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I. Director

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Report Required by the Ethics FINANCIAL DISCLOSURE REPORT A0-10 In Government Act of 1978

Rev. 112004 FOR CALENDAR YEAR 2005 (5 U.S.C. app. §§ 101-11 J)

I. Person Reporting (last name, First name, Middle initial)

WARDLAW, KIM M

2. Court or Organization

NINTH CIRCUIT COURT OF APPEALS

3. Date of Report

7/13/2006

4. Title (Article llf Judges indicate active or senior status;

magistrate judges indicate full- or part-time)

U.S. C IRCUIT JUDGE - ACTIVE

5. ReportType (check appropriate type)

0 Nomination. Date

0 Initial (!)Annual Q Final

6. Reporting Period

111/2005

to

12/31/2005

7. Chambers or Office Address

U.S. COURT OF APPEALS

125 SOUTH GRAND A VENUE

PASADENA, CA 91105

8. On the basis ofihe information contained in this Report and any modifications pertaining thereto; it is, in my opinion, in compliance with applicable 'laws and regulations.

Reviewing Officer Date

, . .,

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part

where you have no reportable information. Sign on last page. ......•··

1 POSITIONS. (Reporting individual only; see pp. 9- l3 of filing instructions)

0 NONE - (No reportable positions.)

POSITION NAME OF ORGANIZA TJONiENTJTY

Board of Trustees

3. Director

(Reporting individual only; see pp. 14-16 offiling instructions) JI. AGREEl\11.ENTS.

NONE - (No reportable agreements.)

PARTIES AND TERMS

I.

......,:-7 C:-:>

(" '"") r_

::u ; - -,, __ rnCi--:._..r/ -.: ()c: ••• ::>o :-:·J ;; :: _J rn rr:, .......-.··1 .-- J>

-, i' n1

,.,1 0

.i=-_,

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

WARDLAW, KIMM

ill. NON-INVESThIENT INCOl.VIE. (Reporting indh1dual and spouse; see pp. 11-24 of filing instructions)

A. Filer's Non-Investment Income

NONE - (No reportable non-investment income.)

SOURCE AND TYPE

Date of Report

7/13/2006

GROSS INCOME

(yours, not spouse's)

I.

B. Spouse's Non-Investment Income - (If you were married during any portion of the reporting year, please complete this section. Dollar amount not required except for honoraria.)

D NONE - (No reportable non-investment income.)

SOURCE AND TYPE

I.

IV. REli\IBURsEMENTS -- trnnsportation, lodging, food. entertainment.

(Includes those to spouse and dep.:ndent childr.:n. See pp. 25-27 of instructions.)

0 NONE - (No such reportable reimbursements.)

SOURCE DESCRIPTION

I . Notre Dame Law School February 23-25, 2005 Notre Dame, Indiana Moot Court (Transportation)

!.

!.

7/13/2006

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

WARDLAW, KIMM

(Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

(No such reportable gifts.)

(No reportable liabilities.)

V. GIFfS.

NONE -

SOURCE

VI. LIABILITIES.

NONE -

CREDITOR

DESCRIPTION

(Includes those of spouse and dependent children. See pp. 32-34 of instructions.)

DESCRIPTION

Date of Report

VALUE CODE

(4)

'-·--·--·--·--···---------�-----------------------------------------------

(e.g.

(I) (I)

FINANCIAL DISCLOSURE REPORT Date of ReportName of Person Reporting Page 1of46 WARDLAW, KIMM 7/13/2006

VIl. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of tiling instructions.)

A. B. c. D.

Descriptio1i of Assets

(including trust assets)

Income during reporting period

Gross \'alue at end of reporting period

Transactions during reporting period

If not exempt from disclosure(2)(I) (2)

(2) (3) (5)

Value Value Type (e.g. Date: Value Gain Identity of Code2 Method buy, sell, Month- Code'.! Code I buyer/seller

Place "(X)" after each asset exempt Amount T}pefrom prior disclosure Code I div. rent. or

(A-H) int) (J-P) Code3 merger, Day (J-P) (A-H) (if private (Q-W) redemption) transaction)

·DNONE (No reportable income. assets, or tr:lnsactions)

I. (IRA) - Capital

2. SSGA Money Market Fund B Interest M T

3. 3M Company A Dividend

4. Adobe Sys lnc None

5. Adobe Sys Inc

6. Agilent Tech onolgoies lnc None

7. Air Prods & Chems lnc A Dividend

8. Alcoa A Dividend

9. Alcoa

10. Alcoa

11. Alcoa

12. Allergan Inc A Dividend

13. American Elec Pwr A Dividend

14. American Intl Group A Dividend

15. American Std Cos Inc Del A Dividend

16. American Std Cos Inc Del


18 . Amgen Inc None

Sell 7/12 J

J T Buy 8/3 J

Buy 8/15 J

1 T

K T Buy 5/18 J

J T Partial Sale 619 J

Partial Sale 6110 J

Buy 12/8 1

Buy 12/13 J

K T

Sell 6/6 J A

K T

K T Buy 10/31 1

Buy 1117 J

Buy 11/8 J

Sell 4/27 J

f Income/Gain Codes: C = $2,501-$5,000 D ··· $5.r)()!-$15,000 !.:

.----·----·-····--------------------------

(I) {I)

FINANCIAL DISCLOSURE REPORT Date of ReportName of Person Reporting Page 2of46 7/13/2006WARDLAW, KIMM

Vll. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent clu1dren. See pp. 34-57 offiling instructions.) .. ·;

A. B. c. D. Income during Gross value at end of Transactions during reporting period

Description of Assets (including trust assets)

reporting period reporting period

If not exempt from disclosure(2) (I) (2)

Place "(X)" after each asset exempt from prior disclosure

Amount Code I (A-H)

T}pc (e.g. div. rent or int)

Value Code2 IJ-P)

Value Method Code3

(Q-W)

Type (e.g. buy, sell, merger, redemption)

(2) Date: Month -Day

(3)

Value Code2 (J-P)

(4)

Gain Code I (A-H)

(5) Identity of buyeriseller (if private transaction)

19. Amylin Pharmaceuticals Inc. None J T

20. Anheuser Busch Cos A Dividend Sell 9/27 J

21. Applied Mtls Inc A Dividend Sell 8/18 J

22. Astrazeneca Pie Adr A Dividend K T Buy 1/24 J

23. AT&T, Inc.

24. Autonation Inc.

25. Avon Prods Inc

26. Avon Prods Inc

27. Baker Hughes Inc

28. Baxter International Inc

29. Becton Dickinson & Co

30. Berkshire Hathaway CI B

31. Campbell Soup Co

32. Canon Inc Adr

33. Capital One Financial Corp

34. Carnival Corp Common Paired Stock

35. Checkfree Corp

36 . Chevron Corp

A Dividend J T

None J T

A Dividend J T

A Dividend J T

None J T

A Dividend

None J T

A Dividend K T

A Dividend 1 T

A Dividend J T

A Dividend J T

None

A Dividend J T

Buy

Buy

Bµy

Sell

Buy

Buy

Sell

Partial Sale

9/21 J

12/5 J

11/29 J

6/22 J A

9121 J

917 J

7116 J c

8/26 J

i. fncvmc.:(i..1in Cedes: :\ ::: $1,00U or less B ""$[.O!ll-$2,500 c '"$1,501-$5,00!'J l) ... $)JjOJ-$l5Jj•)0

( ec (\,lumus Bl and 04) F ::.: $50.0i.il-)ff)O,OOO G = $iO!J.(illl-SJ.D00,(10(l HI = $1,000.001-$5,000.llOO H2 ='.I.lore than S5.000,00U

2. Value t\1'k:

!

37.

-·-------------·

(I) (I) (2) (3) (5)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page3 of46 7/13/2006WARDLAW, KIMM

VII. INVESTh1ENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A. B. c. D.

Income during Gross \'lllue at end of TTJnsactions during reporting period Description of Assets rqiorting period reporting period

(including trust assets) If not exempt from disclosure .

(2) (I) (4)(2)

Place "(X)'" after each asset exempt Type (e.g.Amount Type (e.g. Value Value Date: Identity of Value Gain from prior disclosure Code I div. rent. or Codc2 Method buy, sell, Month- Code 2 Code I buyerisellL'T

(A-H} int) (J-P) Code3 mer-Jer, Day (J-P) lA-HJ (ifpri\-ate

(Q-W) redemption) transaction)

Chubb Corp A Dividend Sell 7116 J c

38. Cincinnati Finl Corp A Dividend J T Partial Sale 519 J

39. Cisco Sys Inc None J T Buy 1124 J

40. Citigroup Inc

41. Coca-Cola Co

42. Comcast Corp CI A New

43. Costco Whsl Corp.New

44. Danaher Corp

45. Davita Inc

46. Delta Petroleum Corp

'47. Delta Petroleum Corp




51. Du Pont Ei De Nemour

52. Du Pont Ei De Nemour

53. Duke Energy Corp

54. East West Bancorp Inc

A Dividend J T

A Dividend J T Buy 10117 J

None K T Buy 7/28 J

A Dividend J T

A Dividend J T Buy 8/23 J

None J T

None J T Buy 12/16 J

Buy 12/19 J

Buy 12/20 J

Buy 12121 J

Buy 12/27 J

A Dividend Partial Sale 4/8 J

Sell 7116 J

A Dividend J T

A Dividend J T Buy 4/28 J

··- ------

. . lnci-,mc.:(iJin CoJcs: :\ "" $ J ,(lt){• or less B " S 1,00 I -S2,500 c "$2,501-$5,000 [) "" S5JJi! 1-$1 5,000 E "$15.001-SSO.OO•)

(St! (\"lurnus .BI and D4) F = $5().0(\ 1-$ lOO,(i()() G ; $i00.001-$(.ijf;(),()0(l Ill = $1.000.tlOl-$5,00().000 H2 =More than SS.000,000

2. \.",1hn; t..\.ides: = $15,000 or less K = $15,00 I -$5ll.000 L = $50,001-$100.0()0 M = l00.(i0l-$ 5t),(Jl)i)

(Sc,· c,)lurnm Cl aud DJ} N = s25o,ooo-s5oo,01.m () = $500,Dlll-Sl.000,000 Pl = $1,00G.001-$5,000.000 P2 = $5.lliiO,OD 1-$25.000,000

P3 = $25,IJC.J.001-$50,000.l)i)() P4 =$/I.for tl1an $50,000,00!J

3 \·:tlu · \ktho

(4)

55.

57.

(2) (I)

(J-P)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting 7/13/2006Page4of46 WARDLAW, KIMM

V11. INVESTMENTS and TRUSTS - income. value. tr:mscations (includes those of the spouse and dependent children. See pp. 34-57 of tiling instructions.)

A. B. c. D.

Income during Gross value at end of Transactions during reponing period Description of Assets reporting period reporting period

(including trust assets) If not ex.empt from disclosure

(I) (2) (I) (2) (3) (5)

Place "(X)" after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Value Gain Identity of from prior disclosure buy, sell. Code 1 div. rent or Code2 Method Month- Code 2 Code 1 buyeriseller

Day (if private merger,(J-P) Code3(A-H) int) (A-H) redmiption) transaction).. fQ-\\1

East West Bancorp Inc Buy 515 J

Emerson Elec Co A Dividend J T Partial Sale 4115 J B56.

