0001145549-14-002718.txt : 20140317 0001145549-14-002718.hdr.sgml : 20140317 20140317125739 ACCESSION NUMBER: 0001145549-14-002718 CONFORMED SUBMISSION TYPE: N-MFP/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20140317 DATE AS OF CHANGE: 20140317 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/A SEC ACT: 1933 Act SEC FILE NUMBER: 811-05954 FILM NUMBER: 14696811 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 S000004508 Schwab Value Advantage Money Fund C000012383 Investor Shares SWVXX C000012384 Select Shares SWBXX C000012385 Institutional Shares SWAXX C000038267 Institutional Prime Shares SNAXX N-MFP/A 1 primary_doc.xml N-MFP/A N-MFP/A LIVE N 2012-12-31 0000857156 S000004508 4 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 59 14526986422.97 5311071.85 961111.52 14531336383.30 0.0031 1.0001 2012-12-31 1.0001 2012-12-31 C000012383 25000.00 9948957139.97 1.00 -154156016.55 191748830.26 345904846.81 0.0001 1.0001 2012-12-31 1.0001 2012-12-31 C000012384 1000000.00 1402577276.93 1.00 -28109563.15 58000884.14 86110447.29 0.0001 1.0001 2012-12-31 1.0001 2012-12-31 C000012385 3000000.00 1256138479.64 1.00 23074806.11 144890710.94 121815904.83 0.0007 1.0001 2012-12-31 1.0001 2012-12-31 C000038267 10000000.00 1923663486.76 1.00 -53719285.57 114684092.90 168403378.47 0.0010 1.0001 2012-12-31 1.0001 2012-12-31 Alpine Securitization Corp Alpine Securitization Corp 0.460000% 02086LP42 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-02-04 2013-02-04 N N Y Credit / Liquidity Credit Suisse AG N/A N/A 10000000.00 9995655.55 0.0007 N 9998200.00 9998200.00 Atlantis One Funding Corp Atlantis One Funding Corp 0.530000% 04915TN24 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N Y Cash Rabobank Nederland N/A N/A 28572000.00 28571579.36 0.0020 N 28572000.00 28572000.00 Atlantis One Funding Corp Atlantis One Funding Corp 0.530000% 04915TN81 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-01-08 2013-01-08 N N Y Cash Rabobank Nederland N/A N/A 40000000.00 39995877.78 0.0028 N 39999200.00 39999200.00 Atlantis One Funding Corp Atlantis One Funding Corp 0.500000% 04915TQ47 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-03-04 2013-03-04 N N Y Cash Rabobank Nederland N/A N/A 11000000.00 10990527.78 0.0008 N 10997250.00 10997250.00 Atlantis One Funding Corp Atlantis One Funding Corp 0.390000% 04915TR12 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-04-01 2013-04-01 N N Y Cash Rabobank Nederland N/A N/A 43000000.00 42958075.00 0.0030 N 42974630.00 42974630.00 Australia & New Zealand Banking Group Ltd Australia & New Zealand Banking Group Ltd 0.190000% 052992005 0000859994 Other Instrument Security is a time deposit. N First Tier Security N/A N/A 2013-01-07 2013-01-07 N N N 228000000.00 228000000.00 0.0157 Security is a time deposit. N 228000000.00 228000000.00 Australia & New Zealand Banking Group Ltd Australia & New Zealand Banking Group Ltd 0.080000% 052992005_M130102 0000859994 Other Instrument Security is a time deposit. N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 107000000.00 107000000.00 0.0074 Security is a time deposit. N 107000000.00 107000000.00 Australia & New Zealand Banking Group Ltd Australia & New Zealand Banking Group Ltd 0.190000% 052992005_M130103 0000859994 Other Instrument Security is a time deposit. N First Tier Security N/A N/A 2013-01-03 2013-01-03 N N N 372000000.00 372000000.00 0.0256 Security is a time deposit. N 372000000.00 372000000.00 Bank of Montreal Bank of Montreal 0.310000% 06366VD86 Certificate of Deposit N First Tier Security N/A N/A 2013-02-07 2013-02-07 N N N 15000000.00 15000153.93 0.0010 N 15001650.00 15001650.00 Bank of Montreal Bank of Montreal 0.310000% 06366VD94 Certificate of Deposit N First Tier Security N/A N/A 2013-02-11 2013-02-11 N N N 87000000.00 87000000.00 0.0060 N 87010440.00 87010440.00 Bank of Montreal Bank of Montreal 0.220000% 06366XDG4 Certificate of Deposit N First Tier Security N/A N/A 2013-02-08 2013-02-08 N N N 148000000.00 148000000.00 0.0102 N 148001480.00 148001480.00 Bank of Montreal Bank of Montreal 0.200000% 06366XLR1 Certificate of Deposit N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 8000000.00 8000000.00 0.0006 N 8000000.00 8000000.00 Bank of Nova Scotia Bank of Nova Scotia 0.460000% 06417E6T5 Certificate of Deposit N First Tier Security N/A N/A 2013-01-02 2013-07-26 N N N 127000000.00 127000000.00 0.0087 N 127153670.00 127153670.00 Bank of Nova Scotia Bank of Nova Scotia 0.210000% 06417FEW6 Certificate of Deposit N First Tier Security N/A N/A 2013-01-24 2013-01-24 N N N 9000000.00 9000000.00 0.0006 N 9000540.00 9000540.00 Bank of Nova Scotia Bank of Nova Scotia 0.220000% 