Form990-PF

Department of the Treasury
Internal Revenue Service
Return of Private Foundation
or Section 4947(a)(1) Trust Treated as Private Foundation
bulletDo not enter Social Security numbers on this form as it may be made public. By law, the IRS cannot redact the information on the form.
bulletInformation about Form 990-PF and its instructions is at www.irs.gov/form990pf.
OMB No. 1545-0052
2013
Open to Public Inspection
For calendar year 2013, or tax year beginning 01-01-2013 , and ending 12-31-2013
Name of foundation
EA Morris Charitable Foundation
 

Number and street (or P.O. box number if mail is not delivered to street address)3802 Swarthmore Road   Room/suite
City or town, state or province, country, and ZIP or foreign postal code
Durham, NC27707
A Employer identification number

58-1413060
B Telephone number (see instructions)

(919) 403-9498
C bullet
G Check all that apply:

D 1. bullet
2. bullet
E bullet
H Check type of organization:
I Fair market value of all assets at end
of year (from Part II, col. (c),
line 16)bullet$12,798,140J Accounting method:
 
(Part I, column (d) must be on cash basis.)
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 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)  
2 Check bullet
3 Interest on savings and temporary cash investments      
4 Dividends and interest from securities...... 314,553 314,553  
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 897,715
b Gross sales price for all assets on line 6a 7,240,197
7 Capital gain net income (from Part IV, line 2)... 897,715
8 Net short-term capital gain.........  
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 4,179 4,179  
12 Total. Add lines 1 through 11........ 1,216,447 1,216,447  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc. 177,167 8,859   8,859
14 Other employee salaries and wages......        
15 Pension plans, employee benefits....... 28,530 0   0
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule).......        
c Other professional fees (attach schedule)....        
17 Interest...............        
18 Taxes (attach schedule) (see instructions) Click to see attachment 5,125 5,116   0
19 Depreciation (attach schedule) and depletion... Click to see attachment 191 0  
20 Occupancy.............. 3,240 0   0
21 Travel, conferences, and meetings....... 644 0   0
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see attachment 99,134 96,526   0
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 314,031 110,501   8,859
25 Contributions, gifts, grants paid........ 505,000 505,000
26 Total expenses and disbursements. Add lines 24 and 25 819,031 110,501   513,859
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 397,416
b Net investment income (if negative, enter -0-) 1,105,946
c Adjusted net income (if negative, enter -0-)...  
For Paperwork Reduction Act Notice, see instructions.
Cat. No. 11289X Form 990-PF (2013)
Form 990-PF (2013)
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............... 19,750 70,678 70,678
2 Savings and temporary cash investments.......... 628,346 1,254,441 1,254,441
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 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) 1,432,676 Click to see attachment1,389,677 1,329,586
b Investments—corporate stock (attach schedule)........ 8,755,449 Click to see attachment8,519,385 9,379,993
c Investments—corporate bonds (attach schedule)........ 687,728 Click to see attachment699,201 699,942
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)........... 60,752 Click to see attachment60,752 62,928
14 Land, buildings, and equipment: basis bullet958
Less: accumulated depreciation (attach schedule) bullet386 763 Click to see attachment572 572
15 Other assets (describe bullet) Click to see attachment11,826 Click to see attachment0 Click to see attachment0
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 11,597,290 11,994,706 12,798,140
Liabilities 17 Accounts payable and accrued expenses..........    
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).......... 0 0
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......... 4,474,067 4,474,067
28 Paid-in or capital surplus, or land, bldg., and equipment fund 0 0
29 Retained earnings, accumulated income, endowment, or other funds 7,123,223 7,520,639
30 Total net assets or fund balances (see page 17 of the
instructions).................... 11,597,290 11,994,706
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 11,597,290 11,994,706
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 11,597,290
2 Enter amount from Part I, line 27a..................... 2 397,416
3 Other increases not included in line 2 (itemize) bullet 3 0
4 Add lines 1, 2, and 3.......................... 4 11,994,706
5 Decreases not included in line 2 (itemize) bullet 5 0
6 Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30. 6 11,994,706
Form 990-PF (2013)
Form 990-PF (2013)
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 360.252 SHS PAUIX - PIMCO ALL ASSET/AUTH I   2012-01-27 2013-04-29
b 142 SHS SNY - SANOFI ADR   2013-02-11 2013-12-02
c 41 SHS SNY - SANOFI ADR   2013-02-15 2013-12-02
d 63 SHS SNY - SANOFI ADR   2013-03-12 2013-12-02
e 41 SHS SNY - SANOFI ADR   2013-06-12 2013-12-02
21 SHS SNY - SANOFI ADR   2013-10-31 2013-12-02
294 SHS SONVY - SONOVA HOLDING-UNSP ADR   2013-06-18 2013-12-02
123 SHS SQM - SOCIEDAD QUIMICA ADR B   2012-01-31 2013-05-02
370 SHS SUBCY - SUBSEA 7 INC   2012-01-31 2013-07-12
271 SHS SVCBY - SVENSKA CELLULOSA AB F   2012-10-15 2013-12-02
1278 SHS TKGBY - TURKIYE GARA BANKASI-ADR   2013-04-12 2013-12-02
60 SHS TM - TOYOTA MTR CORP ADR F   2012-02-08 2013-12-02
36 SHS TM - TOYOTA MTR CORP ADR F   2012-02-24 2013-12-02
21 SHS TM - TOYOTA MTR CORP ADR F   2013-04-29 2013-12-02
25 SHS TM - TOYOTA MTR CORP ADR F   2013-06-17 2013-12-02
236 SHS TOSYY - TOSHIBA CORP-UNSPON ADR   2013-07-17 2013-12-02
240 SHS TSCDY - TESCO PLC   2012-01-31 2013-03-14
651 SHS TUWOY - TULLOW OIL PLC ADR   2012-01-31 2013-12-02
172 SHS UBS - UBS AG-REG   2013-08-06 2013-12-02
85 SHS UBS - UBS AG-REG   2013-10-22 2013-12-02
523 SHS UNICY - UNICHARM CORP SPONS ADR   2013-04-30 2013-12-02
49 SHS UN - UNILEVER N V F   2011-01-28 2013-12-02
200 SHS UN - UNILEVER N V F   2011-03-10 2013-12-02
90 SHS UN - UNILEVER N V F   2011-04-28 2013-12-02
64 SHS UOVEY - UTD OVERSEAS BK SPON ADR   2012-01-31 2013-04-18
104 SHS UOVEY - UTD OVERSEAS BK SPON ADR   2012-01-31 2013-12-02
92 SHS UOVEY - UTD OVERSEAS BK SPON ADR   2012-04-18 2013-12-02
138 SHS VLKPY - VOLKSWAGEN AG-SPONS ADR   2013-01-24 2013-12-02
97 SHS VLKPY - VOLKSWAGEN AG-SPONS ADR   2013-06-18 2013-12-02
306 SHS VODAFONE GROUP SPONS ADR   2012-01-31 2013-02-15
152 SHS WSH - WILLIS GROUP HOLDINGS   2012-01-31 2013-06-03
218 SHS WSH - WILLIS GROUP HOLDINGS   2012-01-31 2013-06-07
36 SHS ACN - ACCENTURE PLC IRELAND   2012-01-31 2013-06-27
61 SHS ACN - ACCENTURE PLC IRELAND   2012-01-31 2013-12-02
46 SHS AGU - AGRIUM INC   2012-09-14 2013-12-02
517 SHS AKZOY - AKZO NOBEL N V   2012-01-31 2013-12-02
80 SHS ALV - AUTOLIV INC   2012-07-31 2013-06-24
131 SHS AON - AON PLC   2013-06-11 2013-12-02
53 SHS ARKAY - ARKEMA-SPONSORED ADR   2012-05-03 2013-12-02
34 SHS ARKAY - ARKEMA-SPONSORED ADR   2012-06-18 2013-12-02
22 SHS ARKAY - ARKEMA-SPONSORED ADR   2012-06-22 2013-12-02
48 SHS ASML - ASML HOLDING NV   2013-03-14 2013-12-02
25 SHS ASML - ASML HOLDING NV   2013-03-21 2013-12-02
28 SHS ASML - ASML HOLDING NV   2013-04-01 2013-12-02
62 SHS BASFY - BASF SE SPONSORED ADR   2012-01-31 2013-12-02
24 SHS BASFY - BASF SE SPONSORED ADR   2012-03-12 2013-12-02
3 SHS BAYRY - BAYER AG SPONSORED ADR   2013-06-03 2013-12-02
45 SHS BAYRY - BAYER AG SPONSORED ADR   2013-06-04 2013-12-02
13 SHS BAYRY - BAYER AG SPONSORED ADR   2013-06-12 2013-12-02
111 SHS BBL - BHP BILLITON PLC-ADR   2012-01-31 2013-06-19
18 SHS BBL - BHP BILLITON PLC-ADR   2012-07-19 2013-06-19
42 SHS BIDU - BAIDU INC ADR   2012-10-17 2013-12-02
407 SHS BMBLY - BRAMBLES LTD-UNSPON ADR   2012-05-01 2013-12-02
109 SHS BMBLY - BRAMBLES LTD-UNSPON ADR   2013-06-19 2013-12-02
86 SHS BNS - BANK NOVA SCOTIA HALIFAX   2012-08-01 2013-12-02
31 SHS BNS - BANK NOVA SCOTIA HALIFAX   2012-10-17 2013-12-02
365 SHS BRGYY - BG GROUP PLC F   2012-01-31 2013-07-05
124 SHS BUD - ANHEUSER BUSCH INBEV ADR   2012-01-31 2013-02-06
720 SHS BZLFY - BUNZL PLC   2012-01-31 2013-12-02
94 SHS CAJ - CANON INC ADR F   2009-04-27 2013-12-02
80 SHS CAJ - CANON INC ADR F   2009-08-06 2013-12-02
30 SHS CEO - CNOOC LTD-ADR   2012-06-18 2013-12-02
690 SHS CFRUY - COMPAGNIE FINANCIERE   2013-08-14 2013-12-02
122 SHS CHKP - CHECK POINT SOFTWARE F   2012-08-21 2013-12-02
110 SHS CHKP - CHECK POINT SOFTWARE F   2012-10-17 2013-12-02
32 SHS CHKP - CHECK POINT SOFTWARE F   2013-05-14 2013-12-02
152 SHS CHL - CHINA MOBILE LTD SPN ADR   2012-01-31 2013-12-02
111 SHS CHL - CHINA MOBILE LTD SPN ADR   2013-03-19 2013-12-02
0.2 SHS CIOXY - CIELO SA   2013-05-09 2013-05-09
223 SHS CIOXY - CIELO SA SPONSORED ADR   2012-12-11 2013-12-02
311 SHS CJREF - CORUS ENTMT INC B   2012-01-31 2013-12-02
142 SHS CMXHY - CSL LTD- UNSPON ADR   2012-01-31 2013-03-15
44 SHS CMXHY - CSL LTD- UNSPON ADR   2012-01-31 2013-05-09
173 SHS CMXHY - CSL LTD- UNSPON ADR   2012-01-31 2013-06-19
517 SHS CRNCY - CAIRN ENRGY PLC UNSP ADR   2012-08-01 2013-03-27
0.902 SHS CS - CREDIT SUISSE GROUP   2013-05-20 2013-05-20
163 SHS CS - CREDIT SUISSE GROUP F   2012-01-31 2013-08-06
51 SHS CTSH - COGNIZANT TECHNOLOGY   2012-05-07 2013-05-13
43 SHS CTSH - COGNIZANT TECHNOLOGY   2012-10-18 2013-05-13
180 SHS CVE - CENOVUS ENERGY INC   2012-01-31 2013-12-02
936 SHS DBOEY - DEUTSCHE BOERSE AG-UNSPO   2012-02-17 2013-12-02
288 SHS DBOEY - DEUTSCHE BOERSE AG-UNSPO   2012-04-30 2013-12-02
172 SHS DHTMY - DAIHATSU MOTOR CO LTD   2013-04-30 2013-12-02
81 SHS DTEGY - DEUTSCHE TELEKOM AG   2005-09-14 2013-02-19
280 SHS DTEGY - DEUTSCHE TELEKOM AG   2005-12-21 2013-02-19
300 SHS DTEGY - DEUTSCHE TELEKOM AG   2007-03-14 2013-02-19
126 SHS EC - ECOPETROL SA-SPON ADR   2012-06-22 2013-03-19
90 SHS ENB - ENBRIDGE INC   2013-03-15 2013-12-02
700 SHS ERIC - ERICSSON (LM) TEL-SP ADR   2008-02-11 2013-12-02
275 SHS ERIC - ERICSSON (LM) TEL-SP ADR   2012-05-03 2013-12-02
279 SHS EUTLY - EUTELSAT COMMUN UN ADR   2013-08-21 2013-12-02
885 SHS EUTLY - EUTELSAT COMMUN UN ADR   2013-08-22 2013-12-02
65 SHS EXPGY - EXPERIAN PLC   2012-01-31 2013-03-20
107 SHS EXPGY - EXPERIAN PLC   2012-01-31 2013-03-21
487 SHS EXPGY - EXPERIAN PLC   2012-01-31 2013-12-02
217 SHS FANUY - FANUC CORP UNSPON ADR   2012-02-14 2013-12-02
84 SHS FANUY - FANUC CORP UNSPON ADR   2012-04-30 2013-12-02
81 SHS FANUY - FANUC CORP UNSPON ADR   2013-02-19 2013-12-02
103 SHS FANUY - FANUC CORP UNSPON ADR   2013-05-02 2013-12-02
66 SHS FANUY - FANUC CORP UNSPON ADR   2013-05-03 2013-12-02
94 SHS FMS - ADR FRESENIUS MED CRE AG   2012-01-31 2013-02-07
98 SHS FMS - ADR FRESENIUS MED CRE AG   2012-01-31 2013-06-13
130 SHS GBOOY - GRUPO FIN BANORTE ADR   2013-03-15 2013-12-02
42 SHS GBOOY - GRUPO FIN BANORTE ADR   2013-04-02 2013-12-02
626 SHS GVDNY - GIVAUDAN-UNSPON-ADR   2012-01-31 2013-12-02
72 SHS HENOY - HENKEL AG & CO KGAA   2013-07-16 2013-12-02
70 SHS HENOY - HENKEL AG & CO KGAA   2013-09-19 2013-12-02
385 SHS IAPLY - ICAP PLC SPONSORED ADR   2012-03-06 2013-06-25
115 SHS IAPLY - ICAP PLC SPONSORED ADR   2012-03-06 2013-12-02
143 SHS IAPLY - ICAP PLC SPONSORED ADR   2012-04-04 2013-12-02
104 SHS IAPLY - ICAP PLC SPONSORED ADR   2012-07-17 2013-12-02
153 SHS IBN - ICICI BANK LTD SPON   2013-03-08 2013-12-02
163 SHS IDCBY - IND & COMM BK OF UNS ADR   2012-12-10 2013-10-23
309 SHS IDCBY - IND & COMM BK OF UNS ADR   2012-12-10 2013-12-02
220 SHS IDCBY - IND & COMM BK OF UNS ADR   2012-12-20 2013-12-02
58 SHS INFORMA PLC UNSP ADR   2012-01-31 2013-03-20
127 SHS INFORMA PLC UNSP ADR   2012-01-31 2013-03-21
332 SHS INFORMA PLC UNSP ADR   2012-01-31 2013-04-29
113 SHS INFORMA PLC UNSP ADR   2012-01-31 2013-04-30
369 SHS JBAXY - JULIUS BAER GRP LTD ADR   2013-08-08 2013-12-02
194 SHS JBAXY - JULIUS BAER GRP LTD ADR   2013-10-29 2013-12-02
105 SHS JMHLY - JARDINE MATHSN HD UNADR   2013-01-25 2013-12-02
25 SHS JMHLY - JARDINE MATHSN HD UNADR   2013-03-08 2013-12-02
24 SHS JMHLY - JARDINE MATHSN HD UNADR   2013-03-11 2013-12-02
20 SHS JMHLY - JARDINE MATHSN HD UNADR   2013-04-08 2013-12-02
28 SHS JMHLY - JARDINE MATHSN HD UNADR   2013-04-09 2013-12-02
1466.667 SHS JUPITER TELECOM-UNSP ADR   2012-01-31 2013-04-03
193.333 SHS JUPITER TELECOM-UNSP ADR   2012-08-20 2013-04-03
570 SHS KONINKLIJKE AHOLD ADR   2009-12-01 2013-12-02
323 SHS KONINKLIJKE AHOLD ADR   2012-01-31 2013-12-02
1906 SHS LFUGY - LI & FUNG LTD-UNSPON ADR   2012-12-14 2013-02-06
749 SHS LNEGY - LINDE AG SPON ADR LVL 1   2012-01-31 2013-12-02
154 SHS LNEGY - LINDE AG SPON ADR LVL 1   2013-04-05 2013-12-02
111 SHS LRLCY - L OREAL CO ADR   2012-01-31 2013-10-11
182 SHS LRLCY - L OREAL CO ADR   2012-01-31 2013-12-02
80 SHS LRLCY - L OREAL CO ADR   2012-11-12 2013-12-02
176 SHS MR - MINDRAY MEDICAL INTL LTD   2013-03-19 2013-11-20
900 SHS NGD - NEW GOLD INC   2012-01-31 2013-12-02
124 SHS NGD - NEW GOLD INC   2012-09-21 2013-12-02
51 SHS NKRKY - NOKIAN TYRES OYJ UN ADR   2013-04-04 2013-12-02
246 SHS NKRKY - NOKIAN TYRES OYJ UN ADR   2013-04-05 2013-12-02
