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 05-01-2013 , and ending 04-30-2014
Name of foundation
STANLEY AND CATHERINE MAAS FOUNDATI
 

Number and street (or P.O. box number if mail is not delivered to street address)19 TURKEY HILL CIRCLE   Room/suite
City or town, state or province, country, and ZIP or foreign postal code
WESTPORT, CT06880
A Employer identification number

11-2690167
B Telephone number (see instructions)

(203) 254-0516
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$2,940,541J 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 7,308 4,693  
4 Dividends and interest from securities...... 72,294 72,294  
5a Gross rents..............      
b Net rental income or (loss)  
6a Net gain or (loss) from sale of assets not on line 10 692,456
b Gross sales price for all assets on line 6a 2,954,756
7 Capital gain net income (from Part IV, line 2)... 692,456
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).......      
12 Total. Add lines 1 through 11........ 772,058 769,443  
Operating and Administrative Expenses 13 Compensation of officers, directors, trustees, etc.        
14 Other employee salaries and wages......        
15 Pension plans, employee benefits.......        
16a Legal fees (attach schedule).........        
b Accounting fees (attach schedule)....... Click to see attachment 7,839      
c Other professional fees (attach schedule).... Click to see attachment 6,454 6,090    
17 Interest...............        
18 Taxes (attach schedule) (see instructions) Click to see attachment 7,502 1,252    
19 Depreciation (attach schedule) and depletion...      
20 Occupancy..............        
21 Travel, conferences, and meetings.......        
22 Printing and publications..........        
23 Other expenses (attach schedule)....... Click to see attachment 2,037 2,037    
24 Total operating and administrative expenses.
Add lines 13 through 23.......... 23,832 9,379   0
25 Contributions, gifts, grants paid........ 130,000 130,000
26 Total expenses and disbursements. Add lines 24 and 25 153,832 9,379   130,000
27 Subtract line 26 from line 12:
a Excess of revenue over expenses and disbursements 618,226
b Net investment income (if negative, enter -0-) 760,064
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............... 14,278 15,533 15,533
2 Savings and temporary cash investments.......... 90,038 337,245 337,245
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) 267,325    
b Investments—corporate stock (attach schedule)........ 1,294,671 Click to see attachment2,448,418 2,517,821
c Investments—corporate bonds (attach schedule)........ 582,079 Click to see attachment15,564 15,470
11 Investments—land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
12 Investments—mortgage loans..............      
13 Investments—other (attach schedule)...........   Click to see attachment51,475 54,472
14 Land, buildings, and equipment: basis bullet  
Less: accumulated depreciation (attach schedule) bullet        
15 Other assets (describe bullet) Click to see attachment1,618    
16 Total assets (to be completed by all filers—see the
instructions. Also, see page 1, item I) 2,250,009 2,868,235 2,940,541
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
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.........    
28 Paid-in or capital surplus, or land, bldg., and equipment fund    
29 Retained earnings, accumulated income, endowment, or other funds 2,250,009 2,868,235
30 Total net assets or fund balances (see page 17 of the
instructions).................... 2,250,009 2,868,235
31 Total liabilities and net assets/fund balances (see page 17 of
the instructions).................. 2,250,009 2,868,235
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 2,250,009
2 Enter amount from Part I, line 27a..................... 2 618,226
3 Other increases not included in line 2 (itemize) bullet 3  
4 Add lines 1, 2, and 3.......................... 4 2,868,235
5 Decreases not included in line 2 (itemize) bullet 5  
6 Total net assets or fund balances at end of year (line 4 minus line 5)—Part II, column (b), line 30. 6 2,868,235
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 327 BANK OF AMERICA 8. P 2012-03-05 2013-05-01
b 5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
c 4 CORP BACKED TRUST CERTS 6.00 P 2013-04-01 2013-05-09
d 19 ANGLOGOLD ASHANTI LTD NEW P 2012-12-14 2013-05-17
e 697 BANK OF AMER CORP 8.625% PR P 2011-02-25 2013-05-28
6 EBAY INC P 2011-03-17 2013-06-10
5 HOME DEPOT INC P 2008-01-02 2013-06-21
17 ROCKWELL AUTOMATION INC NEW P 2012-02-27 2013-07-08
5 DEERE AND CO P 2011-06-29 2013-07-17
30 SIEMENS A G SPON ADR P 2008-10-24 2013-07-25
14 VIACOM INC NEW CL B P 2011-06-06 2013-08-08
3 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-16
1 SATURNS TR NO 2007 1 7.00 P 2013-04-30 2013-08-21
350 ALLIANZ FIXED INCOME SH P 2010-12-30 2013-08-26
18000 UNITED STATES TREA 1.125% 12/3 P 2013-01-09 2013-11-26
7000 UNITED STATES TREASURY 2% 2/15/ P 2013-03-01 2013-11-26
204 TESCO PLC SPONS ADR (TSCDY) P 2013-05-16 2013-11-26
60 WELLS FARGO & CO (WFC) P 2013-07-24 2013-11-26
129 KINROSS GOLD CORP (KGC) P 2009-10-30 2013-11-26
35 JOHNSON & JOHNSON (JNJ) P 2010-02-10 2013-11-26
100 COMCAST CORP CL A SPL NEW (CMCSK P 2011-08-10 2013-11-26
3 APPLE COMPUTER INC (AAPL) P 2012-10-26 2013-11-26
40 BORG WARNER INC (BWA) P 2010-06-22 2013-11-26
30 JOHNSON & JOHNSON (JNJ) P 2009-04-22 2013-11-26
16 MONSANTO CO NEW (MON) P 2012-08-21 2013-11-26
35 GLOBAL PAYMENTS INC (GPN) P 2008-01-15 2013-11-26
40.9756 CREDIT SUISSE GROUP (CS) P 2011-08-17 2013-11-26
40 VERTEX PHARMS INC (VRTX) P 2008-11-06 2013-11-26
66 KINROSS GOLD CORP (KGC) P 2011-02-24 2013-11-26
87 TALISMAN ENERGY INC (TLM) P 2012-10-31 2013-11-26
45 FLOWSERVE CORP (FLS) P 2009-03-26 2013-11-26
20 CREE INC (CREE) P 2011-04-20 2013-11-26
1000 FANNIE MAE FN AK 4% 03/01/2042 P 2013-03-13 2013-11-26
20 HARSCO CORP (HSC) P 2005-10-21 2013-11-26
32 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-04-09 2013-11-26
10 MONSANTO CO NEW (MON) P 2010-10-04 2013-11-26
5 MONSANTO CO NEW (MON) P 2010-01-27 2013-11-26
13 CORPORATE BACKED TR CTFS (JZC) P 2013-04-09 2013-11-26
5 EATON CORPORATION PUBLIC LI (ETN) P 2012-12-03 2013-11-26
12 COMCAST CORP CL A SPL NEW (CMCSK) P 2006-01-03 2013-11-26
10 ALUMINA LTD (AWC) P 2005-10-21 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
8 CALAMOS CVT AND HIGH INCOME (CHY) P 2013-08-15 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2013-02-15 2013-11-26
2 SNAP ON INC (SNA) P 2010-02-16 2013-11-26
3 ABBOTT LABORATORIES (ABT) P 2010-02-19 2013-11-26
1 ACE LTD (ACE) P 2011-02-11 2013-11-26
1 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-03-05 2013-11-26
174 XILINX INC (XLNX) P 2010-02-18 2013-12-05
47 TARGET CORP (TGT) P 2011-03-03 2013-12-05
15 GOLDMAN SACHS GRP INC (GS) P 2011-05-17 2013-12-05
81 HSBC USA INC NEW (HUSI-G) P 2012-06-13 2013-12-05
72 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-03-28 2013-12-05
50 HSBC USA INC NEW (HUSI-G) P 2012-06-13 2013-12-05
45 WOLTERS KLUWER N V (WTKWY) P 2009-06-03 2013-12-05
30 VALSPAR CORP (VAL) P 2009-08-10 2013-12-05
10 THE SCOTTS MIRACLE-GRO CO (SMG) P 2006-10-19 2013-12-05
15 JUNIPER NETWORKS INC (JNPR) P 2011-12-09 2013-12-05
2 WELLS FARGO & CO 8% SRS (WFC-J) P 2013-04-17 2013-12-05
7 BLACKROCK INC CL A (BLK) P 2013-01-28 2013-12-11
2 CITRIX SYSTEMS INC (CTXS) P 2013-06-26 2013-12-11
226 MITSUBISHI TANABE PHARMA CO (MTZ P 2013-05-09 2013-12-19
100 RBS CAPITAL FUNDING TRUST V (RBS P 2013-01-30 2013-12-19
517 SUMITOMO MITSUI TRUST (SUTNY) P 2011-04-01 2013-12-19
89 SANTANDER FIN PFD SA UNI SR (SAN- P 2010-06-16 2013-12-19
15 UNITED PARCEL SERVICE INC C (UPS) P 2011-03-16 2013-12-19
10 UNITED PARCEL SERVICE INC C (UPS) P 2011-03-30 2013-12-19
16 JP MORGAN CHASE & CO (JPM) P 2009-01-07 2013-12-19
25 NATIONAL BANK OF GREECE SA (NBG- P 2013-06-03 2013-12-19
13 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
16 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
1 NESTLE S A SPONS ADR (NSRGY) P 2009-08-26 2013-12-19
58 COCA-COLA ENTERPRISES INC (CCE) P 2012-10-31 2013-12-20
25 RAYMOND JAMES FINL INC (RJF) P 2007-03-27 2013-12-20
5 YUM BRANDS INC (YUM) P 2013-02-07 2013-12-20
8.7143 ROYCE GLOBAL VALUE TRUST WI ( P 2013-10-18 2013-12-20
765 FINMECCANICA SPA (FINMY) P 2010-11-24 2013-12-23
69 AXIS CAPITAL HLDGS LTD (AXS) P 2010-02-04 2013-12-23
25 TRAVELERS COS INC (TRV) P 2010-02-11 2013-12-23
40 NASDAQ OMX GROUP (NDAQ) P 2009-12-02 2013-12-23
60 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
33 BLACKROCK MUNI YIELD CALIF (MCA) P 2013-07-23 2013-12-23
19 FIRST TRUST HIGH INCOME LON (FSD) P 2013-02-25 2013-12-23
6 DARDEN RESTAURANTS INC (DRI) P 2010-01-11 2013-12-23
7 OXFORD LANE CAPITAL CORP (OXLC) P 2013-02-11 2013-12-23
2 FIRST TRUST HIGH INCOME LON (FSD) P 2013-04-15 2013-12-23
320 PROGRESSIVE CORP (PGR) P 2010-05-17 2013-12-26
381 TELECOM ITALIA SPA SAVINGS (TI. P 2013-03-13 2013-12-26
84 TELECOM ITALIA SPA SAVINGS (TI.A P 2005-10-21 2013-12-26
25 ROYAL DUTCH SHELL PLC CL B (RDS.B P 2013-02-05 2013-12-26
46 CAMECO CORP (CCJ) P 2011-03-16 2013-12-26
45 BROADCOM CORPORATION CL A (BRCM) P 2006-09-07 2013-12-26
44 CAMECO CORP (CCJ) P 2011-08-04 2013-12-26
74 HOME RETAIL GROUP PLC ADR (HMRTY) P 2011-06-09 2013-12-26
47 SHISEIDO LTD SPONS ADR (SSDOY) P 2012-08-02 2013-12-26
11 SLM CORP 6.97% SRS A (SLMAP) P 2013-04-01 2013-12-26
25 AKAMAI TECH INC (AKAM) P 2009-08-18 2013-12-26
13 BANK OF AMERICA CORP 0% SRS (BML- P 2011-06-01 2013-12-26
4 INTUIT (INTU) P 2010-01-11 2013-12-26
3 BLACKROCK BUILD AMERICA BON (BBN) P 2013-07-31 2013-12-26
470 ACTIVISION BLIZZARD INC (ATVI) P 2012-03-26 2013-12-27
14 INTERNATIONAL BUSINESS MACH (IBM) P 2010-11-03 2013-12-27
61 ROHM CO LTD (ROHCY) P 2009-02-19 2013-12-27
32 PHILIP MORRIS INTERNATIONAL (PM) P 2008-11-19 2013-12-27
47 GATX CORP (GMT) P 2009-02-18 2013-12-27
30 NATIONAL OILWELL VARCO INC (NOV) P 2008-10-24 2013-12-27
28 JOY GLOBAL INC (JOY) P 2009-02-18 2013-12-27
38 ACTIVISION BLIZZARD INC (ATVI) P 2012-04-23 2013-12-27
10 FLUOR CORP (NEW) (FLR) P 2008-11-19 2013-12-27
4 CAMERON INTERNATIONAL CORP (CAM) P 2013-04-25 2013-12-27
7 ROYCE VALUE TR INC (RVT) P 2013-06-27 2013-12-27
47 BANK OF AMERICA 8.2 P 2012-07-23 2013-05-01
5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
2 CORP BACKED TRUST CERTS 6.00 P 2013-04-01 2013-05-09
4 DEERE AND CO P 2011-06-10 2013-05-17
8 ING GROEP N V CUML 8.50 P 2011-02-09 2013-05-28
24 PNC FINANCIAL SERVICES GRO P 2011-05-17 2013-06-12
1 DEERE AND CO P 2011-06-10 2013-06-21
26 BROADCOM CORP CL A P 2011-10-14 2013-07-08
8 THERMO FISHER SCIENTIFIC INC P 2010-06-10 2013-07-17
14 SIEMENS A G SPON ADR P 2008-09-29 2013-07-25
9 VIACOM INC NEW CL B P 2011-03-18 2013-08-08
2 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-16
1 SATURNS TR NO 2007 1 7.00 P 2013-04-30 2013-08-21
153 ONEOK INC NEW P 2009-12-10 2013-08-26
15000 LONG ISLAND PWR AUTH N 5% 12/ P 2006-10-20 2013-11-26
208 AARONS INC (AAN) P 2012-08-31 2013-11-26
69 FRANKLIN RESOURCES INC (BEN) P 2013-06-05 2013-11-26
130 HSBC USA INC 0% SRS F (HUSI-F) P 2012-05-24 2013-11-26
128 CABCO TR JCP 7.625% DEBS TR (PFH P 2013-03-05 2013-11-26
35 ACE LTD (ACE) P 2011-02-02 2013-11-26
47 VIACOM INC NEW CL B (VIAB) P 2011-09-28 2013-11-26
20 EXXON MOBIL CORP (XOM) P 2013-05-08 2013-11-26
81 EMC CORP (EMC) P 2010-09-30 2013-11-26
70 ROYAL BK SCOTLAND PFD 'M' A (RBS- P 2013-04-24 2013-11-26
42 BARRICK GOLD CORP (ABX) P 2012-12-21 2013-11-26
40 BARRICK GOLD CORP (ABX) P 2012-07-27 2013-11-26
66 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-03-18 2013-11-26
42 TYCO INTERNATIONAL LTD (TYC) P 2012-03-07 2013-11-26
16 JOHNSON & JOHNSON (JNJ) P 2010-02-16 2013-11-26
1000 UNITED STATES TREASURY 2% 11/15 P 2013-08-20 2013-11-26
40 ABBOTT LABORATORIES (ABT) P 2009-09-02 2013-11-26
20 GLOBAL PAYMENTS INC (GPN) P 2007-03-27 2013-11-26
31 EMC CORP (EMC) P 2013-04-30 2013-11-26
28 ABBOTT LABORATORIES (ABT) P 2009-07-29 2013-11-26
25 INTEGRYS ENERGY GROUP INC (TEG) P 2009-03-03 2013-11-26
36 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-01-03 2013-11-26
15 CORPORATE BACKED TR CTFS (JZC) P 2013-04-08 2013-11-26
13 CORPORATE BACKED TR CTFS (JZC) P 2013-04-09 2013-11-26
10 THE ADT CORPORATION (ADT) P 2008-01-02 2013-11-26
4 CHECK POINT SOFTWARE TECH L (CHKP) P 2013-07-05 2013-11-26
11 MORGAN STANLEY EMERGING MAR (EDD) P 2011-10-14 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
4 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
5 ALUMINA LTD (AWC) P 2005-10-28 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-08-15 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-06-15 2013-11-26
5 AUTODESK INC (ADSK) P 2009-03-03 2013-11-26
1 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-21 2013-11-26
218 NABORS INDS LTD (NBR) P 2011-11-03 2013-12-05
16 GOLDMAN SACHS GRP INC (GS) P 2011-05-04 2013-12-05
54 JOHNSON CTLS INC (JCI) P 2010-12-02 2013-12-05
23 LOCKHEED MARTIN CORP (LMT) P 2009-08-26 2013-12-05
53 HSBC HOLDINGS PLC 8% SRS 2 (HSEB) P 2013-01-23 2013-12-05
6 GOLDMAN SACHS GRP INC (GS) P 2010-04-07 2013-12-05
50 SK TELECOM LTD SPONS ADR (SKM) P 2011-02-25 2013-12-05
37 HSBC USA INC NEW (HUSI-G) P 2012-06-13 2013-12-05
11 CVS CAREMARK CORP (CVS) P 2012-01-04 2013-12-05
6 ACCENTURE PLC CL A (ACN) P 2010-11-12 2013-12-05
2 WELLS FARGO & CO 8% SRS (WFC-J) P 2013-04-17 2013-12-05
46 KB FINANCIAL GROUP INC ADR (KB) P 2012-12-20 2013-12-11
482 ING GROEP NV 8.5% SERIES (IGK) P 2010-05-28 2013-12-15
56 SEVEN & I HOLDINGS CO LTD (SVNDY P 2009-06-05 2013-12-19
58 JP MORGAN CHASE & CO (JPM) P 2012-05-16 2013-12-19
22 CHEVRON CORP (CVX) P 2010-01-06 2013-12-19
52 TRIMBLE NAV LTD (TRMB) P 2012-11-29 2013-12-19
36 TRIMBLE NAV LTD (TRMB) P 2013-05-13 2013-12-19
15 THERMO FISHER SCIENTIFIC IN (TMO) P 2010-10-13 2013-12-19
16 JP MORGAN CHASE & CO (JPM) P 2008-12-03 2013-12-19
33 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
13 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
14 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
4 NATIONAL BANK OF GREECE SA (NBG-A P 2013-05-13 2013-12-19
64 AT&T INC (T) P 2009-11-11 2013-12-20
25 RAYMOND JAMES FINL INC (RJF) P 2008-01-15 2013-12-20
5 COVANCE INC (CVD) P 2006-07-06 2013-12-20
7 ROYCE GLOBAL VALUE TRUST WI (RGT) P 2013-10-18 2013-12-20
883 FINMECCANICA SPA (FINMY) P 2011-08-04 2013-12-23
68 DARDEN RESTAURANTS INC (DRI) P 2009-02-18 2013-12-23
30 NIKE INC CL B (NKE) P 2011-06-07 2013-12-23
76 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
59 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
9 WALT DISNEY CO (DIS) P 2012-08-08 2013-12-23
20 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-05 2013-12-23
11 REPUBLIC SVCS INC (RSG) P 2005-07-26 2013-12-23
2 TRAVELERS COS INC (TRV) P 2009-11-10 2013-12-23
2 FIRST TRUST HIGH INCOME LON (FSD) P 2013-01-15 2013-12-23
260 BLACKROCK BUILD AMERICA BON (BBN P 2013-01-18 2013-12-26
79 FUJI FILM HOLDINGS CORP ADR (FUJI P 2006-02-08 2013-12-26
57 FUJI FILM HOLDINGS CORP ADR (FUJI P 2008-03-05 2013-12-26
19 UNITED TECH CORP (UTX) P 2013-04-03 2013-12-26
83 AKAMAI TECH INC (AKAM) P 2009-02-18 2013-12-26
48 GOLDMAN SACHS GROUP INC (GS-J) P 2013-06-04 2013-12-26
54 BANK OF AMERICA CORP 0% SRS (BML- P 2011-06-01 2013-12-26
15 PROCTER & GAMBLE CO (PG) P 2006-01-04 2013-12-26
20 ALLEGHENY TECH INC (ATI) P 2013-03-11 2013-12-26
43 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-23 2013-12-26
82 HOME RETAIL GROUP PLC ADR (HMRTY) P 2011-12-23 2013-12-26
5 DOLBY LABORATORIES INC (DLB) P 2011-04-06 2013-12-26
4 AKAMAI TECH INC (AKAM) P 2010-01-11 2013-12-26
3 BLACKROCK BUILD AMERICA BON (BBN) P 2013-08-30 2013-12-26
208 DB CONT CAPITAL TRUST V 8.0 (DKT P 2012-07-27 2013-12-27
46 HONEYWELL INTL INC (HON) P 2010-08-11 2013-12-27
36 BIOGEN IDEC, INC. (BIIB) P 2005-08-17 2013-12-27
26 FLUOR CORP (NEW) (FLR) P 2011-10-03 2013-12-27
27 NETAPP INC (NTAP) P 2013-05-28 2013-12-27
49 ROYCE VALUE TR INC (RVT) P 2013-02-27 2013-12-27
25 AMC NETWORKS INC (AMCX) P 2006-01-03 2013-12-27
15 NETAPP INC (NTAP) P 2012-06-15 2013-12-27
25 BLACKROCK CREDIT ALLOCATION (BTZ) P 2013-07-10 2013-12-27
4 PRUDENTIAL FINL (PRU) P 2010-02-25 2013-12-27
7 ROYCE VALUE TR INC (RVT) P 2013-03-25 2013-12-27
44 BANK OF AMERICA 8.2 P 2012-08-09 2013-05-01
5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
1 CORP BACKED TRUST CERTS 6.00 P 2013-04-01 2013-05-09
12 NEWCREST MINING LTD SPON AUS P 2008-08-13 2013-05-17
8 ING GROEP N V CUML 8.50 P 2011-02-09 2013-05-28
8 PNC FINANCIAL SERVICES GROU P 2011-05-11 2013-06-12
1 BED BATH & BEYOND INC P 2008-01-02 2013-06-26
24 BROADCOM CORP CL A P 2010-06-24 2013-07-08
14 WALT DISNEY CO (HOLDING CO) P 2001-10-05 2013-07-17
11 SIEMENS A G SPON ADR P 2011-09-27 2013-07-25
2 VIACOM INC NEW CL B P 2011-06-01 2013-08-08
2 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-19
1 SATURNS TR NO 2007 1 7.00 P 2013-04-30 2013-08-21
260 ALLIANZ FIXED INCOME SH P 2013-08-12 2013-08-26
13000 US TREASURY T .125% 07/15/2022 P 2012-12-07 2013-11-26
6000 UNITED STATES TREASURY 2% 2/15/ P 2013-03-05 2013-11-26
195 PANASONIC CORP (PCRFY) P 2007-08-17 2013-11-26
49 GENERAL DYNAMICS CORP (GD) P 2009-02-18 2013-11-26
98 COMCAST CORP CL A SPL NEW (CMCSK) P 2011-07-27 2013-11-26
30 EXXON MOBIL CORP (XOM) P 2010-12-08 2013-11-26
2000 UNITED STATES TREAS 0.75% 10/31 P 2013-07-09 2013-11-26
123 COMCAST CORP CL A SPL NEW (CMCSK P 2010-02-19 2013-11-26
32 UNITED RENTALS INC (URI) P 2013-07-08 2013-11-26
47 MANPOWERGROUP (MAN) P 2012-07-24 2013-11-26
35 ANALOG DEVICES INC (ADI) P 2012-10-01 2013-11-26
25 EATON CORPORATION PUBLIC LI (ETN) P 2012-12-03 2013-11-26
45 INTEGRYS ENERGY GROUP INC (TEG) P 2009-03-30 2013-11-26
37 BARRICK GOLD CORP (ABX) P 2013-03-21 2013-11-26
49 ONEOK INC (OKE) P 2009-12-10 2013-11-26
25.6097 CREDIT SUISSE GROUP (CS) P 2011-06-28 2013-11-26
16 WACOAL HOLDINGS CORP (WACLY) P 2013-03-11 2013-11-26
50 KINROSS GOLD CORP (KGC) P 2010-08-18 2013-11-26
29 TYCO INTERNATIONAL LTD (TYC) P 2011-11-16 2013-11-26
46 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-01-07 2013-11-26
45 DIRECTV (DTV) P 2006-01-03 2013-11-26
17 DANAHER CORP (DHR) P 2009-03-26 2013-11-26
10 GENERAL MILLS INC (GIS) P 2010-11-12 2013-11-26
6 SNAP ON INC (SNA) P 2011-11-02 2013-11-26
4 SNAP ON INC (SNA) P 2011-07-19 2013-11-26
8 CORPORATE BACKED TR CTFS (JZC) P 2013-04-09 2013-11-26
2 CR BARD INC (BCR) P 2010-01-11 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
10 EASTMAN CHEM CO (EMN) P 2009-03-03 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-10-16 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-09-15 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-07-15 2013-11-26
2 HARSCO CORP (HSC) P 2010-02-16 2013-11-26
1 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-02-12 2013-11-26
514 AEGON NV (AEG) P 2013-05-01 2013-12-05
82 XILINX INC (XLNX) P 2011-01-05 2013-12-05
60 THE SCOTTS MIRACLE-GRO CO (SMG) P 2008-01-15 2013-12-05
96 NABORS INDS LTD (NBR) P 2012-01-27 2013-12-05
39 TEVA PHARMACEUTICAL INDUSTR (TEVA P 2013-01-15 2013-12-05
49 HSBC USA INC NEW (HUSI-G) P 2012-06-13 2013-12-05
22 ACCENTURE PLC CL A (ACN) P 2010-09-15 2013-12-05
30 VALSPAR CORP (VAL) P 2009-04-28 2013-12-05
15 ACCENTURE PLC CL A (ACN) P 2009-02-20 2013-12-05
10 CVS CAREMARK CORP (CVS) P 2009-02-27 2013-12-05
2 WELLS FARGO & CO 8% SRS (WFC-J) P 2013-04-18 2013-12-05
24 KB FINANCIAL GROUP INC ADR (KB) P 2013-01-16 2013-12-11
342 ING GROEP NV 8.5% SERIES (IGK) P 2011-02-09 2013-12-15
100 SANTANDER FIN PFD SA UNI 10 (SAN P 2010-06-03 2013-12-19
37 STANLEY BLACK & DECKER INC (SWK) P 2011-09-14 2013-12-19
34 THERMO FISHER SCIENTIFIC IN (TMO) P 2011-08-10 2013-12-19
67 RBS CAPITAL FUNDING TRUST V (RBS- P 2013-02-26 2013-12-19
34 SWISSCOM SPONS ADR (SCMWY) P 2006-01-31 2013-12-19
40 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
25 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
33 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
3 CHEVRON CORP (CVX) P 2009-02-06 2013-12-19
14 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-14 2013-12-19
1 METLIFE INC (MET) P 2010-02-19 2013-12-19
34 COVANCE INC (CVD) P 2005-07-26 2013-12-20
15 COVANCE INC (CVD) P 2005-11-08 2013-12-20
5 COVANCE INC (CVD) P 2006-07-13 2013-12-20
5.8571 ROYCE GLOBAL VALUE TRUST WI ( P 2013-10-18 2013-12-20
75 GLAXOSMITHKLINE PLC ADS (GSK) P 2011-02-08 2013-12-23
28 QUALCOMM INC (QCOM) P 2012-09-17 2013-12-23
89 BLACKROCK MUNI YIELD CALIF (MCA) P 2013-07-24 2013-12-23
71 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
59 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
20 REPUBLIC SVCS INC (RSG) P 2006-07-13 2013-12-23
19 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-05 2013-12-23
12 OXFORD LANE CAPITAL CORP (OXLC) P 2013-02-12 2013-12-23
6 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-05 2013-12-23
10 FINMECCANICA SPA (FINMY) P 2011-08-05 2013-12-23
463 NUVEEN CREDIT STRATEGIES IN (JQC P 2011-02-15 2013-12-26
112 NIPPON TELEG & TEL CORP SPO (NTT P 2010-12-15 2013-12-26
32 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2013-08-14 2013-12-26
156 ALLIANZ SE ADR (AZSEY) P 2011-08-09 2013-12-26
35 ANADARKO PETE CORP (APC) P 2006-09-25 2013-12-26
95 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-24 2013-12-26
51 SHISEIDO LTD SPONS ADR (SSDOY) P 2008-12-17 2013-12-26
18 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
20 DOLBY LABORATORIES INC (DLB) P 2011-12-07 2013-12-26
15 FOREST LABS INC (FRX) P 2013-02-15 2013-12-26
45 ERICSSON L M TEL CO AD (ERIC) P 2012-09-07 2013-12-26
8 INTUIT (INTU) P 2010-02-16 2013-12-26
5 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-04-30 2013-12-26
3 PFIZER INC (PFE) P 2011-01-14 2013-12-26
108 PHILIP MORRIS INTERNATIONAL (PM) P 2008-10-07 2013-12-27
15 INTERNATIONAL BUSINESS MACH (IBM) P 2010-07-28 2013-12-27
9 PRECISION CASTPARTS CORP (PCP) P 2012-10-08 2013-12-27
2 GOOGLE INC (GOOG) P 2011-01-03 2013-12-27
52 DAIICHI SANKYO COMPANY LIM (DSNK P 2011-04-12 2013-12-27
12 CAMERON INTERNATIONAL CORP (CAM) P 2013-07-31 2013-12-27
10 SCHLUMBERGER LTD (SLB) P 2010-08-24 2013-12-27
24 DAIICHI SANKYO COMPANY LIM (DSNK P 2011-04-08 2013-12-27
17 DAIICHI SANKYO COMPANY LIM (DSNK P 2011-04-11 2013-12-27
7 DB CONT CAPITAL TRUST V 8.0 (DKT) P 2013-03-27 2013-12-27
6 CSX CORP (CSX) P 2009-09-18 2013-12-27
38 VODAFONE GROUP PLC NEW SPO P 2008-07-22 2013-05-02
5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
9 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-10
5 CELGENE CORP P 2008-12-02 2013-05-17
89 US BANCORP DEL (NEW) P 2012-07-18 2013-05-29
1075 ALLIANZ FIXED INCOME S P 2009-04-01 2013-06-13
0.38 MALLINCKRODT PUB LTD CO P 2006-01-03 2013-07-01
17 BROADCOM CORP CL A P 2011-02-07 2013-07-08
3 AMAZON.COM INC P 2008-09-29 2013-07-17
8 SIEMENS A G SPON ADR P 2013-04-11 2013-07-25
12000 US TSY NOTE 01.375 % P 2012-03-01 2013-08-09
1 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-19
1 SATURNS TR NO 2007 1 7.00 P 2013-04-30 2013-08-21
215 ALLIANZ FIXED INCOME SH P 2011-10-04 2013-08-26
13000 UNITED STATES TREASURY 2% 11/1 P 2013-05-07 2013-11-26
5000 US TREASURY T .125% 07/15/2022 P 2012-07-24 2013-11-26
56 WACOAL HOLDINGS CORP (WACLY) P 2005-07-27 2013-11-26
191 TALISMAN ENERGY INC (TLM) P 2011-10-20 2013-11-26
82 TYCO INTERNATIONAL LTD (TYC) P 2012-11-29 2013-11-26
56 GENERAL MILLS INC (GIS) P 2012-02-22 2013-11-26
233 ING GROEP NV ADR (ING) P 2013-02-22 2013-11-26
74 EATON VANCE CORP COM NON VT (EV) P 2005-07-26 2013-11-26
505 CARREFOUR SA (CRRFY) P 2012-07-25 2013-11-26
46 GENERAL MILLS INC (GIS) P 2009-10-19 2013-11-26
100 CABLEVISION SYSTEMS CORP CL (CVC P 2006-01-03 2013-11-26
14 SIEMENS AG ADR (SI) P 2008-09-29 2013-11-26
25 AMERIPRISE FINANCIAL INC (AMP) P 2010-04-01 2013-11-26
18 UNITEDHEALTH GRP INC (UNH) P 2013-04-18 2013-11-26
30 NUCOR CORP (NUE) P 2009-02-27 2013-11-26
129 ING GROEP NV ADR (ING) P 2013-03-26 2013-11-26
12 JOHNSON & JOHNSON (JNJ) P 2012-12-05 2013-11-26
20 SNAP ON INC (SNA) P 2009-08-13 2013-11-26
1000 FNMA POOL FN AL1 4% 09/01/2041 P 2013-04-26 2013-11-26
6 PIONEER NAT RES CO (PXD) P 2011-02-16 2013-11-26
10 HARSCO CORP (HSC) P 2008-01-15 2013-11-26
1 APPLE COMPUTER INC (AAPL) P 2013-01-30 2013-11-26
10 CREE INC (CREE) P 2011-06-16 2013-11-26
6 EATON CORPORATION PUBLIC LI (ETN) P 2012-12-03 2013-11-26
