VERNON S AND ROWENA W GRIFFITH FOUNDATION: Form 990PF, tax year 2011
View the entire original 990 at ProPublica ↗
- Organization
- VERNON S AND ROWENA W GRIFFITH FOUNDATION (EIN 23-7135835)
- Tax period
- 2011-01-01 to 2011-12-31
- Filed
- 2012-05-10
- IRS object ID
- 201221319349101232
- Schema version
- 2011v1.2
- 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
- Land Etc Schedule2
- Legal Fees Schedule
- Other Assets Schedule
- Other Expenses Schedule
- Other Income Schedule2
- Other Liabilities Schedule
- Other Professional Fees Schedule
- Taxes Schedule
Return header ReturnHeader
| Field | Value | IRS element (for citing) |
|---|---|---|
| Timestamp | 2012-05-10T14:33:01-07:00 | Timestamp |
| Tax Period End Date | 2011-12-31 | TaxPeriodEndDate |
Preparer Firm PreparerFirm
Preparer Firm Business Name PreparerFirmBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | HARKER MELLINGER CPAs LLC | BusinessNameLine1 |
Preparer Firm US Address PreparerFirmUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1470 Sugarland Dr Ste 1 | AddressLine1 |
| City | Sheridan | City |
| State | WY | State |
| ZIP Code | 82801 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Return Type | 990PF | ReturnType |
| Tax Period Begin Date | 2011-01-01 | TaxPeriodBeginDate |
Filer Filer
| Field | Value | IRS element (for citing) |
|---|---|---|
| EIN | 237135835 | EIN |
Name Name
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | VERNON S & ROWENA W GRIFFITH FOUNDATION | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name Control | VERN | NameControl |
US Address USAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 2 NORTH MAIN STREET SUITE 401 | AddressLine1 |
| City | SHERIDAN | City |
| State | WY | State |
| ZIP Code | 82801 | ZIPCode |
Officer Officer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | ROMAN SKATULA | Name |
| Title | Treasurer | Title |
| Date Signed | 2012-05-10 | DateSigned |
| Authorize Third Party | true | AuthorizeThirdParty |
Preparer Preparer
| Field | Value | IRS element (for citing) |
|---|---|---|
| Name | STEVEN C HARKER CPA | Name |
| Phone | 3076720785 | Phone |
| Self Employed | X | SelfEmployed |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tax Year | 2011 | TaxYear |
| Build TS | 2016-02-24 21:20:13Z | BuildTS |
Form 990-PF IRS990PF
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exempt PF | X | ExemptPF |
| FMV Assets EOY | 13953610 | FMVAssetsEOY |
| Method Of Accounting Cash | X | MethodOfAccountingCash |
Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses
| Field | Value | IRS element (for citing) |
|---|---|---|
| Not Required To Attach Schedule B | X | NotRequiredToAttachScheduleB |
| Interest On Savings Rev And Expnss | 309 | InterestOnSavingsRevAndExpnss |
| Interest On Savings Net Invst Incm | 309 | InterestOnSavingsNetInvstIncm |
| Dividends Rev And Expnss | 526330 | DividendsRevAndExpnss |
| Dividends Net Invst Incm | 526330 | DividendsNetInvstIncm |
| Net Gain Sale Assets Rev And Expnss | 344514 | NetGainSaleAssetsRevAndExpnss |
| Gross Sales Price | 7622768 | GrossSalesPrice |
| Capital Gain Net Incm Net Invst Incm | 344514 | CapitalGainNetIncmNetInvstIncm |
| Other Income Rev And Expnss | 233602 | OtherIncomeRevAndExpnss |
| Other Income Net Invst Incm | 298822 | OtherIncomeNetInvstIncm |
| Total Revenue And Expenses | 1104755 | TotalRevenueAndExpenses |
| Total Net Investment Income | 1169975 | TotalNetInvestmentIncome |
| Comp Ofcr Dir Trst Rev And Expnss | 20400 | CompOfcrDirTrstRevAndExpnss |
| Comp Ofcr Dir Trst Net Invst Incm | 15300 | CompOfcrDirTrstNetInvstIncm |
| Comp Ofcr Dir Trst Dsbrs Chrtbl Prps | 5100 | CompOfcrDirTrstDsbrsChrtblPrps |
| Legal Fees Rev And Expnss | 2080 | LegalFeesRevAndExpnss |
| Legal Fees Net Invst Incm | 1560 | LegalFeesNetInvstIncm |
| Legal Fees Dsbrs Chrtbl Prps | 520 | LegalFeesDsbrsChrtblPrps |
| Accounting Fees Rev And Expnss | 5100 | AccountingFeesRevAndExpnss |
| Accounting Fees Net Invst Incm | 3825 | AccountingFeesNetInvstIncm |
| Accounting Fees Dsbrs Chrtbl Prps | 1275 | AccountingFeesDsbrsChrtblPrps |
| Other Prof Fees Rev And Expnss | 63538 | OtherProfFeesRevAndExpnss |
| Taxes Rev And Expnss | 26037 | TaxesRevAndExpnss |
| Taxes Net Invst Incm | 3262 | TaxesNetInvstIncm |
| Taxes Dsbrs Chrtbl Prps | 815 | TaxesDsbrsChrtblPrps |
| Deprec And Depletion Rev And Expnss | 151 | DeprecAndDepletionRevAndExpnss |
| Deprec And Depletion Net Invst Incm | 151 | DeprecAndDepletionNetInvstIncm |
| Occupancy Rev And Expnss | 5735 | OccupancyRevAndExpnss |
| Occupancy Net Invst Incm | 4301 | OccupancyNetInvstIncm |
| Occupancy Dsbrs Chrtbl Prps | 1434 | OccupancyDsbrsChrtblPrps |
| Other Expenses Rev And Expnss | 3519 | OtherExpensesRevAndExpnss |
| Other Expenses Net Invst Incm | 2812 | OtherExpensesNetInvstIncm |
| Other Expenses Dsbrs Chrtbl Prps | 707 | OtherExpensesDsbrsChrtblPrps |
| Tot Opr Expenses Rev And Expnss | 126560 | TotOprExpensesRevAndExpnss |
| Tot Opr Expenses Net Invst Incm | 31211 | TotOprExpensesNetInvstIncm |
| Tot Opr Expenses Dsbrs Chrtbl Prps | 9851 | TotOprExpensesDsbrsChrtblPrps |
| Contri Gifts Paid Rev And Expnss | 482500 | ContriGiftsPaidRevAndExpnss |
| Contri Gifts Paid Dsbrs Chrtbl Prps | 482500 | ContriGiftsPaidDsbrsChrtblPrps |
| Total Expenses Rev And Expnss | 609060 | TotalExpensesRevAndExpnss |
| Total Expenses Net Invst Incm | 31211 | TotalExpensesNetInvstIncm |
| Total Expenses Dsbrs Chrtbl Prps | 492351 | TotalExpensesDsbrsChrtblPrps |
| Excess Of Revenue Over Expenses | 495695 | ExcessOfRevenueOverExpenses |
| Net Investment Income | 1138764 | NetInvestmentIncome |
Balance Sheets BalanceSheets
| Field | Value | IRS element (for citing) |
|---|---|---|
| Savings And Temp Cash Invst BOY | 1327045 | SavingsAndTempCashInvstBOY |
| Savings And Temp Cash Invst EOY | 1127809 | SavingsAndTempCashInvstEOY |
| Savings And Temp Cash Invst EOYFMV | 96609 | SavingsAndTempCashInvstEOYFMV |
| Accounts Receivable | 5558 | AccountsReceivable |
| Accounts Receivable BOY | 2831 | AccountsReceivableBOY |
| Accounts Receivable EOY | 5558 | AccountsReceivableEOY |
| Other Notes And Loans Receivable | 250000 | OtherNotesAndLoansReceivable |
| Other Notes And Loans Rcvbl BOY | 250000 | OtherNotesAndLoansRcvblBOY |
| Other Notes And Loans Rcvbl EOY | 250000 | OtherNotesAndLoansRcvblEOY |
| Investments Govt Oblig BOY | 11963806 | InvestmentsGovtObligBOY |
| Investments Govt Oblig EOY | 12648430 | InvestmentsGovtObligEOY |
| Investments Govt Oblig EOYFMV | 13532562 | InvestmentsGovtObligEOYFMV |
| Investments Land Etc EOYFMV | 150000 | InvestmentsLandEtcEOYFMV |
| Land Building And Equipment Basis | 25852 | LandBuildingAndEquipmentBasis |
| Accum Deprec Land Bldg And Equip | 25518 | AccumDeprecLandBldgAndEquip |
| Land Building And Equipment BOY | 486 | LandBuildingAndEquipmentBOY |
| Land Building And Equipment EOY | 334 | LandBuildingAndEquipmentEOY |
| Land Building And Equipment EOYFMV | 1000 | LandBuildingAndEquipmentEOYFMV |
| Other Assets BOY | 95502 | OtherAssetsBOY |
| Other Assets EOY | 95680 | OtherAssetsEOY |
| Other Assets EOYFMV | 173439 | OtherAssetsEOYFMV |
| Total Assets BOY | 13639670 | TotalAssetsBOY |
| Total Assets EOY | 14127811 | TotalAssetsEOY |
| Total Assets EOYFMV | 13953610 | TotalAssetsEOYFMV |
| Other Liabilities BOY | 10029 | OtherLiabilitiesBOY |
| Other Liabilities EOY | 2475 | OtherLiabilitiesEOY |
| Total Liabilities BOY | 10029 | TotalLiabilitiesBOY |
| Total Liabilities EOY | 2475 | TotalLiabilitiesEOY |
| Org That Follow SFAS117 | X | OrgThatFollowSFAS117 |
| Permanently Restricted BOY | 13629641 | PermanentlyRestrictedBOY |
| Permanently Restricted EOY | 14125336 | PermanentlyRestrictedEOY |
| Total Net Assets BOY | 13629641 | TotalNetAssetsBOY |
| Total Net Assets EOY | 14125336 | TotalNetAssetsEOY |
