Kim McLane Wardlaw

2015Annual

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What was filed

614
investments
1
positions
0
gifts
0
agreements
0
debts
0
reimbursements
0
income
0
spouse income

Named parties

Ebay Inc
HP Inc

As filed

Trust #6 (98-W)

ROTH IRA

CAPITAL GROUP CORE BOND FUND — Int/Div

CAPITAL WORLD GROWTH & INCOME FD — Int/Div

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Sold (part)

AMERICAN FUNDS NEW PERSPECTIVE FUND — Sold (part)

SSGA US GOV MONEY MARKET FUND — None

Schwab Pension Acct (IRA)

Abbott Labs Com Stock — Int/Div

Alphabet (formerly Google Inc) Com Stock — None

American Express Com Stock — Int/Div

Apache Corp Com Stock — Int/Div — Sold

Apple Corp Com Stock — Int/Div

Berkshire Hathaway — None

BHP Billiton Com Stock — Int/Div — Sold

Blackrock Inc Com Stock — Int/Div

Boemg Co — Int/Div

Celgene Corp — None

Cemer Corp Com Stock — None

Chevron Corp Com Stock — Int/Div — Buy

Citicorp — Int/Div

Colgate-Palmolive Com Stock — Int/Div

Conocophillips Com Stock — Int/Div

Costco Wholesale Inc — Int/Div — Buy

Cummings Inc — Int/Div

Danaher Corp Com Stock — Int/Div

The Walt Disney Co. Com Stock — Int/Div — Sold (part)

EMC Corp Com Stock — Int/Div

Ebay Inc — None — Sold

GE Com Stock — Int/Div

Gilead Sciences Inc — Int/Div

Holly Frontier Corp — Int/Div

IBM Com Stock — Int/Div — Sold

Intel Corp Com Stock — Int/Div

Intuit Inc — Int/Div

JP Morgan Chase Com Stock — Int/Div

Lowes Companies — Int/Div

Merck & Co Com Stock — Int/Div

Nextera Energy — Int/Div

Nike Inc Com Stock — Int/Div — Sold (part)

Novo - Nordisk — Int/Div

Oracle Corp — Int/Div

Paypal Holdings Inc — None — from line M)) — Ebay Inc

Penske Auto — Int/Div — Buy

Pepsico Inc Com Stock — Int/Div

Proctor & Gamble Com Stock — Int/Div

Qualcomm Ine. Com Stock — Int/Div

Roche Hidg Ltd — Int/Div

Schlumberger Lid — Int/Div

Sempra Energy Com Stock — Int/Div

Target Corp Com Stock — Int/Div

TCP Capital Corp — Int/Div

Union Pacific Corp Com Stock — Int/Div

Verizon Com Stock — Int/Div — Buy

I1Shares MSC Index Fund — Int/Div

1Shares Small Cap Index Fund — Int/Div

Vanguard Emerging Market Fund — Int/Div

CAPITAL TRUST ACCOUNT

ABBVIE INC — Int/Div — Sold (part)

ABBVIE INC — Sold (part)

AIR PRODUCTS & CHEMICALS INC — Int/Div — Sold (part)

AIR PRODUCTS & CHEMICALS INC — Sold (part)

AIR PRODUCTS & CHEMICALS INC — Sold

ACCENTURE PLC — Int/Div

ACELTD — Int/Div — Sold (part)

ALPHABET INC CL A (formerly Google Inc.) — None — Sold (part)

AMERICAN TOWER COPR — Int/Div — Sold (part)

AMERICAN TOWER COPR — Sold (part)

AMERISOURCEBERGEN CORP — Int/Div

AON PLC — Int/Div

APPLE INC — Int/Div

ASTRAZENECA PLC ADR — Int/Div — Buy

ASTRAZENECA PLC ADR — Buy

AUTOMATIC DATA PROCESSING INC — Int/Div — Buy

AVAGO TECHNOLOGIES LTD — Int/Div — Sold (part)