06417FFD7 Certificate of Deposit N First Tier Security N/A N/A 2013-02-04 2013-02-04 N N N 72000000.00 72000000.00 0.0050 N 72001440.00 72001440.00 Bank of Nova Scotia Bank of Nova Scotia 0.220000% 06417FFH8 Certificate of Deposit N First Tier Security N/A N/A 2013-02-06 2013-02-06 N N N 89000000.00 88999555.20 0.0061 N 89001780.00 89001780.00 Bank of Nova Scotia Bank of Nova Scotia 0.030000% 049999006 0001041839 Other Instrument Security is a time deposit. N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 155000000.00 155000000.00 0.0107 Security is a time deposit. N 154998450.00 154998450.00 Bank of Nova Scotia Bank of Nova Scotia 0.140000% 049999006 0001041839 Other Instrument Security is a time deposit. N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 138000000.00 138000000.00 0.0095 Security is a time deposit. N 137998620.00 137998620.00 Bank of the West Bank of the West 0.325000% 06426GAK3 Certificate of Deposit N First Tier Security N/A N/A 2013-03-27 2013-03-27 N N N 44000000.00 44000000.00 0.0030 N 44013200.00 44013200.00 Bank of the West Bank of the West 0.380000% 0642G0YD7 Certificate of Deposit N First Tier Security N/A N/A 2013-01-08 2013-01-08 N N N 3000000.00 3000000.00 0.0002 N 3000180.00 3000180.00 Bank of Tokyo Mitsubishi UFJ, Ltd Bank of Tokyo Mitsubishi UFJ, Ltd 0.560000% 06538EC96 Certificate of Deposit N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 117000000.00 117000000.00 0.0081 N 117002340.00 117002340.00 Bank of Tokyo Mitsubishi UFJ, Ltd Bank of Tokyo Mitsubishi UFJ, Ltd 0.560000% 06538ED46 Certificate of Deposit N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 35000000.00 35000000.00 0.0024 N 35000700.00 35000700.00 Bank of Tokyo Mitsubishi UFJ, Ltd Bank of Tokyo Mitsubishi UFJ, Ltd 0.520000% 06538EJ99 Certificate of Deposit N First Tier Security N/A N/A 2013-01-10 2013-01-10 N N N 6000000.00 6000314.21 0.0004 N 6000540.00 6000540.00 Bank of Tokyo Mitsubishi UFJ, Ltd Bank of Tokyo Mitsubishi UFJ, Ltd 0.340000% 06538FGM0 Certificate of Deposit N First Tier Security N/A N/A 2013-06-24 2013-06-24 N N N 23000000.00 23000000.00 0.0016 N 23002300.00 23002300.00 Bank of Tokyo Mitsubishi UFJ, Ltd Bank of Tokyo Mitsubishi UFJ, Ltd 0.340000% 06538FGT5 Certificate of Deposit N First Tier Security N/A N/A 2013-06-26 2013-06-26 N N N 73000000.00 73000000.00 0.0050 N 73007300.00 73007300.00 Bank of Tokyo Mitsubishi UFJ, Ltd Bank of Tokyo Mitsubishi UFJ, Ltd 0.330000% 06538FHS6 Certificate of Deposit N First Tier Security N/A N/A 2013-07-09 2013-07-09 N N N 48000000.00 48000000.00 0.0033 N 47994720.00 47994720.00 Bank of Tokyo Mitsubishi UFJ, Ltd Bank of Tokyo Mitsubishi UFJ, Ltd 0.250000% 06538FHZ0 Certificate of Deposit N First Tier Security N/A N/A 2013-04-12 2013-04-12 N N N 1000000.00 1000000.00 0.0001 N 999915.10 999915.10 Barclays Bank Plc Barclays Bank Plc 0.690000% 06741XFP8 Certificate of Deposit N First Tier Security N/A N/A 2013-03-12 2013-03-12 N N N 15000000.00 15000000.00 0.0010 N 15015000.00 15015000.00 Barclays Bank Plc Barclays Bank Plc 0.470000% 06741XGQ5 Certificate of Deposit N First Tier Security N/A N/A 2013-04-11 2013-04-11 N N N 30000000.00 30000000.00 0.0021 N 30021000.00 30021000.00 Barclays Bank Plc Barclays Bank Plc 0.440000% 06741XGY8 Certificate of Deposit N First Tier Security N/A N/A 2013-04-19 2013-04-19 N N N 13000000.00 13000000.00 0.0009 N 13008710.00 13008710.00 Barclays Bank Plc Barclays Bank Plc 0.400000% 06741XHD3 Certificate of Deposit N First Tier Security N/A N/A 2013-05-02 2013-05-02 N N N 67000000.00 67000000.00 0.0046 N 67024790.00 67024790.00 Barclays Bank Plc Barclays Bank Plc 0.400000% 06741XHL5 Certificate of Deposit N First Tier Security N/A N/A 2013-05-09 2013-05-09 N N N 14000000.00 14000000.00 0.0010 N 14005460.00 14005460.00 Barclays Bank Plc Barclays Bank Plc 0.470000% 06741XJB5 Certificate of Deposit N First Tier Security N/A N/A 2013-05-17 2013-05-17 N N N 28000000.00 28000000.00 0.0019 N 28019040.00 28019040.00 Barclays Bank Plc Barclays Bank Plc 0.250000% 06741XJD1 Certificate of Deposit N First Tier Security N/A N/A 2013-02-05 2013-02-05 N N N 30000000.00 30000000.00 0.0021 N 30002700.00 30002700.00 Barclays Bank Plc Barclays Bank Plc 0.450000% 06741XJH2 Certificate of Deposit N First Tier Security N/A N/A 2013-05-28 2013-05-28 N N N 1000000.00 1000000.00 0.0001 N 1000660.00 1000660.00 Barclays Capital, Inc Barclays Capital, Inc 0.120000% 07699U005_0.1200_M130103_2MN4 0000851376 Treasury Repurchase Agreement Y United States Treasury Department 2013-07-15 1.000000 Treasury Debt 22328800.00 22535171.51 United States Treasury Department 2013-08-15 4.250000 Treasury Debt 3384300.00 