for,990s.foundationcenter.org/990pf_pdf_archive/133/133251432/... · for, 99 pf bturnof private...

For, 99 PF bturn of Private Foundation OMB No 1545-0052

O c;.^ S,ctlon 4947( a)(1) Nonexempt Charitable Trust2012

Department of the Treasury Treated as a Private FoundationInternal Revenue Sanwa Note . The foundation may be able to use a copy of this return to satisfy state reporting requirements • • -

For calendar year 2012 or tax year beg inning 12/01 2012 , and ending 11/30, 20 13

Name of foundation A Employer Identification number

BEATRICE & SAMUEL A. SEAVER FOUNDATION 13-3251432

v 1J

zE_J

r-=

Number and street (or P 0 box number if mail is not delivered to street address)

C/O WITHUMSMITH+BROWN, P.C.

1411 BROADWAY 9TH FLOOR

Room /suite B Telephone number (see instructions)

(212) 751-9100

City or town, state , and ZIP code

NEW YORK, NY 10018

C If exemption application is ►pending , check here

G Check all that apply Initial return Init i al return of a former public charity o 1 Foreign organizat ions check here ►D

Final return Amended return.

2. Foreign organizations meeting the

Address chin a Name change85% test, check here and attach

computation . . . • • . . ►

H Check type of organization X Section 501(c 3

Section 4947 (a )( 1 ) nonexem p t chantable trust

exempt private foundation

Other taxable p rivate foundationE If private foundation status was terminated

under section 507(b )( 1)(A), check here . ► El

I Fair market value of all assets at end

of year (from Part ll, col (c), line16) ► $ 91.2 7 0. 9 8 9 •

J Accounting method X Cash Accrual

a Other ( specify ) ______________________

(Part 1, column (d) must be on cash basis)

F If the foundation is in a 60-month termination

under section 507 ( b)(1)(B), check here •

lj^Analysis of Revenue and Expenses (Thetotal of amounts in columns (b), (c), and (d)may not necessarily equal the amounts incolumn (a) (see instructions

(a ) Revenue andexpenses per

books

(b) Net investmentincome

( c) Adjusted netincome

(d) Disbursementsfor charitablepurposes

( cash basis on ly)

I Contributions dts, grants , etc , received ( attach schedule)

2 Check ► if the foundation is not required toattach Sch B

3 Interest on savings and temporary cash investments 63 63. ATCH 1

4 Dividends and interest from securities 3,153,307 . 3, 156, 761. ATCH 2. . .

5a Gross rents ... • • • .. 4, 576, 090 4, 576, 090.

b Net rental income or (loss) 4, 576, 090 .

4) 6a Net gain or ( loss) from sale of assets not on line 10 -1 , 2 7 3 , 14 0

r_ b Gross sales price for all 2 6, 958, 440 .ne 6at lm

e

asse s on i

7 Capital gain net income (from Part IV, line 2)

8 Net short-term capital gain . . . . . . . . .

9 Income modifications . . . . . . . .10 a Gross sales less returns

ll ances •d owan a

b Less Cost of goods sold

c Gross profit or (loss) ( attach schedule) .

11 Other income (attach schedule) ATCH 3 2 ,932 .

12 Total . Add lines 1 t hroug h 11 6, 459, 252. 7,732,914.

13 Compensation of officers , directors , trustees , etc 873, 288. 43,664. 829,623

14 Other employee salaries and wages • • • •

15 Pension plans , employee benefits

416a Legal fees (attach schedule) ATCH 757. 757X

. •.

b Accounting fees ( attach schedule)ATCH 5 45,742. 22, 871. 22, 871

c Other professional fees (attach schedule). . 85, 867. 40, 182. 45, 685

25 17 Interest . . . . . . . . . . . . . . . . . .

0 48 Taxes (attac schedule ( see insauw«u)ATCH • 7 77,021.

E 19 Rpr^c^twhl(6 C sched le ) and depletion .

QrL^,9 r'

20-Occupancy----- . . 6, 000. 6,000

10

^

-2r ravel , conferences , an rip tmgs . ,

22 'PritingTan^ pZAbatio sQ. .

23-_Othst-e enses attach ule)AT.CH • $ • 42,868. 42,868

24 0 1 ;e ing a^r ad istrative expenses.

Itu 23 1, 131, 543. 106, 717. 947,804O

25 Contributions , gifts, grants paid . . . . .. 3, 422, 867. 3,422,867

26 Total expenses and disbursements . Add lines 24 and 25 4 ,554,410. 106,717. 4,370,671

27 Subtract line 26 from line 12

a Excess of revenue over expenses and disbursements 1, 904 ,842.

b Net investment income ( if negative , enter -0-) 7,626,197. 1

c Adousted net income ( if negative . enter -0-) . . aJSA For Paperwork Reduction Act Notice, see instructions . *A'1'C:H b Form 990-PF (2012)2E1410 1 000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 2

Form 990-PF (7n1 I1 BEATRAik & SAMUEL A . SEAVER FOUNDATIONkh 13-3251432 Pane 2

Attached schedul d amounts in the Beginning of year End of year®Balance Sheets description column should be for end-of-year

amounts only (See instructions ) ( a) Book Value (b) Book Value (c) Fair Market Value

1 Cash - non-interest-beanng . . . . . . . . . . . . . . . . . .

2 Savings and temporary cash investments . 1,381,337. -304,248. -304,248. .

3 Accounts receivable ► 39,478.-----------------------

_Less allowance for doubtful accounts ► 19,738. 39,478. 39,478________ __

4 Pledges receivable

Less : allowance for doubtful accounts ►. . . . . . . . . . . . . .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) ► _ _ _ _ _

Less allowance for doubtful accounts ► _ _ _ _ _ _ _ _ _ _ _ _ _

. 8 Inventories for sale or use ..................

9 Prepaid expenses and deferred charges . . . . . . . . . . . .

10 a Investments - U S and state government obligations (attach schedule), ,

b Investments - corporate stock (attach schedule) ATCH 9 1, 676, 341. 1, 641, 126. 1,047,189

10c Investments - corporate bonds (attach schedule) ATCH 69, 394, 308. 73, 393, 616. 69, 221, 321. .

11 Investments - land, buildings, ►and equipment basis __ ________________Less accumulated deprecation ►

tt h h d le) -------------------(a ac sc e u

. . . . . . . . .12 Investments - mortgage loans .ATCH 1113 Investments - other ( attach schedule) 34, 395, 085. 30, 863, 522. 21, 267, 249., , ...

14 Land , buildings, and ►equipment basis __________________Less accumulated depreciation ►

chedulett h ) --------------------(a ac s

15 Other assets (descnbe ► )____________________

16 Total assets (to be completed by all filers - see the

instructions Also, see page 1, item 1 ) , 106, 866, 809. 105, 633, 494. 91, 270, 989

17 Accounts payable and accrued expenses , , , , , , , , . . .

18 Grants payable

0)

,,,,,,,,,,,,,,,,,,,,,,,

19 Deferred revenue . . . . . . . . . . . . . . . . . . . . . .

20 Loans from officers , directors , trustees, and other disqualified persons

21 Mortgages and other notes payable (attach schedule) , _ . ,

J

,

22 Other liabilities (describe ► )___________________

23 Total liabilities ( add lines 17 through 22) . 0

Foundations that follow SFAS 117, check here ►(A and complete lines 24 through 26 and lines 30 and 31.m

24 Unrestricted . . . . . . . . . . . . . . . . . . . . . . . . .

M 25 Temporarily restricted . . . . . . . . . . . . . . . . . . . .

26 Permanently restnded . . . . . . . . . . . . . . . . . . . .

Foundations that do not follow SFAS 117,

check here and complete lines 27 through 31. ►° 27 Capital stock , trust principal , or current funds 68, 702, 649. 65,564,492., , _ , _ , ,

28 Paid-in or capital surplus , or land, bldg . and equipment fund . .

Q

, , ,

29 Retained earnings , accumulated income , endowment , or other funds 38, 164, 160. 40, 069, 002 .

a 30 Total net assets or fund balances (see instructions ). . . . 106, 866, 809. 105, 633, 494 .

Z 31 Total liabilities and net assets/fund balances (see

instructions ) . . . . . . . . . . . . . . . . . . . . . . . . . 106, 866, 809. 105, 633, 494 .

C123-Analysis of Changes in Net Assets or Fund BalancesI 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 ) 1 106, 866, 809, , , , , ,

2 Enter amount from Part 1, line 27a 2 1,904,842

3 Other increases not included in line 2 ( itemize) ► 3------------------------------------

4 Add lines 1, 2, and 3 4 108, 771, 651

5 Decreases not included in line 2 ( itemize ) No. ATCH 12 5 3,138,157-----------------------------------

6 Total net assets or fund balances at end of year line 4 minus-line 5 - Part II column b line 30 . 6 105, 633, 4 94

Form 990-PF (2012)

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Form 990 -PF (2012)

BEAT* & SAMUEL A. SEAVER FOUNDATI 13-3251432

r M Canital 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) ow

PacquiPurch

D-- DonaLOnaseacquired(c) Date

(mo, day, yr)

(d) Date sold(mo , day, yr )

la SEE PART IV SCHEDULE

b

c

d

e

(e) Gross sales price (f) Depreciation allowed(or allowable)

(g) Cost or other basisplus expense of sale

(h) Gain or (loss)(e) plus (f) minus (g)

a

b

c

d

eComplete only for assets showin g g ain in column ( h ) and owned by the foundation on 12/31/69 ( I) Gains (Col. (h) gain minus

(i) F M V as of 12/31/69(

f) Adjusted basisas of 12 /31/69

( k) Excess of col. (i)over col Q), if any

col ( k), but not less than -0-) orLosses (from col (h))

ab

cd

e

2 Capital gain net income or (net capital loss)If gain , also enter in Part I, line 7

{ If (loss ), enter -0- in Part I, line 7 } 2 -1,273,140.

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 3 0

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 periods El Yes FRI No

If "Yes ," the foundation does not qualify under section 4940 (e) Do not complete this part.

1 Inter the a pp ro p riate amount in eacn column Tor eacn year see the Instructions Derore maKln any entnes

Base peri ody yearsCalendar year ( or tax year beginning in) Ad j usted qualifying distributions Net value of nonchantable-use assets

Distdbudtd ratio(col (b) divided by col (c))

2011 4,103,910. 89,218,034. 0.045999

2010 3,898,922. 84,732,778. 0.046014

2009 3,874,526. 82,614,612. 0.046899

2008 3,216,727. 79,780,032. 0.040320

2007 3,374,739. 82,669,013. 0.040822

2 Total of line 1 , column (d) 2 0.220054

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 0.044011

4 Enter the net value of noncharitable - use assets for 2012 from Part X, line 5 4 91,301,797.

5 Multiply line 4 by line 3 . . . . . . . .. . . . . . . . . . . . . . . . . . . 5 4, 018, 283.. . . . .. . . . . .

6 Enter 1% of net investment income (1% of Part I , line 27b). . . . . . . .. .. . . . . . . 6 76,262.

7 Add lines 5 and 6 7 4,094,545.

8 Enter qualifying distributions from Part XII, line 4 8 4, 370, 671.

If line 8 is equal to or greater than line 7. check the box in Part VI. line 1b . and complete that D art using a 1% tax rate See the

Part VI instructions

SSA Form 990-PF ( 2012)2E1430 1 000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 4

Form 990 -PF (2012) BEAT & SAMUEL A. SEAVER FOUNDATIO 13-3251432

EYINTIV Excise Tax Based on Inves . . nt Income (Section 4940(a), 4940(b), 4 •. (e), or 4948 - see instructions)

I a Exempt operating foundations described in section 4940(d)(2), check here ► and enter "N/A° on line 1 , , ,

Date of ruling or determination letter - - - - - - - - - - - - - - - (attach copy of letter If necessary - see instructions)

b Domestic foundations that meet the section 4940(e) requirements in Part V, check 1 76, 262.

here ►a and 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 76,262.

4 Subtitle A (income) tax (domestic section 4947(a)(1) trusts and taxable foundations only Others enter -0-) , , , 4 0

5 Tax based on investment income. Subtract line 4 from line 3. If zero or less, enter -0. . . . . . . . . . . . . 5 76,262.

6 Credits/Payments

a 2012 estimated tax payments and 2011 overpayment credited to 2012, 6a 76, 400. -

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 76,400.

8 Enter any penalty for underpayment of estimated tax Check here q 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 ► 9

10 Overpayment If line 7 is more than the total of lines 5 and 8, enter the amount overpaid , , , , , , ► 10 138.

11 Enter the amount of line 10 to be- Credited to 2013 estimated tax ► 138. Refunded ► 11

Statements Regarding Activities

Ia During the tax year , did the foundation attempt to influence any national , state , or local legislation or did it participate

or intervene in any political campaign? , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , ,

b Did it spend more than $100 during the year (either directly or indirectly) for political purposes (see Instructions for the

definition)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If the answer is 'Yes ' to la 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? , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , ,

d Enter the amount ( if any) of tax on political expenditures ( section 4955) imposed during the year.

(1) On the foundation ► $ ( 2) On foundation managers ► $

e Enter the reimbursement ( if any) paid by the foundation during the year for political expenditure tax imposed on

foundation managers ► $

2 Has the foundation engaged in any activities that have not previously been reported to the IRS?, , , , , , , , , , , , ,

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 . . . . . . . . . . . . . . . . . . .

4 a Did the foundation have unrelated business gross income of $1 ,000 or more dunng the year? . . . . . . . . . . . . . . . . .

b If "Yes ," has it filed a tax return on Form 990 -T for this year? , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , ,

5 Was there a liquidation , termination , dissolution , or substantial contraction during the year? , , , , , , , , , , , , , , , , , ,

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? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7 Did the foundation have at least $ 5,000 in assets at any time during the year? If 'Yes,' complete Part 11, col (c), and Part XV

8a Enter the states to which the foundation reports or with which it is registered (see instructions) ►NY,

----------------------------------------------------------------------------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 . . . . . . . . . . . . . . . . . . . . . . . . .

9 Is the foundation claiming status as a private operating foundation within the meaning of section 49420)(3) or

49420)(5) for calendar year 2012 or the taxable year beginning in 2012 (see instructions for Part XIV)? If 'Yes,' complete

Part XIV ..........................................................

10 Did any persons become substantial contributors during the tax year? If 'Yes,' attach a schedule listing their names and

addresses

JSA

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8859GP L44A 3/31/2014 9:37:20 AM 602061.0

1a X

lb X

1cX

2 X

3 X

4a X

4b

5 X

6 X

7 X

8b X

9 X

10 X

Form 990-PF (2012)

PAGE 5

Form 990-PF (2012) BEATPAM & SAMUEL A. SEAVER FOUNDATIO 13-3251432

Statements Regarding Ac ties (continued)

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 X

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 X

13 Did the foundation comply with the public inspection requirements for its annual returns and exemption application ? . . . 13 X

Website address ► N/A----------------------------------------------------------------------- -----

14 WITHUMSMI TH+BROWN, PC Telep hone no Do- -212-751 _9100The books are in care ofALocated at BRODWAY NEW YORK, NY ZIP+4 0- 10018

15------------------------------------------------------- -------------

Section 4947(a)(1) nonexempt charitable trusts filing Form 990-PF in lieu of Form 1041 - Check here . . . . . . . .

'

. . . . .-

and enter the amount of tax-exempt interest received or accrued during the year . . . . . . . . . . . . . . . . . . ► Lis16 At any time during calendar year 2012 , did the foundation have an interest in or a signature or other authority Yes No

over a bank , securities , or other financial account in a foreign country? . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 X

See the instructions for exceptions and filing requirements for Form TD F 90-22 1 If "Yes," enter the name of

the foreign country

FON&W": Statements Reg arding Activities for Which Form 4720 May Be Req uired

File Form 4720 if any item is checked in the "Yes" column , unless an exception applies. Yes No

la 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? . . . . . . . . q Yes No

(2) Borrow money from , lend money to, or otherwise extend credit to (or accept it from) a

disqualified person? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes X No

(3) Furnish goods , services, or facilities to (or accept them from) a disqualified person? . , , . , , , , Yes X No

(4) Pay compensation to, or pay or reimburse the expenses of, a disqualified person? . . . . . . . X Yes No

(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 ) ? . . . . . . . . . . . . . . . . . . . . . . . . . . . q Yes a No

(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 ) . . . . . . . . . . . . . . . . q Yes No

b If any answer is "Yes" to la(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 instructions )? . . . . . . . . . . . .... . . 1 b X

Organizations relying on a current notice regarding disaster assistance check here . . . . . . . . . . . . . . ►c Did the foundation engage in a prior year in any of the acts described in la, other than excepted acts, that

were not corrected before the first day of the tax year beginning in 2012? . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 c X

2 Taxes on failure to distribute income (section 4942 ) (does not apply for years the foundation was a private

operating foundation defined in section 49420 )( 3) or 4942(j)(5))-

a At the end of tax year 2012 , did the foundation have any undistributed income ( lines 6d and

6e, Part XIII ) for tax year(s) beginning before 2012' . . . . . . . . . . . . . . . . . . . . . . . . . q Yes q Noif "Yes ," list the years ► ______---- ,-------- _ ,_

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 years 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

3a Did the foundation hold more than a 2% direct or indirect interest in any business enterprise

at any time during the year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes q No

b If "Yes ," did it have excess business holdings in 2012 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 2012 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3b X

4a Did the foundation invest during the year any amount in a manner that would jeopardize its charitable purposes? , , , , , , , , 4a X

b Did the foundation make any investment in a prior year (but after December 31, 1969 ) that could jeopardize its

.1 4b X

Form 990-PF (2012)

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Form 990-PF BEAT & SAMUEL A. SEAVER FOUNDATIOt, 13-325 1432

Statements Regardin g A cities for Which Form 4720 May Be Re u 'd (continued)

5a During the year did the foundation pay or incur any amount to

' q Y a N(1) Carry on propaganda, or otherwise attempt to influence legislation (section 4945(e)) . . . . . . es o

(2) Influence the outcome of any specific public election (see section 4955), or to carry on,

directly or indirectly, any voter registration dnve? . . . . . . . . . . . . . . . . . . . . . . Yes

q

X No

(3) Provide a grant to an individual for travel, study, or other similar purposes?. . . . . . . . . . . . Yes X No

(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) . . . . . . . . . . . . . . q Yes q No

(5) Provide for any purpose other than religious, charitable, scientific, literary, or educational

purposes, or for the prevention of cruelty to children or animals? . . . . . . . . . . . . . . . . . q Yes q No

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

Organizations relying on a current notice regarding disaster assistance check here . . . . . . . . . . . . . . . . . . . ► q

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? . . . . . . . . . . . . . . . . . . . q Yes q No

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? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . q Yes q No

b Did the foundation, during the year, pay premiums, directly or indirectly, on a personal benefit contract? , , , , , . , . , , , , 6b X

If "Yes" to 6b, file Form 8870

q q7a At any time during the tax year, was the foundation a party to a prohibited tax shelter transaction? Yes No

b If "Yes," did the foundation receive any proceeds or have any net income attributable to the transaction? 7b

Information About Officers, Directors, Trustees, Foundation Managers, H ighly Paid Employees,and Contractors

4 I it all nffirorm diractnrs trustaas fnundatinn mananers and their Cmminensatinn Isee_ instructinnst_

(a) Name and address(b) Title, and average

hours per weekdevoted to

position

(c) Compensation(If not paid ,enter -0-

(d) Contributions toemployee benefit plans

and deferred com pensation

(e) Expense account,other allowances

----H1---------------------------------ATC3 873,288. 0

-------------------------------------

-------------------------------------

-------------------------------------

2 Comnensation of five hiahest-naid emolovees (other than those included on line 1 - see instructions). If none. enter••unNF "

(a) Name and address of each employee pad more than $50,000(b) Title, and average

hours per weekdevoted to position

(c) Compensation

(d) Contributions toemployee benefitplans and deferredcom pensation

(e) Expense account,other allowances

-------------------------------------NONE

-------------------------------------

-------------------------------------

-------------------------------------

-------------------------------------

Total number of other em p loyees p aid over $50 , 000 . ►Form 990-PF (2012)

JSA

2E1460 1 000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 7

BEAT0 & SAMUEL A. SEAVER FOUNDATIO* 13-3251432

Form 990-PF (2012)

Information About Officers , Directors , Trustees, Foundation Managers, Highly Paid Employees,

and Contractors (continued)

3 Five hig hest-paid inde pendent contractors for professional services (see instructions . If none, enter "NONE."

(a) Name and address of each person pad more than $50,000 (b) Type of service (c) Compensation

---------------------------------------------------------NONE

---------------------------------------------------------

---------------------------------------------------------

---------------------------------------------------------

---------------------------------------------------------

Total number of others receivin g over $50 , 000 for p rofessional services . . . ►

Summary of Direct Charitable Activities

List the foundation 's four largest direct chantable activities during the tax year Include relevant statistical information such as the number ofExpenses

organizations and other beneficiaries served , conferences convened , research papers produced, etc

1 MT. SINAI SCHOOL OF MEDICINE---------------------------------------------------------------------------

---------------------------------------------------------------------------3,070,687

2- THE JEWISH MUSEUM--------------------------------------------------------------------------

---------------------------------------------------------------------------112,000

3-MEMORIAL SLOAN KETTERING CENTER--------------------------------------------------------------------------

---------------------------------------------------------------------------100,000

4- HOSPITAL FOR SPECIAL SURGERY--------------------------------------------------------------------------

-----------------------------------------------------------------------52,180

Summary of Program-Related Investments (see instructions)

Describe the two largest program - related investments made by the foundation during the tax year on lines 1 and 2 Amount

1 --------------------------------------------------------------------------

---------------------------------------------------------------------------

2 ---------------------------------------------------------------------------

---------------------------------------------------------------------------

All other program-related investments See instructions

3 NONE---------------------------------------------------------------------------

Total. Add lines 1 throu g h 3 . ►Form 990-PF (2012)

JSA

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8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 8

BEATR• & SAMUEL A. SEAVER FOUNDATIO• 13-3251432

Form 990-PF (2012)

Minimum Investment Return (All domestic foundations must complete this part. Foreign foundations,see instructions.)

I 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 . .. . . . . . . . . . . . . . . . . . . . . . .. . . . . . la 69, 038, 237.

b Average of monthly cash balances , , . , . , _ lb 2, 195, 243.

c Fair market value of all other assets (see instructions)

.

Ic 21, 458, 700.

, , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , ,d Total (add lines 1a,b,andc) Id 92,692,180., , , , , ,,

e Reduction claimed for blockage or other factors reported on lines 1a and

1c (attach detailed explanation) , , , , , , , , , , , , , , le

2 Acquisition indebtedness applicable to line I assets

.

2, . . .

3 Subtract line 2 from line 1d 3 92, 692, 180..................................4 Cash deemed held for charitable activities. Enter 1 1/2 % of line 3 (for greater amount, see

instructions) ... ........ . ........ 4 1, 390, 383... . . . . .. , . ........5 Net value of noncharitable - use assets . Subtract line 4 from line 3 Enter here and on Part V, line 4 5 91,301,797.

6 Minimum investment return . Enter 5% of line 5 6 4,565,090.

Kom Distributable Amount (see instructions) (Section 49420)(3) and 0)(5) private operating

foundations and certain foreign organizations check here ► and do not complete this part

1 Minimum investment return from Part X, line 6 . .. . . . . . . . . . . . .. . . . . .. . . .. . 1 4, 565, 090.

2a Tax on investment income for 2012 from Part VI, line 5 2a 76,262.

b Income tax for 2012. (This does not include the tax from Part VI) 2b

c Add lines 2a and 2b . . 2c 76,262............................................3 Distributable amount before adjustments Subtract line 2c from line 1 , , , , , , , , , , , ,,, , , , , 3 4, 488, 828.

4 Recoveries of amounts treated as qualifying distributions . . . . . . . . . . . . . . . . . . . . . . .. . 4

5 Add lines 3 and 4 5 4,488,828...............................................

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 4, 488, 828.

Qualifying Distributions (see instructions)

I Amounts paid (including administrative expenses) to accomplish charitable, etc, purposes

a Expenses, contributions, gifts, etc - total from Part I, column (d), line 26 . . . . .. . . . . . . . 1a 4, 370, 671.

b Program-related investments - total from Part IX-B 1 b.. . .. .......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 4,370,671.

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 76,262.

6 Adjusted qualifying distributions . Subtract line 5 from line 4 . . . . . . . . . . . . . . . 6 4, 294, 409.

Note . The amount on line 6 will be used in Part V, column (b), in subsequent years when calqualifies for the section 4940(e) reduction of tax in those years

culating whether the foundation

Form 990-PF (2012)

JSA

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8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 9

BEAT• & SAMUEL A. SEAVER FOUNDATIO• 13-3251432

Form 990-PF 9

Undistributed Income (see instructions)

1 Distributable amount for 2012 from Part Xl,

line 7 . . . . . . . . . .

2 Undistributed income , if any . as of the end of 2012

a Enter amount for 2011 only . . ,

b Total for pnor years 20 10 . 20 09 20 08

3 Exxess distributions carryover, if any , to 2012.

a From 2007

b From 2008

c From 2009

d From 2010

e From 2011

If Total of lines 3a through e . . . . . . . . . . .

4 Qualifying distributions for 2012 from Part XII,

line4 ► $ 4 , 370, 671.

a Applied to 2011 , but not more than line 2a , , ,

b Applied to undistributed income of prior years(Election required - see instructions ) . . . . . . .

c Treated as distributions out of corpus ( Electionrequired - see instructions ) . . . . . . . . . . .

d Applied to 2012 distributable amount . . . . .

e Remaining amount distributed out of corpus , .

5 Excess distributions carryover applied to 2012 .(f an amount appears in column (co, the sameamount must be shown in column (a) )

6 Enter the net total of each column asindicated below:

a Corpus . Add lines 3f , 4c, and 4e Subtract line 5

b Pnor years ' undistributed income Subtractline 4b from line 2b ............

c Enter the amount of prior years ' undistributedincome for which a notice of deficiency has beenissued , or on which the section 4942 ( a) tax hasbeen previously assessed . . . . . . . . . . . .

d Subtract line 6c from line 6b Taxableamount - see instructions

e Undistributed income for 2011 Subtract line4a from line 2a Taxable amount - seeinstructions . . . . . . . . . . . . . . . . . .

f Undistributed income for 2012. Subtract lines4d and 5 from line 1 This amount must bedistributed in 2013 . . . . . . . . . . . . . .

7 Amounts treated as distributions out of corpus

to satisfy requirements imposed by section

170(b)(1)(F) or 4942(g)(3) (see instructions)

8 Excess distributions carryover from 2007 not

applied on line 5 or line 7 (see instructions) . . .

9 Excess distributions carryover to 2013.

Subtract lines 7 and 8 from line 6a

10 Analysis of line 9-

a Excess from 2008 , . .

b Excess from 2009. . .

c Excess from 2010. . .

d Excess from 2011 . , .

e Excess from 2012. . .

Corpus(b) (c)

Years prior to 2011 2011

4,348,400.

4,348,400.

(d)2012

4,488,828.

22,271.

4,466,557.

Form 990-PF (2012)

JSA

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8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 10

Form 990-PF(2012) BEAT & SAMUEL A. SEAVER FOUNDATIO 13-3251432

1:M-WALTA Private Operating Foundati (see instructions and Part VII-A, question NOT APPLICABLE

I a If the foundation has received a ruling or determination letter that it is a private operating

foundation, and the ruling is effective for 2012, enter the date of the ruling . . . . . . . . . . . . . ►b Check box to indicate whether the foundation is a private operating foundation descnbed in section 49420)(3) or 4942x)(5)

2a Enter the lesser of the ad-Tax year Prior 3 years

(a) Totaljusted net income from Part (a) 2012 (b) 2011 (c) 2010 (d) 2009

or the minimum investmentreturn from Part X for eachyear listed . . . . . . .

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 activhes Subtract line

2d from line 2c . . . . . .

3 Complete 3a, b, or c for thealtematrve test relied upon

a 'Assets" alternative test - enter

(1) Value of all assets . . .

(2) Value of assets qualifying

under section

49420)(3)(B)(i). . . .

b "Endowment" alternative test-

enter 2/3 of minimum invest-

ment 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 generalpublic and 5 or moreexempt organ izations asprovided in section 4942

6X3)(B)( m) . . . . . .

(3) Largest amount of sup-port from an exemptorganization , , , ,

4 Gross investment income ,

Supplementary Information (Complete this part only if the foundation had $5,000 or more in assetsat any time during the year - see instructions.)

1 Information Regarding Foundation Managers:

a List any managers of the foundation who have contributed more than 2% of the total contributions received by the foundationbefore the close of any tax year (but only if they have contributed more than $5,000). (See section 507(d)(2) )

NONE

b List 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

NONE

2 Information Regarding Contribution, Grant, Gift, Loan , Scholarship, etc., Programs:

Check here ► q if the foundation only makes contributions to preselected charitable organizations and does not acceptunsolicited requests for funds. If the foundation makes gifts, grants, etc (see instructions) to individuals or organizations under

other conditions, complete items 2a, b, c, and d

a The name , address , and telephone number or e-mail of the person to whom applications should be addressed.

ATCH 14

b The form in which applications should be submitted and information and materials they should include.

N/A

c Any submission deadlines.

N/A

d Any restrictions or limitations on awards, such as by geographical areas , charitable fields , kinds of institutions , or otherfactors.

N/A

JsA Form 990-PF (2012)2 E 1490 1 0008859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 11

BEAT0 & SAMUEL A. SEAVER FOUNDATIO• 13-3251432

Form 990-PF (2012 )

79 Supplementary Information (continued)3 Grants and Contributions Paid During the Year or Approved for Future Payment

Recipient If recipient is an indmdual,show any relationship to

Foundationt f

Purpose of grant or AmountName and address (home or business) o

rran y foundation manager

substanital contnbutor

us ostalentrecipient

contribution

a Paid during the year

ATCH 15

.................................................Total Bo. 3a 3,422,867.

b Approved for future payment

Total 3b................................................. 10.

Form 990-PF (2012)

JSA2E1491 1 000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 12

BEATS & SAMUEL A. SEAVER FOUNDATIOt>^ 13-3251432

Form 990 - PF(2012 )

ORMW Analysis of Income-Producing Activities

Enter gross amounts unless otherwise indicated Unrelated business income Excluded by section 512, 513 , or 514 (e)

(a) (b) (c)(d) Related or eXempt

function incomeA t

1 Program service revenue : Business coda Amount Euiusron coda mown ( See instructions. )

a

b

c

d

e

f

g Fees and contracts from government agencies

2 Membership dues and assessments . , , . ,

3 Interest on savings and temporary cash investments 14 63.

4 Dividends and interest from securities 14 3,156,761. -3,454.

5 Net rental income or ( loss) from real estate

a Debt-financed property . . . . , . , , . .

b Not debt-financed property . .. . . . . .

6 Net rental income or ( loss) from personal property . 16 4,576,090.

7 Other investment income . . . . . .

8 Gain or (loss) from sales of assets other than inventory 18 -1,273,140.

9 Net income or (loss ) from special events . . ,

10 Gross profit or (loss) from sales of inventory.

11 Other revenue a

b ATCH 16 2,932.

c

d

e

12 Subtotal. Add columns (b), (d), and (e) . . . 6,459,774. -522.

13 Total. Add line 12, columns (b), (d), and (e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 6,459,252.

(See worksheet in line 13 instructions to verify calculations)

Relationship of Activities to the Accomplishment of Exempt Purposes

Line No .

V

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 )

4 TAX-EXEMPT BOND INTEREST

SSA Form 990-PF (2012)

2E1492 1 0008859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 13

Form 990-PF (2012 ) BEATF_ & SAMUEL A. SEAVER FOUNDATIO1 13-3251432

UNIM Information Regarding' nsfers To and Transactions and ReI bnships With NoncharitableExem pt Organizations

1 Did the organization directly or indirectly engage in any of the following with any other organization described Yes No

in section 501(c) of the Code (other than section 501(c)(3) organizations) or in section 527, relating to political

organizations?

a Transfers from the reporting foundation to a noncharitable exempt organization of

(1) Cash ........................................... 1a1 X

(2) Other assets . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . .. . . . . . . . . . . . . . 1 a ( 2 ) X

b Other transactions

(1) Sales of assets to a noncharltable exempt organization . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . lb ( l ) X

(2) Purchases of assets from a noncharitable exempt organization . .. . .. . . . . . . . . .. . . . . . . . . . . 1 b ( 2 ) X

(3) Rental of facilities, equipment, or other assets . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . .. . . 1 b ( 3 ) X

(4) Reimbursement arrangements . . . . .. . . . . . . . . .. . . . . . . . . . . . . .. . . . . . . . . .. . .. 1 b (4 ) X

(5) Loans or loan guarantees . . .. . . . . . . . . . . . . . . . . . .. . .. . . . . . . . . . . . . . . . .. . . . 1 b (5 ) X

(6) Performance of services or membership or fundraising solicitations . .. . . .. . . . . . . . . . . . . . . . . 1b 6 X

c Sharing of facilities, equipment, mailing lists, other assets, or paid employees . . . . . . . . . . . . . . . . . . . . 1. X

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

(a) Name of organization ( b) Type of organization (c) Description of relationship

10 WEST 33RD STREET EXEMPT ORGANIZA SEE FOOTNOTE ATTACHED

11-13 EAST 26TH ST. EXEMPT ORGANIZA SEE FOOTNOTE ATTACHED

401 NORTH BROAD ST. EXEMPT ORGANIZA SEE FOOTNOTE ATTACHED

Under penalties of pegury . 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.

Signcorrect , and coplete Declaration of preps ( other than taxpayer) is based on all information of which preparer has any knowledge

eHere r^,Signal re of officer ru ee Date

Print/Type preparer's name Pr g rPaid

LFRED LAROSA, CPA-

I "''°- Firm 's name ► WITHUMSMITH+BR0W PC

Use Only Firm's address ► 1411 BROADWAY 9111 FLOOR

NEW YORK, NY

JSA

2E1493 1 000

8859GP L44A 3/31/2014 9:37:20 AM

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' . . . . . . . . .. . . . q Yes q No

{. If "Vnc " n-lnlu fhn fnllnwinn er'hnrlidu

BEAT0 & SAMUEL A. SEAVER FOUNDATIO 13-3251432

FORM 990-PF - PART IVCAPITAL GAINS AND LOSSES FOR TAX ON INVESTMENT INCOME

P

Kind of Property Description Dateacquired

Date sold

Gross sale Depreciation Cost or FMV Add basis Excess of Gain

price less allowed / other as of as of FMV over or

e2spenses of basis- -

SEE SCHEDULE ATTACHED VAR 11/30/2013

26958440. 27772584. -814,144.

PASSTHROUGH FROM HOLDING COMPANIES VAR 11/30/2013

-48,807.

PASSTHROUGH FROM HOLDING COMPANIES VAR 11/30/2013

11.

COST ADJUSTMENT VAR 11/30/2013

-410,200.

TOTAL GAIN( OSS) ...... ....................................... -1273140.

JSA2E1730 1 000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 15

BEATRICE & SAMUEL A. SEAVER FOUNDATION

FORM 990PF, PART I - INTEREST ON TEMPORARY CASH INVESTMENTS

REVENUE

13-3251432

ATTACHMENT 1

AND NET

EXPENSES INVESTMENT

DESCRIPTION PER BOOKS INCOME

INTEREST - BANK OF AMERICA 63. 63.

TOTAL 63. 63. •

•

ATTACHMENT 1

agSOr_P Taaa 1/11 1901 a 0•17•9n am rn,;nri n var_F 1


ATTACHMENT 2

FORM 990PF, PART I - DIVIDENDS AND INTERE ST FROM SECURITIES

REVENUEAND

EXPENSES

DESCRIPTION PER BOOKS

DIV. ON FOREIGN INV.- JP MORGAN & BOADIV. ON SECURITIES- JP MORGAN & BOAINTEREST - CORPORATE BONDSINT./DIV. PASSTHROUGH PARTNERSHIPTAX EXEMPT INTERESTTAX EXEMPT INT. PASSTHROUGH

100,255.41,154.

3,010,392.4,960.

-3,490.36.

NETINVESTMENT

INCOME

100,255.41,154.

•3,010,392.4,960.

TOTAL 3,153,307. 3,156,761.

•

ATTACHMENT 2PQcQr_D T 1 4 /,41 /9ni a o.:r . •,n nM rn,)ngi n Dnr_F 1 7

RE* AND ROYALTY INCO&Taxpayer' s Name Identifying Number

BEATRICE & SAMUEL A. SEAVER FOUNDATION 13-3251432DESCRIPTION OF PROPERTY

INVESTMENTS IN PARTNERSHIPS/HOLDING COS.Yes No Did you actively participate in the operation of the activity dunng the tax year?

REAL RENTAL INCOME ...................OTHER INCOME:

TOTAL GROSS INC

OTHER EXPENSES:

DEPRECIATION (SHOWN BELOW) . . . . . . . . . . . . . . . . . . . . . . . . . .

LESS: Beneficiary's Portion . . . . . . . . . . . . . . . . . . . . . . . . . . . .

AMORTIZATION

LESS: Beneficiary's Portion . . . . . . . . . . . . . . . . . . . . . . . . . .

DEPLETION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

LESS: Beneficiary's Portion . . . . . . . . . . . . . . . . . . . . . . . . . . . .

TOTAL EXPENSES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

TOTAL RENT OR ROYALTY INCOME (LOSS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4,576,090.

4,576,090.

4,57

Less Amount to

Rent or Royalty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Depreciation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Depletion ................................................

Investment Interest Expense . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other Expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Net Income ( Loss ) to Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Net Rent or Royalty Income (Loss) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4,576,090.

Deductible Rental Loss ( if Applicable)

CCHFr1111 F PAR 11FPRFCIATION CLAIMED

(a) Description of property(b) Cost or

unadjusted basis

(c) Date

acquired

(d)

ACREdes

(e)

Bus%

(f) Basis for

depreciation

(g) Deprecationin

prior years

(h)

Method

(i) Life

orrate

q) Deprecation

for this year

Totals

JSA

2 E 7000 1 000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 18

BEATRICE & SAMUEL A. SEIW

FOUNDATION

SUPPLEMENT TO RENT AND ROYALTY SCHEDULE

OTHER INCOME

GROSS RENTAL INCOME

• 13-3251432

4, 576, 090.4,576,090.

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 19

BEATRICE & SAMUEL A. SE• FOUNDATION

RENT AND ROYALTY SUMMARY

C]

TOTAL DEPLETION/ OTHERPROPERTY INCOME DEPRECIATION EXPENSES

INVESTMENTS IN PARTN 4,576,090.

TOTALS 4,576,090.

13-3251432

ALLOWABLENET

4, 576, 090.

4, 576, 090.

8859GP L44A 3/31/2014 9:37:20 AM 602061 . 0 PAGE 20

BEATS & SAMUEL A. SEAVER FOUNDATIO• 13-3251432

ATTACHMENT 3

FORM 990PF, PART I - OTHER INCOME

DESCRIPTIONMISCELLANEOUS INCOME

REVENUEAND

EXPENSESPER BOOKS

2,932.

TOTALS 2,932.

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 21


ATTACHMENT 4

FORM 990PF, PART I - LEGAL FEES

REVENUEAND


LEGAL FEES 757.

NET ADJUSTEDINVESTMENT NET

INCOME INCOME

TOTALS 757.

CHARITABLEPURPOSES

757.