AVAGO TECHNOLOGIES LTD — Sold (part)

B/E AEROSPACE INC — Int/Div — Sold (part)

B/E AEROSPACE INC — Sold (part)

B/E AEROSPACE INC — Sold

BB&T CORP — Int/Div — Sold

BAY AREA TOLL AUTH 06C2 CA VAR 04/01/45 — Interest

BOEING CO — Int/Div

BRISTOL-MYERS SQUIBB CO — Int/Div — Sold (part)

BRISTOL-MYERS SQUIBB CO — Sold (part)

BROADCOM CORP — Int/Div — Buy

CA ED FAC UNIV OF SAN FRANCISCO £.0% 10070121 — Interest

CA HLTH FAC CEDAR-SINAI MED 5.0% RAIS) — Interest

CA HLTH HENRY MAYO NEWHALL MEM HOSP AGM — Interest

CA INFRA EDB J. PAUL GETTY 15B-1 SIFMA +28BP FRN (MPT) SF 10-01 — Interest — Buy

CA PUB WKS REGENTS UIV CA CI S0% 0301/19 — Interest

CAST GO NATL 5.0% 0601/15 — Interest — Matured

CALIFORNIA ST ECON REC (9A 5% 07/01/19 — Interest — Sold

CAST ECON REC 09A 5.0% 070120 — Interest

CAST GO 5.00% 0201/20 — Interest

CA ST JOSEPH HLTH HOSP CA-F AGM £259, 0701/16 — Interest

CA STWD ADVENTIST HLTH SYSTEMS WEST ISA S.0% 03.01.26 — Interest — Buy

CA STWD ST JOSEPHS HLTH FSA 4.5% 070118 — Interest

CALIFORNIA ST UNIV REVENUE SER ASO0% 1101117 — Interest — Sold

CARNIVAL CORP COMMON PAIRED STOCK — Int/Div

CATERPILLAR INC — Int/Div — Sold (part)

CERNER CORP — None — Buy

CHARTER COMMUNICATIONS INC — None

CHEVRON CORP — Int/Div — Buy

CHEVRON CORP — Buy

CHEVRON CORP — Sold (part)

CLEARWATER FL WTR/SWR B 5.0% 12/01/18 — Interest

CME GROUP INC — Int/Div

COCA-COLA CO — Int/Div — Buy

COLUMBIA PIPELINE GROUP INC — Int/Div — Buy

COLUMBIA PIPELINE GROUP INC — Buy

COMCAST CORP CL A (NEW) — Int/Div — Sold (part)

CONOCOPHILLIPS — Int/Div — Buy

CONOCOPHILLIPS — Buy

CONOCOPHILLIPS — Sold (part)

CROWN CASTLE INTERNATIONAL CORP — Int/Div — Buy

CROWN CASTLE INTERNATIONAL CORP — Buy

CVS HEALTH CORPORATION — Int/Div — Buy

DAIMLER AG ADR — Int/Div — Buy

DAIMLER AG ADR — Sold (part)

DANAHER CORP — Int/Div — Sold (part)

DANAHER CORP — Sold (part)

DELPHI AUTOMOTIVE PLC — Int/Div — Sold (part)

DIAGEO PLC SPONSORED ADR — Int/Div — Buy

DIAGEO PLC SPONSORED ADR — Buy

DISCOVER FINANCIAL SERVICES — Int/Div — Buy

DISCOVER FINANCIAL SERVICES — Buy

DOW CHEMICAL CO — Int/Div

EATON CORP PLC — Int/Div — Sold (part)

EATON CORP PLC — Sold (part)

EMERSON ELECTRIC CO — None — Sold

ENBRIDGE INC LS — Int/Div — Buy

FOG RESOURCES INC — Int/Div

AMERICAN FUNDS EUROPACIFIC GROWTH FUNDCL F2 — Int/Div — Buy

EXPRESS SCRIPTS HOLDING CO — None — Buy

EXXON MOBIL CORP — Int/Div — Buy

GILEAD SCIENCES INC — Int/Div — Buy

GILEAD SCIENCES INC — Sold (part)