3524841.52 United States Treasury Department 2013-08-31 3.125000 Treasury Debt 67984900.00 70036804.48 United States Treasury Department 2013-11-30 0.250000 Treasury Debt 3113000.00 3115608.42 United States Treasury Department 2015-02-15 11.250000 Treasury Debt 2769000.00 3527228.35 United States Treasury Department 2015-04-30 2.500000 Treasury Debt 28582000.00 30158317.51 United States Treasury Department 2016-03-31 2.250000 Treasury Debt 4200500.00 4474107.18 United States Treasury Department 2016-05-15 7.250000 Treasury Debt 3300000.00 4082174.93 United States Treasury Department 2016-11-15 4.625000 Treasury Debt 3519000.00 4093114.55 United States Treasury Department 2018-07-31 2.250000 Treasury Debt 14616700.00 15886227.92 United States Treasury Department 2018-12-31 1.375000 Treasury Debt 2974000.00 3053926.25 United States Treasury Department 2019-03-31 1.500000 Treasury Debt 2943000.00 3048886.81 United States Treasury Department 2019-07-31 0.875000 Treasury Debt 4657600.00 4622145.92 United States Treasury Department 2022-08-15 1.625000 Treasury Debt 4232800.00 4244032.79 United States Treasury Department 2022-11-15 1.625000 Treasury Debt 57800.00 57467.82 First Tier Security N/A N/A 2013-01-03 2013-01-03 Y BARCLAYS CAPITAL INC N/A N/A N N 173000000.00 173000000.00 0.0119 N 172998270.00 172998270.00 Barclays Capital, Inc Barclays Capital, Inc 0.180000% 07699U005_0.1800_M130107_2MN4 0000851376 Government Agency Repurchase Agreement Y Fannie Mae 2034-08-01 4.022000 Government Agency Debt 19738.00 1298.73 Fannie Mae 2035-05-01 5.226000 Government Agency Debt 39262412.00 4535824.26 Fannie Mae 2037-10-01 3.393000 Government Agency Debt 5312844.00 923494.62 Fannie Mae 2038-04-01 2.950000 Government Agency Debt 1964.00 2098.85 Fannie Mae 2038-04-01 4.350000 Government Agency Debt 33385161.00 13365565.23 Fannie Mae 2041-02-01 3.096000 Government Agency Debt 4320.00 2260.13 Fannie Mae 2042-02-01 2.591000 Government Agency Debt 6950.00 7046.63 Fannie Mae 2042-02-01 3.016000 Government Agency Debt 9073.00 7048.00 Fannie Mae 2042-10-01 2.435000 Government Agency Debt 13261932.00 13395364.13 First Tier Security N/A N/A 2013-01-07 2013-01-07 Y BARCLAYS CAPITAL INC N/A N/A N N 31000000.00 31000000.00 0.0021 N 30998760.00 30998760.00 Barclays US Funding Corp Barclays US Funding Corp 0.400000% 06737HRV3 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-04-29 2013-04-29 N Y Barclays Bank Plc N/A N/A N 10000000.00 9986888.89 0.0007 N 9989500.00 9989500.00 Barclays US Funding Corp Barclays US Funding Corp 0.400000% 06737HRW1 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-04-30 2013-04-30 N Y Barclays Bank Plc N/A N/A N 6000000.00 5992066.67 0.0004 N 5993580.00 5993580.00 BNP Paribas BNP Paribas 0.380000% 05572NKL9 Certificate of Deposit N First Tier Security N/A N/A 2013-02-04 2013-02-04 N N N 73000000.00 73000000.00 0.0050 N 73011680.00 73011680.00 BNP Paribas BNP Paribas 0.600000% 05572NKW5 Certificate of Deposit N First Tier Security N/A N/A 2013-06-04 2013-06-04 N N N 4000000.00 4000000.00 0.0003 N 4001040.00 4001040.00 BNP Paribas BNP Paribas 0.585000% 05572NKY1 Certificate of Deposit N First Tier Security N/A N/A 2013-06-10 2013-06-10 N N N 83000000.00 83000000.00 0.0057 N 83016600.00 83016600.00 BNP Paribas BNP Paribas 0.340000% 05572NKZ8 Certificate of Deposit N First Tier Security N/A N/A 2013-03-13 2013-03-13 N N N 61000000.00 61000000.00 0.0042 N 61004880.00 61004880.00 BNP Paribas BNP Paribas 0.280000% 05572NLK0 Certificate of Deposit N First Tier Security N/A N/A 2013-03-25 2013-03-25 N N N 83000000.00 83000000.00 0.0057 N 82996123.90 82996123.90 BNP Paribas BNP Paribas 0.590000% 988VHP005 0001197610 Certificate of Deposit N First Tier Security N/A N/A 2013-06-07 2013-06-07 N N N 59000000.00 59000000.00 0.0041 N 59012980.00 59012980.00 BNP Paribas Securities Corp BNP Paribas Securities Corp 0.310000% 921AES008_0.3100_M130107_2MN4 0001197610 Other Repurchase Agreement N AXA 2049-12-29 6.379000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 1226000.00 1205173.09 BANCO BRADESCO SA 2014-05-16 2.410000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 1200000.00 1212459.00 BANCO INTERNACIONAL DEL PERU S A A 2020-10-07 0.00 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 599567.00 656525.86 COCA-COLA ENTERPRISES 2022-02-01 8.500000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 6164916.00 9251114.05 ENEL FINANCE INTERNATIONAL S.A,LU 2014-10-07 3.875000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 1500000.00 1558772.50 GCB ASSOC CORP OF N.A. 2018-11-01 6.950000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 1448257.00 1761563.26 GCB REGS KOREA HYDRO