Form990-PF
Click to see attachment

Department of the Treasury
Internal Revenue Service
Return of Private Foundation
or Section 4947(a)(1) Nonexempt Charitable Trust
Treated as a Private Foundation
Note. The foundation may be able to use a copy of this return to satisfy state reporting requirements.
OMB No. 1545-0052
2011
For calendar year 2011, or tax year beginning 01-01-2011 , and ending 12-31-2011
G
Check all that apply:
Name of foundation
CHASE FOUNDATION
MACK C CHASE TRUSTEE

Number and street (or P.O. box number if mail is not delivered to street address)510 W TEXAS AVE   Room/suite
City or town, state, and ZIP code
ARTESIA, NM88210
A Employer identification number

36-7466258
B Telephone number (see page 10 of the instructions)

(575) 746-4610
C bullet
D 1. bullet
H Check type of organization:
2. bullet
I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16)bullet$42,127,508J Accounting method:
 
(Part I, column (d) must be on cash basis.)
E bullet
F bullet
Part I Analysis of Revenue and Expenses (The total of amounts in columns (b), (c), and (d) may not necessarily equal the amounts in column (a) (see page 11 of the instructions).) (a) Revenue and
expenses per
books 		(b) Net investment
income 		(c) Adjusted net
income 		(d) Disbursements
for charitable
purposes
(cash basis only)
Revenue 1 Contributions, gifts, grants, etc., received (attach schedule) 41,451
2 Check bullet
3 Interest on savings and temporary cash investments 125,487 125,487 125,487
4 Dividends and interest from securities...... 933,038 933,038 933,038
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 3,132,194
b Gross sales price for all assets on line 6a 15,026,592
7 Capital gain net income (from Part IV, line 2)... 3,132,194
8 Net short-term capital gain......... 3,200,382
9 Income modifications...........  
10a Gross sales less returns and allowances  
b Less: Cost of goods sold....  
c Gross profit or (loss) (attach schedule).....    
11 Other income (attach schedule)....... Click to see attachment 30,123 30,123 30,123
12 Total. Add lines 1 through 11........ 4,262,293 4,220,842 4,289,030
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc.        
14 Other employee salaries and wages...... 37,104     37,104
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule)......... Click to see attachment 33,487     33,487
b Accounting fees (attach schedule)....... Click to see attachment 9,851     9,851
c Other professional fees (attach schedule)....        
17 Interest...............        
18 Taxes (attach schedule) (see page 14 of the instructions) Click to see attachment 298,961 293,528   5,433
19 Depreciation (attach schedule) and depletion... Click to see attachment 13,298    
20 Occupancy.............. 1,567     1,567
21 Travel, conferences, and meetings....... 4,079     4,079
22 Printing and publications.......... 4,156     4,156
23 Other expenses (attach schedule)....... Click to see list of attachments 262,900 134,563   128,337
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 665,403 428,091   224,014
25 Contributions, gifts, grants paid........ 1,360,100 1,360,100
26 Total expenses and disbursements. Add lines 24 and 25 2,025,503 428,091   1,584,114
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 2,236,790
b Net investment income (if negative, enter -0-) 3,792,751
c Adjusted net income (if negative, enter -0-)... 4,289,030
For Privacy Act and Paperwork Reduction Act Notice, see page 30 of the instructions.
Cat. No. 11289X Form 990-PF (2011)
Form 990-PF (2011)
Page 2
Part II Balance Sheets Attached schedules and amounts in the description column
should be for end-of-year amounts only. (See instructions.)		 Beginning of year End of year
(a) Book Value (b) Book Value (c) Fair Market Value
Assets 1 Cash—non-interest-bearing............... 311,638 77,807 77,807
2 Savings and temporary cash investments.......... 856,893 5,163 5,163
3 Accounts receivable bullet  
Less: allowance for doubtful accounts bullet        
4 Pledges receivable bullet  
Less: allowance for doubtful accounts bullet        
5 Grants receivable.................      
6 Receivables due from officers, directors, trustees, and other
disqualified persons (attach schedule) (see page 15 of the
instructions)....................      
7 Other notes and loans receivable (attach schedule) bullet  
Less: allowance for doubtful accounts bullet        
8 Inventories for sale or use...............      
9 Prepaid expenses and deferred charges...........      
10a Investments—U.S. and state government obligations (attach schedule)      
b Investments—corporate stock (attach schedule)........ 31,253,161 Click to see attachment28,166,295 29,252,643
c Investments—corporate bonds (attach schedule)........ 3,749,875 Click to see attachment7,490,651 7,760,550
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)........... 2,205,988 Click to see attachment4,882,605 4,828,307
14 Land, buildings, and equipment: basis bullet257,502
Less: accumulated depreciation (attach schedule) bullet54,464 211,628 Click to see attachment203,038 203,038
15 Other assets (describe bullet)      
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 38,589,183 40,825,559 42,127,508
Liabilities 17 Accounts payable and accrued expenses.......... 2,377 1,963
18 Grants payable...................    
19 Deferred revenue..................    
20 Loans from officers, directors, trustees, and other disqualified persons    
21 Mortgages and other notes payable (attach schedule)......    
22 Other liabilities (describe bullet)    
23 Total liabilities (add lines 17 through 22).......... 2,377 1,963
Net Assets or Fund Balances bullet
and complete lines 24 through 26 and lines 30 and 31.
24 Unrestricted....................    
25 Temporarily restricted................    
26 Permanently restricted................    
bullet
and complete lines 27 through 31.
27 Capital stock, trust principal, or current funds......... 38,586,806 40,823,596
28 Paid-in or capital surplus, or land, bldg., and equipment fund    
29 Retained earnings, accumulated income, endowment, or other funds    
30 Total net assets or fund balances (see page 17 of the
instructions).................... 38,586,806 40,823,596
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 38,589,183 40,825,559
Part III Analysis of Changes in Net Assets or Fund Balances
1 Total net assets or fund balances at beginning of year—Part II, column (a), line 30 (must agree
with end-of-year figure reported on prior year’s return)............... 1 38,586,806
2 Enter amount from Part I, line 27a..................... 2 2,236,790
3 Other increases not included in line 2 (itemize) bullet 3  
4 Add lines 1, 2, and 3.......................... 4 40,823,596
5 Decreases not included in line 2 (itemize) bullet 5  
6 Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30. 6 40,823,596
Form 990-PF (2011)
Form 990-PF (2011)
Page 3
Part IV
Capital Gains and Losses for Tax on Investment Income
(a) List and describe the kind(s) of property sold (e.g., real estate,
2-story brick warehouse; or common stock, 200 shs. MLC Co.) 		(b) How acquired
P—Purchase
D—Donation 		(c) Date acquired
(mo., day, yr.) 		(d) Date sold
(mo., day, yr.)
1 a        
b Capital Gain Dividends      
c 8710 MAINSTAY HI YLD CRP BD I P 2010-08-05 2011-12-02
d 1788 FAIRHOLME FUND P 2011-03-14 2011-12-02
e 1785 FAIRHOLME FUND P 2011-03-10 2011-12-02
1757 FAIRHOLME FUND P 2011-02-25 2011-12-02
1757 FAIRHOLME FUND P 2011-02-22 2011-12-02
3467 FAIRHOLME FUND P 2011-02-09 2011-12-02
3516 FAIRHOLME FUND P 2011-02-02 2011-12-02
23 FAIRHOLME FUND P 2010-12-31 2011-12-02
96 FAIRHOLME FUND P 2010-12-16 2011-12-02
1 FAIRHOLME FUND P 2010-12-16 2011-12-02
519 FAIRHOLME FUND P 2010-12-16 2011-12-02
1 FAIRHOLME FUND P 2010-12-16 2011-12-02
1450 FAIRHOLME FUND P 2010-11-19 2011-12-02
1458 FAIRHOLME FUND P 2010-11-18 2011-12-02
1316 FAIRHOLME FUND P 2010-08-09 2011-12-02
1324 FAIRHOLME FUND P 2010-08-06 2011-12-02
4920 FAIRHOLME FUND P 2010-08-05 2011-12-02
2140 FIRST EAG GLOBAL CL I P 2010-08-05 2011-12-02
30000 U.S. TREASURY NOTE 1.25% 02/15/2014 P 2011-02-16 2011-11-07
94000 U.S. TREASURY NOTE 1.25% 02/15/2014 P 2011-02-16 2011-10-06
10000 USII BOND 2.375% DUE 01/15/2027 P 2011-03-23 2011-07-14
80000 U.S. TREASURY NOTE 2.625% 04/30/2018 P 2011-05-17 2011-06-03
80000 U.S. TREASURY NOTE 3.625% 02/15/2021 P 2011-04-21 2011-05-26
20000 USII INFL IX NOTE 1.125% 01/15/2021 P 2011-03-23 2011-05-04
40000 U.S. TREASURY NOTE 2.75% 02/28/2018 P 2011-03-11 2011-04-25
10000 U.S. TREASURY NOTE 2.625% 11/15/2020 P 2011-02-08 2011-04-21
100000 U.S. TREASURY NOTE 2.625% 08/15/2020 P 2010-12-16 2011-04-21
40000 U.S. TREASURY NOTE 3.625% 02/15/2021 P 2011-02-02 2011-04-05
20000 U.S. TREASURY NOTE 3.625% 02/15/2021 P 2011-03-11 2011-04-05
10000 U.S. TREASURY 2.625% 10/15/2020 P 2011-02-08 2011-03-23
10000 U.S. TREASURY 2.625% 10/15/2020 P 2010-12-16 2011-03-23
10000 U.S. TREASURY BOND 4.75% 02/15/2041 P 2011-03-11 2011-03-23
10226.16 GS U.S. MORTGAGES FUND SEPERATE ACCOUNT P 2010-12-06 2011-03-03
10000 U.S. TREASURY NOTE 0.5% 11/15/2013 P 2011-01-11 2011-02-17
380000 U.S. TREASURY NOTE 0.750% 12/15/2013 P 2010-12-16 2011-02-16
80000 U.S. TREASURY NOTE 0.750% 12/15/2013 P 2011-01-11 2011-02-16
22000 U.S. TREASURY NOTE 2.75% 12/31/2017 P 2011-01-18 2011-02-14
16831.68 GS U.S. MORTGAGES FUND SEPERATE ACCOUNT P 2010-12-16 2011-02-08
50000 U.S. TREASURY 2.625% 10/15/2020 P 2010-12-16 2011-02-02
3913.89 GS U.S. MORTGAGES FUND SEPERATE ACCOUNT P 2010-12-16 2011-01-18
40000 U.S. TREASURY 2.625% 10/15/2020 P 2010-12-16 2011-01-12
70000 U.S. TREASURY 2.125% 12/31/2015 P 2011-01-11 2011-01-12
30000 U.S. TREASURY NOTE 0.750% 12/15/2013 P 2010-12-16 2011-01-12
172 LOWES COMPANIES INC CMN P 2010-12-03 2011-12-14
98 ST JUDE MEDICAL INC CMN P 2010-12-03 2011-12-06
52 GILEAD SCIENCES CMN P 2010-12-03 2011-11-21
144 XILINX INCORPORATED CMN P 2010-12-03 2011-11-04
81 AVON PRODUCTS INC CMN P 2010-12-03 2011-10-28
34 AVON PRODUCTS INC CMN P 2010-12-03 2011-10-27
78 THERMO FISHER SCIENTIFIC INC CMN P 2010-12-03 2011-10-26
12 OCCIDENTAL PETROLEUM CORP CMN P 2010-12-03 2011-09-20
18 JOHNSON & JOHNSON CMN P 2010-12-03 2011-09-15
46 JOHNSON & JOHNSON CMN P 2010-12-03 2011-09-14
204 STAPLES, INC CMN P 2010-12-03 2011-08-18
144 STAPLES, INC CMN P 2010-12-03 2011-08-10
124 STAPLES, INC CMN P 2010-12-03 2011-08-08
14 MASTERCARD INCORPORATED CMN CLASS A P 2010-12-03 2011-08-03
113 PEPSICO INC CMN P 2010-12-03 2011-07-28
280 CHARLES SCHWAB CORPORATION CMN P 2010-12-03 2011-07-19
27 SOUTHWESTERN ENERGY CO. CMN P 2010-12-03 2011-07-18
38 OCCIDENTAL PETROLEUM CORP CMN P 2010-12-03 2011-07-12
63 COSTCO WHOLESALE CORPORATION CMN P 2010-12-03 2011-06-29
38 SCHLUMBERGER LTD CMN P 2010-12-03 2011-06-16
48 GILEAD SCIENCES CMN P 2010-12-03 2011-06-16
146 CB RICHARD ELLIS GROUP, INC CMN CLASS A P 2010-12-03 2011-05-05
218 MICROSOFT CORPORATION CMN P 2010-12-03 2011-04-29
92 ST JUDE MEDICAL INC CMN P 2010-12-03 2011-04-14
17 MASTERCARD INCORPORATED CMN CLASS A P 2010-12-03 2011-03-24
162 SOUTHWESTERN ENERGY CO. CMN P 2010-12-03 2011-03-21
23 BROADCOM CORP CL A CMN P 2010-12-03 2011-03-11
57 JOHNSON & JOHNSON CMN P 2010-12-03 2011-03-10
48 PROCTOR & GAMBLE COMPANY CMN P 2010-12-03 2011-03-03
48 PROCTOR & GAMBLE COMPANY CMN P 2010-12-03 2011-02-25
106 BROADCOM CORP CL A CMN P 2010-12-03 2011-02-24
16 CME GROUP INC. CMN CLASS A P 2010-12-03 2011-02-05
512 CISCO SYSTEMS, INC CMN P 2010-12-03 2011-02-11
131 BAXTER INTERNATIONAL INC CMN P 2010-12-03 2011-02-07
40 MICROSOFT CORPORATION CMN P 2010-12-03 2011-01-27
26 HALLIBURTON COMPANY CMN P 2010-12-03 2011-01-27
56 MICROSOFT CORPORATION CMN P 2010-12-03 2011-01-25
41 HALLIBURTON COMPANY CMN P 2010-12-03 2011-01-25
42 BAXTER INTERNATIONAL INC CMN P 2010-12-03 2011-01-25
21 MARRIOTT VACATIONS WORLDWIDE CORPORATION P 2011-08-05 2011-11-29
10 MARRIOTT VACATIONS WORLDWIDE CORPORATION P 2011-08-18 2011-11-29
10 MARRIOTT VACATIONS WORLDWIDE CORPORATION P 2011-08-08 2011-11-29
7 MARRIOTT VACATIONS WORLDWIDE CORPORATION P 2011-09-23 2011-11-29
4 MARRIOTT VACATIONS WORLDWIDE CORPORATION P 2011-10-28 2011-11-29
.3 MARRIOTT VACATIONS WORLDWIDE CORPORATION P 2011-08-05 2011-11-22
107 GILEAD SCIENCES CMN P 2011-02-01 2011-11-21
153 STAPLES, INC CMN P 2011-02-01 2011-10-12
123 STAPLES, INC CMN P 2011-04-05 2011-10-12
116 STAPLES, INC CMN P 2011-03-03 2011-10-12
118 STAPLES, INC CMN P 2011-02-01 2011-09-23
53 OCCIDENTAL PETROLEUM CORP CMN P 2011-02-01 2011-09-20
27 JOHNSON & JOHNSON CMN P 2011-02-01 2011-09-15
226 STAPLES, INC CMN P 2011-02-01 2011-09-02
173 SOUTHWESTERN ENERGY CO. CMN P 2011-02-01 2011-08-09
10 STAPLES, INC CMN P 2011-02-01 2011-08-18
301 CHARLES SCHWAB CORPORATION CMN P 2011-02-01 2011-07-19
31 SOUTHWESTERN ENERGY CO. CMN P 2011-02-01 2011-07-18
236 MICROSOFT CORPORATION CMN P 2011-02-01 2011-04-29
139 BROADCOM CORP CL A CMN P 2011-02-01 2011-03-11
550 CISCO SYSTEMS, INC CMN P 2011-02-01 2011-02-11
19 BAXTER INTERNATIONAL INC CMN P 2011-02-01 2011-02-08
122 BAXTER INTERNATIONAL INC CMN P 2011-02-01 2011-02-07
158 PFIZER CMN P 2010-12-03 2011-12-20
41 ASSURANT INC CMN P 2010-12-03 2011-11-04
23 ASSURANT INC CMN P 2010-12-13 2011-11-04
53 OCCIDENTAL PETROLEUM CORP CMN P 2010-12-03 2011-10-27
34 PROCTOR & GAMBLE COMPANY CMN P 2010-12-03 2011-10-06
62 UNITEDHEALTH GROUP INCORPORTATED CMN P 2010-12-03 2011-09-30
75 GENERAL MILLS INC CMN P 2010-12-03 2011-09-30
148 JPMORGAN CHASE & CO CMN P 2010-12-03 2011-09-26
75 ABBOTT LABORATORIES CMN P 2010-12-03 2011-08-25
4 RAYTHEON CO CMN P 2010-12-03 2011-08-09
45 THE BANK OF NY MELLON CORP CMN P 2010-12-03 2011-08-08
90 RAYTHEON CO CMN P 2010-12-03 2011-08-08
107 THE BANK OF NY MELLON CORP CMN P 2010-12-03 2011-08-05
31 MC DONALDS CORP CMN P 2010-12-03 2011-08-04
2 WAL MART STORES INC CMN P 2010-12-03 2011-06-20
108 WAL MART STORES INC CMN P 2010-12-03 2011-06-15
36 ALLIANCE DATA SYSTEMS CORPORATION CMN P 2010-12-03 2011-04-26
73 KLA-TENCOR CORPORATION CMN P 2010-12-03 2011-02-11
49 FLUOR CORPORATION CMN P 2010-12-03 2011-02-11
27 APACHE CORP CMN P 2010-12-03 2011-02-04
17 APACHE CORP CMN P 2010-12-03 2011-01-31
76 KLA-TENCOR CORPORATION CMN P 2010-12-03 2011-01-25
27 DOMINION RESOURCES INC CMN P 2010-12-03 2011-01-19
9 DOMINION RESOURCES INC CMN P 2010-12-03 2011-01-18
400 KLA-TENCOR CORPORATION CMN P 2010-12-03 2011-01-14
11 KIMBERLY CLARK CORP CMN P 2010-12-03 2011-01-07
84 ASSURANT INC CMN P 2011-02-01 2011-11-14
16 ASSURANT INC CMN P 2011-01-28 2011-11-04
3 ASSURANT INC CMN P 2011-02-01 2011-11-04
102 RAYTHEON CO CMN P 2011-02-01 2011-08-09
140 THE BANK OF NY MELLON CORP CMN P 2011-02-01 2011-08-08
79 WALGREEN CO CMN P 2011-06-22 2011-07-21
62 WAL MART STORES INC CMN P 2011-02-01 2011-06-22
64 WAL MART STORES INC CMN P 2011-02-01 2011-06-20
38 ALLIANCE DATA SYSTEMS CORPORATION CMN P 2011-02-01 2011-04-26
75 KLA-TENCOR CORPORATION CMN P 2011-02-01 2011-02-11
340 PFIZER CMN P 2011-02-01 2011-11-21
160 TOTAL SYS SVC INC P 2011-02-01 2011-10-26
125 COCA-COLA COMPANY NEW CMN P 2011-02-01 2011-09-02
10 PEPSICO INC CMN P 2011-02-01 2011-05-19
30 PEPSICO INC CMN P 2011-02-01 2011-04-28
205 H & R BLOCK INC CMN P 2011-02-01 2011-04-05
5 TOTAL SYS SVC INC P 2011-02-01 2011-03-31
140 TOTAL SYS SVC INC P 2011-02-01 2011-03-30
134 TOTAL SYS SVC INC P 2011-02-01 2011-03-29
380 PFIZER CMN P 2011-02-01 2011-03-28
105 COVIDIEN PLC SHS P 2011-02-01 2011-03-28
60 CONOCOPHILLIPS CMN P 2011-02-01 2011-03-28
85 COMCAST CORPORATION CMN CLASS A NON VOTI P 2011-02-01 2011-03-28
55 COCA-COLA COMPANY NEW CMN P 2011-02-01 2011-03-28
35 CLOROX CO CMN P 2011-02-01 2011-03-28
130 CLOROX CO CMN P 2011-02-01 2011-02-14
150 NEWS CORPORATION CMN CLASS A P 2011-02-01 2011-02-11
95 NEWS CORPORATION CMN CLASS A P 2011-02-01 2011-02-03
55 COMCAST CORPORATION CMN CLASS A NON VOTI P 2011-02-01 2011-02-03
25 COCA-COLA COMPANY NEW CMN P 2011-02-01 2011-02-03
10 TRACTOR SUPPLY CO CMN P 2010-12-03 2011-12-21
30 MATTHEWS INTL CORP CL A CMN P 2010-12-03 2011-12-21
60 PRIVATEBANCORP INC CMN P 2010-12-03 2011-10-21
20 DRIL-QUIP, INC CMN P 2010-12-03 2011-10-21
15 AMERON INTERNATIONAL CORP CMN P 2010-12-03 2011-10-06
5 BLACKBOARD INC CMN P 2010-12-03 2011-10-05
15 HITTITE MICROWAVE CORPORATION CMN P 2010-12-03 2011-09-23
80 MERIDIAN BIOSCIENCE INC CMN P 2010-12-03 2011-07-21
50 DUFF & PHELPS CORP CMN CLASS A P 2010-12-03 2011-06-30
25 II-VI INC CMN P 2010-12-03 2011-06-07
30 RITCHIE BROS AUCTIONEERS INC CMN P 2010-12-03 2011-05-11
80 EPICOR SOFTWARE CORPORATION CMN P 2010-12-03 2011-05-03
30 HMSC HOLDINGS CORP CMN P 2010-12-03 2011-04-28
30 BLACKBOARD INC CMN P 2010-12-03 2011-04-19
45 GULFPORT ENERGY CORP NEW CMN P 2010-12-03 2011-04-14
10 RIVERBED TECHNOLOGY, INC CMN P 2010-12-03 2011-04-04
35 WADDELL & REED FIN, INC CLASS A COMMON P 2010-12-03 2011-03-22
10 UNITED THERAPEUTICS CORP CMN P 2010-12-03 2011-03-22
15 TUPPERWARE BRANDS CORPORATION CMN P 2010-12-03 2011-03-22
30 TRACTOR SUPPLY CO CMN P 2010-12-03 2011-03-22
15 RIVERBED TECHNOLOGY, INC CMN P 2010-12-03 2011-03-22
20 CAPELLA EDUCATION COMPANY CMN P 2010-12-03 2011-03-22
45 ANSYS INC COM P 2010-12-03 2011-03-22
20 LULULEMON ATHLETICA INC P 2010-12-03 2011-03-21
20 RIVERBED TECHNOLOGY, INC CMN P 2010-12-03 2011-03-18
30 UNIVERSAL FOREST PRODUCTS INC CMN P 2010-12-03 2011-02-17
20 LULULEMON ATHLETICA INC P 2010-12-03 2011-02-08
55 COGNEX CORP CMN P 2010-12-03 2011-02-08
25 SOURCEFIRE INC, CMN P 2010-12-03 2011-01-07
30 MATTHEWS INTL CORP CL A CMN P 2011-02-01 2011-12-21
60 PRIVATEBANCORP INC CMN P 2011-05-04 2011-10-21
50 PRIVATEBANCORP INC CMN P 2011-02-01 2011-10-21
15 AMERON INTERNATIONAL CORP CMN P 2011-02-01 2011-10-06
35 BLACKBOARD INC CMN P 2011-02-01 2011-10-05
5 MERIDIAN BIOSCIENCE INC CMN P 2011-02-01 2011-07-21
45 DUFF & PHELPS CORP CMN CLASS A P 2011-02-01 2011-07-05
25 LULULEMON ATHLETICA INC P 2011-02-01 2011-06-21
5 LULULEMON ATHLETICA INC P 2011-06-13 2011-06-21
35 ANSYS INC COM P 2011-02-01 2011-06-01
15 LULULEMON ATHLETICA INC P 2011-02-01 2011-05-11
75 EPICOR SOFTWARE CORPORATION CMN P 2011-02-01 2011-05-03
30 WADDELL & REED FIN, INC CLASS A COMMON P 2011-02-01 2011-04-15
50 RIVERBED TECHNOLOGY, INC CMN P 2011-02-01 2011-04-04
5 WADDELL & REED FIN, INC CLASS A COMMON P 2011-02-01 2011-03-22
15 CAPELLA EDUCATION COMPANY CMN P 2011-02-01 2011-03-22
5 ANSYS INC COM P 2011-02-01 2011-03-22
5 LULULEMON ATHLETICA INC P 2011-02-01 2011-03-21
INTESA SANPAOLO SPONSORED ADR CMN P 2010-06-29 2011-06-30
10 PEARSON SPONSORED ADR P 2010-12-03 2011-12-02
18 PEARSON SPONSORED ADR P 2010-12-03 2011-12-01
13 SAP AG P 2010-12-03 2011-11-22
22 CREDIT SUISSE GROUP SPON ADR P 2010-12-03 2011-11-22
23 PEARSON SPONSORED ADR P 2010-12-03 2011-11-17
30 PEARSON SPONSORED ADR P 2010-12-03 2011-11-16
14 NESTLE SA SP DR P 2010-12-03 2011-11-11
83 ERICSSON TEL CO ADR CMN P 2010-12-03 2011-11-11
18 VINCI S A ADR CMN P 2010-12-03 2011-11-10
56 TELECOM ITALIA SPA SPONSORED ADR CMN P 2010-12-03 2011-11-09
10 TELECOM ITALIA SPA SPONSORED ADR CMN P 2010-12-23 2011-11-09
8 TELECOM ITALIA SPA SPONSORED ADR CMN P 2010-12-22 2011-11-09
7 ORIX CORPORATION SPONS ADT CMN P 2010-12-03 2011-11-09
4 ING GROEP N.V. SPONS ADR P 2010-12-03 2011-11-09
48 BARCLAYS PLC,AMER DEP SHS ADR CMN P 2010-12-03 2011-11-09
6 CREDIT SUISSE GROUP SPON ADR P 2010-12-03 2011-11-02
36 VODAFONE GROUP PLC SPONSORED ADR CMN P 2010-12-03 2011-10-27
13 REED ELSEVIER GROUP PLC P 2010-12-03 2011-10-27
19 NESTLE SA SP DR P 2010-12-03 2011-10-27
5 NATIONAL GRID PLC SPONSORED ADR CMN P 2010-12-03 2011-10-27
5 IMPERIAL TOBACCO GROUP PLC SPON ADR P 2010-12-03 2011-10-27
13 ANHEUSER-BUSCH INBEV S.A. SPONSORED ADR P 2010-12-03 2011-10-27
70 DEUTSCHE POST AG SPONSORED ADR CMN P 2011-04-27 2011-10-26
36 VINCI S A ADR CMN P 2010-12-03 2011-10-21
29 DEUTSCHE POST AG SPONSORED ADR CMN P 2011-04-27 2011-10-21
21 IMPERIAL TOBACCO GROUP PLC SPON ADR P 2010-12-03 2011-10-17
16 REED ELSEVIER GROUP PLC P 2010-12-03 2011-10-14
30 ANHEUSER-BUSCH INBEV S.A. SPONSORED ADR P 2010-12-03 2011-10-14
19 REED ELSEVIER GROUP PLC P 2010-12-03 2011-10-13
63 NATIONAL GRID PLC SPONSORED ADR CMN P 2010-12-03 2011-10-13
7 ANHEUSER-BUSCH INBEV S.A. SPONSORED ADR P 2010-12-03 2011-10-12
14 ITAU UNIBANCO HLDNG S.A. SPONSORED ADR C P 2010-12-03 2011-09-29
30 DBS GROUP HOLDINGS SPONSORED ADR CMN P 2010-12-03 2011-09-26
18 SEADRILL LTD CMN P 2010-12-23 2011-09-23
1 ANGLO AMERICAN PLC ADR CMN P 2010-12-03 2011-09-23
30 DBS GROUP HOLDINGS SPONSORED ADR CMN P 2010-12-03 2011-09-14
13 HENKEL AG AND CO. KGAA P 2010-12-03 2011-09-12
15 NESTLE SA SP DR P 2010-12-03 2011-09-09
5 ACCENTURE PLC SHS P 2010-12-03 2011-08-29
55 VINCI S A ADR CMN P 2010-12-03 2011-08-19
9 SAP AG P 2010-12-03 2011-08-18
141 TULLOW OIL PLC ADR AMN P 2010-12-03 2011-08-10
80 SILICONWARE PRECSN SPADR P 2010-12-03 2011-08-10
27 SAP AG P 2010-12-03 2011-08-10
34 KONINKLIJKE AHOLD N.V. SPONSORED ADR CMN P 2010-12-03 2011-08-10
11 COMPANHIA DE SANEAMENTO BASICO DO P 2010-12-03 2011-08-10
4 ACCENTURE PLC SHS P 2010-12-03 2011-08-10
45 KONINKLIJKE AHOLD N.V. SPONSORED ADR CMN P 2010-12-03 2011-08-09
14 HENKEL AG AND CO. KGAA P 2010-12-03 2011-08-08
11 SYNGENTA AG SPONSORED ADR CMN P 2010-12-03 2011-08-05
50 BARCLAYS PLC,AMER DEP SHS ADR CMN P 2010-12-03 2011-08-05
45 ANGLO AMERICAN PLC ADR CMN P 2010-12-03 2011-08-05
8 HENKEL AG AND CO. KGAA P 2010-12-03 2011-08-04
345 XSTRATA PLC ADR CMN P 2010-12-03 2011-08-03
15 CREDIT SUISSE GROUP SPON ADR P 2010-12-03 2011-08-03
29 KOMATSU LTD ADR P 2010-12-03 2011-08-02
14 ARCELORMITTAL CMN P 2010-12-03 2011-08-01
19 ARCELORMITTAL CMN P 2010-12-03 2011-07-29
10 RIO TINTO PLC SPONSORED ADR P 2010-12-03 2011-07-27
5 RIO TINTO PLC SPONSORED ADR P 2010-12-22 2011-07-27
10 BASF SE ADR SPONSORED ADR CMN P 2010-12-03 2011-07-27
17 ARCELORMITTAL CMN P 2010-12-03 2011-07-27
22 PETROLEO BRASILEIRO S.A. SPON ADR P 2010-12-03 2011-07-25
49 PEARSON SPONSORED ADR P 2010-12-03 2011-07-21
7 INTESA SANPAOLO SPONSORED ADR CMN P 2010-12-03 2011-07-21
7 PEARSON SPONSORED ADR P 2010-12-03 2011-07-20
36 INTESA SANPAOLO SPONSORED ADR CMN P 2010-12-03 2011-07-20
3 BNP PARIBAS SPONSORED ADR CMN P 2010-12-03 2011-07-20
20 INTESA SANPAOLO SPONSORED ADR CMN P 2010-12-03 2011-07-18
50 BNP PARIBAS SPONSORED ADR CMN P 2010-12-03 2011-07-18
