1 | P | 2011-06-28 | 2013-12-11 | $31,398 | $33,467 | -$2,069 | -$2,069 |
| 110614.79-FNCI 2.5 AB7084 85K MAX 11 | P | 2012-11-15 | 2013-12-26 | $803 | $843 | -$40 | -$40 |
| 200-ENCANA CORP C (ECA.CN) | P | 2012-02-03 | 2013-01-11 | $3,973 | $3,969 | $4 | $4 |
| 0-FNCL 3.5 TBA 02/13 02-01-43(FMF361 | P | 2013-01-07 | 2013-02-04 | $56,014 | $56,163 | -$149 | -$149 |
| 0-FNCL 3.5 TBA 03/13 03-01-43(FMF370 | P | 2013-02-28 | $105,738 | $105,438 | $300 | $300 | |
| 0-FNCL 3.5 TBA 04/13 04-01-43(FMF450 | P | 2013-02-28 | 2013-04-01 | $105,598 | $105,500 | $98 | $98 |
| 0-FNCL 4.0 TBA 05/13 05-01-43(FMF389 | P | 2013-04-18 | 2013-04-18 | $133,691 | $133,691 | ||
| 40000-US TREASURY NOTE 2.625%02/29/1 | P | 2012-06-01 | 2013-05-14 | $42,537 | $43,172 | -$635 | -$635 |
| 120000-FNCI 2.5 TBA 06/13 06-01-28(F | P | 2013-06-07 | $122,194 | $122,506 | -$312 | -$312 | |
| 156426.9433-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-06-25 | $3,077 | $3,245 | -$168 | -$168 |
| 0.777-DBS GROUP HOLDINGS LTD(DBS.SP) | P | 2013-06-27 | 2013-07-23 | $10 | $11 | -$1 | -$1 |
| 20000-TOTAL CAPITAL INTL SRUNSEC 2.7 | P | 2012-09-18 | 2013-08-26 | $18,359 | $19,957 | -$1,598 | -$1,598 |
| 47690.684-CSMC 06-C4 A3 5.467% 09-15 | P | 2013-04-02 | 2013-09-17 | $67 | $76 | -$9 | -$9 |
| 0.851-MEGGITT PLC (MGGT.LN) | P | 2013-07-11 | 2013-10-22 | $7 | $7 | ||
| 124195.6657-FNMA POOL AU6677 2.50%0 | P | 2013-09-11 | 2013-11-25 | $804 | $789 | $15 | $15 |
| 0-FNCL 4.5 TBA 01/14 01-01-44(FMF246 | P | 2013-12-23 | 2013-12-23 | $164,397 | $164,397 | ||
| 300-ENCANA CORP C (ECA.CN) | P | 2013-01-16 | $5,804 | $9,225 | -$3,421 | -$3,421 | |
| 1500-PENGROWTH ENERGY CORPC (PGF.CN | P | 2013-01-29 | $6,597 | $15,811 | -$9,214 | -$9,214 | |
| 75-STANLEY BLACK & DECKERINC (SWK) | P | 2011-06-17 | 2013-02-11 | $5,703 | $5,155 | $548 | $548 |
| 144-FUGRO NV (FUR.NA) | P | 2013-02-27 | $6,751 | $7,378 | -$627 | -$627 | |
| 800-BARRICK GOLD CORP C(ABX.CN) | P | 2013-03-18 | $23,215 | $37,909 | -$14,694 | -$14,694 | |
| 100-COMCAST CORP CL A (NEW)(CMCSA) | P | 2000-11-15 | 2013-04-05 | $4,141 | $1,922 | $2,219 | $2,219 |
| 1200-SCHWAB CHARLES NEW(SCHW) | P | 2011-06-17 | 2013-04-05 | $19,668 | $19,279 | $389 | $389 |
| 44-ANDRITZ AG (ANDR.AV) | P | 2013-04-24 | $2,802 | $2,011 | $791 | $791 | |
| 100-SEATTLE GENETICS INC(SGEN) | P | 2011-07-06 | 2013-05-02 | $3,637 | $2,068 | $1,569 | $1,569 |
| 100-NOBLE ENERGY INC (NBL) | P | 2011-06-17 | 2013-05-20 | $12,252 | $8,410 | $3,842 | $3,842 |
| 15000-PROLOGIS 7.625% 8/15/2014(FCP6 | P | 2011-08-17 | 2013-06-03 | $16,254 | $16,857 | -$603 | -$603 |
| 200-AGILENT TECHNOLOGIES INC(A) | P | 2012-02-07 | 2013-06-27 | $8,557 | $8,934 | -$377 | -$377 |
| 100-MONSANTO CO NEW COM(MON) | P | 2011-06-17 | 2013-07-02 | $9,808 | $6,644 | $3,164 | $3,164 |
| 100-INTERNATIONAL BUSINESSMACHINES C | D | 1997-12-17 | 2013-07-10 | $19,224 | $5,184 | $14,040 | $14,040 |
| 17-SWISSCOM AG REG(SCMN.VX) | P | 2011-06-17 | 2013-07-18 | $7,519 | $7,738 | -$219 | -$219 |
| 100-ICICI BANK LTD SPON ADR(IBN) | P | 2012-01-19 | 2013-07-29 | $3,437 | $3,289 | $148 | $148 |
| 15000-ENTERPRISE PRODUCTS SRUNSEC 6. | P | 2012-04-25 | 2013-08-21 | $17,274 | $17,969 | -$695 | -$695 |
| 100-ROYAL DUTCH SHELL CL AADR (RDS A | P | 2011-06-17 | 2013-09-16 | $6,523 | $6,839 | -$316 | -$316 |
| 704-HSBC HOLDINGS PLC UKP(HSBA.LN) | P | 2011-06-17 | 2013-10-17 | $7,680 | $6,927 | $753 | $753 |
| 151346.7313-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-10-25 | $696 | $734 | -$38 | -$38 |
| 200-JPMORGAN CHASE & CO(JPM) | P | 1997-12-17 | 2013-11-20 | $11,278 | $6,556 | $4,722 | $4,722 |
| 200-CENOVUS ENERGY INC C(CVE.CN) | P | 2011-06-17 | 2013-12-12 | $5,632 | $6,805 | -$1,173 | -$1,173 |
| 62183.6865-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-12-26 | $86 | $94 | -$8 | -$8 |
| 0-FNCI 3.5 TBA 01/14 01-01-29(FMF345 | P | 2012-12-13 | 2013-01-11 | $132,568 | $132,617 | -$49 | -$49 |
| 0-FNCL 3.5 TBA 02/13 02-01-43(FMF361 | P | 2013-01-07 | 2013-02-04 | $49,673 | $49,805 | -$132 | -$132 |
| 0-FNCL 4.0 TBA 03/13 03-01-43(FMF365 | P | 2013-03-05 | $133,252 | $133,148 | $104 | $104 | |
| 100000-FNCL 4.0 TBA 04/13 04-01-43(F | P | 2013-03-05 | 2013-04-02 | $106,715 | $106,516 | $199 | $199 |
| 0-FNCL 4.0 TBA 05/13 05-01-43(FMF389 | P | 2013-04-18 | $240,653 | $240,329 | $324 | $324 | |
| 0-G2SF 3.5 TBA 05/13 05-20-43(FMG276 | P | 2013-04-09 | 2013-05-15 | $133,833 | $134,727 | -$894 | -$894 |
| 100000-FNCL 3.5 TBA 06/14 06-01-44(F | P | 2013-05-06 | 2013-06-07 | $103,301 | $105,937 | -$2,636 | -$2,636 |
| 662547.141-FNCN 2.5 MA1431 05-01-23( | P | 2013-06-25 | $2,181 | $2,181 | $2,181 | ||
| 117221.3875-FNCI 2.5 AB7084 85K MAX | P | 2012-11-15 | 2013-07-25 | $789 | $829 | -$40 | -$40 |
| 0-FNCI 3.5 TBA 09/13 09-01-28(FMF315 | P | 2013-08-06 | 2013-08-27 | $130,713 | $130,508 | $205 | $205 |
| 0-FNCL 4.0 TBA 11/13 11-01-43(FMF323 | P | 2013-09-04 | 2013-09-18 | $103,613 | $102,063 | $1,550 | $1,550 |
| 15000-PROLOGIS INC SR UNSEC2.75% 02- | P | 2013-08-08 | 2013-10-22 | $15,193 | $14,995 | $198 | $198 |
| 10000-ERP OPERATING LP SRUNSEC 3.0% | P | 2013-04-03 | 2013-12-02 | $9,239 | $9,911 | -$672 | -$672 |
| 123423.3645-FNMA POOL AU6677 2.50%0 | P | 2013-09-11 | 2013-12-26 | $772 | $758 | $14 | $14 |
| 15-SONOVA HOLDING AG(SOON.VX) | P | 2013-01-16 | $1,703 | $1,439 | $264 | $264 | |
| 100-CERNER CORP (CERN) | P | 2011-06-17 | 2013-02-07 | $8,631 | $5,892 | $2,739 | $2,739 |
| 400-DENSO CORP (6902.JP) | P | 2012-02-09 | 2013-02-12 | $15,700 | $12,573 | $3,127 | $3,127 |
| 30000-BIOGEN IDEC INC 6% 03/01/13(FC | P | 2011-06-28 | 2013-03-01 | $30,000 | $32,153 | -$2,153 | -$2,153 |
| 100-AFLAC INC (AFL) | P | 2011-11-23 | 2013-03-19 | $5,003 | $3,988 | $1,015 | $1,015 |
| 200-COMCAST CORP CL A (NEW)(CMCSA) | P | 2011-08-03 | 2013-04-05 | $8,282 | $4,561 | $3,721 | $3,721 |
| 600-SEATTLE GENETICS INC(SGEN) | P | 2013-04-05 | $20,328 | $12,428 | $7,900 | $7,900 | |
| 20000-CITIGROUP INC SR UNSEC4.45% 01 | P | 2013-04-24 | $22,137 | $20,830 | $1,307 | $1,307 | |
| 200-SYSMEX CORP (6869.JP) | P | 2011-06-17 | 2013-05-02 | $12,396 | $7,395 | $5,001 | $5,001 |
| 100-ROYAL DUTCH SHELL CL AADR (RDS A | P | 2011-06-17 | 2013-05-20 | $6,794 | $6,839 | -$45 | -$45 |
| 1-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-06-03 | $110 | $89 | $21 | $21 |
| 51-ANDRITZ AG (ANDR.AV) | P | 2011-08-18 | 2013-06-27 | $2,641 | $2,309 | $332 | $332 |