| Total Liabilities Net Assets BOY | 13639670 | TotalLiabilitiesNetAssetsBOY |
| Total Liabilities Net Assets EOY | 14127811 | TotalLiabilitiesNetAssetsEOY |
Changes In Net Assets Fund Balances ChangesInNetAssetsFundBalances
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Net Assets Fund Balances BOY | 13629641 | TotalNetAssetsFundBalancesBOY |
| Excess Of Revenue Over Expenses | 495695 | ExcessOfRevenueOverExpenses |
| Subtotal | 14125336 | Subtotal |
| Total Net Assets Fund Balances EOY | 14125336 | TotalNetAssetsFundBalancesEOY |
Capital Gains And Losses CapitalGainsAndLosses
Capital Gains And Losses Info CapitalGainsAndLossesInfo (387 entries)
| Description Of AssetDescriptionOfAsset | How AcquiredHowAcquired | Date AcquiredDateAcquired | Date SoldDateSold | Gross Sales PriceGrossSalesPrice | Gain Or LossGainOrLoss | Gains Minus Excess Or LossesGainsMinusExcessOrLosses | Cost Or Other BasisCostOrOtherBasis |
|---|---|---|---|---|---|---|---|
| CAPITAL GAIN DISTRIBUTIONS | P | 2011-01-01 | 2011-12-31 | 434 | 434 | 434 | |
| 572 YUM BRANDS INC | P | 2011-02-17 | 2011-08-08 | 28071 | -1316 | -1316 | 29387 |
| 83 WHOLE FOODS MARKET INC | P | 2011-01-07 | 2011-05-02 | 5109 | 1100 | 1100 | 4009 |
| 77 WHOLE FOODS MARKET INC | P | 2010-05-20 | 2011-05-02 | 4739 | 1700 | 1700 | 3039 |
| 240 WHOLE FOODS MARKET INC | P | 2010-04-29 | 2011-05-02 | 14772 | 5354 | 5354 | 9418 |
| 153 URBAN OUTFITTERS INC | P | 2010-05-20 | 2011-01-19 | 5321 | -11 | -11 | 5332 |
| 28 URBAN OUTFITTERS INC | P | 2010-01-13 | 2011-01-19 | 974 | 21 | 21 | 953 |
| 46 URBAN OUTFITTERS INC | P | 2009-12-18 | 2011-01-19 | 1600 | 81 | 81 | 1519 |
| 193 URBAN OUTFITTERS INC | P | 2009-12-04 | 2011-01-19 | 6713 | 276 | 276 | 6437 |
| 222 UNIVERSAL HLTH SVC CL B SERVICES CL B | P | 2011-06-27 | 2011-09-08 | 8605 | -2583 | -2583 | 11188 |
| 321 UNIVERSAL HLTH SVC CL B SERVICES CL B | P | 2011-05-17 | 2011-09-08 | 12442 | -4647 | -4647 | 17089 |
| 50 UNITED TECHNOLOGIES CORP | P | 2011-01-07 | 2011-06-06 | 4170 | 195 | 195 | 3975 |
| 113 UNITED TECHNOLOGIES CORP | P | 2010-05-20 | 2011-06-06 | 9425 | 1783 | 1783 | 7642 |
| 24 UNITED TECHNOLOGIES CORP | P | 2010-01-13 | 2011-06-06 | 2002 | 271 | 271 | 1731 |
| 46 UNITED TECHNOLOGIES CORP | P | 2009-12-18 | 2011-06-06 | 3837 | 654 | 654 | 3183 |
| 183 UNITED TECHNOLOGIES CORP | P | 2009-10-09 | 2011-06-06 | 15263 | 3894 | 3894 | 11369 |
| 458 TRW AUTOMOTIVE HOLDINGS CORP | P | 2011-01-19 | 2011-08-22 | 16457 | -11608 | -11608 | 28065 |
| 591 TIBCO SOFTWARE INC | P | 2011-08-24 | 2011-12-15 | 13945 | 2085 | 2085 | 11860 |
| 68 THERMO FISHER SCIENTIFIC SCIENTIFIC INC | P | 2011-01-07 | 2011-12-15 | 3005 | -833 | -833 | 3838 |
| 87 THERMO FISHER SCIENTIFIC SCIENTIFIC INC | P | 2010-05-20 | 2011-12-15 | 3844 | -592 | -592 | 4436 |
| 50 THERMO FISHER SCIENTIFIC SCIENTIFIC INC | P | 2010-01-13 | 2011-12-15 | 2209 | -217 | -217 | 2426 |
| 61 THERMO FISHER SCIENTIFIC SCIENTIFIC INC | P | 2009-12-18 | 2011-12-15 | 2695 | -243 | -243 | 2938 |
| 171 THERMO FISHER SCIENTIFIC SCIENTIFIC INC | P | 2009-10-09 | 2011-12-15 | 7555 | -217 | -217 | 7772 |
| 506 SKYWORKS SOLUTIONS INC | P | 2010-09-20 | 2011-04-11 | 13694 | 3697 | 3697 | 9997 |
| 603 SKYWORKS SOLUTIONS INC | P | 2010-08-12 | 2011-04-11 | 16319 | 5893 | 5893 | 10426 |
| 274 ROVI CORP | P | 2010-11-05 | 2011-03-30 | 15016 | 768 | 768 | 14248 |
| 56 PRAXAIR INC | P | 2011-01-07 | 2011-09-08 | 5425 | 140 | 140 | 5285 |
| 64 PRAXAIR INC | P | 2010-05-28 | 2011-09-08 | 6200 | 1237 | 1237 | 4963 |
| 24 PRAXAIR INC | P | 2010-01-13 | 2011-09-08 | 2325 | 348 | 348 | 1977 |
| 42 PRAXAIR INC | P | 2009-12-18 | 2011-09-08 | 4069 | 706 | 706 | 3363 |
| 19 PRAXAIR INC | P | 2009-10-09 | 2011-09-08 | 1841 | 276 | 276 | 1565 |
| 20 PRAXAIR INC | P | 2009-03-02 | 2011-09-08 | 1937 | 835 | 835 | 1102 |
| 5 PRAXAIR INC | P | 2009-02-04 | 2011-09-08 | 484 | 159 | 159 | 325 |
| 95 PRAXAIR INC | P | 2009-01-26 | 2011-09-08 | 9203 | 3526 | 3526 | 5677 |
| 145 PIONEER NATL RES COMPANY RESOURCES COMPANY | P | 2011-02-22 | 2011-10-05 | 9624 | -4795 | -4795 | 14419 |
| 241 PEABODY ENERGY CORP | P | 2011-08-30 | 2011-12-07 | 8899 | -2667 | -2667 | 11566 |
| 67 NOVO NORDISK AS ADR | P | 2010-05-28 | 2011-01-13 | 7508 | 2337 | 2337 | 5171 |
| 207 NOVO NORDISK AS ADR | P | 2010-02-26 | 2011-01-13 | 23196 | 8468 | 8468 | 14728 |
| 447 NOVARTIS AG SPONS ADR SPONSORED ADR | P | 2011-09-08 | 2011-12-02 | 23975 | -1287 | -1287 | 25262 |
| 217 NORDSON CORP | P | 2011-06-24 | 2011-12-15 | 8725 | -2445 | -2445 | 11170 |
| 320 NORDSON CORP | P | 2011-04-27 | 2011-12-15 | 12867 | -4673 | -4673 | 17540 |
| 125 NIKE INC CLASS B | P | 2010-05-20 | 2011-01-28 | 10184 | 1353 | 1353 | 8831 |
| 31 NIKE INC CLASS B | P | 2010-01-13 | 2011-01-28 | 2526 | 504 | 504 | 2022 |
| 41 NIKE INC CLASS B | P | 2009-12-18 | 2011-01-28 | 3340 | 702 | 702 | 2638 |
| 35 NIKE INC CLASS B | P | 2009-03-02 | 2011-01-28 | 2851 | 1439 | 1439 | 1412 |
| 10 NIKE INC CLASS B | P | 2009-02-04 | 2011-01-28 | 815 | 358 | 358 | 457 |
| 140 NIKE INC CLASS B | P | 2009-01-26 | 2011-01-28 | 11406 | 5076 | 5076 | 6330 |
| 67 NEW ORNTL ED SPONS ADR & TECHNOLOGY GROUP INC SPONSORED ADR | P | 2011-01-07 | 2011-01-11 | 7092 | 68 | 68 | 7024 |
| 9 NEW ORNTL ED SPONS ADR & TECHNOLOGY GROUP INC SPONSORED ADR | P | 2010-01-13 | 2011-01-11 | 953 | 250 | 250 | 703 |
| 17 NEW ORNTL ED SPONS ADR & TECHNOLOGY GROUP INC SPONSORED ADR | P | 2009-12-18 | 2011-01-11 | 1799 | 531 | 531 | 1268 |
| 90 NEW ORNTL ED SPONS ADR & TECHNOLOGY GROUP INC SPONSORED ADR | P | 2009-11-10 | 2011-01-11 | 9526 | 3138 | 3138 | 6388 |
| 402 NETAPP INC | P | 2010-12-20 | 2011-10-10 | 15428 | -6817 | -6817 | 22245 |
| 224 MSCI INC CL A | P | 2010-05-20 | 2011-02-11 | 8002 | 1172 | 1172 | 6830 |
| 37 MSCI INC CL A | P | 2010-01-13 | 2011-02-11 | 1322 | 91 | 91 | 1231 |
| 27 MSCI INC CL A | P | 2009-12-18 | 2011-02-11 | 965 | 100 | 100 | 865 |
| 391 MSCI INC CL A | P | 2009-10-09 | 2011-02-11 | 13968 | 3450 | 3450 | 10518 |
| 217 MOSAIC COMPANY | P | 2011-03-15 | 2011-05-12 | 14522 | -2131 | -2131 | 16653 |
| 142 LUBRIZOL CORP | P | 2010-07-13 | 2011-01-05 | 14930 | 2376 | 2376 | 12554 |
| 212 JUNIPER NETWORKS INC | P | 2010-05-20 | 2011-06-06 | 6665 | 1130 | 1130 | 5535 |
| 41 JUNIPER NETWORKS INC | P | 2010-01-13 | 2011-06-06 | 1289 | 208 | 208 | 1081 |
| 48 JUNIPER NETWORKS INC | P | 2009-12-18 | 2011-06-06 | 1509 | 259 | 259 | 1250 |
| 257 JUNIPER NETWORKS INC | P | 2009-11-19 | 2011-06-06 | 8079 | 1574 | 1574 | 6505 |
| 299 JPMORGAN CHASE & COMPANY COMPANY | P | 2011-04-11 | 2011-08-08 | 10757 | -3335 | -3335 | 14092 |
| 311 JPMORGAN CHASE & COMPANY COMPANY | P | 2011-03-10 | 2011-08-08 | 11189 | -3033 | -3033 | 14222 |
| 35 INTUITIVE SURGICAL NEW NEW | P | 2011-03-30 | 2011-10-14 | 13650 | 1796 | 1796 | 11854 |
| 12 INTUITIVE SURGICAL NEW NEW | P | 2011-01-07 | 2011-10-14 | 4680 | 1476 | 1476 | 3204 |
| 39 INTUITIVE SURGICAL NEW NEW | P | 2010-06-15 | 2011-10-14 | 15210 | 2232 | 2232 | 12978 |
| 159 ILLUMINA INC | P | 2011-05-05 | 2011-10-10 | 4423 | -6683 | -6683 | 11106 |
| 255 ILLUMINA INC | P | 2011-04-27 | 2011-10-10 | 7093 | -10494 | -10494 | 17587 |
| 337 HESS CORP | P | 2011-01-18 | 2011-09-21 | 19965 | -7774 | -7774 | 27739 |
| 26 HESS CORP | P | 2010-12-16 | 2011-09-21 | 1540 | -368 | -368 | 1908 |
| 141 HESS CORP | P | 2010-12-16 | 2011-06-28 | 10001 | -345 | -345 | 10346 |
| 34 HERBALIFE LIMITED USD COMMON SHARES | P | 2011-01-07 | 2011-02-23 | 2554 | 180 | 180 | 2374 |
| 204 HERBALIFE LIMITED USD COMMON SHARES | P | 2010-12-02 | 2011-02-23 | 15324 | 844 | 844 | 14480 |
| 12 GOOGLE INC CL A | P | 2010-05-20 | 2011-12-28 | 7666 | 1884 | 1884 | 5782 |
| 6 GOOGLE INC CL A | P | 2010-01-13 | 2011-12-28 | 3833 | 323 | 323 | 3510 |
| 1 GOOGLE INC CL A | P | 2009-12-18 | 2011-12-28 | 639 | 41 | 41 | 598 |
