2012-11-02T12:53:11-05:00 2012-09-30 953416914 GIVEN & COMPANY AN ACCTY CORP 3029 WILSHIRE BLVD 200 SANTA MONICA CA 904032376 990PF 2011-10-01 953905760 HARRY & YVONNE LENART CHARITABLE FOUNDATION HARR 3108287547 3029 WILSHIRE BLVD NO 200 SANTA MONICA CA 90403 ROBERT H GIVEN 3108287547 2012-10-30 1 PETER GOLDBERG P00020952 3108287547 2011 2016-02-25 16:41:14Z X 3018786 X 550000 69 69 67136 67136 -5474 538745 0 611731 67205 0 0 0 5890 2945 2945 12279 6140 6139 364 95 0 11342 11192 0 29875 20372 9084 25000 25000 54875 20372 34084 556856 46833 101767 114875 114875 0 31078 31098 919799 986565 1173508 0 483266 534953 1176925 1139563 1164352 2198491 2755347 3018786 0 0 X 0 0 0 0 2198491 2755347 2198491 2755347 2198491 2755347 2198491 556856 0 2755347 0 2755347 INTUITIVE SURGICAL INC P 2011-05-23 2011-10-19 3912 3436 476 476 INTUITIVE SURGICAL INC P 2011-06-10 2011-10-19 3912 3395 517 517 INTUITIVE SURGICAL INC P 2011-06-22 2011-10-19 7824 7197 627 627 INTUITIVE SURGICAL INC P 2011-07-12 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11681 -815 -815 BAXTER INTL INC P 2009-10-21 2012-08-10 1775 1667 108 108 BAXTER INTL INC P 2011-06-10 2012-08-10 9171 8963 208 208 BAXTER INTL INC P 2011-06-22 2012-08-10 3846 3899 -53 -53 BAXTER INTL INC P 2011-07-12 2012-08-10 3254 3326 -72 -72 WAL MART STORES INC P 2008-01-24 2012-08-10 2593 1732 861 861 WAL MART STORES INC P 2011-05-23 2012-08-10 2964 2213 751 751 WAL MART STORES INC P 2011-06-10 2012-08-10 4075 2915 1160 1160 WAL MART STORES INC P 2011-06-22 2012-08-10 4816 3460 1356 1356 WAL MART STORES INC P 2011-07-12 2012-08-10 4445 3252 1193 1193 GOLDMAN SACHS GROUP INC P 2012-01-06 2012-08-13 17945 16366 1579 1579 MONSTER BEVERAGE CORP P 2011-06-10 2012-08-15 10152 6660 3492 3492 MONSTER BEVERAGE CORP P 2011-06-22 2012-08-15 1098 747 351 351 VEOLIA ENVIRONNEMENT P 2010-01-15 2012-08-17 808 2897 -2089 -2089 VEOLIA ENVIRONNEMENT P 2011-05-23 2012-08-17 707 2021 -1314 -1314 VEOLIA ENVIRONNEMENT P 2011-06-10 2012-08-17 707 1993 -1286 -1286 VEOLIA ENVIRONNEMENT P 2011-06-22 2012-08-17 505 1393 -888 -888 DOLLAR TREE INC P 2012-07-06 2012-09-14 8829 10319 -1490 -1490 MOSAIC - ADJ P 2011-10-04 8 -8 -8 BROADCOM CORP CL A (RTN OF PRIN-NO CASH REC'D) P 2012-02-07 62 -62 -62 PHILLIPS 66 COM (COST BASIS ADJ) P 2012-07-30 1258 -1258 -1258 -8111 0 7833 1160911 0.006747 151574 763352 0.198564 51908 791823 0.065555 101132 939318 0.107665 1130 814303 0.001388 0.379919 0.075984 2775647 210905 468 211373 34084 937 0 937 0 937 0 5 942 0 0 0 0 0 0 0 0 0 0 1 1 CA 1 0 0 0 0 1 N/A ROBERT H GIVEN 3108287547 3029 WILSHIRE BLVD SUITE 200 SANTA MONICA CA 90403 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 ROBERT H GIVEN 3029 WILSHIRE BLVD SUITE 200 SANTA MONICA CA 90403 0.20 0 0 0 STANFORD RUBIN 10100 SANTA MONICA BLVD LOS ANGELES CA 90024 0.05 0 0 0 NONE 0 NONE 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 0 0 2693021 124895 0 2817916 0 0 2817916 42269 2775647 138782 138782 937 937 137845 0 137845 0 137845 34084 0 34084 0 34084 137845 0 0 4958 12682 113696 131336 34084 0 0 0 34084 0 103761 103761 27575 0 0 0 0 0 0 0 27575 27575 X ARTHRITIS FOUNDATION 800 W SIXTH ST 1250 LOS ANGELES CA 90017 N/A PUBLIC MEDICAL RESEARCH 15000 GREENSPRINGS FIRE AND RESCUE 11471 GREENSPRINGS HWY 66 ASHLAND OR 97520 N/A PUBLIC COMMUNITY SERVICE 10000 25000 0 14 69 14 67136 18 -5474 0 61731 0 61731 0 0 0 0 0 0 0 0 0 0 X X 1 YVONNE LENART ADMINISTRATIVE TRUST 3029 WILSHIRE BLVD 200 SANTA MONICA CA 90403 550000 X GIVEN & COMPANY 12279 6140 6139 N/A 0 CNAM - LTCG DISTRIBUTION PURCHASED 2637 0 2637 REPORTABLE