| 289-OI SA ON ADR (OIBR C) | P | 2011-06-17 | 2013-07-02 | $476 | $2,773 | -$2,297 | -$2,297 |
| 18-LINDE AG (LIN.GR) | P | 2011-06-17 | 2013-07-10 | $3,388 | $2,963 | $425 | $425 |
| 100-DRIL-QUIP INC (DRQ) | P | 2011-09-02 | 2013-07-19 | $9,480 | $6,192 | $3,288 | $3,288 |
| 26-LINDE AG (LIN.GR) | P | 2011-06-17 | 2013-07-31 | $5,005 | $4,280 | $725 | $725 |
| 375-GILEAD SCIENCES INC (GILD) | P | 2012-02-16 | 2013-08-23 | $22,351 | $10,309 | $12,042 | $12,042 |
| 15000-ANHEUSER-BUSCH COS INCSR UNSEC | P | 2012-07-11 | 2013-09-17 | $14,893 | $14,957 | -$64 | -$64 |
| 300-RECKITT BENCKISER GROUPPLC (RB.L | P | 2011-06-17 | 2013-10-17 | $21,029 | $16,366 | $4,663 | $4,663 |
| 62357.1894-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-10-25 | $104 | $113 | -$9 | -$9 |
| 800-NATIONAL GRID PLC (NG1) | P | 2013-11-20 | $9,993 | $8,084 | $1,909 | $1,909 | |
| 200-CENOVUS ENERGY INC C(CVE.CN) | P | 2013-12-12 | $5,642 | $6,805 | -$1,163 | -$1,163 | |
| 100-ENCANA CORP C (ECA.CN) | P | 2012-02-03 | 2013-01-14 | $487 | $496 | -$9 | -$9 |
| 0-FNCI 3.5 TBA 02/13 02-01-28(FMF359 | P | 2013-01-11 | 2013-02-05 | $132,358 | $132,500 | -$142 | -$142 |
| 0-FNCL 4.0 TBA 03/13 03-01-43(FMF365 | P | 2013-01-31 | 2013-03-05 | $106,609 | $106,172 | $437 | $437 |
| 1000-CHINA SHENHUA ENERGY(1088.HK) | P | 2012-09-06 | 2013-04-03 | $3,623 | $3,501 | $122 | $122 |
| 15000-US TREASURY NOTE 2.375%05-31-1 | P | 2012-10-04 | 2013-04-19 | $16,242 | $16,345 | -$103 | -$103 |
| 48325.08-CSMC 06-C4 A3 5.467% 09-15- | P | 2013-04-02 | 2013-05-17 | $395 | $443 | -$48 | -$48 |
| 0-FNCL 3.5 TBA 06/14 06-01-44(FMF394 | P | 2013-06-06 | 2013-06-10 | $113,523 | $114,056 | -$533 | -$533 |
| 300-AGILENT TECHNOLOGIES INC(A) | P | 2013-06-26 | $12,782 | $13,473 | -$691 | -$691 | |
| 20000-GOLDMAN SACHS GROUP SRUNSEC 2. | P | 2013-01-16 | 2013-07-30 | $19,782 | $19,992 | -$210 | -$210 |
| 100-BG GROUP PLC (BG1) | P | 2013-02-11 | 2013-08-29 | $1,946 | $1,751 | $195 | $195 |
| 20000-CITIGROUP INC SR UNSEC1.7% 07- | P | 2013-07-18 | 2013-09-19 | $20,084 | $19,991 | $93 | $93 |
| 200-CAE INC C (CAE.CN) | P | 2013-02-08 | 2013-10-24 | $2,200 | $2,174 | $26 | $26 |
| 0-FNCL 4.5 TBA 12/13 12-01-43(FMF326 | P | 2013-11-05 | 2013-12-05 | $164,688 | $165,317 | -$629 | -$629 |
| 200-ALLERGAN INC (AGN) | P | 2011-06-17 | 2013-01-08 | $19,596 | $16,215 | $3,381 | $3,381 |
| 6-SONOVA HOLDING AG(SOON.VX) | P | 2011-06-17 | 2013-01-16 | $682 | $596 | $86 | $86 |
| 6000-HONG KONG/CHINA GAS(0003) | P | 2011-06-17 | 2013-02-07 | $16,655 | $12,241 | $4,414 | $4,414 |
| 500-SOFTBANK CORP (9984) | P | 2011-06-17 | 2013-02-12 | $19,140 | $18,242 | $898 | $898 |
| 4-FUGRO NV (FUR.NA) | P | 2011-09-22 | 2013-03-01 | $186 | $204 | -$18 | -$18 |
| 100-RIO TINTO PLC REG (RIO1) | P | 2011-06-17 | 2013-03-21 | $4,785 | $6,603 | -$1,818 | -$1,818 |
| 1000-DBS GROUP HOLDINGS LTD(DBS.SP) | P | 2011-06-17 | 2013-04-05 | $12,796 | $11,528 | $1,268 | $1,268 |
| 100-SMC CORP (6273) | P | 2011-06-17 | 2013-04-05 | $19,216 | $16,616 | $2,600 | $2,600 |
| 25-STANLEY BLACK & DECKERINC (SWK) | P | 2011-06-17 | 2013-04-24 | $1,943 | $1,718 | $225 | $225 |
| 100-SEATTLE GENETICS INC(SGEN) | P | 2011-07-11 | 2013-05-03 | $3,658 | $2,066 | $1,592 | $1,592 |
| 2000-AJINOMOTO CO INC (2802.JP) | P | 2013-05-21 | $28,957 | $23,603 | $5,354 | $5,354 | |
| 125-ALLERGAN INC (AGN) | P | 2011-06-17 | 2013-06-06 | $12,317 | $10,134 | $2,183 | $2,183 |
| 5-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-06-27 | $529 | $446 | $83 | $83 |
| 1500-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-07-02 | $2,357 | $10,590 | -$8,233 | -$8,233 |
| 53-LINDE AG (LIN.GR) | P | 2011-06-17 | 2013-07-10 | $9,960 | $8,724 | $1,236 | $1,236 |
| 1888-HSBC HOLDINGS PLC UKP(HSBA.LN) | P | 2011-06-17 | 2013-07-19 | $21,122 | $18,577 | $2,545 | $2,545 |
| 100-NOBLE ENERGY INC (NBL) | P | 2011-06-17 | 2013-07-31 | $6,253 | $4,205 | $2,048 | $2,048 |
| 100-TIFFANY & CO NEW (TIF) | P | 2011-06-17 | 2013-08-23 | $8,155 | $7,353 | $802 | $802 |
| 300-ROYAL DUTCH SHELL CL AADR (RDS A | P | 2013-09-17 | $19,586 | $20,516 | -$930 | -$930 | |
| 125-REPUBLIC SERVICES INC(RSG) | P | 2011-06-17 | 2013-10-17 | $4,137 | $3,808 | $329 | $329 |
| 700-CENOVUS ENERGY INC C(CVE.CN) | P | 2013-10-28 | $20,566 | $23,818 | -$3,252 | -$3,252 | |
| 400-NEWELL RUBBERMAID INC(NWL) | P | 2013-11-20 | $11,924 | $8,324 | $3,600 | $3,600 | |
| 25000-NATIONAL GRID GROUP PLC6.3% 08 | P | 2011-06-28 | 2013-12-12 | $28,220 | $29,039 | -$819 | -$819 |
| 0-G2SF 3.0 TBA 01/13 01-20-43(FMG290 | P | 2012-12-17 | 2013-01-16 | $47,529 | $47,668 | -$139 | -$139 |
| 0-G2SF 3.0 TBA 02/13 02-20-43(FMG291 | P | 2013-02-05 | 2013-02-05 | $46,905 | $46,905 | ||
| 0-FNCL 3.0 TBA 03/14 03-01-44(FMF449 | P | 2013-02-07 | 2013-03-06 | $123,900 | $123,937 | -$37 | -$37 |
| 0-FNCL 3.0 TBA 04/14 04-01-44(FMF450 | P | 2013-03-06 | 2013-04-03 | $124,003 | $123,609 | $394 | $394 |
| 50000-FNCI 2.5 TBA 05/13 05-01-28(FM | P | 2013-04-24 | 2013-04-24 | $52,167 | $52,164 | $3 | $3 |
| 45000-US TREASURY BOND 1.75%05-15-23 | P | 2013-05-16 | 2013-05-17 | $44,388 | $44,475 | -$87 | -$87 |
| 0-FNCI 2.5 TBA 06/13 06-01-28(FMF518 | P | 2013-06-13 | $127,393 | $127,294 | $99 | $99 | |
| 0-FNCI 3.0 TBA 07/13 07-01-28(FMF399 | P | 2013-06-13 | 2013-07-03 | $102,961 | $103,672 | -$711 | -$711 |
| 0-FNCI 3.5 TBA 08/13 08-01-28(FMF313 | P | 2013-07-09 | 2013-08-06 | $130,908 | $129,805 | $1,103 | $1,103 |
| 0-FNCI 3.5 TBA 09/13 09-01-28(FMF315 | P | 2013-08-29 | 2013-08-29 | $130,547 | $130,547 | ||
| 114642.6625-FNCI 2.5 AB7084 85K MAX | P | 2012-11-15 | 2013-09-25 | $1,299 | $1,364 | -$65 | -$65 |
| 700-CAE INC C (CAE.CN) | P | 2013-10-24 | $7,718 | $7,606 | $112 | $112 | |
| 0-FNCL 4.5 TBA 12/13 12-01-43(FMF326 | P | 2013-12-05 | 2013-12-05 | $164,760 | $164,760 | ||
| 700-ENCANA CORP C (ECA.CN) | P | 2011-06-17 | 2013-01-08 | $14,176 | $21,526 | -$7,350 | -$7,350 |
| 400-ENCANA CORP C (ECA.CN) | P | 2013-01-17 | $7,725 | $10,152 | -$2,427 | -$2,427 | |
| 26079-US TREASURY I/L FRN 0.125%04/1 | P | 2012-01-06 | 2013-02-07 | $27,701 | $27,284 | $417 | $417 |
| 367-HENNES & MAURITZ AB(HMB.SS) | P | 2013-02-13 | $13,395 | $12,879 | $516 | $516 | |
| 10-FUGRO NV (FUR.NA) | P | 2011-09-22 | 2013-03-01 | $466 | $511 | -$45 | -$45 |
| 300-RIO TINTO PLC REG (RIO1) | P | 2011-06-17 | 2013-03-21 | $14,284 | $19,808 | -$5,524 | -$5,524 |