GOLDMAN SACHS GROUP INC — Int/Div

GUAM BUS PRIVILEGE TAX 11A 5.0% 010118 — Interest

HALLIBURTON CO — Int/Div — Sold (part)

HEXCEL CORP — Int/Div — Buy

HEXCEL CORP — Buy

HOME DEPOT INC — Int/Div — Sold (part)

HOME DEPOT INC — Sold (part)

IDEX CORP — Int/Div

ILLUMINA INC — None — Buy

ILLUMINA INC — Buy

INCYTE CORP — None — Buy

INTERNATIONAL BUSINESS MACHINES CORP — None — Buy

INTERNATIONAL BUSINESS MACHINES CORP — Buy

IRON MOUNTAIN INCORPORATED — Int/Div — Buy

IRON MOUNTAIN INCORPORATED — Sold (part)

IRVINE CA REASSMT DIST 15-2 5.0% 09.02.29 — Interest — Buy

JABIL CIRCUIT INC — Int/Div — Buy

JACK HENRY & ASSOC INC — Int/Div

JIPMORGAN CHASE & CO — Int/Div

LA COCA MTA SALES TAX REV SR PROP C 13A 5.0% 0701-20 — Interest

LAKE ELSINORE CA PUBLIC FING AUTH LOCAL 5.00% 09/01/2027 — Interest — Buy

LAS VEGAS SANDS CORP — Int/Div — Buy

LAS VEGAS SANDS CORP — Buy

LILLY ELI & CO — Int/Div — Buy

LILLY ELI & CO — Buy

MARSH & MCLENNAN COS INC — Int/Div

MEAD JOHNSON NUTRITIONCO - A — Int/Div — Buy

MEDTRONIC PLC — Int/Div — Buy

MEDTRONIC PLC — Buy

MICROSOFT CORP — Int/Div — Buy

MONDELEZ INTERNATIONAL INC — Int/Div — Buy

MONSANTO CONEW COM — Int/Div — Sold (part)

MONSANTO CONEW COM — Sold (part)

MOODYS CORP — Int/Div — Buy

MOODYS CORP — Buy

NATIONAL GRID PLC -SP ADR — Int/Div

NESTLE NAM SPON ADR — None — Buy

AMERICAN FUNDS NEW WORLD FUNDCL F2 — Int/Div — Buy

NEWELL BRANDS INC — Int/Div

NIELSEN HOLDINGS PLC — Int/Div

NIKEINCCLB — Int/Div — Buy

NIKEINCCLB — Sold (part)

NOBLE ENERGY INC — Int/Div — Sold (part)

NOBLE ENERGY INC — Sold (part)

NOBLE ENERGY INC — prt)

NOBLE ENERGY INC — Sold

NORFOLK SOUTHERN CORP — Int/Div — Buy

NORFOLK SOUTHERN CORP — Sold (part)

NORWEGIAN CRUISE LINE HOLDINGS LTD — None

NOVO NORDISK A/SCL B ADR — Int/Div — Sold (part)

ORACLE CORP — Int/Div — Sold (part)

ORACLE CORP — Sold (part)

OCCIDENTAL PETROLELM CORP — None — Buy

OCCIDENTAL PETROLELM CORP — Buy

OR PROVIDENCE HLTH C SIFMA+100 FRN (MPT) 10-01-22409.15-18 — Interest

PACWEST BANCORP — Int/Div — Buy

PACWEST BANCORP — Buy

PANERA BREADCOCL A — None — Buy

PANERA BREADCOCL A — Buy

PASADENA CA COP AMBAC 0% 0201-20 — None — Buy

PHILIP MORRIS INTERNATIONAL INC — Int/Div — Buy

PHILIP MORRIS INTERNATIONAL INC — Buy

PFIZER INC — Int/Div — Sold

PNC FINANCIAL SERVICES GROUP INC — Int/Div — Buy

PRAXAIR INC — Int/Div — Buy

PRAXAIR INC — Buy

PRAXAIR INC — Sold (part)