| 74 GOLDMAN SACHS GROUP INC | P | 2010-12-16 | 2011-03-10 | 11864 | -294 | -294 | 12158 |
| 559 FREEPORT MCMRN COP & GLD & GOLD | P | 2011-09-08 | 2011-09-21 | 20685 | -4639 | -4639 | 25324 |
| 512 FORD MOTOR COMPANY NEW | P | 2010-05-20 | 2011-09-08 | 5281 | -418 | -418 | 5699 |
| 784 FORD MOTOR COMPANY NEW | P | 2010-02-05 | 2011-09-08 | 8087 | -349 | -349 | 8436 |
| 77 FLOWSERVE CORP | P | 2010-05-28 | 2011-05-05 | 9311 | 1897 | 1897 | 7414 |
| 9 FLOWSERVE CORP | P | 2010-01-13 | 2011-05-05 | 1088 | 149 | 149 | 939 |
| 38 FLOWSERVE CORP | P | 2009-12-18 | 2011-05-05 | 4595 | 912 | 912 | 3683 |
| 113 FLOWSERVE CORP | P | 2009-10-09 | 2011-05-05 | 13665 | 2278 | 2278 | 11387 |
| 45 EXPRESS SCRIPTS INC | P | 2011-01-07 | 2011-06-15 | 2489 | -37 | -37 | 2526 |
| 68 EXPRESS SCRIPTS INC | P | 2010-05-20 | 2011-06-15 | 3761 | 304 | 304 | 3457 |
| 176 EXPRESS SCRIPTS INC | P | 2010-05-12 | 2011-06-15 | 9734 | 523 | 523 | 9211 |
| 239 DU PONT E.I.DE NEMOUR&CO & COMPANY | P | 2011-04-25 | 2011-10-18 | 10552 | -2625 | -2625 | 13177 |
| 292 DU PONT E.I.DE NEMOUR&CO & COMPANY | P | 2010-10-07 | 2011-10-18 | 12892 | -527 | -527 | 13419 |
| 382 DRESSER RAND GROUP | P | 2010-07-21 | 2011-04-15 | 19689 | 7166 | 7166 | 12523 |
| 55 DOLLAR TREE INC | P | 2011-01-07 | 2011-02-23 | 2726 | -129 | -129 | 2855 |
| 266 DOLLAR TREE INC | P | 2010-10-22 | 2011-02-23 | 13183 | -661 | -661 | 13844 |
| 361 COSTCO WHOLESALE CORP | P | 2010-11-05 | 2011-09-01 | 28900 | 5155 | 5155 | 23745 |
| 191 CORE LABORATORIES NV | P | 2010-08-03 | 2011-04-06 | 19567 | 4510 | 4510 | 15057 |
| 123 CONCHO RESOURCES INC | P | 2010-10-15 | 2011-04-11 | 12969 | 4464 | 4464 | 8505 |
| 205 CONCHO RESOURCES INC | P | 2010-08-30 | 2011-04-11 | 21614 | 9507 | 9507 | 12107 |
| 128 COGNIZANT TECH SOL CL A SOLUTIONS CORP CLASS A | P | 2010-05-20 | 2011-07-12 | 9419 | 3389 | 3389 | 6030 |
| 35 COGNIZANT TECH SOL CL A SOLUTIONS CORP CLASS A | P | 2009-12-18 | 2011-07-12 | 2576 | 1027 | 1027 | 1549 |
| 144 COGNIZANT TECH SOL CL A SOLUTIONS CORP CLASS A | P | 2009-12-10 | 2011-07-12 | 10597 | 4232 | 4232 | 6365 |
| 37 COACH INC | P | 2011-01-07 | 2011-07-12 | 2456 | 497 | 497 | 1959 |
| 253 COACH INC | P | 2010-12-02 | 2011-07-12 | 16792 | 2385 | 2385 | 14407 |
| 392 BUNGE LTD | P | 2011-05-03 | 2011-12-28 | 22021 | -7113 | -7113 | 29134 |
| 110 BLACKROCK INC | P | 2010-10-26 | 2011-08-22 | 16698 | -1876 | -1876 | 18574 |
| 116 BED BATH & BEYOND INC | P | 2010-05-20 | 2011-02-17 | 5742 | 710 | 710 | 5032 |
| 220 BED BATH & BEYOND INC | P | 2010-01-15 | 2011-02-17 | 10890 | 1926 | 1926 | 8964 |
| 24 BAIDU INC SPONS ADR CL A SPONSORED ADR REPSTG ORD SHARES CLASS A | P | 2011-01-07 | 2011-01-26 | 2574 | 59 | 59 | 2515 |
| 133 BAIDU INC SPONS ADR CL A SPONSORED ADR REPSTG ORD SHARES CLASS A | P | 2010-10-05 | 2011-01-26 | 14262 | 913 | 913 | 13349 |
| 65 B M C SOFTWARE INC | P | 2011-01-07 | 2011-11-28 | 2234 | -850 | -850 | 3084 |
| 168 B M C SOFTWARE INC | P | 2010-05-28 | 2011-11-28 | 5775 | -441 | -441 | 6216 |
| 33 B M C SOFTWARE INC | P | 2010-01-13 | 2011-11-28 | 1134 | -188 | -188 | 1322 |
| 62 B M C SOFTWARE INC | P | 2009-12-18 | 2011-11-28 | 2131 | -219 | -219 | 2350 |
| 250 B M C SOFTWARE INC | P | 2009-10-09 | 2011-11-28 | 8594 | -868 | -868 | 9462 |
| 11 APPLE INC | P | 2009-04-02 | 2011-10-12 | 4422 | 3196 | 3196 | 1226 |
| 23 APPLE INC | P | 2009-04-02 | 2011-10-12 | 9247 | 6637 | 6637 | 2610 |
| 12 APPLE INC | P | 2009-03-13 | 2011-10-12 | 4824 | 3670 | 3670 | 1154 |
| 1 APPLE INC | P | 2009-03-02 | 2011-10-12 | 402 | 312 | 312 | 90 |
| 292 AMPHENOL CORP CL A NEW CLASS A NEW | P | 2011-03-30 | 2011-09-02 | 12645 | -3442 | -3442 | 16087 |
| 234 AMPHENOL CORP CL A NEW CLASS A NEW | P | 2010-12-20 | 2011-09-02 | 10133 | -2202 | -2202 | 12335 |
| 46 AMERN TOWER CORP CL A CL A | P | 2011-01-07 | 2011-03-18 | 2325 | -18 | -18 | 2343 |
| 225 AMERN TOWER CORP CL A CL A | P | 2010-11-09 | 2011-03-18 | 11374 | -470 | -470 | 11844 |
| 109 ALTERA CORP | P | 2011-01-07 | 2011-12-15 | 3683 | -282 | -282 | 3965 |
| 642 ALTERA CORP | P | 2010-05-28 | 2011-12-15 | 21694 | 6592 | 6592 | 15102 |
| 80 ALTERA CORP | P | 2010-05-28 | 2011-06-28 | 3594 | 1712 | 1712 | 1882 |
| 89 ALLERGAN INC | P | 2011-01-07 | 2011-02-10 | 6456 | 207 | 207 | 6249 |
| 112 ALLERGAN INC | P | 2010-05-20 | 2011-02-10 | 8124 | 1448 | 1448 | 6676 |
| 42 ALLERGAN INC | P | 2010-01-13 | 2011-02-10 | 3046 | 530 | 530 | 2516 |
| 44 ALLERGAN INC | P | 2009-12-18 | 2011-02-10 | 3192 | 537 | 537 | 2655 |
| 219 ALLERGAN INC | P | 2009-10-09 | 2011-02-10 | 15885 | 3459 | 3459 | 12426 |
| 67 3M COMPANY | P | 2011-01-07 | 2011-08-19 | 5173 | -668 | -668 | 5841 |
| 98 3M COMPANY | P | 2010-07-13 | 2011-08-19 | 7566 | -683 | -683 | 8249 |
| 39 3M COMPANY | P | 2010-05-20 | 2011-08-19 | 3011 | -147 | -147 | 3158 |
| 115 3M COMPANY | P | 2010-05-04 | 2011-08-19 | 8879 | -1204 | -1204 | 10083 |
| 80 MAGELLAN MDSTM UT REP LP PARTNERS UNIT REPSTG LP INT | P | 2011-01-07 | 2011-01-11 | 4488 | 292 | 292 | 4196 |
| 215 MAGELLAN MDSTM UT REP LP PARTNERS UNIT REPSTG LP INT | P | 2010-10-07 | 2011-01-11 | 12061 | 784 | 784 | 11277 |
| 12 WESCO FINANCIAL CORP | P | 2010-05-20 | 2011-05-04 | 4692 | 432 | 432 | 4260 |
| 2 WESCO FINANCIAL CORP | P | 2009-12-17 | 2011-05-04 | 782 | 90 | 90 | 692 |
| 1 WESCO FINANCIAL CORP | P | 2009-10-08 | 2011-05-04 | 391 | 64 | 64 | 327 |
| 348 QLT INC | P | 2011-02-04 | 2011-06-23 | 2420 | -57 | -57 | 2477 |
| 106 PRICESMART INC | P | 2009-10-08 | 2011-10-11 | 7688 | 5689 | 5689 | 1999 |
| 101 OWENS & MINOR INC HLDGS HOLDING COMPANY | P | 2009-10-08 | 2011-08-29 | 2965 | -111 | -111 | 3076 |
| 60 HASBRO INC | P | 2009-10-08 | 2011-08-10 | 2191 | 504 | 504 | 1687 |
| 1,314 FORCE PROTECTION INC NEW | P | 2010-05-20 | 2011-03-28 | 6446 | 1074 | 1074 | 5372 |
| 224 FORCE PROTECTION INC NEW | P | 2009-12-17 | 2011-03-28 | 1099 | -110 | -110 | 1209 |
| 616 FORCE PROTECTION INC NEW | P | 2009-12-17 | 2011-03-03 | 3045 | -279 | -279 | 3324 |
| 8 CONSTELLATION BRANDS A INC CL A | P | 2010-05-20 | 2011-08-29 | 158 | 24 | 24 | 134 |
| 469 CONSTELLATION BRANDS A INC CL A | P | 2010-05-05 | 2011-08-29 | 9252 | 683 | 683 | 8569 |
| 158 CARMAX INC | P | 2010-05-20 | 2011-05-04 | 5399 | 1961 | 1961 | 3438 |
| 206 CARMAX INC | P | 2009-10-08 | 2011-05-04 | 7039 | 2777 | 2777 | 4262 |
| 150 CAPELLA EDUCATION CO COMPANY | P | 2010-12-23 | 2011-10-11 | 4310 | -5400 | -5400 | 9710 |
| 59 CAPELLA EDUCATION CO COMPANY | P | 2010-12-23 | 2011-08-29 | 1924 | -1895 | -1895 | 3819 |
| 19 CAPELLA EDUCATION CO COMPANY | P | 2010-12-23 | 2011-06-21 | 837 | -393 | -393 | 1230 |
| 31 AOL INC | P | 2010-10-25 | 2011-08-11 | 364 | -440 | -440 | 804 |
| 105 AOL INC | P | 2010-09-15 | 2011-08-11 | 1232 | -1208 | -1208 | 2440 |
| 400 AOL INC | P | 2010-07-19 | 2011-08-11 | 4693 | -3699 | -3699 | 8392 |
| 0.64 ALLEGHANY CORP DE | P | 2011-04-29 | 2011-04-29 | 213 | 213 | 213 | |
| 67 ALBEMARLE CORP | P | 2009-10-08 | 2011-08-10 | 3677 | 1413 | 1413 | 2264 |
| 38 ALBEMARLE CORP | P | 2009-10-08 | 2011-06-30 | 2615 | 1331 | 1331 | 1284 |
| 351 WYNN RESORTS LIMITED | P | 2010-12-06 | 2011-09-30 | 40982 | 4899 | 4899 | 36083 |
| 117 WYNN RESORTS LIMITED | P | 2010-12-06 | 2011-05-11 | 17450 | 5422 | 5422 | 12028 |
| 156 WYNN RESORTS LIMITED | P | 2010-12-06 | 2011-01-11 | 18591 | 2554 | 2554 | 16037 |
| 906 WHITING PETRO CORP NEW CORP NEW | P | 2011-02-16 | 2011-06-13 | 51136 | -4151 | -4151 | 55287 |
| 601 VMWARE INC CLASS A | P | 2011-11-14 | 2011-12-21 | 45650 | -16397 | -16397 | 62047 |
| 1,915 VALE S A ADR | P | 2011-01-03 | 2011-03-10 | 61280 | -6224 | -6224 | 67504 |
| 1,236 UNITEDHEALTH GROUP INC | P | 2011-09-15 | 2011-10-04 | 51257 | -9616 | -9616 | 60873 |
| 684 UNION PACIFIC CORP | P | 2011-04-29 | 2011-08-05 | 63768 | -6616 | -6616 | 70384 |