74 AXA-UAP AMERICAN DEPOSITARY SHARES P 2010-12-03 2011-07-18
41 INTESA SANPAOLO SPONSORED ADR CMN P 2010-12-03 2011-07-15
111 ING GROEP N.V. SPONS ADR P 2010-12-03 2011-07-15
48 TELECOM ITALIA SPA SPONSORED ADR CMN P 2010-12-03 2011-07-14
31 SYNGENTA AG SPONSORED ADR CMN P 2010-12-03 2011-07-13
15 WPP PLC ADR CMN P 2010-12-03 2011-07-08
60 SUMITOMO CORPORATION SPONSORED ADR CMN P 2010-12-03 2011-06-24
81 KONINKLIJKE PHILIPS ELECTRS NV ADR CMN P 2010-12-03 2011-06-23
11 BASF SE ADR SPONSORED ADR CMN P 2010-12-03 2011-06-23
1 BAYER AG-SPONSORED ADR P 2010-12-03 2011-06-22
69 ANGLO AMERICAN PLC ADR CMN P 2010-12-03 2011-06-22
35 TELECOM ITALIA SPA SPONSORED ADR CMN P 2010-12-03 2011-06-21
107 SILICONWARE PRECSN SPADR P 2010-12-03 2011-06-21
7 DAIMLER AG CMN ISIN: DE0007100000 P 2010-12-03 2011-06-21
94 SUMITOMO CORPORATION SPONSORED ADR CMN P 2010-12-03 2011-06-20
48 SONY CORPORATION ADR CMN P 2010-12-03 2011-06-17
410 MITSUBISHI UF J FINL GROUP, INC SPONSORE P 2010-12-03 2011-06-17
4 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2010-12-22 2011-06-17
4 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2010-12-03 2011-06-17
26 ACCENTURE PLC SHS P 2010-12-03 2011-06-17
47 VINCI S A ADR CMN P 2010-12-03 2011-06-13
15 COMPANHIA DE SANEAMENTO BASICO DO P 2010-12-03 2011-06-13
16 BASF SE ADR SPONSORED ADR CMN P 2010-12-03 2011-06-13
61 ERICSSON TEL CO ADR CMN P 2010-12-03 2011-06-10
58 KOMATSU LTD ADR P 2010-12-03 2011-06-07
42 BNP PARIBAS SPONSORED ADR CMN P 2010-12-03 2011-05-16
13 SEADRILL LTD CMN P 2010-12-23 2011-05-13
25 PETROLEO BRASILEIRO S.A. SPON ADR P 2010-12-03 2011-05-13
10 KONINKLIJKE PHILIPS ELECTRS NV ADR CMN P 2010-12-03 2011-05-13
29 ITAU UNIBANCO HLDNG S.A. SPONSORED ADR C P 2010-12-03 2011-05-13
14 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2010-12-03 2011-05-13
9 KUBOTA CORP ADR CMN P 2010-12-22 2011-05-12
7 KUBOTA CORP ADR CMN P 2010-12-03 2011-05-12
28 KONINKLIJKE PHILIPS ELECTRS NV ADR CMN P 2010-12-03 2011-05-12
30 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2010-12-03 2011-05-12
8 BG GROUP PLC SPON ADR CMN P 2010-12-03 2011-05-12
42 AXA-UAP AMERICAN DEPOSITARY SHARES P 2010-12-03 2011-05-12
17 PETROLEO BRASILEIRO S.A. SPON ADR P 2010-12-03 2011-05-05
84 ERICSSON TEL CO ADR CMN P 2010-12-03 2011-05-05
18 ENI S.P.A SPON ADR SPONSORED ADR CMN P 2010-12-03 2011-05-05
41 BANCO SANTANDER BRASIL SA ADR CMN P 2010-12-03 2011-05-05
9 BANCO SANTANDER BRASIL SA ADR CMN P 2010-12-09 2011-05-05
20 ABB LTD SPONSORED ADR CMN P 2010-12-16 2011-05-05
11 ABB LTD SPONSORED ADR CMN P 2010-12-22 2011-05-05
7 ABB LTD SPONSORED ADR CMN P 2010-12-23 2011-05-05
9 KOMATSU LTD ADR P 2010-12-03 2011-05-04
29 GUGGENHEIM CHINA REAL ESTATE ETF P 2011-02-01 2011-05-04
7 BG GROUP PLC SPON ADR CMN P 2010-12-03 2011-05-04
7 KOMATSU LTD ADR P 2010-12-03 2011-05-03
22 GUGGENHEIM CHINA REAL ESTATE ETF P 2011-02-01 2011-05-03
8 BG GROUP PLC SPON ADR CMN P 2010-12-03 2011-05-03
42 SUMITOMO CORPORATION SPONSORED ADR CMN P 2010-12-03 2011-05-02
85 SECOM LTD ADR CMN P 2010-12-03 2011-05-02
24 KUBOTA CORP ADR CMN P 2010-12-03 2011-05-02
8 KOMATSU LTD ADR P 2010-12-03 2011-05-02
100 GUGGENHEIM CHINA REAL ESTATE ETF P 2011-02-01 2011-05-02
23 DAIMLER AG CMN ISIN: DE0007100000 P 2010-12-03 2011-05-02
13 KUBOTA CORP ADR CMN P 2010-12-03 2011-04-29
6 KOMATSU LTD ADR P 2010-12-03 2011-04-29
41 HSBC HOLDINGS PLC SPONSORED ADR CMN P 2010-12-03 2011-04-29
26 GUGGENHEIM CHINA REAL ESTATE ETF P 2011-02-01 2011-04-29
6 GUGGENHEIM CHINA REAL ESTATE ETF P 2010-12-13 2011-04-29
11 GLAXOSMITHKLINE PLC ADR P 2010-12-03 2011-04-29
8 DAIMLER AG CMN ISIN: DE0007100000 P 2010-12-03 2011-04-29
14 BAYER AG-SPONSORED ADR P 2010-12-03 2011-04-29
31 ACCENTURE PLC SHS P 2010-12-03 2011-04-29
55 ABB LTD SPONSORED ADR CMN P 2010-12-10 2011-04-29
118 SECOM LTD ADR CMN P 2010-12-03 2011-04-27
5 GUGGENHEIM CHINA REAL ESTATE ETF P 2010-12-13 2011-04-27
10 WPP PLC ADR CMN P 2010-12-03 2011-04-26
13 RIO TINTO PLC SPONSORED ADR P 2010-12-03 2011-04-26
21 ITAU UNIBANCO HLDNG S.A. SPONSORED ADR C P 2010-12-03 2011-04-26
21 GUGGENHEIM CHINA REAL ESTATE ETF P 2010-12-09 2011-04-26
17 GUGGENHEIM CHINA REAL ESTATE ETF P 2010-12-03 2011-04-26
14 GUGGENHEIM CHINA REAL ESTATE ETF P 2010-12-13 2011-04-26
2 GUGGENHEIM CHINA REAL ESTATE ETF P 2010-12-10 2011-04-26
7 COMPANHIA DE SANEAMENTO BASICO DO P 2010-12-03 2011-04-26
18 WPP PLC ADR CMN P 2010-12-03 2011-04-20
24 SEADRILL LTD CMN P 2010-12-22 2011-04-20
5 SEADRILL LTD CMN P 2010-12-23 2011-04-20
18 GLAXOSMITHKLINE PLC ADR P 2010-12-03 2011-04-20
17 ENI S.P.A SPON ADR SPONSORED ADR CMN P 2010-12-03 2011-04-20
41 ABB LTD SPONSORED ADR CMN P 2010-12-09 2011-04-20
1 ABB LTD SPONSORED ADR CMN P 2010-12-10 2011-04-20
8 SAP AG P 2010-12-03 2011-04-12
21 GLAXOSMITHKLINE PLC ADR P 2010-12-03 2011-04-12
26 GAFISA, S.A. SPONSORED ADR CMN P 2010-12-03 2011-04-12
13 DAIMLER AG CMN ISIN: DE0007100000 P 2010-12-03 2011-04-12
23 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2010-12-03 2011-04-12
15 ACCENTURE PLC SHS P 2010-12-03 2011-04-12
28 SECOM LTD ADR CMN P 2010-12-03 2011-04-06
31 SECOM LTD ADR CMN P 2010-12-03 2011-04-04
23 SAP AG P 2010-12-03 2011-04-04
24 RESMED INC CMN P 2010-12-03 2011-04-04
19 NATIONAL GRID PLC SPONSORED ADR CMN P 2010-12-03 2011-04-04
51 ERICSSON TEL CO ADR CMN P 2010-12-03 2011-04-01
2 BG GROUP PLC SPON ADR CMN P 2010-12-03 2011-03-30
50 SILICONWARE PRECSN SPADR P 2010-12-03 2011-03-29
14 RIO TINTO PLC SPONSORED ADR P 2010-12-03 2011-03-29
4 HONDA MTR LTD P 2010-12-03 2011-03-29
22 ENI S.P.A SPON ADR SPONSORED ADR CMN P 2010-12-03 2011-03-29
9 BG GROUP PLC SPON ADR CMN P 2010-12-03 2011-03-29
38 SONY CORPORATION ADR CMN P 2010-12-03 2011-03-24
29 SILICONWARE PRECSN SPADR P 2010-12-03 2011-03-24
14 RESMED INC CMN P 2010-12-03 2011-03-24
47 SONY CORPORATION ADR CMN P 2010-12-03 2011-03-23
44 SILICONWARE PRECSN SPADR P 2011-12-03 2011-03-23
33 RESMED INC CMN P 2010-12-03 2011-03-23
50 HONDA MTR LTD P 2010-12-03 2011-03-23
20 PEARSON SPONSORED ADR P 2010-12-03 2011-03-15
42 PEARSON SPONSORED ADR P 2010-12-03 2011-03-14
31 HONDA MTR LTD P 2010-12-03 2011-03-14
31 PEARSON SPONSORED ADR P 2010-12-03 2011-03-11
4 ICICI BANK LIMITED SPONS ADR P 2010-12-16 2011-03-11
1 ICICI BANK LIMITED SPONS ADR P 2010-12-03 2011-03-11
17 HONDA MTR LTD P 2010-12-03 2011-03-11
12 DBS GROUP HOLDINGS SPONSORED ADR CMN P 2010-12-03 2011-03-11
10 HONDA MTR LTD P 2010-12-03 2011-03-10
3 DBS GROUP HOLDINGS SPONSORED ADR CMN P 2010-12-03 2011-03-10
24 ICICI BANK LIMITED SPONS ADR P 2010-12-03 2011-03-09
12 HONDA MTR LTD P 2010-12-03 2011-03-09
8 DBS GROUP HOLDINGS SPONSORED ADR CMN P 2010-12-03 2011-03-09
12 BAYER AG-SPONSORED ADR P 2010-12-03 2011-03-09
55 ANGLO AMERICAN PLC ADR CMN P 2010-12-03 2011-03-07
9 SYNGENTA AG SPONSORED ADR CMN P 2010-12-03 2011-03-04
19 SANOFI SPONSORED ADR CMN P 2010-12-03 2011-03-04
7 RIO TINTO PLC SPONSORED ADR P 2010-12-03 2011-03-04
140 GUGGENHEIM CHINA REAL ESTATE ETF P 2010-12-03 2011-03-04
4 DEUTSCHE LUFTHANSA AG SPON ADR CMN P 2010-12-03 2011-03-04
50 ANGLO AMERICAN PLC ADR CMN P 2010-12-03 2011-03-04
75 SILICONWARE PRECSN SPADR P 2010-12-03 2011-02-25
101 KT CORPORATION SPONSORED ADR CMN P 2010-12-03 2011-02-25
13 KT CORPORATION SPONSORED ADR CMN P 2010-12-23 2011-02-25
5 KT CORPORATION SPONSORED ADR CMN P 2010-12-22 2011-02-25
4 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2010-12-03 2011-02-25
13 DEUTSCHE LUFTHANSA AG SPON ADR CMN P 2010-12-03 2011-02-25
10 WPP PLC ADR CMN P 2010-12-03 2011-02-18
11 SAFRAN SA SPONSORED ADR CMN P 2010-12-03 2011-02-18
2 MEDIASET SPA ADR CMN P 2010-12-03 2011-02-18
15 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2010-12-03 2011-02-18
44 DEUTSCHE LUFTHANSA AG SPON ADR CMN P 2010-12-03 2011-02-18
10 BG GROUP PLC SPON ADR CMN P 2010-12-03 2011-02-08
18 MEDIASET SPA ADR CMN P 2010-12-03 2011-02-11
17 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2010-12-03 2011-02-11
32 DEUTSCHE LUFTHANSA AG SPON ADR CMN P 2010-12-03 2011-02-11
12 TEVA PHARMACEUTICAL IND LTD ADS P 2010-12-03 2011-02-09
80 SILICONWARE PRECSN SPADR P 2010-12-03 2011-02-09
57 SECOM LTD ADR CMN P 2010-12-03 2011-02-09
21 MEDIASET SPA ADR CMN P 2010-12-03 2011-02-09
44 ITAU UNIBANCO HLDNG S.A. SPONSORED ADR C P 2010-12-03 2011-02-09
42 GUGGENHEIM CHINA REAL ESTATE ETF P 2010-12-03 2011-02-09
17 MEDIASET SPA ADR CMN P 2010-12-03 2011-02-04
52 ITAU UNIBANCO HLDNG S.A. SPONSORED ADR C P 2010-12-03 2011-02-04
16 ICICI BANK LIMITED SPONS ADR P 2010-12-03 2011-02-04
86 GAFISA, S.A. SPONSORED ADR CMN P 2010-12-03 2011-02-04
101 BANCO SANTANDER BRASIL SA ADR CMN P 2010-12-03 2011-02-04
2 APERAM CMN P 2010-12-03 2011-02-02
7 SANOFI SPONSORED ADR CMN P 2010-12-03 2011-02-01
.5 APERAM CMN P 2010-12-03 2011-02-01
4 MEDIASET SPA ADR CMN P 2010-12-03 2011-01-31
3 MEDIASET SPA ADR CMN P 2010-12-03 2011-01-28
8 SANOFI SPONSORED ADR CMN P 2010-12-03 2011-01-27
7 MEDIASET SPA ADR CMN P 2010-12-03 2011-01-27
24 GAFISA, S.A. SPONSORED ADR CMN P 2010-12-03 2011-01-27
14 COMPANHIA DE SANEAMENTO BASICO DO P 2010-12-03 2011-01-24
13 MEDIASET SPA ADR CMN P 2010-12-03 2011-01-21
6 ICICI BANK LIMITED SPONS ADR P 2010-12-03 2011-01-21
19 COMPANHIA DE SANEAMENTO BASICO DO P 2010-12-03 2011-01-21
10 MEDIASET SPA ADR CMN P 2010-12-03 2011-01-19
7 MEDIASET SPA ADR CMN P 2010-12-03 2011-01-18
20 KOMATSU LTD ADR P 2010-12-03 2011-01-18
7 ENI S.P.A SPON ADR SPONSORED ADR CMN P 2010-12-03 2011-01-18
6 MEDIASET SPA ADR CMN P 2010-12-03 2011-01-05
7 TEVA PHARMACEUTICAL IND LTD ADS P 2010-12-03 2011-01-04
10 REED ELSEVIER GROUP PLC P 2010-12-03 2011-01-04
8 MEDIASET SPA ADR CMN P 2010-12-03 2011-01-04
17 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2010-12-03 2011-01-04
30 SKF AB SPONSORED ADR SWKR 12.50 P 2011-10-21 2011-12-14
25 SKF AB SPONSORED ADR SWKR 12.50 P 2011-10-17 2011-12-14
22 SKF AB SPONSORED ADR SWKR 12.50 P 2011-10-17 2011-12-14
21 SKF AB SPONSORED ADR SWKR 12.50 P 2011-10-17 2011-12-14
6 SKF AB SPONSORED ADR SWKR 12.50 P 2011-10-17 2011-12-14
43 SMITHS GROUP PLC SPONSORED ADR CMN P 2011-05-19 2011-12-12
1 SMITHS GROUP PLC SPONSORED ADR CMN P 2011-05-20 2011-12-12
45 SKF AB SPONSORED ADR SWKR 12.50 P 2011-10-17 2011-12-12
7 SMITH & NEPHEW PLC ADR CMN P 2011-05-16 2011-12-09
16 SKF AB SPONSORED ADR SWKR 12.50 P 2011-10-17 2011-12-02
16 REED ELSEVIER GROUP PLC P 2011-02-01 2011-12-02
2 REED ELSEVIER GROUP PLC P 2011-01-19 2011-12-02
10 PEARSON SPONSORED ADR P 2011-02-01 2011-12-02
25 COCA-COLA AMATIL LIMITED SPONSORED ADR C P 2011-08-10 2011-12-02
4 REED ELSEVIER GROUP PLC P 2011-01-19 2011-12-01
4 REED ELSEVIER GROUP PLC P 2011-01-18 2011-12-01
8 NOVARTIS AG-ADR SPONSORED ADR CMN P 2011-03-09 2011-12-01
7 NOVARTIS AG-ADR SPONSORED ADR CMN P 2011-03-11 2011-12-01
.5 BANK OF YOKOHAMA LTD JAPAN P 2011-06-24 2011-12-01
15 PT BUMI RESOURCES TBK UNSONSORED ADR P 2011-08-02 2011-11-23
12 PT BUMI RESOURCES TBK UNSONSORED ADR P 2011-07-29 2011-11-23
3 PT BUMI RESOURCES TBK UNSONSORED ADR P 2011-07-29 2011-11-23
28 VOLKSWAGEN AG, WOLFSBURG SPONSORED ADR P 2011-10-17 2011-11-22
46 SKF AB SPONSORED ADR SWKR 12.50 P 2011-10-17 2011-11-22
21 HONDA MTR LTD P 2011-02-01 2011-11-22
47 FORTUM OYJ UNSPONSORED ADR CMN P 2011-08-02 2011-11-22
38 E.ON AG SPONSORED ADR CMN P 2011-10-14 2011-11-22
4 CREDIT SUISSE GROUP SPON ADR P 2011-02-01 2011-11-22
95 AVIVA PLC SPONSORED ADR CMN P 2011-10-12 2011-11-22
15 YARA INTERNATIONAL ASA SPONSORED ADR CMN P 2011-07-13 2011-11-17
20 YARA INTERNATIONAL ASA SPONSORED ADR CMN P 2011-07-13 2011-11-14
24 YARA INTERNATIONAL ASA SPONSORED ADR CMN P 2011-06-22 2011-11-10
10 YARA INTERNATIONAL ASA SPONSORED ADR CMN P 2011-06-24 2011-11-10
14 PT BUMI RESOURCES TBK UNSONSORED ADR P 2011-07-29 2011-11-10
113 AVIVA PLC SPONSORED ADR CMN P 2011-10-12 2011-11-10
25 TELECOM ITALIA SPA SPONSORED ADR CMN P 2011-02-01 2011-11-09
13 SMITH & NEPHEW PLC ADR CMN P 2011-05-16 2011-11-09
8 HITACHI LTD ADR CMN P 2011-05-02 2011-11-09
6 HITACHI LTD ADR CMN P 2011-05-02 2011-11-09
3 HITACHI LTD ADR CMN P 2011-05-02 2011-11-09
31 ABB LTD SPONSORED ADR CMN P 2011-02-01 2011-11-09
13 MITSUBISHI ESTATE LTD ADR CMN P 2011-05-02 2011-11-08
27 ANGLO AMERICAN PLC ADR CMN P 2011-02-01 2011-11-02
44 YAMAHA GOLD INC CMN P 2011-07-25 2011-10-27
42 UNILEVER PLC NEW ADR P 2011-08-05 2011-10-27
19 NOVARTIS AG-ADR SPONSORED ADR CMN P 2011-03-04 2011-10-27
12 NOVARTIS AG-ADR SPONSORED ADR CMN P 2011-03-09 2011-10-27
10 NATIONAL GRID PLC SPONSORED ADR CMN P 2011-02-01 2011-10-27
19 GLAXOSMITHKLINE PLC ADR P 2011-02-01 2011-10-27
12 SAFRAN SA SPONSORED ADR CMN P 2011-04-13 2011-10-26
3 SAFRAN SA SPONSORED ADR CMN P 2011-04-26 2011-10-26
118 SILICONWARE PRECSN SPADR P 2011-02-01 2011-10-25
17 SMITH & NEPHEW PLC ADR CMN P 2011-05-16 2011-10-21
4 PT BUMI RESOURCES TBK UNSONSORED ADR P 2011-07-29 2011-10-21
124 FORTUM OYJ UNSPONSORED ADR CMN P 2011-08-02 2011-10-21
15 BRIDGESTONES CORP ADR CMN P 2011-05-06 2011-10-21
6 SMITH & NEPHEW PLC ADR CMN P 2011-05-16 2011-10-20
17 KOMATSU LTD ADR P 2011-03-11 2011-10-20
14 KOMATSU LTD ADR P 2011-03-23 2011-10-20
12 KOMATSU LTD ADR P 2011-03-25 2011-10-20
12 KOMATSU LTD ADR P 2011-03-24 2011-10-20
11 KOMATSU LTD ADR P 2011-03-14 2011-10-20
6 KOMATSU LTD ADR P 2011-03-15 2011-10-20
5 SMITH & NEPHEW PLC ADR CMN P 2011-05-13 2011-10-19
1 SMITH & NEPHEW PLC ADR CMN P 2011-05-16 2011-10-19
43 YAMAHA GOLD INC CMN P 2011-07-25 2011-10-14
16 YAMAHA GOLD INC CMN P 2011-07-20 2011-10-14
51 UNILEVER PLC NEW ADR P 2011-08-05 2011-10-14
19 GLAXOSMITHKLINE PLC ADR P 2011-02-01 2011-10-14
10 GLAXOSMITHKLINE PLC ADR P 2011-02-01 2011-10-12
6 GLAXOSMITHKLINE PLC ADR P 2011-01-21 2011-10-12
2 GLAXOSMITHKLINE PLC ADR P 2011-01-18 2011-10-12
85 YAMAHA GOLD INC CMN P 2011-07-20 2011-10-11
16 KOMATSU LTD ADR P 2011-02-01 2011-10-11
7 KOMATSU LTD ADR P 2011-03-11 2011-10-11
36 YARA INTERNATIONAL ASA SPONSORED ADR CMN P 2011-06-22 2011-09-30
10 COMPANHIA DE SANEAMENTO BASICO DO P 2011-03-11 2011-09-30
108 ITAU UNIBANCO HLDNG S.A. SPONSORED ADR C P 2011-02-01 2011-09-29
18 ITAU UNIBANCO HLDNG S.A. SPONSORED ADR C P 2011-09-09 2011-09-29
19 COMPANHIA DE SANEAMENTO BASICO DO P 2011-02-01 2011-09-29
2 COMPANHIA DE SANEAMENTO BASICO DO P 2011-03-11 2011-09-29
4 YARA INTERNATIONAL ASA SPONSORED ADR CMN P 2011-06-22 2011-09-26
18 KEPPEL CORP LTD SPONSORED ADR CMN P 2011-01-04 2011-09-26
17 KEPPEL CORP LTD SPONSORED ADR CMN P 2011-01-05 2011-09-26
4 KEPPEL CORP LTD SPONSORED ADR CMN P 2011-01-19 2011-09-26
3 KEPPEL CORP LTD SPONSORED ADR CMN P 2011-01-18 2011-09-26
18 YPF SOCIEDAD ANONIMA SPONSORED ADR P 2011-06-23 2011-09-23
169 YAMAHA GOLD INC CMN P 2011-07-20 2011-09-23
6 SMITH & NEPHEW PLC ADR CMN P 2011-05-13 2011-09-23
5 SEADRILL LTD CMN P 2011-01-04 2011-09-23
34 ANGLO AMERICAN PLC ADR CMN P 2011-02-01 2011-09-23
60 BNP PARIBAS SPONSORED ADR CMN P 2011-02-01 2011-09-14
25 BNP PARIBAS SPONSORED ADR CMN P 2011-02-09 2011-09-14
47 ACCENTURE PLC SHS P 2011-02-01 2011-09-09
22 SAFRAN SA SPONSORED ADR CMN P 2011-04-13 2011-08-30
8 ACCENTURE PLC SHS P 2011-02-01 2011-08-29
7 LUKOIL OIL CO SPONSORED ADR CMN P 2011-03-11 2011-08-23
12 PT BUMI RESOURCES TBK UNSONSORED ADR P 2011-07-29 2011-08-22
6 LUKOIL OIL CO SPONSORED ADR CMN P 2011-03-11 2011-08-22
12 LUKOIL OIL CO SPONSORED ADR CMN P 2011-03-09 2011-08-19
4 LUKOIL OIL CO SPONSORED ADR CMN P 2011-02-25 2011-08-19
1 LUKOIL OIL CO SPONSORED ADR CMN P 2011-03-11 2011-08-19
27 KOMATSU LTD ADR P 2011-02-01 2011-08-19
20 HONDA MTR LTD P 2011-02-01 2011-08-18
25 HITACHI LTD ADR CMN P 2011-05-02 2011-08-18
11 CANON INC ADR CMN P 2011-05-02 2011-08-18
25 SMITHS GROUP PLC SPONSORED ADR CMN P 2011-05-18 2011-08-16
21 SMITHS GROUP PLC SPONSORED ADR CMN P 2011-05-19 2011-08-16
6 SMITHS GROUP PLC SPONSORED ADR CMN P 2011-05-17 2011-08-16
2 SMITHS GROUP PLC SPONSORED ADR CMN P 2011-05-16 2011-08-16
39 SMITHS GROUP PLC SPONSORED ADR CMN P 2011-05-16 2011-08-15
19 BRIDGESTONES CORP ADR CMN P 2011-05-06 2011-08-15
31 SILICONWARE PRECSN SPADR P 2011-02-01 2011-08-10
7 LUKOIL OIL CO SPONSORED ADR CMN P 2011-02-02 2011-08-10
5 LUKOIL OIL CO SPONSORED ADR CMN P 2011-02-25 2011-08-10
57 KONINKLIJKE AHOLD N.V. SPONSORED ADR CMN P 2011-02-01 2011-08-10
91 INTESA SANPAOLO SPONSORED ADR CMN P 2011-06-16 2011-08-10
47 INTESA SANPAOLO SPONSORED ADR CMN P 2011-02-01 2011-08-10
32 INTESA SANPAOLO SPONSORED ADR CMN P 2011-02-08 2011-08-10
23 INTESA SANPAOLO SPONSORED ADR CMN P 2011-02-07 2011-08-10
15 INTESA SANPAOLO SPONSORED ADR CMN P 2011-04-27 2011-08-10
14 INTESA SANPAOLO SPONSORED ADR CMN P 2011-05-02 2011-08-10
12 INTESA SANPAOLO SPONSORED ADR CMN P 2011-04-12 2011-08-10
6 INTESA SANPAOLO SPONSORED ADR CMN P 2011-04-29 2011-08-10
6 INTESA SANPAOLO SPONSORED ADR CMN P 2011-02-04 2011-08-10
3 INTESA SANPAOLO SPONSORED ADR CMN P 2011-04-26 2011-08-10
3 INTESA SANPAOLO SPONSORED ADR CMN P 2011-04-03 2011-08-10
4 COMPANHIA D SNMNTO BSCO P 2011-02-01 2011-08-10
28 SONY CORPORATION ADR CMN P 2011-02-18 2011-08-05
22 SONY CORPORATION ADR CMN P 2011-02-01 2011-08-05
49 BRIDGESTONES CORP ADR CMN P 2011-05-06 2011-08-05
66 SONY CORPORATION ADR CMN P 2011-02-01 2011-08-04
73 KONINKLIJKE PHILIPS ELECTRS NV ADR CMN P 2011-02-01 2011-08-04
1 KONINKLIJKE PHILIPS ELECTRS NV ADR CMN P 2011-03-29 2011-08-04
14 LUKOIL OIL CO SPONSORED ADR CMN P 2011-02-02 2011-08-03
20 KONINKLIJKE PHILIPS ELECTRS NV ADR CMN P 2011-02-01 2011-08-03
12 KONINKLIJKE PHILIPS ELECTRS NV ADR CMN P 2011-01-27 2011-08-03
35 ARCELORMITTAL CMN P 2011-02-09 2011-08-03
22 ARCELORMITTAL CMN P 2011-02-01 2011-08-03
57 ABB LTD SPONSORED ADR CMN P 2011-02-01 2011-08-03
33 KOMATSU LTD ADR P 2011-02-01 2011-08-02
13 ARCELORMITTAL CMN P 2011-02-01 2011-08-01
297 ENEL SOCIETA PER AZIONI ADR CMN P 2011-05-13 2011-07-29
152 ENEL SOCIETA PER AZIONI ADR CMN P 2011-06-13 2011-07-29
132 ENEL SOCIETA PER AZIONI ADR CMN P 2011-05-06 2011-07-29
27 ENEL SOCIETA PER AZIONI ADR CMN P 2011-04-27 2011-07-29
19 DAIMLER AG CMN ISIN: DE0007100000 P 2011-02-01 2011-07-29
11 RIO TINTO PLC SPONSORED ADR P 2011-07-01 2011-07-28
6 RIO TINTO PLC SPONSORED ADR P 2011-02-01 2011-07-28
30 RIO TINTO PLC SPONSORED ADR P 2011-02-01 2011-07-27
22 PETROLEO BRASILEIRO S.A. SPON ADR P 2011-02-01 2011-07-27
3 DAIMLER AG CMN ISIN: DE0007100000 P 2011-02-01 2011-07-27
27 BASF SE ADR SPONSORED ADR CMN P 2011-02-02 2011-07-27
1 BASF SE ADR SPONSORED ADR CMN P 2011-02-01 2011-07-27
20 SAFRAN SA SPONSORED ADR CMN P 2011-04-13 2011-07-26
40 AXA-UAP AMERICAN DEPOSITARY SHARES P 2011-03-04 2011-07-26
21 AXA-UAP AMERICAN DEPOSITARY SHARES P 2011-03-09 2011-07-26
1 AXA-UAP AMERICAN DEPOSITARY SHARES P 2011-02-01 2011-07-26
34 PETROLEO BRASILEIRO S.A. SPON ADR P 2011-02-01 2011-07-25
14 PETROLEO BRASILEIRO S.A. SPON ADR P 2011-01-21 2011-07-25
27 NIPPON TETEG & TEL SPON ADR P 2011-02-18 2011-07-25
5 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2011-02-01 2011-07-25
15 DAIMLER AG CMN ISIN: DE0007100000 P 2011-02-01 2011-07-25
26 INTESA SANPAOLO SPONSORED ADR CMN P 2011-02-01 2011-07-21
4 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2011-02-01 2011-07-21
69 ENEL SOCIETA PER AZIONI ADR CMN P 2011-04-27 2011-07-21
4 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2011-02-01 2011-07-20
67 ENEL SOCIETA PER AZIONI ADR CMN P 2011-04-27 2011-07-20
6 BNP PARIBAS SPONSORED ADR CMN P 2011-02-01 2011-07-20
30 AXA-UAP AMERICAN DEPOSITARY SHARES P 2011-02-01 2011-07-20
158 ENEL SOCIETA PER AZIONI ADR CMN P 2011-04-27 2011-07-18
62 ENEL SOCIETA PER AZIONI ADR CMN P 2011-04-27 2011-07-18
50 AXA-UAP AMERICAN DEPOSITARY SHARES P 2011-02-01 2011-07-18
21 WPP PLC ADR CMN P 2011-02-01 2011-07-15
8 WPP PLC ADR CMN P 2011-03-24 2011-07-15
7 WPP PLC ADR CMN P 2011-03-25 2011-07-15
7 WPP PLC ADR CMN P 2011-03-23 2011-07-15
24 ENEL SOCIETA PER AZIONI ADR CMN P 2011-04-27 2011-07-15
14 BAYER AG-SPONSORED ADR P 2011-06-13 2011-07-13
5 BAYER AG-SPONSORED ADR P 2011-02-14 2011-07-13
2 BAYER AG-SPONSORED ADR P 2011-02-11 2011-07-13
11 WPP PLC ADR CMN P 2011-02-01 2011-07-11
6 WPP PLC ADR CMN P 2011-02-01 2011-07-08
8 BAYER AG-SPONSORED ADR P 2011-02-02 2011-07-08
4 BAYER AG-SPONSORED ADR P 2011-02-11 2011-07-08
18 BAYER AG-SPONSORED ADR P 2011-02-02 2011-07-01
1 BAYER AG-SPONSORED ADR P 2011-02-01 2011-07-01
1 KONINKLIJKE PHILIPS ELECTRS NV ADR CMN P 2011-01-27 2011-06-23
102 GAZPROM ADR SPONSORED ADR CMN P 2011-03-30 2011-06-23
90 GAZPROM ADR SPONSORED ADR CMN P 2011-03-31 2011-06-23
34 GAZPROM ADR SPONSORED ADR CMN P 2011-03-29 2011-06-23
33 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2011-02-18 2011-06-23
14 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2011-03-04 2011-06-23
6 LUKOIL OIL CO SPONSORED ADR CMN P 2011-02-02 2011-06-22
6 LUKOIL OIL CO SPONSORED ADR CMN P 2011-02-01 2011-06-22
5 LUKOIL OIL CO SPONSORED ADR CMN P 2011-01-06 2011-06-22
8 BAYER AG-SPONSORED ADR P 2011-02-01 2011-06-22
14 LUKOIL OIL CO SPONSORED ADR CMN P 2011-01-06 2011-06-21
13 LUKOIL OIL CO SPONSORED ADR CMN P 2011-01-05 2011-06-21
3 LUKOIL OIL CO SPONSORED ADR CMN P 2011-01-04 2011-06-21
90 MITSUBISHI UF J FINL GROUP, INC SPONSORE P 2011-04-26 2011-06-20
78 MITSUBISHI UF J FINL GROUP, INC SPONSORE P 2011-02-01 2011-06-20
4 SONY CORPORATION ADR CMN P 2011-02-01 2011-06-17
215 MITSUBISHI UF J FINL GROUP, INC SPONSORE P 2011-02-01 2011-06-17
2 FRESENIUS MEDICAL CARE AG & CO KGAA SPON P 2011-02-01 2011-06-17
30 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2011-02-01 2011-06-06
9 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2011-02-18 2011-06-06
7 KUBOTA CORP ADR CMN P 2011-03-29 2011-06-03
5 KUBOTA CORP ADR CMN P 2011-03-30 2011-06-03
26 KUBOTA CORP ADR CMN P 2011-02-02 2011-06-02
23 KUBOTA CORP ADR CMN P 2011-03-23 2011-06-02
10 KUBOTA CORP ADR CMN P 2011-03-24 2011-06-02
2 KUBOTA CORP ADR CMN P 2011-03-29 2011-06-02
11 KUBOTA CORP ADR CMN P 2011-02-02 2011-06-01
7 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2011-02-01 2011-06-01
.9 KEPPEL CORP LTD SPONSORED ADR CMN P 2011-05-16 2011-05-16
6 KUBOTA CORP ADR CMN P 2011-02-02 2011-05-13
6 KUBOTA CORP ADR CMN P 2011-02-01 2011-05-13
3 KUBOTA CORP ADR CMN P 2011-01-18 2011-05-13
11 GLAXOSMITHKLINE PLC ADR P 2011-01-18 2011-05-13
61 E.ON AG SPONSORED ADR CMN P 2011-03-25 2011-05-13
48 E.ON AG SPONSORED ADR CMN P 2011-03-28 2011-05-13
8 E.ON AG SPONSORED ADR CMN P 2011-03-24 2011-05-13