Equitable Resources Inc A Dividend Sell 616 J B

58. Exelon Corporation

59. Expedia Inc

60. Expedia Inc

61. Expedia Inc

62. Exxon Mobil Corp

63. Fedex Corp

64. Fifth Third Bancorp

65. Fluor Corp

66. Forest Labs Inc

67. Gallagher Arthur J

68. General Dynamies Corp

69. General Elec Co

70. Gen! Growth Pptys

71. Golden West Finl

72. Guidant Corp

A Dividend

None

A Dividend

A Dividend

None

A Dividend

None

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

None

J T Buy 3/1 J

Partial Sale 4/8 J

Partial Sale 7/16 J

Sell 8/17 J

K T

J T

J T Buy 11/15 J

K T

K T

J T

J T Buy 3/2 J

K T Buy 10/12 J

K T

J T Buy 1/24 J

Sell 1/4 J B

- lncnnlC:'Ci: A ==::$1,00(,orlcss B $1,001-$2.50!! c "' $1.51)1 5.000 f) S5.CJtll-Sl5.0ilO t: 515.00!-SSO.OOIJ

(Se

J.. \:alllc (\>d.::o: .., Sl5,000 or less K = $ i 5.0

74.

(I) (I) (3)

(J-P)

r.

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page5of46 7/13/2006WARDLAW, KIMM

vn. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent clllldren. See pp. 34-57 of tiling instructions.)

A. B. c. D.

Description of Assets Income during

reporting periQd Gross value at end of reporting period


(including trust assets) If not exempt from disclosure

(2) (2) (!) (4) (5)(2)

Place "(X)" after each asset exempt Amount Type (e.g. Vaine Value Type (e.g. Date: Value Gain Identity of from prior disclosure Codc2 Method .buy, sell, Month- Code 2 Code I buyer/sellerCode 1 di\•. rent. or

merger, Day (J-P) (A-H) (if private (A-H) int.) Code3 redemption) transaction)(Q-W)

. 73. Hartford Finl Svcs Group Inc A Dividend Sell 418 J A

Heineken N V Adr A Dividend 1 T

75. Hewlett Packard Co

76. Hsbc Hldgs Pie Adr

77. lAC Interactivecorp

78. lAC lnteractivecorp

79. lAC Interactivecorp

80. Illinois Tool Works


82. Imclone Sys Inc

83. Intl Bus Mach Corp

84. JP Morgan Chase & Co

85. Kimberly Clark Corp


87. Kinder Morgan Mgmt LLC




A Dividend

A Dividend

None

A Dividend

None

A Dividend

A Dividend

A Dividend

None

J T Buy 219 J

K :r Buy 1124 J

Partial Sale 1/20 J

Partial Sale 7/16 J

Sell 8/17 J

J T Buy 1/24 J

Buy 5/18 J

J T Buy 11/29 J

K T Buy 5/18 J

K T Buy 7/28 J

Partial Sale 8/23 J

Sell 8/25 J


Partial Sale 6/8 J

Partial Sale 8/29 J

Partial Sale 418 J

A

A

A

'"i. incn11;c.:(iain Cedes: B "$1,00l-S2,500 C $2,501-S5,00!i D "$5.li!!l-$15,fJt)O E $15.001-$50.000

(Sc C.!lunms Bl and D4) F ·" $5().l)(il-$100,000 G = $l00,C-01-Sl.OOO,OOO Hl = $1.000.001-$5,000.000 H2 = krc lhau $5,000,DOO

2. V,.dut: Cudi:::: = $15,000 or less K = $15,001-$50,000 = $50,0\ll-$100,000 M = $1ii0,1X11-$250,000

(Sc"· ('1)lurrms Ci arnJ DJ) N :::. $250,iiOU-SSOO,OUO 0 = $500,0lli-Sl,OOll,OOO Pl = $1.00fJ.001-$5,000.lliiO P2 . SSJlli0,001-$25,UOll,OOU

P> . S25,f;OO.OOl-$51J.OOIJ.Oii0 P4 =$.Mor tJ13n S:i0,000,00iJ

Q '"Appraisal R ; Cosi (Real Estate Only) S =Assessment T = ('a;l 'Market

L' = Bt>ok Value V = Otl1cr W =b;timated

__ _______ _______ __ _ __ ______________ ____ _

---·-·----· ·· ------·---- ----------------------------------------------;

C ) __ ___ ,:__ _ _ _

(2) (2) (3) (5)

(J-P)

93.

94.

.

FINANCIAL DISCLOSURE REPORT

Page 6of46 Name of Person Reporting

WARDLAW, KIMM

Date of Report

7/13/2006

VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)


Description of Assets reporting peri9d reporting period (including trust assets)

If not exempt from disclosure(I) (1) (1)

(4)(2) Place "(X)" after each asset exempt Type (e.g. Date:Amount Type (e.g. Value Value Identity of Value Gain Imm prior disclosure Code 2 buy, sell. Month - Code'.! Code 1 buyer/sellerCode I div. rent. or Method

merger, Day (J-P) (A-H) (if private(A-H) int) Code3 redemption) transaction)(Q-W)

91. Knight Ridder Inc A Dividend Partial Sale 7/16 J

92. Knight Ridder Inc Sell 7/16 J

Kraft Foods Inc C l A A Dividend J T

Leggett & Platt Inc A Dividend J T Buy 5110 J

95. Leggett & Platt Inc Buy 5/12 J


97. Leggett & Platt Inc Buy 815 J


99. Lexmark International Inc C l A None J T

100. LillyEli & Co A Dividend Sell I0/8 K

IOI. Lincare Holdings Inc None J T

102. Lowes Cos Inc A Dividend K T

103. Macromedia Inc None Sell 2111 J c

104. Mattel Inc A Dividend Partial Sale 4/8 J

105. Mattel Inc Sell 7/16 J

106. Mc Donalds Corp A Dividend J T Buy 11/3 J

107. Medco Health Solutions Inc. None K T Buy 3/2 J

108 . Medco Health Solutions Inc Buy 1117 J

l. lnc1>me.:Gain t··odes: A "" 5.1.000 or less B "'$1,001-$2,SO!l c '" $2,501-55,000 D ·" S5.W>l-Sl5.000 E "' $15.tlO!-SSO.\! ) (Se,· C.;lumns UI and D4) f •·•· $50.0i.il-$WO,OOO G ·:$100,001-Sl,OOO,OOO HI . $1.0W.llOl-$5,000.0i.iO H2 ·= 1'.forc lban $5.CY.J0,000

2. \'.due Ci.ld\.·s: ·= 515,(JOO or less K = $ ! 5,0tl I -$50,r,oo L = $50,0ll l-$100,000 M = S J;i0.001-$25tl,0\lfJ (Se,· C.'lmrm Ct and DJ) N '"· $250,ii!l0-5500,00() 0 = $500,0lll-Sl,OC l.OOO Pl ,, $1,000.001-$5,000.000 P2 ··= 55.0i.iO.OOl-$ 5.000,000=PJ $25,00C•.001-$50,0t\O.lliJO P4 =$,\for than $50,000.{)(l()

3. \':1Iu Method'- ·odes Q ·"·Appraisal R =Cost (Real Estate Only) S =•Assessment 1 Sec Column I.' •= BL'Ok Value V =Other W =Estimated ---- -· ·-- _ _,

...

'

I_'

(I)

(e.g.

(2)

(J-P)

(4)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 7of46 7/1312006WARDLAW, KIMM

VII. INVESThlENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent clu1dren. See pp. 34-57 of filing instructions.)

A. B. c. D.

Income during Gross value at end of Transactions during reporting period Description of Assets reporting period reporting period


(!) (1)(2) (2) (3) (5)

Place "(X)" after each as.set exempt Type (e.g.Value Value Date: Value Gain Identity of Amount Type from prior disclosure buy, sell, Month -Code2 Method Code 2 Code I buyerisellerCode I div. rent. or

merger, Day (ifprivale(A-H) int.) (J-P) Code3 {A-H) redemption) transaction)(Q-W)

Medco Health Solutions Inc Buy 11/10 J109.

110. Microsoft A Dividend K T Buy 1/24 J

111. Microsoft Buy 3/10 J

112. Millennium Phatmaceuticals Inc

113. Millennium Pharmaceuticals Inc






119. National Instruments Corp

120. National Instruments Corp

121. Nestle Nam Sp"On Adr

122. Novartis Ag Nam Spon Adr

123. O&M Inv Partners/M Jackson

None

A Dividend

A Dividend

A Dividend

A Div.lint.

J T Buy 4/8 J

Buy 4111 J

Buy 4/13 J

Buy 4115 J

Buy 4/18 J

Buy 4/21 J

Buy 512 J

J T Buy 1/27 J

Buy 4/1 J


J T Buy 1/24 J

K u

A

124. Omnicom Group Inc A Dividend K T

125. Pepsico Inc A Dividend K T

126. Potash Corp Sk US$ Adr A Dividend J T

.· ·------·---- ·-

!ncon1c/Gaiit ('nJe:>: ·" '"' 51.000 or less

(Se\! C11lurnus Bl and D4) F '" $50.tlf.ll-$100,000

V11lrn; Coessmcnt

W = E;tirnJteJ

E ., $15.00l-S50.0Qii

1:12 = l\kre than S5.UOll,IJOO

M = $1.;0.

..

. •

(2) (3) (4)

-· ---- -·-----·

(2)

(e.g.

4/8

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 8 of 46 WARDLAW, KIMM 7113/2006

VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent cluldren. See pp. 34-57 of tiling instructions.)

A. B. c. . D.



Gross value at end of reporting period


!fnot exempt from disclosure(I)(I) (2) (I)·.

(5) Place "(X)" after each asset exempt from prior disclosure

Value Type (e.g. Date: Value Gain Identity of Amount Type Value buy, sell, Codc2 Method Month- Code2 Code I buyer/sellerCode I div. rent. or

(A-H) int) (J-P) Code3 merger, Day (J-P) (Ml) (ifprivate (Q-W) redemption) transaction)

127. Procter & Gamble Co A Dividend J T

128. Radioshack Corp A Dividend Partial Sale J

129. Radioshack Corp Sell 7116 J

130. Raytheon Company

131. Rio Tinto Pie Adr

132. Royal Dutch Pete 1.25 Guilder Sh Adr

133. SAP AG SPON ADR



136. SBC Communications


138. Schlumberger Ltd

139. Semtech Corp

140. Sepracor Inc

141. Sepracor Inc

142. Siemens Ag Adr

143. SLM Corp

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

None

None

A Dividend

A Dividend

Sell 117 J

K T

K T .