| 1,192 TERADATA CORP DEL | P | 2011-07-21 | 2011-08-19 | 52385 | -15559 | -15559 | 67944 |
| 2,172 TATA MOTORS LTD SPNS ADR SPONS ADR | P | 2010-12-07 | 2011-01-31 | 54078 | -11491 | -11491 | 65569 |
| 1,711 SKYWORKS SOLUTIONS INC | P | 2011-01-26 | 2011-04-12 | 45137 | -9050 | -9050 | 54187 |
| 493 SALESFORCE.COM INC | P | 2011-01-04 | 2011-04-05 | 65581 | -1381 | -1381 | 66962 |
| 1,089 ROVI CORP | P | 2011-02-01 | 2011-02-28 | 58994 | -8904 | -8904 | 67898 |
| 112 PRICELINE.COM INC NEW | P | 2011-09-08 | 2011-09-26 | 55618 | -5677 | -5677 | 61295 |
| 120 PRICELINE.COM INC NEW | P | 2011-01-27 | 2011-06-20 | 55029 | 3102 | 3102 | 51927 |
| 39 PRICELINE.COM INC NEW | P | 2011-01-27 | 2011-05-03 | 21674 | 4798 | 4798 | 16876 |
| 1,137 POTASH CORP SASK INC OF SASKATCHEWAN INC | P | 2011-02-25 | 2011-05-20 | 59635 | -8301 | -8301 | 67936 |
| 1,108 PEABODY ENERGY CORP | P | 2011-01-26 | 2011-05-12 | 68142 | -1931 | -1931 | 70073 |
| 243 NETFLIX INC | P | 2011-02-28 | 2011-08-22 | 50666 | 122 | 122 | 50544 |
| 81 NETFLIX INC | P | 2011-02-28 | 2011-05-26 | 21270 | 4422 | 4422 | 16848 |
| 1,108 NETAPP INC | P | 2010-12-29 | 2011-03-14 | 51459 | -8915 | -8915 | 60374 |
| 895 NATIONAL OILWELL VARCO VARCO INC | P | 2011-04-07 | 2011-05-17 | 59473 | -10816 | -10816 | 70289 |
| 3,852 METROPCS COMMUNICATIONS INC | P | 2011-06-02 | 2011-08-03 | 39643 | -31037 | -31037 | 70680 |
| 977 MAGNA INTL INC CLASS A CLASS A | P | 2010-12-21 | 2011-03-08 | 49484 | -431 | -431 | 49915 |
| 326 MAGNA INTL INC CLASS A CLASS A | P | 2010-12-21 | 2011-01-06 | 18941 | 2286 | 2286 | 16655 |
| 1,154 LULULEMON ATHLETICA INC | P | 2011-11-15 | 2011-12-01 | 50806 | -9337 | -9337 | 60143 |
| 463 LUBRIZOL CORP | P | 2010-11-23 | 2011-02-24 | 49093 | 458 | 458 | 48635 |
| 1,686 LIMITED BRANDS INC | P | 2011-07-19 | 2011-08-09 | 55301 | -12544 | -12544 | 67845 |
| 1,372 LIBERTY GLOBAL INC CL A CLASS A | P | 2010-12-08 | 2011-06-15 | 54223 | 4351 | 4351 | 49872 |
| 458 LIBERTY GLOBAL INC CL A CLASS A | P | 2010-12-08 | 2011-04-21 | 20888 | 4240 | 4240 | 16648 |
| 1,708 JUNIPER NETWORKS INC | P | 2011-03-30 | 2011-05-25 | 61914 | -8125 | -8125 | 70039 |
| 44 INTUITIVE SURGICAL NEW NEW | P | 2011-04-05 | 2011-10-20 | 18445 | 3155 | 3155 | 15290 |
| 50 INTUITIVE SURGICAL NEW NEW | P | 2011-04-05 | 2011-09-20 | 19925 | 2550 | 2550 | 17375 |
| 943 ILLUMINA INC | P | 2011-01-12 | 2011-07-28 | 56607 | -6905 | -6905 | 63512 |
| 1,292 HALLIBURTON COMPANY | P | 2011-07-07 | 2011-08-08 | 56408 | -12983 | -12983 | 69391 |
| 309 F5 NETWORKS INC | P | 2011-01-11 | 2011-01-21 | 34589 | -9459 | -9459 | 44048 |
| 1,391 DU PONT E.I.DE NEMOUR&CO & COMPANY | P | 2010-11-23 | 2011-06-06 | 70311 | 6381 | 6381 | 63930 |
| 1,621 DISNEY WALT COMPANY | P | 2011-03-30 | 2011-06-03 | 64002 | -6414 | -6414 | 70416 |
| 621 CUMMINS INC | P | 2011-02-14 | 2011-03-15 | 59056 | -11581 | -11581 | 70637 |
| 1,979 COMPANHIA DE BEBIDAS DAS AMERS AMBEV SPONS ADR REPSTG PFD SHS | P | 2011-07-05 | 2011-07-29 | 59864 | -7809 | -7809 | 67673 |
| 948 COGNIZANT TECH SOL CL A SOLUTIONS CORP CLASS A | P | 2010-12-09 | 2011-06-16 | 61287 | -5547 | -5547 | 66834 |
| 1,092 COACH INC | P | 2011-02-09 | 2011-03-15 | 55745 | -6911 | -6911 | 62656 |
| 679 CLIFFS NATURAL RES INC | P | 2010-12-06 | 2011-08-09 | 46537 | -3458 | -3458 | 49995 |
| 54 CHIPOTLE MEXICAN GRILL A INC CL A | P | 2011-01-04 | 2011-05-26 | 15552 | 3545 | 3545 | 12007 |
| 651 CATERPILLAR INC | P | 2011-04-19 | 2011-08-04 | 60066 | -8348 | -8348 | 68414 |
| 1,284 CAPITAL ONE FINL CORP FINANCIAL CORP | P | 2011-04-27 | 2011-06-15 | 62499 | -7903 | -7903 | 70402 |
| 899 CANADIAN NATL RAILWAY CO RAILWAY COMPANY | P | 2010-11-23 | 2011-08-09 | 60836 | 4440 | 4440 | 56396 |
| 416 BAIDU INC SPONS ADR CL A SPONSORED ADR REPSTG ORD SHARES CLASS A | P | 2011-09-14 | 2011-09-22 | 51583 | -9831 | -9831 | 61414 |
| 452 BAIDU INC SPONS ADR CL A SPONSORED ADR REPSTG ORD SHARES CLASS A | P | 2010-12-07 | 2011-06-09 | 54066 | 3914 | 3914 | 50152 |
| 151 BAIDU INC SPONS ADR CL A SPONSORED ADR REPSTG ORD SHARES CLASS A | P | 2010-12-07 | 2011-03-30 | 20646 | 3892 | 3892 | 16754 |
| 1,570 AUTODESK INC | P | 2011-04-25 | 2011-06-08 | 61016 | -9458 | -9458 | 70474 |
| 2,339 ARM HLDGS PLC SPONS ADR SPONSORED ADR | P | 2011-07-20 | 2011-08-05 | 61301 | -9893 | -9893 | 71194 |
| 155 APPLE INC | P | 2010-12-17 | 2011-11-11 | 59519 | 9685 | 9685 | 49834 |
| 51 APPLE INC | P | 2010-12-17 | 2011-07-27 | 20498 | 4101 | 4101 | 16397 |
| 902 ANADARKO PETROLEUM CORP | P | 2011-02-17 | 2011-06-08 | 67334 | -3172 | -3172 | 70506 |
| 1,208 AMPHENOL CORP CL A NEW CLASS A NEW | P | 2011-02-02 | 2011-06-08 | 62213 | -6864 | -6864 | 69077 |
| 1,099 AMERIGROUP CORP | P | 2010-12-13 | 2011-08-01 | 53332 | 3382 | 3382 | 49950 |
| 367 AMERIGROUP CORP | P | 2010-12-13 | 2011-02-22 | 20927 | 4247 | 4247 | 16680 |
| 279 ALEXION PHARM INC INC | P | 2011-02-07 | 2011-10-20 | 18455 | 6660 | 6660 | 11795 |
| 282 ALEXION PHARM INC INC | P | 2011-02-07 | 2011-09-16 | 17415 | 5493 | 5493 | 11922 |
| 188 ALEXION PHARM INC INC | P | 2011-02-07 | 2011-03-01 | 18142 | 2247 | 2247 | 15895 |
| 1,244 AKAMAI TECHNOLOGIES INC | P | 2010-11-23 | 2011-02-11 | 51137 | -9272 | -9272 | 60409 |
| 1,417 AGILENT TECHNOLOGIES INC | P | 2011-07-13 | 2011-08-02 | 55518 | -11577 | -11577 | 67095 |
| 1,578 AETNA INC NEW | P | 2011-07-19 | 2011-08-03 | 60975 | -7524 | -7524 | 68499 |
| 1,111 ACCENTURE PLC IRELD CL A CLASS A NEW | P | 2010-12-10 | 2011-08-19 | 53908 | 3300 | 3300 | 50608 |
| 370 ACCENTURE PLC IRELD CL A CLASS A NEW | P | 2010-12-10 | 2011-04-25 | 20905 | 4051 | 4051 | 16854 |
| 70 SPDR GOLD TRUST GOLD ETF | P | 2011-01-01 | 2011-12-09 | 42 | 42 | ||
| 68 WEATHERFORD INTL LTD REG INTERNATIONAL LTD REG | P | 2010-04-29 | 2011-08-11 | 1186 | -61 | -61 | 1247 |
| 10 TIME WARNER CABLE INC | P | 2009-12-17 | 2011-03-29 | 705 | 278 | 278 | 427 |
| 28 TIME WARNER CABLE INC | P | 2009-05-08 | 2011-03-29 | 1974 | 969 | 969 | 1005 |
| 21 TIME WARNER CABLE INC | P | 2009-05-08 | 2011-03-18 | 1434 | 680 | 680 | 754 |
| 1 TIME WARNER CABLE INC | P | 2009-05-08 | 2011-01-14 | 65 | 29 | 29 | 36 |
| 4 TIME WARNER CABLE INC | P | 2009-01-30 | 2011-01-14 | 262 | 75 | 75 | 187 |
| 11 TIME WARNER CABLE INC | P | 2009-01-26 | 2011-01-14 | 720 | 84 | 84 | 636 |
| 5 MILLICOM INTERNATIONAL CELLULAR S A NEW | P | 2009-12-17 | 2011-05-25 | 524 | 166 | 166 | 358 |
| 10 MILLICOM INTERNATIONAL CELLULAR S A NEW | P | 2009-05-08 | 2011-05-25 | 1047 | 526 | 526 | 521 |
| 5 MILLICOM INTERNATIONAL CELLULAR S A NEW | P | 2009-01-30 | 2011-05-25 | 523 | 325 | 325 | 198 |
| 22 MILLICOM INTERNATIONAL CELLULAR S A NEW | P | 2009-01-26 | 2011-05-25 | 2303 | 1407 | 1407 | 896 |
| 110 MFA FINANCIAL INC | P | 2009-12-17 | 2011-10-25 | 747 | -80 | -80 | 827 |
| 143 MFA FINANCIAL INC | P | 2009-11-20 | 2011-10-25 | 971 | -109 | -109 | 1080 |
| 70 MFA FINANCIAL INC | P | 2009-10-07 | 2011-10-25 | 475 | -84 | -84 | 559 |
| 21 MFA FINANCIAL INC | P | 2009-09-03 | 2011-10-25 | 143 | -18 | -18 | 161 |
| 132 MFA FINANCIAL INC | P | 2009-09-03 | 2011-09-14 | 931 | -82 | -82 | 1013 |
| 107 MFA FINANCIAL INC | P | 2009-09-03 | 2011-02-07 | 886 | 65 | 65 | 821 |
| 37 MCGRAW HILL COS INC INC | P | 2010-07-06 | 2011-10-26 | 1607 | 584 | 584 | 1023 |
| 42 MCGRAW HILL COS INC INC | P | 2010-06-07 | 2011-10-26 | 1824 | 665 | 665 | 1159 |
| 4 MCGRAW HILL COS INC INC | P | 2010-05-18 | 2011-10-26 | 174 | 58 | 58 | 116 |
| 74 MCGRAW HILL COS INC INC | P | 2010-05-18 | 2011-09-27 | 3247 | 1107 | 1107 | 2140 |
| 47 IVANHOE MINES LIMITED | P | 2011-02-15 | 2011-11-09 | 993 | -332 | -332 | 1325 |
| 8 IVANHOE MINES LIMITED | P | 2011-01-25 | 2011-11-09 | 169 | -59 | -59 | 228 |
| 20 IVANHOE MINES LIMITED | P | 2009-12-17 | 2011-11-09 | 423 | 146 | 146 | 277 |
| 75 IVANHOE MINES LIMITED | P | 2009-01-30 | 2011-11-09 | 1585 | 1386 | 1386 | 199 |