1 COMPANIA DE MINAS BUENAVENTURA SP ADR P 2011-02-01 2011-05-13
2 KUBOTA CORP ADR CMN P 2011-01-18 2011-05-12
37 ENI S.P.A SPON ADR SPONSORED ADR CMN P 2011-02-01 2011-05-05
16 E.ON AG SPONSORED ADR CMN P 2011-03-23 2011-05-05
16 E.ON AG SPONSORED ADR CMN P 2011-03-24 2011-05-05
109 BANCO SANTANDER BRASIL SA ADR CMN P 2011-02-02 2011-05-05
86 BANCO SANTANDER BRASIL SA ADR CMN P 2011-04-01 2011-05-05
16 ABB LTD SPONSORED ADR CMN P 2011-02-01 2011-05-05
10 ABB LTD SPONSORED ADR CMN P 2011-01-21 2011-05-05
224 SECOM LTD ADR CMN P 2011-02-01 2011-05-02
29 RESMED INC CMN P 2011-02-01 2011-04-26
9 RESMED INC CMN P 2011-02-25 2011-04-26
19 RESMED INC CMN P 2011-02-01 2011-04-20
20 RESMED INC CMN P 2011-02-01 2011-04-12
19 RESMED INC CMN P 2011-02-01 2011-04-04
18 HONDA MTR LTD P 2011-02-01 2011-03-29
25 DEUTSCHE LUFTANSA AG SP ADR P 2011-02-01 2011-03-14
33 ICICI BANK LIMITED SPONS ADR P 2011-02-01 2011-03-11
35 DEUTSCHE LUFTANSA AG SP ADR P 2011-02-01 2011-03-11
25 DEUTSCHE LUFTANSA AG SP ADR P 2011-02-01 2011-03-09
4 DEUTSCHE LUFTANSA AG SP ADR P 2011-01-25 2011-03-09
23 SANOFI SPONSORED ADR CMN P 2011-02-02 2011-03-04
8 DEUTSCHE LUFTANSA AG SP ADR P 2011-01-21 2011-03-04
7 DEUTSCHE LUFTANSA AG SP ADR P 2011-01-25 2011-03-04
7 DEUTSCHE LUFTHANSA AG SPON ADR CMN P 2011-01-24 2011-03-04
89 KT CORPORATION SPONSORED ADR CMN P 2011-02-01 2011-02-25
24 MEDIASET SPA ADR CMN P 2011-02-01 2011-02-18
21030.49 GS LOCAL EMERGING MARKETS DEBT FUND CL A P 2010-12-15 2011-08-11
17000 US TSY 1.750% MAY 31 2016 P 2011-05-26 2011-11-29
2000 USD TELEFONICA EM 6.22% 17 P 2011-02-10 2011-06-23
2000 USD TELEFONICA EM 6.22% 17 P 2011-02-10 2011-06-23
9000 USD TELEFONICA EM 6.22% 17 P 2010-08-11 2011-06-23
9000 USD TELEFONICA EM 6.22% 17 P 2010-08-11 2011-06-23
80000 US TSY 1.000% OCT 31 2011 P 2010-08-10 2011-10-31
80000 US TSY 1.000% OCT 31 2011 P 2010-08-10 2011-10-31
1000 COMCAST CORP 5.65%JUN15 35 P 2010-08-10 2011-02-03
1000 COMCAST CORP 5.65%JUN15 35 P 2010-08-10 2011-02-03
19000 US TSY 1.000% OCT 31 2011 P 2011-03-01 2011-10-31
14000 US TSY 1.000% OCT 31 2011 P 2011-02-09 2011-10-31
80000 US TSY 1.000% OCT 31 2011 P 2010-08-10 2011-10-31
37000 US TSY 3.125% MAY 15 2021 P 2011-06-24 2011-09-01
16000 US TSY 4.375% MAY 15 2041 P 2011-07-05 2011-09-01
28000 US TSY 4.375% MAY 15 2041 P 2011-07-05 2011-08-26
16000 GOLDMAN SACHS GRO 5.15% 14 P 2010-08-10 2011-08-10
1000 XEROX CORPORATION 6.87% 11 P 2011-02-09 2011-08-15
7000 XEROX CORPORATION 6.87% 11 P 2010-08-10 2011-08-15
1000 EL PASO NATURAL G 7.25% 18 P 2011-02-09 2011-08-11
7000 EL PASO NATURAL G 7.25% 18 P 2010-08-11 2011-08-11
8000 CITIGROUP INC 5.37% 2020 P 2011-03-01 2011-08-16
2330 LS SECURITIZED ASSET FD P 2010-08-10 2011-07-07
10000 US TSY 4.375% MAY 15 2041 P 2011-07-05 2011-07-08
11000 SPRINT CAP CORP 6.87% 2028 P 2010-08-10 2011-07-07
18000 US TSY 1.125% JUN 30 2011 P 2011-02-09 2011-06-30
79000 US TSY 1.125% JUN 30 2011 P 2010-08-10 2011-06-30
3000 LLOYDS TSB BK PLC 6.37% 21 P 2011-02-09 2011-06-23
15000 LLOYDS TSB BK PLC 6.37% 21 P 2011-01-14 2011-06-23
2000 USD TELEFONICA EM 6.22% 17 P 2011-02-10 2011-06-23
9000 USD TELEFONICA EM 6.22% 17 P 2010-08-11 2011-06-23
1000 USD TELECOM IT CA 6.00% 34 P 2011-02-09 2011-06-23
13000 USD TELECOM IT CA 6.00% 34 P 2010-08-10 2011-06-23
1000 ROYAL BK OF SCOTL 5.62% 20 P 2011-02-09 2011-06-23
11000 ROYAL BK OF SCOTL 5.62% 20 P 2010-09-09 2011-06-23
3000 VODAFONE GROUP PL 6.15% 37 P 2011-02-09 2011-06-23
9000 VODAFONE GROUP PL 6.15% 37 P 2010-08-10 2011-06-23
2000 CREDIT SUISSE FB 4.87% 15 P 2011-02-09 2011-05-26
11000 CREDIT SUISSE FB 4.87% 15 P 2010-08-10 2011-05-26
8000 MORGAN STANLEY 4.75% 2014 P 2010-08-10 2011-05-02
1000 CHESAPEAKE ENERGY 7.62% 13 P 2011-02-09 2011-04-11
7000 CHESAPEAKE ENERGY 7.62% 13 P 2010-08-11 2011-04-11
3000 US TSY 1.125% JUN 30 2011 P 2010-08-10 2011-03-09
18000 US TSY 1.125% JUN 30 2011 P 2010-08-10 2011-03-09
2000 TOTAL CAPITAL SA 3.00% 15 P 2011-02-09 2011-03-01
15000 TOTAL CAPITAL SA 3.00% 15 P 2011-01-19 2011-03-01
1000 WACHOVIA CORP 5.75% 2018 P 2011-02-09 2011-03-23
7000 WACHOVIA CORP 5.75% 2018 P 2010-08-10 2011-03-23
2000 CITIGROUP INC 5.00% 2014 P 2011-02-09 2011-03-01
13000 CITIGROUP INC 5.00% 2014 P 2010-08-10 2011-03-01
10000 GOLDMAN SACHS GRO 5.15% 14 P 2010-08-10 2011-02-03
5000 MARATHON OIL CORP 6.50% 14 P 2010-08-10 2011-02-10
9000 COMCAST CORP 5.65%JUN15 35 P 2010-08-10 2011-02-03
1000 COMCAST CORP 5.65%JUN15 35 P 2010-08-10 2011-02-03
12000 ANHEUSER-BUSCH CO 6.45% 37 P 2010-08-10 2011-02-07
14000 US TSY 4.375% MAY 15 2040 P 2010-08-12 2011-01-14
16000 US TSY 2.375% MAR 31 2016 P 2010-08-10 2011-01-05
10000 US TSY 2.000% NOV 30 2013 P 2010-12-21 2011-01-19
5000 US TSY 2.000% NOV 30 2013 P 2010-10-20 2011-01-19
8000 US TSY 2.000% NOV 30 2013 P 2010-10-20 2011-01-11
4000 KRAFT FOODS INC 6.25% 2012 P 2010-08-10 2011-01-10
13000 US TSY 2.750% NOV 30 2016 P 2011-02-01 2011-12-08
10000 US TSY 2.750% NOV 30 2016 P 2010-08-09 2011-12-08
2000 US TSY 2.750% NOV 30 2016 P 2010-08-09 2011-12-08
5000 U.S. TREASURY BILL P 2011-06-15 2011-12-01
1000 US TSY 2.000% SEP 30 2010 P 2010-10-01 2011-06-15
1000 US TSY 1.750% JAN 31 2014 P 2010-10-01 2011-06-15
1000 US TSY 2.625% JUN 30 2014 P 2010-10-01 2011-05-24
1000 US TSY 2.625% JUN 30 2014 P 2010-10-01 2011-05-24
7000 US TSY 4.625% OCT 31 2011 P 2011-02-03 2011-10-31
10000 US TSY 4.625% OCT 31 2011 P 2011-02-03 2011-10-31
10000 US TSY 4.625% OCT 31 2011 P 2011-02-03 2011-10-31
74000 US TSY 4.625% OCT 31 2011 P 2010-08-09 2011-10-31
47000 US TSY 4.625% OCT 31 2011 P 2010-08-09 2011-09-30
24000 US TSY 4.625% OCT 31 2011 P 2010-08-09 2011-09-01
358266 FHLMC A8 3667 05 50%2038 P 2011-05-19 2011-08-24
8000 U.S. TRSY INFLATIN NTE P 2011-02-03 2011-08-01
94000 U.S. TRSY INFLATIN NTE P 2010-08-09 2011-08-01
10000 US TSY 4.625% OCT 31 2011 P 2010-08-09 2011-06-30
3000 PHILIPS ELECTRONI 5.75% 18 P 2011-02-03 2011-06-28
19000 PHILIPS ELECTRONI 5.75% 18 P 2010-08-09 2011-06-28
2000 NEWS AMERICA INC 5.30% 14 P 2011-02-03 2011-07-15
20000 NEWS AMERICA INC 5.30% 14 P 2010-08-10 2011-07-15
3000 CISCO SYSTEMS INC 4.95% 19 P 2011-02-03 2011-06-28
20000 CISCO SYSTEMS INC 4.95% 19 P 2010-08-09 2011-06-28
3000 HOME DEPOT INC 3.95% 2020 P 2011-02-03 2011-06-28
22000 HOME DEPOT INC 3.95% 2020 P 2010-09-09 2011-06-28
10000 US TSY 2.750% NOV 30 2016 P 2010-08-09 2011-06-16
13000 US TSY 2.625% JUN 30 2014 P 2011-02-03 2011-06-15
1000 US TSY 2.625% JUN 30 2014 P 2010-10-01 2011-06-15
15000 US TSY 2.625% JUN 30 2014 P 2010-10-01 2011-06-15
19000 US TSY 2.625% NOV 15 2020 P 2011-04-29 2011-06-27
2000 US TSY 1.750% JAN 31 2014 P 2010-08-09 2011-06-15
45000 US TSY 3.125% MAY 15 2019 P 2010-08-09 2011-06-27
37000 US TSY 2.625% JUN 30 2014 P 2010-10-01 2011-05-24
1000 US TSY 2.625% JUN 30 2014 P 2010-10-01 2011-05-24
73000 US TSY 2.625% JUN 30 2014 P 2010-08-09 2011-05-24
21000 US TSY 4.625% OCT 31 2011 P 2010-08-09 2011-04-29
2000 GOLDMAN SACHS GRO 5.12% 15 P 2011-02-03 2011-05-03
21000 GOLDMAN SACHS GRO 5.12% 15 P 2010-08-09 2011-05-03
18000 US TSY 4.625% OCT 31 2011 P 2010-08-09 2011-04-01
1000 MARATHON OIL CORP 6.00% 17 P 2011-02-03 2011-04-15
1000 MARATHON OIL CORP 6.00% 17 P 2011-02-03 2011-04-14
19000 MARATHON OIL CORP 6.00% 17 P 2010-08-09 2011-04-14
16000 US TSY 2.625% JUN 30 2014 P 2010-08-09 2011-03-16
7000 US TSY 4.625% OCT 31 2011 P 2010-08-09 2011-03-02
10000 US TSY 4.625% OCT 31 2011 P 2010-08-09 2011-02-10
17000 US TSY 4.500% SEP 30 2011 P 2011-02-03 2011-02-10
19000 US TSY 4.500% SEP 30 2011 P 2010-08-09 2011-02-10
30000 US TSY 4.500% SEP 30 2011 P 2010-08-09 2011-02-01
23000 US TSY 4.5 % SEP 30 2011 P 2010-08-09 2011-01-04
121 UNILEVER PLC NEW ADR P 2010-08-06 2011-11-28
1029 NIPPON YUSEN KABESHIKI P 2011-02-03 2011-10-13
103 KDDI CORP SHS P 2011-01-27 2011-09-21
92 KDDI CORP SHS P 2011-01-18 2011-09-21
32 YAMANA GOLD INC P 2010-11-19 2011-08-10
341 YAMANA GOLD INC P 2010-08-06 2011-08-10
205 HUANENG PWR INTL SP ADR P 2011-02-03 2011-08-10
12 HUANENG PWR INTL SP ADR P 2011-02-03 2011-08-03
5 HUANENG PWR INTL SP ADR P 2011-02-03 2011-08-02
7 HUANENG PWR INTL SP ADR P 2010-12-10 2011-08-02
4 HUANENG PWR INTL SP ADR P 2010-12-10 2011-08-01
13 HUANENG PWR INTL SP ADR P 2010-12-09 2011-08-01
20 HUANENG PWR INTL SP ADR P 2010-12-09 2011-07-29
8 HUANENG PWR INTL SP ADR P 2010-12-08 2011-07-29
1 HUANENG PWR INTL SP ADR P 2010-12-08 2011-07-28
23 HUANENG PWR INTL SP ADR P 2010-11-19 2011-07-28
6 HUANENG PWR INTL SP ADR P 2010-11-11 2011-07-28
35 HUANENG PWR INTL SP ADR P 2010-11-11 2011-07-27
264 GLAXOSMITHKLINE PLC ADR P 2011-02-03 2011-08-22
66 GLAXOSMITHKLINE PLC ADR P 2011-02-03 2011-08-19
84 GLAXOSMITHKLINE PLC ADR P 2011-02-03 2011-08-18
70 GLAXOSMITHKLINE PLC ADR P 2010-11-19 2011-08-18
35 GLAXOSMITHKLINE PLC ADR P 2010-08-06 2011-08-18
107 GLAXOSMITHKLINE PLC ADR P 2010-08-06 2011-08-10
436 NOKIA CORP SPON ADR P 2011-02-03 2011-07-26
99 NOKIA CORP SPON ADR P 2010-11-19 2011-07-26
185 NOKIA CORP SPON ADR P 2010-08-06 2011-07-26
115 NIPPON YUSEN KABESHIKI P 2011-02-03 2011-06-28
171 NIPPON YUSEN KABESHIKI P 2011-01-24 2011-06-28
171 NIPPON YUSEN KABESHIKI P 2011-01-19 2011-06-28
305 NIPPON YUSEN KABESHIKI P 2010-12-01 2011-06-28
496 NEW WORLD DEV SPNSRD ADR P 2011-03-01 2011-07-07
210 NEW WORLD DEV SPNSRD ADR P 2011-02-28 2011-07-07
436 NEW WORLD DEV SPNSRD ADR P 2011-02-28 2011-07-06
243 NEW WORLD DEV SPNSRD ADR P 2011-02-17 2011-07-06
796 NEW WORLD DEV SPNSRD ADR P 2011-02-17 2011-06-30
23 RENAISSANCERE HLDGS LTD P 2011-02-03 2011-05-13
38 RENAISSANCERE HLDGS LTD P 2011-02-03 2011-05-12
19 RENAISSANCERE HLDGS LTD P 2011-02-03 2011-05-11
23 RENAISSANCERE HLDGS LTD P 2011-02-03 2011-05-10
27 RENAISSANCERE HLDGS LTD P 2010-11-19 2011-05-10
420 PEARSON SPONSORED ADR P 2011-02-03 2011-05-16
92 PEARSON SPONSORED ADR P 2011-02-03 2011-05-06
20 PEARSON SPONSORED ADR P 2011-02-03 2011-05-05
20 PEARSON SPONSORED ADR P 2011-02-03 2011-05-04
112 PEARSON SPONSORED ADR P 2010-11-19 2011-05-04
43 PEARSON SPONSORED ADR P 2010-11-19 2011-05-03
141 PEARSON SPONSORED ADR P 2010-08-06 2011-05-03
48 PEARSON SPONSORED ADR P 2010-08-06 2011-05-02
30 PEARSON SPONSORED ADR P 2010-08-06 2011-04-29
24 NEXEN INC CANADA COM P 2011-02-03 2011-05-09
95 NEXEN INC CANADA COM P 2010-11-19 2011-05-09
56 NEXEN INC CANADA COM P 2010-08-06 2011-05-09
105 NEXEN INC CANADA COM P 2010-08-06 2011-05-09
125 FUJITSU LTD NEW ADR P 2011-02-03 2011-05-06
12 FUJITSU LTD NEW ADR P 2011-02-03 2011-05-05
26 FUJITSU LTD NEW ADR P 2011-02-03 2011-04-29
36 FUJITSU LTD NEW ADR P 2010-11-19 2011-04-29
47 FUJITSU LTD NEW ADR P 2010-08-06 2011-04-29
34 DELHAIZE GROUP SPONS ADR P 2010-11-19 2011-05-05
5 DELHAIZE GROUP SPONS ADR P 2010-11-19 2011-04-28
67 DELHAIZE GROUP SPONS ADR P 2010-08-06 2011-04-28
59 COMPANHIA D SNMNTO BSCO P 2010-08-06 2011-04-27
32 COCA COLA FEMSA SP ADR P 2011-02-03 2011-05-06
16 COCA COLA FEMSA SP ADR P 2011-02-03 2011-05-05
5 COCA COLA FEMSA SP ADR P 2011-02-03 2011-05-04
50 COCA COLA FEMSA SP ADR P 2011-02-03 2011-04-28
1 COCA COLA FEMSA SP ADR P 2010-11-19 2011-04-28
53 BRITISH AMN TOBACO SPADR P 2011-02-03 2011-05-18
43 BRITISH AMN TOBACO SPADR P 2011-02-03 2011-05-17
5 BRITISH AMN TOBACO SPADR P 2011-02-03 2011-05-04
33 BRITISH AMN TOBACO SPADR P 2011-02-03 2011-05-03
6 BRITISH AMN TOBACO SPADR P 2010-11-19 2011-05-03
6 BRITISH AMN TOBACO SPADR P 2010-11-19 2011-05-02
13 BRITISH AMN TOBACO SPADR P 2010-11-19 2011-04-29
9 BRITISH AMN TOBACO SPADR P 2010-08-06 2011-04-29
40 BRITISH AMN TOBACO SPADR P 2010-08-06 2011-04-28
112 STATOIL ASA SHS P 2010-11-19 2011-03-29
41 STATOIL ASA SHS P 2010-08-06 2011-03-29
21 RENAISSANCERE HLDGS LTD P 2010-11-19 2011-03-29
49 RENAISSANCERE HLDGS LTD P 2010-08-06 2011-03-29
26 COMPANHIA D SNMNTO BSCO P 2010-08-06 2011-04-26
119 TELSTRA CORP ADR P 2011-02-03 2011-03-10
204 TELSTRA CORP ADR P 2010-11-19 2011-03-10
226 TELSTRA CORP ADR P 2010-08-06 2011-03-10
84 STATOIL ASA SHS P 2010-08-06 2011-03-28
112 STATOIL ASA SHS P 2010-08-06 2011-03-25
62 SIEMENS AG ADR P 2011-02-03 2011-03-11
13 SIEMENS AG ADR P 2011-02-03 2011-03-10
8 SIEMENS AG ADR P 2010-11-19 2011-03-10
6 SIEMENS AG ADR P 2010-11-19 2011-03-09
34 SIEMENS AG ADR P 2010-08-06 2011-03-09
40 RENAISSANCERE HLDGS LTD P 2010-08-06 2011-03-25
157 COVIDIEN PLC SHS P 2011-02-03 2011-03-08
28 COVIDIEN PLC SHS P 2011-02-03 2011-03-08
38 COVIDIEN PLC SHS P 2010-11-19 2011-03-08
87 COVIDIEN PLC SHS P 2010-08-06 2011-03-08
16 COCA COLA FEMSA SP ADR P 2010-11-19 2011-03-01
3 COCA COLA FEMSA SP ADR P 2010-11-19 2011-03-01
17 COCA COLA FEMSA SP ADR P 2010-11-19 2011-02-28
3 COCA COLA FEMSA SP ADR P 2010-11-19 2011-02-25
12 COCA COLA FEMSA SP ADR P 2010-08-06 2011-02-25
37 TURKCELL ILETISIM ADR P 2010-11-19 2011-01-31
6 TURKCELL ILETISIM ADR P 2010-08-06 2011-01-31
45 TURKCELL ILETISIM ADR P 2010-08-06 2011-01-28
80 TRANSCANADA CORP P 2011-02-03 2011-02-22
25 TRANSCANADA CORP P 2011-02-03 2011-02-18
18 TRANSCANADA CORP P 2011-02-03 2011-02-16
23 TRANSCANADA CORP P 2010-11-19 2011-02-16
7 TRANSCANADA CORP P 2010-11-19 2011-02-15
47 TRANSCANADA CORP P 2010-08-06 2011-02-15
27 PETRLEO BRAS VTG SPD ADR P 2010-11-19 2011-02-22
80 PETRLEO BRAS VTG SPD ADR P 2010-08-06 2011-02-22
8 PETRLEO BRAS VTG SPD ADR P 2010-08-06 2011-02-22
80 PETRLEO BRAS VTG SPD ADR P 2010-08-06 2011-02-18
18 COPA HOLDINGS S A CL A P 2010-11-19 2011-02-03
7 COPA HOLDINGS S A CL A P 2010-08-06 2011-02-03
14 COPA HOLDINGS S A CL A P 2010-08-06 2011-01-31
10 COPA HOLDINGS S A CL A P 2010-08-06 2011-01-28
37 COCA COLA FEMSA SP ADR P 2010-08-06 2011-02-18
11 TURKCELL ILETISIM ADR P 2010-08-06 2011-01-21
13 TURKCELL ILETISIM ADR P 2010-08-06 2011-01-20
10 TURKCELL ILETISIM ADR P 2010-08-06 2011-01-19
17 TURKCELL ILETISIM ADR P 2010-08-06 2011-01-18
8 TURKCELL ILETISIM ADR P 2010-08-06 2011-01-14
12 FRONTLINE LTD P 2010-11-19 2011-01-20
29 FRONTLINE LTD P 2010-11-19 2011-01-19
16 FRONTLINE LTD P 2010-08-06 2011-01-19
38 FRONTLINE LTD P 2010-08-06 2011-01-14
166 COMPASS GROUP PLC ADR P 2010-11-19 2011-01-13
79 COMPASS GROUP PLC ADR P 2010-11-19 2011-01-11
74 COMPASS GROUP PLC ADR P 2010-08-06 2011-01-11
323 COMPASS GROUP PLC ADR P 2010-08-06 2011-01-06
.042 GAMCO WESTWOOD MM FD AAA P 2011-11-28 2011-12-02
.264 GAMCO WESTWOOD MM FD AAA P 2010-08-06 2011-12-02
428 GAMCO WESTWOOD MM FD AAA P 2010-08-06 2011-12-02
4268 GAMCO WESTWOOD MM FD AAA P 2010-08-05 2011-12-02
.179 UAM FPA CRESCENT PORT P 2011-07-07 2011-12-02
2584 UAM FPA CRESCENT PORT P 2011-03-25 2011-12-02
899 UAM FPA CRESCENT PORT P 2011-03-25 2011-12-02
1 UAM FPA CRESCENT PORT P 2011-03-25 2011-12-02
191 UAM FPA CRESCENT PORT P 2011-03-25 2011-12-02
1 UAM FPA CRESCENT PORT P 2011-03-25 2011-12-02
.292 UAM FPA CRESCENT PORT P 2011-03-25 2011-12-02
.097 PIMCO GLOBAL MULTI P 2011-09-15 2011-12-02
2394 PIMCO GLOBAL MULTI P 2011-02-02 2011-12-02
4580 PIMCO GLOBAL MULTI P 2011-02-02 2011-12-02
1 PIMCO GLOBAL MULTI P 2011-02-02 2011-12-02
1090 PIMCO GLOBAL MULTI P 2011-02-02 2011-12-02
622 PIMCO GLOBAL MULTI P 2011-02-02 2011-12-02
1 PIMCO GLOBAL MULTI P 2011-02-02 2011-12-02
.05 PRUDENTIAL JENNISON P 2011-09-16 2011-12-02
6828 PRUDENTIAL JENNISON P 2011-02-02 2011-12-02
948 PRUDENTIAL JENNISON P 2011-02-02 2011-12-02
2398 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-11-29
392 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-11-29
2790 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-11-29
2713 PIMCO LOW DURATION FD P 2010-08-10 2011-11-29
204 PIMCO LOW DURATION FD P 2010-08-10 2011-11-29
1 PIMCO LOW DURATION FD P 2010-08-10 2011-11-29
2918 PIMCO LOW DURATION FD P 2010-08-10 2011-11-29
.073 IVY ASSET STRATEGY FD I P 2010-12-09 2011-12-02
.5940 IVY ASSET STRATEGY FD I P 2010-08-05 2011-12-02
4166 IVY ASSET STRATEGY FD I P 2010-08-05 2011-12-02
.592 NUVEEN TRDW GLB ALLCAP I P 2010-12-31 2011-12-02
.051 NUVEEN TRADEWINDS GLOBAL P 2010-08-05 2011-12-02
3645 NUVEEN TRDW GLB ALLCAP I P 2010-08-05 2011-12-02
.205 OPPENHMR DEV MRKTS CL Y P 2010-12-22 2011-12-02
.234 OPPENHMR DEV MRKTS CL Y P 2010-08-06 2011-12-02
330 OPPENHMR DEV MRKTS CL Y P 2010-08-06 2011-12-02
1729 OPPENHMR DEV MRKTS CL Y P 2010-08-05 2011-12-02
377 OPPENHMR DEV MRKTS CL Y P 2010-08-05 2011-12-02
1 OPPENHMR DEV MRKTS CL Y P 2010-08-05 2011-12-02
5394 NEU BER INST VLE CL INST P 2011-06-30 2011-12-02
151 NEU BER INST VLE CL INST P 2011-06-30 2011-12-02
4125 NEU BER INST VLE CL INST P 2011-06-30 2011-12-02
1 NEU BER INST VLE CL INST P 2011-06-30 2011-12-02
.18 NEUBERGER BERMAN P 2011-06-30 2011-12-02
.624 FAIRHOLME FUND P 2011-12-16 2011-12-23
3130 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-11-29
402 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-11-29
1 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-11-29
3533 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-11-29
.457 PRDNTL JEN NAT RES FD Z P 2010-11-30 2011-12-02
231 PRDNTL JEN NAT RES FD Z P 2010-08-06 2011-12-02
1746 PRDNTL JEN NAT RES FD Z P 2010-08-05 2011-12-02
.698 PIMCO TOTAL RETURN FUND P 2011-10-31 2011-11-29
2790 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-11-29
4748 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-10-05
373 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-10-05
5121 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-10-05
.088 PIMCO LOW DURATION FD P 2011-10-31 2011-11-29
.2 PIMCO LOW DURATION FD P 2010-08-10 2011-11-29
2918 PIMCO LOW DURATION FD P 2010-08-10 2011-11-29
5141 PIMCO LOW DURATION FD P 2010-08-10 2011-10-05
218 PIMCO LOW DURATION FD P 2010-08-10 2011-10-05
1 PIMCO LOW DURATION FD P 2010-08-10 2011-10-05
5360 PIMCO LOW DURATION FD P 2010-08-10 2011-10-05
.034 PRDNTL SHT TRM CORP BD Z P 2011-10-31 2011-11-29
.5350 PRUDENTIAL SHORT TERM P 2010-08-10 2011-11-29
3533 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-11-29
85 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-10-05
411 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-10-05
496 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-10-05
.166 PIMCO TOTAL RETURN FUND P 2011-09-30 2011-10-28
.179 PIMCO TOTAL RETURN FUND P 2011-09-30 2011-10-06
.043 PIMCO TOTAL RETURN FUND P 2011-09-30 2011-10-05
5540 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-10-28
4664 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-10-06
5121 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-10-05
2587 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-08-31
408 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-08-31
2995 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-08-31
.016 PIMCO LOW DURATION FD P 2011-09-30 2011-10-05
3098 PIMCO LOW DURATION FD P 2010-08-10 2011-10-28
.294 PIMCO LOW DURATION FD P 2010-08-10 2011-10-06
.408 PIMCO LOW DURATION FD P 2010-08-10 2011-10-28
5791 PIMCO LOW DURATION FD P 2010-08-10 2011-10-28
4602 PIMCO LOW DURATION FD P 2010-08-10 2011-10-06
270 PIMCO LOW DURATION FD P 2010-08-10 2011-10-06
1 PIMCO LOW DURATION FD P 2010-08-10 2011-10-06
.608 PIMCO LOW DURATION FD P 2010-08-10 2011-10-05
5360 PIMCO LOW DURATION FD P 2010-08-10 2011-10-05
2929 PIMCO LOW DURATION FD P 2010-08-10 2011-08-31
243 PIMCO LOW DURATION FD P 2010-08-10 2011-08-31
1 PIMCO LOW DURATION FD P 2010-08-10 2011-08-31
3173 PIMCO LOW DURATION FD P 2010-08-10 2011-08-31
13526 LORD ABBT FNDMNTL EQTY F P 2011-08-19 2011-10-19
4696 LORD ABBT FNDMNTL EQTY F P 2011-03-14 2011-10-19
4710 LORD ABBT FNDMNTL EQTY F P 2011-03-10 2011-10-19
4596 LORD ABBT FNDMNTL EQTY F P 2011-02-25 2011-10-19
4627 LORD ABBT FNDMNTL EQTY F P 2011-02-22 2011-10-19
9301 LORD ABBT FNDMNTL EQTY F P 2011-02-09 2011-10-19
9343 LORD ABBT FNDMNTL EQTY F P 2011-02-02 2011-10-19
100 LORD ABBT FNDMNTL EQTY F P 2010-11-23 2011-10-19
.222 LORD ABBT FNDMNTL EQTY F P 2010-11-23 2011-10-19
1 LORD ABBT FNDMNTL EQTY F P 2010-11-23 2011-10-19
2050 LORD ABBT FNDMNTL EQTY F P 2010-11-19 2011-10-19
2055 LORD ABBT FNDMNTL EQTY F P 2010-11-18 2011-10-19
2331 LORD ABBT FNDMNTL EQTY F P 2010-08-09 2011-10-19
2342 LORD ABBT FNDMNTL EQTY F P 2010-08-06 2011-10-19
8667 LORD ABBT FNDMNTL EQTY F P 2010-08-05 2011-10-19
167 CALAMOS CONV FD I P 2011-06-16 2011-10-19
.9380 CALAMOS CONV FD I P 2011-06-16 2011-10-19
43 CALAMOS CONV FD I P 2011-03-17 2011-10-19
102 CALAMOS CONV FD I P 2010-12-16 2011-10-19
1 CALAMOS CONV FD I P 2010-12-16 2011-10-19
653 CALAMOS CONV FD I P 2010-12-16 2011-10-19
1 CALAMOS CONV FD I P 2010-12-16 2011-10-19
2700 CALAMOS CONV FD I P 2010-11-19 2011-10-19
2706 CALAMOS CONV FD I P 2010-11-18 2011-10-19
96 CALAMOS CONV FD I P 2010-09-16 2011-10-19
2463 CALAMOS CONV FD I P 2010-08-09 2011-10-19
2468 CALAMOS CONV FD I P 2010-08-06 2011-10-19
9145 CALAMOS CONV FD I P 2010-08-05 2011-10-19
.5650 PRDNTL SHT TRM CORP BD Z P 2011-09-30 2011-10-06
.2570 PRDNTL SHT TRM CORP BD Z P 2011-09-30 2011-10-05
.755 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-10-28
5244 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-10-28
.214 PRUDENTIAL SHORT TERM P 2010-08-10 2011-10-06
4424 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-10-06
4371 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-10-05
496 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-10-05
1368 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-08-31
487 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-08-31
1855 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-08-31
.5740 PIMCO TOTAL RETURN FUND P 1931-08-31 2011-08-31
.384 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-09-15
4570 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-09-15
2995 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-08-31
365 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-08-31
.007 PIMCO TOTAL RETURN FUND P 2010-08-10 2011-08-31
.355 PIMCO LOW DURATION FD P 2011-08-31 2011-08-31
.154 PIMCO LOW DURATION FD P 2010-08-10 2011-09-15
3846 PIMCO LOW DURATION FD P 2010-08-10 2011-09-15
3173 PIMCO LOW DURATION FD P 2010-08-10 2011-08-31
270 PIMCO LOW DURATION FD P 2010-08-10 2011-08-31
1 PIMCO LOW DURATION FD P 2010-08-10 2011-08-31
.621 PIMCO LOW DURATION FD P 2010-08-10 2011-08-31
.191 PRDNTL SHT TRM CORP BD Z P 2011-08-31 2011-08-31
.275 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-09-15
.354 PRUDENTIAL SHORT TERM P 2010-08-10 2011-09-15
4370 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-09-15
