2011-04-18T14:11:13-05:00 2010-12-31 990PF 2010-01-01 366013118 THE KLAUER FOUNDATION R63705009 2620076800 KLAU 4149771210 C/O JPMORGAN CHASE BANKNAPOBOX 3038 MILWAUKEE WI 53201 JACK L UDOVICH 4149771210 2011-05-09 2010 2016-02-24 21:20:13Z X 3176496 X X 87 87 59622 59750 48449 1267339 62381 108158 122218 29546 22159 7387 2222 813 0 15 1900 15 31783 24872 7402 117675 117675 149458 24872 125077 -41300 97346 13952 12391 12391 268284 71343 71343 1633506 1893061 2293505 827667 749796 799257 49500 2792909 2726591 3176496 0 0 X 2792909 2726591 0 0 0 0 2792909 2726591 2792909 2726591 2792909 -41300 840 2752449 25858 2726591 PUBLICLY TRADED SECURITIES 1224961 1194688 30273 30273 POWERSHARES DB - SCH K-1 P -13 -13 POWERSHARES DB - SCH K-1 P 402 402 POWERSHARES DB - SCH K-1 SECTION 1256 P 13543 13543 EMEIS PARK APARTMENTS LP P 1986-11-30 2010-08-18 35160 24202 10958 10958 EMEIS PARK APARTMENTS LP - SECTION 1250 GAIN P 4840 4840 4840 CAPITAL GAINS DIVIDENDS P 2378 2378 2378 62381 0 103422 2623828 0.039416 227930 3043176 0.074899 140196 3628756 0.038635 127378 2928351 0.043498 123471 2587055 0.047726 0.244174 0.048835 2937946 143475 973 144448 125077 1947 0 1947 0 1947 1080 1080 867 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 3127326385 10 S DEARBORN CHICAGO IL 606032003 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 29546 0 0 NONE 0 NONE 0 N/A 0 N/A 0 0 0 2845468 137218 0 2982686 0 0 2982686 44740 2937946 146897 146897 1947 1947 144950 0 144950 0 144950 125077 0 125077 0 125077 144950 116338 0 0 125077 116338 0 0 8739 0 0 0 0 0 0 0 0 136211 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 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 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 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 2000 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 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 4000 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 22000 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 117675 0 14 87 14 59622 18 48449 REFUND - EXCISE TAX 01 0 108158 0 108158 0 0 0 0 0 0 0 0 0 0 N/A 0 GOLDMAN SACHS TRUST HIGH YIELD FUND INSTITUTIONAL SHS - 16034.433 SHS 112880 117051 VANGUARD FIXED INCOME SECS F INTR TRM CP PT (FUND 71) - 5769.615 SHS 51368 57235 ISHARES BARCLAYS TIPS BOND FUND - 530 SHS 52533 56986 JPM CORE BOND FD - SEL FUND 3720 3.84% - 6589.616 SHS 70531 75517 JPM HIGH YIELD FD - SEL FUND 3580 5.91% - 18222.346 SHS 141344 148512 JPM SHORT DURATION BOND FD - SEL FUND 3133 1.36% - 17455.468 SHS 186136 191486 DREYFUS/LAUREL FDS TR PRM EMRGN MK I - 2283.198 SHS 30149 33015 JPM STR INC OPP FD FUND 3844 2.33% - 7383.197 SHS 74855 87343 JPM INTL CURRENCY INCOME FD INCOME FUND 1.28% - 2854.424 SHS 30000 32112 ABBOTT LABORATORIES - 95 SHS 4567 4551 ALEXION PHARMACEUTICALS INC - 