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Judicial Watch • Kimba M. Wood – 2012

Kimba M. Wood – 2012

Kimba M. Wood – 2012

Page 1: Kimba M. Wood – 2012

Category:Federal Judges

Number of Pages:60

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:Kimba M Wood, Estate, 2012, Gross, stock, Market, assets, transactions, Codes, reporting, Federal Judge, income, Judge


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Government Act q/1978 
Rev. 11201 
FOR CALENDAR YEAR 2012 U.S.C. app. /OJ./ Person Reporting (last name, first, middle initial) Wood, Kimba Court Organization U.S. District Court, SONY Date Report 5/1 5/20 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge (Senior)  Sa. Report Type (check appropriate type) Nomination, Date Initial [{] Annual Sb. Amended Report Final Reporting Period 1/2012 12/31/2012 Chambers Office Address 500 Pearl Street New York, 10007 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date  

IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSIT!0NS. (Reporting individual only; see pp. 9-13 filing instructions.)  NONE (No reportable positions)  
POSITION  NAME ORGANIZATION/ENTITY  Board Member  New York City Ballet, Inc. 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 

PARTIES AND TERMS 

III. N0N-INVESTMENT ME. (Reporting individual and spouse; see pp. 7-24 filing 
instructions.) Filer's Non-Investment Income 
[{] NONE (No reportable non-investment income.) 

SOURCE AND TYPE INCOME 
(yours, not spouse's) Spouse's Non-Investment Income -I/you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 
SOURCE AND TYPE 2012* Rockefeller Brothers Fund -Committee Fees 2012*  Sonic Corp -various Board Committee Fees 12*  Vestar, Harding Services, Blackstone, Irving Place Capital, Morgan Stanley Smith Barney, Centerview -Fee Income 12*  Morgan Stanley Pension Benefit *(various) 
IV. REIMBURSEMENTS -transportation, lodging.food, entertainment. 
(Includes those spouse and dependent children; see pp. 25-27 filing instruclions.) 
[{] NONE (No reportable reimbursements.) GIFTS. (Includes those spouse and dependent children; see pp. 28-3I filing instructions.) 
[{] NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 
instructions.) NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 
Line Credit 
American Express Credit Card 
Citi Aadvantage Credit Card 

VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc1udes 11rose spouse and dependent c1tildren; see PP 34-60 offiting instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets lncome during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(I) (2) 
(2) (I) (2) (3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) t.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (ifprivate  
(Q-W)  tra nsac tion) Incom Gain Codes: =$1 .000 less 41,001 -$2 ,500 =$2.501 -$5.000  D45,00l -$1 5.000 15.001 -$50.000  
(Sec Colum and 04) =$50,001 -$1 00.000 =$I 00.00 -$1 .000.000  Ill =$1 .000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$1 00,000 I00,00 -$250.000  
(Sec Columns and D3) =$250.00 -$500.000 4500.00 -$1 .000.000 =$1.000.001 -$5,000.000  1'2 =$5.000,00 -$25,000.000 =$25,000.00 -$50.000.000 =More than $50.000,000 Value Method Codes =Apprais =Cost (Real Estate Only) =Ass essm ent =Cas Market  
(Sec Col C2) =Book Value =Other =Estim ated  

VII. INVESTMENTS and TRUSTS -income, value, transactions (lnc/11des those spouse and dependent cltildren; see PP -60 filing 
instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  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.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: =$( .000 less =$t ,001 -$2.500 =$2.50t  $5.000  D=$5.00I -$15.000 =$1 5.00 -$50,000  
(Sec Columns and 04) =$50.00t -$1 00.000 =$100.00 -$1 ,000,000 =$1 .000,001 -$5.000,000 =More than $5.000.000 Value Codes =$1 5.000 less  K=$1 5.001 -$50,000 =$50.001 -$1 00.000 =$100.001 -$250.000  
(Sec Columns and 03) =$250.001 -$500.000 =$500,00 -$1 .000,000 =$1.000.00t -$5,000.000 45,000.001 -$25,000,000 =$25.000.001 -$50,000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

5/15/20 
Wood, Kimba 
VII. INVESTMENTS and TRUSTS --income, va111e, transactions r1nc111des t110se spouse and dependent c1tildren; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
{including trust assets)  reporting period  ofreporting period  