1855 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-08-31
496 PRDNTL SHT TRM CORP BD Z P 2010-08-10 2011-08-31
.725 PRUDENTIAL SHORT TERM P 2010-08-10 2011-08-31
1558 INVESCO MID CAP CORE P 2011-03-14 2011-08-19
1562 INVESCO MID CAP CORE P 2011-03-10 2011-08-19
1547 INVESCO MID CAP CORE P 2011-02-25 2011-08-19
1556 INVESCO MID CAP CORE P 2011-02-22 2011-08-19
3118 INVESCO MID CAP CORE P 2011-02-09 2011-08-19
3156 INVESCO MID CAP CORE P 2011-02-02 2011-08-19
5 INVESCO MID CAP CORE P 2010-12-10 2011-08-19
.242 INVESCO MID CAP CORE P 2010-12-10 2011-08-19
133 INVESCO MID CAP CORE P 2010-12-10 2011-08-19
1 INVESCO MID CAP CORE P 2010-12-10 2011-08-19
1654 INVESCO MID CAP CORE P 2010-11-19 2011-08-19
1659 INVESCO MID CAP CORE P 2010-11-18 2011-08-19
818 INVESCO MID CAP CORE P 2010-08-09 2011-08-19
822 INVESCO MID CAP CORE P 2010-08-06 2011-08-19
3045 INVESCO MID CAP CORE P 2010-08-05 2011-08-19
6976 MARKETFIELD FUND P 2011-03-14 2011-08-19
6945 MARKETFIELD FUND P 2011-03-10 2011-08-19
6824 MARKETFIELD FUND P 2011-02-25 2011-08-19
6799 MARKETFIELD FUND P 2011-02-22 2011-08-19
13384 MARKETFIELD FUND P 2011-02-09 2011-08-19
10866 MARKETFIELD FUND P 2011-02-02 2011-08-19
.055 MARKETFIELD FUND P 2010-12-29 2011-08-19
2781 MARKETFIELD FUND P 2011-02-02 2011-07-26
.295 MARKETFIELD FUND P 2010-12-29 2011-07-26
13359 MARKETFIELD FUND P 2010-11-19 2011-07-26
13380 MARKETFIELD FUND P 2010-11-18 2011-07-26
3899 THE MERGER FUND CL N P 2011-03-14 2011-06-30
3902 THE MERGER FUND CL N P 2011-03-10 2011-06-30
3909 THE MERGER FUND CL N P 2011-02-25 2011-06-30
3914 THE MERGER FUND CL N P 2011-02-22 2011-06-30
7828 THE MERGER FUND CL N P 2011-02-09 2011-06-30
7833 THE MERGER FUND CL N P 2011-02-02 2011-06-30
406 THE MERGER FUND CL N P 2010-12-29 2011-06-30
.69 THE MERGER FUND CL N P 2010-12-29 2011-06-30
3124 THE MERGER FUND CL N P 2010-11-19 2011-06-30
3124 THE MERGER FUND CL N P 2010-11-18 2011-06-30
2772 THE MERGER FUND CL N P 2010-08-09 2011-06-30
2777 THE MERGER FUND CL N P 2010-08-06 2011-06-30
10318 THE MERGER FUND CL N P 2010-08-05 2011-06-30
6 DIAM HILL FOC LG SHRT I P 2010-12-31 2011-06-30
.61 DIAM HILL FOC LG SHRT I P 2010-12-31 2011-06-30
1572 DIAM HILL FOC LG SHRT I P 2010-11-19 2011-06-30
1567 DIAM HILL FOC LG SHRT I P 2010-11-18 2011-06-30
2758 DIAM HILL FOC LG SHRT I P 2010-08-09 2011-06-30
2764 DIAM HILL FOC LG SHRT I P 2010-08-06 2011-06-30
10259 DIAM HILL FOC LG SHRT I P 2010-08-05 2011-06-30
40600 CONCHO RESOURCES INC P 2010-06-07 2011-03-21
2500 CONCHO RESOURCES INC P 2010-06-07 2011-03-18
500 CONCHO RESOURCES INC P 2010-06-07 2011-03-08
1400 CONCHO RESOURCES INC P 2010-06-07 2011-03-02
(e) Gross sales price (f) Depreciation allowed
(or allowable) 		(g) Cost or other basis
plus expense of sale 		(h) Gain or (loss)
(e) plus (f) minus (g)
a       29,659
b        
c 50,083   50,431 -348
d 45,040   62,508 -17,468
e 44,964   62,511 -17,547
44,259   62,514 -18,255
44,259   62,532 -18,273
87,334   125,020 -37,686
88,568   125,029 -36,461
579   818 -239
2,418   3,268 -850
25   34 -9
13,074   17,667 -4,593
25   33 -8
36,526   50,011 -13,485
36,727   50,024 -13,297
33,150   43,718 -10,568
33,352   43,771 -10,419
123,935   162,508 -38,573
100,195   89,666 10,529
30,650   29,878 772
95,938   93,618 2,320
13,132   12,413 719
81,834   80,928 906
84,056   81,549 2,507
21,142   20,578 564
40,091   39,989 102
9,340   9,127 213
94,269   93,670 599
40,465   40,361 104
20,233   20,382 -149
9,420   9,119 301
9,420   9,321 99
10,511   10,334 177
104,000   103,284 716
9,807   9,883 -76
374,359   376,740 -2,381
78,813   79,559 -746
21,662   22,084 -422
170,000   170,000  
46,492   46,562 -70
40,000   39,530 470
37,419   37,233 186
70,331   70,716 -385
29,761   29,734 27
4,174   4,264 -90
3,602   3,940 -338
1,850   1,938 -88
4,652   4,159 493
1,526   2,351 -825
641   987 -346
3,777   4,090 -313
984   1,091 -107
1,158   1,125 33
2,911   2,875 36
2,763   4,590 -1,827
1,733   3,240 -1,507
1,653   2,790 -1,137
4,581   3,453 1,128
7,264   7,373 -109
4,204   4,491 -287
1,273   1,013 260
3,895   3,454 441
5,050   4,312 738
3,138   3,118 20
1,896   1,789 107
3,840   2,886 954
5,589   5,884 -295
4,781   3,698 1,083
4,187   4,193 -6
6,761   6,077 684
925   1,056 -131
3,418   3,563 -145
2,988   2,981 7
3,017   2,981 36
4,319   4,869 -550
4,665   4,990 -325
9,564   9,807 -243
6,407   6,508 -101
1,154   1,080 74
1,134   1,072 62
1,587   1,511 76
1,651   1,690 -39
2,120   2,087 33
339   391 -52
161   184 -23
161   171 -10
113   110 3
65   91 -26
5     5
3,806   4,123 -317
2,225   3,439 -1,214
1,789   2,510 -721
1,687   2,434 -747
1,552   2,653 -1,101
4,346   5,247 -901
1,737   1,623 114
3,125   5,080 -1,955
6,271   6,885 -614
135   225 -90
4,519   5,511 -992
1,462   1,234 228
6,050   6,554 -504
5,592   6,426 -834
10,274   11,762 -1,488
930   931 -1
5,967   5,981 -14
3,353   2,638 715
1,579   1,489 90
886   893 -7
5,026   4,813 213
2,161   2,113 48
2,890   2,322 568
2,900   2,678 222
4,455   5,751 -1,296
3,755   3,547 208
160   191 -31
970   1,242 -272
3,618   4,298 -680
2,434   2,952 -518
2,637   2,459 178
106   109 -3
5,646   5,886 -240
3,265   2,431 834
3,409   2,894 515
3,544   2,996 548
3,180   3,089 91
2,000   1,945 55
3,301   3,013 288
1,162   1,138 24
387   379 8
1,687   1,586 101
692   683 9
3,224   3,321 -97
616   638 -22
116   119 -3
4,088   5,144 -1,056
3,019   4,452 -1,433
3,226   3,389 -163
3,295   3,476 -181
3,389   3,588 -199
3,447   2,736 711
3,502   3,374 128
6,479   6,372 107
3,134   2,819 315
8,715   7,888 827
714   648 66
2,089   1,944 145
3,655   2,584 1,071
90   88 2
2,532   2,466 66
2,424   2,361 63
7,710   7,121 589
5,429   5,206 223
4,804   4,314 490
1,960   1,840 120
3,591   3,471 120
2,439   2,209 230
9,016   8,204 812
2,612   2,290 322
1,595   1,450 145
1,189   1,190 -1
1,559   1,578 -19
721   455 266
933   979 -46
536   771 -235
1,264   1,594 -330
1,275   1,120 155
225   213 12
773   912 -139
1,799   1,795 4
644   745 -101
1,277   1,074 203
852   605 247
998   793 205
2,411   1,942 469
1,445   1,281 164
1,461   906 555
517   516 1
1,365   1,136 229
651   624 27
861   718 143
1,636   1,364 272
553   516 37
1,016   1,144 -128
2,400   2,311 89
1,534   1,042 492
752   688 64
1,051   1,050 1
1,615   1,042 573
1,883   1,588 295
601   701 -100
933   1,089 -156
536   967 -431
447   776 -329
1,275   1,045 230
1,575   1,356 219
112   112  
580   771 -191
2,574   1,820 754
515   439 76
1,957   1,882 75
1,450   1,092 358
935   799 136
1,203   1,119 84
1,722   1,755 -33
195   187 8
762   868 -106
267   269 -2
383   364 19
214     214
178   157 21
320   282 38
747   635 112
482   868 -386
397   361 36
526   471 55
791   790 1
856   905 -49
195   233 -38
621   740 -119
111   130 -19
89   103 -14
300   317 -17
30   40 -10
530   816 -286
162   237 -75
1,030   930 100
465   430 35
1,122   1,072 50
252   222 30
365   297 68
737   752 -15
1,067   1,351 -284
424   465 -41
427   560 -133
1,449   1,248 201
542   529 13
1,662   1,736 -74
629   628 1
3,150   2,800 350
379   405 -26
227   330 -103
1,089   1,291 -202
529   602 -73
17   24 -7
1,165   1,291 -126
544   689 -145
839   846 -7
264   221 43
643   711 -68
444   440 4
1,110   1,316 -206
349   436 -87
1,364   1,319 45
406   429 -23
541   546 -5
210   177 33
529   568 -39
659   742 -83
668   610 58
630   850 -220
934   1,080 -146
398   424 -26
1,328   1,501 -173
510   592 -82
880   861 19
432   462 -30
591   627 -36
714   697 17
357   354 3
946   792 154
554   561 -7
683   680 3
916   769 147
106   120 -14
130   110 20
502   617 -115
100   98 2
250   343 -93
1,537   1,640 -103
1,333   1,160 173
549   703 -154
1,188   1,104 84
585   634 -49
2,102   1,719 383
906   892 14
789   845 -56
1,867   2,449 -582
997   871 126
84   76 8
1,622   1,656 -34
466   462 4
657   583 74
490   506 -16
1,200   1,323 -123
1,199   1,738 -539
1,829   1,980 -151
288   227 61
288   242 46
1,404   1,148 256
709   608 101
878   745 133
1,455   1,267 188
846   665 181
1,690   1,723 -33
1,576   1,377 199
425   435 -10
732   773 -41
292   302 -10
642   684 -42
542   744 -202
409   420 -11
318   334 -16
822   846 -24
1,175   1,594 -419
875   781 94
884   659 225
532   526 6
1,254   916 338
912   759 153
456   546 -90
100   120 -20
521   431 90
287   245 42
182   154 28
319   267 52
563   586 -23
845   684 161
249   208 41
432   445 -13
986   781 205
577   591 -14
1,070   965 105
1,138   1,147 -9
287   238 49
1,998   2,022 -24
1,789   1,664 125
618   621 -3
212   178 34
2,230   2,148 82
517   526 -9
119   124 -5
479   429 50
615   579 36
1,202   1,070 132
1,789   1,369 420
1,513   1,141 372
1,423   1,339 84
99   103 -4
613   594 19
949   907 42
516   496 20
421   426 -5
341   347 -6
281   288 -7
40   41 -1
419   348 71
1,114   1,070 44
854   795 59
178   167 11
744   702 42
851   717 134
1,022   849 173
25   21 4
503   391 112
844   819 25
345   378 -33
949   941 8
919   1,222 -303
841   662 179
312   318 -6
349   352 -3
1,432   1,124 308
712   803 -91
924   845 79
655   556 99
251   195 56
298   272 26
978   976 2
149   152 -3
1,075   928 147
1,109   879 230
1,225   1,376 -151
179   158 21
413   468 -55
1,513   1,702 -189
269   240 29
983   1,104 -121
1,916   1,904 12
345   314 31
738   659 79
1,179   1,180 -1
545   486 59
181   198 -17
45   53 -8
676   647 29
541   516 25
408   381 27
135   129 6
1,094   1,278 -184
498   457 41
364   344 20
932   917 15
1,477   1,320 157
601   514 87
675   609 66
489   488 1
2,642   2,858 -216
80   93 -13
1,338   1,200 138
501   409 92
2,008   2,079 -71
258   277 -19
99   106 -7
261   242 19
263   302 -39
685   594 91
383   352 31
38   37 1
963   906 57
938   1,023 -85
1,185   976 209
357   329 28
1,060   1,027 33
674   744 -70
615   586 29
555   436 119
710   647 63
424   384 40
942   1,038 -96
801   857 -56
331   311 20
1,083   1,227 -144
689   852 -163
1,031   1,251 -220
1,127   1,345 -218
80   91 -11
244   224 20
19     19
78   73 5
58   55 3
283   256 27
136   128 8
310   349 -39
691   695 -4
239   238 1
276   320 -44
924   944 -20
180   183 -3
125   128 -3
607   594 13
329   295 34
104   110 -6
367   342 25
336   331 5
142   146 -4
783   903 -120
573   612 -39
477   688 -211
420   476 -56
401   503 -102
115   124 -9
610   885 -275
14   20 -6
911   973 -62
323   392 -69
339   346 -7
519   575 -56
65   71 -6
178   171 7
598   566 32
132   142 -10
132   142 -10
436   442 -6
382   384 -2
9     9
660   1,131 -471
528   1,055 -527
132   216 -84
883   891 -8
825   995 -170
592   922 -330
202   242 -40
847   929 -82
88   182 -94
835   1,027 -192
651   868 -217
918   1,157 -239
1,076   1,406 -330
448   566 -118
706   1,010 -304
1,097   1,223 -126
277   368 -91
564   728 -164
429   446 -17
322   389 -67
161   196 -35
562   738 -176
2,233   2,315 -82
494   688 -194
676   594 82
1,453   1,386 67
1,106   1,079 27
698   663 35
505   459 46
841   709 132
376   417 -41
94   108 -14
631   824 -193
780   952 -172
190   289 -99
586   637 -51
665   679 -14
271   336 -65
381   525 -144
313   463 -150
269   417 -148
269   403 -134
246   349 -103
134   181 -47
227   281 -54
45   56 -11
642   581 61
239   211 28
1,736   1,684 52
829   709 120
435   373 62
261   224 37
87   76 11
1,234   1,122 112
340   496 -156
149   216 -67
1,452   2,110 -658
469   523 -54
1,751   2,359 -608
292   306 -14
901   965 -64
95   105 -10
158   234 -76
222   319 -97
209   302 -93
49   73 -24
37   54 -17
637   750 -113
2,292   2,231 61
267   338 -71
147   169 -22
584   867 -283
1,103   2,351 -1,248
460   979 -519
2,360   2,465 -105
807   764 43
423   420 3
397   488 -91
715   866 -151
332   418 -86
665   865 -200
222   277 -55
55   70 -15
689   837 -148
625   878 -253
1,302   1,393 -91
496   525 -29
397   499 -102
333   432 -99
95   119 -24
32   40 -8
621   785 -164
824   860 -36
135   216 -81
372   466 -94
266   346 -80
680   788 -108
897   1,338 -441
463   975 -512
315   650 -335
227   470 -243
148   294 -146
138   278 -140
118   235 -117
59   120 -61
59   123 -64
30   57 -27
30   59 -29
197   203 -6
650   1,018 -368
511   764 -253
2,191   2,218 -27
1,557   2,292 -735
1,608   2,297 -689
22   32 -10
892   933 -41
467   629 -162
280   382 -102
978   1,312 -334
615   817 -202
1,308   1,357 -49
1,002   1,023 -21
401   483 -82
1,684   2,006 -322
862   992 -130
748   893 -145
153   189 -36
1,384   1,404 -20
779   804 -25
425   428 -3
2,142   2,138 4
678   743 -65
223   222 1
2,553   2,164 389
95   80 15
833   694 139
792   833 -41
416   441 -25
20   22 -2
1,056   1,148 -92
435   461 -26
668   664 4
392   300 92
1,140   1,109 31
394   539 -145
311   240 71
410   483 -73
310   240 70
388   469 -81
200   235 -35
580   650 -70
885   1,106 -221
338   434 -96
901   1,084 -183
1,201   1,314 -113
457   490 -33
400   429 -29
400   426 -26
134   168 -34
1,096   1,126 -30
392   376 16
157   151 6
644   688 -44
363   375 -12
650   599 51
325   302 23
1,453   1,348 105
81   75 6
23   32 -9
1,411   1,643 -232
1,245   1,457 -212
470   542 -72
1,177   1,488 -311
499   644 -145
375   400 -25
375   385 -10
312   297 15
668   598 70
870   832 38
808   767 41
187   176 11
402   421 -19
348   410 -62
100   139 -39
959   1,129 -170
144   120 24
1,119   1,310 -191
336   406 -70
313   334 -21
224   242 -18
1,137   1,378 -241
1,006   1,184 -178
437   511 -74
87   95 -8
488   583 -95
296   306 -10
16     16
268   318 -50
268   316 -48
134   149 -15
479   420 59
1,787   1,841 -54
1,406   1,439 -33
234   242 -8
39   44 -5
91   99 -8
1,875   1,843 32
501   480 21
501   483 18
1,212   1,294 -82
956   1,071 -115
417   381 36
261   234 27
2,819   2,703 116
971   882 89
302   282 20
628   578 50
633   608 25
563   578 -15
672   790 -118
517   538 -21
1,492   1,463 29
721   753 -32
520   538 -18
83   85 -2
817   806 11
161   173 -12
141   150 -9
141   150 -9
1,769   1,768 1
460   478 -18
202,103   200,000 2,103
17,711   17,016 695
2,202   2,178 24
2,202   2,178 24
9,910   10,122 -212
9,910   10,122 -212
80,000   80,000  
80,000   80,000  
948   1,014 -66
948   1,014 -66
19,000   19,000  
14,000   14,000  
80,000   80,000  
39,930   37,767 2,163
18,193   15,998 2,195
32,554   27,996 4,558
16,687   16,904 -217
1,000   1,000  
7,000   7,000  
1,133   1,084 49
7,928   7,479 449
8,619   8,272 347
25,910   25,444 466
10,118   9,998 120
10,601   9,625 976
18,000   18,000  
79,000   79,000  
3,079   3,059 20
15,395   15,113 282
2,202   2,178 24
9,910   10,122 -212
844   900 -56
10,977   12,364 -1,387
991   980 11
10,904   11,233 -329
3,279   3,153 126
9,836   9,731 105
2,191   2,137 54
12,046   11,836 210
8,414   8,219 195
1,108   1,117 -9
7,753   7,470 283
3,009   3,008 1
18,053   18,046 7
2,043   2,027 16
15,324   15,382 -58
1,112   1,103 9
7,786   7,819 -33
2,102   2,091 11
13,664   13,340 324
10,817   10,682 135
5,687   5,627 60
8,536   9,125 -589
948   1,014 -66
13,157   13,455 -298
13,765   15,077 -1,312
16,075   16,463 -388
10,308   10,283 25
5,154   5,208 -54
8,239   8,335 -96
4,280   4,274 6
14,199   13,221 978
10,923   10,343 580
2,185   2,069 116
5,000   4,997 3
1,058   1,045 13
1,058   1,045 13
1,050   1,054 -4
1,050   1,054 -4
7,000   7,000  
10,000   10,000  
10,000   10,000  
74,000   74,000  
47,163   47,152 11
24,176   24,165 11
119,821   119,183 638
10,477   9,926 551
123,104   115,209 7,895
10,151   10,143 8
3,362   3,344 18
21,295   21,498 -203
2,224   2,193 31
22,238   22,066 172
3,269   3,204 65
21,795   22,224 -429
2,994   2,915 79
21,959   22,037 -78
10,525   10,374 151
13,754   13,495 259
1,058   1,045 13
15,870   15,793 77
18,703   17,968 735
2,061   2,041 20
47,440   46,608 832
38,867   38,996 -129
1,050   1,054 -4
76,684   76,367 317
21,467   21,449 18
2,169   2,146 23
22,775   22,377 398
18,456   18,444 12
1,128   1,143 -15
1,124   1,143 -19
21,365   21,209 156
16,799   16,782 17
7,204   7,199 5
10,313   10,308 5
17,460   17,459 1
19,514   19,501 13
30,841   30,822 19
23,715   23,704 11
3,879   3,305 574
5,324   9,107 -3,783
2,086   1,508 578
1,863   1,303 560
479   369 110
5,105   3,413 1,692
3,406   4,579 -1,173
231   268 -37
98   112 -14
138   155 -17
79   89 -10
255   288 -33
392   444 -52
176   200 -24
19   22 -3
447   512 -65
117   141 -24
683   825 -142
11,022   10,050 972
2,723   2,513 210
3,472   3,198 274
2,893   2,812 81
1,447   1,274 173
4,228   3,894 334
2,553   4,863 -2,310
580   998 -418
1,083   1,752 -669
826   1,018 -192
1,228   1,543 -315
1,228   1,590 -362
2,191   2,725 -534
1,505   1,827 -322
637   753 -116
1,330   1,564 -234
741   875 -134
2,332   2,867 -535
1,604   1,525 79
2,653   2,519 134
1,321   1,259 62
1,594   1,525 69
1,872   1,637 235
7,777   7,125 652
1,719   1,561 158
369   339 30
371   339 32
2,080   1,671 409
811   642 169
2,660   2,265 395
917   771 146
573   482 91
577   582 -5
2,283   2,049 234
1,346   1,155 191
2,506   2,165 341
3,498   3,956 -458
330   380 -50
723   823 -100
1,000   1,182 -182
1,306   1,669 -363
2,789   2,488 301
436   366 70
5,847   5,090 757
3,473   2,394 1,079
2,534   2,595 -61
1,263   1,297 -34
398   405 -7
3,982   4,055 -73
80   89 -9
4,627   4,089 538
3,749   3,318 431
440   386 54
2,905   2,546 359
528   465 63
530   465 65
1,148   1,008 140
795   638 157
3,507   2,834 673
3,044   2,365 679
1,114   879 235
1,352   1,273 79
3,154   2,801 353
1,557   1,055 502
1,610   1,689 -79
2,760   2,652 108
3,057   3,401 -344
2,311   1,800 511
3,090   2,400 690
7,853   7,930 -77
1,654   1,663 -9
1,018   933 85
784   700 84
4,445   3,467 978
2,589   2,287 302
8,325   7,736 589
1,493   1,380 113
2,026   1,640 386
4,639   3,314 1,325
1,158   1,419 -261
217   267 -50
1,241   1,371 -130
219   242 -23
874   836 38
572   693 -121
93   91 2
690   682 8
3,111   3,033 78
963   948 15
690   682 8
881   812 69
269   247 22
1,807   1,670 137
1,036   902 134
3,069   3,092 -23
307   305 2
3,036   3,050 -14
1,023   1,016 7
398   373 25
789   745 44
572   532 40
2,811   2,579 232
175   167 8
211   197 14
166   152 14
285   258 27
136   121 15
312   347 -35
767   838 -71
423   493 -70
987   1,172 -185
1,453   1,411 42
701   672 29
656   626 30
2,845   2,733 112
1   1  
4   4  
6,835   6,493 342
68,160   65,002 3,158
5   5  
70,285   71,913 -1,628
24,453   25,019 -566
27   28 -1
5,195   5,316 -121
27   28 -1
8   8  
1   1  
27,555   28,106 -551
52,716   53,769 -1,053
12   12  
12,546   12,797 -251
7,159   7,302 -143
12   12  
1   1  
87,808   93,270 -5,462
12,191   12,950 -759
25,779   27,481 -1,702
4,214   4,492 -278
29,993   31,973 -1,980
27,890   28,676 -786
2,097   2,156 -59
10   11 -1
29,997   30,843 -846
2   2  
14   13 1
99,984   92,194 7,790
16   17 -1
1   1  
99,982   93,677 6,305
6   7 -1
7   7  
10,154   10,115 39
53,201   53,340 -139
11,600   11,630 -30
31   31  
55,774   66,400 -10,626
1,561   1,859 -298
42,653   50,779 -8,126
10   12 -2
2   2  
15   22 -7
35,432   36,402 -970
4,551   4,675 -124
11   12 -1
39,994   41,089 -1,095
23   23  
11,682   10,681 1,001
88,295   81,276 7,019
8   8  
29,993   31,973 -1,980
50,994   54,412 -3,418
4,006   4,275 -269
55,000   58,687 -3,687
1   1  
2   2  
29,997   30,843 -846
52,747   54,340 -1,593
2,237   2,304 -67
10   11 -1
54,994   56,655 -1,661
1   1  
6   6  
39,994   41,089 -1,095
961   989 -28
4,644   4,780 -136
5,605   5,768 -163
2   2  
2   2  
1   1  
59,998   63,488 -3,490
49,998   53,449 -3,451
55,000   58,687 -3,687
28,483   29,647 -1,164
4,492   4,676 -184
32,975   34,323 -1,348
1   1  
1   1  
3   3  
4   4  
59,995   61,211 -1,216
47,217   48,643 -1,426
2,770   2,854 -84
10   11 -1
6   6  
54,994   56,655 -1,661
30,608   30,960 -352
2,539   2,569 -30
10   11 -1
33,158   33,539 -381
160,283   150,003 10,280
55,648   62,504 -6,856
55,814   62,502 -6,688
54,463   62,506 -8,043
54,830   62,511 -7,681
110,217   125,005 -14,788
110,715   125,009 -14,294
1,185   1,194 -9
3   3  
12   12  
24,293   25,010 -717
24,352   25,009 -657
27,622   26,247 1,375
27,753   26,254 1,499
102,704   97,504 5,200
2,929   3,046 -117
16   17 -1
754   799 -45
1,789   1,862 -73
18   18  
11,454   11,917 -463
18   18  
47,358   50,004 -2,646
47,463   50,007 -2,544
1,684   1,710 -26
43,201   43,743 -542
43,289   43,758 -469
160,403   162,507 -2,104
6   7 -1
3   3  
9   9  
59,991   60,988 -997
2   2  
49,991   51,451 -1,460
49,392   50,835 -1,443
5,605   5,768 -163
15,705   15,910 -205
5,591   5,664 -73
21,295   21,574 -279
6   6  
4   4  
49,996   52,372 -2,376
32,975   34,323 -1,348
4,019   4,183 -164
1   1  
4   4  
2   2  
39,998   40,652 -654
33,158   33,539 -381
2,822   2,854 -32
10   11 -1
6   7 -1
2   2  
3   3  
4   4  
49,993   50,823 -830
21,295   21,574 -279
5,694   5,768 -74
8   8  
31,830   37,501 -5,671
31,912   37,519 -5,607
31,605   37,515 -5,910
31,789   37,515 -5,726
63,701   75,019 -11,318
64,477   75,018 -10,541
102   115 -13
5   6 -1
2,717   3,054 -337
20   22 -2
33,791   37,513 -3,722
33,893   37,510 -3,617
16,712   17,489 -777
16,793   17,509 -716
62,209   65,011 -2,802
87,549   93,757 -6,208
87,160   93,758 -6,598
85,641   93,762 -8,121
85,327   93,758 -8,431
167,969   187,510 -19,541
136,368   149,299 -12,931
1   1  
37,683   38,211 -528
4   4  
181,014   175,003 6,011
181,299   175,010 6,289
63,320   62,501 819
63,368   62,510 858
63,482   62,505 977
63,563   62,507 1,056
127,127   125,013 2,114
127,208   125,015 2,193
6,593   6,407 186
11   11  
50,734   50,015 719
50,734   50,015 719
45,017   43,742 1,275
45,098   43,766 1,332
167,564   162,509 5,055
102   98 4
10   10  
26,755   25,011 1,744
26,670   25,009 1,661
46,941   43,742 3,199
47,043   43,754 3,289
174,608   162,503 12,105
3,165,447   16,999 3,148,448
195,071   1,047 194,024
39,014   209 38,805
109,240   586 108,654
Complete only for assets showing gain in column (h) and owned by the foundation on 12/31/69 (l) Gains (Col. (h) gain minus
col. (k), but not less than -0-) or
Losses (from col.(h))
(i) F.M.V. as of 12/31/69 (j) Adjusted basis
as of 12/31/69 		(k) Excess of col. (i)
over col. (j), if any
a        
b        
c       -348
d       -17,468
e       -17,547
      -18,255
      -18,273
      -37,686
      -36,461
      -239
      -850
      -9
      -4,593
      -8
      -13,485
      -13,297
      -10,568
      -10,419
      -38,573
      10,529
      772
      2,320
      719
      906
      2,507
      564
      102
      213
      599
      104
      -149
      301
      99
      177
      716
      -76
      -2,381
      -746
      -422
       
