2012-05-09T13:21:35-05:00 2011-12-31 990PF 2011-01-01 366013118 THE KLAUER FOUNDATION R63705009 KLAU 4149771210 C/O JPMORGAN CHASE BANKNAPOBOX 3038 MILWAUKEE WI 53201 JACK L UDOVICH 4149771210 2012-05-09 2011 2016-02-24 21:20:13Z X 2852153 X X 37 37 61060 61119 161440 1528712 163447 222 222 222759 224825 32042 24031 8011 825 0 825 3643 776 0 15 907 15 36525 25714 8851 137175 137175 173700 25714 146026 49059 199111 12391 15210 15210 71343 190193 190193 1893061 1907267 1989429 749796 663300 657321 2726591 2775970 2852153 0 0 X 2726591 2775970 0 0 0 0 2726591 2775970 2726591 2775970 2726591 49059 320 2775970 0 2775970 PUBLICLY TRADED SECURITES 1513368 1367272 146096 146096 POWERSHARES DB INDEX K-1 P -496 -496 POWERSHARES DB INDEX K-1 P 1703 1703 POWERSHARES DB INDEX SEC 1256 P 800 800 CAPITAL GAINS DIVIDENDS P 15344 15344 15344 163447 0 125077 2937946 0.042573 103422 2623828 0.039416 227930 3043176 0.074899 140196 3628756 0.038635 127378 2928351 0.043498 0.239021 0.047804 3010687 143923 1991 145914 146026 X 1991 0 1991 0 1991 2000 2000 9 9 0 0 0 0 0 0 0 0 0 0 0 1 1 IL 1 0 0 0 0 1 N/A JPMORGAN CHASE BANK NA 2149652231 2200 ROSS AVE DALLAS TX 75201 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 JPMORGAN CHASE BANK NA PO BOX 3038 MILWAUKEE WI 53201 2.00 32042 0 0 NONE 0 NONE 0 N/A 0 N/A 0 0 0 2949509 107026 0 3056535 0 0 3056535 45848 3010687 150534 150534 1991 1991 148543 0 148543 0 148543 146026 0 146026 1991 144035 148543 136211 0 0 146026 136211 0 0 9815 0 0 0 0 0 0 0 0 138728 0 0 0 JPMORGAN CHASE BANK NA 10 S DEARBORN CHICAGO IL 606032003 3127326385 LETTER NONE PER TRUST INSTRUMENT ASSN OF FUNDRAISING PROFESSIONALS 3390 WINDSOR AVE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 BETHANY HOME 321 N CHESTNUT ST LINDSBORG KS 67456 NONE PUBLIC CHARITY PROGRAM SUPPORT 10000 BOYS & GIRLS CLUB OF GREATER DUBUQUE 1299 LOCUST DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 2500 CAMP ALBRECHT ACRES OF THE MIDWEST PO BOX 50 SHERRILL IA 52073 NONE PUBLIC CHARITY PROGRAM SUPPORT 500 CARNEGIE STOUT LIBRARY FOUNDATION PO BOX 27 DUBUQUE IA 520040027 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 CATHOLIC CHARITIES OF THE ARCHDIOCESE OF DUBUQUE PO BOX 1309 DUBUQUE IA 520041309 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 CLARKE COLLEGE - KLAUER FAMILY SCHOLARSHIP FUND 1550 CLARKE DRIVE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 10000 COLTS DRUM & BUGLE CORPS 1101 CENTRAL AVE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 2000 COMMUNITY FOUNDATION OF GREATER DUBUQUE PO BOX 902 DUBUQUE IA 520040902 NONE PUBLIC CHARITY PROGRAM SUPPORT 