J T Buy 519 J

Buy 5119 J

Buy 5120 J

Buy 1/24 J

Merger 11/21 J

K T Partial Sale 3/2 J

J T Buy 2/22 J

J T Buy 2122 J

Buy 4/27 J

J T

K T

A

A

A

144. Southwest Airlines A Dividend J T

L lncomc.:Ciain (... ode:;;: A "" S 1.000 or Jess B ., $1,001-52,500 c _, $1,5')1-$5,000 D ,_ $5.IJ•.ll-SI 5,000 [: ,. $15/!0J-$50.0UIJ

(Se¢ (\ilurnus Bl and 04) f "" $50.001-$ l00,(100 G $100,01./l-Sl.!.iGO,DOO Hl = $lJlllfJ.001-S5,0l.JO_ll00 H = i\."kre than $5,000,f!OO

-· \.';1lui.: Cod :': '= S 15 ,rxJO or less K =$15,001-$50.0\1() L · = $50.001-$100.clfJO M = SJ•;Q,O(Jl-$250.0llll

(Se1.: C1:>Hum1s C! andD-'l Pl 1.000.001-$5.000.llOO P2 ·= S5.liii0,001-$'.:5.000,DOO,.$.

f'J "" S25,000,001-$5\l,0\11J.000 P4 =$'.\fore thon S50,00\l.fill0

' "·' $250,D0tl-$50U,OOO () = $500,001-Sl.OOO,OOO .

·Q ,__ Appra i;;a I R ·° Cose (H al Estate Only) S =· Asses;ment T ·= Ca;IFMarket

tS.:e Cofumn C::!) U = B,mk Value V =Other W =E;timateJ

(4) (I) (I)

(3) (5)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 9of46 7/1312006WARDLAW, KIMM

vn. INVESTMENTS and TRUSTS - income. value. tl'3nscations (includes those of the spouse and dependent cln1dren. See pp. 34-57 offiling instructions.)

A. B. c. D. Incom: dwing Gross value at end of Transactions during reporting period

O...>:>eription of Assets . reporting peripd reporting period (including lrust assets)

If not exempt from disclosure (!)(2) (2)

(2) Place "(X)" after each asset exempt Type (e.g.Amount T pc (e.g. Value Value Date: Value Gain Identity of from prior disclosure Code I div. rent. or Codc2 Method buy, sell. Month- Code2 Code I buyeriscllcr

(A-H) int.) (J-P) Code3 merger, Day (J-P) (A-HJ (if private (Q-W) redemption) transaction)

145. Sprint Corp (Fon Group) A Dividend Sell 4/27 J A

146. Sprint Nextel Corp Series I A Dividend J T Buy 1114 J

147. Sprint Nextel Corp Series I Buy 1117 J

148. State Str Corp

149. Suncor Energy Inc US$ ADR

150. Syngenta Ag Adr

151. Target Corp

152. Time Warner Inc

153. UMPQUA Hldgs Corp

154. Unilever NV NY Shs Adr

155. Union Pacific

156. United Parcel Service Inc

157. United Technologies Corp

158. Unocal Corp

159. Verizon Communications

160. Vodafone Group Pie Adr


162. Washington Mut Inc

A Dividend

A Dividend

A Dividend

None

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

J T Buy 617 J

J T Partial Sale 2/24 J

Sell 8/11 J

J T Buy 11/28 J

J T Buy 11/4 J

J T Buy 1124

J T

K T

J T Buy 4115 J

K T Buy 1/24 J

Sell 8/11 K

J T Buy 1/24 J


Buy 10/14 J

K T Buy 2/17 K

B

B

D

A

A ,,,. 1i J ,Olj•) or Jess B '" $1,001-$2,SOO c '" $2,5!"11-$5,000 D "' SS.')!'l-SIS,000 E "$15.001-$50.000

(Sfa� CL)lumus BI and D4) F = $5!J.lii.il-'SWO,OOO G = $100,001-SJ.\iO(),f!Olj HI = $1.0Pli.OIJl-$5,000.000 H2 = i\.krc than $5,0C{),(.!00

Valrn; Code:": - Sl5,fJOO or less K = $15,0\)J -$51.l.OOO L = $50.00l-$100.0IJO M = )lo;O,OOl-$250,CJllO

N · = $ 50,i.i00-5500,0011 0 = $500,001-Sl.OOO,f, )() . Pl ='fl .000.001-$5,000.000 P2 = $5.t _i0.001-$25.0W,OOU

PJ = $25,()00.001-$50,0\)(J.t)(JO P4 = $M1w tl1an $50,000.000

::; \· 1u ;\lcthod Codes Q "·" Apprai;al R =Cost (Real btate Only) S -:::: Asses:Hrtcnt T = Ca;lvMarket

1 S e Column C'.'.) I.' '= 13,,ok Value v = Other W =btimatcJ

··--·--·-·----------

(I)

---·--· ·---·---------------------------------------------------------

(2) (I)

(J-P)

(4) (5)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 10 of 46 7/13/2006WARDLAW, KIMM

VIL INVESTMENTS and TRUSTS - income. \'aluc. transcations (includes those of the spouse and dependent clnldren. See pp. 34-57 of filing instructions.)

A. B. c. o. Income during Gross •'3lue at end of Transactions during reporting period

Description of Assets reporting period reporting period(including trust assets)

If not exempt from disclosure(I) (2)

(2) (3) Place "(X)" after each asset exempt Type (e.g.Amount Type (e.g. Value Value Date: Value Gain Identity of from prior disclosure buy, sell, Month-Code I div. rent. or Code2 Method Code2 Code I buyerisellcr

(A·H) int.) Code3 merger, Day (J-P) (A-H) (ifpri\'ale (Q-W) redemption) transaction)

163. Washington Mut Inc Buy 12/13 J


165. WD-40 Company A Dividend Sell 4/27 J A

166. Weather Ford Intl Ltd

167. Wellpoint Inc

168. · Wells Fargo & Co New

169. Whole Foods Market

170. Williams Sonoma Inc

171. XL Capital Ltd

172. -

173. East Cameron Block

174. Trust #I

175. Columbia Gov Reserves Fund (fm'ly Nations Gov Resv Tst Fund)

176. Columbia Florida Muni Fund (frm'ly Nations Florida Muni Fnd)

177. Columbia Marsico Grwth Fund (fm'ly Nations Marsico Grwth Fd)

178. (IRA)

179. Abbott Labs common stock

None

None

A Dividend

A Dividend

None

A Dividend

D Dividend

A Dividend

B Dividend

None

A Dividend

J T Sell 3/2 J

K T

K T Buy 1124 J

K T

J T

J T

Sell 12/5 L

write off 6/30 J

J T

L T

L T

K T

B

E

180. Acco Brands common stock None Buy 717 J

·- --· -- - -·-· ·····--·-

:\ .. ,. $ J ,GOO or less B •• $i,UOl-$2.500 c ... $2,501-$5,000 E •• $15.001-$50.00fJ

(See C.>!mrnis Bl :ind D4) F .... $50.0i.il-'$[()0,POO Ci -:;:; $l00,0li1-Sl.000,00li HI = $l.00\J.\lUl-$5,0!JIJ.000 I:!'.! ·=�.fore than S5,000,000

K · 515.001-$5\).000 I. ... $51!.0

·--------·-·-·--·-------------------------------------------

. ·.

(2)

(e.g.

3/8

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting 7/13/2006Page 11of46 WARDLAW, KIMM

VIL INVEST1\1ENTS and TRUSTS . - income. value. transcations (includes those ofthe spouse and dependent children. See pp. 34-57 offiling inslrili:tions.)

A. B. c. D.


Income dwing reporting period

Gross •'lllue at end of reporting peri od


If not exempt from disclosure(l) (1) (2) (I)

(2) (3) (4) (5) Place "(X)" after each asset exempt Type (e.g. Date:Value Value Value Gai n Identity of Amount Typefrom prior disclosure Code I div. rent or Code 2 Method buy, sell, Month- Code Code I buyer/seller

(A·H) int.) (J-P) Code3 merger, Day (J-P) (A-HJ (ifp1frate (Q-W) redemption) transaction)

181. Acco Brands common stock Sell 8/19 J A

182. Air Prods Chem common stock A Dividend K. T

183. Ambac Fin common stock A Dividend K T Buy 9114 J

184. Amer Intl Group common stock A Dividend K T Buy 3/8 J

185. Amer Intl Group common stock Buy 9114 J

186. Amgen Inc common stock None K T

187. Anadarko Pet common stock A Dividend K T Partial Sale 3/8 J B

188. Applied Mats common stock A Dividend K T

189. Avery Dennison common stock A Dividend K T

190. BHP Biliton ADR None K T Buy 9114 K

191. Biogen IDEC common stock None K T Buy 9114 K

192. BP PlcADR A Dividend K T Buy 9114 J

193. BP Pie ADR Partial Sale 10/14 J A

194. Burlington S. Fe common stock A Dividend K T Partial Sale 3/8 J B

. 195. Caterpilliar common stock A Dividend K T Partial Sale 9114 K D

196. Cisco Systems common stock None K T Buy 3/8 J

197. Citigroup common stock A Dividend K T Buy 9114 1

198. Colgate-Palmolive common stock A Dividend K T Buy J

L Inc1Jn1c:'Ciain Code:>: A :::: 51.0

(4) (I) (2)

(J-P)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 12of46 7/13/2006WARDLAW, KIMM

vn. INVESTMENTS and TRUSTS - income. value. transcarions (includes those ofthe spouse and dependent cluldren. See pp. 34-57 of filing instructions.)

A. B. c. D. Income dwing Gross value at end of Transactions during reporting period

Description of Assets . reporting petjod reporting period . (including trust assets)

(2) (I) (I) lfnot ex.empt from disclosure

• (2) (3) (5) Place "(X)" aftl!r each asset ex.empt Type ( e.g. Date: Identity ofAmount T pe (e.g. Value Value · Value Gain from prior disclosure buy, s ell, Month-Code I div. rent or Codc2 Method Code2 Code 1 buyer/seller

(A·H) int) merger,Code3 Day (if private(J-P) (A-HJ (Q-W) redemption) transaction)

199. Coming Inc common stock None K T Buy 10114 K

-200. Danaher Corp common stock A Dividend K T

201. Dell Inc common stock None K T

202. Dentsply Intl common stock A Dividend J T

203. Du Pont common stock

204. Elan Corp ADR

205. FPL Group common stock

206. Forest Labs common stock

207. Fortune Brand common stock

208. Gannett Co common stock

209. General Electric common stock

210. Gillette Co common stock

211. Global lndust common stock

212. Goldman Sachs common stock

213. Goldman Sachs common stock

214. Home Depot Inc common stock

A Dividend

None

A Dividend

None

A Dividend

A Dividend \

A Dividend

None

None

A Dividend

A Dividend

K T

Sell 9114 J

K T Partial Sale 10/14 J

Sell 3/8 1

J T Buy 717 J

K T Partial Sale 9114 K

K T

Merger 10/3 K

K T Buy 10114 J

K T Buy 612 K

Buy 9114 1

J T Buy 9114 J

B

B

B

215. IBM common stock A Dividend K T

216. Intel common stock A Dividend J T

r-·-----··----·--·-·-i _ Incmne/Gain Codes: .'\ '" $I ,Glifl or less B = $1,001-52,500 c ... $2,501-55,000 D '" $5.W'1-Si5JJOO E •0 $15.001-$50.00

·-------···---···----

(2) (2) (3) (4)

(e.g.

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 13of46 .:/ 111312006WARDLAW, KIMM

VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent chiidretL See pp. 34-57 offiling in.,;tructions.)