PRICELINE GROUP INC/THE — None — Buy

PROCTOR & GAMBLE CO — Int/Div — Buy

PROCTOR & GAMBLE CO — Buy

QUALCOMM INC — None — Sold

ROSS STORES INC — None — Sold (part)

ROSS STORES INC — Sold

SAN DIEGO CA REGL AIRPORT A 5.0% 070118 — Interest

SANDIEGO COWTR 5.0% 07/01/16 — Interest

SAN DIEGO WTR NATL FGIC 5.25% 05/0117 — Interest

SAN FRAN ARPT 2ND 06F NATL-FGIC £259 050120 — Interest

SAN RAMON CA REDEV TAX ALLOX BAM 5A 5.0% 0201-24 — Interest — Buy

SCHLUMBERGER LTD — Int/Div

SCPPA MAGNOLIA PWR 11-A 5.00% 07/0120 — Interest

SCPPA MEAD-ADELANTO 12A 5.0% 07/01/18 — Interest

SCRIPPS NETWORKS INTERACTIVE CLA — Int/Div — Sold (part)

SCRIPPS NETWORKS INTERACTIVE CLA — Sold (part)

SEATTLE GENETICS INC — None — Sold (part)

SEATTLE GENETICS INC — Sold (part)

bad) — Sold (part)

pak) — Sold (part)

pak) — Sold

SIEMENS AG ADR — Int/Div — Buy

SIEMENS AG ADR — Sold (part)

SIRIUS XM HOLDINGS INC — None

SSGA US GOV MONEY MARKET FUND — None

STJUDE MEDICAL — Int/Div — Buy

STARBUCKS CORP — Int/Div — Buy

STATE STREET INSTITUTIONAL TREAS MMKT FD PREM — Interest — Buy

TEXAS INSTRUMENTS INC — Int/Div — Sold (part)

TIFFANY & CO NEW — Int/Div — Sold (part)

TIFFANY & CO NEW — Sold

TIME WARNER CABLE INC — Int/Div — Buy

TOWERS WATSON & COMPANY CL A — Int/Div — Buy

TOWERS WATSON & COMPANY CL A — Buy

TUOLUMNE WIND REV CA TURLOCK IRRDT 525% 01/0124 — Interest

TURLOCK CA IRR DIST 5.0" 01-01-19 — Interest

UC REGENTS CA LTD PROJ 12G 5.00% 05/15/22 — Interest

UNILEVER PLC ADR AMER SHS SPON — Int/Div

UNITED TECHNOLOGIES CORP — Int/Div — Sold (part)

UNITEDHEALTH GROUP INC — Int/Div — Sold (part)

UNITEDHEALTH GROUP INC — Sold (part)

VERISIGN INC — None — Sold (part)

VERISIGN INC — Sold (part)

RITES — Sold (part)

VERIZON COMMUNICATIONS — Int/Div

VIACOM INCCLASS B — Int/Div — Buy

VIACOM INCCLASS B — Buy

RIT) — Sold (part)

VISAINCCLA — Int/Div — Buy

WASTE CONNECTIONS INC — Int/Div — Buy

WASTE MANAGEMENT INC — Int/Div — Buy

WASTE MANAGEMENT INC — Buy

WELLS FARGO & CO — Int/Div — Buy

XILINX INC — None — Buy

YUM BRANDS INC — Int/Div — Buy

YUM BRANDS INC — Buy

Trust £2 (4306)

AMERICAN FUNDS DEVELOPING WORLD GROWTH FUND — Int/Div — Buy

HARBOURVEST 2015 GLOBAL FUND LP — None — Buy

HARBOURVEST 2015 GLOBAL FUND LP — Buy

CAPITAL GROUP GLOBAL EQUITY FUND — Int/Div — Sold (part)