10 EATON VANCE CORP COM NON VT (EV) P 2006-07-06 2013-11-26
5 SNAP ON INC (SNA) P 2006-07-13 2013-11-26
50 CARREFOUR SA (CRRFY) P 2012-07-31 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
3.1193 PENTAIR LTD (PNR) P 2008-07-18 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2013-06-14 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-11-16 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-03-15 2013-11-26
2 EATON VANCE CORP COM NON VT (EV) P 2010-10-28 2013-11-26
1 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-03-28 2013-11-26
92 VALSPAR CORP (VAL) P 2011-07-11 2013-12-05
27 PPG INDS INC (PPG) P 2011-02-28 2013-12-05
45 ACCENTURE PLC CL A (ACN) P 2010-11-10 2013-12-05
39 LORILLARD INC (LO) P 2012-02-29 2013-12-05
41 SANOFI-AVENTIS (SNY) P 2008-08-01 2013-12-05
26 TEVA PHARMACEUTICAL INDUSTR (TEVA P 2012-09-18 2013-12-05
60 JUNIPER NETWORKS INC (JNPR) P 2009-02-27 2013-12-05
8 CATERPILLAR INC (CAT) P 2013-05-17 2013-12-05
16 ACCENTURE PLC CL A (ACN) P 2009-03-27 2013-12-05
10 VALSPAR CORP (VAL) P 2007-10-23 2013-12-05
2 XILINX INC (XLNX) P 2010-10-28 2013-12-05
26 KB FINANCIAL GROUP INC ADR (KB) P 2013-07-18 2013-12-11
2351 COHEN & STEERS INFRASTRUCTU (UT P 2009-01-22 2013-12-19
66 JP MORGAN CHASE & CO (JPM) P 2011-08-03 2013-12-19
24 THERMO FISHER SCIENTIFIC IN (TMO) P 2013-05-15 2013-12-19
93.4 AGEAS SP ADR (AGESY) P 2012-05-04 2013-12-19
62 MORGAN STANLEY 0.0000% SERI (MS-A P 2013-03-28 2013-12-19
346 SUMITOMO MITSUI TRUST (SUTNY) P 2012-09-12 2013-12-19
28 ORACLE CORP (ORCL) P 2009-12-02 2013-12-19
25 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
33 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
12 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
13 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-15 2013-12-19
1.3 AGEAS SP ADR (AGESY) P 2012-05-07 2013-12-19
30 COVANCE INC (CVD) P 2005-10-21 2013-12-20
34 RAYMOND JAMES FINL INC (RJF) P 2005-10-21 2013-12-20
5 COVANCE INC (CVD) P 2006-03-07 2013-12-20
2 RAYMOND JAMES FINL INC (RJF) P 2010-02-16 2013-12-20
93 AXIS CAPITAL HLDGS LTD (AXS) P 2009-10-22 2013-12-23
156 MS&AD INSURANCE GROUP HOLDI (MSA P 2010-08-13 2013-12-23
88 BLACKROCK MUNI YIELD CALIF (MCA) P 2013-07-24 2013-12-23
25 FACEBOOK INC CL A (FB) P 2013-04-10 2013-12-23
33 FIRST TRUST HIGH INCOME LON (FSD) P 2013-07-23 2013-12-23
24 FIRST TRUST HIGH INCOME LON (FSD) P 2013-02-26 2013-12-23
32 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-28 2013-12-23
10 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-07 2013-12-23
7 REPUBLIC SVCS INC (RSG) P 2008-01-15 2013-12-23
3 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-14 2013-12-23
61 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2013-08-08 2013-12-26
107 NIPPON TELEG & TEL CORP SPO (NTT P 2007-09-28 2013-12-26
51 ST JUDE MEDICAL INC (STJ) P 2012-03-07 2013-12-26
75 BLACKROCK BUILD AMERICA BON (BBN) P 2013-01-18 2013-12-26
56 BARCLAYS BANK PLC (BCS-A) P 2013-06-20 2013-12-26
15 UNITED TECH CORP (UTX) P 2011-01-14 2013-12-26
13 UNITED TECH CORP (UTX) P 2010-12-15 2013-12-26
25 BROADCOM CORPORATION CL A (BRCM) P 2011-05-17 2013-12-26
60 ALLIANZ SE ADR (AZSEY) P 2010-05-21 2013-12-26
11 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
15 TELECOM ITALIA SPA SAVINGS (TI.A P 2005-09-15 2013-12-26
10 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2009-03-03 2013-12-26
5 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-02-28 2013-12-26
3 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-03-01 2013-12-26
348.5021 BLACKROCK CREDIT ALLOCATION P 2010-06-23 2013-12-27
22 AGRIUM INC (AGU) P 2013-07-30 2013-12-27
38 BOSTON PPTYS INC (BXP) P 2009-02-18 2013-12-27
20 CELGENE CORP (CELG) P 2010-02-19 2013-12-27
19 DOLLAR GENERAL CORP (DG) P 2012-08-27 2013-12-27
10 SCHLUMBERGER LTD (SLB) P 2012-11-02 2013-12-27
19 DB CONT CAPITAL TRUST V 8.0 (DKT) P 2013-03-28 2013-12-27
1 GOOGLE INC (GOOG) P 2008-09-22 2013-12-27
21 ROYCE VALUE TR INC (RVT) P 2013-02-26 2013-12-27
4 PHILIP MORRIS INTERNATIONAL (PM) P 2010-02-16 2013-12-27
3 DB CONT CAPITAL TRUST V 8.0 (DKT) P 2013-03-27 2013-12-27
51 SK TELECOM CO LTD ADR P 2009-05-20 2013-05-07
5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-10
8 NEWCREST MINING LTD SPON AUST P 2012-04-26 2013-05-17
21 TOYOTA MOTOR CORP NEW JAP P 2010-09-09 2013-05-29
410 ALLIANZ FIXED INCOME SH P 2009-04-01 2013-06-13
55 INTL RECTIFIER CORP P 2009-02-18 2013-07-02
328 ELECTRICITE DE FRANCE AD P 2010-03-22 2013-07-09
3 CELGENE CORP P 2009-02-27 2013-07-17
1 STATE STREET CORP P 2013-03-06 2013-07-26
1000 US TSY NOTE 01.375 % D P 2013-07-23 2013-08-09
4000 FNMA PL AL3006 05.0000 D P 2013-03-26 2013-08-20
1 SATURNS TR NO 2007 1 7.00 P 2013-04-30 2013-08-21
170 ALLIANZ FIXED INCOME SH P 2012-12-28 2013-08-26
13000 FNMA POOL FN AB7 3% 11/01/2042 P 2012-11-07 2013-11-26
292 MORGAN STANLEY EMERGING MAR (EDD P 2011-06-16 2013-11-26
457 TNT EXPRESS NV (TNTEY) P 2013-01-22 2013-11-26
77 BARRICK GOLD CORP (ABX) P 2009-08-18 2013-11-26
31 INTERCON EXCHANGE (ICE) P 2009-03-30 2013-11-26
30 JOHNSON & JOHNSON (JNJ) P 2012-12-19 2013-11-26
221 EDF (ECIFY) P 2010-11-10 2013-11-26
58 HARSCO CORP (HSC) P 2011-07-19 2013-11-26
9 VISA INC (V) P 2013-08-06 2013-11-26
33 FRANKLIN RESOURCES INC (BEN) P 2013-07-10 2013-11-26
99 PANASONIC CORP (PCRFY) P 2010-09-27 2013-11-26
81 AUTODESK INC (ADSK) P 2009-03-30 2013-11-26
67.6098 CREDIT SUISSE GROUP (CS) P 2012-07-13 2013-11-26
64.5366 CREDIT SUISSE GROUP (CS) P 2012-07-31 2013-11-26
303 ALUMINA LTD (AWC) P 2009-03-30 2013-11-26
1000 FNMA POOL FN A 3.5% 12/01/2042 P 2013-07-10 2013-11-26
51 TESCO PLC SPONS ADR (TSCDY) P 2013-06-05 2013-11-26
57 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-02-26 2013-11-26
41 AUTODESK INC (ADSK) P 2009-02-18 2013-11-26
15 AUTODESK INC (ADSK) P 2006-05-04 2013-11-26
41 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-02-13 2013-11-26
13 MANPOWERGROUP (MAN) P 2012-07-20 2013-11-26
12 ZOETIS INC (ZTS) P 2013-08-26 2013-11-26
14 ROYAL BK SCOTLAND PFD 'M' A (RBS- P 2013-04-24 2013-11-26
10 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
5 SNAP ON INC (SNA) P 2006-03-07 2013-11-26
9 MORGAN STANLEY EMERGING MAR (EDD) P 2013-01-04 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
5 ANSYS INC (ANSS) P 2009-03-03 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2013-07-15 2013-11-26
5 MORGAN STANLEY EMERGING MAR (EDD) P 2011-01-07 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-01-05 2013-11-26
1.6796 PENTAIR LTD (PNR) P 2006-02-02 2013-11-26
1 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-04-30 2013-11-26
61 TARGET CORP (TGT) P 2011-11-02 2013-12-05
52 CVS CAREMARK CORP (CVS) P 2012-11-15 2013-12-05
18 GOLDMAN SACHS GRP INC (GS) P 2012-05-02 2013-12-05
95 WOLTERS KLUWER N V (WTKWY) P 2009-06-12 2013-12-05
14 RALPH LAUREN CORP (RL) P 2010-10-29 2013-12-05
47 PHOENIX CO INC 7.45% (PFX) P 2012-12-18 2013-12-05
18 THE SCOTTS MIRACLE-GRO CO (SMG) P 2012-01-30 2013-12-05
17 TEVA PHARMACEUTICAL INDUSTR (TEVA P 2012-10-10 2013-12-05
27 WOLTERS KLUWER N V (WTKWY) P 2009-02-24 2013-12-05
33 BANCO SANTANDER BRASIL SA (BSBR) P 2012-11-06 2013-12-05
2 HSBC USA INC NEW (HUSI-G) P 2012-02-24 2013-12-05
4 BLACKROCK INC CL A (BLK) P 2010-11-10 2013-12-11
776 SANTANDER FIN PFD SA UNI SR (SAN P 2010-12-21 2013-12-19
30 CHEVRON CORP (CVX) P 2008-07-31 2013-12-19
30 NESTLE S A SPONS ADR (NSRGY) P 2013-08-14 2013-12-19
21 UNITED PARCEL SERVICE INC C (UPS) P 2012-07-05 2013-12-19
24 UNION PAC CORP (UNP) P 2009-07-24 2013-12-19
14 TOYOTA MOTOR CORP SPONS ADR (TM) P 2010-09-10 2013-12-19
65 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-15 2013-12-19
46 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
14 RBS CAPITAL FUNDING TRUST V (RBS- P 2013-01-30 2013-12-19
12 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
4 METLIFE INC (MET) P 2009-02-06 2013-12-19
1 CENTRAIS ELETRICAS BRASILEI (EBR.B P 2012-09-26 2013-12-19
55 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-07-25 2013-12-20
50 DAI NIPPON PRINTING CO LTD (DNPLY P 2010-02-05 2013-12-20
10 RAYMOND JAMES FINL INC (RJF) P 2006-07-13 2013-12-20
4.1428 ROYCE GLOBAL VALUE TRUST WI ( P 2013-10-18 2013-12-20
154 FIRST TRUST HIGH INCOME LON (FSD P 2013-05-31 2013-12-23
97 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-05 2013-12-23
88 BLACKROCK MUNI YIELD CALIF (MCA) P 2013-07-24 2013-12-23
269 FINMECCANICA SPA (FINMY) P 2013-02-28 2013-12-23
14 GLAXOSMITHKLINE PLC ADS (GSK) P 2010-01-14 2013-12-23
42 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
31 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-03-14 2013-12-23
10 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-07 2013-12-23
2 DARDEN RESTAURANTS INC (DRI) P 2010-10-28 2013-12-23
3 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-14 2013-12-23
201 BANK OF AMERICA CORP 0% SRS (BML P 2011-05-27 2013-12-26
47 SLM CORP 6.97% SRS A (SLMAP) P 2013-05-02 2013-12-26
79 PFIZER INC (PFE) P 2013-01-09 2013-12-26
122 ALLIANZ SE ADR (AZSEY) P 2013-04-19 2013-12-26
141 ERICSSON L M TEL CO AD (ERIC) P 2012-02-10 2013-12-26
69 CAMECO CORP (CCJ) P 2011-12-19 2013-12-26
131 HOME RETAIL GROUP PLC ADR (HMRTY P 2011-09-06 2013-12-26
48 CAMECO CORP (CCJ) P 2012-11-09 2013-12-26
48 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-23 2013-12-26
15 AKAMAI TECH INC (AKAM) P 2013-02-07 2013-12-26
21 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-04-26 2013-12-26
7 COVIDIEN PLC (COV) P 2006-02-02 2013-12-26
5 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-04-09 2013-12-26
2 AKAMAI TECH INC (AKAM) P 2010-02-16 2013-12-26
17 INTERNATIONAL BUSINESS MACH (IBM) P 2013-01-17 2013-12-27
94 NEWFIELD EXPL CO (NFX) P 2009-02-18 2013-12-27
65 JOY GLOBAL INC (JOY) P 2009-03-25 2013-12-27
26 SCHLUMBERGER LTD (SLB) P 2009-03-26 2013-12-27
75.6115 BLACKROCK CREDIT ALLOCATION P 2010-07-12 2013-12-27
75 ISIS PHARMS (ISIS) P 2010-10-22 2013-12-27
4 INTERNATIONAL BUSINESS MACH (IBM) P 2010-06-23 2013-12-27
20 ROHM CO LTD (ROHCY) P 2011-12-16 2013-12-27
21 ROYCE VALUE TR INC (RVT) P 2013-01-23 2013-12-27
4 JOY GLOBAL INC (JOY) P 2010-02-16 2013-12-27
1 BIO RAD LABS INC CL A (BIO) P 2009-02-18 2013-12-27
38 MOODYS CORP P 2012-10-10 2013-05-08
4 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-10
0.61 CREDIT SUISSE GROUP SPON A P 2011-06-27 2013-05-20
16 LULULEMON ATHLETICA INC P 2012-06-08 2013-05-29
99 WEATHERFORD INTL LTD CHF P 2012-08-23 2013-06-14
9 AKAMAI TECHNOLOGIES INC P 2009-07-30 2013-07-02
6000 FORD MOTOR CO CONV B/E 0 P 2011-03-29 2013-07-10
39 NINTENDO LTD ADR NEW JAP P 2010-10-04 2013-07-18
1 JOHNSON & JOHNSON COM P 2009-04-22 2013-07-26
5 EBAY INC P 2007-03-14 2013-08-13
7000 FNMA PL 735402 05.0000 D P 2013-07-17 2013-08-20
23000 FNMA PL 735676 05.0000 P 2012-07-10 2013-08-23
165 ALLIANZ FIXED INCOME SH P 2012-06-19 2013-08-26
13000 BANK OF AMERICA CORP PERPETUAL P 2013-05-22 2013-11-26
72 MEDNAX INC (MD) P 2012-08-13 2013-11-26
210 WEATHERFORD INTERNATIONAL L (WFT P 2005-07-25 2013-11-26
98 EATON VANCE CORP COM NON VT (EV) P 2012-01-30 2013-11-26
54 GLOBAL PAYMENTS INC (GPN) P 2012-07-12 2013-11-26
58 GENERAL MILLS INC (GIS) P 2010-12-16 2013-11-26
186 KINROSS GOLD CORP (KGC) P 2012-01-17 2013-11-26
11 V F CORP (VFC) P 2012-09-18 2013-11-26
20 EXXON MOBIL CORP (XOM) P 2011-03-14 2013-11-26
22 ACE LTD (ACE) P 2011-05-17 2013-11-26
100 WEATHERFORD INTERNATIONAL L (WFT P 2013-05-03 2013-11-26
32 BARRICK GOLD CORP (ABX) P 2009-12-17 2013-11-26
15 3M COMPANY (MMM) P 2010-06-09 2013-11-26
45 EMC CORP (EMC) P 2011-10-18 2013-11-26
11 SIEMENS AG ADR (SI) P 2011-09-27 2013-11-26
1000 UNITED STATES TREA 1.125% 12/31 P 2013-08-20 2013-11-26
8 SIEMENS AG ADR (SI) P 2013-04-11 2013-11-26
2 APPLE COMPUTER INC (AAPL) P 2011-08-05 2013-11-26
30 TYCO INTERNATIONAL LTD (TYC) P 2006-01-03 2013-11-26
34 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-03-18 2013-11-26
13 GLOBAL PAYMENTS INC (GPN) P 2006-07-13 2013-11-26
9 BARRICK GOLD CORP (ABX) P 2011-09-27 2013-11-26
7 DANAHER CORP (DHR) P 2011-03-03 2013-11-26
12 CORPORATE BACKED TR CTFS (JZC) P 2013-04-09 2013-11-26
10 CORPORATE BACKED TR CTFS (JZC) P 2013-04-09 2013-11-26
13 MORGAN STANLEY EMERGING MAR (EDD) P 2013-07-15 2013-11-26
9 MORGAN STANLEY EMERGING MAR (EDD) P 2013-04-15 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2013-05-15 2013-11-26
5 MORGAN STANLEY EMERGING MAR (EDD) P 2010-10-15 2013-11-26
1 3M COMPANY (MMM) P 2010-02-19 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-02-15 2013-11-26
3 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-19 2013-11-26
1 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-05-31 2013-11-26
36 MCDONALDS CORP (MCD) P 2013-01-03 2013-12-05
90 MICROSOFT CORP (MSFT) P 2005-07-25 2013-12-05
23 LOCKHEED MARTIN CORP (LMT) P 2013-01-30 2013-12-05
40 OCWEN FINANCIAL CORP (OCN) P 2013-02-11 2013-12-05
25 TARGET CORP (TGT) P 2011-02-04 2013-12-05
49 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-03-28 2013-12-05
23 THE SCOTTS MIRACLE-GRO CO (SMG) P 2005-07-26 2013-12-05
15 THE SCOTTS MIRACLE-GRO CO (SMG) P 2007-03-27 2013-12-05
20 PHOENIX CO INC 7.45% (PFX) P 2012-12-18 2013-12-05
10 CUMMINS INC (CMI) P 2009-02-18 2013-12-05
2 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-07-01 2013-12-05
10 CITRIX SYSTEMS INC (CTXS) P 2012-10-26 2013-12-11
424 SANTANDER FIN PFD SA UNI SR (SAN P 2010-06-16 2013-12-19
38 NESTLE S A SPONS ADR (NSRGY) P 2013-07-31 2013-12-19
43 SEVEN & I HOLDINGS CO LTD (SVNDY P 2009-08-20 2013-12-19
82.3 AGEAS SP ADR (AGESY) P 2012-04-10 2013-12-19
25 THERMO FISHER SCIENTIFIC IN (TMO) P 2011-09-07 2013-12-19
28 JP MORGAN CHASE & CO (JPM) P 2009-06-02 2013-12-19
34 MORGAN STANLEY 0.0000% SERI (MS-A P 2012-08-08 2013-12-19
46 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-16 2013-12-19
31 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-17 2013-12-19
12 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
13 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-15 2013-12-19
1 HELIX ENERGY SOLUTIONS GRP (HLX) P 2009-02-18 2013-12-19
38 RAYMOND JAMES FINL INC (RJF) P 2012-02-01 2013-12-20
20 RAYMOND JAMES FINL INC (RJF) P 2006-05-02 2013-12-20
3 EQUINIX INC (EQIX) P 2011-08-29 2013-12-20
4 ROYCE GLOBAL VALUE TRUST WI (RGT) P 2013-10-18 2013-12-20
115 REPUBLIC SVCS INC (RSG) P 2009-02-18 2013-12-23
158 TJX COS INC (TJX) P 2009-02-18 2013-12-23
15 ALLERGAN INC (AGN) P 2010-04-09 2013-12-23
13 TRAVELERS COS INC (TRV) P 2010-02-10 2013-12-23
38 OXFORD LANE CAPITAL CORP (OXLC) P 2013-02-12 2013-12-23
10 NIKE INC CL B (NKE) P 2011-08-05 2013-12-23
21 OXFORD LANE CAPITAL CORP (OXLC) P 2013-02-26 2013-12-23
17 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
7 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-28 2013-12-23
3 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-14 2013-12-23
85 FOREST LABS INC (FRX) P 2005-07-25 2013-12-26
111 PFIZER INC (PFE) P 2012-02-08 2013-12-26
71 DELPHI AUTOMOTIVE (DLPH) P 2012-06-06 2013-12-26
76 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2009-03-30 2013-12-26
30 INTUIT (INTU) P 2011-08-23 2013-12-26
133 ERICSSON L M TEL CO AD (ERIC) P 2012-10-26 2013-12-26
56 PFIZER INC (PFE) P 2009-10-13 2013-12-26
17 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
26 TELECOM ITALIA SPA SAVINGS (TI.A P 2005-11-22 2013-12-26
46 CERNER CORP (CERN) P 2009-03-26 2013-12-26
10 FOREST LABS INC (FRX) P 2007-10-16 2013-12-26
9 TELECOM ITALIA SPA SAVINGS (TI.A) P 2005-10-28 2013-12-26
3 BARCLAYS BANK PLC (BCS-A) P 2012-10-15 2013-12-26
3 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-04-09 2013-12-26
712 ALSTOM SA (ALSMY) P 2011-08-18 2013-12-27
2 GOOGLE INC (GOOG) P 2013-06-10 2013-12-27
158 SKISUE HOUSE LTD ADR (SKHSY) P 2008-03-07 2013-12-27
12 INTERNATIONAL BUSINESS MACH (IBM) P 2009-03-26 2013-12-27
61 ROYCE VALUE TR INC (RVT) P 2013-02-27 2013-12-27
15 CAMERON INTERNATIONAL CORP (CAM) P 2011-06-23 2013-12-27
163 ALSTOM SA (ALSMY) P 2011-10-03 2013-12-27
1 GOOGLE INC (GOOG) P 2008-09-23 2013-12-27
6 NEWFIELD EXPL CO (NFX) P 2010-01-11 2013-12-27
2 BIO RAD LABS INC CL A (BIO) P 2010-02-16 2013-12-27
1 CAMERON INTERNATIONAL CORP (CAM) P 2013-07-25 2013-12-27
10 INTL BUSINESS MACH P 2009-03-26 2013-05-08
4 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
30 WALT DISNEY CO (HOLDING CO) P 2012-08-08 2013-05-15
52 NEWCREST MINING LTD SPON AUS P 2013-01-14 2013-05-22
29 JPMORGAN CHASE & CO P 2008-12-03 2013-05-29
24 LAUDER ESTEE COS CL A P 2011-05-06 2013-06-18
3 CELGENE CORP P 2008-12-02 2013-07-02
2000 FORD MOTOR CO CONV B/E 0 P 2012-10-04 2013-07-10
19 NINTENDO LTD ADR NEW JAP P 2011-05-25 2013-07-18
3 EXPRESS SCRIPTS HLDG CO P 2012-01-04 2013-07-29
5 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-13
3000 FNMA PL AL0069 05.0000 D P 2013-04-12 2013-08-20
6000 FNMA PL AL0069 05.0000 D P 2013-04-12 2013-08-23
125 ALLIANZ FIXED INCOME SH P 2013-08-12 2013-08-26
24000 FNMA FN AH3645 4% 02/01/2041 ( P 2012-04-09 2013-11-26
3000 US TREASURY TI 2.5% 01/15/2029 P 2012-12-27 2013-11-26
60 INTEGRYS ENERGY GROUP INC (TEG) P 2012-01-30 2013-11-26
236 OAO GAZPROM (OGZPY) P 2011-08-11 2013-11-26
77 HARSCO CORP (HSC) P 2005-07-26 2013-11-26
125 VODAFONE GROUP PLC (VOD) P 2008-11-10 2013-11-26
151 WEATHERFORD INTERNATIONAL L (WFT P 2012-08-23 2013-11-26
50 GENERAL MILLS INC (GIS) P 2010-04-15 2013-11-26
107 MORGAN STANLEY EMERGING MAR (EDD P 2013-06-18 2013-11-26
41 URBAN OUTFITTERS INC (URBN) P 2012-10-23 2013-11-26
27 DANAHER CORP (DHR) P 2011-03-02 2013-11-26
100 NINTENDO LTD ADR (NTDOY) P 2013-01-31 2013-11-26
87 NINTENDO LTD ADR (NTDOY) P 2012-12-28 2013-11-26
176 ING GROEP NV ADR (ING) P 2012-06-27 2013-11-26
106 KINROSS GOLD CORP (KGC) P 2012-11-07 2013-11-26
20 UNITEDHEALTH GRP INC (UNH) P 2006-05-04 2013-11-26
55 FREEPORT-MCMORAN COPPER & G (FCX) P 2009-02-27 2013-11-26
30 EMC CORP (EMC) P 2012-11-02 2013-11-26
50 AUTODESK INC (ADSK) P 2009-03-18 2013-11-26
24 CORPORATE BACKED TR CTFS (JZC) P 2013-04-02 2013-11-26
28 VODAFONE GROUP PLC (VOD) P 2008-11-05 2013-11-26
54 KINROSS GOLD CORP (KGC) P 2012-05-21 2013-11-26
32 TALISMAN ENERGY INC (TLM) P 2012-11-05 2013-11-26
22 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-02-11 2013-11-26
10 EATON VANCE CORP COM NON VT (EV) P 2005-07-26 2013-11-26
9 VODAFONE GROUP PLC (VOD) P 2009-02-06 2013-11-26
6 VODAFONE GROUP PLC (VOD) P 2008-07-22 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
5 COMCAST CORP CL A SPL NEW (CMCSK) P 2008-03-14 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-01-05 2013-11-26
5 BORG WARNER INC (BWA) P 2009-03-03 2013-11-26
3 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
3 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-20 2013-11-26
1 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-06-28 2013-11-26
78 TEVA PHARMACEUTICAL INDUSTR (TEVA P 2012-09-10 2013-12-05
53 CVS CAREMARK CORP (CVS) P 2012-02-03 2013-12-05
45 LORILLARD INC (LO) P 2012-04-11 2013-12-05
25 VALEANT PHARMACEUTICALS INT (VRX) P 2013-01-28 2013-12-05
25 PPG INDS INC (PPG) P 2008-10-07 2013-12-05
6 GOLDMAN SACHS GRP INC (GS) P 2010-03-31 2013-12-05
14 LOCKHEED MARTIN CORP (LMT) P 2009-03-04 2013-12-05
30 JUNIPER NETWORKS INC (JNPR) P 2011-09-09 2013-12-05
25 JUNIPER NETWORKS INC (JNPR) P 2008-11-06 2013-12-05
4 CUMMINS INC (CMI) P 2010-02-16 2013-12-05
2 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-08-01 2013-12-05
10 CITRIX SYSTEMS INC (CTXS) P 2012-12-04 2013-12-11
406 SEALED AIR CORP (SEE) P 2012-11-08 2013-12-19
77 METLIFE INC (MET) P 2008-10-22 2013-12-19
27 UNITED PARCEL SERVICE INC C (UPS) P 2012-07-25 2013-12-19
50 SWISSCOM SPONS ADR (SCMWY) P 2005-10-21 2013-12-19
92 MITSUBISHI TANABE PHARMA CO (MTZP P 2013-05-13 2013-12-19
31 SWISSCOM SPONS ADR (SCMWY) P 2006-01-30 2013-12-19
17 SWISSCOM SPONS ADR (SCMWY) P 2007-06-08 2013-12-19
137 SUMITOMO MITSUI TRUST (SUTNY) P 2012-09-24 2013-12-19
30 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-17 2013-12-19
6 SWISSCOM SPONS ADR (SCMWY) P 2005-10-28 2013-12-19
11 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-15 2013-12-19
287 DAI NIPPON PRINTING CO LTD (DNPL P 2010-02-04 2013-12-20
50 COUNTRYWIDE CAPITAL IV (CFC-A) P 2013-06-05 2013-12-20
22 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-08-09 2013-12-20
11 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-07-10 2013-12-20
3 ROYCE GLOBAL VALUE TRUST WI (RGT) P 2013-10-18 2013-12-20
41 TRAVELERS COS INC (TRV) P 2011-02-09 2013-12-23
523 CENTRAIS ELETRICAS BRASILEI (EBR P 2013-04-10 2013-12-23
18 TRAVELERS COS INC (TRV) P 2010-02-16 2013-12-23
34 FIRST TRUST HIGH INCOME LON (FSD) P 2013-04-10 2013-12-23
52 MS&AD INSURANCE GROUP HOLDI (MSAD P 2011-04-14 2013-12-23
41 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
17 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-06 2013-12-23
6 REPUBLIC SVCS INC (RSG) P 2006-07-06 2013-12-23
4 FIRST TRUST HIGH INCOME LON (FSD) P 2013-06-17 2013-12-23
1 FIRST TRUST HIGH INCOME LON (FSD) P 2013-02-15 2013-12-23
47 ROYAL DUTCH SHELL PLC CL B (RDS.B P 2013-01-15 2013-12-26
127 PFIZER INC (PFE) P 2011-01-05 2013-12-26
27 UNITED TECH CORP (UTX) P 2012-01-10 2013-12-26
27 HAIN CELESTIAL GROUP (HAIN) P 2013-03-19 2013-12-26
33 MICHAEL KORS HOLDINGS LIMIT (KORS P 2012-05-16 2013-12-26
20 AMGEN INC (AMGN) P 2010-02-19 2013-12-26
64 SHISEIDO LTD SPONS ADR (SSDOY) P 2009-04-01 2013-12-26
84 ERICSSON L M TEL CO AD (ERIC) P 2012-09-21 2013-12-26
34 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-02-28 2013-12-26
15 BROADCOM CORPORATION CL A (BRCM) P 2011-06-08 2013-12-26
16 TELECOM ITALIA SPA SAVINGS (TI.A P 2005-11-23 2013-12-26
9 BLACKROCK BUILD AMERICA BON (BBN) P 2013-05-28 2013-12-26
4 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-02-28 2013-12-26
2 INTERNATIONAL GAME TECHNOLO (IGT) P 2010-01-11 2013-12-26
208 ROYCE VALUE TR INC (RVT) P 2013-01-23 2013-12-27
22 AUTOLIV INC (ALV) P 2013-06-18 2013-12-27
93 ROYCE VALUE TR INC (RVT) P 2013-02-27 2013-12-27
60 DAIICHI SANKYO COMPANY LIM (DSNK P 2011-04-20 2013-12-27
26 MURPHY USA INC (MUSA) P 2012-03-05 2013-12-27
31 GATX CORP (GMT) P 2009-02-18 2013-12-27
10 CAMERON INTERNATIONAL CORP (CAM) P 2011-11-08 2013-12-27
6 JOY GLOBAL INC (JOY) P 2012-04-23 2013-12-27
1 GOOGLE INC (GOOG) P 2008-12-29 2013-12-27
2 BIO RAD LABS INC CL A (BIO) P 2009-09-18 2013-12-27
1 PRUDENTIAL FINL (PRU) P 2010-02-19 2013-12-27
10 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
3 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
112 ANGLOGOLD ASHANTI LTD NE P 2008-07-25 2013-05-17
25 MOODYS CORP P 2012-10-10 2013-05-22
14 EATON CORP PLC P 2012-12-03 2013-05-31
34 DELPHI AUTOMOTIVE PLC P 2012-05-23 2013-06-18
72 INTL RECTIFIER CORP P 2009-02-18 2013-07-03
43 PNC FINANCIAL SERVICES GRO P 2011-08-31 2013-07-10
5 NINTENDO LTD ADR NEW JAPA P 2011-05-24 2013-07-18
46 ALLIANZ SE ADR P 2010-05-21 2013-07-30
2 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-13
1000 FNMA PL AL3423 05.0000 D P 2013-06-14 2013-08-20
2000 FNMA PL AL2629 05.0000 D P 2013-03-18 2013-08-23
105 ALLIANZ FIXED INCOME SH P 2013-08-08 2013-08-26
959 CALAMOS CVT AND HIGH INCOME (CHY P 2010-12-21 2013-11-26
3000 US TREASURY TI 2.5% 01/15/2029 P 2012-07-13 2013-11-26
56 SNAP ON INC (SNA) P 2012-01-25 2013-11-26
51 FRANKLIN RESOURCES INC (BEN) P 2013-06-12 2013-11-26
39 INTERCON EXCHANGE (ICE) P 2009-02-18 2013-11-26
104 HSBC USA INC 0% SRS F (HUSI-F) P 2012-05-24 2013-11-26
32 JOHNSON & JOHNSON (JNJ) P 2009-10-28 2013-11-26
69 VODAFONE GROUP PLC (VOD) P 2012-12-20 2013-11-26
18 MONSANTO CO NEW (MON) P 2012-11-23 2013-11-26
21 JOHNSON & JOHNSON (JNJ) P 2012-12-05 2013-11-26
105 CHARLES SCHWAB CORP (SCHW) P 2009-02-27 2013-11-26
50 ANSYS INC (ANSS) P 2009-03-30 2013-11-26
50 COMCAST CORP CL A SPL NEW (CMCSK) P 2011-06-17 2013-11-26
58.9 VIVENDI SA (VIVHY) P 2012-03-08 2013-11-26
30 UNITEDHEALTH GRP INC (UNH) P 2008-05-01 2013-11-26
74 WEATHERFORD INTERNATIONAL L (WFT) P 2012-09-25 2013-11-26
40 UNITEDHEALTH GRP INC (UNH) P 2009-04-01 2013-11-26
12 WACOAL HOLDINGS CORP (WACLY) P 2007-05-30 2013-11-26
21 BARRICK GOLD CORP (ABX) P 2012-07-26 2013-11-26
24 CORPORATE BACKED TR CTFS (JZC) P 2013-04-09 2013-11-26
1000 FNMA FN AL0160 4.5% 05/01/2041 P 2013-03-13 2013-11-26
1 APPLE COMPUTER INC (AAPL) P 2013-07-02 2013-11-26
27 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-02-13 2013-11-26
22 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-01-04 2013-11-26
