Wood Kimba M - Judicial Watch · 2019-07-26 · FINANCIAL DISCLOSURE REPORT Name of Person Repoting . Date of Report . Page 2of6 . WOOD, KIMBA M. 05/13/2009. I II. N 0 N-INVESTMENT

Wood_Kimba_M

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of6 05/13/2009WOOD, KIMBA M.

I II. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. I 7-24 of filing instructions.)

A. Filer's Non-Investment Income

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

4.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

1. 2008 (various) Rockefeller Brothers Fund - Committee Fees

2. 2008 (various) Sonic Corp. - various Board & Committee Fees

3. 2008 (various) Park Avenue Equity, Harding Services, Vestar, Irving Place Capital - Fee Income

4.

SOURCE DATES LOCATION PURPOSE

I.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainmenL

(Includes those to spouse and dependent children: see pp. 25-27 offiling instructions.)

[{] NONE (No reportable reimbursements.)

ITEMS PAID OR PROVIDED

3.

4.

SOURCE


Page 3of6 WOOD, KIMBA l\1. 05/13/2009

V, GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[Z] NONE (No reportable gifts.)

DESCRIPTION VALUE

I.

2.

3.

4.

5.

VJ. LIABILITIES. (Includes those of spouse and dependent children; see pp. 31-33 of filing instructions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

I. Goldman, Sachs Margin Account

VALUE CODE

P2

2. Citibank Line of Credit Pl

3. Citibank Line of Credit P2

4. Citibank Line of Credit N

5. ENM, lnc. Escrow Account K

6. Veslar Loans K

7. Citibank Rental Property Mortgage N

8. American Express Credit Card K

9. Citibank Credit Card

10.

I.

(I)

4.

14.

15.

(4)

Date of Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT

Page 4of6 WOOD, KIMBA M. 05/13/2009

VII. INVESTMENTS and TRUSTS - income. vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)

0 NONE (No reportable income. assets. or transactions.)

A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2)(2) (I) (2) (3) (5) Place "(X)" after each asset Amount Type (e.g.. Value Value Type (e.g.,

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption)

(Q-W)

See attached

2.

3.

Dale Value Gain Identity of

Month- Code 2 Code I buyer/seller

Day (J-P) (A-H) (if private

transaction)

5.

6.

7.

8.

9.

10.

11.

12.

13.

16.

17.

I. Income Gain Codes: A =S 1,000 or less B =$1,001 -$2.500 C =$2.50 I - $5,000 D =U.001 -SIS.ODO E =S 15,00 I - $50.000

{See Columns Bl and 04) F =$50,001 -SI00,000 G =SI00.001 -Sl.000,000 111 =Sl,000.001 - $5,000,000 112 =More than $5,000.000

2. Value Codes J =S 15.000 or less K =SIS.DOI -$50,000 L =$50,00 I - SI 00.000 M =SI00.001 • $250.000

{See Columns Cl and DJ) N =$250.001 • $500.000 o =$500,001 -Sl,000,000 Pl =Sl,000,001 -$5,000.000 P2 =$5.000,001 -S25,000,000

PJ =$25,000.001 • $50,000,000 P4 =More than $50,000.000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

{See Column C2) U =Book Value V Other W =Estimated

! 17-39)

A.

5

6

D.

( 2)

1/7

1/7

Kimba M. Wood MAY, 2009

B. c.

GROSS VALUE AT

INCOME DURING END OF REPORTING

DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD

------------------ --------- --------·- ------------- ----------··------·- --------·------··---------------·----------·---·----· -------

( 1) (2) ( 1) (2) ( 1) ( 3) ( 4) ( 5)

AMT CODE

(A- H)

TYPE VALUE

CODE

( J - P)

VALUE

METHOD

( Q-W)

TYPE DATE VALUE CODE

(J - P)

GAIN

CODE

(A - H)

IDENTITY

(IF

PRIVATE)

EXXON CORP COMMON STOCK B DIVIDEND L T

2 CREST FUND LP (IRA) ( SEE NOTE 1 IN SECTION VllQ E K-1 DISTR P1 T

3 GOLDMAN SACHS BANK DEPOSIT #1 ( Y)

4 GOLDMAN SACHS BANK DEPOSIT #2 A INTEREST K T

AMERICA MOVIL COMMON STOCK NONE SOLD K c

K EBLACKROCK INC COMMON STOCK A DIVIDEND K T PARTIAL SALE

7 CONOCOPHILLIPS COMMON STOCK NONE SOLD 1/7 K D

8 FEDEX CORP COMMON STOCK ( Y)

9 HEWLETT-PACKARD CO COMMON STOCK A DIVIDEND SOLD 10/23 K

10 JOHNSON & JOHNSON COMMON STOCK ( Y)

11 SONIC COMMON. STOCK NONE K T

12 STRYKER CORP COMMON STOCK A DIVIDEND K T

13 SUNCOR ENERGY INC COMMON STOCK A DIVIDEND PARTIAL SALE 1/7 J D

14 SOLD 10/23 J

15 CMA TAX EXEMPT FUND - ML #1 A DIVIDEND K T

16 MERRILL LYNCH ACCOUNT - ML #2 A INTEREST J T

BROKERAGE ACCOUNT #1 LINES 17 DREYFUS CASH MNGT INVESTOR MONEY MARKET ( Y)

18 ABBOTT LABS COMMON STOCK ( Y)

----------------------------------------------- -------

------------- ------- ---- -------- --------

C.


A. B. D.

GROSS VALUE AT



--- _________ ., ... ______________________________ .,. __________ -------- ------ - --------------------- ------ ------- ---------- ------------..

( 1) ( ( 1) ( ( 1) ( ( 3) ( 4) ( 5) AMT CODE TYPE .VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- Ii) CODE METHOD CODE CODE {IF

--(J P) ( Q-W) ( J P) (A-Ii) PRIVATE)

-

19 .AEGEAN MARINE PETROLEUM NETWORK CMN STOCK ( Y)

20 AMERICAN TOWER CORP COMMON STOCK ( Y)

21 ARCH CAPITAL GROUP LTD COMMON STOCK ( Y)

22 DEL TA PETROLEUM CORP COMMON STOCK ( Y)

23 DENISON MINES CORP COMMON STOCK ( Y)

24 EITZEN CHEMICAL ASA COMMON STOCK ( Y)

25 GOLAR LNG LTD COMMON STOCK ( Y)

26 HORIZON LINES INC COMMON STOCK ( Y)

27 INGERSOLL RAND CO COMMON STOCK ( Y)

28 INTL FLAVORS AND FRAGRANCES INC CMN STOCK ( Y)

29 KEPPEL LTD COMMON STOCK ( Y)

30 LIONS GATE ENTMT CORP COMMON STOCK ( Y)

31 MIRANT CORP COMMON STOCK ( Y)

32 NEWS CORP COMMON STOCK ( Y)

33 PETROLEUM DEV CORP COMMON STOCK ( Y)

34 PIONEER NAT RES CO COMMON STOCK ( Y)

35 ROWAN COS INC COMMON STOCK ( Y)

36 TEXTRON INC COMMON STOCK ( Y)

(LINES 40-320)

----

A.

{

(A- H)


B. c. D.

GROSS VALUE AT


REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD DESCRIPTION OF ASSETS

( 1) ( 1) { ( 1) { ( 3) ( 4) {5) VALUE VALUE TYPE DATE VALUE GAIN IDENTITYAMT CODE TYPE

CODE METHOD CODE CODE (IF

( J - P) ( Q-W) {J P) {A- H) PRIVATE)-

37 THERMO FISHER SCIENTIFIC INC COMMON STOCK (Y)

38 WILHWILHELMSEN LTD COMMON STOCK (Y)

39 WILLIS GROUP HOLDINGS LTD COMMON STOCK ( Y)

ADDITIONAL COMMON STOCKS/MUTUAL FNDS

40 ABBOTT LABORATORIES

41 ACCENTURE LTD

42

43 AETNA INC

44 AGCO CORP

45 AKAMAI TECHNOLOGIES

46

47 ALLEGHENY TECHNOLOGIES INC

48

49

50 AL TERA CORP

51 ALTRIA GROUP (NON-IRA NC)

E DIVIDEND

NONE

P1

J

A DIVIDEND

NONE

NONE

J

A DIVIDEND

A

E

DIVIDEND

DIVIDEND

J

T

T SOLD

PURCHASE

SOLD

T PURCHASE

PURCHASE

SOLD

SOLD

PURCHASE

SOLD

T PURCHASE

SPUN OFF PHILIP MORRIS

(SEE LINE 231 BELOW)

PARTIAL SALE

1/24

10/31

11/26

7130

6/2

8/6

1/8

7/23

10/14

5/6

3/31

L

J

J

J

L

K

N

B

9/18 K

SOLD 10/8 M

52

53

A.

55

57

59

67


B. c. D.

GROSS VALUE AT



----· --... ----------------------------------------------·----------- ----

( 1) AMT CODE

(A- HJ

--

-----------------------------·----------------------------- ---·----

(2,) TYPE

- - - ----- ----· -- -------------- -----------

( 1) (2,) ( 1) (2,) ( 3) ( 4) ( 5) VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - P) ( Q-W) ( J - P) (A- H) PRIVATEl

----- ----- ------------------· ----- ---- ----------- -------

54 AMAZON.COM NONE J T PURCHASE 2/11 J

PURCHASE 3/11 J

56 AMERICA MOVIL E DIVIDEND P1 T PARTIAL SALE 5/8 J c

PARTIAL SALE 9/19 N G

58 AMERIPRISE FINANCIAL INC A DIVIDEND SOLD 4130 J

AMETEK INC A DIVIDEND J T PURCHASE 2/1 J

60 AMPHENOL CORP A DIVIDEND J T PURCHASE 6/11 J

61 ANADARKO PETROLEUM CORP B DIVIDEND M T

62 ANHEUSER BUSCH CO D DIVIDEND SOLD 6/27 0 G

63 ANSYS INC NONE J T PURCHASE 5/9 J

64 AON CORP A DIVIDEND J T

65 APACHE CORP A DIVIDEND J T

66 APOLLO GROUP NONE SOLD 5/27 J

APPLE COMPUTER INC NONE J T PARTIAL SALE 4/23 J c

68 AUTODESK NONE SOLD 3/5 J

69 AVNET INC NONE SOLD 5/19 J

70 AVON PRODUCTS INC NONE J T PURCHASE 12/23 J

71 BABCOCK & BROWN AIR LTD c DIVIDEND SOLD 5/13 L

------ ----- ---------------------- -------- ------- -------------- --------

( 1)

( J - P)

74

4/3

76

5/2

79

87

5/5

317


-- --

A.