      -70
      470
      186
      -385
      27
      -90
      -338
      -88
      493
      -825
      -346
      -313
      -107
      33
      36
      -1,827
      -1,507
      -1,137
      1,128
      -109
      -287
      260
      441
      738
      20
      107
      954
      -295
      1,083
      -6
      684
      -131
      -145
      7
      36
      -550
      -325
      -243
      -101
      74
      62
      76
      -39
      33
      -52
      -23
      -10
      3
      -26
      5
      -317
      -1,214
      -721
      -747
      -1,101
      -901
      114
      -1,955
      -614
      -90
      -992
      228
      -504
      -834
      -1,488
      -1
      -14
      715
      90
      -7
      213
      48
      568
      222
      -1,296
      208
      -31
      -272
      -680
      -518
      178
      -3
      -240
      834
      515
      548
      91
      55
      288
      24
      8
      101
      9
      -97
      -22
      -3
      -1,056
      -1,433
      -163
      -181
      -199
      711
      128
      107
      315
      827
      66
      145
      1,071
      2
      66
      63
      589
      223
      490
      120
      120
      230
      812
      322
      145
      -1
      -19
      266
      -46
      -235
      -330
      155
      12
      -139
      4
      -101
      203
      247
      205
      469
      164
      555
      1
      229
      27
      143
      272
      37
      -128
      89
      492
      64
      1
      573
      295
      -100
      -156
      -431
      -329
      230
      219
       