| 38 IVANHOE MINES LIMITED | P | 2009-01-26 | 2011-11-09 | 803 | 689 | 689 | 114 |
| 43 INVESCO LTD SHS | P | 2011-01-19 | 2011-06-21 | 1010 | -54 | -54 | 1064 |
| 22 HEALTH CARE REIT INC | P | 2009-01-26 | 2011-05-27 | 1145 | 306 | 306 | 839 |
| 6 GENZYME CORP SUBMITTED FOR TENDER WAIVER OF DISSENTERS RTS | P | 2010-03-23 | 2011-05-03 | 458 | 103 | 103 | 355 |
| 30 GENZYME CORP SUBMITTED FOR TENDER WAIVER OF DISSENTERS RTS | P | 2009-12-17 | 2011-05-03 | 2291 | 831 | 831 | 1460 |
| 40 GENZYME CORP SUBMITTED FOR TENDER WAIVER OF DISSENTERS RTS | P | 2009-05-08 | 2011-05-03 | 3054 | 650 | 650 | 2404 |
| 5 GENZYME CORP SUBMITTED FOR TENDER WAIVER OF DISSENTERS RTS | P | 2009-03-02 | 2011-05-03 | 382 | 90 | 90 | 292 |
| 13 GENZYME CORP SUBMITTED FOR TENDER WAIVER OF DISSENTERS RTS | P | 2009-01-30 | 2011-05-03 | 993 | 95 | 95 | 898 |
| 4 GENZYME CORP SUBMITTED FOR TENDER WAIVER OF DISSENTERS RTS | P | 2009-01-29 | 2011-05-03 | 305 | 26 | 26 | 279 |
| 35 DREAMWORKS ANIMATION A SKG INC CLASS A | P | 2009-12-17 | 2011-02-25 | 963 | -414 | -414 | 1377 |
| 30 DREAMWORKS ANIMATION A SKG INC CLASS A | P | 2009-05-08 | 2011-02-25 | 825 | 98 | 98 | 727 |
| 5 DREAMWORKS ANIMATION A SKG INC CLASS A | P | 2009-01-30 | 2011-02-25 | 138 | 28 | 28 | 110 |
| 14 DREAMWORKS ANIMATION A SKG INC CLASS A | P | 2009-01-26 | 2011-02-25 | 385 | 69 | 69 | 316 |
| 10 COVIDIEN PLC NEW | P | 2009-12-17 | 2011-08-11 | 473 | 7 | 7 | 466 |
| 41 COVIDIEN PLC NEW | P | 2009-05-08 | 2011-08-11 | 1939 | 535 | 535 | 1404 |
| 9 COVIDIEN PLC NEW | P | 2009-05-08 | 2011-03-30 | 470 | 162 | 162 | 308 |
| 5 COVIDIEN PLC NEW | P | 2009-01-30 | 2011-03-30 | 261 | 69 | 69 | 192 |
| 29 COVIDIEN PLC NEW | P | 2009-01-26 | 2011-03-30 | 1513 | 444 | 444 | 1069 |
| 21 CONSOLIDATED EDISON INC | P | 2009-01-26 | 2011-02-11 | 1053 | 199 | 199 | 854 |
| 16 CLOROX COMPANY | P | 2009-11-09 | 2011-07-20 | 1197 | 222 | 222 | 975 |
| 331 CHIMERA INVESTMENT CORP | P | 2010-04-07 | 2011-11-30 | 861 | -440 | -440 | 1301 |
| 190 CHIMERA INVESTMENT CORP | P | 2009-12-17 | 2011-11-30 | 494 | -228 | -228 | 722 |
| 25 CHIMERA INVESTMENT CORP | P | 2009-06-08 | 2011-11-30 | 65 | -19 | -19 | 84 |
| 270 CHIMERA INVESTMENT CORP | P | 2009-06-05 | 2011-11-30 | 702 | -225 | -225 | 927 |
| 123 CHIMERA INVESTMENT CORP | P | 2009-05-28 | 2011-11-30 | 320 | -86 | -86 | 406 |
| 252 CHIMERA INVESTMENT CORP | P | 2009-05-28 | 2011-01-18 | 1041 | 210 | 210 | 831 |
| 10 AON CORP | P | 2009-12-17 | 2011-06-13 | 506 | 130 | 130 | 376 |
| 25 AON CORP | P | 2009-05-08 | 2011-06-13 | 1264 | 346 | 346 | 918 |
| 5 AON CORP | P | 2009-01-30 | 2011-06-13 | 253 | 63 | 63 | 190 |
| 20 AON CORP | P | 2009-01-26 | 2011-06-13 | 1011 | 217 | 217 | 794 |
| 5 AMEREN CORP | P | 2009-12-17 | 2011-02-07 | 142 | 3 | 3 | 139 |
| 35 AMEREN CORP | P | 2009-05-08 | 2011-02-07 | 997 | 132 | 132 | 865 |
| 5 AMEREN CORP | P | 2009-01-30 | 2011-02-07 | 142 | -28 | -28 | 170 |
| 3.683 AMC NETWORKS INC CL A | P | 2009-12-17 | 2011-07-14 | 136 | 52 | 52 | 84 |
| 22.096 AMC NETWORKS INC CL A | P | 2009-05-08 | 2011-07-14 | 819 | 439 | 439 | 380 |
| 2.455 AMC NETWORKS INC CL A | P | 2009-01-30 | 2011-07-14 | 91 | 56 | 56 | 35 |
| 12.766 AMC NETWORKS INC CL A | P | 2009-01-26 | 2011-07-14 | 473 | 284 | 284 | 189 |
| 0.067 AMC NETWORKS INC CL A | P | 2009-12-17 | 2011-06-30 | 3 | 1 | 1 | 2 |
| 0.404 AMC NETWORKS INC CL A | P | 2009-05-08 | 2011-06-30 | 16 | 9 | 9 | 7 |
| 0.045 AMC NETWORKS INC CL A | P | 2009-01-30 | 2011-06-30 | 2 | 1 | 1 | 1 |
| 0.234 AMC NETWORKS INC CL A | P | 2009-01-26 | 2011-06-30 | 9 | 6 | 6 | 3 |
| 60 ALLSTATE CORP | P | 2009-12-17 | 2011-08-05 | 1563 | -136 | -136 | 1699 |
| 19 ALLSTATE CORP | P | 2009-06-15 | 2011-08-05 | 495 | 27 | 27 | 468 |
| 31 ALLSTATE CORP | P | 2009-06-15 | 2011-05-06 | 1038 | 274 | 274 | 764 |
| 15 ALLSTATE CORP | P | 2009-06-02 | 2011-05-06 | 502 | 104 | 104 | 398 |
| 20 ALLSTATE CORP | P | 2009-06-02 | 2011-04-15 | 630 | 99 | 99 | 531 |
| 10 ALLSTATE CORP | P | 2009-05-08 | 2011-04-15 | 315 | 65 | 65 | 250 |
| 7 ALLSTATE CORP | P | 2009-05-08 | 2011-04-15 | 221 | 39 | 39 | 182 |
| 38 ALLSTATE CORP | P | 2009-05-08 | 2011-02-08 | 1235 | 248 | 248 | 987 |
| 30 ALLSTATE CORP | P | 2009-03-30 | 2011-02-08 | 975 | 402 | 402 | 573 |
| 143 ACTIVISION BLIZZARD INC | P | 2010-07-27 | 2011-11-28 | 1735 | 44 | 44 | 1691 |
| 133 IVANHOE MINES LTD RTS EXP 01/26/11 | P | 2011-01-06 | 2011-01-12 | 210 | 210 | 210 | |
| 505 CENTRAIS ELEC BRAS SPONS | P | 2011-01-01 | 2011-03-21 | 7 | 7 | 7 | |
| 203 TELCM ITALIA ADR REP SVG SPONS ADR REPSTG SVGS SHS | P | 2009-10-09 | 2011-03-21 | 2706 | 266 | 266 | 2440 |
| 127 TAKEDA PHARMA CO LTD ADR COMPANY LTD SPONSORED ADR | P | 2010-05-11 | 2011-05-12 | 3055 | 315 | 315 | 2740 |
| 72 SUNCOR ENERGY INC NEW | P | 2010-05-21 | 2011-07-22 | 2979 | 894 | 894 | 2085 |
| 72 SUNCOR ENERGY INC NEW | P | 2010-05-21 | 2011-07-21 | 2991 | 906 | 906 | 2085 |
| 66 SUNCOR ENERGY INC NEW | P | 2010-05-21 | 2011-05-31 | 2758 | 847 | 847 | 1911 |
| 66 SUNCOR ENERGY INC NEW | P | 2010-05-21 | 2011-04-07 | 2911 | 1000 | 1000 | 1911 |
| 34 SUNCOR ENERGY INC NEW | P | 2010-05-21 | 2011-03-03 | 1585 | 600 | 600 | 985 |
| 55 SUNCOR ENERGY INC NEW | P | 2010-05-21 | 2011-02-08 | 2229 | 636 | 636 | 1593 |
| 0.72 SUMITOMO MITSUI TR ADR INC SPONSORED ADR | P | 2011-04-04 | 2011-04-01 | 2 | -1 | -1 | 3 |
| 218 SUMITOMO BANK LTD ADR SPONSORED ADR | P | 2011-03-17 | 2011-04-01 | 1137 | -20 | -20 | 1157 |
| 1,210 SUMITOMO BANK LTD ADR SPONSORED ADR | P | 2009-10-09 | 2011-04-01 | 6310 | -551 | -551 | 6861 |
| 144 STATOIL ASA ADR SPONSORED ADR | P | 2010-11-10 | 2011-10-18 | 3591 | 524 | 524 | 3067 |
| 77 STATOIL ASA ADR SPONSORED ADR | P | 2010-11-09 | 2011-10-18 | 1920 | 281 | 281 | 1639 |
| 67 STATOIL ASA ADR SPONSORED ADR | P | 2010-11-09 | 2011-04-27 | 1897 | 471 | 471 | 1426 |
| 144 SK TELECOM LTD SPONS ADR SPONS ADR | P | 2009-10-09 | 2011-05-24 | 2690 | 218 | 218 | 2472 |
| 8 SIEMENS A G SPONS ADR | P | 2009-10-09 | 2011-06-27 | 1057 | 297 | 297 | 760 |
| 21 SIEMENS A G SPONS ADR | P | 2009-10-09 | 2011-02-08 | 2671 | 675 | 675 | 1996 |
| 19 SIEMENS A G SPONS ADR | P | 2009-10-09 | 2011-02-02 | 2495 | 689 | 689 | 1806 |
| 184 SHISEIDO LTD SPONS ADR SPONSORED ADR | P | 2009-10-09 | 2011-10-03 | 3556 | 456 | 456 | 3100 |
| 26 SEVEN & I HLDGS CO ADR COMPANY LTD ADR | P | 2009-10-09 | 2011-12-19 | 1402 | 164 | 164 | 1238 |
| 32 SEVEN & I HLDGS CO ADR COMPANY LTD ADR | P | 2009-10-09 | 2011-09-30 | 1825 | 302 | 302 | 1523 |
| 26 SEVEN & I HLDGS CO ADR COMPANY LTD ADR | P | 2009-10-09 | 2011-06-23 | 1385 | 147 | 147 | 1238 |
| 170 ROYAL DUTCH SHELL ADR B SPONSORED ADR REPSTG B SHARES | P | 2009-10-09 | 2011-10-06 | 10795 | 1319 | 1319 | 9476 |
| 39 ROYAL DUTCH SHELL ADR B SPONSORED ADR REPSTG B SHARES | P | 2009-10-09 | 2011-08-03 | 2704 | 530 | 530 | 2174 |
| 36 ROYAL DUTCH SHELL ADR B SPONSORED ADR REPSTG B SHARES | P | 2009-10-09 | 2011-04-07 | 2664 | 657 | 657 | 2007 |
| 28 NIPPON TEL&TEL SPONS ADR CORP SPON ADR | P | 2009-01-30 | 2011-10-04 | 656 | -15 | -15 | 671 |
| 160 NIPPON TEL&TEL SPONS ADR CORP SPON ADR | P | 2009-01-26 | 2011-10-04 | 3748 | -487 | -487 | 4235 |
| 99 NEXEN INC | P | 2009-10-09 | 2011-04-04 | 2500 | 234 | 234 | 2266 |
| 27 NEXEN INC | P | 2009-10-09 | 2011-03-04 | 733 | 115 | 115 | 618 |
| 72 NEXEN INC | P | 2009-06-12 | 2011-03-04 | 1954 | 165 | 165 | 1789 |
| 60 MAGNA INTL INC CLASS A CLASS A | P | 2009-10-09 | 2011-01-14 | 3521 | 2183 | 2183 | 1338 |
| 223 KINROSS GOLD CORP NO PAR NO PAR | P | 2009-10-09 | 2011-08-31 | 3866 | -1254 | -1254 | 5120 |
| 0.88 KAZAKHGOLD GROUP LTD GDR SPONSORED GDR | P | 2011-06-17 | 2011-07-26 | 3 | -1 | -1 | 4 |
| 209 KAO CORP SPONS ADR SPONSORED ADR REPSTG 10 SHS COM | P | 2009-10-09 | 2011-08-25 | 5350 | 355 | 355 | 4995 |