3 DIAGEO PLC SPONS ADR (DEO) P 2011-05-03 2013-11-26
12 MORGAN STANLEY EMERGING MAR (EDD) P 2012-01-06 2013-11-26
3 CHECK POINT SOFTWARE TECH L (CHKP) P 2013-07-08 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-08-15 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-05-15 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-11-15 2013-11-26
3 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
2 AUTODESK INC (ADSK) P 2009-09-18 2013-11-26
1 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-07-31 2013-11-26
40 L-3 COMMUNICATIONS HOLDINGS (LLL) P 2005-07-25 2013-12-05
54 CVS CAREMARK CORP (CVS) P 2012-02-01 2013-12-05
65 CVS CAREMARK CORP (CVS) P 2009-11-19 2013-12-05
19 LOCKHEED MARTIN CORP (LMT) P 2008-11-05 2013-12-05
16 CATERPILLAR INC (CAT) P 2013-04-22 2013-12-05
31 ACCENTURE PLC CL A (ACN) P 2009-03-26 2013-12-05
22 TEVA PHARMACEUTICAL INDUSTR (TEVA P 2013-04-23 2013-12-05
36 SK TELECOM LTD SPONS ADR (SKM) P 2011-02-28 2013-12-05
16 VALSPAR CORP (VAL) P 2007-10-22 2013-12-05
7 ACCENTURE PLC CL A (ACN) P 2009-02-18 2013-12-05
2 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-09-03 2013-12-05
9 CITRIX SYSTEMS INC (CTXS) P 2013-05-28 2013-12-11
140 WHITTING PETROLEUM CORP (WLL) P 2012-08-23 2013-12-19
68 ORACLE CORP (ORCL) P 2011-04-13 2013-12-19
28 TOYOTA MOTOR CORP SPONS ADR (TM) P 2010-10-20 2013-12-19
42 WILLIAMS SONOMA INC (WSM) P 2012-03-02 2013-12-19
266 SUMITOMO MITSUI TRUST (SUTNY) P 2013-05-24 2013-12-19
36 JP MORGAN CHASE & CO (JPM) P 2009-02-06 2013-12-19
12 THERMO FISHER SCIENTIFIC IN (TMO) P 2010-02-04 2013-12-19
43 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-16 2013-12-19
8 NESTLE S A SPONS ADR (NSRGY) P 2009-03-27 2013-12-19
10 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-23 2013-12-19
2 METLIFE INC (MET) P 2011-01-20 2013-12-19
120 AMERICAN TOWER CORPORATION (AMT) P 2009-02-18 2013-12-20
37 EBAY INC (EBAY) P 2011-03-17 2013-12-20
22 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-07-10 2013-12-20
29.7143 ROYCE GLOBAL VALUE TRUST WI P 2013-10-18 2013-12-20
3 ROYCE GLOBAL VALUE TRUST WI (RGT) P 2013-10-18 2013-12-20
46 WALT DISNEY CO (DIS) P 2012-09-05 2013-12-23
60 HOME DEPOT INC (HD) P 2008-01-02 2013-12-23
121 MS&AD INSURANCE GROUP HOLDI (MSA P 2012-06-13 2013-12-23
27 REPUBLIC SVCS INC (RSG) P 2006-06-13 2013-12-23
25 WALT DISNEY CO (DIS) P 2005-09-26 2013-12-23
23 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-05 2013-12-23
16 FIRST TRUST HIGH INCOME LON (FSD) P 2013-02-28 2013-12-23
9 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-06 2013-12-23
2 REPUBLIC SVCS INC (RSG) P 2006-05-02 2013-12-23
1 FIRST TRUST HIGH INCOME LON (FSD) P 2013-02-28 2013-12-23
224 ROYAL DSM NV ADR (RDSMY) P 2013-04-04 2013-12-26
102 INTUIT (INTU) P 2009-02-18 2013-12-26
88 CAMECO CORP (CCJ) P 2011-08-08 2013-12-26
70 BLACKROCK BUILD AMERICA BON (BBN) P 2013-01-09 2013-12-26
67 BANK OF AMERICA CORP 0% SRS (BML- P 2011-06-01 2013-12-26
60 GOLDMAN SACHS GROUP INC (GS-D) P 2010-05-28 2013-12-26
28 COVIDIEN PLC (COV) P 2006-01-03 2013-12-26
17 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2012-01-04 2013-12-26
12 SLM CORP 6.97% SRS A (SLMAP) P 2013-03-01 2013-12-26
10 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
29 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-23 2013-12-26
36 HOME RETAIL GROUP PLC ADR (HMRTY) P 2012-05-15 2013-12-26
4 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-03-01 2013-12-26
2 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-04-30 2013-12-26
94 ROHM CO LTD (ROHCY) P 2010-11-08 2013-12-27
195 CSX CORP (CSX) P 2009-03-30 2013-12-27
18 PHILIP MORRIS INTERNATIONAL (PM) P 2012-01-25 2013-12-27
15 SCHLUMBERGER LTD (SLB) P 2013-04-30 2013-12-27
32 DB CONT CAPITAL TRUST V 8.0 (DKT) P 2013-07-12 2013-12-27
9 FLUOR CORP (NEW) (FLR) P 2011-03-29 2013-12-27
10 NETAPP INC (NTAP) P 2011-02-24 2013-12-27
29 ROYCE VALUE TR INC (RVT) P 2013-02-26 2013-12-27
20 ROYCE VALUE TR INC (RVT) P 2013-02-27 2013-12-27
2 BOSTON PPTYS INC (BXP) P 2010-10-28 2013-12-27
9 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
3 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
71 NEWCREST MINING LTD SPON AUS P 2011-12-16 2013-05-17
43 NEWCREST MINING LTD SPON AUS P 2012-06-29 2013-05-22
25 SCHWAB CHARLES CORP NEW P 2009-02-27 2013-05-31
13 DELPHI AUTOMOTIVE PLC P 2012-05-16 2013-06-18
38 INTL RECTIFIER CORP P 2009-03-30 2013-07-03
8 PNC FINANCIAL SERVICES GROU P 2011-05-17 2013-07-10
5 NINTENDO LTD ADR NEW JAPA P 2011-05-25 2013-07-19
21 LOCKHEED MARTIN CORP P 2008-10-07 2013-07-31
1 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-13
2000 FNMA PL 835158 05.0000 D P 2013-01-09 2013-08-20
3695 ALLIANZ FIXED INCOME S P 2009-04-01 2013-08-26
75 ALLIANZ FIXED INCOME SHA P 2011-01-10 2013-08-26
9000 US TREASURY T .125% 07/15/2022 P 2012-11-28 2013-11-26
150 AGILENT TECHNOLOGIES INC (A) P 2010-02-23 2013-11-26
64 REINSURANCE GROUP OF AMERIC (RGA) P 2009-12-11 2013-11-26
28 EXXON MOBIL CORP (XOM) P 2008-05-09 2013-11-26
65 WELLS FARGO & CO (WFC) P 2013-01-23 2013-11-26
85 ALUMINA LTD (AWC) P 2007-11-19 2013-11-26
30 JOHNSON & JOHNSON (JNJ) P 2010-10-06 2013-11-26
44 SCHEIN HENRY INC (HSIC) P 2009-03-26 2013-11-26
82 NINTENDO LTD ADR (NTDOY) P 2011-08-01 2013-11-26
30 SIEMENS AG ADR (SI) P 2008-10-24 2013-11-26
23 STATE STREET CORP (STT) P 2013-03-06 2013-11-26
61 BORG WARNER INC (BWA) P 2009-02-18 2013-11-26
20 UNITEDHEALTH GRP INC (UNH) P 2012-05-09 2013-11-26
51 HSBC USA INC 0% SRS F (HUSI-F) P 2012-06-08 2013-11-26
1000 UNITED STATES TREAS 0.75% 10/31 P 2013-08-20 2013-11-26
1000 FNMA FN AL3424 4% 01/01/2043 (3 P 2013-07-10 2013-11-26
29 BED BATH BEYOND INC (BBBY) P 2008-01-02 2013-11-26
20 EATON VANCE CORP COM NON VT (EV) P 2008-01-15 2013-11-26
84 EDF (ECIFY) P 2011-04-07 2013-11-26
45 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-02-11 2013-11-26
25 TYCO INTERNATIONAL LTD (TYC) P 2007-11-08 2013-11-26
9 GLOBAL PAYMENTS INC (GPN) P 2006-07-06 2013-11-26
10 GENERAL MILLS INC (GIS) P 2010-04-14 2013-11-26
6 GLOBAL PAYMENTS INC (GPN) P 2010-01-11 2013-11-26
4 3M COMPANY (MMM) P 2008-12-17 2013-11-26
11 MORGAN STANLEY EMERGING MAR (EDD) P 2012-04-13 2013-11-26
9 MORGAN STANLEY EMERGING MAR (EDD) P 2012-10-15 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
5 HARSCO CORP (HSC) P 2009-03-03 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-12-14 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-12-15 2013-11-26
2 GENERAL MILLS INC (GIS) P 2010-02-19 2013-11-26
1 SNAP ON INC (SNA) P 2005-10-21 2013-11-26
1 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-08-30 2013-11-26
106 HSBC HOLDINGS PLC 8% SRS 2 (HSEB P 2013-01-23 2013-12-05
57 JOHNSON CTLS INC (JCI) P 2011-03-23 2013-12-05
15 PPG INDS INC (PPG) P 2013-04-10 2013-12-05
218 BANCO SANTANDER BRASIL SA (BSBR) P 2012-10-12 2013-12-05
18 LOCKHEED MARTIN CORP (LMT) P 2009-11-04 2013-12-05
23 OCWEN FINANCIAL CORP (OCN) P 2013-05-29 2013-12-05
21 TEVA PHARMACEUTICAL INDUSTR (TEVA P 2012-12-12 2013-12-05
26 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-03-11 2013-12-05
15 MICROSOFT CORP (MSFT) P 2008-08-06 2013-12-05
5 ACCENTURE PLC CL A (ACN) P 2010-02-19 2013-12-05
1 WELLS FARGO & CO 8% SRS (WFC-J) P 2013-04-17 2013-12-05
2 BLACKROCK INC CL A (BLK) P 2013-05-29 2013-12-11
122 URS CORP (URS) P 2010-05-12 2013-12-19
50 METLIFE INC (MET) P 2011-01-19 2013-12-19
49 METLIFE INC (MET) P 2010-09-01 2013-12-19
17 CHEVRON CORP (CVX) P 2011-08-12 2013-12-19
70 HELIX ENERGY SOLUTIONS GRP (HLX) P 2012-11-23 2013-12-19
42 RBS CAPITAL FUNDING TRUST V (RBS- P 2013-01-30 2013-12-19
22 JP MORGAN CHASE & CO (JPM) P 2009-02-11 2013-12-19
31 NATIONAL BANK OF GREECE SA (NBG- P 2013-06-03 2013-12-19
5 THERMO FISHER SCIENTIFIC IN (TMO) P 2011-08-18 2013-12-19
20 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
1 CHEVRON CORP (CVX) P 2008-10-07 2013-12-19
193 DAI NIPPON PRINTING CO LTD (DNPL P 2010-02-03 2013-12-20
44 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-07-10 2013-12-20
20 EBAY INC (EBAY) P 2008-07-18 2013-12-20
4 AMERICAN TOWER CORPORATION (AMT) P 2010-01-11 2013-12-20
2.8571 ROYCE GLOBAL VALUE TRUST WI ( P 2013-10-18 2013-12-20
59 GLAXOSMITHKLINE PLC ADS (GSK) P 2010-04-22 2013-12-23
28 STARBUCKS CORP (SBUX) P 2013-04-05 2013-12-23
546 FINMECCANICA SPA (FINMY) P 2012-06-04 2013-12-23
56 MS&AD INSURANCE GROUP HOLDI (MSAD P 2010-08-04 2013-12-23
44 CENTRAIS ELETRICAS BRASILEI (EBR) P 2007-08-06 2013-12-23
23 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-07 2013-12-23
29 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
8 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-07 2013-12-23
4 FIRST TRUST HIGH INCOME LON (FSD) P 2013-07-15 2013-12-23
680 BANK OF AMERICA CORP 0% SRS (BML P 2010-05-13 2013-12-26
60 UNITED TECH CORP (UTX) P 2008-10-07 2013-12-26
72 DELPHI AUTOMOTIVE (DLPH) P 2012-09-18 2013-12-26
84 BLACKROCK BUILD AMERICA BON (BBN) P 2013-01-14 2013-12-26
25 CME GROUP INC (CME) P 2011-02-25 2013-12-26
20 LULULEMON ATHLETICA INC (LULU) P 2013-04-05 2013-12-26
47 TELECOM ITALIA SPA SAVINGS (TI.A P 2005-11-25 2013-12-26
9 OCCIDENTAL PETE CORP (OXY) P 2011-06-08 2013-12-26
35 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2009-03-26 2013-12-26
12 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
10 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
69 HOME RETAIL GROUP PLC ADR (HMRTY) P 2011-12-22 2013-12-26
4 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2010-02-16 2013-12-26
4 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-03-01 2013-12-26
1 TELECOM ITALIA SPA SAVINGS (TI.A) P 2005-07-27 2013-12-26
104 DB CONT CAPITAL TRUST V 8.0 (DKT P 2012-07-27 2013-12-27
22 ASML HOLDING NV (ASML) P 2013-05-08 2013-12-27
26 PRUDENTIAL FINL (PRU) P 2009-12-16 2013-12-27
3 GOOGLE INC (GOOG) P 2008-10-22 2013-12-27
15 SCHLUMBERGER LTD (SLB) P 2010-06-10 2013-12-27
42 RIVERBED TECH INC (RVBD) P 2013-07-31 2013-12-27
56 SKISUE HOUSE LTD ADR (SKHSY) P 2011-06-24 2013-12-27
28 ROYCE VALUE TR INC (RVT) P 2013-02-27 2013-12-27
20 ROYCE VALUE TR INC (RVT) P 2013-02-27 2013-12-27
3 PHILIP MORRIS INTERNATIONAL (PM) P 2010-02-19 2013-12-27
9 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
2 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
84 NEWCREST MINING LTD SPON AUS P 2009-08-10 2013-05-17
24 NEWCREST MINING LTD SPON AUS P 2012-04-26 2013-05-22
116 ING GROEP N V NL SPON AD P 2012-05-09 2013-06-03
7 ING GROEP N V CUML 8.50 P 2011-02-09 2013-06-18
3.12 MALLINCKRODT PUB LTD CO P 2006-01-03 2013-07-03
42 CAMECO CORP CANADA CAD P 2010-04-07 2013-07-15
3 NINTENDO LTD ADR NEW JAPA P 2011-08-01 2013-07-19
30 ORACLE CORP P 2011-11-08 2013-07-31
52 MOODYS CORP P 2013-02-06 2013-08-14
2 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-20
2620 ALLIANZ FIXED INCOME S P 2009-04-01 2013-08-26
0.5 MURPHY USA INC (MUSA) P 2012-03-05 2013-09-03
9000 US TREASURY T .125% 07/15/2022 P 2012-07-24 2013-11-26
130 WELLS FARGO & CO (WFC) P 2012-12-12 2013-11-26
48 DIAGEO PLC SPONS ADR (DEO) P 2008-10-07 2013-11-26
65 ABBOTT LABORATORIES (ABT) P 2013-06-18 2013-11-26
63 WELLS FARGO & CO (WFC) P 2013-02-21 2013-11-26
212 VALLOUREC SA (VLOWY) P 2013-03-27 2013-11-26
109 KINROSS GOLD CORP (KGC) P 2011-01-21 2013-11-26
39 FIDELITY NATIONAL INFORMATI (FIS) P 2013-07-10 2013-11-26
378 CARREFOUR SA (CRRFY) P 2011-12-19 2013-11-26
213 PANASONIC CORP (PCRFY) P 2012-09-25 2013-11-26
114 TALISMAN ENERGY INC (TLM) P 2012-01-19 2013-11-26
22 ACE LTD (ACE) P 2010-09-08 2013-11-26
301 EDF (ECIFY) P 2013-01-07 2013-11-26
69 TESCO PLC SPONS ADR (TSCDY) P 2013-06-26 2013-11-26
17 PIONEER NAT RES CO (PXD) P 2010-05-20 2013-11-26
65 KINROSS GOLD CORP (KGC) P 2011-10-17 2013-11-26
10 MONSANTO CO NEW (MON) P 2010-01-21 2013-11-26
30 EMC CORP (EMC) P 2011-11-08 2013-11-26
61 VALLOUREC SA (VLOWY) P 2013-01-10 2013-11-26
27 ROYAL BK SCOTLAND PFD 'M' A (RBS- P 2013-04-24 2013-11-26
33 KINROSS GOLD CORP (KGC) P 2011-09-27 2013-11-26
19 ROYAL BK SCOTLAND PFD 'M' A (RBS- P 2013-04-24 2013-11-26
7 CHECK POINT SOFTWARE TECH L (CHKP) P 2013-06-26 2013-11-26
8 AUTODESK INC (ADSK) P 2010-10-28 2013-11-26
14 VODAFONE GROUP PLC (VOD) P 2009-03-27 2013-11-26
5.9986 PENTAIR LTD (PNR) P 2007-11-08 2013-11-26
7 TYCO INTERNATIONAL LTD (TYC) P 2006-02-02 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-07-16 2013-11-26
4 ONEOK INC (OKE) P 2010-02-16 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-02-15 2013-11-26
4 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-20 2013-11-26
2 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-21 2013-11-26
346 BARCLAYS BANK PLC 8.125% (BCS-D) P 2010-06-02 2013-12-05
141 NUVEEN BUILD AMERICAN BOND (NBB P 2013-02-25 2013-12-05
14 GOLDMAN SACHS GRP INC (GS) P 2011-03-03 2013-12-05
77 BARCLAYS BANK PLC 8.125% (BCS-D) P 2011-02-02 2013-12-05
11 GOLDMAN SACHS GRP INC (GS) P 2013-01-28 2013-12-05
45 JOHNSON CTLS INC (JCI) P 2010-05-26 2013-12-05
30 XILINX INC (XLNX) P 2012-06-05 2013-12-05
5 GOLDMAN SACHS GRP INC (GS) P 2013-05-29 2013-12-05
77 BANCO SANTANDER BRASIL SA (BSBR) P 2012-11-05 2013-12-05
23 WOLTERS KLUWER N V (WTKWY) P 2009-06-15 2013-12-05
2 CUMMINS INC (CMI) P 2010-10-28 2013-12-05
1 JOHNSON CTLS INC (JCI) P 2010-06-01 2013-12-05
4 BLACKROCK INC CL A (BLK) P 2009-04-08 2013-12-11
200 SANTANDER FIN PFD SA UNI 10 (SAN P 2012-03-07 2013-12-19
27 UNITED PARCEL SERVICE INC C (UPS) P 2013-03-06 2013-12-19
25 CHEVRON CORP (CVX) P 2009-10-28 2013-12-19
29 THERMO FISHER SCIENTIFIC IN (TMO) P 2011-08-17 2013-12-19
41 SANTANDER FIN PFD SA UNI 10 (SAN- P 2010-11-10 2013-12-19
30 TRIMBLE NAV LTD (TRMB) P 2013-02-11 2013-12-19
31 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
5 UNITED PARCEL SERVICE INC C (UPS) P 2011-05-17 2013-12-19
27 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
60 SUMITOMO MITSUI TRUST (SUTNY) P 2012-09-24 2013-12-19
15 LIBERTY MEDIA CORP (2013) S (LMCA P 2009-02-27 2013-12-19
66 AT&T INC (T) P 2013-05-22 2013-12-20
52 RAYMOND JAMES FINL INC (RJF) P 2005-07-26 2013-12-20
15 RAYMOND JAMES FINL INC (RJF) P 2006-03-07 2013-12-20
2 YUM BRANDS INC (YUM) P 2013-06-21 2013-12-20
2.8572 ROYCE GLOBAL VALUE TRUST WI ( P 2013-10-18 2013-12-20
64 DARDEN RESTAURANTS INC (DRI) P 2009-03-30 2013-12-23
32 LAUDER ESTEE COS INC CL A (EL) P 2011-05-06 2013-12-23
66 BLACKROCK MUNI YIELD CALIF (MCA) P 2013-07-23 2013-12-23
12 DARDEN RESTAURANTS INC (DRI) P 2011-07-11 2013-12-23
10 QUALCOMM INC (QCOM) P 2011-07-29 2013-12-23
15 FACEBOOK INC CL A (FB) P 2013-04-23 2013-12-23
16 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-06 2013-12-23
10 BLACKROCK MUNI YIELD CALIF (MCA) P 2013-07-23 2013-12-23
4 FIRST TRUST HIGH INCOME LON (FSD) P 2013-08-15 2013-12-23
1437 NUVEEN CREDIT STRATEGIES IN (JQ P 2010-12-21 2013-12-26
111 INTUIT (INTU) P 2009-03-30 2013-12-26
25 OCCIDENTAL PETE CORP (OXY) P 2011-08-31 2013-12-26
62 AKAMAI TECH INC (AKAM) P 2011-07-11 2013-12-26
81 AKAMAI TECH INC (AKAM) P 2009-03-30 2013-12-26
26 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
75 SHISEIDO LTD SPONS ADR (SSDOY) P 2009-03-31 2013-12-26
74 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-24 2013-12-26
14 ANADARKO PETE CORP (APC) P 2010-05-20 2013-12-26
12 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
115 SEAGATE TECHNOLOGY (STX) P 2009-02-27 2013-12-26
35 SANDISK CORP (SNDK) P 2009-02-27 2013-12-26
5 SANDISK CORP (SNDK) P 2008-01-02 2013-12-26
3 BLACKROCK BUILD AMERICA BON (BBN) P 2013-04-30 2013-12-26
1 SATURNS-JCP 2007-1 7% 3/1/9 (HJV) P 2013-02-28 2013-12-26
104 DB CONT CAPITAL TRUST V 8.0 (DKT P 2012-07-27 2013-12-27
32 PRUDENTIAL FINL (PRU) P 2010-02-24 2013-12-27
65 GATX CORP (GMT) P 2009-03-30 2013-12-27
3 GOOGLE INC (GOOG) P 2009-03-26 2013-12-27
232 ALSTOM SA (ALSMY) P 2013-05-07 2013-12-27
20 FLUOR CORP (NEW) (FLR) P 2008-11-20 2013-12-27
15 FLUOR CORP (NEW) (FLR) P 2009-02-27 2013-12-27
16 ROHM CO LTD (ROHCY) P 2009-01-30 2013-12-27
5 ANHEUSER-BUSCH INBEV NV ADR (BUD) P 2010-12-02 2013-12-27
4 PHILIP MORRIS INTERNATIONAL (PM) P 2009-02-06 2013-12-27
6 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
2 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
37 ANGLOGOLD ASHANTI LTD NEW P 2011-02-08 2013-05-17
11 MOODYS CORP P 2012-11-09 2013-05-22
81 ING GROEP N V NL SPON ADR P 2012-06-27 2013-06-03
7 ING GROEP N V CUML 8.50 P 2011-02-09 2013-06-19
0.88 MALLINCKRODT PUB LTD CO P 2006-02-02 2013-07-03
12 CAMECO CORP CANADA CAD P 2010-05-25 2013-07-15
35 STATE STREET CORP P 2013-03-06 2013-07-24
10 ORACLE CORP P 2011-08-01 2013-07-31
9 MOODYS CORP P 2012-11-09 2013-08-14
2 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-20
2130 ALLIANZ FIXED INCOME S P 2011-09-19 2013-08-26
1 SPRINT CAPITAL COR 6.875% 11/15/20 P 2013-09-18 2013-09-18
10000 JPMORGAN CHASE & CO (48126HAA8 P 2013-07-29 2013-11-26
10000 FGLMC A97046 F 4.5% 02/01/2041 P 2011-02-09 2013-11-26
77 WELLS FARGO & CO (WFC) P 2013-04-24 2013-11-26
541 CARREFOUR SA (CRRFY) P 2011-10-04 2013-11-26
82 VODAFONE GROUP PLC (VOD) P 2012-01-19 2013-11-26
19 APPLE COMPUTER INC (AAPL) P 2009-03-26 2013-11-26
2000 UNITED STATES TREASURY 2% 2/15/ P 2013-08-20 2013-11-26
173 D R HORTON INC (DHI) P 2009-03-30 2013-11-26
96.1 VIVENDI SA (VIVHY) P 2012-04-10 2013-11-26
59 ANSYS INC (ANSS) P 2009-02-18 2013-11-26
149 OAO GAZPROM (OGZPY) P 2012-05-21 2013-11-26
215 ALUMINA LTD (AWC) P 2011-09-28 2013-11-26
92 EASTMAN CHEM CO (EMN) P 2009-02-18 2013-11-26
45 COMCAST CORP CL A SPL NEW (CMCSK) P 2011-05-26 2013-11-26
59 KINROSS GOLD CORP (KGC) P 2010-02-04 2013-11-26
35 ABBOTT LABORATORIES (ABT) P 2010-03-11 2013-11-26
20 ANALOG DEVICES INC (ADI) P 2012-11-30 2013-11-26
9 AMERIPRISE FINANCIAL INC (AMP) P 2013-05-29 2013-11-26
56 WEATHERFORD INTERNATIONAL L (WFT) P 2009-04-01 2013-11-26
45 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-02-13 2013-11-26
20 COCA COLA CO (KO) P 2008-07-18 2013-11-26
31 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-01-03 2013-11-26
5 CREE INC (CREE) P 2010-08-05 2013-11-26
38 IMMUNOGEN INC (IMGN) P 2010-10-14 2013-11-26
2 INTERCON EXCHANGE (ICE) P 2010-10-28 2013-11-26
11 MORGAN STANLEY EMERGING MAR (EDD) P 2012-07-13 2013-11-26
4.7988 PENTAIR LTD (PNR) P 2008-01-02 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-09-14 2013-11-26
2 ANSYS INC (ANSS) P 2010-02-16 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-04-15 2013-11-26
4 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-20 2013-11-26
2 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-21 2013-11-26
186 ECHOSTAR CORP (SATS) P 2013-02-20 2013-12-05
178 SK TELECOM LTD SPONS ADR (SKM) P 2009-05-20 2013-12-05
51 CVS CAREMARK CORP (CVS) P 2012-03-21 2013-12-05
48 LORILLARD INC (LO) P 2012-05-30 2013-12-05
38 CVS CAREMARK CORP (CVS) P 2012-01-11 2013-12-05
16 LOCKHEED MARTIN CORP (LMT) P 2009-07-22 2013-12-05
141 BANCO SANTANDER BRASIL SA (BSBR) P 2013-07-23 2013-12-05
107 BANCO SANTANDER BRASIL SA (BSBR) P 2013-01-15 2013-12-05
25 HSBC USA INC NEW (HUSI-G) P 2012-06-13 2013-12-05
13 WELLS FARGO & CO 8% SRS (WFC-J) P 2013-04-18 2013-12-05
2 LOCKHEED MARTIN CORP (LMT) P 2010-02-19 2013-12-05
1 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-05-01 2013-12-05
7 CITRIX SYSTEMS INC (CTXS) P 2013-04-05 2013-12-11
300 MORGAN STANLEY 0.0000% SERI (MS- P 2012-03-07 2013-12-19
50 JP MORGAN CHASE & CO (JPM) P 2011-02-02 2013-12-19
73 ORACLE CORP (ORCL) P 2010-04-09 2013-12-19
33 JP MORGAN CHASE & CO (JPM) P 2013-04-17 2013-12-19
20 STANLEY BLACK & DECKER INC (SWK) P 2011-09-07 2013-12-19
28 JP MORGAN CHASE & CO (JPM) P 2008-12-17 2013-12-19
30 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
7 THERMO FISHER SCIENTIFIC IN (TMO) P 2010-06-10 2013-12-19
10 JP MORGAN CHASE & CO (JPM) P 2009-02-12 2013-12-19
10 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
4 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
96 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-07-25 2013-12-20
15 YUM BRANDS INC (YUM) P 2012-12-21 2013-12-20
10 COVANCE INC (CVD) P 2009-02-18 2013-12-20
10 RAYMOND JAMES FINL INC (RJF) P 2009-03-03 2013-12-20
1 AT&T INC (T) P 2010-02-16 2013-12-20
37 QUALCOMM INC (QCOM) P 2012-08-03 2013-12-23
90 REPUBLIC SVCS INC (RSG) P 2009-03-30 2013-12-23
48 FIRST TRUST HIGH INCOME LON (FSD) P 2013-02-25 2013-12-23
61 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-14 2013-12-23
10 QUALCOMM INC (QCOM) P 2011-08-12 2013-12-23
40 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-06-04 2013-12-23
16 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-05 2013-12-23
5 DARDEN RESTAURANTS INC (DRI) P 2009-03-03 2013-12-23
3 FIRST TRUST HIGH INCOME LON (FSD) P 2013-05-15 2013-12-23
508 GOLDMAN SACHS GROUP INC (GS-D) P 2010-05-28 2013-12-26
89 FUJI FILM HOLDINGS CORP ADR (FUJI P 2006-03-23 2013-12-26
40 PEPSICO INC (PEP) P 2005-08-24 2013-12-26
107 PFIZER INC (PFE) P 2009-11-11 2013-12-26
89 PFIZER INC (PFE) P 2010-09-29 2013-12-26
75 TELECOM ITALIA SPA SAVINGS (TI.A P 2008-05-02 2013-12-26
66 PFIZER INC (PFE) P 2009-10-07 2013-12-26
72 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-23 2013-12-26
10 UNITED TECH CORP (UTX) P 2012-05-16 2013-12-26
12 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
15 BROADCOM CORPORATION CL A (BRCM) P 2011-10-04 2013-12-26
6 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
18 NUVEEN CREDIT STRATEGIES IN (JQC) P 2010-12-21 2013-12-26
3 BLACKROCK BUILD AMERICA BON (BBN) P 2013-02-28 2013-12-26
1 PFIZER INC (PFE) P 2010-02-16 2013-12-26
35 ANHEUSER-BUSCH INBEV NV ADR (BUD) P 2012-07-18 2013-12-27
26 BIO RAD LABS INC CL A (BIO) P 2009-02-18 2013-12-27
52 CAMERON INTERNATIONAL CORP (CAM) P 2009-03-26 2013-12-27
309 ALSTOM SA (ALSMY) P 2012-10-02 2013-12-27
9 SCHLUMBERGER LTD (SLB) P 2011-02-16 2013-12-27
41 ROYCE VALUE TR INC (RVT) P 2013-01-23 2013-12-27
9 PHILIP MORRIS INTERNATIONAL (PM) P 2010-10-01 2013-12-27
14 DB CONT CAPITAL TRUST V 8.0 (DKT) P 2013-07-12 2013-12-27
13 ROHM CO LTD (ROHCY) P 2011-12-19 2013-12-27
3 PRUDENTIAL FINL (PRU) P 2010-02-16 2013-12-27
6 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
2 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
33 NEWCREST MINING LTD SPON AUS P 2010-05-28 2013-05-17
5 APACHE CORP P 2011-06-17 2013-05-23
7 BLACKROCK INC P 2012-01-11 2013-06-05
5 ING GROEP N V CUML 8.50 P 2011-02-09 2013-06-19
77 INTL RECTIFIER CORP P 2009-03-30 2013-07-05
58 CAMECO CORP CANADA CAD P 2010-05-25 2013-07-16
23 JOHNSON & JOHNSON COM P 2008-10-07 2013-07-24
110 ELECTRICITE DE FRANCE AD P 2010-11-10 2013-08-05
4 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-14
98 VALLOUREC SA SPON ADR P 2013-01-10 2013-08-21
2450 ALLIANZ FIXED INCOME S P 2011-09-19 2013-08-26
0.8571 ROYCE GLOBAL VALUE TRUST WI ( P 2013-10-18 2013-10-18
9000 UNITED STATES TREASURY 2% 2/15/ P 2013-04-02 2013-11-26
287 MORGAN STANLEY EMERGING MAR (EDD P 2010-06-02 2013-11-26
45 JOHNSON & JOHNSON (JNJ) P 2005-08-15 2013-11-26
55 FIDELITY NATIONAL INFORMATI (FIS) P 2013-05-08 2013-11-26
24 3M COMPANY (MMM) P 2011-03-24 2013-11-26
71 TYCO INTERNATIONAL LTD (TYC) P 2012-12-05 2013-11-26
104 BARRICK GOLD CORP (ABX) P 2013-04-19 2013-11-26
25 STARWOOD HOTELS & RESORTS W (HOT) P 2013-06-10 2013-11-26
151 VALLOUREC SA (VLOWY) P 2013-03-01 2013-11-26
162 D R HORTON INC (DHI) P 2009-02-18 2013-11-26
40 SNAP ON INC (SNA) P 2009-04-29 2013-11-26
34 WELLS FARGO & CO (WFC) P 2013-02-15 2013-11-26
55 BORG WARNER INC (BWA) P 2009-03-30 2013-11-26
13 DIAGEO PLC SPONS ADR (DEO) P 2011-05-04 2013-11-26
16 3M COMPANY (MMM) P 2009-07-01 2013-11-26
11 DEERE & CO (DE) P 2012-11-23 2013-11-26
46 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-03-18 2013-11-26
14 3M COMPANY (MMM) P 2009-02-06 2013-11-26
50 AUTODESK INC (ADSK) P 2009-02-27 2013-11-26
44 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-01-03 2013-11-26
14 WELLS FARGO & CO (WFC) P 2013-02-13 2013-11-26
15 EATON VANCE CORP COM NON VT (EV) P 2006-03-07 2013-11-26
7 CHECK POINT SOFTWARE TECH L (CHKP) P 2013-06-24 2013-11-26
20 CABLEVISION SYSTEMS CORP CL (CVC) P 2008-04-09 2013-11-26
30 D R HORTON INC (DHI) P 2009-03-03 2013-11-26
10 MORGAN STANLEY EMERGING MAR (EDD) P 2011-07-15 2013-11-26
2 EXXON MOBIL CORP (XOM) P 2010-02-19 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2013-03-15 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-06-15 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-05-16 2013-11-26