| 20000-DUPONT EI NEMOUR FRN SRUNSEC ( | P | 2011-06-28 | 2013-04-05 | $20,082 | $20,110 | -$28 | -$28 |
| 500-SOFTBANK CORP (9984) | P | 2011-06-17 | 2013-04-05 | $24,232 | $18,242 | $5,990 | $5,990 |
| 66894.7959-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-04-25 | $2,630 | $2,865 | -$235 | -$235 |
| 300-SEATTLE GENETICS INC(SGEN) | P | 2011-07-11 | 2013-05-06 | $10,928 | $6,198 | $4,730 | $4,730 |
| 100-NOBLE ENERGY INC (NBL) | P | 2011-06-17 | 2013-05-21 | $12,231 | $8,410 | $3,821 | $3,821 |
| 400-BG GROUP PLC (BG1) | P | 2011-06-17 | 2013-06-07 | $7,250 | $8,612 | -$1,362 | -$1,362 |
| 700-CARNIVAL CORP COMMONPAIRED STOCK | P | 2013-07-01 | $24,253 | $22,698 | $1,555 | $1,555 | |
| 3-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-07-02 | $321 | $268 | $53 | $53 |
| 300-INTERNATIONAL BUSINESSMACHINES C | D | 1997-12-17 | 2013-07-11 | $57,981 | $15,553 | $42,428 | $42,428 |
| 25-LINDE AG (LIN.GR) | P | 2011-06-17 | 2013-07-19 | $4,814 | $4,115 | $699 | $699 |
| 23-LINDE AG (LIN.GR) | P | 2013-08-01 | $4,429 | $3,786 | $643 | $643 | |
| 200-TIFFANY & CO NEW (TIF) | P | 2011-06-17 | 2013-08-23 | $16,316 | $14,706 | $1,610 | $1,610 |
| 150-ROYAL DUTCH SHELL CL AADR (RDS A | P | 2011-06-17 | 2013-09-18 | $9,794 | $10,258 | -$464 | -$464 |
| 325-SAP AG (SAPG1) | P | 2011-06-17 | 2013-10-17 | $23,859 | $19,443 | $4,416 | $4,416 |
| 15000-US TREASURY NOTE 2.125%08/15/2 | P | 2011-11-16 | 2013-10-28 | $15,022 | $15,178 | -$156 | -$156 |
| 200-PHILIP MORRISINTERNATIONAL INC ( | P | 2011-06-17 | 2013-11-20 | $18,324 | $13,735 | $4,589 | $4,589 |
| 200-CENOVUS ENERGY INC C(CVE.CN) | P | 2011-06-17 | 2013-12-13 | $5,629 | $6,805 | -$1,176 | -$1,176 |
| 0-G2SF 3.5 TBA 01/13 01-20-43(FMG270 | P | 2012-12-17 | 2013-01-16 | $135,303 | $135,547 | -$244 | -$244 |
| 0-FNCI 2.5 TBA 02/13 02/01/28(FMF513 | P | 2013-02-06 | $77,798 | $78,156 | -$358 | -$358 | |
| 0-FNCL 3.0 TBA 03/14 03-01-44(FMF449 | P | 2013-03-06 | 2013-03-06 | $123,853 | $123,853 | ||
| 0-FNCL 3.0 TBA 04/14 04-01-44(FMF450 | P | 2013-04-04 | 2013-04-04 | $124,378 | $124,378 | ||
| 50000-FNCI 2.5 TBA 05/13 05-01-28(FM | P | 2013-03-19 | 2013-04-24 | $52,164 | $51,797 | $367 | $367 |
| 50000-US TREASURY NOTE 2.375%05-31-1 | P | 2013-05-17 | $53,890 | $54,277 | -$387 | -$387 | |
| 0-FNCI 2.5 TBA 06/13 06-01-28(FMF518 | P | 2013-06-13 | 2013-06-13 | $127,617 | $127,617 | ||
| 0-FNCI 3.0 TBA 07/13 07-01-28(FMF399 | P | 2013-07-08 | 2013-07-08 | $101,938 | $101,937 | $1 | $1 |
| 0-FNCL 3.5 TBA 08/13 08-01-43(FMF411 | P | 2013-07-09 | 2013-08-07 | $125,972 | $125,000 | $972 | $972 |
| 200-BG GROUP PLC (BG1) | P | 2013-02-11 | 2013-08-30 | $3,803 | $3,503 | $300 | $300 |
| 0-FNCL 4.5 TBA 10/13 10-01-43(FMF234 | P | 2013-10-04 | $165,723 | $163,649 | $2,074 | $2,074 | |
| 113377.87-FNCI 2.5 AB7084 85K MAX 11 | P | 2012-11-15 | 2013-10-25 | $1,265 | $1,328 | -$63 | -$63 |
| 0-FNCL 4.5 TBA 01/14 01-01-44(FMF246 | P | 2013-12-05 | 2013-12-12 | $164,566 | $164,155 | $411 | $411 |
| 600-ORACLE CORP (ORCL) | P | 2011-06-17 | 2013-01-08 | $20,490 | $18,952 | $1,538 | $1,538 |
| 2-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-01-17 | $226 | $178 | $48 | $48 |
| 19000-BANK OF CHINA LTD H(3988.HK) | P | 2011-06-17 | 2013-02-08 | $9,121 | $9,327 | -$206 | -$206 |
| 176-HENNES & MAURITZ AB(HMB.SS) | P | 2011-10-27 | 2013-02-14 | $6,327 | $6,176 | $151 | $151 |
| 18-FUGRO NV (FUR.NA) | P | 2013-03-04 | $835 | $919 | -$84 | -$84 | |
| 100-RIO TINTO PLC REG (RIO1) | P | 2011-06-17 | 2013-03-22 | $4,721 | $6,603 | -$1,882 | -$1,882 |
| 99-ESSILOR INTL (ESSI1) | P | 2011-06-17 | 2013-04-05 | $10,637 | $7,669 | $2,968 | $2,968 |
| 125-UNITED TECHNOLOGIESCORP (UTX) | P | 2011-06-17 | 2013-04-05 | $11,497 | $10,598 | $899 | $899 |
| 100-STANLEY BLACK & DECKERINC (SWK) | P | 2011-10-04 | 2013-04-25 | $7,605 | $4,996 | $2,609 | $2,609 |
| 200-TIME WARNER CABLE INC(TWC) | P | 2011-06-17 | 2013-05-06 | $19,250 | $14,962 | $4,288 | $4,288 |
| 25-ROYAL DUTCH SHELL CL AADR (RDS A) | P | 2011-06-17 | 2013-05-21 | $1,703 | $1,710 | -$7 | -$7 |
| 200-BG GROUP PLC (BG1) | P | 2011-06-17 | 2013-06-10 | $3,652 | $4,306 | -$654 | -$654 |
| 200-ECOLAB INC (ECL) | P | 2011-06-17 | 2013-07-01 | $17,282 | $10,906 | $6,376 | $6,376 |
| 200-ICICI BANK LTD SPON ADR(IBN) | P | 2011-06-17 | 2013-07-03 | $7,458 | $9,199 | -$1,741 | -$1,741 |
| 100-BG GROUP PLC (BG1) | P | 2011-06-17 | 2013-07-12 | $1,780 | $2,153 | -$373 | -$373 |
| 31-SAMSUNG ELEC GDS N/V PF(0593Q1) | P | 2011-06-17 | 2013-07-19 | $11,093 | $8,370 | $2,723 | $2,723 |
| 75-NOBLE ENERGY INC (NBL) | P | 2011-06-17 | 2013-08-01 | $4,775 | $3,154 | $1,621 | $1,621 |
| 20000-ALTRIA GROUP INC SR UNSEC2.85% | P | 2012-08-22 | 2013-08-26 | $17,969 | $19,767 | -$1,798 | -$1,798 |
| 35000-US TREASURY NOTE 2.125%08/15/2 | P | 2011-11-16 | 2013-09-20 | $34,359 | $35,414 | -$1,055 | -$1,055 |
| 21-HSBC HOLDINGS PLC UKP(HSBA.LN) | P | 2011-06-17 | 2013-10-18 | $229 | $207 | $22 | $22 |
| 625-BROADCOM CORP (BRCM) | P | 2013-11-04 | $16,596 | $20,043 | -$3,447 | -$3,447 | |
| 200-SCHLUMBERGER LTD (SLB) | P | 2011-06-17 | 2013-11-20 | $18,346 | $16,476 | $1,870 | $1,870 |
| 100-CENOVUS ENERGY INC US(CVE) | P | 2011-06-17 | 2013-12-13 | $2,812 | $3,393 | -$581 | -$581 |
| 275-ENCANA CORP C (ECA.CN) | P | 2012-02-01 | 2013-01-23 | $5,276 | $5,237 | $39 | $39 |
| 0-FNCI 2.5 TBA 02/13 02/01/28(FMF513 | P | 2013-01-10 | 2013-02-06 | $51,865 | $52,062 | -$197 | -$197 |
| 0-FNCI 2.5 TBA 03/13 03-01-28(FMF514 | P | 2013-02-06 | 2013-03-07 | $77,757 | $77,648 | $109 | $109 |
| 0-FNCL 4.0 TBA 04/13 04-01-43(FMF371 | P | 2013-03-05 | 2013-04-05 | $133,877 | $133,135 | $742 | $742 |
| 120216.7238-FNCI 2.5 AB7084 85K MAX | P | 2012-11-15 | 2013-04-25 | $1,416 | $1,487 | -$71 | -$71 |
| 100-ENSCO PLC-CL A (ESV) | P | 2013-02-19 | 2013-05-21 | $6,341 | $6,542 | -$201 | -$201 |
| 0-FNCI 3.0 TBA 06/13 06-01-28(FMF453 | P | 2013-05-31 | 2013-06-13 | $103,852 | $103,945 | -$93 | -$93 |
| 10000-APPLE INC SR UNSEC 2.4%05-03-2 | P | 2013-04-30 | 2013-07-09 | $9,199 | $9,987 | -$788 | -$788 |
| 0-FNCL 4.0 TBA 08/13 08-01-43(FMF460 | P | 2013-07-09 | 2013-08-07 | $104,066 | $103,031 | $1,035 | $1,035 |
| 100-BG GROUP PLC (BG1) | P | 2013-02-11 | 2013-09-02 | $1,916 | $1,751 | $165 | $165 |
| 0-FNCL 4.5 TBA 10/13 10-01-43(FMF234 | P | 2013-10-04 | $58,824 | $57,593 | $1,231 | $1,231 | |
| 115000-FHLMC 1.375% 05-01-20(FDF868) | P | 2013-04-03 | 2013-10-29 | $110,229 | $114,345 | -$4,116 | -$4,116 |
