Rick Berg's 2011 Personal Financial Disclosure Form

HAND DELIVERED
2DI2 JW! I 4 M: II : 00
UNITED STATES HOUSE OF REPRESENTATIVES
FORM A
Pge 1 or 11
For use by Members, oflloel'll, and em~loyHII
CALENDAR YEAR 2011 FINANCIAL DISCLOSURE STATEMENT
Richard A (Rick) Berg
Flllr
Status
Report
Type
; ~ Memberofttle u.s.
House of Re~reaenlalives
I
~.Annual (May 15)
lc:
:I
State: NO
Clstrlct: 1
Amendment
~u
202-225-9575
<DI)IIrne TelePhone) ___
(Full Name)
lc
Employing Oflloe:
Officer Or
Emptoyeii
(Office Uae Only)
A UOO penalty ahaD

be'"'"" egllnet
1nyone who fltn
more than 30 d.ya
lm.
-.
Termln11lion Date:
Tennlnatlon
PRELIMINARY JNFORMATION- ANSWER EACH OF THESE QUESTIONS

,__,. lro"'8ft1-rcellllht ~ ptllod'/
II.
II y, co"'fflettland attach SeM<IUio 1.

Did ..,.lndtvlduol or
""""a.,_.,. to C/111111' In II of JIIIYIIIQyourora-ll,tppo......... ellklttnthoNportltl"'rtod?
Ill.
_..,..,Uon
- - szoo Is tbo ...,......ng fii'IDd 0111Cid...,. ,...... , . - -
r..,
~~~-fOlio 'OOI'IpGUH, ot dopo'ldt~l dlllcf
,.....I\..I, 1011, .... -hal!gO I Ill
IV. - ' " " oo..t ln o1r-.ollon OliCIOdliiQ rt ,GOG dUIIng tho ,..,.,.
v.
Yta li( No r::::J
~';':,'oom,.._ and Mtach Schedule rv.
Dlclro<~, your.,;;ii.io, oriidopoodonl chN"""anrroporUbt. ..blllly

, _....... f10.t00)4urlnt lhl
._.,.,,....d?
VI, flit NPOIUIO piiiGd

~7
It
v..
No~
lfy, ~end - c h Schedule H.

Dl- yov, your epouu,., a ~opeo~donl GIIU IICII.,.. vn..,otd"l......... ol
"'""'then ft,OOO at tbo tnd Of tilt plllod7

II
oomplelle lllld -Oh Schedule Ill.
Gilt YQV, y - epo~~ uo,...llont ohlld .....,.., Ani' ropool&l>lo gill m

IIIIDrttllilng - ' " " sno ua 1101 0111o1wtoo
Dltl 1ouor fiiUt opo""o ....... a.....,. Into- (o.c., 111111 or ftN) ol UIIG
""!ill
No
Y.. lil) No []
v..
~ Non
Y "_.J No~
r-. campi.W and llttach Sdledu'* VI.
y-..,.... or
Did JOU,
dtponde4.i eNid ....rn.., ~.trO;.,,.,
VII. - . . - t o r t r.... lolbonportlgpll1ocl~-~~~itiHO
Yea
"""'011010<11"")'
If Y compr.w ..cr lllaeh Sct.tdur. VII.

Old rou 11011111111 "pol!lllll",.0.1110011"" or-.. IIMI- Dtftlflll In 11>1
VUI. .......acolorldu,..-7
y.
IX.
If
con~ pi* aftd -~~ Selutcllde VIII .
Did you...V. iny"11'Q1111H "'-or""""~~",_ ,..h llll oullldo
ril(l
- w,-.
conpl.te 1111<1 IIIIIch SclltcluleiX.
..
LJ
No
li!l
J!ll
No
v.. n
- - - -
No 'i']
Each qu1etlon In tflls p;~rt must be an.wered and the 1pprop~

schlltdule 1t11ched for each "Y" reepon...
lr Y.. _,lllett 11'<1 attt.m SCMdu'* v.

EXCLUSION OF SPOUSE, OEPENDENT, OR TRUST INFORMATION- ANSWER EACH OF THESE QUESTIONS
DIUie Npodlng "Quollllld a/nd ,.,.._. Pf1"11*1 b1 the Cornmllhl on Elhl.. a lid ~In olher -pte~~ trua need noUe
Trueta-
dii,ICIMd. Haw JOII tnlud.cl fnlrn thll raport dllalll of llllah I 11'1.111 benefiting you, )'Oir lfiOUII, or depend.nt dlild?
Exemptlone~; . ..k;..; rnu acludldlnm ttu ,.part any other . - . u.-mld" In~ tr111111~, or lllbllllltl ola apouu 01 dep'*nt chid
- . u.. tMv meltlllllwN ..... I'Cir eumpllon? Do not - - "Y" unlen you ,_,..lht c<>r~oult..s with the CommiiiM on Ethln.
------- - ------
... - -- - . ... -- . .
v .. [l
No~
SCHEDULEIEARNEDJNCOME
j Name
1
totene
R!cnard A. (Rick) Berg
any
l'lol2ol 1t
U.t the ~urce, t)lpt, 1111d amount o1 eM'Md Income from

~ (ottMr than the flier' ourrent MnPfl)1ment b)' 1tlt U.S. G<MIT\IIlant)
$200 or more
during the pneudng cetendar
Fo~ epou 11at the aource and amount of any honoraria; llet ontv 1tla eouroe for o1tler epoue earned Income exceeding
r-.
tt,OOB.
Sourc
U.S. House of Representatives
--- ..
Real ~tate Sales - Sole Proprietor
lndep-mdent Family Doctors, Ltd.
Type
Amount
$156,662
House of Rep. Salary
..
Commission-For services rendered prior
to becoming a Member of the House
- - ..
N/A
Spouse Salary
-Cattle Ranch- Oliver County. ND - -- - -
$15,151
- ----
Spouse Cattle Ranch
- - - - - ---------
.. . .
..
NIA
SCHEDULE Ill ASSETS AND "UNEARNED" INCOME
SLOCKA
"-t and/or Income Source
ldNIIify (a) .-oh -~~ held for lnwllmenl ar produc:clon of In-..,..,

a hllr 111tr11et v.lue ~In I ,1,0DO Ill Ill end of the reporting period,
and (b) 1111J oltlerrepott.ble _...or - ot lncDme which
geN .... d m.,.. than UOO In "11nNIMd'' IIICOIM dlltlng they-.
repoftlng
ILOCKE.
BLOCKC
Type of Income
Amount of Income
Tranactlon
Value of Asset
Chckll col...,.,. lhM

apptf. F Nlra-ntalhat do not
..._youtochoOM
ll)lelftc lnvulrMnlil or
lt\lll Cll,.,.. tu-dalorned
Incar. (lllh u 401(k)
For redrement ... counta t1111t

dD not lllD'W you to chao
apeclllc ~~- Drthll
genrata tax~ lnooma
(IUd\ U 401(k) pia ... or
IRAa), YOU 111a11Mck the
.,..,,... column. For Ill other
...., lndlcm the cuuuary
of lnc0111t bv check~ u.
IndiCt" lr..-
Vllultlon 111elll0d
othtrlhan fair mllbl

......,., pltMa apaGify
ForalfiRAa .nd Dtl!et' .........,_,,pia.,. (euch M '111(k) JIIM) lh&Ure

11lf.<IIN- (l.e.,plenaln wllich you have the.,_.,-~~ If nat
t!CefGlMCI, to MiliCI the a.,.clf".c IIIVMimttnta), provide !he value for each
a...t hllld In tlw acaount thalexaelda tilt reporting lhJUhalda. For
retlrwnMitac;couraWhlctoare nollalf-dlreeud, prowlc141 anlr1h .....,.
of lllllns11tutton holding lhe IeCoUnt and llallllluellttMendofthe
BLOCKD
ILOCKB
-of
ll"flllbOia.)
Paga3of 111
YearEnd
11
reporting
y-.
rtrouUiea
PI'OIIIde aompletlo N l - of atock8 aiiCI mutu&l f...a (do not ueetJcaor
Namct Richard A- (Rid() Berg
lhe .....hod ...d. If Dll

Mlat-IOidllftll.
IIICkldad only becauH
llla~lll-,
the V.IIM 1howlcl be

11
None....
IWf'!Ool.
~~~-or
IRAI). VOU 1MY
cheak the "Mont

column. Clvldencle,
l... rwt, and ~llal gains,
.... n llrei11Y81ttd, muet
be dleet011ea A lncomt.
Check "NDM.If1h 1aNt
Cll-dnGinCOIM
during the reporting

peTIOcL
Far ftln\al or other rell proper1 held for IIIYMimenl, provide a complete
add-.
hlld pllfDIIIHI
~.-(l).or
ewtanga(E)
--ding
11,DOO In
reportlngyMr,
appr<>prtale ...... ....,,
Olvldellda, lntaN.., .w1

