Carlos F. Lucero

S) COMMERCIAL BUILDING, ALAMOSA COUNTY. CO — None

S) APARTMENTS, ALAMOSA COUNTY. CO — Rent

1/4 SECTION FARM LAND; CONEJOS COUNTY. CO — Rent

Vacant Land, Conejos County Co — None — Secdb

L2INTEREST IN 160 ACRES RIO ARRIBA COUNTY. NM — None — 4d

36 ACRE VACANT LOT; JEFFERSON COUNTY. CO — None — 7

LOS HERMANOS LUCEROS, LTD PARTNERSHIP (14% INTEREST) — istrnibution — Sec#

CARLOS F. LUCERO. PC (100% STOCK) — Int/Div — Seed?

HLCM, INC — Int/Div — Seed

TD AMERITRADE IRA BROKERAGE ACCOUNT

SPDR Dow Jones (DIA) — Int/Div

Spdr Tr Unit Ser (SPY) — Int/Div

Vanguard Funds Emerging Markets Vipers (VWO) — Int/Div

Mathews Intl FDS Pacific Tiger (MAPTX) — Int/Div — Buy (add'l)

PIMCO Real Return (PRRDX) — Int/Div

IShares Core S&P Small-Cap ETF (1IR) — Int/Div

Money Market Fund TDAM — Interest

TD AMERITRADE BROKERAGE ACCOUNT

Money Market Fund TDAM — Interest

CHARLES SCHWAB & CO, INC BROKERAGE ACCOUNT

SCHWAB BROCKERAGE DEPOSIT ACCOUNT — Interest

EQUITABLE LIFE ASSURANCE SOCIETY ANNUITY — Int/Div — 2

SAFECO LIFE INSURANCE COMPANY ANNUITY — Int/Div — Sec#2

LCOLORADO BONDSHARES — Int/Div

S)LCM 3, LLC — None — Sec#ds

S) Viento Claro Energy, LLC — None — Closed

TD AMERITRADE ACCT - ROLLOVER IRA

ALPS Brown Capital Small Company (BCSSX) — Int/Div

AQR Managed Futures (AQMRX) — Int/Div — Sold (part)

AQR Managed Futures (AQMRX) — Sold (part)

Artisan Mid CapValue (APDQX) — Int/Div

Berwyn FD INC COM (BERWX) — Int/Div — Sold

Blackrock Total Return (MPHOQX) — Int/Div — Buy (add'l)

Bridgeway FD INC Blue-Chip 35 Index FD (BRLIX) — Int/Div — Buy (add'l)

Bridgeway FD INC Blue-Chip 35 Index FD (BRLIX) — Sold (part)

Bridgeway FD INC Blue-Chip 35 Index FD (BRLIX) — Sold (part)

Bussalo FDS Mid Cup FD (BUFMX) * now Buffalo FDS Mid Cap Fd (BUFMX) — Int/Div — Buy (add'l)

Bussalo FDS Mid Cup FD (BUFMX) * now Buffalo FDS Mid Cap Fd (BUFMX) — Buy (add'l)

Dodge and Cox Funds Intl STK FD (DODFX) — Int/Div — Sold (part)

Dodge and Cox Funds Stock Funds (DODGX) — Int/Div — Sold (part)

ING Real Estate FD CL 1 (IGLIX) * now VOYA Global Real Estate (IGLIX) — Int/Div

Jensen Quality Growth (JENIX) — Int/Div — Sold (part)

Jensen Quality Growth (JENIX) — Sold (part)

Metropolitan West TOT RET BD CL IMWTIX) — Int/Div — Sold (part)

Metropolitan West TOT RET BD CL IMWTIX) — Sold (part)

Metropolitan West TOT RET BD CL IMWTIX) — Sold (part)

Northern FDS Small Cap Fd (NOSGX) — Int/Div — Buy (add'l)

Northern FDS Small Cap Fd (NOSGX) — Buy (add'l)

Pimco Real Return Fd Inst] Cl (PRRIX) — Int/Div — Buy

T Rowe Price High Yield (PRHYX) — Int/Div — Buy

SSGA FDS EMERG MKTS Select (SEMSX) — Int/Div — Sold

T Rowe Price EMERG MKTS Select (PRMSX) — Int/Div — Buy (add'l)

T Rowe Price EMERG MKTS Select (PRMSX) — Buy (add'l)

T Rowe Price EMERG MKTS Select (PRMSX) — Sold (part)

T Rowe Price Blue Chip Growth Fund {TRBCX) — Int/Div — Sold (part)

T Rowe Price Blue Chip Growth Fund {TRBCX) — Sold (part)

T Rowe Price Equity Income F SH BEN INT (PRFDX)(PRFDX) — Int/Div — Buy (add'l)

Templeton Global Bond Advisor (TGBAX) — Int/Div

Thomburg INTERNTL Value INST {TGVIX) — Int/Div — Sold (part)

DSL Real Estate — Int/Div

Liability — ESTATE OF MARIA MEDINA — INSTALLMENT NOTE TO PURCHASE 1/2 INTEREST IN 160 ACRES, RIO ARRIBA COUNTY, N.M.

Reimbursement — Lmversity of Califor at Irvine School of Law — 201-203 — Irvine, CA — Non-FJC Edu Seminar — Transportation, Food, Lodging

Reimbursement — Yale University — 4/12-4/13 — New Haven, CT — Non-FJC Edu Seminar — Transportation, Food, Lodging

Income — Carlos F. Lucero, P.C. - Annuity payments received for prior services performed for former clients. — $22,299.60

#1. Assets over $10,000 value consist of family ranch, land, water rights, equipment, livestock and related property help in partnership with family members,

Income was derived from the sale of livestock.

#2. Assets over $10,000 value consist of law partnership income camed prior to June 30, 1995 in the form of annuities, For tax purposes, annuity income is

reported by CFL, P.C. 1 own 100% of the stock of “Carlos F. Lucero, PC™ however the assets of this corporation include ouly a bank account for which the value

and mcome amounts are less than the required reporting amounts. This corporation does receive income in the form of an annuity and is reported in Part 111.

#3. Assets over $10,000 value consists of mutual funds, LCM, Ine is a corporation owned by my spouse. The assets include a bank account, certificates of deposit,

a money market account, and Colorado Bondshares mutual fund. .

#4. Land was purchased on January 1, 2003 for $50,174 from the estate of Maria Medina, property is subject to mortgage (part VI, Line 1).

#5, Assets of LCM 3, LLC consist of oil/gas investments through Avanti Exploration, LLC and are believed to be worthless at the close of the year.

#6 Most recent assessed value is $6,750.

#7 Most recent assessed value is $49,140,