147 SHS NLSN - NIELSEN HOLDINGS N.V.   2013-09-17 2013-12-02
35 SHS NLSN - NIELSEN HOLDINGS N.V.   2013-11-14 2013-12-02
24 SHS NLSN - NIELSEN HOLDINGS N.V.   2013-11-22 2013-12-02
1005 SHS NRBAY - NORDEA BANK AB SPON ADR   2012-01-31 2013-12-02
122 SHS NRBAY - NORDEA BANK AB SPON ADR   2013-06-21 2013-12-02
157 SHS NSRGY - NESTLE S A REG ADR   2012-01-31 2013-09-19
49 SHS NVO - NOVO NORDISK A S ADR   2012-01-31 2013-03-21
161 SHS NVS - NOVARTIS AG   2012-01-31 2013-12-02
26 SHS NVS - NOVARTIS AG   2013-06-17 2013-12-02
404 SHS PDRDY - PERNOD-RICARD SA-UNSPON   2012-06-19 2013-12-02
16 SHS POFCY - PETROFAC LTD UNSP ADR   2012-01-31 2013-07-12
500 SHS POFCY - PETROFAC LTD UNSP ADR   2012-01-31 2013-07-15
213 SHS POFCY - PETROFAC LTD UNSP ADR   2012-09-24 2013-07-15
327 SHS POFCY - PETROFAC LTD UNSP ADR   2013-03-15 2013-07-15
1209 SHS PTNR - PARTNER COMMUNICATIONS   2012-08-21 2013-12-02
126 SHS PUBGY - PUBLICIS GROUP - S A F   2013-04-05 2013-07-30
256 SHS PUBGY - PUBLICIS GROUP - S A F   2013-04-05 2013-12-02
20 SHS PUBGY - PUBLICIS GROUP - S A F   2013-05-30 2013-12-02
161 SHS PUBGY - PUBLICIS GROUP - S A F   2013-05-31 2013-12-02
379 SHS RHHBY - ROCHE HOLDINGS LTD ADR   2012-01-31 2013-12-02
114 SHS RIO - RIO TINTO PLC   2012-12-18 2013-06-04
166 SHS RUK - REED ELSEVIER PLC-SPOS   2012-01-31 2013-12-02
119 SHS RUK - REED ELSEVIER PLC-SPOS   2013-04-02 2013-12-02
496 SHS SAFRY - SAFRAN SA-UNSPON ADR   2012-10-15 2013-12-02
123 SHS SAP - SAP AG SPONSORED ADR   2012-01-31 2013-12-02
842 SHS SBGSY - SCHNEIDER ELECTRIC SA-   2012-01-31 2013-12-02
301 SHS SBGSY - SCHNEIDER ELECTRIC SA-   2013-04-05 2013-12-02
208 SHS SBMRY - SABMILLER PLC ADR   2013-02-06 2013-12-02
393 SHS SBRCY - SBERBANK RUSSIA SPON ADR   2012-07-27 2013-12-02
397 SHS SBRCY - SBERBANK RUSSIA SPON ADR   2012-09-19 2013-12-02
142 SHS SDXAY - SODEXHO SPON ADR   2012-01-31 2013-12-02
14 SHS SDXAY - SODEXHO SPON ADR   2012-12-14 2013-12-02
123 SHS SFTBY - SOFTBANK CORP ADR   2012-04-04 2013-03-11
167 SHS SFTBY - SOFTBANK CORP ADR   2012-04-04 2013-12-02
181 SHS SFTBY - SOFTBANK CORP ADR   2012-05-09 2013-12-02
688 SHS SGSOY - SGS SOC GEN SURVEILL ADR   2012-01-31 2013-12-02
32 SHS SHG - SHINHAN FINL GRP ADR   2012-01-31 2013-04-29
156 SHS SHG - SHINHAN FINL GRP ADR   2012-01-31 2013-04-30
249 SHS SLW - SILVER WHEATON CORP   2012-01-31 2013-12-02
72 SHS SLW - SILVER WHEATON CORP   2012-12-18 2013-12-02
25 SHS STI - SUNTRUST BANKS INC   2013-01-02 2013-04-29
296 SHS STI - SUNTRUST BANKS INC   2013-01-02 2013-10-10
144 SHS STI - SUNTRUST BANKS INC   2013-01-02 2013-12-17
417 SHS STI - SUNTRUST BANKS INC   2013-02-04 2013-12-17
3 SHS STT - STATE STR CORP   2013-01-02 2013-04-29
300 SHS STT - STATE STR CORP   2013-01-02 2013-12-17
17 SHS SU - SUNCOR ENERGY INC NEW   2012-11-13 2013-04-29
484 SHS SU - SUNCOR ENERGY INC NEW   2012-11-13 2013-12-17
138 SHS SU - SUNCOR ENERGY INC NEW   2012-12-03 2013-12-17
588 SHS SYMC - SYMANTEC CORP   2013-06-19 2013-12-17
7 SHS T - AT & T INC   2012-01-03 2013-04-29
449 SHS T - AT & T INC   2012-01-03 2013-12-17
135 SHS TEL - TE CONNECTIVITY LTD   2013-05-23 2013-12-17
130 SHS TEL - TE CONNECTIVITY LTD   2013-06-21 2013-12-17
64 SHS TEL - TE CONNECTIVITY LTD   2013-08-08 2013-12-17
5 SHS TRV - TRAVELERS COS INC/ THE   2012-05-14 2013-04-29
273 SHS TRV - TRAVELERS COS INC/ THE   2012-05-14 2013-12-17
202 SHS TSO - TESORO CORPORATION   2013-03-01 2013-12-17
55 SHS TWC - TIME WARNER CABLE   2011-09-06 2013-03-01
68 SHS TWC - TIME WARNER CABLE   2011-09-06 2013-06-03
29 SHS TWC - TIME WARNER CABLE   2011-09-06 2013-08-05
100 SHS TWC - TIME WARNER CABLE   2011-09-12 2013-08-05
21 SHS TYC - TYCO INTERNATIONAL LTD   2011-09-12 2013-04-29
160 SHS TYC - TYCO INTERNATIONAL LTD   2011-09-12 2013-12-17
180 SHS TYC - TYCO INTERNATIONAL LTD   2011-11-07 2013-12-17
110 SHS TYC - TYCO INTERNATIONAL LTD   2012-01-03 2013-12-17
4 SHS UAL - UNITED CONTL HLDGS INC   2013-03-01 2013-04-29
412 SHS UAL - UNITED CONTL HLDGS INC   2013-03-01 2013-12-17
266 SHS UNH - UNITEDHEALTH GROUP   2010-12-16 2013-02-20
60 SHS UNH - UNITEDHEALTH GROUP   2011-03-02 2013-02-20
155 SHS USB - US BANCORP NEW   2012-07-23 2013-01-02
12 SHS USB - US BANCORP NEW   2012-07-23 2013-04-29
168 SHS USB - US BANCORP NEW   2012-07-23 2013-07-08
277 SHS USB - US BANCORP NEW   2012-07-23 2013-12-17
161 SHS USB - US BANCORP NEW   2012-09-10 2013-12-17
212 SHS USB - US BANCORP NEW   2012-10-31 2013-12-17
7 SHS VLO - VALERO ENERGY CORP NEW   2011-03-14 2013-04-29
250 SHS VLO - VALERO ENERGY CORP NEW   2011-03-14 2013-12-17
180 SHS VLO - VALERO ENERGY CORP NEW   2011-05-09 2013-12-17
165 SHS VZ - VERIZON COMMUNICATIONS   2012-02-06 2013-03-18
96 SHS VZ - VERIZON COMMUNICATIONS   2012-02-06 2013-05-01
210 SHS VZ - VERIZON COMMUNICATIONS   2012-02-13 2013-05-01
201 SHS VZ - VERIZON COMMUNICATIONS   2012-05-07 2013-05-01
7 SHS WAG - WALGREEN COMPANY   2011-09-06 2013-04-29
228 SHS WAG - WALGREEN COMPANY   2011-09-06 2013-10-10
140 SHS WAG - WALGREEN COMPANY   2011-09-19 2013-10-10
185 SHS WDC - WESTERN DIGITAL CORP   2013-08-13 2013-12-17
6 SHS WFC - WELLS FARGO COMPANY   2012-10-02 2013-04-29
333 SHS WFC - WELLS FARGO COMPANY   2012-10-02 2013-12-17
6 SHS WMT - WAL-MART STORES INC   2012-07-09 2013-04-29
244 SHS WMT - WAL-MART STORES INC   2012-07-09 2013-12-17
199 SHS WMT - WAL-MART STORES INC   2013-01-02 2013-12-17
13 SHS XOM - EXXON MOBIL CORP   2009-12-15 2013-04-29
14 SHS XOM - EXXON MOBIL CORP   2010-03-16 2013-08-08
25 SHS XOM - EXXON MOBIL CORP   2010-04-27 2013-08-08
31 SHS XOM - EXXON MOBIL CORP   2010-04-29 2013-08-08
204 SHS XOM - EXXON MOBIL CORP   2011-03-02 2013-08-08
153 SHS XOM - EXXON MOBIL CORP   2011-03-02 2013-12-17
90 SHS XOM - EXXON MOBIL CORP   2012-07-16 2013-12-17
290 SHS A - AGILENT TECH INC   2012-10-08 2013-12-17
320 SHS ABC - AMERISOURCEBERGEN CORP   2011-03-02 2013-03-19
5 SHS ADT - ADT CORP/THE   2011-09-12 2013-04-29
85 SHS ADT - ADT CORP/THE   2011-09-12 2013-12-17
90 SHS ADT - ADT CORP/THE   2011-11-07 2013-12-17
55 SHS ADT - ADT CORP/THE   2012-01-03 2013-12-17
257 SHS AET - AETNA INC   2013-09-18 2013-12-17
19 SHS AIG - AMERICAN INTL GROUP INC   2012-09-17 2013-04-29
407 SHS AIG - AMERICAN INTL GROUP INC   2012-09-17 2013-12-17
332 SHS AIG - AMERICAN INTL GROUP INC   2012-10-08 2013-12-17
123 SHS ALLE - ALLEGION PLC   2012-12-03 2013-12-10
4 SHS BMY - BRISTOL MYERS SQUIBB   2011-03-02 2013-04-29
393 SHS BMY - BRISTOL MYERS SQUIBB   2011-03-02 2013-12-17
116 SHS BRK'B - BERKSHIRE HATHAWAY INC B   2011-03-02 2013-12-17
6 SHS CB - CHUBB CORP   2011-08-01 2013-04-29
25 SHS CB - CHUBB CORP   2011-08-01 2013-12-17
130 SHS CB - CHUBB CORP   2012-01-30 2013-12-17
90 SHS CB - CHUBB CORP   2012-03-19 2013-12-17
129 SHS C - CITIGROUP INC NEW   2012-06-12 2013-07-08
55 SHS C - CITIGROUP INC NEW   2012-06-12 2013-12-17
576 SHS C - CITIGROUP INC NEW   2012-06-13 2013-12-17
442 SHS C - CITIGROUP INC NEW   2012-06-25 2013-12-17
348 SHS CMCSA - COMCAST CORP NEW CL A   2012-08-27 2013-01-02
133 SHS CMCSA - COMCAST CORP NEW CL A   2012-08-27 2013-03-01
7 SHS CMCSA - COMCAST CORP NEW CL A   2012-08-27 2013-04-29
69 SHS CMCSA - COMCAST CORP NEW CL A   2012-08-27 2013-12-17
376 SHS CMCSA - COMCAST CORP NEW CL A   2012-10-08 2013-12-17
122 SHS CMCSA - COMCAST CORP NEW CL A   2012-10-31 2013-12-17
419 SHS CSCO - CISCO SYS INC   2012-02-21 2013-01-02
5 SHS CSCO - CISCO SYS INC   2012-02-21 2013-04-29
210 SHS CSCO - CISCO SYS INC   2012-02-21 2013-12-17
522 SHS CSCO - CISCO SYS INC   2013-06-21 2013-12-17
337 SHS CSCO - CISCO SYS INC   2013-08-05 2013-12-17
368 SHS CSCO - CISCO SYS INC   2013-08-08 2013-12-17
0.452 SHS CST - CST BRANDS INC   2011-03-14 2013-05-01
0.326 SHS CST - CST BRANDS INC   2011-05-09 2013-05-01
27.326 SHS CST - CST BRANDS INC   2011-03-14 2013-05-15
19.674 SHS CST - CST BRANDS INC   2011-05-09 2013-05-15
10 SHS CVS - CVS CAREMARK CORP   2012-07-09 2013-04-29
527 SHS CVS - CVS CAREMARK CORP   2012-07-09 2013-12-17
122 SHS CVS - CVS CAREMARK CORP   2012-10-08 2013-12-17
8 SHS CVX - CHEVRON CORPORATION   2010-12-16 2013-04-29
117 SHS CVX - CHEVRON CORPORATION   2010-12-16 2013-12-17
210 SHS CVX - CHEVRON CORPORATION   2012-01-03 2013-12-17
483 SHS DFS - DISCOVER FINANCIAL   2011-03-02 2013-12-17
9 SHS DIS - DISNEY WALT COMPANY   2012-11-13 2013-04-29
207 SHS DIS - DISNEY WALT COMPANY   2012-11-13 2013-12-17
89 SHS DIS - DISNEY WALT COMPANY   2013-01-02 2013-12-17
396 SHS DOW - DOW CHEMICAL COMPANY   2013-10-21 2013-12-17
16 SHS EMC - EMC CORP   2012-10-08 2013-04-29
571 SHS EMC - EMC CORP   2012-10-08 2013-12-17
216 SHS EMC - EMC CORP   2012-12-03 2013-12-17
804 SHS FOXA - TWENTY-FIRST CENTY A   2012-08-06 2013-12-17
21 SHS GE - GENERAL ELECTRIC COMPANY   2011-03-02 2013-04-29
421 SHS GE - GENERAL ELECTRIC COMPANY   2011-03-02 2013-12-17
290 SHS GE - GENERAL ELECTRIC COMPANY   2011-04-04 2013-12-17
574 SHS GE - GENERAL ELECTRIC COMPANY   2013-02-04 2013-12-17
18 SHS GS - GOLDMAN SACHS GROUP INC   2012-04-30 2013-03-18
8 SHS GS - GOLDMAN SACHS GROUP INC   2012-04-30 2013-04-29
31 SHS GS - GOLDMAN SACHS GROUP INC   2012-04-30 2013-10-10
156 SHS GS - GOLDMAN SACHS GROUP INC   2012-04-30 2013-12-17
53 SHS GS - GOLDMAN SACHS GROUP INC   2012-09-10 2013-12-17
365 SHS HAL - HALLIBURTON COMPANY   2013-08-08 2013-12-17
4 SHS IBM - INTL BUSINESS MACH CORP   2013-03-01 2013-04-29
43 SHS IBM - INTL BUSINESS MACH CORP   2013-03-01 2013-08-05
13 SHS IBM - INTL BUSINESS MACH CORP   2013-03-01 2013-08-08
55 SHS IBM - INTL BUSINESS MACH CORP   2013-03-18 2013-08-08
17 SHS IP - INTL PAPER CO   2010-11-10 2013-04-29
86 SHS IP - INTL PAPER CO   2010-11-10 2013-12-17
2 SHS IP - INTL PAPER CO   2011-03-02 2013-12-17
240 SHS IP - INTL PAPER CO   2011-06-06 2013-12-17
171 SHS IP - INTL PAPER CO   2012-11-13 2013-12-17
121 SHS IP - INTL PAPER CO   2012-12-03 2013-12-17
3 SHS IR - INGERSOLL-RAND PLC   2012-12-03 2013-04-29
369 SHS IR - INGERSOLL-RAND PLC   2012-12-03 2013-12-17
3 SHS JPM - JPMORGAN CHASE & CO   2011-04-25 2013-04-29
51 SHS JPM - JPMORGAN CHASE & CO   2011-04-25 2013-08-08
55 SHS JPM - JPMORGAN CHASE & CO   2011-04-25 2013-12-17
470 SHS JPM - JPMORGAN CHASE & CO   2012-02-13 2013-12-17
290 SHS JPM - JPMORGAN CHASE & CO   2012-04-02 2013-12-17
327 SHS JPM - JPMORGAN CHASE & CO   2012-06-25 2013-12-17
252 SHS LIMITED BRANDS INC   2011-03-02 2013-02-01
144 SHS LLY - ELI LILLY & CO   2011-03-02 2013-01-02
64 SHS LLY - ELI LILLY & CO   2011-03-02 2013-03-01
314 SHS LLY - ELI LILLY & CO   2011-03-02 2013-12-17
269 SHS MDT - MEDTRONIC INC   2013-08-05 2013-12-17
114 SHS MDT - MEDTRONIC INC   2013-08-08 2013-12-17
16 SHS MET - METLIFE INC   2012-05-14 2013-04-29
241 SHS MET - METLIFE INC   2012-05-14 2013-12-17
238 SHS MET - METLIFE INC   2012-05-21 2013-12-17
248 SHS M - MACY'S INC   2013-07-08 2013-12-17
142 SHS MMM - 3M CO   2012-06-25 2013-12-17
114 SHS MMM - 3M CO   2012-12-03 2013-12-17
115 SHS MPC - MARATHON PETROLEUM CORP   2012-03-26 2013-01-02
108 SHS MPC - MARATHON PETROLEUM CORP   2012-03-26 2013-03-18
4 SHS MPC - MARATHON PETROLEUM CORP   2012-03-26 2013-04-29
39 SHS MPC - MARATHON PETROLEUM CORP   2012-03-26 2013-12-17
222 SHS MPC - MARATHON PETROLEUM CORP   2012-04-09 2013-12-17
144 SHS MRK - MERCK & CO INC NEW   2012-06-25 2013-01-02
12 SHS MRK - MERCK & CO INC NEW   2012-06-25 2013-04-29
258 SHS MRK - MERCK & CO INC NEW   2012-06-25 2013-12-17
254 SHS MRK - MERCK & CO INC NEW   2012-10-08 2013-12-17
20 SHS MRO - MARATHON OIL CORP   2011-03-02 2013-04-29
255 SHS MRO - MARATHON OIL CORP   2011-03-02 2013-12-17
220 SHS MRO - MARATHON OIL CORP   2011-07-11 2013-12-17
56 SHS MSFT - MICROSOFT CORP   2012-07-02 2013-04-29
893 SHS MSFT - MICROSOFT CORP   2012-07-02 2013-12-17
300 SHS MSFT - MICROSOFT CORP   2012-07-16 2013-12-17
364 SHS NEWS CORP INC-CL A   2012-08-06 2013-02-01
14 SHS NKE - NIKE INC CLASS B   2013-01-02 2013-04-29
353 SHS NKE - NIKE INC CLASS B   2013-01-02 2013-09-18
309 SHS NTAP - NETAPP INC   2013-08-05 2013-12-17
220 SHS NTAP - NETAPP INC   2013-08-08 2013-12-17
201 SHS NWSA - NEWS CORP NEW CL A   2012-08-06 2013-07-18
227 SHS PFE - PFIZER INCORPORATED   2011-01-05 2013-01-02
38 SHS PFE - PFIZER INCORPORATED   2011-01-05 2013-04-29
86 SHS PFE - PFIZER INCORPORATED   2011-01-05 2013-08-08
90 SHS PFE - PFIZER INCORPORATED   2011-01-05 2013-12-17
1362 SHS PFE - PFIZER INCORPORATED   2012-10-08 2013-12-17
5 SHS PH - PARKER HANNIFIN CORP   2012-01-03 2013-04-29
110 SHS PH - PARKER HANNIFIN CORP   2012-01-03 2013-12-17
140 SHS PH - PARKER HANNIFIN CORP   2012-01-23 2013-12-17
1749 SHS RF - REGIONS FINANCIAL CORP   2013-10-10 2013-12-17
5 SHS RTN - RAYTHEON COMPANY   2011-03-02 2013-04-29
76 SHS RTN - RAYTHEON COMPANY   2011-03-02 2013-10-21
140 SHS RTN - RAYTHEON COMPANY   2011-11-14 2013-10-21
1400 SHS SDY - SPDR S&P DIVIDEND ETF   2013-12-30 2013-12-31
242 SHS SLB - SCHLUMBERGER LTD   2013-11-29 2013-12-17
296 SHS SWI - SOLARWINDS INC   2013-04-23 2013-07-29
552 SHS SWN - SOWSTN ENERGY CO   2009-11-25 2013-08-07
5 SHS SWN - SOWSTN ENERGY CO   2013-01-31 2013-08-07
33 SHS A - AGILENT TECH INC   2011-12-28 2013-08-02
759 SHS AKRX - AKORN INC   2012-07-11 2013-06-14
167 SHS AKRX - AKORN INC   2012-09-11 2013-06-14
531 SHS ALTR - ALTERA CORPORATION   2010-12-08 2013-11-21
4 SHS ALTR - ALTERA CORPORATION   2013-01-31 2013-11-21