.,...,,.1
galna, even If
rei.,_..., muatb
dlactoaecl lnoom. Clleck
"NoN" If no lncom~
- d ot genam.d.
For an -nrWIIp lrtt-ln prlvii!Myonlld bullln... thltla not

JM*IIcaiJy ....._abita IN nun. ofltla lila"-, the natww af Ita
actiwlllN, and .. gqnephlc loc.tlon In Block A.
Ellclude: Your I!'Nonll reeld-, Including HCOnd ho..- .,d
wc:atlon hom (IIIIJMa ~- renlallnc:oma during lhe repo<tlng
.,a_.,._,..._ ........,,_,.. H ftJ\ft oOIPIIIIIr-r-1.,. A --"""..1 ,..t,..-.&.l .._ -
--.t' .......
RENT
Weekare Bldg. (30%)
: $100,001: 2302 30 112 Ave. So. Fargo, ND
i $250,000
Farmland-Benson county, -N-D- - - -r s-soo-.oo
- 1-- - - 1 -R
- ENT
$1,000,000
1 - - -- - 1 -
SP
- - -
Farmland-Oliver County, NO
-- --+-- -- - - - - - --
----+------
INREIT Real Estate Investment
- ---- -
Trust-Minot, NO
$5,001 $15,000
- ----1--- ----
$500,001 $1,000,000
RENT
-- -----+ .. ...
Residential Land- Washbum,

NO
SP
$15,001 $50,000
Independent Family Doctors,

Ltd- Physician-Fargo, ND
$15,001.
None
$50,000
- ---lr--- -- $100,001 DIVIDENDS
$250,000
- ----+--------+- $15,001$50,000
-- -
$15,001 - $50,000
- -- -- - -
NONE
S(part)
$5,001 - $15,000
.. - --- - + - - - - - -- -
S Corp
Income
$15,001 -$50,000
- - -
Name Rlchanl A. (Rick) Berg
Partnership
Income
NONE
$15,001.
$50,000
LLC Income
NONE
$50,001$100,000
None
NONE
LLC Income
NONE
Gold mark Schlossman VC
Partners-Venture CapitalFargo NO
- ......
-111telllgent lnSttes, LLC

SOftware-Fargo, NO
Loan
-- -
$1~,001
Ntractive, LLC-Software-Gran d
Forks, NO
$50,000
~-
$100,001$250,000
Dacotah Cattle Grower& LLC

(Cow Share LLP)-Bismarck ,
ND
.. --
..
$50,001$100,000
College Save Seetlon 529 PlanGrowth Portfolio
,____. . -.
- .. -
$50,001$100,000
-
- - -- ---
Loan to Kelly Zander-Fargo, NO
$100,001$250,000
starion Financial accounts
..
------
..
..
- - -
,. --
LLC Income
$15,001 -$50,000
None
.. . NONE
INTEREST
$201 -$1,000
..
$2,501 - $5,000
INTEREST
- -
INTEREST
INTEREST
$15,001-$50,000
NO
$500,001$1,000,000
Loans to Jay Braaten-Fa~go,
None
INTEREST
$2,501 $5,000
$100,001$250,000
INTEREST
$5,001 -$15,000
$100,001 $250,000
INTEREST
Fargo, NO
~-ioans to Jeooe Crai,-Faogo:
NO
- Loans to Wes~ind Propertiesr-- ____ , F'rgo, NO

Loans to David GilleMoorhead, MN
-. .
...
. -. --
$100,001$250,000
- - --,
$250,001$500,000
I Loan to Amber Holding,LLC-
..
Ramsey NationaJ Bank account
r-
..
to Campaign
$1-$200
. ..
INTEREST
$5,001-$15,000
- -
... - -.-.
$15,001 -$50,000
I
Bramer Bank account-Fargo,

NO
_..
$1-$1,000
401 (k) Plan accountSBT Income Vllith Growth
SP
Cattle-Oliver County, NO
SP
NONE
..
....
$15,001.
$50,000
DMDENCS
$250,001' $500,000
INTeREST
$201 - $1,000
..
$201 -$1,000
- --- . - - $50,001NONE
None
$100,000
.... - Spouse Earned
NONE
$500,001$1,000,000
Income-
1Spouse Earned
I
I
I NONe
Income-
Schedule I
$250,001.
$500,000
State Bankshares, Inc, Stock
..
INTEREST
...
$1500,001 $1,000,000
l .
JT
$1.$200
Schedul& I
-SP - -l-Ra~ch Equipment-Oliver

County, NO1
r-
INTeREST
.... -
State Bank & Trust accounts

Fargo, ND
. -- . - ..
$15,001.
$50,000
. lrrevocabre Lrte Insurance

Trust-State Bank & Trust
. - - ---
---
DIVIDENDS
$5,001 - $15,000
None
NONE
..
......
- -
PS(part)
None
INREIT Properties LLLP-Minot,

NO- Real Estate
$1,000,001.
$5,000,000
Partnership
Income
$15,001-$50,000
None
DIVIDENDS
NONE
--
~ ~
SBT lnvestrT'Ients account
- --
Mareliue ApartmentsApt. Building-Horace, NO
...
. . ..
-.
.. _......
$50,001$100,000
NONE
$250,001$500,000
..
UBS SEP account-See

Attached Statement
NONE
$100,001$250,000
None
UBS Sep account-See

Attached Statement
---
PageSGf 18
$1,001.
$15,000
Trust-Fargo, NO
Name Richard A. (RICII) Berg
Choice Financial Bank aecourrtFargo, NO
...
Dakota Real Estate Investment
SP
RENT
$15,001 - $50,000
I
I
I
. . ...
SCHEDULE Ill -ASSETS AND "UNEARNED" INCOME
$50,001$100,000
$15,001
$50,000
Northern Plains Capital stock

Bismarck, ND
- -
Summit Partners, LLPApt. Building-Fargo, ND
--
- -
--
$1,001$15,000
Renaissance Ventures, LLCFargo, NO-Business

Investments
'------rl"
'____-- - ... -- Braaten Apartments, LLP-
---$100,001-
! Apt. Bulldln~~yv'e&t Fargo, ND
$250,000
$15,001$50,000
i SG Five, LLP
1
- .. -
Sign-Fargo, NO
. ..
- .
Jlmberg Partners, LLP
Comm. Bldg. #1-Fargo, NO
Name Rlcllara A.. (Rick) Berg
None
NONE
RENT
$5,001.$15,000
NONE
RENT
$15,001 - $50,0 00
RENT
$2,501 - $5,000
--
CAPITAL GAINS
$50,001 - $100, 000
RENT
$15,001 -$50,000
Partnership
Income
$100,001$1,000,000
$250,001
$500,000
RENT
$15,001 -$50,000
Westwfnd Properties, LLP

Apt. Bldg. #2-Fargo, ND
$250,001.
$500,000
RENT
$50,001 - $100,000
$100,001$250 ,000
Westwlnd Properties, LLP

RENT
- . $15,001 $50,000
None
RENT/CAPITAL
GAINS
$100,001.
$1,000,000
$100,001$250,000
RENT
$15,001-$50,000
.. .. . ..
$100,001$250,000
Jimberg Partners, LLP

Net Value Real Estate
$1 ,000,001 $5,000,000
-- - -
Mo~
...
0
...
Westwlnd Properties, LLP

Apt. Bldg. #4-Fargo, NO
Westwind Properties, LLP
IApt.
Bldg. 18-Fargo, NO
-~ .
..
-----
i $50,001.
$100,000
..
-~
-- - -
..