      -191
      754
      76
      75
      358
      136
      84
      -33
      8
      -106
      -2
      19
      214
      21
      38
      112
      -386
      36
      55
      1
      -49
      -38
      -119
      -19
      -14
      -17
      -10
      -286
      -75
      100
      35
      50
      30
      68
      -15
      -284
      -41
      -133
      201
      13
      -74
      1
      350
      -26
      -103
      -202
      -73
      -7
      -126
      -145
      -7
      43
      -68
      4
      -206
      -87
      45
      -23
      -5
      33
      -39
      -83
      58
      -220
      -146
      -26
      -173
      -82
      19
      -30
      -36
      17
      3
      154
      -7
      3
      147
      -14
      20
      -115
      2
      -93
      -103
      173
      -154
      84
      -49
      383
      14
      -56
      -582
      126
      8
      -34
      4
      74
      -16
      -123
      -539
      -151
      61
      46
      256
      101
      133
      188
      181
      -33
      199
      -10
      -41
      -10
      -42
      -202
      -11
      -16
      -24
      -419
      94
      225
      6
      338
      153
      -90
      -20
      90
      42
      28
      52
      -23
      161
      41
      -13
      205
      -14
      105
      -9
      49
      -24
      125
      -3
      34
      82
      -9
      -5
      50
      36
      132
      420
      372
      84
      -4
      19
      42
      20
      -5
      -6
      -7
      -1
      71
      44
      59
      11
      42
      134
      173
      4
      112
      25
      -33
      8
      -303
      179
      -6
      -3
      308
      -91
      79
      99
      56
      26
      2
      -3
      147
      230
      -151
      21
      -55
      -189
      29
      -121
      12
      31
      79
      -1
      59
      -17
      -8
      29
      25
      27
      6
      -184
      41
      20
      15
      157
      87
      66
      1
      -216
      -13
      138
      92
      -71
      -19
      -7
      19
      -39
      91
      31
      1
      57
      -85
      209
      28
      33
      -70
      29
      119
      63
      40
      -96
      -56
      20
      -144
      -163
      -220
      -218
      -11
      20
      19
      5
      3
      27
      8
      -39
      -4
      1
      -44
      -20
      -3
      -3
      13
      34
      -6
      25
      5
      -4
      -120
      -39
      -211
      -56
      -102
      -9
      -275
      -6
      -62
      -69
      -7
      -56
      -6
      7
      32
      -10
      -10
      -6
      -2
      9
      -471
      -527
      -84
      -8
      -170
      -330
      -40
      -82
      -94
      -192
      -217
      -239
      -330
      -118
      -304
      -126
      -91
      -164
      -17
      -67
      -35
      -176
      -82
      -194
      82
      67
      27
      35
      46
      132
      -41
      -14
      -193
      -172
      -99
      -51
      -14
      -65
      -144
      -150
      -148
      -134
      -103
      -47
      -54
      -11
      61
      28
      52
      120
      62
      37
      11
      112
      -156
      -67
      -658
      -54
      -608
      -14
      -64
      -10
      -76
      -97
      -93
      -24
      -17
      -113
      61
      -71
      -22
      -283
      -1,248
      -519
      -105
      43
      3
      -91
      -151
      -86
      -200
      -55
      -15
      -148
      -253
      -91
      -29
      -102
      -99
      -24
      -8
      -164
      -36
      -81
      -94
      -80
      -108
      -441
      -512
      -335
      -243
      -146
      -140
      -117
      -61
      -64
      -27
      -29
      -6
      -368
      -253
      -27
      -735
      -689
      -10
      -41
      -162
      -102
      -334
      -202
      -49
      -21
      -82
      -322
      -130
      -145
      -36
      -20
      -25
      -3
      4
      -65
      1
      389
      15
      139
      -41
      -25
      -2
      -92
      -26
      4
      92
      31
      -145
      71
      -73
      70
      -81
      -35
      -70
      -221
      -96
      -183
      -113
      -33
      -29
      -26
      -34
      -30
      16
      6
      -44
      -12
      51
      23
      105
      6
      -9
      -232
      -212
      -72
      -311
      -145
      -25
      -10
      15
      70
      38
      41
      11
      -19
      -62
      -39
      -170
      24
      -191
      -70
      -21
      -18
      -241
      -178
      -74
      -8
      -95
      -10
      16
      -50
      -48
      -15
      59
      -54
      -33
      -8
      -5
      -8
      32
      21
      18
      -82
      -115
      36
      27
      116
      89
      20
      50
      25
      -15
      -118
      -21
      29
      -32
      -18
      -2
      11
      -12
      -9
      -9
      1
      -18
      2,103
      695
      24
      24
      -212
      -212
       