757. •

•

ATTACHMENT 4

PQRar_o Teen /zi/2nlA o•i7•,)n am n Dnr_F 99


ATTACHMENT 5

FORM 990PF, PART I - ACCOUNTING FEES

DESCRIPTION

BOOKKEEPING & TAX PREP FEES

TOTALS

REVENUEAND NET ADJUSTED

EXPENSES INVESTMENT NET CHARITABLE

PER BOOKS INCOME INCOME PURPOSES

45,742. 22,871. 22,871.

45,742. 22,871. 22,871. •

ATTACHMENT 5aacQr_D Teen 4/11 /7n1 A Q. 1.7n mm szn,)nr.i n Dnr_F 91


ATTACHMENT 6

FORM 990PF, PART I - OTHER PROFESSIONAL FEES

DESCRIPTION

CONSULTINGCUSTODY FEES

TOTALS

REVENUEAND

EXPENSESNET

INVESTMENT

45, 685.40,182. 40,182.

85,867. 40,182.

CHARITABLEPURPOSES

45, 685.

45, 685. •

•

ATTACHMENT 6

AASOr_o T Aea Z / 31 /)01 A a • Z'7 • 7n am ^n7n^1 n Dar_W 2a

BEATR. & SAMUEL A. SEAVER FOUNDATIO• 13-3251432

ATTACHMENT 7

FORM 990PF, PART I - TAXES

REVENUEAND

EXPENSESDESCRIPTION PER BOOKS

FEDERAL TAXES 77,021.

TOTALS 77,021.

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 25


FORM 990PF, PART I - OTHER EXPENSES

REVENUEAND

EXPENSES


OFFICE EXPENSES 289.NEW YORK STATE FILING FEES 1,500.

PATENT 41,079.

TOTALS 42,868.

13-3251432

ATTACHMENT 8

CHARITABLEPURPOSES

289.1,500.

41,079.

42,868.

•

ATTACHMENT 8

aasor_P Taan z/ 1 i?nia o.zi.gn nM rn,)ngi n vnr_F 99


FORM 990PF, PART II - CORPORATE STOCK

DESCRIPTION

ATTACHMENT 9

ENDINGBOOK VALUE

ENDINGFMV

CORPORATE STOCK 1,641,126. 1,047,189.

TOTALS 1,641,126. 1,047,189.

0 ^

0

ATTACHMENT 9

aacQ(A TAT 1/Z1/7n1a Q. 7.7n am Fn7nr, 1 DnrF 97


FORM 990PF, PART II - CORPORATE BONDS

DESCRIPTION

CORPORATE BONDSISRAEL BONDS

TOTALS

13-3251432

ATTACHMENT 10

ENDINGBOOK VALUE

73, 368, 616.25,000.

73,393,616.

ENDINGFMV

69,196,321.25,000.

69,221,321.

•

•

ATTACHMENT 10aasar_o T1 q/ 1 1 i')ni a 0-11.9n AM ^n^n^i n Dar_F 9a

Settlement Date

U. S. TRUST "Bank of America Private Wealth Management

Portfolio Detail

Account: 41-01-100-5863453 BEATRICE & SAMUEL SEAVER FDN

Market Value 11J/

Units 'Description CUSIP Market Price

Nov 01, 2013 through Nov 30, 2013

Accrued Tax Cost/ Unrealized Estimated Cur WillIncome Average Unit Cost Gain/Loss Annual Income YTM

Cash/Currency Other2,596 , 618.880 1IN'COME CASH $2,596,618.88 $0 . 00 $2,596,618.88 $0.00 $0.00 0.00%

1.000 1 000

-2,948 ,791.540 IPRINCIPALCASH -2,948 ,791.54 0.00 -2,948,791 . 54 0.00 0.00 0.001.0 0066

1.000____

`Tdtal Cash/Currency Other -$352,17266 $0.00 - -$352,172.66 $0 . 00 $0.00 0.00%

Total Cash/Currency -$352,112.66 $0.00 -$352,172.66 $0.00 $O.(Io 0.00%

Consumer Discretionary100.000 GENERAL MTRS CO 37045V100 $3,873.00 $0.00 $11,618.00 -$7,745.00 $0.00 0.00%

Tibker: G M 38. 730 1 16.180

Total Consumer Discretionary $3,873 .00 $0.00 $11,618.00 -$7,745.00 $0.110 0.00%

Financials7,000.000 RQYAL BK SCOTLAND GROUP PLC 780097879 $173,040.00 $0.00 $175,000.00 -$1,960.00 $12,691.00 7.33%

SPONSORED AOR SER H REPSTG 24.720 25.000PFD 7 2500% UNITED KINGDOM.Ticker: RBS PHVital Financials $173,040 .00 $0.00 $175,000.00 -$1,960.00 $12,691.00 7.33%

Other Equities25,357.000 BLACKROCK GLOBAL-OPPORTUNITIES 092501105 $370,465.77 $0 00 $713,243.35 -$342,777.58 $31,620.18 8.53%

EQUITY TR 14. 610 28.128Ticker: BOE

39,400.000 COHEN & STEERS CLOSED -END 1924BP106 494,076 .00 0 00 727,450 08 -233,374.08 40,976.00 8.29OPPORTUNITY FUND INC 12. 540 18.463Ticker: FOF

(1) Market Value in tha'Portfolio Detail section does notinclude Accrued Income. Page 7 of 64

7/64 6005262 0011001 7/64 0162945 02-336 406 B E

Settlement Date

U. S. TRUST '^Bank of America Private Wealth Management

Portfolio Detail

Account: 41 -01-100-5863453 BEATRICE & SAMUEL SEAVER FDN Nov. 01, 2013 through Nov. 30, 2013

Market Value(11/ Accrued Tax Cost/ Unrealized Estimated Cur Will

Units b1scription CUSIP Market Price Income Average Unit Cost GairlLoss Annual Income YTM

Other Equities (cu nt)91 000 GENERAL MTRS CO 37045V118 2,034.45 0.00 7,532.96 -4,898.51 0.00 0.00

.WT FXP 07/10/16 28.950 82.780

Ticker: GM XA91 000 FpENERAL MTRS CO 37045V126 1,927.38 0. 00 5,966.87 -4,039.49 0.00 0.00

WT EXP 07/10/19 21.180 65.570

Ti^ker: GM XB25.000 MOTORS LIa CO GUC TR 6201OU101 1,172.50 0.00 315.00 857.50 0.00 0.00

UNIT BEN INT 46.900 12.600ibker. MTLQ U

Total Other Equities $870,276.10 $0.00 $1,454,508 .26 -$584,232.16 $72,596.18 8.34%

Total Equities.I

$1,047,189 .10V $0.00 $1,641,126.26

'

-$593,937.16 $85,287.18 8.14%

Investment Grade Taxable149,892.080 2g17

CWMBSINC2003-J2 12669DYE2 $154,881.99 $718.23 $149,797.63 $5,084.36 $8,618.79 5.56%•

bHL MTG PASSTHRU CTF 144A B-5 103.329 99.937 4.32

pTD 01/24/03 5.750% DUE 08/25/17N oody's: BAA1 S&P. NA

3,986.930 421FEDERAL NATL MTG ASSN 31358GJ99 4,636.24 28.24 4,146.44 489.80 338.89 7.31

SER G-14 CL L 116.286 104.001 1.62

DTD 06/01/91 8 500% DUE 06/25/21Moody's: AAA S&P: AA+

323.940 -2022IFDERAL NATL MTG ASSN 31358MB52 361.23 2.16 334.88 26.35 25.92 7.17

1S ER G92-26 CL G 111.512 103.377 1.35IDTD 04/01/928.000% DUE 04/25/22Moody's: AAA S&P: AA+

Page 8 of 64

8164 6005262 0011001 8/64 0162946 02-336 406 B E

Settlement Date

U.S. TRUSTBank of America Private Wealth Management

Portfolio Detail

Account: 41-01-100-5863453 BEATRICE & SAMUEL SEAVER FDN Nov. 01, 2013 through Nov. 30, 2013

MarketValue(f}/ Accrued Tax Cost/ Unrealized Estimated CurYld/

Units Description CUSIP Market Price Income Average Unit Cost Gain/Loss Annual Income YTM

Investment Grade Taxable (cont)307,440.920 2123

;FEDERAL HOME LN MTG CORP 31393PEP5 326,090.29 1,024.80 323,581.57 2,508.72 12,297.64 3.77R 2595 CL HX

E106.066 105 250 1.17

D 04/01/034.000% DUE 03/15/23'Moody's: AAA S&P: AA+

3,839.890 FEDERAL NATL MTG ASSN 31359EYT2 4,440.49 20.80 3,859 .09 581.40 249.59 5.62S 1993-199 CL PXT

115.641 100.500 2.89D 10/01/936.50% DUE 10/25/23D

Moody's: AAA S&P: AA+157,715.944 AN

FEDERAL HOME LN MTG CORP 3133T5BP7 179,961.78 920.01 170,924.66 9,037.12 11,040.12 6.13S FR 1714 CL K 114. 105 108.375 1.92DT.D 04/01/947.000% DUE 04/15/24IV^ d ' AAA S&P AAoo s:y : +

1,661.650 FEDERAL NATL MTG ASSN 31359HUT9 1,880.82 10.39 1,719 .85 160 .97 124.62 6.62S ER 1994-61 CL E 113.190 103.503 2.4901D 04/01/94 7.500% DUE 04/25/24Moody's: AAA S&P: AA+

400,000.000 FEDERAL HOME LN MTG CORP 31398JZ89 430,900.00 1,333.33 433,000.00 -2,10000 16,000.00 3.71SER 3571 CL UY 107.725 108.250

•2.04

TD 09/01/09 4.00DUE 09/15/24-Moody's:s: AAA S&P: AA+

5A0;0 000 2027MIDDLESEX CNTY N J IMPTAUTH R 596566WL9 490,090.00 1,937.50 513,710.00 -23,620.00 22,500.00 4.59REV REF BDS-TAXBL-OID 98.018 102.742 4 70DTD 10/30/13 04.500 DUE 06/01/27

.

GALL 06/01/23 0100.000 FIXED RTNO SINK FUND.F 1oody's: NA S&P: AAA

2,125.070 1029GOVERNMENT NATL MTG ASSN 3837HIW58 2,166.70 11.51 2,21013 -43 43 13813 376SER 1999-3 CL CD 101.959 104.003

.5.92

DTD 02/01/99 6.500°% DUE 02/16/29Moody's: AAA S&P: AA+

9/64 6005262 001/001 9/64 0162947 02-336 406 6 E

Page 9 of 64

Settlement Date



MarketVelue(1)/Units Description CUSIP Market Price

AccruedIncome

Tax Cost/Average Unit Cost

Portfolio Detail

Nov . 01, 2013 through Nov. 30, 2013

Unrealized Estimated CurYld/Gain/Loss Annual Income YTM

•bra r

•Investment Grade Taxable (cont)

200,000 . 000 CENTRAL UTAH VUTR CONSERVANCY D 155675BZ3 214,534.00 1,850.00 233,944.00 - 19,410.00 11,100.00 5.17REV BDS -TAXBL 107.267 116 .972 4.23DTD 06/02/10 05.550 DUE 10/01/29

0 F0 XED RT0 ®C 0.00, LL 04/01/2 1 I,INO SINK FUNDIMoody ' s. NA S&P: AA+

365,000 . 000 'CbNNECTICUTST 20772JAA0 381,421 .35 3,221 . 12 408,343.75 -26,922 . 40 19,326.75 5.06EGO BDS-TAXBL 104.499 111 . 875 4.88

295 D UE 019D /IABLE FXED^(bN-CAL FIT

NO SINK FUNDr*ody's: AA3 S&P: AA

300,000 . 000 2030NEW ORLEANS LA 64763FQG7 279,639.00 3,720.74 323,427.00 - 43,788.00 14,883.00 5.32GO LTD TAX REF BDS-TAXBL 93.213 107.809 5.59DjD 10/23/12 04.961 DUE 09/01/30CALL 09/01/22 ®100.000 FIXED FITSINK 09/01 /28

250,000 .000Moody' s: A3 S&P: APHILADELPHIA PA SCH DIST 717883LV2 249,172 . 50 3,746 . 87 288,682.50 -39 , 510.00 14 987.50 6.016,0 BDS -TAXBL 99 . 669 115 . 473

,6.03

DTD 12/20/1105 . 995 DUE 09/01/30NON-CALLABLE FIXED RTNO SINK FUNDNloody' s: AA3 S&P: A+

860,000 . 000 2932FORT LAUDERDALE FLA SPL OBLIG 347622CP5 834,535 .40 18,429.08 930,339.40 - 95,804 .00 44,229.80 5.30TAXABLE SPL OBLIG BDS-TAXBL 97.039 108.179 5.40DTD 10/03/12 05 . 143 DUE 01/01/32CALL 01 /01/23 ®100.000 FIXED FITSINK 01/01/28Moody' s: Al S&P: AA-

27,177. 500 FIEDERAL NATL MTG ASSN 31392BPJ9 30,460 . 00 135.89 28 , 060.81 2 ,399.19 1 , 630.65 5.35SER 2001 -81 CL GE 112 . 078 103.250 2.56DTD 12/01/016.000% DUE 01/25/32r loody's: AAA S&P:AA+

Page 10 of 64

10164 6005262 001/001 10164 0162948 02 -336 406 B E

Settlement Date

Account: 41'01-100-5863453 BEATRICE & SAMUEL SEAVER FDN

Market Value(11/

Units Description CUSIP Market Price

Investment Grade Taxable (cont)9,055.060 FEDERAL HOME LN MTG CORP 31393PNEO

SER 2600 CL MDb.TD 04/01/03 5.500% DUE 06/15/32Moody's: AAA S&P: AA+

1,000,000 .000 84N FRANCISCO CALIF BAY AREA R 797669UP1SALES TAX REV BOS-TAXBLDTD 10/04/12 04 087 DUE 07/01/32:CALL 07/01/22 ®100.000 FIXED RT!SINK 07/01/28Moody's: NA S&P: AA+

154,601.910 IG IVERNMENT NAIL MTG ASSN II 3B373X7U4,SLR 2002-47 CL PY:D'I-D 07/01/02 6 .000% DUE 07/20/32Mood1/s: AAA S&P: AA+

144,686 .250 BANC AMER FOG CORP 05946XBK82Q03-1 MTG PASSTHRU CTFA-1DTD 11/25/02 6.000% DUE 11/25/321v oody's: BAA1 S&P: A+

40,192 .460 FEDERAL HOME LN MTG CORP 31393HGW6SER 2543 CLYXDID 12/01/026.000% DUE 12/15/32oody's: AAA S&P: AA+

158,144 .480 FEDERAL HOME LN MTG CORP - 31395EWE3SFR 2844 CL PDDRD 08/01/04 5.000% DUE 12115/32Ntoody's: AAA S&P: AA+

53,705.880 GNMA REMIC SER 2004-11 CLASS GE 38374FRMBDTD 2/1/2004 5 . 00% DUE12/16/2032Moody's: AAA S&P: AA+

392,812 . 980 F DERAL NATL MTG ASSN 31392FW06S R 2002-82 CL PED D 11/01/026000 % DUE 12/25/32Moody's: AAA S&P: AA+

U.S.TRUST^°orBank of Mnerlce Private Wealth Management

Portfolio Detail

Nov. 01, 2013 through Nov. 30, 2013

Accrued Tax Cost/ Unrealized Estimated Cur YJd/Income Average Unit Cost Gain/Loss Annual Income YTM

0

9,144.43 41.50 9,417.26 -272.83 498.03 5.44100.987 104.000 1.55

892,680.00 17,02917 1,040,580.00 -147,900 00 40,870 00 4 5789.268 104.058 4.98

175,482.44 773.01 161,752.25 13,730.19 9,276.11 5.28113.506 104.625 2.68

149,741.59 723.43 151,197.14 -1,455.55 8,681.18 5.79103.494 104.500 5.00

45,091.52 200.96 42,553.77 2,537,75 2,411.55 5.34112,189 105.875

•2.62

159,656.34 658.93 172,377.48 -12,721.14 7,907.22 4.95100.956 109.000 2.51

55,790.21 223.77 56,189.77 -399.56 2,685.29 4.81103.881 104.625 1.77

430,189.14 1,964.06 424,238.01 5,951.13 23,568.78 5.47109.515 108.000 3.27

Page 11 of 64

11/64 6005262 0011001 11/64 0162949 02-336 406 B E

Settlement Date


Market Value 11YUnits Description CUSP Market Price

Investment Grade Taxable (cant)110,000.000 a33

FEDERAL NATL MTG ASSNE

31392Hn71S ER 2003-8 CLYCQ1jD 01/01/03 5.500% DUE 02/25/33Maady's: AAA S&P: AA+

44,458.730 FEDERAL HOME LN MTG CORP 31396JJMBSER3128CLBEp110 03/01/06 5.000% DUE 05/15/33N1p' od^/s: AAA S&P: AA+

215,036.840 EEbERAL NATL MTG ASSN 31393BGN9SER 2003-33 CL PG1TD 04/01/03 5.500% DUE 05/25/33body's: AAA S&P: AA+

195,000.000 IL I11 INOIS ST 452152FP1GO BDS-TAXBLJTD 06/12/03 05.100 DUE 06/01/33NON-CALLABLE FIXED RTSINK 06101/24Moody's: A2 S&P: AA-

217,630.550 FElDERAL HOME LN MTG CORP 31393RJ92IS R 2624 CL UHD D 06/01/03 5.000% DUE 06/15/33IMoody's: AAA S&P: AA+

118,000.000 IRIrSIDENTIAL FDG MTG SECS I INC 76111J5U4MTG PASSTHRU CTFS 2003-S13 CL AlDTD 06/01/03 4.750% DUE 06/25/33Moody's: NA S&P: BBB+

52,895.650 GOVERNMENT NAIL MTG ASSN 38374CZLBSER 2003-84 CL ADTD 10/01/03 5.000% DUE 07/17/33Moody's: AAA S&P: AA+

418,449 600 GOVERNMENT NATL MTG ASSN II 38374BNS8SER 2003-58 CL LBDTD 07/01/03 5.000% DUE 07/20/33Moody's: AAA S&P: AA+

U. S. TRUST 4'Bank of America Private Wealth Management

Portfolio DetailNov. 01, 2013 through Nov 30, 2013

Accrued Tax Cost/ Unrealized Estimated CurYld/Income Average Unit Cost Gain/Loss Annual Income YTM

E122,147.30 50417 114,950.00 7,197.30 6,050.00 4.95

111.043 104.500 3.17

44,949.11 185.24 46,681.67 -1,732.56 2,222.94 4.94101.103 105.000 1.85

237,282.40 985.59 234,390.16 2,892.24 11,827.03 4.98110.345 109 000 2.65

180,220.95 4,972.49 205,902.45 -25,68150 9,945.00 5.5192.421 105.591 5.84

235,484.96 906.79 227,151.88 8,333.08 10,881.53 4.62108.204 104.375 2.92

118,470.82 467.08 120,810.76 -2,339.94 5,605.00 4.73100.399 102.382 4 50

55,730.34 220.40 52,366.74 3,363.60 2,644.78 4.74105.359 99.000 0 84

462,960.08 1,743.54 418,282.32 44,677 76 20,922.48 4.51110.637 99.960 2.49

Page 12 of 64

12164 6005262 001/001 12164 0162950 02-336 406 9 E

Settlement Date

Account : 41-01-100-5863453 BEATRICE & SAMUEL SEAVER FDN

Market Value(11/Units Description CUSIP Market Price

Investment Grade Taxable (cont)2,000 , 000.000 SAN ANTONIO TEX INDL REV CORP 796300BIi3

REV REF BDS-TAXBLbTD 06/01/1304.750 DUE 08/15/33CALL 08/15/23 ®100.000 FIXED RTSINK 08/15/29 STARBRIGHT INDUSTRMoody's: AA1 S&P: AA+

406;000 .000 FEDERAL NATL MTG ASSN 31393DC120SER 2003 -80 CL LLDTD 07/01/03 5 .000% DUE 08/25/33Moody's: AAA S&P: AA+

197,000 . 000 I EDERAL NAIL MTG ASSN 31393D202SERIES 2003-75 CLASSLLDTD 07/01/03 5.000% DUE 08/25/33Moody's: AAA S&P: AAA

373.600 CREDIT SUISSE FIRST BOSTON MTG 22541QPM82003-17 MTG PASSTHRU CTF CL 1A14DTO 08/01/03 5.500% DUE 09/25/33Moody 's: BAAI S&P: A+

175,398 .080 FIRST HORIZON MTG PASSTHRU TR 32051 DZX32003-7 MTG PASSTHRU CTF CL ASDTD 07/28/03 5 .250% DUE 09/25/33Moodys: BAA1 S&P: BBB-

99,149 .570 F=EDERAL NAIL MTG ASSN 31394DE01SER 2005-22 CL EGDTD 03/01/05 5.000% DUE 11/25/33Moody's: AAA S&P: AA+

129,641380 2034GOVERNMENT NATL MTG ASSN 11 38374JZ66SER 2004-102 CL MAbTD 11/01 /04 5 500% DUE 04/20/34V1oody 's: AAA S&P: AA+

30,459 .350 MASTR ALTERNATIVE LN TR 576434NW02004-3 MTG PASSTH RU CTF CL 3-A-1DTD 03/26/04 6 .000% DUE 04/25/34Moody's: BAA2 S&P: A+

13/64


F- ,

LJ

1,987,740.00 27,972.22 2,072,200.00 -84,460.00 95,000.00 4.7799.387 103.610 4.80

438,410.98 1,691 .67 440,002.50 -1,591.52 20,300.00 4.63107.983 108.375 2.97

213,748.94 820.83 221,034.00 -7,285. 06 9,850 .00 4.60108.502 112.200 3.45

373.60 1.71 345.11 28.49 20.55 5.50100.000 92.374 2.25

182,729.72 767.37 173,334.58 9,395.14 9,208.40 5.03 •104.180 98.824 3.78

102,167.68 413.12 106,090.03 -3,922.35 4,957.48 4.85103.044 107.000 2.12

144,009 53 594.19 131,262.00 12,747 53 7,130.28 4.95111.083 101.250 0.79

31,567.16 152.30 31,580.59 -13.43 1,827.56 5.78103.637 103.681 5.00

6005262 001/001 13164 0162951 02-336 406 B E

Page 13 of 64

Settlement Date


Market Valua(1)I

Units bescrintion CUSIP Market Price

Investment Grade Taxable (cont)

90,000.000 VEDERAL HOME LN MTG CORP 31394XX68SEF< 2799 CL PB(^TD 05/01/04 5 5000/6 DUE 05/15/34,Mqody's:AAA S&P:AA+

723,485.000 $ANCAMER MTG SECS INC 05949AKD1004-6 MTG PASSTHRU CTF 2-A-4ITD 06/25/04 6.250% DUE 07/25/34

'Mody s: NA S&P: BBB+550,000.000 CONTRA COSTA CALIF CMNTY COLLE 212204FA4

Q BDS-TAXBLTO 03/30/10 06.504 DUE 08/01/34

NON-CALLABLE FIXED RT$INK 08/01/26Moody's:AA1 S&P:AA

500,000.000 AN JOSE CALIF UNI SCH DIST SA 798186YY2RAF-TAXBLTD 02/06/13 04.469 DUE 08/01/34ALL 08/01/23 ®100.000 FIXED RT

SI^K 08/01/30Moody's: AA2 S&P: AA

179,540.220 GOVERNMENT NAIL MTG ASSN 36241KBP2POOL#781846 PLATINUMDTD 12/01/04 6.500% DUE 09/15/34Maody's: AAA S&P: AAA

100,000.000 -2035FEDERAL HOME LN MTG CORP 31395LFN6ISER 2912 CL EHIDTD 01/01/05 5.500% DUE 01/15/35Moody's: AAA S&P: AA+

111,129.153 DERAL NATL MTG ASSNI5 31394B4Z4112005-5 CL CK

010 01/01/05 5.000% DUE 01/25/35Moody's: AAA S&P: AA+

U. S. TRUSTBank of America Private Wealth Management

Portfolio Detail

99,471 . 60 412 . 50 97 , 875 00 1,596 . 60 4,950 . 00 4.97110.524 108 .750 2.82

724,794. 51 3,768 . 15 732,256.28 -7,461 .77 45, 217.81 6.23100.181 101 212 6.14

578,913 . 50 11,923.99 614, 625.00 -35 ,711.50 35,772.00 6.17105.257 111 . 750 6.02

453,520.00 7,448.33 508,155.00 -54,635.00 22,345.00 4.9290,704 101.631 5.21

•208,227.16 972.51 185,161.65 23,065.51 11,670.11 5.60115.978 103.131 2 55

112,812.00 458.33 106,500.00 6,312.00 5,50000 4 87112.812 106.500 3.64

118,704.83 463.04 117,519.06 1,185.77 5,556.46 4.68106.817 105.750 2.80

Page 14 of 64

14/64 6005282 001/001 14/ 64 0162952 02-338 406 B E

Settlement Date


Market Value (11/Units bescription CUSIP Market Price

c ro:r^i

Investment Grade Taxable (cont)146,648.230 EDERAL NATL MTG ASSN 31396LAC4 149,647.19

ER 2006-99 CL PD 102.045ETD 09/01 /06 5.500% DUE 01/25/35Moody's: AAA S&P: AA+

66,581.850 FEDERAL HOME LN MTG CORP 31395RQZ4 68,499.41$ER 2968 CL J B 102.880QTD 04/01/05 6.000% DUE 04/15/35Moody's: AAA S&P:AA+

116,000.000 EPERAL NATLMTG ASSN 31394DA75 126,742.76ER 2005-48 CL TD 109.261TD 05/01/05 5.500% DUE 06/25/35

Myody's: AAA S&P: AA+147,000.000 GQVERNMENT NATL MTG ASSN II 38374LWF4 167,713.77

ER 2005-54 CL JE9

114.091TD 07/01/05 5.000% DUE 07/20/35

MOody's: AAA S&P: AA+221,000.000 GOVERNMENT NATL MTG ASSN II 38374LG88 243,849.19

ER 2005-63 CL B 110.339TD 08/01/05 5000% DUE 08/20/35.

'^ody s: AAA S&P: AA+M39,000.000 GOVERNMENT NATL MTG ASSN II 38374MWZB 43,095.00

S(;R 2006-7 CL NC 110.500p1D 02/01/06 5.500% DUE 08/20/35Maody's: AAA S&P: AA+

23,775.540 FEDERAL NATL MTG ASSN 31394UW57 25,398.326ER 2005-110 CLTK 106 825TD 11/01/05 6.000% DUE 12/25/35body's: AAA S&P: AAA

32,110.310 FEDERAL NAIL MTG ASSN 31394UY11 33,211.25SFR 2005-110 CL PM 103.425P10 11/01/05 5.750% DUE 12/25/35Mbody's: AAA S&P: AA+

U.S.TRUSTdBank of America Private Wealth Management

Portfolio Detail

Nov 01, 2013 through Nov. 30, 2013

Accrued Tax Cost/ Unrealized Estimated Cur Yld/Income Average Unit Cost Gain/Loss Annual Income YTM

•672.14 156,913.61 -7,266.42

107.000

332.91 67,081.21 1,418.20100.750

531.67 123,540.00 3,202.76106.500

612.50 155,636.25 12,071.52105.875

920.83 229,011.25 14,837.94103.625

178.75 41,535.00 1,560.00106.500

118.88 24,161.89 1,236.43101.625

153.86 32,190.59 1,020.70100.250

Page 15 of 64

8,065 . 65 5.392.45

3,994 .91 5.831.77

6,380.00 5,034.10

7,350.00 4.382.90

11,050.00 4.533.03 •

2,145.00 4.971.51

1,426.53 5.611.15

1,846.34 5.550.16

15/64 6005262 0011001 15/64 0162953 02-336 406 8 E

Settlement Date


Units D's criphon CUSIPMarket Value (1)/

Market Price

Investment Grade Taxahle (cont)

283,795.410 F^DERAL NATL MTG ASSN 31394V4T4 299,143.35S'ER 2006-16 CL DL 105.408DTb 0401/06 5.500% DUE 12/25/35Moody s: AAA S&P: AAA

9,787.336 2036FEDERAL HOME LN MTG CORP 31396HD71 9,925.11SER 3113 CL C 101.408iTD 02/01/06 6.000% DUE 02/15/36Mdody's:AAA S&P: AAA

1,146,498.490 1 0,IERNMENT NATL MTG ASSN 38375KJU7 1,185,617.02SER 2007-36 CL DB 103.412

Up 06/01/07 5.750% DUE 03/16/36Moody's:AAA S&P:AA+

61,512.310 pE6 ERAL NATL MTG ASSN 31397MF36 66,078.98E 49 2008-86 CL GD 107.424

TD 11/01/08 6.000% DUE 03/25/36Mdody's: AAA S&P:AA+

761,594.990 rEDERAL HOME LN'MTG CORP 31396RNS2 838,386.61$E(i 3154 CL PN 110.083QTD 05/01/06 5.500% DUE 05/15/36Moody's: AAA S&P: AA+

280,388.910 GOVERNMENT NATL MTG ASSN II 38375XEQ3 315,039.37$ER 2008-047 CL NG 112.358DTD 06/01/08 5.250% DUE 07/20/36Moody's: AAA S&P: AA+

562,000.000 dVERNMENT NAIL MTG ASSN II 38374N4E4 636,234.58ER 2006-64 CL PH 113 209

D11D 11/01/06 5,500% DUE 11/20/36Moody's: AAA S&P: AA+

274,495.020 1037GOVERNMENT NAIL MTG ASSN II 3B375JEN1 309,446.47,ER 2007-1 CL BA 112.733T,D 01/01/07 5 500% DUE 01 /20/37

Moody's:AAA S&P:AA+

U.S. TRUST "WBank of America Private Wealth Management

Portfolio Detail

Nov 01, 2013 through Nov. 30, 2013

Accrued Tax Cost/ Unrealized Estimated CurYld/

Income Average Unit Cost Gain/Loss Annual Income YTM

•

1,300.73 300,823.14 -1,679.79 15,608.75 5.21106.000 1.30

48.94 10,240.00 -314.89 587.24 5.91104.625 0.70

5,493.64 1,241,084.61 -55,467.59 65,923.66 5.56108.250 1.28

307.56 66,663.97 -584.99 3,690.74 5.58108.375 1.95

3,490.64 814,668.64 23,717.97 41,887.72 4.99106.969

•2.66

1,226.70 293,707.39 21,331.98 14,720.42 4.67104.750 1.93

2,575.83 597,827.50 38,407.08 30,910.00 4.85106.375 3 40

1,258.10 291,650.97 17,795.50 15,097.23 4.87106.250 2.08

Page 16 of 64

18164 6005262 001/001 16164 0162954 02-336 406 B E

Settlement Date


Portfolio Detail

Account : 41-01-100-5863453 BEATRICE & SAMUEL SEAVER FDN Nov. 01, 2013 through Nov. 30, 2013

Market Value(11/ Accrued Tax Cosd Unrealized Estimated Cur Yld/

Units Description CUS1P MarketPrice Income Average Unit Cost Gain/Loss Annual Income YTM

nG. REM

Investment Grade taxable (cont)88,388.850 gEDERAL NATL MTG ASSN 31397MJ24 100,071.20 478 . 77 92 ,808.29 7,262.91 5,745 . 28 5.74

ER 2008-94 CL B 113.217 105.000 2.890 111) 12/01 /08 6.500% DUE 02/25/37Moodys : AAA S&P. AA+

237,875 . 370 FEDERAL HOME LN MTG CORP 31397FLT7 261,948 .36 1,090 . 26 251 , 553.20 10,395.16 13,083.15 4.99SFR 3284 CL KB 110.120 105.750 2.70TD 03/01/07 5 .500% DUE 03/15/37Mbody's:AAA S&P: AA+

549,852 . 853 EDERAL NATL MTG ASSN 31396W39 601,033.16 2,520.16 610,336 .66 -9,303.50 30, 241.91 5.03ER 2007-42 CL PA 109 .308 111.000 2 27TD 04/01/07 5 . 500% DUE 04/25/37body's; AAA S&P: AA+

648,897 .944 FEDERAL HOME LN MTG CORP 3137AJQL1 632 , 883.14 1 , 622.24 663 , 530.58 -30,647.44 19,466.94 3.07SER 3972 CL NW 97. 532 102.255 4.81DT-D 12/01 /113.000% DUE 08/15/37Moody s: AAA S&P: AA+

230,000 . 000 GOVERNMENT NATL MTG ASSN II 38374DTJ8 259,598 . 70 1,102.08 269,203.50 -9,604.80 13,225.00 5.09SER 2008-27 CL JA 112.869 117.045 1.86OTD 03/01/08 5 .750% DUE 08/20/37!Moody's : AAA S&P: AA+

118,587 . 080 (FEDERAL NATL MTG ASSN 31396WY83 132,030 . 11 592.94 125,405.84 6,624.27 7,115.22 5.38ISER 2007 - 76 GL EB 111 . 336 105.750 2.72IDTD 07/01/07 6 .000% DUE 08/25/37IMoody's: AAA S&P: AA+

87,000 . 000 IGQVERNMENT NATL MTG ASSN it 38375PK42 95,195 .40 362 . 50 90 ,371.25 4,824,15 4,350.00 4.57-SER 2008-7 CL PL 109.420 103 . 875 2.98DTD 02/01/08 5 .000% DUE 11/20/37Moody's: AAA S&P: AA+

585,000 . 000 GIbVERNMENT NATL MTG ASSN II 38375PK67 645,945.30 2,437 . 50 636, 187.50 9,757 . 80 29,250.00 4.52SER 2008-7 CL PT 110.418 108 . 750 1.92DTD 02/01/08 5 .000% DUE 11/20/37Moody's:AAA S&P:AA+

Page 17 of 64

•

17/64 6005262 0011001 17/64 0162955 02-336 406 B

Settlement Date


Market Value (1)/



165,000.000 2038GOVERNMENT NATL MTG ASSN 11 38374DB40SER 2008-26 CL JPDTD 03101/08 5.250% DUE 03/20/38Moody's. AAA S&P: AA+

276,000.000 GOVERNMENT NAIL MTG ASSN 11 38374D5M7SER 2008-31 CL PCDTD 04/01/08 5.500% DUE 04/20/38Moody's. AAA S&P: AA+

120,000.000 GOVERNMENT NATL MTG ASSN 11 383750.EY1

SER 2008-33 CL PBDTD 04/01/08 5.500% DUE 04/20/38Moody's: AAA S&P: AAA

613,679.250 • FEDERAL NAIL MTG ASSN 3139GY5F5SER 2008-32 CL PTDTD 03/01/08 5.500% DUE 04/25/38Moody's: AAA S&P: AA+

139,000.000 GOVERNMENT NAIL MTG ASSN II 3837426VOSER 2008-56 CL MX PXDTD 06/01/08 5.500% DUE 06/20/38Moody's: AAA S&P: AA+

140,000 .000 GOVERNMENT NATL MTG ASSN II 38375YU59SER 2008-89 CL JBDTD 11/01/08 5.750% DUE 08/20/38Moody's: AAA S&P: AA+

500,000.000 COLONYTEX LOC DEV CORP SALES 19625AAU6SALES TAX INCREMENT CONTRA-TAXBLDTD 02/01/13 04.631 DUE 10/01/38NON-CALLABLE FIXED RTSINK 10/01/34 NEBRASKA FURNITUREMoody's: AA1 S&P: AA+

325,000.000 GOVERNMENT NATL MTG ASSN If 38375YTU6SER 2008-85 CL PGDTD 10/01/08 5 .250% DUE 10/20/38Moody's• AAA' S&P: AA+

Portfolio Detail

Nov. 01, 2013 through Nov. 30, 2013


185,143.20 721.87 174,693.75 10,449.45 8,662.50 467112.208 105.875 3.29

310,809.12 1,265.00 313,894.80 -3,085.68 15,180:90 4.88112.612 113.730 2.44

135,165.60112.638

673,512.98109.750

153,663.11110.549

159,506.20113.933

460,380.0092.076

366,931.50112.902

550.00 138,924.00 -3,758.40115.770

2,812.70 678,115.57 -4,602.59110.500

U.S. TRUST -VIP-Bank of America Private Wealth Management

6,600.00 4.882.18

33,752.36 5.012.57

637.08 147,340.00 6,323.11106.000

670.83

3,859.16

1,421.87

151,725.00108.375

539,215.00107.843

341,656.25105.125

7,781.20

-78,835.00

25,275.25

Page 18 of 64

7,645.00 4 973.6210

8,050 .00 5.043.74

23,155.00 5 035 23

17,062.50 4.653 26

18164 6005262 0011001 18184 0162956 02-336 406 6 E

Settlement Date


MarketValue (1J/ AccruedUnits Mcrintion CUSIP • Market Price Income

Investment Grade Taxable (cant)64,441.370

1003,VERNMENT NATL MTG ASSN IIER 2009-8 CL EDTD 02/01/09 5.500% DUE 02/20/39

Mgody's: AAA S&P: AA+175,300.000 OVERNMENT NATL MTG ASSN II

ER 2009-024 CLWBTD 04/01/09 5.000% DUE 03/20/39

M¢ody's:AAA S&P:AA+400,000.000 ^QVERNMENT NATL MTG ASSN

E 2009-34 CL WKDTD 05/01/09 4.500% DUE 04/16/39Mbody's: AAA S&P: AA+

360,415.280 GOVERNMENT NATL MTG ASSNER 2009-32 CL ABPD 05/01/09 4.000% DUE 05/16/39

oody's: AAA S&P: AA+835,536.400 GOVERNMENT NAIL MTG ASSN II

'SCR 2009-124 CL NDTD 12/01/09 4.000% DUE 09/20/39M¢ody's: AAA S&P: AA+

181,313.574 FEDERAL HOME LN MTG CORPSER3616CLB

^DTD 12/01/09 5.000% DUE 12/15/39iMoody's: AAA S&P: AA+

630,000.000 .2040(MISSISSIPPI DEV BK SPL OBLIGSF?L OBLIG BDS-TAXBLDTD 03/24/10 06 413 DUE 01/01/40NON-CALLABLE FIXED RTSINK01/01/34Moody's: AA3 S&P: AA-