j W~~twlnd Properties, LLP

Apt Bldg . #1-West Fargo, NO
. . ...
- .. .
---- - -
-~-
..
LLC Income
. ..
None
Pagellof til
.
RENT
--
s
-
$15,001 -$50,000
..
..
-
.
l
SCHEDULE Ill -ASSETS AND "UNEARNED" INCOME

Apt. Bldg. #7-Fargo, NO
$5,001 - $15,000
$100,001 $250,000
RENT
$15,001- $50,000
---- - . .. -- ... . ..
$100,001RENT
! Apt. Bldg. #2-Moorhead, MN
$2ri0,000
..... - . . - -- .. - --
$15,001 - $50,000
.-----9 . .- . . -..
i Weatwind Properties II, LLP-
-j- ~~~: ~~g. #3-Moorhea~, ~-~ -
__ .
Wleelberg Partners, LLPAirplane-Fargo,

NO
1
I. Fay
Land Partnen>, LLPLand-Fargo, NO
-r
.. -
-Farm House Partners, LLP

Apt. Bldg.-Fargo, NO
- ..... ..
$100,001$250,000
RENT
- - ~----
--- -
~ -~
$100,001$250,000
Partnership
Income
$500,001$1,000,000
Partnership
Income
-- -- --- - .
-- - - - -$250,001$500,000
...
- ~
- ------~ - -. - - -NONE
..
$50,001 - $100,000
RENT
..
. --
00
o O
- ------
- - -
1 Red Gate Apartmenta, LLP
$100,001$250,000
RENT
$15,001 - $50,000
$100,001$250,000
RENT
$15,001-$50,000
$250,001$500,000
RENT
$100,001-
RENT
$5,001-$15,000
None
S Corp
Income
$201 - $1 ,000
$250,001$500,000
RENT
Apt. Bldg. #1-West Fargo, ND
- .
Red Gate Apartments, LLP

Apt. Bldg. #2-Weat Fargo, NO
..
GF Corporatlon-Comm. Bldg.
#1-Fargo, NO
--- .. .....
GF Corporatlon-Comm. Bldg.
#2-Fargo, ND
- . --
. Goldmark Schlossman
Commercial Real Estate
Services, Inc.-Fargo, ND
TAG, LLC-Comm. Bldg. #1Fargo, ND
-.
.. ...
RENT
...
- ....
$15,001-$50,000
$250,001$500,000
. .......... - -
; $15,001 - $50,000
High Point Partners, LLP

Apt. Bldg.-Fargo, NO
..
PIIQtl7of 111
~ -
r-----~ ~-stwlnd Propertles-il~iLP- ..
t---
RENT
...
t -
Name Rlctlanl A. (RIGk) Bllrg
$50,001$100,000
Weatwind Properties II, LLP; Apt. Bldg. #1-Moorhead, MN
--
$50,001 - $100,000
$50,001 -$100,000
. . ..
- ~
- -
11250.000
SCHEDULE Ill ASSETS AND "UNeARNED"' INCOME
SP
$500,001$1,000,000
RENT
NO Natural Beef, LLC-Beef

Processor-Fargo, NO
$1,001 $15,000
LLC lnc:ome
---
$100,001 $250,000
; Bismarck, NO
Kenwood:Ro~ewood
r-1
- - - -
$250,001$500,000
Apart~nts, LLC-Apt Bldg. #1-
Case Plaza, I..LC-Comm. Bldg.Fargo, NO
- ---;-.....:....____ ___ . - -
, Northwestern Mutual Life-Life

Insurance Cash Value
I INhole
Ufe
Midland Insurance-Life
Insurance Cash Value
Universal Life
INTEREST
I
1
$500-,0-01- --
--
$250,001$600,000
- .--R-EN
_T_ _ _ _r-$-50
,0-01---$100~000
$1,000,001
$5,000,000
'-
. .. _ ,
$1,001 $15,000
None
NONE
$15,001--- ~ None
! NONE
$15,000
. .. -- . . - . - -
.... -
$100,000
------------
1 RENT
-_:~:_:-_-_-_-_-_-_-_-_:~s_:_i~_:_._;~_~:_-1_oo_.~oo
Portfolio A
.. .
$1,000,000
--
$1,000,000
Old Abe C~-p-lla-1-,LL

-P-10-Id_A_b_e_ _ _----.1_$-50,001
Two Capital
Comm. Bldg. #1-Anthon, lA
--
$100,001-
$50.001 _ $100.000
---rvvaddeii&~--Se
-c
-t-io_n__________,I_$_1-,0-0-1--------~-N-o~
r--1
NONE
..
RENT
$50,000
I ~29 Plan-InvestEd Balanced
NONE
Dea Moines lA
f----
Pagee of 18
'
1520 Partners, LLP-Comm.

Bldg.-West Fargo, NO
1------r--- --Ag Foundation Building, lLPComm. Bldg.-Bismarck, NO
I
1 $16,oo1 - sso.ooo
. _r;>_es_Motnes, lA
Kenwood-Rosewood
Apartments, LlCApl Bldg. #2-
r--
Name Richard A. (Rick) 68111
Tag, LLC-Comm. Bldg. llt2

Fargo, NO
- -Fargo
---- Wells
Bank account-
SP
- --
I
I$5,001- $15,000 T .,
NONE
--t
SCHEDULE Ill ASSETS AND "UNeARNED" INCOME
P-ci~8of
Old Abe Capital, LLP/Oid Abe
$15,001 -$50,000
RENT
l Two
Capital
Comm. Bid .#2, Bismarck, NO
fold-ia.be
capital: LLP/Old Abe

, Two Capital
Com~. Bld9. #4-.Britto~._SO
ITwo
Capital
$15.001
$50,000
--'I
I
I $100,001.
$250,000
Abe
Old
Capital, LLP/Oid Abe
Two Capital
Comm. Bld_s. 13-Biairstown, fA
$15 ..001 - $50,000
RENT
1 $100,001$250,000
I s1s,oo1- sso.ooo
RENT
Comm . Bldg. #5-Casselton, ~0
i $500,001 -
Old Abe Captial, LLP/Oid Abe

Two Capital
' Comm: ~!~~.: ~R~~ ~ol nes, lA
: Two Capital
Comm. Bldg. #7-E/bow lake,
MN
I
I
I
! $1,000,000
I Two
Old ii,;; ~pita!, LLP/Oid Abe
Capital
Comm. Bldg. #8-Fergus FaUs,
MN
]
Old~ Capital, i LP/Oid Abe

Two Capital
Comm. Bldg. #9-Gracevllle, MN
Old Abe Capital, LLP/Oid Abe ..

Two capital
Comm. Bldg. #1 0-Grand Forks,
NO __

Two Capital
Comm. Bldg. 111-Grundy
Center, lA
..
I $15.001 _ $50.000
$500.001 _
$1,000,000
I $50.001 _$100.000
$250,000
I $250,000
$100.001-
Y""
....
$500.001 _
$1,000,000
RENT
RENT
RENT
$15,001 _ $50,000
. , s1ioot - s50,ooo
RENT
I $50,001 - $Hl0,000 T
RENT
___ - -- - - - - - - - - ------ ___
l
I
$50,001 - $100,000
$100-.001 _
..
RENT
$Hxi.oot $250,000
r- . ..l
$2.So1 _$5.000
RENT
11
,, .
I
I
-,
-1
SCHEDULE Ill ASSIETS AND uNEARNED" INCOME
Name RIChard A. (Rick) Berg
RENT

Two Capiltll
Comm. Bldg. #12-Highmore,
$5,001 - $15,000
so
r--
1
Two
$5,001 - $15,000
Old Abe Capital, LLPIOid Abe
$100,001lRENT
$250,000
Cap!Uil
C?!!l!!l;.!il~9: # 13-Huron, SO
REN
-T-----.~-$5
-,oo1: $1s,ooo
~ld Abe Capital, LLP/Oid Abe
-~ -S100,001 1
~ !wo capital
$250,ooo
Comm. Bldg. #14-KulmL.:.
,N
=D= - - - - --r - - - - - - .
old Abe capital. UP/Old Abe
1 $1oo.oo1RENT
1 $s.oo1
j
Two Capital
$250,000
Comm. Bid . #115-Lamoure, NO
$15,001 _ $50,000
$100,0011 RENT
Two Capital
$250,000
r--r
-
r
-$1s:ooo ~ 1
Comm. Bldg. #115- Lidgerwood,
NO
r----