823 SHS ARIA - ARIAD PHARMACEUTICLS INC   2013-04-26 2013-10-09
473 SHS ARIA - ARIAD PHARMACEUTICLS INC   2013-05-14 2013-10-09
255 SHS BAX - BAXTER INTERNATIONAL INC   2009-12-23 2013-04-30
44 SHS BAX - BAXTER INTERNATIONAL INC   2009-12-23 2013-11-01
217 SHS BAX - BAXTER INTERNATIONAL INC   2012-03-28 2013-11-01
5 SHS BAX - BAXTER INTERNATIONAL INC   2013-01-31 2013-11-01
160 SHS COH - COACH INC   2011-03-16 2013-02-26
303 SHS COH - COACH INC   2011-08-24 2013-02-26
5 SHS COH - COACH INC   2012-04-12 2013-02-26
3 SHS COH - COACH INC   2013-01-31 2013-02-26
277 SHS CTRX - CATAMARAN CORP   2010-12-08 2013-05-02
210 SHS CTXS - CITRIX SYSTEMS INC   2010-12-08 2013-10-08
2 SHS CTXS - CITRIX SYSTEMS INC   2013-01-31 2013-10-08
155 SHS IBM - INTL BUSINESS MACH CORP   2011-12-28 2013-06-28
219 SHS KRFT - KRAFT FOODS GRP INC   2012-09-04 2013-08-23
1 SHS KRFT - KRAFT FOODS GRP INC   2013-01-31 2013-08-23
418 SHS PAY - VERIFONE SYSTEMS INC   2011-05-04 2013-02-21
3 SHS PAY - VERIFONE SYSTEMS INC   2013-01-31 2013-02-21
199 SHS SLXP - SALIX PHARMACEUTICALS   2012-06-25 2013-11-14
45 SHS SLXP - SALIX PHARMACEUTICALS   2012-06-25 2013-12-09
161 SHS SLXP - SALIX PHARMACEUTICALS   2012-06-27 2013-12-09
2 SHS SLXP - SALIX PHARMACEUTICALS   2013-01-31 2013-12-09
282 SHS TKC - TURKCELL ILETISIM   2010-12-17 2013-04-30
96 SHS TLK - PERUSAHAAN PERSEROAN   2010-12-17 2013-05-07
172 SHS TSM - TAIWAN SEMICONDUCTOR MFG   2010-12-17 2013-01-03
125 SHS TV - GRUPO TV SA DE CV GLOBAL   2010-12-17 2013-02-25
91 SHS VALE'P - VALE SA RPSTG PFD SP ADR   2010-05-06 2013-08-19
88 SHS VALE'P - VALE SA RPSTG PFD SP ADR   2010-07-28 2013-08-19
223 SHS AMX - AMERICA MOVIL SERIES L   2010-12-17 2013-04-17
282 SHS AMX - AMERICA MOVIL SERIES L   2010-12-17 2013-07-22
10 SHS AMX - AMERICA MOVIL SERIES L   2011-03-03 2013-07-22
59 SHS BIDU - BAIDU INC ADR   2012-10-23 2013-09-13
0.5 SHS CIBEY - COMMERCIAL INTERNATIONAL   2013-12-10 2013-12-10
155 SHS CIOXY - CIELO SA SPONSORED ADR   2010-12-17 2013-01-08
108 SHS CIOXY - CIELO SA SPONSORED ADR   2010-12-17 2013-12-19
40 SHS LUKOY - LUKOIL OIL CO   2011-08-12 2013-01-04
57 SHS PHI - PHILIPPINE LONG DIST TEL   2010-12-17 2013-05-15
34 SHS PSGTY - PT SEMEN INDONESIA ADR   2010-12-17 2013-02-01
698 SHS VNQ - VANGUARD REIT ETF   2012-04-02 2013-12-06
299 SHS VNQ - VANGUARD REIT ETF   2012-07-02 2013-12-06
260 SHS VNQ - VANGUARD REIT ETF   2012-10-01 2013-12-06
126 SHS VNQ - VANGUARD REIT ETF   2013-01-02 2013-12-06
114 SHS VNQ - VANGUARD REIT ETF   2013-10-01 2013-12-06
409 SHS VWO - VANGUARD MSCI EMRG ETF   2012-04-02 2013-07-01
587 SHS VWO - VANGUARD MSCI EMRG ETF   2013-04-01 2013-07-01
116 SHS XLB - MATERIALS SECTOR SP ETF   2011-04-01 2013-12-06
56 SHS XLB - MATERIALS SECTOR SP ETF   2012-07-02 2013-12-06
21 SHS XLE - ENERGY SECTOR SPDR ETF   2010-12-03 2013-01-02
227 SHS XLE - ENERGY SECTOR SPDR ETF   2010-12-03 2013-12-06
44 SHS XLE - ENERGY SECTOR SPDR ETF   2011-01-03 2013-12-06
19 SHS XLE - ENERGY SECTOR SPDR ETF   2011-08-11 2013-12-06
30 SHS XLE - ENERGY SECTOR SPDR ETF   2012-01-03 2013-12-06
24 SHS XLE - ENERGY SECTOR SPDR ETF   2012-10-01 2013-12-06
32 SHS XLE - ENERGY SECTOR SPDR ETF   2013-10-01 2013-12-06
53 SHS XLI - INDUSTRIAL SECTOR SP ETF   2010-12-03 2013-04-01
24 SHS XLI - INDUSTRIAL SECTOR SP ETF   2010-12-03 2013-07-01
66 SHS XLI - INDUSTRIAL SECTOR SP ETF   2011-01-03 2013-07-01
116 SHS XLI - INDUSTRIAL SECTOR SP ETF   2011-01-03 2013-12-06
89 SHS XLI - INDUSTRIAL SECTOR SP ETF   2011-08-11 2013-12-06
39 SHS XLI - INDUSTRIAL SECTOR SP ETF   2012-01-03 2013-12-06
123 SHS XLI - INDUSTRIAL SECTOR SP ETF   2012-04-02 2013-12-06
136 SHS XLI - INDUSTRIAL SECTOR SP ETF   2012-07-02 2013-12-06
158 SHS XLI - INDUSTRIAL SECTOR SP ETF   2013-10-01 2013-12-06
430 SHS XLP - CONSUMR STPLE SCTOR ETF   2013-01-02 2013-12-06
80 SHS XLP - CONSUMR STPLE SCTOR ETF   2013-10-01 2013-12-06
42 SHS XLV - HEALTH CARE SECTOR ETF   2013-01-02 2013-04-01
72 SHS XLV - HEALTH CARE SECTOR ETF   2013-01-02 2013-10-01
445 SHS XLV - HEALTH CARE SECTOR ETF   2013-01-02 2013-12-06
44 SHS XLV - HEALTH CARE SECTOR ETF   2013-07-01 2013-12-06
345 SHS XLY - CONSUMR DISC SECTOR ETF   2013-01-02 2013-12-06
226 SHS XLY - CONSUMR DISC SECTOR ETF   2013-10-01 2013-12-06
51 SHS DJP - BARCLAYS IPATH CMMD ETN   2011-01-03 2013-07-01
147 SHS DJP - BARCLAYS IPATH CMMD ETN   2011-01-03 2013-10-01
147 SHS DJP - BARCLAYS IPATH CMMD ETN   2011-04-01 2013-10-01
138 SHS DJP - BARCLAYS IPATH CMMD ETN   2011-07-01 2013-10-01
36 SHS DJP - BARCLAYS IPATH CMMD ETN   2012-07-02 2013-10-01
55 SHS DJP - BARCLAYS IPATH CMMD ETN   2013-04-01 2013-10-01
69 SHS EWZ - ISHARES MSCI BRAZIL ETF   2012-04-02 2013-07-01
127 SHS EWZ - ISHARES MSCI BRAZIL ETF   2013-04-01 2013-07-01
268 SHS HYG - ISHARES IBOXX $ YLD ETF   2013-01-02 2013-04-01
418 SHS IAU - ISHARES GOLD TRUST ETF   2011-10-03 2013-07-01
455 SHS IAU - ISHARES GOLD TRUST ETF   2012-04-02 2013-07-01
128 SHS IAU - ISHARES GOLD TRUST ETF   2013-04-01 2013-07-01
72 SHS IDU - ISHARES U.S. UTIL ETF   2011-10-03 2013-12-06
90 SHS IEF - ISHRS 7-10-YR TREAS ETF   2013-04-01 2013-07-01
78 SHS IEI - ISHS 3-7YR TREAS BD ETF   2013-04-01 2013-12-06
53 SHS IEI - ISHS 3-7YR TREAS BD ETF   2013-10-01 2013-12-06
198 SHS IJJ - ISHARES S&P M/C 400 ETF   2013-07-01 2013-10-01
367 SHS IJJ - ISHARES S&P M/C 400 ETF   2013-07-01 2013-12-06
296 SHS IJK - ISHARES S&P M/C 400 ETF   2013-07-01 2013-12-06
131 SHS IJK - ISHARES S&P M/C 400 ETF   2013-10-01 2013-12-06
320 SHS IWN - ISHS RUSSL 2000 VAL ETF   2013-01-02 2013-07-01
102 SHS IWN - ISHS RUSSL 2000 VAL ETF   2013-01-02 2013-10-01
65 SHS IWN - ISHS RUSSL 2000 VAL ETF   2013-04-01 2013-10-01
81 SHS IWO - ISHARES RUSSELL 2000 ETF   2011-07-01 2013-04-01
11 SHS IWO - ISHS RUSSL 2000GRWTH ETF   2011-07-01 2013-07-01
77 SHS IWO - ISHS RUSSL 2000GRWTH ETF   2011-08-11 2013-07-01
7 SHS IWO - ISHS RUSSL 2000GRWTH ETF   2011-10-03 2013-07-01
61 SHS IWO - ISHS RUSSL 2000GRWTH ETF   2012-07-02 2013-07-01
11 SHS IWO - ISHS RUSSL 2000GRWTH ETF   2013-01-02 2013-07-01
86 SHS IWO - ISHS RUSSL 2000GRWTH ETF   2013-01-02 2013-10-01
26 SHS IYF - ISHARES U.S. FINLS ETF   2013-01-02 2013-10-01
521 SHS IYF - ISHARES U.S. FINLS ETF   2013-01-02 2013-12-06
33 SHS IYF - ISHARES U.S. FINLS ETF   2013-07-01 2013-12-06
336 SHS IYW - ISHARES U.S. TECH ETF   2012-01-03 2013-12-06
71 SHS IYW - ISHARES U.S. TECH ETF   2012-07-02 2013-12-06
82 SHS IYW - ISHARES U.S. TECH ETF   2013-01-02 2013-12-06
88 SHS IYW - ISHARES U.S. TECH ETF   2013-07-01 2013-12-06
45 SHS IYW - ISHARES U.S. TECH ETF   2013-10-01 2013-12-06
615 SHS JNK - SPDR BRCLY H/Y BOND ETF   2013-01-02 2013-04-01
40 SHS LQD - ISHARES IBOXX&INVT ETF   2013-04-01 2013-12-06
86 SHS LQD - ISHARES IBOXX&INVT ETF   2013-07-01 2013-12-06
83 SHS LQD - ISHARES IBOXX&INVT ETF   2013-10-01 2013-12-06
167 SHS PSCE - POWERSHARES S&P ENRG ETF   2012-04-02 2013-01-02
97 SHS PSCE - POWERSHARES S&P ENRG ETF   2012-10-01 2013-01-02
240 SHS PSCH - POWERSHARES S&P HLTH ETF   2012-04-02 2013-01-02
85 SHS TAP - MOLSON COORS BREWING-B   2012-01-26 2013-01-18
90 SHS TMK - TORCHMARK CORP   2012-01-26 2013-01-18
45 SHS UN - UNILEVER N V F   2012-01-26 2013-01-18
880 SHS UN - UNILEVER N V F   2012-01-26 2013-01-24
40 SHS BCR - BARD C R INC   2012-01-26 2013-01-18
81 SHS BCR - BARD C R INC   2012-01-26 2013-09-13
74 SHS BCR - BARD C R INC   2012-01-26 2013-09-16
210 SHS BCR - BARD C R INC   2012-01-26 2013-09-20
50 SHS BDX - BECTON DICKINSON & CO   2012-05-29 2013-01-18
95 SHS COP - CONOCOPHILLIPS   2012-01-26 2013-01-18
565 SHS CSCO - CISCO SYS INC   2011-10-03 2013-06-20
70 SHS CVS - CVS CAREMARK CORP   2012-01-26 2013-01-18
15 SHS CVX - CHEVRON CORPORATION   2011-09-28 2013-01-18
2250 SHS DELL INC   2012-01-26 2013-04-23
455 SHS EBAY - EBAY INC   2012-01-26 2013-01-14
130 SHS EXC - EXELON CORPORATION   2012-05-09 2013-01-18
54 SHS GOOGL - GOOGLE INC CL A   2012-01-26 2013-10-18
160 SHS JNJ - JOHNSON & JOHNSON   2012-01-26 2013-09-12
90 SHS MDT - MEDTRONIC INC   2012-01-26 2013-01-18
69 SHS MSFT - MICROSOFT CORP   2011-02-18 2013-07-30
371 SHS MSFT - MICROSOFT CORP   2011-04-27 2013-07-30
245 SHS NEM - NEWMONT MINING CORP NEW   2012-01-26 2013-11-08
135 SHS NOC - NORTHROP GRUMMAN CORP   2012-01-26 2013-08-14
505 SHS SCHW - SCHWAB CHARLES CORP NEW   2012-01-26 2013-01-18
559 SHS SCHW - SCHWAB CHARLES CORP NEW   2012-01-26 2013-03-18
142 SHS SCHW - SCHWAB CHARLES CORP NEW   2012-01-26 2013-03-20
660 SHS SCHW - SCHWAB CHARLES CORP NEW   2012-01-26 2013-07-30
7000 SHS FN 255813 5% 08/01/35   2013-03-26 2013-08-20
29000 SHS FN 735402 5% 040135   2013-07-17 2013-08-20
69000 SHS FN 735893 5% 100135   2012-07-10 2013-08-23
14000 SHS FN 745275 5% 02/01/36   2013-02-20 2013-08-20
2000 SHS FN 835158 5% 080135   2013-01-09 2013-08-20
34000 SHS FN AB4297 3.5% 010142   2012-01-10 2013-01-09
58000 SHS FN AB5468 3.5% 060142   2012-06-07 2013-01-09
1000 SHS FN AB5670 3.5% 070142   2012-10-05 2013-01-09
29000 SHS FN AL0069 5% 110140   2013-04-12 2013-08-20
11000 SHS FN AL2629 5% 060139   2013-03-18 2013-08-23
4000 SHS FN AL3006 5% 070137   2013-03-26 2013-08-20
11000 SHS FN AL3006 5% 070137   2013-03-26 2013-08-23
3000 SHS FN AL3423 5% 050140   2013-06-14 2013-08-20
21000 SHS UST BD INX 3.875%4/15/29   2013-01-22 2013-05-02
45000 SHS UST NTS 0.75% 103117   2012-11-21 2013-03-01
48000 SHS UST NTS 0.75% 103117   2012-11-21 2013-03-04
37000 SHS UST NTS 1.375% 022819   2012-03-01 2013-08-09
10000 SHS UST NTS 1.375% 022819   2012-05-30 2013-08-09
25000 SHS UST NTS 2% 021523   2013-03-01 2013-08-26
11000 SHS UST NTS 2% 021523   2013-03-04 2013-08-26
2000 SHS UST NTS 2% 021523   2013-03-05 2013-08-26
1610 SHS FXICX - ALLIANZ GLBL FIXED INC   2010-01-21 2013-06-13
4910 SHS FXIMX - ALLIANZ GLBL FIXED INC M   2010-01-21 2013-06-13
5000 SHS FHLMC GLD 312MJLD0 5% 020139     2013-09-30
5000 SHS FHLMC GLD 312MJLD0 5% 020139     2013-10-31
5000 SHS FHLMC GLD 312MJLD0 5% 020139     2013-11-30
5000 SHS FHLMC GLD 312MJLD0 5% 020139     2013-12-31
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-01-31
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-02-28
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-03-31
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-04-30
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-05-31
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-06-30
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-07-31
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-08-31
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-09-30
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-10-31
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-11-30
7000 SHS FHLMC GLD 312945ZL5 4.5% 020141     2013-12-31
1000 SHS FHLMC GLD 3132J7ZJ4 3.5% 030143     2013-09-30
1000 SHS FHLMC GLD 3132J7ZJ4 3.5% 030143     2013-10-31
1000 SHS FHLMC GLD 3132J7ZJ4 3.5% 030143     2013-11-30
1000 SHS FHLMC GLD 3132J7ZJ4 3.5% 030143     2013-12-31
3000 SHS FHLMC GLD 3132J84Z0 3% 040143     2013-09-30
3000 SHS FHLMC GLD 3132J84Z0 3% 040143     2013-10-31
3000 SHS FHLMC GLD 3132J84Z0 3% 040143     2013-11-30
3000 SHS FHLMC GLD 3132J84Z0 3% 040143     2013-12-31
7000 SHS FNMA 31371MDS3 5% 080135     2013-04-30
7000 SHS FNMA 31371MDS3 5% 080135     2013-05-31
7000 SHS FNMA 31371MDS3 5% 080135     2013-06-30
7000 SHS FNMA 31371MDS3 5% 080135     2013-07-31
55000 SHS FNMA 3138AVQE8 4% 100141     2013-01-31
55000 SHS FNMA 3138AVQE8 4% 100141     2013-02-28
55000 SHS FNMA 3138AVQE8 4% 100141     2013-03-31
55000 SHS FNMA 3138AVQE8 4% 100141     2013-04-30
55000 SHS FNMA 3138AVQE8 4% 100141     2013-05-31
55000 SHS FNMA 3138AVQE8 4% 100141     2013-06-30
55000 SHS FNMA 3138AVQE8 4% 100141     2013-07-31
55000 SHS FNMA 3138AVQE8 4% 100141     2013-08-31
55000 SHS FNMA 3138AVQE8 4% 100141     2013-09-30
55000 SHS FNMA 3138AVQE8 4% 100141     2013-10-31
55000 SHS FNMA 3138AVQE8 4% 100141     2013-11-30
55000 SHS FNMA 3138AVQE8 4% 100141     2013-12-31
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-01-31
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-02-28
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-03-31
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-04-30
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-05-31
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-06-30
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-07-31
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-08-31
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-09-30
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-10-31
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-11-30
38000 SHS FNMA 3138A7FZ6 4.5% 020141     2013-12-31
29000 SHS FNMA 3138EGCF9 5% 110140     2013-04-30
29000 SHS FNMA 3138EGCF9 5% 110140     2013-05-31
29000 SHS FNMA 3138EGCF9 5% 110140     2013-06-30
29000 SHS FNMA 3138EGCF9 5% 110140     2013-07-31
3000 SHS FNMA 3138EH3J9 4% 090141     2013-04-30
3000 SHS FNMA 3138EH3J9 4% 090141     2013-05-31
3000 SHS FNMA 3138EH3J9 4% 090141     2013-06-30
3000 SHS FNMA 3138EH3J9 4% 090141     2013-07-31
3000 SHS FNMA 3138EH3J9 4% 090141     2013-08-31
3000 SHS FNMA 3138EH3J9 4% 090141     2013-09-30
3000 SHS FNMA 3138EH3J9 4% 090141     2013-10-31
3000 SHS FNMA 3138EH3J9 4% 090141     2013-11-30