SERVICES PROVIDED TO THE FOUNDATION FORM 990-PF PART VIII PAGE 6 LINE 1 THE FOUNDATION PAID GIVEN & COMPANY, AN ACCOUNTANCY CORPORATION, THE SUM OF $12,279 FOR VARIOUS ACCOUNTING SERVICES PERFORMED BY ITS EMPLOYEES. THESE SERVICES INCLUDED TAX PREPARATION AND BOOKKEEPING. ROBERT H. GIVEN, A TRUSTEE OF THE FOUNDATION, IS AN EMPLOYEE OF GIVEN & COMPANY AND AS AN EMPLOYEE RECEIVED COMPENSATION FOR HIS SERVICES. THE FOUNDATION PAID LOEB & LOEB, A LIMITED LIABILITY COMPANY, THE SUM OF $5,890 FOR VARIOUS SERVICES TO THE FOUNDATION. THESE SERVICES INCLUDED LEGAL AND TRUST ADMINISTRATIVE FUNCTIONS FOR THE FOUNDATION. STANFORD K. RUBIN, A TRUSTEE OF THE FOUNDATION, IS A PARTNER OF LOEB & LOEB, LLP AND AS SUCH RECEIVED COMPENSATION BY LOEB & LOEB, LLP FOR HIS SERVICES. NO COMPENSATION WAS DIRECTLY PAID BY THE FOUNDATION TO ROBERT H. GIVEN OR STANFORD K. RUBIN IN THEIR CAPACITY AS TRUSTEES OR OFFICERS OF THE FOUNDATION. GENERAL ELEC CAP CORP MED TERM 5.550% 05/04/20 118907 129299 GENERAL ELEC CAP GORP GLOBAL FIXED 5.300% 02/11/21 103475 114757 GOLDMAN SACHS GLOBAL 5.25% 07/27/21 98777 110243 JP MORGAN CHASE & CO 6.000% 01/15/18 54712 59613 JP MORGAN CHASE & CO 6.300% 04/23/19 5778 6147 MORGAN STANLEY GLOBAL MED TERM 6.625% 04/01/18 101617 114894 ABBOTT LABORATORIES 16005 21939 ACE LIMITED 15142 17388 AGCO CORP 9689 13769 AMAZON.COM INC 13711 17802 AMERICAN WTR WKS CO INC 11608 15380 APACHE CORP 15481 11241 APPLE INC 51714 103401 ARES CAPITALCORP 18340 18426 BALL CORP 12765 12905 BHP BILLION LTD 10845 10635 BROADCOM CORP CL A 11352 11927 CHEVRON CORP 18400 20981 COLGATE PALMOLIVE CO 23352 27877 COMCAST CORP NEW CL A 12562 15370 COMPANHIA DE BEBIDAS SPONS 21090 25252 COMPANHIA ENERGETICA DE MINAS ADR 11995 9914 CONAGRA FOODS INC 15948 16278 CONOCOPHILLIPS COM 21122 24016 DANAHER CORP 13578 14063 DR PEPPER SNAPPLE GROUP INC 17128 16921 DU PONTE E I DE NEMOURS & CO 14806 14578 EBAY INC 11141 11851 EDISON INTERNATIONAL 7042 8681 EMC CORP MASS 19327 19771 EXXON MOBIL CORP 33901 38409 GENERAL ELECTRIC CO 13030 17373 GILEAD SCIENCES INC 10813 17577 GLAXOSMITHLLLKLINE PLC SPONS ADR 12506 12947 GOOGLE INC CL A 30418 45270 HALLIBURTON COMPANY 19618 21562 HEALTH CARE PROPERTY INVTS REIT 21456 22907 HOME DEPOT INC 14160 24450 ILLUMINA INC 8831 13252 INTL BUSINESS MACHINES CORP 14300 17633 JP MORGAN CHASE & CO 31895 32586 MEDTRONIC INC 19050 21560 MERCK & CO INC 22648 26606 MICROSOFT CORP 16607 18154 MONSTER BEVERAGE CORP 8403 11893 MYLAN INC 19697 21447 NATIONAL OILWELL VARCO INC 12640 11616 NIKE INC CL B 13648 15660 NOBLE CORPORATION 9176 8766 ORACLE CORP 21556 21236 PARKER HANNIFIN CORP 14273 13791 PEPSICO INC 14838 16277 PRECISION CASTPARTS CORP 14431 15517 PRUDENTIAL FINANCIAL INC 19317 17716 PUBLIC STORAGE 14243 16700 QUALCOMM INC 11627 13431 REPUBLIC SERVICES INC 11194 10179 SIEMENS A G SPONS 16310 20030 STATE STREET CORP 11611 10910 TARGET CORP 13656 15868 TJX COS INC 15700 27322 UNION PACIFIC CORP 11176 13057 UNITED HEALTH GROUP INC 18434 20502 VERIZON COMMUNICATIONS 11961 15038 VODAFONE GROUP PLC SPONS ADR 19441 20520 WELLS FARGO & CO 19857 25380 0 0 31078 31098 CNI CHARTER CORP BOND FUND AT COST 560951 573599 CNI CHARTER GOVT BD FUND AT COST 237570 238745 CNI CHARTER HIGH YLD BD FUND AT COST 108900 113590 ISHARES S & P MIDCAP 400 INDEX AT COST 64490 66609 VANGUARD INTL MSCI EMERGING MARKETS AT COST 112864 104091 VANGUARD SMALL-CAP ETF AT COST 54788 67718 LOEB & LOEB 5890 2945 2945 REGISTRY OF CHARITABLE TRUST 150 0 0 INVESTMENT FEES 11154 11154 0 ADR FEES 38 38 0 IRS 259 0 0 FRANCHISE TAX BOARD 10 0 0 FOREIGN TAXES PAID 95 95 0