F 2015-09-16 3.125000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 8372094.00 8831760.33 HASBRO INC 2028-07-15 6.600000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 155936.00 187608.68 KRAFT FOODS INC 2037-08-11 7.000000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 127395.00 181499.94 MOTOROLA INC 2017-11-15 6.000000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 186883.00 220885.74 RAS LAFFAN LIQUEFIED NATURAL GAS,QA 2027-09-30 6.332000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 1363664.00 1772962.14 SINOCHEM OVERSEAS CAPITAL COMPANY LIMIT 2040-11-12 6.300000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 261050.00 316592.30 THE EXPORT IMPORT BANK OF KOREA 2015-09-09 4.125000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 750364.00 817126.39 VALE OVERSEAS LIMITED 2022-01-11 4.375000 Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 1306086.00 1425958.21 First Tier Security N/A N/A 2013-01-07 2013-01-07 Y BNP PARIBAS SECURITIES CORP N/A N/A N N 28000000.00 28000000.00 0.0019 Repurchase agreement collateralized by common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations N 28000100.00 28000100.00 BNP Paribas Securities Corp BNP Paribas Securities Corp 0.180000% 987WVU007_0.1800_M130102_2MN4 0001197610 Government Agency Repurchase Agreement Y Freddie Mac 2039-11-15 6.000000 Government Agency Debt 12011318.00 6110284.42 GNMA 2035-04-20 5.500000 Government Agency Debt 200000000.00 52586565.39 GNMA 2039-09-15 6.000000 Government Agency Debt 167033587.00 54063964.16 GNMA 2040-05-15 5.000000 Government Agency Debt 59951354.00 48475194.14 GNMA 2040-07-15 4.500000 Government Agency Debt 29952730.00 28064802.89 GNMA 2041-07-20 5.500000 Government Agency Debt 74914105.00 52749189.24 First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 235000000.00 235000000.00 0.0162 N 235000000.00 235000000.00 BNP Paribas Securities Corp BNP Paribas Securities Corp 0.180000% 987YEA006_0.1800_M130107_2MN4 0001197610 Government Agency Repurchase Agreement Y Fannie Mae 2039-10-25 4.000000 Government Agency Debt 15157860.00 12162371.97 Freddie Mac 2041-03-15 2.750000 Government Agency Debt 23113612.00 15672892.72 Freddie Mac 2042-02-15 3.500000 Government Agency Debt 23750000.00 19716436.09 GNMA 2038-03-20 0.760700 Government Agency Debt 100000000.00 20288051.34 GNMA 2038-03-20 0.890700 Government Agency Debt 100000000.00 20360248.13 First Tier Security N/A N/A 2013-01-07 2013-01-07 Y BNP PARIBAS SECURITIES CORP N/A N/A N N 84000000.00 84000000.00 0.0058 N 83995800.00 83995800.00 Branch Banking & Trust Co Branch Banking & Trust Co 0.230000% 10513DQL7 Certificate of Deposit N First Tier Security N/A N/A 2013-03-06 2013-03-06 N N N 70000000.00 70000000.00 0.0048 N 70015400.00 70015400.00 CAFCO, LLC CAFCO, LLC 0.600000% 12476EPN3 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-02-22 2013-02-22 N N Y Letter of Credit Citibank NA N/A N/A 79000000.00 78931533.33 0.0054 N 78967610.00 78967610.00 CAFCO, LLC CAFCO, LLC 1.004600% 12476EQ44 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-03-04 2013-03-04 N N Y Letter of Credit Citibank NA N/A N/A 4000000.00 3993111.11 0.0003 N 3998040.00 3998040.00 CAFCO, LLC CAFCO, LLC 0.370000% 12476EQE2 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-03-14 2013-03-14 N N Y Letter of Credit Citibank NA N/A N/A 50000000.00 49963000.00 0.0034 N 49971000.00 49971000.00 California RAN 2012-2013 Series A1 0.140000% 46636YW89 Variable Rate Demand Note N First Tier Security N/A N/A 2013-01-02 2013-01-02 Y JP Morgan Chase & Co N/A N/A N N 26000000.00 26000000.00 0.0018 N 26000000.00 26000000.00 Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce 0.379000% 13606YLN4 Certificate of Deposit N First Tier Security N/A N/A 2013-01-16 2013-04-16 N N N 124000000.00 124000000.00 0.0085 N 124059520.00 124059520.00 Canadian Imperial Bank of Commerce Canadian Imperial Bank of Commerce 0.302000% 13606YNW2 Certificate of Deposit N First Tier Security N/A N/A 2013-01-11 2013-06-11 N N N 100000000.00 100000000.00 0.0069 N 100002000.00 100002000.00 Cancara Asset Securitisation, LLC Cancara Asset Securitisation, LLC 0.220000% 13738JN22 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N Y Credit / Liquidity Lloyds TSB Bank Plc N/A N/A 12000000.00 11999926.67 0.0008 N 11999880.00 11999880.00 Cancara Asset Securitisation, LLC Cancara Asset Securitisation, LLC 0.250000% 13738JN48 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-01-04 2013-01-04 N N Y Credit / Liquidity Lloyds TSB Bank Plc N/A N/A 29000000.00 28999395.83 0.0020 N 28999420.00 28999420.00 Cancara Asset Securitisation, LLC Cancara Asset Securitisation, LLC 