15 SHS 866 1208 AMAZON COM INC - 20 SHS 2260 3600 AMERICAN EXPRESS CO - 25 SHS 1057 1073 APACHE CORP - 44 SHS 4170 5246 APPLE INC. - 32 SHS 4433 10322 BB & T CORP - 40 SHS 701 1052 BAKER HUGHES INC - 40 SHS 2066 2287 CVS CAREMARK CORPORATION - 87 SHS 2084 3025 CAMPBELL SOUP COMPANY - 40 SHS 1455 1390 CARDINAL HEALTH INC - 60 SHS 1657 2299 CELGENE CORPORATION - 44 SHS 2141 2602 CISCO SYSTEMS INC - 310 SHS 4828 6271 CITRIX SYSTEMS INC - 15 SHS 1030 1026 COLGATE PALMOLIVE CO - 25 SHS 1970 2009 WALT DISNEY CO - 90 SHS 1632 3376 DOW CHEMICAL CO - 70 SHS 2000 2390 E I DU PONT DE NEMOURS & CO - 120 SHS 4678 5986 E M C CORP MASS - 80 SHS 1638 1832 FREEPORT-MCMORAN COPPER & GOLD INC CL B - 50 SHS 2248 6005 GENERAL ELECTRIC CO - 105 SHS 1607 1920 GENERAL MILLS INC - 40 SHS 1108 1424 INTERNATIONAL BUSINESS MACHINES CORP - 26 SHS 280 3816 JOHNSON CONTROLS INC - 140 SHS 2958 5348 KELLOGG CO - 15 SHS 732 766 LENNAR CORP - 25 SHS 387 469 LOWES COMPANIES INC - 65 SHS 1498 1630 MATTHEWS PACIFIC TIGER FD - 6377.551 SHS 100000 149490 MICROSOFT CORP - 336 SHS 8736 9378 MORGAN STANLEY - 69 SHS 1553 1877 NATIONAL-OILWELL VARCO INC - 15 SHS 942 1009 NIKE INC B - 20 SHS 1236 1708 NORFOLK SOUTHERN CORP - 100 SHS 3955 6282 NOVELLUS SYSTEMS INC - 60 SHS 1528 1939 OCCIDENTAL PETROLEUM CORP - 58 SHS 3548 5690 ORACLE CORP - 140 SHS 3251 4382 PACCAR INC - 75 SHS 2661 4301 PARKER-HANNIFIN CORP - 8 SHS 322 690 PEPSICO INC - 40 SHS 2525 2613 PFIZER INC - 360 SHS 5251 6304 PROCTER & GAMBLE CO - 95 SHS 5148 6111 PUBLIC SERVICE ENTERPRISE GROUP - 35 SHS 0 0 QUALCOMM INC - 98 SHS 3609 4850 T ROWE PRICE INTERNATIONAL FUNDS INC NEW ASIA FUND - 5175.37 SHS 87001 99264 SANDISK CORP - 20 SHS 874 997 SOUTHERN CO - 55 SHS 1645 2103 SPRINT NEXTEL CORP - 335 SHS 1410 1417 STAPLES INC - 120 SHS 2493 2732 STATE STREET CORP - 25 SHS 994 1159 SYSCO CORP - 40 SHS 1265 1176 UNITED TECHNOLOGIES CORP - 65 SHS 3504 5117 XILINX CORP - 50 SHS 1415 1449 COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A - 40 SHS 1995 2932 SEMPRA ENERGY - 0 SHS 1049 1050 CITIGROUP INC - 885 SHS 3690 4186 WELLS FARGO & CO - 155 SHS 3259 4803 THORNBURG VALUE FUND FD CL I - 1660.027 SHS 50000 57188 BANK OF AMERICA CORP - 309 SHS 5870 4122 GOLDMAN SACHS GROUP INC - 20 SHS 1653 3363 DEVON ENERGY CORP - 40 SHS 2752 3140 EOG RESOURCES INC - 39 SHS 3008 3565 HONEYWELL INTERNATIONAL INC - 65 SHS 2729 3455 UNITEDHEALTH GROUP INC - 35 SHS 1326 1264 ISHARES RUSSELL 1000 GROWTH INDEX FUND - 700 SHS 38050 40082 VERIZON COMMUNICATIONS INC - 122 SHS 2933 4365 COACH INC - 40 SHS 1398 2212 ISHARES COHEN & STEERS REALTY MAJORS INDEX FUND - 1287 SHS 38799 84582 US BANCORP DEL - 75 SHS 1974 2023 ISHARES RUSSELL MIDCAP GROWTH INDEX FUND - 1500 SHS 85606 84915 ISHARES RUSSELL MIDCAP INDEX FUND - 610 SHS 54050 62068 ADVANCED AUTO PARTS INC - 25 SHS 752 1654 3M CO - 18 