| 211 KAO CORP SPONS ADR SPONSORED ADR REPSTG 10 SHS COM | P | 2009-10-09 | 2011-08-12 | 5508 | 466 | 466 | 5042 |
| 130 KAO CORP SPONS ADR SPONSORED ADR REPSTG 10 SHS COM | P | 2009-10-09 | 2011-08-09 | 3363 | 256 | 256 | 3107 |
| 230 IMPALA PLATNM ADR 1/4 SH LIMITED SPONSORED ADR REPRESENTING 1/4 SH | P | 2009-10-12 | 2011-01-21 | 7173 | 1677 | 1677 | 5496 |
| 288 GOLD FIELDS LTD ADR NEW SPONSORED ADR | P | 2009-10-09 | 2011-10-05 | 4282 | 95 | 95 | 4187 |
| 43 GLAXOSMITHKLINE PLC ADR SPONSORED ADR | P | 2010-01-08 | 2011-11-08 | 1910 | 150 | 150 | 1760 |
| 57 GLAXOSMITHKLINE PLC ADR SPONSORED ADR | P | 2010-01-08 | 2011-06-01 | 2453 | 120 | 120 | 2333 |
| 69 GAZPROM OAO SPONS ADR ADR | P | 2010-10-15 | 2011-03-08 | 2112 | 632 | 632 | 1480 |
| 62 FINMECCANICA SPA ADR ADR | P | 2010-05-19 | 2011-10-12 | 233 | -117 | -117 | 350 |
| 441 FINMECCANICA SPA ADR ADR | P | 2010-05-14 | 2011-10-12 | 1654 | -905 | -905 | 2559 |
| 95 EMBRAER S A SPON ADR SPONSORED ADR REP 4 COM SHS | P | 2010-05-14 | 2011-08-01 | 2764 | 621 | 621 | 2143 |
| 98 EMBRAER S A SPON ADR SPONSORED ADR REP 4 COM SHS | P | 2009-11-03 | 2011-08-01 | 2852 | 902 | 902 | 1950 |
| 40 EMBRAER S A SPON ADR SPONSORED ADR REP 4 COM SHS | P | 2009-11-03 | 2011-01-26 | 1284 | 488 | 488 | 796 |
| 17 EMBRAER S A SPON ADR SPONSORED ADR REP 4 COM SHS | P | 2009-10-30 | 2011-01-26 | 546 | 184 | 184 | 362 |
| 49 DAIWA HOUSE IND LTD ADR ADR | P | 2009-10-09 | 2011-08-15 | 5859 | 959 | 959 | 4900 |
| 34 DAIWA HOUSE IND LTD ADR ADR | P | 2009-10-09 | 2011-03-30 | 4202 | 802 | 802 | 3400 |
| 34 BARRICK GOLD CORP | P | 2009-10-09 | 2011-08-22 | 1769 | 434 | 434 | 1335 |
| 68 BARRICK GOLD CORP | P | 2009-10-09 | 2011-04-08 | 3715 | 1045 | 1045 | 2670 |
| 36 ASTRAZENECA PLC ADR SPONSORED ADR | P | 2010-01-12 | 2011-08-23 | 1690 | -21 | -21 | 1711 |
| 50 ANGLOGOLD ASHANTI ADR SPONSORED ADR | P | 2009-10-09 | 2011-12-16 | 2070 | -146 | -146 | 2216 |
| 159 ALUMINA LTD SPONS ADR SPONSORED ADR | P | 2010-05-19 | 2011-01-11 | 1540 | 660 | 660 | 880 |
| 1,135 ALCATEL LUCENT | P | 2010-02-18 | 2011-02-23 | 5264 | 2076 | 2076 | 3188 |
| 237 ALCATEL LUCENT | P | 2009-10-09 | 2011-02-23 | 1099 | 4 | 4 | 1095 |
| 466 ALCATEL LUCENT | P | 2009-10-09 | 2011-02-15 | 2123 | -30 | -30 | 2153 |
| 1,042 ALCATEL LUCENT | P | 2009-10-09 | 2011-02-03 | 3483 | -1330 | -1330 | 4813 |
| 150 VANGUARD TTL BD MKT ETF MARKET ETF | P | 2009-06-12 | 2011-08-11 | 12511 | 998 | 998 | 11513 |
| 2,448 VANGUARD TTL BD MKT ETF MARKET ETF | P | 2009-05-11 | 2011-08-11 | 204173 | 14707 | 14707 | 189466 |
| 2,108 VANGUARD TTL BD MKT ETF MARKET ETF | P | 2009-01-30 | 2011-08-11 | 175816 | 12868 | 12868 | 162948 |
| 6,144 VANGUARD TTL BD MKT ETF MARKET ETF | P | 2009-01-26 | 2011-08-11 | 512434 | 35780 | 35780 | 476654 |
| 125 VANGUARD TTL BD MKT ETF MARKET ETF | P | 2009-01-26 | 2011-01-20 | 10015 | 317 | 317 | 9698 |
| 750 ISHRS INVSTMNT BD FD ETF $INVESTMENT GRADE CORP BOND FUND | P | 2009-01-26 | 2011-01-20 | 81269 | 7439 | 7439 | 73830 |
| 0.74 GENERAL MOTORS COMPANY | P | 2011-10-28 | 2011-10-28 | 19 | 19 | 19 | |
| 0.08 GENERAL MOTORS COMPANY | P | 2003-05-19 | 2011-07-28 | 2 | -7 | -7 | 9 |
| 0.31 GENERAL MOTORS COMPANY | P | 2003-05-19 | 2011-04-28 | 10 | -26 | -26 | 36 |
| 100,000 PROTECTIVE 7.375 101519 SENIOR NOTE B/E CPN 7.375% DUE 10/15/19 DTD 10/09/09 FC 04/15/10 | P | 2009-11-23 | 2011-08-31 | 112995 | 9992 | 9992 | 103003 |
| 500,000 FORD MOTOR CR 6.0 032014 MEDIUM TERM NOTE SEMI SURVIVOR OPTION | P | 2004-03-11 | 2011-03-21 | 500000 | 500000 | ||
| 400,000 FNMA NOTE 5.0 122829 NOTE B/E CPN 5.000% DUE 12/28/29 | P | 2009-12-21 | 2011-06-28 | 400000 | -5 | -5 | 400005 |
| 220,000 FIRSTENERGY 6.8 081539 CORP SENIOR NOTE B/E CPN 6.800% DUE 08/15/39 DTD 08/07/09 FC 02/15/10 | P | 2011-03-22 | 2011-09-14 | 232425 | 6260 | 6260 | 226165 |
| 3,300 PLAINS ALL AMERN PIPELIN PIPELINE LP | P | 2011-11-09 | 2011-12-29 | 240777 | 27007 | 27007 | 213770 |
| 1,000 ONEOK PARTNERS LP UNIT LIMITED PARTNERSHIP | P | 2010-02-02 | 2011-11-09 | 48267 | 21018 | 21018 | 27249 |
| 2,200 ONEOK PARTNERS LP UNIT LIMITED PARTNERSHIP | P | 2010-02-02 | 2011-11-09 | 105700 | 93314 | 93314 | 12386 |
| 1,150 ONEOK PARTNERS LP UNIT LIMITED PARTNERSHIP | P | 2009-06-17 | 2011-11-09 | 55252 | 41008 | 41008 | 14244 |
| 4,350 ONEOK PARTNERS LP UNIT LIMITED PARTNERSHIP | P | 2009-06-17 | 2011-10-27 | 219186 | 149679 | 149679 | 69507 |
| 2,581 LEGACY RESERVES LTD PART PARTNERSHIP UNIT REP LTD PARTNERSHIP INTEREST | P | 2010-01-12 | 2011-02-02 | 75630 | 29468 | 29468 | 46162 |
| 3,419 LEGACY RESERVES LTD PART PARTNERSHIP UNIT REP LTD PARTNERSHIP INTEREST | P | 2010-01-12 | 2011-02-01 | 100187 | 39036 | 39036 | 61151 |
| 0.22 GENERAL MOTORS CO WTS COMPANY EXP 07/10/19 $18.33 | P | 2011-10-28 | 2011-10-28 | 3 | 3 | 3 | |
| 0.34 GENERAL MOTORS CO WTS COMPANY EXP 07/10/19 $18.33 | P | 2003-05-19 | 2011-07-28 | 5 | -18 | -18 | 23 |
| 0.94 GENERAL MOTORS CO WTS COMPANY EXP 07/10/19 $18.33 | P | 2003-05-19 | 2011-04-28 | 16 | -46 | -46 | 62 |
| 0.22 GENERAL MOTORS CO WTS COMPANY EXP 07/10/16 $10.00 | P | 2011-10-28 | 2011-10-28 | 4 | 4 | 4 | |
| 0.34 GENERAL MOTORS CO WTS COMPANY EXP 07/10/16 $10.00 | P | 2003-05-19 | 2011-07-28 | 7 | -22 | -22 | 29 |
| 0.94 GENERAL MOTORS CO WTS COMPANY EXP 07/10/16 $10.00 | P | 2003-05-19 | 2011-04-28 | 21 | -60 | -60 | 81 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Capital Gain Net Income | 344514 | CapitalGainNetIncome |
Qlfy Und Sect4940e For Reduced Tax QlfyUndSect4940eForReducedTax
| Field | Value | IRS element (for citing) |
|---|---|---|
| Liable For4942 Tax | false | LiableFor4942Tax |
| Qualifying Distributions Year1 | 476876 | QualifyingDistributionsYear1 |
| Noncharitable Assets Year1 | 12554110 | NoncharitableAssetsYear1 |
| Distribution Ratio Year1 | 0.03799 | DistributionRatioYear1 |
| Qualifying Distributions Year2 | 525919 | QualifyingDistributionsYear2 |
| Noncharitable Assets Year2 | 11053813 | NoncharitableAssetsYear2 |
| Distribution Ratio Year2 | 0.04758 | DistributionRatioYear2 |
| Qualifying Distributions Year3 | 678279 | QualifyingDistributionsYear3 |
| Noncharitable Assets Year3 | 10126535 | NoncharitableAssetsYear3 |
| Distribution Ratio Year3 | 0.06698 | DistributionRatioYear3 |
| Qualifying Distributions Year4 | 649035 | QualifyingDistributionsYear4 |
| Noncharitable Assets Year4 | 9102095 | NoncharitableAssetsYear4 |
| Distribution Ratio Year4 | 0.07131 | DistributionRatioYear4 |
| Qualifying Distributions Year5 | 604503 | QualifyingDistributionsYear5 |
| Noncharitable Assets Year5 | 8930358 | NoncharitableAssetsYear5 |
| Distribution Ratio Year5 | 0.06769 | DistributionRatioYear5 |
| Total Distribution Ratio | 0.29154 | TotalDistributionRatio |
| Average Distribution Ratio | 0.05831 | AverageDistributionRatio |
| Net Noncharitable Assets | 13499007 | NetNoncharitableAssets |
| Adjusted Noncharitable Assets | 787100 | AdjustedNoncharitableAssets |
| One Percent Net Investment Income | 11388 | OnePercentNetInvestmentIncome |
| Adj Nonchrtbl Assets And One | 798488 | AdjNonchrtblAssetsAndOnePct |
| Qualifying Distributions | 492351 | QualifyingDistributions |
Excise Tax Based On Investment Incm ExciseTaxBasedOnInvestmentIncm
| Field | Value | IRS element (for citing) |
|---|---|---|
| Investment Income Excise Tax | 22775 | InvestmentIncomeExciseTax |
| Subtotal | 22775 | Subtotal |
| Tax Based On Investment Income | 22775 | TaxBasedOnInvestmentIncome |
| Est Tax Payments And Overpayment | 20300 | EstTaxPaymentsAndOverpayment |
| Total Credits And Payments | 20300 | TotalCreditsAndPayments |
| Form2220 Attached | X | Form2220Attached |
| Tax Due | 2475 | TaxDue |
Statements Regarding Activities StatementsRegardingActivities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Legislative Political Activities | false | LegislativePoliticalActivities |
