William J. Lafferty

What was filed

334
investments
2
positions
0
gifts
2
agreements
4
debts
0
reimbursements
0
income
1
spouse income

Named parties

Trust No.
Howard Rice Investments Funds, 01-09
Head Royce School
Bank of America
GSA VISA
LLBean
The Permanente Medical Group--Salary

As filed

pak) — Sold

For Filer (includes CP) (H)

Charles Schwab Bank, Deposit Account — Interest

CBS Corp., Common Stock — Int/Div

Dreyfus Growth & Income Mutual Fund — Int/Div

Howard Rice Investment Fund 01 (no control) — None

Howard Rice Investment Fund 02 (no control) — None

A Howard Rice Investment Fund 04 (no control) — istrnibution

Howard Rice Investment Fund 05 (no control) — None

Howard Rice Investment Fund 06 (no control) — Distribution

Howard Rice Investment Fund 07 (no control) — Distribution

Howard Rice Investment Fund 08 (no control) — None

Howard Rice Investment Fund 09 (no control) — Int/Div

Howard Rice Profit Sharing Plan (no control) — Int/Div

Howard Rice 401(k) Match (no control) — Int./y

I Trust No. Family Trust (H)

Real property, Orinda, CA — None

HL Spouse (includes (CP) (H)

Rental Property, Alameda, CA — Reat

Rental Property, Ventura, CA, & see discussion under "VII — Rent

Schwab Money Market Fund: SWMXX — Int/Div

Vanguard Total Intl Stock Market Index Fund: VGTSX — Int/Div

Vanguard Total Stock Market Index Fund. VTSMX — Int/Div

Capital One (savings) — Interest

Wells Fargo Bank (Deposit Account) — Interest

Cross Timbers Parmership — Int/Div

Schwab Short-Term Bond Market Funds SWBDX — Int/Div

A. Cathy Scharf Retirement Accounts (H)

1. TPMG Salary Deferral (H)

FID Contra Fund K. See Text in Part VII — Int/Div — Sold

BTC US Equity Market — Int/Div — Buy (add'l)

Cap Guardian International Equity — Int — Sold (part)

TPMG Target DT 2020 — Int/Div

FIDMIPHHCLDY — Int/Div — Sold (part)

FIDMIPHHCLDY — Sold (part)

FR Fixed Income — Int/Div — Buy (add'l)

TPMI International Foreign Fund (new) — Int/Div — Buy

2. Permanente Contribution Plan (H)

BTC US Equity Market — Int/Div

FID Contra Fund K — hy — Sold

Cap Guardian International Equity — Int/Div

TPMG Target DT 2020 — Int

FIDMIPH CLD — Int/Div — Sold

FR Fixed Income — Int/Div

TPMI International Foreign Fund (new) — Int/Div — Buy

3 Kaiser Fouidation Health Plan (H)

a) Plan B (H)

Vanguard Wellington Fund, Inv — Int/Div

Vanguard Total Bond Mkt 1x Ist Plus (See text VII — Int/Div

Vanguard 1st Tt St. Mkt Inx Ist Plus (See text VII — Int./hv

KP Growth Equity Fund — Int/Div

KP Interest Income Fund (X) — Int/Div

Bb) TSA (H)

Vanguard Wellington Fund, Inv — Int/Div

Vanguard Stable Income Fund (X) — Int/Div

Janus Adviser Forty — Int/Div

Vanguard Total Bond Mkt 1x Ist Plus (See ext VII — hy

Vanguard 1st Tt St. Mkt Inx Ist Plus (See ext VII — Int/Div

Wells Fargo Deposit Account — Int/Div

IV. FRC Accounts: Family Trust, [mm Trust, William IRA — Int

Amylin Pharmaceuticals, — Buy

Amylin Pharmaceuticals, — Buy (add'l)

Amylin Pharmaceuticals, — Sold (part)

3M Company — Sold (part)

3M Company — Buy (add'l)