4 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-13 2013-11-26
2 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-21 2013-11-26
283 BARCLAYS BANK PLC 8.125% (BCS-D) P 2011-03-09 2013-12-05
126 HSBC USA INC NEW (HUSI-G) P 2012-06-13 2013-12-05
28 LOCKHEED MARTIN CORP (LMT) P 2011-07-06 2013-12-05
282 AEGON NV (AEG) P 2013-05-08 2013-12-05
16 GOLDMAN SACHS GRP INC (GS) P 2012-01-11 2013-12-05
40 SANOFI-AVENTIS (SNY) P 2009-07-01 2013-12-05
95 TE CONNECTIVITY LTD (TEL) P 2009-02-27 2013-12-05
16 SANOFI-AVENTIS (SNY) P 2013-08-02 2013-12-05
15 XILINX INC (XLNX) P 2012-09-14 2013-12-05
20 JUNIPER NETWORKS INC (JNPR) P 2012-05-09 2013-12-05
14 KEYCORP (KEY) P 2012-03-01 2013-12-05
1 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-06-03 2013-12-05
3 BLACKROCK INC CL A (BLK) P 2009-03-30 2013-12-11
369 NATIONAL BANK OF GREECE SA (NBG P 2013-06-03 2013-12-19
48 JP MORGAN CHASE & CO (JPM) P 2011-02-25 2013-12-19
46 NESTLE S A SPONS ADR (NSRGY) P 2009-08-19 2013-12-19
59 SANTANDER FIN PFD SA UNI 10 (SAN- P 2010-06-03 2013-12-19
54 RBS CAPITAL FUNDING TRUST V (RBS- P 2013-01-30 2013-12-19
22 NESTLE S A SPONS ADR (NSRGY) P 2008-10-08 2013-12-19
205 HELIX ENERGY SOLUTIONS GRP (HLX P 2009-02-25 2013-12-19
38 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-13 2013-12-19
6 JP MORGAN CHASE & CO (JPM) P 2010-02-19 2013-12-19
7 ORACLE CORP (ORCL) P 2010-02-19 2013-12-19
1 TOYOTA MOTOR CORP SPONS ADR (TM) P 2010-09-09 2013-12-19
77 COCA-COLA ENTERPRISES INC (CCE) P 2012-11-09 2013-12-20
29 AMERICAN TOWER CORPORATION (AMT) P 2009-03-30 2013-12-20
10 COVANCE INC (CVD) P 2009-03-30 2013-12-20
5 AT&T INC (T) P 2010-02-19 2013-12-20
2.4286 ROYCE GLOBAL VALUE TRUST WI ( P 2013-10-18 2013-12-20
44 WALT DISNEY CO (DIS) P 2012-08-22 2013-12-23
479 CENTRAIS ELETRICAS BRASILEI (EBR P 2013-04-09 2013-12-23
66 BLACKROCK MUNI YIELD CALIF (MCA) P 2013-07-24 2013-12-23
31 WALT DISNEY CO (DIS) P 2001-10-05 2013-12-23
25 REPUBLIC SVCS INC (RSG) P 2009-03-03 2013-12-23
22 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-07 2013-12-23
5 QUALCOMM INC (QCOM) P 2011-08-05 2013-12-23
12 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-28 2013-12-23
3 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-05 2013-12-23
1207 NUVEEN CREDIT STRATEGIES IN (JQ P 2010-05-28 2013-12-26
27 OCCIDENTAL PETE CORP (OXY) P 2011-06-15 2013-12-26
65 ST JUDE MEDICAL INC (STJ) P 2011-12-21 2013-12-26
66 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2009-02-18 2013-12-26
55 ARM HOLDINGS PLC (ARMH) P 2012-09-25 2013-12-26
32 ARM HOLDINGS PLC (ARMH) P 2013-07-08 2013-12-26
27 MICHAEL KORS HOLDINGS LIMIT (KORS P 2012-08-03 2013-12-26
72 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-24 2013-12-26
25 AKAMAI TECH INC (AKAM) P 2012-05-17 2013-12-26
12 SLM CORP 6.97% SRS A (SLMAP) P 2013-02-25 2013-12-26
37 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-23 2013-12-26
10 DELPHI AUTOMOTIVE (DLPH) P 2012-05-23 2013-12-26
3 UNITED TECH CORP (UTX) P 2009-02-06 2013-12-26
3 BLACKROCK BUILD AMERICA BON (BBN) P 2013-03-28 2013-12-26
1 PFIZER INC (PFE) P 2010-10-01 2013-12-26
57 HONEYWELL INTL INC (HON) P 2010-05-26 2013-12-27
28 CELGENE CORP (CELG) P 2010-04-22 2013-12-27
375 ALSTOM SA (ALSMY) P 2013-06-21 2013-12-27
118 SKISUE HOUSE LTD ADR (SKHSY) P 2011-06-23 2013-12-27
42 DAIICHI SANKYO COMPANY LIM (DSNK P 2011-04-21 2013-12-27
10 ANHEUSER-BUSCH INBEV NV ADR (BUD) P 2010-12-14 2013-12-27
10 CAMERON INTERNATIONAL CORP (CAM) P 2011-08-05 2013-12-27
19 DAIICHI SANKYO COMPANY LIM (DSNK P 2011-04-07 2013-12-27
5 ANHEUSER-BUSCH INBEV NV ADR (BUD) P 2011-08-17 2013-12-27
1 INTERNATIONAL BUSINESS MACH (IBM) P 2010-11-08 2013-12-27
6 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
7 CORP BACKED TRUST CERTS 6.00 P 2013-04-01 2013-05-09
22 ANGLOGOLD ASHANTI LTD NEW P 2010-01-20 2013-05-17
5 APACHE CORP P 2010-08-12 2013-05-23
6 BLACKROCK INC P 2011-06-22 2013-06-05
4 ING GROEP N V CUML 8.50 P 2011-02-09 2013-06-19
12 INTL RECTIFIER CORP P 2010-01-11 2013-07-05
25 VARIAN MEDICAL SYSTEMS INC P 2010-02-04 2013-07-16
2 JOHNSON & JOHNSON COM P 2009-04-22 2013-07-24
40 ELECTRICITE DE FRANCE ADR P 2010-03-22 2013-08-05
3 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-14
3 SATURNS TR NO 2007 1 7.00 P 2013-04-30 2013-08-21
1120 ALLIANZ FIXED INCOME S P 2011-02-18 2013-08-26
28000 UNITED STATES TREAS 0.75% 10/3 P 2012-12-13 2013-11-26
20000 FNMA POOL FN AD8 4% 08/01/2040 P 2012-08-07 2013-11-26
352 D R HORTON INC (DHI) P 2011-04-04 2013-11-26
60 BARRICK GOLD CORP (ABX) P 2011-01-20 2013-11-26
26 EXXON MOBIL CORP (XOM) P 2012-09-26 2013-11-26
129 PANASONIC CORP (PCRFY) P 2007-09-11 2013-11-26
47 DANAHER CORP (DHR) P 2011-08-24 2013-11-26
215 CARREFOUR SA (CRRFY) P 2010-12-02 2013-11-26
175 OAO GAZPROM (OGZPY) P 2011-09-30 2013-11-26
17 EXXON MOBIL CORP (XOM) P 2007-09-27 2013-11-26
35 URBAN OUTFITTERS INC (URBN) P 2013-05-29 2013-11-26
60 COCA COLA CO (KO) P 2005-07-25 2013-11-26
50 COMCAST CORP CL A SPL NEW (CMCSK) P 2011-07-14 2013-11-26
3 APPLE COMPUTER INC (AAPL) P 2011-08-08 2013-11-26
80 EASTMAN CHEM CO (EMN) P 2009-03-30 2013-11-26
1000 UNITED STATES TREASURY 2% 11/15 P 2013-07-09 2013-11-26
35 TEXAS INSTRS INC (TXN) P 2008-08-07 2013-11-26
74 TALISMAN ENERGY INC (TLM) P 2012-11-07 2013-11-26
20 HARSCO CORP (HSC) P 2006-07-13 2013-11-26
1000 FNMA FN AJ4050 4% 10/01/2041 (3 P 2013-04-18 2013-11-26
44 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-01-03 2013-11-26
20 COMCAST CORP CL A SPL NEW (CMCSK) P 2011-07-14 2013-11-26
10 SNAP ON INC (SNA) P 2006-07-06 2013-11-26
7 CHECK POINT SOFTWARE TECH L (CHKP) P 2013-06-21 2013-11-26
5 UNITEDHEALTH GRP INC (UNH) P 2012-07-10 2013-11-26
8.5 THE ADT CORPORATION (ADT) P 2007-11-08 2013-11-26
7 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
3.4878 CREDIT SUISSE GROUP (CS) P 2011-06-27 2013-11-26
2 DIAGEO PLC SPONS ADR (DEO) P 2009-02-06 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2013-04-15 2013-11-26
5 MORGAN STANLEY EMERGING MAR (EDD) P 2011-04-15 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-10-14 2013-11-26
4 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-14 2013-11-26
3 OAO GAZPROM (OGZPY) P 2012-05-22 2013-11-26
770 KEYCORP (KEY) P 2012-01-25 2013-12-05
59 LORILLARD INC (LO) P 2013-07-24 2013-12-05
57 LORILLARD INC (LO) P 2012-09-12 2013-12-05
102 NABORS INDS LTD (NBR) P 2011-11-02 2013-12-05
74 HSBC USA INC NEW (HUSI-G) P 2012-06-13 2013-12-05
76 WOLTERS KLUWER N V (WTKWY) P 2009-03-30 2013-12-05
22 ACCENTURE PLC CL A (ACN) P 2010-09-20 2013-12-05
20 TEVA PHARMACEUTICAL INDUSTR (TEVA P 2012-09-20 2013-12-05
25 VALSPAR CORP (VAL) P 2008-01-15 2013-12-05
12 SANOFI-AVENTIS (SNY) P 2009-03-30 2013-12-05
16 AEGON NV (AEG) P 2013-06-14 2013-12-05
15 STARZ SERIES A COMMON (STRZA) P 2009-02-27 2013-12-05
4 CITRIX SYSTEMS INC (CTXS) P 2013-05-17 2013-12-11
159 SANTANDER FIN PFD SA UNI 10 (SAN P 2010-06-04 2013-12-19
32 NESTLE S A SPONS ADR (NSRGY) P 2013-02-21 2013-12-19
87 RBS CAPITAL FUNDING TRUST V (RBS- P 2013-03-28 2013-12-19
364 SUMITOMO MITSUI TRUST (SUTNY) P 2013-06-04 2013-12-19
40 PALL CORP (PLL) P 2005-09-20 2013-12-19
18 URS CORP (URS) P 2010-05-12 2013-12-19
28 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-25 2013-12-19
10 SWISSCOM SPONS ADR (SCMWY) P 2005-07-27 2013-12-19
3 CHEVRON CORP (CVX) P 2010-01-07 2013-12-19
18 NATIONAL BANK OF GREECE SA (NBG- P 2013-05-16 2013-12-19
7 NATIONAL BANK OF GREECE SA (NBG-A P 2013-05-13 2013-12-19
59 AT&T INC (T) P 2012-08-15 2013-12-20
28 EBAY INC (EBAY) P 2011-06-10 2013-12-20
14 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-08-09 2013-12-20
13.2857 ROYCE GLOBAL VALUE TRUST WI P 2013-10-18 2013-12-20
1 ROYCE GLOBAL VALUE TRUST WI (RGT) P 2013-10-18 2013-12-20
59 WALGREEN CO (WAG) P 2012-08-31 2013-12-23
33 WALT DISNEY CO (DIS) P 2011-02-25 2013-12-23
89 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
55 MS&AD INSURANCE GROUP HOLDI (MSAD P 2011-04-13 2013-12-23
47 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
30 MS&AD INSURANCE GROUP HOLDI (MSAD P 2010-02-25 2013-12-23
19 CENTRAIS ELETRICAS BRASILEI (EBR) P 2007-06-06 2013-12-23
4 REPUBLIC SVCS INC (RSG) P 2010-01-11 2013-12-23
4 REPUBLIC SVCS INC (RSG) P 2008-01-15 2013-12-23
331 TELECOM ITALIA SPA SAVINGS (TI. P 2006-02-08 2013-12-26
137 NIPPON TELEG & TEL CORP SPO (NTT P 2009-04-14 2013-12-26
55 ST JUDE MEDICAL INC (STJ) P 2012-04-11 2013-12-26
82 NIPPON TELEG & TEL CORP SPO (NTT) P 2007-06-18 2013-12-26
61 GOLDMAN SACHS GROUP INC (GS-J) P 2013-06-05 2013-12-26
49 GOLDMAN SACHS GROUP INC (GS-J) P 2013-06-05 2013-12-26
115 INTERNATIONAL GAME TECHNOLO (IGT P 2009-02-18 2013-12-26
30 DOLBY LABORATORIES INC (DLB) P 2008-10-24 2013-12-26
82 TELECOM ITALIA SPA SAVINGS (TI.A P 2012-04-13 2013-12-26
26 CAMECO CORP (CCJ) P 2011-08-26 2013-12-26
10 SANDISK CORP (SNDK) P 2011-03-09 2013-12-26
5 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2012-07-10 2013-12-26
3 UNITED TECH CORP (UTX) P 2009-03-27 2013-12-26
3 BLACKROCK BUILD AMERICA BON (BBN) P 2013-05-31 2013-12-26
720.8864 BLACKROCK CREDIT ALLOCATION P 2010-12-21 2013-12-27
237 CSX CORP (CSX) P 2009-02-18 2013-12-27
31 DOLLAR GENERAL CORP (DG) P 2012-08-10 2013-12-27
7 AMAZON COM INC (AMZN) P 2011-02-07 2013-12-27
32 BOSTON PPTYS INC (BXP) P 2009-03-30 2013-12-27
15 NETAPP INC (NTAP) P 2011-02-25 2013-12-27
10 ANHEUSER-BUSCH INBEV NV ADR (BUD) P 2011-01-06 2013-12-27
32 RIVERBED TECH INC (RVBD) P 2013-07-31 2013-12-27
5 NATIONAL OILWELL VARCO INC (NOV) P 2006-02-28 2013-12-27
5 SCHLUMBERGER LTD (SLB) P 2010-07-01 2013-12-27
2 NEWFIELD EXPL CO (NFX) P 2010-10-28 2013-12-27
5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
5 CORP BACKED TRUST CERTS 6.00 P 2013-04-01 2013-05-09
25 ANGLOGOLD ASHANTI LTD NEW P 2008-03-18 2013-05-17
3 APACHE CORP P 2011-08-17 2013-05-23
107 ALLIANZ SE ADR P 2010-05-21 2013-06-05
3 ING GROEP N V CUML 8.50 P 2011-02-09 2013-06-19
6 INTL RECTIFIER CORP P 2010-10-28 2013-07-05
33 CAMECO CORP CANADA CAD P 2011-03-16 2013-07-16
5 DEERE AND CO P 2012-09-14 2013-07-25
8 EQUINIX INC NEW P 2011-08-29 2013-08-06
1 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-14
2 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-21
740 ALLIANZ FIXED INCOME SH P 2011-02-18 2013-08-26
25000 NEW YORK ST DORM AUTH 5.25% 7/ P 2007-07-11 2013-11-26
13000 FNMA POOL FN A 4.5% 05/01/2041 P 2011-05-10 2013-11-26
64 STATE STREET CORP (STT) P 2013-03-20 2013-11-26
31 CR BARD INC (BCR) P 2009-02-18 2013-11-26
48 DANAHER CORP (DHR) P 2011-07-27 2013-11-26
79 VODAFONE GROUP PLC (VOD) P 2012-09-12 2013-11-26
25 CR BARD INC (BCR) P 2009-03-30 2013-11-26
83 VODAFONE GROUP PLC (VOD) P 2008-09-24 2013-11-26
191 ING GROEP NV ADR (ING) P 2013-02-14 2013-11-26
38 GENERAL DYNAMICS CORP (GD) P 2009-03-30 2013-11-26
29 VIACOM INC NEW CL B (VIAB) P 2011-06-06 2013-11-26
123 OAO GAZPROM (OGZPY) P 2010-10-15 2013-11-26
30 INTEGRYS ENERGY GROUP INC (TEG) P 2009-02-18 2013-11-26
45 EATON VANCE CORP COM NON VT (EV) P 2005-10-21 2013-11-26
11 DIAGEO PLC SPONS ADR (DEO) P 2012-02-27 2013-11-26
110 CARREFOUR SA (CRRFY) P 2009-10-28 2013-11-26
25 GENERAL MILLS INC (GIS) P 2010-11-10 2013-11-26
47 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-03-06 2013-11-26
12 WACOAL HOLDINGS CORP (WACLY) P 2007-11-05 2013-11-26
47 WESTERN ASSET/CLAYMORE INFL (WIW) P 2013-02-11 2013-11-26
22 EMC CORP (EMC) P 2011-02-07 2013-11-26
20 CREE INC (CREE) P 2005-08-16 2013-11-26
20 TYCO INTERNATIONAL LTD (TYC) P 2008-01-02 2013-11-26
4 EXXON MOBIL CORP (XOM) P 2008-07-15 2013-11-26
4 EXXON MOBIL CORP (XOM) P 2006-10-23 2013-11-26
2 INTERCON EXCHANGE (ICE) P 2010-01-11 2013-11-26
7 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
4 BORG WARNER INC (BWA) P 2009-09-18 2013-11-26
5 VODAFONE GROUP PLC (VOD) P 2010-02-19 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2012-04-16 2013-11-26
5 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-13 2013-11-26
6 CALAMOS CVT AND HIGH INCOME (CHY) P 2011-03-15 2013-11-26
4 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-16 2013-11-26
3 TNT EXPRESS NV (TNTEY) P 2013-05-14 2013-11-26
106 MURPHY OIL CORP (MUR) P 2012-03-05 2013-12-05
57 LORILLARD INC (LO) P 2012-04-04 2013-12-05
89 CUMMINS INC (CMI) P 2009-03-30 2013-12-05
35 CVS CAREMARK CORP (CVS) P 2013-02-13 2013-12-05
54 HSBC HOLDINGS PLC 8% SRS 2 (HSEB) P 2013-01-23 2013-12-05
15 ACCENTURE PLC CL A (ACN) P 2013-07-16 2013-12-05
121 BANCO SANTANDER BRASIL SA (BSBR) P 2012-10-18 2013-12-05
20 TEVA PHARMACEUTICAL INDUSTR (TEVA P 2012-09-24 2013-12-05
6 LOCKHEED MARTIN CORP (LMT) P 2009-02-06 2013-12-05
9 PPG INDS INC (PPG) P 2009-03-27 2013-12-05
2 THE SCOTTS MIRACLE-GRO CO (SMG) P 2010-01-11 2013-12-05
30 CITRIX SYSTEMS INC (CTXS) P 2013-04-25 2013-12-11
4 CITRIX SYSTEMS INC (CTXS) P 2013-04-30 2013-12-11
135 SANTANDER FIN PFD SA UNI 10 (SAN P 2011-01-27 2013-12-19
28 UNITED PARCEL SERVICE INC C (UPS) P 2012-07-11 2013-12-19
100 MORGAN STANLEY 0.0000% SERI (MS- P 2012-03-07 2013-12-19
70 RBS CAPITAL FUNDING TRUST V (RBS- P 2013-01-31 2013-12-19
39 SANTANDER FIN PFD SA UNI 10 (SAN- P 2010-09-22 2013-12-19
47 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
19 JP MORGAN CHASE & CO (JPM) P 2009-02-11 2013-12-19
26 HELIX ENERGY SOLUTIONS GRP (HLX) P 2010-10-28 2013-12-19
85 LIBERTY INTERACTIVE CORP SR (LINT P 2009-02-27 2013-12-19
9 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
5 NATIONAL BANK OF GREECE SA (NBG-A P 2013-05-15 2013-12-19
70 AMERICAN TOWER CORPORATION (AMT) P 2009-03-30 2013-12-20
33 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-07-10 2013-12-20
14 COUNTRYWIDE CAPITAL IV (CFC-A) P 2012-07-25 2013-12-20
2 COVANCE INC (CVD) P 2010-01-11 2013-12-20
0.1429 ROYCE GLOBAL VALUE TRUST WI ( P 2013-10-18 2013-12-20
162 TJX COS INC (TJX) P 2009-03-30 2013-12-23
17 TRAVELERS COS INC (TRV) P 2013-05-29 2013-12-23
14 QUALCOMM INC (QCOM) P 2012-08-27 2013-12-23
32 FIRST TRUST HIGH INCOME LON (FSD) P 2013-02-28 2013-12-23
26 FIRST TRUST HIGH INCOME LON (FSD) P 2012-12-07 2013-12-23
37 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-06-04 2013-12-23
5 QUALCOMM INC (QCOM) P 2011-08-23 2013-12-23
6 FIRST TRUST HIGH INCOME LON (FSD) P 2013-02-28 2013-12-23
2 REPUBLIC SVCS INC (RSG) P 2006-01-20 2013-12-23
424 BANK OF AMERICA CORP 0% SRS (BML P 2010-12-21 2013-12-26
25 OCCIDENTAL PETE CORP (OXY) P 2012-02-14 2013-12-26
136 INTERNATIONAL GAME TECHNOLO (IGT P 2012-01-25 2013-12-26
27 ROYAL DUTCH SHELL PLC CL B (RDS.B P 2013-02-20 2013-12-26
131 ERICSSON L M TEL CO AD (ERIC) P 2013-07-18 2013-12-26
78 PFIZER INC (PFE) P 2009-08-05 2013-12-26
120 INTERNATIONAL GAME TECHNOLO (IGT P 2009-03-30 2013-12-26
20 ANADARKO PETE CORP (APC) P 2005-10-14 2013-12-26
31 BLACKROCK BUILD AMERICA BON (BBN) P 2013-01-18 2013-12-26
37 SHISEIDO LTD SPONS ADR (SSDOY) P 2005-10-21 2013-12-26
10 ANADARKO PETE CORP (APC) P 2005-07-25 2013-12-26
16 AKAMAI TECH INC (AKAM) P 2009-07-30 2013-12-26
2 LULULEMON ATHLETICA INC (LULU) P 2012-06-08 2013-12-26
1 UNITED TECH CORP (UTX) P 2010-02-16 2013-12-26
116 COACH INC (COH) P 2013-01-11 2013-12-27
24 AGRIUM INC (AGU) P 2013-07-01 2013-12-27
28 PHILIP MORRIS INTERNATIONAL (PM) P 2010-09-29 2013-12-27
19 BIO RAD LABS INC CL A (BIO) P 2009-03-30 2013-12-27
21 PRUDENTIAL FINL (PRU) P 2010-01-27 2013-12-27
17 CELGENE CORP (CELG) P 2009-02-27 2013-12-27
32 ROHM CO LTD (ROHCY) P 2012-06-08 2013-12-27
11 HONEYWELL INTL INC (HON) P 2010-05-28 2013-12-27
5 SCHLUMBERGER LTD (SLB) P 2012-12-14 2013-12-27
5 CAMERON INTERNATIONAL CORP (CAM) P 2011-07-14 2013-12-27
5 AMC NETWORKS INC (AMCX) P 2008-04-09 2013-12-27
5 ROYAL BK SCOTLAND GROUP SER P 2013-04-24 2013-05-08
4 CORP BACKED TRUST CERTS 6.00 P 2013-04-01 2013-05-09
23 ANGLOGOLD ASHANTI LTD NEW P 2012-11-14 2013-05-17
2 APACHE CORP P 2011-08-23 2013-05-23
29 COGNIZANT TECH SOLUTIONS CRP P 2009-03-26 2013-06-10
3 DEERE AND CO P 2011-06-29 2013-06-21
2 INTL RECTIFIER CORP P 2009-09-18 2013-07-05
6 VARIAN MEDICAL SYSTEMS INC P 2009-03-26 2013-07-16
2 DEERE AND CO P 2011-06-29 2013-07-25
30 MOODYS CORP P 2012-11-09 2013-08-08
4 SATURNS TR NO 2007 1 7.00 P 2013-05-08 2013-08-16
2 SATURNS TR NO 2007 1 7.00 P 2013-04-30 2013-08-21
540 ALLIANZ FIXED INCOME SH P 2010-01-06 2013-08-26
20000 FNMA FN AP7488 3.5% 09/01/2042 P 2012-10-05 2013-11-26
150 AMERISOURCEBERGEN CORP (ABC) P 2013-03-12 2013-11-26
6000 FNMA POOL FN AL2 5% 06/01/2039 P 2013-03-18 2013-11-26
58 REINSURANCE GROUP OF AMERIC (RGA) P 2009-12-10 2013-11-26
32 ACE LTD (ACE) P 2012-03-21 2013-11-26
15 VISA INC (V) P 2012-12-14 2013-11-26
74.7805 CREDIT SUISSE GROUP (CS) P 2012-02-07 2013-11-26
24 DEERE & CO (DE) P 2011-12-21 2013-11-26
225 TNT EXPRESS NV (TNTEY) P 2013-02-12 2013-11-26
19 ROCKWELL AUTOMATION INC (ROK) P 2012-02-27 2013-11-26
16 EXXON MOBIL CORP (XOM) P 2008-05-01 2013-11-26
283 EDF (ECIFY) P 2011-12-16 2013-11-26
100 PANASONIC CORP (PCRFY) P 2011-03-17 2013-11-26
20 CREE INC (CREE) P 2011-01-19 2013-11-26
36 BARRICK GOLD CORP (ABX) P 2009-04-09 2013-11-26
28 DANAHER CORP (DHR) P 2009-10-30 2013-11-26
20 NUCOR CORP (NUE) P 2010-02-19 2013-11-26
84 WEATHERFORD INTERNATIONAL L (WFT) P 2012-11-13 2013-11-26
36 HSBC USA INC 0% SRS F (HUSI-F) P 2012-05-24 2013-11-26
28 ROYAL BK SCOTLAND PFD 'M' A (RBS- P 2013-04-24 2013-11-26
20 TEXAS INSTRS INC (TXN) P 2005-10-31 2013-11-26
62 IMMUNOGEN INC (IMGN) P 2010-10-15 2013-11-26
5 MONSANTO CO NEW (MON) P 2010-02-19 2013-11-26
19 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-03-18 2013-11-26
13 TYCO INTERNATIONAL LTD (TYC) P 2008-07-18 2013-11-26
6.4037 PENTAIR LTD (PNR) P 2006-01-03 2013-11-26
6.5 THE ADT CORPORATION (ADT) P 2008-07-18 2013-11-26
5 CORPORATE BACKED TR CTFS (JZC) P 2013-04-01 2013-11-26
6 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-14 2013-11-26
7 CALAMOS CVT AND HIGH INCOME (CHY) P 2013-01-04 2013-11-26
5 CABCO TR JCP 7.625% DEBS TR (PFH) P 2013-08-16 2013-11-26
5 MORGAN STANLEY EMERGING MAR (EDD) P 2010-07-15 2013-11-26
1 DIAGEO PLC SPONS ADR (DEO) P 2010-02-19 2013-11-26
2 TNT EXPRESS NV (TNTEY) P 2013-08-29 2013-11-26
258 PHOENIX CO INC 7.45% (PFX) P 2012-01-06 2013-12-05
42 ACCENTURE PLC CL A (ACN) P 2012-05-09 2013-12-05
16 PPG INDS INC (PPG) P 2013-03-28 2013-12-05
47 SANOFI-AVENTIS (SNY) P 2008-05-22 2013-12-05
72 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-03-28 2013-12-05
11 LOCKHEED MARTIN CORP (LMT) P 2008-10-07 2013-12-05
56 SK TELECOM LTD SPONS ADR (SKM) P 2009-08-20 2013-12-05
48 WOLTERS KLUWER N V (WTKWY) P 2009-04-29 2013-12-05
24 NUVEEN BUILD AMERICAN BOND (NBB) P 2013-06-04 2013-12-05
5 LOCKHEED MARTIN CORP (LMT) P 2009-03-05 2013-12-05
1 PPG INDS INC (PPG) P 2010-02-19 2013-12-05
46 KB FINANCIAL GROUP INC ADR (KB) P 2013-01-11 2013-12-11
2 BLACKROCK INC CL A (BLK) P 2009-03-20 2013-12-11
88 METLIFE INC (MET) P 2008-10-07 2013-12-19
68 ORACLE CORP (ORCL) P 2011-06-29 2013-12-19
100 MORGAN STANLEY 0.0000% SERI (MS- P 2012-03-07 2013-12-19
69 RBS CAPITAL FUNDING TRUST V (RBS- P 2013-01-30 2013-12-19
212 HELIX ENERGY SOLUTIONS GRP (HLX P 2009-03-30 2013-12-19
22 THERMO FISHER SCIENTIFIC IN (TMO) P 2009-03-26 2013-12-19
10 THERMO FISHER SCIENTIFIC IN (TMO) P 2010-07-01 2013-12-19
18 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
7 NESTLE S A SPONS ADR (NSRGY) P 2009-02-06 2013-12-19
9 ROYAL BANK SCOTLAND 6.35% (RBS-N) P 2012-07-10 2013-12-19
1 THERMO FISHER SCIENTIFIC IN (TMO) P 2012-01-06 2013-12-19
60 EBAY INC (EBAY) P 2007-03-14 2013-12-20
8 EQUINIX INC (EQIX) P 2011-10-14 2013-12-20
5 YUM BRANDS INC (YUM) P 2013-03-13 2013-12-20
2 COVANCE INC (CVD) P 2010-02-16 2013-12-20
410 CBRE GROUP INC (CBG) P 2012-03-15 2013-12-23
181 MS&AD INSURANCE GROUP HOLDI (MSA P 2011-04-15 2013-12-23
239 FINMECCANICA SPA (FINMY) P 2010-05-19 2013-12-23
24 REPUBLIC SVCS INC (RSG) P 2006-05-02 2013-12-23
60 NUVEEN PREFERRED INCOME OPP (JPC) P 2013-02-13 2013-12-23
20 FACEBOOK INC CL A (FB) P 2013-06-06 2013-12-23
20 REPUBLIC SVCS INC (RSG) P 2005-10-21 2013-12-23
12 TJX COS INC (TJX) P 2010-01-11 2013-12-23
6 FIRST TRUST HIGH INCOME LON (FSD) P 2013-04-09 2013-12-23
2 FIRST TRUST HIGH INCOME LON (FSD) P 2013-03-15 2013-12-23
218 ALLEGHENY TECH INC (ATI) P 2013-01-09 2013-12-26
153 SHISEIDO LTD SPONS ADR (SSDOY) P 2011-06-01 2013-12-26
85 GOLDMAN SACHS GROUP INC (GS-J) P 2013-06-05 2013-12-26
27 ROYAL DUTCH SHELL PLC CL B (RDS.B P 2013-06-14 2013-12-26
138 TELECOM ITALIA SPA SAVINGS (TI. P 2010-12-13 2013-12-26
97 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-24 2013-12-26
14 ANADARKO PETE CORP (APC) P 2011-02-16 2013-12-26
36 TELECOM ITALIA SPA SAVINGS (TI.A P 2006-10-19 2013-12-26
25 BROADCOM CORPORATION CL A (BRCM) P 2008-07-18 2013-12-26
15 FOREST LABS INC (FRX) P 2008-07-18 2013-12-26
15 BROADCOM CORPORATION CL A (BRCM) P 2011-12-09 2013-12-26
5 EXPRESS SCRIPTS HOLDING CO (ESRX) P 2012-02-03 2013-12-26
10 NUVEEN NEW YORK AMT-FREE MU (NRK) P 2013-07-23 2013-12-26
3 BLACKROCK BUILD AMERICA BON (BBN) P 2013-06-28 2013-12-26
210 SYNOPSYS INC (SNPS) P 2012-12-28 2013-12-27
89 NEWFIELD EXPL CO (NFX) P 2009-03-30 2013-12-27
75 JOY GLOBAL INC (JOY) P 2009-03-30 2013-12-27
14 AGRIUM INC (AGU) P 2013-07-02 2013-12-27
16 AMAZON COM INC (AMZN) P 2008-09-29 2013-12-27
85 GENERAL ELECTRIC CO (GE) P 2009-02-27 2013-12-27
11 PRUDENTIAL FINL (PRU) P 2010-01-28 2013-12-27
10 NETAPP INC (NTAP) P 2011-03-16 2013-12-27
4 THE PRICELINE GROUP INC (PCLN) P 2009-03-26 2013-12-27
17 ROYCE VALUE TR INC (RVT) P 2013-02-27 2013-12-27
4 GATX CORP (GMT) P 2010-02-16 2013-12-27
(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 8,175   8,348 -173
b 119   110 9
c 100   99 1
d 327   571 -244
e 17,425   18,150 -725
315   184 131
370   135 235
1,487   1,391 96
418   413 5
90   54 36
1,122   690 432
50   58 -8
17   19 -2
4,477   4,414 63
17,288   17,838 -550
6,639   7,085 -446
3,421   3,517 -96
2,670   2,667 3
598   2,356 -1,758
3,343   2,198 1,145
4,765   1,972 2,793
1,587   1,836 -249
4,243   1,659 2,584
2,865   1,553 1,312
1,813   1,411 402
2,227   1,304 923
1,196   1,168 28
2,697   1,079 1,618
306   1,032 -726
1,032   966 66
3,213   875 2,338
1,121   785 336
671   710 -39
523   613 -90
586   557 29
1,133   477 656
567   385 182
288   322 -34
363   257 106
572   205 367
36   171 -135
111   124 -13
103   99 4
90   88 2
213   84 129
114   78 36
103   63 40
18   17 1
7,695   4,447 3,248
2,956   2,425 531
2,502   2,110 392
1,610   1,729 -119
1,300   1,511 -211
994   1,067 -73
1,251   876 375
2,074   794 1,280
603   461 142
318   299 19
56   60 -4
2,064   1,649 415
116   120 -4
3,069   3,327 -258
2,107   2,131 -24
2,642   1,810 832
1,583   1,449 134
1,544   1,073 471
1,029   746 283
915   464 451
366   310 56
268   228 40
231   150 81
72   40 32
2,489   1,827 662
1,276   759 517
367   318 49
74   78 -4
2,789   4,485 -1,696
3,193   1,967 1,226
2,227   1,236 991
1,579   775 804
532   604 -72
455   456 -1
328   358 -30
324   204 120
119   108 11
35   38 -3
8,670   6,528 2,142
2,908   2,591 317
641   2,111 -1,470
1,855   1,785 70
953   1,496 -543
1,311   1,207 104
912   1,083 -171
919   883 36
738   673 65
492   550 -58
1,177   442 735
257   253 4
305   125 180
59   58 1
8,422   5,991 2,431
2,587   2,003 584
1,482   1,491 -9
2,772   1,228 1,544
2,456   1,027 1,429
2,376   722 1,654
1,619   555 1,064
681   467 214
796   332 464
238   243 -5
113   105 8
1,175   1,207 -32
119   110 9
50   50  
351   326 25
209   207 2
1,706   1,498 208
83   82 1
865   968 -103
700   409 291
42   46 -4
721   397 324
34   39 -5
17   19 -2
7,969   3,163 4,806
15,546   15,133 413
6,036   6,203 -167
3,808   3,469 339
2,484   2,626 -142
2,339   2,355 -16
3,594   2,187 1,407
3,703   1,970 1,733
1,886   1,830 56
1,916   1,658 258
1,512   1,539 -27
679   1,409 -730
647   1,292 -645
1,208   1,165 43
1,617   1,078 539
1,528   1,018 510
975   960 15
1,515   867 648
1,273   780 493
733   695 38
1,060   612 448
1,352   555 797
411   474 -63
332   373 -41
288   322 -34
409   251 158
241   204 37
147   169 -22
111   124 -13
89   99 -10
18   87 -69
90   83 7
77   77  
226   60 166
18   17 1
3,590   4,033 -443
2,669   2,421 248
2,685   2,107 578
3,148   1,718 1,430
1,421   1,484 -63
1,001   1,064 -63
1,184   875 309
735   790 -55
726   459 267
455   261 194
56   60 -4
1,701   1,620 81
12,050   10,444 1,606
4,321   2,649 1,672
3,319   2,109 1,210
2,708   1,746 962
1,701   1,447 254
1,177   1,046 131
1,614   737 877
915   445 470