0.250000% 13738JNJ5 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-01-18 2013-01-18 N N Y Credit / Liquidity Lloyds TSB Bank Plc N/A N/A 38000000.00 37995513.89 0.0026 N 37996200.00 37996200.00 Chariot Funding, LLC Chariot Funding, LLC 0.250000% 15963TQK8 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-03-19 2013-03-19 N N Y Letter of Credit JPMorgan Chase Bank NA N/A N/A 25000000.00 24986631.95 0.0017 N 24992500.00 24992500.00 Chariot Funding, LLC Chariot Funding, LLC 0.250000% 15963TS18 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-05-01 2013-05-01 N N Y Letter of Credit JPMorgan Chase Bank NA N/A N/A 30000000.00 29975000.00 0.0021 N 29977800.00 29977800.00 Chariot Funding, LLC Chariot Funding, LLC 0.320000% 15963TTK5 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-06-19 2013-06-19 N N Y Letter of Credit JPMorgan Chase Bank NA N/A N/A 32000000.00 31951928.86 0.0022 N 31964160.00 31964160.00 Chase Bank USA, NA Chase Bank USA, NA 0.200000% 16144RSP9 Certificate of Deposit N First Tier Security N/A N/A 2013-02-07 2013-02-07 N N N 42000000.00 42000000.00 0.0029 N 42006300.00 42006300.00 Chase Bank USA, NA Chase Bank USA, NA 0.250000% 16144RSQ7 Certificate of Deposit N First Tier Security N/A N/A 2013-03-26 2013-03-26 N N N 187000000.00 187000000.00 0.0129 N 187084150.00 187084150.00 Chase Bank USA, NA Chase Bank USA, NA 0.200000% 16144RSS3 Certificate of Deposit N First Tier Security N/A N/A 2013-02-22 2013-02-22 N N N 65000000.00 65000000.00 0.0045 N 65013650.00 65013650.00 Ciesco, LLC Ciesco, LLC 1.005000% 17178BP17 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-02-01 2013-02-01 N N Y Letter of Credit Citibank NA N/A N/A 21000000.00 20981916.67 0.0014 N 20995380.00 20995380.00 Ciesco, LLC Ciesco, LLC 0.370000% 17178BPS8 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-02-26 2013-02-26 N N Y Letter of Credit Citibank NA N/A N/A 75000000.00 74956833.33 0.0052 N 74967000.00 74967000.00 Ciesco, LLC Ciesco, LLC 1.004600% 17178BQ40 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-03-04 2013-03-04 N N Y Letter of Credit Citibank NA N/A N/A 65000000.00 64888055.57 0.0045 N 64968150.00 64968150.00 Citibank, NA Citibank, NA 0.200000% 17299S003 0000036684 Other Instrument Security is a time deposit. N First Tier Security N/A N/A 2013-01-04 2013-01-04 N N N 22000000.00 22000000.00 0.0015 Security is a time deposit. 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999955.90 UNITEDHEALTH GROUP INC COM 2012-12-31 N/A Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 0.00 999964.76 US BANCORP DEL COM NEW 2012-12-31 N/A Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 0.00 999979.20 WAL MART STORES INC COM 2012-12-31 N/A Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 0.00 999951.90 XO GROUP INC COM 2012-12-31 N/A Other Instrument common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations 0.00 793310.96 First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 20000000.00 20000000.00 0.0014 Repurchase agreement collateralized by common stocks, ETFs, corporate bonds, or non-agency collateralized mortgage obligations N 20000000.00 20000000.00 Deutsche Bank Securities, Inc Deutsche Bank Securities, Inc 0.500000% 988VHX008_0.5000_M130311_2MN4 0001074042 Other 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350143150.00 Gemini Securitization Corp, LLC Gemini Securitization Corp, LLC 0.300000% 3686M0NA2 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-01-10 2013-01-10 N N Y Credit / Liquidity Deutsche Bank AG N/A N/A 82000000.00 81993850.00 0.0056 N 81995900.00 81995900.00 Gemini Securitization Corp, LLC Gemini Securitization Corp, LLC 0.280000% 3686M0PC6 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-02-12 2013-02-12 N N Y Credit / Liquidity Deutsche Bank AG N/A N/A 14021000.00 14016419.81 0.0010 N 14017494.75 14017494.75 Gemini Securitization Corp, LLC Gemini Securitization Corp, LLC 0.280000% 3686M0QB7 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-03-11 2013-03-11 N N Y Credit / Liquidity Deutsche Bank AG N/A N/A 25000000.00 24986583.33 0.0017 N 24989000.00 24989000.00 General Electric Capital Corp General Electric Capital Corp 0.230000% 36959HQ75 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-03-07 2013-03-07 N 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N 75000000.00 75000000.00 Sheffield Receivables Corp Sheffield Receivables Corp 0.250000% 82124LP55 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-02-05 2013-02-05 N N Y Letter of Credit Barclays Bank Plc N/A N/A 8000000.00 7998055.56 0.0006 N 7998560.00 7998560.00 Skandinaviska Enskilda Banken AB Skandinaviska Enskilda Banken AB 0.270000% 