Portfolio DetailNov. 01, 2013 through Nov. 30, 2013

Tax Cost/ Unrealized Estimated CurYld/Unit Cost Gain/Loss Annual Income • YTM

•

38374TDW1 69,550.93 295.36 69,113.36 437.57 3,544.28 5.09107.929 107.250 3.11

38374XXNO 192,659.25 729.17 184,187.50 8,471.75 8,750.00 4.54110.091 105.250 3.75

38374TJ88 432,508.00 1,500.00 422,500.00 10,008 00 18,000.00 4.16108.127 105.625 3.65

38374UBP5 377,199.82 1,201.38 386,464.28 -9,264.46 14,416.61 3.82104 657 107.227 2.56

38376P3M0 896,346.74 2,785.12 907,601.42 -11,254.68 33,421.46 3.72107.278 108,625 2.17 •

31398LGQ5 196,500.40 755.47 193,778.88 2,721.52 9,065.68 4.61108.376 106.875 2.46

60534RTM1 711,408.60 16,834.12 713,323.80 -1,915.20 40,401.90 5.67112.922 113.226 5.43

Page 19 of 64

19/64 6005262 001/001 19164 0162957 02-336 406 8 'E

Settlement Date


Market Value{1J/Units Description CUSIP Market Price

Investment Grade TI3>fahle (cant)1,500,000.000 FEDERAL HOME LN MTG CORP

SER 3810 CL LCOT.0 02/01/114.000% DUE 02/15/40Melody's: AAA S&P: AA+

250,000.000 FEDERAL HOME LN MTG CORP$E^i 3631 CL PLDTD 02/01/10 5.000% DUE 02/15/40Melody's: AAA S&P: AA+

200,000.000 FEDERAL HOME LN MTG CORPER 3631 CL PMTD 02/01/10 5.000% DUE 02/15/40

Moody's:AAA S&P: AA+200,000.000 EEJERAL NATLMTG ASSN

ER 2010-7 CL PETID 01/01/10 5.000% DUE 02/25/40oody's: AAA S&P: AA+

1,100,000.000 GOVERNMENT NAIL MTG ASSN5R 2010-116 CL JBTD 09/01/10 5.000% DUE 06/16/40E body's: AAA S&P: AAA

300,000.000 FEDERAL NATL MTG ASSNSER 2010-59 CL EBbTD 05/01/10 5.000% DUE 06/25/40Mbody's: AAA S&P: AA+

257,460.550 GOVERNMENT NATL MTG ASSN II!SER 2012-50 CL CEDTD 04/01/12 3.500% DUE 08/20/40Moody's: AAA S&P: AA+

400,000.000 IFSDERAL NAIL MTG ASSNSER 2010-89 CL PL010 07/01/10 5.000% DUE 08/25/40Moody's: AAA _ S&P: AA+


Portfolio Detail

Nov. 01 , 2013 through Nov. 30, 2013

Accrued Tax Cost/ Unrealized Estimated CurYfd/income Average Unit Cost Gain/Loss Annual Income YTM

3137ABWR9 1,536,750.00 5,000.00 1,650,000.00 -113,25000 60,000 00 3.90102.450 110.000 3.71

31398WL77 270,612.50 1,041.67 256,562.50 14,050.00 12,500.00 4.61108.245 102.625 4.36

31398WL85 216,720.00 833.33 205,250.00 11,470.00 10,000.00 4.61108.360 102.625 4.35

31398GYK9 215,240.00 833.33 219,300.00 -4,060.00 10,000.00 4.64107.620 109.650 3 63

38377LBY3 1,133,814.00 4,583.33 . 1,150,125.00 -16,311.00 55,000.00 4.85103,074 104.557 1.84

•31398RNJO 298,398.00 1,250.00 307,875.00 -9,477.00 15,000.00 5.0299.466 102.625 5 07

38375CFX3 259,455.02 750.93 261,953.23 -2,498.21 9,011.12 3.47100,775 101.745 0.17

31398TPX3 458,900.00 1,666.67 411,000.00 47,900.00 20,000.00 4.35114.725 102.750 3.22

Page 20 of 64

20/64 6005262 0011001 20164 0162958 02-336 406 B E

Settlement Date

Account: 41-01-100-5863453 BEATRICE & SAMUEL SE4VER FDN

Market Value(11/Units Ce.cription CUSIP Market Price

Investment Grade Taxable (cant)2,750,270.460 BEQERAL HOME LN MTG CORP

8ER 3745 CL H PTD 10/01/10 4.000% DUE 10/15/40

Moody's: AAA S&P: AA+359,743 860 FEDERAL HOME LN MTG CORP

^ER 3751 CL UHDTD 11/01/104.000% DUE 10/15/40Moody's: AAA S&P: AA+

512,457.770 I=E¢ERAL NATL MTG ASSNSER 2010-150 CL PG31jD 12/01/104.500% DUE 10/25/40Moody's: AAA S&P: AA+

400,000.000 , FEbERAL HOME LN MTG CORPSER 3763 CLTDVD 11/01/10 4 000% DUE 11/15/40

' s: AAA S&P: AAAody794,000.000 FEDERAL HOME LN MTG CORP

SER 3839 CL CPTD 04/01/11 5.000% DUE 11/15/40Moody's:AAA S&P:AAA

2,059,822.750 FEDERAL NATL MTG ASSNSER 2010-123 CL KU07010/01/104.500% DUE 11/25/40Mbody's: AAA S&P: AAA

300,000.000 kEDERAL HOME LN MTG CORPSER 3795 CL DD

DDTD 01/01/114.500% DUE 12/15/40!Mbody's: AAA S&P: AAA

350,000.000 IFEaDERAL HOME LN MTG CORPISliR 3800 CL UCDIDD 02101/114.500% DUE 12/15/40

AAA S&P: AAA

U.S. TRUST °Bank of Arnerica Private Wealth Management

Portfolio Detail

Nov. 01, 2013 through Nov. 30, 2013

Accrued Tax Cost/ Unrealized Estimated CurYld/Income Average Unit Cost Gain/Loss Annual Income YTM

11 11; ^ r- r MWAN

•

3137A23N9 2,728,598.33 9,167.57 2,824,183.98 -95,58565 110,010 82 4.0399.212 102 688 4.42

3137A3JD2 359,233 02 1,199.15 375,932.33 -16,699.31 14,389.75 4.0099.858 104.500 3.98

313970.EC8 540,735.19 1,921.72 552,762.58 -12,027.39 23,060.60 4.26105.518 107.865 3.09

3137A33HD 383,512.00 1,333.33 410,000.00 -26,488.00 16,000.00 4.1795.878 102.500 4.48

3137A9A10 801,701.80 3,308.33 800,947.50 754.30 39,700.00 4.95100.970 100.875 1.63 •

31398N2Z6 2,047,072.45 7,724.34 2,090,720.09 -43,647.64 92,692.02 4.5299.381 101.500 4 81

3137A5MH4 296,976.00 1,125.00 315,750.00 -18,774.00 13,500 00 4.5498.992 105.250 4.61

3137A7JM3 354,207.00 1,312.50 367,937.50 -13,730.50 15,750.00 4.44101.202 105.125 4.39

Page 21 of 64

21/64 6005262 0011001 21/64 0162959 02-336 406 B E

Settlement Date


Markat Velue(1)/



469 88098 GOVERNMENT NATL MTG ASSN II 38377RX59 99,559.94,SER 2010 - 165 CL TU 101.107

DTD 12/01/10 4.000% DUE 12/20/40Moody's : AAA S&P: AA+

189,297 . 370 GOVERNMENTINATL MTG ASSN II 38377TAN1 192,710.40SER 2011-004 CL KH 101.803DTD 01 /01/115.000% DUE 12/20/40Moody's : AAA S&P: AAA

121,472 . 160 21141 'FEDERAL HOME LN MTG CORP 3137A6R46 125,884.03SER 3816 CL HN 103.632DTD 02/01/114.500 % DUE 01/15/41Moody ' s: AAA S&P: AA+

500,000.000 GOVERNMENT NATL MTG ASSN 38377UAZ1 501,830.00S ER 2011-35 CL J B 100.366DTD 03/01/114.000% DUE 03/16/41Moody's: AAA S&P: AA+

1,000,000 . 000 FEDERAL HOME LN MTG CORP 3137AFEK4 983,130.00SER 3927 CL PD 98 313DTD 09/01/114.000% DUE 07/15/41Moody ' s: AAA S&P: AA+

600,000 . 000 FEDERAL HOME LN MTG CORP 3137AJSZB 594,048.00SER 3967 CL CM 99.008DTD 12/01/114.000% DUE 09/15/41Moody's:AAA S&P:AA+

998,571 430 FEDERAL HOME LN MTG CORP 3137ATFC1 930,698.53SER 4091 CL LG 93.203DTD 08/01/123.500% DUE 10/15/41Moody's : AAA S&P: AA+

750,000 .000 FEDERAL HOME LN MTG CORP 3137AJGP3 708,772.50SER 3960 CL NC 94.503DTD 11/01 /114.000% DUE 11/15/41Moody's AAA S&P: AA+


Portfolio Detail

Nov. 01, 2013 through Nov. 30, 2013

Accrued Tax Cost/ Unrealized Estimated Cur Yld/


328.23 91,084.64 8,475.30 3,938:80 3 9592.500 3.94

788 74 195,008.37 -2,297 97 9,46487 4.91103.017 0.26

455.52 125,296.18 587.85 5,466.25 4.34103.148 4.05

1,666.67 528,487.50 -26,657.50 20,000.00 3.98105.698 3.99

3,333.33 1,050,000.00 -66,870.00 40,000.00 4.05,105.000 4.20•

2,000.00 626,532.00 -32,484.00 24,000.00 4.04104.422 4.16

2,912.50 1,033,521.43 -102,822.90 34,950.00 3.75103.500 4.28

2,500.00 756,562.50 -47,790.00 30,000.00 4.23100.875 7.47

Page 22 of 64

22164 6005262 001/001 22164 0162960 02-336 406 8 E

Settlement Date


Market Value (1 J/

Units bescriotion CUSIP Market Price


300,000.000 FEbERAL HOME LN MTG CORP$ER 3955 CL CEDTD 11/01/11 4.000% DUE 11/15/41Mpody's: AAA S&P: AA+

900,000.000 ^VERNMENT NATL MTG ASSN 11R2012-051 CLUETD 04/01/124.000% DUE 11/20/41

Mbody's:AAA S&P:AA+110,622.450 FEDERAL NAIL MTG ASSN

^R 2012-10 CL PCTD 01/01/12 4.500% DUE 11/25/41oody's: AAA S&P: AA+

262,000.000 2842LMTG ASSNKDERAL NATC B

SERTD 12/01/114.000% DUE 01/25/42

Moody's: AAA S&P: AA+320,668 .000 qDERAL HOME LN MTG CORP

SCR 4016 CL EDDTD 03/01/12 3.500% DUE 03/15/42Moody's: AAA S&P: AA+

1,000,000.000 FEDERAL NATL MTG ASSNSER 2012-17 CL-HBDTD 02/01/12 3.500% DUE 03/25/42Moody's: AAA S&P: AA+

721,754.190 (FEDERAL NATL MTG ASSN:SER 2012-16 CLTGDTD 02/01/12 4.000% DUE 03/25/42Moody's: AAA S&P: AA+

662,000.000 FgDERAL NATLMTG ASSNS R 2012-30 CL J BDTD 03/01/123.500% DUE 03/25/42Moody's: AAA S&P. AA+

U. S. TRUST'Bank of America Private Wealth Management

Portfolio Detail

Nov. 01, 2013 through Nov. 30, 2013

Accrued Tax Cost/ Unrealized Estimated Cur Yld/


•

3137AJ6V1 288,006.00 1,000.00 306,000.00 -17,994.00 12,000.00 4.1696.002 102.000 5.02

38378EAZ6 897,021.00 3,000.00 930,375.00 -33,354.00 36,000.00 4.0199.669 103.375 4.05

3136A3ZC6 117,649.19 414.83 117,348.29 300.90 4,978.01 4.23106.352 106,080 2.82

3136A22D4 254,994.12 873.33 251,873.70 3,120.42 10,480.00 4.1197.326 96.135 4.20

3137AN6U4 294,844.61 935.28 ' 345,070.83 -50,226.22 11,223.38 3.8091.947 107.610 10.56 •

3136A4BB1 931,210.00 2,916.67 1,032,500.00 -101,290.00 35,000.00 3.7593.121 103.250 11.96

3136A4QU6 727,142.45 2,405.85 740,956.49 -13,814.04 28,870.17 3.97100.747 102.661 1.14

3136A5VE3 611,449 68 1,930.83 694,272.50 -82,822.82 23,170.00 3.7892.364 104.875 5.99

Page 23 of 64

23/64 6005262 0011001 23/ 64 0162961 02-336 408 B E

Settlement Date

U.S. TRUST "WBank of America Private Wealth Management

Portfolio Detail

Account: 41 -01-100-5863453 BEATRICE & SAMUEL SEAVER FDN Nov. 01, 2013 through Nov. 30, 2013

MarketValue (1)/ Accrued Tax Cost/ Unrealized Estimated CurYld/

Units Description CUSIP Market Price Income Average Unit Cost Gain/Loss Annua l Income YTM

LimInvestment Grade Ta^able (cont)

750,000 . 000 I=EDERAL HOME LN MTG CORP 3137ANY41 672,185.00 2,187.50 766,912.50 -94,717.50 26,250.00 3.90SER 4026 CL CD 89.626 102 . 255 4.22ITD 04/01/12 3 500% DUE 04/15/42Mpody's: AAA S&P: AA+

364,562 . 110 FEDERAL HOME LN MTG CORP 3137ARHY5 322,393 . 21 911.40 371 , 853.35 -49,460.14 10, 936.86 3.39ER 4057 CL HJ

888.433 102.000 7.33

TD 06/01/12 3.000% DUE 05/15/42Mbody's: AAA S&P: AA+

214,638 . 880 GOVERNMENT NAIL MTG ASSN 38378EPE7 207,300 .38 715 . 46 223 ,224.44 - 15,924 .06 8,585.56 4.14R 2012- 69 CL HC 96.581 104 .000 13.09

RD 05/01/12 4.000% DUE 05/16/42Moody's:AAA S&P:AA+

801,306 . 190 FEDERAL HOME LN MTG CORP 3137AQW4 756,529 . 20 2,337 . 14 826,345.37 - 68,816 . 17 28,045 .72 3.70SER 4064 CL TC - 94. 412 103.000 13.81DTD 06/01/12 3.500% DUE 06/15/42iMoody 's: AAA S&P: AA+

792,720 . 770 FEDERAL HOME LN MTG CORP 3137AQYXO 768,519 . 00 2,642.40 812 , 651.68 -44, 138.68 31,708 . 83 4.12SER 4064 CL TE 96.947 102 . 515 9.35IDTD 06/01/124.000 % DUE 06/ 15/42IM'oody's : AAA S&P: AA+

•

500,667 000 IF9DERAL HOME LN MTG CORP 3137AQYZ5 456,568 .25 1,460 . 28 534,301.81 -77,733.56 17,523.35 3.83,SER 4064 CL TG 91.192 106 . 718 10.86DID 06/01/12 3.500% DUE 06/15/42Moody's : AAA S&P: AA+

2,000 , 000.000 FEDERAL HOME LN MTG CORP 3137AUEPO 1,668,940 . 00 5,000 . 00 2,019 , 600.00 -350 , 660.00 60,000.00 3.59'SER 4105 CL WE 83 .447 100 . 980 4.14DID 09/01/123.000 % DUE 07/15/42Moody's : AAA S&P: AA+

300,000 . 000 FEDERAL NATL MTG ASSN 313BA7VE9 278,709.00 875 . 00 315 , 180.00 -36,471.00 10,500 . 00 3.76SER 2012- 80 CL ED 92 .903 105.060 3.96DTD 07/01/12 3 500% DUE 08/25/42Moody's: AAA S&P: AA+

Page 24 of 64

24/64 6005262 001/001 24164 0162962 02-336 406 B E

Settlement Date

U. S. TRUST -W--Q;Bank of America Private Wealth Management

Portfolio Detail

Account: 41-01-100-5863453 BEATRICE & SAMUEL SEAVER FDN Nov. 01, 2013 through Nov. 30, 2013

MarketValue(1)/ Accrued Tax Cost/ Unrealized Estimated CurYld/Units Vescription CUSIP Market Price Income Average Unit Cost Gain/Loss Annual Income YTM

Investment Grade Taxable (cant)

650,000 .000 iitERAL HOME LN MTG CORP 3137AWAA3 611,260.00 1,625 . 00 657,198 .75 -45,938.75 19 , 500.00 319$ER 4125 CL YC 94.040 101 . 108 3.73DTP 11/01/12 3.000% DUE 09/15/42Mgody's: AAA S&P: AA+

750,000.000 FEDERAL NATL MTG ASSN 3136A8TX8 640,012 . 50 1,875.00 764,043.75 -124,031.25 22,500.00 3.51SEA 2012-99 CL GH 85. 335 101.873 4.014TD 08/01/12 3.000% DUE 09/25/42Moody's: AAA S&P: AA+

735,122.535 EDERAL HOME LN MTG CORP 3137AVRDI 660,059 .17 1,837 .81 756 ,385.94 -96,326.77 22 ,053 68 3.34ER 4133 CL TA 89.789 102 . 892 4.16

GTI 11/01/12 3.000% DUE 11/15/42Moody's: AAA S&P: AA+

1,200,000 .000 rEDERAL HOME LN MTG CORP 3137AWA81 1,109,448 . 00 3,000.00 1,233,000.00 -123,552 .00 36,000.00 3.24SER 4125 CLYD 92.454 102.750 3.83

VTD 11/01/123.000% DUE 11/15/42oody's: AAA S&P: AA+

400,000.000 2x93FEDERAL NAIL MTG ASSN 3136ACD73 354,060 . 00 1,166 .67 407,780.00 -53,720 .00 14,000.00 3.95$ER 2013-13 CL WH 88. 515 101.945 4.25pTD 02/01/13 3.500% DUE 03/25/43Mbody's: AAA S&P: AA+

1,063,738.530 FEbERAL NATL MTG ASSN 3136ADAM1 1,060,643 . 05 3,102.57 1,108,947 41 - 48,304 .36 37 ,230 85 3.51SER 2013-23 CL MV 99.709 104.250 3.53pTD 02/01113 3.500% DUE 03/25/43.Moody's: AAA S&P: AA+

1,124,980 .760 FEDERAL NAIL MTG ASSN 3136AEJK4 1,081,410 . 26 2,812 . 45 1,112,410 14 -30,999 . 88 33 ,749.42 3.12S R 2103-58 CL CBI

96. 127 98 . 883 3.68D D 05/01/13 3.000% DUE 06/25/43Moody's: AAA S&P: AA+

1,593,195.660 FEDERAL NATL MTG ASSN 3136AE5L7 1,484,396.33 3,982.99 1,544,858 . 11 -60,461 .78 47,795.87 3.22SER 2013-74 CL ET 93 .171 96.966 3 75IDTD 06/01/13 3.000% DUE 07/25/43Maody's: AAA S&P: AA+

Page 25 of 64

25/64 6005262 001/001 25/ 64 0162963 02.336 406 B E

Settlement Date


Portfolio Detail

Account: 41 -01-100-5863453 BEATRICE & SAMUEL SEAVER FDN Nov. 01, 2013 through Nov 30, 2013

Market Vatue(1)/ Accrued Tax Cosd Unrealized Estimated Cur Vld/

Units De.cription CUSIP Market Price Income Average Unit Cost Gain/Loss Annual income YTMjjl^

Investment Grade Table (cont)

1,740,547.070 FEaERAL NAIL MTG ASSN 3136AGPS5 1,835,110.99 5,076.59 1,759,867.14 75,243.85 60,919.15 3.32SER 2013-105 CL CA 105.433 101.110 1.77DTD 09/01/13 3.500% DUE 09/25/43Moody's: AAA S&P:AA+

1,070,000.000 FEDERAL NAIL MTG ASSN 3136AGPV8 1,065,506.00 3,120.83 1,000,450.00 65,056.00 37,450.00 3.51SER 2013-105 CL CE 99.580 93 .500 3.57OTP 09/01/13 3.500% DUE 10/25/43Moody's: AAA S&P:AA+

4,400.000 gLM CORP 78442P304 88,439.56 0.00 110,000.00 -21,560.44 6,600.00 7.46f^FD 6% 20.100 25.000Moody's• A2 S&P: BBB-

7,500.000 20521;EHMAN BROS HLDGS CAPTR IV 5252OB206 75.00 0.00 187,500.00 -187,425.00 11,955.00 940.00ffb SER L 0.010 25.000Melody's: A2 S&P: N AVL

20,000.000 2053liEIiMAN BROS HLDGS CAPTRV 52520E200 200.00 0.00 500,000.00 -499,800.00 30,000.00 0.00

SER M 6.00% 0.010 25.000ody's: A2 S&P: N AVLM

•

12,700.000 LACKROCK BUILD AMERICA BOND 09248x100 233,807.00 0.00 238,819.86 -5,012.86 20,091.40 8.59FUND 18.410 18.805

9,000.000 KACKROCK ENHANCED GOVT FUND INC 09255K108 128,070.00 0.00 147,701.36 -19,631.36 7,020.00 5.4814.230 16.411

12,500.000 ING GROEP NV 456837301 315,125 00 5,625.00 312,500.00 2,625.00 22,500.00 7.14SUB NT PFD 7.200% 25.210 25.000

oody's: Al S&P: BBB-15,000.000 NG GROUP NV 456837202 378,000. 00 6,609.38 375,000.00 3,000.00 26,430.00 6.99

PERPETUAL DEBT SECS PFD 7.050% 25.200 25.000body's: Al S&P: BBB-

15,000.000 MERRILL LYNCH PFD CAP TR V 59021 K205 381,600.00 0.00 456,861.86 -75,261.86 27,300 00 7.15IF0PRS 7.28% 25.440 30.457M_oody' s. A2 S&P: BB+tTotal investment Grade Taxable $61,644 ,656.53 $318,516.77 $64,949,119.23 -$3,304, 462.70 $2,746,464 . 43 4.45%

Page 26 of 64

26/64 6005262 001/001 26164 0162964 02-336 406 B

Settlement Date


Market Value (1Y



Portfolio Detail

Nov. 01, 2013 through Nov. 30, 2013

Accrued Tax Cost Unrealized Estimated Cur Yld/


Global High Yield Taxable

30,000 . 000 044MACM MTG LN TR SER -2004-J2 CL A 36185N2E9 $30,450 .90 $143 .75 $30,375.00 $75.90 $1,725.00 5.66%

MTG PASSTHRU CTF CL A-8 101.503 101.250 5.16

OTD 05/01 /045.750% DUE 06/25/34Melody's BA1 S&P: NA

750,000 . 000 MASTR ALTERNATIVE LN TR 576434Y1.2 750,877 . 50 3,750 . 00 780,000.00 -29,122 . 50 45 ,000.00 5.995 9420 0412 MTG PASSTHRU CTF CL 5A4

OTD 11/01/046 .000% DUE 12/25/34100.117 104.000 .

Moody's: NA S&P: BB-

255,000 . 000 0.5CITICORP MTG SECS INC 172973M89 256,201 . 05 1,115.62 245,785.94 10,415.11 13,387.50 5.22

0%DUE0D 0 20100.471 96 . 387 5.04

2/25/355DT•. 1 /05 52/Moody's : B1 S&P: AAA

000000650 CWALT INC 12667FK87 650,741 . 00 2,979.17 639,937.50 10,803.50 35 , 750,00 5.49.,'1004-34T1 MTG PASSTHRU CTFA-2 100.114 98 .452 5.46DTD 12/01/04 5 . 500% DUE 02/25/35

823. 190924Moody's: NA S&P: CCCMALT INC 12668AGA7 850,559 .89 4,238 .77 880 , 894.10 -30,334.21 50 , 865.28

•5.98

,05-56 MTG PASSTHRU CTF CL 1-A- 91.970 95 . 250 5.86pTD 09/01/05 5 . 500% DUE 11/25/35

Mpody' s. CAA2 S&P: D406,252 . 970 2036

kgSIDENTIALACCREDIT LNSINCMTG 761118RZ3 341 ,618.12 1,946 .63 388 , 225.46 -46,607 .34 23,359.55 6.83'1006-0

CTF 1084.090 95 . 562 5.14

-01/25o DUE/0106 5 .75DTDMpody' s: CAA3 S&P: NR

092 789.8402 ALTERNATIVE LN TR 2006 - 19CB 02147QBH4 1,803,001 . 23 11,335.94 2,121 ,530.37 - 318,529 . 14 136,031.34 7.54,,MTG PASSTHRU CTF CLA-32 86 . 153 101,373 5.31

DTD 06/01/06 6 .500% DUE 08/25/36'Moody ' s: CAA3 S&P: NR

292,001 . 2501 A^TERNATIVE LN TR 2006 -31CB 02148HAG6 1,035,590 . 68 6,460 . 00 1,248,396.20 - 212,805 . 52 77,520.08 7.48,IMTG PASSTHRU CTF CL A-7 80.154 96 . 625 6.21

IDTD 09/01/06 6.000% DUE 11/25/36IMoody ' s: CAA3 S&P: NR

Page 27 of 64

27/64 6005262 001!001 27/64 0162965 02-336 408 B E

Settlement Date


Market Valija(01Units Description CUSIP Market Price

Global High Yield Taxable (cont)32,231.390 , CITICORP MTG SECS TR 173100AC2 32,179.82

2006-6 PASSTHRU CTF CL A-3 99.840DTD 11/01/06 6 000% DUE 11/25/36Moody's: B2 S&P: NR

522,509.860 RALI SER 2006-QS16 TR 74922LAJ2 395,508.61MTG PASS THRU CTF CL A-9 75.694DTD 11/01/06 6.000% DUE 11/25/36Moody's: CAA3 S&P: NR

724.52$ 2037184,ALTERNATIVE LN TR•2006-39CB 02148JAE7 147,400.94MTG PASSTHRU CTF CL 1-A-5 79.795DTD 11/01/06 6.000% DUE 01/25/37Moody's: CAA3 S&P: NR

479,347.700 FIRST HORIZON MTG PASSTHRU TR 32052UAS2 445,069.552006-4 MTG PASSTHRU CTF CL IA17 92.849DID 12/01/06 6 000% DUE 02/25/37Moody's• NR S&P: D

77,499.810 ' BANC AMER MTG 2007-1 TR 05952HAE9 71,169.63MTG PASSTHRU CTF CL 1-A-5 91.832DTD 02/01/07 6.000% DUE 03/25/37Moody's: CAA2 S&P: 0

818,252.610 CHL MTG PASS THRU TR 2007-2 12544CAC5 741,295.95MTG PASSTHRU CTF CL A-3 90.595DTD 01/01/07 6.000% DUE 03/25/37Moody's• NR S&P: DTotal Global High Yield Taxable $7 ,551,664.87

Fixed Income Other1,000.060 GENERAL MOTORS CORP 370ESC766 $0.00

CO NV SR STK (ESCROW)Moody NA S&P..NATotal Fixed Income Other $0.00

$42,542.71 $8,419 , 496.72 -$867,831.85

$0.00 $0.00 $0.00

11,083.47 7.515.89

28,760.86 6.465.47

4,649. 99 6.536.15*

49,095.16 6.625.34

$510,512 .70 6.76%

$0.00 c 0.00%

$0.00 $0.00

Page 28 of 64

U.S. TRUST'OBank of America Private Wealth Management

Portfolio Detail

Nov. 01, 2013 through Nov 30, 2013

Accrued Tax Cast/ Unrealized Estimated Cur Yld/Income Average Unit Cost Gain/Loss Annua l Income YTM

161.16

2,612.55

923.62

2,396.74

387.50

4,091.26

30,297.5194.000

523,816.15100.250

1,882.31

-128,307.54

-40,094.43

-40,270.00

-711.44

1,933.88 6.015.39

31,350.59 7.926.00

187,495.37101.500

485,339.55101.250

71,881.0792.750

785,522.5096.000

-44,226.55

$0.00 0.00%

28/64 6005262 0011001 28/64 0162966 02-336 406 B E

Settlement Date


Market Value (1)/


U.U.S. 'TRUSTBank of America Private Wealth Management

Portfolio Detail

Nov. 01, 2013 through Nov. 30, 2013


Fixed Income Other ' c_ont __ I - ---- -Total Fixed Income $69,196,321.40v'v $361,059.48 $73,368,615 .95 -$4,172,294.55 $3,256,977.13 4.70%

Total Portfolio $69,891 ,337.84 7 $361 ,059.48 $74,657,569.55 -$4,766,231.71 $3,342,26431 4.78%

Accrued Income $361,059.48

Total $70 ,252,397.32

is

•

Page 29 of 64

29164 6005262 0011001 29164 0162967 02.336 406 B E


FORM 990PF, PART II - OTHER INVESTMENTS

DESCRIPTION

INVESTMENT IN LIMITED PARTNERSINVESTMENT IN HOLDING COMPANIE

TOTALS

ATTACHMENT 11

ENDINGBOOK VALUE

12,052,842.18,810,680.

30,863,522.

ENDINGFMV

9,919,614.11,347,635.

21,267,249.

13-3251432

•

•

ATTACHMENT 11aQSOr_D T 1 1n 1/Z1 /7n1 a Q. 7.7n am Cn7ngl n Dnr_F' 90

BEATS & SAMUEL A. SEAVER FOUNDATIO• 13-3251432

ATTACHMENT 12

FORM 990PF, PART III - OTHER DECREASES IN NET WORTH OR FUND BALANCES

DESCRIPTION AMOUNT

AMORTIZATION OF PARTNERSHIP LEASEHOLD 3,138,157.

TOTAL 3, 138, 157.

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 30


FORM 990PF, PART VIII - LIST OF OFFICERS, DIRECTORS, AND TRUSTEES

TITLE AND AVERAGE HOURS PER

NAME AND ADDRESS WEEK DEVOTED TO POSITION COMPENSATION

HIRSCHELL LEVINE

C/O WITHUMSMITH+BROWN PC


NEW YORK, NY 10018

JOHN COHEN

C/O WITHUMSMITH+BROWN PC


NEW YORK, NY 10018

TRUSTEE

10.00

TRUSTEE7.00

GRAND TOTALS

13-3251432

ATTACHMENT 13

436,644. 0 0

436, 644. 0 0 •

873,288.

•

aasar_o rasa zi1119nie 0-'1'7-)r) BMATTACHMENT 13

r. n1) r) r. 1 n par_^ zi

BEATS & SAMUEL A . SEAVER FOUNDATIO0 13-3251432

ATTACHMENT 14

FORM 990PF, PART XV - NAME, ADDRESS AND PHONE FOR APPLICATIONS

N/A

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 32


FORM 99OPF PART XV - GRANTS AND CONTRIBUTIONS PAID DURING THE YEAR

RELATIONSHIP TO SUBSTANTIAL CONTRIBUTOR

AND

RECIPIENT NAME AND ADDRESS FOUNDATION STATUS OF RECIPIENT

SEE STATEMENT ATTACHED N/A

PUBLIC CHARITY

13-3251432

ATTACHMENT 15

PURPOSE OF GRANT OR CONTRIBUTION

CHARITABLE CONTRIBUTIONS TO PUBLIC CHARITIES

TOTAL CONTRIBUTIONS PAID

AMOUNT

3,422,867.

3.422,867.

E

•

ATTACHMENT 15

THE BEATRICE & SAMUEL A. SEAVER F•ATION •

FOR YEAR ENDED DECEMBE 31, 2013

CONTRIBUTIONS

MEMORIAL SLOAN KETTERING CENTER 50,000.00MEMORIAL SLOAN KETTERING CENTER 50,000.00

MT SINAI MEDICAL CENTER 1,000 ,000.00

MT. SINAI CRYSTAL BALL 10,000.00

MT. SINAI CRYSTAL BALL 1,500.00

MT. SINAI SCHOOL OF MEDICINE-A. Relche- 28,750.00

MT. SINAI SCHOOL OF MEDICINE-A. Relche- 28,750.00

MT. SINAI SCHOOL OF MEDICINE -A. Reiche- 28,750.00

MT. SINAI SCHOOL OF MEDICINE-A. Reiche- 28,750.00

MT. SINAI SCHOOL OF MEDICINE-A. SCHAEFFER 25,000.00

MT SINAI SCHOOL OF MEDICINE-A. SCHAEFFER 25,000.00



MT. SINAI SCHOOL OF MEDICINE-Chris P 14,375.00

MT. SINAI SCHOOL OF MEDICINE -Chris P 14,375.00

MT. SINAI SCHOOL OF MEDICINE-Chris P 14,375.00

MT. SINAI SCHOOL OF MEDICINE-O BOZDAGI 25,000.00

MT. SINAI SCHOOL OF MEDICINE-O BOZDAGI 25,000.00

MT. SINAI SCHOOL OF MEDICINE-GOREVIC 25,000.00

MT. SINAI SCHOOL OF MEDICINE-H. HARONY 25,000.00

MT. SINAI SCHOOL OF MEDICINE - JR FACULTY 25,000.00

MT SINAI SCHOOL OF MEDICINE- JR FACULTY 25,000 00

MT. SINAI SCHOOL OF MEDICINE- JR FACULTY 25,000.00

MT. SINAI SCHOOL OF MEDICINE- K. CASTEN 25,000 00

MT. SINAI SCHOOL OF MEDICINE - N UPPALA 7,500.00

MT. SINAI SCHOOL OF MEDICINE- N. UPPALA 7, 500.00

MT. SINAI SCHOOL OF MEDICINE - N. UPPALA 7, 500.00

MT. SINAI SCHOOL OF MEDICINE - N. UPPALA 7, 500.00

MT. SINAI SCHOOL OF MEDICINE - P WEIGNER 14,375.00

MT. SINAI SCHOOL OF MEDICINE - P WEIGNER 14,375.00

MT SINAI SCHOOL OF MEDICINE - Shin CF 10,062.00

MT. SINAI SCHOOL OF MEDICINE - Shin CF 10,063.00

MT. SINAI SCHOOL OF MEDICINE - Shin CF 10,062.00

MT. SINAI SCHOOL OF MEDICINE- Silvia DR 14,375.00

MT. SINAI SCHOOL OF MEDICINE- Silvia DR 14,375.00

MT. SINAI SCHOOL OF MEDICINE - Silvia DR 14,375 00

MT SINAI SCHOOL OF MEDICINE-T. TAVASOLLI 25,000.00

MT. SINAI SCHOOL OF MEDICINE-T. TAVASOLLI 28,750.00

MT. SINAI SCHOOL OF MEDICINE- Y. KUO 20,125.00

MT. SINAI SCHOOL OF MEDICINE- Y. KUO 20, 125.00

MT. SINAI SCHOOL OF MEDICINE 125,000.00

MT. SINAI SCHOOL OF MED-SEAVER AUTISM CTR 625,000.00

MT. SINAI SCHOOL OF MED-SEAVER AUTISM CTR 625,000.00

THE JEWISH MUSEUM - NEWSLETTER 19,250.00

THE JEWISH MUSEUM - NEWSLETTER 19,25000



THE JEWISH MUSEUM 35,000.00

ALBERT EINSTEIN COLLEGE OF MEDICINE 25,000.00

ALBERT EINSTEIN COLLEGE OF MEDICINE 25,000.00

HOSPITAL FOR SPECIAL SURGERY 26,090.00

HOSPITAL FOR SPECIAL SURGERY 28,090.00

UJA FEDERATION 25,000.00

SID JACOBSON COMMUNITY CENTER 500.00

HUMAN RIGHTS FIRST 2,500.00

HEBREW HOME FOR THE AGED 10,000.00

TOTAL $ 3,422 ,867.00


FORM 990-PF, PART XVI-A - ANALYSIS OF OTHER REVENUE

DESCRIPTION

MISCELLANEOUS INCOME

TOTALS

2, 932.

2,932.

S

•

13-3251432

ATTACHMENT 16

BUSINESS EXCLUSION RELATED OR EXEMPT

CODE AMOUNT CODE AMOUNT FUNCTION INCOME

ATTACHMENT 16APROr_D reap z /11 / ) 0 0.17.9n nM rn,>nr.i n Dnr_r IA

SCHEDULED 4ta„ ital Gains and Losses*(Form 1041) ► Attach to Form 1041, Form 5227, or Form 990-T.

Department of the Treasury ► Information about Schedule D (Form 1041 ) and its separate instructions is atInternal Revenue Service www.lrs.gov1form1041.

OMB No 1545-0092

2012Name or estate or trust empwyer maenuncauon numoer


Note : Form 5227 filers need to complete only Parts l and ll.

ff^ Short-Term Canital Gains and Losses - Assets Held One Year or Less

(a) Description of property( Example 100 shares 7% preferred of "Z" Co)

( b) Date acquired(mo. day, yr)

(c) Date sold(mo, day, yr) (d) Sales price (e) Cost or other basis

(see instructions)

(f) Gain or (loss) forthe entire year

Subtract (e) from (d)

1a

b Enter the short-term gain or (loss), if any, from Schedule D-1, line 1b . . . . . . . . . . . . . . . . . . . . 1b

2 Short-term capital gain or (loss) from Forms 4684, 6252, 6781, and 8824 . . . . . . . . . . . . . . . . . 2

3 Net short-term gain or (loss) from partnerships, S corporations, and other estates or trusts . . . . . . . 3

4 Short-term capital loss carryover. Enter the amount, if any, from line 9 of the 2011

Carryover Worksheet . .. ..

Capital Loss

.. 4

5 Net short-term gain or (loss). Combine lines la through 4 in column (f) Enter here and on line 13,

column (3) on the back , ► 5

•i1 Lona-Term Canital Gains and Losses - Assets Held More Than One Year

( a) Description of property( Example 100 shares 7% preferred of "Z' Co )

(b) Date acquired(mo , day , yr)

(c) Date sold(mo , day, yr ) (d) Sales price (e) Cost or other basis

(see instructions )(f) Gain or (loss) for

the entire yearSubtract (e) from (d)

6a

b Enter the long-term gain or (loss), if any , from Schedule D-1, line 6b ............... ........ 6b -1,273,140.

7 Long -term capital gain or (loss) from Forms 2439 , 4684 , 6252, 6781, and 8824 . . . . . . . . . . . . .

.

8 Net long -term gain or ( loss) from partnerships , S corporations , and other estates or trusts . . , . . , , . ,

_______________

9 .............. ....................Capital gain distributions ... .......

.

10

.

Gain from Form 4797 , Part 1

11 Long -term capital loss carryover. Enter the amount, if any , from line 14 of the 2011

Carryover Worksheet . . .. . . . . . . . . . . . . . .. .. .. ..

Capital Loss

. . . . . .. . (

12. . . . .

et long-term gain or (loss ). Combine lines 6a through 11 in column (f) Enter here and on line 14a,N

column ( 3) on the back . ► 12 -1,273,140.

For Paperwork Reduction Act Notice, see the Instructions for Form 1041. Schedule D (Form 1041) 2012

JSA

2F12102000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 35

Schedule D (Form 1041) 2012 • • Page 2

Summary of Parts I and II (1 ) Beneficiaries' (2) Estate's

Caution : Read the instructions before completing this part. (see instr) or trust's (3) Total

13 Net short-term gain or ( loss) . . . . . . . . . . . . . . . . . . . . 13

14 Net long-term gain or (loss):

a Total for year , , , , , , , , , , , , , , , , , , , , , , , , , , 14a -1,273,140.

b Unrecaptured section 1250 gain (see line 18 of the wrksht ), , , 14b

c 28% rate gain ,,,,,,,,,,,,,,,,,, 14c

15 Total net gain or (loss). Combine lines 13 and 14a , , ► 15 -1,273,140.

Note : If line 15, column (3), is a net gain, enter the gain on Form 1041, line 4 (or Form 990-T, Part 1, line 4a) If lines 14a and 15, column (2), are netgains, go to Part V, and ob not complete Part IV If line 15, column (3), is a net loss, complete Part !V and the Capital Loss Carryover Worksheet as

Ca ital Loss Limitation16 Enter here and enter as a (loss) on Form 1041, line 4 (or Form 990-T, Part I, line 4c, if a trust), the smaller of-

a The loss on line 15, column (3) or b $3,000 16 3, 000

Note: If the loss on line 15, column (3), is more than $3,000, or if Form 1041, page 1, line 22 (or Form 990-T, line 34), is a loss, complete the CapitalLoss Carryover Wbrksheet in the instructions to figure your capital loss carryover

Tax Computation Using Maximum Capital Gains RatesForm 1041 filers. Complete this part only if both lines 14a and 15 in column (2) are gains, or an amount is entered in Part I or Part II and

there is an entry on Form 1041, line 2b(2), and Form 1041, line 22, is more than zero

Caution: Skip this part and complete the Schedule D Tax Worksheet in the instructions if

• Either line 14b, col (2) or line 14c, col (2) is more than zero, or

• Both Form 1041, line 2b(1), and Form 4952, line 4g are more than zero

Form 990-T trusts. Complete this part only if both lines 14a and 15 are gains, or qualified dividends are included in income in Part

of Form 990-T, and Form 990-T, line 34, is more than zero. Skip this part and complete the Schedule D Tax Worksheet in the instructionsI

if either line 14b, col (2) or line 14c, col (2) is more than zero.