483   309 174
268   228 40
203   131 72
59   37 22
2,204   1,688 516
1,276   711 565
434   306 128
60   63 -3
3,220   3,088 132
3,672   1,880 1,792
2,297   1,219 1,078
673   765 -92
523   594 -71
655   455 200
346   355 -9
367   192 175
178   107 71
35   37 -2
5,089   5,951 -862
2,187   2,554 -367
1,578   2,096 -518
2,137   1,778 359
3,907   1,467 2,440
1,064   1,207 -143
1,066   1,049 17
1,215   883 332
699   657 42
529   542 -13
1,019   439 580
190   245 -55
188   104 84
59   57 2
5,528   5,502 26
4,192   1,943 2,249
10,046   1,479 8,567
2,070   1,225 845
1,096   1,016 80
791   720 71
1,672   553 1,119
609   459 150
326   318 8
369   207 162
113   104 9
1,100   1,132 -32
120   110 10
25   25  
171   254 -83
210   207 3
569   509 60
70   28 42
799   832 -33
910   274 636
33   37 -4
160   102 58
34   39 -5
17   19 -2
2,753   2,792 -39
12,949   14,563 -1,614
5,691   6,053 -362
2,156   3,436 -1,280
4,501   2,596 1,905
4,670   2,349 2,321
2,829   2,152 677
1,983   1,956 27
5,861   1,817 4,044
2,186   1,657 529
3,777   1,526 2,251
1,742   1,382 360
1,814   1,287 527
2,433   1,165 1,268
598   1,077 -479
2,870   1,013 1,857
747   957 -210
875   846 29
232   773 -541
1,117   692 425
525   607 -82
2,934   554 2,380
1,279   473 806
503   363 140
638   318 320
425   249 176
177   198 -21
278   164 114
111   124 -13
754   97 657
90   87 3
90   82 8
77   77  
52   59 -7
11   13 -2
4,409   3,441 968
3,627   2,416 1,211
3,616   2,045 1,571
1,581   1,696 -115
1,554   1,483 71
974   1,046 -72
1,667   868 799
2,074   707 1,367
1,137   448 689
660   258 402
56   60 -4
888   878 10
8,550   8,834 -284
2,664   2,633 31
2,991   2,047 944
3,658   1,727 1,931
1,412   1,439 -27
1,770   1,043 727
826   703 123
516   439 77
483   309 174
369   220 149
205   130 75
52   35 17
2,949   1,644 1,305
1,301   708 593
434   300 134
50   53 -3
3,884   2,914 970
2,048   1,810 238
1,226   1,218 8
629   715 -86
523   594 -71
667   454 213
328   337 -9
204   185 19
104   106 -2
36   35 1
4,459   4,148 311
2,960   2,547 413
2,245   2,094 151
2,778   1,724 1,054
2,727   1,456 1,271
1,169   1,190 -21
801   1,047 -246
804   878 -74
759   647 112
884   541 343
540   412 128
610   238 372
78   93 -15
91   55 36
9,357   4,856 4,501
2,772   1,933 839
2,415   1,475 940
2,235   1,205 1,030
957   965 -8
713   704 9
896   552 344
442   444 -2
313   316 -3
186   198 -12
169   91 78
1,141   974 167
120   110 10
216   198 18
618   248 370
3,146   2,978 168
11,804   9,127 2,677
17   10 7
566   778 -212
921   196 725
24   30 -6
11,883   11,944 -61
17   19 -2
17   19 -2
2,750   2,614 136
12,680   13,449 -769
4,981   5,506 -525
3,061   3,419 -358
2,266   2,579 -313
3,158   2,341 817
2,814   2,146 668
2,986   1,956 1,030
3,105   1,813 1,292
3,886   1,656 2,230
2,312   1,519 793
1,543   1,369 174
1,850   1,256 594
2,710   1,149 1,561
1,341   1,069 272
1,537   1,012 525
1,653   948 705
1,146   837 309
2,127   755 1,372
646   686 -40
1,123   604 519
262   543 -281
529   460 69
560   359 201
435   309 126
421   248 173
532   195 337
385   158 227
111   124 -13
220   96 124
90   87 3
90   82 8
77   77  
84   58 26
11   13 -2
6,360   3,286 3,074
4,915   2,374 2,541
3,410   2,043 1,367
1,985   1,691 294
2,075   1,453 622
1,036   1,037 -1
1,271   861 410
673   701 -28
1,213   445 768
691   251 440
88   52 36
961   800 161
46,210   34,005 12,205
3,776   2,624 1,152
2,582   2,034 548
3,868   1,698 2,170
1,145   1,419 -274
1,768   1,007 761
1,033   633 400
516   439 77
483   309 174
248   211 37
190   124 66
54   23 31
2,602   1,487 1,115
1,735   700 1,035
434   282 152
102   52 50
4,304   2,839 1,465
2,021   1,796 225
1,212   1,206 6
1,436   685 751
570   587 -17
415   453 -38
284   328 -44
173   177 -4
233   98 135
27   30 -3
4,280   4,054 226
2,828   2,490 338
3,199   2,090 1,109
1,468   1,718 -250
1,392   1,398 -6
1,687   1,183 504
1,462   1,030 432
728   831 -103
1,069   610 459
492   537 -45
114   406 -292
702   231 471
78   89 -11
47   54 -7
4,548   4,186 362
1,997   1,921 76
3,796   1,463 2,333
3,389   1,196 2,193
1,145   929 216
896   696 200
505   543 -38
1,118   442 676
339   305 34
347   197 150
80   85 -5
1,096   814 282
119   110 9
120   110 10
114   216 -102
2,503   1,468 1,035
5,392   4,588 804
1,166   730 436
1,607   3,372 -1,765
408   135 273
69   59 10
990   992 -2
2,897   2,932 -35
17   19 -2
2,174   2,293 -119
11,911   13,159 -1,248
3,912   5,014 -1,102
4,075   3,347 728
1,245   2,578 -1,333
6,647   2,338 4,309
2,867   2,134 733
1,609   1,955 -346
1,517   1,811 -294
1,820   1,653 167
1,821   1,518 303
1,095   1,363 -268
3,660   1,249 2,411
1,973   1,141 832
1,883   1,066 817
1,101   1,006 95
924   945 -21
855   836 19
651   754 -103
1,853   682 1,171
678   600 78
468   540 -72
1,045   445 600
371   359 12
302   308 -6
222   248 -26
532   190 342
121   157 -36
111   124 -13
426   95 331
90   87 3
67   82 -15
77   76 1
119   52 67
11   13 -2
3,837   3,276 561
3,433   2,363 1,070
3,003   2,042 961
2,641   1,678 963
2,414   1,361 1,053
1,063   1,034 29
1,085   858 227
677   674 3
751   440 311
199   232 -33
40   41 -1
1,180   664 516
13,882   13,552 330
3,692   2,565 1,127
2,147   2,022 125
2,161   1,683 478
3,917   1,389 2,528
1,656   989 667
951   618 333
673   430 243
295   298 -3
248   211 37
209   123 86
    9 -9
1,389   1,366 23
516   677 -161
510   281 229
35   37 -2
2,660   2,816 -156
1,676   1,720 -44
1,212   1,205 7
981   653 328
725   587 138
372   423 -51
275   318 -43
173   177 -4
108   91 17
27   30 -3
3,966   3,905 61
2,101   2,353 -252
2,408   2,088 320
2,173   1,670 503
1,692   1,339 353
1,430   1,179 251
1,628   993 635
994   830 164
591   605 -14
706   527 179
328   384 -56
470   217 253
78   82 -4
94   51 43
3,142   3,304 -162
2,291   1,911 380
3,759   1,449 2,310
2,330   1,191 1,139
987   915 72
2,987   692 2,295
739   521 218
486   441 45
339   302 37
231   195 36
114   63 51
2,410   1,662 748
96   88 8
120   110 10
18   22 -4
1,261   1,032 229
1,365   1,261 104
384   150 234
11,648   10,870 778
637   1,237 -600
92   52 40
271   153 118
1,129   1,135 -6
3,634   3,704 -70
1,747   1,799 -52
11,538   13,046 -1,508
7,971   5,004 2,967
3,399   3,331 68
4,122   2,548 1,574
3,436   2,334 1,102
2,915   2,128 787
863   1,954 -1,091
2,573   1,786 787
1,886   1,646 240
2,259   1,497 762
1,619   1,359 260
517   1,232 -715
1,978   1,135 843
1,064   1,065 -1
1,454   1,005 449
960   945 15
1,057   834 223
1,058   752 306
1,155   672 483
622   600 22
827   532 295
146   436 -290
527   358 169
266   298 -32
222   248 -26
174   187 -13
121   155 -34
111   124 -13
90   94 -4
67   87 -20
132   82 50
77   76 1
55   51 4
11   13 -2
3,436   3,257 179
3,373   2,330 1,043
3,148   2,041 1,107
2,283   1,639 644
1,573   1,359 214
885   1,029 -144
1,386   854 532
904   661 243
452   437 15
1,298   228 1,070
36   39 -3
582   632 -50
7,585   6,903 682
2,719   2,554 165
3,318   2,014 1,304
3,408   1,646 1,762
2,689   1,339 1,350
1,602   978 624
628   616 12
673   430 243
454   294 160
248   211 37
190   123 67
23   4 19
1,939   1,358 581
1,021   592 429
506   275 231
34   36 -2
3,834   2,744 1,090
9,921   1,704 8,217
1,615   951 664
1,158   645 513
647   587 60
766   418 348
358   317 41
151   171 -20
62   72 -10
27   30 -3
5,008   3,424 1,584
3,384   2,338 1,046
4,265   2,075 2,190
5,332   1,663 3,669
2,289   1,333 956
1,596   1,151 445
1,707   942 765
760   830 -70
198   603 -405
2,546   527 2,019
589   383 206
69   215 -146
75   76 -1
47   50 -3
2,538   3,132 -594
2,235   1,771 464
2,226   1,411 815
2,218   1,179 1,039
985   895 90
892   680 212
581   519 62
1,118   436 682
146   296 -150
248   189 59
59   60 -1
2,040   983 1,057
96   88 8
2,021   1,515 506
770   1,206 -436
1,573   806 767
1,664   1,173 491
360   149 211
3,883   2,816 1,067
311   536 -225
201   141 60
84   96 -12
1,055   1,067 -12
2,110   2,134 -24
1,599   1,629 -30
12,248   12,615 -367
3,926   4,709 -783
3,244   3,081 163
2,043   2,541 -498
2,014   2,302 -288
4,607   2,104 2,503
2,444   1,923 521
2,513   1,761 752
1,434   1,634 -200
1,584   1,477 107
2,031   1,354 677
1,644   1,223 421
1,431   1,129 302
2,256   1,059 1,197
492   994 -502
1,490   938 552
1,929   832 1,097
709   752 -43
2,259   670 1,589
532   595 -63
1,032   529 503
251   436 -185
380   356 24
251   291 -40
421   245 176
332   184 148
221   154 67
111   124 -13
238   93 145
90   85 5
530   81 449
66   74 -8
55   51 4
11   12 -1
3,108   3,178 -70
3,499   2,316 1,183
2,290   2,036 254
2,679   1,638 1,041
4,550   1,288 3,262
1,001   1,024 -23
1,916   853 1,063
636   632 4
530   420 110
519   227 292
36   37 -1
582   610 -28
13,181   6,776 6,405
4,024   2,412 1,612
2,779   2,008 771
2,603   1,638 965
1,249   1,255 -6
1,614   957 657
885   575 310
700   421 279
439   284 155
312   196 116
161   104 57
2,962   3,948 -986
1,265   1,264 1
557   548 9
278   272 6
26   27 -1
3,652   2,404 1,248
1,345   1,658 -313
1,603   926 677
587   643 -56
674   578 96
363   413 -50
294   303 -9
200   163 37
69   71 -2
17   19 -2
3,487   3,361 126
3,872   2,291 1,581
3,037   2,043 994
2,429   1,631 798
2,666   1,328 1,338
2,272   1,145 1,127
1,005   933 72
1,008   803 205
531   597 -66
437   504 -67
122   383 -261
176   200 -24
62   72 -10
35   40 -5
3,358   2,989 369
2,003   1,729 274
1,501   1,366 135
1,105   1,147 -42
1,082   882 200
1,626   677 949
594   518 76
347   433 -86
1,118   295 823
248   188 60
92   51 41
239   220 19
72   66 6
1,930   2,757 -827
1,706   1,093 613
936   719 217
1,747   943 804
1,540   956 584
3,194   2,180 1,014
82   140 -58
716   467 249
34   39 -5
846   853 -7
1,331   1,344 -13
1,343   1,368 -25
12,324   11,850 474
3,926   4,663 -737
5,955   3,076 2,879
2,815   2,498 317
8,363   2,289 6,074
1,987   2,101 -114
3,056   1,912 1,144
2,543   1,755 788
2,040   1,626 414
2,007   1,464 543
2,593   1,347 1,246
4,261   1,222 3,039
2,383   1,118 1,265
1,480   1,057 423
2,236   989 1,247
1,198   935 263
2,981   828 2,153
656   751 -95
340   662 -322
532   595 -63
490   522 -32
529   419 110
308   356 -48
251   290 -39
383   242 141
161   183 -22
181   153 28
111   124 -13
90   90  
90   85 5
90   81 9
66   74 -8
90   47 43
11   12 -1
4,020   3,000 1,020
3,565   2,307 1,258
4,291   2,004 2,287
2,601   1,628 973
1,345   1,285 60
2,349   981 1,368
877   833 44
852   632 220
1,106   404 702
530   218 312
36   37 -1
524   584 -60
8,566   6,248 2,318
2,508   2,304 204
3,312   2,006 1,306
2,456   1,632 824
1,362   1,253 109
2,060   941 1,119
1,291   571 720
629   403 226
573   263 310
206   188 18
105   91 14
9,400   3,290 6,110
2,016   1,132 884
556   544 12
253   267 -14
26   27 -1
3,349   2,342 1,007
4,840   1,618 3,222
1,567   919 648
900   642 258
1,820   575 1,245
397   408 -11
276   302 -26
155   160 -5
67   71 -4
17   19 -2
4,360   3,354 1,006
7,784   2,270 5,514
1,823   1,989 -166
1,370   1,597 -227
1,322   1,302 20
1,098   1,134 -36
1,879   931 948
1,193   802 391
536   590 -54
447   488 -41
357   365 -8
447   187 260
62   72 -10
31   37 -6
2,284   2,895 -611
5,508   1,689 3,819
1,560   1,362 198
1,345   1,111 234
851   878 -27
716   653 63
406   507 -101
468   420 48
323   294 29
200   173 27
216   198 18
72   66 6
1,013   2,213 -1,200
636   986 -350
507   321 186
668   368 300
813   513 300
594   499 95
83   141 -58
2,534   2,107 427
17   19 -2
375   379 -4
39,130   31,371 7,759
794   776 18
8,965   9,987 -1,022
8,051   4,612 3,439
4,765   2,997 1,768
2,640   2,482 158
2,893   2,273 620
309   2,077 -1,768
2,865   1,888 977
5,039   1,753 3,286
1,348   1,625 -277
3,964   1,464 2,500
1,670   1,346 324
6,470   1,220 5,250
1,490   1,111 379
975   1,052 -77
991   978 13
910   929 -19
2,262   826 1,436
841   748 93
612   659 -47
514   595 -81
963   510 453
573   419 154
503   353 150
382   286 96
528   234 294
147   183 -36
121   149 -28
111   124 -13
131   90 41
90   85 5
90   81 9
101   72 29
106   37 69
11   11  
2,841   2,968 -127
2,834   2,299 535
2,730   1,996 734
1,316   1,596 -280
2,464   1,276 1,188
1,313   952 361
837   824 13
469   543 -74
562   401 161
379   204 175
28   30 -2
590   570 20
6,219   5,880 339
2,613   2,291 322
2,561   1,932 629
2,092   1,624 468
1,619   1,179 440
885   894 -9
1,259   568 691
454   384 70
538   258 280
289   187 102
123   76 47
1,992   2,684 -692
1,112   1,087 25
1,090   480 610
314   175 139
24   26 -2
3,056   2,302 754
2,162   1,617 545
1,991   915 1,076
725   637 88
113   561 -448
397   406 -9
257   292 -35
138   141 -3
69   70 -1
13,335   12,367 968
6,748   3,052 3,696
4,325   2,269 2,056
1,644   1,936 -292
2,002   1,553 449
1,183   1,275 -92
359   1,114 -755
845   931 -86
2,456   800 1,656
536   586 -50
447   488 -41
857   361 496
281   174 107
62   72 -10
8   27 -19
2,764   2,751 13
2,066   1,684 382
2,395   1,338 1,057
3,353   1,075 2,278
1,345   868 477
733   626 107
789   504 285
452   411 41
323   294 29
260   150 110
215   198 17
48   44 4
1,199   2,110 -911
355   649 -294
1,078   764 314
178   181 -3
132   83 49
901   1,131 -230
50   59 -9
973   997 -24
3,541   2,488 1,053
35   39 -4
33,510   29,318 4,192
20   17 3
8,965   9,912 -947
5,786   4,389 1,397
6,130   2,944 3,186
2,462   2,428 34
2,804   2,240 564
2,334   2,070 264
506   1,871 -1,365
1,984   1,742 242
2,908   1,615 1,293
2,355   1,461 894
1,353   1,342 11
2,259   1,210 1,049
2,192   1,108 1,084
1,157   1,049 108
3,182   975 2,207
302   928 -626
1,133   818 315
709   745 -36
672   645 27
583   594 -11
153   507 -354
410   418 -8
421   352 69
362   284 78
516   231 285
424   183 241
270   146 124
111   124 -13
90   89 1
234   85 149
77   80 -3
73   70 3
37   35 2
8,776   8,352 424
2,546   2,964 -418
2,335   2,293 42
1,953   1,985 -32
1,835   1,594 241
2,237   1,268 969
1,327   949 378
834   816 18
465   534 -69
639   393 246
260   178 82
50   28 22
1,180   514 666
5,344   5,598 -254
2,779   2,284 495
3,077   1,920 1,157
3,120   1,574 1,546
1,096   1,177 -81
981   891 90
640   543 97
515   368 147
395   252 143
307   184 123
2,140   71 2,069
2,273   2,434 -161
2,654   1,044 1,610
766   425 341
147   139 8
24   26 -2
3,456   2,221 1,235
2,385   1,564 821
909   913 -4
648   625 23
731   553 178
861   392 469
276   285 -9
138   138  
69   68 1
13,840   12,257 1,583
8,470   2,929 5,541
2,347   2,184 163
2,918   1,913 1,005
3,812   1,549 2,263
1,162   1,269 -107
1,178   1,109 69
910   926 -16
1,091   761 330
536   586 -50
6,409   486 5,923
2,465   313 2,152
352   168 184
59   69 -10
16   18 -2
2,764   2,751 13
2,948   1,641 1,307
3,410   1,302 2,108
3,353   1,066 2,287
827   853 -26
1,592   609 983
1,194   501 693
389   405 -16
531   286 245
347   149 198
143   132 11
48   44 4
637   1,688 -1,051
750   508 242
753   487 266
179   181 -2
37   22 15
257   282 -25
2,438   2,048 390
324   311 13
613   415 198
35   38 -3
27,243   27,030 213
318     318
9,575   9,862 -287
4,511   4,373 138
3,427   2,865 562
4,163   2,421 1,742
3,022   2,230 792
10,053   2,062 7,991
1,897   1,867 30
3,427   1,735 1,692
2,415   1,598 817
5,028   1,451 3,577
1,290   1,339 -49
781   1,204 -423
6,937   1,106 5,831
2,144   1,047 1,097
274   974 -700
1,326   927 399
996   814 182
976   738 238
906   641 265
514   593 -79
804   501 303
354   408 -54
280   349 -69
524   281 243
429   229 200
147   178 -31
339   139 200
111   124 -13
90   89 1
170   84 86
77   80 -3
73   69 4
37   35 2
9,135   7,399 1,736
4,214   2,840 1,374
3,367   2,292 1,075
2,443   1,975 468
2,508   1,593 915
2,190   1,211 979
851   905 -54
646   815 -169
497   534 -37
362   392 -30
274   155 119
18   22 -4
408   478 -70
5,542   5,436 106
2,861   2,282 579
2,693   1,897 796
1,888   1,569 319
1,617   1,177 440
1,602   889 713
619   528 91
753   358 395
572   247 325
206   176 30
83   70 13
2,425   2,384 41
1,100   955 145
867   403 464
510   133 377
34   25 9
2,706   2,210 496
3,001   1,556 1,445
829   905 -76
540   612 -72
731   499 232
354   389 -35
276   284 -8
270   128 142
52   57 -5
9,332   9,601 -269
2,464   2,893 -429
3,281   2,182 1,099
3,262   1,893 1,369
2,713   1,549 1,164
572   1,246 -674
2,012   1,103 909
886   908 -22
1,125   750 375
536   586 -50
437   476 -39
268   293 -25
173   154 19
59   68 -9
30   18 12
3,717   2,744 973
3,224   1,638 1,586
3,091   1,296 1,795
1,101   1,065 36
807   844 -37
662   589 73
780   501 279
372   384 -12
316   286 30
276   149 127
144   132 12
48   44 4
471   903 -432
405   585 -180
1,876   1,281 595
128   129 -1
1,662   1,039 623
1,217   1,365 -148
2,117   1,451 666
639   973 -334
67   77 -10
1,214   1,036 178
25,946   25,995 -49
8   8  
8,536   9,103 -567
3,845   4,173 -328
4,298   2,850 1,448
2,799   2,383 416
3,165   2,218 947
2,734   2,021 713
1,682   1,863 -181
1,854   1,721 133
1,662   1,595 67
3,209   1,447 1,762
4,254   1,335 2,919
1,513   1,194 319
5,834   1,105 4,729
1,660   1,046 614
2,110   974 1,136
921   923 -2
841   812 29
1,846   735 1,111
2,259   639 1,620
503   579 -76
623   491 132
631   404 227
421   345 76
309   279 30
594   226 368
134   176 -42
189   132 57
111   124 -13
90   89 1
90   84 6
77   80 -3
73   68 5
37   35 2
7,178   7,299 -121
2,505   2,689 -184
3,833   2,278 1,555
2,419   1,871 548
2,669   1,584 1,085
2,025   1,208 817
5,038   903 4,135
810   815 -5
663   534 129
424   378 46
178   115 63
18   21 -3
885   378 507
5,398   4,571 827
2,746   2,246 500
3,292   1,848 1,444
1,576   1,553 23
1,138   1,151 -13
1,574   873 701
4,742   526 4,216
556   355 201
343   240 103
258   170 88
118   70 48
3,304   2,358 946
2,272   900 1,372
867   358 509
172   125 47
21   22 -1
3,203   2,202 1,001
1,232   1,509 -277
909   903 6
2,257   607 1,650
834   480 354
380   388 -8
366   255 111
106   123 -17
52   53 -1
11,619   9,497 2,122
2,534   2,785 -251
4,077   2,177 1,900
4,630   1,866 2,764
2,998   1,545 1,453
1,744   1,237 507
2,181   1,100 1,081
886   901 -15
1,177   735 442
536   586 -50
455   466 -11
601   277 324
337   148 189
59   68 -9
30   17 13
5,194   2,426 2,768
4,745   1,623 3,122
1,337   1,250 87
1,663   1,057 606
773   819 -46
1,062   579 483
594   486 108
350   351 -1
531   285 246
185   146 39
143   132 11
175   173 2
379   854 -475
405   465 -60
1,608   1,140 468
102   103 -1
259   259  
1,744   1,218 526
184   104 80
232   411 -179
50   58 -8
52   56 -4
11,861   11,491 370
27,755   28,092 -337
8,580   9,025 -445
6,972   4,060 2,912
970   2,816 -1,846
2,452   2,375 77
1,426   2,214 -788
3,536   1,995 1,541
1,654   1,857 -203
1,515   1,699 -184
1,603   1,582 21
1,352   1,431 -79
2,413   1,321 1,092
2,383   1,193 1,190
1,587   1,097 490
6,032   1,046 4,986
975   972 3
1,488   901 587
878   803 75
523   732 -209
590   623 -33
503   579 -76
953   481 472
1,063   398 665
421   343 78
373   278 95
347   224 123
155   174 -19
102   128 -26
255   111 144
90   89 1
67   84 -17
90   80 10
73   67 6
26   27 -1
9,779   6,316 3,463
3,003   2,628 375
2,901   2,252 649
1,680   1,818 -138
1,471   1,579 -108
2,113   1,185 928
1,667   902 765
797   802 -5
1,728   484 1,244
607   327 280
137   108 29
410   8 402
233   267 -34
4,248   4,166 82
2,290   2,206 84
1,834   1,832 2
1,864   1,523 341
3,370   1,111 2,259
919   868 51
578   506 72
521   331 190
369   238 131
263   169 94
101   65 36
2,032   2,185 -153
1,525   846 679
354   349 5
113   119 -6
9   9  
3,410   2,107 1,303
2,403   1,416 987
788   896 -108
712   606 106
416   473 -57
389   380 9
49   248 -199
133   115 18
133   49 84
2,526   7,888 -5,362
3,621   2,677 944
3,450   2,167 1,283
2,167   1,863 304
1,352   1,526 -174
1,086   1,226 -140
2,020   1,090 930
1,138   899 239
626   733 -107
539   576 -37
704   462 242
351   275 76
337   133 204
59   66 -7
9,409   8,661 748
6,694   2,229 4,465
1,868   1,605 263
2,793   1,242 1,551
3,196   1,056 2,140
609   784 -175
1,062   577 485
558   477 81
396   351 45
448   274 174
49   118 -69
120   110 10
125   124 1
431   850 -419
243   319 -76
1,643   1,087 556
77   77  
130   138 -8
692   1,073 -381
412   410 2
1,423   733 690
17   19 -2
35   38 -3
9,465   9,487 -22
26,139   26,132 7
8,413   8,335 78
4,648   3,861 787
4,312   2,697 1,615
3,611   2,372 1,239
2,912   2,214 698
3,478   1,991 1,487
3,059   1,856 1,203
2,448   1,686 762
3,491   1,569 1,922
2,285   1,430 855
1,065   1,320 -255
1,622   1,193 429
1,893   1,094 799
1,405   1,044 361
846   967 -121
1,256   900 356
859   799 60
656   730 -74
537   622 -85
520   572 -52
1,121   481 640
770   390 380
377   340 37
377   278 99
429   216 213
155   174 -19
424   124 300
184   111 73
90   88 2
92   84 8
77   79 -2
73   67 6
27   23 4
6,830   5,570 1,260
2,901   2,588 313
11,549   2,186 9,363
2,310   1,785 525
1,447   1,512 -65
1,137   1,135 2
730   893 -163
797   802 -5
821   480 341
1,638   321 1,317
121   80 41
1,747   1,927 -180
233   250 -17
3,607   3,757 -150
2,882   2,205 677
1,847   1,812 35
1,475   1,488 -13
1,042   1,111 -69
970   825 145
1,087   490 597
601   322 279
2,396   234 2,162
186   158 28
73   47 26
5,488   2,173 3,315
834   816 18
354   348 6
173   111 62
1   1  
10,172   2,078 8,094
1,514   1,415 99
1,024   873 151
553   604 -51
449   459 -10
328   360 -32
366   237 129
104   113 -9
67   45 22
8,315   7,229 1,086
2,347   2,602 -255
2,389   2,153 236
2,003   1,833 170
1,572   1,516 56
2,378   1,226 1,152
2,108   1,090 1,018
1,558   890 668
607   709 -102
581   564 17
779   446 333
753   267 486
118   129 -11
112   66 46
6,499   6,803 -304
2,179   2,091 88
2,426   1,584 842
2,356   1,237 1,119
1,935   1,051 884
2,881   767 2,114
778   569 209
1,002   473 529
448   345 103
297   251 46
334   113 221
120   110 10
100   99 1
396   731 -335
162   197 -35
1,910   617 1,293
248   248  
43   40 3
419   180 239
165   165  
2,105   1,384 721
67   77 -10
35   37 -2
6,907   6,680 227
17,439   18,729 -1,290
10,566   7,315 3,251
3,507   3,744 -237
4,318   2,688 1,630
3,286   2,365 921
3,034   2,201 833
2,182   1,986 196
2,009   1,845 164
2,006   1,672 334
2,148   1,555 593
1,509   1,425 84
2,061   1,318 743
1,106   1,184 -78
1,121   1,090 31
582   1,037 -455
2,107   967 1,140
1,025   880 145
1,360   787 573
688   727 -39
605   615 -10
850   572 278
855   478 377
567   389 178
348   335 13
501   268 233
452   214 238
266   173 93
111   124 -13
110   101 9
90   88 2
92   84 8
67   79 -12
128   66 62
18   18  
5,836   5,057 779
3,183   2,492 691
2,912   2,137 775
2,379   1,762 617
1,300   1,511 -211
1,506   1,103 403
1,326   884 442
1,334   797 537
433   480 -47
684   300 384
182   63 119
1,701   1,665 36
590   229 361
4,599   3,349 1,250
2,508   2,201 307
1,847   1,812 35
1,454   1,470 -16
4,904   1,107 3,797
2,367   799 1,568
1,076   479 597
372   316 56
501   229 272
186   158 28
108   47 61
3,269   1,838 1,431
1,348   778 570
367   346 21
173   110 63
10,597   8,445 2,152
2,345   2,015 330
871   1,342 -471
800   782 18
532   604 -72
1,149   458 691
667   360 307
753   231 522
104   113 -9
35   38 -3
7,617   6,856 761
2,403   2,602 -199
1,884   2,128 -244
2,003   1,831 172
1,053   1,511 -458
1,193   1,213 -20
1,091   1,088 3
275   886 -611
728   696 32
884   551 333
437   445 -8
351   260 91
123   126 -3
59   60 -1
8,434   6,679 1,755
2,169   2,020 149
4,338   1,565 2,773
1,271   1,229 42
6,383   1,046 5,337
2,360   727 1,633
1,013   559 454
406   470 -64
4,717   333 4,384
274   250 24
210   106 104
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       -173
b       9
c       1
d       -244
e       -725
      131
      235
      96
      5
      36
      432
      -8
      -2
      63
      -550
      -446
      -96
      3
      -1,758
      1,145
      2,793
      -249
      2,584
      1,312
      402
      923
      28
      1,618
      -726
      66
      2,338
      336
      -39
      -90
      29
      656
      182
      -34
      106
      367
      -135
      -13
      4
      2
      129
      36
      40
      1
      3,248
      531
      392
      -119
      -211
      -73
      375
      1,280
      142
      19
      -4
      415
      -4
      -258
      -24
      832
      134
      471
      283
      451
      56
      40
      81
      32
      662
      517
      49
      -4
      -1,696
      1,226
      991
      804
      -72
      -1
      -30
      120
      11
      -3
      2,142
      317
      -1,470
      70
      -543
      104
      -171
      36
      65
      -58
      735
      4
      180
      1
      2,431
      584
      -9
      1,544
      1,429
      1,654
      1,064
      214
      464
      -5
      8
      -32
      9
       