14000 DIVINE WORD COLLEGE 102 JACOBY DR SW EPWORTH IA 52045 NONE PUBLIC CHARITY PROGRAM SUPPORT 500 DUBUQUE ARBORETUM & BOTANICAL GARDENS MARSHALL PARK DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 500 DUBUQUE ARTS COUNCIL 2728 ASBURY ROAD DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 500 DUBUQUE COUNTY HISTORICAL SOCIETY PO BOX 266 DUBUQUE IA 520040266 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 DUBUQUE HUMANE SOCIETY 175 NORTH CRESCENT RIDGE DUBUQUE IA 52003 NONE PUBLIC CHARITY PROGRAM SUPPORT 1500 DUBUQUE MUSEUM OF ART 701 LOCUST STREET DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 2000 DUBUQUE SYMPHONY ORCHESTRA 2728 ASBURY RD SUITE 900 DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 2000 FINLEY HEALTH FOUNDATION 350 NORTH GRANDVIEW AVE DUBUQUE IA 520016328 NONE PUBLIC CHARITY PROGRAM SUPPORT 4000 FOUR MOUNDS FOUNDATION 4900 PERU ROAD DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 GRAND OPERA HOUSE PO BOX 632 DUBUQUE IA 520040632 NONE PUBLIC CHARITY PROGRAM SUPPORT 2000 HILLCREST FAMILY SERVICES 2005 ASBURY DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 HILLS & DALES 1011 DAVIS AVE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 HOLY FAMILY CATHOLIC SCHOOLS 2005 KANE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 10000 IOWA COLLEGE FOUNDATION 505 - 5TH AVE SUITE 1034 DES MOINES IA 50309 NONE PUBLIC CHARITY PROGRAM SUPPORT 2500 IOWA SCHOLARSHIP FUND INC U OF IA CARVER-HAWKEYE ARENA IOWA CITY IA 52242 NONE PUBLIC CHARITY PROGRAM SUPPORT 2000 JUNIOR ACHIEVEMENT - HEARTLAND 2728 ASBURY ROAD DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 LINWOOD CEMETERY ASSOCIATION 2735 WINDSOR DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 200 LORAS COLLEGE - KLAUER FAMILY SCHOLARSHIP FUND PO BOX 178 DUBUQUE IA 520040178 NONE PUBLIC CHARITY PROGRAM SUPPORT 10000 LUTHER MANOR 4545 NORTH 92ND STREET WAUWATOSA WI 53225 NONE PUBLIC CHARITY PROGRAM SUPPORT 2000 MARIA HOUSEOPENING DOORS 1561 JACKSON STREET DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 500 MERCY MEDICAL CENTER 250 MERCY DRIVE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 5000 MOUNT PLEASANT HOME 301 SOUTH HUNTINGTON AVENUE JAMAICA PLAIN MA 02130 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 RED CROSS 2400 ASBURY ROAD DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 500 SAINT MARKS COMMUNITY CENTER 1201 LOCUST ST DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 SALVATION ARMY PO BOX 416 DUBUQUE IA 520040416 NONE PUBLIC CHARITY PROGRAM SUPPORT 400 SISTERS OF CHARITY PO BOX 858 DUBUQUE IA 520040858 