17 Enter taxable income from Form 1041, line 22 (or Form 990-T, line 34) . . . 17

18 Enter the smaller of line 14a or 15 in column (2)

but not less than zero 18

19 Enter the estate's or trust's qualified dividends

from Form 1041, line 2b(2) (or enter the qualified

dividends included in income in Part I of Form 990-T). 19

20 Add lines 18 and 19 20................21 If the estate or trust is filing Form 4952, enter the

amount from line 4g, otherwise, enter -0-, . . ► 21

22 Subtract line 21 from line 20 If zero or less, enter -0- . . . . . . . . . .. . . 22

23 Subtract line 22 from line 17 If zero or less, enter -0- . . .. . . .. . ... 23

24 Enter the smaller of the amount on line 17 or $2,400 , , , , , , , 24

25 Is the amount on line 23 equal to or more than the amount on line 24?

B Yes. Skip lines 25 and 26, go to line 27 and check the "No" box.

No. Enter the amount from line 23 25

26 Subtract line 25 from line 24 26

27 Are the amounts on lines 22 and 26 the same'

F]Yes. Skip lines 27 thru 30. go to line 31 NO. Enter the smaller of line 17 or line 22 27

28 Enter the amount from line 26 ( If line 26 is blank, enter -0-) . , . , . ... . .

29 Subtract line 28 from line 27 29

30 Multiply line 29 by 15% (15) , ,, , , , , , , , , , , , , ,, , , , , , , , , , , , , , , , , , , , , , , 30

31 Figure the tax on the amount on line 23 Use the 2012 Tax Rate Schedule for Estates and Trusts

(see the Schedule G instructions in the instructions for Form 1041) . . .. . .. . . . . . . . . . . . . . 31

32 Add lines 30 and 31 32..............................................33 Figure the tax on the amount on line 17 Use the 2012 Tax Rate Schedule for Estates and Trusts

(see the Schedule G instructions in the instructions for Form 1041) . . . . . .. . . . . . . . . 33

34 Tax on all taxable income . Enter the smaller of line 32 or line 33 here and on Form 1041, Schedule

G, line 1a (or Form 990-T, line 36) .. . . . . . . . . . . . . . . . . . . .. . .. . . . 34

Schedule D (Form 1041) 2012

JSA2F1220 2 000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 36

Schedule D-1 (Form 1041) 2012 • 0 Z

Name of estate or trust as shown on Form 1041 Do not enter name and employer identification number if shown on the other side Employer identification number

BEATRICE & SAMUEL A. SEAVER FOUNDATION 13-32514 3 2

n U I nnn_Term Canital (; ainc and tncses - assets Held Mere Than One Year

(a) Description of property ( Example100 sh . 7% preferred of 'Z" Co)

( b) Dateacquired

mo d ay, r

(c) Date sold(mo , day , yr)

(d) Sales price ( e) Cost or other basis( see instructions )

(t) Gain or (loss)Subtract (e) from (d)

6aSEE SCHEDULE ATTACHED 11/30/2013 26,958,440. 27,772,584. -814,144.

PASSTHROUGH FROM HOLDING

COMPANIES 11/30/2013 -48,807.

PASSTHROUGH FROM HOLDING

COMPANIES 11/30/2013 11.

COST ADJUSTMENT 11/30/2013 -410,200.

6b Total. Combine the amounts in column (f) Enter here and on Schedule D, line 6b . . I -1,2 7 3,140.

Schedule D-1 (Form 1041) 2012

JSA

2F1222 2 000

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 37

Financial 360

Investment Management, Trust & Custody AccountsRealized Gainl(Loss) Detail By Account

Date Range : From 1210112012 -To- 11130)2013

AecountiSeeurity COJS)PAcqulsltion DatelLlquidat( on Date(VD)/(Sp)

Total

41011005863453BEATRICE & SAMUEL SEAVER FDN

ALTERNATIVE LN TR 2006-19CB MTG PASSTHRU 02147a8H4CTF CL A-32 DID 06101/06 6 500% OUE08125136(CM7000000)

0912112006-1113012013 (TD)-12126/2013 (SO)

0912112006-1013112013 (TD)-1 1/2512013 (SO)

0912012006-10t3112013 (TD)-1112512013 (SO)

09120/2006-09/30/2013 (TD)-10125/2013 (S0)

0912012006.0813112013 (TD)-0912512013 (SD)

0912012006-0713112013 (1 0)-08/261201 3 (SD)

0912012008-0613012013 (10)-0712512013 (SO)

09120/2006-0513112013 (TD)-06!2512013 (SO)

0912012006.0413012013 (T0)-0.512812013 (SD)

0912012006-0313112013 (T0)-0412512013 (SD)

0912012006-02!28/2013 (TO)-0312512013 (SD)

09!2012006-0212512013 (10)-12325!2013 (SO)

09/20/2006-12!3112012 (TD)-01/25/2013 {SD)

ALTERNATIVE LN TR 2006.31 CD MTG PASSTHRU 02148HAGfiCTFCLA-7 DT009(011066000%DUE11)25136(CM 7000000)

1012412007-1113012013 (TD)-12+2612013 {9D)

10124/2007-1013112013 (TD)-1 1125(2013 (SD)

Quantity Acquisition Cant LiquidatioIPsice• Liquidation RpaUzed RealizedAmount Short Ton; i:,o)1g Tenn

GamlfLoss) Gain41

(27,772.583 57) 26,958,440.30 (333,720.05) (480,423

(27,772,583.57) 26,958,440.30 (333,720.05) (480,423,22)

(272,607.190) (276,365 17) 272.60719 0 00 {3,757 98)9CD

(21,289 920) (21,580 21) 86.46 21,289 92 0.00 (290 29)

(7,887 390) (7,994 94) 86.54 7.88739 0 00 (107 55)

(17,371 530) (17,611 32) 86 54 17,371 53 0 00 (239 79)

(25,210 740) (25,558 73) 85 74 25.2f0 74 0 09T

(347.99)

(19.928 570) (20,203.65) 84 97 19,928 57 0 00N

(275 08)

(33,466 580) (33,928 53) 85 44 33,466 58 0.00 (46195) N

(24,083 320) (24,415 75) 8544 24,083.32 Goo (332.43) A

(26,106) (26,469 35) 9215 26,106 00 goo (360 35)

(20,992 470) (21,282 24) 91 06 20,992 47 goo (20

(18,183.520) (19,092 79) 86.37 18,703 52 0 00 (259 27)

(18,096 340) (18,346 13) 86 38 18,09634 0.00 (249 79)

(24,095 690) (24,428 29) 1 00 24,09569 0 00 (332 60)

(15.295 120) (15,506 24) 86 53 15,29512 0 000

(211 12)

(156,989810) (1511,69l 41) 156,98981 000 5,298.40N

(12,176 710) (11,765 75) 00 49 12,176 71 0 00 410 96

(14,282 270) (13,800.24) 8050 14.282 27 0 00 482 03 c°O

Page 1 of 54

Financial 360

Investment Management , Trust & Custody AccountsRealized Gain/(Loss) Detail By Account

.' 1:^l L:- 1--, •+

Date Range : From 1210112012 -To- 1113012013

Ac4rou^1^(.Re^aritx CU6IPAcquisiffon` Date1Liquidation Oate(TR)I(SD)

Total

10i2412007-09l3012013 (TD)-1012512013 (SD}

10)241200?-08131t2013 (TO)-0912512D1 3 (SD}

101241200 7-07131 t2013 (TD)-0812612013 (S D)

10124f2007-06130)2013 (T0)-07125/2013 (SD)

1012412007-05131x2013 (TO)-0612512013 (SD)

10124t2007-0413012013 (TO)-0512812013 (SD)

1012412007-0313112013 (TD)-04 12512 0 1 3 (SD)

10)24t2007-02I28/2013 {T0)-03/25!2013 (SD)

1012412007-0113112013 (T1))-02125!2013 (SD)

1012412007-12t31t2012 (T0)-01125/2013 (SD)

ALTERNATIVE Ltd TR 2006-39CB MTG PASSTHRU 02148JAE7CTF Cl 1-A-5 OTD 11/01106 6 000" DUE01125137(CM 7000000)

1212112006-1113012013 (T D)-1212612013 (SD)

1212112006.1 013 112013 (TD)-11125/2013 (SO)

1212112006.0913012013 (1 0)-1012512013 (SD)

12(2112006.08/3112013 (TD)-0912512013 (SO)

1 212 1 /2006-0713112G 13 (TD)-0812612013 (SO)

1212112006.0613012013 (7D)-0712512013 (SD)

1212112006.0513112013 (TD)-0612512013 (SO)

1212112006-0413012013 (TD)-05128/2013 (SD}

12/21)2006-0313112013 (TD>-0412512013 (SD)

U'S . I R ' J" T

Quantity" AcgUleFtior) Cost Liquidation Price Liquidation Realized 1(ealizedAmouLit Short Term Long Tdrm

Gainl(1 oss) (3aln1(

(27,772,583.57) 26,958.440 .30 (333,720 05) (480,423.

(12.850.560) (12,41685) 8052 12,85056 000 433.71 230

(13,819 780) (13.353 36) 8004 13,819 78 0 00 466 42 o

(17,850 410) (17,247 96} 79 59 17,850 41 0 00 602.45CD

(7,123 240) (6.882.83) 7964 7.123.24 0 00 240.41

(10,785 150) (10,421.15) 82.04 10,785.15 000 364 00 -

(21,137.620) (20,424 23) 63 07 21,137.62 0 00 713 39

(10,900 440) (10,532.55) 8011 10,900 44 0 00 367 89 -nx

(11,054 330) (10,681 25) 8013 11,054 33 0 00 37308

(10,677 6211) (10,317 25) 80 24 10,677 62 GOO 360 37

(14,331.680) (13,84799) 8023 14,33168 000 48369 Wto

(24,953 340) (25,327 62) 24,95334 GOO (374.28)

8 924 292 8001 881 072 0 00 (401 070)(2,8 ),( ,

(1,392890) (1,413.78) 8014 1,392.89 0.00 (20.89)sw

(3,221 210) (3,269 53) 8009 3,221 21 0 00 (48 32)

(2,286 810) (2,32314) 7956 2,288 81 0 00 (34 33)

(1,882.830) (1,9(1.07) 7904 1,88283 000 (28.24)

(2,309 650) (2.344 29) 78 95 2,30965 0 00 (34.64) m

(2,917 500) (2,961 26) 82 27 2,91750 000 (43.76)

(1,660 290) (1,68519) 83 33 1.66029 0 00 (24.90)

(1,880180) (1,90836) 8127 1,88018 000 (2820)

Page 2 of 54

Financial 360

Investment Management , Trust & Custody AccountsRealized Gaint(Loss) Detail By Account

Date Range : From 12101f2012-To. 1113012013

Accountl&ecurity CUSIPAcquisition Date1Liquiclation Date(TA)I(SD)

Total

1212112006-0212812013 (TO)-0312512013 (SD)

1212112006-01131/2013 (TD)-02l251201 3 (SD)

12121(2006-1213112012 (TD)-01)2512013 (SD)

BANC AMER FOG CORP 2003-1 MTG PASSTHRU 05946XBKBCTF A-1 DTD 11125/02 6000% DUE11125132(CM7000000)

0311 412003-11/30/2013 (TD)-1212S/201 3 (SD)

(131102003-11 12 5120 13 (T4)-1 1125/2013 {SD}

03114!2003-09/3012013 (TD)-10/25+2013 (SD)

0311412003-0813 t12013 (TD)-0912512013 (SD)

0311412003-0713112013 (TD)-0812612013 (SD)

03114/2003.0613012013 (TD)-0712512013 (SO)

0311412003.06/2512013 (TD}0612512013 (SO)

0311412003-0413012013 (TD}•05/28+2013 (SD)

03(1412003.04125/2013 (TD}-0412512013 (313)

0311412003-0412512013 (TD)-0510312013 (80)

0311412003-0412512013 (TD)-0510312013 (30)

03/14J2003-03125P2013 ([D)-0312512013 (SD)

0311412003-01131!2013 (fD)-02125t2013 (SD)

03114/2003-1213112012 (TO)-0112512013 (SD)

BANC AMER MTG SECS INC 2004.6 M7G 05949AKD1PASSTHRU CTF 2 A-4 DTD 06125104 6 250% DUE07125134(CM7000000)

•'. S. T RV ST

Quantity Acquisition Cost Liquidation Price Liqulditlan Realixad RealizedAmount ,Sh*rt•Term •1 Oag Terre

Gain/(Loss) Gain1{

(27,772,583.57) 26,958,440.30 (333,720.05) (480,423.2)

(1,015130) (1,030 36) 84 99 1,015 13 0 0000

(1623)

(1.096 750) (1,113 20) 84 96 1,09675 0 00 (16 45) o

(2,407 030) (2,443 13) 8464 2,407 03 0 00 (3610)CD

(34,384 030) (35,931 31) 34,384 03 0 00 (1.547 28) 0-P)

z(426 270) (44545) 103 53 426 27 0 00 (19 18)

(8,215 430) (8.585 12) 1 00 8,21543 0 00 (369 69)

(2,641 180) (2,760 03) 103 57 2,641 18 0 00 (11885)

(2,221 410) (2,321.37) 103 56 2,221 41 0.00 (99 96)

(1,214 340) {1,26899} 103 56 1,214.34 0.00 (54 65)

(6,202 770) (6.461 89) 103 59 6,202 77 0 00 (279 12)

(11.1374 130) (1,74947) 100 1,674. 13 000 {7,

(963 810) (1,007 18) 103 60 963.81 0 00 (4,

(2,753 810) (2,877 73) 1 00 2,75381 0 00 (123 92)

(2,778 200) (2,903 22) 1 00 2,778.20 0 00 (12502)

2,753 810 2,87773 1 00 J2,753 81) 0 00 123 92

(1,478 340) (1,544 87) 1 00 1.47834 0 00 (66 53)C,

(2,767 310) (2,891.84) 99 80 2,76731 0 00 (124 53)m

(3,800 840) (3,971-88) 99 88 3.80084 0 00 (171 04) 2

(59,848 270) (60,8$8 21) 59,840 27 0 00 (1,009.94)cn

Page 3 of 54

Financial 360

Investment Management , Trust & Custody AccountsRealized Gain t(Loss) Detail By Account

Date Range : From 12101/2012 -To-1113012013

Accqunt1porcurlty CUSIPAcq'ui8itlon Date/ Lrqulda(ion Datc(14V(8 }

Total

07t2612004-1113012013 (TD)-121M2013 (SD)

0712612004.1013112013 (TD)-I 112x512013 (SO)

0712612004.0913012013 (TD)-10;25r2013 (SD)

07!26/2004-08131!2013 (TD)-0912512013 (SO)

07!2612004-0713112013 (TD)-08!2612013 (SD)

0712612004.0613012013 (TD)-07125!2013 (SD)

07126+2004.0513112013 (TD)-0612512013 (SO)

0712612004.0413012013 (TD}-05128/2013 (SD)

07126/2004-0313172013 (TD)-0412572013 (SD)

07(2612004-0212812013 (TD)-0312512013 (SD)

0712612004-0113112013 (1 D)-0212512013 (SD)

07126/2004-12131/2012 (TD)-0112512013 (SD)

BANG AMER MTG 2007.1 TR MIG PASSTHRUCTF CL 1-A-5 OTD 02/01107 6.000% 0UE03J25137(CM7000000)

1111912007-1113072013 (TD)-12126t2013 (SD)

1111912007-1013112013 (TD)-1112612013 (SD)

1111912007-0913012013 (TD)-1012512013 (SD)

1111912007.0813122013 (T D)-0912512013 (SD)

1111912007-0713V2013 (TD)-0812612013 (SD)

1111912007.0613012013 (TD)-07125!2013 (SO)

1111912007.0513112013 (TD)-06!25!2013 (SD)

05952HAE9

7. `^. l . ^U S,1,

Quantity Acquisition Cost Liquidation Price Llquidsf1ion Realized ^'€uallzbdAmount Sho1(tTerm Lo6r91erm

GainJLus?b) GalnI(•

(27,772,583 57) 26,958,440.30 (333,720.05) (480,423

(19550) (19 88) 10017 1955 0 00 (033)

(459 570) (467 33) 100 21 45957 0 00 o(7761

(18.820) (1914) 100 21 1882 0 00 (032)

(464 080) (471 91) 10000 464 08 0.00 (783) '_-

(489 520) (497 78) 100 01 489 52 0 00 (826)

(220 970) (224 70) 100 02 220 97 0 00 (3.73)

(4,301 690) (4,374 28) 300 03 4,301 69 0 00 (72 59) -n

(25,229 520) (25,655 27) 100.06 25,229.52 0 00 (425 75)

(4,830 510) (4,912 02) 100 06 4,83051 0 00 (81 51)

(7,792.190) (7,923 68) 101 88 7,79219 0.00 (131 49)

(10,373 290) (10,548 34) 101 92 10,373 29 0 00 (175 05)

(5,648 560) (5,743 88) 101.94 5,64856 0.00 (9^

(23,180 420) (21,499 84) 23.180 42 0 DO 1,6

(2,514 850) (2,332 52) 91 64 2,514.65 0.00 182 33 _j

(1,773890) (1,645 10) - 91 65 1,773 69 0010 128 59

(1,659 980) (1,539 63) 91.66 1,65998 0 00 120 35

(4,494 610) (4,168 75) 91 40 4,494.61 000 325 06 m

(3,525 970) (3,270 34) 91.50 3,52597 060 255.63 a

(2,645 220} (2,453 44) 91 40 2,64522 000 191.78 0oD

(1,605 250) (1,488.87) 94 22 1.60525 0 00 116 38

Page 4 of 54

Financial 360

Investment Management , Trust & Custody AccountsRealized Gainl(Loss) Detail By Account

Date Range: From 12/01/2012 -To-1113012013

ActSdtrnt1SLCurity CUSIP•*dt( r.tlsltron Dale/Liquidation Date(TD}1(SD)

Total

1 111 91200 7-04130(2013 (TD)-0512812013 (50)

1111912007-10313112013 (TD)-0412512013 (SD)

BLACKROCK BUILD AMERICA BOND FUNO(B8N} 09248X100

U 513112011-1112612013 (TO). 12J0212013 (S D)

05131r2011-11 12W01 3 {TD)-1211}212I]13 (SD)

0513112011-1112612013 (TD)-1210212013 (S D)

0513 112 01 1-1 112612 0 1 3 (TD)-1210212013 (SD)

05131/201 1-06x2&2013 (1 D)-07/01/2013 (SD)

0513112011-0612612013 (TD)-07101 120 1 3 (SD)

05/3112011.06/1612013 (TD}-0710112013 (SD)

00112011-06!2612013 (TD)-0710112013 [SD)

0513112011-0612612013 (TD)-0710112013 (SD)

0513112011-0612412013 (T[))-0612712013 (SO)

05131(2011-0612412013 (TD)-0612712013 (SO)

05/2712011-06124/2013 (TD)-0S/27)2013 (SO)

0512412011-0611912013 (TD)-0612412013 (SD)

05/2412011-0611912013 (TO)-06/2412013 (SD)

05!2412011-0611912013 (TO)--0612412013 (SD)

0512020111-06M WO 13 (TD)-0612412013 (SD)

0 5/24120 1 1-D6/1912013 (TD)-06!24/2013 (SD)

W27/2011-0611912013 (TD}-0612412013 (SO)

Quantity Acquisltlon Cost Liquidation Price. Liquidation Ttoaiixad ReaiedAmriunt 6hortTerm Lang Term

Gain1(Loss) , Gain!(L

(27,772,583 57) 26,958,440 30 (333,720.05) (480,423 2

(2,267 890) (2,103 47) 9508 2.26789 0 00 164 42

(2,692 960) (2,497.72) 95.69 2,0296 0 00 195.24

(62,703) (1,175.885 26) 1.221,30193 0 00 45,416 67cu

(2,350) (44,112 25) 18 24 42,544 88 0 00 (1,567 37) 1

(2,650) (49,743.60) 18 24 47,971 82 goo (1,771 78)

(3,700) (69,638 81) 1824 66,979.62 0 00 (2,659 29)

(4.000) (75,325 20) 1824 72,416 83 goo (2,908 37) ^x

(2,300) (43,311 99) 19.79 45,332 20 0.00 2,020 21

(300) (5,646.39) 1979 5.91347 0 00 267 08Ln

(4,000) (75,084 80) 1979 78,846 21 0.00 3,761 41 r-

(700) (13,181 91) 1979 13,798 09 0 00 616 18 N

(700) (13,181 91) 19.79 13,79616 0 00 614

(2,300) (43,311 99) 1910 43,70 39 0 00 43

(3,000) (56,493 90) 19 10 57,060 50 0 00 566 60

(4,700) (88,441 31) 1910 89,394 78 0 00 953 47

(467) (8,639 01) 2021 9,40054 0 00 761 53

(100) (1,93800} 2019 2,010.97 0.00 7297

(1,233) (22, 809.21) 20.19 24,795 32 0 00 1,986 11 NO

(700) (12,94926) 20.19 14,083 75 000 1,13449

(913) (16,933.39) 2019 18,159 1f] 009 1,225 71

(2,703) (50,863 13) 20 18 54,35E 38 0 DO 3,4932531

Page5of54

Financial 360

.Investment Management , Trust & Custody AccountsRealized Gain!(Loss) Detail By Account

Date Range : From 12)01(2012 -To- 1113012013

AccouIdJ6oay -: CUSIPAcquI9Itio1 13at.e/Liqu (dat1on Date(fR}((SD)

Total

0512712011-06119)2013 (TO)-0612412013 (SD)

0512612011-0611912013 (TD)-06)2412013 {SD)

0512612011-06(19/2013 (TO)-06/2412013 (SO)

0512&201 1-06 11 9120 1 3 (TO)-06)241201 3 {SD)

0512412011-0611912013 (TO)-0612412013 {SD}

05(2412011.06(1912013 (TD)-0612412013 (SD}

05124/2011-06/1912013 (TD)-06J24/20t3 {SD)

05124/2011-06119)2013 (TO)-0612412013 (SD)

05124/2011-06119)2013 (TD)-0612412013 (SD)

05124/2011.06/1912013 (1 0)-0612412013 (SD)

0512412011-06119/2013 (TD)-06/2412013 (SO)

0512412011-0611912013 (TD)-06124/2013 (SD)

BLACKROCK ENHANCED GOVT FUND INC 09255K108C0M(EIF}

05101)2006.11/26!2013 (TD}-12(0212013 (50)

04/28)2006-11126(2013 (TD)-12!0232013 (30)

04/2712006.1112612013 (TD}1210212013 (SO)

CHL MTG PASS THRU TR 2007-2 MTG 12544CAC5PASSTHRU CTF CL A-3 DTD 01101/07 6.000% DUE03t25137(CM7000000)

0912512007-1 V30/2013 (TD)-12/2612013 (SD)

0912 51200 7-1 0)3112013 (TD)-1 112512013 (S D)

U.S . . 'A R UST

Quanti^ Auquisltlon Cost Liquidation Price LiquldaUon' Realized RealizedAmount . Short Torm Long Term

Galnl(Loss) - Gain/(1-

(27,772.563. 57) 26,958 ,440.30 (333,720 05) (480,423 )

{300} (5.645 t9) 20 18 6,03289 . 0.00 387.70

(1,003) (18,737 02) 20 18 20,169,98 0.00 1.43296

(1,997) (37,305 91) 20 18 40,158 97 0 00 2,853.06

(5,000) (93,454 50) 20 18 100 548 24 0 00CD

7,093 74 2.

(1,097) (20.571 35) 20 18 22,049 42 0 00 1,47807 -z

(1,497) (27,959 09) 20 18 30,104 14 0.00 2,145.05 9

{2.500) (46.736 15) 20 18 50,274.12 0 00 3,53797 Tx

(2,500) (46,685 45) 20 18 50,274 12 0 00 3,58867 N

(2,500) (46,837 56) - 20 18 50,249.38 0 00 3,411.8200

LT'(2,500) (46,786 86) 20 18 50,249.37 0 00 '3,462.51LO

(2,500) (46,812 21) 20 18 50,274-12 0 00 3,461 91

(2,503} (46,747 91) 20 18 50,309 67 0 00 3,5

(9,000) (147,701.36) 126,859.82 0 00 {20,84

(3.300) (54,340 64) 14 23 46,515 27 0 00 (7,825 37)

(4,500) {73,644 06} 14 23 63,429.91 0 00 (10,214 15)

(1.200) (19,716 66) 14 23 16,914 64 0 00 (2,80202)

(178,105 880) (170,981 63) 178,105 88 0 00 7,124 25

aa(9,433970) (9,05661) 9067 9,433.97 000 37736

(20,731,380) (19,90212) 9081 20,73138 0.000

82926 °m0cnrn

Page 6 of 54

Financial 360

Investment Management, Trust & Custody AccountsRealized Gaini(Loss) Detail By Account

Date Range : From 1210 112012 -To• 1113012013

Ac ountlSecw)ty CUS1PAri( *(sitionDate1Uquida(lon'Date(TD)1(St

Total

09/25+2007 - 0913012013 (TD)•1012512013 (SO)

0912512007 - 08131t2013 (TO)-0912512013 (SD)

09125/2007 -0713112013 (TD)-0812612013 (SD)

0912512007.06/30(2013 ( TD)-0712512013 (SD)

0912512007 -0513112013 (fD)-06125(2013 (SO)

09)2512007-0413012013 (T0)-0512812013 (SD)

0912512007 -0313112013 ( TD)-04(2512013 (SD)

09/2512007.0212812013 (TD)-0312512013 (SD)

0912512007-0 113112013 (TD)-0212512013 (SD)

09(2512007 - 1213112012 (TD)-0112512013 (SD)

CWALT INC2005 - 50 MTG PASSTHRU CTF CL 1-A- 12668AGA7OTU 09+01105 5 500% DUE 11125J35(Cld7000000)

01126+2007.1113012013 (TD) . 12/2612013 (5 D)

0112612007 - 1013112013 (TO)-1112512013 (SD)

011202007.00/30)2013 (TD}1012512013 (SO)

0 1t26/2-007- 0813112013 (TD)-0912512013 (SO)

0112812007 -0 713112013 { 10 )-0812 6120 1 3 (SD)

01126l007-6613012013 (TD)-07)25/2013 (SD)

0110412007 - 06/3012013 (TD)-0712ES2013 (SD)

0V0412007-0613012013 (70)-07125(2013 (SO)

01(0412007-0513112013 ( TO)-061251201 3 (SD)

's. 'X, RR u I

Quantity Acquisition post- Liquidation Price Liquidation Rtes ed RealizedAmount Short 6rm Long Term

Galnl( oo Gain (L

1(27,772,583.57) 26,958,440.30 (333,720 .05) (480,42339

(22,790 500) (21,878.68) 90 95 22,79050 0 00 911 62 a=^Oi

[1,153 440) (1,107.30) 90 99 1,153.44 0 00 46 14

(23,856 380) (22.902 12) 90 60 23,856 38 0 00 954 26rn

(16,065 970) (15,423 33) 90 85 16,065 97 0 00 642 640

(16,557 530) (15,895 23) 92 53 16,557 53 0.00 662 30 -

(24,043.1510) (23,081 87) 9340 24,043 61 (100 961 74 a

(14,974 910) (14,375 91) 92 89 14.974 91 0.00 599 CO T

(4,526 990) (4,345 91) 91 99 4.52699 0 00 181 08 N

(13,487 060) (12,947 58) 91 97 13.487 06 0.00 53948

(10,484 140) (10,064 77) 93.92 10,48414 (100cn

419 37

(186,670 930) (180,155.83) 186,670 93 0 00 6,515 10

(12,611 900) (12,012 83) 92 06 12,611 90 0.904

(7,970 870) (7,592 25) 91 98 7,970.87 000 378 62

(18.340 630) (17,469 45) 91.88 18.340 63 0.00 871 18

(12,119 170) (11,543.51) 91 87 12,11917 0 00 57566

(20,098 430) (19,143 75) 88 58 20,098 43 0.00 95468

(16,240 770) (15,469 33) 88 55 15,240 77 0 00 771 44

(133 460) 1300 88 55 133 46 coo 133 46 L

(2.110 790) (2,063 30) 8955 2,11079 0 00 47 49 232

(16,713 930) (16,337.87) 91 59 16,713 93 0 00 37606

Page 7 of 54

Financial 360

Investment Management, Trust & Custody AccountsRealized Gain/(Loss) Detail By Account

..(' • i •, l.. ,I

Date Range: From 12101)2012 Jo - 11130/2013

Account)S curdy CUSIPAequisitlon Date1L(quidation DAo(11})1 (SD, y :- ,

Total

0110412007-0413012013 (TO)-0512612013 (SO)

01104!2007-03!3112013 (TD}0412512013 (513)

01104/2007-0212812013 (TD)-0312512013 (SD)

0110412007-0113112013 (TD)-02125!2013 (SO)

0 110 41200 7.12!3112012 (7D)-0112512013 (SD)

CWMBS INC 2003-J2 CFIL MTG PASSTHRU CTF 12669DY£2144A B-5 DTD 0112403 5 750% DUE081251t 7(CM7000000)

1210912003-'11130!2013 (TD} 1 212 612013 (S D)

12(0912003-1013112013 (TO)-11125!2013 {SD)

12/0912003-0913012013 (1 D)-10!2512013 (SO)

1210912003-0813112013 (TD)-0912512013 (SD)

1210912003-0713112013 (TO)-0812612013 (SD)

12109(2003.0613012013 (TD)-0712512013 (SO)

12/09t2003-05x3112013 (TD).0G12512013 (SD)

1210912003-0413012013 (TD)--05128/2013 (SD)

12!0912003-0313112013 (TD).0411512013 (SO)

1210912003-0212612013 {T0)-0312512013 {SD)

1210912003-0113112013 (TD)-02125/2013 (SO)

1 21091200 3-1 2131 120 1 2 (TD)-01!2512013 (SD)

CITICORP MTG SECS INC 2004.6 PASSTHRU CTF 172973C56CL IA-6 071) 09101/04 5 500% DUE09125134(CM7000000)

L.S.TRUST_'!

Quail ,ty Acquisition Cost Liquidation i'rI o. Liquid2ition Realised Rt9a[i4edAmount Shart't-ern 1. ong T6ffp

Gain1(Loss) Gain){t.,

3(27,772,583 57) 26,958 ,440.30 (333,720 .05) (450 , 42 .

(10,530 120) (18,11319) 92 20 18,530 12 0 00 416 93 0

(15,673.480) (15,32083) 90.00 15,67348 000 352.65

(11,519 350) (11,260 17) 8998 11,519 35 000 259 18

co(17,775 460) (17,375-51) 89 97 17.775 46 0 00 399.95 :-

(16.632.570) (16,45384) 89 92 16,832 57 0 00c"

378 73 -°7

{65,167 700) (65,14(d.64) 65,167 70 0 00 41 06 ,

T(Y7

(3,084 570) (3.082 63) 103 20 3.08457 coo 1 94 N

(3,049 360) (3,047 44) 103 42 3,049.36 boo 1.92 11-'00

(1.134 020) (1,13331) 10342 1,134.02 000 971

(2,235 490) (2,234.08) 103 42 2,23549 0 00 1.41 N

(10,314 080) (10,307 58) 103 48 10,314 D8 0 00

(5,132170) (5,12894) 10349 5,13217 0.00

(3,719.900) {3.717 56) 10350 3,71990 0 00 2 34

(6,851 360) (6,847 04) 103 51 6,851 36 0 00 4 32

(9,156.740) (9,15097) 10350 9,15674 000 577 0

(2,549 420) (2,547 81) 10356 2,54942 coo 1 61 -

(10.053 320) (10,048 99) 103.59 10.053 32 0 00 6 33

(7,907.270) (7.902 29) 103 63 7,907 27 0.09 4 98

(36.505 250) (34,953 76) 36.505 25 0 00 1,551 49-0

C"Page 8 of 54

Financial 360 (_7. S.1,1 U S'T'


.V„oI . • ',-I _ ,-

Date Range : From 1210112012 Jo-1113012013

,Acaaunt1SecUrity - CUSIP 'Quantity Acqulsltlon Cost Liquidation PriceA yylsltion DatefLit(uidaation Oate(7D)1(SD)

z

Total

0212312006-07125/2013 (TO)-0712512013 (SD)

02/23/2006.05/31)2013 (TD)-06125/20 13 (SD)

0212312006-04130!2013 (TD)-05128!2013 (80)

0212312006.03131t2013 {TO)-0412 5 120 1 3 (SD)

0212312006.02/2812013 (TD).-0312512013 (SD)

0212312006.01)3112013 (TD)-0212512013 (SO)

0212312006-1213112012 CTU)-01/2512013 (SD)

CITICORP MTG SECS TR 2006-6 PASSTHRU CTF 173100AC2CL A-3 DTO 11101106 6 000% DUE11125136(C M7000000)

1111612007-11!3012013 (TD)-1212612013.(SD)

1111612007.10!3112013 (1-D}1112512013 (S0)

I111612007-0913(112013 {TD)-1C 2512013 (SO)

1111612007.08l3 /2013 (TD)-09!2512013 (SD)

11116)2007.0713112013 (TD)-08126/2013 (SO)

1 111 612007-06 30!2013 (TO)-07i2512013 (SD)

CREDIT SUISSE FIRST BOSTON MTG 2003-17 22541QPM8W1TG PASSTHRU CTF CL IA14 DTO 081011035-500% DUE 09125133(C(17000000)

09124!2007-1 1 12 5120 1 3 (10)-1 112 5120 1 3 (SD)

0912412001.0813112013 (10)-09125/2013 (SD)

0912 412 0 0 7-08125.2013 (TD)-08126/2013 (SD)

0912412007.06/30013 (TD)-0712512013 (50)

Liquidation RealisedAmount Short Term

Gainl(Lass)

(27,772 , 583.57) 26,958,440.30 (333,720.05)

(11,283 550) (10,804 00) 100 00 11 , 283 55 0,00

(5,761560) (5.516 69 ) 100 32 5, 761 56 0 00

(3,439 260) (3,293 09 ) 100 47 3,439 26 0 00

(3,527.610) (3,377 68) 100 61 3,52761 000

(3,503 770 ) (3.354 86 ) 100 69 3,503.77 0 00

(8,182 600 ) ( 7.834 83) 100 92 8.18260 0 00

(806 900) (772.61) 100.95 806.90 0 00

(71.928.070) (67,612 38) 71,928 07 0.00

(4,159 460) (3 , 909 89 ) 99 83 4,159.46 0 00

(4,950.880) (4,653 .83) 99 85 4,950 88 0.00

(9,811 600 ) (9,222 90) 99 88 9,811 60 0 00

(22,016 680) (20,695 68) 99 97 22,016 68 0 00

(19,211 010 ) (18,058 . 35) 99 95 19,211 .01 0.00

(11,778 440) (11.071 73 ) 10001 11 , 778 44 (100

(12,761930) (11,7156 84) 12 . 761 93 000

(445%0 ) (411 98 ) 1 00 445 98 0 00

(1,169 .060) (1 ,098 40) 100 00 1.18906 000

(2,441 980) (2.?55 78) 1 00 2,441 98 0 00

(68460) (63.24) 9998 68 .46 0.00

ReiluedLon Tenn

(460,423.

479 55

244 87 0

146179

149 93 2.

148 91 ?C'z

347 77

34 29 T

4.31569 N

a"

249 57

297 05 ^t

5

1,3

1,152 66

706 71

973.09

3400

90 66 a

186200

5220

m

Page 9 of 54

Financial 360 U.S'rnwS'#l

-

i„ .. . • I , .-III .