De,;c.ription of Assets reporting peri9d reporting period (including trust assets)

If not exempt from disclosure (I) ·. (!) (I)

(2) (5) Place "(X)" after each asset exempt Value Value Type (e.g. Date: Value Gain Identity of Amount Typefrom prior disclosure Code2 Method buy, sell, Month- Code2 Code I buyerisellcrCode I div. rent. or

(A-H) int) (J-P) Code3 merger, Day (J-P) (A-H) (if private (Q-\\l) redemption) transaction)

217. Iscramco common stock None Sell 9114 J A

218. Johnson & Johnson common stock A Dividend K T

219. JP Morgan common stock A Dividend K T Buy 9114 J

220. KB Home common stock A Dividend K T Partial Sale 3/8 J c

221. Lehman Bros common stock

222. Lexmark Intl common stock

223. Lockheed Martin common stock

224. Masco Corp common stock

225. Maxwell Tech common stock

226. McGraw-Hill common stock

227. Medtronic Inc common stock

228. Microchip Tech common stock

229. Microsoft Corp common stock

230. Morgan Stanley common stock

231. Newell Rubbennaid common stock

232. Nortel! Networks

233. Pfizer Inc common stock

234. Pfizer Inc common stock

A Dividend

None

A Dividend

A Dividend

None

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

None

A Dividend

K T

Sell 10/5 K

K T

J T Buy 3/8 J

Sell 9114 K

K T

K T

K T

K T Buy 3/8 J

Sell 6/2 K

Sell 10/14 K

J T

K T Buy 3/8 J

Partial Sale 9114 L

c

-·-.. lncon1c.:G.ii11 CoJcs: A .. , $1.00(1 or less B = $t,O{)f )2.50fl c ::: $2,5lJl-55.00fJ D "$S.litiJ-SJ5.0!lO E .. $15.\>0l-S50.0(, )

(See (\>lumus fl I and D4) t - $50.ll(il -$ lfJO,(i(J!) G • $100.00!-Sl.OOO/lOt.i HI ·-0 $l,Orc ihan $5,000,000

·- $15,fnlO or less K = $15.00l-$5U.OOO L =$50,001-$!00.000 M =$J•10.tlfJl-$ 50,0llO

(Sec (\.1lumu:i (.! a11d DJ} N ,., $250,00U-S500,0CJO () = $500.()()] .SI .Ofill,000 Pl •• $LOOO.OOI-S5,00fJ.lliJO P2 = S5.0\>0.00l-$25,000,f!OO

PJ = 52S,00

(4)

...

.��----i

c.

(I) (2) (5)

(e.g.

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 14 of 46 7/1312006WARDLAW, KIMM

vn. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent c.hiJdreo. See pp. 34-57 of filing instructions.)

A. B. D. Income during Gross value at end of Transactions during reporting period

0..'"SfJl-$5.(lOO.OOO P2 = $:i.OiiO.i Jl-$25.000,00Ci

r.i . $25,fJ00.001-$50.00fJ.ll•.iO P4 · $.\fore tb n S50,000,00i)

\· 1Ju;.:.- ;\·lethod Codes Q .•., Appraisal R ··- Cosr (Real Estate Only) S .,., Assessment T = Caslt \l.arkci

! cc Column C2) u =Book Value \' •=Other

(I) (2)


VIL INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 offiling instructions.)

A. B. c. D. Income during Gross \-a!UC at end of Transactions during reporting period

Description of Assets reporting peri9d reporting period(including trust assets)

(2) (1) If not exempt from disclosure

(1)


Amount Code I (A-H)

T>pe (e.g. div. rent. or int.)

Value Codc2

(J-P)

Value Method Code 3 (Q-W)


(2) Date: Month-Day

(3)

Value Code 2 (J-P)

(4.)

Gain Code 1 (A-H)

(5) Identity of buyer/seller (if pri\'llte transaction)

253. DFA Large Cap Fund c Dividend M T Buy 9114 K

254. DFA Micro Cap Fun B Dividend L T Buy 9/14 J

255. Capital Trust Account

256. 3M Company

257. 3M Company

258. Adobe Sys Inc

259. Adobe Sys Inc

260. Adobe Sys Inc

261. Adobe Sys Inc

262. Agilent Technologies Inc.

263. Air Prods & Chems Inc.

264. Air Prods & Chems Inc.

265. Alcoa Inc

266. Alcoa Inc

267. Alcoa Inc

268. Alcoa Inc

A Dividend

None

None

B Dividend

A Dividend

Partial Sale 7/13 K

Sell 7/14 K

M T Buy 8/3 K

Buy 8/12 K

Buy 8/15 J

Buy 8/23 K

L T Buy 3/18 J

M T Buy 3/18 K

Buy 1017 K

L T Partial Sale 619 K

Partial Sale 6/10 K

Partial Sale 6/13 J

Buy 12/8 K

269. Alcoa Inc. Buy 12/12 J

270. Alcoa Inc Buy 12/13 J

L incomc:{Jain CnJes: A '' 51 ,OOD or less B '" $1,00!-S2,50!l C "$2,501-55,000 D = S5.liOI-515.tXlQ E ·· $15.!lOl-$50.DOri

(Sec c,,lum11s HI and 04) I:' = $50.0i.il-$1!!0,000 G . .,, $I 0(),0tll-$1.00ll,OOli Hl = $1,000.001-$5,00().000 H" ·=More 1han $5,000,000

= $15,000 or less K "' $15,001-$5

B

·-----·-------------------------------------------------------

(e.g.

(J-P)

FINANCIAL DISCLOSURE REPORT Date of Report Nall)e of Person Reporting 7/13/2006Page 16 of 46 WARDLAW, KIMM

VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 offiling instructions.)

.A. B. c. D.

Income dtoing Gross value at end of Transactions during reporting period Description ofAssets reporting period reporting period


(I) (2) (!) (2) (I) (2) (3) (4) (5)

Place "(X)" after each asset exempt Value Value Type (e.g. Date: Value Gain Identity of Amount T}pefrom prior disclosure buy, sell, Code2 Method Month- Code2 Code I buyerisellerCode I div. rent. or

Code3 merger, Day (J-P) (A-HJ (if private(A-H) int.) redemption) traiisaction)(Q-\\.1

271. Alcoa Inc Buy 12/14 J

272. Allergan Inc A Dividend M T

273. American Elec Pwr Inc A Dividend K T

274. American Intl Group






280. Amgen Inc

281. Amgen Inc

282. Amgen Inc

283. Amylin Pharmaceuticals Inc

284. Anheuser Busch Cos

285. Anheuser Busch Cos

286. Applied Matis Inc

287. Applied Matis Inc

288. Astrazeneca Pie Adr

A Dividend

B Dividend

None

None

B Dividend

A Dividend

c Dividend

M T

M T Buy 1017 J

Buy 11/1 K

Buy 11/4 J

Buy 1117 K

Buy I 118 J

Partial Sale 4/26 J

Partial Sale 4/27 J

Sell 4/28 J

K T Buy 3/18 J

Partial Sale 10/28 K

Sell 10/28 J

Partial Sale 8/17 K

Sell 8/18 K

M T Buy 3/18 J

A

B

A ,.,, SJ .OOt) or Jess .,, $1,0f!l-52,501! C ... $2,51il-S5,t)00 D .... $5.'iOl-515.fiOO E • $15,001-$50.000

(S.;c C,;iurrnis BI and D4) F '" $50.001-$ lOO,OOO G = $Hl!.l.filll-Sl .l.iOll,OOl.i Hl ·= $l,O

(!)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 17 of 46 WARDLAW, KIMM 7/13/2006

VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent cln1dren. See pp. 34-57 of filing instructions.)

A. B. c. D.



Gross \-alue at end of reporting period


If not exempt from disclosure (I) (2) (I) (2)

Place "(X)" after each asset e. empt from prior disclosure

Amount Code l

(A-H)

Type (e. g. div. rent. or int)

Value Code 2 (J-P)

Value Method Code 3

(Q-W)


(2) Date: Month-Day

(3)

Value Code :? (J-P)

(4)

Gain Code l

(A-H)

(5)

Identity of buyer/seller (if private transa tion)

289. AT&T, Inc A Dividend L T Buy 1 017 J

290. Autonation Inc None K T

291. Avon Prods Inc A Dividend

292. Avon Prods Inc

293. Avon Prods Inc ..

294. Baker Hughes Inc A Dividend

295. Becton Dickinson & Co A Dividend

296. Berkshire Hathaway Cl B None

297. BP/Valdez AK 03B DFR 1.770% 7/01/37 A Interest

298. CA Hlth Fae Cedars-S 6.125% 12/01/19 c Interest

299. CA Hlth Fae Valley 5.000% 5/01/12 D Interest

300. CA POLLUTN CTL FING AUTH REV 5/23/1996 A Interest VAR

301. CA POLLUTN CTL FING AUTH REV 5/23/1996 VAR

302. CA Pub Wks Lease Rev 5.125% 12/01/21 D Interest

303. CA St Dept Wtr Res Q 5.000% 310I/17 c Interest

304. CA St Econ Recov 04 3.500 % 7/01/23 D Interest

305. CA St Econ Recov A 5.250% 7/01113 D Interest

306. CASTG05.000% 11/01/18 B Interest

K T Buy 9/21 K

Buy 1017 J

Buy 1119 J

M T Buy 3/18 J

Sell 9/22 K

K T

Sell 1/12 M

Sell 12121 M

Sell 12/21 L

Buy 12/9 L

Sell 12/22 L

M T

L T

M T

M T

Sell 2/23 M

B

c

B

D

:\ " 51.GO() or less B •• $!,OOl-S2.SOO C "'· $2,.501-S5.l)00 D "$5.fi"l-$15,CJOO E ·· $15.001-$50.0 I

(See C\)iumn:< ll l and D4) f ... $50.llOl-$100,liOO G - $lOU.Olll-Sl.POO,OOi.i Hl = $ l.OOO.tHH-$5.000.l/ijO H2 ·•• 11.fore 1han $5.000,000

= S 15,fHlO or less K = $1.5.0t.11-$5

---·--------------------------

(e.g.

(J-P)

(S)


VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)


Description of Assets reporting periQd reporting period (including trust assets)

If not exempt from disclosure (I) (2} (!) (2) (!)

(2) (3) (4) Place "(X)" after each asset exempt Value Value Type (e.g. Date: Value Gain Identity of

buy, sell. Code2 Method Month- Code'.! Code 1 buyer/seller Amount Type

from prior disclosure Code I div. rent or Code3 merger, Day (J-P) (A-H) (if private (A-H) int.)

redemption) tra1isaction)(Q-W)

307. CA ST GO 6.250% 9/01/12 c Interest L T

308. CA ST GO 6.500% 2/01/08 c Interest Sell 2/21 L B

309. CA ST GO FGIC 5.000% 2101115 D Interest Sell 2/23 M D

310. CA ST GO REV ANTIC S 3% 6/30/05

311. CA ST GO REV ANTIC S 3% 6/30/05

312. CA ST UNN SYSTEM WID 5.000% l l/01/17

313. CA STS GO MBIA 5.000% 2/01/21

314. CA STWD COP ODD FELL 5.375% 10/01/13

315. Campbell Soup Co

316. Canon Inc Adr




320. Carnival Corp Common Paired Stock

321. Checkfree Corp

322. Chevron Corp

323. Chevron Corp

324. Chevron Corp

A Interest

D Interest

B Interest

c Interest

c Dividend

A Dividend

A Dividend

A Dividend

None

A Dividend

Buy 1/11 M

Sell 319 M

N T Buy 3/24 N

Sell 2/23 L

L T

M T Buy 1017 J

K T

L T Buy 9/20 K

Buy 9/21 K

Buy 1017 K

L T Buy 3/31 K

K T

L T Buy 8/23 K

Buy 1017 J

Partial Sale 8/26 J

A

A =--= S 1 ,00(1 1)r Jess B '" $1,001-)2,500 c $2 501-$5,000 D "$5.fJ!>l-$15.000 E -• S15.001-$50.\!0I;

f ::., 'S50.lH.lJ-'$1fJ0,000 (i .,, $I 00,0ll 1-S 1.0M,fXlli Hi ·- $1 .OV0.001-$5,000.000 1-12 = 1'.fore than $5.000,DOU

= S15,IJOO or less K = $ ! 5,0H 1-$5ti.OOO L = $5

\ "'· $250,iiOtl-$500,()\)() 0 ·• $500,001-S 1.000,fJOO Pl "" $1.000.!l0l-S5.000.