CAPITAL GROUP GLOBAL EQUITY FUND — Sold (part)

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div

CAPITAL GROUP CA SHORT TERM MUNI FUND — Int/Div

CAPITAL GROUP ALTERNATIVE STRATEGIES FUND. LP — None

SSGA US GOV MONEY MARKET FUND — None

MS Brokerage Asset Acct

Alhambra CA Sch Dist 3.0% 08/01/26 — Interest

Amazon Inc — None

Aruba Network Service (X) — None — Redeemed

Banning CA Sch Dist. 4.75% 08/01/23 — Interest

Belmont CA Fing Auth 4.0% 09/01/26 — Interest

Burbank CA Pub Fling 5.250% 12/01/17 — Interest — Redeemed

Buttonwillow CA Sch Dist 5.5% 11/01/27 — Interest

CA ST Dept Wir 5.00% 05/01/21 — Interest

CA ed FACS 4.250% 1001/18 — Interest

CAST GO 5.0% 0801727 — Interest — Redeemed

CAST GO 4.75% 09/01/28 — Interest

CAST GO 3.00% 0301/29 — Interest — Buy

Cal ST Pub Works 5.25% 12/01/26 — Interest

CA ST Pub Works 5.25% 06/01/20 — Interest

CA ST Pub Works 4.2000 0501/19 — Interest

CA ST Pub Works S.000% 9/1/29 — Interest — Buy

Carmichael CA WTR Dist $.0% 11/01/25 — Interest

Chino Hills CA Tax Rev 4.25% 09/01/24 — Interest

Chula Vista CA Pub Fing 3.875% 09/01/17 — Interest — Redeemed

Chula Vista CA Sch Dist 4.0% 08/01/26 — Interest

Coachella CA Sch Dist 5.0000 0801/19 — Interest — Redeemed

Cocrystal Pharma Inc — None — Sold

Colton CA Sch Dist 3.25% 0801/26 — Interest

Compton CA WTR Rev 5.625% 08/01,27 — Interest

Contra Costa CA Community Coll. 4.0% 08/01/28 — Interest

Cupertino CA CTFS 3.0% 07/01/26 — Interest

Delano CA Sch Dist 4.000% 02/01/25 — Interest

Desert CA Cmuty Coll. 5.00% 08/11,23 — Interest — Redeemed

Dublin CA Sch Dist 5.0% 08/01/25 — Interest

East Side Sch Dist 5.0% 08/01/24 — Interest

El Monte CA Sch Dist. S.0000% 0601/22 — Interest

Escondido CA CTFS 4.250% 09/01/19 — Interest — Redeemed

Fairfield CA Sch. Dist. 4 000% 08/07/27 — Interest

Fairfield CA Sch Dist. 3.00% 0801/28 — Interest

Fontana CA Pub Fing 4.000% 09/01/18 — Interest

Fremont CA Sch Dist 5.0% 08/01/25 — Interest

Glendora CA Sch Dist 4.000% 08/01/28 — Interest — Buy

Gilead Sci Inc — None — Buy

Gilead Sci Inc — Buy

Hemet CA Sch Dist. 4.07% 08/01/23 — Interest

Huntington Beach CA Pub Fing 5.0% 09/0125 — Interest

Imperial CNTY CA Trans. 3.25% 06/01/23 — Interest

Incyte Corp — None

Jefferson CA Sch Dist. S.0000% 0801/26 — Interest

Jefferson CA Sch Dist 5.07 07/15/26 — Interest

Lake Arrowhead CA Dist Wer 4.500% 10/0126 — Interest

Liberty CA High Sch 4.250% 08/01/26 — Interest

Lodi CA Elec Sys 4.5% 07/01/25 — Interest

Los Angeles CA Comm College 5.0% 08/0126 — Interest

Los Angeles CA DWP 5.0% 07/01/26 — Interest

Los Angeles CA Sch Dist 4.75% 07/01/25 — Interest

Los Angeles CA Sch Dist 4.50% 07/01/22 — Interest

Madera Co CTFS 4.250% 08/01/22 — Interest — Redeemed