DESCRIPTION OF ASSETS

----

B.

INCOME DURING

REPORTING PERIOD

c.

GROSS VALUE AT

END OF REPORTING

PERIOD

D.

TRANSACTIONS DURING REPORTING PERIOD

---------------.. __ .,. ___ ---- ----------- ---------·-

( 1) (2') ( 1) (2') (2') ( 3) ( 4) ( 5)

AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- H) CODE METHOD CODE CODE (.IF

( J P) ( Q-W) - (A H) PRIVATE)-

------·------------------·------------ ------ -------·

72 BANK OF AMERICA E DIVIDEND PARTIAL SALE 1/8 N G

73 SOLD 9/15 N G

BARDC R INC NONE J T PURCHASE 11/10 J

75 BECTON DICKINSON & CO A DIVIDEND PARTIAL SALE J A

SOLD 4/17 J A

77 BELDEN INC A DIVIDEND SOLD J

78 BERKSHIRE HATHAWAY NONE N T

BIOGEN IDEC NONE SOLD 8/29 J

80 BLACKROCK INC E DIVIDEND P1 T PARTIAL SALE 9/19 N G

81 BOEING CO c DIVIDEND L T PURCHASE 217 M

82 PURCHASE 2/15 J

83 PARTIAL SALE 7/25 J

84 PURCHASE 8/21 L

85 PARTIAL SALE 11/21 L

86 BROADCOM CORP NONE J T PURCHASE 11/25 J

BUCYRUS INTL A DIVIDEND J T PURCHASE 7130 J

88 BURGER KING HOLDINGS INC A DIVIDEND SOLD J A

89 CAMERON INTL NONE J T SOLD K c

--- ---

( (

( Q-W)

D.

92

93

97

98

99


A. B. c.

GROSS VALUE AT


DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD -

- --------------------------------------- -· --------- ---------

( 1) ( 1) ( 1) ( ( 3) (4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- HJ CODE METHOD CODE CODE (IF

( J - P) ( J P) (A- HJ PRIVATE)-

------· ---------------------------------... -------------------------------- ------- ------- ------ ----- --------------------·-----· -·------ ·---·-- -------------· ------------

90 PURCHASE 9/15 J

91 CARPENTER TECHNOLOGY CORP A DIVIDEND SOLD 10/31 K

CELGENE CORP NONE J T SOLD 5/22 J

PURCHASE 10/10 J

94 CF INDUSTRIES HOLDINGS INC A DIVIDEND J T

95 CHARLES RIVER LABORATORIES NONE PURCHASE 5/19 J

96 SOLD 11/7 J

CHICAGO MERCANTILE EXCH/AKA CME GROUP INC D DIVIDEND J T PARTIAL SALE 1/3 J c

PURCHASE 217 M

PARTIAL SALE 10/23 N

100 PURCHASE 11/13 J

101 CHIPOTLE MEXICAN GRILL NONE SOLD 8/21 J

102 CISCO SYSTEMS NONE J T

103 CIT GROUP B DIVIDEND SOLD 3/19 L

104 COACH NONE J T PURCHASE 4/28 J


106 COCA COLA CO A DIVIDEND J T PARTIAL SALE 2/15 J A

107 COGNIZANT TECHNOLOGY SOLUTIONS NONE SOLD 1/18 J

- -

---

4/15


A. B. c. D.

GROSS VALUE AT



----- ----- ------ ------·-------- ---------... -------------------------·----- --------- -----------------

( 1) ( 2) (1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)


(A H) CODE METHOD CODE CODE (IF-

( J P) ( Q-W) ( J P) (A- H) PRIVATE)

------- ----------------------- --------- -------- -------·----- -------------- ----------·----------·------------------------------------------- -------·

108 COMMSCOPE INC NONE PURCHASE 5/15 J

109 SOLD 11/5 J

110 CONOCOPHILLIPS E DIVIDEND L T PARTIAL SALE 3/11 N G

111 PARTIAL SALE 5/19 M F

112 PARTIAL SALE 5/27 M G

113 PARTIAL SALE 10/23 N E

114 CROCS INC NONE SOLD J

115 CUMMINS INC A DIVIDEND PURCHASE 6/26 J

116 SOLD 11/4

117 DELL INC NONE J T PURCHASE 8/27 J

118 DENTSPLY INTERNATIONAL A DIVIDEND J T SOLD 2/12 J

119 PURCHASE 9/29 J

120 DEVON ENERGY CORPORATION A DIVIDEND K T PURCHASE 10/29 K

121 DISCOVER HOLDINGS NONE SOLD 7/10 J

122 DOLBY LABORATORIES INC NONE J T PURCHASE 11/10 J

123 DRYSHIPS INC A DIVIDEND PURCHASE 6/26 J

124 SOLD 9/15 J

125 DUN & BRADSTREET CORP A DIVIDEND J T

A. D.

----------------- ----- ------ ·------------ ------------

( 1)

B.

INCOME DURING

REPORTING PERIOD

-

c.

GROSS VALUE AT

END OF REPORTING

PERIOD

----


DESCRIPTION OF ASSETS TRANSACTIONS DURING REPORTING PERIOD

---· ----------------·----------- -----------

( 1) ( 2) ( 1) ( 2) ( 2) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- H) CODE METHOD CODE CODE (IF

( J - P) (Q-YV) ( J - P) (A - H) PRIVATE)

----- ---------------------·------------------------------------·------------- ·--------- ----- ---- -------- --------------------------------- ·---------- ---------- --------------· --------------·

126 EBAY INC NONE J T PURCHASE 5/12 J

127 ELECTRONIC ART NONE PURCHASE 1/25 J

128 SOLD 5/12 J

129 EMBRAER-EMPRESA BRASILEIRA DE AERONAUTICA A DIVIDEND SOLD 217 M E

130 EMC CORP NONE SOLD 5/16 J

131 ENSCO INTERNATIONAL A DIVIDEND J T PURCHASE 10/28 J

132 EXPRESS SCRIPTS INC NONE PURCHASE 8/28 J

133 SOLD 11/25 J

134 FACTSET RESH SYS INC A DIVIDEND J T

135 FASTENAL CO A DIVIDEND J T PURCHASE 8/19 J

136 FIRST SOLAR NONE J T

137 FLIR SYSTEM INC NONE J T PARTIAL SALE 12/4 J A

138 FLUOR CORP A DIVIDEND J T

139 FOCUS MEDIA HOLDINGS NONE SOLD 6/9 J

140 FOREST OIL CORP NONE PURCHASE 3/27 j

141 SOLD 10/13 J

142 FOSSIL NONE SOLD 7/17 J

143 FTI CONSULTING INC NONE J T PURCHASE 8/25 J

(Q-W)

Klmba M. Wood MAY, 2009

A. B. c. D.

GROSS VALUE AT



--· ---------------·------------------------------ ----- -------------------------· ------- -------· ------------- ...... --------·---

( 1) ( 2) (1) ( 2) ( 1) ( 2) ( 3) (4) ( 5) .


(A. H) CODE METHOD CODE CODE (IF

( J F?- ( J F?- (A- H) PRIVATE)

--- ---------------------------------------- ·----- ---- ------ ------------------ ------ ----- --------·--- ---------

144 GAMESTOP CORP NONE J T

145 GENERAL CABLE CORP NONE SOLD 5/16 J

146 GENERAL DYNAMICS NONE J T PURCHASE 11/7 J

147 GEN PROBE NONE J T

148 GILEAD SCIENCES INC NONE J T PARTIAL SALE 4/23 J B

149 PARTIAL SALE 10/24 J B

150 PARTIAL SALE 11/6 J A

151 GOLDMAN SACHS GROUP D DIVIDEND PARTIAL SALE 1/2 K

152 PARTIAL SALE 9/19 N

153 SOLD 10/23 M

154 GOOGLE INC NONE J T PARTIAL SALE 10/29 J A

155 GRAINGER WW A DIVIDEND J T PURCHASE 2/8 J

156 PURCHASE 4/18 J

157 GUESS INC A DIVIDEND J T PURCHASE 1/3 J

158 HALLIBURTON CO A DIVIDEND J T PURCHASE 3/27 J

159 HEAL TH NET INC NONE SOLD 2/26 J

160 HEWLETT-PACKARD CO c DIVIDEND PARTIAL SALE 2122 J A

PARTIAL SALE 4/30 J c 161

---- ----------------------------------------------------------------- - -----

162

168

( 2)

( J - F')

D.