| 8000-LI & FUNG LTD (494.HK) | P | 2013-09-27 | 2013-12-12 | $9,974 | $11,779 | -$1,805 | -$1,805 |
| 3900-PREMIER FARNELL PLC(PFL.LN) | P | 2013-01-08 | $12,441 | $15,734 | -$3,293 | -$3,293 | |
| 300-ENCANA CORP C (ECA.CN) | P | 2011-09-02 | 2013-01-18 | $5,791 | $7,435 | -$1,644 | -$1,644 |
| 8000-HONG KONG/CHINA GAS(0003) | P | 2011-06-17 | 2013-02-08 | $22,082 | $16,321 | $5,761 | $5,761 |
| 435-SEADRILL LTD (SDRL.NO) | P | 2013-02-14 | $16,317 | $14,961 | $1,356 | $1,356 | |
| 59-FUGRO NV (FUR.NA) | P | 2013-03-05 | $2,773 | $2,971 | -$198 | -$198 | |
| 69525.0189-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-03-25 | $1,493 | $1,626 | -$133 | -$133 |
| 1000-GENERAL ELECTRIC CO (USD)(GE) | P | 1997-12-17 | 2013-04-05 | $22,789 | $25,104 | -$2,315 | -$2,315 |
| 1000-MITSUBISHI CORP (8058) | P | 2011-06-17 | 2013-04-09 | $17,568 | $24,053 | -$6,485 | -$6,485 |
| 100-SYSMEX CORP (6869.JP) | P | 2011-06-17 | 2013-04-26 | $6,522 | $3,698 | $2,824 | $2,824 |
| 4000-HITACHI (6501.JP) | P | 2011-06-17 | 2013-05-07 | $25,479 | $22,823 | $2,656 | $2,656 |
| 42-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-05-21 | $4,402 | $3,746 | $656 | $656 |
| 300-RIO TINTO PLC REG (RIO1) | P | 2011-06-17 | 2013-06-11 | $12,630 | $19,808 | -$7,178 | -$7,178 |
| 100-ICICI BANK LTD SPON ADR(IBN) | P | 2011-06-17 | 2013-07-01 | $3,900 | $4,600 | -$700 | -$700 |
| 800-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-07-03 | $1,235 | $5,648 | -$4,413 | -$4,413 |
| 1400-GENERAL ELECTRIC CO (USD)(GE) | D | 1997-12-17 | 2013-07-12 | $33,045 | $35,146 | -$2,101 | -$2,101 |
| 30-SWISSCOM AG REG(SCMN.VX) | P | 2011-06-17 | 2013-07-19 | $13,286 | $13,655 | -$369 | -$369 |
| 500-ICICI BANK LTD SPON ADR(IBN) | P | 2013-08-02 | $15,990 | $16,033 | -$43 | -$43 | |
| 152749.9249-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-08-26 | $1,159 | $1,222 | -$63 | -$63 |
| 100-ALLERGAN INC (AGN) | P | 2011-06-17 | 2013-09-25 | $9,151 | $8,107 | $1,044 | $1,044 |
| 600-CAE INC C (CAE.CN) | P | 2013-10-21 | $6,503 | $8,087 | -$1,584 | -$1,584 | |
| 30000-KIMCO RLTY CORP 5.584%11/23/15 | P | 2011-08-16 | 2013-11-12 | $32,698 | $33,243 | -$545 | -$545 |
| 200-SIGNET JEWELERS LTD (SIG) | P | 2013-11-20 | $15,460 | $9,175 | $6,285 | $6,285 | |
| 10000-AETNA INC SR UNSEC 2.75%11-15- | P | 2012-11-02 | 2013-12-16 | $9,277 | $9,831 | -$554 | -$554 |
| 1200-OI SA PN ADR (OIBR) | P | 2013-01-23 | $4,842 | $6,035 | -$1,193 | -$1,193 | |
| 15000-AT&T CORP SR UNSEC 1.4%12-01-1 | P | 2012-12-06 | 2013-02-07 | $14,931 | $14,999 | -$68 | -$68 |
| 0-FNCI 3.5 TBA 03/13 03-01-28(FMF369 | P | 2013-02-05 | 2013-03-07 | $132,422 | $132,227 | $195 | $195 |
| 61077.5-US TREASURY I/L FRN 2.375%01 | P | 2012-12-05 | 2013-04-05 | $83,551 | $84,207 | -$656 | -$656 |
| 160205.9447-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-04-25 | $1,334 | $1,406 | -$72 | -$72 |
| 118894.8075-FNCI 2.5 AB7084 85K MAX | P | 2012-11-15 | 2013-05-28 | $1,322 | $1,388 | -$66 | -$66 |
| 0-FNCI 3.5 AL1831 05-01-27(FMF5265) | P | 2013-05-13 | 2013-06-13 | $131,377 | $132,460 | -$1,083 | -$1,083 |
| 0-FNCI 3.5 TBA 07/12 07-01-27(FMF314 | P | 2013-06-13 | 2013-07-09 | $129,995 | $131,270 | -$1,275 | -$1,275 |
| 30000-BERKSHIRE HATHAWAY SRUNSEC 0.8 | P | 2013-01-29 | 2013-08-08 | $30,022 | $29,997 | $25 | $25 |
| 0-FNCL 4.0 TBA 09/13 09-01-43(FMF318 | P | 2013-08-07 | 2013-09-04 | $102,723 | $103,781 | -$1,058 | -$1,058 |
| 15000-BANK OF AMERICA CORP SRUNSEC 3 | P | 2013-06-05 | 2013-10-16 | $14,249 | $14,430 | -$181 | -$181 |
| 45000-US TREASURY NOTE 1.0% 05-31-18 | P | 2013-06-20 | 2013-10-30 | $44,743 | $44,369 | $374 | $374 |
| 400-MOSAIC CO/THE (MOS) | P | 2013-12-12 | $17,603 | $23,458 | -$5,855 | -$5,855 | |
| 200-ROYAL DUTCH SHELL CL AADR (RDS A | P | 2011-06-17 | 2013-01-08 | $13,760 | $13,678 | $82 | $82 |
| 200-ENCANA CORP C (ECA.CN) | P | 2011-09-02 | 2013-01-22 | $3,826 | $4,957 | -$1,131 | -$1,131 |
| 124-LVMH MOET HENNESSYLOUIS VUITTON | P | 2013-02-08 | $21,657 | $18,850 | $2,807 | $2,807 | |
| 59-FUGRO NV (FUR.NA) | P | 2011-08-12 | 2013-02-15 | $2,953 | $3,282 | -$329 | -$329 |
| 25000-VERIZON WIRELESS CAP LLCSR UNS | P | 2011-06-28 | 2013-03-06 | $26,140 | $28,472 | -$2,332 | -$2,332 |
| 900-PREMIER FARNELL PLC(PFL.LN) | P | 2013-03-25 | $3,046 | $3,624 | -$578 | -$578 | |
| 25-GOOGLE INC CL A (GOOGL) | P | 2011-06-17 | 2013-04-05 | $19,660 | $12,479 | $7,181 | $7,181 |
| 100-STANLEY BLACK & DECKERINC (SWK) | P | 2011-06-17 | 2013-04-09 | $7,826 | $6,873 | $953 | $953 |
| 40-ANDRITZ AG (ANDR.AV) | P | 2011-08-18 | 2013-04-30 | $2,571 | $1,811 | $760 | $760 |
| 200-SEATTLE GENETICS INC(SGEN) | P | 2011-07-11 | 2013-05-07 | $7,162 | $4,132 | $3,030 | $3,030 |
| 381-BHP BILLITON LTD (AUD)(BHP1) | P | 2011-06-17 | 2013-05-27 | $12,517 | $17,110 | -$4,593 | -$4,593 |
| 200-BG GROUP PLC (BG1) | P | 2011-06-17 | 2013-06-12 | $3,695 | $4,306 | -$611 | -$611 |
| 500-JPMORGAN CHASE & CO(JPM) | P | 1997-12-17 | 2013-07-01 | $26,267 | $16,389 | $9,878 | $9,878 |
| 4-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-07-03 | $420 | $357 | $63 | $63 |
| 135-INTERNATIONAL BUSINESSMACHINES C | D | 1997-12-17 | 2013-07-12 | $25,985 | $6,999 | $18,986 | $18,986 |
| 29-SAMSUNG ELEC GDS N/V PF(0593Q1) | P | 2011-06-17 | 2013-07-22 | $10,368 | $7,830 | $2,538 | $2,538 |
| 100-ICICI BANK LTD SPON ADR(IBN) | P | 2012-01-18 | 2013-08-05 | $3,205 | $3,117 | $88 | $88 |
| 64473.2352-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-08-26 | $88 | $96 | -$8 | -$8 |
| 25000-BURLINGTON NORTH SANTAFE CORP | P | 2011-06-28 | 2013-09-25 | $25,541 | $28,527 | -$2,986 | -$2,986 |
| 200-EMERSON ELECTRIC CO(EMR) | P | 2011-06-17 | 2013-10-21 | $13,142 | $10,462 | $2,680 | $2,680 |
| 25000-TECO FINANCE INC 4.0%03/15/16 | P | 2011-06-29 | 2013-11-12 | $26,594 | $26,277 | $317 | $317 |
| 150389.2437-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-11-25 | $957 | $1,010 | -$53 | -$53 |
| 200-CENOVUS ENERGY INC C(CVE.CN) | P | 2011-06-17 | 2013-12-16 | $5,647 | $6,805 | -$1,158 | -$1,158 |
| 125-ENCANA CORP C (ECA.CN) | P | 2012-02-01 | 2013-01-24 | $2,427 | $2,380 | $47 | $47 |
| 0-FNCL 3.0 TBA 02/13 02-01-43(FMF513 | P | 2013-01-08 | 2013-02-07 | $124,270 | $124,987 | -$717 | -$717 |
| 0-G2SF 3.5 TBA 03/13 03-20-43(FMG272 | P | 2013-02-11 | 2013-03-11 | $132,876 | $133,633 | -$757 | -$757 |