3000 SHS FNMA 3138EH3J9 4% 090141     2013-12-31
54000 SHS FNMA 3138EJEW4 4% 010142     2013-01-31
54000 SHS FNMA 3138EJEW4 4% 010142     2013-02-28
54000 SHS FNMA 3138EJEW4 4% 010142     2013-03-31
54000 SHS FNMA 3138EJEW4 4% 010142     2013-04-30
54000 SHS FNMA 3138EJEW4 4% 010142     2013-05-31
54000 SHS FNMA 3138EJEW4 4% 010142     2013-06-30
54000 SHS FNMA 3138EJEW4 4% 010142     2013-07-31
54000 SHS FNMA 3138EJEW4 4% 010142     2013-08-31
54000 SHS FNMA 3138EJEW4 4% 010142     2013-09-30
54000 SHS FNMA 3138EJEW4 4% 010142     2013-10-31
54000 SHS FNMA 3138EJEW4 4% 010142     2013-11-30
54000 SHS FNMA 3138EJEW4 4% 010142     2013-12-31
32000 SHS FNMA 3138E14P0 5% 060139     2013-03-31
32000 SHS FNMA 3138E14P0 5% 060139     2013-04-30
32000 SHS FNMA 3138E14P0 5% 060139     2013-05-31
32000 SHS FNMA 3138E14P0 5% 060139     2013-06-30
32000 SHS FNMA 3138E14P0 5% 060139     2013-07-31
21000 SHS FNMA 3138E14P0 5% 060139     2013-08-31
21000 SHS FNMA 3138E14P0 5% 060139     2013-09-30
21000 SHS FNMA 3138E14P0 5% 060139     2013-10-31
21000 SHS FNMA 3138E14P0 5% 060139     2013-11-30
21000 SHS FNMA 3138E14P0 5% 060139     2013-12-31
15000 SHS FNMA 3138EKKU8 5% 070137     2013-04-30
15000 SHS FNMA 3138EKKU8 5% 070137     2013-05-31
15000 SHS FNMA 3138EKKU8 5% 070137     2013-06-30
15000 SHS FNMA 3138EKKU8 5% 070137     2013-07-31
3000 SHS FNMA 3138EKYV1 5% 050140     2013-06-30
3000 SHS FNMA 3138EKYV1 5% 050140     2013-07-31
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-03-31
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-04-30
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-05-31
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-06-30
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-07-31
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-08-31
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-09-30
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-10-31
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-11-30
3000 SHS FNMA 3138MRLL3 3.5% 010143     2013-12-31
1000 SHS FNMA 3138MTG76 4% 010143     2013-12-31
2000 SHS FNMA 3138M7HR9 3.5% 090142     2013-07-31
2000 SHS FNMA 3138M7HR9 3.5% 090142     2013-08-31
2000 SHS FNMA 3138M7HR9 3.5% 090142     2013-09-30
2000 SHS FNMA 3138M7HR9 3.5% 090142     2013-10-31
2000 SHS FNMA 3138M7HR9 3.5% 090142     2013-11-30
2000 SHS FNMA 3138M7HR9 3.5% 090142     2013-12-31
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-02-28
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-03-31
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-04-30
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-05-31
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-06-30
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-07-31
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-08-31
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-09-30
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-10-31
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-11-30
2000 SHS FNMA 3138NY2R5 3.5 020143     2013-12-31
2000 SHS FNMA 3138WMFX4 3% 030143     2013-12-31
5000 SHS FNMA 3138WUAG8 4% 060143     2013-12-31
5000 SHS FNMA 3138W0VH9 3.5% 020143     2013-11-30
5000 SHS FNMA 3138W0VH9 3.5% 020143     2013-12-31
3000 SHS FNMA 3138W8AC6 3.5% 040143     2013-08-31
3000 SHS FNMA 3138W8AC6 3.5% 040143     2013-09-30
3000 SHS FNMA 3138W8AC6 3.5% 040143     2013-10-31
3000 SHS FNMA 3138W8AC6 3.5% 040143     2013-11-30
3000 SHS FNMA 3138W8AC6 3.5% 040143     2013-12-31
2000 SHS FNMA 3138W9GM6 3% 080143     2013-12-31
3000 SHS FNMA 3138W9N97 4% 090143     2013-09-30
3000 SHS FNMA 3138W9N97 4% 090143     2013-10-31
3000 SHS FNMA 3138W9N97 4% 090143     2013-11-30
3000 SHS FNMA 3138W9N97 4% 090143     2013-12-31
2000 SHS FNMA 3138X2HK3 3.5% 090143     2013-09-30
2000 SHS FNMA 3138X2HK3 3.5% 090144     2013-10-31
2000 SHS FNMA 3138X2HK3 3.5% 090145     2013-11-30
2000 SHS FNMA 3138X2HK3 3.5% 090146     2013-12-31
4000 SHS FNMA 3138X3EZ1 4% 080143     2013-10-30
4000 SHS FNMA 3138X3EZ1 4% 080143     2013-11-30
4000 SHS FNMA 3138X3EZ1 4% 080143     2013-12-31
2000 SHS FNMA 3138X7DK6 4% 080143     2013-08-31
2000 SHS FNMA 3138X7DK6 4% 080143     2013-09-30
2000 SHS FNMA 3138X7DK6 4% 080143     2013-10-31
2000 SHS FNMA 3138X7DK6 4% 080143     2013-11-30
2000 SHS FNMA 3138X7DK6 4% 080143     2013-12-31
29000 SHS FNMA 31402RAB5 5% 040135     2013-07-31
69000 SHS FNMA 31402RRN1 5% 100135     2013-01-31
69000 SHS FNMA 31402RRN1 5% 100135     2013-02-28
69000 SHS FNMA 31402RRN1 5% 100135     2013-03-31
69000 SHS FNMA 31402RRN1 5% 100135     2013-04-30
69000 SHS FNMA 31402RRN1 5% 100135     2013-05-31
69000 SHS FNMA 31402RRN1 5% 100135     2013-06-30
69000 SHS FNMA 31402RRN1 5% 100135     2013-07-31
14000 SHS FNMA 31403C6L0 5% 020136     2013-02-28
14000 SHS FNMA 31403C6L0 5% 020136     2013-03-31
14000 SHS FNMA 31403C6L0 5% 020136     2013-04-30
14000 SHS FNMA 31403C6L0 5% 020136     2013-05-31
14000 SHS FNMA 31403C6L0 5% 020136     2013-06-30
14000 SHS FNMA 31403C6L0 5% 020136     2013-07-31
10000 SHS FNMA 31403DJZ3 5% 060136     2013-09-30
10000 SHS FNMA 31403DJZ3 5% 060137     2013-10-31
10000 SHS FNMA 31403DJZ3 5% 060138     2013-11-30
10000 SHS FNMA 31403DJZ3 5% 060139     2013-12-31
2000 SHS FNMA 31407MZX6 5% 080135     2013-01-31
2000 SHS FNMA 31407MZX6 5% 080135     2013-02-28
2000 SHS FNMA 31407MZX6 5% 080135     2013-03-31
2000 SHS FNMA 31407MZX6 5% 080135     2013-04-30
2000 SHS FNMA 31407MZX6 5% 080135     2013-05-31
2000 SHS FNMA 31407MZX6 5% 080135     2013-06-30
2000 SHS FNMA 31407MZX6 5% 080135     2013-07-31
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-01-31
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-02-28
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-03-31
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-04-30
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-05-31
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-06-30
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-07-31
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-08-31
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-09-30
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-10-31
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-11-30
55000 SHS FNMA 31416WRK0 4.5% 080140     2013-12-31
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-01-31
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-02-28
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-03-31
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-04-30
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-05-31
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-06-30
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-07-31
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-08-31
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-09-30
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-10-31
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-11-30
29000 SHS FNMA 31416YVG0 4.5% 070141     2013-12-31
20000 SHS FNMA 31417BA64 4% 020142     2013-01-31
20000 SHS FNMA 31417BA64 4% 020142     2013-02-28
20000 SHS FNMA 31417BA64 4% 020142     2013-03-31
20000 SHS FNMA 31417BA64 4% 020142     2013-04-30
20000 SHS FNMA 31417BA64 4% 020142     2013-05-31
20000 SHS FNMA 31417BA64 4% 020142     2013-06-30
20000 SHS FNMA 31417BA64 4% 020142     2013-07-31
20000 SHS FNMA 31417BA64 4% 020142     2013-08-31
20000 SHS FNMA 31417BA64 4% 020142     2013-09-30
20000 SHS FNMA 31417BA64 4% 020142     2013-10-31
20000 SHS FNMA 31417BA64 4% 020142     2013-11-30
20000 SHS FNMA 31417BA64 4% 020142     2013-12-31
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-01-31
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-02-28
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-03-31
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-04-30
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-05-31
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-06-30
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-07-31
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-08-31
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-09-30
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-10-31
74000 SHS FNMA 31417CJQ9 3.5% 070142     2013-11-30
74000 SHS FNMA 31417D2M4 3% 110142     2013-12-31
49000 SHS FNMA 31417D2M4 3% 110142     2013-01-31
49000 SHS FNMA 31417D2M4 3% 110142     2013-02-28
49000 SHS FNMA 31417D2M4 3% 110142     2013-03-31
49000 SHS FNMA 31417D2M4 3% 110142     2013-04-30
49000 SHS FNMA 31417D2M4 3% 110142     2013-05-31
49000 SHS FNMA 31417D2M4 3% 110142     2013-06-30
49000 SHS FNMA 31417D2M4 3% 110142     2013-07-31
49000 SHS FNMA 31417D2M4 3% 110142     2013-08-31
49000 SHS FNMA 31417D2M4 3% 110142     2013-09-30
49000 SHS FNMA 31417D2M4 3% 110142     2013-10-31
49000 SHS FNMA 31417D2M4 3% 110142     2013-11-30
49000 SHS FNMA 31417D2M4 3% 110142     2013-12-31
209 SHS AGG - ISHARES CORE TOT US ETF   2012-01-31 2013-01-08
212 SHS AGG - ISHARES CORE TOT US ETF   2012-01-31 2013-09-11
2 SHS AGG - ISHARES CORE TOT US ETF   2012-02-02 2013-09-11
1 SHS AGG - ISHARES CORE TOT US ETF   2012-03-09 2013-09-11
4 SHS AGG - ISHARES CORE TOT US ETF   2012-03-15 2013-09-11
2 SHS AGG - ISHARES CORE TOT US ETF   2012-04-04 2013-09-11
1 SHS AGG - ISHARES CORE TOT US ETF   2012-04-12 2013-09-11
3 SHS AGG - ISHARES CORE TOT US ETF   2012-04-27 2013-09-11
1 SHS AGG - ISHARES CORE TOT US ETF   2012-04-30 2013-09-11
320 SHS BCM - IPATH PURE BETA BRD ETN   2012-09-24 2013-02-06
184 SHS BLNG - IPATH PURE BETA PREC ETN   2012-09-24 2013-01-08
591 SHS CEW - WISDOMTREE EMERGING ETF   2013-01-08 2013-06-13
224 SHS EEM - ISHARES TR MSCI EMG ETF   2013-01-08 2013-06-13
298 SHS EEM - ISHARES TR MSCI EMG ETF   2013-02-06 2013-06-13
88 SHS FXL - FIRST TRUST TECHNLGY ETF   2012-04-20 2013-09-11
29 SHS FXL - FIRST TRUST TECHNLGY ETF   2012-04-25 2013-09-11
28 SHS FXL - FIRST TRUST TECHNLGY ETF   2012-04-30 2013-09-11
243 SHS GSY - GUGGENHEIM ENH SHORT ETF   2012-02-09 2013-02-06
1 SHS GSY - GUGGENHEIM ENH SHORT ETF   2012-04-30 2013-02-06
132 SHS HYG - ISHARES IBOXX $ YLD ETF   2012-01-31 2013-06-13
44 SHS IGOV - ISHARES S&P/CITIGRP ETF   2013-01-08 2013-02-06
47 SHS IGOV - ISHARES S&P/CITIGRP ETF   2013-01-08 2013-05-07
102 SHS IGOV - ISHS INTL TREAS BD ETF   2013-01-08 2013-07-10
101 SHS IGOV - ISHS INTL TREAS BD ETF   2013-06-13 2013-07-10
78 SHS ITOT - ISHARES CORE S&P TOT ETF   2012-11-08 2013-11-26
80 SHS IVV - ISHARES CORE S&P 500 ETF   2012-10-09 2013-01-08
74 SHS IVV - ISHARES CORE S&P 500 ETF   2012-10-18 2013-01-08
83 SHS IYF - ISHARES DOW JNS US FINCL   2012-10-09 2013-04-10
81 SHS IYF - ISHARES DOW JNS US FINCL   2012-10-18 2013-04-10
62 SHS IYF - ISHARES DOW JNS US FINCL   2012-10-31 2013-04-10
23 SHS IYF - ISHARES DOW JNS US FINCL   2012-10-31 2013-05-07
168 SHS IYF - ISHARES DOW JNS US FINCL   2012-11-08 2013-05-07
155 SHS IYR - ISHARES DW JNS US RL ETF   2012-04-20 2013-06-13
63 SHS IYR - ISHARES DW JNS US RL ETF   2012-04-30 2013-06-13
86 SHS IYR - ISHS U.S.REAL ESTATE ETF   2012-04-30 2013-07-10
8 SHS IYR - ISHS U.S.REAL ESTATE ETF   2012-05-18 2013-07-10
137 SHS IYR - ISHS U.S.REAL ESTATE ETF   2013-03-13 2013-07-10
856 SHS JJE - IPATH DJ UBS ENR T/R ETN   2013-02-06 2013-05-07
288 SHS JJM - IPATH DJ UBS IND T/R ETN   2013-01-08 2013-03-13
136 SHS JJM - IPATH DJ UBS IND T/R ETN   2013-02-06 2013-03-13
106 SHS LQD - ISHARES IBOXX&INVT ETF   2012-01-31 2013-07-10
1 SHS LQD - ISHARES IBOXX&INVT ETF   2012-03-15 2013-07-10
1 SHS LQD - ISHARES IBOXX&INVT ETF   2012-04-04 2013-07-10
106 SHS LQD - ISHARES IBOXX&INVT ETF   2013-05-07 2013-07-10
108 SHS LQD - ISHARES INV GR BOND ETF   2012-01-31 2013-01-08
100 SHS LQD - ISHARES INV GR BOND ETF   2012-01-31 2013-03-13
133 SHS PCY - PWRSHS EM MAR SOV DE ETF   2013-01-08 2013-02-06
505 SHS PCY - PWRSHS EM MAR SOV DE ETF   2013-01-08 2013-05-07
249 SHS QQQ - POWERSHARES QQQ SER1 ETF   2013-06-13 2013-11-13
81 SHS SHY - ISHRS 1-3YR TREAS BD ETF   2012-01-31 2013-11-26
80 SHS VAW - VANGUARD MATERIALS ETF   2012-10-09 2013-04-10
40 SHS VAW - VANGUARD MATERIALS ETF   2012-10-18 2013-04-10
38 SHS VAW - VANGUARD MATERIALS ETF   2012-10-18 2013-05-07
81 SHS VAW - VANGUARD MATERIALS ETF   2012-10-31 2013-05-07
138 SHS XLE - ENERGY SECTOR SPDR ETF   2012-04-20 2013-04-10
1 SHS XLE - ENERGY SECTOR SPDR ETF   2012-04-25 2013-04-10
22 SHS XLE - ENERGY SECTOR SPDR ETF   2012-04-30 2013-04-10
114 SHS XLE - ENERGY SECTOR SPDR ETF   2012-04-30 2013-05-07
1 SHS XLE - ENERGY SECTOR SPDR ETF   2012-05-03 2013-05-07
7 SHS XLE - ENERGY SECTOR SPDR ETF   2012-05-08 2013-05-07
10 SHS XLE - ENERGY SECTOR SPDR ETF   2012-05-18 2013-05-07
178 SHS XLI - INDUSTRIAL SECTOR SP ETF   2012-10-09 2013-04-10
108 SHS XLI - INDUSTRIAL SECTOR SP ETF   2012-10-18 2013-04-10
73 SHS XLI - INDUSTRIAL SECTOR SP ETF   2012-10-18 2013-05-07
178 SHS XLI - INDUSTRIAL SECTOR SP ETF   2012-10-31 2013-05-07
293 SHS XLY - CONSUMR DISC SECTOR ETF   2012-01-31 2013-01-08
724 SHS SSRI - SILVER STANDARD RES INC   2011-06-13 2013-05-20
417 SHS SSRI - SILVER STANDARD RES INC   2011-11-16 2013-05-20
81 SHS STO - STATOIL ASA   2013-07-09 2013-12-27
131 SHS SWN - SOWSTN ENERGY CO   2012-07-13 2013-05-21
50 SHS SWN - SOWSTN ENERGY CO   2012-07-13 2013-06-24