( 1)

( J - F')

6/3

3/3

1/3

3/3


A. B. c.

GROSS VALUE AT



-- -------------------- -------· ______.. ------------- -----------

( 1) ( 1) ( 2) ( 2) ( 3) ( 4) ( 5)



( Q-W) (A- H) PRIVATE)

PARTIAL SALE J c

163 SOLD 10/23 N

164 HOLOGJC NONE PURCHASE

165 PURCHASE 3/11 J

166 SOLD 5/19 J

167 HONEYWELL /NTL INC A DIVIDEND J T

INTERCONTINENTAL EXCHANGE NONE PURCHASE J

169 SOLD 8/11 J

170 INTERNATIONAL BUSINESS MACHINES c DIVIDEND M T

171 INTUITIVE SURGICAL INC NONE J T PURCHASE 3/11 J

172 INVERNESS MEDICAL INNOVATIONS NONE SOLD J

173 ITT EDUCATIONAL SYSTEMS NONE SOLD 6/17 J

174 JACOBS ENGINEERING GROUP NONE J T PURCHASE 11/10 J

175 JOHNSON & JOHNSON F DIVIDEND P1 T

176 JUNIPER NETWORKS NONE J T PURCHASE 1/31 J

177 SOLD 6120 J

178 PURCHASE 11/25

179 KENNAMETAL INC A DIVIDEND SOLD 7/28 J

---------

181 5/8

5/6

5/1


A. B. c. D.

GROSS VALUE AT



---· --r---------------------·------... -------------.. ----- ------ ------------ ------ ------- ___________.,._ -----------

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A-Ii) CODE METHOD CODE CODE (IF

( J - P) ( Q-W) ( J - P) (A-Ii) PRIVATE)

--------------------------·------·------------- - ---------------- ------ -------· ------------ --------·-

180 LINCOLN NATIONAL CORP B DIVIDEND SOLD 9/16 L

LINEAR TECHNOLOGY A DIVIDEND J T PURCHASE J

182 LOEWS CORP A DIVIDEND L T PURCHASE 8/21 L

183 LUBRIZOL CORP A DIVIDEND SOLD J

184 LUCENT TECHNOLOGIES CONV PREFD

(SEE NOTE 2 IN SECTION VIII)

185 MANITOWOC INC

186

187 MARVELL TECHNOLOGY GRP LTD

188

189 MASTERCARD

190

191

192

193 MCAFEE INC

194 MEDCO HEAL TH SOLUTIONS

A

A

NONE

DIVIDEND

NONE

DIVIDEND

NONE

NONE

J T

WARRANTS EXPIRED

PARTIAL SALE

SOLD

PURCHASE

SOLD

PURCHASE

PURCHASE

PARTIAL SALE

SOLD

PURCHASE

SOLD

3/11

8/4 J A

10/30 J

7/1 J

12/22 J

5/6 J

6/10 J

10/17 J

11/24 J

11/10 J

1/29 J A

195 MEMC ELECTR MATLS INC NONE J T PARTIAL SALE J c

196 METLIFE INC A DIVIDEND PURCHASE 8/21 L

------ -----

199

( J - P)

6/9

2/5

( 4)


A. B. c. D.

GROSS VALUE AT



---· --------------------------------------------------- ------

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 5)



( Q-W) ( J P) (A- H) PRIVATE)-


198 SOLD 11/21 K

MICROSOFT A DIVIDEND PARTIAL SALE 7123 J

200

201

202

203

204

205

206

207

MICROS SYSTEMS INC

MILLICOM INTERNATIONAL

MOBILE TELESYSTEMS

MSCI

NASDAQ STOCK MARKET

NONE

A DIVIDEND

c DIVIDEND

NONE

NONE

SOLD

PURCHASE

SOLD

PARTIAL SALE

SOLD

SOLD

SOLD

PURCHASE

8/25

4/24

11/13

8/8

10/24

11/19

11/19

3/10

J

J

J

K

K

J

208 SOLD J

209 NATIONAL OILWELL VARCO NONE J T PURCHASE 11/3 J

210 NCR CORP NONE SOLD

211 NETAPP INC NONE J T PURCHASE 6/17 J

212 NIKE A DIVIDEND J T

213 NOBLE CORP A DIVIDEND J T PURCHASE 5/12 J

214 NOBLE ENERGY A DIVIDEND J T PURCHASE 10/10 J

--

( 1)

( J - P)


A. B. c. D.

GROSS VALUE AT



·-----·-----------------·--------·--------- ---- ...--- ----- ------ -----------· ---------

AMT CODE

( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)

TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J P)- ( Q-W) (A- H) PRIVATE)

----- -----------------·--------·------·--------------- ---- ----- ----· ·------------------·---- ---- .................... _ ------------ ---------

215 NOKIA A DIVIDEND L T PURCHASE 5/28 L

216 PURCHASE 8/21 K


218 NUANCE COMMUNICATIONS NONE J T

219 NUCOR CORP D DIVIDEND PURCHASE 5/8 J


221 PARTIAL SALE 10/23 K

222 SOLD 11/14 L

223 NVIDIA CORP NONE SOLD 6/11 J

224 OCCIDENTAL PETE CORP c DIVIDEND M T PARTIAL SALE 7122 K D

225 OLSTEIN ALL CAP VALUE FUND ( MUTUAL FUND) NONE L T

226 ORACLE CORP NONE M T PARTIAL SALE 5/6 K c

227 PACKAGING CORP D DIVIDEND L T PURCHASE 217 K

228 PAfiERA BREAD CO NONE J T PURCHASE 12/9 J

229 PARKER HANNIFIN A DIVIDEND J T PURCHASE 3/11

230 PEPSICO E DIVIDEND 0 T

231 PHILIP MORRIS D DIVIDEND L T SPUN OFF FROM ALTRIA 3/31 N

(SEE LINE 51 ABOVE)

232 PURCHASE 9/18 K

B. c.

(A - H)

GAIN

CODE

(A - H)

A.


D.

GROSS VALUE AT



--- ----------------------------------·-----------·----------------- ... ------ ------- ------ -·-------- ---- -------· ··---------- -----------

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)

AMT CODE TYPE VALUE VALUE TYPE DATE VALUE IDENTITY

CODE METHOD CODE (IF

PRIVATE)-( J P) ( Q-W) ( J P)-

233 PARTIAL SALE 10/8 N B

234 PIONEER NATURAL RESOURCES A DIVIDEND L T PURCHASE 3/28 M

235 PMC SIERRA INC NONE PURCHASE 8/28 J

236 SOLD 10/31 J

237 PRAXAIR INC A DIVIDEND T

238 ALTRIA GROUP - IRA ACCOUNT c DIVIDEND K T SPUN OFF PHILIP MORRIS

(SEE LINE 240 BELOVV)

3/31 L

239 KRAFT FOODS INC - IRA ACCOUNT A DIVIDEND K T ACCEPTED EXCHANGE OFFER

TENDERED SHARES

( SEE LINE 241 BELOVV)

8/11 J A

240 PHILIP MORRIS - IRA ACCOUNT B DIVIDEND L T SPUN OFF FROM ALTRIA

( SEE LINE 238 ABOVE)

3/31 L

241 RALCORP HOLDINGS INC - IRA ACCOUNT A CIL J T ACCEPTED EXCHANGE OFFER

RECEIVED SHARES

(SEE LINE 239 ABOVE)

8/11 J

242 PRECISION CASTPARTS CORP A DIVIDEND J T SOLD 6/18 J


244 PRICELINE.COM NONE J T PURCHASE 7/14 J

245 PRIDE INTERNATIONAL NONE K T PURCHASE 1/14 M


247 QUALCOMM A DIVIDEND J T PURCHASE 6/20 J

--- - -----

- -( J - P)

1/9


A. B. c. D.

GROSS VALUE AT



-----· -----------------------·-----------·-------·---·--------------- - - ---------------------- ·---·--- -------- -------------- ----------·---



(Q- ( J P) (A H) PRIVATE)

----- ---------------------------·---------.. ---------------------------- ------- ----- ---- ------- ----------------------------- -------·- --------· --------------- ·---------------·

248 RALCORP HOLDINGS NONE L T PURCHASE 7/31 L

249 PARTIAL SALE 11/18 K D

250 REINSURANCE GROUP OF AMERICA NONE K T PURCHASE 11/21 K

251 RESEARCH IN MOTION NONE J T PARTIAL SALE 11/7 j

252 ROCKWELL AUTOMATION INC B DIVIDEND L T SOLD 217 M

253 PURCHASE 3/12 M

254 ROCKWELL COLLINS INC A DIVIDEND PURCHASE 1/28 J

255 SOLD 6/24 j

256 ROWAN COMPANIES B DIVIDEND SOLD 10/21 L

257 SCHERING-PLOUGH NONE SOLD 1/24 J

258 SCHLUMBERGER A DIVIDEND SOLD 10/8 L

259 SEI INVESTMENT CO A DIVIDEND SOLD J A

260 SIRTRIS PHARMAEUTICALS NONE SOLD 2/1 K E

261 SMITH INTERNATIONAL A DIVIDEND J T PARTIAL SALE 4/16 j B

262 SMITHTOWN BANCORP A DIVIDEND L T

263 SMURFIT-STONE CONTAINER CORP NONE PURCHASE 217 K


265 PARTIAL SALE 8/14 j

----- -

( 2)

( Q-W)

9/5


A. B. c. D.

GROSS VALUE AT



--- ------ -------- --- --... ------ -.. ·-- --------- -·--------------··---.. ----- -- ----· -----· --------- ----------·

(1) ( 2) ( 1) ( 2) ( 1)

AMT CODE TYPE VALUE VALUE TYPE DATE

( 3) ( 4) ( 5)

VALUE GAIN IDENTITY


( J P)- ( J P) (A- H) PRIVATE)-

---· --------------------------------··---------------------------- -------- ----- ----- ------ ... --------------·-· ----·----- ---------· --·---------- ---------------

266 SOLD 10/14 K

267 SONIC CORP NONE P2 T PARTIAL SALE 417 P1 H1

268 SOVEREIGN BANCORP NONE SOLD 2120 K

269 SPRINT NEXTEL CORP ( FKA SPRINT CORP) NONE SOLD 1/24 L

270 SPX, CORP A DIVIDEND PURCHASE 1/28 J

271 SOLD 10/30 J

272 STEEL DYNAMICS A DIVIDEND PURCHASE 2/11 J

273 SOLD 12/22 J

274 STRAYER ED INC A DIVIDEND J T PURCHASE 7129 J

275 STRYKER CORP c DIVIDEND N T PURCHASE 11/11 J

276 SUNCOR ENERGY c DIVIDEND PARTIAL SALE 3/11 0 G

277 SOLD 10/23 N

278 SUNPOWER NONE J T

279 TERADATA CORP NONE SOLD J

280 TEREX CORP NONE PURCHASE 5/21 J

281 SOLD 7/11 J

282 TEXTRON A DIVIDEND SOLD 7122 J

283 THIRD AVENUE INTL VALUE FUND (MUTUAL FND) 8 DIV/DISTR M T PURCHASE 12/23 J

--

------

- -

( 1)


A. B. c. D.

GROSS VALUE AT



--------------------------------------------- ----- - ------------------ ----- -----·- ---------- _,.. ______ ,..