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 SISTERS OF ST FRANCIS 3390 WINDSOR AVE DUBUQUE IA 520011311 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 ST VINCENT DE PAUL SOCIETY 1351 IOWA STREET DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 825 STONEHILL CARE CENTER 3485 WINDSOR AVE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 TERESA SHELTER OPENING DOORS 1111 BLUFF DRIVE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 500 TRI-STATE INDEPENDENT BLIND SOC 3333 ASBURY DUBUQUE IA 52002 NONE PUBLIC CHARITY PROGRAM SUPPORT 250 UNITED WAY OF DUBUQUE 215 WEST 6TH STREET DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 24000 UNIVERSITY OF DUBUQUE - KLAUER FAMILY SCHOLARSHIP FUND 2000 UNIVERSITY AVENUE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 10000 UNIVERSITY OF NOTRE DAME - SCHOLARSHIPS 115 MAIN BUILDINGS NOTRE DAME IN 465565602 NONE PUBLIC CHARITY PROGRAM SUPPORT 1000 VISITING NURSE ASSOCIATION PO BOX 359 DUBUQUE IA 520040359 NONE PUBLIC CHARITY PROGRAM SUPPORT 2000 WARTBURG SEMINARY 333 WARTBURG PLACE DUBUQUE IA 52001 NONE PUBLIC CHARITY PROGRAM SUPPORT 500 137175 0 14 37 14 61060 14 222 18 161440 0 222759 0 222759 0 0 0 0 0 0 0 0 0 0 TAX PREPARATION FEES 825 0 825 N/A 0 BLACKROCK HIGH YIELD BOND - 15101.37 SHS 118546 111599 JPM HIGH YIELD FD - SEL FUND 3580 6.04% - 14234.58 SHS 110087 108468 JPM SHORT DURATION BOND FD - SEL FUND 3133 0.86% - 14850.2 SHS 159820 162610 DREYFUS/LAUREL FDS TR PRM EMRGN MK I - 4747.81 SHS 67266 62481 JPM STR INC OPP FD FUND 3844 3.23% - 7383.2 SHS 74855 83652 JPM INTL CURRENCY INCOME FD 1.21% - 5495.01 SHS 60499 59511 JPM TR I INFL MANAGED BD - SEL 2.19% - 2588.29 SHS 27617 27125 DB 95% PPN FX BASKET 2/1/13 7/29/11 - 25000 SHS 24778 23105 BARC 93% PPN CURRENCY BASKET 9/13/13 ,UNCAPPED 9/9/11 - 20000 SHS 19832 18770 ABBOTT LABORATORIES - 46 SHS 2123 2587 ALLERGAN INC - 16 SHS 1379 1404 AMAZON COM INC - 27 SHS 3611 4674 ANADARKO PETROLEUM CORP - 33 SHS 2440 2519 APPLE INC. - 33 SHS 4800 13365 AUTOZONE INC - 5 SHS 1436 1625 BAKER HUGHES INC - 23 SHS 1315 1119 CVS CAREMARK CORPORATION - 38 SHS 761 1550 CAMPBELL SOUP COMPANY - 55 SHS 1977 1828 CAPITAL ONE FINANCIAL CORP - 43 SHS 1957 1818 CARDINAL HEALTH INC - 71 SHS 2132 2883 CELGENE CORPORATION - 41 SHS 2064 2772 CISCO SYSTEMS INC - 236 SHS 2787 4267 CITRIX SYSTEMS INC - 17 SHS 982 1032 COCA-COLA CO - 31 SHS 2120 2169 COLGATE PALMOLIVE CO - 21 SHS 1655 1940 DARDEN RESTAURANTS INC - 22 SHS 953 1003 E I DU PONT DE NEMOURS & CO - 105 SHS 4049 4807 E M C CORP MASS - 80 SHS 1638 1723 EMERSON ELECTRIC CO - 41 SHS 2215 1910 FREEPORT-MCMORAN