Investment Management , Trust & Custody AccountsRealized Gainl (Loss) Detail By Account

Date Range From 12 0112012 -To- 1113012013

AccpuntlSecurity QuantEty Acqu(sition Cost itquidation Price Liquidation RoQiied RewE adAoquk31tion OatelLiquidat,I n Date(TD ) I (SO) Amount Short Terni

inl(l sGLotl It m

in? Lo 'G,psa ) a

1Total (27,772,583 . 57) 26,958 , 440 30 (333 , 720.05) (480,423

0912412007.0413012013 (TD)-0512812013 (SD) (646 920) (597 59) 99 96 64692 0.00 49 33 c

09124/2007-0313112013 (T0)-0412512043 (SD) (1.701 650) (1,571 90) 100 13 1.70165 000 t29 75

0912412007-0113112013 (TD)-0212512013 (SO) (3,270 790) (3,021 39) 100,28 3,270 79 0 Oft 249 40

0912412007-1213112012 (TD)-01125/2013 (SD) (2,997 090) (2,768.58) 100 38 2,!997(19 0 00 228 53 c_

FEDERAL HOME LN MTG CORP SER 1714 CL S( 3133T5BP7 (47.230 650) (51,188 22) 47,230.65 0 00 (3,955 57) p1010 04/01194 7 000° DUE 04115124{CM7000000}

19(2212009-1113012013 (T0)-1 211 61201 3 (SD) (2,658570) (2,881 23) 114.02 2,65857 0 00 (222 66)

10t2212009.10131(2013 (TD)-1111612013 (SO) (3,048 630) (3,303.95) 114 18 3,048 63 0 00 (255 32) X

1012212009-0913012013 (TD)-1011512013 (SD) (3,178 090) (3,444 26) 114 04 3,17809 0.00 (266 17)

1012212009-08131/2013 (TD)-0911612013 (SD) (3,342100) (3,622 00) 113 17 3,342 10 0.00 (279 90) CION

10122(2009-0713112013 (TD)-0811512013 (SD) (5,978 360) (6,47905) 113-89 5,978 .38 0,00 (500 69) A

19122/2009-06(3012013 (TO)-0711512013 (SD) (4,018 690) (4,355 26) 113 35 4.01869 0 00 (336 57) N

1012212009-0513112013 (TD)-0611712013 (SO) (3,505 600) (3,799 19) 114 03 3,505 60 0 00 (2`

10122120094413U/2013 (TD)-05(1512013 (SD) (8,133 120) (8.814 27) 115 33 8,133 12 0,00 (661 )

1012212009-0313112013 (TD)-0411512013 (SO) (2,565 960) (2,780 86) 115 21 2,56596 0 00 (214 90)

10/2212009-021282013 (TD)-0311512013 (SD) (3,160 290) (3.424 96) 114 93 3.16029 0510 (264 67) -i

I 0!221200401131/2013 (TO)-02f15/2013 (SO) (2,781 130) (3,014.05) 1 t5 15 2,781 13 0 00 (232 92) °

10122(2009-12131(2012 (TD)-0111512013 (SD) (4,80 110) (5,267 14) 11500 4,860.11 0.00 (40703)8

FEDERAL NATL MTG ASSN SER G-14 CL L DID 31358CIJ99 (1,065) (1,107.62) 1,06500 0 00 {42 62)06/011918 500% DUE 06125121(CM7000000)

02J26(2001-11J30/20131(ID)-12326!2013 (SD) {47 290) (49.18) 116 11 4729 0.00 (189)o

0212612001-1013112013 (TD}-1112512013 (SD) (125930) (130.97) 115 80 125 93 0.00 (5.04)cnrn

Page 10 of 54

Financial 360


,1^ • ( • E. lv ;l-, •. , . 1, „


Ac^cwt+t/3eOurtty ',j(S1Acq isftion DatettJquidation Date(TD)T(SD)

Total

0212&2001-0913012013 (TO)-1012512013 (SD}

02J2612DO 1 -OW3112013 (TD)-0912512013 (SO)

02)26 2001-07!3112013 (TO)-0812612013 (SD)

02!2612001-0613012013 (TD)-07!2512013 (SO)

02!2612001-05!3112013 (TO)-0612512013 (SD)

02J2612001.04t30)2913 (TD)-65128!2013 (SD)

0212612001-0313112013 (TO)-0412 512013 (S D)

0212612001.02!2812013 (TD)-03125!2013 (SD)

0222812001-01)31/2013 (TO)-0212512013 (SD)

0212612001-1213112012 (TD)-01)25f2013 (SO)

FEDERAL NATL MTG ASSN SER G92-26 Cl GDTD 04101192 8000% DUE 04125122(CM7000000)

0111012001.11130)2013 (TD)-12126/2013 (SO)

0111072001-1013112013 (10)-1112512913 (SD)

0111012001.0913012013 (TD}10(25/2013 (SO)

01A 0120(11-08!3112013 (TD )•09125!2013 (SD)

01110)2001.07/3112013 (TD)-08!2612013 (SO)

0 111 012 0 0 1-0613012 0 1 3 (TO)-07125(201,3 (SO)

011101200)-05/3112013 (TD)-06t25t2013 (SO)

0111012001-0413012013 (TD)-0512812013 (SD)

01/1012001.03131!2013 (TD)-0405/2013 (SO)

31356MB52

04,filgt(ty'• A'cqulsition Cost Liquic(atlon 131tce',: t • Liqucltl0n Realized R4ait ed•Arllquret Shark Term Lon to n

• ` . Gain/#I-oss) GainII(Lo

(27,772 ,583.57) 28,958,440.30 (333,720. 05) (480,423-

(52 280) (54 37) 115 75 52 28 0,00 (209)

(60 200) (62,61) 115 39 60.20 0 00 (241)

(63 930) (66 49) 115 70 63 93 0 00 (256) a

(92 240) (9593) 115 90 9224 0 00 (3 89)

(183 360) (19070) 116,20 183 30 0 00 (734)

(84120) (8749) 116 36 64 12 000 (337)

(101 410) (105.47) 116 89 101 41 0 00 (4.06) T

(68 530) (71 27) 116 78 68.53 0.00 (2 74)

(51 790) (53 86) 11643 51 79 0 00 (207)

(133 920) (139.28) 116 66 133.92 0 00 (5.36) rv

(108 200) (111.84) 108 20 0 00 (364)

(7.660) (792) 111 56 7.66 0-09

(8060) (833) 111 33 8 06 (100 (- )

(10510) (1086) 11136 1051 000 (035)

(9 580) (9 90) 111 35 9 58 0 00 (0 32)

(9 330) (964) 111 59 9 33 0 00 ((131)

(9) (9 30) 111 70 9 00 0.00 (030)8

(85,30) (8 82) 111,99 8 53 0 00 (0 29)

(7.660) (792) 112 09 7 66 0 00 (026)

(12240) (12 65) 112,24 12.24 0 00 (0 41)

Page 11 of 54 C'

Financial 360 U. S• TRL%Sf 1

Investment Management, Trust & Custody AccountsRealized GainI(Loss) Detail By Account

Date Range : From 1210112012 -To-1113012013

Acccurltl8ecurity CUSIP Quantity Acquisition Coat LIquidatlon Prrce Liquidation 'Realized RealizedA quisition Date)Llquidution Date(TD)I(SD) - . - A? u11t stlort°Tarm Long Term

t,ajni(Los^) Gttinl(t_

Total (27,772,583 .57) 26,958,440 .30 (333, 720.05 ) (480,423

011I0/2001.02/28J2013 (TD)-03!2572013 (SO) (7 320) (757) 112 29 7 32 0 00 (025) '

0111012001-01131013 (10).02/2512013 (SD) (10420) (10.77) 112 38 10.42 000 (035)

0111012001-12131t2012 (TO)-01!25!2013 (SD} (7890) (8 16) 112 58 7 89 0 00 (0.27) ,

cnFEDERAL NAIL MTG ASSN SER 1994-61 CL E 31359HUT9 (638 800) (661 17) 638 80 (100 (22 37)DID 04101194 7 500% OUE 04(25/24) CM 7000000) 0

03/2712001-1113W2013 (TD).12t2612013 (SD) (36050) (37 31) 112 91 36 05 000 (1 26) z

03/27t2001-1{/3112013 (TD)-11125(2013 (SD) (29.930) (30 98) 113 22 29 93 0 00 (1()5)

03127/2001.09!30!2013 (TD)-1012512013 (SD) (76 260) (78 93) 113 11 7626 goo (2 67) X

03127!2001-0813172013 (TD)-09/2512013 (SD) (69160) (71 58) 112.38 6916 000 (242)N

103!27001-07131t2013 (TD)-0 812612 01 3 (SD) (57430) (5944) 112 65 57 43 000 00(2 0 )

03/27/2001-06130!2013 (TD}-07125/2013 (SO) (72 470) (75.01) 11283 72 47 0 00N

(2 54) A

03!2712001.05131!2013 (fD)-06125/2013 (SO) (40590) (42 01) 11330 40 59 0 00 (1.42)

03127/2001-0413012013 (TD)-05!2812013 (SD) (56390) (68.37) 113 72 56 39 0.00

03/2712001-03/3112013 (TD)-04125/2013 (SD) (36 930) (3822) 113 82 36 93 0 00 (1 9)

03!27!2001-02!2812013 (TD}03/2512013 (SD) (26450) (27 38) 113 65 2645 000 (093)

0312712001-01!31!2013 (TD)-02125!2013 (SD) (63 380) (65(30) 113 75 6338 0 00 --,(2221

03/2712001-12!3112012 (TD)-0112512013 (SO) (73 760) (76 34) 113 80 73 76 0.00 (2 58) E2

FEDERAL NAIL MTG ASSN SER 2013-23 CL MV 3136ADAM1 (27,142 290) (28,295 84} 27,142 29 (1,153.55) 0 00DTD 02101173 3 500% DUE 03125143(CM7000000)

04!1512013-11!3012013 (TD)-12126/2013 (SD) (2,482.890) (2,58841) 98 87 2,48289 (105 52) 0 00

04!1512013-10!31!2013 (1'D)-1112512013 (SD) (992) (1.034 16) 100 02 992 00 (4216) 0 00

1J4?1 5120 1 3-09!30!2013 (TD)-1W2512013 (SD) (990 640) (1,032 95) 100,33 99084 (42 11) 0000Lrirn

Page 12 of 54

Financial 360


Date Range: From 1210112012 -To- 11130J2013

Account/Soc^lrt^r GUs1PAcquts )tion DAte711quidalion Datu(1T3)I(SD)

Total

0411512013.08l31t2013 (TO)-09/2512013 (SD)

0411512013 -0713112013 (TD)-08/2612013(80)

0411512013-06)30120 1 3 (1 O)-071251201 3 (SD)

04/1512013-W3112013 (TD)-06/22013 (SD)

04/1512013-0413012013 [TD)-0512812013 (SD)

FEDERAL NAIL MTG ASSN SER 2103 -58 CL CS 3136AEJK4DTD 05/01113 3 000% DUE 06125143 ( CM7000000)

0711612013.1113012013 (TD)-12126!2013 (SD)

07/1612013 - 10131!2013 (TD)-1112512013 (SD)

07l16/2083 - 0913012013 (TD)-1012512013 (SD)

0711612013-08131/2013 (TD)-0912512013 (SO)

07/16/201 3.0 713 1120 5 3 (TD)-0812612013 (SD)

FEDERAL NATL MTG ASSN SER 2013-74 CL ET 3136AE5L7DTD 06101/13 3 000% DUE 07125143 ( CM7000000)

07r2g)2013- i V30)201a (TD)- JMW2013 (SD)

FEDERAL NATL MTG ASSN SER 2013-105 CL CA 3136AGPS5DT) 00101f13 3 500% DUE 09125143 (CM7000000)

0812612013 - 1113012013 ( TD)-1212612013 (50)

0812U200-10131J2013 (10)-1 1125/2013 (SD)

0812612013.0913012013 (TO)-1012512013 (SO)

FEOERAL NAIL MTG ASSN SER 2011 - 148 CL C8 3136A3EX5DTD 12/01111 4 000% DUE 01f25J42(CM7000000)

0711 F92012-01131 +2013 (TD)-0212512013 (SO)

Quahtitpr ";Ac^Lds11ion Gott, Liquidation Price Liquidation Realized Reallze't1Amount 0-7rnrt Perm -

sj.on Term

Gain!(tos ) GainI L

(27,772,563.57 ) 26,958, 440.30 {333,720.05} (480,423.

(2.912 870) (3,036 67) 9680 2,912 87 (123 60) 0 00

(10,646 600) (11,099 00) 97 39 10,64660 (45248) 000

(6,320 840) (6,589 48) 10080 6,32084 (266 64) 01)G

(5,790 780) (1,866 89) 100 03 1 790 78 (76.11) 0 00

(1,005470) (1,048 20) 108 40 1.00547 (42 73) 0 00 -°1

(23,788) (23,505 52) 23,768 00 28248 0 00

(6,637 700) (6,558 88) 95 20 6,637 70 78 82 0.00

(5,703.900) (5,63617) 96 38 5.70390 67 73 0 00

(4,763 220} (4,706 66) 96 25 4,76322 56 56 0.00 m

(3,816 940) (3,771 61) 9462 3,816 94 4533N

00o ca

(2,866 240) (2,832 20) 94 78 2.86624 34 04 0.00

(25,289 760) (24,522 47) 25,289 76 767.29 •

(25,289 760) (24,522 47) 91 43 25,289 76 767 29 0 00 _

(89,418.730) (90,471 95) 89.478.73 (993.22) 0 00

(30.025 800) (30,359 09) 106 27 30,025 80 (333 29)N

0 00 °

[29,829 1650) (30,160 76) 104 07 29,829 65 {331 ti) 0 00

(29,623 280) (29.952 10) 103 64 29,623 28 (328 82) 0 00

(2,078,201 640) (2,193,459 47) 2,078,201 64 (115,257,83) 0.00

(970,834 420) (1,026,657 40) 100 25 970,834 42 (55,822 98) 0 00

Page 13 of 54C"

Financial 360


Date Range : From 42l01I2012 -To-1113012013

AasoontlSecutity GUSI9Acf(misltion,Dato/Liquidation Date(TD)/(SD}

Total

0711812012-12)31/2012 (TD}-0112512013 (SO)

06/29/2012-1213172012 (10)-0112512013 (SD)

05130!2012-1213112012 (TD)•0112512013 (80)

FEDERAL NAIL MTG ASSN SER 2011-135 CLUB 3136A3PR5DID 1 2101111 4 000% DUE 01125142(CM7000000)

1112232011.0212812013 (TD}0312512013 (SO)

1 V202011-0113V2013 (TD).0212512013 (SD)

11/2212011-1213112012 (10) 01125//2013 (SD)

FEDERAL NAIL MTG ASSN SER 201 1-135 CL DG 3136A30J3DTO 12101111 4 000% DUE 01t25142(CM7000000)

12(1912011-1213112012 (T0)-0112512013 (SD)

FEDERAL NAIL MTG ASSN SER 2012-10 CL PC 3136A3ZC8OTO 01101)124.500% DUE 11125141(CM7000000)

0611912012-11130/2013 (TD)-122612013 (SD)

06/1912012.10/31/2013 (TD)-1112512013 (SO)

0611912012-09)302013 (TD)-10!2512013 (SD)

06110/2012-0813112013 (TD)-09125+2013 (SD)

06/1912012-0713112013 (TD}0812612013 (84)

41511 912012-06130/2013 (TD)-0712512013 (SD)

06/1912012.0513112013 (T D)-0672512013 (SO)

0611912012-0413012013 (7D)-0512812013 (SD)

06119/2012-0313112013 (T0)-04l2b/2013 (SD)

, .' RULS1,

Quantity Acquisition Cost Liquidation Price LiqutdatlonAmount

Reraliz dShgrt term

^,e otttsdt-0nt{ jetm

Galnf(Loss ) GAWl:

(27,772, 583 57 1 26,958 , 440.30 ( 333,720.05) (480,42 .

(429,165 580 ) (453,842 . 60) 100 . 46 429,16558 (24,67702) 000

(225.000) (236.531 25) 1 DO 46 225,000 00 (11,531 25) 0 00

(453,201,640) (476,428 22) 10046 453,201 64 (23,226 .58) ()00

(653,074 750) (667,973 02) 653,074.75 000 (14,898 27) 2.sy

(64,294 . 029) (65, 760 73) 100 17 64, 294.02 0 .00 (1,466 71)

(333,534 220) (341,142 97 ) 100 20 333,534 22 0 00 ( 7,808 75)

(255,246.510 ) (261,069 32) 100 02 255,246 51 0 00 (5,822.81) X

(369,205 550) (374,743 63) 369,205 55 0 00 ( 5,538 08)N

(369,205 550) (314,743 63) 100,21 389,205 55 0 00 )(5,53808)

(97,278 590) (103,193 13 ) 97,278 59 (4,607 01)LO

(1.307 53) N

(330 170) (35024 ) 105 76 330 . 17 0 00

V(3,782 900) ( 4,012 .90) 10610 3 . 78290 0 00 (2 O)

(1,098 840) (1,165 65) 105 88 1,09884 0 00 ( 66 81)

(5,359610) (5,685 47) 10512 5.35961 000 ('32566)

(6,468 560) (6,861 85 ) 103 48 6.46856 0 00 (393 29)

(4,465 450) (4,736 95) 103 47 4.46545 0 00 (27150)8

(15,044 330} (15,959 03 ) 103 85 15,044 33 (914 70) 0 00

(6,985 730) (7.410.46) 103 32 6,985 73 (424 73) 0 00

11,120 050) (11,796 15) 103 31 11.120 05 (67610) 0 00a

cn

Page 14 of 54 m

Financial 360 .S

^ I ^^ I


Date Range : From 12)01!2012 -To-11130/2013

AccountFSetur)ty CLISIP y^ • Quantity Acquisition Cost Lfi(uIdatioii Price Llquidatidrk Realized RealizedAaquialtionDatell.IquldatlonDate(ID ),i{'SD) - - AR)aunt Short Term tong Tent

Galn!(Loss) Gain((Lo

Total ( 27,772 , 583.57 ) 26,958 , 440.30 ( 333,720 . 05} (480,423.

06119f2012-0212a12013 ( TO)-032512013 ( SD) (14,965 230) ( 15,875 12) 103 87 14.965 23 (909 89) 0 00

06/1 9120 1 2-0 1/31120 1 3 (TD)-02125!2013 (SO) (12,623 270) ( 13,390 77) 104 75 12,623 27 ( 767 50) 0 00 0

D6I19f2012.12!3 1/2012 (10)-0112512013 ( SD) (15.034 450 ) ( 15,948 54) 104 30 15,034 45 (914 09) 008 a

FEDERAL NATL MTG ASSN SER 2012-16 CL TG 3136A4QU6 ( 1.342,564 550 ) ( 1,377,827 39) 1,342,584 55 0 00 (35,242.84)OTD 02101112 4 000% DUE 03+25142[CM7600000)

02/23+2012 -1 113012013 (TO)-1212612013 (30) (9,338 740 1 (9,583 88) 100 7} 9.338 74 0 00 (24514)

0212312012 -1013112013 (TD)-1112512013 (SD) (226,571 ) (232,518.49) 100 48 226,571 00 0 00 (5.947.49)

0212312012 -0913012013 (TD)-10(25t2013 (50) (176,537 200 ) ( 181,(71 30 ) 100 64 176,537 20 0 00 (4.634 10) X

0212312012 - 08)3112013 (TD )•09/2512013 ( SD) (180,137 610) (184,666 22 ) 9898 180,137.81 0 00 (4,728 61) 1

0113112012.08/3112013 ( T D)-0912512013 ( SD) (154,665 290) (158,725 26 ) 98 98 154,665.29 0 00 (4,059 97) CIO

0113112012-0713112013 (TD)-0812612013 (SD) (391,719 040) (402,001 .66) 9904 391 , 719.04 000N

(10,262 (32) b

0113112052.0613012013 (1-D)-0712512013 (SD) (203,615. 670) (208,960 58) 99 14 203 ,815 67 0 00 N(5.344913

FEDERAL NATL MTG ASSN SER 2012-93 CL QN 3136ABGV6 ( 1,960,853 920) (2,019,679.54) 1.980,853 . 92 (58,825 62) •DTD 08101/12 3 500% DUE 09125142 (CM7000000)

0113112013.07131(2013 ( TD}-0812612013 (80) (51,400 . 920) (52,942 95) 84 63 51,400 92 (1,542 03) 0 00

0113112013 - 0613012013 ( TD)-0712512013 (SD) (436 ,774 767) (449,878 01) 86 98 436,774 77 (13,103 24) 0 00

W/3012013 - 061302013 (TD}-0 7125120 1 3 (SD) (87,757 873) (90,390 61) 86 98 87,757 87 (2.632 . 74) 0 00 ,v0

0113((2013- 0513112913 (TD)-0612512013 (SO) (636,621.880 ) (655,720 53 ) 98 01 638 . 1521. B8 ( 19,09865) 0 00

011301201 3 -04 1 39 1'2013 (TD)-05(2812013 (84) (293 ,269 380) (302,067 46) 104 70 293,269 38 (8,798.08) 0.00

01130120 1 3 -0313 512 0 1 3 ( TD)-0412512013 (SD) (434,851 ) (447,896 53) 102 78 434 , 851 00 (13,045 53) 0000

0113012013-0312512013 (TD)-0 31281 20 1 3 ( SD) (12,026 920) [12,387 73 ) 1 00 12,026.92 (360 81) 0,00-0

0113012013.0212812013 (TD) 03(2512013 (SD) (12,026 920) (12,387 73) 9992 12.026 92 (360.81) 0 000cn

Page 15 of 54M

Financial 360

Investment Management, Trust & Custody AccountsRealized Gain/(Loss) Debit By Account

Date Range : From 12!01/2012 -To-1113012013

AccounUBtc lri);y CUSIPAcqu(siition Date/1.tquidation Dxti(TD)1(St )

Total

0113012013-0212812013 (TO).0312612013 (SO)

0113012013-021252013 (TO)-0312812013 (SD)

0113012013.0113112013 (TD}02/2512013 (SO)

01)3012013-01131f2013 (TD)-03126)2013 (SD)

FEOERAL HOME LN MTG CORP SER 3972 CL NW 3137AJOLlDTD 12101111 3 000% DUE 08115137(CM7000000)

0111712013.1 015 112013 (TD} 11/1512013 (SO)

0111712013-09(30/2013 {TD)-1011512013 (S D)

0111712013-0813112013 (TD)-0911612013 (SD)

0111712013-0713112013 (TD)-08/1512013 (SD)

0111712013-06730/2013 (TO)-071i 5t2013 (SD)

0111712013-0413012013 (T1D)-0511512013 (SD)

01117(2013-0313112013 (TD)-04115(2013 (SID)

01(1712013-02(2812013 (TO)-03115!2013 (SD)

01 /17/2013.01/31/2013 (TD)-0211512013 (SD)

FEDERAL HOME LN MTG CORP SER 4064 CL TC 3137AQYV4DTD 06101112 3 500% DUE 06115142(CM7000000)

00124120 1 2-09130120 1 3 (T D)-10(155+2013 (SD)

0W2412012.0013112013 (TD)-09116+2013 (SO)

08(24/2012-07(31 !2013 (TD)-08115!2013 (SD)

08124/20 1 2-0613012 0 1 3 (TD)-07115f2013 (SD)

08+2412012.05131/2013 (TD)-06117l2013 (SD)

..,

U.S.•,It . . ., . „ -IC

Quantity Acqursiticfl Coat Liquidation Prica Liquicaatlon M9ahzod- RA8117exlAmqunt Short €errn tong Tcrm

Gain/(Loss) Gatnd(L '

(27,772,583 57) 26,958,440.30 (333,720 .05) (480,423

12,926 920 12,387 73 0011 (12,026 92) 360 81 0 00

(8,151.180) (8,395 72) 1 00 8,151.18 (244 54) 000

(8,151 180) (8.395.72) 99 77 8,151 18 (244 54) 0 00 -

8,151 180 8,39572 0 01 (8,151 18) 24454CD

0 00C,

(299,995 460) (306, 760 37) 299,99 5 46 (6,76491) 0 00

(92,880 650) {94,975 01) 96 60 92,880 55 (2,094 46) 0 00 9

(11,397 790) (11,654 81) 95 76 11,397 79 (257.02) 0 00 X

(40,004 790) (40,9D6 90) 93.26 40,004 79 (902 i1) 0100N

(8,861 450) (9,061 28) 94 67 8,861 45 (199 83) 0.00

(51,794.300) (52,962 26) 93.48 51,794 30 (1.167 96) 0 00 b

(32,389.140) (33,119 52) 97 19 32,38914 (730 38) 000 N

(10,563 790) (10,802 00) 102 72 10,563.79 (238 21)

(30,754 740) (31,448.26) 100 61 30,754 74 (693 52) 0

(21,348 910) (21,830 33) 102 62 21,348 91 (481 42) 0.00 9w

(359,724 260) (370,515 98) 359,724 26 (9,843 80) (947 92) -J

o

(12,365 890) (12,736 87) 95 71 12,365.89 0 00 -(37098)

(19,231 320) (19,808 26) 92 98 19.231 32 0.09 (576 94)

(28,998 140) (29,868 08) 95 60 2-8,998 14 (869 94) 0 00

(40.388 700) (41,600 36) 98 83 40,388 70 (1,211.66) 0 00

(30,754 440) (31,677 07) 98.99 30,754 44 (92263) 0 00 0Ln

Page 16 of 54

Financial 360

Investment Management , Trust & Custody AccountsRealized Gainf(Loss) Detail By Account

Date Range : From 12101/2012 -To- 1113012013

Acco'unt1Security cu$IPAcqui9ftion Datell iquidation Date(M)1(S1

Total

0612412012.0413412013 (TD)-05115120 S 3 (SD)

0812417012-03131/2013 (7D)4J411512013 (SD)

0812412012.0212812013 (TD)-0311512013 (SD)

08/2412012-0l(31/2013 (TD)-0211 51201 3 (SD)

08/24!2012-12!31/2012 (70)-01155/2013 (SD)

FEDERAL HOME LN MTG CORP SER 064 CL TEDTD 0610111 2 4 000% DUE 06115142(CM7000006)

0612812612-09130!2013 (TD)-10/1512013 (SO)

06/28/2012.08/3112013 (Tfl)-0 911 612 0 1 3 (SD)

0612812012.0713112013 (TD)-0811512013 (SO)

0612812012-0613012013 (T0)-0711512013 (SD)

0612812012.0543112013 (TD)•06/17r2013 (SO)

0612812012-0413012013 (70)-05/15/2013 (SD)

0612812012.0313112013 (TD)-0411512013 (SO)

0612812012-0212812013 (TD)-03115/2013 (SD)

06/2812012-0113112013 (TO)-0211512013 (SO)

06!2812012-12/3112012 (TD)-6111512013 (SD)

FEDERAL HOME LN MTG CORP SER 4057 CL HJDID 06101/12 3 000% DUE 05115142(CM7000000)

12/1912012-0713112013 (TD)-0811512,013 (SO)

1211912012-06!3012013 (1O )-071 1 5/201 3 (SD)

1211912012.0513112013 (TD)-06117)2013 (SO)

3137AQYXO

3137ARHY5

t^ ^• i•, ,., ,.

dktantl(y A! quisit(on Cost liqu1dattgi 4ica Liquidation Rea1(zPtJ RealizedAmount Short Tim Long Terre

Ga(n!(oss) Ga$n$(L

3(27,772,583 .57) 26, 958,44030 (333,720 .05) (460,423

(48,249) {49,696 47) 100 64 48,249 00 (1,447.47) 0 00

(48,644 320) (50,103 65) 101 67 48,644 32 (1,459 33) 0 00

(40,653 700) (41,873 31) 100.45 40,653 70 (1.21961) 0.00

(29,273.450) (30,151 65) 100 99 29,27345 (87820) 0 00•

(61,165 300) (63,000 26) 101.97 61,165 3D (1,834 96)c,

0 00

(355,870 090) (364,820 24) 355,870 09 (6,437.61) (2,512 54)

(12,233.400) 412,541 07) 98.06 12,233 40 0 00 (307 67) X

(19,025270) (19,503.76) 9611 19,02527 0.00 (47849) i

(28,687 450) (29,408 94) 98.08 28,687 45 0 00 (721.49)

(39,955 960) (40,960 85) 97 65 39,955 96 000 (1,004 89) i

(30,424 950) (31,190 14) 100 23 30.424 95 (765.19) 0 00 N

(47,732 030) (48,932 49) 100 09 47,732 03 (1,200.46)

(48.123.130) (49,333 43) 101 11 48,123 13 (1,210.30) 0 0

(40.218 130) (41,229.62) 10216 40,216.13 (1,011 49) 000

(28,959 810) (29,688 15) 102 06 28,959 81 (728.34) 0 OD _

(60,509.960) (62,031 79) 10282 60,509.96 (1,52183)N

000

(136,664 540) (139,397 83) 136,664 54 (2,733 29) 0008

(18,841.430) (19,21826) 92.10 18,641 43 (37683)c.^

000

(31,033.250) (31,653 91) 90 28 31,033 25 (62066) 000-0

(27.239 150) (27,783 93) 96 28 27,239.15 (544.78) 0 00 0

Page 17 of 54M

Financial 360

Investment Management , Trust & Custody AccountsRealized Gaini(Loss) Detail By Account

Date Range : From 12J0112012 -To-1113012013

-Ac. bunt ocority I CUSIP1Rcgi(sitton ' .Dat*1L1qq1dation Date(1'D)1{Sb)

Total

12!1912012-041312013 (T0) 05+1512013 (SO)

12119/2012-0313112013 (TD)-0411512013 (SD)

1211912012.0212812013 (TD)•0311512013 (SO)

1211912012-01131/2013 (TO)-02/1 51201 3 (SD)

1 2l1912012.1 2/3 1120 1 2 (TD)-O1/ 15/2013 (SD)

FEDERAL HOME LN MTG CORP SER 4091 CL LG 3137ATFC1DTD 08101112 3 500% DUE 10115141(CM7000000)

0911912012.10/3112013 (TD}1111512013 (SD)

0911912012-08/31!2013 (TO)-0911612013 (SO)

09/ 912012-0713112013 (T0]-0811512013 (SD)

09/1912012-0613012013 (TD)-0711512013 (SD)

09119/2012-05131!20 t 3 (T D)-06/1712013 (,9D)

0911912012.04130+2013 (TD).0511512013 (SD)

0911912012-03131!2013 (T0)-0411512013 (SO)

0911912012.0113112013 (TD}02115+2013 (SD)

0911912012-1213112012 (T0)-01!1512013 (SD)

FEDERAL HOME LN 11TG CORP SER 4133 CL TA 3137AVR01DID 1 110111 2 3 000° DUE 11115142(CMA7000000)

0112412013-11/3012013 (T0)-12!1612013 (SD)

01124/2013-10(3112013 (TD)-11115/2053 (SD)

W242013-0913W2013 (TD)•1011512013 (SD)

01!2412013.0813112013 (TD)-09/1612013 (SD)

U.U.S. 'r RRusT~

-Q64n0ty Acquisition Cust Liquidation Price

(11,955 830)

(16,505 360)

(8,750.750)

(2,729 620)

(ig,609 150)

(225,034.560)

(27,772,583.57)

(12,194 95)

(16, 835 47)

(8,925 77)

(2,784 21)

(20,001 33]

(232,910 77)

97 64

100.84

97 88

100 43

100 10

LiquidationAmount

26,958 , 440.30

11,955 83

16,505.36

8,75075

2, 729 62

19,609 I S

225,034 56

=• }7ti^lixed5(^[itsrt Feymt pln doss)

(333, 720.05)

(23912)

(330 11)

(175.02)

(54.59)

(39218)

(6.41813)

Rsuli7edLong Tenn^,ainl{L

(480,423.

0 00

0 011

000

0 00

0 00 -°'

(1,458.06)

(41,559 380) (43,117 40) 98 56 41,659 38 0.00

(30,095 760) (31.14911) 91 65 39.09576 (1,053 35)

(45,422 010) (47,011 78) 93.84 45.422 01 (1,589 77)

(13,793 600) (14,276.38) 90 56 13,793 60 (482.78)

(30,884 980) (31,965 95) 98 98 30,884 98 (1,080 97)

(12,530 880) (12,969 46) 99 68 12,530 88 (438 50)

(10,214 980) (10,572.50) 102 82 10,214 98 (357.52)

(23,386.180) (24,204 70) 101.84 23,386.18 (818 52)

(17,046 790) (17,643 43) 104 05 17,046 79 (596 64)

(13,370 460) (13,757 22) 13,37046 (386 76)

(691970) (71199) 88.84 69197 (20.02)

(690 230) (710 19) 89 98 690 23 (19 96)

(1,495.540) (1,538 (30) 90 00 1,495 54 (43 26)

(1,455 B60) (1.497.97) 9091 1,45586 (6211)

(1,45808) X

000 1

0 00 ao0nN

0 00

NON

0 00

0 00

0 00N

0.00

00o 0ww

000IN

OOOoN

Q Odd

Page 18 of 54 °'

Financial 360


Date Range : From 12101012 -To-11)3012013

Ae(rqunUSecurity CUS1PAcpotsition 1?atelLigwr}ation Date(TI))i(S1,

Total

0112412013-0713112013 (TO)-0811512013 (50)

0112412013-0613412013 (TD)-0711512013 (SD)

01!2412013-0513112013 (T0)-0611712013 (SD)

0 112 4 12 0 1 3-04130120 1 3 (TD)-05/1512013 (80)

0112412013.0313112013 (rD)-0411512013 (SD)

01t2412013.02128t2013 (TD)-03115/2043 (SD)

0112412013.0113112013 (TD)-0211512(113 (80)

FEDERAL HOME LN MTG CORP SER 3745 CL HP 3137A23N9DTD 1010111 0 4 000% DUE 10115/40(CM7000000)

1112012013-1113012013 (TD)-1 211 6120 13 (SO)

FEDERAL HOME LN MTG CORP SER 3758 CL JE 3137A3D71DID 1110111 0 4 000% DUE 11115140(CMT000000)

0611912012-0313112013 (TD)-0411512013 (SD)

0611912012-0212812013 (10)-03115/2013 (SD)

06/1912012.0113112013 (TD)-0211512013 (SO)

FEDERAL HOME 1N MTG CORD SER 3751 CL UH 3137A3J02OTD t 1101110 4 000% DUE 10115140(CM7000000)

0612212012-0813112013 (TD)-0911612013 (SO)

FEDERAL HOME LN MTG CORP SER 3816 CL HN 3t37A6R46DTD 02/01111 4 500% DUE 01115/41(C1l7000000)

091 1 01201 3-1 1 1301261 3 (TD)-1211612013 (SD)

0911072013.1013112013 (1 D)-11115f2013 (SD)

0911012013-0913012013 (TD)-1011512013 (SD)

I./r. S. f 1, I ` )ST '*

,. ' , • 1 N . ..- (4k "

Quantity Acgtdaition•Go51' Liquid,ationPrice . Liquidation Realizedv Arn+qunt Short Term

Gain1(Loss )

(27,772,583.57) 26,958,440.30 (333,720.05)

(1,415 620) (1,456 57) 95 33 1.41562 (4095)

(1,907480) {1,96265) 9393 1,90748 (5517)

(800 880) (82405) 97 10 80088 (23 17)

(1,291-800) (1,329 17) 99 53 1,29180 (3737)

(1,249 660) (1.285 81) 100 45 1,24966 (3615)

(1,207130) (1,242.05) 9944 1,207 t3 (3492)

(1,164290) (1,19797) 9949 1,16429 (3368)

(30,064 660) (30,872 85) 30,064 06 (80799)

(30,064 860) (30,872 85) 98 97 30,064 86 (807 99)

(514,000) (532,802 12) 514,000 00 (18,802 12)

(129,863 030) (134,613 42) 10019 129,863 03 (4,750 39)

(193,553 800) (200,634 00) 40014 193,553 BO (7,080.20)

(190,583 170) (197,554,70) 100 44 190,583.17 (6,971 53)

(40,256 140) (42,067.67) 40,256 14 0 00

(40,256140) (42,06767) 9892 40,256.14 0.00

(1 720) (1 78) 1 72 (006)

(0,580) (060) 102 56 0 58 (002)

(0 570) (059) 104 67 0.57 (0.02)

(057(l) (0 59) 103 79 0 57 (002)

iy .

R$a11zu^Lodg1,o mGain

(480,423.

000

0.00

000rn

000 ^.n

ON.

0 00

0 00 Tw

00oN_

N

LnD00 '

000

ow

(1,811 53)

(1,811.53) °

0.00 0

w000 ca

0,06 o

000cn

Page 19 of 54 c"

^ 1 S r[ 1 IFinancial 360 ., . .

Investment Management , Trust & Custody AccountsRealized Gainl ( Loss ) Detail By Account

Date Range : From 1210112012 - To-1113012013

a^1 countlsecurity GUSIP Quantity AcquisJtlon Cock Liquidation Price L.L,qctbdatlon RealFzed R6140dACquisi%q DatelLIqujdatbrn Date (TlD})(SD) '" - An Aunt Sli rt Term

Gai^l(Loss} GaTOM

' 0Total (27 , 772,583 . 57) 26,958,440.30 (333, 720 05 ) ( 480,423.

FEDERAL HOME LN MTG CORP SER 3839 CL A 3137A97L4 (2,100,000 ) (2,151.787 50) 2,100,000 00 0.00 ( 51,787 50)DTD 04101/115 000% DUE 11115140 (CM7000000)

06128/2011 - 0613012013 (TD)-07/1512013 (SO) (23,714 610 ) (24,277 83) 190 32 23,714 .61 (100 (563 22)

06/2812011-0513112013 (TD).0611712013 (SD) (1.439,558 400) (1,473,747 91) 100 22 1,439,558 40 0 . 00 (34,189 51)

06/28!2011.0413012013 (TO)-0511512013 (SD) (381 , 726 990) ( 390,793 01) 100.39 381 , 726.99 0 00cc

(9,066.02) q'

06123120 1 1.04130/2013 (TD}-0 511 512 0 5 3 (SD) (255.000 ) ( 262,96875 ) 100 39 255,000 00 000 ( 7,968 75)

FEDERAL NATL MTG ASSN SER 2001 -81 CL GE 313928PJ9 ( 13,102 390 ) ( 13,528 . 23) 13.102 39 0 00 (425 84)DTD 121011016 000% DUE 01125132 (CM7000000) T

03124/2005 - 1113012013 (TD)-12!2612013 (SD) (674660 ) (696 59 ) Ill 55 674.66 0 00 (21 93)N

03124J2005- 1013112013 (T0 )- 1512512013 ( SD) (719 480) (742 8fi ) 112 05 719 48 0 00 (23 38) N

03/2412005 -0913012013 (TD)-1012512013 (SD) (021 900) (84861) 111 95 821.90 0 0000

(26 71) .v

031202005 - 08131/2013 (TO)-0912512013 (S4) (922 170) (95214 ) 11110 92217 000LO

(29.97)N

0312412005 - 0713112013 (TD)-0812612013 (SD) (1,004 470) (1,037 12) 111.68 1,004 47 0 00 (3

03124/2005-06130!2013 (TD)-0712512013 (SO) (1,153 750) ( 1,191 25) 111 86 1,15-375 000

0312412005.0573112013 ( TD)-06125/2013 (SD} (1,225160) (1,264 96 ) 112 75 1 , 225 16 0 00 (39 82) _

03!2412005.0413012013 (TD)-0512812013 (SD) (1,275 860) (1,317 33) 113 15 1,275 86 0 00 (41 47)

0312412005-0313112013 (T9)-04/2512013 (SD) (1,444 . 730) (1,49109) 1%375 1 ,44473 0.00 (46.96)

03!24/2005.02128/2613 ( TD}-03/25+2013 (SD) (1,191 730 ) ( 1,230 46) 113 35 1.191 73 (100 (38 73)

03/24t2005- 61131/2013 (T0)-02/2512013(SD) (1,165 620) (1,224.15) 112 94 1,185 62 0 00 (38,53)

0312412005.1213112012 (TD)-01125/201 3 (SD) (1,482 860) (1,531 05 ) 112 85 1,48286 0 00 (48 19)

FEDERAL NAIL MTG ASSN SER 2002-82 CL PE 31392FW86 ( 109,294 670) (118.03820 ) 109,294 62 0 00 (8,743 58) -DTD 11101/02 6 000% DUE 12f25J32 (CM7000000) N

Pagec5-,

20 of 54 m

Financial 360


Date Range - From 1210112012 -To- 1113012013

AccountlS e¢,u rityAcquisIb6n Date/Uquidalion Date(T13)1(SD)

Total

12123!2009-11/30f201 3 (TO)-1212612013 (SO)

1212312009.10/31/2013 (TD)-11/25/2013 (SD)

1212312009-0913012013 (TO)-10;2512013 (SO)

A 2J23/2009.0 8131120 1 3 (M)-0912W2013 (SD)

12/2312009-07131/2013 (TD).06/2612013 (SO)

12/2312009.06/3012013 (TD)-0712512013 (SD)

1212312009-05131/2013 (T0)-0612512013 (SO)

1212312009-04/3012013 (TD)-05126/2013 (SD)

FEDERAL NAIL MTG ASSN SER 2003-33 Ct PGDTD 04101103 5 500016 DUE 05125133(CM700000(l)

08/23+2010-11/3012013 (10? -12/2612013 (SD)

0812312010-1013112013 (T0)-11/25/2013 (SO)

0812312010-09/30/2013 (TD}- 1012512013 (SD)

0812312010-08131/2013 (TD)-09/2512013 (SD)

06123+2010.07/3112013 (TD}-08/2612013 (SD}

0310812010-137131/2013 (TD)-08/26/2013 (SO)

0310812010.000/2013 (TD)-0712512013 (SD)

03108/2010-0513112013 (TD)-06/25/2013 (SO)

0310812010.04/3012013 (TD)-05!28/2013 (SD)

03/0812010-0313112013 (TD)-04/2512013 (SO)

03108/2050.0212812013 (ID)-03/251201 3 (SD)

CvsIP

313938GN9

L T.