(I) 
(2) (I) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (ifprivate  
(Q-W)  transaction) Income Gnin Codes: ,000 less ,00 -$2.500 $2.501 -$5,000  0=$5,001 -$15,000  E=$15.001 -$50,000  
(Sec Columns and 04) =$50.001 -$100.000 4100,001 -$1 .000.000  111 =$1 ,000.00 -$5.000.000  112 =More than $5.000.000 Value Codes =$1 5,000 less =$1 5.001 -$50.000 =$50,001 I00.000 =$100,001 -$250.000  
(Sec Columns and 03) =$250,001 -$500.000  0=$500,001 -$1 .000.000 =$1 ,000.001 -$5.000.000 =$5.000.00 -$25.000.000 =$25.000.001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appr aisal =Cost eal Estate Only) =Assessment =Cash Market  
(Sec Column =Book Value =Other stimated  

VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those spouse and dependent children; see PP -60 instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (2) (3) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (ifprivate  
(Q-W)  transaction)  

52. GOLAR LNG LTD COMMON STOCK  Dividend  Buy  05/08/12  
53.  Sold (part)  12/241  
54.  Sold  12/26/12  
55. HALLIBURTON COMMON STOCK  Dividend  Sold  03/2 1/12  
56. INERGY (SEE NOTE SECT VIII)  None  Buy  04/04/  
57.  Buy (add'!)  04/05/12  
58.  Buy (add'!)  04/12/12  
59.  Buy (add'!)  04/23/12  
60.  Distributed (part)  05/15/12  
61.  Distributed (part)  08/14/12  
62.  Distributed (part)  11/14/12 !SHARES SP MID CAP 400 GROWTH COMMON STOCK  Dividend  
64. JPMORGAN CHASE COMMON STOCK  Dividend  Buy  01/1 1/12  
65.  Buy (add'!)  04/12112  
66. LENDER PROCESSING SERV COMMON STOCK  Dividend  Buy  02/03/12  
67.  Buy (add'!)  03/08/12  
68. MARKET VECTOR AGRIBUS ETF COMMON STOCK  Dividend Income Gain Codes: =$1 .000 less =$I ,00 -$2 ,500 =$2.501 -$5.000 45.001 -$1 5.000 =$15.001 -$50.000  
(Sec Columns and 04) =$50.001 -$1 00.000 =$1 00,00 -$1 .000.000  ill =$1 .000.001 -$5.000.000 =More than $5.000.000 Value Codes =$15.000 Jess  K=$1 5,00J -$50.000 =$50.001 -$1 00.000 =$1 00.001 -$2 50.000  
(Sec Columns and 03) =$250.00 -$500.000 =$500,00 -$1 ,000.000 =$1.000.001 -$5,000,000 =$5.000.00 -$2 5,000.000 =$2 5.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column =Book Value  V=Othcr =Estimated  

VII. INVE TMENTS and --income, va/11e, transactions (lnc/11des those spo11se and dependent children; see PP -60 filing instr11ctions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(includin trust assets)  reporting period  ofreporting period  

(I) (I) (2) (3) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Codes: =$1 .000 less =$1,001 -$2.500 =$2.501 -$5.000 45.001 -$15.000  E=$1 5.00l -$50.000  
(Sec Columns and 04) 450.001 -$1 00.000 =$1 00.001 -$1 .000.000  Ill =$1 .000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$1 5.000 less  K=$1 5,001 -$50.000 =$50.001 -$1 00.000 100.00 -$250.000  
(Sec Columns and 03) =$250.001 -$500,000 =$500,00 -$1 .000.000 =$1 .000.001 -$5.000.000  1'2 =$5.000.00 -$25.000.000 =$25.000,00 -$50,000,000 =More than $50.000.000 Value Metho Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr stimated  

VII. INVESTMENT and --income, va/11e, transactions (lnc/11des those spo11se and dependent children; see PP -60 filing instmctions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(2) (2) (4) 
(5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mmldd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: =$1 .000 less  B41 .00! -$2.500 $2.50 -$5.000 45.001 -$15.000 =$15.001 -$50,000  
(Sec Colunm and D4) =$50.001  00.000 =$! 00,001 -$1 .000.000  Ill =$1 .000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$1 5.000 less =$15.001 -$50.000 $50.001 -$1 00.000 =$! 00.001 -$250.000  
(Sec Columns and 03) =$250.00  $500.000 =$500,00 -$1 ,000.000 =$1 .000.001  $5.000.000  1'2 =$5.000.00 -$25,000.000  
1'3 =$25.000,001 -$50.000,000  1'4 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estinw tcd  

VII. INVESTMENTS and TRUSTS --income, vatue, transactions (Includes those spouse and dependent c1iilt1ren; see PP 34-60 offitinc 
instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trnst assets)  reporting period  ofreporting period  