52 SHS SWN - SOWSTN ENERGY CO   2012-07-13 2013-12-27
332 SHS TCK - TECK RESOURCES LTD CL B   2012-12-13 2013-05-24
29 SHS TOT - TOTAL S.A. SPONS ADR   2013-05-29 2013-06-24
46 SHS TOT - TOTAL S.A. SPONS ADR   2013-05-29 2013-12-27
2628 SHS UEC - URANIUM ENERGY CORP   2012-07-13 2013-07-15
614 SHS VALE - VALE S A ADR   2012-12-13 2013-05-24
17 SHS WLL - WHITING PETRO CORP   2013-11-06 2013-12-27
318 SHS WLT - WALTER ENERGY INC   2012-12-13 2013-08-21
161 SHS WY - WEYERHAEUSER CO   2012-12-28 2013-05-21
111 SHS WY - WEYERHAEUSER CO   2012-12-28 2013-12-27
99 SHS XEC - CIMAREX ENERGY CO   2012-07-13 2013-05-21
29 SHS XEC - CIMAREX ENERGY CO   2012-07-13 2013-06-24
97 SHS XEC - CIMAREX ENERGY CO   2012-07-13 2013-11-06
15 SHS XEC - CIMAREX ENERGY CO   2012-07-13 2013-12-27
38 SHS XOM - EXXON MOBIL CORP   2011-10-05 2013-06-24
87 SHS XOM - EXXON MOBIL CORP   2011-10-05 2013-11-06
643 SHS AAUKY - ANGLO AMERICAN PLC ADR   2011-11-17 2013-07-15
171 SHS AAUKY - ANGLO AMERICAN PLC ADR   2013-05-21 2013-07-15
73 SHS ABX - BARRICK GOLD CORP   2013-06-14 2013-12-27
584 SHS AG - FIRST MAJESTIC SILVER   2012-12-28 2013-05-20
17 SHS AGU - AGRIUM INC   2013-05-20 2013-06-24
13 SHS AGU - AGRIUM INC   2013-05-20 2013-12-27
412 SHS ANV - ALLIED NEVADA GOLD CORP   2012-04-05 2013-05-20
34 SHS BHP - BHP BILLITON LTD   2010-01-22 2013-06-24
4 SHS BHP - BHP BILLITON LTD   2010-01-22 2013-12-27
23 SHS BHP - BHP BILLITON LTD   2011-08-12 2013-12-27
86 SHS BP - BP PLC SPONS ADR   2011-12-29 2013-06-24
186 SHS BP - BP PLC SPONS ADR   2011-12-29 2013-11-06
300 SHS BTU - PEABODY ENERGY CORP   2010-12-09 2013-11-06
192 SHS BTU - PEABODY ENERGY CORP   2012-07-16 2013-11-06
154 SHS CCJ - CAMECO CORP   2012-04-05 2013-05-21
66 SHS CCJ - CAMECO CORP   2012-04-05 2013-06-24
382 SHS CCJ - CAMECO CORP   2012-04-05 2013-08-21
11 SHS CLR - CONTINENTAL RESOURCES IN   2013-11-06 2013-12-27
43 SHS COP - CONOCOPHILLIPS   2011-08-12 2013-06-24
40 SHS COP - CONOCOPHILLIPS   2011-08-12 2013-12-27
20 SHS CVX - CHEVRON CORPORATION   2013-05-24 2013-06-24
27 SHS CVX - CHEVRON CORPORATION   2013-05-24 2013-11-06
14 SHS CVX - CHEVRON CORPORATION   2013-05-24 2013-12-27
14 SHS CXO - CONCHO RESOURCES INC   2013-11-06 2013-12-27
26 SHS DEL - DELTIC TIMBER CORP   2012-04-05 2013-06-24
63 SHS DEL - DELTIC TIMBER CORP   2012-04-05 2013-11-06
58 SHS DEL - DELTIC TIMBER CORP   2013-05-24 2013-11-06
64 SHS E - ENI S P A   2013-05-31 2013-12-27
7 SHS EOG - EOG RESOURCES INC   2013-11-26 2013-12-27
64 SHS EXXI - ENERGY XXI BERMUDA LTD   2013-05-24 2013-06-24
57 SHS EXXI - ENERGY XXI BERMUDA LTD   2013-05-24 2013-12-27
112 SHS FCX - FREEPORT-MCMORAN COPPER   2013-05-20 2013-12-27
26 SHS FNV - FRANCO-NEVADA CORP   2012-12-28 2013-12-27
0.1 SHS FQVLF - FIRST QUANTUM MINERALS F   2010-12-09 2013-05-09
411 SHS FQVLF - FIRST QUANTUM MINERALS F   2010-12-09 2013-05-24
558 SHS FQVLF - FIRST QUANTUM MINERALS F   2012-12-13 2013-05-24
1 SHS FQVLF - FIRST QUANTUM MINERALS F   2010-12-09 2013-06-24
66 SHS GLD - SPDR GOLD TRUST ETF   2010-12-09 2013-05-24
0.35 SHS GULTU - GULF COAST ULTRA DEEP   2013-06-04 2013-06-04
1328 SHS GULTU - GULF COAST ULTRA DEEP   2013-06-04 2013-06-24
21 SHS HES - HESS CORPORATION   2013-11-06 2013-12-27
421 SHS IAU - ISHARES GOLD TRUST ETF   2011-06-14 2013-05-24
3523 SHS IAU - ISHARES GOLD TRUST ETF   2011-10-04 2013-05-24
48 SHS IMO - IMPERIAL OIL LTD NEW   2013-05-24 2013-06-24
206 SHS IMO - IMPERIAL OIL LTD NEW   2013-05-24 2013-11-26
250 SHS INMET MINING CORP   2010-12-09 2013-05-09
9 SHS MCF - CONTANGO OIL & GAS   2010-06-15 2013-06-24
50 SHS MCF - CONTANGO OIL & GAS   2011-03-18 2013-06-24
70 SHS MCF - CONTANGO OIL & GAS   2011-03-18 2013-12-27
1469 SHS MCMORAN EXPL CO   2013-05-29 2013-06-04
22 SHS MOS - MOSAIC COMPANY   2013-05-20 2013-06-24
53 SHS MOS - MOSAIC COMPANY   2013-05-20 2013-12-27
483 SHS MSB - MESABI TRUST CBI   2012-12-13 2013-05-17
65 SHS MUR - MURPHY OIL CORP   2010-12-09 2013-05-21
26 SHS MUR - MURPHY OIL CORP   2010-12-09 2013-06-24
16 SHS MUR - MURPHY OIL CORP   2010-12-09 2013-12-27
32 SHS MUSA - MURPHY USA INC   2010-12-09 2013-11-06
289 SHS NEM - NEWMONT MINING CORP NEW   2013-06-14 2013-11-06
198 SHS NGD - NEW GOLD INC   2012-05-22 2013-06-24
22 SHS OXY - OCCIDENTAL PETE CORP   2013-05-24 2013-06-24
11 SHS OXY - OCCIDENTAL PETE CORP   2013-05-24 2013-12-27
37 SHS PALL - ETFS PALLADIUM TRUST ETF   2012-12-13 2013-05-21
17 SHS PALL - ETFS PALLADIUM TRUST ETF   2012-12-13 2013-06-24
16 SHS PALL - ETFS PALLADIUM TRUST ETF   2012-12-13 2013-12-27
101 SHS PCH - POTLATCH HLDGS INC   2012-12-28 2013-05-21
42 SHS PCL - PLUM CRK TMBR CO   2012-04-05 2013-12-27
38 SHS POT - POTASH CORP OF SASK INC   2013-05-24 2013-06-24
75 SHS POT - POTASH CORP OF SASK INC   2013-05-24 2013-12-27
15 SHS PPLT - ETFS PLATINUM TRUST ETF   2013-05-24 2013-06-24
43 SHS PXD - PIONEER NAT RES CO   2012-05-30 2013-05-21
17 SHS PXD - PIONEER NAT RES CO   2012-05-30 2013-06-24
15 SHS PXD - PIONEER NAT RES CO   2012-05-30 2013-12-27
3996 SHS RBY - RUBICON MINERALS CORP   2012-05-22 2013-05-20
24 SHS RDS'A - ROYAL DUTCH SHL ADR CL A   2013-05-24 2013-06-24
20 SHS RDS'A - ROYAL DUTCH SHL ADR CL A   2013-05-24 2013-12-27
131 SHS REPYY - REPSOL YPF S.A.   2013-05-30 2013-12-27
30 SHS RRC - RANGE RESOURCES CORP   2013-11-06 2013-12-27
73 SHS RYN - RAYONIER INC   2011-12-30 2013-05-21
26 SHS RYN - RAYONIER INC   2011-12-30 2013-12-27
306 SHS SCCO - SOUTHERN COPPER CORP   2012-12-13 2013-05-24
115 SHS SLV - I SHARES SILVER TR ETF   2011-06-16 2013-05-24
168 SHS SLV - I SHARES SILVER TR ETF   2011-08-12 2013-05-24
450 SHS SLV - I SHARES SILVER TR ETF   2011-10-05 2013-05-24
57 SHS SLW - SILVER WHEATON CORP   2010-12-09 2013-12-27
30 SHS SM - SM ENERGY CO COM   2013-05-24 2013-06-24
32 SHS SM - SM ENERGY CO COM   2013-05-24 2013-11-06
50000 SHS ALCOA INC 5.4% 041521   2012-06-28 2013-06-17
10000 SHS ALCOA INC 5.4% 041521   2012-12-26 2013-06-17
50000 SHS FHLMC 4.5% 1/15/14   2009-03-05 2013-12-31
50000 SHS REYNOLDS 3.25% 110122   2012-11-07 2013-07-10
25000 SHS TIME WARNER 5% 02/01/20   2011-06-22 2013-07-08
20000 SHS TIME WARNER 5% 02/01/20   2012-12-26 2013-07-08
43000 SHS UNITED TECHS 3.1% 060122   2012-06-20 2013-10-24
50000 SHS WALGREEN 5.25% 01/15/19   2010-01-21 2013-03-18
78 SHS A - AGILENT TECH INC   2010-12-09 2013-12-16
26 SHS A - AGILENT TECH INC   2013-04-19 2013-12-16
443 SHS ABBV - ABBVIE INC   2011-10-26 2013-12-16
23 SHS ABBV - ABBVIE INC   2012-07-31 2013-12-16
443 SHS ABT - ABBOTT LABORATORIES   2011-10-26 2013-12-16
23 SHS ABT - ABBOTT LABORATORIES   2012-07-31 2013-12-16
462 SHS AFL - AFLAC INC   2013-05-03 2013-12-16
300 SHS AGN - ALLERGAN INC   2009-12-31 2013-12-16
374 SHS AMGN - AMGEN INC   2011-11-22 2013-12-16
237 SHS APC - ANADARKO PETROLEUM CORP   2013-03-25 2013-12-16
277 SHS BBBY - BED BATH & BEYOND INC   2013-07-11 2013-12-16
222 SHS CAT - CATERPILLAR INC   2013-05-09 2013-11-18
105 SHS CELG - CELGENE CORP   2009-09-24 2013-12-16
23 SHS CELG - CELGENE CORP   2009-12-31 2013-12-16
139 SHS CELG - CELGENE CORP   2010-07-21 2013-12-16
9 SHS CELG - CELGENE CORP   2010-08-13 2013-12-16
227 SHS CERN - CERNER CORP   2013-08-08 2013-12-16
145 SHS CLR - CONTINENTAL RESOURCES IN   2010-12-17 2013-12-16
1 SHS CLR - CONTINENTAL RESOURCES IN   2012-07-31 2013-12-16
701 SHS CSCO - CISCO SYS INC   2011-09-19 2013-11-25
661 SHS CSCO - CISCO SYS INC   2011-09-19 2013-12-16
122 SHS CSCO - CISCO SYS INC   2012-07-31 2013-12-16
347 SHS CVS - CVS CAREMARK CORP   2013-11-25 2013-12-16
474 SHS DIS - DISNEY WALT COMPANY   2012-06-13 2013-12-16
16 SHS DIS - DISNEY WALT COMPANY   2012-07-31 2013-12-16
340 SHS DOV - DOVER CORP COMMON   2010-12-09 2013-12-16
246 SHS DPS - DR PEPPER SNAPPLE GROUP   2010-06-24 2013-10-21
22 SHS DPS - DR PEPPER SNAPPLE GROUP   2010-08-13 2013-10-21
119 SHS ECL - ECOLAB INC   2013-05-03 2013-12-16
58 SHS ECL - ECOLAB INC   2013-05-09 2013-12-16
1054 SHS EMC - EMC CORP   2010-07-22 2013-05-08
14 SHS EMC - EMC CORP   2010-08-13 2013-05-08
141 SHS FCX - FREEPORT-MCMORAN COPPER   2010-12-09 2013-12-16
367 SHS FCX - FRPRT-MCMRN CPPR & GLD B   2010-12-09 2013-04-19
329 SHS FDO - FAMILY DOLLAR STORES INC   2013-02-01 2013-12-16
430 SHS FISV - FISERV INC   2007-03-27 2013-01-15
538 SHS FOXA - TWENTY-FIRST CENTY A   2013-07-26 2013-12-16
652 SHS GE - GENERAL ELECTRIC COMPANY   2013-10-25 2013-12-16
339 SHS GNC - GNC HOLDINGS INC   2012-09-06 2013-12-16
293 SHS HD - HOME DEPOT INC   2010-04-01 2013-12-16
1 SHS HD - HOME DEPOT INC   2010-04-12 2013-12-16
528 SHS HEINZ H J CO COMMON   2012-04-24 2013-05-08
18 SHS HEINZ H J CO COMMON   2012-07-31 2013-05-08
282 SHS HON - HONEYWELL INTERNATIONAL   2010-12-09 2013-12-16
166 SHS IBM - INTL BUSINESS MACH CORP   2010-12-09 2013-12-16
842 SHS INTC - INTEL CORP   2009-12-31 2013-12-16
762 SHS KO - COCA COLA COMPANY   2011-08-25 2013-12-16
58 SHS KO - COCA COLA COMPANY   2012-07-31 2013-12-16
1447 SHS MAS - MASCO CORP   2012-09-21 2013-12-16
182 SHS MMM - 3M CO   2010-04-01 2013-12-16
677 SHS MRK - MERCK & CO INC NEW   2013-02-25 2013-12-16
730 SHS MSFT - MICROSOFT CORP   2012-02-13 2013-12-16
26 SHS MSFT - MICROSOFT CORP   2012-07-31 2013-12-16
377 SHS MSFT - MICROSOFT CORP   2013-11-08 2013-12-16
350 SHS NVDA - NVIDIA CORP   2011-06-27 2013-11-08
422 SHS NVDA - NVIDIA CORP   2011-06-27 2013-12-16
228 SHS OII - OCEANEERING INTL INC   2010-12-17 2013-12-16
92 SHS OXY - OCCIDENTAL PETE CORP   2009-12-31 2013-03-25
1144 SHS PFE - PFIZER INCORPORATED   2012-09-21 2013-12-16
260 SHS PG - PROCTER & GAMBLE CO   2008-11-05 2013-12-16
178 SHS PII - POLARIS INDS INC   2012-07-17 2013-12-16
8 SHS PII - POLARIS INDS INC   2012-07-31 2013-12-16
402 SHS PM - PHILIP MORRIS INTL INC   2010-12-09 2013-12-16
55 SHS PNRA - PANERA BREAD COMPANY   2013-05-09 2013-08-02
361 SHS QCOM - QUALCOMM INC   2012-11-21 2013-12-16
494 SHS SBH - SALLY BEAUTY CO INC   2012-08-28 2013-08-14
216 SHS SLB - SCHLUMBERGER LTD   2010-11-04 2013-12-16
183 SHS TEVA - TEVA PHARMACEUTICAL ADR   2010-06-24 2013-02-25
67 SHS TEVA - TEVA PHARMACEUTICAL ADR   2010-07-21 2013-02-25
34 SHS TEVA - TEVA PHARMACEUTICAL ADR   2010-08-13 2013-02-25
340 SHS TGT - TARGET CORP   2007-03-27 2013-09-04
226 SHS TSCO - TRACTOR SUPPLY COMPANY   2012-07-20 2013-12-16
14 SHS TSCO - TRACTOR SUPPLY COMPANY   2012-07-31 2013-12-16
272 SHS UTX - UNITED TECHNOLOGIES CORP   2009-12-31 2013-12-16
110 SHS VFC - VF CORPORATION   2013-09-05 2013-12-16
614 SHS VZ - VERIZON COMMUNICATIONS   2010-12-09 2013-12-16
869 SHS WFC - WELLS FARGO COMPANY   2012-03-02 2013-12-16
37 SHS WFC - WELLS FARGO COMPANY   2012-07-31 2013-12-16
223 SHS XOM - EXXON MOBIL CORP   2010-07-26 2013-12-16
14 SHS XOM - EXXON MOBIL CORP   2010-08-13 2013-12-16
233 SHS XOM - EXXON MOBIL CORP   2010-12-17 2013-12-16
580 SHS YUM - YUM BRANDS INC   2010-12-09 2013-05-01
Capital Gains Dividends P    
(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 4,006   3,808 198
b 7,358   6,767 591
c 2,125   1,985 140
d 3,265   3,087 178
e 2,125   2,226 -101
1,088   1,124 -36
8,058   6,869 1,189
5,863   7,178 -1,315
6,746   7,544 -798
8,019   4,834 3,185
4,831   6,864 -2,033
7,490   4,862 2,628
4,494   3,045 1,449
2,621   2,453 168
3,121   3,004 117
6,108   6,888 -780
4,137   3,665 472
4,557   7,161 -2,604
3,270   3,491 -221
1,616   1,831 -215
6,658   6,767 -109
1,906   1,454 452
7,780   6,089 1,691
3,501   2,979 522
2,134   1,761 373
3,480   2,862 618
3,078   2,742 336
7,350   6,739 611
5,166   4,218 948
7,986   8,279 -293
5,937   5,902 35
8,602   8,465 137
2,889   2,060 829
4,684   3,490 1,194
4,193   4,774 -581
12,976   8,985 3,991
5,761   4,555 1,206
10,791   8,532 2,259
6,047   4,816 1,231
3,879   2,289 1,590
2,510   1,409 1,101
4,512   3,434 1,078
2,350   1,741 609
2,632   1,878 754
6,630   4,798 1,832
2,567   2,053 514
400   320 80
6,003   4,853 1,150
1,734   1,434 300
6,250   7,461 -1,211
1,013   1,037 -24
7,007   4,805 2,202
6,943   6,109 834
1,860   1,865 -5
5,278   4,491 787
1,902   1,716 186
6,142   8,249 -2,107
10,810   7,533 3,277
16,387   9,894 6,493
3,102   2,813 289
2,640   2,851 -211
6,139   6,045 94
6,942   7,022 -80
7,568   6,143 1,425
6,823   4,545 2,278
1,985   1,572 413
8,178   7,734 444
5,972   5,777 195
6     6
6,469   5,028 1,441
7,144   6,478 666
4,522   2,349 2,173
1,351   728 623
4,660   2,861 1,799
4,274   4,777 -503
27     27
4,877   4,163 714
3,211   2,917 294
2,707   2,980 -273
5,332   6,486 -1,154
7,142   6,317 825
2,198   1,824 374
6,317   6,900 -583
895   1,519 -624
3,093   4,585 -1,492
3,313   4,884 -1,571
6,831   7,078 -247
3,679   4,120 -441
8,695   7,041 1,654
3,416   2,653 763
2,006   2,083 -77
6,363   6,705 -342
1,141   881 260
1,849   1,451 398
8,883   6,604 2,279
6,052   6,212 -160
2,343   2,356 -13
2,259   2,112 147
2,873   2,610 263
1,841   1,694 147
3,277   3,360 -83
3,430   3,503 -73
4,440   5,184 -744
1,434   1,681 -247
17,409   11,719 5,690
8,106   6,860 1,246
7,880   7,276 604
4,513   4,775 -262
1,564   1,426 138
1,945   1,773 172
1,414   1,015 399
5,528   6,860 -1,332
2,262   2,258 4
4,425   4,281 144
3,150   3,188 -38
888   720 168
1,940   1,576 364
4,898   4,120 778
1,666   1,402 264
3,413   3,449 -36
1,794   1,897 -103
5,428   6,882 -1,454
1,292   1,689 -397
1,241   1,606 -365
1,034   1,339 -305
1,448   1,867 -419
19,144   14,670 4,474
2,523   1,913 610