11 1S. TRUSI

Qtrant (!^ squtsition Cost. Liquidat'wn Prico. LiquidationAmount

(2,107 600)

(16,700 080)

(3,986 680)

{23,170 200)

(25.929 380)

(19,108 520)

(11.799 720)

(4,492 440)

(111,321830)

. 'hort1 erm

Gdipl(4o3s)-

(333,720.05)

0.00

0 00

(100

0.00

0 00

000

coo

500

0 00

(5,366.450) (5,849,43) 109.77 5,36645 000

(4,440 480) (4,840.12) 110 33 4.44048 0 00

(7,174590) (7,620343) 11028 7,17459 000

(9,985 740) (10.884 46) 110 56 9.98574 0.00

(362 350) (39496) 11050 362 35 coo

(7,3435 500) (7,825 84) 110 50 7,36550 000

(12,000180) (12,75019) 110 75 12,090 18 (100

(9,890 070) (10,508 20) 111 48 9,89007 0.00

(11,248420) (11,95145) 11218 11,24842 000

(6.835 800) (7.263 04) 112 90 6.835 80 0.00

(9,461.690) (10,053 04) 11240 9,461 69 0.00

{27,772,583.57)

(2,27621)

(20,196 09)

(4,305.61)

(25,023 82)

(28,003 73)

(20,637 20)

(12,743 70)

(4,851 84)

(119,031 00)

108 92

109.51

108 26

101 33

111 56

111 81

112.68

113 17

26,958 , 440.30

2,107150

18,700.08

3.980 68

23,170 20

25,929 38

19,108.52

11,799 72

4,49244

111,321 83

Page 21 of 54

Financial 360

Investment Management, Trust & Custody AccountsRealized Gainl ( Loss) Detail By Account


AcCount1Securlty (USIPAcquisition Date/Liquidation Date(TD)1(SD),

Total

0310812010.01131 /2013 (TO)-0212512013 (SD)

0310812010-1213112012 (TD)-0112512013 (SD)

FEDERAL NAIL MTG ASSN SER 2003.80 CL LL 31393DO20DTD 07101/03 5 000% DUE {18125t33(CM7000000)

06/28/2013-1112512013 (TD-W25(20113 (SD)

0612812013-10125/2013 (O)-10!2512013 (SD)

00W2013-09/292013 (171))-0912512013 (SO)

FEDERAL NAIL MTG ASSN SERIES 2003-75 31393D2D2CLASSLL OTD 07101103 5.000% DUE08125l33(CM 7000000)

1213112012-1112512613 (TD)-1112512013 (SD)

12131(2012-07/2512013 (T0)-0712512013 (SD)

1213112012.05!28/2013 (TD)-05128?2013 (SO)

FEDERAL HOME LN MTG CORP SER 2543 CL YX 31393HGW6DTO 12101/02 6 000% DUE 12)15132(CM7000000)

02/0712005.1113012013 (TD)-1211612013 (S9)

0210712005-1013112013 (TO)-1111512013 (SDI

02207!2005-09/3012013 (10}011512013 (80)

0210712005-08131/2013 (T0)-09/1612013 (SD)

02107/2005.07/31/2013 (TD)-08115+2013 (SD)

02!0712005-06130/2013 (TD)-07/1512013 (30)

02107!2005-05131 /2013 (TL))-06117/2013 (SD)

0210712005.0413012013 (TO)-05f-1512013 (SO)

.. 5.•,1 lr 41,r , ^„

Quantity coq Liquidation Price- Liquidation Roaiized Reetl,zedAmount Shod Tema _ -6-n term

Gainl(Loss) G8in1 Lp

(27,772,583.57) 28,958,440.30 (333,720.05)

(14,762 040) (15,684 67) 111 77 14,76204 0 00

(12,428 520) (13,205 30) 110.94 12,428 52 0 00

(24,000) (26,010 00) 24,000 00 (2.010 00)

(5,000) (5,418 75) 100 00 5,00000 (418 75)

(11,000) (11,921 25) 100 00 11.000 00 (92126)

(6,000) (8,670 00) 100 00 8,000 00 (670 00)

(3,009) (3,366 00) 3,000 00 {366.00)

(1,000) (1,122 00) 100 00 1.00000 (122.00)

(1,000) (1,122 00) 100 00 1,00000 (12200)

(1,000) (1,122 00) 100 00 1,00000 (12200)

(17,648 520) (18,685 37) 17.648 52 0 00

(1,491 800) (1,579.44) 111 84 1,491.80 0 00

(835 810) (884 91) 112 11 M81 ON

(379 330) (401 62) 112 07 379 33 0 00

(1,370 980) (1,451 53) 110 98 1,37098 000

(650 640) (688.87) 112 34 650.134 0 00

(1,143300) (1,21047) 111 46 1,14330 000

(2,861 130) (3,029.22) 112 71 2,861 13 0 00

(2.091 960) (2,214 86) 113 60 2,091 96 0 00

(480,423w

(92263)

(776 78)

000aCUI

000CU

0 00 z

0 00M>

0 D6 QT,

N_

000 CIO

0.00

000 N

(1,03•

(87.64)

(4910)

(22.29) N

(80 55) -

(38 23) wLp

(6717) -a

(168 09)

(122 90)0

Page 22 of 54 LT'

Financial 360

Investment Management, Trust & Custody AccountsRealized Gain)(Loss) Detail By Account

Date Range : From 1210112012 Jo - 11x3012013

Adrsiuntl5esurlly CUSIPAcgrnslt)on Date1Llquldation Date{1D)((S}3)

Total

02107)2005-0313112013 (7 D)-0411512013 (SO)

0210712005-0212812013 (TD)-0311512013 (SD)

0210712005-0113112013 (TD)-02115f203 (SD)

02i0712005-1213112012 (T0)-0111512013 (SO)

FEDERAL HOME LN MTG CORP SER 2595 CL HX 31393PEP5OTD 04/01103 4 000% DUE 03115123(CM7000000)

0813112010-1113012013 (TD)-1211612013 (SD)

082V2010-10r3112913 (7 D)-1111512013 (SD)

08!3112010-0913012013 (TD)-1011512013 (SO)

08[3112010-08131/2013 (T(l)-0911612013 (SD)

0813112010-0713112013 (T0)-0W15/2013 (SO)

08131 t201 D-0613012013 (7D)-0711512013 (S D)

FEDERAL HOME LN MTG CORP SER 2600 CL MD 31393PNEODID 04101103 5 500% DUE 06115/32(CM7000000)

1012012009.11(3012053 (TD)-1211612013 (SD)

t0/20J2009-10/3V2013 (TD)•11(1512013 (SO)

1012012009-09(3012013 (TD)-1011512013 (SD)

1012(V2009-0813112013 (TD)-09l1612013 (SD)

1012012009-0713112013 (TD)-08/1512013 (SD)

10120/2009-0613012013 (TO)-0711512013 (SO)

1012012009-0513112013 JD)-06117/2013 (SO)

10r2012009.04130l2013 (TO)-0611512013 (SD)

U.S. TRUST Iii

tt%QuantI ( Acquisition Cost Liquidation IPtiae 'L)r ti tion Reali til RA&&jfed

rio of Short Tam Long YiT- w Galnf{hose) ^ainl(l,

(27,772,583.57) 26,958,440.30 (333.720.05) {480,423.

(1,965670) (2,081 15) 11396 1,96567 000 (11548)

(1,307 480) (1,384 29) 113 32 1,30748 0 00 (76 81)

(1,401.330) (1,483 66) 113 13 1,401 33 009 (82 33)

(2,149 090) (2,275 35) 112.93 2,149.09 0 00 (126 26)CD

(56.462 310) (59,426 56 ) 56,462 31 0 00 (2,96427) -°7

(8,903 230) (9,370 65) 105 77 8.90323 0 00 (467 42)

($1,447 670) (12,04867) 10617 11,447.67 000 (601.00) X

(11.316 800) 01.910 93) 106 42 11,316 80 0,00 (59413)N

(13.132.110) (13,821 55) 10584 13,13211 0 00 (689 44) CIO

(10,445 420) (10,993.80) 106 42 10,445,42 000N

(549 38) P

(1,217.060) (1,280 98) 105 82 1,21708 0 00 (63 90)

(43,909 430) (45.665 81) 43,909 43 0 00 (1,70

(1,607 460) (1,671 76) 101 04 1,607 46 0 00 (64 30)

(1,685 210) (1,752 62) 101 32 1,68521 1000 (67 41)

(1,975 400) (2,054 41) 101 73 1,975 40 0.00 (79,01)

(2,901 140) (3,017 19) 101 79 2.901 14 0 00 (116 05) -

(3,958 (130) (4,116.35) 102.06 3,958 03 0 00 (158 32)

(4, 669 810) (4,856 60) 102 39 4,669 81 000r_n

(186 79)

(4,949 300) (5,147 27) 102 20 -4,94930 0 00 (197 97) oN

(5.793510) (6,025 25) 103 05 5,79351 0 00 (231 74)csi

Page 23 of 54

Financial 360


A, J, . "E' ."1., I- S.. .. 3 , c I .

Date Range : From 1210112012 -Te- 1113012013l

J4sc6U"VSe unity CUSIPAaqulelt (on DM&Liqutdation Date (TO)(SD)

Total

1W2012009.03/31!2013 (TD)-0411512013 (SO)

1 012012009.62128/20 t 3 (TD)-0311512013 (SD)

1012012009.0113112013 (TD)-0211512013 (SD)

1012012009-12131!2012 {TD)-01115/2013 (50)

FEDERAL HOME LN MTG CORP SER 2624 CL 014 31393RJ92DTD 06101103 5 000% DUE 06115133(CM7000000)

12/1612009-11130/2013 (TO )-1211612013 (SO)

1211812009.10!3112013 (TD)t111512013 (SD)

1211812009-09130!2013 (TD)-1011512013 (SO)

1211812009-0813112013 (TD)-09110013 (SD)

1211812009.0713112013 (TD)-08/15/21313 (SD)

FEDERAL NATL MTG ASSN SER 2005-5 CL CK 31394B4Z4DTD 01/01105 5.000% DUE 01125135(CM7000000)

06+2112011-11!30!2013 (TD)-1212612013 (50)

0612112011-1013112013 (TD}-11125/2013 (SD)

06/211201 1-091/012013 (TD)-1012512013 (50)

06121/2011-0813112013 (TD)-0912512013 (SD)

06121/2011.07/3112013 (TD)-08126/2013 (SD)

06121/2011-06130/2013 (TO)-0712512013 (SD)

0612112011-05/3112013 (TD)-06125t2013 (SD)

06121 12 01 1-0 4130!2013 (TO)-0512612013 (SD)

06x21/2011.0313112013 (T D}04125/2013 (SO)

11-S.

Quantity Acquislt1ot Cost Liquidation Price Llquldafion^ Realized • 7edlksedAipubt Shoit Term Lorig Terin

`-^ ,Galflr(LOss) ie^f^lG

(27,772,583 57) 26,958, 440.30 (333,720 .05) (480,423

(3,784.930) (3.936 33) 103 24 3,784.93 0 00 (151 40)

(3,816890) (3,989 57) 103 42 3,61689 0 00 (15268) o

(5,009.17(J) (5,209 54) 103 33 5,00917 goo (200.37) 9

(3,758 580) (3,908 92) 10316 3,758.58 0 00 (150 34)

(37,206 510) (38,834 30) 37.206 51 0 00 (1,627 79)z

(4,837.060) (5.048 68) 107 75 4,837 06 0 00 (211 62)

(6,890000) (7,19150) 108 11 6,89008 0.00 (301.44) X

(8.525 400) (6,89839) 107 81 8,525.40 0 00 (37299) i

(10,127 350) (10,570 42) 10693 10.127 35 0 00 (443.07) CIO

(6,026640) (7.125 31) 108 28 6,826 64 0.00 (298 67) ^;,,

(43,544 840) (46,048 68) 43,544.84 0 00 (2,503 84)

(2,537 160) (2,68305) 106 50 2,537 16 0 00 (140

(1.267 420) (1,340 30) 107 03 1,26742 0 00 (72.88)

(3,1640 760) (3,850 10) 106 77 3,640.76 0 00 (209 34)

(5,211 900) (5,51158) 105 78 5.21190 ON (299 68) Na

{4,003 980) (4,234 21) 105.99 4,00398 0 00 (230 23) -

(3,855 970) (4,077.69) 106 55 3.85597 0 00 (221 72)

(4,703.890) (4.974 36) 107 40 4,70389 0 00cn

(27047)

(3.719 260) (3,93312) 107 53 3,119.26 (100 (213.86)-a

(2,917 700) (3,085 47) 107 61 2.91770 0 00 (167 77) 2

cn

Page 24 of 54 °'

S } 7S-T I'Financial 360 . ,


Date Range : From 1210112O' 2 -To-1113012013

AncuntlSacurity CUSIP Quantity Acquisition Cost Liquidation Ptr Liquldatfoa Reali d tteaiixr dAcquisition Date1Liqulcta1Ion Date (TD)!(SD) Amount shortT-Ifin tons Term

Gaiin1 t.0isr) Galn,(t-

Total (27,772,583.57) 26,958 ,440.30 (333,720. 05) {480,423

06(21!2011-02(2812013 (TD}0312512013 (SD) (3,939 450) (4,165 97) 107 32 3.93945 0 00 (226 52) g

013/21/201.1-01131/2013 (TO)-0212512013 (30) (4,110 720) (4,347 09) 107 58 4,11072 0 00 (236 37)

00)2 1 1201 1-1 2731120 1 2 (TD)-01125/2013 (SD) (3,636.630) (3,845 74) 107.92 3,636 63 0 00 (20911)

FEDERAL NAIL MTG ASSN SER 2005-22 CL EG 313940EG1 (140,556060) (150,394 99) 140,556 06 000 {9,038 93)DTD 03101105 5 000% DUE 11125133(CM7000000) n

03118(2010.1113012013 (TD)-1212612013 (SD) (5,788.410) (6,19360) 103 01 5,768 41 0 00 (40519)

03/I8,12010-14131/2013 (T0)-11!2512013 (SD) (6,708 380) (7.177.97) 103 10 6.70838 Goo (469.59)

03+1812010.09130)2013 (19)-1012512013 (SO) (8,075 930) (8,641 25) 103 20 8,075 93 0.00 (565 32) X

0311812010-0813112013 (TD)-09125/2013 (SD) (9,849 130) (10 538 57) 103 30 9,849 13 goo (689 44)

0311812010.0713112013 (TO)-0&2612013 (SD) (11,225 570) (12,011 36) 103 46 11,225.57 0 00 (78579) co

0311812010.0613012013 (TD)-0712512013 (SD) (12,145 190) (12.995 35) 10355 12,145 19 0 00 (850 18)

03)1812010-0513112013 (TD)-08/25(2013 (SD) (13,639.980) (14,594.78) 103.00 13,639 98 0 00 (954 80) R

03/1812010-04!3012013 (TD)-05(2812013 (SO) (14,079 540) (1.5,065 11) 103 24 14,,079 54 0 DU (9

03118!2010-0313112013 JD)-W2612013 (SD) (13,665.280) (14,621 05) 10349 13,665 28 0 00 (956 )

031103!18/2018-02t28/2013 (TD)-03125!2013 (SO) (14,128.930) (15,117,95) 103 57 14,126 93 000 (989 02) O

03/1 812010-0 113112013 (TD)-021251 20 1 3 (SD) (15,673 490) (16,770 63) 103 25 15,673 49 0 00 (1,097 14)

0311812010-1213112012 (TD)-011250013 (SD) (15,576 230) {16,666 57) 103 73 15,576.23 0.00 (1,090 34)

FEDERAL NAIL MTG ASSN SER 2005-110 CL TK 31394UW57 (135,541 570) (137,744 12) 135,541 57 0 00 (2,202 55)DTO 111011056 000% DUE 12125135(C M7000000)

0112712006-081 3112013 {TD)-09)2512013 (SD) (1,506 360) (1,530 84) 103 67 1,506 36 goo (24 40) 02

0112712006-0713112013 (TD)-0812612013 (80) (13,325 070) (13,541 60) 104 56 13,325.07 0.00 (216 53)0

0112712006-06!30/2013 (TD).07125/2013 (SD) (21,708 080) (22,060 84) 105 33 21.708 08 0 00 (35276)---0

Page 25 of 54 °'

Financial 380

investment Management, Trust & Custody AccountsRealized Gaini(Loss) Detail By Account

, T-,- L . r• - . I , ! 1

Date Range : From 12)0112012 -To- 1113012013

A¢oorult/Security CUSPAc`quisltFon Date1Liquidatlon 13ate (TD)1(SD)

Total

0112712006-05131t2013 (T0)-0612512013 (SD)

01/2712006-0413012013 (TD)•0512812013 (SD)

0112712006-0313112013 {TO)-04121512013 (SD)

01 t2712006-0212812013 (TD}-0312512013 (SD)

0112712006-01131!2013 (TO)-0212512013 (80)

0112712006-1213112012 (1'D)-0112512013 (SD)

FEDERAL NATL f+1TG ASSN SER 2005-110 CL PM 31394UY71DTD 11101105 5 750% DUE 1025135(CM7000000)

1111512005.08131!2013 (TD}-0912512013 (SD)

1111512005-07131!2013 (TO)-0812612013 (SO)

1111512005-0613012013 (TD)-07!25$2013 {SD)

11)15!2005-0513112013 (TD)-0612512013 (SO)

1111512005.0413012013 (TD)-05128!2013 (5D)

1111512005-0313112013 (TD)-0412512013 (SO)

11l1512005.02!2812013 (TD)-03125$2013 (0)

1111 512DD5-0113112013 (TD)-07/25120 1 3 (SD)

1111512005-12!3112012 (TD)-6112512013 (SD)

FEDERAL NATL MTG ASSN SER 2006-4 CL WD 31394VYW4DTD 01101106 4 500% DUE 05125134(CM7000000)

04113!2010.0313 1120 1 3 (TD)-04125$2013 (SD)

0411312010-0212812013 (TD)-0312512013 (SO)

0013!2010.0113112013 (TD)-0212512013 (SD)

Quantity Acquisttion Ciost Liquidation Price L}i(&ativn R6alkBed RealizedAiount Short Term

i Loi/G lLong Term

iG l Lra ( ss n ( ra

(27,772,583.57) 26,958,440.30 (333,720. 05) (480,423.

(14.617 270) (14,954 80) 105.79 14,617.27 coo (237 53) c

(15,254 270) (15,502 15) 102 85 15,254 27 000 (247 88)

(12,635 910) (12,841.24) 101 73 12,635.91 0 00 (205 33) MM

(10,929.820) (11,107 43) 101 67 10,929 82 000 (177.61)C,

(34,709 520) (35,273 55) 102 16 34,709 52 0 00 (564 03)

(10,855 270) (11,031 67) 10367 10,855 27 000 (176.40) 9

(183,058 410) (183,516 13) 183,058 41 0 00 (45772) T

(2.034.459) (2,039.54) 100 08 2.03445 1) 00 1(509)

{17,9.95 440) (18,041.44) 101.30 17,998 44 0 00 (45 00) d

(29,318 280) (29,391.59) 101 14 29,318 28 0 00 (73 31) ,,,

(19,741.650) (19,79101) 101 03 19,74165 0,00 (49.36) R

(2D.601 960) (20,85347) 100.14 20,00196 0.00

*(17,085 690) (17,108 36) 102 07 17,065 69 0.00 ( 2 )

{14,761.490) (14,79840) 10304 14.761 49 000 (36.91)

(46.B77 640) (46,994.85) 10581 46,677,64 0.00 (117.21)

(14,660 810) (14,697 47) 105 66 14,660 81 0.00 (36 66)

(147,844 240) (155,421 26) 147,844 24 000 (7,577 02)

(908 330) (954 88) 99 97 908 33 0 00rn

(46 56)

(16,665.490) (17,540 62) 100 09 16,685 49 0.00 (85513),

(79,452 420) (83,524 36) 10016 79,452 42 0 00N

(4,071 94)

cri

Page 26 of 54 °'

us F US 1Financial 360 .

Investment Management , Trust & Custody AccountsRealized Gainf (Loss) Detail By Account


Areouttt$HCurrty CUSIP Acquisition Cost Liquidation PriCtr Liquidation. Realfz4d RattedAcquisition DatelLiquidatPan Dato ( TD)1(SD ) Arnourtt $h6ft o`^

xLaLong Ten'A

27 772 583 57 958 440 3026

G ip!( o i)

333 720 05

Gainl(L

480 420Total , , . )( ., , ( , ). ( ,

0411312010 - 1213112012 ( T0)-0i125l2013 (SD) (50,798) ( 53,401 40) 100 77 50 , 798.00 000 (2,60340)

FEDERAL NAIL MTG ASSN SER 2006-16 CL DL 31394V4T4 (138,767 670) (147,093 73 ) 138,767 67 1100 (8,326 06) 'r0TO 02101106 5 500% DUE 12125135 (C M7000000)

0613012011.1113012013 ( TD)-1212612013 [SD) (12,563 080) (13,316 87) 105 41 12,563 08 000 (753 79)

06130)2011 -10131)2013 (TD)-1112512013 (SD) (28,795 870) {30,523 62) 10556 28,79587 0.00 (1,727 75)

06130!2011-0913012013 ( TO)-10/2512013 (SD) (20 , 679.370 ) (21,920 13) 102 .69 20 ,679 37 0.00 (1,240 76)

06/3012011 -0813112013 (TD)-0912512013 (SD) (15,283 260) (16,200 26) 99 73 15,283 26 (100 (917 00)

06130/20t1-07131t2013 (T0)-0812612013 (SD) (18,097 650) (19,183 51 ) 100 31 18,097 65 000 (1,085.86)

0613012011.0613012013 (T0)-0712512013 (SO) (6,015.080) (6,375 98) 100 99 6.015 08 0 00 (360 90)

0613012011 - 05!31/2013 (TO)-0612512019 (SD) (37,333 360) (39,573 36) 100 14 37,333.36 000N

(2,240 00) Wcn

FEDERAL HOME LN MTG CORP SER 2844 CL PO 31395EWE3 (500,502 280) (545,547 49) 500.502 28 0 00 (45,045 21) jDID 08)01/04 5000% DUE 12115)32(CM7000000)

051231201i - 11!3012013 ( TD)-12!16/2013 (S0) (58,586620) (20,259 42) 101 00 18,586 .62 000N

(1,67

0912312011 - 10131!2013 (TD)-11!1512013 (SD) (27,854 250 ) (30,361 . 13) 101 20 27,854 25 0 00 (2,54

091231201 i-09130120 1 3 ( TD)-1011512013 (SD) (22,601 640) (24,635 79) 101 65 22,601 64 0 00 (2,034.15)

0912312011 -08131!2013 (TD)•09116r2013 ( SD) (34,958 080) (38,104 31 ) 101 57 34,958 08 0 . 00 (3,146 23)

OWN261 i-0713 1124 1 3 (TD)-0811512013 (SD) (39,762.500) (43,341 13) 101 71 39,762 50 000 (3,578 63)

4912312011-0613012013 (70)-0711512013 (SD) (38 , 959 450) ( 42,465 80) 101 85 38,959 45 000 (3,506 35)

0912312,011 -05!3112013 (TD)-06)1712013 ( 80) (40,852 780) (44,529 53) 101 60 40 ,852 78 000 (3.676 75)

09123'20 1 1-04 130120 1 3 (TD)-0511512013 (SD) (46,441 460) (50,621 21) 10104 46,441 48 0 Ofl (4 , 179 73)^

OW301 i-0313 1120 1 3 ( TD)-0411 512013 [SO ) (54,775 810) (59,705 63) 10214 54,775 81 0 00 (4,929.82) o

09123,12011 - 0212812013 (TO)-0311512013 ( SD) (53,202 520 ) (57,990 75 ) 1{1233 53,202-52 0.00 (4.788 23)

Pagecn

27 of 54 °'

Financial 360


Date Range: From 1210112012 -To- 1113012013

Aacount;Security CUS1pAcquisition Date1i.iquioatJon Date(19)1(SO)

Total

0912312011-0113112013 (TD)-0211512013 (SD)

0912312011-12(31/2012 (10)-01115!2013 (SD}

FEDERAL NAIL MTG ASSN SER 2006.44 CL OEDID 05101106 5 500% DUE 09/25(32(CM7000000)

0712012011-12(3112012 (TD)-01(25/1013 (SD)

FEDERAL HOME LN MTG CORP SER 2968 CL JBDID 04101105 6 000% DUE 04115135(CM7000000)

120412007-1 1!'30/2013 (10)-1211612013 (SD)

1221412007-10131!2013 (TD)-1 1 11 5120 13 (S D)

121102007-0950t2013 (TO)-10(t 5/2013 (SD)

12!1412007.08131(2013 (TD)-0911612013 (SD)

FEDERAL HOME LN MTG CORP SER 3113 CL CDTD 0001/06 6.000% DUE 02115t36(CM7000000)

09123(2010-1113072013 (TD)-12!16(2013 (SD)

0923/2010-10131120(3 (TO)-11?1512013 (SD)

0912372010.09/30(2013 (TD)-10115(2013 (SD)

09(23/2010-08(3172013 (TD)-(1911 612 0 1 3 (SD)

09/2312010.0713112013 (TD)-0811512013 (SD)

09(2312010-06(3012013 {T0)-0 711 5120 1 3 (SD)

09/2312010.05131(2013 (TD)-0611712013 (SD)

09/2312010-04(30!2013 (TD)-05115(2013 (SD)

09723/2010-03/31(2013 (TD)-0411612(113 (SO)

31395NBN6

31395RQZ4

31396 HD 71

Quantity Aca(uieitton Cost Liquidation Price LiquidationtA

RoAtixed&i er3

RealizedLon Tmoun Plti m

G^i ((Lerm

L 'C3 in/- n s} ($

3(27,772, 583.57 ) 26,958 ,440.30 (333,720. 05) (480,42

(52,009 710) (56,690 56) 102 17 52,009 71 0 00 (4,680 87) c

(70,497 440) (76.842.21) 102 61 70,497 44 0 00 (6,344 77)0

(72,516 520) (76,686.22) 72,516 52 0.00 (4,169 70) M

CDcn

(72,516 520) (76,686 22) 100 25 72,516 52 0 00 (4,169 70) Z;-

(92,895 230) (93,591 95) 92,895 23 0.00 (696 72)

(5,477 080) (5,518 16) 102 61 5,47708 0 00 (41 08) T

(22,678 470) (22,848 56) 102 63 22,678 47 0 00 (170 09) x

(29,974 160) (30,198 97) 103 96 29,974 16 0 00 (224.81)

(34,765.520) (35,026 26) 101 48 34,766.52 0 00M

(260 74)

(124,211 480) (129,956 20) 124,211 48 goo (5,744 78)

(1,846 680) (1,932 09) 101 32 1,84668 0 00

(3,599 360) (3,765 83) 101 87 3,59936 0 00 (1166- )

(1,008 380) (1,055 02) 101 38 1,008 38 0 00 (46 64)

(9,034 520) (9,452 36) 109,35 9,034 52 0 00 (417,84) _

(11,174 430) (11.691 25) 108 78 11,174 43 0 00 (516 82)

(4,867 430) (5,092 55) 106 91 4,867.43 ()00 (225 12)

(7,816 950) (8,178 48) 105 68 7,81695 0.00 (361 53)

(13,951.400) (14,596.65) 104 03 13,951 40 000 (64525)

(24,246 240) (25,367 63) 102 71 24,246 24 0 DO (1,121 39)

Ln

Page 28 of 54 °'

Financial 360


Ac - - i - ' F ` •

Date Range : From 1210112012 -To- 11 1301201 3

r ,unUSezurity CU'S1Fursltion DatelLigi'idation D9te(TU)?(SD)

Total

0912312010.02!2812013 (TD)-0311512013 (SD)

092312010-0113112013 (TD)-02!1512013 (SD)

091'23!2010.1213112012 (TD)-0111512013 {SD}

FEDERAL HOME LN MTG CORP SER 3128 CL BE 31396J3M8DTD 03101106 5 000% DUE 05115f33(CM7000000)

09!1612009.1113012013 (TD)-1 211 6/201 3 (SD)

09116/2009-10131 /2013 (TD)-1111512013 (SO)

0911612009-0913012013 (TD)-1011512013 (SD)

09)1 612 0 0 9-08131/2013 (TD)-0911612013 (80)

0911612009-07!3112013 (TD)-08/1512013 (SD)

0911612009-06139/2013 (TD)-0711512013 (SO)

0911612009-05{3112013 (10 )-0611712013 (S D)

09/1612009-04130/2013 (10}0511512013 (SD)

09/16/2009.03131/2013 (TO)-0411512013 (SD)

0911612009-02128/2013 (TD)-03115+2013 (SD)

0911612009-0113112013 (TO)-02/15/2013 (SD)

09/1612009.12/3112012 (TD}0111 U2013 (SD)

FEDERAL NATL MTG ASSN SER 2006-99 CL PD 31396LAC4DID 09101/06 5 500% DUE 011205(CM7000000)

0513112011-1113012013 (TO)-1212612013 (SO)

0513!/201 1-1 013 1120 13 (TD)-11125/2013 (SD)

05/3112011.09!3012013 (TD)-10/25/2013 (SO)

Quantity AequfsltLon Cost Liquidation Price _ p ig4ii^at)on fto2llze#Amount , Short term

Ga ( n)(kass,

(27,772,583.57 ) 26,958 , 440.30 {333,720.05)

(16,592 210 ) (17,359 60) 10311 16 ,592 21 0 00

(20,808 . 200) (21, 770 58 ) 10254 20, 008 20 0.00

(9,265 680 ) ( 9,694 22) 108 71 9,26568 0 00

(191,337 680 ) ( 200,904117) 191,337 CO 0.00

(6,414 720) (6,735 46) 101 14 6,414 72 0 00

(6,367 210 ) (6,685 57) 101. 27 6,367 21 0 00

(5,051 270) (5,303 -83) 101 57 5,051.27 000

(12,140 530 ) ( 12,747 56) 101.60 12,140 53 0.00

(17,797180 ) (18,68704 ) 102 1t 17,797 18 0 00

(10,490.51 D) [11,015 04) 102 . 28 10,490 51 0.00

(16,981440 ) ( 17,83051 ) 10211 16,98144 000

(24,734 470 ) (25,971 19) 102 38 24,734 47 0.00

(16,693 580) (17, 528 26 ) 102 51 16 , 693 58 0.00

(29,032 750) (31 ,324 39 ) 102 69 29,832 75 0 00

(16,620 610) (17,451 64) 102 61 16, 620 61 0.00

(28,213 410) (29,624 08) 102 81 28,213.41 0 00

(49,255 110 ) (52,702 96) 49,255 11 0 00

(5,903 340 ) (6,316 57 ) U208 5,903 34 0.00

(12,973 750) (13,881 91 ) 10211 12.973 75 0 00

(16,383.310 ) (17,530 14 ) 102.25 16,383 31 0.00

Realized'LQnp Term

- C^aknt{I_a

(480,423.

(767 39) co

(96230)

(42854)

(9,566 69)ci

(320 74)

(318 36)

(252 56)x

(607 03)

(889.86)LT1

(524 53)

(849 07) N

(ti.23

(834

(1,491 64) w

(831 03)

N

(1,41067)

(3,447 85) o

(413.23)

(900 16) oc.^

(1,146 83)-,-cri

Page 29 of 54

Financial 360



Accourit)Security •• , CUSP' cuantlty Acquis#tlon Cost L(qu(6tiun Price Liquidation (Realized ReatlzodAFquis(tton DatelLiquidation DatejTD)1(51)) • 3 -r

'Amount-' Sflort Terin

fIra^_g Term

n'• •a _ ^ifilf(Lbss} Maf f(E.o

3Total {27,772,583.57) 26,958,440.30 (333,720.05) (480,42

0513112011-0813112013 (10)-0912512013 (SO) (13.994 710) (14,974 34) 102 36 13,994 71 000 (979 63) c

FEDERAL HOME LIZ MTG CORP SER 3154 CLPN 33396RNS2 (255,784 540) (273,609 53) 255,784 54 0 00 (17,824.99)DID 05101106 5 500% DUE 05/15136(C107000000)

12(1412009-1113012013 (TD)-1211612013 (SD) (17,379 530) (18,590 67) 109 72 17,379 53 0 00 (1.211 14)

1211412009-1013112013 (TD)-1111512013 (SO) (32,849 560) (35,138,776) 10919 32,849 56 0.00V

(2,289 20)

12A 412009-09!30!2013 (TD)-10!1512013 (SD) (42,562 190) (45,528 24) 109 44 42,562 19 0 00 (2,966 05)

12/1412009-0813112013 (TD)-09/16/2013 (SD) (33,427 640) (35,75713) 106 89 33,427 64 0 00 (2,329 49)

1211412009-0713112013 (TO)-0811512013 (SD) (57,676 700) (61,690 05) 107 74 57,676 70 0 00 (4,019 35)x

1211412009.06/30)2013 (TD)-07115+2013 (SD) (35,352 250) (37,815 66) 107.13 35,352 25 0 00 (2,463 61)

12/1412009-05131/2013 (T0)-0611712013 (SD) (36.536 670) (39,082,82) 107 67 36,536 67 0 00 (2,54615) CIO

FEDERAL NATL MTG ASSN SER 2007-42 CL PA 31396W39 (392,234 140) (435,379 90) 392,234-14 (30,209 78)N

(12,935,98)OTO 04101107 5 500% DUE 04125137{CM7000000)

10711(12012-11130)2013 (TD)-12/213/201 3 (SD) (15,126 070) (16,789 94) 108 92 15,126 07 0 00 (1,66

0 711 6/20 1 2.10/3112013 (TD)-11125S2013 (SO) (21,326 410) (23,672 32) 108 37 21,326 41 0 00 (2,34

07!1612012-09/3012013 (TD)-1012512013 (SD) (17,302 490) (19,205 76) 108 29 17,302 49 0 00 __(1,903 2?)

07116)2012.08/31/2013 (TD)-09/2512013 (SD) (34,184 170) (37,944 43) 10896 34,184 17 coo (3,760 26)

107/1612012-07131f2013 (TD)-0812612013 (SD) (29,660 630) (32,923 30) 109 04 29.660 63 0 00 (3,262 67) N0

07116!2012-06/3012013 (TD}07/25/2013 (SO) (32,652.050) (36,243 78) 10995 32,652 05 (3,591.73) 0 00

0711612012-05131!2013 (T0)-06125!2013 (SD) (30,972 010) (34,378 93) 109 83 30,972 01 (3,406 92) 0008

07!1612012-0413012013 (TD)-0512 8120 1 3 (SD) (33,560,570) (37,252 23) 109,97 33,560 57 (3,691.66) 0 00

07A6)2012-W131/20i3 (TO)-0412512013 (SD) (41,790 190) (46,387 11) 11014 41,790 19 (4,596.92) 0,000w

0711612012.02128/2013 (TD)-03125/2013 (SD) (30,115 350) (33,428 04) 109.94 30,115 35 (3,312 69) 0 001

cn

Page 30 of 54

Financial 360

Investment Management, Trust & Custody AccountsRealized GainJ(Loss) Detail By Account

t, r fln_, i

Date Range : From 12101 f2012 -To- 1113012013

Ac ounfl8ecurity CUSIPAlaq^ j (sltion Date1Liquidation Qate(,TD)) ST3)

Total

07/1612012-0113112013 (TD)--02125/2013 (SO)

0 711 8120 1 2-1 2131 120 1 2 (TD)-01 /251 2 01 3 (SD)

FEDERAL NAIL MIG ASSN SER 2007-76 CL EBOTO 07101107 6 000% DUE 08125137(C1A7000000)

0111212009-1113012013 (TO)-12J2612013 (SD)

0110912009-1113012013 (TD)-1212612013 (SO)

0110912009-1013112013 (TD)-1112512013 ISO)

0110912009.0913012013 (T13)-10125/2013 (50)

0110912009-0813112013 (TD)-0912512013 (SD)

0110912009.07/3112013 (T0)-0812612013 (SD)

0110912009-0613012013 (70)-07t2512013 (SD)

0110912009.0513112013 (TO)-06125 2013 (30)

01(09/2009-04130/2013 (TD}05128/2013 (SD)

0 110912009-OM 1120 13 (T0)-04 ?25)2013 (SD)

0110912009-0212612013 (T0)-0312512013 (SD)

01f0912009-01/3 1120 1 3 (TD)-021251201 3 (SD)

01(09(2009-1213112012 (T0)-0112512013 (SD)

FEDERAL NAIL MTG ASSN SER 2008-32 Cl. PTOTO 03/01/08 5 500% DUE 04125138(CM7000000)

04(3012013-11130/2013 (10)-12!2612013 ISO)

0413012013-1013112013 (TD)-1112512013 (50)

0413012013-0913012013 (TD)-1012512013 (S0}

31396WY83

31396Y5F5

U;. S, f RUS

Quantity Acquisitfan Cost Liquidation Price Liquidation Reak6 )Amount SboitTo"

ainl(L't>^.