Access Midstream Partners, L.P (fka Chesapeake Midstream) — Buy (add'l)

Access Midstream Partners, L.P (fka Chesapeake Midstream) — Sold (part)

AES Corporation — Sold (part)

AES Corporation — Buy

AES Corporation — Buy (add'l)

Allscripts Healthcare Solution — Sold (part)

Altria Group Inc

Amarin Corporation plc — Buy

Amarin Corporation plc — Buy (add'l)

Amazon.com Inc — Sold (part)

Amgen Inc — Buy (add'l)

Amgen Inc — Sold (part)

Apple Inc — Buy

Archer Damels Midland

Australia & NZ Bank — Sold (part)

Automatic Data Processing Inc — Buy

Automatic Data Processing Inc — Buy (add'l)

Bristol-Myers Squibb Co — Buy (add'l)

Broadcom Corporation — Buy (add'l)

Chipotle Mexican Grill — Buy

Chipotle Mexican Grill — Buy (add'l)

Chubb Corp — Buy

Chubb Corp — Buy (add'l)

Church & Dwight Co Inc — Sold (part)

Church & Dwight Co Inc — Buy (add'l)

Coca-Cola Company

Columbia Large Cap Enhan Core FD CL Z NMIMX

Costco Wholesale Corp

Cree Inc — Buy (add'l)

Cree Inc — Sold (part)

Cree Inc — Buy (add'l)

Cross Timbers Royalty — Buy (add'l)

Deere & Company

DFA Intemational Core Equity DFIEX — Sold (part)

DFA USS. Large Cap Value Portfolio DFLVX

Emerson Electric Co — Buy (add'l)

Engility Holdings, Inc. (Spinoff from L-3 Communications) — Sold (part)

Exxon Mobil Corporation — Sold (part)

Exxon Mobil Corporation — Buy

Fidelity National Info Sry

Fifth Third Bancorp — Sold (part)

First Eagle Overseas Fund — Sold (part)

Freeport-McMoran Copper

Generac Holdings Inc — Buy

Generac Holdings Inc — Buy (add'l)

Gentex Corporation — Buy

Gentex Corporation — Buy (add'l)

Google Inc — Buy

Google Inc — Buy (add'l)

Honeywell Intl Inc — Sold (part)

Hudson Pacific Properties, Inc — Buy

Hudson Pacific Properties, Inc — Buy (add'l)

Hudson Pacific Properties, Inc — Sold (part)

IBM Corp — Buy

IBM Corp — Buy (add'l)

lMumina Inc — Sold (part)

Intel Corporation — Buy

Intel Corporation — Buy (add'l)

Intermational Flavors& Frag

Intuit Inc

Johnson & Johnson — Buy (add'l)

Johnson & Johnson — Sold (part)

Kinder Morgan, Inc. ¢l P — Sold (part)

Kraft Foods Group Inc (Spinoff from Mondelez Intemational) — Buy (add'l)

Kraft Foods Group Inc (Spinoff from Mondelez Intemational) — Sold (part)

L-3 Communications

Martin Marietta Materials Inc

Merck & Co. Inc

Microsoft Corporation — Sold (part)

Microsoft Corporation — Buy (add'l)

Mondelez International Inc (f/k/a Kraft Foods Inc.)

Monsanto Co — Sold (part)

Nestle SA. ADR — Sold (part)

Newmont Mining Corp — Buy

Newmont Mining Corp — Buy (add'l)

Nokia Corp — Sold (part)

Norfolk Southern Corp — Sold (part)

Norfolk Southern Corp — Buy (add'l)

Novartis AG

Novo-Nordisk A/S — Sold (part)

OmmiVision Technologies — Buy (add'l)

OmmiVision Technologies — Sold (part)

OmmiVision Technologies — Buy (add'l)

Oracle Corporation — Buy (add'l)

Paychex, Inc — Sold (part)

Pfizer Inc — Buy (add'l)