Malibu CA CTFS 4.5% 07/01/27 — Interest

Mountain View CA High School 4.125% 08/01/16 — Interest — Redeemed

Oxnard CA Fing Auth 4.750% 06/01/24 — Interest

Palmdale CA Redev Agy 3.8000 09/01/16 — Interest

Palm Desert CTFS 5.000 0401/22 — Interest

Palm Springs Sch Dist. 3.0% 08/01/27 — Interest

Pasadena CA CTFS S.0% 02/01/24 — Interest

Pasadena CA Elec Rev 4.0% 08/01/24 — Interest

Perris CA Sch Dist S.000% 09/01/28 — Interest — Buy

Placentia-Yorba Linda CA Sch Dist 2.75% 08/0126 — Interest

Port Oakland CA Rev Ref 5.00% 11/01/21 — Interest

Redding CA Elec Sys. 5.0% 06/01/27 — Interest

Redlands CA Sch Dist. 5.000% 07/01/25 — Interest

Redondo Beach CA Sch Dist 4.04% 08/01/25 — Interest

Riverside CA Sewer Sys 5.000% 08/01/28 — Interest — Buy

Rowland CA Sch Dist 3.000% 08/01/29 — Interest — Buy

Ruckus Wireless Inc — None — Sold (part)

Sacramento CA CTFS 5.000% 12/01/21 — Interest

San Bernardino CA Comm College 5.000% 08/0128 — Interest — Buy

San Diego CA Conv, Cut 5.0% 04/15/26 — Interest

San Diego PFFA 5.0% 10/15/25 — Interest

San Diego Co Wir Auth 4.000% 05/01/20 — Interest — Redeemed

San Diego CA Sch Dist 5.5% 07/01/24 — Interest

San Diego CNTY CA Regl Truns 5.0% 04/0129 — Interest

San Francisco Comm College 5.000% 06/1527 — Interest — Buy

San Francisco CA Pub Util 5.0% 11/01/25 — Interest

San Francsico CA Pub Util 5.0% 11/01/26 — Interest

San Gabriel CA Sch Dist 5.25% 08/01/24 — Interest

San Juan CA Sch Dist 5.0% 08/01/28 — Interest

San Leandro CA Sch Dist 4.5% 0801/26 — Interest

Santa Clara CA Sch Dist 3.000% 07/01/28 — Interest — Buy

Santa Cruz Co CI1FS 3.875% 08/01/16 — Interest

Santa Cruz Co CTFS 4.200% 08/01/19 — Interest

Santa Rosa CA Wir Rev 5.0% 09/01/26 — Interest

Seattle Genetics — None — Buy

SCIVAC Therapeutics — None — Buy

SCIVAC Therapeutics — Buy

Sonoma CA Comm Dev S000 0611/29 — Interest — Buy

So Cal Logistics 4.125% 12/01/20 — Interest

So CA Pub Pwr Auth 5.150% 07/01/15 — Interest — Redeemed

Stockton CA Sch Dist S. 000% 08/01/27 — Interest

The Pantry common stock — None — Sold

Western Riverside WTR 4.250% 0901/21 — Interest

Yountville CA Fin Auth 4.375% 10/01/24 — Interest

Yosemite CA Comm. College 5.0% 08/0125 — Interest

Yosemite CA Comm College 5.000% 08/0129 — Interest — Buy

MS Bank Deposit — Interest

FS Equity Partners IV

Sur La Table — None

Ross-Simmons — None

FS Equity Partners V

HH. Gregg Inc common stock — None

Smile Brands Inc common stock — None

PETCO Ammal Supply common stock — None

El Pollo Loco Inc common stock — None — Sold (part)

FS Equity Partners VI

Paradise Holdings common stock — Int/Div — Sold

Floor and Decor common stock — Int/Div

Boot Bam common stock — Int/Div — Sold (part)