(I) (2) (I) (2) (I) (2) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm!dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

103.  Buy (add'!)  04/12/12  
104.  SOLAR SENIOR CAP LTD COMMON STOCK  Dividend  Buy  02107112  
105.  Buy (add'!)  04/02/  
106.  Buy (add'!)  04/03/  
107.  Buy (add'!)  11/20/12  
108.  SPDR SP BANK ETF COMMON STOCK  Distribution  
109.  SPDR SP MIDCAP 400 ETF TRUST COMMON STOCK  Dividend  Buy  05/29/  SPIRIT REALTY CAPITAL INC COMMON STOCK  None  Buy  11/20/12  
111  Buy (add'!) 1/21/  STARWOOD PROPERTY TRUST INC COMMON STOCK  Dividend  Sold (part)  02/01/  Sold (part)  03106112  
114.  Sold  03107112  SUBURBAN PROPANE PTNRS (SEE NOTE SECT VIII)  None  Spinoff (from line 56)  09/14/12  Sold (part)  09114112  Sold  09/  TEVA PHARMACEUTICALS COMMON STOCK  Dividend  Buy  01105112  
119.  Sold  05/11/12 
Income Gain Codes: =$1 .000 less =$1 .001 -$2,500 $2.501 -$5.000 045.001 15.000 5.00 -$50.000 (Sec Columns and D4) =$50.001 -$100.000 =$100,001 -$1.000.000 111 =$1,000.001 -$5.000.000 IJ2 =More than $5.000.000 Value Codes =$15.000 less =$15.001 
-$50.000 $50.00 I00.000 =$!00.001 -$250.000 

(Sec Columns and 03) =$250.001 -$500.000 =$500.00 -$1.000.000 =$1.000.001 -$5,000.000 =$5,000.001 -$25,000.000 =$25.000.00 -$50.000.000 =More than $50.000.000 
Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment ""Cash Market (Sec Colm C2) =Book Value =Other =Estimated 

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP -60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (ifprivate  
(Q-W)  transaction) Income Gain Codes: .000 less ,001 -$2,500 $2.501 -$5.000  D$5,00l -$1 5,000 5.001 -$50,000  
(Sec Colu mns and 04) $50,001 -$100.000 4100,001 -$1 ,000,000 .000.00 -$5.000.000  112 More than $5,000.000 Valu Codes 5.000 less  K$1 5,001 -$50.000 $50.001 -$1 00.000 $100,001 -$250,000  
(Sec Colu mns and 03) $250.00 -$500,000 $500, 001 -$1 ,000.000 ,000,001 -$5,000.000 $5,000.00 -$25,000,000 $25.000.00 -$50.000.000 More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Scc Colu =Book Value  V=Other =Estimated  

VII. INVESTMENTS and TRUSTS --income, value, transactions (lnc/11des those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(1) 
(2) (2) (1) (2) (3) (5) 
Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity Code

div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (A-H) (if private 
(Q-W) transaction) Income Gain Codes: A41.000orlcss 841,00J -$2,500 $2.501 -$5.000 45.001 -$15.000 =$15.001 -$50,000 (Sec Columns and 04) =$50,001 -$100.000 4ioo.001 -$1.ooo.ooo Ill =$1 .000,001 -$5.000.000 112 More than $5,000,000 Value Codes =$I 5,000 less =$1 5.001 -$50.000 =$50.001  00.000 =$1 00.001 -$250.000  
(Sec Columns and 03) $250,00 -$500.000  0=$500.00 .000.000 ,000,001 -$5,000.000 =$5.000,001 -$25,000,000 =$25,000.00 -$50,000.000 More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP -60 filing ins1r11ctions.J NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including tmst assets)  reporting period reporting period  

(I) (2) (2) (3) (4) 
(5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: .000 less ,001 -$2,500 =$2.501 -$5,000 =$5.001 -$1 5.000 =$15.001 -$50,000  
(Sec Columns and 04) =$50.001 -$1 00.000 =$100,00 -$1 .000,000 =$1 ,000.00 -$5.000.000  112 =More than $5.000.000 Value Code =$1 5.000 less =$1 5,001 -$50.000 =$50.00 -$I 00.000 =$100.001 -$250.000  
(Sec Columns and 03) =$250.00 -$500,000 =$500,00 -$1 .000.000 =$1 .000.001 -$5.000.000  1'2 =$5.000,001 -$25,000.000 =$25.000.001 -$50.000.000 =More than $50.000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessm ent ""Cash Market  
(Sec Column =Book Value  V=Other =Estimated  