      25
      2
      208
      1
      -103
      291
      -4
      324
      -5
      -2
      4,806
      413
      -167
      339
      -142
      -16
      1,407
      1,733
      56
      258
      -27
      -730
      -645
      43
      539
      510
      15
      648
      493
      38
      448
      797
      -63
      -41
      -34
      158
      37
      -22
      -13
      -10
      -69
      7
       
      166
      1
      -443
      248
      578
      1,430
      -63
      -63
      309
      -55
      267
      194
      -4
      81
      1,606
      1,672
      1,210
      962
      254
      131
      877
      470
      174
      40
      72
      22
      516
      565
      128
      -3
      132
      1,792
      1,078
      -92
      -71
      200
      -9
      175
      71
      -2
      -862
      -367
      -518
      359
      2,440
      -143
      17
      332
      42
      -13
      580
      -55
      84
      2
      26
      2,249
      8,567
      845
      80
      71
      1,119
      150
      8
      162
      9
      -32
      10
       
      -83
      3
      60
      42
      -33
      636
      -4
      58
      -5
      -2
      -39
      -1,614
      -362
      -1,280
      1,905
      2,321
      677
      27
      4,044
      529
      2,251
      360
      527
      1,268
      -479
      1,857
      -210
      29
      -541
      425
      -82
      2,380
      806
      140
      320
      176
      -21
      114
      -13
      657
      3
      8
       