10,283   7,866 2,417
5,827   4,277 1,550
4,992   6,533 -1,541
15,174   11,947 3,227
3,120   2,892 228
3,765   2,375 1,390
6,168   3,895 2,273
2,711   2,019 692
6,952   6,831 121
4,495   10,616 -6,121
619   1,573 -954
1,242   1,165 77
5,990   5,626 364
6,332   5,351 981
1,508   1,399 109
1,034   976 58
12,824   8,492 4,332
1,557   1,398 159
10,965   9,040 1,925
7,905   5,862 2,043
12,769   8,739 4,030
2,062   1,905 157
9,029   8,102 927
155   184 -29
4,779   5,762 -983
2,036   2,790 -754
3,126   3,786 -660
11,743   4,815 6,928
2,405   2,240 165
5,642   4,551 1,091
441   372 69
3,548   2,963 585
26,548   16,233 10,315
5,048   6,638 -1,590
9,642   5,512 4,130
6,912   5,739 1,173
8,189   4,765 3,424
10,081   7,443 2,638
14,095   10,517 3,578
5,039   4,436 603
10,610   10,399 211
4,822   4,384 438
4,871   4,809 62
14,093   10,389 3,704
1,389   1,187 202
2,408   1,761 647
6,805   2,391 4,414
7,376   2,751 4,625
15,342   12,384 2,958
1,096   1,268 -172
5,324   6,182 -858
4,968   8,877 -3,909
1,437   2,580 -1,143
736   725 11
9,725   8,583 1,142
5,063   4,175 888
14,662   11,984 2,678
175   144 31
20,883   14,438 6,445
498   560 -62
16,279   15,939 340
4,641   4,498 143
13,318   13,434 -116
261   213 48
15,203   13,677 1,526
7,035   6,177 858
6,775   5,839 936
3,335   3,260 75
427   323 104
23,631   17,650 5,981
11,593   11,464 129
4,821   3,425 1,396
6,446   4,235 2,211
3,383   1,806 1,577
11,665   6,048 5,617
678   414 264
6,075   3,151 2,924
6,835   4,093 2,742
4,177   2,622 1,555
128   111 17
15,404   11,390 4,014
14,790   9,508 5,282
3,336   2,578 758
5,060   5,143 -83
400   398 2
6,208   5,575 633
10,840   9,192 1,648
6,300   5,476 824
8,296   7,050 1,246
289   200 89
11,745   6,564 5,181
8,456   4,535 3,921
7,974   6,267 1,707
5,119   3,646 1,473
11,199   8,016 3,183
10,719   8,127 2,592
346   243 103
12,678   7,917 4,761
7,785   5,153 2,632
15,560   12,626 2,934
228   208 20
14,512   11,546 2,966
471   429 42
18,874   17,442 1,432
15,393   13,716 1,677
1,153   906 247
1,284   928 356
2,292   1,749 543
2,842   2,128 714
18,703   17,121 1,582
14,705   12,841 1,864
8,650   7,655 995
16,366   11,259 5,107
16,649   11,994 4,655
221   127 94
3,393   2,147 1,246
3,593   2,632 961
2,196   1,687 509
16,857   17,198 -341
785   662 123
20,147   14,175 5,972
16,435   11,804 4,631
5,166   3,677 1,489
160   102 58
19,848   10,063 9,785
13,190   9,937 3,253
529   372 157
2,313   1,550 763
12,026   8,699 3,327
8,326   6,210 2,116
6,361   3,525 2,836
2,796   1,503 1,293
29,278   15,999 13,279
22,467   11,795 10,672
13,279   11,844 1,435
5,323   4,526 797
291   238 53
3,375   2,348 1,027
18,391   13,619 4,772
5,967   4,596 1,371
8,416   8,535 -119
105   102 3
4,402   4,278 124
10,943   12,671 -1,728
7,065   8,901 -1,836
7,715   9,660 -1,945
14   10 4
10   7 3
875   581 294
630   401 229
574   472 102
35,351   24,870 10,481
8,184   5,950 2,234
972   713 259
13,937   10,435 3,502
25,016   23,108 1,908
25,724   10,243 15,481
567   431 136
14,515   9,912 4,603
6,241   4,516 1,725
16,632   16,362 270
361   437 -76
13,475   15,589 -2,114
5,098   5,361 -263
26,226   16,755 9,471
468   428 40
11,375   8,580 2,795
7,836   5,964 1,872
15,509   12,891 2,618
2,733   2,067 666
1,164   919 245
4,863   3,560 1,303
26,563   17,915 8,648
9,025   6,145 2,880
18,164   16,854 1,310
798   808 -10
8,383   8,690 -307
2,440   2,627 -187
10,323   11,766 -1,443
803   439 364
4,149   2,218 1,931
96   54 42
11,578   7,144 4,434
8,250   5,829 2,421
5,837   4,513 1,324
163   146 17
21,233   14,305 6,928
147   135 12
2,800   2,287 513
3,071   2,466 605
26,246   17,940 8,306
16,194   13,363 2,831
18,261   11,496 6,765
12,086   7,977 4,109
7,182   4,918 2,264
3,501   2,186 1,315
15,371   10,725 4,646
15,153   14,877 276
6,422   6,330 92
625   548 77
12,215   8,258 3,957
12,063   7,294 4,769
12,832   12,408 424
18,532   12,181 6,351
14,878   10,357 4,521
7,228   5,163 2,065
9,494   4,849 4,645
331   180 151
3,350   1,751 1,599
19,068   9,415 9,653
5,927   5,731 196
576   478 98
12,367   10,268 2,099
12,175   11,713 462
651   600 51
8,940   7,644 1,296
7,713   7,035 678
1,828   1,704 124
32,740   27,174 5,566
10,999   8,818 2,181
10,314   8,566 1,748
877   726 151
24,043   18,293 5,750
12,364   12,818 -454
8,803   9,317 -514
3,129   2,166 963
5,802   4,127 1,675
1,160   691 469
2,497   1,563 934
2,707   1,636 1,071
40,960   34,537 6,423
445   395 50
13,206   8,693 4,513
16,808   11,375 5,433
16,635   16,592 43
304   254 50
5,730   3,855 1,875
10,555   6,335 4,220
101,632   101,516 116
20,824   21,473 -649
10,641   14,460 -3,819
20,746   24,850 -4,104
188   172 16
15,131   13,362 1,769
10,255   12,264 -2,009
2,256   2,425 -169
16,760   20,011 -3,251
126   134 -8
4,138   14,723 -10,585
2,378   8,261 -5,883
17,822   14,974 2,848
2,903   2,584 319
14,315   12,906 1,409
330   340 -10
7,397   8,072 -675
14,009   15,457 -1,448
231   373 -142
139   153 -14
14,440   9,812 4,628
14,734   14,707 27
140   147 -7
29,711   28,662 1,049
11,636   9,567 2,069
53   46 7
8,253   20,489 -12,236
59   104 -45
17,083   10,277 6,806
3,893   2,324 1,569
13,927   8,354 5,573
173   96 77
4,295   4,660 -365
4,589   3,347 1,242
3,108   2,175 933
3,312   3,148 164
1,232   2,187 -955
1,191   2,116 -925
4,493   6,308 -1,815
5,945   7,977 -2,032
211   284 -73
8,440   6,752 1,688
2     2
4,466   2,625 1,841
3,035   1,524 1,511
2,672   2,222 450
4,448   3,205 1,243
1,109   709 400
46,014   43,696 2,318
19,711   19,336 375
17,140   16,720 420
8,306   8,342 -36
7,515   7,594 -79
15,971   17,738 -1,767
22,922   25,149 -2,227
5,132   4,675 457
2,477   1,956 521
1,520   1,375 145
19,593   14,868 4,725
3,798   3,034 764
1,640   1,252 388
2,589   2,135 454
2,072   1,776 296
2,762   2,662 100
2,201   1,795 406
1,034   813 221
2,844   2,325 519
5,834   4,087 1,747
4,476   2,710 1,766
1,961   1,351 610
6,186   4,585 1,601
6,840   4,811 2,029
7,946   7,360 586
18,517   15,273 3,244
3,445   3,190 255
1,931   1,703 228
3,659   2,919 740
24,547   18,039 6,508
2,427   2,118 309
22,460   16,677 5,783
14,713   13,748 965
1,878   2,508 -630
5,438   7,229 -1,791
5,438   7,564 -2,126
5,105   6,521 -1,416
1,332   1,447 -115
2,035   2,218 -183
3,008   4,385 -1,377
5,536   6,897 -1,361
25,149   25,199 -50
5,033   6,734 -1,701
5,479   7,371 -1,892
1,541   1,990 -449
6,928   5,788 1,140
9,201   9,662 -461
9,438   9,634 -196
6,413   6,421 -8
21,591   20,319 1,272
41,896   37,662 4,234
43,316   38,739 4,577
19,170   18,435 735
27,790   24,769 3,021
9,379   7,895 1,484
5,977   5,439 538
8,687   7,790 897
1,247   1,058 189
8,731   6,016 2,715
794   497 297
6,917   5,579 1,338
1,247   1,075 172
10,857   8,406 2,451
1,912   1,620 292
40,804   32,458 8,346
2,585   2,389 196
28,857   21,870 6,987
6,098   5,067 1,031
7,042   5,965 1,077
7,558   6,565 993
3,865   3,562 303
25,146   25,211 -65
4,540   4,785 -245
9,761   9,756 5
9,420   9,389 31
5,700   6,231 -531
3,311   3,364 -53
8,654   8,426 228
3,791   3,685 106
4,836   4,065 771
1,741   1,509 232
34,990   29,503 5,487
4,059   3,757 302
9,592   7,608 1,984
8,837   6,950 1,887
24,942   19,724 5,218
4,188   3,704 484
5,634   5,093 541
13,853   8,635 5,218
3,640   2,971 669
1,721   1,388 333
29,744   37,769 -8,025
24,168   14,638 9,530
3,936   5,010 -1,074
53,976   30,996 22,980
14,317   10,499 3,818
4,087   3,603 484
2,198   1,865 333
11,818   9,749 2,069
6,628   14,931 -8,303
12,839   8,001 4,838
7,774   5,986 1,788
9,925   6,626 3,299
2,521   1,683 838
14,638   7,823 6,815
1,055   1,092 -37
4,677   4,716 -39
11,573   12,651 -1,078
2,290   2,370 -80
375   393 -18
29,250   28,593 657
54,132   53,836 296
1,006   1,017 -11
10,195   10,493 -298
7,319   7,577 -258
2,897   2,981 -84
7,970   8,198 -228
2,539   2,575 -36
48,971   48,924 47
45,141   45,149 -8
48,139   48,159 -20
36,639   36,827 -188
9,902   10,248 -346
23,383   25,324 -1,941
10,288   11,129 -841
1,871   2,019 -148
21,172   20,350 822
53,912   48,462 5,450
17   17 0
21   21 0
24   24 0
23   23 0
124   124 0
149   149 0
153   153 0
130   130 0
143   143 0
130   130 0
122   122 0
67   67 0
53   53 0
34   34 0
35   35 0
54   54 0
14   14 0
12   12 0
2   2 0
2   2 0
12   12 0
16   16 0
12   12 0
10   10 0
58   58 0
83   83 0
75   75 0
61   61 0
1,839   1,839 0
1,643   1,643 0
1,446   1,446 0
1,038   1,038 0
916   916 0
919   919 0
903   903 0
494   494 0
266   266 0
172   172 0
218   218 0
442   442 0
989   989 0
782   782 0
779   779 0
771   771 0
644   644 0
535   535 0
704   704 0
451   451 0
255   255 0
172   172 0
171   171 0
188   188 0
663   663 0
487   487 0
434   434 0
553   553 0
56   56 0
68   68 0
84   84 0
42   42 0
42   42 0
23   23 0
20   20 0
14   14 0
31   31 0
659   659 0
855   855 0
571   571 0
379   379 0
577   577 0
623   623 0
679   679 0
700   700 0
316   316 0
314   314 0
374   374 0
438   438 0
1,484   1,484 0
1,286   1,286 0
1,382   1,382 0
1,149   1,149 0
1,075   1,075 0
630   630 0
381   381 0
332   332 0
390   390 0
296   296 0
591   591 0
579   579 0
550   550 0
471   471 0
85   85 0
104   104 0
21   21 0
22   22 0
38   38 0
56   56 0
40   40 0
20   20 0
24   24 0
20   20 0
24   24 0
14   14 0
1   1 0
3   3 0
3   3 0
31   31 0
3   3 0
28   28 0
3   3 0
3   3 0
10   10 0
7   7 0
6   6 0
21   21 0
20   20 0
13   13 0
14   14 0
13   13 0
3   3 0
3   3 0
28   28 0
8   8 0
10   10 0
11   11 0
5   5 0
6   6 0
5   5 0
31   31 0
29   29 0
6   6 0
31   31 0
22   22 0
4   4 0
17   17 0
5   5 0
4   4 0
4   4 0
4   4 0
25   25 0
16   16 0
15   15 0
4   4 0
3   3 0
3   3 0
3   3 0
3   3 0
203   203 0
845   845 0
682   682 0
644   644 0
696   696 0
655   655 0
549   549 0
558   558 0
128   128 0
137   137 0
132   132 0
129   129 0
116   116 0
107   107 0
48   48 0
38   38 0
33   33 0
31   31 0
27   27 0
18   18 0
27   27 0
27   27 0
22   22 0
24   24 0
21   21 0
1,159   1,159 0
1,031   1,031 0
1,015   1,015 0
725   725 0
790   790 0
778   778 0
531   531 0
413   413 0
111   111 0
136   136 0
161   161 0
158   158 0
596   596 0
428   428 0
597   597 0
852   852 0
679   679 0
508   508 0
367   367 0
151   151 0
229   229 0
165   165 0
135   135 0
188   188 0
257   257 0
753   753 0
782   782 0
205   205 0
345   345 0
20   20 0
20   20 0
20   20 0
23   23 0
21   21 0
254   254 0
138   138 0
2,492   2,492 0
1,309   1,309 0
1,089   1,089 0
1,128   1,128 0
2,159   2,159 0
895   895 0
1,101   1,101 0
338   338 0
197   197 0
462   462 0
598   598 0
412   412 0
87   87 0
130   130 0
113   113 0
84   84 0
323   323 0
280   280 0
389   389 0
230   230 0
122   122 0
306   306 0
237   237 0
113   113 0
23,146   23,173 -27
22,365   23,505 -1,140
211   221 -10
105   110 -5
422   437 -15
211   219 -8
105   110 -5
316   332 -16
106   111 -5
14,457   14,726 -269
9,072   9,809 -737
12,052   12,507 -455
8,836   9,908 -1,072
11,755   13,060 -1,305
2,388   2,019 369
787   662 125
760   645 115
12,172   12,114 58
50   50 0
12,182   11,976 206
4,485   4,492 -7
4,748   4,798 -50
9,782   10,412 -630
9,686   10,185 -499
6,459   4,929 1,530
11,691   11,609 82
10,814   10,869 -55
5,709   4,947 762
5,572   4,920 652
4,265   3,649 616
1,632   1,354 278
11,921   9,773 2,148
10,397   9,713 684
4,226   4,013 213
5,749   5,479 270
535   480 55
9,158   9,446 -288
15,108   15,416 -308
9,510   10,009 -499
4,491   4,868 -377
11,988   12,324 -336
113   114 -1
113   115 -2
11,988   12,833 -845
13,048   12,556 492
11,897   11,626 271
4,043   4,167 -124
15,640   15,823 -183
20,608   17,961 2,647
6,847   6,850 -3
7,021   6,648 373
3,511   3,409 102
3,417   3,239 178
7,284   6,604 680
10,923   9,545 1,378
79   70 9
1,741   1,561 180
9,169   8,091 1,078
80   70 10
563   472 91
804   642 162
7,443   6,533 910
4,516   4,045 471
3,115   2,734 381
7,596   6,488 1,108
14,178   12,106 2,072
5,008   18,133 -13,125
2,884   6,234 -3,350
1,942   1,685 257
5,197   4,147 1,050
1,778   1,583 195
2,061   1,646 415
9,049   11,750 -2,701
1,366   1,488 -122
2,817   2,360 457
5,692   5,353 339
9,511   11,672 -2,161
1,049   1,102 -53
3,857   11,637 -7,780
5,247   4,475 772
3,468   3,085 383
7,014   5,193 1,821
1,856   1,521 335
9,904   5,088 4,816
1,560   787 773
3,383   2,801 582
8,098   6,412 1,686
6,522   12,127 -5,605
1,735   2,100 -365
1,271   1,426 -155
6,213   11,504 -5,291
1,434   1,554 -120
1,186   1,188 -2
3,190   12,523 -9,333
1,953   2,539 -586
269   299 -30
1,548   1,856 -308
3,579   3,659 -80
8,709   7,914 795
6,048   18,513 -12,465
3,871   4,204 -333
3,435   3,149 286
1,336   1,350 -14
7,409   7,812 -403
1,248   1,280 -32
2,555   2,175 380
2,815   2,024 791
2,341   2,509 -168
3,267   3,387 -120
1,755   1,756 -1
1,514   1,502 12
1,643   1,581 62
3,858   3,830 28
3,552   3,870 -318
3,088   2,947 141
1,182   1,190 -8
1,544   1,638 -94
1,556   1,459 97
4,201   3,659 542
1,066   1,472 -406
2   2 0
7,461   9,578 -2,117
10,129   11,796 -1,667
14   23 -9
8,853   8,858 -5
1   1 0
2,678   2,719 -41
1,741   1,698 43
5,663   6,203 -540
47,385   55,253 -7,868
1,802   1,862 -60
8,821   7,990 831
8,970   8,970 0
310   415 -105
1,721   2,930 -1,209
3,301   4,102 -801
25,127   24,679 448
1,211   1,346 -135
2,491   3,242 -751
9,907   11,695 -1,788
4,206   4,553 -347
1,563   1,821 -258
1,031   965 66
1,335   1,245 90
8,058   9,562 -1,504
1,163   1,661 -498
1,944   2,001 -57
1,044   1,001 43
2,705   2,513 192
1,102   1,154 -52
1,111   1,083 28
5,150   3,903 1,247
