Graham Calder Mullen

What was filed

131
investments
3
positions
0
gifts
0
agreements
0
debts
0
reimbursements
0
income
0
spouse income

Named parties

(See Explanation 1)
Duke Umiversity Law School Board of Visitors
Royal Crest Home Owners

As filed

Mosaic — Int/Div

BRANCH BANK & TRUST CO. (Bank Accounts) — Interest

Smith Bamey Money Market Fund (See explanation) — Int/Div

Central Fund - Canada — Int/Div

Intel Corp — Int/Div

Merck & Co — Int/Div

Proctor & Gamble — Int/Div

General Electric — Int/Div

Chart Indus — None

IRA (See explanation) — Int/Div

Loomis Sayles Funds IT Strategic Inc Fund — Sold (part)

Oppenheimer Int'l Bond Fund — Sold (part)

Oppenheimer Int'l Small Co Fund — Sold (part)

Oppenheimer Int'l Small Co Fund — Buy (add'l)

Satuit Cap Micro Cap Fund — Sold (part)

Oppenhemmer Gold & Sp. Minerals — Buy (add'l)

Oppenhemmer Gold & Sp. Minerals — Sold (part)

Fidelity Advisor SPR 1 Leveraged Co Hb Fund — Sold (part)

Permanent Portfolio Fd — Sold (part)

Blackrock Global Allocation — Sold (part)

S10. — Sold (part)

Columbia Select Large Cap Growth Fd — Sold (part)

Delaware Pooled TR Diversified Inc Fd — Sold (part)

First Eagle Fds Global Fd — Sold (part)

Yacktman Fd — Sold (part)

Pimco Fds - Total Return Fd — Sold (part)

Pimco AllAsset AllAuthonity — Buy

Pimco AllAsset AllAuthonity — Sold (part)

Rovee Premier Fd — Sold (part)

Templeton Fds « TR Global Bd Advisor — Sold (part)

MFS - Int'l New Discovery Fd — Sold (part)

JP Morgan Core Bond FD Select — Sold (part)

Neuberger Berman Income New Strategic Fd — Sold (part)

Nuveen Invt Tradewinds Value Oppty {See explanation.)

Hondo Minerals Corp — None

ISORAY — None

Valero Energy — Int/Div

Hecla Mining — Int/Div — Sold

GDX Goldminers ETF — Int/Div

Curtiss-Wright — Int/Div — Sold

NORTHWESTERN MUTUAL (NML) INSURANCE POLICIES

Whole Life XXX113 — Int/Div

NML Whole Life XXXI88 — Int/Div

NML Whole Life XXX510 — Int/Div

NML Whole Life XXX698 — Int/Div

NML Extraord. Life 403 — Int/Div

NML Adjustable Comp XXX 100 — Int/Div

NML 6S Life 913 — Int/Div

NML 6S Lifed473 — Int/Div

NML Whole Life 437 — Int/Div

NML Whole Life 800 — None

Kinross Gold — Int/Div — Sold

Select SPDR Energy — Int/Div

Prudent Bear Fund — None

Eldorado Gold — Int/Div

Verizon Comm. — Int/Div — Sold

Click Software Tech — None

Chart Indus — None

Nanoviricides — None

Neural Stem Inc — None

International Stem Cell Corp — None

Galectin Therapeutics — None

Brigus Gold — None

Inovio Pharmaceuticals — None

Argentex Mining — None

First Trust High Income Long/Short FD — Int/Div — Sold

CenturyLink Inc — Int/Div

Morgan Stanley Smith Barney Unified Managed Acct-est1 2/10/10

Blackrock Inflation Preferred Bond Port — Int/Div — Sold

Eaton Vance Commodity Strategy Fd — Int/Div — Sold

Eaton Vance Income Fund of Boston — Int/Div — Sold

Goldman Sachs TR Growth Opp. Fd. — Int/Div — Sold

Goldman Sachs Absolute Return Tracker — Int/Div — Sold

Ing Global Real Estate — Int/Div — Sold

Ivy Mid Cap Growth 1 — Int/Div — Sold

Legg Mason Western Asset Int. Muni — Int/Div — Sold

Mainstay Large Cap Growth Fd — Int/Div — Sold

Managers Systematic MD CP — Int/Div — Sold

Pimco Funds Emerging Local Bond — Int/Div — Sold

Pimco Short Term Fund CL P — Int/Div — Sold

Guggenheim — Int/Div — Sold

Thomburg Int'l Value Fund — Int/Div — Sold

Mast Therapeutics (See Explanation.) — None — Buy

Alliance Grain Traders — None — Buy

Clearbridge Energy (EMO) — Int/Div — Buy

Clearbridge Energy (EMO) — Buy (add'l)

First Trust Cloud Computing {See explanation.) — Int/Div

Star Scientifc — None — Buy

Star Scientifc — Buy (add'l)

Star Scientifc — Sold

Thomas PPTY GRP — None — Buy

Innospec — Int/Div — Sold

USOil Fd — Int/Div — Sold

SELF-INITIATED AMENDMENT FOR 2011 (See explanation.)

USOilFd — Int/Div — Buy

Innospec — Int/Div — Buy

First Trust Cloud Computing — Int/Div — Buy

(See Explanation ), (See Explanation 1)

Homorary Lite Member, Duke Umiversity Law School Board of Visitors

Member HOA Board, Royal Crest Home Owners

Explanation of changes made to Part |

I have deleted reference to the Deaprtment of Political Science UNC Charlotte because | have no realistic likelihood of teaching there again. If that should become

a possibility, | will, of course, report that in the future.

Explanation of line items contained in Part VIL

Lines 3 and 5 - Smith Barney Money Market fund includes deposits m that fund which the broker has moved into their Bank Deposit program.

Line 20 - The IRA was established from my Thrift Savings Plan, all capital gains and dividends are re-invested. Periodically, small numbers of shares are sold to

pay the trustee's fees. These are reported. This income is aggregated and not reported for cach separate fund.

Line 96 - This asset 1s apparently reported m error. Can find no record and do not know why it 1s reported. Will not report it further.

Line 172 - The assets within the managed account are included in this report on lines 173 - 199, inclusive. The Managed Account has been terminated.

Line 202 - Mast Therapeutics was initially purchased as Adventrx Pharmaceuticals Inc. Its name has been changed to Mast Therapeutics (MSTX)

Line 209 - This is a transaction for First Trust Cloud Computing, which was bought in 2011 but inadvertently omitted from that report. (See also the explanation

for Lines 220 - 222, which constitutes a Self-Initated Amendment to the 2011 Report.)

Lines (223) and 224 - 226 - These transactions were inadvertently omitted from the 2011 Report. This is a Self-Initated Amendment to the 2011 Report.