VII. INVESTMENTS and TRUSTS --income, value, transactions (lnc/11des those ofspo11se and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (I) (2) (3) (4) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (ifprivate  
(Q-W)  transaction) Income Gain Codes:  A$I,000or less $1.001 -$2. 500 $2.501 -$5.000 $5.001 -$1 5.000  E$I5.00l -$50.000  
(Sec Colum and 04) $50.00 -$1 00.000 00.001 -$1 .000.000  Ill .000.00 -$5.000.000  112 More than $5.000.000 Value Codes $15.000 less $15,001 -$50.000 $50.001 -$1 00. 000 4100. -$250.000  
(Sec Colum and D3) 4250.001 -$500.000 $500.00 1.000.000 .000.00 -$5.000. 000  1'2 $5.000.001 -$25.000.000 $25.000.00 -$50.000.000 More than $50.000. 000 Value M_cthod Codes =Appraisal o:::Cost (Real Estate ly) =Assessm ent =Cash Market  
(Sec Col urn C2) =Book Value  V=Othcr =Estim ated  

VII. INVESTMENTS and TRUSTS --income, va111e, transactions r1nc1udes those spouse and dependent children; see PP -60 instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross va]ue end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (I) (2) (I) (3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: .000 css 1.00l -$2.500 $2.50  $5.000  0$5.001-$1 5.000 5.001. $50.000  
(Sec Columns and 04) $50.001  00.000 $100.001  .000.000 .000.00  $5.000.000 More than $5.000.000 Value Codes 5.000 less 5.001 -$50.000 $50.001  00.000 00.001  $250.000  
(Sec Columns and 03) 4250.001  $500.000 4500.00  .000. 000  l'I .000. 001  $5.000.000  1'2 $5.000.00 $25.000,000 $25.000.00  $50.000.000  1'4 More tha $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate ly) =Assessm ent =Cash Market  
(Sec Column C2) =Book Value  vOthcr =Estimated  

VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc1udes those ofsptmse and dependent children; see PP 34-60 offitinc instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including tmst assets) reporting period reporting period 
(I) (2) (I) (2) (2) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm!ddlyy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

204.  CHEVRON CORP  Dividend  Buy  0211 5112  
205.  CME GROUP  Dividend  Sold  01110112  
206.  Buy  02/02/12  
207.  Sold  08/02/12  
208.  CREXUS INVESTMENT CORP  Dividend  Buy (add'!)  03121112  
209.  DANAHER CORP  Dividend  
210.  DOUBLELINE TOT RETURN MUTUAL FUND  Dividend  Buy  01104112  Buy (add'!)  02117/12  
212.  Sold (part) 5/12  
213.  EATON VANCE TAX MGD DIV EQU  Dividend  Buy  01/26/12  
214.  EMC CORP MASS  None  Buy  10/22/  ENSCO PLC SPON ADR  Dividend  Buy  02/24/12  
216.  Sold  03/28/12  
217.  Buy  05/24/12  
218.  
 Buy (add'!)  05/3 1/12  
219.  GOLAR LNG LTD  Dividend  Buy  05109112  
220.  Sold (part)  12/24112 Income Gain Code =$1 .000 Iess 41,001 -$2,500 =$2,501 -$5. 000 =$5.001 -$1 5.000  E=$1 5.001 -$50,000  
(Sec Columns and D4) =$50.001 -$1 00. 000 =$1 00,001 -$1. 000. 000  fll =$1 ,000,00 -$5,000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$1 5.001 -$50. 000 =$50,001 -$100,000 =$100.001 -$250, 000  
(Sec Columns and 03) =$250. -$500.000 =$500,00 -$1 ,000. 000 =$1,000,001 -$5,000.000  1'2 =$5.000.001 -$25,000.000 =$25.000.001 $50. 000.000 =More than $50,000,000 Value Method Code =Apprai sal =Cost (Re Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

VII. INVESTMENTS and TRUSTS -income, va111e, transactions r1nc111des those spouse and dependent children; see PP -60 offilinc instructions.) NONE (No reportable income, assets, transactions.) 

Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period ofreporting period 
(I) (I) (2) (I) (2) (3) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd!yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) Income Gain Codes: =$1 .000 less  8=$1,001 -$2.500 $2.501 -$5.000  0=$5.001 -$1 5,000 =$1 5,00 -$50,000  
(Sec Columns and 04) =$50,001 -$100,000 =$100,001 -$1 .000.000 =$1 .000,00 -$5.000,000  112 =More than $5,000.000 Value Codes =$1 5.000 less =$15,001 -$50.000 =$50.001 -$1 00.000 =$100.001 -$250.000  
(Sec Columns and 03) =$250.001  $500.000 =$500,00 -$1 .000.000 =$1 ,000.00  $5,000.000 =$5,000.00 -$25,000.000 =$25.000.00 -$50,000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

VII. INVESTMENTS and TRUSTS --income, value, transactions r1nc111des those spouse and dependent children; see PP -60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including tmst assets)  reporting period reporting period  

(2) 
(1) 
(2) (3) (5) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain ldentity 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) 
(J-P) Code redemption) (A-H) (ifprivate 
(Q-W) transaction) Incom Gain Codes: .000 less =$1 .001 -$2.500 =$2.501 -$5.000 =$5,001 -$15,000 =$1 5,001 -$50.000  
(Sec Colum and D4) =$50.001 -$1 00.000  G=$1 00.00 -$l ,OOO.OOO =$1 .000,001 -$5,000.000  112 =More than $5.000,000 Value Codes =$15.000 less  K=$15.001 -$50,000 =$50,001 -$1 00,000 =$1 00,001 -$250.000  
(Sec Colum and D3) =$250.00 -$500.000 =$500,00 ,000.000 =$1,000.001 -$5,000.000  1'2 =$5.000.00 -$25,000.000 =$25.000.00 -$50.000.000 =More than $50,000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessm ent =Cash Market  
(Sec Colum C2) =Book Value  V=Othcr =Estim ated  

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  

(I) (2) (2) (2) (3) (4) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) Income Gain Codes: =$1 .000 less .001 -$2.500 =$2. 501 -$5.000  D=$5. 00! 15.000  
(Sec Columns and 04) =$50.001 -$! 00. 000 =$I 00. -$1 ,000.000 =$1 ,000. 001 -$5.000.000  112 =More than $5.000,000 Value Codes =$15.000 less 415,001 -$50. 000 =$50,00 -$I 00. 000 =$!00.001 -$250. 000  
(Sec Columns and 03) =$250.001 -$500.000 =$500,00 -$1. 000.000 =$1 ,000.00 -$5.000. 000 =$5. 000.00 -$25.000. 000 =$25.000. 001 -$50.000. 000 =More than $50. 000. 000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Other =Estimated =$1 5.001 -$50.000 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (I) (2) (I) (2) 
(4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) Jncomc Gain Codes: I.000 less ,001 -$2,500 $2.501 -$5.000 =$5.001 -$15.000  E415.001 -$50.000  
(Sec Columns and 04)  F$50.00! -$100.000 4100.00 -$1 .000.000 .000,001 -$5.000.000  112 More than $5.000.000 Value Codes 5.000 less 5.001 -$50.000  L$50.001 00.000 =$1 00.00 -$250.000  
(Sec Columns and 03) $250.00 -$500.000 4500,00 -$1 .000.000 $1.000.001 -$5.000.000  1'2 =$5.000.001 -$25.000.000 $25.000.00 -$50.000.000 More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

VII. INVESTMENTS and TRUSTS --income, va111e, transactions r1nc111des those spouse and dependent children; see PP -60 fl/inc instructions.; NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including tmst assets)  reporting period reporting period  

(I) (2) (I) (I) (3) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

289.  SONIC CORP  None  
290.  THE TRAVELERS COS  Dividend  UNILEVER  Dividend  
292.  UNITED PARCEL SERVICE  Dividend  Sold (part)  06/26/12  
293.  Sold (part)  07/23/12  
294.  Sold (part) /13/12  
295.  Sold l/14/12  
296.  UNUM GROUP  Dividend  Sold (part)  10/24/12  
297.  VIACOM  Dividend  
298.  WALGREEN  Dividend  
299.  WALMART STORES  Dividend  
300.  XEROX  Dividend  Sold (part)  01/31 /12  Sold  04/18/12  
302.  MLPS (LINES 303-357 EXCEPT 323) (SEE NOTE SECT VIII)  
303.  APOLLO INVESTMENT CORP  Dividend  Buy  02/08/12  
304.  BUCKEYE PTNRS  None  Buy (add'I)  02/16/12  
305.  Distributed (part)  02/29/12 Income Gain Codes: .000 less =$1 ,001 -$2.500 =$2 .50 -$5 .000 =$5.001  5.000 =$1 5.00 -$50.000  
(Sec Columns and 04) =$50.001 -$100.000 4100.001 -$1 .000.000 =$1 .000.001 -$5.000.000  112 =More than $5,000.000 Value Codes =$15.000 less =$1 5.001 -$50.000 =$50.001 -$100.000 100.001 -$250.000  
(Sec Columns and 03) =$250.001 -$500.000 =$500,001 -$1 .000.000 =$1.000.00 -$5,000.000  1'2 =$5,000,00  $25,000,000  
1'3 =$25.000.001  $50.000.000 =More than $50.000.000 yaluc Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