( 1) ( 2) ( 2) ( 1) ( 2) ( 3) (4) ( 5)


(A - H) CODE METHOD CODE CODE (IF

( J P) (Q-VV) ( J P) (A- H) PRIVATE)

- - - - ------ --------·-------·------------ ---------- --------- ----------- ---------------------------------------------------------·--- --------- -

PURCHASE 6/17 J284 TIFFANY & CO A DIVIDEND

SOLD 11/11 J285

286 TRANSOCEAN INC NONE J T PARTIAL SALE 1/14 M c

287 TRIMBLE NAVIGATION LTD NONE J T PURCHASE 5/20 J

288 T ROWE PRICE A DIVIDEND J T PURCHASE 1/31 J

289 PURCHASE 5/8

290 TUI AG B DIVIDEND SOLD 8/20 M

291 UNILEVER B DIVIDEND L T PURCHASE 10/16 K

292 PURCHASE 10/20 K


294 PURCHASE 11/4 K

295 UNITED TECH CORP E DIVIDEND J T PURCHASE 1/28 J

296 PURCHASE 1/31 J

297 PARTIAL SALE 10/3 N G

298 PARTIAL SALE 10/8 N G

299 UNITEDHEAL TH GROUP NONE SOLD 3/14 M

300 UNUM GROUP ( FKA UNUMPROVIDEND c DIVIDEND M T

301 URBAN OUTFITTERS NONE J T PURCHASE 4/15 J

( J - P) ( J - P)


A. B. c. D.

GROSS VALUE AT



--- ------------------· ... ----·---------------------------- - - ---- --- ------- --- ------ ---------- --------



(Q-W) (A. H) PRIVATE)

---· ·--------------------------------------·--------.. --------·------ ---------- ----- ------ ---- --... ------------------------------------ --------- -------- -------------- -------

302 VALERO ENERGY B DIVIDEND PARTIAL SALE 3/28 M E


304 SOLD 10/27 K

305 WAL MART STORES E DIVIDEND P1 T

306 WARREN RESOURCES INC NONE SOLD 10/29 K

307 WATERS CORP NONE J T PURCHASE 10/1 J

308 WEATHERFORD INTL LTD NONE PURCHASE 5/28 J

309 SOLD 9/11 J

310 WELLS FARGO D DIVIDEND M T

311 WESTERN DIGITAL CORP NONE SOLD 10/31 J

312 WHITING PETROLEUM NONE PURCHASE 5/21 J

313 SOLD 12/23 J

314 WILLIS GROUP HOLDINGS NONE L T PURCHASE 11/3 L

315 PURCHASE 11/4 K

316 WMS INDUSTRIES NONE J T PURCHASE 3/31 J

317 WYNN RESORTS LTD NONE SOLD 6/30 J

318 XEROX B DIVIDEND L T PARTIAL SALE 12/15 K

319 YUM! BRANDS A DIVIDEND PURCHASE 3/6 J

------

(LINES 323-32Zl (SEE VllQ

S[[ MARK T (LINES 328-34§)

----

A.

----

334

( J - P)

D.


B. c.

GROSS VALUE AT



(1) ( 2) ( 1) ( 2) (1) ( 2) ( 3) ( 4) ( 5)



( Q-W) (J P) (A - H) PRIVATE)-

-------------------------------------------- -------------------------- ·------· ------· ----------- -----------

320 SOLD 11/10 J

321

CORPORA TE BONDS

GENERAL ELECTRIC BOND G INTEREST P2 T

322 ALTRIA BOND NONE L T PURCHASE 11/19 L

323

OPTIONS NOTE 2 IN SECTION

GOLDMAN, SACHS GROUP - CALL NONE J T PURCHASE 1/2 M

324 GOLDMAN. SACHS GROUP - CALL NONE SOLD SHORT 1/3 K

325 OPTIONS EXPIRED 2/16 E

326 NABORS INDS LTD - CALL NONE SOLD 1/2 K

327 LEVEL 3 - CALL NONE J T PARTIAL SALE 1/2 J

328

CASH/ INVESTMENTS/MONEY ACCOUNTS

BEAR STEARNS TEMPFUND (BEAR STEARNS - IRA CASH) A DIVIDEND ACCOUNT CLOSED 9/4 J

329 JPMORGAN MONEY MKT #1 (BEAR STEARNS - IRA CASH) A DIVIDEND J T ACCOUNT OPENED 9/4 J

330 GOLDMAN SACHS BANK DEPOSIT #3 D INTEREST N T

331 CITIBANK CHECKING ACCOUNT - FOUNDATION NONE J T

332 CITIBANK INTEREST CHECKING A/C A INTEREST J T

333 MORGAN STANLEY BANK DEPOSITS

( FKA MSIF MONEY MARKEi)


A INTEREST M T

CITIBANK CHECKING ACCOUNT NONE L T

(LINES 346-523)

(LINES 346-360)

( J - P) (A - H)

337

719

339 7/9

345

349


A. B. c. D.

GROSS VALUE AT



- ---- ----- ---------- -·-----------· --.. ·-----------------------... --------------··------------

( 1) (2,) ( 1) (2,) ( 1) (2,) ( 3) ( 4) ( 5)



( J P) (a-...., -PRIVATE)

- ·-------------------------· ---------· ----------· ------------- --------------- -----------------------·----·-----------------------·---··--- ------------ ----- ------

335 CITIBANK ASSET ACCOUNT NONE K T

336 CITIBANK CASH RESERVE ACCOUNT F INTEREST 0 T

CITIBANK INTEREST CHECKING ACCOUNT# 2 A INTEREST J T

J338 BEAR, STEARNS ACCOUNT #1 A INTEREST ACCOUNT CLOSED

JPMORGAN MONEY MKT #2 (SEE NOTE 3 IN SECTION VIII) A DIVIDEND J T ACCOUNT OPENED J

340 NEUBERGER BERMAN INSTL LIQDTY SER INSTL CASH #1 D DIVIDEND 0 T

341 DEUTSCHE BANK ALEX BROWN MONEY MARKET B INTEREST ACCOUNT CLOSED 5/1 J

342 BARCLAYS WEAL TH CASH ACCOUNT/MM (Y)

( FKA LEHMAN BROTHERS CASH ACCOUND

343 BLACKROCK MONEY MARKET/PNC CASH B DIVIDEND L T

344 UBS BANK USA DEPOSIT ACCOUNT A INTEREST K T ACCOUNT OPENED 4/28 K

SMITH BARNEY-CITI INSTL US TREASURY MONEY FUND D INTEREST P1 T ACCOUNT OPENED 9/17 P2

FOUNDATION INVESTMENTS

FOUNDATION BROKERAGE ACCOUNT #1

COMMON STOCKS

346 ALTRIA GROUP INC D DIVIDEND SPUN OFF PHILIP MORRIS 3/31 M


347 SOLD 9/18 L E

348 AMERICA MOVIL B DIVIDEND L T

BANK OF AMERICA NONE SOLD 1/8 M B

350 CITIGROUP INC NONE SOLD 1/8 L

(LINES 521)

D.

( 1)

351

354

357


A. B. c.

GROSS VALUE AT



( 2) VALUE

METHOD

( Q-W)

... -

--------------------· --------· --·------· ------------· ------------------ ---------------·----------------------------------·------ ------ ------ -------

AMT CODE

( 2) ( 1) (1) ( 2) ( 3) ( 4) ( 5) TYPE DATE VALUE GAIN IDENTITYTYPE VALUE

CODE CODE (IF(A- H) CODE

( J P) (A H) PRIVATEJ( J P)- --

--... ·------------------------------ -------- --------· ----------·--- ------------·----- -----------------·---------·------------------------·----- ----------- ------ -------

DYERSBURG CORP NONE J T

352 GENERAL ELECTRIC CO c DIVIDEND L T

353 KRAFT FOODS INC c DIV IDEND L T ACCEPTED EXCHANGE OFFER 8/11 J D

PHILIP MORRIS INTL INC

RALCORP HLDGS INC

SCHLUMBERGER LTD

UNITED TECHNOLOGIES CORP

'

MUTUAL FUND

GOLDMAN SACHS \NTL REAL ESTATE SECS FUND

FOUNDATION BROKERAGE ACCOUNT #2 361 -

TENDERED SOME SHARES


c DIVIDEND N T SPUN OFF FROM ALTRIA 3/31 M


355 PURCHASE 9/18 L

356 NONE J T ACCEPTED EXCHANGE OFFER 8/11

RECEIVED SHARES


PARTIAL SALE 8/11 J

358 A DIVIDEND K T

359 c DIVIDEND SOLD 10/3 N F

360 c DIVIDEND SOLD 12/22 M

361 GOLDMAN SACHS BANK DEPOSIT #5/CASH ACCOUNT A INTEREST J T

362 AFFILIATED MANAGERS GROUP INC NONE K T PURCHASE 1/18 J

363 PURCHASE 5/19 J

364 PURCHASE 5/21 J

- -

373

374

375

376

377

( 1)

(A- H)

VALUE

1/3

6/4


A. B. c. D.

GROSS VALUE AT



----- -·-----------------------·-------------·------------------------· ------- ------ ------ -----·---------------------- ............................ -------- -------------· -----------·-----

( 2) (1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)

TYPE DATE VALUE GAIN IDENTITYAMT CODE TYPE VALUE


( J P) (Q-W) ( J P) (A- H) PRIVATE)

---

----- ------------------------------... --------------·----

365 PURCHASE 6/10 J

366 PURCHASE 6/11 J

367 PURCHASE 11/25

368 AGCO CORP NONE K T PARTIAL SALE J B

369 PURCHASE 1/18 J

370 PURCHASE 217 J

371 PARTIAL SALE 2127 J B

372 PURCHASE 3/20 J

PURCHASE

PURCHASE

J

6/10

PURCHASE 6/11 J

PURCHASE 9/30 J

PURCHASE 10/1 J



380 PURCHASE 12/2 J


382 ARCH CHEMICAL INC A DIVIDEND K T PURCHASE 4/25 J

-------------------------------------------------- -

----- ·------- ------ ----- --------- ---------

( 1)

C.