SHS 1555 1553 YUM BRANDS INC - 75 SHS 2579 3679 COMCAST CORP CL A - 65 SHS 1104 1428 CARNIVAL CORPORATION - 40 SHS 1409 1844 ARBITRAGE FUNDS - I CL I - 7457.861 SHS 97725 95386 GOOGLE INC CL A - 4 SHS 1202 2376 WELLPOINT INC - 10 SHS 553 569 JPM US REAL ESTATE FD - SEL FUND 3037 - 909.253 SHS 13266 14166 JPM INTREPID AMERICA FD - SEL FUND 1206 - 3104.861 SHS 75595 71194 JPM MID CAP GROWTH - SEL FUND 3120 - 1802.203 SHS 33346 41433 VANGUARD MSCI EMERGING MARKETS ETF - 2800 SHS 119947 134809 JPM US LRGE CAP CORE PLUS FD - SEL FUND 1002 - 5319.758 SHS 101309 109959 AT&T INC - 60 SHS 2305 1763 EDGEWOOD GROWTH FUND - 8005.618 SHS 57000 90143 STARWOOD HOTELS & RESORTS - 20 SHS 419 1216 POWERSHARES DB COMMODITY INDEX TRACKING FUND - 3694 SHS 83156 101770 HARTFORD CAPITAL APPRECIATION FUND - 1752.541 SHS 50000 60708 MANNING & NAPIER FUND INC WORLD OPPORTUNITIES SERIES FUND - 8102.556 SHS 51932 69763 CME GROUP INC CLASS A COMMON STOCK - 6 SHS 1550 1931 EATON VANCE MUT FDS TR GLOBAL MACRO - I - 9284.396 SHS 96019 95351 INVESCO LTD - 50 SHS 966 1203 PHILIP MORRIS INTERNATIONAL - 32 SHS 479 1873 ACE LTD NEW - 20 SHS 862 1245 ISHARES MSCI ALL COUNTRY ASIA EX JAPAN INDEX FUND - 870 SHS 40174 55419 EAGLE SER MID CAP STK I - 1200 SHS 27504 33648 ARTIO INTERNATIONAL 3 II - I - 8103 SHS 61259 100963 TYCO INTERNATIONAL LTD - 45 SHS 1671 1865 TIME WARNER INC NEW - 196 SHS 4855 6305 COVIDIEN PLC - 30 SHS 1083 1370 MERCK AND CO INC - 135 SHS 4247 4865 JPM RESEARCH MARKET NEUTRAL FD - SEL FUND - SEL - 2935.494 SHS 45092 45324 MS SPX BREN 02/24/11 - 50000 SHS 49500 55558 HIGHBRIDGE DYNAMIC COMM STRG FD -SEL STRATEGY FUND - SE - 2629.915 SHS 37515 50941 DB ASIA BREN 07/10/11 10%BUFFER - 55000 SHS 54450 64182 GS SPX BREN 06/10/11 10%BUFF- 55000 SHS 54450 61205 HSBC EAFE BREN 06/10/11 10%BUFFER- 55000 SHS 54450 59241 NEXTERA ENERGY INC - 30 SHS 1523 1560 CS BREN SPX 07/29/11 10%BUFFER- 15000 SHS 14850 16847 MS BREN CMDTY DJUBSF2 1/12/12 DOW JONES- 15%BUFFER- 20000 SHS 19750 22175 JUNIPER NETWORKS INC - 85 SHS 1467 3138 EXXON MOBIL CORP - 123 SHS 7951 8994 METLIFE INC - 65 SHS 2546 2889 MARVELL TECHNOLOGY GROUP LTD - 70 SHS 1418 1299 PRUDENTIAL FINANCIAL INC - 40 SHS 1270 2348 CONOCOPHILLIPS - 55 SHS 2579 3746 BIOGEN IDEC INC - 15 SHS 898 1006 BAIDU INC SPONS ADR - 15 SHS 1383 1448 TD AMERITRADE HOLDING CORPORATION - 75 SHS 1179 1424 MASTERCARD INC - CLASS A - 10 SHS 1828 2241 GENERAL MOTORS CO - 60 SHS 2081 2212 CARRYING VALUE/BASIS ADJUSTMENT 458 BASIS REDUCTION AT LP UNIT SALE 25400 ILLINOIS CHARITY BUREAU 15 0 15 POWERSHARES DB - SCH K-1 0 326 0 EMEIS PARK APTS LP - INVESTMENT EXPENSES 0 189 0 EMEIS PARK APTS LP - FINAL YEAR RENTAL LOSS 0 1385 0 RETURN OF CAPITAL ADJUSTMENT 840 EXCISE TAX BALANCE DUE - PRIOR YEAR 329 0 0 ESTIMATED EXCISE TAX - CURRENT YEAR 1080 0 0 FOREIGN TAXES WITHHELD 813 813 0