83050TQ12 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-03-01 2013-03-01 N N N 29000000.00 28987167.50 0.0020 N 28992170.00 28992170.00 Skandinaviska Enskilda Banken AB Skandinaviska Enskilda Banken AB 0.340000% 83050TU90 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-07-09 2013-07-09 N N N 3000000.00 2994645.00 0.0002 N 2993940.00 2993940.00 Skandinaviska Enskilda Banken AB Skandinaviska Enskilda Banken AB 0.250000% 83051HCE4 Certificate of Deposit N First Tier Security N/A N/A 2013-02-07 2013-02-07 N N N 44000000.00 44000000.00 0.0030 N 44003960.00 44003960.00 Skandinaviska Enskilda Banken AB Skandinaviska Enskilda Banken AB 0.280000% 83051HDJ2 Certificate of Deposit N First Tier Security N/A N/A 2013-03-06 2013-03-06 N N N 15000000.00 15000000.00 0.0010 N 15000600.00 15000600.00 Skandinaviska Enskilda Banken AB Skandinaviska Enskilda Banken AB 0.340000% 83051HEY8 Certificate of Deposit N First Tier Security N/A N/A 2013-06-20 2013-06-20 N N N 45000000.00 45000000.00 0.0031 N 44993700.00 44993700.00 Societe Generale Societe Generale 0.380000% 83369THC4 Certificate of Deposit N First Tier Security N/A N/A 2013-02-01 2013-02-01 N N N 147000000.00 147000000.00 0.0101 N 147017640.00 147017640.00 Societe Generale Societe Generale 0.680000% 83369TJZ1 Certificate of Deposit N First Tier Security N/A N/A 2013-07-01 2013-07-01 N N N 71000000.00 71000000.00 0.0049 N 71039050.00 71039050.00 State Street Bank & Trust Company, NA State Street Bank & Trust Company, NA 0.190000% 8574P1AG1 Certificate of Deposit N First Tier Security N/A N/A 2013-01-15 2013-01-15 N N N 48000000.00 48000000.00 0.0033 N 48001920.00 48001920.00 State Street Bank & Trust Company, NA State Street Bank & Trust Company, NA 0.210000% 8574P1BD7 Certificate of Deposit N First Tier Security N/A N/A 2013-03-12 2013-03-12 N N N 112000000.00 112000000.00 0.0077 N 112002240.00 112002240.00 State Street Corp State Street Corp 0.230000% 85747JN94 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-01-09 2013-01-09 N N N 1000000.00 999948.89 0.0001 N 999960.00 999960.00 State Street Corp State Street Corp 0.230000% 85747JQ59 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-03-05 2013-03-05 N N N 22000000.00 21991145.00 0.0015 N 21993840.00 21993840.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.350000% 86562DA26 Certificate of Deposit N First Tier Security N/A N/A 2013-05-01 2013-05-01 N N N 8000000.00 8000000.00 0.0006 N 8001040.00 8001040.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.340000% 86562DA83 Certificate of Deposit N First Tier Security N/A N/A 2013-05-06 2013-05-06 N N N 51000000.00 51000000.00 0.0035 N 51005100.00 51005100.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.440000% 86562DCE8 Certificate of Deposit N First Tier Security N/A N/A 2013-01-02 2013-02-04 N N N 55000000.00 55000000.00 0.0038 N 54997800.00 54997800.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.340000% 86562DD23 Certificate of Deposit N First Tier Security N/A N/A 2013-05-08 2013-05-08 N N N 26000000.00 26000000.00 0.0018 N 26002860.00 26002860.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.340000% 86562DK90 Certificate of Deposit N First Tier Security N/A N/A 2013-06-06 2013-06-06 N N N 30000000.00 30000000.00 0.0021 N 30000000.00 30000000.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.510000% 86562DLA6 Certificate of Deposit N First Tier Security N/A N/A 2013-01-07 2013-01-07 N N N 104000000.00 104000000.00 0.0072 N 104006240.00 104006240.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.470000% 86562DNZ9 Certificate of Deposit N First Tier Security N/A N/A 2013-02-01 2013-02-01 N N N 46000000.00 46000000.00 0.0032 N 46010580.00 46010580.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.250000% 86562DQ78 Certificate of Deposit N First Tier Security N/A N/A 2013-03-26 2013-03-26 N N N 4000000.00 4000000.00 0.0003 N 3999800.00 3999800.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.260000% 86562DR77 Certificate of Deposit N First Tier Security N/A N/A 2013-04-05 2013-04-05 N N N 1000000.00 1000000.00 0.0001 N 999950.00 999950.