( 1) TYPE

-- ----

395

397

3/3


A. B. D.

GROSS VALUE AT



( 2) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) DATE VALUE GAIN IDENTITYAMT CODE TYPE VALUE VALUE


(J - (Q-W) (J - P) (A- H) PRIVATE)P) -----· ·------------------------------------·--------------- ------- --·-------------------------- -------- --------· ------------ -----·--------.....

383

384

385

386

387

388

389 CARAUSTAR INDUSTRIES, INC

390 CASCADE CORP

391

392

393

394 CHICAGO BRIDGE AND IRON COMPANY

NONE J T

A DIVIDEND K T

A DIVIDEND J T

PURCHASE

PURCHASE

PURCHASE

PARTIAL SALE

PARTIAL SALE

PURCHASE

PURCHASE

PURCHASE

PARTIAL SALE

PURCHASE

PURCHASE

PURCHASE

5/2 J

7/1 J

8/1 J

11/10 J

11/11 J

12/31 J

3/3

4/23 J

10/31 J

11/25 J

12/2 J

10/1

PURCHASE 10/3 J

PURCHASE 10/9 J

PURCHASE 11/25 J

398 COLONIAL BANCGROUP INC A DIVIDEND PURCHASE 1/4 J

399 PURCHASE 2/26 J

PURCHASE J

396

400

----- ----------------------------------------- ------- ------ ------ ·-----·----------

402

403

( Q-W)

4/4

7/1


A. B. c. D.

GROSS VALUE AT



----- -----· ------------- -------------

( 1) (2') ( 1) (2') ( 1) (2') ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- 1-1) CODE METHOD CODE CODE (IF

( J P)- ( J P) (A 1-1) PRIVATE)- -

401 PURCHASE 3/20 J

JPURCHASE

PURCHASE J

404

405

406

407

408

409

410

411 COLUMBIA SPORTSWEAR COMPANY A DIVIDEND J T

412

413

414

415 DARLING INTERNATIONAL INC NONE J T

416

417

418

PURCHASE

PARTIAL SALE

PARTIAL SALE

PARTIAL SALE

PARTIAL SALE

PARTIAL SALE

SOLD

PURCHASE

PURCHASE

PARTIAL SALE

PURCHASE

PURCHASE

PARTIAL SALE

PARTIAL SALE

PARTIAL SALE

712 J

9/19 J

10/3 J

10/6

10/24 J

11/10 J

11/13 J

1/14 J

6/11 J

10/29 J

11/25 J

1/18 J

3/18 J B

4/10 J c

5/16 J B

-----

A.

( J - PJ ( J - PJ

426

427 4/4

433

435



B. c. D.

GROSS VALUE AT

INCOME DURING END OF REPORTING '

REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERlo D

--- ---... ------------------------------------------ --- ------- --- -------· ----------- ---------------

( 1) (2) ( 1) (2) (1) ( 2) ( 3) ( 4) ( 5)



( Q-W) (A - H) PRIVATE)

---- --·-------................................ _______ .. ________________________ ______ ____ ---- - --·------------------- ---- --·--·-- --------·--- -------------

419 PURCHASE 9/19 J

420 PURCHASE 9/22 J




424 FLOWSERVE CORPORATION A DIVIDEND PARTIAL SALE 2/12 J A

425 PARTIAL SALE 2/13 J B

PARTIAL SALE 2/28 J c

PARTIAL SALE J B

428 SOLD 4/29 J c

429 GRAY TELEVISION INC A DIVIDEND PURCHASE 3/3 J

430 PURCHASE 512 J

431 PURCHASE 5/19 J


PARTIAL SALE 11/19 J

SOLD 11/20 J

JAMES RIVER COAL COMPANY NONE K T PARTIAL SALE 1/30 J A

PARTIAL SALE 2/11 J B

434

436

--- -------------------- ------------

437

438

439 5/5

440 5/6

441 5/7

442

443

444

445

446

453


A. B. c. D.

GROSS VALUE AT



.. ------

( 1)

AMT CODE

(A - H)

( 2) TYPE

( 1)

VALUE

CODE

( 2)

( J P) (Q--

VALUE

METHOD

-------- ----- ... --

-·----------------·---- ---- ------· ---------- -----------

(1) ( 2) ( 3) ( 4) ( 5) TYPE DATE VALUE GAIN IDENTITY

CODE CODE ( IF

( J P) (A H) PRIVATE)------ ------------ ------------···-----------·------------------ _..___________________________ ------- --·---· ----------- ----------


PURCHASE 3/19 J

PARTIAL SALE J A

PARTIAL SALE J B

PARTIAL SALE J B

PARTIAL SALE 5/20 J c


PARTIAL SALE 6/17 J D

PURCHASE 814 J

PURCHASE 8/15 J

PURCHASE 9/25 J

PURCHASE 9/30 J

447

448

449 PURCHASE 10/3 J


451 PURCHASE 12/2 J

452 KOPPERS HOLDINGS, INC A DIVIDEND J T PURCHASE 5/16 J

PURCHASE 5/19 J

PURCHASE 6/30 J 454

455

456

457

459

460

METHOD

( Q-W)

( 2)

3/6

( J - P)


A. B. c. D.

GROSS VALUE AT



--- .... ---------------·--·---------------------------------·--------·

( 1) ( 2) ( 1) ( 2) ( 1) ( 3) ( 4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A· H) CODE CODE CODE (IF

(J - P) (A- H) PRIVATE)

PURCHASE 9/30 J

PURCHASE 11/25 J

PURCHASE 12/31 J

458 NEWFIELD EXPLORATION CO NONE PARTIAL SALE 2/11 J A

PARTIAL SALE 2/26 J A

PARTIAL SALE A

461

462

463

464 NEWPORT CORP

465 NORDSON CORP

466

467

468

469

470 OGE ENERGY CORP

471 PETROQUEST ENERGY, INC

472

NONE J T

A DIVIDEND J T

A DIVIDEND K T

NONE J T

PARTIAL SALE

PARTIAL SALE

SOLD

PURCHASE

PURCHASE

PURCHASE

PURCHASE

PURCHASE

PARTIAL SALE

PURCHASE

PURCHASE

3/18 A

4/25 J B

5/6 J A

3/11 J

3/12 J

6/24 J

8/22 J

12/12 J

3/18 J

8/22 J

8/25 J

----

473

474

475

476

477

TYPE

( Q-W)

7/1

3/5

3/3


A. B. c. D.

GROSS VALUE AT



--- ----------------------------------·-------------------- ------ ------- ------ -----------·------------------ -----· -------- ------------- -------------

( 1) ( ( 1) ( ( 1) ( ( 3) ( 4) ( 5)

AMT CODE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J P)- ( J - P) (A- K) PRIVATE)

---------------------·--------------· -------

PURCHASE

------- ----·-· ------· ---------- ----·----

9/26 J

PURCHASE 10/3 J

PURCHASE 11/25 J

PURCHASE 12/31 J

POLARIS INDS INC A DIVIDEND K T PURCHASE 5/21 J

478 PURCHASE J

479 PARTIAL SALE 7122




483 SMITHFIELD FOODS INC NONE K T PARTIAL SALE J

484 PURCHASE 712 J

485 TRACTOR SUPPLY CO NONE K T PURCHASE 1/18 J

PURCHASE J

487

488

489

490

PURCHASE 512 J

PURCHASE 6/10 J

PURCHASE 6/30 J

PARTIAL SALE 7125 J

486

--- ----- ------ -

494

495

496

497

498

499

(A- H)


A. B. c. D.

GROSS VALUE AT



- -------- ---- ------ -------------------- - ----- ----- ____.,. _____ .,. -- -------

( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)


CODE METHOD CODE CODE (olF

(J- ( Q-W) ( J- (A- H) PRIVATE)


482 PARTIAL SALE 9/25



PURCHASE 12/31

TRINITY INDUSTRIES INC A DIVIDEND K T PARTIAL SALE 2/27 J

PURCHASE 9/30 J

PURCHASE 10/3 J



501 PURCHASE 12/2


503 URS CORPORATION NONE K T PURCHASE 217

504 PURCHASE 2127

505 PURCHASE 3/20 J


507 PURCHASE 10/3 J


----·

(LINES 523)

(LINES 633) (SEE VllQ

5/2


A. B. c. D.

GROSS VALUE AT



---· ------------------ ------------------------------------ ----------- _,.. ............ -..... ------- ------· ----- ------------------------( 1)

AMT CODE

(A- H)

( 2) TYPE

( 1)

VALUE

CODE

( J - P) .. ------- -------

( 2) VALUE

METHOD

( Q-W)

( 1)

TYPE

·----------

( 2) ( 3) ( 4) ( 5) DATE VALUE GAIN ID EN TI TY

CODE CODE (IF

( J (A- PRIVATE)- P) H)

----· ---·---------------·------------------------·-·----·---· ----· ------· --------··-- -------



511 USEC INC NONE J T PURCHASE J

512

513 WASHINGTON FEDERAL INC

514

515

516

517

518

519

520

521

FOUNDATION BROKERAGE ACCOUNT #3 522 -

522 -- SPRUCEGROVE NON US EQUITY LLC/CASH ACCOUNT

523 -- SPRUCEGROVE NON US EQUITY OFFSHORE LP

INVESTMENTS IN NON-PUBLIC COMPANIES 524 - NOTES 5 & 7 IN SECTION

524 ARIZONA SNOWBOWL ( AKA SUNWEST HOLDINGS)


525

A DIVIDEND J T

NONE J T

NONE 0 T

G K-1 D ISTR N w

PURCHASE

PARTIAL SALE

PURCHASE

PURCHASE

PURCHASE

PURCHASE

PARTIAL SALE

PARTIAL SALE

PARTIAL SALE

PARTIAL SALE

DISTRIBUTION

RETURN OFCAPITAL

12/31 J

3/18 J

5/2 J

6/10 J

6/11 J

6/30 J

10/3 J

10/6 J

10/27 J

10/30 J

3/25 K

3/25 K

------------------ ----- --- ------ --------- ---- --- ------ --------------

533

( 2)


A. B. c. D.

GROSS VALUE AT



(1)

AMT CODE TYPE

(1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) VALUE VALUE TYPE DATE VALUE GAIN IDENTITY