       
      -66
      -66
       
       
       
      2,163
      2,195
      4,558
      -217
       
       
      49
      449
      347
      466
      120
      976
       
       
      20
      282
      24
      -212
      -56
      -1,387
      11
      -329
      126
      105
      54
      210
      195
      -9
      283
      1
      7
      16
      -58
      9
      -33
      11
      324
      135
      60
      -589
      -66
      -298
      -1,312
      -388
      25
      -54
      -96
      6
      978
      580
      116
      3
      13
      13
      -4
      -4
       
       
       
       
      11
      11
      638
      551
      7,895
      8
      18
      -203
      31
      172
      65
      -429
      79
      -78
      151
      259
      13
      77
      735
      20
      832
      -129
      -4
      317
      18
      23
      398
      12
      -15
      -19
      156
      17
      5
      5
      1
      13
      19
      11
      574
      -3,783
      578
      560
      110
      1,692
      -1,173
      -37
      -14
      -17
      -10
      -33
      -52
      -24
      -3
      -65
      -24
      -142
      972
      210
      274
      81
      173
      334
      -2,310
      -418
      -669
      -192
      -315
      -362
      -534
      -322
      -116
      -234
      -134
      -535
      79
      134
      62
      69
      235
      652
      158
      30
      32
      409
      169
      395
      146
      91
      -5
      234
      191
      341
      -458
      -50
      -100
      -182
      -363
      301
      70
      757
      1,079
      -61
      -34
      -7
      -73
      -9
      538
      431
      54
      359
      63
      65
      140
      157
      673
      679
      235
      79
      353
      502
      -79
      108
      -344
      511
      690
      -77
      -9
      85
      84
      978
      302
      589
      113
      386
      1,325
      -261
      -50
      -130
      -23
      38
      -121
      2
      8
      78
      15
      8
      69
      22
      137
      134
      -23
      2
      -14
      7
      25
      44
      40
      232
      8
      14
      14
      27
      15
      -35
      -71
      -70
      -185
      42
      29
      30
      112
       
       
      342
      3,158
       
      -1,628
      -566
      -1
      -121
      -1
       
       
      -551
      -1,053
       
      -251
      -143
       
       
      -5,462
      -759
      -1,702
      -278
      -1,980
      -786
      -59
      -1
      -846
       
      1
      7,790
      -1
       
      6,305
      -1
       
      39
      -139
      -30
       
      -10,626
      -298
      -8,126
      -2
       
      -7
      -970
      -124
      -1
      -1,095
       
      1,001
      7,019
       
      -1,980
      -3,418
      -269
      -3,687
       
       
      -846
      -1,593
      -67
      -1
      -1,661
       
       
      -1,095
      -28
      -136
      -163
       
       
       
      -3,490
      -3,451
      -3,687
      -1,164
      -184
      -1,348
       
       
       
       
      -1,216
      -1,426
      -84
      -1
       
      -1,661
      -352
      -30
      -1
      -381
      10,280
      -6,856
      -6,688
      -8,043
      -7,681
      -14,788
      -14,294
      -9
       
       
      -717
      -657
      1,375
      1,499
      5,200
      -117
      -1
      -45
      -73
       
      -463
       
      -2,646
      -2,544
      -26
      -542
      -469
      -2,104
      -1
       
       
      -997
       
      -1,460
      -1,443
      -163
      -205
      -73
      -279
       
       
      -2,376
      -1,348
      -164
       
       
       
      -654
      -381
      -32
      -1
      -1
       
       
       
      -830
      -279
      -74
       
      -5,671
      -5,607
      -5,910
      -5,726
      -11,318
      -10,541
      -13
      -1
      -337
      -2
      -3,722
      -3,617
      -777
      -716
      -2,802
      -6,208
      -6,598
      -8,121
      -8,431
      -19,541
      -12,931
       
      -528
       
      6,011
      6,289
      819
      858
      977
      1,056
      2,114
      2,193
      186
       
      719
      719
      1,275
      1,332
      5,055
      4
       
      1,744
      1,661
      3,199
      3,289
      12,105
      3,148,448
      194,024
      38,805
      108,654
2 Capital gain net income or (net capital loss) Bracket If gain, also enter in Part I, line 7
If (loss), enter -0- in Part I, line 7		 Bracket 2 3,132,194
3 Net short-term capital gain or (loss) as defined in sections 1222(5) and (6):
If gain, also enter in Part I, line 8, column (c) (see pages 13 and 17 of the instructions).
If (loss), enter -0- in Part I, line 8 . . . . . . . . . . . . . 		Bracket 3 3,200,382
Part V
Qualification Under Section 4940(e) for Reduced Tax on Net Investment Income
(For optional use by domestic private foundations subject to the section 4940(a) tax on net investment income.)

If section 4940(d)(2) applies, leave this part blank.
Was the foundation liable for the section 4942 tax on the distributable amount of any year in the base period?
If “Yes,” the foundation does not qualify under section 4940(e). Do not complete this part.
1 Enter the appropriate amount in each column for each year; see page 18 of the instructions before making any entries.
(a)
Base period years Calendar
year (or tax year beginning in) 		(b)
Adjusted qualifying distributions 		(c)
Net value of noncharitable-use assets 		(d)
Distribution ratio
(col. (b) divided by col. (c))
2010 2,717,081 40,296,725 0.06743
2009 1,744,199 18,336,223 0.09512
2008 1,695,941 11,570,363 0.14658
2007 822,065 869,701 0.94523
2006 123,220 505,947 0.24354
2 Total of line 1, column (d) ...................... 2 1.49790
3 Average distribution ratio for the 5-year base period—divide the total on line 2 by 5, or by
the number of years the foundation has been in existence if less than 5 years. . . 		3 0.29958
4 Enter the net value of noncharitable-use assets for 2011 from Part X, line 5..... 4 43,110,589
5 Multiply line 4 by line 3....................... 5 12,915,027
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 37,928
7 Add lines 5 and 6......................... 7 12,952,955
8 Enter qualifying distributions from Part XII, line 4.............. 8 1,584,114
If line 8 is equal to or greater than line 7, check the box in Part VI, line 1b, and complete that part using a 1% tax rate. See
the Part VI instructions on page 18.
Form 990-PF (2011)
Form 990-PF (2011)
Page 4
Part VI
Excise Tax Based on Investment Income (Section 4940(a), 4940(b), 4940(e), or 4948—see page 18 of the instructions)
1a Bulletand enter “N/A” on line 1. Bracket
Date of ruling or determination letter:   (attach copy of letter if necessary–see instructions)
b 1 75,855
hereBulletand enter 1% of Part I, line 27b...................
c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b)
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2  
3 Add lines 1 and 2............................ 3 75,855
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-). 4  
5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ..... 5 75,855
6 Credits/Payments:
a 2011 estimated tax payments and 2010 overpayment credited to 2011 6a 108,000
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c  
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 108,000
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. Click to see attachment 8  
9 Tax due. If the total of lines 5 and 8 is more than line 7, enter amount owed.......Bullet 9  
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10 32,145
11 Enter the amount of line 10 to be: Credited to 2012 estimated taxBullet32,145 Refunded Bullet 11  
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of
the instructions for definition)?............................
1b
 
No
If the answer is “Yes” to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$   (2) On foundation managers.bullet$  
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$  
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If “Yes,” attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If “Yes,” attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If “Yes,” has it filed a tax return on Form 990-T for this year?...................
4b
 
No
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If “Yes,” attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If “Yes,” complete Part II, col. (c), and Part XV.
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see page 19 of the
    instructions)bullet
    b
    If the answer is “Yes” to line 7, has the foundation furnished a copy of Form 990-PF to the Attorney
    General (or designate) of each state as required by General Instruction G? If “No,” attach explanation .
    8b
    Yes
     
    9
    Is the foundation claiming status as a private operating foundation within the meaning of section 4942(j)(3)
    or 4942(j)(5) for calendar year 2011 or the taxable year beginning in 2011 (see instructions for Part XIV on
    page 27)? If “Yes,” complete Part XIV..........................
    9
     
    No
    10
    Did any persons become substantial contributors during the tax year? If “Yes,” attach a schedule listing their names and addresses.
    10
     
    No
    11
    At any time during the year, did the foundation, directly or indirectly, own a controlled entity within the
    meaning of section 512(b)(13)? If "Yes," attach schedule. (see page 20 of the instructions) .......
    11
     
    No
    12
    Did the foundation acquire a direct or indirect interest in any applicable insurance contract before August 17, 2008?
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbulletwww.chasefoundation.com
    14
    The books are in care ofbulletJOHNATHAN L SHUMAN Telephone no.bullet (575) 748-1213
    Located atbullet512 W TEXAS AVEARTESIANM ZIP+4bullet88210
    15
    Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041.........bullet
    and enter the amount of tax-exempt interest received or accrued during the year ......bullet
    15  
    16
    At any time during calendar year 2011, did the foundation have an interest in or a signature or other authority over
    a bank, securities, or other financial account in a foreign country? .................
    16
     
    No
    See page 20 of the instructions for exceptions and filing requirements for Form TD F 90-22.1. If "Yes", enter the name of the foreign country bullet  
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 5
    Part VII-B
    Statements Regarding Activities for Which Form 4720 May Be Required
    File Form 4720 if any item is checked in the “Yes” column, unless an exception applies.
    Yes
    No
    1a
    During the year did the foundation (either directly or indirectly):
    (1) Engage in the sale or exchange, or leasing of property with a disqualified person?
    (2) Borrow money from, lend money to, or otherwise extend credit to (or accept it from)
    a disqualified person?.........................
    (3) Furnish goods, services, or facilities to (or accept them from) a disqualified person?
    (4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person?
    (5) Transfer any income or assets to a disqualified person (or make any of either available
    for the benefit or use of a disqualified person)?.................
    (6) Agree to pay money or property to a government official? (Exception. Check “No”
    if the foundation agreed to make a grant to or to employ the official for a period
    after termination of government service, if terminating within 90 days.).........
    b
    If any answer is “Yes” to 1a(1)–(6), did any of the acts fail to qualify under the exceptions described in Regulations
    section 53.4941(d)-3 or in a current notice regarding disaster assistance (see page 20 of the instructions)?...
    1b
     
    No
    .........bullet
    c
    Did the foundation engage in a prior year in any of the acts described in 1a, other than excepted acts,
    that were not corrected before the first day of the tax year beginning in 2011?.............
    1c
     
    No
    2
    Taxes on failure to distribute income (section 4942) (does not apply for years the foundation was a private
    operating foundation defined in section 4942(j)(3) or 4942(j)(5)):
    a
    At the end of tax year 2011, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2011?...............
    If “Yes,” list the years bullet20, 20, 20, 20
    b
    Are there any years listed in 2a for which the foundation is not applying the provisions of section 4942(a)(2)
    (relating to incorrect valuation of assets) to the year’s undistributed income? (If applying section 4942(a)(2)
    to all years listed, answer “No” and attach statement—see page 20 of the instructions.) .........
    2b
     
    No
    c
    If the provisions of section 4942(a)(2) are being applied to any of the years listed in 2a, list the years here.
    bullet20, 20, 20, 20
    3a
    Did the foundation hold more than a 2% direct or indirect interest in any business
    enterprise at any time during the year?.....................
    b
    If “Yes,” did it have excess business holdings in 2011 as a result of (1) any purchase by the foundation
    or disqualified persons after May 26, 1969; (2) the lapse of the 5-year period (or longer period approved
    by the Commissioner under section 4943(c)(7)) to dispose of holdings acquired by gift or bequest; or (3)
    the lapse of the 10-, 15-, or 20-year first phase holding period? (Use Schedule C, Form 4720, to determine
    if the foundation had excess business holdings in 2011.)....................
    3b
     
    No
    4a
    Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes?
    4a
     
    No
    b
    Did the foundation make any investment in a prior year (but after December 31, 1969) that could jeopardize its
    charitable purpose that had not been removed from jeopardy before the first day of the tax year beginning in 2011?
    4b
     
    No
    5a
    During the year did the foundation pay or incur any amount to:
    (1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e))?
    (2) Influence the outcome of any specific public election (see section 4955); or to carry
    on, directly or indirectly, any voter registration drive?...............
    (3) Provide a grant to an individual for travel, study, or other similar purposes?
    (4) Provide a grant to an organization other than a charitable, etc., organization described
    in section 509(a)(1), (2), or (3), or section 4940(d)(2)? (see page 22 of the instructions)...
    (5) Provide for any purpose other than religious, charitable, scientific, literary, or
    educational purposes, or for the prevention of cruelty to children or animals?........
    b
    If any answer is “Yes” to 5a(1)–(5), did any of the transactions fail to qualify under the exceptions described in
    Regulations section 53.4945 or in a current notice regarding disaster assistance (see page 22 of the instructions)?
    5b
     
    No
    .........bullet
    c
    If the answer is “Yes” to question 5a(4), does the foundation claim exemption from the
    tax because it maintained expenditure responsibility for the grant?............
    If “Yes,” attach the statement required by Regulations section 53.4945–5(d).
    6a
    Did the foundation, during the year, receive any funds, directly or indirectly, to pay
    premiums on a personal benefit contract?....................
    b
    Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract?....
    6b
     
    No
    If “Yes” to 6b, file Form 8870.
    7a
    At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction?
    b
    If yes, did the foundation receive any proceeds or have any net income attributable to the transaction? ....
    7b
     
    No
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 6
    Part VIII
    Information About Officers, Directors, Trustees, Foundation Managers, Highly Paid Employees,
    and Contractors
    1 List all officers, directors, trustees, foundation managers and their compensation (see page 22 of the instructions).
    (a) Name and address (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation
     (If not paid, enter
    -0-)     		(d) Contributions to
    employee benefit plans
    and deferred compensation     		(e) Expense account,
    other allowances
    JPMORGAN CHASE BANK NA AGENT
    0.00     		0    
    PO BOX 3038
    MILWAUKEE,WI53201
    JOHNNY KNORR ADVISOR
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    KARLA CHASE ADVISOR
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    RICHARD CHASE ADVISOR
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    DEB CHASE ADVISOR
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    ROBERT CHASE ADVISOR
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    GERENE FURGUSON ADVISOR
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    MARILYN CHASE ADVISOR
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    RICHARD PRICE Executive Direc
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    MACK C CHASE TRUSTEE & ADVIS
    0.00     		0    
    510 W TEXAS AVE
    ARTESIA,NM88210
    2 Compensation of five highest-paid employees (other than those included on line 1—see page 23 of the instructions).
    If none, enter “NONE.”
    (a) Name and address of each employee paid more than $50,000 (b) Title, and average
    hours per week
    devoted to position     		(c) Compensation (d) Contributions to
    employee benefit
    plans and deferred
    compensation     		(e) Expense account,
    other allowances
    NONE
    Total number of other employees paid over $50,000...................bullet  
    3 Five highest-paid independent contractors for professional services (see page 23 of the instructions). If none, enter "NONE".
    (a) Name and address of each person paid more than $50,000 (b) Type of service (c) Compensation
    NONE
    Total number of others receiving over $50,000 for professional services.............bullet  
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1
     
    2  
    3  
    4  
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 7
    Part IX-B
    Summary of Program-Related Investments (see page 23 of the instructions)
    Describe the two largest program-related investments made by the foundation during the tax year on lines 1 and 2. Amount
    1  
    2  
    All other program-related investments. See page 24 of the instructions.
    3  
    Total. Add lines 1 through 3..........................bullet  
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,
    see page 24 of the instructions.)
    1
    Fair market value of assets not used (or held for use) directly in carrying out charitable, etc.,
    purposes:
    a
    Average monthly fair market value of securities...................
    1a
    42,821,943
    b
    Average of monthly cash balances.......................
    1b
    945,152
    c
    Fair market value of all other assets (see page 24 of the instructions)............
    1c
    0
    d
    Total (add lines 1a, b, and c).........................
    1d
    43,767,095
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
    0
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
    43,767,095
    4
    Cash deemed held for charitable activities. Enter 1 1⁄2% of line 3 (for greater amount, see page 25
    of the instructions) ...........................
    4
    656,506
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
    43,110,589
    6
    Minimum investment return. Enter 5% of line 5..................
    6
    2,155,529
    Part XI
    Distributable Amount bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    2,155,529
    2a
    Tax on investment income for 2011 from Part VI, line 5......
    2a
    75,855
    b
    Income tax for 2011. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    75,855
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    2,079,674
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
    2,079,674
    6
    Deduction from distributable amount (see page 25 of the instructions)...........
    6
     
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
    2,079,674
    Part XII
    Qualifying Distributions (see page 25 of the instructions)
    1
    Amounts paid (including administrative expenses) to accomplish charitable, etc., purposes:
    a
    Expenses, contributions, gifts, etc.—total from Part I, column (d), line 26 ..........
    1a
    1,584,114
    b
    Program-related investments—total from Part IX-B..................
    1b
     
    2
    Amounts paid to acquire assets used (or held for use) directly in carrying out charitable, etc.,
    purposes...............................
    2
     
    3
    Amounts set aside for specific charitable projects that satisfy the:
    a
    Suitability test (prior IRS approval required)....................
    3a
     
    b
    Cash distribution test (attach the required schedule) .................
    3b
     
    4
    Qualifying distributions. Add lines 1a through 3b. Enter here and on Part V, line 8, and Part XIII, line 4
    4
    1,584,114
    5
    Foundations that qualify under section 4940(e) for the reduced rate of tax on net investment
    income. Enter 1% of Part I, line 27b (see page 26 of the instructions)............
    5
     
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
    1,584,114
    Note: The amount on line 6 will be used in Part V, column (b), in subsequent years when calculating whether the foundation qualifies for
    the section 4940(e) reduction of tax in those years.
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 8
    Part XIII
    Undistributed Income (see page 26 of the instructions)
    (a)
    Corpus     		(b)
    Years prior to 2010     		(c)
    2010     		(d)
    2011
    1 Distributable amount for 2011 from Part XI, line 7 2,079,674
    2 Undistributed income, if any, as of the end of 2011:
    a Enter amount for 2010 only.......  
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2011:
    a From 2006....... 120,393
    b From 2007....... 778,866
    c From 2008....... 1,166,138
    d From 2009....... 1,139,437
    e From 2010....... 1,186,403
    fTotal of lines 3a through e......... 4,391,237
    4Qualifying distributions for 2011 from Part
    XII, line 4: bullet$ 1,584,114
    a Applied to 2010, but not more than line 2a  
    b Applied to undistributed income of prior years
    (Election required—see page 26 of the instructions)    		  
    c Treated as distributions out of corpus (Election
    required—see page 26 of the instructions)...     		0
    d Applied to 2011 distributable amount..... 1,584,114
    e Remaining amount distributed out of corpus  
    5 Excess distributions carryover applied to 2011. 495,560 495,560
    (If an amount appears in column (d), the
    same amount must be shown in column (a).)
    6Enter the net total of each column as
    indicated below:
    a Corpus. Add lines 3f, 4c, and 4e. Subtract line 5 3,895,677
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ...........     		 
    c Enter the amount of prior years’ undistributed
    income for which a notice of deficiency has
    been issued, or on which the section 4942(a)
    tax has been previously assessed......     		 
    d Subtract line 6c from line 6b. Taxable
    amount—see page 27 of the instructions ...     		 
    e Undistributed income for 2010. Subtract line
    4a from line 2a. Taxable amount—see page 27
    of the instructions ...........     		 
    f Undistributed income for 2011. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2011 ..........     		0
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see page 27
    of the instructions) ...........     		 
    8Excess distributions carryover from 2006 not
    applied on line 5 or line 7 (see page 27 of the
    instructions) .............     		 
    9Excess distributions carryover to 2012.
    Subtract lines 7 and 8 from line 6a ......     		3,895,677
    10 Analysis of line 9:
    a Excess from 2007.... 403,699
    b Excess from 2008.... 1,166,138
    c Excess from 2009.... 1,139,437
    d Excess from 2010.... 1,186,403
    e Excess from 2011....  
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 9
    Part XIV
    Private Operating Foundations (see page 27 of the instructions and Part VII-A, question 9)
    1a If the foundation has received a ruling or determination letter that it is a private operating
    foundation, and the ruling is effective for 2011, enter the date of the ruling.......bullet
     
    b Check box to indicate whether the organization is a private operating foundation described in section or
    2a Enter the lesser of the adjusted net
    income from Part I or the minimum
    investment return from Part X for each
    year listed ..........     		Tax year Prior 3 years (e) Total
    (a) 2011 (b) 2010 (c) 2009 (d) 2008
             