VII. INVESTMENTS and TRUSTS --income, va111e, transactions r1nc111des those spouse and dependent children; see pp. 34-60 filing ins1r11c1ions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (I) (2) (2) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (ifprivate  
(Q-W)  transaction) Income Gain Codes: =$1 .000 less =$I ,00 -$2.500 =$2.501 -$5.000  0=$5.001 -$1 5.000  E=$Jl.001 -$50.000  
(Sec Columns and D4) =$50.001 00.000 =$100.00 -$1 .000.000  Ill =$1 .000,001 -$5,000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$1 5,001 -$50,000 =$50.001 -$1 00.000 =$1 00.00 -$250.000  
(Sec Columns and 03) =$250.00 -$500.000 =$500,00 -$1 ,000.000 =$1 ,000.00 -$5,000.000 =$5.000.001 -$25,000.000  
1'3 =$25.000.00 -$50,000,000  1'4 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

Page 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc111des those spouse and dependent children; see PP 34-60 instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (2) (2) 
(4) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: ,000 less ,001 -$2,500 =$2.50t -$5.000  D$5,00l 5.000 5.001 -$50.000  
(Sec Columns and 04) =$50,001 -$1 00,000 00,00 -$1,000.000  lit .000.001 -$5.000.000  112 More than $5.000,000 Value Codes 5,000 less 5.001 -$50.000 =$50.001 -$1 00.000 $100.001 -$250,000  
(Sec Columns and 03) $250,00 -$500.000 4500.001 -$1 .000.000 $1.000,001 -$5,000.000  1'2 $5.000.00 -$25,000.000 $25.000.00 -$50.000.000  1'4 More than $50,000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=oOther =Estimated  

VII. INVESTMENTS and TRUSTS --income, value, transactions (lnclttdes those spouse and dependent children; see PP 34-60 ofjili11g instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (3) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller Income Gain Codes: =$1 .000 less =$1 ,001  $2,500 =$2,501  $5.000 =$5.001 -$1 5,000 =$1 5.001 -$50,000  
(Sec Cohunns and 04) =$50.001  00.000 =$1 00.001 -$1 .000.000  Ill =$1 .000.001 -$5,000,000 =More than $5.000.000 Value Codes =$1 5.000 less =$15.001 -$50.000 =$50.00 -$I 00.000 =$100.00 -$250.000  
(Sec Columns and 03) =$250.001 -$500.000 =$500,001 -$1 .000.000 =$1.000.00 -$5.000.000 =$5.000.00  $25,000,000  
1'3 =$25.000.00  $50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment ""Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those ofspo11se and dependent children; see PP 34-60 filing instructions.) NONE. (No reportable income, assets, transactions.) Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period ofreporting period 
(I) (2) 	(I) (2) (l) (2) (3) (4) 
Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code Iexempt from prior disclosure 
div., rent, Code 	Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) 	Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
357.  Distributed (part)  11/13/12  
358.  CASH/SIT INVESTS/MM ACCTS (LINES 359-373)  
359.  GOLDMAN SACHS FINANCIAL SQUARE MM/CASH  Interest  
360.  GOLDMAN SACHS BANK DEPOSIT/ CASH  Interest  
361.  CITIBANK CHECKING ACCOUNT FOUNDATION  None  
362.  CITIBANK INTEREST CHECKING ACCOUNT  Interest  
363.  MORGAN STANLEY BANK/TRUST DEPOSITS  Interest  
364.  CITIBANK CHECKING ACCOUNT  None  
365.  CITIBANK ASSET ACCOUNT  None  
366.  CITIBANK MONEY MARKET PLUS  Interest  
367.  CITIBANK INTEREST CHECKING ACCOUNT  Interest  
368. STREET INST LIQUID RESERVES MM/CASH  Dividend  
369.  BARCLAYS CASH (SEE NOTE SECT VIII)  Interest  
370.  UBS BANK USA DEPOSIT ACCOUNT (SEE NOTE SECT VIII)  Interest  Open 1/07112  
371.  CGMI BANK DEPOSIT PROGRAM  Interest  
372.  MORGAN STANLEY BANK/TRUST DEPOSITS  Interest  
373.  MORGAN STANLEY BANK/TRUST DEPOSITS  Interest Income Gain Codes: =$1 ,000 Jess =$! ,001 -$2.500 =$2 .50 -$5 .000 =$5.001 -$1 5.000 =$1 5.001 -$50.000  
(Sec Columns and D4) =$50.001 -$1 00.000 =$100,001 -$1,000.000  Ill =$1 .000.001 -$5.000,000  IJ2 =More than $5.000.000 Value Codes =$1 5,000 less  K=$1 5,00l -$50,000 =$50.001 -$100.000 =$1 00,001 -$250.000  
(Sec Columns and 03) =$250.001 -$500,000 =$500,001 -$1 ,000.000 =$1 .000.00 -$5.000.000  1'2 =$5.000.001 -$25.000.000 =$25,000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Other =Estimated  