(A- H) CODE

( J - P)

526 ENTERTAINMENT ACQUISITION

(SEE NOTES 1 & 19 IN SECTION VIII)

E K-1 DISTR/

ROYALTY

DISTR

527 CARTOON CUTS


NONE J

528 COSMOS PARTNERS


E K-1 DISTR K

529 TAMPA BAY RAYS

( FKA TAMPA BAY DEVIL RAYS)


G K-1 DISTR N

530 FRESH DIRECT NONE 0

531

532

HALL CAPITAL PARTNERS


NONE

METHOD

(Q-W)

CODE

( J - P)

CODE

(A- H)

(IF

PRIVATE)

w

v

w

w

DISTRIBUTION

DISTRIBUTION

DISTRIBUTION

1/7

414

4/14

K

J

J

D

c

HARDING SERVICE, LLC ( X) A K-1 DISTR


534 OFFIT CAPITAL ADVISORS NONE M w INITIAL INVESTMENT 4/17 M

535 OPUS MEDIA PARTNERS


NONE 0 w

536 IPC/UHS CO-INVESTMENT PARTNERS, LP

(FKA BSMB/UHS CO-INVESTMENT PARTNERS, LP)


NONE M w

537 IRVING PLACE CAPITAL II

( FKA BEAR STEARNS MERCHANT BANK II)

NONE 0 w ADDITIONAL INVESTMENT 5/14 J

539

543

544

547

553

554

555


A. 8. c. D.

GROSS VALUE AT



( 1) ( ( 1) ( ( 1) ( ( 3) ( 4) ( 5)



(J - PJ ( Q-W) ( J PJ (A- H) PRIVATE)-

---- ------------------------------------·---------------·----·-------- - .. ------ ------- ------·· - -------------------- ------ ·-------· ......................... --.. -----------

538 (SEE NOTES 9 & 16 IN SECTION VIII) DISTRIBUTION 5/ 14 j

ADDITIONAL INVESTMENT 11/18 J

540 DISTRIBUTION 11/18 J

54 1

542

IRVING PLACE CAPITAL 111

( FKA BEAR STEARNS MERCHANT BANK Ill)

(SEE NOTES 9 & 16 IN SECTION VllQ

A K-1 DISTR N w ADDITIONAL INVESTMENT

ADDITIONAL INVESTMENT

5/ 14

11/19

K

K

BLACKSTONE REAL ESTATE PARTNERS NONE P1 w ADDITIONAL INVESTMENT 1/22 J


ADDITIONAL INVESTMENT 2/26

545 ADDITIONAL INVESTMENT 3/17 L

546 ADDITIONAL INVESTMENT 5/14 J

ADDITIONAL INVESTMENT 6/24 J

548 ADDITIONAL INVESTMENT 7115 J

549 ADDITIONAL INVESTMENT 7128 J

550 ADDITIONAL INVESTMENT 12/17

55 1 ADDITIONAL INVESTMENT 12/24 K

552 CENTERVIEW CA PITAL A K-1 DISTR M w ADDITIONAL INVESTMENT 11/5 J


DISTRIBUTION 11/5 K

BIRDS EYE FOODS ( FKA AGRILINK) NONE P1 w

(·SEE NOTE 17 IN SECTION VIII)

ADVANCED ORGANICS ( Y)

---- ------

A.

557


B. c. D.

GROSS VALUE AT


DESCRIPTION OF ASSETS REPORTING PERIOD

-· --·------- ---------------------------------------·

( 1) ( 2) ( 1)

PERIOD

( 2) VALUE

METHOD

( Q-W)

w


( 1) ( 2) ( 3) ( 4) ( 5)

TYPE DATE VALUE GAIN IDENTITY

CODE CODE (IF

( J - P) (A - H) PRIVATE)

_,.. _______ .. ------- ------ --------- --------

RETURN OF CAPITAL 12/24

FINAL DISTRIBUTION 8/27

J

AMT CODE TYPE VALUE

(A- H) CODE

(J P)-

556 BORDER MEDIA NONE


DYNA VOX NONE N


558 VESTAR ASSOCIATES 11 NONE


559 VESTAR CAPITAL PARTNERS/ASSOC. Ill D K-1 DISTR


560 VESTAR CAPITAL PARTNERS/ASSOC. IV & AIV D INTEREST K w


561 VEST AR CAPITAL PARTNERS/ASSOC V c K-1 DISTR


562 GOLD TOE ( FKA CLUETT AMERICAN) NONE


563 CONSOLIDATED CONTAINER NONE 0 w


564 ST JOHNS KNITS NONE 0 w


565 ARGO TECH NONE L w


566 AZ ELECTRONIC MATERIALS NONE M w ('SEE NOTE 17 IN SECTION VIII)

567 CCS INCOME TRUST NONE M w (SEE NOTE 17 IN SECTION VIII)

TYPE VALUE

( Q-W)

( 4)

575

577

579

9/2


A. B. c. D.

GROSS VALUE AT



( 1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 5)

AMT CODE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - P) (J P) (A- H) PRIVATE)-

----- .. ., ...... ___ _ .., ___ _____ __ ., ____ .. ____ _________ ____ .. ________ __ _____ ,. .. _ _____ ............ -...... ..,.________ _ __ .,.____ ------ -- - ------------------------------- ..------- --------- ------------- ----·------

568 CESARE FIORUCCI


NONE N w

569 DUFF & PHELPS


NONE 0 w RETURN OF CAPITAL 12/24 K

570 ESSENT HEALTHCARE


NONE N w

571 GLEASON CORP


NONE M w

572 THE SUN PRODUCTS CORP ( FKA HUISH DETERGENTS) NONE 0 w ADDITIONAL INVESTMENT L


573 MEDI-MEDIA


NONE M w

574 NATIONAL MENTOR HOLDINGS


NONE L w

NYBRON FLOORING (Y)

576 OGF GROUP NONE N w


PARIS RE E DIVIDEND M w


578 PRESS GANEY NONE N w INITIAL INVESTMENT 317 N (SEE NOTE 17 IN SECTION VIII)

RETURN OF CAPITAL 3/31 J

580 RADIATION THERAPY NONE N w INITIAL INVESTMENT 2/15 N (SEE NOTE 17 IN SECTION VIII)

---- ---

593

594

( J - P) ( J - P)


A. B. c. D.

GROSS VALUE AT



----- ----- ----· -------------- ---------------- -------------------------·------------------------ -

(1) ( 2) ( 1) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5)



(Q-W) (A. H) PRIVATE)

-- ---------------------------------·---------·------· ------- ---- - --------·----------- -------- ---------- ------------- ----------

581 SEVES SPA


NONE ADDITIONAL INVESTMENT 3/31 K

582 SOLO CUP COMPANY


NONE P1 w

583 SUNRISE MEDICAL/JOERNS HEALTHCARE


NONE 0 w

584 SYMETRA FINANCIAL

(SEE NOTE 17 IN SECTION VllQ

NONE 0 w

585 VALIDUS HOLDINGS


E DIVIDEND P1 w

586 WILTON RE HOLDINGS i


NONE P1 w ADDITIONAL INVESTMENT 12/18 L

587 AVON DISTRIBUTION LLC


NONE P1 v

588

589

FLAG VENTURE PARTNERS

(SEE NOTES 6, 9 & 16 IN SECTION VIII)

F K-1 DISTR P1 w DEEMED DISTRIBUTION

DEEMED ADDL INVESTMENT

10/28/05

10/28/05

K

K

590 DISTRIBUTION 1/31 L



ADDITIONAL INVESTMENT 6/17 K

RED ABBEY NONE N w DISTRIBUTION 2/5 J (SEE NOTE 9 JN SECTION VIII)

595

VALUE

CODE

( J - P)


A. B. c. D.

GROSS VALUE AT



( 1) ( 2) ( 1) ( 2) (1) ( 2) ( 3) (4) ( 5)

AMT CODE TYPE VALUE TYPE DATE VALUE GAIN IDENTITY

CODE (IF(A- H) CODE METHOD

(A- H) PRIVATE)(J- P) ( Q-W)

DISTRIBUTION 2127 L

596 ADDITIONAL INVESTMENT 11/14 J

597 SENTINEL CAPITAL PARTNERS/SENTINEL PARTNERS (I)


A K-1 DISTR

598 SENTINEL CAPITAL PARTNERS/SENTINEL PARTNERS (II)

(SEE NOTES 10 & 16 IN SECTION VIII}

B K-1 DISTR

599 SENTINEL CAPITAL PARTNERS (111)

(SEE NOTE 10 IN SECTION VIII}

E K-1 DISTR

600 FASLOC (SEE NOTES 15 & 17 IN SECTION VIII) NONE ESCROW RELEASE 5/2 M G

601 HASCO (SEE NOTES 15 & 17 IN SECTION VIII) NONE ESCROW RELEASE 3/19 L F

602 FINAL DISTRIBUTION 12/12 J B

603 INSCAPE (SEE NOTE 17 IN SECTION VIII} NONE N w

604 INTERIM HEALTHCARE


NONE 0 w

605 L Tl FLEXIBLE PRODUCTS


NONE M w

606 MADILL CORP


NONE

607 METROPOLITAN DENTAL

t SEE NOTES 15 & 17 IN SECTION VIII)

NONE ESCROW RELEASE 6127 M G

608 MIDWEST WHOLESALE HARDWARE


NONE N w

-----

( 2)

( Q-WJ

9/9

--·


A. B. c. D.

GROSS VALUE AT



------------------------·------------------- -- _____________ ... _____ -------- ·-------· ------------· --·---------

( 1) ( 2) ( 1) ( 2) ( 1) ( 3) (4) ( 5) AMT CODE TYPE VALUE VALUE TYPE DATE VALUE GAIN IDENTITY


( J - P) ( J - P) (A- H) PRIVATE)

--

609

----------------------------·---------------·----

NIVEL


------

NONE

--------------------·

ESCROW RELEASE

-----

10/24

----·

L ...........................................