$100,001 $250,000
Two Capital
Comm. Bldg. #17Lincoln, NE
Old Abe C~p
-lt-a1, LLP-/0-Id_Abe
__
$250, 0~ENT .
Two Capital
$500,000
Comm. Bldg. #18-Usbon, N."'D_ _ _.___,
RENT
Old Abe Capital, LLP/Oid
~- $250,001
Two Capital
$500,000
Comm. Bid . #19-Mandan, NO
..
$100,001
RENT
$250,000
Two Capital
. . - - -r-C
.;....o_".!'!' B~. 120-Marshall, MN
$100,001.
Old Abe Capital, UP/Old Abe
RENT
Two Capital
$250,000
'
Comm. Bldg. ii121-Mi11er, SO
I
I
I
I
Abe
I $15.001 _$50.000
I $15.001 _$50,000
I $15.001 _ $50,000
: $15,001 - $50,000
I
I $s~oo1 -$15,ooo
J
Old Abe Capital, LLPJOid Abe
Two Capital
Comm. Bldg. #22-Moorhead,
Name Richard A. (Rlek) Berg
.,.1111f 18
$500,001.
$1,000,000
RENT
$100,001.
$1,000,000
$50,001$100,000
RENT
$5,001 $15,000
$100,001.
$250,000
RENT
$15,001.$50,000
s25o,.oa1-~
IRENT
MN

Two Capital
Comm. Bldg. #23-Pipestone,

MN
Two Capital
Comm. Bldg. #24Rfchland, so
Old Abe capital,
LLPiold Ab;---
Two Capital
Comm. Bid . #25-Roseau,
rTold
I
. .. Co.l'fl!'!:.
r-ITwo
I
MN
Abe Capital, LLPJOid Abe

1 Two Capital
$500,000
$50,001.
$100,000
RENT
... ...
, $15,001
-- --- .
-$50,000
$5,001 $15,000
~!P.9.: .lJ26-Sioux City, lA

Capital
Comm. Bldg. #27-Sioux Falls,
so

Two Capital
---l $100,001
$250,000
I$500.000
$250,001-
Comm. Bldg. #26-Wahpeton,
NO
Old Abe Capital, L.LP/Oid Abe
TWoCapJtal
Comm. Bldg. #29-
Waverl ,lA
Two Capital
Comm. Bldg. #30VVJnger, MN
$100.001 .
$250,000
r RENT
! $15,001 $50,000
I
I
I$15.001 $50.000
RENT
RENT
] $1 oo."oo1 ~ - .. _-~-RENT
$250,000
... , ----
. ....
$5,001 - $15,000
I
n
r---

TWO Capital
comm. Bldg. #31Wishek, NO
I Old Abe Capital, LLP/Oid Abe
j TWO Capital
comm. Bldg. 32-Crookston,
MN
ITwo
Capital
Comm. Bldg. t33Pella, lA

Capital, LLP/Oid Abe
TWo Capital
comm. Bldg. #34Center oint! lA
Old Abe Capital, llP/Oid Abe
Two Capital
comm. Bldg. ill35Oskaloosa, lA
Old Abe CaPital, LLP/Oid Ab-~
. TWO Capital
r comm. Bldg. #36Iowa Falls, lA
Two Capital
Comm. Bldg. #37West Fargo, ND
Old Abe Capital, U.P/Old
Two Capital
comm. Bldg. #38
Aberdeen, SO
-OidAt;
-Abe
P~ge12
Name Rlcn.d A. (Rick) Berg
of 1t
$5,001 -$15,000
RENT
-1 $250,001
$500,000
I
I
l"fi~~:g~b-
IRENT
I $15.001 _$50~--- - ---
"'I $250,001
$500,000
$50,001$100,000
1 $100.001
$250,000
I$15.001 _$50.000
RENT
1
$50,001 _$100,000
RENT
1
$5,001 -$15,000
RENT
RENT
I$1.000.001- I
. $5,000,000
I$1,000,000
ssoo.oo1-
RENT
RENT
~- -,.
. ...
. - .- .
_,I
I $5.001 _$15.000
I
l ---1" I
$100,001-
$1,000,000
s1s.oo1 -' sso~ooo
...TP
-- -~
$250,001.
$500,000
1Two Capital
Comm. Bldg. :AI39
Aberdeen,_?!?. . - - - - - - Old Abe Capital, LLP/Oid Abe
Two Capital
Comm. Bldg. 140
Dickinson, N~
D_ _ _ __ _
r-Taid.
Abe c-~~ital,
Two
Nama Richerd A (Rick) Berg
~-$250,001 $500,000
LLP/Oid Abe
capital
Comm. Bldg.# 41
Duluth, MN
$100,001 $250,000
1 Old Abe Capital, LLPJOkl Abe

1 Two Capital
Comm. Bldg . #42
. - , $250,001
$500,000
-----
HI hmore, SD _ - - - - - - - . - -
..... <ild
, Skyvlew Partners, LLP

Apt. Bldgs #3 & #4-Fargo, NO
RENT
T$5.001 _ $15.000
- ., RENT
1 $5,001 ~ $15,000
NONE
- - - -r--- - -
' Old Abe Capital, LLP/Oid Abe

$500,001
: Two Capital
$1,000,000
Comm. Bldg. # 43
Shakopee, MN
~
Abe Capital, LLP/Oid Abe
Two capital
Comm. Bldg. # 44
.-----,_Wi
_ IIIi...;..
st.;.;;o.:...;.
n,'-'N..;;.;D
;...__ _
_ _... - - - - - . . - -$250,001 Skyview Partners, LLP
Apt. Bldgs. #1 & #2- Fargo, ND
$500,000
$5,001 - $15,000
RENT
RENT
$15.001 _ $50,000
RENT
RENT
$50,001 -$100,000
- - - 1---- - - - + - - - - - - - + - $500,001$50,001
RENT
- $1 00,000
$1,000,000
$100,001$250,000
RENT
$15,001 -$50,000
Apt Bldgs. #5 & IS-Fargo, NO

Amber Holdings, LLP
Comm. Bldg. #1
$1,000,001 $5,000,000
RENT
$100,001$1,000,000
Skyview Partners, LLP
Fargo, NO
SCHEDULE Ill ASSETS AND ''UNEARNED" INCOME

Amber Holdings, LLP
Comm. Bldg. #2
Fargo, ND
RJ O'Brien account
RENT
--
. 714 Partners, LLP

1 Airplane-Fargo, NO
TFRE, LLC
Real Estate-Grand For1<a, NO
--
- .. .
Toasted Frog West, LLC

Restaur~llht-Grand Forks, NO
Big Bend Development. LLP
Twin Homes-Washbum, NO
...
Bauer Private Equity Fund IV
Loan to Calll>lng Adventures,
LLP-Fargo, NO
Loan
RENT
i $100,001-
$50,001$100,000
Partnership
Income
$15,001$50,000
LLC Income
$201-$1,000
$1,001
$15,000
LLC Income
$201 - $1,000
. -
to Lori !bach-Fargo, NO
Loan lo Ag Foundation
Building, LLP-Bismarck, NO
. .. .
'
Choice Financial Bank accountFargo, NO

Congressional Credit Union
account-Washington, DC
.. - - -
$1,000,000
NONE
--
$5,001-$15,000
. $1,001$15,000
LLC Income
NONE
$1,001$15,000
LLC Income
$15,001
$50,000
INTEREST
$50,001$100,000
INTEREST
I $5.001 _ ....000
$15,001 $50,000
INTEREST
$1,001-$2,500
$1,001$15,000
INTEREST
$1.$200
$1,001
$15,000
INTEREST
NONE
......
:
i
=---t=:== -
NONE
. $2,501 - $5,000
II
..
-------- - -
+=i
..
........
-
- ~s
NONE
Partnership
Income
$100,000
Bauer Prtvate Equity Fund Ill
,_ .. -
$1,000,001 $5,000,000
$50,001 -
- --
.. ..
---n
!-- -
--
Commodities
Account
Nona
JJR Properties, LLP