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.320000% 86562DUZ1 Certificate of Deposit N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 18000000.00 18000000.00 0.0012 N 18000180.00 18000180.00 Sumitomo Mitsui Banking Corp Sumitomo Mitsui Banking Corp 0.350000% 86562DZT0 Certificate of Deposit N First Tier Security N/A N/A 2013-05-01 2013-05-01 N N N 31000000.00 31000000.00 0.0021 N 31004030.00 31004030.00 Sumitomo Mitsui Trust Bank Ltd Sumitomo Mitsui Trust Bank Ltd 0.320000% 86562WN61 Certificate of Deposit N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 6000000.00 6000000.00 0.0004 N 6000060.00 6000060.00 Sumitomo Mitsui Trust Bank Ltd Sumitomo Mitsui Trust Bank Ltd 0.310000% 86562WP69 Certificate of Deposit N First Tier Security N/A N/A 2013-01-10 2013-01-10 N N N 22000000.00 22000000.00 0.0015 N 22000660.00 22000660.00 Sumitomo Mitsui Trust Bank Ltd Sumitomo Mitsui Trust Bank Ltd 0.260000% 86562WS41 Certificate of Deposit N First Tier Security N/A N/A 2013-02-04 2013-02-04 N N N 20000000.00 20000000.00 0.0014 N 20001000.00 20001000.00 Sumitomo Mitsui Trust Bank Ltd Sumitomo Mitsui Trust Bank Ltd 0.270000% 86562WW87 Certificate of Deposit N First Tier Security N/A N/A 2013-04-02 2013-04-02 N N N 100000000.00 100000000.00 0.0069 N 99997000.00 99997000.00 Svenska Handelsbanken AB Svenska Handelsbanken AB 0.240000% 86958CKU7 Certificate of Deposit N First Tier Security N/A N/A 2013-01-17 2013-01-17 N N N 16000000.00 16000000.00 0.0011 N 16000320.00 16000320.00 Svenska Handelsbanken AB Svenska Handelsbanken AB 0.230000% 86958CLK8 Certificate of Deposit N First Tier Security N/A N/A 2013-01-23 2013-01-23 N N N 20000000.00 20000000.00 0.0014 N 20000400.00 20000400.00 Svenska Handelsbanken AB Svenska Handelsbanken AB 0.240000% 86958CLS1 Certificate of Deposit N First Tier Security N/A N/A 2013-02-14 2013-02-14 N N N 9000000.00 9000000.00 0.0006 N 9000450.00 9000450.00 Svenska Handelsbanken AB Svenska Handelsbanken AB 0.235000% 86958CMN1 Certificate of Deposit N First Tier Security N/A N/A 2013-02-13 2013-02-13 N N N 59000000.00 59000000.00 0.0041 N 59002360.00 59002360.00 Svenska Handelsbanken AB Svenska Handelsbanken AB 0.235000% 86958CMX9 Certificate of Deposit N First Tier Security N/A N/A 2013-02-21 2013-02-21 N N N 55000000.00 55000000.00 0.0038 N 55002750.00 55002750.00 Svenska Handelsbanken AB Svenska Handelsbanken AB 0.235000% 86958CNE0 Certificate of Deposit N First Tier Security N/A N/A 2013-03-01 2013-03-01 N N N 61000000.00 61000000.00 0.0042 N 60999390.00 60999390.00 Texas TRAN Series 2012 0.140000% 46636YW48 Variable Rate Demand Note N First Tier Security N/A N/A 2013-01-02 2013-01-02 Y JPMorgan Chase Bank NA N/A N/A N N 11000000.00 11000000.00 0.0008 N 11000000.00 11000000.00 Thunder Bay Funding, LLC Thunder Bay Funding, LLC 0.250000% 67983TNJ1 Asset Backed Commercial Paper N First Tier Security N/A N/A 2013-01-18 2013-01-18 N N Y Standby Purchase Agreement Royal Bank of Canada N/A N/A 19085000.00 19082746.91 0.0013 N 19084618.30 19084618.30 Toronto-Dominion Bank Toronto-Dominion Bank 0.190000% 89112WAP2 Certificate of Deposit N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 67000000.00 67000000.00 0.0046 N 67000000.00 67000000.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.200000% 89112WCH8 Certificate of Deposit N First Tier Security N/A N/A 2013-01-23 2013-01-23 N N N 70000000.00 70000000.00 0.0048 N 70000700.00 70000700.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.200000% 89112WEW3 Certificate of Deposit N First Tier Security N/A N/A 2013-01-29 2013-01-29 N N N 56000000.00 56000000.00 0.0039 N 56001120.00 56001120.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.230000% 89112WFP7 Certificate of Deposit N First Tier Security N/A N/A 2013-03-05 2013-03-05 N N N 82000000.00 82000000.00 0.0056 N 82007380.00 82007380.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.220000% 89112WGM3 Certificate of Deposit N First Tier Security N/A N/A 2013-02-04 2013-02-04 N N N 8000000.00 8000000.00 0.0006 N 8000320.00 8000320.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.220000% 89112WLK1 Certificate of Deposit N First Tier Security N/A N/A 2013-03-11 2013-03-11 N N N 10000000.00 10000000.00 0.0007 N 10000800.00 10000800.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.170000% 89112WNG8 Certificate of Deposit N First Tier Security N/A N/A 2013-01-04 2013-01-04 N N N 18000000.00 18000000.00 0.0012 N 18000000.00 18000000.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.185000% 89112WNM5 Certificate of Deposit N First Tier Security N/A N/A 2013-01-17 2013-01-17 N N N 108000000.00 108000000.00 0.0074 N 108000000.00 108000000.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.300700% 89112XP90 Certificate of Deposit N First Tier Security N/A N/A 2013-01-22 2013-04-22 N N N 74000000.00 74000000.00 0.0051 N 74028860.00 74028860.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.300000% 89112XT47 Certificate of Deposit N First Tier Security N/A N/A 2013-01-25 2013-01-25 N N N 96000000.00 96000000.00 0.0066 N 96007680.00 96007680.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.290000% 89112XV36 Certificate of Deposit N First Tier Security N/A N/A 2013-02-08 2013-02-08 N N N 7000000.00 7000000.00 0.0005 N 7000840.00 7000840.