| More Than100 Spent | false | MoreThan100Spent |
| Form1120 POL Filed | false | Form1120POLFiled |
| Activities Not Prev Reported | false | ActivitiesNotPrevReported |
| Changes To Articles Or Bylaws | false | ChangesToArticlesOrBylaws |
| Unrelated Bus Income Over1000 | false | UnrelatedBusIncomeOver1000 |
| Form990 T Filed | false | Form990TFiled |
| Termination Etc | false | TerminationEtc |
| Requirements Of Sect508e | true | RequirementsOfSect508e |
| At Least5000 In Assets | true | AtLeast5000InAssets |
| Form990 PF Filed With AG | true | Form990PFFiledWithAG |
| Private Operating Foundation | false | PrivateOperatingFoundation |
| New Substantial Contributors | false | NewSubstantialContributors |
| Interest In Controlled Entity | false | InterestInControlledEntity |
| Applicable Insurance Contract | false | ApplicableInsuranceContract |
| Comply With Public Inspection Rqr | true | ComplyWithPublicInspectionRqr |
| Website Address | N/A | WebsiteAddress |
Books In Care Of Business Name BooksInCareOfBusinessName
| Field | Value | IRS element (for citing) |
|---|---|---|
| Business Name Line1 | HARKER MELLINGER CPAs LLC | BusinessNameLine1 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Books In Care Of Phone Number | 3076720785 | BooksInCareOfPhoneNumber |
Books In Care Of US Address BooksInCareOfUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 1470 SUGARLAND DR STE 1 | AddressLine1 |
| City | SHERIDAN | City |
| State | WY | State |
| ZIP Code | 82801 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Foreign Bank | false | ForeignBank |
Statements Regarding Acty4720 StatementsRegardingActy4720
| Field | Value | IRS element (for citing) |
|---|---|---|
| Sale Or Exchange With Dsqfly Person | false | SaleOrExchangeWithDsqflyPerson |
| Borrow Or Lend With Dsqfly Person | false | BorrowOrLendWithDsqflyPerson |
| Furnished Goods With Dsqfly Person | false | FurnishedGoodsWithDsqflyPerson |
| Pay Compensation To Dsqfly Person | false | PayCompensationToDsqflyPerson |
| Transfer Assets To Dsqfly Person | false | TransferAssetsToDsqflyPerson |
| Payment To Government Offical | false | PaymentToGovernmentOffical |
| Acts Fail To Qualify As Exceptions | false | ActsFailToQualifyAsExceptions |
| Uncorrected Prior Acts | false | UncorrectedPriorActs |
| Undistributed Income Prior Years | false | UndistributedIncomePriorYears |
| Undistr Income4942a2 Not Applied | false | UndistrIncome4942a2NotApplied |
| Business Holdings | false | BusinessHoldings |
| Excess Business Holdings | false | ExcessBusinessHoldings |
| Jeopardy Investments | false | JeopardyInvestments |
| Uncorrected Jeopardy Investments | false | UncorrectedJeopardyInvestments |
| Influence Legislation | false | InfluenceLegislation |
| Influence Election | false | InfluenceElection |
| Grants To Individuals | false | GrantsToIndividuals |
| Grants To Organizations | false | GrantsToOrganizations |
| Noncharitable Purpose | false | NoncharitablePurpose |
| Tr Fail To Qualify As Exceptions | false | TrFailToQualifyAsExceptions |
| Maint Expend Responsibility | false | MaintExpendResponsibility |
| Rcv Funds To Pay Prsnl Bnft Contract | false | RcvFundsToPayPrsnlBnftContract |
| Pay Premiums Prsnl Bnft Contract | false | PayPremiumsPrsnlBnftContract |
| Prohibited Tax Shelter Transactn | false | ProhibitedTaxShelterTransactn |
| Proceeds Or Net Income | false | ProceedsOrNetIncome |
Ofcr Dir Trustees Key Employee Info OfcrDirTrusteesKeyEmployeeInfo
Ofcr Dir Trustees Or Key Employee OfcrDirTrusteesOrKeyEmployee (5 entries)
| Address Line1USAddress/AddressLine1 | CityUSAddress/City | StateUSAddress/State | ZIP CodeUSAddress/ZIPCode | TitleTitle | Avg Hours Per Wk Devoted To PositionAvgHoursPerWkDevotedToPosition | CompensationCompensation |
|---|---|---|---|---|---|---|
| ROMAN SKATULA | ||||||
| 222 2ND WEST PARKWAY | SHERIDAN | WY | 82801 | Treasurer | 1.00 | 4800 |
| RONALD J DESTEFANO | ||||||
| 1110 ABSARAKA | SHERIDAN | WY | 82801 | PROPERTY MGR | 1.00 | 3600 |
| ARTHUR FELKER | ||||||
| 1305 GAGE PLACE | SHERIDAN | WY | 82801 | President | 1.00 | 4800 |
| RICHARD KILPATRICK | ||||||
| 114 SCOTT DRIVE | SHERIDAN | WY | 82801 | Assistant Sec. | 1.00 | 3600 |
| STEVEN C HARKER | ||||||
| 2020 SUMMIT DRIVE | SHERIDAN | WY | 82801 | Assistant Treas | 1.00 | 3600 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Comp Of Highest Paid Empl NONE | NONE | CompOfHighestPaidEmplNONE |
| Comp Of Hghst Paid Cntrct NONE | NONE | CompOfHghstPaidCntrctNONE |
Summary Of Direct Charitable Acty SummaryOfDirectCharitableActy
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description1 | SHERIDAN SENIOR CENTER, SHERIDAN WYOMING SUPPORT FOR GENERAL CENTER FUNCTIONS | Description1 |
| Expenses1 | 75000 | Expenses1 |
| Description2 | ST PETERS EPISCOPAL CHURCH - PROVIDE FUNDS FOR GENERAL FUNCTIONS | Description2 |
| Expenses2 | 25000 | Expenses2 |
| Description3 | SHERIDAN COLLEGE, SHERIDAN, WYOMING - SUPPORT FOR GENERAL EDUCATION/SCHOOL FUNCTIONS | Description3 |
| Expenses3 | 170000 | Expenses3 |
| Description4 | MEMORIAL HOSPITAL OF SHERIDAN COUNTY, SHERIDAN, WYOMING - SUPPORT FOR GENERAL HOSPITAL/MEDICAL FUNCTIONS | Description4 |
| Expenses4 | 187500 | Expenses4 |
Minimum Investment Return MinimumInvestmentReturn
| Field | Value | IRS element (for citing) |
|---|---|---|
| Avg Monthly FMV Of Securities | 13570317 | AvgMonthlyFMVOfSecurities |
| Avg Monthly Cash Balances | 134259 | AvgMonthlyCashBalances |
| FMV All Other Noncharitable Assets | 0 | FMVAllOtherNoncharitableAssets |
| Total FMV Of Unused Assets | 13704576 | TotalFMVOfUnusedAssets |
| Reduction Claimed | 0 | ReductionClaimed |
| Adj Total FMV Of Unused Assets | 13704576 | AdjTotalFMVOfUnusedAssets |
| Cash Deemed Charitable | 205569 | CashDeemedCharitable |
| Net Noncharitable Assets | 13499007 | NetNoncharitableAssets |
| Minimum Investment Return | 674950 | MinimumInvestmentReturn |
Distributable DistributableAmount
| Field | Value | IRS element (for citing) |
|---|---|---|
| Minimum Investment Return | 674950 | MinimumInvestmentReturn |
| Tax Based On Investment Income | 22775 | TaxBasedOnInvestmentIncome |
| Total Tax | 22775 | TotalTax |
| Distributable Amount Before Adj | 652175 | DistributableAmountBeforeAdj |
| Distributable Amount Before Ded | 652175 | DistributableAmountBeforeDed |
| Distributable Amount As Adjusted | 652175 | DistributableAmountAsAdjusted |
Qualifying Distributions QualifyingDistributions
| Field | Value | IRS element (for citing) |
|---|---|---|
| Expenses And Contributions | 492351 | ExpensesAndContributions |
| Qualifying Distributions | 492351 | QualifyingDistributions |
| Adj Qualifying Distributions | 492351 | AdjQualifyingDistributions |
Undistributed Income UndistributedIncome
| Field | Value | IRS element (for citing) |
|---|---|---|
| Distributable Amount As Adjusted | 652175 | DistributableAmountAsAdjusted |
| Excess Distri Carryover Year5 | 93344 | ExcessDistriCarryoverYear5 |
| Excess Distri Carryover Year4 | 204308 | ExcessDistriCarryoverYear4 |
| Excess Distri Carryover Year3 | 275538 | ExcessDistriCarryoverYear3 |
| Total Excess Distri Carryover | 573190 | TotalExcessDistriCarryover |
| Qualifying Distributions | 492351 | QualifyingDistributions |
| Treated As Distri From Corpus | 0 | TreatedAsDistriFromCorpus |
| Applied To Current Year | 492351 | AppliedToCurrentYear |
| Excess Distri Cyov App CY Corpus | 159824 | ExcessDistriCyovAppCYCorpus |
| Excess Distri Cyov Applied CY | 159824 | ExcessDistriCyovAppliedCY |
| Total Corpus | 413366 | TotalCorpus |
| Undistributed Income CY | 0 | UndistributedIncomeCY |
| Excess Distri Cyov To Next Year | 413366 | ExcessDistriCyovToNextYear |
| Excess From Year4 | 137828 | ExcessFromYear4 |
| Excess From Year3 | 275538 | ExcessFromYear3 |