(3)

��

325.

(I) (2) (!} (2) {I)

F1NANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 19of46 7/13/2006WARDLAW, KIMM

VIL INVESThIENTS and 1RUSTS - income. V31ue. transcations (includes those of the spouse and dependent cluldren. See pp. 34-57 offiling instnictions.)

A. B. c. D.


Income during reporting periqd

Gross \'2lue at end of reporting period


If not exempt from disclosure

(2) (4) (5) Place "(X)" afler each asset exempt from prior disclosure

Amount Code I

Type (e.g. div. rent or

Value Code 2

Value Method

Type (e.g. buy, sen.

Date: Month-

Value Code:?.

Gain Code I

Identity of buycr!sc11er

(A-H) int) (J-P) Code 3 (Q-W)

merger, redemption)

Day (J-P) (A-HJ (if private transaction)

Cincinnati Finl Corp B Dividend L T

326. Cisco Sys Inc None K T Buy 3/18 J

327. Cisco Sys Inc Buy 1017 J

328. Citigroup Inc B Dividend K T

329. Coca-Cola Co

330. Coca-Cola Co

331. Coca-Cola Co

332. Comcast Corp Cl A New

333. Costa Mesa Calif PFA 5.000% 10/01/12

334. Costco Whsl Corp New

335. Cucamonga CO CA COP 5.000% 9101119

336. Danaher Corp

337. Danaher Corp

'338. Danaher Corp

A Dividend

A Dividend

c Interest

None

c Interest

A Dividend

K T Buy 10/14 K

Buy 10/17 K

Buy 11/9 .J

M T Buy 1017 K

M T

M T Buy 1017 K

M T

K T Buy 8/23 1

Buy 8/24 1

Buy 1017 1

339. Davita Inc. None L T Buy 1/14 1

340. Davita Inc Buy 1/18 J

341. Delta Petroleum Corp None L T Buy 12/16 J

342. Delta Petroleum Corp Buy 12/19 J

B "$1,00l-S2,50•i c -· $2,501-$5,non [) "$5,r;tll-Sl 5.000 E $15.DOl-$50.090

{Sc.: (\Jlurrn1s HI and D4) I' '" $5ii.ll(il-$100,000 G = $100,0lli-Sl .000,!JOU HJ ... , $1.000.001-$5,000.000 H2 ·= ·Jore than S5.00tl,OOO

2. \.",llm.: l \.)

\V

(3)

343.

345.

(2)

(J-P)


vn. INVESTlVIENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent childreIL See pp. 34-57 offiling instructions.)

A. 8. c. D. Income during Gross value at end of TI3nsactions during reporting period

D >scription of Assets reporting period reporting period (including trust.assets)

(I) (2) (!) (!) If not exempt. from disclosure

(2) (4) (5) Place "!X)" 3fter each asset exempt Type (e.g.Amount Type (e.g. Value Value Date: Value Gain Identity of from prior disclosure buy, sell, Code I div. rent. or Code2 Method Month- Code 2 Code I buyerisellcr

(A-H) int) CodeJ merger. Day (J-P) (A-HJ (if private (Q-W)

Delta Petroleum Corp

redemption) transaction)

Buy 12/20 J

344. Delta Petroleum Corp Buy 12/20 K

Delta Petroleum Corp Buy 12/21 K

346. Delta Petroleum Corp Buy 12/22 J

347. Delt a Petroleum Corp


349. Du Pont El De Nemour



352. Duke Energy Corp


354. East West Bancorp Inc.





B Dividend

c Dividend

A Dividend

Buy 12/23 J

Buy 12/27 J

Partial Sale 8/30 J

Partial Sale 10/6 K

Sell 10/7 J

L T Buy 10/20 J

L T Buy 4127 J

Buy 4/28 J

Buy 4/29 J

Buy 5/2 J

Buy 513 J

Buy 514 J

359. East West Bancorp Inc Buy 515 1

360. East West Bancorp Inc. Buy 516 J

i. lncomc:"t. 1JiH Cndi::>:

(SccC.)hm111s f:ll and D4)

2. Vri!uc Codi.;·::;:

(S c· C.>lmnu-; Cl ;ui.l DJ)

3. V:ilu \'letliod Code;;

1 See Column C2)

A :::: SJ .000 or Jess

F .-.. .-5;0.0i.Jl·SIOO,OO(l

..,...: Sl 5,000 or less

N '·' $2:50,ij()IJ-$500,00(l

P3 = 525,001),0

'

-·

B

(3) (4) (I) (I}

(2)


VII. INVEST1\1ENTS and TRUSTS - inco11¥:. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A. B. c. D.

Income during Gross \-alue at end of Transactions during reporting period 0..-scription of Assets reporting periodreporting peri.od


(2) Ifnot exempt from disclosure

(2) (!) (5)


Amount Code I

Type (e.g. di\·. rent or

Value Code2

Value Method

Type (e.g. buy, sell,

Date: Month-

Value Code2

Gain Code I

Identity of buyeriseller

(J\ -H) int.) mcf(jain ( ndes: :\ "" 51 ,00!) or less $1,001->2.500 C "$2.5!ll-S5,0oo D ,,, $5.lj"l-515.00U E '$15.001 ·$50.00l)

(S e c,,lnrmis f:ll and D4) F ;" :\.50.lliil .)1()0,00!J G ·.: $100,(;tll-SLOl;O,fJOO HI = $1.000.001-$5,000.llOO H2 ·= l\.fore ;han 55.000,f.>OU

Value Cn

------------�----------------------------- ···

379.

396.

(3)


VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 offiling insttUctions.)

A. B. c. D. Incon during Gross value at end of Tt3nsaciions during reporting period

Description of Assets rcp

(2) (2) (3) (4) (5)

(1)


.. -:,,-

VII. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57-{;f°filing'instructions.)

A. B. c. D. Income dwiog Gross value at end of Transactions during reporting period

Description of Assets (cporting period reporting period (including trust assets)

(l) (2) (1) If not exempt from disclosure


Amount Code I

Type (e.g. div. rent. or

Value Codc 2

Value Method


Date: Month-

Value Code2

Gain Code I

Identity of buyer/seller

(A'H) int) (J-P) Code3 (Q-W)

merger, redemption)

Day (J-P) (A-HJ (ifpri\'ate transaction)

397. Golden West Finl A Dividend K T

398. Guidant Corp A Dividend Partial Sale 6123 K c

399. Guidant Corp Sell 8119 K D

400. Hartford Finl Svcs Group Inc

401. Heineken N V Adr



404. Hsbc Hldgs Pie Adr

405. !AC lnteractivecorp




409. IAC Interactivecorp




A Dividend

A Dividend

A Dividend

c Dividend

None

A Dividend

K T

L T Buy 1017 J

L T Buy 2110 L

Buy 3/18 J

M T Buy 3/18 K

Buy 3118 J

Partial Sale 1.118 J

Partial Sale l/20 J

Partial Sale 10131 J

Partial Sale 10131 K

Sell I Ill J

M T Buy 3:1 K

Buy 1017 K

A

A

A

H3. Imclone Sys Inc None K T Buy 1117 J

il4. lmclone Sys Inc Buy I l/8 J

1. !nc•m1c. (i..iin (.. odes: A ,.,.SI ,O(j(l or less B ,, $1,001-$2.500 c '' $2,501-$5,000 E ,. Sl5.001-S50.00ii

(S

2. Value t . .'odc::-\:

· ··----

(2) (4)

B. c.

(I)


VIl. ll VEST1\1ENTS and TRUSTS - income, value. transcations (includes those of the spouse and dependent children. See pp. 34,57 offiling instructions.)

A. D. In\;ome during Gross value at end of Transactions during reporting period

Description of Assets reporting pe,riod reporting period (including trust assets)

(I) (2) (2) If not exempt from disclosure

(I) (3) (5)

Place "(X)" after each asset exempt Type (e.g. Date:Amount Type (e.g. Value Value Value Gain Identity of from prior disclosure buy, sell. Month-Code I div. rent. or Codc2 Method Code 2 Code l buyer/seller

(A-H) int.) (J-P) Code3 Day U-P) (A-H) (ifprivatemerger, redemption) transaction)(Q-\V)

415. Imclone Sys Inc Buy 1119 J

416. Imclone Sys Inc Buy 11/10 J

417. Imclone Sys Inc Buy 11/11 J

418. Imclone Sys Inc

419. Immanuel HLTH/LANCAS 2.490% 07/01/30

420. Immanuel HLTH/LANCAS 2.490% 07/01/30

421. Intel Corp



424. JPMorgan Chase & Co







B Interest

A Dividend

B Dividend

c Dividend

A Dividend

None

Buy 11/29 J

Buy 217 L

Sell 8/4 L

K T

M T Buy 3/18 K

Buy 1017 K

M T Buy 1/21 K

Buy 1/26 K

Buy 3/18 J

Buy 1017 K

Partial Sale 8/23 J

Sell 8/25 J

L T Partial Sale 3/9 J

A

A

431. Kinder Morgan Mgmt LLC Partial Sale 618 J A

432. Kinder Morgan Mgmt LLC Partial Sale 8/29 J A

.. Tncomc:·Gain Codec:;: A ·'" $I ,000 or less B ... $1,0li 1-51,500 C "' $2,5(>1-S.'i,OOO D ,. $5.IJ(>l-515,(j()O f� "' $l5.0C1-:S50.Ci00 (S e C"lunl!JS l:l1 and D4) F .... $50.lli.il-$ IOO,DOO G = $10!J,f;(}l-Sl,OGO,DOO Hi = $L0i.i0.001-$:5.000.Gij0 H2 = h)rc lhan $5.00l//)00 · Sl5,

(1)

Cc) . --·----·--·-··:___ _____ ___ _______ _______ ___ ________ _______

_

435.

(2j (3)

(J-P)

Date of Report Name of Person Reporting

Page 25of46 WARDLAW, KIMM 7/13/2006

VU. INVESTMENTS and TRUSTS - income. value. tr.mscations (includes those of the spouse and dependent children. See pp. 34-57 oftiling instructions.)