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.290000% 89112XW27 Certificate of Deposit N First Tier Security N/A N/A 2013-02-08 2013-02-08 N N N 50000000.00 50000000.00 0.0034 N 50006000.00 50006000.00 Toronto-Dominion Bank Toronto-Dominion Bank 0.290000% 89112XX83 Certificate of Deposit N First Tier Security N/A N/A 2013-02-13 2013-02-13 N N N 10000000.00 10000000.00 0.0007 N 10001300.00 10001300.00 Toyota Motor Credit Corp Toyota Motor Credit Corp 0.250000% 89233GPU4 Other Commercial Paper N First Tier Security N/A N/A 2013-02-28 2013-02-28 N N Y Support Agreement Toyota Motor Corp N/A N/A 27000000.00 26989125.00 0.0019 N 26994330.00 26994330.00 Toyota Motor Credit Corp Toyota Motor Credit Corp 0.320000% 89233GQB5 Other Commercial Paper N First Tier Security N/A N/A 2013-03-11 2013-03-11 N N Y Support Agreement Toyota Motor Corp N/A N/A 50000000.00 49969333.33 0.0034 N 49985500.00 49985500.00 Toyota Motor Credit Corp Toyota Motor Credit Corp 0.270000% 89233GQC3 Other Commercial Paper N First Tier Security N/A N/A 2013-03-12 2013-03-12 N N Y Support Agreement Toyota Motor Corp N/A N/A 45000000.00 44976375.00 0.0031 N 44986950.00 44986950.00 Toyota Motor Credit Corp Toyota Motor Credit Corp 0.320000% 89233GQJ8 Other Commercial Paper N First Tier Security N/A N/A 2013-03-18 2013-03-18 N N Y Support Agreement Toyota Motor Corp N/A N/A 8000000.00 7994595.55 0.0006 N 7997280.00 7997280.00 Toyota Motor Credit Corp Toyota Motor Credit Corp 0.320000% 89233GQL3 Other Commercial Paper N First Tier Security N/A N/A 2013-03-20 2013-03-20 N N Y Support Agreement Toyota Motor Corp N/A N/A 44000000.00 43969493.33 0.0030 N 43984160.00 43984160.00 Union Bank, NA Union Bank, NA 0.230000% 90527M3U8 Certificate of Deposit N First Tier Security N/A N/A 2013-03-01 2013-03-01 N N N 50000000.00 50000000.00 0.0034 N 50002500.00 50002500.00 Union Bank, NA Union Bank, NA 0.240000% 90527M4F0 Certificate of Deposit N First Tier Security N/A N/A 2013-04-12 2013-04-12 N N N 8000000.00 8000000.00 0.0006 N 7999760.00 7999760.00 Westpac Banking Corp Westpac Banking Corp 0.400000% 9612C0N21 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-01-02 2013-01-02 N N N 72000000.00 71999200.00 0.0050 N 72000000.00 72000000.00 Westpac Banking Corp Westpac Banking Corp 0.400000% 9612C0N39 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-01-03 2013-01-03 N N N 28000000.00 27999377.78 0.0019 N 27999720.00 27999720.00 Westpac Banking Corp Westpac Banking Corp 0.403000% 9612C4DN8 Financial Company Commercial Paper N First Tier Security N/A N/A 2013-01-07 2013-02-07 N N N 118000000.00 118000000.00 0.0081 N 118027140.00 118027140.00 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96335WFX6 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 517215.89 517215.89 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 458977.38 458977.38 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96335WGE7 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 418372.51 418372.51 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 371263.77 371263.77 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96335WJR5 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 614859.85 614859.85 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 545626.63 545626.63 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96335WJV6 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 737886.98 737886.98 0.0001 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 654800.91 654800.91 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96335WJW4 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 1843915.32 1843915.32 0.0001 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 1636290.46 1636290.46 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96432XKB8 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 664260.48 664260.48 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 589464.75 589464.75 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96432XKC6 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 233751.80 233751.80 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 207431.35 207431.35 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96432XKH5 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 369082.00 369082.00 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 327523.37 327523.37 Whistlejacket Capital, LLC Whistlejacket Capital, LLC 0.000000% 96432XKM4 Other Note N No Longer an Eligible Security N/A N/A 2015-04-29 2015-04-29 N N N 110703.48 110703.48 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 98238.27 98238.27