Supplementary Information SupplementaryInformation
| Field | Value | IRS element (for citing) |
|---|---|---|
| Only Contributes To Preselected | X | OnlyContributesToPreselected |
Appication Submission Info AppicationSubmissionInfo
| Field | Value | IRS element (for citing) |
|---|---|---|
| Recipient Name | GRIFFITH FOUNDATION | RecipientName |
Recipient US Address RecipientUSAddress
| Field | Value | IRS element (for citing) |
|---|---|---|
| Address Line1 | 2 NORTH MAIN STREET SUITE 401 | AddressLine1 |
| City | SHERIDAN | City |
| State | WY | State |
| ZIP Code | 82801 | ZIPCode |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Form And Info And Materials | LETTER FORMAT | FormAndInfoAndMaterials |
| Submission Deadlines | NONE | SubmissionDeadlines |
| Restrictions On Awards | DISCRETION OF THE BOARD OF TRUSTEES | RestrictionsOnAwards |
Grant Or Contri Paid During Year GrantOrContriPaidDuringYear (7 entries)
| Address Line1RecipientUSAddress/AddressLine1 | CityRecipientUSAddress/City | StateRecipientUSAddress/State | ZIP CodeRecipientUSAddress/ZIPCode | Recipient RelationshipRecipientRelationship | Recipient Foundation StatusRecipientFoundationStatus | Purpose Of Grant Or ContributionPurposeOfGrantOrContribution | AmountAmount |
|---|---|---|---|---|---|---|---|
| FREE CLINIC OF SHERIDAN COUNTY | |||||||
| PO BOX 682 | SHERIDAN | WY | 82801 | NONE | PUBLIC | SUPPORT OF CLINIC PROVIDING FREE HEALTH CARE FOR THE UNINSURED | $10,000 |
| SENIOR CENTER | |||||||
| 211 SMITH | SHERIDAN | WY | 82801 | NONE | PUBLIC | SUPPORT COMMUNITY BASED SENIOR CITIZEN CENTER | $75,000 |
| GIRL SCOUTS | |||||||
| 244 NORTH MAIN | SHERIDAN | WY | 82801 | NONE | PUBLIC | PUBLIC GIRL SCOUT PROGRAM | $5,000 |
| SHERIDAN COLLEGE | |||||||
| 3059 COFFEEN AVE | SHERIDAN | WY | 82801 | NONE | PUBLIC | SUPPORT FOR GENERAL SCHOOL/EDUCATIONAL FUNCTIONS | $170,000 |
| MEMORIAL HOSPITAL OF SHERIDAN | |||||||
| 1404 WEST 5TH | SHERIDAN | WY | 82801 | NONE | HOSP | SUPPORTGENERAL MEDICAL/HOSPITAL FUNCTIONS | $187,500 |
| YOUTH INC | |||||||
| T SMITH 31 WAGON BOX | STORY | WY | 82801 | NONE | PUBLIC | SUPPORT YOUTH CAMPING | $10,000 |
| ST PETERS EPISCOPAL CHURCH | |||||||
| 1 S TSCHIRGI | SHERIDAN | WY | 82801 | NONE | CHURCH | SUPPORT FOR CHURCH ACTIVITIES | $25,000 |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Tot Grant Or Contri Paid During Year | 482500 | TotGrantOrContriPaidDuringYear |
Analysis Income Producing Acty AnalysisIncomeProducingActy
Int On Savings And Temp Cash Invst IntOnSavingsAndTempCashInvst
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 14 | ExclusionCode |
| Exclusion | $309 | ExclusionAmount |
Dividends And Int From Sec Part VII DividendsAndIntFromSecPartVII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 14 | ExclusionCode |
| Exclusion | $526,330 | ExclusionAmount |
Other Investment Income Part VII OtherInvestmentIncomePartVII
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 14 | ExclusionCode |
| Exclusion | $65,220 | ExclusionAmount |
Gain Sales Assets Oth Than Invntry GainSalesAssetsOthThanInvntry
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion Code | 14 | ExclusionCode |
| Exclusion | $344,514 | ExclusionAmount |
Other Revenue Described OtherRevenueDescribed (2 entries)
| DescriptionDescription | Exclusion CodeExclusionCode | ExclusionExclusionAmount |
|---|---|---|
| OIL/GAS LEASE INCOME | 16 | $298,660 |
| MISC | 16 | $162 |
Subtotals Part XVIA SubtotalsPartXVIA
| Field | Value | IRS element (for citing) |
|---|---|---|
| Exclusion | $1,104,755 | ExclusionAmount |
| Field | Value | IRS element (for citing) |
|---|---|---|
| Total Part XVIA | 1104755 | TotalPartXVIA |
Trnsfr Tr Rln With Noncharitable EO TrnsfrTrRlnWithNoncharitableEO
| Field | Value | IRS element (for citing) |
|---|---|---|
| Trnsfr Of Cash To Noncharitable EO | false | TrnsfrOfCashToNoncharitableEO |
| Trnsfr Oth Assets Noncharitable EO | false | TrnsfrOthAssetsNoncharitableEO |
| Sales Or Exchanges Of Assets | false | SalesOrExchangesOfAssets |
| Purchase Assets Noncharitable EO | false | PurchaseAssetsNoncharitableEO |
| Rental Of Facilities Etc | false | RentalOfFacilitiesEtc |
| Reimbursement Arrangements | false | ReimbursementArrangements |
| Loans Or Loan Guarantees | false | LoansOrLoanGuarantees |
| Performance Of Services Etc | false | PerformanceOfServicesEtc |
| Sharing Of Facilities Etc | false | SharingOfFacilitiesEtc |
| Relationships Noncharitable E Os | false | RelationshipsNoncharitableEOs |
Accounting Fees Schedule AccountingFeesSchedule
Accounting Fees AccountingFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Amount | $5,100 | Amount |
| Net Investment Income | 3825 | NetInvestmentIncome |
| Adjusted Net Income | 0 | AdjustedNetIncome |
| Disbursements Charitable Prps | 1275 | DisbursementsCharitablePrps |
Land Etc Schedule2 LandEtcSchedule2
Land Etc LandEtc
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category Or Item | Furniture and Fixtures | CategoryOrItem |
| Cost Or Other Basis | 25852 | CostOrOtherBasis |
| Accumulated Depreciation | 25518 | AccumulatedDepreciation |
| Book Value | 334 | BookValue |
| EOYFMV | 1000 | EOYFMV |
Legal Fees Schedule LegalFeesSchedule
Legal Fees LegalFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Amount | $2,080 | Amount |
| Net Investment Income | 1560 | NetInvestmentIncome |
| Adjusted Net Income | 0 | AdjustedNetIncome |
| Disbursements Charitable Prps | 520 | DisbursementsCharitablePrps |
Other Assets Schedule OtherAssetsSchedule
Other Assets OtherAssets (6 entries)
| DescriptionDescription | EOY Book ValueEOYBookValue | BOY Book ValueBOYBookValue | EOYFMVEOYFMV |
|---|---|---|---|
| Rounding | 3 | ||
| PICTURES | 839 | 839 | 839 |
| Net Intangible Assets | 7459 | 7284 | |
| MINERAL RIGHTS | 87278 | 87278 | 172500 |
| BRANDS | 100 | 100 | 100 |
| 5TH ST LAND | 1 | 1 |
Other Expenses Schedule OtherExpensesSchedule
Other Expenses OtherExpenses (8 entries)
| DescriptionDescription | Revenue And Expenses Per BooksRevenueAndExpensesPerBooks | Net Investment IncomeNetInvestmentIncome | Disbursements Charitable PrpsDisbursementsCharitablePrps |
|---|---|---|---|
| TELEPHONE | 144 | 108 | 36 |
| SECRETARIAL SERVICES | 1800 | 1350 | 450 |
| OFFICE EXPENSE | 84 | 63 | 21 |
| MISC | 63 | 47 | 16 |
| LICENSE, PERMITS | 25 | 19 | 6 |
| JANITOR SERVICE | 464 | 348 | 116 |
| INSURANCE | 250 | 188 | 62 |
| Amortization | 689 | 689 |
Other Income Schedule2 OtherIncomeSchedule2
Other Income OtherIncome (3 entries)
| DescriptionDescription | Revenue And Expenses Per BooksRevenueAndExpensesPerBooks | Net Investment IncomeNetInvestmentIncome |
|---|---|---|
| Other Investment Income | -65220 | |
| OIL/GAS LEASE INCOME | 298660 | 298660 |
| MISC | 162 | 162 |
Other Liabilities Schedule OtherLiabilitiesSchedule
Other Liabilities OtherLiabilities
| Field | Value | IRS element (for citing) |
|---|---|---|
| Description | FEDERAL EXCISE TAX PAYABLE | Description |
| BOY Book Value | 10029 | BOYBookValue |
| EOY Book Value | 2475 | EOYBookValue |
Other Professional Fees Schedule OtherProfessionalFeesSchedule
Other Professional Fees OtherProfessionalFees
| Field | Value | IRS element (for citing) |
|---|---|---|
| Category | MANAGEMENT FEE - STIFEL NICOLAUS | Category |
| Amount | $63,538 | Amount |
| Net Investment Income | 0 | NetInvestmentIncome |
| Adjusted Net Income | 0 | AdjustedNetIncome |
| Disbursements Charitable Prps | 0 | DisbursementsCharitablePrps |
Taxes Schedule TaxesSchedule
Taxes Taxes (2 entries)
| CategoryCategory | AmountAmount | Net Investment IncomeNetInvestmentIncome | Disbursements Charitable PrpsDisbursementsCharitablePrps |
|---|---|---|---|
| FOREIGN TAX | $3,262 | 3262 | 815 |
| FEDERAL EXCISE TAXES | $22,775 |
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