      -7
      -2
      968
      1,211
      1,571
      -115
      71
      -72
      799
      1,367
      689
      402
      -4
      10
      -284
      31
      944
      1,931
      -27
      727
      123
      77
      174
      149
      75
      17
      1,305
      593
      134
      -3
      970
      238
      8
      -86
      -71
      213
      -9
      19
      -2
      1
      311
      413
      151
      1,054
      1,271
      -21
      -246
      -74
      112
      343
      128
      372
      -15
      36
      4,501
      839
      940
      1,030
      -8
      9
      344
      -2
      -3
      -12
      78
      167
      10
      18
      370
      168
      2,677
      7
      -212
      725
      -6
      -61
      -2
      -2
      136
      -769
      -525
      -358
      -313
      817
      668
      1,030
      1,292
      2,230
      793
      174
      594
      1,561
      272
      525
      705
      309
      1,372
      -40
      519
      -281
      69
      201
      126
      173
      337
      227
      -13
      124
      3
      8
       
      26
      -2
      3,074
      2,541
      1,367
      294
      622
      -1
      410
      -28
      768
      440
      36
      161
      12,205
      1,152
      548
      2,170
      -274
      761
      400
      77
      174
      37
      66
      31
      1,115
      1,035
      152
      50
      1,465
      225
      6
      751
      -17
      -38
      -44
      -4
      135
      -3
      226
      338
      1,109
      -250
      -6
      504
      432
      -103
      459
      -45
      -292
      471
      -11
      -7
      362
      76
      2,333
      2,193
      216
      200
      -38
      676
      34
      150
      -5
      282
      9
      10
      -102
      1,035
      804
      436
      -1,765
      273
      10
      -2
      -35
      -2
      -119
      -1,248
      -1,102
      728
      -1,333
      4,309
      733
      -346
      -294
      167
      303
      -268
      2,411
      832
      817
      95
      -21
      19
      -103
      1,171
      78
      -72
      600
      12
      -6
      -26
      342
      -36
      -13
      331
      3
      -15
      1
      67
      -2
      561
      1,070
      961
      963
      1,053
      29
      227
      3
      311
      -33
      -1
      516
      330
      1,127
      125
      478
      2,528
      667
      333
      243
      -3
      37
      86
      -9
      23
      -161
      229
      -2
      -156
      -44
      7
      328
      138
      -51
      -43
      -4
      17
      -3
      61
      -252
      320
      503
      353
      251
      635
      164
      -14
      179
      -56
      253
      -4
      43
      -162
      380
      2,310
      1,139
      72
      2,295
      218
      45
      37
      36
      51
      748
      8
      10
      -4
      229
      104
      234
      778
      -600
      40
      118
      -6
      -70
      -52
      -1,508
      2,967
      68
      1,574
      1,102
      787
      -1,091
      787
      240
      762
      260
      -715
      843
      -1
      449
      15
      223
      306
      483
      22
      295
      -290
      169
      -32
      -26
      -13
      -34
      -13
      -4
      -20
      50
      1
      4
      -2
      179
      1,043
      1,107
      644
      214
      -144
      532
      243
      15
      1,070
      -3
      -50
      682
      165
      1,304
      1,762
      1,350
      624
      12
      243
      160
      37
      67
      19
      581
      429
      231
      -2
      1,090
      8,217
      664
      513
      60
      348
      41
      -20
      -10
      -3
      1,584
      1,046
      2,190
      3,669
      956
      445
      765
      -70
      -405
      2,019
      206
      -146
      -1
      -3
      -594
      464
      815
      1,039
      90
      212
      62
      682
      -150
      59
      -1
      1,057
      8
      506
      -436
      767
      491
      211
      1,067
      -225
      60
      -12
      -12
      -24
      -30
      -367
      -783
      163
      -498
      -288
      2,503
      521
      752
      -200
      107
      677
      421
      302
      1,197
      -502
      552
      1,097
      -43
      1,589
      -63
      503
      -185
      24
      -40
      176
      148
      67
      -13
      145
      5
      449
      -8
      4
      -1
      -70
      1,183
      254
      1,041
      3,262
      -23
      1,063
      4
      110
      292
      -1
      -28
      6,405
      1,612
      771
      965
      -6
      657
      310
      279
      155
      116
      57
      -986
      1
      9
      6
      -1
      1,248
      -313
      677
      -56
      96
      -50
      -9
      37
      -2
      -2
      126
      1,581
      994
      798
      1,338
      1,127
      72
      205
      -66
      -67
      -261
      -24
      -10
      -5
      369
      274
      135
      -42
      200
      949
      76
      -86
      823
      60
      41
      19
      6
      -827
      613
      217
      804
      584
      1,014
      -58
      249
      -5
      -7
      -13
      -25
      474
      -737
      2,879
      317
      6,074
      -114
      1,144
      788
      414
      543
      1,246
      3,039
      1,265
      423
      1,247
      263
      2,153
      -95
      -322
      -63
      -32
      110
      -48
      -39
      141
      -22
      28
      -13
       