F

--------·-----

610 REACHOUT HEALTHCARE


NONE N w ADDITIONAL INVESTMENT 10/16 L

611 SOUTHERN CALIFORNIA PIZZA CO


NONE N w INITIAL INVESTMENT 10/16 N

612 SPINRITE (SEE NOTE 17 IN SECTION VIII) NONE P1 w

613 STRATEGIC PARTNERS


NONE P1 w

614 TRINITY CONSULTANTS HOLDINGS


NONE N w

615 TRUSSBILT HOLDINGS


E INTEREST N w RETURN OF CAPITAL 5/14 M

616 VINTAGE HOLDINGS


NONE N w

617 SCIENS CAPITAL PARTNERS


D K·1 DISTR M w

618 NORTHERN HELLENIC HOLDINGS LLC

(SEE NOTES 9, 16 & 18 IN SECTION VIII)

NONE N v

619 SCIENS VENTURE PARTNERS (AKA ZILKHA VENTURE) ( Y)

620 PARK AVENUE PARTNERS


G K-1 DISTR 0 w DISTRIBUTION 3/3 K

DISTRIBUTION J

DISTRIBUTION 11/7 0

621

622

( 65§)

( 1)

632 9/9


A. B. c. D.

GROSS VALUE AT



---..... ---·---------------·---------------------... --·----------·------------------ ·------ ----- ---- -----------------... ------ ____ .. ----·---· ----------- _., __ ..,. ____ ..

(1) ( 2) ( 1) ( 2) ( 2) ( 3) ( 4) ( 5)



( J - P) ( Q-W) ( J - P) (A - H) PRIVATE)

----- -- -----.. ------------·------------------------------------------·----· ---·------ ----- ----- ------- -----------------------· ---------- ------· ----·--------- --------... -

623 DISTRIBUTION 12/23 j

624 QUINTANA ENERGY PARTNERS E K-1 DISTR 0 w ADDITIONAL INVESTMENT 3/18 L


625 ADDITIONAL INVESTMENT 8128 L

626 LEHMAN BROTHERS CO-INVSTMNT LP/CAYMAN AIV LP NONE P1 w ADDITIONAL INVESTMENT 2/7 K


627 ADDITIONAL INVESTMENT 2128 K

628 ADDITIONAL INVESTMENT 3/10 K

629 DISTRIBUTION 3/10



ADDITIONAL INVESTMENT L


634

OTHER INVESTMENTS/NOTES RECEIVABLE 634 -

CHESAPEAKE PARTNERS (SEE NOTE 1 IN SECTION VIII) NONE P2 u

635 FARALLON CAPITAL PARTNERS


NONE P1 u

636 AXIOM INTERNATIONAL INVESTORS LLC


NONE P1 u

637 THE BLENHEIM FUND LLC (SEE NOTE 1 IN SECTION VIII) G K-1 DISTR P1 u

638 PORTAGE PARTNERS (SEE NOTE 1 IN SECTION VIII) NONE K u WITHDRAWAL 4/15 P1

( 1)

( J - F') ( Q-W) ( J - F')


A.


B.

INCOME DURING

REPORTING PERIOD

c.

GROSS VALUE AT

END OF REPORTING

PERIOD

D.


-- ---.. --------·--------------------·----------- ....... ----- ---- - ----- ----- --------· --------- -----------

( 1) ( 2) ( 2) ( 1) ( Z) ( 3) ( 4) ( 5)



(A- H) PRIVATE) ---·

--------------------··-------------------- ------

639 TOWLE CAPITAL PARTNERS (SEE NOTE 1 IN SECTION VIII) NONE

---- ----- ---------------------- ----- -·----· -------- ........ _____ .,._

N u

640 WHALE ROCK FLAGSHIP FUND (SEE NOTE 1 IN SECTION VIII) NONE Pl u

641 BLUE AND GRAY PARTNERSHIP


NONE SOLD INTEREST 12/5 J FISHER

642 F.E. RICHARDSON & CO

(SEE NOTES 1, 13 & 16 IN SECTION Viii)

643

NONE L v ADDITIONAL INVESTMENT

ADDITIONAL INVESTMENT

7/11

8/1

K

K





648 ADDITIONAL INVESTMENT 12/19 M

649 RACE HORSES


NONE ALL HORSES RETIRED 8/10

650 OP40 INC (SEE NOTE 5 IN SECTION VIII) NONE L w

651 OSCAR S SCHAFER PARTNERS II


NONE Pl u

652 NOTE RECEIVABLE -ALISON SALMON NONE REPAID NOTE 10/28 M

653 NOTE RECEIVABLE· PETER JONES NONE L T LOAN 10/9 L

654 HAWK GROUP S.A. NONE M w INITIAL INVESTMENT 2/6 Pl

655 ADDITIONAL INVESTMENT 5/29 L

------- -

(LINES 658)

( J - P)

A.


---- ---... ---------··------··-----·-------------·---------.. -----

656

PROFIT SHARING PLAN FUNDS 657 -

657 --- ING T. ROWE PRICE EQ INCOME PT

658 --- ING MARSICO INTERNATIONAL OPP PORT

659 CITIBANK INTEREST CHECKING ACCOUNT #3 ( Y)

660 AVON DISTRIBUTION LLC ( Y)

661 NEUBERGER BERMAN INSTL LIQDTY SER INSTL CASH #2 ( Y)

662 ALTRIA GROUP COMMON STOCK ( Y)

663 AMERICA MOVIL COMMON STOCK ( Y)

664 AMERICAN INTERNATIONAL GROUP COMMON STOCK ( Y)

665 ANADARKO PETROLEUM CORP COMMON STOCK ( Y)

666 BLACKROCK INC COMMON STOCK ( Y)

667 CBS CORP COMMON STOCK ( Y)

668 INTERNATIONAL BUSINESS MACHINE CMN STOCK ( Y)

669 JOHNSON & JOHNSON COMMON STOCK ( Y)

670 KRAFT FOODS COMMON STOCK ( Y)

671 MURPHY OIL CORP COMMON STOCK ( Y)

672 PACKAGING CORP AMER COMMON STOCK ( Y)

B.

INCOME DURING

REPORTING PERIOD

-------·-·

( 1) ( 2) AMT CODE TYPE

(A- H)

NONE

NONE

c.

GROSS VALUE AT

END OF REPORTING

PERIOD

( 1) ( 2) VALUE VALUE

CODE METHOD

( Q-W)

M T

K T


D.


-----------------·------- ------- -----· ----·------ -----------------

( 1) ( 2) ( 3) ( 4) ( 5) TYPE DATE VALUE GAIN IDENTITY

CODE CODE (IF

( J P) (A- H) PRIVATE)-

ADDITIONAL INVESTMENT 8/28 K

- -

-- ----------------------------------------------------------·

( 1)

D.


A. B. c.

GROSS VALUE AT



---· ______________________________ ,.. ______________ ------

( 1) ( 2) ( 2) ( 1) ( 2) ( 3) ( 4) ( 5) TYPE DATE VALUE GAIN IDENTITYAMT CODE TYPE VALUE VALUE


( J P) (Q-W) ( J P) (A H) PRIVATE)-

- ---- ------ ------ ---------------------------- ---------- -------· --------- --------------

673 SHIP FINANCE INTERNATIONAL LTD CMN STOCK ( Y)

674 SMURFIT-STONE CONTAINER CORP CMN STOCK ( Y)

675 SUNCOR ENERGY COMMON STOCK ( Y)

676 UNITED TECHNOLOGIES CORP COMMON STOCK ( Y)

677 UNUM GROUP COMMON STOCK ( Y)

678 XEROXCORP COMMON STOCK (Y)

679 TRUST #1 E DIV/INT 0 T

680 --- GOLDMAN SACHS BANK DEPOSIT/CASH #5

681 --- ABBOTT LABORATORIES COMMON STOCK

682 --- ALTRIA GROUP INC COMMON STOCK SPIN OFF PHILIP MORRIS 3/28 L

( SEE LINE 693 BELOW)

683 SOLD 9/18 K A

684 --- AMERICA MOVIL COMMON STOCK

685 --- ANHEUSER BUSCH COS INC COMMON STOCK SOLD 11/19 L E

686 --- BLACKROCK, INC COMMON STOCK PARTIAL SALE 9/18 L E

687 ---.GENERAL ELECTRIC CO COMMON STOCK PURCHASE 10/2 L

688 --- HEWLETT-PACKARD CO COMMON STOCK

689 --- JOHNSON & JOHNSON COMMON STOCK

690 --- KRAFT FOODS INC COMMON STOCK ACCEPTED EXCHANGE OFFER 8/11 J A

-----

---

---

---

( #31

---

( #4) 705

( 1) ( 2' TYPE GAIN

CODE

(A- H)


A. B. c. D.

GROSS VALUE AT



---· --------------------------------------·-----------------·------------------- ------ ------

( 1) ( 2' ( 1) ( 2' ( 3) (4) ( 5) AMT CODE VALUE VALUE TYPE DATE VALUE IDENTITY

H) CODE METHOD CODE(A - (IF

( J P) (Q-W) (J- - P) PRIVATE)

691 LUCENT TECHNOLOGIES CONV PREFD

( SEE NOTE 2 IN SECTION VIII)

692 --- MEDTRONIC INC COMMON STOCK

693 PHILIP MORRIS

694

695 --- RALCORP HLDGS INC

696

697

698 SONIC CORP COMMON STOCK

699 --- WHITE MTNS INS GROUP COMMON STOCK

700 --- PLUM CREEK TIMBER CO INC STOCK

701 TRUST #2 FKA TRUST

702 --- BLACKROCK LIQUIDITY FUNDS

703 JENNISON 20/20 FOCUS FUND (MUTUAL FUND)

704 --- THIRD AVENUE INTL VALUE (MUTUAL FUND)

B DIVIDEND M

TENDERED SOME SHARES


WARRANTS EXPIRED

SOLD

SPUN OFF FROM ALTRIA


PURCHASE

ACCEPTED EXCHANGE OFFER

RECEIVED SHARES


PARTIAL SALE

SOLD

SOLD

T

3/11

2/20

3/28

9/18

8/11

K

L

K

J

c

8/11

9/18

J

J A

11/21 K A

TRUST #3 FKA TRUST A DIVIDEND L T

--------------------------------------------------------- --·----· .