First Watch common stock — None — Buy

MacroStar common stock — Int/Div

Arhous common stock — None

totes Isotoner Holdings Corp. common stock — None

FS Equity Partners VII

totes Isotoner Holdmgs Corp common stock — None

Plantation Products, LLC — None

Regent Holding Company — None — Buy

Riordan Venture Association

TW Holdings common stock — None

Avella, Inc. preferred stock — None

ONE Industries common stock — None — Sold

Bluewolf Group LLC — None

Siteworx — None

Chartis Group — None

RGM Group — None

Patient Care America (formerly DCRX Infusion) — None

Clarity Solution Group — None

Inspirage LLC — None

Bistro 45 common stock — Int/Div

MS Retire Accts (401k-profit)

Invesco Pacific Growth Fund — Int/Div

MSDW Liquid Asset Account Trust Fund — Int/Div

HP Inc (formerly Hewlett Packard) common stock — Int/Div

Proctor & Gamble common stock — Int/Div

Altria Group common stock — Int/Div

Cisco Sys common stock — Int/Div

Kraft Foods Inc common stock — Int/Div

Mondelez Int'l common stock — Int/Div

Philip Morris — Int/Div

Gilead Science — Int/Div — Buy

Hewlett Packard Enterprise — Int/Div — from line 471) — HP Inc

Invesco Div. Growth Fund — Int/Div

American Funds New World Fund — Int/Div

Trust #3 (M/S UTM-K)

General Elec Comm Stock — Int/Div

Amencan Funds New World Fund — Int/Div

Trust 24 (IR-W)

SSGA US GOV MONEY MARKET FUND — None

AMERICAN FUNDS CAPITAL INCOME BUILDING — Int/Div

AMERICAN FUNDS CAPITAL WORLD GROWTH & INCOME FD — Int/Div

AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Int/Div — Sold (part)

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Sold (part)

AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div — Sold (part)

AMERICAN FUNDS GROWTH FUND OF AMERICA — Sold (part)

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div

AMERICAN FUNDS NEW WORLD FUND — Int/Div

AMERICAN FUNDS SMALL CAP WORLD FUND — None

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div

CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div

CAPITAL GROUP ALTERNATIVE STRATEGIES FUND. LP — None

HARBOURVEST 2015 GLOBAL FUND LP — None — Buy

HARBOURVEST 2015 GLOBAL FUND LP — Buy

Trust #5 (IR-K)

SSGA US GOV MONEY MARKET FUND — None

AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div

AMERICAN FUNDS CAPITAL WORLD GROWTH & INCOME FD — Int/Div

AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Int/Div — Sold (part)

S10. — Sold (part)

AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div — Sold (part)

AMERICAN FUNDS GROWTH FUND OF AMERICA — Sold (part)

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div

AMERICAN FUNDS NEW WORLD FUND — Int/Div

AMERICAN FUNDS SMALLCAP WORLD FUND — None

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div

CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div

CAPITAL GROUP ALTERNATIVE STRATEGIES FUND. LP — None

HARBOURVEST 2015 GLOBAL FUND LP — None — Buy

HARBOURVEST 2015 GLOBAL FUND LP — Buy

Invesco Divident Growth — Int/Div

American Funds New World Fund — Int/Div

Incyte Corp — None

Seattle Genetics Inc — None

MSDW Active Money Trust — Int/Div

HH Gregg Inc common stock — None

Smile Brands common stock — None

PETCO Ammal Supply common stock — None

El Pollo Loco common stock — None — Sold (part)

AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Buy

SSGA US GOV MONEY MARKET FUND — None

HARBOURVEST 2015 GLOBAL FUND LP — None — Buy

HARBOURVEST 2015 GLOBAL FUND LP — Buy

CAPITAL GROUP ALTERNATIVE STRATEGIES FUND — None

AMERICAN FUNDS NEW WORLD FUND — Int/Div — Buy

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Int/Div — Sold (part)

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Sold (part)

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Sold (part)