5/15/20 
Wood, Kimba 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those spouse and dependent children; see PP -60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (I) (2) (I) (2) (3) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code 
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) 
Code redemption) (J-P) (A-H) (if private (Q-W) transaction) Income Gain Codes: =$1 ,000 less =$1,001 -$2,500 =$2.501 -$5.000 =$5.001 -$15.000 =$15.001  $50,000  
(See Columns and D4) =$50,001 -$1 00,000 =$! 00,001 -$1 .000.000  Ill =$1 .000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$1 5,000 less =$1 5.001  $50,000 =$50.001  00.000 =$I 00.00  $250.000  
(Sec Columns and D3) =$250,001 -$500.000 =$500,00 -$1.000.000 =$1 .000.00 -$5,000.000  1'2 =$5.000.001  $25.000.000 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

VII. INVESTMENTS and TRUSTS --income, value, transactions (Inc/11des those spouse and dependent children; see PP 34-60 instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during  reporting period  
(including tmst assets)  reporting period reporting period  
(1)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  Buy (add'!)  09110112  
392.  Buy (add'!)  12/1 1/12  
393.  ANNALY CAPITAL MGMT INC  Dividend  Sold  04125112  
394.  APOLLO INVESTMENT CORP  Dividend  Buy (add'!)  02113112  
395.  Buy (add'!)  02/22/12  
396.  Buy (add'!)  0411 1112  
397.  Sold (part)  05/30/12  
398.  Sold (part)  07/13/12  
399.  Buy (add'!)  08/08/12  
400.  ASHFORD HOSPITALITY INC  Dividend  Buy  02/22/12  Buy (add'!)  02/23/12  
402.  Buy (add'!)  07/3 1/12  
403. VENUE INCOME CREDIT  Dividend  Sold (part)  01130112  
404.  Buy (add'!)  03/09/12  
405.  Sold (part)  07/13112  
406.  CHEVRON CORP  Dividend  Buy  0411 1112  
407.  CME GROUP INC  Dividend  Sold  01/10/12 	Income Gain Codes: =$1 .000 less =$1 ,001 -$2.500 $2.501 -$5.000 =$5.001 -$15,000 415.001 -$50,000 (Sec Columns and 04) =$50.001 -$!00,000 4100.001 -$1.000.000 Ill =$1.000.001 -$5.000,000 112 =More than $5.000,000 
Value Codes =$15.000 less =$15.001 -$50.000 $50.001 -$100,000 =$!00,001 -$250,000 

(Sec Columns and D3) =$250.00 -$500.000 =$500,00 -$1.000.000 $1,000,001 -$5.000,000 1'2 =$5,000,001 -$25,000,000 =$25,000,001 -$50.000.000 1'4 =More than $50.000.000 
Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (Sec Column C2) V=Othcr =Book Value =Estimated 

VII. INVESTMENTS and TRUSTS --income, va111e, transactions r1nc111des those ofspo11se and dependent children; seep. 34-60 if filing ins1r11ctions.J NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code3  redemption)  (J-P)  (A-H)  (ifprivate  
(Q-W)  transaction)  