COPPER & GOLD INC CL B - 42 SHS 921 1545 GENERAL ELECTRIC CO - 122 SHS 1984 2185 GENERAL MILLS INC - 50 SHS 1467 2021 HOME DEPOT INC - 35 SHS 1182 1471 HUMANA INC - 39 SHS 3038 3417 JOHNSON & JOHNSON - 65 SHS 4100 4263 JOHNSON CONTROLS INC - 155 SHS 3458 4845 LAM RESEARCH CORP - 16 SHS 702 592 THE ESTEE LAUDER COMPANIES INC CL A - 13 SHS 1317 1460 LENNAR CORP - 65 SHS 981 1277 LOWES COMPANIES INC - 167 SHS 3615 4238 MICROS SYSTEMS INC - 13 SHS 652 606 MICROSOFT CORP - 340 SHS 8710 8826 NIKE INC B - 28 SHS 1846 2698 NORFOLK SOUTHERN CORP - 81 SHS 3203 5902 OCCIDENTAL PETROLEUM CORP - 67 SHS 4303 6278 ORACLE CORP - 140 SHS 3251 3591 PACCAR INC - 75 SHS 2661 2810 PFIZER INC - 259 SHS 3572 5605 PIONEER NATURAL RESOURCES CO - 10 SHS 744 895 PROCTER & GAMBLE CO - 75 SHS 3975 5003 QUALCOMM INC - 72 SHS 2665 3938 T ROWE PRICE INTERNATIONAL FUNDS INC NEW ASIA FUND - 1761.1 SHS 23188 24497 SCHLUMBERGER LTD - 72 SHS 6016 4918 SOUTHWESTERN ENERGY CO - 19 SHS 750 607 UNITED TECHNOLOGIES CORP - 76 SHS 4357 5555 VERTEX PHARMACEUTICALS INC - 32 SHS 1004 1063 WILLIAMS COMPANIES INC - 84 SHS 2532 2774 XILINX CORP - 76 SHS 2272 2437 COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A - 44 SHS 2243 2830 WELLS FARGO & CO - 233 SHS 5346 6421 THORNBURG VALUE FUND FD CL I - 2514.81 SHS 80499 75168 BANK OF AMERICA CORP - 234 SHS 3470 1301 GOLDMAN SACHS GROUP INC - 29 SHS 2718 2622 DEVON ENERGY CORP - 14 SHS 938 868 EOG RESOURCES INC - 13 SHS 823 1281 HONEYWELL INTERNATIONAL INC - 54 SHS 2212 2935 DOMINION RESOURCES INC VA - 30 SHS 1512 1592 TARGET CORP - 39 SHS 1845 1998 UNITEDHEALTH GROUP INC - 50 SHS 2074 2534 VERIZON COMMUNICATIONS INC - 92 SHS 2081 3691 GLOBAL PAYMENTS INC - 25 SHS 1221 1185 US BANCORP DEL - 75 SHS 1974 2029 ISHARES COHEN & STEERS REALTY MAJORS INDEX FUND - 437 SHS 13174 30686 DODGE & COX INTERNATIONAL STOCK - 2589.27 SHS 95156 75710 ISHARES RUSSELL MIDCAP GROWTH INDEX FUND - 1500 SHS 85606 82575 ISHARES RUSSELL MIDCAP INDEX FUND - 610 SHS 54050 60036 YUM BRANDS INC - 75 SHS 2579 4426 CENTERPOINT ENERGY INC - 149 SHS 2539 2993 COMCAST CORP CL A - 85 SHS 1532 2015 CARNIVAL CORPORATION - 62 SHS 2084 2024 ARBITRAGE FUNDS - I CL I - 5018.11 SHS 65691 65737 ASTON OPTIMUM MID CAP FUND I - 1927.73 SHS 65119 57774 JPM LARGE CAP GROWTH FD - SEL FUND 3118 - 1666.67 SHS 35000 35767 JPM US REAL ESTATE FD - SEL FUND 3037 - 1827.34 SHS 28515 29585 JPM MID CAP GROWTH - SEL FUND 3120 - 1802.2 SHS 33346 35287 JPM US LRGE CAP CORE PLUS FD - SEL FUND 1002 - 5319.76 SHS 101309 105012 AT&T INC - 100 SHS 3541 3024 CBS CORP CLASS B W/I - 106 SHS 2865 2877 EDGEWOOD GROWTH FUND - 