Apt. Bldg .-Fargo, NO
$2,501 - $5,000
..
-----
SCHEDULE IV- TRANSACTIONS
Name
Alchlrd A. (Rick) Berg
PIQII 15 ot 111
Report any pun:hHI, Nle, or ~~Change by you, your 1po~e. or dl~ndent ~ld durlilfll tile Nportlng ,ur olany ,.a~ prop.rty, 1loc:ka, bondl, eomrnocltltl futu,.,
or ottwr 1ecurftiM ,..,.n !be' ~mount of the nnuc:tfon 1xceed-' $1,000. Include trlnactlon1 tflilt ,..ult.d In
Provide a brf.t' dcrlptlon of nr emha~
tran,,c;Uon. Do not report trai'WIICtlon betw"n wou. your.,..., or your dependnt child, or the pun:t\- e~r aall or your per.orwii'ISidenoe, ~.r~ln It fa rantld
out. II only 1 portion of an "Htl1 1old, p i - 10 indi~;atl (I.e., pertfal eale'1 See example below.
lou
C1plllll
Geln In
&Gee I
ol'$200?
SP,
DC,
JT
Type of
Transaction
Asset
p
1Amber Holdings, LLP
!Comm. Bldg. #2
r----.-F_
a!i~Nq
'
________________________,
$15,001 - $50,000

. Yes
1-,-11
$250,001 - $500,000
11-18-11
$250,001 - $500,000
1~~m. Bldg. # 43
1P
Abe
Two Capital
lp
Comm. Bldg.# 44
Williston, N=
D----- - - -- - ---------,
Old Abe C~pltal, LLP/Oid Abe Two Capital
Aberdeen, SO
Comm. Bldg. #39

Abo.Ooon.SD
.
'I Old Abe Capital, LLP/Ok:l Abe Two Capital
Comm. Bldg. #40
Dickinson, NO
- lNIA
IN/A
[N!A
18-1-11
' T-----
: 1-1-11
1$soo,oo1
s1.ooo.ooo
I$100.001 _$250.000
:' N/A
15-16-11
-. ---
"" -- --1
I$500,001
_ $1.000.000
/p
IN/A
I$250,001- $50~
lp
IN/A
111-1-11
I$250,001 _ $500.000
rp-
Comm. Bldg. #'a8
~--~-Old Abe Capital, LLP/Oid Ab; T~~-CapltaJ
$100,001 - $250,000
8-1-11
1 I~~;~~~:1. LLP/Oid
I
1
1-1-11
No
p
Oid Abe Capital, LLP/Oid Abe Two Capitai
Comm. Bldg. # 42
Hlghmo~J. ~~ .... - ------- --------..,.-r-!Ord Abe Capital, LLP/Oid Abe Two Capital
NIA
1 - - ---l- -
Amount of Tranuctlon
Goldmark Schlossman Commercial Real

Estate stock-Fargo, ND
1 -- ----t
Date
B-17-11
-l
SCHEDULE IV - TRANSACTIONS
Name Rldlard A. (Rick) Berg
~1811119
Rllport any purci!Me, Nle, or eKOhange by you, vour apouee, or Cllpendent ohlld during the ,.,orttng YHr olany real PI'OIMI'tr .tocb, bonda, aommodiUea Muree,
or other eeourltln when the amount or tile transac11on ~ $1,000. Include tranNG11ona t1wt raeult8d In 1 loll. Provldt a brl.r dMc:ffptton of any Dtlanga
lnlnucuon. Do not report a tranuollon belWMn you, your apouH, or your dependent child, or the purchaH or aale of yo~ ,.,.onal real Ilene., uniiH It&. rem.d
oul. If only portion of an auatla aald, pi so tndlc:at. (1 . "parUeiJeJ. lee a:umpll below.
SP,
DC,
JT
r - .. -
Type of
Traneactlon
Auet
Caplt.l
Oalnln
Ell""
ofU001
Old Abe Capital, LLP/Oid Abe Two Capital

: Comm. Bldg.# 41
Duluth I MN
N/A
' Residential Land-Washbum, ND
S(part)
No
Yes
.. -
..
..
...
...
RJ O'Brien -Cash Value distributed (only
- ~21~1 1
.. 1
SP
ao
--
UBS SEP acoount-See Attached Statement
-.
...
40
..
$15,001 $50,000
$1,001 -$15,000
I
---
. --
UBS Sep account-See Attached Statement

Westwlnd Properties-Apt. Bldg. #4-Fargo, NO
I$100.001 - $25o,ooo
..
3-1-11
cash value was In this account at 12-31-10)
Amount of Tranactlon
Daw
8-4-11
...
Yes
5-1-11
$250,001 $500,000
SCHEDULE V- LIABILITIES
nv
Nme Richard A. (RICk) Berg
nv
Pap17 of Ul
R..port llablllliM ol' over $10,000 OWid to

on c.-ecfltor at
lime dul1og ltM raportlng period by you, your apou.e, or cllpendent chUd. Mall\ the> hightlt
amount OWIId dur1"111 the yar. l!iUill.lde: /vi~ rnortg1ge on your ..,..onal rNidence (unl- aU or part of It Ia nnt.d aut): l0o1na Hl!urad by aut.ornobiiH, hoiiHhald
fuml\uN, or appllana. .; and llablllllM owiNI to apou.e, or ttle ohlld, perwrt, or lllbllng of you ar your apouea. R-,ort nrvolvlng oha1111 neounta" (I.a., end It
oarda) on~ If lhl balance It thee; I - of the prtooecnng calancilr year uONCied $10,000.
SP,
Date
Liability
DC,
JT
SP
Incurred
Creditor
Wells Fargo Equipment Finance
-- .Starlon
Financial
SP
$15,001.$50,000
February
2009
Business Line of Credit
$250,001 $500,000
Farm Line of Credit
..
$15,001 $50,000
..
. . . .. .
Business and Real Estate

Loans
February
2005
--- - r- Business Loans

October
State Bank & Trust

B111mer Bank
Fann Equipment Loan
August
; 2010
Ramsey National Bank
..
Amount of Liability
June2009
~ ~ --
Wells Fargo Bank
.. -
Type of Liability
2005
_....
Business Loan
June2007
I
----- -- -
-+
---- - .
--$500,001-$1,000,000
. $250,001 $500,000
$50,001 $100,000
SCHEDULE VIII - POSITIONS
Name RldlerdA. (Rick) Berg
"-" 11 d 18
Ripon 111 p~ltlone, OOmptnNtld Of unoom.,.nut.d, h1ld d~ng the curNnt oel.,ur YAfll en ofllcar, dlledor, tr\INI of ert org~~nlultlon, partner, proprtnor,
rap.-ntallva, lmPIO'f'n, or coneultllnt of any corporation, firm. putnen~hlp, or any bullnHI Wlllwplia1, 1ny 110npruftt organization, any llbiH' ort8111zatlon, or IllY
lduc:atlonal or othllt h11t1tution other thin thl Unlald ltalll. Exoluda: Po1llio111 hlld In Ill)' Nllglout, lodtl, rt.tern.l, or pollllolll 1nt111H; p1111t1one 1ol1ly rJ en
hononry natu,.: 1nd poeltlone dllld on lohldulel.
Name of Organization
PoalUon
Partner
See Attachment Listing Partnerships
-'
Member in Limited Liability Company
...
Treasurer/Director
Director
. ... - --
...
See Attachment Listing LLCs
- . -
Goldmark Schlossman Commercial Real Estate Services, Inc-Fargo, ND

GF Corporation-Fargo, ND
--------
--
FOOTNOTES
Number
Section I Schdule
J Name Rlchn:l A. {Rick) Berg
P;e111of 11
Thla note refera to
Footnote
the following Item
ScheduleV
- - --~
26.
Schedule Ill
Schedule Ill
Schedule Ill
Assets values from partnerships, lLCs and S Corporations

reflect 1he flier's percentage of ownership interest.
..
----------r-------Loans to Jay Braaten-
Loan from Jay Braaten was paid in full on 12-19-11.
..
5
Llabllltle& of business entities and mortgagealloans on rental or

investm~nt property held In a part~rship, LLC or S Corporation
are not Included pursuant to apectfic reporting Instructions-page
Schedule Ill
...
Fargo, NO
Amount of Income Is not required to be reported, since It Is
spouse's earned income from a cattle ranch-see Schedule I.
Cattle-Oliver County,
NO
Amount of income is not required to be reported, sinoe It Is

spouse's earned income from a cattle ranch-see Sct"ledule I.
Ranch EquipmentOliver County, NO

SBT Investments
, account
Schedule Ill
Schedule Ill
Quality Dairy Growers LLC changed its name to Dacotah Cattle

Grower.; LLC.
Dacotah Cattle
Growers LLC
Schedule Ill
Beginning 1-1-11, Skyvlew Partners LLP accounted for Its

apartment buildings as three separate units : buildings #1 and
#2, buildings #3 and #4, and buildingl5 #5 and tl6.
Skyview Partners LLP
..
Cash balanoe was distributed In January, 2011 .
..
Retirement Account
$UBS
UBS Strategic Advisor
UBS flnooill SeMcos J1r.