      5
      9
      -8
      43
      -1
      1,020
      1,258
      2,287
      973
      60
      1,368
      44
      220
      702
      312
      -1
      -60
      2,318
      204
      1,306
      824
      109
      1,119
      720
      226
      310
      18
      14
      6,110
      884
      12
      -14
      -1
      1,007
      3,222
      648
      258
      1,245
      -11
      -26
      -5
      -4
      -2
      1,006
      5,514
      -166
      -227
      20
      -36
      948
      391
      -54
      -41
      -8
      260
      -10
      -6
      -611
      3,819
      198
      234
      -27
      63
      -101
      48
      29
      27
      18
      6
      -1,200
      -350
      186
      300
      300
      95
      -58
      427
      -2
      -4
      7,759
      18
      -1,022
      3,439
      1,768
      158
      620
      -1,768
      977
      3,286
      -277
      2,500
      324
      5,250
      379
      -77
      13
      -19
      1,436
      93
      -47
      -81
      453
      154
      150
      96
      294
      -36
      -28
      -13
      41
      5
      9
      29
      69
       
      -127
      535
      734
      -280
      1,188
      361
      13
      -74
      161
      175
      -2
      20
      339
      322
      629
      468
      440
      -9
      691
      70
      280
      102
      47
      -692
      25
      610
      139
      -2
      754
      545
      1,076
      88
      -448
      -9
      -35
      -3
      -1
      968
      3,696
      2,056
      -292
      449
      -92
      -755
      -86
      1,656
      -50
      -41
      496
      107
      -10
      -19
      13
      382
      1,057
      2,278
      477
      107
      285
      41
      29
      110
      17
      4
      -911
      -294
      314
      -3
      49
      -230
      -9
      -24
      1,053
      -4
      4,192
      3
      -947
      1,397
      3,186
      34
      564
      264
      -1,365
      242
      1,293
      894
      11
      1,049
      1,084
      108
      2,207
      -626
      315
      -36
      27
      -11
      -354
      -8
      69
      78
      285
      241
      124
      -13
      1
      149
      -3
      3
      2
      424
      -418
      42
      -32
      241
      969
      378
      18
      -69
      246
      82
      22
      666
      -254
      495
      1,157
      1,546
      -81
      90
      97
      147
      143
      123
      2,069
      -161
      1,610
      341
      8
      -2
      1,235
      821
      -4
      23
      178
      469
      -9
       
      1
      1,583
      5,541
      163
      1,005
      2,263
      -107
      69
      -16
      330
      -50
      5,923
      2,152
      184
      -10
      -2
      13
      1,307
      2,108
      2,287
      -26
      983
      693
      -16
      245
      198
      11
      4
      -1,051
      242
      266
      -2
      15
      -25
      390
      13
      198
      -3
      213
      318
      -287
      138
      562
      1,742
      792
      7,991
      30
      1,692
      817
      3,577
      -49
      -423
      5,831
      1,097
      -700
      399
      182
      238
      265
      -79
      303
      -54
      -69
      243
      200
      -31
      200
      -13
      1
      86
      -3
      4
      2
      1,736
      1,374
      1,075
      468
      915
      979
      -54
      -169
      -37
      -30
      119
      -4
      -70
      106
      579
      796
      319
      440
      713
      91
      395
      325
      30
      13
      41
      145
      464
      377
      9
      496
      1,445
      -76
      -72
      232
      -35
      -8
      142
      -5
      -269
      -429
      1,099
      1,369
      1,164
      -674
      909
      -22
      375
      -50
      -39
      -25
      19
      -9
      12
      973
      1,586
      1,795
      36
      -37
      73
      279
      -12
      30
      127
      12
      4
      -432
      -180
      595
      -1
      623
      -148
      666
      -334
      -10
      178
      -49
       
      -567
      -328
      1,448
      416
      947
      713
      -181
      133
      67
      1,762
      2,919
      319
      4,729
      614
      1,136
      -2
      29
      1,111
      1,620
      -76
      132
      227
      76
      30
      368
      -42
      57
      -13
      1
      6
      -3
      5
      2
      -121
      -184
      1,555
      548
      1,085
      817
      4,135
      -5
      129
      46
      63
      -3
      507
      827
      500
      1,444
      23
      -13
      701
      4,216
      201
      103
      88
      48
      946
      1,372
      509
      47
      -1
      1,001
      -277
      6
      1,650
      354
      -8
      111
      -17
      -1
      2,122
      -251
      1,900
      2,764
      1,453
      507
      1,081
      -15
      442
      -50
      -11
      324
      189
      -9
      13
      2,768
      3,122
      87
      606
      -46
      483
      108
      -1
      246
      39
      11
      2
      -475
      -60
      468
      -1
       
      526
      80
      -179
      -8
      -4
      370
      -337
      -445
      2,912
      -1,846
      77
      -788
      1,541
      -203
      -184
      21
      -79
      1,092
      1,190
      490
      4,986
      3
      587
      75
      -209
      -33
      -76
      472
      665
      78
      95
      123
      -19
      -26
      144
      1
      -17
      10
      6
      -1
      3,463
      375
      649
      -138
      -108
      928
      765
      -5
      1,244
      280
      29
      402
      -34
      82
      84
      2
      341
      2,259
      51
      72
      190
      131
      94
      36
      -153
      679
      5
      -6
       
      1,303
      987
      -108
      106
      -57
      9
      -199
      18
      84
      -5,362
      944
      1,283
      304
      -174
      -140
      930
      239
      -107
      -37
      242
      76
      204
      -7
      748
      4,465
      263
      1,551
      2,140
      -175
      485
      81
      45
      174
      -69
      10
      1
      -419
      -76
      556
       
      -8
      -381
      2
      690
      -2
      -3
      -22
      7
      78
      787
      1,615
      1,239
      698
      1,487
      1,203
      762
      1,922
      855
      -255
      429
      799
      361
      -121
      356
      60
      -74
      -85
      -52
      640
      380
      37
      99
      213
      -19
      300
      73
      2
      8
      -2
      6
      4
      1,260
      313
      9,363
      525
      -65
      2
      -163
      -5
      341
      1,317
      41
      -180
      -17
      -150
      677
      35
      -13
      -69
      145
      597
      279
      2,162
      28
      26
      3,315
      18
      6
      62
       
      8,094
      99
      151
      -51
      -10
      -32
      129
      -9
      22
      1,086
      -255
      236
      170
      56
      1,152
      1,018
      668
      -102
      17
      333
      486
      -11
      46
      -304
      88
      842
      1,119
      884
      2,114
      209
      529
      103
      46
      221
      10
      1
      -335
      -35
      1,293
       
      3
      239
       
      721
      -10
      -2
      227
      -1,290
      3,251
      -237
      1,630
      921
      833
      196
      164
      334
      593
      84
      743
      -78
      31
      -455
      1,140
      145
      573
      -39
      -10
      278
      377
      178
      13
      233
      238
      93
      -13
      9
      2
      8
      -12
      62
       
      779
      691
      775
      617
      -211
      403
      442
      537
      -47
      384
      119
      36
      361
      1,250
      307
      35
      -16
      3,797
      1,568
      597
      56
      272
      28
      61
      1,431
      570
      21
      63
      2,152
      330
      -471
      18
      -72
      691
      307
      522
      -9
      -3
      761
      -199
      -244
      172
      -458
      -20
      3
      -611
      32
      333
      -8
      91
      -3
      -1
      1,755
      149
      2,773
      42
      5,337
      1,633
      454
      -64
      4,384
      24
      104
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 2 692,456
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 38,373
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 120,000 2,614,658 0.045895
2011 110,000 2,546,166 0.043202
2010 62,300 2,434,848 0.025587
2009 62,300 1,365,546 0.045623
2008 69,122 1,047,944 0.065960
2 Total of line 1, column (d) ...................... 2 0.226267
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 0.045253
4 Enter the net value of noncharitable-use assets for 2013 from Part X, line 5..... 4 2,848,306
5 Multiply line 4 by line 3....................... 5 128,894
6 Enter 1% of net investment income (1% of Part I, line 27b)........... 6 7,601
7 Add lines 5 and 6......................... 7 136,495
8 Enter qualifying distributions from Part XII, line 4.............. 8 130,000
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 15,201
hereBulletand enter 1% of Part I, line 27b...................
c All other domestic foundations enter 2% of line 27b. Exempt foreign organizations enter 4% of Part I, line 12, col. (b)
2 Tax under section 511 (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-) 2  
3 Add lines 1 and 2............................ 3 15,201
4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only. Others enter -0-). 4  
5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0- ..... 5 15,201
6 Credits/Payments:
a 2013 estimated tax payments and 2012 overpayment credited to 2013 6a 6,485
b Exempt foreign organizations—tax withheld at source....... 6b
c Tax paid with application for extension of time to file (Form 8868) 6c  
d Backup withholding erroneously withheld ........... 6d  
7 Total credits and payments. Add lines 6a through 6d.............. 7 6,485
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 8,716
10 Overpayment. If line 7 is more than the total of lines 5 and 8, enter the amount overpaid...Bullet 10  
11 Enter the amount of line 10 to be: Credited to 2014 estimated taxBullet   RefundedBullet 11  
Part VII-A
Statements Regarding Activities
1a
During the tax year, did the foundation attempt to influence any national, state, or local legislation or did
Yes
No
it participate or intervene in any political campaign? ....................
1a
 
No
b
Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see page 19 of
the instructions for definition)?............................
1b
 
No
If the answer is "Yes" to 1a or 1b, attach a detailed description of the activities and copies of any materials
published or distributed by the foundation in connection with the activities.
c
Did the foundation file Form 1120-POL for this year?.....................
1c
 
No
d
Enter the amount (if any) of tax on political expenditures (section 4955) imposed during the year:
(1) On the foundation. bullet$   (2) On foundation managers.bullet$  
e
Enter the reimbursement (if any) paid by the foundation during the year for political expenditure tax imposed
on foundation managers.bullet$  
2
Has the foundation engaged in any activities that have not previously been reported to the IRS?.......
2
 
No
If "Yes," attach a detailed description of the activities.
3
Has the foundation made any changes, not previously reported to the IRS, in its governing instrument, articles
of incorporation, or bylaws, or other similar instruments? If "Yes," attach a conformed copy of the changes....
3
 
No
4a
Did the foundation have unrelated business gross income of $1,000 or more during the year?........
4a
 
No
b
If "Yes," has it filed a tax return on Form 990-T for this year?...................
4b
 
 
5
Was there a liquidation, termination, dissolution, or substantial contraction during the year?.........
5
 
No
If "Yes," attach the statement required by General Instruction T.
6
Are the requirements of section 508(e) (relating to sections 4941 through 4945) satisfied either:
  • By language in the governing instrument, or
  • By state legislation that effectively amends the governing instrument so that no mandatory directions
    • that conflict with the state law remain in the governing instrument?................
    6
    Yes
     
    7
    Did the foundation have at least $5,000 in assets at any time during the year? If "Yes," complete Part II, col. (c), and Part XV.
    7
    Yes
     
    8a
    Enter the states to which the foundation reports or with which it is registered (see instructions)
    bulletNY
    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 ofbulletCATHERINE NOLAN Telephone no.bullet (203) 254-0516
    Located atbullet19 TURKEY HILL CIRCLEWESTPORTCT ZIP+4bullet06880
    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
    CATHERINE NOLANClick to see attachment PRESIDENT
    2.00     		0 0 0
    19 TURKEY HILL CIRCLE
    WESTPORT,CT06880
    MATTHEW SPIEGELClick to see attachment TREASURER
    1.00     		0 0 0
    19 TURKEY HILL CIRCLE
    WESTPORT,CT06880
    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  
    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.............bullet  
    Part IX-A
    Summary of Direct Charitable Activities
    List the foundation’s four largest direct charitable activities during the tax year. Include relevant statistical information such as the number of organizations and other beneficiaries served, conferences convened, research papers produced, etc. Expenses
    1
     
    2  
    3  
    4  
    Form 990-PF (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 N/A  
    2  
    All other program-related investments. See page 24 of the instructions.
    3  
    Total. Add lines 1 through 3.........................bullet  
    Part X
    Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,
    see 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
    142,415
    2a
    Tax on investment income for 2013 from Part VI, line 5......
    2a
    15,201
    b
    Income tax for 2013. (This does not include the tax from Part VI.)...
    2b
     
    c
    Add lines 2a and 2b............................
    2c
    15,201
    3
    Distributable amount before adjustments. Subtract line 2c from line 1............
    3
    127,214
    4
    Recoveries of amounts treated as qualifying distributions................
    4
     
    5
    Add lines 3 and 4............................
    5
    127,214
    6
    Deduction from distributable amount (see instructions).................
    6
     
    7
    Distributable amount as adjusted. Subtract line 6 from line 5. Enter here and on Part XIII,
    line 1................................
    7
    127,214
    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 7 127,214
    2 Undistributed income, if any, as of the end of 2013:
    a Enter amount for 2012 only....... 127,237
    b Total for prior years:20, 20, 20  
    3 Excess distributions carryover, if any, to 2013:
    a From 2008.......  
    b From 2009.......  
    c From 2010.......  
    d From 2011.......  
    e From 2012.......  
    fTotal of lines 3a through e.........  
    4Qualifying distributions for 2013 from Part
    XII, line 4: bullet$ 130,000
    a Applied to 2012, but not more than line 2a 127,237
    b Applied to undistributed income of prior years
    (Election required—see instructions)......     		 
    c Treated as distributions out of corpus (Election
    required—see instructions).........     		 
    d Applied to 2013 distributable amount..... 2,763
    e Remaining amount distributed out of corpus  
    5 Excess distributions carryover applied to 2013.    
    (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  
    b Prior years’ undistributed income. Subtract
    line 4b from line 2b ...........     		 
    c Enter the amount of prior years’ undistributed
    income for which a notice of deficiency has
    been issued, or on which the section 4942(a)
    tax has been previously assessed......     		 
    d Subtract line 6c from line 6b. Taxable amount
    —see instructions ...........     		 
    e Undistributed income for 2012. Subtract line
    4a from line 2a. Taxable amount—see
    instructions .............     		 
    f Undistributed income for 2013. Subtract
    lines 4d and 5 from line 1. This amount must
    be distributed in 2014 ..........     		124,451
    7 Amounts treated as distributions out of
    corpus to satisfy requirements imposed by
    section 170(b)(1)(F) or 4942(g)(3) (see
    instructions) .............     		 
    8Excess distributions carryover from 2008 not
    applied on line 5 or line 7 (see instructions) ...     		 
    9Excess distributions carryover to 2014.
    Subtract lines 7 and 8 from line 6a ......     		 
    10 Analysis of line 9:
    a Excess from 2009....  
    b Excess from 2010....  
    c Excess from 2011....  
    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 of the person to whom applications should be addressed:
    bThe form in which applications should be submitted and information and materials they should include:
    cAny submission deadlines:
    dAny restrictions or limitations on awards, such as by geographical areas, charitable fields, kinds of institutions, or other
    factors:
    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
    AMERICAN RED CROSS
    PO BOX 4002018
    DES MOINES,IA503402018     		  PUBLIC CHAR. GENERAL SUPPORT 10,000
    CATHOLIC CHARITIES USA
    PO BOX 17066
    BALTIMORE,MD212971066     		  PUBLIC CHAR. GENERAL SUPPORT 15,000
    THE AMERICAN IRELAND FUND
    ATTN KIERAN MCLOUGHLIN
    345 PARK AVE 17TH FL
    NEW YORK,NY10154     		  PUBLIC CHAR. GENERAL SUPPORT 12,500
    CHILDREN'S SCHOLARSHIP FUND
    8 WEST 38TH STREET 9TH FL
    NEW YORK,NY10018     		  PUBLIC CHAR. GENERAL SUPPORT 20,000
    INNER CITY SCHOLARSHIP FUND
    1011 FIRST AVE STE 1400
    NEW YORK,NY10022     		  PUBLIC CHAR. GENERAL SUPPORT 20,000
    A BETTER CHANCE OF WESTPORT
    PO BOX 2153
    WESTPORT,CT06880     		  PUBLIC CHAR. GENERAL SUPPORT 10,000
    ROBIN HOOD FOUNDATION
    826 BROADWAY 9TH FL
    NEW YORK,NY10003     		  PUBLIC CHAR. GENERAL SUPPORT 5,000
    WOUNDED WARRIOR PROJECT
    PO BOX 758517
    TOPEKA,KS66675     		  PUBLIC CHAR. GENERAL SUPPORT 10,000
    SAINT FRANCIS HOSPITAL FOUNDATION
    100 PORT WASHINGTON BLVD
    ROSLYN,NY11576     		  PUBLIC CHAR. GENERAL SUPPORT 10,000
    MICHAEL J FOX FOUNDATION FOR
    PARKINSON'S RESEARCH
    GRAND CENTRAL STATION
    PO BOX 4777
    NEW YORK,NY101634777     		  PUBLIC CHAR. GENERAL SUPPORT 7,500
    CARSON SCHOLARS FUND INC
    ATTN AMY WARNER STE 310
    305 W CHESAPEAKE AVE
    TOWSON,MD21204     		  PUBLIC CHAR. GENERAL SUPPORT 10,000
    Total .................................bullet 3a 130,000
    bApproved for future payment
    Total .................................bullet 3b  
    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 ............     		    14 7,308  
    4 Dividends and interest from securities....     14 72,294  
    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.....          
    8
    Gain or (loss) from sales of assets other than inventory .............     		        692,456
    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)..   79,602 692,456
    13Total. Add line 12, columns (b), (d), and (e)..................
    13772,058
    (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.)
    8 INCOME FROM SALE OF ASSETS TO FUND CHARITABLE DISTRIBUTION
    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

    TY 2013 AccountingFeesSchedule
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    ACCOUNTING FEES 7,839      

    TY 2013 CompensationExplanation
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Person Name Explanation
    CATHERINE NOLAN  
    MATTHEW SPIEGEL  

    TY 2013 InvestmentsCorpBondsSchedule
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Name of Bond End of Year Book Value End of Year Fair Market Value
    UBS 63388    
    UBS 68328    
    ASSURED GTY US HLDGS JR SUB DEB CLBL 15,564 15,470

    TY 2013 InvestmentsCorpStockSchedule
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Name of Stock End of Year Book Value End of Year Fair Market Value
    UBS 63389    
    UBS 63390    
    UBS 63391    
    UBS 63392    
    UBS 68328    
    UBS 68329    
    CATLIN GROUP LTD ADR 3,508 4,202
    COHEN & STEERS INFRASTRUCTURE 8 8
    ISHARES RUSSELL 2000 VALUE ETF 544,370 540,595
    ISHARES RUSSELL 3000 ETF 1,896,660 1,969,100
    PHOENIX COMPANIES INC 1,722 1,848
    SANTANDER FINANCE PREFERRED 2,150 2,068

    TY 2013 InvestmentsOtherSchedule2
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Category/ Item Listed at Cost or FMV Book Value End of Year Fair Market Value
    HARTFORD EMERGING MKTS RES FND AT COST 5,693 5,419
    HARTFORD EQ INC FLOATING RATE A AT COST 17,560 18,222
    LOOMIS SAYLES STRAT INC A AT COST 11,042 13,064
    NATIXIS LOOMIS SAYLES ABS STRAT A AT COST 4,801 4,757
    VIRTUS FDS MULTI SECTOR ST BOND A AT COST 12,379 13,010

    TY 2013 OtherAssetsSchedule
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Description Beginning of Year - Book Value End of Year - Book Value End of Year - Fair Market Value
    ACCRUED INTEREST RECEIVABLE 1,618    


    TY 2013 OtherExpensesSchedule
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Description Revenue and Expenses per Books Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    EXPENSES        
    MARGIN INTEREST 1,737 1,737    
    ADR FEES 300 300    


    TY 2013 OtherProfessionalFeesSchedule
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    UBS INVESTMENT MANAGEMENT FEES 6,454 6,090    


    TY 2013 TaxesSchedule
    Name:
    STANLEY AND CATHERINE MAAS FOUNDATI
    EIN: 11-2690167
    Category Amount Net Investment Income Adjusted Net Income Disbursements for Charitable Purposes
    NYS DEPT OF LAW 250      
    FOREIGN TAXES PAID 1,252 1,252    
    FEDERAL TAXES PAID 6,000