9293.57 SHS 72249 108549 CAMERON INTERNATIONAL CORPORATION - 20 SHS 1059 984 POWERSHARES DB COMMODITY INDEX TRACKING FUND - 3694 SHS 83156 99147 HARTFORD CAPITAL APPRECIATION FUND - 2660.78 SHS 80499 76657 MANNING & NAPIER FUND INC WORLD OPPORTUNITIES SERIES FUND - 8102.56 SHS 51932 53720 EATON VANCE MUT FDS TR GLOBAL MACRO - I - 9284.4 SHS 96019 91173 INVESCO LTD - 95 SHS 1845 1909 NETAPP INC - 20 SHS 713 725 ACE LTD NEW - 35 SHS 1886 2454 ARTIO INTERNATIONAL 3 II - I - 1074.09 SHS 8120 10258 TYCO INTERNATIONAL LTD - 60 SHS 2342 2803 TIME WARNER INC NEW - 183 SHS 4445 6614 MERCK AND CO INC - 189 SHS 6193 7125 JPM RESEARCH MARKET NEUTRAL FD - SEL - 2935.49 SHS 45092 42036 HIGHBRIDGE DYNAMIC COMM STRG FD -SEL - 2629.92 SHS 37515 45050 NEXTERA ENERGY INC - 32 SHS 1828 1948 MS BREN CMDTY DJUBSF2 1/12/12 DOW JONES-UBS INDEX 07/02/10 - 20000 SHS 19750 22759 MATTHEWS PACIFIC TIGER INSTL FUND - 4175.43 SHS 65850 84845 BARC BREN EAFE 2/23/12 INITIAL LEVEL-2/4/11- 30000 SHS 29700 26115 DB REN SPX 3/7/12 INITIAL LEVEL-2/18/11- 50000 SHS 49500 47080 CS BREN EAFE 3/14/12 INITIAL LEVEL-02/25/11- 30000 SHS 29700 25950 COVIDIEN PLC NEW - 53 SHS 2238 2386 GS REN SPX 4/10/12 INITIAL LEVEL-3/25/11- 50000 SHS 49500 48445 JOHN HANCOCK II-EMG MKTS-I - 2790.33 SHS 29103 25280 CITIGROUP INC NEW - 92 SHS 3437 2421 BNP CONT BUFF EQ SPX 05/23/12 INITIAL LEVEL-05/06/11- 50000 SHS 49500 47734 GS BREN EAFE 06/20/12 INITIAL LEVEL-06/03/11:- 30000 SHS 29700 25547 MS CONT BUFF EQ SPX 06/20/12 INITIAL LEVEL-06/03/11 - 45000 SHS 44550 43823 DB BREN ASIA BASKET 07/11/12 INITIAL LEVEL-06/24/11- 30000 SHS 29700 26034 CS BREN EAFE 07/25/12 INITIAL LEVEL-07/01/11: - 30000 SHS 29700 24840 GS CONT BUFF EQ SPX 08/08/12 INITIAL LEVEL-07/22/11- 50000 SHS 49500 47017 BROADCOM CORP CL A - 25 SHS 831 734 JUNIPER NETWORKS INC - 127 SHS 2630 2592 EXXON MOBIL CORP - 79 SHS 4964 6696 METLIFE INC - 106 SHS 3896 3305 MONSANTO CO - 16 SHS 1110 1121 KRAFT FOODS INC CLASS A - 101 SHS 3487 3773 PRUDENTIAL FINANCIAL INC - 46 SHS 1580 2306 CONOCOPHILLIPS - 56 SHS 2645 4081 BIOGEN IDEC INC - 28 SHS 2079 3081 BAIDU INC SPONS ADR - 10 SHS 922 1165 INTERCONTINENTAL EXCHANGE INC - 7 SHS 782 844 TD AMERITRADE HOLDING CORPORATION - 66 SHS 1018 1033 MASTERCARD INC - CLASS A - 4 SHS 731 1491 GENERAL MOTORS CO - 78 SHS 2649 1581 GS BREN EEM 11/07/12 INITIAL LEVEL-10/21/11- 30000 SHS 29700 29903 ILLINOIS CHARITY BUREAU 15 0 15 POWERSHARES DB INDEX K-1 0 907 0 OID INCOME 222 222 222 RETURN OF CAPITAL ADJUSTMENT 320 EXCISE TAX BALANCE DUE - PRIOR YEAR 867 0 0 ESTIMATED EXCISE TAX - CURRENT YEAR 2000 0 0 FOREIGN TAXES WITHHELD 776 776 0