51 Broodwy
FarQO NO 58102-4933
December 201 1
i>JIZZ004797027 m 1 X24 80 0
VOW' fl""ndal AdviiOr:
Atcount nerne: RICHARD A BEAG

SEP
Atcount 1ype: SlmpiffiRd Employee Pension
QuettiDII'I about vour statement?

Colli ywr Financial Advistlr or t~e
RMA ftesourceLine at 800RIM1000.
A<caunl number:~
ae<gurt 211004770.
Vislr our webl1t1:

www.~bs.(om/financialservi<OS
Vour lnvstment objactlves:

YO\j hjll<! identified thft ~loWing
1nves.1ment oq.cUvu fer this. accoun\.. It
you have questions about I~"'

objoctwes, disagree with thom. or wish '10
cnongo 1hom, plea contact your
Pnancial Ad.lsor or Branch Monager. Yw
Qln md. full dt>Cription <Jftho
~atiYI! i~ve<tn-Mt objectives in
Value of your account

Your assets
VOIU .uount lmtruc!IOriJ

UBS Fmancial seMces ~.
on New<!mbor 30 (S)
on Deremtler .'!0 (S)
197,534.65
196,022.67
Your liabilities
V.alue of your account
0.00
0.00
$197,514.65
$196,0:22.&7
MU>dian.
" your
Imports"! tnl'imMriM M>cut your

al the end of this documenl
swtemefll
Change in the value of your account
Your re'um obJttl:V.:

CaplolapJn<iotlon
Your rtlk pnofllt:
Prinl"Y Aggr..siYI
SI<Mdary Nor11' sole<"lod
Opening account value

Withdrawa Is and fees,
including
Investments transferred out
Decomber 2011 ($)
v..r to cote (Sl
U97,5J4.&5
$209.435.16
o.oo
-2,792.84
;:.D_iv_id_en_d_a_n_d_ln.:.te::.r.:es:.:.t,.;,in;.;com;.;;;.e:...._ _ _ _ __ _.:.
3:.:.
,9..:
83:.::_75:.,__ __ , 6,208 47
Change in market value
5,495.73
-16,828.12
Closingaccauntv.alue
S196,022.67
$196,022.67
APZ2000SOC.797027 PZ10002W0000002 121 IX2400)~19910 C &D 14
Mm...rSIPC
- - - - - - - -- - ".
,..,. I of 14
$UBS
AUIOUMIIIIM'
Cash activity summary
Opening bal1nces
RICHARD A BERG
Account numlotr.
Dividend and interest income earned

Oo<Qrnbor 2011 ($)
Yur tD dim($)
S25,954.!M
528,706.16
Additions
Dividend and 1nt2rest Income
rora/ add;rfons
Subtnwlons
3,S83.7S
6,208.47
Dacember 2011 (S\
$3.1113.75
S1,2DIA7
3,983.75
6,053.81
53.'13.75
S6.05U1
Totel current year
Profeu.onal management fees and

related services
0.00
-2,792.8-4
Funds wlthdrijwn for investments

boug~t
Prior year adjustment

Total dlvld4nd &lnterelt
-3,980.62
6,163.72
_To_r.a_l_s_
ub_r~_ac_t_km
_
s _ __ - - - - - -- -S3.980.6Z
Net cash flow
$l.1ll
-~8.956.56
-$1,748.09
CIO!IIng balances
$25,958,07
- - - --.
- -
$Z5,1151.07
-- -
Year 11> d.!te (SJ
0.00
154.66
S:J,98J.75
$11,201.<17
S\ll)liilary of gains and losses

V.Jutsl'lpOrttd brlowtxcludll prodLK.tiofor 't'ootld1 gjj'~j(d W~t\oollrl rmtd~sl*i.
g.!lfl~a'ld
01'tember2011 (!)
ios51!!
Year to dote($)
Short term
0.00
0.00
-14.28
Long term
0.00
0.00
1,141.19
$0.00
$0.00
-$1,155.47
IIOokl<ld
Total
Unre111liz'ed
golr!! "'d loo;ses ($)
.....
APZ20005004797028 P220001S41 OC00002 1211X24003919910 0 80 14
,.""a or
t4
$UBS
Acc:aunt um1:
Account l)lpe;

December 2011
IUCHIII\0 ABERG
Simplified ern~ Pensi<rl
A<courn num HI':
Your assets
'!iQf't\e- pf<es, l'lCDrna nd turrtnl ....UUtil'i shQwn nwy lH!a~rol.imatl!. A! i re.sult. garns and ~ rr~y not
bt ICO.II"'lely rafltctQd. Sw lmpcnmr lf!fbtmal)O!'IIboVf}OUI Jtal'!mtflt ., lht tnd of thi doc.u"'er\\ Jot
rnor1 dorm aliOn.
Cuh
Casn nd rnoney balance
o.VJdE:.MIIntt:lt'f!t
pmc6
Nov
~3
IC Del; 22
Equities
Mutullllunds
.TOIH/f.iha'IJtC'd ~ U\t Iotti 01 &I rtil\....s":td ID.tdilnm:, ~~ .rSoti DOl .ncJUdJ li\V (I ll\ d~~\ , h }I t'iOt I (U'
'"' lor 1~ ....,.,... I llltonolo)ag I'Qdlr>Q perkb or CD>I ,.. . Tl\0 ""ru )'Oil ,...t,oe h<h limo )'Oil
refmur: d.v!dtndt bt<c'''Jot a S~~lif IM ~
Ullr8izt.tl (exJ ;1m 01loss s1hl dlf"mnce b!twe"eflli'M!o ~urrtnt va~Ri11K11he cost baSis illld 'MX.IId
IN IOUI1 "'-'C'CN ... C'ot1 ol tN 'rt"-"kt l"'dvdlrtg rtlrrttiteddMCf./'ICb.. 'n'lcto:n~ mty nMd
to bt' aliJu, (.rtl ior ntl\11''1 or clpltaiPttfftlnU.lr.t o.ur~ to~~mhlht '~ttda:Ht boMG !Of r.aa:reponng
'""""'"'""""""'
~:,W~b~~.u~~~: tr;;~:~i~~~!=:~o:: ~;~~r~,:~~~t;~g;7c: ~~ tn
CQS:ttdif1 tli
""-'!t
llwslmflttft~n "1he (L.IIIII'f'll veil~ mlll.l~
Ptlfc:N5ot prlcef
Nlllllbo<
Clct<
il"'''lstrl'lllnl f\1
l'riol po,.ho,.
C<nl
ol share-s
Ml'r9P"ia
"''~<II!
1,674.129
600.352
Hl.l!9
2,274.4111
13.744
23,822.86
31,261.05
351.3.19
~2.770
s.ooo.oo
97.2~9
26730
28.990
2,600 00
4,000.01
8,000.00
......-..-~
2,600.00
4,000,01
AUJAW NF1 lli\IIOEND

VALUE FUND ClASS A
SyrN,ol J>NEAX
Trde d~lo. Dec: JO, 05

Toc.l re~stvd
EAI: $730 Cvrrenty'eld: 2.82%
Securil)' to1al
AMERICAN FUNDS SMAUCAP
WORLD FUND CLASS F
Symbol: SCWFX
Trade date: Aug 2 L 03
Tr~ d>te: MiiV 24, ()4
Trlldf dato: Nov9, 04
tht!o amount )W invut~d. k
rl!lfltdld an yOUt"W'IItiMrlt, JOC1o.lcllflq1h.-Hthi.l h.we bcoen reMrad as

not lnc11Jdoe QISh dMdd~~ ~hal Wfl!l not rW'wQned.
137.979
14.~)0
23,822
~6
"""'ill
23,821.86
7,438.19
~ R01Jl(ludlo 11-wrft tNt .art no'!