AMERICAN FUNDS NEW PERSPECTIVE FUND — Sold (part)

AMERICAN FUNDS EUROPACIFIC GROWTH FUND C — Int/Div

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div

AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div

CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div

AMERICAN FUNDS SMALLCAP WORLD FUND — None

AMERICAN FUNDS INVESTMENT COMPANY OF AMERICA — Int/Div

Trust £7 (98-K)

Invesco Divident Growth — Int/Div

Amencan Funds New World Fund — Int/Div

Incyte Comp — None

Seattle Genetics — None

MSDW Active Money Trust — Int/Div

HH Gregg Inc common stock — None

Smile Brands common stock — None

PETCO Animal Supply common stock — None

El Pollo Loco common stock — None — Sold (part)

HARBOUVEST 2015 GLOBAL FUND LP. — None — Buy

HARBOUVEST 2015 GLOBAL FUND LP. — Buy

AMERICAN FUNDS CAPITAL INCOME BUILDER — Int/Div — Buy

AMERICAN FUNDS EUROPACIFIC GROWTH FUND — Int/Div

AMERICAN FUNDS NEW WORLD FUND — Int/Div — Buy

AMERICAN FUNDS NEW PERSPECTIVE FUND — Int/Div — Sold (part)

AMERICAN FUNDS NEW PERSPECTIVE FUND — Sold (part)

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Int/Div — Sold (part)

AMERICAN FUNDS FUNDAMENTAL INVESTORS — Sold (part)

AMERICAN FUNDS GROWTH FUND OF AMERICA — Int/Div

AMERICAN FUNDS INVESTMENT COMPANY OF AMERICA — Int/Div

CAPITAL GROUP CA CORE MUNICIPAL FUND — Int/Div

CAPITAL GROUP CORE MUNICIPAL FUND — Int/Div

AMERICAN FUNDS SMALLCAP WORLD FUND — None

SSGA US GOV MONEY MARKET FUND — None

CAPITAL GROUP ALTERNATIVE STRATEGIES FUND. LP — None

Real Estate Partnership - Lau — None — Buy

S80. — Buy

Real Estate Partnership - Lau W — None — Buy

Real Estate Partnership - Lau W — Buy

Citibank Money Market Fund — Interest

Citibank Checking — Interest

Fargo Investment Partnership — None

JRK Multifamily LP — None — Buy

Urban Housing Investment Fund — None — Sold (part)

JP Morgan Account

Bluebay Emerging Market Fund — None — Redeemed

Gavea Fund — None — Redeemed

Global Access Explorer Fund — None — Redeemed

Maverick Fund — None — Sold (part)

York Credit Opportunity Fund — Interest — Redeemed

Blackstone Real Estate Fund — Interest — Sold (part)

Soc. Generale Lev Cont Bank 01/14/15 — None — Redeemed

Shannon River Partners — None — Sold (part)

Goldman Sachs Group European Note — None — Redeemed

Third Point Partners — None — Redeemed

Citi Acct

Alvord CA SR Dist 5.0% 08/01/27 — Interest

Cal ST GO 4.5% 0801/26 — Interest

Cal ST Pub Works 4.0% 06/01/27 — Interest

Fresno CA Sch Dist 5.25% 0801/27 — Interest

Fresno CA Sch Dist 3.5% 08/01/26 — Interest

Gilroy CA Fing Auth 4.0% 11/01/24 — Interest

Hollister CA Find Auth 5.0% 06/01/28 — Interest

Kern Cnty CA Wir Dist. 5.0% 05/01/28 — Interest

Oceanside CA Sch Dist 4.5% 08/01/28 — Interest

Redwood City CA Sch Dist 3.0% 08/01/26 — Interest

San Luis Obispo CA CAP IMPR 4.0% 12/0127 — Interest

Santa Clara CA Sch Dist 3.5% 07/01/24 — Interest

Stockton CA Sch Dist 5.0% 08/01/24 — Interest

Board Member

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.