A. B. c. D.


Income during . reporting pc!Jod Gross \-alue at end of reporting period Transactions during reporting period


If not exempt from disclosure (!) (2) (1)

(4) (5)

Value Gain Identity of (2)

Place "(X}" after each asset exempt Type (e.g. Date:Amount Type (e.g. Value Value from prior disclosure buy, sell. Code2 Method Month- Code'.! Code I buyer/sellerCode l div. rent. or

Code 3 merger Day (J-P) {A-H) (if private(A-H) inl) redemption) transaction)(Q-\.\1

433. Kinder Morgan Mgmt LLC Partial Sale 11/14 J A

434. Knight Ridder Inc A Dividend Partial Sale 9/23 J

Knight Ridder Inc Partial Sale 9/26 J

436. Knight Ridder Inc

437. Knight Ridder Inc

438. Kraft Foods Inc Cl A

439. Kraft Foods Inc Cl A

440. LA CA COP AMBAC 5.000% 10/01/14

441. LA CA OW AP.FSA 5.250% 7/01120

442. LA CA USO GO FGIC 5.0% 07-01-16

443. La Canada CA USO FGI 5.750% 8/01/05

444. La Canada Flintridge 5.250% 12/01/21

445. LA CO CA MT A AMBAC C 5.000% 7/01/20

446. LA CO CA MTA FSA SF 5.000% 7/01/19

447. LA CO Pub Wks FSA 4.700% 3/01/07

448. Leggett & Platt Inc



A Dividend

c Interest

c Interest

D Interest

c Interest

D Interest

D Interest

c Interest

c Interest

A Dividend

Partial Sale 1017 J

Sell 10/10 J

L . T Buy 3/18 J

Buy 10/7 J

Sell 12/21 L

L T

N T Buy 12/8 N

Sell 8/1 L

M T

M T

M T

Sell 12/21 L

L T Buy 5/10 J

Buy 5/11 J

Buy 5/12 K

B

A

1. lnc:)me:"(ialiH C;')Jcs: A ·•· $1 ,OOfl vr less B .• $!,001-$2,500 C 0 $2,Sfi 1-$5,000 f) ... $5J)•.'l-$!5.fJOO E ... $15.001-550.000 (See (\ilumns Bl and D4) F ''· $50.0i.il-$!00,000 G = '6100.G\ll-S!,

R

I

I I

453.

(2) (2) (3)

(J-P) (J-P)

8/4

9/8

(5)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 26 of 46 WARDLAW, KIMM 711312006

·-'

VIL INVEST1\1ENTS and TRUSTS - income. value. tr:mscations (includes those of the spouse and dependent children. See pp. 4 $7 of filing instructions.)

A. B. c. D.

Dl."Scription of Assets (including trust assets)

Income during reporting perjod



If not exempt from disclosure(1) (2) (I) {I)

"(4) Place "(X)'" alter each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Value Gain Identity of from prior disclosure buy, sen, Code I div. rent. or Code 2 Method Month- Code2 Code I buyer!se11cr

(A -H) int.) merger,Code3 Day {A-HJ (if private


451. Leggett & Platt Inc Buy 5116 J


Leggett & Platt Inc Buy 6/23 J


455. Leggett & Platt Inc Buy J






461. Lexmark International Inc Cl A None

462. Lexmark International Inc Cl A

463. Lilly Eli & Co B Dividend

464. Lilly Eli & Co

465. Lincare Holdings Inc None

466. LOS ANGELES CNTY CA PUB WKS FING D Interest AUTHO AMBAC 5% 611/2021

Buy 815 J

Buy 8/8 J

Buy 8/23 J

Buy 8/24 J

Buy 1017 J

K T Buy 2/15 J

. Buy 514 J

Partial Sale 8/17 K

Sell .. 8/18 L

K T Buy 1017 J

N T

467. Lowes Cos Inc A Dividend M T Buy 1017 K

468. Macromed ia Inc None Sell L E

.-\ ·'' $1 ,llfltl or Jess B ,, $1,0!ll-S2,501l C • $2,50l-S5.000 D •· .'!!.ll-$15.000 E ::- $15.f)"J!-:550.r)(H)

(Se C•>iurnu> f:l l and D4) F "·- $5!i.OPJ -$ l!JO,POO Ci ·• $100,fJOl-Sl.!.iOO,OOO HI $l,OOO.tl01-$5,0tl0.l)(i() H2 krc

!

��--��

(2)

(J-P)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 27of46 WARDLAW, KIMM 7/13/2006

VII. INVESTMENTS and 1RUSTS - income. value. transcations (includes those of the spouse and dependent cluldren. See pp. 34-57 of filing iQSlruCtions.)

A. B. c. D.


Income during reporting pei:iod



If not exempt from disclosure (I) (2) (I) (I)

(2) (3) (4) (j) Place "(X)" after each asset exempt Type (e.g. Date: Identity of Amount T)pc (e.g. Value Value Value Gain from prior disclosure buy, sell. Month- buyerisellerCode I di•·. rent. or Codc2 Method Code2 Code l

(A-H) int) merger.Code3 Day (J-P) .(A-HJ (if private redemption)(Q-W)

Mattel Inc A Dividend

transaction)

Partial Sale 10/26 J469.

470. Mattel Inc Partial Sale 10/26 1

471. Mattel Inc Partial Sale 10/27 J

472. Mattel Inc Partial Sale 10/27 1

473. Mattel Inc

474. Mattel Inc

475. Mattel Inc

476. Mattel Inc

477. McDonalds Corp B Dividend

478. McDonalds Corp

479. McDonalds Corp

480. Medco Health Solutions Inc None

481. Medco Health Solutions Inc




485. Met WTR SO CA GO SER 5.000% 3/01117 D Interest

486. Metro Wtr Dist CA 5.000% 7/01/17 D Interest

Partial Sale 10/28 J

Partial Sale 12/1 1

Partial Sale 12/2 1

Sell 12/5 1

L T Buy 1017 1

Buy 11/3 K

Buy 1114 J

M T Buy 3/2 1

Buy 3/30 K

Buy 1017 1

Buy 1114 K

Buy 1117 K

N T Buy 3117 N

Sell 12/21 M B

A "" 51,00tl or less B '" $!,0!!1-'>2.SO!i c ,, $2,501-$5.00!l t: '" s 15.001 -550/;()!J

(Slurn11s f:l t and f.14) F -•$50.001-$!00,000 G =$l00,Glll-Sl,Ufil),(, )(J HI '" $i,OOO.O!>l-S5.G

(4)

-550.0l .. J

I

I I

487.

(I) (IJ

{J-P)

(5)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 28of46 7/13129,96WARDLAW, KIMM

VII. INVESTIVIENTS and TRUSTS - income. value. transcations (includes those of tl1e spouse and dependent children. See pp. 34-57 of filing instructions.)

A. B. c. D.

lncorre during Gross value at end of Transactions during reporting periodDescription of Assets reporting peri.od reporting period

.(including trust assets) Ifnot exempt from disclosure

(I) (2) (2)

(2) (3) Place "(X)" after each asset exempt Type (e.g. Date:Amount Type (e.g. Value Value Gain Identity of Value from prior disclosure Code2 Method buy, sell, Month- Code'.? Code l buyerfsellerCode I div. rent or

CodeJ merger. Day (ifpri;-ate(J-P) (A-HJ(A-H) int) redemption) transaction)(Q-W)

Microsoft Corp B Dividend M T Buy 3/10 J

488. Microsoft Corp Buy 3/18 K

489. Microsoft Corp Buy 1017 J

490. Millennium Phannaceuticals Inc











50 I. Millennium Pharmaceuticals Inc



None K T Buy 4/8 J

Buy 4/11 J

Buy 4/12 J

Buy 4/13 J

Buy 4115 J

Buy 4/18 J

Buy 4119 J

Buy 4/20 J

Buy 4121 J

Buy 4/22 J

Buy 4125 J

Buy 4/26 J

Buy 4/27 J

Buy 4/27 J

504. Millennium Pharmaceuticals Inc Buy 4/28 J

l. l ncc>me.:Gain Cr)t.ics:

(Sec Clllunms HI and D4)

. VcilucCoch.: :

(Sec l\'"'""'s Ct auJ [).')

tS,,c Column C'.'.)

A " 5' J .oon or less

F ·" S50.ll01-$JIJ0,00\)

::::Sl5,000orlcss

N "' )250,00!J-$500,01.10

PJ '" S25,fJ01J.Olll-$5Ok V:duc

B

G

K

0

R

V

,, $1,00l-52,500

". $10\l.Glll-Sl.VOll,WO

= $15.0\lJ-$51J.OOO

= $5rr.J.iJlll-Sl.OOO,f1llO

.. ,, Cost (Real Estate Onl;-J

= Otlicr

C

Hl

I.

p I

P4

S

W

"$2,501-55,1.;on

= $ i ,000.001-'55,000.000

= $50,00J-$l

(5)

··-·-----·-····----------------------------------------------------

(2) (2)


-V1L INVESTh'IENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. Sec pp. 34-57 of tiling instnu:tions.)

A. B. c. D.

Income during Gross value at end of Transactions during reporting period·.· Description of Assets reporting peri.od reporting period


(I) (2) (1) Ifnot exempt from disclosure

(!) (3) (4)


Amount Code 1 (A-H)

Type (e.g. div. rent. or int)

Value Code2 (J-P)

Value Method

Code3

(Q-W)


Date: :-.fonth-Day

Value Code '.! (J-P)

Gain Code I (A-H)


(ifpri\-ate transaction)

505. Millennium Pharmaceuticals Inc Buy 4/29 1

506. Millennium Pharmaceuticals Inc Buy 512 1


508. Millennium Pharmaceuticals Inc Buy 5/3 1 ;.


510. Monterey CA Cops Nat 4.7S0% 8/01/17 B Interest L T

SI I. Mt Diablo CA USO FSA 4.62S% 8/01/17 c Interest M T

512. National Instruments Corp A Dividend K T Buy 1/26 1

513. National Instruments Corp Buy 1/27 J

514. National Instruments Corp Buy 411 J

SIS. National Instruments Corp Buy 414 J

516. National Instruments Corp Buy 1017 J

517. Nestle Nam Spon Adr B Dividend L T

518. New World Fund Inc RS D Dividend 0 T Buy 3/18 K

519. New World Fund Inc RS Buy 7114 L

'520. New World Fund Inc RS Buy 12/28 J

52 l . Nthm CA Pwr Ref 3-A S.S00% 710 !/OS

S22. Novartis Ag Nam Spon Adr

c Interest

A Dividend

Sell 711 L

L T Buy 1017 K

! . lnconlC.:(fain C'odi.::>: :\ •• $ i ,OO!l or less B •• $!,OOI-S2.500 C ::. $2.50 I S5.000 D •• $SJ/"i-S 15,fJOO E .. S !5.(101-550.!ll�i (Sec (\1lmrn1:; BI and D4) I' "·' }50.0i.il-'5 WO,i.i()() G = $100,0lll-SI. HI = $ L000.001-$5,000.000 H2 ·= l\for< chan SS.OOOJ>()I!

2. \.aJuc Codi.:$: .-..: 515,000 or less K =$15,001-$50,000 I.. = $50,001-$ll)(J.000 M = $1'>).:;01-$250.('A)IJ

(Sc Cc,lurn11s C ! aud D.l) 1'i ·. $250/J00-5501!/H.llJ 0 $500,001-Sl.OOO,DOO P.1 = $1.000.\ll.ll-$5,000.GOO 1 2 = $:i.l'..·).00l-$25,00ll,f)OO

l'J ·= S:?5,00C1k Value V =Other W =Estimated

,

A

(2) (3)

(e.g.

FINANCIAL DISCLOSURE REPORT Date of ReportName of Person Reporting Page JO of 46 711312006WARDLAW, KIMM

vn. INVESTMENTS and TRUSTS - income. value. transcarions (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A. 8. c. D.

lncorre during Gross value at end of Transactions during reporting period Description of Assets reporting perid reporting period


(I) (!) (2) (I) (-f) (5)(2)

Place "(X)" after each asset exempt Type (e.g.Value Value Date: Value Gain Identity of Amount T}pefrom prior disdosure buy, sell. Code 2 Method :-.tomh- Code'.! Code I buyerisellerCode I div. rent. or

(A-H) int.) (J-P) Code 3 merger, Day (J-P) (A:H) (ifpri -ate (Q-W) redemption) transaction)

523. Oakland CA USD Alame 5.000% 8101119 D Interest M T

524. Oceanside CA COP AMB 5.000% 5101120 B Interest K T

525. Omnicom Group Inc B Dividend M T

526. Orange Cops Police 4.600% 8/0 I/ I 0 c Interest M T

527. Palos Verdes CA Libr 5.000% 8/01/16 c Interest M T

528. Pepsico Inc B Dividend M T Buy 1017 1

529. Potash Corp Sk US$ Adr A Dividend K T Buy 10/28 K

530. PR PFC FGIC (P) 5.250% 8101/31 D Interest N T

531. PR Pub Bldg Au Rev 4.500% 7101122 D Interest M T

532. Procter & Gamble Co A Dividend K T Buy 3/18 1

5 33. Procter & Gamble Co Buy 1017 K

534. Radioshack Corp A Dividend Buy 1017 1

535. Radioshack Corp Partial Sale 12/8 J

536. Radioshack Corp Partial Sale 12/9 K

537. Radioshack Corp Sell 12/9 J

538. Raytheon Company Dividend Sell 618 L D

. 539. Rio Tinto Pie Adr B Dividend M T Buy 1017 K

540. Riverside CA Cop 4.750% l 2/0l /12 B Interest L T

-·--··--··-·-·-····

I ncr.Hnt:·Ci.iiH (.. nJcs: :\ "" $I ,01)(! or less B ··•· $l,0re than 55.000,000

.?. \-alut: t.\ d\;"s: · S.15,000 or less K = $15.0ll 1-$5

PJ •• S25,00l.l.Otll-$5!i,00().lliJ0 P4 = S.'.'.for tl1an $50,000,(Jl)(l

Q "'· i\ppmisal R ·. Cosl (Roal Estate Only) S = Assesslllcnt T = Ca;lt \ larkct

1S.. :c ('olumn C2) l.1 ·•• B1>ok Value V ... Other W =Estimated

(4)

·-----·-· ·------------------------------------------------------

(!) (5)

542.

544.

519

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 31of46 WARDLAW, KIMM 7/1312006

VIl. INVESTh1ENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent cluldren. See PP.:34-57 oHiling".instructions.)

A. B. c. D.

Oe5cription of Assets (including trust assets)

Income dwing reporting pe!iod


Transactions dwing reporting period

(!) (2) (I) (2) If not exempt from disclosure

(2) (3) Plac "(X)" after each asset exempt from prior disclosure

Amount Code I

Type (e.g. div. rent. or

Value Code2

Value Method


Date: Month-

Value Code2

Gain Code I


(A-H) int) (J-P) Code3 (Q-W)

merger, redemption)

Day (J-P) (A-H) (ifpri;-ate transaction)

541. Royal Dutch Shell ADR D Dividend M T Buy 1017 K

Sacra CA CAP Imps AMBAC PREREF 5.5% 12-1- c Interest M T 18/6-1-11

543. Sacra CA Mud S MBIA 5.000% 11/15/15 c Interest M T

Sacra City Fin Auth 5.500% 12/01/18 c Interest M T

545. San Diego CA Redev 4.75% 9/1/18 c Interest M T

546. San Diego CA Cop MBI 4.800% 8/15/11 c Interest M T

547. San Diego Cop North 5.000% 11/15/11 c Interest Sell 12/21 L A

548. San Fran Arpt 2nd-15 4.700% 5/01/12 B Interest L T

549. San Fran CA Redev AG 5.000% 7JO1/17 B Interest L T

550. San Fran CA Redev AG 5.250% 7/01/18 c Interest L T

551. San Fran City & Co 4.750% 7/01/12 B Interest L T

552. San Francisco CA ST Bldg Auth Lea e Rev 5% A Interest N T Buy 12/21 N 12/1/2020

553. San Jose CA Redev 04 5.250% 8/01/10 E Interest N T

554. Santa Barbara CA Red 5.000% 3/01/19 D Interest M T

555. Santa Clara CA Trans 5.000% 6/01117 B Interest L T

556. SAP AG Spon ADR A Dividend L T Buy 516 J

557. SAP AG Spon ADR Buy 519 J

558. SAP AG Spon ADR Buy J

i. lncnmc::{i.iin \ nd1::>: A " SI ,Of}t.) or less B "$1,001-52,500 C ,, $2,501-55.00!) D ., . $).fi

-· \',1iuc(\>d.->· =S15,fJ00orlcss K = J:i5.00l-}5.0t.l'J L $50,001-Sl

(4)

559.

(2) (I)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reportin g Page32 of46 111312006WARDLAW, KIMM

VIl. INVESTMENTS and 1RUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 offiling instructions.)

A. B. c. D.

Income during Gross ,-aJue at end of Transactions during reporting period Description of Assets reporting peripd reporting period .

(including lruSt assets)

(I) (2) If not exempt from disclosure(1)

(2) (3) (5) Place "(X)" a fter each asset exempt Amount T}pe (e.g. Value Value Type (e.g. Date: Value Gain Identity of from prior disclosure Code I div. rent or Code2 Method buy, sell, Month- Code2 Code 1 buyer/seller

(A·H) int) CJ-P) Code3 merger, Day (J-P) (A-H) (if private


SAP AG Spon ADR Buy 5/10 J

560. SAP AG Spon ADR Buy 5/11 J

561. SAP AG Spon ADR Buy 5/12 J

562. SAP AG Spon ADR









571. Schlumberger Ltd

572. Semtech Corp

573. Semtech Corp

574. Semtech Corp

575. Sepracor Inc

576. Sepracor Inc

B Dividend

B Dividend

None

None

Buy 5113 J

Buy 5/16 J

Buy 5111 J

Buy 5/18 J

Buy 5119 K

Buy 5120 J

Buy 5123 J

K T Buy 3110 J

Buy 3/18 J

M T Buy 10/7 K

K T Buy 2/22 K

Buy 3118 J

Buy 1017 J

L T Buy 1/28 J

Buy l/31 J

..; ,. SI .oon or less B '' $!,001- 2,500 C · .. $2,501-55.liOO D ,, $SJ1•.>l-SI 5.CJtlO E • $t5.001-S5fJ.OOO

(Sec Cdmnus Bl and D4) F .... $50.ll01-$l00,(i00 G = $1.00,Glll-Sl.OOll,OOli HI = $!,000.1.\\Jl-$5,000.lii.iO He = 1\·krc lhau S5.00ll,f!llO

7.. Value l\xk.·s: · Sl5,00i• or less K = $15,001-$50,0cl(J l. "$50,00 M = )t•;D.\'fll-$250,0ll()

(Sec• (\>lurnus Cl auJ D.') N . .., $2:i0,000-$500,00f) (l = $500.0ll 1-S I .l JO,OOIJ Pl = $1.0PiJ.!JfJt-$5,00f!.OOO P2 ··= S5.t iD.!JOt-$c5.0C{l,fJOO

['J = $25,fJOO.Olll-$51),0llO.ll•iO P4 = $\for thJn 550,iJO\l,OtliJ

Q '·'· 1\ppraisal R ·=.- Cosr (H al Estate Only) S Assessment T '·' Ca;lr\larkct

l Sec Column C ) I: - Bl>Ok Value V =Other W = EstirnuteJ

..

---·-·--·· ·--·--·-·-·-----------------------------------------------------

(I) (2) (3)

577.


Page33of46 Name of Person Reporting

WARDLAW, KIMM

Date of Report

7/13/2006

VII. INVESTMENTS and 1RUSTS - income. value. transcations {includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A. B. c. ·o-.

Income during Gross value at end of Transactions during reponing period Description of Assets reporting period reporting period


(I) (2) {I) (4) (5)(2)

Place "{X)" alter each asset exempt from prior disclosure

AmoU11t Code I (A-H)

Type (e.g. div. rent. or int.)

Value Codc2 (J-P)

Value Method Code3

(Q-\V)


Date: Month-Day

Value Code2

(J-P)

Gain Code 1 (A-H)

Identity of buyer/seller (ifpri;-ate transaction)

Sepracor Inc Buy 4126

578. Sepracor Inc Buy 4/27

579. Sepracor Inc Buy 4/28 K



582. Sepracor Inc Partial Sale 10/14 L

583. Siemens Ag Adr A Dividend L T Buy 6115 K

584. SLM Corp c Dividend M T Buy 1017 K

585. Southwest Airlines A Dividend K T Buy 1017 J

586. Sprint Nextel Corp A Dividend K T Buy 11/4 K

587. Sprint Nextel Corp Buy 1117 J

588. State Str Corp A Dividend L T Buy 5124 L

589. Suncor Energy Inc US$ Adr A Dividend L T

590. Sunnyvale CA CTFS 98 5.000% 10/01/17 B Interest L T

591. Syngenta Ag Adr B Dividend Sell 8/11 L c

592. Time Warner Inc A Dividend L T Buy 1017 1

593. Time Warner Inc Buy 11/14 K

594. UmpQua Hldgs Corp A Dividend K T Buy 414 J

A "'" $1.00(• or less B • $1,001-52.500 c · :: $2.5f!l-55,00(J D ""S _,X'l-SI 5,0(;() E •• $15.001-SS0.000

(Sc,.,l\,ltmuiS f.ll and D4) I' =$50.001-SIOO,OOO G $100,001-SJ tlOO,OOO HI = $ ! .ooo.mH-$5,000.liOO H2 = k:r [han S5.IJ\J\),f)Qij

2. Vulrn; (.. i.1

(I)

B.

(!) (2)

(e.g.

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page34 of46 WARDLAW, KIMM 7/13/2006

VIL INVESTl\1ENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instnictions.)

A. c. D. Incom! during Gross \"lllue at end of Transactions during reporting period .

Description of Assets reporting period reporting pe_riod (including trust assets)

If not exempt from disclosure (I)(2) (2) (3) (4) (5)

Value Value Type (e.g. Date: Value Gain Identity of Codc2 Method buy, sell, '.\fonth - Code:? Code I buyer/seller

Place "(X)" after each asset exempt Amount Typefrom prior disclosure Code I div. rent. or

merger,

(Q-W) redemption) transaction) (A-H) int.) (J-P) Code3 Day (J-P) (A-HJ (ifpri\-ate

595. Unilever N V NY Shs Adr B Dividend L T Buy 3/ 1 0 J

596. Unilever N V NY Shs Adr Buy 11/10 J

597. Union Pacific B Dividend M T



600. United Technologies Corp

601. Univ of CA Research 5.000% 9/01/14

602. Unocal Corp



605. Virgin Islands PFA 5.000% 10/01/07






A Dividend L T Buy 4115 K

Buy 1017 J

B Dividend M T Buy 1017 J

c Interest Sell 12/21 L

A Dividend Sell 8/l l L

B Dividend K T Buy 3/18 J

Buy 1017 J

D Interest N T

B Dividend L T Buy 3/18 J

Buy 1017 J

c Dividend M T Buy 2/17 L

Buy 3/18 K

Buy 12114 J

A

E


612. Washington Mut Inc Buy 1017 K

:. lncnme...Gaiu CnJi.::;:

(Sc (.',,lumus f:ll and D4)

2. \/aJm; \..'och.'$"

(St."\' C"-1harn15 c·: a11\i [)})

V 1lut.> \·lethod c ·ode-s

t s e Column C2)

A :;:· $1 .OOtl or less

f :: $50.01.il-Sl IJO,liO!J

.;:;- Sl 5,000 or less

N ....,.. '5250,000-5;500.000

1'3 ·= 5 5,(JOO,Oll 1-$50.0l'IJ.OtiO

Q ""Appraisal

I.' "' Bok Value

B

R

V

s 1,on 1- 1.5on

=Cost (R"al Estate Only)

= Other

C •• $2,501- 5.UU()

HI '·'$i,OOO.OfJl-$5,000.000 1:1:? =1'kre,hanS5,011ll,(. lU

L = $50.001-$!tj0.000 M = l'-0.•XJl-'5'.'.5ll,Ollti

Pl = $1,01. 1.001-$5,000.000 P2 = $5.\

(3)

0 . ... (J!-$'.'.50,0lliJ

(4) (5) (I)

(J-P) (Q-W)

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 35of46 WARDLAW, KIMM 7/13/2006

V1L INVESTh1ENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent cln1dreJL See pp. 34-57 of tiling instnJ\:tions.)

A. B. c. D.




TT3nsactions during reporting period

(I) (2) (2) (I) If not exempt from disclosure

(2) Place "(X)" after each asset exempt (e.g.Amount Type (e.g. Value Value Type Date: Value Gain Identity of from prior disclosure buy, sell. :l.lonth-Code I div. rent or Code 2 Method Code'.! Code I buyeriscllcr

(ifpri\-ate(A-H) int) merger,Code3 Day (J-P) {A-H) redemption) transaction)


614. Washington Mut Inc Buy 12/13 K

615. WD-40 Company A Dividend Sell 9/22 J A

616. Weatherford Intl Ltd None L T

617. Wellpoint Inc (Anthem Inc)

618. Wellpoint Inc (Anthem Inc)

6 19. Wells Fargo & Co New

620. Wells Fargo & Co New

621. West Contra Costa HL 3.000% 7101109

622. Westlands CA Wtr Dis 5.250% 9/01/17

623. Whole Foods Market

624. Williams Sonoma Inc

625. XL Capital Ltd

626. XL Capital Ltd

627. Zymogenetics Inc

628. Zymogenetics Inc

None

c Dividend

D Interest

D Interest

A Dividend

None

B Dividend

None

M T Buy 1/5 J

Buy 1017 K

M T Buy 3/18 K

Buy 1017 J

M T

M T

L T

K T Buy 1017 J

L T Buy 3/18 J

Buy 1017 K

J T Buy 12119 1

Buy 12120 1

629. Zymogenetics Inc Buy 12/21 1

1630. Zymogenetics Inc Buy 12/22

A S 1,001! or less B ... $1,0!11-52,500 C ,., S2,50!-S5,000 f.: ·:: $15.001-550.000

(Sc c,,h,,rnL> f:l l and Do.!) f' ,, $50.001-$ lfJO,\iOtl G = $ tO!J.OG.!-$1.000,00t.i Hl ·= $LOOO.tl01-S5,000.ll00 H2 = 1'.kr.: than S5,UGll,OOO

·= S 15,000 or le':>S K $I 5,0tl l -$S•.l.OOfJ L = $50,0 1-$lO(J.OIJ0 M = $J•i'

1" ·" $250,iJOIJ-$500,000 0 = $500,00l -Sl .000,000 Pl ·= Sl,OOO.\)(J!.$5,000.0UO P2 = SS.;:-.1-;3)()1-$'.'.5.0fi\l,OOO

P3 ·= S25,000,00 l -$St.i,OOO.ll00 P4 = $;\for tl1Jn S50,lj00,0ll0

Q '"Appraisal R = Cos1 (R al Estate Only) S .: Assessment T · = Ca;h \larkct

(:-)r..:c Cobmn C ) u ·= Bl'ok Value v =Other W =Estimated

(4)

J

B c . . [) E

v w

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting Page 36 of 46 7/1312006WARDLAW, KIMM

VII. INVESTMENTS and TRUSTS

A.



631.

632.

Zymogenetics Inc

SSGA Tax Free Money Mar FDS

633. •Brokerage Asset Acct

- income. value. transcations (includes those of the spouse and dependent clnldren. See pp. 34-57 of filing inslnl.:tions.)

B. c. D. Income during Gross ''3lue at end of Transactions during reporting period

reporting peri_od reporting period

Ifnot eitempt from disclosure (I) (2) (!) (2) (!)

(2) (3) (j)

Amount T}pe (e.g. Value Value Type (e.g. Date: Value daili Identity of Code I div. rent or Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) int.) (J-P) Code3

(Q-W)

merger, redemption)

Day (J-P) (A-HJ (if private transaction)

Buy 12/27

E Interest Pl T

634. Advance Auto Parts



637. Alameda Co CTFS 5.375% 12/1/16

638. Altria Group common stock

639. Berkeley CA Sch Dist. 3.875% 8/01/18

640. Burbank CA Pub Fing 5.250% 12/1/17

641. CA Ed FACS 4.250% 10/1/18

642. CA ST Pub Works 4.600% 12/1/20

643. CA ST Pub Works 4.200% 5/1/19

644 . CA ST Pub Works 5.000% 6/1/18

645. CB Richard Ellis common stock



None N T Partial Sale 2/23 0 G

Partial Sale 5/24 N G


D Interest M T

c Dividend M T

None M T Buy 8/8 M

D Interest M T

A Interest L T Buy 5/6 L

c Interest L T

None M T Buy 12/6 M

c Interest M T Buy 8/8 M

None 0 T Transfer In 4/4 P l See #688

Partial Sale 7/14 0 G


648. CB Richard EHis common stock Partial Sale 10/5 N G

• $1,001-51.500 $ .501-S5.l10f1 • $5.W> J-S 1 s.r;oo s b.001-$50.00(J

(Si! (\,!tmu1:\ BI alid D4) i-: ::.! $51.U}i.iJ-'5 lOO,i.iO!J G "$'100,0tli-Sl,001.l,fiOl.i HI = $ J .OUO.!.lOt-$5.00fi.ll(iO It:! .= Mvrc i.han $5,000,00V

\."alut.: '-"n ·= S"5,fXlO,OO P4 = \for th n SS0,000,000

(! Appraisal R ., Cosi (H aJ Estate Only) s -:.": :\ss ssu icnt T "Ca>l \larkct''·

i. -.;t·c Cululiln < ·2J IJ ··- lfook Value =Other E>tirnatcd=

.. ,:.)5fHKil-'!il00/im1

(3)

i

(I) (!) (!) (5)

FINANCIAL DISCLOSURE REPORT Page37 of46

Name of Person Reporting

WARDLAW, KIM M

Date of Report

7/13/2006

vn. INVESThlENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A. B. c. D.

Income during Gross value at end of Transactions during reporting period Dl.'"Scription of Assets reporting period reporting period

(inchtding trust assets) If not exempt from disclosure

(2) (2)

Identity of

(2) (4) Place "(X)" after each asset exempt Type (e.g. Date:Amount Type (e.g. Value Value Value Gain from prior disclosure buy, sell, Month-Code 2 Method Code2 Code I buyer/sellerCode I div. rent. or

(A-H) int) (J-P) Code3 merger, Day (J-P) (A-HJ (if private reden ition) transaction)(Q-W)

649. Chula Visa CA Pub Fing 3.875% 9/1/17 None L T Buy 8/8 L

650. Coachella CA Sch Dist. 6.000% 8/1/19

651. CSUCI Fing Auth 4.750% 9/1/14

652. DPL Inc common stock

653. Dublin CA Sch Dist. 4.125% 8/1/21

654. East Bay CA Util Dist 5 .000% 6/1/18

655. Escondido CA CTFS 4.250% 9/1/19

656. Fontana CA Pub Fing 4.000% 9/1/18

657. Los Angeles Co. MTA 4.750% 7/1/19

658. Montclair CA Fing Auth 3.875% 10/1/16

659. Mountain View CA High School 4.125% 8/1/16

660. Napa Co CTFS 3.600% 4/1/17

661. Newport CA Sch Dist 5 .000% 8/ l/ 17

662. Palmdale CA Redev Agy 3.800% 9/ l/16

663. Pasadena CA Elec Rev 5.000% 611116

664. Public Storage

665. Riverside Co CTFS 3.875% I 1/1/14

! 666. Sacramento CA Util Dist 5.000% 5/15/14

None

D Interest

c Dividend

None

c Interest

None

None

c Interest

B Interest

D Interest

None

c Interest

None

D Interest

E Dividend

B Interest

c Interest

L T Buy 1015 L

M T

L T

M T Buy 10/5 M

L T Buy 5/24 L

M T Buy 1015 M

M T Buy 8/18 M

M T Buy 2/23 M

M T Buy 5126 M

M T

M T Buy 12/6 M

M T Buy 2/23 M

M T Buy 8/16 M

M T

N T

M T Buy 5/14 M

M T Buy 5124 M

$15.001-550.D(,'ii. "' "'; . Incninc.:{iJiu Cndc:,: ,\ . $I ,000 or less 'B "$!,00!-}2.50!! C ,, $2,50J-S5,WO D $5.0Pl-Sl5.fJt10 E..

(SeeC1,!umnsBJ :indLH) f G = $10\l,00!-SJ.l.i(;ll,OOli H.I = $ t.OOO.OIJl-$5,000.lli. O 112 =�fore :han $5.000,WO

... Vahn; t.'od\.·:': ''" S15,IJ00 or lc'5s K '" $15,001-S5il.OO(J L = $50,0lll-$100.0(10 !\.i = $IiJ0.1•Gl-$cS1J,Ot)i1

{St.:t" (\,hum1s Cl arn1 D.l} N .-.;: $2:50,i.>00-5500,00.f) 0 '" 50\l,Gll!-SUXill,000 1'1 = $1.000.00!-$5,0\lO,OOO P2 ·= S5.t)i,0,!j0J-$25.0f)ll,OOO

PJ = s· 5.ooo.0

!

-·---··---'-----------------------------------------------

I

i

(I) (!)

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 38 of 46 WARDLAW, KIMM . - .. 7/13/2006

VlI. INVESTI.\1ENTS and TRUSTS - income. va1ue. transcations (includes those orn1e spouse and dependent children. See PP· 34-s1 or ming instructions.>

A. B. c. D.


Inco me during reporting period


T r.insactions during reporting

judicial watch · 3. date of repot 7/13/2006 : 4. title (article . f . judges indicate active or...

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