(27,772,583.57) 26,958,440.30 (333,720.05)

(50.754 810) (56,337 84) 109.87 50.754 81 (5,58303)

(54,789 390) (60,816.22) 109.45 54,789 39 (6,026,83)

(1)1,418 700) (117,825.28) 111,418 70 0 00

(2,753 850) (2,912 20) 110.81 2, 753 85 0.00

(587 080) (62084) 110 81 587 08 0 00

(4,218600) (4,46117) 11101 4.21860 0.00

(5,636 810) (5,960 92) 110 94 5,63681 0 00

(8,469 760) (8,956 77) 110.36 0,489.76 COO

(10,769 960) (11,369 231 114.23 10,769.96 0.00

(7,663 230) (8,103 87) 114.52 7.66323 0 00

{9,374 340) (9,913.37) 110 89 9,374.34 000

(8,558 910) (9,051 05) 110.90 8,558.91 0 00

(10,568.880) (11,176 59) 111 04 10,568 88 000

(10,360 060) (10,955.76) 110 73 10,360 06 0 00

(17,846 820) (18, 873 01) 110 56 17,846 82 0 00

(14,610 400) (15,450 50) 11019 14,610 40 0 00

(310,519 950) (343,124 55) 310,519.95 (32.604 60)

(31,269 300) [34,552.58) 109 24 31,269 30 (3,283 28)

(37,837.350) (41,810 27) 109 67 37,837 35 (3,972 92)

(32,942 550) (36,401 52) 109 60 32,942.55 (3,458 97)

RealizedLOtalnl(to

(480,42

0 00 00

000

(6,406 58)

co

(15835) c,-

(33 713)

(242.57) a

(32411)x

(467.01) 1N

(619 27) co

(440 64)

(539 03) R

(4

(60

(595.70)

(1,026 19)

(840 10)

000 -0

w

000

000-0

0 00`

cri

Page 31 of 54 °'

Financial 360

Investment Management, Trust & Custody AccountsReatized Gainl(Loss) Detail By Account

Date Range : Frorn 11210112012 -To- 1113012013

AccountlSecarity CUS1PAcquisition Date&Liquldalion Dato(T£1)I($D)

Total

04i3012013-08+3112013 (TD)•0912512013 (SD)

04130/2013-0713112013 (TD)-08126/20'3 (SD)

04/3012013.0613012013 (TD-07/25l2013 (SO)

04130/2013-0513112013 g0)-06125f-2013 {SD)

FEDERAL HOME LN MTG CORP SER 3284 CL 1C9 31397FLT7010 03101107 5.500% DUE 03/15137(CM7000000)

12(23/2009-1113012013 (TO )-1211612013 {S D)

12123120094013 1120 1 3 (TD)-1 111512013 (SD)

1212312009.-(J913012013 (TD)-10115013 (SD)

1212312009-0813112013 (TD)-0911612013 (SD)

1212312009-0713112013 (TD)-0811512013 (SD)

12!23!2009-06/313 2013 (TO)-07f1 5/2013 (SD)

1212312009-0513112013 (TD)-0611712013 (SD)

1212312009-0513112013 (T0)-0611712013 (SD)

1212X2009-W3012013 (TD)-0511512013 (SD)

12123/2009.03/310013 (TO)-0411512013 (SD)

12/23/2009-02!2812013 (TD}0311512013 (SD)

1232312009.0113112013 (TD)-0211512013 (SD)

FEDERAL NATL MTG ASSN SFR 2008-94 CL 0 31397MJ241770 12101168 6 500% DUE 02125137{CM7000000)

0112812009.1 ¶13012013 (TO)-1212612013 (SD)

0112812009-1013112013 (TD}1112512013 (SD)

I..'S. ` R US'f 'Vol. , . A'. - - .1 , I. • ,

Quantity Acquisition Cost'Wcuitlatio 1 Price • Llquldatian, RealizedAmount Short Tern1

-- lain/(Loss)

(27,772,583.57) 26,958,440.30 {333,720.05)

(53,558 650) (59,182 31) 106 80 53,558 65 (5.623%)

(45,431 350) (50,201 64) 106 79 45,431 35 (4.770 29)

(49,294 300) (54,470,20) 10715 49.294'30 (5.175 90)

(60,186 450) (66,506 03) 108 21 60,186.45 (6,319 58)

(136, 930.200) (144,803.69) 136,930 20 0 00

(12,805.570) (13,541 89) 109 73 12,805 57 0 00

(4,567 080) (4,829 69) 10999 4,56708 coo

(13,327 320) (14,093 64) 109 97 13,327 32 0.00

(7,885 840) (8,339 28) 109 41 7,885-84 0 00

(9,627.990) (10,181 60) 11016 9,62799 000

(16,882 960) (17,853 73) 109 36 16,862.96 0 00

(707.090) (747 75) 11026 707 09 (100

(9,833 440) (10,398 86) 110 26 9.83344 ON

(18,869 410) (19,954 46) 110.47 18,869 47 0 00

(16,836.050) (17,804.13) 110 99 16,836 05 000

(19,159 380) (20,261 04) 110 56 19,159,38 0 00

(6,428 010) (6,797.62) 110 58 6,426.01 0 00

(95,334 720) (100,)01 47) 95,334.72 000

(99.380) (104.35) 112 66 9938 (100

(187810) (197.20) 11280 18781 000

Reslizedortg Tern1

(46

000

0 00

0.00 a9

000C,

(7,873 49)

(736 32)

(20261)x

(766 32) i

(45344)

(553 61)

(97077)

{

(56

(1,08499)

(968 08) ,,

(1,101 66)

(369 61)

(4,7615 75) m

(497)aW

(9.39)

Page 32of54

Financial 360


4-, »t r .< - , n

Date Range - From 12x0112012 -To- 1113012013

gc$C01int(Securlty CLl9IP.Iii ihitlnn DatelLIqu(dation Date (TD}1($D)

Total

01/28/2009.09/30/2013 (TO)-1012512013 (SD)

0112812009-0813112013 (TD)-0912512013 (SD)

01128/2009.0713 02013 (TO)-081260013 (SD)

0112812009-0613012013 (TD}0 712 5120 1 3 (SD)

01128t2009-0513112013 (TO)-0612512013 (SD)

0112812009-0413012013 (TD)-0512812013 (SO)

01128/2009.03/31)2013 (TD)-0 4125120 1 3 (SD)

0112812009-02128 2013 (TD)-0312512013 (SD)

01/28/2009.01/31)2013 (TD)-02125/2013 (SD)

0112812009-12(31/2012 (TD)-01/2512013 (SD)

FEDERAL NAIL MTG ASSN SER 2010-150 CL PG 313970ECBDTO 12101)104 500% DUE 10125/40(CM7000000)

09/1812013.1113012013 (TD)-12x2612013 (SD)

09118)20.13-10!31 /2013 (TD)- S 1 /25120 1 3 (SO)

0911812013.0913012013 (TD)-10(2512013 (SD)

FEDERAL HOME LN MTG CORP SER 3616 CL 8 313981005DTD 12/01/09 5 000% DUE 12115f39(CM7000000)

0911512011-11130/2013 (TD)- 1 211 6120 1 3 (SD)

09115+2011.1 013 112 0 1 3 (TD)-1111512013 (S D)

0911512011-09130/2013 (TD)-10/1512013 (SD)

0911512011-08/3112013 (T D)-0911612013 (SD)

0911 5/2011-071,W2013 (TD)-08/1 512013 (St))

^.^` . TRUS'T'1.. •,-, , L • , Ill : • ,

Quarftity Acqu1 itlon Cost Liquidation Prlco ,.t'Equidation # r-'allzddApiount Shortpkm

A Gra^41 ^ 858)

(27,772.583.57) 26,958,440.30 (333,720.05)

(4,133 500) (4,340 18) 112 72 4,13350 0 00

(10,458 860) (10,981 80} 111 52 10,458 86 0 00

(3,027 790) (3,17918) 112 07 ,3,027 79 coo

(10,481.410) (11,005 48) 112 66 10,481.41 0.00

(15,707 030) (16,492 30) 113 40 15,707 03 coo

(9,731 100) (10,217 66) 113.75 9,731 10 0,00

(4,723 240) (4,959.40) 114 06 4,72324 9.00

(13,789 890) (14,479 39) 113-71 13,78989 0.00

(15,214 980) (15,975 73) 113 53 15,214.98 0.00

(7,779 730) (8,160 72) 113 47 7.77973 0.00

(29,351.110) (31,659 57) 29.351 11 (2,308.46)

(6,289 180) (6,783 82) 10484 6,28918 (494.64)

(11,433 880) (12,333 15) 105 57 11,433.88 (89927)

(11,628 050) (12,542.60) 105 56 11,628 05 (914 55)

(128,514 770) (137,350 16) 128,514 77 0 00

(3,892 390) (4,159 99) 108 08 3,892.39 0 00

(7,1674 750) (6,202 39) 10798 7,67475 000

(9,205 570) (9,838 45) 108 03 9,205 57 0 00

(10,669.670) (11,403 21) 107 00 10,669 67 0,00

(10,644 950) (11,375 79) 108.08 10,844 95 0 00

Reti(iz5+r11.0ng Term8a1nf(L06

(480,423

(20668) co0303

(522 94)

(151 39)CD

(524 07) `;

(785 35) °'

(406,56)

(236 16)

(689 50)

(760 75)

(388 99)

0/18 1

000

(8,83539)

(267 60)

52764)°LOCID

(832 88) 03

(73354)-u

(731 84)

L71

Page 33 of 54 °'

Financial 360 U.S. RUSrl -


Date Range : From 1210112012 -To- 11130/2013

AecountlSscurity WSWAcquisition DaterliqulyfatIon D4tsjTD)1(SD)

Total

09115/2011 .06l3012Q 13 (TD}0711612013 (SO)

0915S/2011-05/3112013 (TO)-0611712013 (SD)

09/1512014-000/2013 (TD)-0511512013 (SO)

09715"2011-03131/2013 {TD)-0411512013 (SD)

09!1512011-0212812013 (TO)-93/15/2013 (SD)

0911512011.0113112013 (TD)-02/15/2013 (3D)

091 1 512 0 1 1-1 2131 /201 2 (TO)-01'1512013 (50)

FEDERAL NATL MTG ASSN SER 2010-123 CL KU 31398N2Z6DTD 101011104 500% DUE 11125r40(CM7000000)

08!1212011-0913012013 (TO)-1012512013 (SD)

08/1212011-0813112013 (TD)-0912512013 (5D)

08/ 2/20l1-07/31/2013 (T0)-0812612013 (SD)

0811272011-0613012013 (TD)-07/2512013 (SD)

9811212011-05131/2013 (TD)-0612512013 (SD)

0811212011-0413012013 (TD)-0512812013 (SD)

0811212011-03131/2013 (TO)-0412512013 (SD)

0811212011-02128/2013 (TD)-03/2512013 (SD)

08112/2011-01131!2013 (TD)-02J2512013 (SD)

0811212011-12/31!2012 (TD)-0112512013 (SD)

FIRST HORIZON MJG PASSTHRU TR 2003-7 MTG 320510ZX3PASSTHRU CTF CL IA5 DTD 07(28/03 5 250% DUE09125133(CM7000000)

QU: ritftl Acqul&stiort Cost Liquidation Price

(10,114 280)

(15,472 180)

(15,989 060)

(12,256 630)

(10.564 360)

(10,401,820)

(11,629 110)

(1,158, 921 920)

(27, 772, 583.57)

(10.809.64)

(16,53589)

(17,088 31)

(13,099 27)

(11,290 66)

(11,116.95)

(12,428 61)

(1,176,305 75)

107 39

108 04

108 59

108 60

108 28

10827

108 09

LiquidationAmouat

26,958 , 440.30

10,114 28

15,472 18

15,989 06

12, 256 63

10,564 36

10,401 82

11,62911

1,1.58,921 92

Rc^eodshort 1*rmGain[(4 ss)

(333,720 05)

0 00

0 00

0.00

0 00

0110

0 00

0 00

0 00

(18,138 980) (18,411 06) 99 05 18,138 98 Goo

(65,444.290) (66,425 95) 9992 65,444 29 0 00

(143,051 780) (145,197 56) 100 45 143,051 78 0.00

(155, 733.660) (158,069 69) 100 97 155,733 68 0.00

(256,988 630) (260,843 46) 99 63 256,988 63 0 00

(114,202 840) (115,915 88) 100 03 114,202 84 0 00

(174,059 100) (176,669.99) 10336 174,059 10 0 00

(36,619-310) (37,168 80) 105 12 36,619.31 0 00

(75.436 160) (76,567 70) 105 76 75.436 16 0.00

(119,247 150) (121,035.86) 106 29 119,24715 0 00

(61,324.550) (60,603 08) 61,324 55 000

RealizodLong -term0014 0

(480.423

s

ib

(69536)

(1,063,71)

(1.009261

(642.64) co

(726 30)

(71513)3>

(799 50)Tfll

(17,383 83) x1

(272 08) co

(981,68) w

(2,145.78) N

(2,33

{3,854

(1,713 04)

(2,61089)

(549 29)

(1,131 54) o

(1,788.71)fl,

72147

CD0cn

Page 34 of 54

Financial 360 U. S. T RIDS"• ., . < f .•'i• , . , Ir' .,.. .. `.!„ .li: •^,,

Investment Management, Trust & Custody AccountsRealized Gain((Loss) Detail By Account


40 unk^h' Orftp C1JSIPAt Gtsi lb- 'eAte/LIquidatfon Dat 1D}J($D)

Total

08!0112003-08131/2013 ( TD)-09/2512013 (SO)

0810112003 - 07/31/2013 (T0)-0812612013 (SD)

OEV0112003 - 0613012013 ( TD)-0712512013 (SD)

08101 /2003 -0513112013 (TO)-0&2 512013 (S D)

08101/2003 - 04130/2013 (TD)-0512812013 (SD)

0810112003 -03/3112013 ( TO)-0412512013 (SD)

0810 tl2003.01131/2013 ( TD)-0212 5120 1 3 (SD)

FIRST HORIZON MTG PASSTHRU TR 2006-4 MTG 32052UAS2PASSTHRU CTF CL IA17 DTD 12101!06 61100%DUE 02125137(GM7000000)

12126)2006-1113012013 ( TD)-12126!2013 (80)

1212&2006 - 1013V20113 (10)-i 1/2512013 (SD)

1212612006 - 10+25/2013 (10)-10125!2013 (SO)

GOVERNMENT NATL MTG ASSN POOL 1/781846 36241KBP2PLATINUM OTO 12/01/64 6 500% DUE09f15l34 (GN1761646)

09118!2009 - 1113012013 (TD)-12!1612013 (SD)

0911812009.1013112013 ( 10)-1111512013 (SD)

0911812009 -0913012013 (TD)-1011512013 (SO)

0911812009 - 0613112013 (TO)-09!16!2013 (SD)

0911812009 -0713112013 ( T0}-08115/2013 (SO)

091812009-06/30/2013 (10)-07M512013 (SD)

09/1 812009-05131120 1 3 (1 D}-06!17!2013 (SD)

u, nt equisitlon Cost LigixirlatfonPrice _ LtquicrfitforL .- f eafizod Realized

- -Aftlatnt%, Short Terni

calm L, Li nu Tend

t3 i l L. { ass}. 8 n ( o

(27,772,583.57) 26,958 , 440.30 (333,720. 05) (480,42

(1,277.020) (1,262 00) 106 23 1,27702 0.00 1502

(15,631 130) (15,447 23) 108 05 15.1631 13 0 00 183.90 -

(14, 768 520) (14.594 77) 105 93 14,768 52 0.00 173 75

(8,704 720) (8,602 31) 105.85 8,704 72 (100 102 41 -RD

(1,196.090) (1,18202) 10582 i,i9609 000 1407 0

(5,821 890) (5,753 40) 105 79 5,821 89 0 00 68 A9

(13,925180) (13,161 35) 104 46 13,925 18 1300 163 83

(33,82121 G) (34,243 97) 33,821.21 0 00 (422.76) X

(16,415 500) (16,620 69) 92.84 16,415.50 0 00 (205 19)

(7,379 280) (7,471 52) 92.88 7.37928 0.00 (92 24)

(10,026,430) (10,151 76) 1 00 10,026.43 0 00 (12633)

(47,631 480) (49,355 97) 47,631 48 0 00 (1,7210

(2,889.310) (2.97977) 11560 2.889 31 0.00 (90 46)

(2,072 320) (2,137 20) 113 56 2.07232 0 00 (64 88) -'

(3,168 610) (3,267.82) 113 55 3,16861 0 00N

(99 21) °

(3,564 490) (3,676 09) 113 38 3.56449 0 00 (1 tit 60) o

(4,493 480) (4,63417) 115.06 4,49348 0 06 (140.69)

(3,376 550) (3,482 27) 1 14 28 3,37655 0 00 (105 72)

(5,803) (5,984 69) 115 51 5,80300 0 00 (101.69)

o I

Page 35 of 54 C

Financial 360

Investment Management, Trust & Custody AccountsRealized Gainl ( Loss) Detail By Account

Date Range : From 12101)2012 -To-1113012013

AccoumUSexur^ty ^tj (1' aAcquisition Dbte/Liquldatian Date (TP)1{SD)

Total

0911812009-0413012013 (TD)-05r15/2{l 13 (80)

0911812009-03131 (2013 (TD)-041151201 3 (SD)

0911812009.0212812013 (TD)•0311512013 (SO)

09118J2009-0113112013 (TO)-02115t2013 (SO)

0911812009.12/3112012 (TD)-01/1512013 (SD)

GOVERNMENT NATL MTG ASSN SER 1999.3 CL 3837ltlW56CD DTD 02/01159€ 500% DUE02/16/29{0M 7000000)

12122/2004-11/30(2013 (TO)- 1211612013 (SD)

12t22(2004-1013112013 (TD}l 1!18/2013 (SD)

1212212004-0913012013 (TD)-18/1612013 (SD)

1212212004-09/3112013 (TD)-0911612013 (SD)

12122/2004.07/3112013 (TD)-08/1612013 (SO)

1212212004-0613012013 (TD)-07116/2013 (SD)

1212212004-0513112013 (TD)-0611712013 (SD)

1212212004-0460/2013 (10)-05/1612013 (SO)

1212212004-0313112013 (TD)-04116x2013 (2,D)

1212212004-02128(2013 (TO)-03/1812013 (SO)

12122+2004-0113112013 (TD)•0211 9120 1 3 (SD)

1212212004-12131/2012 (TD)-01116/2013 (80)

GOVERNMENT NATL MTG ASSN SER 2002-47 CL 38373X7U4PY DTD 07101/02 6 000% DUE0712(1132(C M7000000)

R T

Quantity il^cgqisklon Cost. Liquidation Price .I.(gwildation. Realtzed RealizedAmount - Short Term Long term

Gaini(I offsa) Gail{Lgss)

27 772 583 57 958 3026 440 720333 05 420480, . )( , , , . .( , ) ( ,

(5.243 150) (5,407 31) 116 33 5.24315 0 00 (164 16)

(3,557) (3,668 37) 116 72 3,55700 0 00 (111 37) -

13,937 570) (4.060 86) 11798 3,937 57 G(10 {123 29) '

(5,111.320) (5,396 46) 117.57 5,11132 0 00 (28514)

(4,414 680) (4,660 96) 117 68 4.41468 Goo (24628)

(449 030) (46700) 449 03 0.00 (1797) z

(235201 (2446) 101 51 23.52 000 (094)

(29.990) (31 19) 102 18 29 99 0 00 (1.20) N

(39580) (41 16) 101 96 39 58 0 00 (168) M

(9720) (10.11) 101 12 9 72 0.00 (0 39) A

(42 370) {44 07) 102 18 4237 GOO (1 70)

(11410) (11.87) 101 89 11 41 0.00

(57470) (59 77) ' 102 75 57.47 0 00 (

(37 510) (3901) 103.33 37 51 0 00 (1.50)

{60 lid) (62 52) 103.67 6011 0 00 (241) -^

(75 960) (79 00) 10314 7596 0 00 P j(304)

(47.330) (49 22) 193 31 47 33 0 00 (1 89) o

(14 060) (1462) 103 36 14 06 0.00 (0 56) w

-(11,005 640) (11.501 26) 11.005,64 0 00 (49562)C=

0

Page 36 of 54

Financial 360


AS f I1---1. .es-. ,


lmcount1Sectirity = CUSIP Quantity AcquteifonCost- Lkiui8atian Price LIquid2ftion Re^iized --, 'RaatizedAcquisitlon-Dated..iquidatiorl Dabe47 D)1(Sla) Amount Mort Torn, ,,1,.ong Term

Gail (Less) C#'a1n1(Loss

Total (27,772,583.57) 26,958 ,440 30 {333,720.05) (480,4241

0410612005-11130!2013 {TD).1212012013 (SD) (2,8F33 830) (3,017 21) 112.75 2,883.03 0.00 (13338)

0410612005.1013112013 (TO)-1i120I2013 (SD) (3,547 390) (3,711 46) 113 42 3.54739 coo (164 07) -

04/0612005-0913012013 (TD)-1012112013 (SO) (2,672 410) (2,796 01) 113 11 2.67241 0 00 (123 60)

0410612005-8813112013 (TD}0912012013 (SD) (4,479) (4,68615) 111 91 4.47900 000 (207.15)

04108!2005-0713112013 (TO)-0812012013 (SD) (3,133 320) (3,278 24) 113 27 3,13332 0 00 (144 92)

0410612005.0613012013 (1-D)•0712212013 (50) (3,769 830) (3,444 18) 112 94 3.76983 0 00 (174 35) z

04100005-0513112013 (TD)-0612012013 (SD) (3,785770) (3,960.86) 114 24 3,785.77 000 (175 09)

0410612005-04130/2013 (TO)-0512012013 (SD) (3,533 940) (3,697 38) 114 93 3.53394 0 00 (163 44) X

0410812005-0313112013 (TD)-04!2212013 (SO) (4,188 310) (4,379 93) 11524 4,18631 0 00 (193.62)

0410612 0 0 5-0212 81201 3 (TD)-03/2012013 (SD) (290 120) (30354) 11510 290 12 0130 (1342)N

0410412005.0212812013 (TD)-0312012013 (SD) (2,758 930) (2,883A8) 115 to 2,758.93 0 00 (124 15)

0410412005-0113112013 (FD)-0212012013 (80) (3,616.310) (3,779 05) 114 61 3.61631 0 00 (162 74)

0410412005-1213112012 {TO}0112212013 (SD) (4,340280) (4,535 59) 11499 4,34028 0 00 (10

GOVERNMENT NATL MTG ASSN II SER 2002-47 38373X71J4 (31,991 800) (33,471 42) 31,991.80 0 00 (1,479 62)CL PY OT0 07101102 6 000% DUE07/20 32(CM7000000)

04106/2005.11130/2013 (TO)-12J2912013 (SD) (2,883830) (3,017 21) 112.75 2.88383 0.00 (133 38)

0410612005.1013112013 (TD)-1112012013 (SD) (3,547 390) (3,711.46) 113 42 3.54739 0 00 (164.07)

04)061200b-09!3012013 (TD)-1D/2112013 (SD) (2.672 410) (2,796 01) 113.11 2,672 41 0.00 (123 60)

0410612005.00/31/2013 (TD)-0912012013 (SD) (4,479) (4,686.15) 111 91 4,479.00 0 00 (207 15)

04l0612005-0713112013 (TD}0012012013 (SO) (3,133.320) (3,276 24) 113 27 3,133 32 0 00 (14492)

04106f2005-D613012013 (TO)-0712212U 13 (SD) (3,769 830) (3,944 18) 112 94 3,769 83 Goo (174 35)

Page37of54 CL"n

Financial 360 1JL S. i. 1j T ST

Investment Management, Trust & Custody AccountsRealized Gainl(Loss ) Detail By Account


Aac®C1nfT3[o ' ty CUSIP Quantity Ae4 y(9ition cotat L iquidatinn Privo L1g1ikl8ffqi1 '• . Ro Iited Reati7}lid{'Oq ief oit'£)ut&1Uqul^latlo14 Date{TD)1(SD) An^ouhlk^ Short Term Lung 1ter^''liF

G;tinl(Loss) Galn1(Lo ••

3Total (27,772,583. 57) 26 , 958,440 30 (333, 720.05) (480,42

04/9612005.05f3112013 (TD).06120/2013 (SD) (3,785 770) (3,960 86) 114 24 3,78577 DOG (17509)

0410612005-041302013 (TO)-05120f2013 (SD) (3,533 940) (3.597 38) 114 93 3,533.94 0 00 (163.44) -

04+b6J2005.03/3(12013 (TD)-0"4122!2013 (SD) (4,186 310) (4,379 93) 115 24 4,186.31 DOG (193 62)

041061200 5.02f2$12013 (TD)-03/2012013 (SD) (290 120) (303 54) l i5 10 290 12 0 00 (13 42)

0404l2005-D2128/2013 (TD)-03(2012013 (SO) (2,758 930) (2,883 08) 115 10 2,75893 0.00 (124 15)

0410412005.0113112013 (TD)-0212012013 (SD) (3.616 310) (3,779 05) 114 61 3,616.31 0 00 (162 74)

04)0412005-1213112012 (TO)-0112212013 (SD) (4,340 280) (4,535.59) 114.99 4,34028 0 00 (195.31)

GOVERNMENT NAIL MTG ASSN It SER 2003-58 383748NS8 (80,999 070) (80.966 69) 80,999 07 009 32 36 XCL LB DTD 07101/03 5 000% DUE07120f33(CM7000000) N

08/2512004-11f3012013 (TD)-1 2120120 1 3 (SD) (6,283 530) (6,281.02) 109 24 6,283.53 0.00 2.51 0

08/2512004.1013112013 (TD)-1112012013 (SD) (6,608 620) (6,605 98) 11058 6,608.62 0 00 2.64 A

0812512004-0913012013 (TD)-1012112013 (50) (8,650 060) (8,646 60) 110.47 0.65006 0 00 3 46

08125f2004.08J31r2013 (70)-0912012013 [SD) (0,838 041]) (8,834.51) 108 98 8,83804 0 000

0812512004-0713112013 (TD)-0812012013 (SO) (7,748.850) (7,745 75) 110 48 7,748 85 0 00 310

0&2512Q04.06r3012013 (TD)-07f22r20t3 (SD) (9,903 060) (9,899.10) 109 97 9.90306 0.00 3 96 3-

08i25(2004-05(31t2013 (TD)-0612012013 (SD) (10,246.950) (10,242 65) 111 35 10,246 95 0 00 4 10

082512004.04/30/2013 (TD)•0512012013 (SD) (12,7 t 6 360) (12,711 28) 111 80 12,758 36 000 5 08 °

0812512004-0313112013 (T0)-0412212013 (SD) (10,003 600) (9,999 60) 112 15 10,003 60 0.00 4 00

GOVERNMENT NAIL MTG ASSN SER 2003-84 CL 38374CZL8 (15,267 530) (15,114%) 15,267 63 0.00 152 67A DTD 10/01103 5.000% DUE 07117f33(CM7000000)

0512012005-07131/2013 (1D)-0811912013 (SO) (8,608 280) (8,522 20) 105 38 8,60828 0100 86.60 0a

Page 36 of 54 C"

Financial 360

Investment Management , Trust & Custody AccountsRealized Gaini(Loss ) Detail By Account

Date Range : From 12f01 f2012 -To- 11/30!2013

As€ountUSecurity ` .Cl1Sl .Acqttlsition D8teliquidTtiori Date(TD)1(SD)

Total

0512012005.06130!2013 (T0)-07117/2013 (SD)

GNhJ REMIC SER 2004-11 CLASS QE DTD 38374FRM82(112004 5 00% DUE 1211612032(CM?000000)

0212512009.1113012013 (TO)-1211612013 (SD)

0212512009-1013112013 (TD)-1111812013 (SD)

0212512009.0913012013 (TO)-10A(V2013 (SD)

02/25t2009-08131/2013 (TD)-0911612013 (SD)

0212512009-0713112013 (TO)-0811612013 (SD)

0212512009-0613012013 (TD)-0711612013 (S D)

02/2512009-05t31120ti3 (T0)-06W/20S3 (SD)

(1212512009-04+3012013 JO)-0511612013 (SD)

0212512009-03/31/2013 (TO)-041 tGl2013 (SD)

0212512009-0212812013 (TD)-03/1812013 (S0)

02125!2009.0113112013 (TO)-02) t 9JJ20 13 (SD)

02/25t2009-121310012 (TD)-01!1612013 (SO)

GOVERNMENT NAIL MTG ASSN LI SER 2004-102 38374JZ65CL MA DTD 11101104 5500% DUE04I20134(CM7000000)

11/2312004.11/30/2013 (TD)-1212012013 (SD)

1112312004-1013112013 (10)-1 1/2012013 (SO)

1112312004-0913012013 (TD)-1012112013 (SD)

1112312004-0813112013 (TD)-09!2012013 (SO)

Quanti ty Acyuisttio ►1'Grast Liryuudatiis9,Price LPquidqtlbn ' Realized Rc+alked•Ambui1t Shott TBrm Long IRrqr

Gain/(Lo5is ) Gam/(Lo*S

A(27,772 ,583.57 ) 26,958, 414.30 (333,720 05 ) (400,42

{0.659 350) (6.592 76) 106 73 6.65935 0 00 66.59

(50,704 170) (53,049 25) 50,704 17 0.00 (2,345 08) -0

(1,336270) (1,39807) 103.90 1,33627 000 (6160)

(2,684 920) (2 ,809.10) 103 91 2,684 .92 000 (124 18) 2.

(3,741 400) (3,914 44) 104 07 3,741 40 0 00 (173.04)

(2,965.520) (3,102 60) 103 95 2,96652 000 (137 16) a

{5.692 150) {5.955 41) 104 25 5,692.15 0 00 (263 26) -

(4,342 280) (4,54311) 104 15 4,342 28 0410 (20063) N

(4,160 760) (4,353.20) 103.85 4.160 76 0 00 (192 44)

(5,457 900) (5,710 33) 103 94 5,457 90 0.00 (25243)Ln

291 830)(4 (4,490 33) 10426 4.291.63 (100 (198.00) N.

(4,049 500) (4,236 79) 104 37 4,049 50 000 (110

6,441 090)( (6.7M 99) 104 54 6.44109 Goo (29

(5,540,550) (5,796 80) 104 90 5.64055 0 00 (25625)

(19.776 020) (20,023 22) 19,776.02 0 00 (247 20)

(2,022 280) (2,047 56) 110 64 2.022 28 0 00

o

(2528)Z.

(2,012.210) (2,037 36) 111 13 2,01221 0 00 (25 15)

(2,002.220) (2,027 25 ) 111 08 2,902.22 0 00 (25 03)'3

(1,992 250) (2,017 15) 110 76 1,992 25 Goo (24 90)

Page 39 of 64

Financial 360


.. . I ,,. : , I., f I:


AccounUSacurlty GUSIPAcquisition Dut&LiquldaUonnDF4t ('D)!(SD)

Total

1512312004-0713112 013 (TD)-0812012013 (SD)

11123!2004-06?3Uf2013 (TO}0712212013 (SO)

1112312004.0513112013 (TD)-0612012013 (S D)

1112312004-0413012013 (TD)•0512012013 (SD)

1112312004.0313112013 (TD)4412212D13 (SD)

11/2312004-0212812013 (7D)•0312012053 (SD)

1112312004-0113112013 (TO)-0212012013 (SD)

1112312004-1213112012 (10)-01122!2013 (SD)

GOVERNMENT NATL. MTG ASSN SER 2004-102Cl. MA DTO 11101104 5 500% DUE04120134(CM7000000)

1112312004-1113012013 (1D}12/2012013 (50)

1112312004.1013112013 (TD)-11120!2013 (SD)

1112312004-09/3012013 (TD)-10121120 t 3 (SD)

11!2312004-0813112013 (TD)-09120(2013 (S0)

11123/2004-07/3112013 (TD)-0812012013 (SD)

1112372004-0613012013 (10)-0712212013 (SO)

1 1t23/2004-05/31!2013 (TD)-0612012013 (SD)

1112312004-0430/2013 fFD)-05120/2013 (SO)

11/2312004.0313112013 (TD)-0412V2013 (SD)

1112312004-0212812013 (TD)-0312012013 (SD)

t 1/2312004.0113112013 (TD)-0212012013 (SD)

R t is' f,

Quantity Acquisition Coot t uWation Price Liquldattan 4 eaiiioCI wealiz©dAmount Short Term

Gam/ L o9sh TermIri bass. )

127,772 , 583 57) 26 ,958,440 . 30 (333 ,720.05 ) (480,423

( 1,982.330 ) (2,007 . 11) 11125 1,98233 000 (2478)

(1,972 480) ( 1,997 14 ) 111 17 1,97246 0 00 (24 66) -

(1,962 660) [1 , 98719) 111 70 1,962-66 0 00 (2453)

(1,952 900 ) ( 1,977 31) 112.07 1 ,95290 0 00 (2441) ca

(1,943 180) (1,967 47) 112 32 1,943.16 0 00 (2429) Q

(1,933 510 ) ( 1,957 68 ) 112.31 1.933-51 0 00 (24.17)

(1,923 890) (1,947 94) 112 43 1,92389 0 00 (24 05)

(1,914-320) ( 1.938 25) 11268 1.91432 0 00 (23.93) X

(3,638 210) (3,886 19) 3,83821 0 DO (47 98) Nimcn

(2.022 280 ) (2.047 56) 110.64 2,02228 0 00 ( 25.28)

(2,012 210) (2,037 36) 111 13 2 . 01221 (100 (25 15)

(2,002 220 ) (2,027 . 25) 111 08 2,002 22 (M)

(1,992.250) (2, 017 15) 110 78 1,992 . 25 0 00 (2490)

(1,982 330) (2,00711) 111 25 1,982 33 0 0fl (24 78)

(1,972 . 480) (1,997 14 ) 11117 1,972.48 000 (2466)

(1,962 660) (1 , 98719) 111 70 1.96266 0.00 (2453)

(1,952.900 ) ( 1,977.31 ) 11207 1 ,95290 000 (2441)

(1,943180) (1.967 47 ) 112 32 1,94318 000 (2429)

(1,933 510 ) ( 1,957.68 ) 112 31 1,93351 0.00 (24 17)

(1,923 890) (1,947 94 ) 112 43 1,923 89 coo (24 05) N

Page 40 of 54 C"

38374JZ66

Financial 360


Date Range : From 1210112012 -To-11130)2013

Acr urity ^` CUSIPAcquis(tia^# Date/Llquidatioh 7ate{TD}aSD)

Total

1112312004.1 213112012 (TD)-0112212013 (SD)

GOVERNMENT NAIL MTG ASSN II SER 2009-8 CL 38374TDW 1ED DT0 02/01109 5 500% DUE02120139(CM7000000)

0413012009-1113012013 (TD)-1212012013 (SD)

0413012009.1013112013 (TD)-1 lM/2Gi3 (SD)

0413012009-0913012013 (TO)-1012112013 (0)

0413012009.08/3112013 (10)-09120/2013 (SD)

0413012009-0713112013 (TO)-0812912013 (SD)

0413012009.0613012013 (TD)-0712212013 (SD)

04130/2009-0513112013 (f U)-06120)2013 (SD)

0413012009.0413012013 (TD)-05/2012013 (SD)

0413012009-03131/2013 (TD)-04122;2013 (SD)

0413012009.0212812013 (TD)-03121Y2013 (SD)

04130/2009-01/31/2013 (TD)-0212012013 (SD)

0413012009.1213112012 (T0}0112212013 (SO)

GOVERNMENT NAIL MIG ASSN SER 2009-8CL 38374TDW1

ED DTD 02)01109 5 500% DUE02120139(C M7000000)

0413012009-1113012013 (10)-i 21201201 {SD)

0413012009-1013112013 (TO)-1112012013 (SD)

0413012009-0913012013 (TD)-10121/2013 (SD)

0413012009-0813112013 (T4)-09120)2013 (SD)

1.1.S.'J I U.iS'

'.101 sa ,,i,q:• I• iii. . •• ,

Quan1t1ty ' Acquisition Gost j-Itluidation PrIce Liquidatlvrr ;A

:: r ' yRSalir 'ed^tT`' j d

RealizedTermG nmount prmrar , $r o g

xn ^ti, yf't11nt^Los6) GamI(Loss)

40 3 05)720333 (480 42(27,772,58357) 26,958,4 . 0 .,( ,

(1,914 320) (1,938 25) t 12 fib 1,914 32 0 00 (2393)

(32,030 080) (34,35226) 32,03008 0013 (2.322 18) -

(1,655520) (1,775.54) 10744 1,65552 000 (12002)

11.995 370) (2.140.03) 112 11 1,993.37 0 00 (144.66)

(2,723 470) (2,920 92) 111.90 2,723.47 0.00 (197 45)

(2,938 450) (3,151 49) 110 81 2,93845 0 00 (213 04)

(3,288.850) (3,527 29) 111 93 3,288 85 0 00 (238 44) x

(2,976 230) (3.192 01) 111 46 2.976.23 1000 (215.78) N

(3,568 850) (3,827 59) 111.64 3,568 65 0 00 (258.74)

(3,985 240} (4.274 17) 112 29 3,98524 0 00 (288 93)

(4,245 730) (4,553 55) 112 01 4,245 73 0 00 (307 82)

(4,852.370) (4,989 67) 111 79 4 ,65237 0 00 (3*

(4,626020) 4.854 16 111.67 4,52602 0.00 (328 14)

(658 050) (70576) 111 59 658 05 0.00 (4771)

(5,184 070) (5,559 92) 5,16407 0 00 (375 85)

(1,655 520) (1,77554) 107 44 1,65552 0 00 (120,02)8

(1,995370) (2,14003) 112 11 1,995.37 0-D8 {144 66)

(2,723 470) (2,920 92) 111.90 2,72347 0 00 (1974 )5

(2,938 450) (3,151.49) 110 01 2,938.45 0 00 (213 04)

Page 41 of 54 M

Financial 360

Investment Management , Trust & Custody AccountsRealized Gainl ( L.oss ) Detail By Account

I . I_ ,, 1> I, IT. > -"

-

Date Range : From 1210112012 -To- 11f3Oi2013

AccountlSecurity •^ CAPAcqulaltion DateIL(qu(dpttdn Oate(TD)J(SD)

Total

0413012009.0713112013 (TO)-0812012019 {SD)

0413012009-0613012013 (TD)-0712212013 (SO)

0413012009.05/3 112 0 1 3 (O)-06)2012013 (SD)

041300009-0413012013 (TD).0512012013 (SO)

0413012009-0313 $12013 (TO)-04122)2013 (SD)

0413W2009-0212012013 (TD)-0312012013 (SO)

0413012009-0113 1120 1 3 (TO)-0212+712013 (SD)

0413012009-12J3112012 (TD)-0112212013 (SO)

GOVERNMENT NAIL MTG ASSN SER 2009-32 CL 38374UBP5A6 DTD O5 11/09 4 000% DUE05f16139(CM7000000)

04118!2013-11130/2013 (TD)-1211 6120 1 3 (SD)

0411 8/201 3-1 0(3112013 (10)-1 1 11 8120 1 3 (SO)

0411812013-0913012013 (TD)-I0/1612013 (SD)

04118/2013-08!3112013 (TD)-09116/2013 (SO)

04/18/2013-0713112013 (10)-OS)t612013 (SD)

04118,12013-06130/2013 (TD)-0711612013 (80)

0411812013.05(3112013 (T0)-06? 17t20 13 (SD)

0411812013-04130/2013 (TD)•0511612513 (S9)

GOVERNMENT NAIL MTG ASSN SER 2009-044 30374U2G5CL AC OTD 06/01109 4 500% DUE06116139(CM7000000)

0612912009-12131/2012 (TD)-0111612013 (SD)

A R.,.. ., .,,. - ,, iI

Quantity Mqu)sition Coat Liquidation Price - ' Liquidation Realized F ealizcdAmount : Short Term Lon Term

Ga[nf(Lass) Gain(Loss

(27,772,583 57) 26,958,440.30 (333,720 ,05) (480,423.

(3,288 850) (3,527 29) 111 93 3.28885 (100 (23844)

(2,976 230) (3,192 01) 111.46 2,97623 0 00 (215 78)

(3,568 850) (3,827 59) 111 64 3,568 85 O OD (258 74)

(3,985240) (4,274 17) 112 29 3,98524 000 [288 935 CD

(4,245 730) (4,553 55) 112.01 4,245-73 0 00 (307 82)

co,(4,652 370) (4,969 67) 111.79 4,652 37 0 00 (337 30)

(4,526 020) (4,85416) 111 67 4,526.02 ()Do (32814) '

(658 050) (705.76) 1 t 1 59 658 05 0 00 (47 71) X

(144, 290 680) [154,719 31) 144,290 68 (10,428 63) Goo

(13,612 540) (14,596.39) 104.33 13,812 54 (98385) 0 00 A

(11,066 460) (11,866 29) 104 45 11,066 46 (79983) 0 00

(12.235 500) [13,119 82) 104 25 12,235 50 (884.32)0

(16,943 180) (18,167 75) 103 33 16,943 18 (1,224 57) 0 00

(20,379 740) (21,852 69) 104.31 20,379.74 (1,472.95)0100

°;

(18,891 400) (20,256 78) t04 08 18,891 40 (1,365 38) 0 00

(23,504.500) (25,203 29) 104 38 23,504.50 (1,698 79) 0100 °r

(27,657 360) (29,656 30) 108 04 27,657 36 (1,998 94) 0.00-

(5,308.560) (5,175 85) 5,308.56 0 00 132 71E3

(5,308.560) (5.175 65) 100 00 5.308.56 0 00 132 71 A

0Page 42 of 54 En 11

Financial 360



U. S. T Ru `.i

untlSecurity -% C()SIP Quantity Aoquisitian ro3t Llgi1 ation Price 1 iquida"t+oix FteaNxedAccpant Short7enAGcjulsitian DatciLiquirl tian,b7t8frD)!(5Q} ""5 , A"

Oaln)(Loss)

Total

GOVERNMENT NATL MTG ASSN II SER 2010-92CL CD DID 07101110 4.500% DUE07120140(CM7000000)

0712812010-02!2812013 (TD)-0312012013 (SD)

0 7128P2010-01131/2013 (TD)-0212Y2013 (SO)

0712812010- t 2/3112012 (TD)-0112212013 [SD)

GOVERNMENT NAIL MTG ASSN II SER 2010-94CL LB 0TD 07/01110 4 500% DUE07120140(CM7000000)

0811312010.0513112013 (TD)-06/2012013 (SD)

00)1312010-04!30/2013 (TD)-0512012013 (SD)

0811312010-0313112013 (TD)-0022J20 Q (SD)

0811312010-0212812013 (TO)-03/20/2013 (30)

08113!2010.01 /3112013 (TD}-0212012013 (SO)

08/1212010-0113112013 {TO}-0212012013 (SD)

0 811 21201 0-1 2/3 1120 1 2 (TD)-0 1 12212 0 1 3 (SO)

GOVERNMENT NAIL MTG ASSN II SER 2012-50CL CEDTD041011123500%DUE08120140(CM7000000)

0412212013- t 1/3012013 (TD)-12120120 t 3 (SD)

0412212013-1013112013 (TO)-i'112012013 (SD)

0412212013-09/3012013 (TD) •1012112013 (SO)

04!2212013-08131/2013 (70)-0912012013 (SD)

0412212013-0713112013 (TD)-0812012013 (80)

127,772,583 57) 26,958 , 440.30 ( 333,720.05)

38374YDEO (287,724.760) (294,917"88) 287,724 76 0 00

(73,418 400) (75,251 81) 100 36 73,416 40 0"00

(107,884 770) (110,581.89) 100 76 107,88477 0 00

(106,423 590) (109,084 18) 100 60 106,423 59 0 00

38374YXP3 (1.200,536) (1,239.553 42) 1,250,53600 000

(192.81 G 110) (199,076 44) 100 31 192.810 11 0 00

(294,507 450) (304,078 94) 100 21 294, 507 4 5 0 00

(234,519170) (242,14104) 10092 234,51917 000

(201,630 970) (208,18398) 101 45 201,630 97 0.00

(77,068 300) (79,573.02) 102 04 77,068 30 0 00

(148,725.260) (153,558.83) 102 04 148,725 26 0 00

(51,274 740) (52,141 17) 101 44 51,274 74 000

38375CFX3 (283,119 330) (288,059 77) 283,119 33 (4,940 44)

(40,579 880) (41,288.0(l) 100 77 40,579 88 (708 12)

(45,968 330) (46,770 48) 100 51 45,968 33 (802 15)

(28,279 400) (28,772 88) 100 57 28,279 40 (493 48)

(104,507 050) (106,330 70) 9829 104,507 05 (1,023 65)

(63,784 670) (64,897 71) 96 03 63,784 67 (1,11304)

ReadLongT6'G ainJ(Lgs

(480,423-

(7,193.12) W

0(1,635 41)

(2,097 12) HD

(2.660.59)

(39,017 42) ?