    b 85% of line 2a .........          
    c Qualifying distributions from Part XII,
    line 4 for each year listed .....     		         
    d Amounts included in line 2c not used directly
    for active conduct of exempt activities ....     		         
    e Qualifying distributions made directly
    for active conduct of exempt activities.
    Subtract line 2d from line 2c ....     		         
    3 Complete 3a, b, or c for the
    alternative test relied upon:
    a “Assets” alternative test—enter:
    (1) Value of all assets ......          
    (2) Value of assets qualifying
    under section 4942(j)(3)(B)(i)    		          
    b “Endowment” alternative test— enter 2⁄3
    of minimum investment return shown in
    Part X, line 6 for each year listed...     		         
    c “Support” alternative test—enter:
    (1) Total support other than gross
    investment income (interest,
    dividends, rents, payments
    on securities loans (section
    512(a)(5)), or royalties) ....     		         
    (2) Support from general public
    and 5 or more exempt
    organizations as provided in
    section 4942(j)(3)(B)(iii)....     		         
    (3) Largest amount of support
    from an exempt organization    		          
    (4) Gross investment income          
    Part XV
    Supplementary Information (Complete this part only if the organization had $5,000 or more in
    assets at any time during the year—see page 27 of the instructions.)
    1Information Regarding Foundation Managers:
    aList any managers of the foundation who have contributed more than 2% of the total contributions received by the foundation
    before the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2).)
    bList any managers of the foundation who own 10% or more of the stock of a corporation (or an equally large portion of the
    ownership of a partnership or other entity) of which the foundation has a 10% or greater interest.
    2Information Regarding Contribution, Grant, Gift, Loan, Scholarship, etc., Programs:
    Check here bullet
    aThe name, address, and telephone number of the person to whom applications should be addressed:
    CHASE FOUNDATION
    510 W TEXAS AVE
    ARTESIA,NM88210
    (575) 746-4610
    bThe form in which applications should be submitted and information and materials they should include:
    SEE SCHOLARSHIP APPLICATION FORMS AT WWW.CHASEFOUNDATION.COM
    cAny submission deadlines:
    BEGINS APRIL 2, 2010 FOR 2010 SCHOLARSHIP GRANTS ENDS APRIL
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    GRADUATING SENIOR AT ARTESIA NM HIGH SCHOOL AND PRIOR AWARD RECIPIENTS
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 10
    Part XV
    Supplementary Information (continued)
    3 Grants and Contributions Paid During the Year or Approved for Future Payment
    Recipient If recipient is an individual,
    show any relationship to
    any foundation manager
    or substantial contributor
    		 Foundation
    status of
    recipient     		Purpose of grant or
    contribution     		Amount
    Name and address (home or business)
    aPaid during the year
    LEADERSHIP NEW MEXICO
    PO BOX 35696
    ALBUQUERQUE,NM87176     		NONE NO PROGRAM SUPPORT 1,500
    TOBOSA DEVELOPMENT SERVICES
    110 EAST SUMMIT
    ROSWELL,NM88203     		NONE NO LOS PASITOS CARE CENTER - FURNISHINGS 500
    REINS FOR LIFE
    370 CADDO RD
    DEXTER,NM88230     		NONE NO PROGRAM SUPPORT 10,000
    FIRST TEE OF PECOS VALLEY
    201 W 19TH ST
    ROSWELL,NM88201     		NONE NO PROGRAM SUPPORT 2,500
    ESPARANZA HOUSE
    PO BOX 454
    ARTESIA,NM88210     		NONE NO PROGRAM SUPPORT - EQUIPMENT 10,000
    NEW MEXICO STATE UNIVERSITY
    PO BOX 30001 MSC 5278
    LAS CRUCES,NM88003     		NONE NO STUDENT MENTORING 4,000
    OCU
    2501 N BLACKWELDER
    OKLAHOMA CITY,OK73106     		NONE NO PROGRAM SUPPORT 2,500
    CARLSBAD PUBLIC SCHOOLS
    408 N CANYON STREET
    CARLSBAD,NM88221     		NONE NO CARLSBAD HIGH SCHOOL GOLF 500
    NMJC FOUNDATION
    5317 N LOVINGTON HIGHWAY
    HOBBS,NM88240     		NONE YES SCHOLARSHIP SPONSOR 500
    ARTESIA YOUTH BASEBALL
    PO BOX 1108
    ARTESIA,NM88211     		NONE NO FACILITY IMPROVEMENTS 10,000
    LEADERSHIP NEW MEXICO
    PO BOX 35696
    ALBUQUERQUE,NM87176     		NONE NO PROGRAM SUPPORT 2,500
    KAIROS
    322 W GRAND
    ARTESIA,NM88210     		NONE NO PRISON MINISTRY 2,000
    EDDY COUNTY 4-H COUNCIL
    1304 W STEVENS
    CARLSBAD,NM88220     		NONE NO KIDS & COWS & MORE 2,000
    EDDY COUNTY 4-H COUNCIL
    1304 W STEVENS
    CARLSBAD,NM88220     		NONE NO PROGRAM SUPPORT 500
    CARLSBAD COMMUNITY FOUNDATION
    116 S CANYON
    CARLSBAD,NM88220     		NONE YES NATIONAL ENVIRONMENTAL EDUCATION WEEK 2,100
    CITY OF ARTESIA
    PO BOX 1310
    ARTESIA,NM88211     		NONE NO AVTC CHANNEL 6 PROJECT 25,000
    ST VINCENT DE PAUL SOCIETY
    603 S ROSELAWN
    ARTESIA,NM88210     		NONE NO FOOD & EMERGENCY ASSISTANCE 6,000
    NM TECH ENGINEERING DEPT
    MSED 300A 801 LEROY PLACE
    SOCORRO,NM87801     		NONE NO PEPTROLEUM DEPARTMENT 1,000
    GREATER ARTESIA FOUNDATION
    105 S 4TH STREET
    ARTESIA,NM88210     		NONE NO GRANT: RIDE FOR BIKES 500
    GREATER ARTESIA FOUNDATION
    105 S 4TH STREET
    ARTESIA,NM88210     		NONE NO GRANT: SENIOR SALUTE HIGH SCHOOL 5,000
    DOOR OF OPPORTUNITY INC
    108 S 14TH STREET
    ARTESIA,NM88210     		NONE NO GRANT: SPECIAL OLYMPICS 7,500
    NEW MEXICO STATE UNIVERSITY
    PO BOX 3590
    LAS CRUCES,NM88003     		NONE NO MENTORING PROGRAM 3,000
    CASA
    118 W MERMOD
    CARLSBAD,NM88220     		NONE NO FOSTER CARE PROGRAM SUPPORT 1,000
    SHERIDAN ROTARY FOUNDATION
    PO BOX 997
    SHERIDAN,WY82801     		NONE NO WOUNDED WARRIORS 2,500
    CITY OF ARTESIA FIREFIGHTERS CHALLE
    PO BOX 1310
    ARTESIA,NM88211     		NONE NO FIRE FIGHTERS 5,000
    GEORGE W BUSH FOUNDATION
    6116 N CENTRAL EXPRESSWAY
    DALLAS,TX75206     		NONE YES PROGRAM SUPPORT 125,000
    NM POLICE ATHLETIC LEAGUE
    2704 GIRARD BLVD
    ALBUQUERQUE,NM87107     		NONE NO PORGRAM SUPPORT 2,500
    TAPS
    10657 E IDA AVE
    ENGLWOOD,CO80111     		NONE NO PROGRAM SUPPORT 5,000
    PERMIAN BASIN OILMAN'S BASS
    PO BOX 51910
    MIDLAND,TX79710     		NONE NO OILMAN'S BASS 500
    BRANTLEY LAKE FRIENDS GROUP
    PO BOX 2288
    CARLSBAD,NM88211     		NONE NO KIDS FISHING CLINIC 500
    CARLSBAD COMMUNITY FOUNDATION
    208 DICKSON LANE
    CARLSBAD,NM88221     		NONE YES CARLSBAD SENIOR SALUTE 500
    WAYLAND BAPTIST UNIVERSITY
    1900 W 17TH STREET
    PLAINVIEW,TX79072     		NONE NO PROGRAM SUPPORT 6,000
    HABITAT FOR HUMANITY
    PO BOX 686
    ARTESIA,NM88210     		NONE NO PROGRAM SUPPORT 137,000
    ARTESIA PUBLIC SCHOOLS
    1106 W QUAY AVE
    ARTESIA,NM88210     		NONE NO GRANT: FFA PROGRAM 2,000
    SAN SABA COUNTY EMERGENCY MEDICAL
    607 EAST COMMERCE STREET
    SAN SABA,TX76877     		NONE NO GRANT: EMT PROGRAM 8,000
    VALLEY CHRISTIAN ACADEMY INC
    505 NORTH SYCAMORE AVENUE
    ROSWELL,NM88201     		NONE NO GRANT: BUILDING A FUTURE CAMPAIGN 50,000
    ARTESIA PUBLIC SCHOOLS
    1106 W QUAY AVE
    ARTESIA,NM88210     		NONE NO GRANT: BULLDOG BOWLING PROGRAM 5,000
    ARTESIA PUBLIC SCHOOLS
    1106 W QUAY AVE
    ARTESIA,NM88210     		NONE NO GRANT: MACK ATHLETIC SCHOLARSHIPS 40,000
    ARTESIA PUBLIC SCHOOLS
    1106 W QUAY AVE
    ARTESIA,NM88210     		NONE NO GRANT: HIGH SCHOOL GOLF TEAM 3,000
    ARTESIA PUBLIC SCHOOLS
    1106 W QUAY AVE
    ARTESIA,NM88210     		NONE NO GRANT: TENNIS TEAM 500
    NEW MEXICO COMMUNITY FOUNDATION
    343 E ALAMEDA
    SANTA FE,NM87501     		NONE NO GRANT: CHASE FOUNDATION SCHOLARSHIP FUND 854,000
    GREATER ARTESIA FOUNDATION
    105 S 4TH STREET
    ARTESIA,NM88210     		NONE NO GRANT: DRUG & CRIME COALITION 5,500
    DOOR OF OPPORTUNITY INC
    108 S 14TH STREET
    ARTESIA,NM88210     		NONE NO GRANT: MEALS ON WHEELS 2,500
    BIG BROTHERS BIG SISTERS OF THE PEC
    2001 W 1ST STREET
    ROSWELL,NM88203     		NONE NO GRANT: PROGRAM 5,000
    Total .................................bullet 3a 1,360,100
    bApproved for future payment
    Total .................................bullet 3b  
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 11
    Part XVI-A
    Analysis of Income-Producing Activities
    Enter gross amounts unless otherwise indicated. Unrelated business income Excluded by section 512, 513, or 514 (e)
    Related or exempt
    function income
    (See page 28 of
    the instructions.)
    1Program service revenue: (a)
    Business code     		(b)
    Amount     		(c)
    Exclusion code     		(d)
    Amount
    a
    b
    c
    d
    e
    f
    gFees and contracts from government agencies          
    2 Membership dues and assessments....          
    3Interest on savings and temporary cash investments     14 125,487  
    4 Dividends and interest from securities....     14 933,038  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6Net rental income or (loss) from personal property          
    7 Other investment income.....     14 30,123  
    8Gain or (loss) from sales of assets other than inventory         3,132,194
    9 Net income or (loss) from special events:          
    10 Gross profit or (loss) from sales of inventory..          
    11 Other revenue: a
    b
    c
    d
    e
    12 Subtotal. Add columns (b), (d), and (e)..   1,088,648 3,132,194
    13Total. Add line 12, columns (b), (d), and (e)..................
    134,220,842
    (See worksheet in line 13 instructions on page 28 to verify calculations.)
    Part XVI-B
    Relationship of Activities to the Accomplishment of Exempt Purposes
    Line No.
    DownArrow     		Explain below how each activity for which income is reported in column (e) of Part XVI-A contributed importantly to
    the accomplishment of the organization’s exempt purposes (other than by providing funds for such purposes). (See
    page 28 of the instructions.)
    Form 990-PF (2011)
    Form 990-PF (2011)
    Page 12
    Part XVII
    Information Regarding Transfers To and Transactions and Relationships With Noncharitable Exempt Organizations
    1
    Did the organization directly or indirectly engage in any of the following with any other organization described in section
    Yes
    No
    501(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political organizations?
    a
    Transfers from the reporting foundation to a noncharitable exempt organization of:
    (1) Cash...................................
    1a(1)
     
    No
    (2) Other assets.................................
    1a(2)
     
    No
    b
    Other transactions:
    (1) Sales of assets to a noncharitable exempt organization....................
    1b(1)
     
    No
    (2) Purchases of assets from a noncharitable exempt organization..................
    1b(2)
     
    No
    (3) Rental of facilities, equipment, or other assets.......................
    1b(3)
     
    No
    (4) Reimbursement arrangements...........................
    1b(4)
     
    No
    (5) Loans or loan guarantees.............................
    1b(5)
     
    No
    (6) Performance of services or membership or fundraising solicitations................
    1b(6)
     
    No
    c
    Sharing of facilities, equipment, mailing lists, other assets, or paid employees..............
    1c
     
    No
    d
    If the answer to any of the above is “Yes,” complete the following schedule. Column (b) should always show the fair market value
    of the goods, other assets, or services given by the reporting foundation. If the foundation received less than fair market value
    in any transaction or sharing arrangement, show in column (d) the value of the goods, other assets, or services received.
    (a) Line No. (b) Amount involved (c) Name of noncharitable exempt organization (d) Description of transfers, transactions, and sharing arrangements
    2a
    Is the foundation directly or indirectly affiliated with, or related to, one or more tax-exempt organizations
    described in section 501(c) of the Code (other than section 501(c)(3)) or in section 527?...........
    b
    If “Yes,” complete the following schedule.
    (a) Name of organization (b) Type of organization (c) Description of relationship
    SignHere
    Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than taxpayer or fiduciary) is based on all information of which preparer has any knowledge.
    Bullet Bullet
    Signature of officer or trustee Date Title
    PaidPreparersUseOnly Preparer's SignatureBullet Date PTIN
    Firm's namebullet



    Firm's addressbullet







         		Firm's EINbullet
    Phone no.
    Form 990-PF (2011)
    Additional Data


    Software ID: 11000144
    Software Version: 2011v1.2


    Form 990PF - Special Condition Description:
    Special Condition Description
    Schedule B
    (Form 990, 990-EZ,
    or 990-PF)
    Department of the Treasury
    Internal Revenue Service
    Schedule of Contributors
    Arrow Bullet Attach to Form 990, 990-EZ, or 990-PF.
    OMB No. 1545-0047
    2011
    Name of organization
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    Employer identification number

    36-7466258
    Organization type (check one):
    Filers of:
    Section:
    Form 990 or 990-EZ





    Form 990-PF




    Check if your organization is covered by the General Rule or a Special Rule.  
    Note. Only a section 501(c)(7), (8), or (10) organization can check boxes for both the General Rule and a Special Rule. See instructions.
    General Rule
    Special Rules
    ......................... Arrow Bullet   $    
    Caution. An Organization that is not covered by the General Rule and/or the Special Rules does not file Schedule B (Form 990,
    990-EZ, or 990-PF), but it must answer “No” on Part IV, line 2, of its Form 990; or check the box on line H of its
    Form 990-EZ or on Part I, line 2, of its Form 990-PF, to certify that it does not meet the filing requirements of Schedule B (Form 990,
    990-EZ, or 990-PF).
    For Paperwork Reduction Act Notice, see the Instructions
    for Form 990, 990-EZ, or 990-PF.
    Cat. No. 30613XSchedule B (Form 990, 990-EZ, or 990-PF) (2011)

    Page 2
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
    Name of organization
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE         		Employer identification number

    36-7466258
    Part I
    Contributors (see Instructions). Use duplicate copies of Part I if additional space is needed.
    		     
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
    1
     
     

    FIVE STAR PIPE EQUIPMENT CO INC    
    1912 S COUNTY ROAD 1085
       
    MIDLAND, TX   797065303

    		$5,000




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     

         
     
       

    		$  




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     

         
     
       

    		$  




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     

         
     
       

    		$  




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     

         
     
       

    		$  




    (Complete Part II if there is a noncash contribution.)
    (a)
    No.    		 (b)
    Name, address, and ZIP + 4    		 (c)
    Total contributions    		 (d)
    Type of contribution
     
     
     

         
     
       

    		$  




    (Complete Part II if there is a noncash contribution.)
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

    Page 3
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
    Name of organization
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE         		Employer identification number

    36-7466258
    Part II
    Noncash Property (see Instructions). Use duplicate copies of Part II if additional space is needed.
    		     
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    (a) No.
    from
    Part I    		 (b)
    Description of noncash property given    		 (c)
    FMV (or estimate)
    (see instructions).     		(d)
    Date received
     
    		$    
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

    Page 4
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)
    Name of organization
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE         		Employer identification number

    36-7466258
    Part III
    Exclusively religious, charitable, etc., individual contributions to section 501(c)(7), (8), or (10) organizations
    that total more than $1,000 for the year. Complete columns (a) through (e) and the following line entry.
    For organizations completing Part III, enter the total of exclusively religious, charitable, etc.,
    contributions of $1,000 or less for the year. (Enter this information once. See instructions.) Arrow Bullet $  
    Use duplicate copies of Part III if additional space is needed
    (a) No.
    from
    Part I    		 (b)
    Purpose of gift    		 (c)
    Use of gift    		 (d)
    Description of how gift is held
     
    (e)
    Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b)
    Purpose of gift    		 (c)
    Use of gift    		 (d)
    Description of how gift is held
     
    (e)
    Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b)
    Purpose of gift    		 (c)
    Use of gift    		 (d)
    Description of how gift is held
     
    (e)
    Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    (a) No.
    from
    Part I    		 (b)
    Purpose of gift    		 (c)
    Use of gift    		 (d)
    Description of how gift is held
     
    (e)
    Transfer of gift
    Transferee's name, address, and ZIP 4 Relationship of transferor to transferee
     
     
           
     
    Schedule B (Form 990, 990-EZ, or 990-PF) (2011)

    Additional Data


    Software ID: 11000144
    Software Version: 2011v1.2

    TY 2011 AccountingFeesSchedule
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ACCOUNTING - TAX PREPARATION 9,851 0 0 9,851

    Note: To capture the full content of this document, please select landscape mode (11" x 8.5") when printing.

    TY 2011 DepreciationSchedule
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Description of Property Date Acquired Cost or Other Basis Prior Years' Depreciation Computation Method Rate /
    Life (# of years)    		 Current Year's Depreciation Expense Net Investment Income Adjusted Net Income Cost of Goods Sold Not Included
    COMPUTER EQUIPMENT 2011-09-01 2,161   91 5.0000 144      
    OFFICE FURNITURE 2011-05-18 2,547   91 5.0000 297      
    OFFICE FURNITURE 2010-02-28 15,422 2,570 91 5.0000 3,084      
    HVAC 2010-05-12 10,434 994 91 7.0000 1,491      
    COMPUTER EQUIPMENT 2008-12-11 64 27 91 5.0000 13      
    OFFICE BUILDING - GLASS 2008-12-02 4,730 252 91 39.0000 121      
    COMPUTER EQUIPMENT 2008-12-02 64 27 91 5.0000 13      
    OFFICE FURNITURE 2008-11-12 146 32 91 10.0000 15      
    OFFICE EQUIPMENT 2008-11-12 331 102 91 7.0000 47      
    COMPUTER EQUIPMENT 2008-10-14 86 38 91 5.0000 17      
    BUILDING 2008-09-09 4,938 296 91 39.0000 127      
    OFFICE FURNITURE - CARPET 2008-08-04 406 99 91 10.0000 41      
    OFFICE FURNITURE 2008-02-06 1,696 495 91 10.0000 170      
    OFFICE FURNITURE 2008-01-10 529 159 91 10.0000 53      
    TELEPHONE EQUIPMENT 2006-12-15 10,571 8,720 91 5.0000 1,851      
    PRINTER 2006-12-15 1,140 941 91 5.0000 199      
    COMPUTER EQUIPMENT 2007-07-10 71 49 91 5.0000 14      
    OFFICE FURNITURE 2006-12-15 4,734 1,951 91 10.0000 473      
    OFFICE FURNITURE 2007-11-19 143 43 91 10.0000 14      
    OFFICE FURNITURE 2007-11-08 714 225 91 10.0000 71      
    OFFICE FURNITURE 2007-09-20 3,780 1,229 91 10.0000 378      
    OFFICE FURNITURE 2007-09-10 446 150 91 10.0000 45      
    OFFICE FURNITURE 2007-06-04 1,082 387 91 10.0000 108      
    OFFICE FURNITURE 2007-05-24 1,267 455 91 10.0000 127      
    OFFICE BUILDING 2006-10-01 171,000 21,925 91 39.0000 4,385      

    TY 2011 InvestmentsCorpBondsSchedule
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Name of Bond End of Year Book Value End of Year Fair Market Value
    GOLDMAN SACHS - GSAM: TAXABLE 3,107,722 3,248,748
    MERRILL LYNCH - 7EG-02045 1,838,220 1,874,821
    MERRILL LYNCH - 7EG-04044 2,544,709 2,636,981

    TY 2011 InvestmentsCorpStockSchedule
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Name of Stock End of Year Book Value End of Year Fair Market Value
    GOLDMAN SACHS - GSAM: LCG 627,344 616,808
    GOLDMAN SACHS - DIAMOND HILL 647,287 658,622
    GOLDMAN SACHS - YACKTMAN 509,928 525,900
    GOLDMAN SACHS - GANNETT WELSH 244,132 249,216
    GOLDMAN SACHS - LORD ABBETT 339,040 308,320
    GOLDMAN SACHS - ADVISORY BROKERAGE 771,179 705,533
    GOLDMAN SACHS - BROKERAGE 1,912,687 1,867,922
    MERRILL LYNCH - 7EG-02019 750,007 750,149
    MERRILL LYNCH - 7EG-02043 801,315 705,943
    MERRILL LYNCH - 7EG-02042 21,552,411 20,519,982
    MERRILL LYNCH - 7EG-02041 10,965 2,344,248

    TY 2011 InvestmentsOtherSchedule2
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    QSI HOLDINGS, L.P. AT COST 429,561 429,561
    PENNYBACKER II, LP AT COST 205,492 205,492
    ENCAP ENERGY CAPITAL FUND AT COST 647,267 647,267
    MERRILL LYNCH - 7EG-02040 AT COST 3,600,285 3,545,987

    TY 2011 LandEtcSchedule2
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value
    Miscellaneous 11,932 11,869 63 63
    Land 19,000   19,000 19,000
    Buildings 191,102 29,591 161,511 161,511
    Furniture and Fixtures 35,468 13,004 22,464 22,464


    TY 2011 LegalFeesSchedule
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    PROGRAM CONSULTATION 33,487 0 0 33,487


    TY 2011 OtherExpensesSchedule
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    UTILITIES 3,236     3,236
    TELEPHONE 9,014     9,014
    SUPPLIES 5,453     5,453
    STUDENTS 4 SUCCESS 973     973
    STORAGE 383     383
    SPONSORSHIPS 20,900     20,900
    SCHOLARSHIP RECEPTIONS 16,688     16,688
    SCHOLARSHIP MENTORING PROGRAMS 504     504
    POSTAGE 404     404
    OFFICE SUPPLIES 6,918     6,918
    MEETINGS 672     672
    MARKETING 6,789     6,789
    MAINTENANCE AND REPAIR 4,356     4,356
    INVESTMENT FEES 134,563 134,563    
    INSURANCE 2,474     2,474
    EDUCATIONAL GUIDE 1,128     1,128
    DUES AND SUBSCRIPTIONS 1,787     1,787
    COPIER LEASES 5,113     5,113
    COMMUNITY SERVICE 28,874     28,874
    AUTOMOBILE EXPENSES 7,621     7,621
    ADVERTISING 5,050     5,050


    TY 2011 OtherIncomeSchedule2
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    Other Investment Income 30,123 30,123 30,123


    TY 2011 TaxesSchedule
    Name:
    CHASE FOUNDATION
    MACK C CHASE TRUSTEE
    EIN: 36-7466258
    Software ID:11000144
    Software Version:2011v1.2
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    SECTION 4940 TAX 290,791 290,791    
    PAYROLL TAXES 5,433     5,433
    FORIEGN TAXES 2,737 2,737