1,941   1,736 205
1,452   1,561 -109
2,475   3,080 -605
1,959   2,138 -179
6,008   4,226 1,782
2,427   1,671 756
2,808   1,474 1,334
6,442   11,389 -4,947
1,524   1,616 -92
1,422   1,347 75
3,318   3,084 234
2,508   2,225 283
4,371   3,289 1,082
1,109   1,171 -62
9,565   11,679 -2,114
2,495   3,945 -1,450
3,644   6,347 -2,703
9,761   13,164 -3,403
1,166   2,193 -1,027
1,786   1,853 -67
2,847   1,977 870
50,750   50,326 424
10,150   10,325 -175
50,080   54,510 -4,430
46,447   50,605 -4,158
24,782   26,306 -1,524
19,825   23,461 -3,636
42,701   44,958 -2,257
58,308   54,367 3,941
43,491   25,092 18,399
14,497   10,242 4,255
23,571   12,341 11,230
1,224   800 424
16,202   11,381 4,821
841   738 103
30,692   25,742 4,950
30,080   19,042 11,038
42,055   20,731 21,324
18,749   20,719 -1,970
21,310   21,220 90
18,674   20,089 -1,415
17,200   5,634 11,566
3,768   1,286 2,482
22,770   7,217 15,553
1,474   504 970
12,293   11,019 1,274
15,311   8,318 6,993
106   66 40
15,003   11,461 3,542
13,692   10,807 2,885
2,527   1,955 572
23,535   23,213 322
33,442   22,039 11,403
1,129   792 337
31,234   19,894 11,340
11,034   9,218 1,816
987   812 175
12,172   10,122 2,050
5,933   5,033 900
24,600   20,824 3,776
327   264 63
4,876   7,844 -2,968
10,232   20,417 -10,185
20,987   18,656 2,331
34,849   23,113 11,736
17,665   16,310 1,355
17,600   16,834 766
19,763   13,558 6,205
23,214   9,525 13,689
79   34 45
38,228   27,607 10,621
1,303   995 308
24,684   14,572 10,112
29,574   24,102 5,472
20,597   17,359 3,238
29,973   26,025 3,948
2,281   2,357 -76
31,026   23,514 7,512
23,242   15,282 7,960
32,577   28,993 3,584
26,926   22,323 4,603
959   771 188
13,905   14,162 -257
5,342   5,403 -61
6,362   6,509 -147
18,136   8,487 9,649
7,178   7,554 -376
34,691   28,141 6,550
21,281   17,134 4,147
24,167   13,316 10,851
1,086   603 483
34,083   23,958 10,125
9,340   10,004 -664
26,289   22,482 3,807
13,621   13,879 -258
18,787   16,126 2,661
6,934   9,561 -2,627
2,539   3,620 -1,081
1,288   1,700 -412
21,655   20,512 1,143
16,624   8,873 7,751
1,030   642 388
29,600   19,183 10,417
25,856   21,271 4,585
29,651   20,333 9,318
38,287   27,234 11,053
1,630   1,256 374
21,729   13,451 8,278
1,364   843 521
22,703   16,769 5,934
39,196   29,314 9,882
21,898     21,898
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       198
b       591
c       140
d       178
e       -101
      -36
      1,189
      -1,315
      -798
      3,185
      -2,033
      2,628
      1,449
      168
      117
      -780
      472
      -2,604
      -221
      -215
      -109
      452
      1,691
      522
      373
      618
      336
      611
      948
      -293
      35
      137
      829
      1,194
      -581
      3,991
      1,206
      2,259
      1,231
      1,590
      1,101
      1,078
      609
      754
      1,832
      514
      80
      1,150
      300
      -1,211
      -24
      2,202
      834
      -5
      787
      186
      -2,107
      3,277
      6,493
      289
      -211
      94
      -80
      1,425
      2,278
      413
      444
      195
      6
      1,441
      666
      2,173
      623
      1,799
      -503
      27
      714
      294
      -273
      -1,154
      825
      374
      -583
      -624
      -1,492
      -1,571
      -247
      -441
      1,654
      763
      -77
      -342
      260
      398
      2,279
      -160
      -13
      147
      263
      147
      -83
      -73
      -744
      -247
      5,690
      1,246
      604
      -262
      138
      172
      399
      -1,332
      4
      144
      -38
      168
      364
      778
      264
      -36
      -103
      -1,454
      -397
      -365
      -305
      -419
      4,474
      610
      2,417
      1,550
      -1,541
      3,227
      228
      1,390
      2,273
      692
      121
      -6,121
      -954
      77
      364
      981
      109
      58
      4,332
      159
      1,925
      2,043
      4,030
      157
      927
      -29
      -983
      -754
      -660
      6,928
      165
      1,091
      69
      585
      10,315
      -1,590
      4,130
      1,173
      3,424
      2,638
      3,578
      603
      211
      438
      62
      3,704
      202
      647
      4,414
      4,625
      2,958
      -172
      -858
      -3,909
      -1,143
      11
      1,142
      888
      2,678
      31
      6,445
      -62
      340
      143
      -116
      48
      1,526
      858
      936
      75
      104
      5,981
      129
      1,396
      2,211
      1,577
      5,617
      264
      2,924
      2,742
      1,555
      17
      4,014
      5,282
      758
      -83
      2
      633
      1,648
      824
      1,246
      89
      5,181
      3,921
      1,707
      1,473
      3,183
      2,592
      103
      4,761
      2,632
      2,934
      20
      2,966
      42
      1,432
      1,677
      247
      356
      543
      714
      1,582
      1,864
      995
      5,107
      4,655
      94
      1,246
      961
      509
      -341
      123
      5,972
      4,631
      1,489
      58
      9,785
      3,253
      157
      763
      3,327
      2,116
      2,836
      1,293
      13,279
      10,672
      1,435
      797
      53
      1,027
      4,772
      1,371
      -119
      3
      124
      -1,728
      -1,836
      -1,945
      4
      3
      294
      229
      102
      10,481
      2,234
      259
      3,502
      1,908
      15,481
      136
      4,603
      1,725
      270
      -76
      -2,114
      -263
      9,471
      40
      2,795
      1,872
      2,618
      666
      245
      1,303
      8,648
      2,880
      1,310
      -10
      -307
      -187
      -1,443
      364
      1,931
      42
      4,434
      2,421
      1,324
      17
      6,928
      12
      513
      605
      8,306
      2,831
      6,765
      4,109
      2,264
      1,315
      4,646
      276
      92
      77
      3,957
      4,769
      424
      6,351
      4,521
      2,065
      4,645
      151
      1,599
      9,653
      196
      98
      2,099
      462
      51
      1,296
      678
      124
      5,566
      2,181
      1,748
      151
      5,750
      -454
      -514
      963
      1,675
      469
      934
      1,071
      6,423
      50
      4,513
      5,433
      43
      50
      1,875
      4,220
      116
      -649
      -3,819
      -4,104
      16
      1,769
      -2,009
      -169
      -3,251
      -8
      -10,585
      -5,883
      2,848
      319
      1,409
      -10
      -675
      -1,448
      -142
      -14
      4,628
      27
      -7
      1,049
      2,069
      7
      -12,236
      -45
      6,806
      1,569
      5,573
      77
      -365
      1,242
      933
      164
      -955
      -925
      -1,815
      -2,032
      -73
      1,688
      2
      1,841
      1,511
      450
      1,243
      400
      2,318
      375
      420
      -36
      -79
      -1,767
      -2,227
      457
      521
      145
      4,725
      764
      388
      454
      296
      100
      406
      221
      519
      1,747
      1,766
      610
      1,601
      2,029
      586
      3,244
      255
      228
      740
      6,508
      309
      5,783
      965
      -630
      -1,791
      -2,126
      -1,416
      -115
      -183
      -1,377
      -1,361
      -50
      -1,701
      -1,892
      -449
      1,140
      -461
      -196
      -8
      1,272
      4,234
      4,577
      735
      3,021
      1,484
      538
      897
      189
      2,715
      297
      1,338
      172
      2,451
      292
      8,346
      196
      6,987
      1,031
      1,077
      993
      303
      -65
      -245
      5
      31
      -531
      -53
      228
      106
      771
      232
      5,487
      302
      1,984
      1,887
      5,218
      484
      541
      5,218
      669
      333
      -8,025
      9,530
      -1,074
      22,980
      3,818
      484
      333
      2,069
      -8,303
      4,838
      1,788
      3,299
      838
      6,815
      -37
      -39
      -1,078
      -80
      -18
      657
      296
      -11
      -298
      -258
      -84
      -228
      -36
      47
      -8
      -20
      -188
      -346
      -1,941
      -841
      -148
      822
      5,450
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      0
      -27
      -1,140
      -10
      -5
      -15
      -8
      -5
      -16
      -5
      -269
      -737
      -455
      -1,072
      -1,305
      369
      125
      115
      58
      0
      206
      -7
      -50
      -630
      -499
      1,530
      82
      -55
      762
      652
      616
      278
      2,148
      684
      213
      270
      55
      -288
      -308
      -499
      -377
      -336
      -1
      -2
      -845
      492
      271
      -124
      -183
      2,647
      -3
      373
      102
      178
      680
      1,378
      9
      180
      1,078
      10
      91
      162
      910
      471
      381
      1,108
      2,072
      -13,125
      -3,350
      257
      1,050
      195
      415
      -2,701
      -122
      457
      339
      -2,161
      -53
      -7,780
      772
      383
      1,821
      335
      4,816
      773
      582
      1,686
      -5,605
      -365
      -155
      -5,291
      -120
      -2
      -9,333
      -586
      -30
      -308
      -80
      795
      -12,465
      -333
      286
      -14
      -403
      -32
      380
      791
      -168
      -120
      -1
      12
      62
      28
      -318
      141
      -8
      -94
      97
      542
      -406
      0
      -2,117
      -1,667
      -9
      -5
      0
      -41
      43
      -540
      -7,868
      -60
      831
      0
      -105
      -1,209
      -801
      448
      -135
      -751
      -1,788
      -347
      -258
      66
      90
      -1,504
      -498
      -57
      43
      192
      -52
      28
      1,247
      205
      -109
      -605
      -179
      1,782
      756
      1,334
      -4,947
      -92
      75
      234
      283
      1,082
      -62
      -2,114
      -1,450
      -2,703
      -3,403
      -1,027
      -67
      870
      424
      -175
      -4,430
      -4,158
      -1,524
      -3,636
      -2,257
      3,941
      18,399
      4,255
      11,230
      424
      4,821
      103
      4,950
      11,038
      21,324
      -1,970
      90
      -1,415
      11,566
      2,482
      15,553
      970
      1,274
      6,993
      40
      3,542
      2,885
      572
      322
      11,403
      337
      11,340
      1,816
      175
      2,050
      900
      3,776
      63
      -2,968
      -10,185
      2,331
      11,736
      1,355
      766
      6,205
      13,689
      45
      10,621
      308
      10,112
      5,472
      3,238
      3,948
      -76
      7,512
      7,960
      3,584
      4,603
      188
      -257
      -61
      -147
      9,649
      -376
      6,550
      4,147
      10,851
      483
      10,125
      -664
      3,807
      -258
      2,661
      -2,627
      -1,081
      -412
      1,143
      7,751
      388
      10,417
      4,585
      9,318
      11,053
      374
      8,278
      521
      5,934
      9,882
      21,898
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 2 897,715
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 instructions). If (loss), enter -0-
in Part I, line 8 . . . . . . . . . . . . . . . . 		Bracket 3  
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))
2012 338,326 12,013,769 0.028162
2011 746,917 12,438,687 0.060048
2010 728,091 11,958,059 0.060887
2009 776,334 10,779,943 0.072017
2008 756,000 15,639,203 0.048340
2 Total of line 1, column (d) ...................... 2 0.269454
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 0.053891
4 Enter the net value of noncharitable-use assets for 2013 from Part X, line 5..... 4 12,420,068
5 Multiply line 4 by line 3....................... 5 669,330
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 11,059
7 Add lines 5 and 6......................... 7 680,389
8 Enter qualifying distributions from Part XII, line 4.............. 8 513,859
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.
Form 990-PF (2013)
Form 990-PF (2013)
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 22,119
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 0
3 Add lines 1 and 2............................ 3 22,119
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-). 4 0
5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ..... 5 22,119
6 Credits/Payments:
a 2013 estimated tax payments and 2012 overpayment credited to 2013 6a 17,160
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c 5,266
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 22,426
8 Enter any penalty for underpayment of estimated tax. if Form 2220 is attached. 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 10 307
11 Enter the amount of line 10 to be: Credited to 2014 estimated taxBullet195 RefundedBullet 11 0
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$ 0(2) On foundation managers.bullet$ 0
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$ 0
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
 