408.  Buy  02102112  
409.  Sold  08/02/12  
410.  CREXUS INVESTMENT CORP  Dividend  DANAHER CORP  Dividend  
412.  DOUBLELINE TOTAL RETURN  Dividend  Buy  01104112  
413.  Buy (add'!)  02/17/12  
414.  Sold (part) /15/12  
415.  EATON VANCE TAX MGD DIV EQU FUND  Dividend  Sold (part)  03/28/12  
416.  EMC CORP MASS  None  Buy  10122112  ENERGY SEL SECT SPDR  Dividend  ENSCO PLC SPON  Dividend  Buy  02/24/12  
419.  Buy (add'!)  0312311  
420.  Sold  03/28/12  Buy  05/24/12  
422.  Buy (add'!)  05/3 1/12  
423.  GOLAR LNG INC  Dividend  Buy  05/09/12  
424.  Sold (part)  12/24/ Income Gain Codes: =$1 .000 less =$1.001  $2,500 $2.501  $5,000  045.001 5.000 =$15,001 -$50,000  
(Sec Columns and 04) =$50,001 -$1 00.000 =$1 00.00 -$1 ,000,000  Ill =$1 .000,001 -$5.000.000 =More than $5.000.000 Value Codes =$1 5.000 less =$15,001 -$50.000 =$50.001 -$100,000 00.00 -$250.000  
(See Columns and 03) 4250.001 -$500.000 =$500,00 -$1 ,000.000 $1.000.001 -$5.000.000 =$5.000.001 -$25,000.000 =$25.000.00 -$50,000.000 =More than $50,000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment ""'Cash Market  
{Sec Column C2) =Book Value =Other =Estimated  

VII. INVESTMENT and --income, value, transactions (lnc/11des those spouse and dependent children; see PP -60 filing ins/ructions.) NONE (No reportable income, assets, transactions.) Description Assets Income during Gross value end Transactions during reporting period 

(including trust assets) reporting period reporting period 
(I) (2) (I) (2) (I) (3) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code 
exempt from prior disclosure 
div., rent', Code Method buy, sell, mm/dd/yy Code Code buyer/seller income Gain Codes: =$I .000 less  B41,00I -$2.500 =$2.501  $5.000  045,001 -$1 5.000 =$1 5,001 -$50,000  
(Sec Columns and D4) =$50,001 -$1 00,000  Ill =$1 ,000.001 -$5,000.000  ll2 =More than $5,000,000 Value Codes =$15.000 less =$50.00 -$I 00.000 =$!00.001 -$250,000  
(Sec Columns and D3) =$250,001  $500,000 =$500,001 ,000.000 =$1 ,000.001  $5,000.000 =$5,000.001 -$25,000,000 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal ""'Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) ""Book Value =Other =Estimated  

VII. INVESTMENTS and TRUSTS --income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing insrructions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(I) (2) (I) (I) (2) (3) (5) 

Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) 
Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
442.  Buy (add'!)  04/05/12  
443.  Buy (add'!)  04109112  
444.  Buy (add'l)  04110112  
445.  NFJ DIVIDEND INT PRE STRGY  Dividend  Sold  04109112  
446.  PROSPECT CAPITAL CORP  Dividend  Sold (part)  02/17/12  
447.  Sold  02121112  
448.  QUALCOMM INC  Dividend  
449.  SANDRIDGE ENERGY INC  None  Buy (add'!)  02102112  
450.  Sold  04127112  SCHLUMBERGER LTD  Dividend  
452.  SEADRILL LTD  Dividend  Buy (add'!)  0411 1112  
453.  SOLAR CAPITAL LTD  None  Sold (part)  01125112  
454.  Sold  02103112  
455.  SOLAR SENIOR CAPITAL LTD  Dividend  Buy  01125112  
456.  Buy (add'!)  01126112  
457.  Buy (add'!)  01130112  
458.  Buy (add'!)  01131 112 Income Gain Codes: =$1.000 Jess B41,00l -$2.500 =$2.501 -$5,000 =$5,001 -$15.000 =$15.00 -$50.000 (Sec Columns and D4) =$50,001 -$!00.000 =$I 00.00 -$1 ,000.000 41,000,001 -$5.000,000 112 =More than $5.000.000 
Value Codes 415.000 less 415,001 -$50.000 =$50.00 -$100.000 =$!00,001 -$250.000 

(Sec Columns and D3) =$250.001 -$500.000 =$500.00 -$1.000,000 =$1,000.001 -$5,000.000 =$5.000.001 -$25,000.000 =$25,000.00 -$50.000.000 
Value Method Codes =Cost (Real Estate Only) =Cash Market =Appraisal 
(Sec Column C2) V=Othcr =Book Value 
VII. INVESTMENTS and TRUSTS -income, va111e, transactions r1nc111des those spouse and dependent children; see pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions