-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PhiRY9+qZN3jM1J5iKIBoMGwBPNW61ANW11lw3/5Pl/ATalPfZNktioPfcZDDkdn 4TxbBLDTn7viAnLVCc5EMA== 0001113672-10-000978.txt : 20110131 0001113672-10-000978.hdr.sgml : 20110131 20101207172942 ACCESSION NUMBER: 0001113672-10-000978 CONFORMED SUBMISSION TYPE: N-MFP PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101130 FILED AS OF DATE: 20101207 DATE AS OF CHANGE: 20101207 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CHARLES SCHWAB FAMILY OF FUNDS CENTRAL INDEX KEY: 0000857156 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-MFP SEC ACT: 1933 Act SEC FILE NUMBER: 811-05954 FILM NUMBER: 101238130 BUSINESS ADDRESS: STREET 1: 211 MAIN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 BUSINESS PHONE: 1-800-648-5300 MAIL ADDRESS: STREET 1: 211 MAIN STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94105 FORMER COMPANY: FORMER CONFORMED NAME: SCHWAB CHARLES FAMILY OF FUNDS DATE OF NAME CHANGE: 19920703

0000857156 S000004509 Schwab Retirement Advantage Money Fund

C000012386 Schwab Retirement Advantage Money Fund SWIXX

N-MFP 1 primary_doc.xml N-MFP N-MFP LIVE N 2010-11-30 0000857156 S000004509 1 N N N N 033-31894 Charles Schwab Investment Management, Inc. 801-35905 PricewaterhouseCoopers LLP San Francisco CA Charles Schwab Investment Management, Inc. Boston Financial Data Services, Inc. 0000275143 84-00896 N N N Prime 46 71 867162443.00 337158.28 63227.50 867436373.78 0.0034 1.0001 2010-11-30 1.0001 2010-11-30 C000012386 1.00 867436373.79 1.00 -11514044.65 41120675.68 52634720.33 0.0001 1.0001 2010-11-30 1.0001 2010-11-30 Royal Bank of Scotland Plc Royal Bank of Scotland Plc 1.000000% B0B99Z001 0000729153 Certificate of Deposit N First Tier Security N/A N/A 2011-08-24 2011-08-24 N N N 10000000.00 10000000.00 0.0115 N 10026400.00 10026400.00 Australia & New Zealand Banking Group Ltd. Australia & New Zealand Banking Group Ltd. 0.230000% 052992005 Other Instrument Security is a time deposit. N First Tier Security N/A N/A 2010-12-01 2010-12-01 N N N 9000000.00 9000000.00 0.0104 Security is a time deposit. N 9000000.00 9000000.00 Deutsche Bank Securities Inc. Deutsche Bank Securities Inc. 0.250000% 21599B009_0.2500 0001074042 Government Agency Repurchase Agreement Y GNMA 2034-05-16 4.920000 Government Agency Debt 31589053.00 33756893.88 GNMA 2039-12-16 0.783400 Government Agency Debt 32486028.00 21457125.53 GNMA 2040-05-20 4.500000 Government Agency Debt 31827641.00 33185981.06 First Tier Security N/A N/A 2010-12-01 2010-12-01 N N N 85000000.00 85000000.00 0.0980 N 85000000.00 85000000.00 Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC 0.240000% 22799D001_0.2400 0001230485 Government Agency Repurchase Agreement Y Freddie Mac 2040-10-20 6.000000 Government Agency Debt 17885000.00 19717874.95 Unrated Security N/A N/A 2010-12-01 2010-12-01 N N N 19330118.00 19330118.00 0.0223 N 19330118.00 19330118.00 Credit Agricole S.A. Credit Agricole S.A. 0.320000% 255998007 Certificate of Deposit N First Tier Security N/A N/A 2011-02-01 2011-02-01 N N N 3000000.00 3000000.00 0.0035 N 2999940.00 2999940.00 Societe Generale Societe Generale 0.320000% 83399Z008 Certificate of Deposit N First Tier Security N/A N/A 2010-12-03 2010-12-03 N N N 4000000.00 4000000.00 0.0046 N 4000000.00 4000000.00 DnB NOR Bank ASA DnB NOR Bank ASA 0.400000% 985HZV006 Certificate of Deposit N First Tier Security N/A N/A 2011-02-18 2011-02-18 N N N 10000000.00 10000000.00 0.0115 N 10002900.00 10002900.00 Nationwide Building Society Nationwide Building Society 0.530000% 985KRNII8 Certificate of Deposit N First Tier Security N/A N/A 2011-03-02 2011-03-02 N N N 3000000.00 3000037.81 0.0035 N 3001374.90 3001374.90 National Australia Bank Ltd. National Australia Bank Ltd 0.270000% 985NEU008 Certificate of Deposit N First Tier Security N/A N/A 2010-12-10 2010-12-10 N N N 1000000.00 1000000.00 0.0012 N 1000010.00 1000010.00 BNP Paribas BNP Paribas 0.440000% 985NWHII9 Certificate of Deposit N First Tier Security N/A N/A 2011-03-10 2011-03-10 N N N 5000000.00 5000000.00 0.0058 N 5001100.00 5001100.00 Intesa Sanpaolo Intesa Sanpaolo 0.370000% 985WZP006 Certificate of Deposit N First Tier Security N/A N/A 2011-01-04 2011-01-04 N N N 6000000.00 6000226.21 0.0069 N 6000240.00 6000240.00 Deutsche Bank Securities Inc. Deutsche Bank Securities Inc 0.410000% 991JCA005_0.4100 0001074042 Other Repurchase Agreement N CHIMERA INVT CORP COM 2010-11-30 N/A Other Instrument Common 0.00 50245.20 CIBER INC COM 2010-11-30 N/A Other Instrument Common 0.00 49999.11 CINCINNATI BELL INC NEW COM 2010-11-30 N/A Other Instrument Common 0.00 14932.35 CITIGROUP INC COM 2010-11-30 N/A Other Instrument Common 0.00 50239.90 ENTRAVISION COMMUNICATIONS CCL A 2010-11-30 N/A Other Instrument Common 0.00 52032.00 FURNITURE BRANDS INTL INC COM 2010-11-30 N/A Other Instrument Common 0.00 48582.78 GFI GROUP INC COM 2010-11-30 N/A Other Instrument Common 0.00 50214.60 GASTAR EXPL LTD COM NEW 2010-11-30 N/A Other Instrument Common 0.00 51052.32 GLOBAL CASH ACCESS HLDGS INCCOM 2010-11-30 N/A Other Instrument Common 0.00 48378.38 GRAPHIC PACKAGING HLDG CO COM 2010-11-30 N/A Other Instrument Common 0.00 52868.07 GRAY TELEVISION INC COM 2010-11-30 N/A Other Instrument Common 0.00 50252.40 HARBINGER GROUP INC COM 2010-11-30 N/A Other Instrument Common 0.00 49580.40 HEADWATERS INC COM 2010-11-30 N/A Other Instrument Common 0.00 50255.40 LEE ENTERPRISES INC COM 2010-11-30 N/A Other Instrument Common 0.00 35046.00 LIN TV CORP CL A 2010-11-30 N/A Other Instrument Common 0.00 50212.35 METROPOLITAN HEALTH NETWORKSCOM 2010-11-30 N/A Other Instrument Common 0.00 50351.73 MUELLER WTR PRODS INC COM SER 2010-11-30 N/A Other Instrument Common 0.00 49575.24 PARKER DRILLING CO COM 2010-11-30 N/A Other Instrument Common 0.00 50120.70 QUANTUM CORP COM DSSG 2010-11-30 N/A Other Instrument Common 0.00 49207.18 QUIKSILVER INC COM 2010-11-30 N/A Other Instrument Common 0.00 53469.86 RITE AID CORP COM 2010-11-30 N/A Other Instrument Common 0.00 48882.53 VANTAGE DRILLING COMPANY ORD SHS 2010-11-30 N/A Other Instrument Common 0.00 50608.42 First Tier Security N/A N/A 2010-12-06 2010-12-06 N N N 1000000.00 1000000.00 0.0012 Repurchase agreement collateralized by common stock and ETFs. N 1000000.00 1000000.00 Deutsche Bank Securities Inc. 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N 4000000.00 4000000.00 Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC 0.240000% 992JYD004_0.2400 0001230485 Government Agency Repurchase Agreement Y Fannie Mae 2035-05-25 0.503400 Government Agency Debt 4068875.00 2007267.55 Fannie Mae 2035-08-25 0.503400 Government Agency Debt 8410000.00 4112803.23 Unrated Security N/A N/A 2010-12-06 2010-12-06 N N N 6000000.00 6000000.00 0.0069 N 5999940.00 5999940.00 Goldman Sachs & Co Goldman Sachs & Co 0.600000% 992JYE002_0.6000 0000769993 Other Repurchase Agreement N AES CORP COM 2010-11-30 N/A Other Instrument Common 0.00 99998.88 ABBOTT LABS COM 2010-11-30 N/A Other Instrument Common 0.00 99999.99 AMERICAN INTL GROUP INC COM NEW 2010-11-30 N/A Other Instrument Common 0.00 99962.71 BJS WHOLESALE CLUB INC COM 2010-11-30 N/A Other Instrument Common 0.00 99970.88 BANK OF AMERICA CORPORATION COM 2010-11-30 N/A Other Instrument Common 0.00 99991.71 BOEING CO COM 2010-11-30 N/A Other Instrument Common 0.00 99951.08 BRISTOL MYERS SQUIBB CO COM 2010-11-30 N/A Other Instrument Common 0.00 99976.86 CIT GROUP INC COM NEW 2010-11-30 N/A Other Instrument Common 0.00 99999.81 CABLEVISION SYS CORP CL A NY 2010-11-30 N/A Other Instrument Common 0.00 99978.83 CAREFUSION CORP COM 2010-11-30 N/A Other Instrument Common 0.00 99981.00 DANAHER CORP DEL COM 2010-11-30 N/A Other Instrument Common 0.00 99962.31 DEVON ENERGY CORP NEW COM 2010-11-30 N/A Other Instrument Common 0.00 99982.74 GANNETT INC COM 2010-11-30 N/A Other Instrument Common 0.00 99997.75 GENERAL ELECTRIC CO COM 2010-11-30 N/A Other Instrument Common 0.00 527.01 LOWES COS INC COM 2010-11-30 N/A Other Instrument Common 0.00 99993.92 MASTERCARD INC CL A 2010-11-30 N/A Other Instrument Common 0.00 99877.44 MERCK & CO INC NEW COM 2010-11-30 N/A Other Instrument Common 0.00 99976.58 NISOURCE INC COM 2010-11-30 N/A Other Instrument Common 0.00 99996.66 PLAINS EXPL& PRODTN CO COM 2010-11-30 N/A Other Instrument Common 0.00 99994.10 VERIZON COMMUNICATIONS INC COM 2010-11-30 N/A Other Instrument Common 0.00 99974.60 SIGNET JEWELERS LIMITED SHS 2010-11-30 N/A Other Instrument Common 0.00 99968.88 ALCON INC COM SHS 2010-11-30 N/A Other Instrument Common 0.00 99946.08 First Tier Security N/A N/A 2011-02-17 2011-02-17 N N N 2000000.00 2000000.00 0.0023 Repurchase agreement collateralized by common stock and ETFs. 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Y 3001947.90 3001947.90 Goldman Sachs & Co Goldman Sachs & Co 0.600000% 992JYE002_0.6000_M110314 0000769993 Other Repurchase Agreement N AES CORP COM 2010-11-30 N/A Other Instrument Common 0.00 349996.08 ABBOTT LABS COM 2010-11-30 N/A Other Instrument Common 0.00 349976.72 AMERICAN INTL GROUP INC COM NEW 2010-11-30 N/A Other Instrument Common 0.00 349973.31 BJS WHOLESALE CLUB INC COM 2010-11-30 N/A Other Instrument Common 0.00 349990.56 BANK OF AMERICA CORPORATION COM 2010-11-30 N/A Other Instrument Common 0.00 349999.26 BOEING CO COM 2010-11-30 N/A Other Instrument Common 0.00 349989.68 BRISTOL MYERS SQUIBB CO COM 2010-11-30 N/A Other Instrument Common 0.00 349982.56 CIT GROUP INC COM NEW 2010-11-30 N/A Other Instrument Common 0.00 349979.58 CABLEVISION SYS CORP CL A NY 2010-11-30 N/A Other Instrument Common 0.00 349973.05 CAREFUSION CORP COM 2010-11-30 N/A Other Instrument Common 0.00 349991.00 DANAHER CORP DEL COM 2010-11-30 N/A Other Instrument Common 0.00 349976.41 DEVON ENERGY CORP NEW COM 2010-11-30 N/A Other Instrument Common 0.00 349974.82 GANNETT INC COM 2010-11-30 N/A Other Instrument Common 0.00 349998.75 GENERAL ELECTRIC CO COM 2010-11-30 N/A Other Instrument Common 0.00 542.98 LOWES COS INC COM 2010-11-30 N/A Other Instrument Common 0.00 349978.72 MASTERCARD INC CL A 2010-11-30 N/A Other Instrument Common 0.00 349806.60 MERCK & CO INC NEW COM 2010-11-30 N/A Other Instrument Common 0.00 349987.41 NISOURCE INC COM 2010-11-30 N/A Other Instrument Common 0.00 349996.74 PLAINS EXPL& PRODTN CO COM 2010-11-30 N/A Other Instrument Common 0.00 349979.35 VERIZON COMMUNICATIONS INC COM 2010-11-30 N/A Other Instrument Common 0.00 349974.90 SIGNET JEWELERS LIMITED SHS 2010-11-30 N/A Other Instrument Common 0.00 349970.80 ALCON INC COM SHS 2010-11-30 N/A Other Instrument Common 0.00 349971.45 First Tier Security N/A N/A 2011-03-14 2011-03-14 N N N 7000000.00 7000000.00 0.0081 Repurchase agreement collateralized by common stock and ETFs. Y 7004545.10 7004545.10 Barclays Capital Inc. Barclays Capital Inc 0.240000% 992JYM004_0.2400 0001484219 Government Agency Repurchase Agreement Y Fannie Mae 2040-05-25 4.500000 Government Agency Debt 2437925.00 2427285.90 GNMA 2039-09-20 4.500000 Government Agency Debt 2651533.00 2793663.12 GNMA 2040-08-20 0.756200 Government Agency Debt 13000000.00 12629051.34 Unrated Security N/A N/A 2010-12-06 2010-12-06 N N N 17000000.00 17000000.00 0.0196 N 16999830.00 16999830.00 Abbey National Treasury Services Plc Abbey National Treasury Services Plc 0.670000% 00279HTA4 Certificate of Deposit N First Tier Security N/A N/A 2011-03-29 2011-03-29 N Y Santander Uk Plc N/A N/A N 2000000.00 2000000.00 0.0023 N 2001180.00 2001180.00 Abbey National Treasury Services Plc Abbey National Treasury Services Plc 0.675000% 00279HUF1 Certificate of Deposit N First Tier Security N/A N/A 2011-05-02 2011-05-02 N Y Santander Uk Plc N/A N/A N 3000000.00 3000063.12 0.0035 N 3000180.00 3000180.00 Alpine Securitization Corp. Alpine Securitization Corp. 0.240000% 02086MM35 Asset Backed Commercial Paper N First Tier Security N/A N/A 2010-12-03 2010-12-03 N N Y Credit / Liquidity Credit Suisse AG N/A N/A 6000000.00 5999920.00 0.0069 N 5999880.00 5999880.00 Argento Variable Funding Company LLC Argento Variable Funding Co, LLC 0.490000% 04014BM24 Asset Backed Commercial Paper N First Tier Security N/A N/A 2010-12-02 2010-12-02 N N Y Credit / Liquidity Lloyds TSB Bank Plc N/A N/A 4000000.00 3999945.55 0.0046 N 3999920.00 3999920.00 Atlantis One Funding Corp. Atlantis One Funding Corp 0.230000% 04915UM63 Asset Backed Commercial Paper N First Tier Security N/A N/A 2010-12-06 2010-12-06 N N Y Cash Rabobank Nederland N/A N/A 10000000.00 9999680.56 0.0115 N 9999700.00 9999700.00 BNZ International Funding Ltd BNZ International Funding Ltd 0.290000% 0556X1M25 Financial Company Commercial Paper N First Tier Security N/A N/A 2010-12-02 2010-12-02 N Y Bank of New Zealand N/A N/A N 2000000.00 1999983.89 0.0023 N 1999980.00 1999980.00 BNP Paribas BNP Paribas 0.710000% 05566Q2X4 Certificate of Deposit N First Tier Security N/A N/A 2011-01-10 2011-01-10 N N N 1000000.00 1000000.00 0.0012 N 1000470.00 1000470.00 BNP Paribas BNP Paribas 0.610000% 05566Q3G0 Certificate of Deposit N First Tier Security N/A N/A 2011-01-28 2011-01-28 N N N 4000000.00 4000000.00 0.0046 N 4002040.00 4002040.00 BNP Paribas BNP Paribas 0.560000% 05566Q3K1 Certificate of Deposit N First Tier Security N/A N/A 2011-02-03 2011-02-03 N N N 1000000.00 1000000.00 0.0012 N 1000410.00 1000410.00 BNP Paribas BNP Paribas 0.500000% 05566Q4E4 Certificate of Deposit N First Tier Security N/A N/A 2011-06-17 2011-06-17 N N N 5000000.00 5000000.00 0.0058 N 5000000.00 5000000.00 BNP Paribas BNP Paribas 0.500000% 05566Q4G9 Certificate of Deposit N First Tier Security N/A N/A 2011-06-17 2011-06-17 N N N 13000000.00 13000000.00 0.0150 N 13000000.00 13000000.00 BNP Paribas BNP Paribas 0.300000% 05566Q4N4 Certificate of Deposit N First Tier Security N/A N/A 2011-01-03 2011-01-03 N N N 8000000.00 8000000.00 0.0092 N 8000000.00 8000000.00 BNP Paribas BNP Paribas 0.450000% 05566Q4U8 Certificate of Deposit N First Tier Security N/A N/A 2011-07-13 2011-07-13 N N N 4000000.00 4000000.00 0.0046 N 3997520.00 3997520.00 BNP Paribas BNP Paribas 0.460000% 05566Q4W4 Certificate of Deposit N First Tier Security N/A N/A 2011-07-15 2011-07-15 N N N 1000000.00 1000000.00 0.0012 N 999430.00 999430.00 Banco Bilbao Vizcaya Argentaria S.A. Banco Bilbao Vizcaya Argentaria S.A. 0.503400% 0594L8W56 Certificate of Deposit N First Tier Security N/A N/A 2010-12-07 2010-12-07 Y Banco Bilbao Vizcaya Argentari N/A N/A N N 5000000.00 5000000.00 0.0058 N 5000950.00 5000950.00 Banco Santander SA Banco Santander SA 0.640000% 05966DJB9 Certificate of Deposit N First Tier Security N/A N/A 2011-03-03 2011-03-03 N N N 9000000.00 9000000.00 0.0104 N 9006750.00 9006750.00 Bank of America, N.A. Bank of America, N.A. 0.280000% 06050Y5Q0 Other Note N First Tier Security N/A N/A 2010-12-01 2010-12-01 N N N 6000000.00 6000000.00 0.0069 N 6000000.00 6000000.00 Bank of America, N.A. Bank of America, NA 0.300000% 06050Y5Y3 Other Note N First Tier Security N/A N/A 2011-01-05 2011-01-05 N N N 6000000.00 6000116.58 0.0069 N 6000192.00 6000192.00 Bank of America, N.A. Bank of America, NA 0.320000% 06050Y6U0 Other Note N First Tier Security N/A N/A 2011-04-04 2011-04-04 N N N 1000000.00 1000000.00 0.0012 N 1000179.00 1000179.00 Bank of America, N.A. Bank of America, N.A. 0.320000% 06052WAC7 Other Note N First Tier Security N/A N/A 2011-03-23 2011-03-23 N N N 4000000.00 4000000.00 0.0046 N 3999956.00 3999956.00 Bank of America, N.A. Bank of America, NA 0.300000% 06052WAH6 Other Note N First Tier Security N/A N/A 2011-03-04 2011-03-04 N N N 6000000.00 6000000.00 0.0069 N 6000174.00 6000174.00 Bank of Tokyo Mitsubishi UFJ, Ltd. Bank of Tokyo Mitsubishi UFJ, Ltd. 0.420000% 06538AS89 Certificate of Deposit N First Tier Security N/A N/A 2010-12-16 2010-12-16 N N N 8500000.00 8500424.30 0.0098 N 8500510.00 8500510.00 Bank of Tokyo Mitsubishi UFJ, Ltd. Bank of Tokyo Mitsubishi UFJ, Ltd 0.300000% 06538A3B9 Certificate of Deposit N First Tier Security N/A N/A 2011-01-05 2011-01-05 N N N 1000000.00 1000000.00 0.0012 N 1000000.00 1000000.00 Bank of Tokyo Mitsubishi UFJ, Ltd. Bank of Tokyo Mitsubishi UFJ, Ltd. 0.520000% 06538A5E1 Certificate of Deposit N First Tier Security N/A N/A 2011-07-27 2011-07-27 N N N 1000000.00 1000000.00 0.0012 N 999670.00 999670.00 Bank of America Corp. Bank of America Corp. 0.290000% 0660P1M16 Financial Company Commercial Paper N First Tier Security N/A N/A 2010-12-01 2010-12-01 N N N 8000000.00 8000000.00 0.0092 N 7999920.00 7999920.00 Barclays Bank Plc Barclays Bank Plc 0.870000% 06738U5Z8 Certificate of Deposit N First Tier Security N/A N/A 2010-12-10 2010-12-10 N N N 5000000.00 5000000.00 0.0058 N 5000800.00 5000800.00 Barclays Bank Plc Barclays Bank Plc 0.720000% 06740MLZ4 Certificate of Deposit N First Tier Security N/A N/A 2011-05-04 2011-05-04 N N N 6000000.00 6000000.00 0.0069 N 6006660.00 6006660.00 Barclays Bank Plc Barclays Bank Plc 0.753400% 06740MQN6 Certificate of Deposit N First Tier Security N/A N/A 2010-12-15 2011-10-17 N N N 7000000.00 7000000.00 0.0081 N 6998740.00 6998740.00 CAFCO, LLC CAFCO, LLC 0.670000% 1247P3NJ7 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-18 2011-01-18 N N Y Letter of Credit Citibank NA N/A N/A 6000000.00 5994640.00 0.0069 N 5997840.00 5997840.00 CAFCO, LLC CAFCO, LLC 0.590000% 1247P3NL2 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-20 2011-01-20 N N Y Letter of Credit Citibank NA N/A N/A 2000000.00 1998361.11 0.0023 N 1999240.00 1999240.00 CAFCO, LLC CAFCO, LLC 0.340000% 1247P3P30 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-02-03 2011-02-03 N N Y Letter of Credit Citibank NA N/A N/A 1000000.00 999395.55 0.0012 N 999490.00 999490.00 CRC Funding, LLC CRC Funding, LLC 0.300000% 12619UNA5 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-10 2011-01-10 N N Y Letter of Credit Citibank NA N/A N/A 2000000.00 1999333.33 0.0023 N 1999420.00 1999420.00 CRC Funding, LLC CRC Funding, LLC 0.570000% 12619UP13 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-02-01 2011-02-01 N N Y Letter of Credit Citibank NA N/A N/A 2000000.00 1998036.67 0.0023 N 1999020.00 1999020.00 CRC Funding, LLC CRC Funding, LLC 0.550000% 12619UP39 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-02-03 2011-02-03 N N Y Letter of Credit Citibank NA N/A N/A 1000000.00 999022.22 0.0012 N 999490.00 999490.00 Cancara Asset Securitisation, LLC Cancara Asset Securitisation, LLC 0.300000% 1373X3NA1 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-10 2011-01-10 N N Y Letter of Credit Lloyds TSB Bank Plc N/A N/A 4000000.00 3998666.67 0.0046 N 3998680.00 3998680.00 Cancara Asset Securitisation, LLC Cancara Asset Securitisation, LLC 0.300000% 1373X3NE3 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-14 2011-01-14 N N Y Letter of Credit Lloyds TSB Bank Plc N/A N/A 3000000.00 2998900.00 0.0035 N 2998920.00 2998920.00 Cancara Asset Securitisation, LLC Cancara Asset Securitisation, LLC 0.300000% 1373X3NJ2 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-18 2011-01-18 N N Y Letter of Credit Lloyds TSB Bank Plc N/A N/A 4000000.00 3998400.00 0.0046 N 3998400.00 3998400.00 Chariot Funding, LLC Chariot Funding, LLC 0.240000% 15963UMF0 Asset Backed Commercial Paper N First Tier Security N/A N/A 2010-12-15 2010-12-15 N N Y Letter of Credit JPMorgan Chase Bank NA N/A N/A 6000000.00 5999440.00 0.0069 N 5999460.00 5999460.00 Ciesco LLC Ciesco LLC 0.580000% 17177MNA6 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-10 2011-01-10 N N Y Letter of Credit Citibank NA N/A N/A 8000000.00 7994844.44 0.0092 N 7997680.00 7997680.00 Citigroup Funding Inc. Citigroup Funding Inc. 0.490000% 17307SP71 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-02-07 2011-02-07 N Y Citigroup Inc N/A N/A N 1000000.00 999074.44 0.0012 N 999540.00 999540.00 Citigroup Funding Inc. Citigroup Funding Inc 0.400000% 17307SQG0 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-03-16 2011-03-16 N Y Citigroup Inc N/A N/A N 3000000.00 2996500.00 0.0035 N 2997780.00 2997780.00 Citigroup Funding Inc. Citigroup Funding Inc. 0.400000% 17307SQ88 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-03-08 2011-03-08 N Y Citigroup Inc N/A N/A N 7000000.00 6992455.55 0.0081 N 6995310.00 6995310.00 Commonwealth Bank of Australia Commonwealth Bank of Australia 0.303400% 2027A0DZ9 Other Note N First Tier Security N/A N/A 2010-12-10 2010-12-10 N N N 13000000.00 13000000.00 0.0150 N 13000143.00 13000143.00 Credit Agricole Corporate and Investment Bank Credit Agricole Corporate and Investment Bank 0.250000% 22532YWC6 Certificate of Deposit N First Tier Security N/A N/A 2010-12-07 2010-12-07 N N N 3000000.00 3000000.00 0.0035 N 3000000.00 3000000.00 Danske Corp Danske Corp 0.290000% 2363F7N38 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-01-03 2011-01-03 N Y Danske Bank A/s N/A N/A N 3000000.00 2999202.50 0.0035 N 2999190.00 2999190.00 Deutsche Bank AG Deutsche Bank AG 0.220000% 25154TUN5 Certificate of Deposit N First Tier Security N/A N/A 2010-12-09 2010-12-09 N N N 3000000.00 3000000.00 0.0035 N 2999970.00 2999970.00 Deutsche Bank AG Deutsche Bank AG 0.260000% 25154TWQ6 Certificate of Deposit N First Tier Security N/A N/A 2011-01-04 2011-01-04 N N N 10000000.00 10000000.00 0.0115 N 9999790.00 9999790.00 Dexia Credit Local Dexia Credit Local 0.505000% 25214FEH4 Certificate of Deposit N First Tier Security N/A N/A 2010-12-07 2010-12-07 Y Dexia Credit Local N/A N/A N N 5000000.00 5000000.00 0.0058 N 4999750.00 4999750.00 Falcon Asset Securitization Corp Falcon Asset Securitization Corp 0.240000% 30603BMT7 Asset Backed Commercial Paper N First Tier Security N/A N/A 2010-12-27 2010-12-27 N N Y Letter of Credit JPMorgan Chase Bank NA N/A N/A 12000000.00 11997920.00 0.0138 N 11998080.00 11998080.00 Freddie Mac Freddie Mac 0.139100% 3133F3AA1 Government Agency Debt N First Tier Security N/A N/A 2011-01-10 2011-11-10 N N N 15000000.00 15000000.00 0.0173 N 15022065.00 15022065.00 Federal Home Loan Bank Federal Home Loan Bank 0.150000% 313384AG4 Government Agency Debt N First Tier Security N/A N/A 2011-01-07 2011-01-07 N N N 1000000.00 999845.84 0.0012 N 999866.00 999866.00 Federal Home Loan Bank Federal Home Loan Bank 0.160000% 313384AG4 Government Agency Debt N First Tier Security N/A N/A 2011-01-07 2011-01-07 N N N 3500000.00 3499424.45 0.0040 N 3499531.00 3499531.00 Federal Home Loan Bank Federal Home Loan Bank 0.135000% 313384AP4 Government Agency Debt N First Tier Security N/A N/A 2011-01-14 2011-01-14 N N N 2000000.00 1999645.55 0.0023 N 1999682.00 1999682.00 Federal Home Loan Bank Federal Home Loan Bank 0.150000% 313384AU3 Government Agency Debt N First Tier Security N/A N/A 2011-01-19 2011-01-19 N N N 4000000.00 3999183.33 0.0046 N 3999292.00 3999292.00 Federal Home Loan Bank Federal Home Loan Bank 0.170000% 313384BB4 Government Agency Debt N First Tier Security N/A N/A 2011-01-26 2011-01-26 N N N 22000000.00 21994182.22 0.0254 N 21995556.00 21995556.00 Federal Home Loan Bank Federal Home Loan Bank 0.180000% 313385R57 Government Agency Debt N First Tier Security N/A N/A 2010-12-01 2010-12-01 N N N 3000000.00 3000000.00 0.0035 N 3000000.00 3000000.00 Federal Home Loan Bank Federal Home Loan Bank 0.150000% 313385T55 Government Agency Debt N First Tier Security N/A N/A 2010-12-17 2010-12-17 N N N 33000000.00 32997800.00 0.0380 N 32998548.00 32998548.00 Gemini Securitization Corp. LLC Gemini Securitization Corp LLC 0.240000% 3686M1M78 Asset Backed Commercial Paper N First Tier Security N/A N/A 2010-12-07 2010-12-07 N N Y Credit / Liquidity Deutsche Bank AG N/A N/A 11000000.00 10999560.00 0.0127 N 10999340.00 10999340.00 General Electric Capital Corporation General Electric Capital Corp 0.390000% 36959JTF0 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-06-15 2011-06-15 N N N 18000000.00 17961780.00 0.0207 N 17970300.00 17970300.00 General Electric Capital Corporation General Electric Capital Corp 0.390000% 36959JTT0 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-06-27 2011-06-27 N N N 3000000.00 2993240.00 0.0035 N 2994630.00 2994630.00 Grampian Funding LLC Grampian Funding LLC 0.580000% 38501CPA9 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-02-10 2011-02-10 N N Y Credit / Liquidity Bank of Scotland Plc N/A N/A 1000000.00 998856.11 0.0012 N 999620.00 999620.00 Grampian Funding LLC Grampian Funding LLC 0.500000% 38501CQF7 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-03-15 2011-03-15 N N Y Credit / Liquidity Bank of Scotland Plc N/A N/A 3000000.00 2995666.67 0.0035 N 2998200.00 2998200.00 Grampian Funding LLC Grampian Funding LLC 0.510000% 38501CQH3 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-03-17 2011-03-17 N N Y Credit / Liquidity Bank of Scotland Plc N/A N/A 5000000.00 4992491.66 0.0058 N 4996950.00 4996950.00 HSBC USA Inc HSBC USA Inc 0.220000% 40427SM97 Financial Company Commercial Paper N First Tier Security N/A N/A 2010-12-09 2010-12-09 N N N 4000000.00 3999804.45 0.0046 N 3999800.00 3999800.00 JPMorgan Chase Bank, N.A. JPMorgan Chase Bank, NA 0.253400% 48125LAA0 Other Note N First Tier Security N/A N/A 2010-12-21 2011-12-21 N N N 10000000.00 10000000.00 0.0115 N 10000390.00 10000390.00 Jupiter Securitization Corporation Jupiter Securitization Corp 0.240000% 4820P3M91 Asset Backed Commercial Paper N First Tier Security N/A N/A 2010-12-09 2010-12-09 N N Y Letter of Credit JPMorgan Chase Bank NA N/A N/A 12000000.00 11999360.00 0.0138 N 11999160.00 11999160.00 Lloyds TSB Bank Plc Lloyds TSB Bank Plc 0.500000% 53943SQA8 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-03-10 2011-03-10 N N N 1000000.00 998625.00 0.0012 N 999050.00 999050.00 Lloyds TSB Bank Plc Lloyds TSB Bank Plc 0.440000% 53944AH65 Certificate of Deposit N First Tier Security N/A N/A 2011-05-03 2011-05-03 N N N 7000000.00 7000000.00 0.0081 N 6999370.00 6999370.00 Lloyds TSB Bank Plc Lloyds TSB Bank Plc 0.630000% 53944AZZ1 Certificate of Deposit N First Tier Security N/A N/A 2011-02-07 2011-02-07 N N N 4000000.00 4000000.00 0.0046 N 4002280.00 4002280.00 Mitsubishi UFJ Trust & Banking Corp Mitsubishi UFJ Trust & Banking Corp 0.300000% 60681PXA7 Certificate of Deposit N First Tier Security N/A N/A 2011-01-05 2011-01-05 N N N 7000000.00 7000000.00 0.0081 N 7000000.00 7000000.00 Mitsubishi UFJ Trust & Banking Corp Mitsubishi UFJ Trust & Banking Corp 0.250000% 60681PYA6 Certificate of Deposit N First Tier Security N/A N/A 2010-12-10 2010-12-10 N N N 1000000.00 1000000.00 0.0012 N 999990.00 999990.00 Mizuho Corporate Bank Ltd Mizuho Corporate Bank Ltd 0.270000% 60687CB97 Certificate of Deposit N First Tier Security N/A N/A 2011-01-24 2011-01-24 N N N 6000000.00 6000000.00 0.0069 N 5999700.00 5999700.00 Mizuho Corporate Bank Ltd Mizuho Corporate Bank Ltd 0.270000% 60687CZZ3 Certificate of Deposit N First Tier Security N/A N/A 2011-01-10 2011-01-10 N N N 2000000.00 2000000.00 0.0023 N 1999940.00 1999940.00 National Australia Bank Ltd. National Australia Bank Ltd 0.275000% 63252XLM0 Certificate of Deposit N First Tier Security N/A N/A 2010-12-29 2011-01-31 N N N 5000000.00 5000000.00 0.0058 N 5000000.00 5000000.00 Nationwide Building Society Nationwide Building Society 0.450000% 6385E1S44 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-05-04 2011-05-04 N N N 1000000.00 998075.00 0.0012 N 998250.00 998250.00 New York City IDA Industrial RB (Allway Tools) Series 1997 0.500000% 649705LL2 Variable Rate Demand Note N First Tier Security N/A N/A 2010-12-07 2010-12-07 Y Citibank NA N/A N/A Y Citibank Na N/A N/A N 105000.00 105000.00 0.0001 N 105000.00 105000.00 Nordea North America, Inc. Nordea North America, Inc 0.250000% 6555P1ML8 Financial Company Commercial Paper N First Tier Security N/A N/A 2010-12-20 2010-12-20 N Y Nordea Bank Ab N/A N/A N 9000000.00 8998812.50 0.0104 N 8998830.00 8998830.00 Palm Springs, CA COPS (Downtown Parking) Series 2002A 0.450000% 696656HS9 Variable Rate Demand Note N First Tier Security N/A N/A 2010-12-07 2010-12-07 Y California State Teachers Reti N/A N/A Y California State Teachers Reti N/A N/A N 7810000.00 7810000.00 0.0090 N 7810000.00 7810000.00 Rabobank Nederland Rabobank Nederland 0.328400% 74977MNM3 Certificate of Deposit N First Tier Security N/A N/A 2010-12-07 2011-10-07 N N N 16000000.00 16000000.00 0.0184 N 15996640.00 15996640.00 Rabobank Nederland Rabobank Nederland 0.333400% 74977MPK5 Certificate of Deposit N First Tier Security N/A N/A 2010-12-06 2011-12-05 N N N 5000000.00 5000000.00 0.0058 N 4999000.00 4999000.00 Royal Bank of Scotland Plc Royal Bank of Scotland Plc 0.640000% 78011HR72 Certificate of Deposit N First Tier Security N/A N/A 2011-07-19 2011-07-19 N N N 2000000.00 2000000.00 0.0023 N 2000880.00 2000880.00 Royal Bank of Scotland Plc Royal Bank of Scotland Plc 0.620000% 78011HTD7 Certificate of Deposit N First Tier Security N/A N/A 2010-12-13 2010-12-13 N N N 4000000.00 4000000.00 0.0046 N 4000520.00 4000520.00 Santander Central Hispano Finance (Delaware) Inc. Santander Central Hispano Finance (Delaware) Inc 0.670000% 80281KP43 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-02-04 2011-02-04 N Y Banco Santander SA N/A N/A N 4000000.00 3995161.11 0.0046 N 3995880.00 3995880.00 Sheffield Receivables Corp. Sheffield Receivables Corp 0.300000% 82124MN63 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-06 2011-01-06 N N Y Letter of Credit Barclays Bank Plc N/A N/A 2000000.00 1999400.00 0.0023 N 1999440.00 1999440.00 Skandinaviska Enskilda Banken AB (SEB AB) Skandinaviska Enskilda Banken AB (SEB AB) 0.355000% 83050UNJ3 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-01-18 2011-01-18 N N N 2000000.00 1999053.33 0.0023 N 1999180.00 1999180.00 Societe Generale North America, Inc. Societe Generale North America, Inc 0.250000% 83365SM18 Financial Company Commercial Paper N First Tier Security N/A N/A 2010-12-01 2010-12-01 N Y Societe Generale N/A N/A N 4000000.00 4000000.00 0.0046 N 3999960.00 3999960.00 Societe Generale North America, Inc. Societe Generale North America, Inc 0.400000% 83365SR62 Financial Company Commercial Paper N First Tier Security N/A N/A 2011-04-06 2011-04-06 N Y Societe Generale N/A N/A N 7000000.00 6990200.00 0.0081 N 6990690.00 6990690.00 Societe Generale Societe Generale 0.397500% 83369REM9 Certificate of Deposit N First Tier Security N/A N/A 2011-04-08 2011-04-08 N N N 4000000.00 4000000.00 0.0046 N 3999800.00 3999800.00 Societe Generale Societe Generale 0.400000% 83369RFQ9 Certificate of Deposit N First Tier Security N/A N/A 2011-04-18 2011-04-18 N N N 2000000.00 2000000.00 0.0023 N 1999920.00 1999920.00 Solitaire Funding LLC Solitaire Funding LLC 0.300000% 8342E3NJ1 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-18 2011-01-18 N N Y Letter of Credit HSBC Bank Plc N/A N/A 2000000.00 1999200.00 0.0023 N 1999280.00 1999280.00 Solitaire Funding LLC Solitaire Funding LLC 0.300000% 8342E3NT9 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-27 2011-01-27 N N Y Letter of Credit HSBC Bank Plc N/A N/A 3000000.00 2998575.00 0.0035 N 2998710.00 2998710.00 Solitaire Funding LLC Solitaire Funding LLC 0.310000% 8342E3N77 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-07 2011-01-07 N N Y Letter of Credit HSBC Bank Plc N/A N/A 6000000.00 5998088.33 0.0069 N 5998380.00 5998380.00 Straight A Funding LLC Straight A Funding LLC 0.230000% 86257CD66 Government Agency Debt N First Tier Security N/A N/A 2010-12-09 2010-12-09 N N Y Credit / Liquidity Federal Financing Bank N/A N/A 11000000.00 10999437.78 0.0127 N 10999450.00 10999450.00 Straight A Funding LLC Straight A Funding LLC 0.240000% 86257CG97 Government Agency Debt N First Tier Security N/A N/A 2010-12-02 2010-12-02 N N Y Credit / Liquidity Federal Financing Bank N/A N/A 2000000.00 1999986.67 0.0023 N 1999980.00 1999980.00 Straight A Funding LLC Straight A Funding LLC 0.230000% 86257CM25 Government Agency Debt N First Tier Security N/A N/A 2011-01-04 2011-01-04 N N Y Credit / Liquidity Federal Financing Bank N/A N/A 42000000.00 41990876.67 0.0484 N 41991180.00 41991180.00 Straight A Funding LLC Straight A Funding LLC 0.220000% 86257JTJ6 Government Agency Debt N First Tier Security N/A N/A 2010-12-16 2010-12-16 N N Y Credit / Liquidity Federal Financing Bank N/A N/A 2000000.00 1999816.67 0.0023 N 1999820.00 1999820.00 Straight A Funding LLC Straight A Funding LLC 0.250000% 86257LZF2 Government Agency Debt N First Tier Security N/A N/A 2010-12-06 2010-12-06 N N Y Credit / Liquidity Federal Financing Bank N/A N/A 5000000.00 4999826.39 0.0058 N 4999850.00 4999850.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.250000% 86562GZW6 Certificate of Deposit N First Tier Security N/A N/A 2010-12-09 2010-12-09 N N N 10000000.00 10000000.00 0.0115 N 9999900.00 9999900.00 Sumitomo Trust & Banking Co Sumitomo Trust & Banking Co 0.325000% 86562WJL3 Certificate of Deposit N First Tier Security N/A N/A 2011-01-11 2011-01-11 N N N 4000000.00 4000022.75 0.0046 N 4000160.00 4000160.00 Sumitomo Trust & Banking Co Sumitomo Trust & Banking Co 0.280000% 86562WJV1 Certificate of Deposit N First Tier Security N/A N/A 2011-01-11 2011-01-11 N N N 4000000.00 4000000.00 0.0046 N 3999960.00 3999960.00 Svenska Handelsbanken AB Svenska Handelsbanken AB 0.255000% 86959BJW6 Certificate of Deposit N First Tier Security N/A N/A 2010-12-31 2010-12-31 N N N 11000000.00 11000000.00 0.0127 N 10999670.00 10999670.00 Ticonderoga Funding LLC Ticonderoga Funding LLC 0.300000% 88634FNR2 Asset Backed Commercial Paper N First Tier Security N/A N/A 2011-01-25 2011-01-25 N N Y Guaranty Bank of America NA N/A N/A 2000000.00 1999083.34 0.0023 N 1999080.00 1999080.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.253400% 8911A35H1 Certificate of Deposit N First Tier Security N/A N/A 2010-12-09 2010-12-09 N N N 5000000.00 5000000.00 0.0058 N 4999950.00 4999950.00 UBS AG UBS AG 0.695000% 90267ATC0 Certificate of Deposit N First Tier Security N/A N/A 2011-01-31 2011-01-31 N N N 5000000.00 5000000.00 0.0058 N 5003800.00 5003800.00 UBS AG UBS AG 0.480000% 90267ATN6 Certificate of Deposit N First Tier Security N/A N/A 2011-02-09 2011-02-09 N N N 7000000.00 7000000.00 0.0081 N 7002870.00 7002870.00 UBS AG UBS AG 0.590000% 90267AUA2 Certificate of Deposit N First Tier Security N/A N/A 2011-05-31 2011-05-31 N N N 5000000.00 5000000.00 0.0058 N 5005300.00 5005300.00 UniCredit SpA UniCredit SpA 0.950000% 90467HRJ0 Certificate of Deposit N First Tier Security N/A N/A 2011-02-22 2011-02-22 N N N 10000000.00 10000000.00 0.0115 N 10010000.00 10010000.00 Union Bank, N.A. Union Bank, NA 0.250000% 90527MKK1 Certificate of Deposit N First Tier Security N/A N/A 2010-12-10 2010-12-10 N N N 4000000.00 4000000.00 0.0046 N 4000080.00 4000080.00 United States Treasury Department United States Treasury Department 0.200000% 912795UX7 Treasury Debt N First Tier Security N/A N/A 2011-01-13 2011-01-13 N N N 5000000.00 4998805.55 0.0058 N 4999240.00 4999240.00 Variable Funding Capital Corporation Variable Funding Capital Corp 0.270000% 92217MME4 Asset Backed Commercial Paper N First Tier Security N/A N/A 2010-12-14 2010-12-14 N N Y Credit / Liquidity Wells Fargo Bank NA N/A N/A 7000000.00 6999317.50 0.0081 N 6999300.00 6999300.00 Westpac Banking Corporation Westpac Banking Corp 0.293400% 96121HY99 Certificate of Deposit N First Tier Security N/A N/A 2010-12-15 2011-03-15 N N N 5000000.00 4999853.33 0.0058 N 5000100.00 5000100.00 Westpac Banking Corporation Westpac Banking Corp 0.304100% 96121H5S9 Certificate of Deposit N First Tier Security N/A N/A 2010-12-01 2011-06-01 N N N 20000000.00 20000000.00 0.0231 N 20000000.00 20000000.00 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 96335WFX6 Other Note N No Longer an Eligible Security N/A N/A 2010-11-30 2010-11-30 N N N 39787.74 39787.74 0.0000 All Whistlejacket notes were sold at auction on 4/29/09. The remaining investment represents an interest in a small residual fund that is being held to cover any remaining expenses and liabilities associated with receivership. Y 29956.19 29956.19 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 96432XKM4 Other Note N No Longer an Eligible Security N/A N/A 2010-11-30 2010-11-30 N N N 19889.56 19889.56 0.0000 All Whistlejacket notes were sold at auction on 4/29/09. The remaining investment represents an interest in a small residual fund that is being held to cover any remaining expenses and liabilities associated with receivership. Y 14974.85 14974.85 -----END PRIVACY-ENHANCED MESSAGE-----