Pfizer Inc — Sold (part)

Philip Morris Intl — Sold (part)

Philip Morris Intl — Buy (add'l)

Potash Corp. Saskatch — Sold (part)

Potash Corp. Saskatch — Buy (add'l)

Principal Financial Group — Buy

Principal Financial Group — Buy (add'l)

ProShrs UltraShort Leh 20+ Trea — Sold (part)

ProShrs UltraShort Leh 20+ Trea — Buy (add'l)

Qualcomm Inc — Sold (part)

Qualcomm Inc — Buy (add'l)

Roche Holdings Ltd — Buy

Roche Holdings Ltd — Sold

bad) — Sold

Sabine Rovalty Trust — Buy

Schlumberger Lud — Buy

Schlumberger Lud — Buy (add'l)

Schlumberger Lud — Sold (part)

Schwab Value Advantage Money Fund

Sigma-Aldrich Corporation — Sold (part)

Sue Street Corp — Buy

Sue Street Corp — Buy (add'l)

Suncor Energy — Sold (part)

T Rowe Price Group Inc — Buy

T Rowe Price Group Inc — Buy (add'l)

Thomas & Betts Corp — Sold (part)

Ultra Petroleum Comp — Buy (add'l)

Unilever PLC ADR — Sold (part)

Union Pacific Corp. — Sold (part)

United Technologies Corp — Buy

United Technologies Corp — Buy (add'l)

Vale SA — Buy

RIT) — Buy (add'l)

RIT) — Sold (part)

Vanguard Total Bond Market Index Fund Inve

Vanguard Total Stock Market Index Fund — Sold (part)

VimetX Holding Corp — Buy

VimetX Holding Corp — Sold (part)

Vornado Realty Trust — Buy (add'l)

W.R. Berkley Corp — Sold (part)

Walter Energy, Inc — Buy (add'l)

Wright Medical Group Inc — Buy (add'l)

Wright Medical Group Inc — Sold (part)

Xilinx Inc — Sold (part)

RE¥S — Buy (add'l)

Trustee, Trust No.

Partner, vanous Howard Rice Investment Funds, Howard Rice Investments Funds, 01-09

Agreement — 1/198 — Filer and Spouse, Family Trust

Agreement — 3/1/93 — Filer and py et al, See "8" for details

Liability — Head Royce School — Tuition Agreement

Liability — Bank of America — Credit Card

Liability — GSA VISA — Credit Card

Liability — LLBean — Credit Card

Spouse's income — 2012 — The Permanente Medical Group--Salary

In Part 11:

Although | terminated my employment with (then) Howard, Rice et al. in April 2011, and withdrew as a member of and a director of the firm at that time, | had

also participated, in my cacpacity as a member and director of the firm, in various "Howard Rice Investment” partnerships, each of which is still in existence, and

in each of which 1 am, indirectly at least, a participant. Thus, while I am no longer directly a party to an "agreement" concerning these entities, I um still an equity

holder in, and, at least indirectly, a participant in, these entities.

In Part VII;

In description of Wife's Investments and Trusts:

I. From "Rental Property, Ventura® Please note that this property, which was inherited from Wife's mother in 2009, first generated rental income in November

2011, total rental income in 2011 to Wife , $800. This amount was inadvertently deleted from my Initial Report,

2. With respect to entries for "Vanguard Total BondMkt. 1x 1st Plus” within discussion of "Kaiser Foundation Health Plan”, "Plan B* and "TSA", please note that

this fund was renamed from “Vanguard Total Bond Mkt Index" as reported in my Initial Report.

3. With respect to entries for "Vanguard 1st Tr St Mkt. Ist Plus” within discussion of "Kaiser Foundation Health Plan”, "Plan B™ and "TSA", please note that this

fund wus renamed from "Vanguard Total Stock Mkt Index Inst" as reported in my Initial Report.

Line 17, Property was purchased in August 2, 2011 for $220,000.