Ross A. Walters

Principal Ins. Cos. - IRA — None

Principal Ins. Cos, - Common Stock — Int/Div

Pfizer Common Stock — Int/Div

Oppenheimer Capital Appreciation Fund Class A - IRA — None

Wells Fargo Bank - IRA — None

lowa Retirement Investors Club 4038 Plan (Hartford) — None

Trust #1 — Int/Div

R — Interest

Principal Gov. & High Quality Bond Fd — Sold

Principal Short-Term Inc. Fd — Sold

Principal Income Fund — Sold

Principal High Yd Il Fd — Sold (part)

Harbor Int'l Fund Inst — Buy

Harbor Int'l Fund Inst — Sold (part)

Oakmark Int'l Small Cap Fd. — Buy

Oakmark Int'l Small Cap Fd. — Sold

Pimco Total Return Fd. Inst. — Buy

Pimco Total Return Fd. Inst. — Buy

Pimco Total Return Fd. Inst. — Buy

Principal Preferred Sec. Fd — Buy

Principal Preferred Sec. Fd — Buy

Royce Special Equity Fd. — Buy

Royce Special Equity Fd. — Sold

Vanguard Inflation Protected Fd — Buy

Vanguard Inflation Protected Fd — Buy

Prudential Jennison Nat. Res. Fd. — Buy

Templeton Global Bond Fd — Buy

Third Ave. Real Estate Value Fd — Buy

Tortoise Energy Infra. Corp. — Buy

Vanguard Emerg. Mkts. ETF — Buy

Vanguard Emerg. Mkts. ETF — Sold

Vanguard Index Fds. Lg.-Cap ETF — Buy

Vanguard Index Fds. Lg.-Cap ETF — Sold (part)

Vanguard Int'l Equity Index Fds — Buy

Vanguard Int'l Equity Index Fds — Sold

Barclays Bk. PLC — Buy

Barclays Bk. PLC — Sold

SPDR Ser TR S&P Div. ETF — Buy

Cash (Principal Money Market)

Trust #2 — Int/Div

41 — Interest

Principal Gov. & High Quality Bond Fd — Sold (part)

Principal Short Term Inc. Fd — Sold (part)

Principal Income Fund

Principal High Y1d Il Fd

Principal Preferred Sec. Fd — Buy

Principal Global Div. Inc. Fd — Buy

Blackrock High Yid. Bond Fd. — Buy

Federated Adjustable Rate Fd — Buy

S10. — Buy

Looms Sayles Bond Fd. — Buy

Oppenheimer Int'l Bond Fd. — Buy

Oppenheimer Int'l Bond Fd. — Sold (part)

Victory Nat'l Mut. Bond Fd — Buy

Waesicore Plus Bond Fd. — Buy

Akre Focus Fd. Retail — Buy

Cohen & Steers Realty Shares — Buy

Eaton Vance Floating Rate Adv. A — Buy

Hartford Capital Appr. Fund A — Buy

Heartland Value Plus Fd. — Buy

James Balanced Golden Rambow Fd — Buy

Lazard Dev. Mkts. Equity Fd — Buy

Marisco 21st Cent. Fd — Buy

Marisco 21st Cent. Fd — Sold

Thomburg Int'l Value Fd. A — Buy

Togueville Fund — Buy

Calamos Growth Fund A — Buy

Insurance Contract (Principal)

Cash (Principal Money Market)

Spouse's income — 2011 — West Des Momes, lowa School District (Part-Time Teacher) - Salary

Parts | and VIL. Trust #1 is a testamentary trust. Trust #2 is an inter vivos trust. My interest in the trusts is contingent. | have no present right or ability to receive

any meome or principal. | have listed the trusts because of the trustee's management authority over trust assets.

Part VII A(5) - Certificates of Deposit.

Part VII D{4) - Where no gain code is reported for a sale there was no gain,