| 1000-CHINA SHENHUA ENERGY(1088.HK) | P | 2012-09-06 | 2013-04-08 | $3,464 | $3,501 | -$37 | -$37 |
| 35000-APPLE INC SR UNSEC 2.4%05-03-2 | P | 2013-04-30 | 2013-05-01 | $35,102 | $34,953 | $149 | $149 |
| 159504.3768-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-05-28 | $702 | $740 | -$38 | -$38 |
| 48062.1602-CSMC 06-C4 A3 5.467% 09-1 | P | 2013-04-02 | 2013-06-17 | $263 | $295 | -$32 | -$32 |
| 0-FNCL 4.0 TBA 07/11 07-01-42(FMF395 | P | 2013-07-03 | 2013-07-09 | $103,293 | $104,031 | -$738 | -$738 |
| 0-FNCI 2.5 TBA 08/13 08-01-28(FMF520 | P | 2013-07-10 | 2013-08-08 | $125,073 | $123,437 | $1,636 | $1,636 |
| 25000-VERIZON WIRELESS CAP LLCSR UNS | P | 2013-03-06 | 2013-09-05 | $25,466 | $26,042 | -$576 | -$576 |
| 5000-BAXTER INTERNATIONAL INCSR UNSE | P | 2013-06-06 | 2013-10-16 | $4,990 | $5,020 | -$30 | -$30 |
| 11600-SWIRE PROPERTIES LTD(1972.HK) | P | 2013-11-01 | $31,681 | $38,675 | -$6,994 | -$6,994 | |
| 275-MOSAIC CO/THE (MOS) | P | 2013-12-13 | $12,088 | $15,883 | -$3,795 | -$3,795 | |
| 200-TIME WARNER CABLE INC(TWC) | P | 2011-06-17 | 2013-01-08 | $19,258 | $14,962 | $4,296 | $4,296 |
| 25-ENCANA CORP C (ECA.CN) | P | 2011-09-02 | 2013-01-23 | $480 | $620 | -$140 | -$140 |
| 200-QUALCOMM INC (QCOM) | P | 2011-06-17 | 2013-02-08 | $13,408 | $10,766 | $2,642 | $2,642 |
| 31-HENNES & MAURITZ AB(HMB.SS) | P | 2011-10-27 | 2013-02-15 | $1,116 | $1,088 | $28 | $28 |
| 300-MURATA MANUFACTURING COLTD (6981 | P | 2011-06-17 | 2013-03-08 | $19,936 | $19,702 | $234 | $234 |
| 177-RICHEMONT CIE FIN | P | 2011-10-31 | 2013-03-25 | $13,699 | $10,216 | $3,483 | $3,483 |
| 709-HENNES & MAURITZ AB(HMB.SS) | P | 2013-04-05 | $25,470 | $23,769 | $1,701 | $1,701 | |
| 83-ANDRITZ AG (ANDR.AV) | P | 2011-08-16 | 2013-04-10 | $5,639 | $3,837 | $1,802 | $1,802 |
| 1000-GILEAD SCIENCES INC (GILD) | P | 2012-02-16 | 2013-04-30 | $50,646 | $27,490 | $23,156 | $23,156 |
| 100-TIME WARNER CABLE INC(TWC) | P | 2011-06-17 | 2013-05-07 | $9,670 | $7,481 | $2,189 | $2,189 |
| 66787.479-FNCL 5.0 AI8229 MHA 08/01/ | P | 2011-08-12 | 2013-05-28 | $107 | $117 | -$10 | -$10 |
| 3-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-06-13 | $339 | $268 | $71 | $71 |
| 100-MONSANTO CO NEW COM(MON) | P | 2011-06-17 | 2013-07-01 | $9,742 | $6,644 | $3,098 | $3,098 |
| 900-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-07-04 | $1,377 | $6,354 | -$4,977 | -$4,977 |
| 100-BG GROUP PLC (BG1) | P | 2011-06-17 | 2013-07-15 | $1,793 | $2,153 | -$360 | -$360 |
| 22-LINDE AG (LIN.GR) | P | 2011-06-17 | 2013-07-23 | $4,180 | $3,621 | $559 | $559 |
| 55-LINDE AG (LIN.GR) | P | 2013-08-06 | $10,570 | $9,053 | $1,517 | $1,517 | |
| 125-TIFFANY & CO NEW (TIF) | P | 2011-06-17 | 2013-08-26 | $10,256 | $9,191 | $1,065 | $1,065 |
| 152042.6212-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-09-25 | $707 | $746 | -$39 | -$39 |
| 200-KLA-TENCOR CORP (KLAC) | P | 2013-10-21 | $12,856 | $7,079 | $5,777 | $5,777 | |
| 200-BEAM INC (BEAM) | P | 2013-11-20 | $13,520 | $10,981 | $2,539 | $2,539 | |
| 62270.1522-FNCL 5.0 AI8229 MHA 08/01 | P | 2011-08-12 | 2013-11-25 | $87 | $95 | -$8 | -$8 |
| 5000-US TREASURY NOTE 3.5%05/15/20 ( | P | 2011-07-21 | 2013-12-16 | $5,448 | $5,274 | $174 | $174 |
| 900-PENGROWTH ENERGY CORPC (PGF.CN) | P | 2012-01-24 | 2013-01-24 | $4,255 | $9,449 | -$5,194 | -$5,194 |
| 0-G2SF 3.5 TBA 02/13 02-20-43(FMG271 | P | 2013-01-16 | 2013-02-11 | $133,916 | $135,078 | -$1,162 | -$1,162 |
| 10000-TRANSOCEAN INC SR UNSEC6.375% | P | 2012-05-11 | 2013-03-14 | $11,576 | $11,653 | -$77 | -$77 |
| 0-FNCI 3.5 TBA 04/13 04-01-28(FMF378 | P | 2013-03-07 | 2013-04-08 | $132,744 | $132,305 | $439 | $439 |
| 0-FNCI 2.5 TBA 05/13 05-01-28(FMF515 | P | 2013-05-01 | $78,459 | $77,398 | $1,061 | $1,061 | |
| 99124.469-FNCN 2.5 MA1431 05-01-23(F | P | 2013-04-18 | 2013-05-31 | $101,575 | $103,972 | -$2,397 | -$2,397 |
| 0-FNCL 3.5 TBA 07/14 07-01-44(FMF456 | P | 2013-06-19 | $214,832 | $216,197 | -$1,365 | -$1,365 | |
| 124674.4338-G2SF 3.5 MA1012 05-20-43 | P | 2013-06-03 | 2013-07-09 | $125,917 | $130,937 | -$5,020 | -$5,020 |
| 5000-TOTAL CAPITAL CANADA SRUNSEC 2. | P | 2013-01-10 | 2013-08-08 | $4,664 | $4,991 | -$327 | -$327 |
| 30000-AMERICAN TOWER SR UNSEC3.4% 02 | P | 2013-08-14 | 2013-09-06 | $29,183 | $29,973 | -$790 | -$790 |
| 20000-CATERPILLAR FIN SR UNSEC2.45% | P | 2013-09-03 | 2013-10-16 | $20,373 | $19,991 | $382 | $382 |
| 0-FNCL 4.5 TBA 11/13 11-01-43(FMF323 | P | 2013-10-04 | 2013-11-05 | $165,680 | $165,269 | $411 | $411 |
| 25152.75-US TREASURY I/L FRN 0.375%0 | P | 2013-09-19 | 2013-12-16 | $24,424 | $24,819 | -$395 | -$395 |
| 100-AIR PRODUCTS & CHEMICALSINC (APD | P | 2011-06-17 | 2013-01-11 | $8,830 | $9,143 | -$313 | -$313 |
| 100-OI SA ON ADR (OIBR C) | P | 2011-06-17 | 2013-01-23 | $445 | $960 | -$515 | -$515 |
| 150-UNION PACIFIC CORP (UNP) | P | 2011-06-17 | 2013-02-08 | $19,921 | $14,950 | $4,971 | $4,971 |
| 105-HENNES & MAURITZ AB(HMB.SS) | P | 2011-10-27 | 2013-02-15 | $3,777 | $3,685 | $92 | $92 |
| 100-TELUS CORP C (T.CN) | P | 2011-06-17 | 2013-03-08 | $6,858 | $5,061 | $1,797 | $1,797 |
| 377-NEWCREST MINING NPV(NCM) | P | 2011-06-17 | 2013-04-02 | $7,923 | $14,702 | -$6,779 | -$6,779 |
| 400-KLA-TENCOR CORP (KLAC) | P | 2013-04-05 | $20,316 | $14,477 | $5,839 | $5,839 | |
| 222-ANDRITZ AG (ANDR.AV) | P | 2013-04-10 | $15,022 | $10,254 | $4,768 | $4,768 | |
| 100-SEATTLE GENETICS INC(SGEN) | P | 2011-07-06 | 2013-04-30 | $3,696 | $2,068 | $1,628 | $1,628 |
| 300-MURATA MANUFACTURING COLTD (6981 | P | 2011-06-17 | 2013-05-08 | $24,534 | $19,702 | $4,832 | $4,832 |
| 13-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-05-28 | $1,427 | $1,160 | $267 | $267 |
| 200-BG GROUP PLC (BG1) | P | 2011-06-17 | 2013-06-14 | $3,712 | $4,306 | -$594 | -$594 |
| 100-MONSANTO CO NEW COM(MON) | P | 2011-06-17 | 2013-07-01 | $9,757 | $6,644 | $3,113 | $3,113 |
| 300-RIO TINTO PLC REG (RIO1) | P | 2011-06-17 | 2013-07-04 | $12,020 | $19,808 | -$7,788 | -$7,788 |
| 100-DRIL-QUIP INC (DRQ) | P | 2011-09-08 | 2013-07-15 | $9,450 | $6,397 | $3,053 | $3,053 |
| 100-ICICI BANK LTD SPON ADR(IBN) | P | 2011-06-17 | 2013-07-24 | $3,469 | $4,600 | -$1,131 | -$1,131 |
| 375-BARRICK GOLD CORP C(ABX.CN) | P | 2011-06-17 | 2013-08-07 | $5,914 | $16,222 | -$10,308 | -$10,308 |
| 300-BG GROUP PLC (BG1) | P | 2011-06-17 | 2013-08-29 | $5,839 | $6,459 | -$620 | -$620 |
| 62460.819-FNCL 5.0 AI8229 MHA 08/01/ | P | 2011-08-12 | 2013-09-25 | $2,012 | $2,192 | -$180 | -$180 |
| 400-CAE INC C (CAE.CN) | P | 2013-10-22 | $4,362 | $5,378 | -$1,016 | -$1,016 | |
| 100-BMW AG (BMWG1) | P | 2011-06-17 | 2013-11-20 | $11,172 | $9,039 | $2,133 | $2,133 |
| 25000-COCA COLA CO 3.625%03/15/2014 | P | 2011-06-28 | 2013-12-02 | $25,231 | $26,733 | -$1,502 | -$1,502 |
| 5000-AETNA INC SR UNSEC 2.75%11-15-2 | P | 2012-11-02 | 2013-12-17 | $4,653 | $4,915 | -$262 | -$262 |
| 221752.9845-FNCI 2.5 AB7084 85K MAX | P | 2012-11-15 | 2013-01-25 | $1,757 | $1,845 | -$88 | -$88 |
| 15000-GENERAL ELEC CAP CORP SRUNSEC | P | 2012-11-14 | 2013-02-12 | $15,017 | $14,981 | $36 | $36 |
| 0-FNCI 2.5 TBA 04/14 04-01-29(FMF515 | P | 2013-03-07 | 2013-03-19 | $77,852 | $77,602 | $250 | $250 |
| 0-G2SF 3.5 TBA 04/13 04-20-43(FMG274 | P | 2013-03-11 | 2013-04-09 | $135,083 | $132,617 | $2,466 | $2,466 |
| 0-FNCI 2.5 TBA 05/13 05-01-28(FMF515 | P | 2013-05-02 | 2013-05-02 | $78,434 | $78,434 | ||
| 0-G2SF 3.5 TBA 06/13 06-20-43(FMG277 | P | 2013-05-15 | 2013-06-03 | $131,250 | $133,555 | -$2,305 | -$2,305 |
| 70000-US TREASURY BOND 1.75%05-15-23 | P | 2013-05-16 | 2013-06-19 | $66,454 | $69,184 | -$2,730 | -$2,730 |
| 0-FNCI 2.5 TBA 07/13 07-01-28(FMF520 | P | 2013-07-10 | 2013-07-10 | $123,696 | $123,652 | $44 | $44 |
| 0-FNCI 2.5 TBA 08/13 08-01-28(FMF520 | P | 2013-08-09 | 2013-08-09 | $125,107 | $125,107 | ||
| 100000-FNCL 4.5 TBA 09/13 09-01-43(F | P | 2013-08-27 | 2013-09-06 | $105,016 | $105,813 | -$797 | -$797 |
| 25000-CHEVRON CORP SR UNSEC1.718% 06 | P | 2013-06-17 | 2013-10-16 | $24,897 | $25,000 | -$103 | -$103 |
| 850-KINDER MORGAN INC (KMI) | P | 2013-11-12 | $29,387 | $28,824 | $563 | $563 | |
| 235000-US TREASURY NOTE 1.0% 05-31-1 | P | 2013-12-16 | $231,392 | $231,629 | -$237 | -$237 | |
| 25-AIR PRODUCTS & CHEMICALSINC (APD) | P | 2011-06-17 | 2013-01-14 | $2,195 | $2,286 | -$91 | -$91 |
| 1500-OI SA PN ADR (OIBR) | P | 2011-06-17 | 2013-01-23 | $6,052 | $10,590 | -$4,538 | -$4,538 |
| 35000-BERKSHIRE HATHAWAY FRN02/11/13 | P | 2011-06-28 | 2013-02-11 | $35,000 | $35,220 | -$220 | -$220 |
| 1000-JGC CORP (1963.JP) | P | 2011-06-17 | 2013-02-18 | $24,182 | $26,315 | -$2,133 | -$2,133 |
| 100-TELUS CORP C (T.CN) | P | 2011-06-17 | 2013-03-12 | $6,820 | $5,061 | $1,759 | $1,759 |
| 900-PREMIER FARNELL PLC(PFL.LN) | P | 2011-06-20 | 2013-04-02 | $3,006 | $3,624 | -$618 | -$618 |
| 347-NESTLE SA REG (NESN1) | P | 2011-06-17 | 2013-04-05 | $24,982 | $21,415 | $3,567 | $3,567 |
| 100-STANLEY BLACK & DECKERINC (SWK) | P | 2011-06-17 | 2013-04-10 | $7,892 | $6,873 | $1,019 | $1,019 |
| 200-SYSMEX CORP (6869.JP) | P | 2011-06-17 | 2013-04-30 | $12,966 | $7,395 | $5,571 | $5,571 |
| 200-NATIONAL INSTRUMENTSCORP (NATI) | P | 2012-02-22 | 2013-05-13 | $5,694 | $5,410 | $284 | $284 |
| 39-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-05-29 | $4,307 | $3,479 | $828 | $828 |
| 10-SONOVA HOLDING AG(SOON.VX) | P | 2011-08-03 | 2013-06-17 | $1,169 | $892 | $277 | $277 |
| 155-NOVARTIS AG NAMEN(NOVN1) | P | 2013-07-01 | $10,967 | $8,988 | $1,979 | $1,979 | |
| 3-SONOVA HOLDING AG(SOON.VX) | P | 2013-07-04 | $317 | $268 | $49 | $49 | |
| 24-LINDE AG (LIN.GR) | P | 2011-06-17 | 2013-07-15 | $4,597 | $3,950 | $647 | $647 |
| 153908.8489-FNCL 3.5 AB5665 HLTV 07- | P | 2012-06-28 | 2013-07-25 | $2,518 | $2,655 | -$137 | -$137 |
| 34-LINDE AG (LIN.GR) | P | 2013-08-08 | $6,475 | $5,596 | $879 | $879 | |
| 2000-HONG KONG/CHINA GAS(0003) | P | 2011-06-17 | 2013-09-03 | $4,739 | $3,709 | $1,030 | $1,030 |
| 15000-MCKESSON CORP SR UNSEC3.25% 03 | P | 2011-06-28 | 2013-09-25 | $15,802 | $15,566 | $236 | $236 |
| 800-CAE INC C (CAE.CN) | P | 2013-10-22 | $8,726 | $10,706 | -$1,980 | -$1,980 | |
| 3000-BOC HONG KONG HOLDINGSLTD (2388 | P | 2011-06-17 | 2013-11-20 | $10,027 | $8,809 | $1,218 | $1,218 |
| 7000-GENTING SINGAPORE PLC(GENS.SP) | P | 2012-04-13 | 2013-12-04 | $8,364 | $9,564 | -$1,200 | -$1,200 |
| 300-CENOVUS ENERGY INC C(CVE.CN) | P | 2011-06-17 | 2013-12-17 | $8,337 | $10,208 | -$1,871 | -$1,871 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | $271,919 | CapitalGainNetIncomeAmt |
| Net Short Term Capital Gain Loss | -$63,720 | NetShortTermCapitalGainLossAmt |
Qlfy Und Sect4940e Reduced Tax QlfyUndSect4940eReducedTaxGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable Section4942 Tax | false | LiableSection4942TaxInd |
| Adjusted Qlfy Distri Yr1 | $672,670 | AdjustedQlfyDistriYr1Amt |
| Net Vl Noncharitable Assets Yr1 | $18,446,982 | NetVlNoncharitableAssetsYr1Amt |
| Distribution Yr1 | 0.036465 | DistributionYr1Rt |
| Adjusted Qlfy Distri Yr2 | $1,496,112 | AdjustedQlfyDistriYr2Amt |
| Net Vl Noncharitable Assets Yr2 | $18,711,157 | NetVlNoncharitableAssetsYr2Amt |
| Distribution Yr2 | 0.079958 | DistributionYr2Rt |
| Adjusted Qlfy Distri Yr3 | $928,569 | AdjustedQlfyDistriYr3Amt |
| Net Vl Noncharitable Assets Yr3 | $18,248,693 | NetVlNoncharitableAssetsYr3Amt |
| Distribution Yr3 | 0.050884 | DistributionYr3Rt |
| Adjusted Qlfy Distri Yr4 | $1,403,265 | AdjustedQlfyDistriYr4Amt |
| Net Vl Noncharitable Assets Yr4 | $17,416,011 | NetVlNoncharitableAssetsYr4Amt |
| Distribution Yr4 | 0.080573 | DistributionYr4Rt |
| Adjusted Qlfy Distri Yr5 | $2,111,919 | AdjustedQlfyDistriYr5Amt |
| Net Vl Noncharitable Assets Yr5 | $20,532,733 | NetVlNoncharitableAssetsYr5Amt |
| Distribution Yr5 | 0.102856 | DistributionYr5Rt |
| Total Distribution | 0.350736 | TotalDistributionRt |
| Average Distribution | 0.070147 | AverageDistributionRt |
| Net Vl Noncharitable Assets | $19,531,149 | NetVlNoncharitableAssetsAmt |
| Adj Net Vl Noncharitable Assets | $1,370,052 | AdjNetVlNoncharitableAssetsAmt |
| Net Investment Income Pct | $4,738 | NetInvestmentIncomePctAmt |
| Adj Nonchrtbl Net Invst Incm Pct | $1,374,790 | AdjNonchrtblNetInvstIncmPctAmt |
| Qualifying Distributions | $694,500 | QualifyingDistributionsAmt |
Excise Tax Based On Invst Incm ExciseTaxBasedOnInvstIncmGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | $9,476 | InvestmentIncomeExciseTaxAmt |
| Subtotal | $9,476 | SubtotalAmt |
| Tax Based On Investment Income | $9,476 | TaxBasedOnInvestmentIncomeAmt |
| Estimated Plus Ovpmt Incm Tx | $11,047 | EstimatedPlusOvpmtIncmTxAmt |
| Total Payments And Credits | $11,047 | TotalPaymentsAndCreditsAmt |
| Form2220 Attached | Yes (X) | Form2220AttachedInd |
| Overpayment | $1,571 | OverpaymentAmt |
| Applied To ES Tax | $1,571 | 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 |
| 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 | N/A | WebsiteAddressTxt |
| Individual With Books | LOIS MANDRELL | IndividualWithBooksNm |
| Phone | 6184630700 | PhoneNum |
Location Of Books US Address LocationOfBooksUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | PO BOX 5146 | AddressLine1 |
| City | GODFREY | City |
| State | IL | State |
| ZIP Code | 62035 | ZIPCode |
| 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 |
| Uncorrected Prior Acts | false | UncorrectedPriorActsInd |
| Undistributed Income PY | false | UndistributedIncomePYInd |
| Business Holdings | Yes (true) | BusinessHoldingsInd |
| Excess Business Holdings | false | ExcessBusinessHoldingsInd |
| 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 (9 entries)
| Address Line1USAddress/AddressLine1 | CityUSAddress/City | StateUSAddress/State | ZIP CodeUSAddress/ZIPCode | TitleTitleTxt | Average Hrs Per Wk Devoted To PosAverageHrsPerWkDevotedToPosRt | CompensationCompensationAmt | Employee Benefit ProgramEmployeeBenefitProgramAmt | Expense Account Other AllwncExpenseAccountOtherAllwncAmt |
|---|---|---|---|---|---|---|---|---|
| JUDY HOFFMAN | ||||||||
| 7 ALBY STREET | ALTON | IL | 62002 | PRESIDENT | 1.00 | $0 | $0 | $0 |
| RICHARD KEATING | ||||||||
| PO BOX 13 | EDWARDSVILLE | IL | 62025 | VICE PRESIDE | 1.00 | $0 | $0 | $0 |
| LAURA ASHER | ||||||||
| 1406 LIBERTY STREET | ALTON | IL | 62002 | DIRECTOR | 0.50 | $0 | $0 | $0 |
| ROBERT MCCLELLAN | ||||||||
| 7645 SHERRY CREEK ROAD | WORDEN | IL | 62097 | TREASURER | 2.00 | $0 | $0 | $0 |
| ANITA COOPER | ||||||||
| 4012 STONELEDGE DRIVE | GODFREY | IL | 62035 | DIRECTOR | 0.50 | $0 | $0 | $0 |
| MARK MAGGOS | ||||||||
| 4546 LEVIS LANE | GODFREY | IL | 62035 | DIRECTOR | 0.50 | $0 | $0 | $0 |
| KAREN ECKERT | ||||||||
| 1348 RUSTICVIEW DRIVE | BALLWIN | MO | 63011 | DIRECTOR | 0.50 | $0 | $0 | $0 |
| JOHN WILLIAMS | ||||||||
| 304 E EXCHANGE STREET | JERSEYVILLE | IL | 62052 | DIRECTOR | 0.50 | $0 | $0 | $0 |
| JEFF WEBER | ||||||||
| 69 DANFORTH ROAD | ALTON | IL | 62002 | DIRECTOR | 0.50 | $0 | $0 | $0 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Hghst Pd Empl Or NONE | NONE | CompOfHghstPdEmplOrNONETxt |
Compensation Of Hghst Pd Cntrct CompensationOfHghstPdCntrctGrp
Business Name BusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | CAPITAL GROUP COMPANIES | BusinessNameLine1 |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 6455 IRVINE CENTER DR | AddressLine1 |
| City | IRVINE | City |
| State | CA | State |
| ZIP Code | 92618 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Service Type | INVESTMENTS | ServiceTypeTxt |
| Compensation | $160,331 | CompensationAmt |
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 | $19,501,347 | AverageMonthlyFMVOfSecAmt |
| Average Monthly Cash Balances | $327,231 | AverageMonthlyCashBalancesAmt |
| FMV All Other Noncharitable Ast | $0 | FMVAllOtherNoncharitableAstAmt |
| Total FMV Of Unused Assets | $19,828,578 | TotalFMVOfUnusedAssetsAmt |
| Adjusted Total FMV Of Unused Ast | $19,828,578 | AdjustedTotalFMVOfUnusedAstAmt |
| Cash Deemed Charitable | $297,429 | CashDeemedCharitableAmt |
| Net Vl Noncharitable Assets | $19,531,149 | NetVlNoncharitableAssetsAmt |
| Minimum Investment Return | $976,557 | MinimumInvestmentReturnAmt |
Distributable Amount DistributableAmountGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | $976,557 | MinimumInvestmentReturnAmt |
| Tax Based On Investment Income | $9,476 | TaxBasedOnInvestmentIncomeAmt |
| Total Tax | $9,476 | TotalTaxAmt |
| Distributable Before Adj | $967,081 | DistributableBeforeAdjAmt |
| Distributable Before Ded | $967,081 | DistributableBeforeDedAmt |
| Distributable As Adjusted | $967,081 | DistributableAsAdjustedAmt |
Qualifying Distri Part XII QualifyingDistriPartXIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | $694,500 | ExpensesAndContributionsAmt |
| Qualifying Distributions | $694,500 | QualifyingDistributionsAmt |
| Adjusted Qualifying Distri | $694,500 | AdjustedQualifyingDistriAmt |
Undistributed Income UndistributedIncomeGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable As Adjusted | $967,081 | DistributableAsAdjustedAmt |
| Excess Distribution Cyov Yr5 | $887,852 | ExcessDistributionCyovYr5Amt |
| Excess Distribution Cyov Yr4 | $544,422 | ExcessDistributionCyovYr4Amt |
| Excess Distribution Cyov Yr3 | $26,282 | ExcessDistributionCyovYr3Amt |
| Excess Distribution Cyov Yr2 | $606,330 | ExcessDistributionCyovYr2Amt |
| Total Excess Distribution Cyov | $2,064,886 | TotalExcessDistributionCyovAmt |
| Qualifying Distributions | $694,500 | QualifyingDistributionsAmt |
| Applied To Current Year | $694,500 | AppliedToCurrentYearAmt |
| Excess Distri Cyov App CY Corpus | $272,581 | ExcessDistriCyovAppCYCorpusAmt |
| Excess Distribution Cyov App CY | $272,581 | ExcessDistributionCyovAppCYAmt |
| Total Corpus | $1,792,305 | TotalCorpusAmt |
| Undistributed Income CY | $0 | UndistributedIncomeCYAmt |
| Excess Distri Cyov From Yr5 | $615,271 | ExcessDistriCyovFromYr5Amt |
| Excess Distri Cyov To Next Yr | $1,177,034 | ExcessDistriCyovToNextYrAmt |
| Excess From Year4 | $544,422 | ExcessFromYear4Amt |
| Excess From Year3 | $26,282 | ExcessFromYear3Amt |
| Excess From Year2 | $606,330 | ExcessFromYear2Amt |
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/AddressLine1 | CityRecipientUSAddress/City | StateRecipientUSAddress/State | ZIP CodeRecipientUSAddress/ZIPCode | Recipient RelationshipRecipientRelationshipTxt | Grant Or Contribution PurposeGrantOrContributionPurposeTxt | AmtAmt |
|---|---|---|---|---|---|---|
| GREAT RIVERS LAND TRUST | ||||||
| PO BOX 821 | ALTON | IL | 62002 | N/A | PIASA HARBOR ACQUISITION | $100,000 |
| THE NATRUE INSTITUTE | ||||||
| 2213 S LEVIS LANE | GODFREY | IL | 62035 | N/A | GENERAL OPERATIONS | $294,500 |
| SIERRA CLUB FOUNDATION | ||||||
| 85 SECOND STREET STE 750 | SAN FRANCISCO | CA | 94105 | N/A | GENERAL OPERATIONS | $111,320 |
| TREEHOUSE WILDLIFE CENTER | ||||||
| 1825 FOSTERBURG ROAD | BRIGHTON | IL | 62012 | N/A | DOW PROPERTY ACQUISITION | $100,000 |
| GREAT RIVERS LAND TRUST | ||||||
| PO BOX 821 | ALTON | IL | 62002 | N/A | CAPACITY BUILDING | $30,000 |
| GREAT RIVERS LAND TRUST | ||||||
| PO BOX 821 | ALTON | IL | 62002 | N/A | MEMORIAL GROUNDS | $10,000 |
| THE NATURE INSTITUTE | ||||||
| 2213 S LEVIS LANE | GODFREY | IL | 62035 | N/A | TALAHIE LODGE KITCHEN PROJECT | $10,000 |
| THE NATURE INSTITUTE | ||||||
| 2213 S LEVIS LANE | GODFREY | IL | 62035 | N/A | CABIN RESTORATION PROJECT | $5,000 |
| LEWIS & CLARK COLLEGE FOUNDATION | ||||||
| 5800 GODFREY ROAD | GODFREY | IL | 62035 | N/A | OPERATING GRANT | $5,000 |
| WATERSHED NATURE CENTER | ||||||
| 1591 TOWER AVE | EDWARDSVILLE | IL | 62025 | N/A | OPERATING GRANT | $5,000 |
| TREEHOUSE WILDLIFE CENTER | ||||||
| 23956 GREEN ACRES ROAD | DOW | IL | 62022 | N/A | OPERATING GRANT | $3,000 |
| SIERRA CLUB FOUNDATION | ||||||
| 85 SECOND STREET STE 750 | SAN FRANCISCO | CA | 94105 | N/A | PIASA PALISADE CHAPTER GRANT | $3,000 |
| CENTER FOR AMERICAN ARCHEOLOGY | ||||||
| PO BOX 366 | KAMPSVILLE | IL | 62053 | N/A | OPERATING GRANT | $2,000 |
| BEVERLY FARM | ||||||
| 6301 HUMBERT ROAD | GODFREY | IL | 62035 | N/A | EQUESTRIAN CENTER PROJECT | $2,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Grant Or Contri Pd Dur Yr | $680,820 | TotalGrantOrContriPdDurYrAmt |
Analysis Income Producing Acty AnalysisIncomeProducingActyGrp
Int On Sav And Temp Cash Invst IntOnSavAndTempCashInvstGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $19 | ExclusionAmt |
Div And Int From Sec Part VII DivAndIntFromSecPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $385,344 | ExclusionAmt |
Other Investment Incm Part VII OtherInvestmentIncmPartVIIGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 14 | ExclusionCd |
| Exclusion | $600 | ExclusionAmt |
Gain Sales Ast Oth Than Invntry GainSalesAstOthThanInvntryGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | 18 | ExclusionCd |
| Exclusion | $271,919 | ExclusionAmt |
Subtotals Incm Producing Acty SubtotalsIncmProducingActyGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | $657,882 | ExclusionAmt |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Income Producing Acty | $657,882 | TotalIncomeProducingActyAmt |
Trnsfr Trans Rln Nonchrtbl EO TrnsfrTransRlnNonchrtblEOGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Nonchrtbl EO | false | TrnsfrOfCashToNonchrtblEOInd |
| Trnsfr Other Asset Nonchrtbl EO | false | TrnsfrOtherAssetNonchrtblEOInd |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssetsInd |
| Purchase Of Assets Nonchrtbl EO | false | PurchaseOfAssetsNonchrtblEOInd |
| Rental Of Facilities Oth Assets | false | RentalOfFacilitiesOthAssetsInd |
| Reimbursement Arrangements | false | ReimbursementArrangementsInd |
| Loans Or Loan Guarantees | false | LoansOrLoanGuaranteesInd |
| Performance Of Services Etc | false | PerformanceOfServicesEtcInd |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtcInd |
| Relationships Nonchrtbl EO | false | RelationshipsNonchrtblEOInd |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees Detail AccountingFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | ACCOUNTING/TAX PREPARATION | CategoryTxt |
| Amt | $4,528 | Amt |
| Net Investment Income | $3,660 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $3,660 | AdjustedNetIncomeAmt |
| Disbursements Charitable Prps | $868 | DisbursementsCharitablePrpsAmt |
Compensation Explanation CompensationExplanation
Compensation Explanation CompensationExplanationGrp (9 entries)
| JUDY HOFFMAN |
| RICHARD KEATING |
| LAURA ASHER |
| ROBERT MCCLELLAN |
| ANITA COOPER |
| MARK MAGGOS |
| KAREN ECKERT |
| JOHN WILLIAMS |
| JEFF WEBER |
Gain Loss Sale Other Assets Sch GainLossSaleOtherAssetsSch
Gain Loss Sale Other Asset GainLossSaleOtherAssetGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| How Acquired | PURCHASE | HowAcquiredTxt |
Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule
Investments Corporate Bonds InvestmentsCorporateBondsGrp (2 entries)
| BondBondNm | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| CORPORATE BONDS | $1,260,994 | $1,251,818 |
| MUTUAL FUNDS | $1,901,771 | $1,879,317 |
Investments Corp Stock Schedule InvestmentsCorpStockSchedule
Investments Corporate Stock InvestmentsCorporateStockGrp (2 entries)
| StockStockNm | EOY Book ValueEOYBookValueAmt | EOYFMVEOYFMVAmt |
|---|---|---|
| COMMON STOCK | $8,098,305 | $11,336,325 |
| MUTUAL FUNDS | $1,827,811 | $1,718,213 |
Investments Govt Obligations Sch InvestmentsGovtObligationsSch
| Field | Value | IRS element (for citing) |
|---|---|---|
| US Govt Obligations Book Vl EOY | $4,132,275 | USGovtObligationsBookVlEOYAmt |
| US Govt Obligations EOYFMV | $4,063,951 | USGovtObligationsEOYFMVAmt |
| State Local Sec Book Vl EOY | $145,000 | StateLocalSecBookVlEOYAmt |
| State Local Sec EOYFMV | $140,587 | StateLocalSecEOYFMVAmt |
Legal Fees Schedule LegalFeesSchedule
Legal Fees LegalFeesGrp
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | LEGAL FEES | CategoryTxt |
| Legal Fees | $252 | LegalFeesAmt |
| Disbursements Charitable Prps | $252 | DisbursementsCharitablePrpsAmt |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses Schedule OtherExpensesScheduleGrp (10 entries)
| DescDesc | Revenue And Expenses Per BooksRevenueAndExpensesPerBooksAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt |
|---|---|---|
| EXPENSES | ||
| BANK CHARGES | $62 | $62 |
| COMPUTER EXPENSES | $973 | $973 |
| DUES AND SUBSCRIPTIONS | $290 | $290 |
| INSURANCE | $2,800 | $2,800 |
| MISCELLANEOUS | $75 | $75 |
| OFFICE SUPPLIES | $236 | $236 |
| PENALTIES | $46 | |
| POSTAGE | $105 | $105 |
| TRAVEL REIMBURSEMENT | $187 | $187 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income Detail OtherIncomeDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Desc | OTHER INCOME | Desc |
| Revenue And Expenses Per Books | $600 | RevenueAndExpensesPerBooksAmt |
| Net Investment Income | $600 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $600 | AdjustedNetIncomeAmt |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees Detail OtherProfessionalFeesDetail
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | INVESTMENT MANAGEMENT | CategoryTxt |
| Amt | $160,331 | Amt |
| Net Investment Income | $160,331 | NetInvestmentIncomeAmt |
| Adjusted Net Income | $160,331 | AdjustedNetIncomeAmt |
Taxes Schedule TaxesSchedule
Taxes Detail TaxesDetail (3 entries)
| CategoryCategoryTxt | AmtAmt | Disbursements Charitable PrpsDisbursementsCharitablePrpsAmt | Net Investment IncomeNetInvestmentIncomeAmt | Adjusted Net IncomeAdjustedNetIncomeAmt |
|---|---|---|---|---|
| LICENSES | $10 | $10 | ||
| FEDERAL EXCISE TAX | $9,476 | |||
| FOREIGN TAX | $20,094 | $20,094 | $20,094 |
Comments