T(6,268 33) X

(9,571 49) i

(7,62187) Cn

(6,55301)

771(2,504

{4,83

(1,666 43)

0 00

000A

0.00

000 co

000

0.00 LnLn

Page 43 of 54 L"

Financial 360

Investment Management , Trust & Custody AccountsRealized Gaini(Loss) Detail By Account

Date Range : From 1210112012 -To-1113012013u

Accpunt/Securitlc, CUSIP+ cS9tli tion Datelt.lgkiidatian U8te(TD)J(SD)

Total

GOVERNMENT NATL MTG ASSN SER 2009-58 CL 38375DL22GH DTD 07101109 5 000% DUE08+1 fi139(C M7000000)

0313112010-0313112013 (T0)-0411612013 (50)

GOVERNMENT NAIL MTG ASSN SER 2007-1 CL 38375JEN1BA 0Th 01101107 5 500% DUE01120137(CM7000000)

12128!2(109.1113012013 [TD)-1 2120r2013 (SD)

12/2612009-1013112013 (10)-I 112012013 (SO)

12!2812009-0913012013 (TD)-10121!2013 (SD)

1212812009-08131+2013 (TD)-0912012013 (50)

12128/2009-07131!2013 (T0)-08/2012013 (SD)

1212812009-06!30/2013 (T0)-07122i2013 (SD)

12/28/2009-05131/2013 (TD)-0612012013 (0)

1212812009.0413012013 (TD}-05120/2013 (SD)

12/2812009-03/3112013 (T0)-0412212013 (SO)

12!2812009-02128/2013 (TD)-0312012013 (SD)

12/28/2009-0113112013 {TD)-02120/2013 (SO)

12128/2009.1213112012 (TD)-0112212013 (SD)

GOVERNMENT NAIL M1 G ASSN II SER 2007-1 CL 38375JEN18A DTD 01101/07 5 500% DUE01/20137(CM7000000)

1212812009-1113012013 (TD)-1217012013 (80)

12128/2009-10/31!2013 (TD)-111 20!2013 (SD)

1 .S.TRRI^ST

Quan#jty Acquisition Cost Llquidatiioh Price Llctu'tdetiAn f a/led RealizedAni'$urrt. SOgrf€rerm

lf LGLo" TormG i / La '56s)f( n (1a os

3(27,772 ,583.57) 26,959 ,440.30 (333,720 .05) {480,42

(248,000) (254,510 00) 248,000 00 0 00 (6,510 00)

(248.000) (254,51000) 10020 248,00000 0.00 (6,51000)

(25,640 350) (27,242.87) 25,640 35 0 00 (1.602 52) CD

n

(3,314 300) (3,521 44) 111 74 3,31430 Goo (207 14)

(9,248.710) (9,826 75) 112 66 9,24871 0.00 (57804)

(12,086.980) [12.821 17) 11246 12,1066.98 000T

{754.19) X

(6.793260) (7,217 84) 111 26 6,79326 0.06 (424 58)

(12,012.800) (12,763 60) 112 57 12,012.80 0 00 (750 80) °0

(8,533 330) (9,068 66) 11215 8,53333 0 00 (533 33)

(13,697 370) (14,553 46) 113,31 13,697 37 0 00 {856 .)

(8,564 870) (9,100 17) 113 66 8,564 67 0 00 (5

(10.819 900) (11,496 14) 113 99 10,819 90 (100 (67624)

111,913 420) (12, 658 01) 113 53 11,913 42 0.00 (74459)

(13,419 330) (14,258 04) 113 37 13,419 33 0 00 (838 71)

(12,221 (320) (12,984.83) 113 91 12,221 02 0.00 (763 81)

(96,984-940) (103.025 24) 96,964 94 0 00 (6,060 30)

(3,314 300) (3,521 44) 111 74 3,314 30 0.00 (207 14)

(9,240 750) (9,820 75) 112 66 9.24871 0 00 (578.04) Q,

Page 44 of 54

Financial 360


Date Range : From 12101/2012 -To- 1113012013

Acco*inLiSecurity.,AcquisitionDateiLiqutdation DateliTD)!(SD)

Total

1212812009.0913012013 (TD)-10)2112013 (SO)

1212812009-08131l2013 (TD)-0912012013 (SD)

12!2812009-0713112013 (1D)-08120/2013 (SD)

12?28/2009-06130!2013 (TD)-0712232013 (SD)

1212812009-0513112013 (TD)-0612012013 (SD)

1212812009-04130/2013 (TO)-0512012013 (SO)

102812009.023112013 (TD)-114122/2013 (SD)

1212812009-02128/20 1 3 (TD)-0312012013 (SO)

1212812009-01131!2013 (TD)-021 20120 1 3 (SD)

12x28/2009-12131/2012 (TD)-01122/2013 (SO)

GOVERNMENT NATL MTG ASSN SER 2007-36 CL 383751CJU7dB DTD 06101/07 5.750% DUE03116l36(CM7000000)

1111212009.1113012013 [TO)-12116!2013 (SD)

1111212009-1013112013 (TD)-1111812013 (SO)

l1/12121J09-09/3012013 (T0)-1011$12.013(SD)

11112/2009-08+3112013 (TD)-09116/2013 (SO)

1111212009-0713112013 (T0)-08!1612013 (SD)

1 111 212009-0613012013 (TD)-07116;2013 (SO)

I 1112/2009.0 5/31120 1 3 (TO)-06117!2013 (SD)

1111212009-0413012013 (TD)-0511612013 (SO)

1111212009.0313112013 (TO)-0411612013 (SD)

US. , 1l• R \ YST

Quantity Aoquisitign Cyst •Etquidatton Price Liquidation Realized 'ReaF edAmount- - $bort lean Fqng

Gain1(Loss) Gain {L;

3(27,772,583.57) 26,958,440.30 (333,720 05) (480,42

(12,066 980) (12,821 17) 112 46 12,066 98 0.00 (754 19)

(6,793 260) (7,217 84) 111 26 6.7i93,28 0 00 (424 58) -

(12,012.800) (12,783.60) 112.57 12,012.80 0 00 (75080)

(8,533 330) (9,066 66) 112.15 8,53333 0 00 (533 33) cc

(13,697 370) (14,553 46) 113 31 13,697 37 000 (856.09)

(8,564 870) (9,100 17) 113 66 8,56487 0 00 (535 30)

(10,819 900) (11,49614) 113 99 10,819 90 0 00 (676.24)

(11,913 420) (12,658 01) 113 53 11,913 42 0 00 (744 59)

(13,419 330) (14,258,04) 113 37 13,419 33 0 00 (838.71)

(12,221 020) (12,984 63) 113 91 12,221 02 goo (763 81) cN°„

(859,540.150) (930,452 22) 859,540 15 0.00 (70,912 07) A j

(91,038 6401 (98,549 33) 103 50 91,038.64 •000 (7,5

(104,512.470) (113,134 75) 10358 104,512 47 0 00 (8,622 28)

(69,263 0401 (74,977 24) 103 86 69,263.04 0 00 (5,714 20)

(131,614390) (142,472.58) 10390 131,61439 000 (10,85819)

(69,523 6301 (75,25933) 104 24 69,523133 0 00 (5,735.70)

(75,345 060) (81,561.03) 104 32 75,345.06 0 00 (6,215 97)

(126,120 600) (136,525 55) 104 23 126,120 60 0 00 (10,404 95)

(93,420 2319) (101,127 40) 104 53 93,420 23 0 00 (7,707 17)

(98,702.0901 (106,845 01) 10480 98,102 09 0 00 (8,142 92)

Page45of54 C"

Financial 360

Investment Management, Trust & Custody AccountsRealized Gainf(Loss) Detail By Account

Date Range: From 12/0112012 •1o- 1113012013

Accountl$,eeurity - CUSIPAcquisition Date)Llqulddtion 9ate(T)/(51)}

Total

GOVERNMENT NATL MTG ASSN II SER 2008-001 38375PCJ8CL PB OTD 01101108 5 250% DUE0 V20f38(CM7000000)

05/19/2009-11/26/2013 (TD)-11129!2013 (SD)

GOVERNMENT NAIL MTG ASSN II SER 2008-047 38375XEQ3CL NG 010 06101108 5 250% DUE07120138(CM7000000)

OWV2009- 1 IY30)2013 (10Y 1 2120120 1 3 (SD)

0310212009-1013112013 (T0)-11120/2013 (SD)

0310212009-0913012013 (10}-1 0/2112013 (SO)

03102!2009-08131!2013 (ro)-09121312013 (SD)

0310212009.07!3112013 (TD)-08t20/2013 (SD)

03/02!2009-06130/2013 (TO)-0712212013 (SD)

0310212009.0513112013 (TD)-0612012013 (SD}

03/02(2009-04!3012013 (T0)-13 20120t3(SD)

0310212009.0313112013 (TD)-04122013 (SD)

03/02!2009-021282013 (TD)-03120/200 {SD)

0310212009.01131/2013 (T0)-02!2012013 (SD)

0310212009-1213172012 (TD)-01122J2013 (SD)

GOVERNMENT NATL MTG ASSN SER 2008.047 36375XE03CL NG 070 00/01)08 5 250% DUE07120136(CM7000000)

0310212009-11130!2013 (70)-121202013 (50)

03102!2009-10/31/2013 (TD)-1112012013 (SD)

L'. S. TRUSrF

Quantity--Acquisition Gast Liquidation Price

1 ,`'Cr =h

(27,772 ,583.57)

(1,000,000) (1,060,000 00)

(1,000,000) (1,060,000 00) 107 96 1,079,580 00 0 00

(105,757 410) (110,780 98) 105,757 41 0 00

(6,8-17 030) (7,203 69) 1 l1 35 6,877 03 0 00

(8,733 360) (9,148 20) 11210 8,73336 0 00

(10,080 270) (10,559.08) 111 95 10,080.27 0 00

(11,859.03(l) (12,422 33) 110 68 11.85903 0 00

(11,606.970) (12,158 30) 111 92 11,606 97 0 00

(9,355 340) (9,799.72) 11133 9,35534 0 00

(12,158 810) (12,736 35) 112 47 12,158 81 0 00

(13,124 610) (13,748 03) 11290 13,124.61 0.00

(10,921 900) (11,440.69) 113 13 10,921 90 0 00

(11,040 090) (11,564 49) 112 72 11,040,09 0.00

(17.256 490) (18,076 17) 112 92 17,256.49 (100

(14,178 600) (14,852 08) 112 35 14,178 60 0.00

(31,435 090) (32.928 25) 31,435 09 QUO

(6,877030) (7,203 69) 111 35 6,87703 0 00

(8,733 360) (9.148 20) 112 10 8.73336 0 00

Liquidation'Amount

26,958,440.30

1,079,580.00

Realized ' Realized-Short Torm '. on T' er'm,Gaint( i oss) a1n1(f Qss)

(333,720 05)

0.00

(480,420

19,580 00 Wfl,

19,580 00 -y

(5,023 47) coaI

0

(326 86)

(414 84)

(47881) X

(563.30)

(551 33) co

(444 38)

(57754)

(8

(518 79}

(524 40) 9,

(819 68) -I

(673 48)

(1,49316)8isc.^sv

(326 66)-o

(414 84)co

b

Page 46 of 54 L

Financial 360


•,s ..... t,' , I- - ;+ "(J-

Date Range : From 12JO112012 -To-1113012013

AocourdiSo urity 'CUSIP C1^art -y Acquisit1on Cost LiquldatlonPrlceAcquisition Datell-iquidntiop 19ate{TD}1(SD

Total

0310212009-0913012013 (TD)-1012112013 (SD)

03102!2009-08131120 1 3 (TD)-09120/2013 (80)

030212009-0713112013 (TD)-0812012013 (SD)

0310212009-0613012013 (T0)-07122/2013 (SD)

03!0212009.05/3112013 (TD)-0612012013 (SD)

031002009-0413012013 (T0)-0512012013 (SO)

0310212009-03131/2013 (1D)-04/2212013 (SD)

0310212009-02128F2013 (T0)-0312012013 (SO)

0102(200-0 U3112013 (TD)-0212012013 (SD)

03/0212009-1213112012 (TO)-01122!2013 (SO)

GOVERNMENT NATL MTG ASSN II SER 2009.124 36376P3M0CL N DTD 121`01109 4.000% DUE09120139(CM7000000)

0812412012-1113012013 (TD)-1212012013 (SD)

08&2412012-1013112013 (T D}1112012013 (S D)

08/24/2012-09130!2013 (T0)-1012112013 (SD)

08/24/2012.0813112013 (171)}09/2012013 (SD)

0812472012-07131/2013 (rn)-0812012013 (SD)

0812412012.0613012/] 13 (TD)-0712212013 (S D)

0812412012-05/3111013 (T0)-06/20/2013 (SD)

0812412012.0413012013 (TD)-0512012013 (SD)

0812412012-0313112013 (T0)-0412212013 (SD)

9-aalizooLong Taft

OainI(10s9)(480,423

2,

(478.81)

(56330)

(551 33)

(444 38)

(577.54)

(623 42)

(51879)

(524 40)

(819 68)

(673 48)

(7,004 57)

cv

0-„

ca

n

cn

IV

(1.727(1,727

(1,945 53)

-1(1.731 34)N

000 °

000 0

000 Lcv

goo

0 00110

Page 47 of 54

(10,080.270)

(11,859 030)

(11,608.970)

(9,355.340)

(12,158 810)

(13,124 610)

(10,921 900)

(11,040 090)

(17,258 490)

(14,178.600)

(283,218 390)

Liquidation-Amoutld

26,958 ,440.30

10,080 27

11,859.03

11,606 97

9,35634

12,158 81

13124.61

10,921 90

11.040 D9

17,256 49

14,178.60

283,218 39

U.S. TRH. S J

horrtr' im:c ,f ss)(333,720 05)

0 00

0.00

0 00

ON

0.00

0 00

0 00

0 00

0 00

0.00

(17,423 02)

(18,553 170) (20.153 38) 106 62 18,553 17 1100

(20,028 840) (21, 75(3 33) 107 06 20,028 84 0 00

(22,556 900) (24,502 43) 106.76 72,556 90 0.00

(20,073 440) (21,804 70) 105 68 20,073 44 0 00

(18,751 300) (20,36860) 106 83 18,751 30 (1,617 30)

(17,388 690) (18,888 46) 106 87 17,388 69 (1,499 77)

(27,167 650) {29.510 86) 108.05 27,167.65 (2,343 21)

(27,927 220) (30,335 94) 107.60 27,927 22 (2,408 72)

(30,649A40) (33,292 96) 107 47 30,G49 44 (2,643 52)

(27,772,563.57)

(10,559 08)

(12,422 33)

(12,158 30)

(9,799 72)

(12,736 35)

(13.748 03)

(11,440 69)

(11,564 49)

(10,076.17)

(14,052 08)

(307,645 98)

111.95

110 68

111.92

lit 33

112 47

11290

113.13

11272

11292

11235

Financial 360

Investment Management, Trust & Custody AccountsRealized Gain!(Loss) Detail By account


Accrjuhtieturity .. CUSPAOqutsttllon I ate/Llquld9tton dat!a(TD)'(SD)

Total

0812412012-02!28!2013 (TO)-03!20!2013 (SO)

08!2412(112.01131/2013 (TD)-0212012013 (SD)

0812412012-1213112012 (TO)-0112212013 (SO)

GOVERNMENT NAIL 11iTG ASSN 11 SER 2010.33 36376W4A0CL CL DTO 03101110 5.000% DUE03120140(CM7000000)

03123!2810.0513112013 (TD}-06120t2013 (SD)

0312312010-04130)2013 (TD)-09/20l2013 (513)

03!23!2010.03/3112013 (TD}-0412212013 [8D)

GOVERNMENT NAIL MTG ASSN II SER 2010.133 38377MGL4CL 1'13 DT4 10101110 5 000% DUE08120140(C9A7000000)

09/29/2010-04130/2013 (TD)-05/2012013 (SO)

0 '2912010.03131l2013 (TD)-04(22t2013 (SD)

0912912010-02126t2013 (TD)-03/2012013 (SD)

0912912010-01/31013 (TD)-0212012013 (SD)

09!29!2010-12!31!2012 (TD)-01122J2013 (SO)

GOVERNMENT NAIL MTG ASSN II SER 2010-151 38377NGMDCL GK OTO 11!01!10 4 000% OUE07120139(CM7000000)

1 0/281 20 1 0.02/28/2013 (TD)-0312012013 (50)

1012012010-01131!2013 (TO)-02/2012013 (SD)

10/2812010-1213112012 (TD}-01!2212013 (SD)

U.S. ^TRUS'I

Q1lantlty Acquisition Cost I lquidation Realized RealI .ec1^• Arn unt Short TPrm Long Term

Gainf(Loss) • Gaw1(Lo-s)

(27,772,583.57) 26,958,44030 ( 333,720 .05) (480,42310

(25,732.080) (27,951 47) 107 26 25,73208 (2,219 39) 0.00

(24.518.940) (26,633 70) 107 49 24,518 94 (2,114 76) 0 00 -

(29,870 720) (32.447 07) 107.43 29,870 72 (2,576.35) 0 DO

(600,D00) (510,625.00) 500,000 00 0 00 (10,625 00) !

.

(152,252.620) (155,487 99) 100 44 152,252 62 0 00 (3,235.37) z

(181,359 550) (185,21344) 10019 181,35955 000 (3,85389) '

(166,387 830) (169,923.57) 801 55 166,367 83 0 00 (3,535 74) X

(433,636 120) (458,028 15) 433,1836 12 0.00 (24,392 03)

Ln

(60,534 290) (63,939 34) 100.17 60,534 29 0 00 (3,405 05) A

(89,309 300) (94.332 95) 100 46 89,309 30 GOO (5,02365)

(82,423.100) (87,059 40) 10045 82,42310 0 00 (4, 6

192,035 530) (97,212 53) 100 81 92,035 53 0 00 (5,177 0)

(109,333900) (115,48393) 101.07 109,333.90 0.00 (6,15003)

(197,586 700) (201,785 42) 197,586 70 000 (4,198 72) -'

o i

(32,861 290)' (33,559 59) 100 33 32,861 29 0 00 (698 30) o

(77,600 920) (79,249 94) 100 47 77,600.92 0 00 (1.649 02)

(87,124 490) (88,975 89) 100 68 87,124 49 000 (1,851 40)0211

Page 48 of 54

Financial 360



A gquntVSecurlty C031PAAuis1Ilop GatelLiquidation Date (TO)1(8a)

Total

GOVERNMENT NATL MTG ASSN II SER 2011-26 383770AP2Cl. HM OTD 02!01111 5 000% DUE02/20141(CM7000000)

0211 &2011.03!3112013 (TO)-0412212013 (SO)

001612011.0212812013 (TD}-0312012013 (SD)

GOVERNMENT NAIL MTG ASSM II SER 2010-165 38377RW50CL TH DID 12/01/10 4 250% DUE1 71,20(4 0(C M7000000 )

0313012011-0713112013 (TO)-0812012013 (SD)

0313012011-0613012013 (TD).0712212013 (SD)

031301201 i-0513112013 (TO)-0612012013 (SD)

03130011-0413012013 {TD}05J'20f2013 (SO)

0313012011-03!31/2013 (1 D)-0412212013 (SD)

GOVERNMENT NAIL MTG ASSN II SER 2010.165 38377RX26CL TN DT0 1 2101110 4 000% DUE05120140(CM7000000)

03130!2011.04130!2013 (TD)-05/2012013 (SD)

03130/2011.0313112013 (TD)-0412212013 (SD)

(I 3/30/2011-0212812013 (TO)-0312012013 (SO)

0313012011.01131f2013 (T0)-0212012013 (SD)

0313(W2Ot I -12t31t20A2 (T0)-0112212013 (SO)

GOVERNMENI NATL MTG ASSN IS SER 2010-165 30377RX59CL TU DTD 12101110 4.000% DUE12120140(CM7000000)

0222512011-1113012013 (TD)-1 21201 20 1 3 (SD(

Quantity Acqulsitlan Cqst LIgi idatioi>! Price Liquidation Realized #ieaI eUAmount Short Term Longy760n

- G ikV(Los's) Gain{F_os }

440 3026 95 05720333 480 42310(27,772, 583.57) , 6, )( ., ( ,

(4{10,0001 (408,000 00) 400,00000 0 00 (8,000.00)

(187,500 180) (191,25018) 10046 187,50018 000 (3,75000)

(212,499 B20) (216.749 B2) 100.64 212,499 82 0 00 (4,250 00)

(239,176) (230,804 84) 239,176 00 0 00 8,371.16

(32,157 320) (31,031 81) 100 36 32,157 32 0,00 1,125 51

163.292 930) (61,077 68) 100 73 83,292 93 0 00 2,215.25 X

(64,372 630) (62,119 59) 100 54 64,372 63 0 00 2,25304

{55,272.190) (53,337 66) 10025 55,272 19 0.00 1,93463 ccN I

(24,080 930) (23,238 10) 100 81 24,084 93 0 00 842 83

(145,000) (137,75000) 145,000.00 0100 7,25000

121,516 390) (20,440.57) 100 07 21,516.39 0 00 1,0752

(39,248 390) (37,285 97) 100 32 39,248 39 0.00 1,962.42

(37,854 490) (35,951.77) 100 5S 37,854 49 0 00 1,892 72

(44 139 220) (41,932 26) 101.10 44,13922 0 00 2,206 96,

(2,241 510) (2,129 43) 101 04 2,241 51 0 00 112.08

(118,585 370) (109,691 47) 118,585.37 0 00 8,893 90E3

-a

(2,055250) (1.901 11) 10070 2,055.25 0.00 15414 1

Page 49 of 54 C

Financial 360

Investment Management , Trust & C ustody AccountsRealized Gain/(Loss ) Detail By Account

Date Range: From 12/0112012 -To-1113012013

A(ccdu>3t181acurfty CUSPAt gv1s'Itton Dat&Liqutdaltion l)ate(?U)1{SIB)

Total

0212512011-1013112013 (TD)-11!2012013 (SO)

02125(201 i-09130!2013 (TD)-1012112013 (SD)

02125/20 1 1-081311201 3 (TD)-0912012013 (SO)

02/2512011.0713112013 (TD)-08/20(2013 (SD)

0212512011-0613012013 (TD}-07/2232013 (SD)

GOVERNMENT NAIL MTG ASSN II SER 2011-4 CL 38377TAM3KG DTD 01/01111 5 000% DUE12320140(CM7000000)

0112112011-0513112013 (TD)-06/2012013 (SD)

01)2112011-0413012013 (TD)-0 512 0120 1 3 (SD)

01121!20 1 1-03131/20i3 (1'D)-0412212013 (SD)

01)21)2011.0232812013 (1 D)-0312012013 (SD)

GOVERNMENT NAIL MTG ASSN II SER 2011-004 38377TANICL KH DTD 01101111 5 000" DUE12120140(CM7000000)

6110712011-11130!2013 (T0)-1212012013 (SO)

01107(2011-10/31)2013 (T1)-1112012013 (SD)

0110712011-0913012013 (TD)-1 W112013 (SO)

0110712011.08131!2013 (TO)-0912012013 (SD)

01107!2011-0713112013 (TD)-08/2012013 (SD)

01/0712011-0613012413 (T0)-0712212013 (SD)

01107/2011-05/31(1013 (TD)-0612012013 (SO)

U. S.'-1-'R ; I.

Quailt(ty Acquislt(on Cast LI4uidation Price I iquidation .' - Roat(redAmount 8-hod Terrrl

1, f^aui!(LoSs)

(27,772,583.57) 26,958,440 30 (333,720.95)

(10,740 630) (9.935 08) 101 06 10,740 63 Goo

(5,794530) (5,359 94) 101 06 5,79453 0 00

(16,623 410) (15,301 28) 100 32 16,628 41 0 00

(42,260 090) (39,090 58) 101 11 42,260 09 0 00

(41,106 460) (38,023 48) 100 51 41,106 46 000

(860,000) (899,77500) 860,000.00 006

(171,150420) (179,06613) 10029 171,150,42 000

(288,337.850) (301,673 47) 100 10 288,337 85 0 00

(356,310,310) (374,882 16) 100 73 358,310 31 0 00

(42,201420) (44.15324) 100.95 42,20142 000

(361,385060) (374,033 54) 361,385 06 0 00

(4,377 430) (4,53064) 101 05 4,377 43 0 00

(24,110.060) (24,953.91) 101 84 24,110 06 0 00

(12,865 010) (13,315 29) 101 74 12,865 01 0 00

(37,480) (38,791.80) 101 16 37,480 00 000

(95,723 080) (99,073 39) 106 83 95,723 08 0 00

(125,034040) (129,41023) 10118 125,034.04 0.00

(61,795 440) ((33,958 28) 101 44 61,795 44 0 00

RealliedLong farmGNin1(Loss)

(480.423.•

80555

434 59 -

1,24713

3.16951 co

3,08298

(39.775 00)

(7,915 71) X

(13,335 62)

(16,57185) ,„

(1,95182) A

(12,648 48)

(15321)

(84385)

(450213) -I

(1,311.80)

(3,350 31) o

(4,37619)

(2,162 84)-00criN

Page 50 of 54 Ul

Financial 360


SCI -., r 'ir


- CounVSecurity CUSIP ,} -_-AyquisitJon Datoil.iquidatlon Date(TD}1(SD)

{

p ..

Total

GOVERNMENT NAIL MTG ASSN Il SER 2011-21 38377TVA6CL CG DTD 02101/11 4 500% DUE02120/41(CM7000000)

01/27/2011.05/31/2013 (TO)-0612012013 (SD)

0112712011-94130!2013 (TD)-05!2012013 (50)

W2701 i-tW30n0l3 (10)-0512012013 (SD)

GOVERNMENT NAIL 11TG ASSN SER 2012-69 CL 38376EPE7KC DTD 95101!12 4 000% DUE05116142(CM70041000)

0,'Y1512012-W3012013 (TD)-1211612013 (SD)

05! 1512012-10131!2013 (TD)-1111812013 (50)

051512012-09130/2013 (14)-10116/2013 (SD)

0511512012-0613012013 (TD)-07/1612013 (SD)

05/15/2012-[1513112013 (TO)-06)17/2013 (80)

05/1512012.0313112013 (TD)-04f`1612013 (SD)

05115/2012-0212812013 (TO)-0311812013 (80)

05115)2012-0113112013 (TD)-0211912013 (SD)

05!1512012-12131!2012 (10 )-01/1612013 (SO)

MASTR ALTERNATIVE LN TR 2004-3 MTG 576434NW0PASSTHRU CTF CL 3-A-1 DTD 0306104 6 000%DUE 04/25134(CM7000000)

07!1972004-11/3012013 (TD)-12/26/2013 (SD)

07!19!2004.10/3112013 (TD)-1112512013 (SD)

071 1912004-09/30!2013 (T0)-10)252013 (SO)

iS'J'4%

Quantity Acquislt) p Coat Liquidation Price

(27,772, 583 57)

(200,000) (197,750 00)

Liqy('ktatlc 6Axnd'u rit

26,958,440 30

200,000 00

RQalizedShort TermGalnj(L+096)

RealizedLon-ly1 TermGa in7 (L0s6)

{480,420

2.25000 W

(1,594761

(333,720.05)

01,07503

1,125.00 co

49 97

0 00

(95.558 250) (94,483 22) 100 31 95,558 25 0 00

(100,000) (98,875 00) 100 18 100,000.00 D 00

(4.441 75G) (4,391.78) 10018 4,44175 000

(76,043.690) (79,08544) 76,043 69 (1,446 99)

(5,101 370) (5,305 42) 94 40 5,101 37 0 00

(9,622 230) (9,903.12) 10006 9, 522 23 0 00

(6,391 540) (6,647 20) 98 39 6,391.54 U 00

(9,239150) (9,606 72) 93.68 9,23915 0 00

(9,614 670) (9,999.26) 95 76 9.61407 0 00

(7,425.530) (7,722 55) 101 05 7,425.53 (297 02)

(11,955 200) (12,433 41) 98 44 11.955 20 (478 21)

(10,552 280) (10,974 37) 98 49 10.552 28 (422 09)

(6,241 720) (6,491 39) 98 53 6,241 72 (249 67)

(6,548010) (6,89273) 6,64801 000

(155450) (16117) 103.65 15545 000

(363 580) (376 96) 103 67 363 58 GOO

(670420) (70339) 10286 67842 000

TX(20405)

(30089)

(255.66) ,Ln

(36957)

(38459) I"

to

3-000

0 00 -'

(244 72)

0

(5 72)

(1338)

{24 97} )

Page 51 of 54 L

Financial 360



A^Cl9i^nt?^acurity " ' ^•CIJ81PA0Rjbisi i6'n Dat /1iquldation Dats(Tt31(5Rr

Total

(1711912004-0813112013 (TD)-0912512013 (SO)

07/1912004-07t31f2013 (TD)-0812612013 (30)

0711912004-0613012013 (TD)•07f25l2013 (SD)

0711912004-05131/2013 (T D)-1J6125/2013 (SD)

0711912004-0413072013 (7D)-0512812013 (SD)

0711912004-03131 /2013 (TD)-04125/2013 (S D)

0711912004.02128/2013 {TD}031250013 (SD)

07/1912004-01(31/2013 (T4)-02/2512013 (S13)

07119/2004-12131/2012 (TD)-0112512013 (SD)

RAU SER 2006•QS1S TR /.4TG PASS THRU CTFCL A-9 OTO t MUM 6 000% DUE11125f36(CM7000000)

0112612007-11!30/2013 (TO)-12f2612013 (30)

0112612007.10/31/2013 (TD)-11!2512013 (SD)

01126/2007-09130!2013 (TD)-10125/2013 (SO)

0V2612007.0813112013 (TD)-09/25/2013 (SD)

01/26/2007-07/31/2013 (TD)-08!2612013 (50)

01/26/2007.06/3012013 (TD}0712512013 (SD)

01 12 6120 0 7-05/3 1!2013 (TO)-0612512D1 3 (SD)

01/26/2007.04/30/2013 (TD)-05!2812013 (SD)

01126/2007-0313112013 (Tf)-04/25/2013 (SD)

01/2612007-0212812013 (TD)-0312512013 (SO)

74922LAJ2

Quar1t4ity Acquisitiort Cost Uquidation Pric& Liquidation Reolitod F et11S

'Arhount Short Term

Gain!(Lose)T119mLon

^anirt({ ^9s?

(27,772,583.57 ) 26,958,440.30 (333,720. 05) (480r423120

(597 980) (619.99) 102 87 597 98 0 00 (22 01)

(770.440) (807 10) 102 88 778 44 0 00 (28 66)

(83390) (86 46) 102 88 03.39 0 00 (3 07)

(90450) (93 78) 102 89 90 45 0 00 (3.33)

(1,344 060) (1,393.54) 102 90 1.34406 0 00 (49.48)

(1.109 170) (1,150 00) 102,99 1,109 17 0 00 (4083)

(714 560) (740.86) 10290 714 56 0 00 (26 30)

(464 780) (46189) 102 91 464 78 0 00 (17 11)

(267 730) (277 59) 102 91 267 73 0 00 (9 86)

(60,562010) (60,71342) 60,56201 000 (15141)

CU

0

rn

c,

-Ti

x

m

(5.907 820) (5,922 . 59) 76 18 5,907 82 0 00 (14.77)

(2,804 470) ( 2,811.48) 77 00 2.80447 0 00 (7

(5,804 290 ) (5,818 80) 76.23 5,804 29 D 00 (14.

(5,803130) (5,817 64 ) 75 35 5,803 13 0 00 ( 1451)

(7,083 240) (7,100 95) 74 97 7,983.24 0043 (17.71)

(2,97B 120) (2,985 57 ) 7646 2,97812 0 00 (745)

(3,861 790) (3,871 44) 80 98 3,861 79 0 00 (9 65)

(4,389 610) (4,400 58) 82 67 4.38961 0.00 (10 97)

(7,030 .610) (7,048 . 19) 78 92 7,03061 0.00 (17,98)

(4,113 350) (4,123 63) 77 85 4,113 35 0 00 (10.28)

Page 52 of 54

Financial 360


Date Range : From 1210112012 •To-1113012013

AcoountlSecurity - CUSHY,Acqulslt1oh Dateltiqutdrxtion Date(Tbff(SD)

Total

0112612007-0l/31/2013 (TU)-0212512013 (SO)

01F26r2007.1213112012 (T0)-0112512013 (SD)

RESIDENTIAL ACGRED)T LNS INC 91TG 2006-QS1 761118RZ3MTG PASSTHRU CTF A-1 OTD 01101106 5 750%DUE 01125136(CM7000000)

OY 1 5120C16-1113012013 (1 D)-12/2612013 (SD)

0311512006-1013112013 (TD)-1112512013 (SD)

03115/2006-0 3012013 (TD}-10125112013 (SD)

0311512006.0813112013 (TO)-09125M 13 (8 D)

03115!2006-07131+2013 (TD)-0812612013 (S0)

03f15r2006.06136r2013 (T0)-07/25/201 3 (SD)

0311512006-0513112013 (TD)-0612512013 (SD}

03115/2006-0413012013 (TO)•0512812013 (5D)

03115/20016-03(31/2013 (TD)-04/2512013 (SD)

0311512006.02128!2013 (TD)-0312512013 (SD)

03/15/2006-01131/2013 (TD)-02125!2013 (SO)

03+15+2006.1213112012 (1 D}-0112512013 (SD)

VN8 CAP TR I GTD TR ORIGINATED PFO 7 75% 62856Q203SECS(ZZZZ)

11107!2001-1012512013 (TD)-1012512013 (SD)

11107/2001-07/2612013 (r D)-0 7!26!201 3 ( SO)

, ( santity Acquisition Cost 1JquIdation Price Liquidation Realized RepIaedAmount , Short 'term Lor^ Term

C^aln/(Loss) Glir+/(ioss)

772 572 83 958 440 3026 720 05333 (480 423 2*)( 7, ,5 . , , . ), .( ,

(3,647 100) (3,656.22) 77 71 3,64710 0 00 (9.12)cc

(7,138480) (7,15633) 7896 7,13048 000 (1785)

(47,984 880) (45,855 55) 47,984 88 0 00 2.12933

co

(1,881.720) (1,798 22) 84 20 1.881 72 0 00 83 50

(3.031 300) (2.896 79) 84 22 3.03130 0 00 134 51 z

(6,382 980) (6,099 73) 8426 61,382.98 0.00 263 25

(3.068890) (2,93271) 8441 3,06889 000 13618

(6,163 500) (5,889 99) 8406 8.163 50 0 00 273.51

(5,785.100) (5,528 39) 84 09 5,785 10 0 00 00256 71

(2,574 200) (2,459 97) 86 74 2,574 20 0 00 114 23 A

(3,378 770) (3,228 84) 89 24 3,378.77 0 00 149 93

(2,183 840) (2,086 93) 88 39 2.18304 0.00

(5,050 290) (4,820 18) 07 29 5,050.29 0.0D 224 11

(2,724.190) (2,603 30) 8745 2, 724 19 0.00 120 89

(5,760100) (5,504 50) 87 47 5,780 10 0.00 25560 -

(5,980) (149,500 00) 149,500 00 coo 0.00

(5,349) (133,725 (10) 2500 133,725 00 0.00 0 00cri

(631) (15,77500) 25.00 1 5,77500 000 000

cri

0

Page 53of54 CC"

Financial 360.. • I ...v X. r.A, ., .

Investment Management , Trust & Custody AccountsRealized Gaint(Loss) Detail By Account

pending trade

I closed account

Unless olherwise noted, all views are based on trade dale.

Realized Goinl(Loss) includes pending trades that may change prior to setttement The Realized GaunJ(Loss) totals for some of the accounts may not include sales transactlonswhere cost information is unavailoki.4or data is +nsulficient to accurately calculatethe realized gainAoss figures

Pending sales for shares not currently held are excluded from all views, reportsand portfolio vatuauorts, with the exception of the Activity report CC)

Where you maintain investment dlscret» in your account, we suggest you consultyour personal lax advisor before making tax-related Investrnant decisions Pleasedo riot rely on the information in tins view toprepare tax returns This inforrnatlonmay change after audits or corrections by Bank of America, Portions of the estmatedannual income may not reflect actual income received or income for tax repartrngpurposes

u S. Trust, Bank of Amenca Private Wealth Management operates through Bank of Amenca.N.A and other subsidiaries of 8aTlk of Arnenca Corporation CD

Bank of America. N A., Member FDIC Equal Housing Lender Q

2011 Bank of America Corporation All rights reserved

-n0)x

N

ON-)N

WP

I-AIV

w

0a

v

0)C"

Page 54 of 54

BEATRICE & SAMUEL A. SE FOUNDATION

FEDERAL FOOTNOTES

AFFILIATION WITH TAX-EXEMPT ORGANIZATIONSPART XVII, LINE 2, COLUMN C

NAME OF AFFILIATED ORGANIZATIONS:

- 10 WEST 33RD STREET J/V HOLDING CORP- 11-13 EAST 26TH STREET HOLDING CORP- 401 NORTH BROAD STREET CORP

40

13-3251432

DESCRIPTION OF RELATIONSHIP WITH AFFILIATED ORGANIZATIONS:

THE TRUSTEES OF THE BEATRICE AND SAMUEL A. SEAVER FOUNDATION ARE ALSOOFFICERS AND DIRECTORS OF THIS IRC SECTION 501(C)(2) HOLDINGCORPORATION WHICH HOLDS INTERESTS IN OTHER REAL ESTATE PROPERTIES FORTHE BEATRICE AND SAMUEL A. SEAVER FOUNDATION.

8859GP L44A 3/31/2014 9:37:20 AM 602061.0 PAGE 38

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