B. c.

( 2)

713

714


A. D.

GROSS VALUE AT INCOME DURING END OF REPORTING

DESCRIPTION OF ASSETS REPORTING PERIOD PERIOD TRANSACTIONS DURING REPORTING PERIOD ----· ------------------- -----· ------.. -- -·------------ --------------

( 1)

VALUE CODE

(J - P)

( 2) VALUE

METHOD

( Q-W) ......

( 1) ( 2) ( 1) ( 3) ( 4) ( 5) VALUE GAIN IDENTITY

CODE CODE (IF AMT CODE TYPE TYPE DATE

(A - H)

(J P) (A H) PRIVATE)- -

----· --------------------------------------------- ------- ------ -- ---------------------- ·--------- ·-------- ------------- ----------·--

706 --- BLACKROCK LIQUIDITY FUNDS

707 --- JENNISON 20/20 FOCUS FUND ( MUTUAL FUND)

708 RENTAL PROPERTY - NEW YORK, NY E RENT 0 R

( 6/15/2005 $850,000)

709 MOORINGS/NAUTICAL (SEE NOTE 12 IN SECTION VIII) A INTEREST FINAL TRUST DISTRIBUTION 6/2 K

710 MELLON BANK ESCROW ACCOUNT F INTEREST ACCOUNT DISTRIBUTED 6/26 P1 H1

& CLOSED 711 CITIBANK INTEREST CHECKING ACCOUNT# 4 ( Y)

712 MERRILL LYNCH ACCOUNT - ML #3 ( Y)

BANK OF AMERICA ESCROW ACCOUNT D INTEREST ACCOUNT OPENED 6/20 P1

ACCOUNT CLOSED 8/18 P2

ADS • 5/11 /2009

Disk: 2008 Disclosure File: 08d1scl

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 5of6 - WOOD, KIMBA M. 05/13/2009

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReport.)

See attached

NOTE4

distributions. The final K-1 was issued in 2007.

NOTES

Kimba M. Wood -May, 2009 (Page I of 4)

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS

NOTE 1

If there was either a partial withdrawal or no withdrawal from this S corporation or partnership during the reporting year, all K-1 activity (interest, dividends, capital gains, ordinary income, etc.) was netted together, and, if that net figure was larger than the required income threshold, it was included in Column B.(1) with Column B.(2) noting "K-1 DISTR" (K-1 Distribution). If the K-1 activity netted to a loss, then Column B.(1) was left blank and "NONE" was included in Column B.(2).

If the S Corporation or partnership interest was either sold or fully withdrawn from during the reporting year, the capital gain amount is included in Column D along with other transaction details. The remaining K-1 figures were netted together, and if larger than the required income threshold, included in Column B.( I) with Column B.(2) noting "K-1 DISTR".

Both of the above approaches were obtained from Mr. George Reynolds, Financial Disclosure Examiner.

NOTE2 For put options that were sold short and then expired, the gain is included on the "OPTION EXPIRED" line because that was when the gain was realized. Since the option was sold short, though, the value was recorded at the time of sale and included on the "SOLD SHORT" line. Therefore, there is no value code listed on the "OPTION EXPIRED" line. For warrants that expired, there is no value code listed in Column D.(3) because the warrants were worthless.

NOTE3 This money market/cash account is attached to an investment account. All of the investments are listed separately on this report. Neither the income nor the cash balance at year-end met the threshold for reporting. However, since there are other reportable accounts at this financial institution, this account is deemed reportable.

We withdrew from this Partnership in 2007. In 2008, we received two additional For purposes of this report, we considered all of the distributions as gains.

There are many investments in non-public companies. The estimated market values used for all such investments, unless otherwise noted, are based upon the current knowledge of the worth of such companies, discussions with the companies' management and company issued reports.

NOTES

NOTE9

Kimba M. Wood-May, 2009 (Page 2 of 4)

NOTE6

There was a "deemed" distribution and a "deemed" capital call in 1 0/2 005. Since no cash was involved and we did not receive a letter of notification from the entity, the items were not included on the 2005 FDR. Since the 2005 K-1 was used to determine codes for the income received and the 2005 year end market value code would not have changed, amending the 2005 FDR is deemed unnecessary. On 4 129109, Peter Laugesen, FDR Examiner, confirmed that amending the 2005 Report is not necessary.

NOTE7

For those entities which issued K-1 s, if the K-1 netted to a loss but there was another source of income from the entity, the source of the other income is listed instead of "NONE". If there was K-1 income and an additional source of income, both amounts were summed to determine the code for Column B.(l) and both types of income are noted in Column B.(2).

Although there is an investment in this company, it is considered worthless. Therefore, there is no year-end value code reported in Column C.(1).

There is a limited partnership interest in this entity. Since the filer cannot "direct, influence or in any other manner affect the purchase, exchange, sale or disposition of the entity or property owned by the entity'', Financial Disclosure Filing Instructions, page

35, the assets held by the partnership are not reportable.

If the partnership had a capital call for an investment in a specific company, "ADDITIONAL INVESTMENT" is noted in Column D.(l). The name of the underlying company is not listed. Further, if the partnership either returned capital or sold one of its investments and returned funds to the reporting family, "DISTRIBUTION" is listed in Column D.(l) . Neither the name of the underlying company nor the gain amount is listed.

The entity's K-1 is considered the source document for all income from this investment (including capital gains/losses). All K-1 activity was netted together and if greater than the required income threshold, included in Column B.(1) with Column B.(2) noting "K-1 DISTR". If the K-1 activity netted to a loss, then Column B.(l) was left blank and "NONE" was included in Column B.(2).

NOTE 10 There are several Vestar and Sentinel Partnerships (See Lines 558-561 and 597-59 9 in Section VII). The companies they own are all listed separately on this report because the filer "can direct, influence or in any other manner affect the purchase, exchange, sale or

Kimba M. Wood-May, 2009 Page (3 of 4)

disposition of the entity or property owned by the entity," Financial Disclosure Filing Instructions, page 35.

In Vestar III, IV and V and all of the Sentinel Funds, there is both a limited partner (LP) and general partner (GP) interest (each interest is housed in a different partnership). For Vestar II, however, Vestar Equity Partners II filed its final K-1 in 2006; therefore, only Vestar Associates II remains. For purposes of this report, the K-1 information for the LP/GP interests of each Fund is combined and included on one line. This approach matches the way the Funds' portfolio companies are included on this report (the GP/LP interests are both included when determining the value code for Column C.(l)).

Each year, there is a K-1 from each of the partnerships. The K-ls summarize all of the ordinary income (loss), portfolio income, capital gains/losses, etc., for all of the underlying companies. To avoid double counting, if an underlying company was sold, the capital gain/loss is included on the line where the actual company is listed and is excluded from the K-1 income reported in Column B.(l) for each of the partnerships.

The remaining K-1 items were netted together. If the net amount was larger than the required income threshold, that amount was included in Column B.(l) with Column B.(2) noting "K-1 DISTR". If the K-1 activity netted to a loss, then "NONE" is included in Column B.(2). As a result, since all K-1 activity is accounted for at the partnership level, the underlying companies which are listed separately do not show any income in Column B.(l) (unless there is an item that is not included on the K-1 ).

Of the Vestar Funds and the Sentinel Funds, only Vestar IV had a value on the books as of the end of 2008. Therefore, there is no market value reported in Column C.(l) for any of the other funds. Because the Partnerships' portfolio companies are listed separately on this report, the partnerships themselves oftentimes show no market value.

NOTE 11 Although there was a debit balance in this Morgan Stanley account at 12/31/07 and all the cash had been withdrawn, it was assumed that the money market was still open. In fact, though, the money market was closed when the funds were redeployed. During 2008, there is again a credit cash balance in this Morgan Stanley account. The funds, however, are held in a deposit account, not a money market account.

NOTE 12

NOTE 13

The interest income noted on the report relates to the liquidating trust. There is no yearend value code as the final distribution was received in 2008.

The filer is the sole shareholder of this S corporation. The company's assets are limited to office furniture, office equipment, a checking account, a money market account and

NOTE 14

reportable value.

NOTE15

Column C.( I).

NOTE16

NOTE18

NOTE19

Kimba M. Wood-May, 2009 (Page 4 of 4)

two limited partnership interests in Cosmos and Hawk which are listed separately on this

report (See Lines 528 and 654-656 in Section VII). The value used to determine the yearend valuation code was the checking/money market account balances plus the office furniture/equipment balance (less accumulated depreciation).

All horses were retired to a boarding farm. There is no value code in Column 0.(3) because once the horses retire they no longer have any earnings potential and, hence, no

This company was sold in a prior year. Therefore, there is no year end value reported in

This company's 2008 K-1 was not received by the May 15, 2009 Disclosure Report filing date. Therefore, the company's income has been estimated. Once the actual K-1 is received, if the income code based on the actual K-1 differs from the code reported in this report, a letter explaining the difference will be filed with the Committee.

NOTE 17 This investment is made through either a Vestar or a Sentinel partnership (See Lines 558561 and 597-599 in Section VII). Since the filer can "direct, influence or in any other manner affect the purchase, exchange, sale or disposition of the entity or property owned by the entity", Financial Disclosure Filing Instructions, page 35, the partnership's assets must be listed separately on this report. As a result, this company is reportable.

All transactions (investments, sales and related gain/(loss), distributions, etc.) are reported for the company. Any K-1 income (excluding gain/(loss) on sales) attributable to the company, however, is included in the partnership's line. If there was income received separate from the K-1 it is recorded in Column B. See Note 10 for more information.

Either the Ending Capital Account value from the entity's 2008 K-1, or an estimate of the same, was used to determine its year-end value code for Column C.(l ).

This asset had no value on the books as of the end of the year. Therefore, there is no value code reported in Column C.(l). However, the K-1 reported income over the threshold level so the asset is reportable.


Page 6of6 WOOD, KIMBA M. 0511312009

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FIUNG INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

Documents

Wood Kimba M - Judicial Watch · 2019-07-26 · FINANCIAL DISCLOSURE REPORT Name of Person Repoting . Date of Report . Page 2of6 . WOOD, KIMBA M. 05/13/2009. I II. N 0 N-INVESTMENT