~tt\e-1' ~g11n or a O.S.S II Zlbodoes
V... oo
., DK.lOIJL _______C.C.lO(S!
Ut!r\t""hed {ld~
19,034.84
6,826.00
-.4,788.02
25,860.84
-~.400.21
11,555.54
3,1!19.18
3,555.54
599,18
538.12
1'.370
11.370
31..890
32.890
32.890
4,538.13
i!!!"' or ion IS!
~1mMl
rwcurn lSI
JiOMing
ptllod
LT
-612.1~
2,03HN!
[T
L'
L'
conrinue<l nexr pa~e

APZlOOQSOOoiJli/0~1
- - - - -- - ---- - - - - -
Paoocl!-4100 00002 1l11Kl4 00!919910 DiD t
......... . _.
Pt!ol14
$UBS
Your assets , Equities
A~nt.,.,.e:
M11tuol funds Ca:.nlinllfCi)

Purd\all p11!::&'
-119
~.;Jon26,06
TotJI11!rnmted
EAJ: '115 <:urront)'~ld 0.33~
~~ytot~1
RIC HMO A BE~G
AccauntnumW.
~mbef
AI'O<IQ<IptU
<>lob- ___ , pHINi t tl)
21]618
(IW
.....-.- (SJ
-
ton
~i::t
Pet \h.n
ba<i<(l)
8,000.00
011~10(1)
9,895.70
32.890
8.00000
255.754
37.450
38.692
1,05! -9~9
30,774
22,600.01
32, 495.7 1
9,000.00
3.00000
2,965.53
)2.890
~~(,]
.......lnocl~>!
9-'in<rlm<lll
974.10 - .
.,_rmom Mol<>ng
"'""'(II
pe<ICd
LT
7,0ZS.90
8,411.75
1.4113 .95
.34,ll0.49
2?109
28.560
11,636.02
2,636.02
LT
28 .!160
1,478.69
2,7311.10
478.69
23083
lT
17,849.42
2.883.88
5,849;~' - -
20.360
20.360
8,413.22
1,6n.07
1,413.22
127.07
20.36()
3,289.1R
20.3~0
3,941.92
20.360
20.360
S,4M.66
19,649 OS
28i1U
58.011
1.5-41.34
LT
LT
LT
LT
12.130.4~
~ENCANFUN05GRO~
FUND OF AMt~ICII CLASS f

SymbD'' GFAI'X
Trodt dat Aug 21, o~
.407
4~4
22.090
9,000.00
Trade ~410: Mov 24, 04

Total11!mwsted
EAJ 1135 Ct~n.-nt yld: 0 .16'4
Security total
121.803
3,000.00
95.75)
Z4.530
30.9/0
624.!180
23 946
12.000.00
1~,'16S.S3
4H.Ul
161.551
1U611
415.455
965.081
16.940
18170
18.570
20.660
24070
21.478
7,000.00
1,500 00
3,000 ()()
7,000 OD
1,500.00
3,000.00
4,000.00
10,000.00
Z0,7:/8.5l
2.228636
20.741
25.500.00
~.228 .63
728.853
13.720
15.141
10,000.00
65l3114
10,000.00
9,878.02
1~'181.247
14.391
10MO.OO
28560
fl~~ I
EA<iLE OVERSEAS
RINOtlASSA
Syr>bol: SGOVX
1rado ~ale: 0<1 1, 03
Trll<l~ato: Mlr \2,04
Trade dato; ~ 2~. 04
Trado! doto: Nov~. 04

Trll<le date JiO 76, 06
Tolillltlnl/lstod
79.~1$
4.000.00
10,000.00
LT
1,07~.58
U.l: 58Sl Curren\ yield; 1.90%

S.ctwty tatl
ROYCE MiCRO-(: liP FUNO

Symbol: RYOlX
Trd dle: Sep 2~. 0~
Toi;JI rolnVI!slod
fAI: $279 Curren I Y'ld I 39'Mo
Se<u~ty tot~l_
\9,87~~~~
14.540
14 540
45,379.10
-849.53
10,597.61
9.<18~.66
597.67
392 36
20,083.33
205.~1
ROYCE OPPORTUNITY n.JNO
19.879.10
LT
-----
10.083 33
SI'JI1bol RYPNX
APWl005C047970lZPZ200025-110000002 IZ11)(.!~0Ql91g(j1Q 0150 1
PIGt
\o of 14
$UBS
Account nome:
Account ly!w.

Decerriler 2011
~ount
~ICHMO A BERG
Slmpllfl<d EmpiCI')'et' Pension
number:
Your assets , Equities Mutual funds (<onU.. ued)

Nom bel
~"!! ___ -
of shiriS
Traa<' dote Mar 11, 04
117.832
Toyl rtinwJivd
as.68~
lm.s1a
!.i!<1Jflty total
Purcta.ua pncW
A110age ptlce
__ !":'~".!.\S.L
12.730
11.037
12.017
Total
Total u11matd annuol \noomo: $2,119
onOJC (I)
Dec iiO(~I
V~ucn
UrYtbdCtiJC)
g~ll'\ a-l0$5 (i1
lO.JZO
1,216.0Z
8114.28
-283.91!
61.45
-345.43
$1.271.1'
1-tmorn<Sl
1,500.00
"'"
1.500.00
Prk.tpuWre
10.320
1.500.00
945 ?3
2,445.73
$95,UU7
$141,74.57
CI11Pn1
b"ls(l)
2.HI0.30
114&,00!.411
lrw1111Tlent
rtum!1)
H~:~
lT
600.30
1'0,!80.11
Fixed lncom
Mu,ualfunds
Tor.tl ~ 15 the total ct a r11ttwsttd dftldtndJ. It dces rv;;t ;ndud.! any 'uh d111id[ldJ. 1t Is not 1
l'lllo1 fot lht pu.rpasf'1o ol OetltrnvWu~ ho'd1ng perods or COS I bM The 1h.m :tOY r~~ H(h!iJ'n,e you
~U dwilfe,l')d, bt~rJme a lfPWIIW IU lot
Cr;P1f ~sh is the total p~.nJw~ aat ot Ow se::lHi1y,rlldu.:rng reinve~~d div1dnds. lhP cml bit'iiSITiilr
nHd Ia ~ adJU!oled fotretum ur c:oaphi!C Pi:tr'"er'IU "' QrdN 10 ~kle IN adjustfod c.ort b.tial far Wr
~t"portrtgputpo,te&.
lJrtfHJilltd (U1J g,ln cr A::ID iJ I hit d'LHet'ftKI! bl!IW!IfO tht CLJftlrl 'VillkM nd IN COil b.t.SIJ 1nd wo.Jd
QM~rilllll)' bt ~ taKJble g.t<t'l 01' IOU i~ thf! tecur'"Y WllS .sold oo this d.iti!. The wvealiud (ta,;} ~n Ql\o!$ ~y
Motd to bt- adjyrttd for rtturn of apnJI paym~M! in ol'df!t 10
tht JUiizld gll or 1ost fer lUI
h~Mk!!11tl'HUM ~ thecurrtnt"'lhminusthtlrmunl~ II'Wf.a It dots not U':dudllhlrwsth.I'C Itt not
retr.crtd on )IOI.It sltltrTJOnt, irK\.dng ~S' thal '1ilYI' bte" !Qbtd 1$ tilt4r il Qen cr illot$. t .-a doe~ n~t
inrlud! casft diYidH'Ids d\a1 Wff'e M1 '"'twP;Iad.
Purd'lase prio!f
A~~r.nM
Ohrnt
invutmtnt CS)
Co< I
bills !II
1,11J.I73
5.390
892.857
5.600
6,000.00
5,000.00
Total rei""""""
eAJ: St,892 Cut rent ~ld: 7.86%
2,245.051
5 756
6.000,00
5,000.00
12,9-45.'10
Security tot.~ I
4.251.082
5633
NUTtber
of snarts
Holdi'lQ
fAtON VANCE INCOME FUN[)