 
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
     
    No
    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 instructions)
    bulletNC
    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 2013 or the taxable year beginning in 2013 (see instructions for Part XIV)?
    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 instructions) .............
    11
     
    No
    12
    Did the foundation make a distribution to a donor advised fund over which the foundation or a disqualified person had
    advisory privileges? If "Yes," attach statement (see instructions).................
    12
     
    No
    13
    Did the foundation comply with the public inspection requirements for its annual returns and exemption application?
    13
    Yes
     
    Website addressbulletN/A
    14
    The books are in care ofbulletK B MORGAN Telephone no.bullet (336) 271-2870
    Located atbullet405 BATTLEGROUND AVE SUITE 101GREENSBORONC ZIP+4bullet27401
    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 2013, did the foundation have an interest in or a signature or other authority over YesNo
    a bank, securities, or other financial account in a foreign country?
    16   No
    See 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 (2013)
    Form 990-PF (2013)
    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
     
     
    .........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 2013?.............
    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 2013, did the foundation have any undistributed income (lines 6d
    and 6e, Part XIII) for tax year(s) beginning before 2013?...............
    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 instructions.) ..............
    2b
     
     
    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 2013 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 2013.)....................
    3b
     
     
    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 2013?
    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 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 instructions)? ......
    5b
     
     
    .........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
     
     
    Form 990-PF (2013)
    Form 990-PF (2013)
    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 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
    KATHARINE THOMAS DIRECTOR
    0.10     		0 0 0
    3802 SWARTHMORE RD
    DURHAM,NC27707
    E JACK WALKER DIRECTOR,SECRETARY
    0.15     		0 0 0
    3802 SWARTHMORE RD
    DURHAM,NC27707
    KENNETH B MORGAN MORGAN DIRECTOR,VICE PRES,TREAS
    10.00     		43,813 4,070 0
    405 BATTLEGROUND AVE SUITE 101
    GREENSBORO,NC27401
    JOHN S THOMAS PRESIDENT
    35.00     		133,354 24,460 0
    3802 SWARTHMORE RD
    DURHAM,NC27707
    EDWIN THOMAS DIRECTOR
    0.00     		0 0 0
    3802 SWARTHMORE RD
    DURHAM,NC27707
    CHARLES FULLER DIRECTOR
    0.00     		0 0 0
    3802 SWARTHMORE RD
    DURHAM,NC27707
    2 Compensation of five highest-paid employees (other than those included on line 1—see 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 0
    3 Five highest-paid independent contractors for professional services (see 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.............bullet0
    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 (2013)
    Form 990-PF (2013)
    Page 7
    Part IX-B
    Summary of Program-Related Investments (see 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.........................bullet0
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,
    see 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
     
    b
    Average of monthly cash balances.......................
    1b
     
    c
    Fair market value of all other assets (see instructions)................
    1c
     
    d
    Total (add lines 1a, b, and c).........................
    1d
     
    e
    Reduction claimed for blockage or other factors reported on lines 1a and
    1c (attach detailed explanation) .............
    1e
     
    2
    Acquisition indebtedness applicable to line 1 assets..................
    2
     
    3
    Subtract line 2 from line 1d.........................
    3
     
    4
    Cash deemed held for charitable activities. Enter 1 1/2% of line 3 (for greater amount, see
    instructions) .............................
    4
     
    5
    Net value of noncharitable-use assets. Subtract line 4 from line 3. Enter here and on Part V, line 4
    5
     
    6
    Minimum investment return. Enter 5% of line 5..................
    6
     
    Part XI
    Distributable Amount bullet and do not complete this part.)
    1
    Minimum investment return from Part X, line 6....................
    1
    621,003
    2a
    Tax on investment income for 2013 from Part VI, line 5......
    2a
    22,119
    b
    Income tax for 2013. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    22,119
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    598,884
    4
    Recoveries of amounts treated as qualifying distributions................
    4
    0
    5
    Add lines 3 and 4............................
    5
    598,884
    6
    Deduction from distributable amount (see instructions).................
    6
    0
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
    598,884
    Part XII
    Qualifying Distributions (see 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
     
    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
     
    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 instructions).................
    5
     
    6
    Adjusted qualifying distributions. Subtract line 5 from line 4..............
    6
     
    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 (2013)
    Form 990-PF (2013)
    Page 8
    Part XIII
    Undistributed Income (see instructions)
    (a)
    Corpus     		(b)
    Years prior to 2012     		(c)
    2012     		(d)
    2013
    1 Distributable amount for 2013 from Part XI, line 7 598,884
    2 Undistributed income, if any, as of the end of 2013:
    a Enter amount for 2012 only....... 0
    b Total for prior years:20, 20, 20 0
    3 Excess distributions carryover, if any, to 2013:
    a From 2008.......  
    b From 2009....... 15,010
    c From 2010....... 145,620
    d From 2011....... 128,789
    e From 2012.......  
    fTotal of lines 3a through e......... 289,419
    4Qualifying distributions for 2013 from Part
    XII, line 4: bullet$ 513,859
    a Applied to 2012, but not more than line 2a 0
    b Applied to undistributed income of prior years
    (Election required—see instructions)......     		0
    c Treated as distributions out of corpus (Election
    required—see instructions).........     		0
    d Applied to 2013 distributable amount..... 513,859
    e Remaining amount distributed out of corpus 0
    5 Excess distributions carryover applied to 2013. 85,025 85,025
    (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 5 204,394
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ...........     		0
    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......     		0
    d Subtract line 6c from line 6b. Taxable amount
    —see instructions ...........     		0
    e Undistributed income for 2012. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		0
    f Undistributed income for 2013. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2014 ..........     		0
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see
    instructions) .............     		0
    8Excess distributions carryover from 2008 not
    applied on line 5 or line 7 (see instructions) ...     		0
    9Excess distributions carryover to 2014.
    Subtract lines 7 and 8 from line 6a ......     		204,394
    10 Analysis of line 9:
    a Excess from 2009....  
    b Excess from 2010.... 75,605
    c Excess from 2011.... 128,789
    d Excess from 2012....  
    e Excess from 2013....  
    Form 990-PF (2013)
    Form 990-PF (2013)
    Page 9
    Part XIV
    Private Operating Foundations (see 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 2013, 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) 2013 (b) 2012 (c) 2011 (d) 2010
             
    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 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 or e-mail address of the person to whom applications should be addressed:
    MR JOHN S THOMAS
    3802 SWARTHMORE ROAD
    DURHAM,NC27707
    (919) 403-9498
    bThe form in which applications should be submitted and information and materials they should include:
    APPLICATIONS SHOULD BE SUBMITTED IN LETTER FORM.
    cAny submission deadlines:
    NONE
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    NONE
    Form 990-PF (2013)
    Form 990-PF (2013)
    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
    AMERICANS FOR PROSPERITY FOUNDATION
    1726 M STREET 10TH FL
    WASHINGTON,DC20036     		NONE PUBLIC CHARITY GENERAL SUPPORT 5,000
    AMISTAD MISSION
    55 SCOTT ST
    BUFORD,GA30158     		NONE PUBLIC CHARITY GENERAL SUPPORT 10,000
    ASIAN ACCESS LIFE MINISTRIES
    PO BOX 200
    SAN DIMAS,CA91773     		NONE PUBLIC CHARITY GENERAL SUPPORT 10,000
    ASSOCIATION OF SMALL FOUNDATIONS
    4905 DEL RAY AVE
    BETHESDA,MD20814     		NONE PUBLIC CHARITY GENERAL SUPPORT 1,000
    BOY SCOUTS OF AMERICA OLD NORTH STATE COUNCIL
    PO BOX 29048
    GREENSBORO,NC27403     		NONE PUBLIC CHARITY GENERAL SUPPORT 500
    CHILD EVANGELISM FELLOWSHIP
    PO BOX 348
    WARRENTON,MO63383     		NONE PUBLIC CHARITY SUPPORT FOR MISSIONARIES 5,000
    DUKE UNIVERSITY
    BOX 90482
    DURHAM,NC27708     		NONE PUBLIC CHARITY COMPREHENSIVE CANCER CENTER 20,000
    DURHAM COMMUNITY CONCERT BAND
    PO BOX 52133
    DURHAM,NC27717     		NONE PUBLIC CHARITY GENERAL SUPPORT 1,000
    EPISCOPAL CHURCH OF THE HOLY COMFORTER
    2701 PARK ROAD
    CHARLOTTE,NC28209     		NONE PUBLIC CHARITY GENERAL SUPPORT 5,000
    FAITH IN ACTION
    705 GREENE ST
    GREENSBORO,NC27401     		NONE PUBLIC CHARITY GENERAL SUPPORT 5,000
    FOCUS ON THE FAMILY
    8605 EXPLORER DR
    COLORADO SPRINGS,CO80920     		NONE PUBLIC CHARITY GENERAL SUPPORT 5,000
    HINSHAW MEMORIAL UNITED METHODIST CHURCH
    4501 HIGH POINT RD
    GREENSBORO,NC27407     		NONE CHURCH APPALACHIAN SERVICE PROJECT 5,000
    JAZZ FOUNDATION OF NORTH CAROLINA INC
    PO BOX 51523
    DURHAM,NC27717     		NONE PUBLIC CHARITY GENERAL SUPPORT 1,000
    JUNIOR ACHIEVEMENT OF CENTRAL INC INC
    3220 NORTHLINE AVE
    GREENSBORO,NC27408     		NONE PUBLIC CHARITY GENERAL SUPPORT 5,000
    LEADERSHIP EDGE
    PO BOX 51657
    DURHAM,NC27717     		NONE PUBLIC CHARITY GENERAL SUPPORT 35,000
    MISSION TRAINING INTERNATIONAL
    PO BOX 1220
    PALMER LAKE,CO80133     		NONE PUBLIC CHARITY MISSIONARY STAFF SUPPORT 2,500
    MOSES CONE HEALTH SYSTEM
    1200 NORTH ELM ST
    GREENSBORO,NC27401     		NONE PUBLIC CHARITY GENERAL SUPPORT 50,000
    NATIONAL RIGHT TO WORK LEGAL DEFENSE FOUNDATION
    8001 BRADDOCK RD
    SPRINGFIELD,VA22160     		NONE PUBLIC CHARITY GENERAL SUPPORT 20,000
    NATIONAL TAXPAYERS UNION FOUNDATION
    108 NORTH ALFRED ST
    ALEXANDRIA,VA22314     		NONE PUBLIC CHARITY GENERAL SUPPORT 20,000
    NORTH CAROLINA MUSEUM OF LIFE AND SCIENCE
    433 W MURRAY STREET
    DURHAM,NC27704     		NONE PUBLIC CHARITY GENERAL SUPPORT 2,500
    OMICRON DELTA KAPPA FOUNDATION
    224 MCLAUGHLIN STREET
    LEXINGTON,VA244502002     		NONE PUBLIC CHARITY GENERAL SUPPORT 10,000
    PARENTS FOR EDUCATIONAL FREEDOM
    434 FAYETTEVILLE ST
    RALEIGH,NC27601     		NONE PUBLIC CHARITY GENERAL SUPPORT 2,500
    SCHOOLHOUSE OF WONDER
    5101-B N ROXBORO ST
    DURHAM,NC27704     		NONE PUBLIC CHARITY GENERAL SUPPORT 2,500
    SERVE NOW
    PO BOX 50890
    COLORADO SPRINGS,CO80949     		NONE PUBLIC CHARITY GENERAL SUPPORT 25,000
    ST STEPHENS EPISCOPAL CHURCH
    82 KIMBERLY DR
    DURHAM,NC27707     		NONE PUBLIC CHARITY GENERAL SUPPORT 2,500
    THALES ACADEMY
    4161 PARAGON PARK
    RALEIGH,NC276163174     		NONE PUBLIC CHARITY GENERAL SUPPORT 5,000
    THE EMILY KRYZEWSKI FAMILY LIFE CENTER
    904 WEST CHAPEL HILL STREET
    DURHAM,NC27701     		NONE PUBLIC CHARITY GENERAL SUPPORT 1,500
    THE GATHERING
    601 SHELBY DR STE 201
    TYLER,TX75701     		NONE PUBLIC CHARITY GENERAL SUPPORT 1,000
    THE JESSE HELMS CENTER FOUNDATION
    PO BOX 247
    WINGATE,NC28270     		NONE PUBLIC CHARITY GENERAL SUPPORT 25,000
    THE JOHN LOCK FOUNDATION
    200 WEST MORGAN ST SUITE 200
    RALEIGH,NC27601     		NONE PUBLIC CHARITY EA MORRIS FELLOWSHIP PROGRAM 115,000
    TRIAD LOCAL FIRST
    405 BATTLEGROUND AVENUE SUITE 100
    GREENSBORO,NC27401     		NONE PUBLIC CHARITY GENERAL SUPPORT 2,500
    UNC LAW FOUNDATION
    VAN HECKE WETACCH HALL 160 RIDGE RD
    CHAPEL HILL,NC27599     		NONE PUBLIC CHARITY GENERAL SUPPORT 1,500
    UNC-CHARLOTTE FOUNDATION
    9201 UNIVERSITY CITY BLVD
    CHARLOTTE,NC28223     		NONE PUBLIC CHARITY GENERAL SUPPORT 2,500
    WASHINGTON & LEE UNIVERSITY
    UNIVERSITY PLACE
    LEXINGTON,VA24450     		NONE PUBLIC CHARITY GENERAL SUPPORT 100,000
    Total .................................bullet 3a 505,000
    bApproved for future payment
    Total .................................bullet 3b 0
    Form 990-PF (2013)
    Form 990-PF (2013)
    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 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....          
    3
    Interest on savings and temporary cash investments ............     		         
    4 Dividends and interest from securities....     14 314,553  
    5 Net rental income or (loss) from real estate:
    aDebt-financed property......          
    bNot debt-financed property.....          
    6
    Net rental income or (loss) from personal property .............     		         
    7 Other investment income.....     14 4,179  
    8
    Gain or (loss) from sales of assets other than inventory .............     		    18 897,715  
    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).. 0 1,216,447 0
    13Total. Add line 12, columns (b), (d), and (e)..................
    131,216,447
    (See worksheet in line 13 instructions 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 foundation’s exempt purposes (other than by providing funds for such purposes). (See
    instructions.)
    Form 990-PF (2013)
    Form 990-PF (2013)
    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 501(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political
    Yes
    No
    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
    Sign Here
    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
    May the IRS discuss this return
    with the preparer shown below
    (see instr.)?
    Signature of officer or trustee Date Title
    Paid Preparer Use Only Print/Type preparer's name Preparer's Signature Date PTIN
    Firm's namebullet



    Firm's addressbullet







         		Firm's EINbullet
    Phone no.
    Form 990-PF (2013)
    Additional Data


    Software ID:  
    Software Version:  


    Form 990PF - Special Condition Description:
    Special Condition Description

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

    TY 2013 DepreciationSchedule
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    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 2011-11-30 896 194 SL 5.000000000000 179 0    
    TELEPHONE 2012-12-13 62 1 SL 5.000000000000 12 0    

    TY 2013 InvestmentsCorpBondsSchedule
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    Name of Bond End of Year Book Value End of Year Fair Market Value
    Corporate bonds at Wells Fargo Advisors 699,201 699,942

    TY 2013 InvestmentsCorpStockSchedule
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    Name of Stock End of Year Book Value End of Year Fair Market Value
    Corporate stocks at Wells Fargo Advisors 5,865,976 6,803,589
    Mutual funds at Wells Fargo Advisors 2,653,409 2,576,404

    TY 2013 InvestmentsGovtObligationsSch
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    US Government Securities - End of Year Book Value:

    1,389,677
    US Government Securities - End of Year Fair Market Value:

    1,329,586
    State & Local Government Securities - End of Year Book Value:


    0
    State & Local Government Securities - End of Year Fair Market Value:


    0


    TY 2013 InvestmentsOtherSchedule2
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    Foreign bonds at Wells Fargo Advisors AT COST 60,752 62,928

    TY 2013 LandEtcSchedule2
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    Category / Item Cost / Other Basis Accumulated Depreciation Book Value End of Year Fair Market Value
    COMPUTER 896 373 523  
    TELEPHONE 62 13 49  


    TY 2013 OtherAssetsSchedule
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    INTEREST INCOME REPORTED IN 2012 AND RECVD IN 2013 11,826 0 0


    TY 2013 OtherExpensesSchedule
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    DUES 725 0   0
    TELEPHONE & INTERNET 635 0   0
    OFFICE SUPPLIES 139 0   0
    PAYROLL PROCESSING 1,109 0   0
    OTHER INVESTMENT EXPENSES 1,735 1,735   0
    INVESTMENT MANAGEMENT FEES 94,791 94,791   0


    TY 2013 OtherIncomeSchedule2
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    Description Revenue And Expenses Per Books Net Investment Income Adjusted Net Income
    MESABI TRUST 290 290 290
    Chase Morgan-Litigation settlement 3,889 3,889 3,889


    TY 2013 TaxesSchedule
    Name:
    EA Morris Charitable Foundation
    EIN: 58-1413060
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    FOREIGN TAX W/H 5,116 5,116   0
    PERSONAL PROPERTY TAX 9 0   0