OF BOSTON ClASS A
Symb<ll: EVIBX
TradedateNov21, 02
Trado dato: Mor 1B. 03
11,000 00
dtt.,.,.
roporii"'Jpurposos.
per share
on Dn JD{$)
~r<e
- .- --
- -
\.lnrt.al..zE'd (~al)
galflorb!-(S)
lnvtJtmtnl
return(SI
Ho~11111
pwl<>d
6,300.56
5.053.57
30056
LT
5.660
53.S7
~T
5.660
12,?0~99
-238.41
24,061.11
115.72
5.660
23,9<15.40
Al'Z2000500~797033
. . - -- --
V!lllueCWI
DeclO(II
Pl2000254100000021211Xl4CC3919910 OliO 14
13,061.12
Pg 11 cr 14
JEl 0047 -Client Inquiry- Activity for-l'!t 06/lS) If I i.SJ:30
Aj'-1<
f?e,.,j
Page I of2
SEP-u85
AcaNnt 4il In 'f'l"llllla
Gen...- On1 01/ll/2012
_.. ,
Pl.....cl bJ: Entry Olte 01{01/201112/01/2011, AI SecuritiiS Tl'llnSictloos, All Cish TnmAC\Ions, Mont'( M1rklt Elcduded, Exdudt Debit Olrd
s.tle
1)*11!''"' .. r---~
tr*Y
....
_,
12/01111
12/Dl/11
DMDENO
ll/01/11
12{01/11
RfiNVES'Tl'6(T
11!25/11
11/ZS/11
DIVIDEND
11!01/11
11/01/11
DMDEND
ll/01/11
11/01/11
REINVESJleT
10/2ti/l1
10(26,111
OIVIOENC
10/2../11
10/24/11
FEEOfARGED
10/lll/L 1
10103/11
DMDfND
IO{Ol/11
10/0J/11
RfiNVESTMENT'
09/'11/11
09(27/11
DMDENO
Q91lJ/L1
D'l/23/tl
DlYlDENO
09/2J/ll
09/23111
RfiNVES1lo1ENT
09/01/11
09/01/11
DlVIOEHD
0!1/01/11
09/01111
REINVSTMeNT
Dst26/11
OB/26,111
DIVIDEND
08101111
08/DI/11
DMDEND
08,101,111
OB/01/11
RElNVESTMENT
07/.26111
07/26,111
DMDEND
07/22/11
07/22/ll
07/.22/ll
D712:J111
07{22/U
07@11
11\'PASS
BYPASS
Ff~ OiAAGED
07/01/ll
07/01/11
DIVIDEND
07/01/11
07/01/11
RfiNVESTMENT
06,127/11
06/27/U
OlVIDEND
06{17/11
06/17/ll
otVIOENO
06117/11
06117/11
REINIIESTI-'BIT
06,101/U
06{01/U
DIVIDeND
06j01{ll
06/01/11
REIN\IfS'Jlotif'T
05/WU
05/25/1!
DIVIDENO
05/02/Ll
OS/02/U
DMDEND
05/02/U
05/02/11
REINVEST~
04/.26/11
01/26111
DMCEND
04/~1/11
(Ht21J11
01/21/11
01/21(11
Q4/21/11
B'IPM!.S
B'I'PASS
FfECHARGEO
0~/01111
04/01/11
DIVIDEND
04/21/11
O..:rlpUan
Actlwlty
EATON V~CE lHCOr-E 'UNO OF

BOSroN CUSS AM; Of 11/30/11
EATON V~CE lNCOME FUND OF
B()Sl()N C\ASS A M. Of U/30/11
UBS~~ID ASSETS FUND~ OF
11j2: 1l
EATON VANCf lNCOME ,UNO OF
IIOSl"ON CLASS AM!. OF 10/31/11
EATON VANce lNCOHE fUM) OF
BOSroN C~ A M; Of 10/31/11
UllS UQOIO M.SETS FUNO AS OF
10/25/11
QUARTERLY ffE
~ATOI'I VANCE IDICOME AJND OF
BOSTON UA5S A AS OF 09/30/11
~TON VANCE INCOME FUND 01'
iKl5T'ClN CLASS AM!. OF 09{JC/l I
VBS UQUID ASSfTS fUND Ia Of
09/26,/ll
Al.i.lNll NFJ OMDEND lfALUf FUND
UASS A AS Of 09/22)11
A1..UNa NFJ DMOEND VALUE FUND
Q.ASS A AS OF 09/221 ll
EA'TON VANCE INCOME FUNO Of
90STON ~A /IS OF 011/31/11
EATON VANCE INCOMI! FUND OF
OOSTON <lASS A AS OF 08/31Jll
(JBS UQIJIO AS5ETS RJNO ~ Of
08/25/11
EAT()tj VANCE INCOr-1: fUND Of
B(l;TON Q.ASS AAS OF 07/31/11
EATON VANC~ INCXM! FllNO OF
UOSTtlN llA5S AM!. OF 07131/11
UBIS UQUID ASSET'S FUND AS Of
07f25/11
s,mbol/
.....~
Q...lllltr
T'f'PII
,...,.,.11
~IIIOUnt
Mff'llf-513H53
0.000
01\1
$15D.93
tftW-SCH53
27.052
IWNVesT Dl\l
$150.95
M~U~l9oiA1
0.000
DIVOINOOME
$3.01
NffVlf-543H53
0.000
Dl~
$151.96
MFEV1f-543HSJ
27.0114
RfltMSTDI'II
$1SU8
MMllRA-9191Al
0.000
DlVDINCOMf
$3.06
0.000
Fee Clllrt;!ed
~4.69
MFEVIF-543HS3
0.000
DlV
$1.. UO
MffVIF-543HSJ
27.351!1
REINVEST' ON
$119.10
MMURA9194Al
OJIOO
DIVD JNCDfo4!
t;J,JS
MFPlNQ-5"0l78.
0.000
DlV
$16U9
MFPINQS40l7B
16.560
AEINVST DIV
$166.59
M~f.YIP'.543H53
0.000
OIV
$1!il.10
MFEVlF-S43H53
27.115
~tMSrOIII
-$153.10
MMURA9194Al
o.coo
DIVDINCOHE
$2:88
MFEVII'-543H!J
0.000
DIV
$155.57
MFeVIF-51JHSJ
2.6.323
JWtMSrDIV
-$1SS.~1
MMURA-919-IAl
0.000
DIVO INCOME
$2.91
I QuaiUIIV Fee
[QIIIIrtelly~e
F
I
0.000
0.000
$733.36
-$733.)5
o.ooo
Fe10111'01cl
Fee Olarged
FeeO.rged
MFMf-543H53
0.000
Dl\1
$149.66
NFM~513H53
2S.Q
AEINVE!iT DIV
-$149,66
""MURA-9H1A1
0.000
DIVDlNCOME
$3.418
I-IFPIHQ540l711
0.000
DIV
$206.85
MFPINQ-S40J78
17.832
REINVEST Dl'W
$Z06.S~
MFIMI'-S43H53
0.000
DIV
$1S3.6B
MFEVIF-513H53
l5.7~
REINVEST DJV
-$153.68
MMLIRA-919"\Al
O.OQO
OlVOINCOME
$3.10
MFEVII'-513H53
0.000
DJV
$147.84
MFEVJF-54JHS3
24.722
REINIIST OIV
$147.84
0.001l
DIVD INCOME
f
F
0.000
Fee~
$n7.6
0.000
0.000
FeeOmf9111
Fee Chalgerj
~n7.63
0.000
DIV
$151.63
[~VFEE
EATON VANCI: INCOME fUND OF

BOrnJN CLASS A AS OF 06130/11
EATON VANCI: JNOOME FUND OF
IIOSTON ClASS A AS Of 06/30/11
UBS UQUID ASSETS RJND AS OF
06/24/11
At.LlANZ NFJ OIVJDEND VAI.Ue 1'\JNO
QASS AM OFOii(16/11
..WANl NFJ DI'JIDEND VALUE FUND
OASS A M. OF 06/16/11
EATON VANCE INCOME AJND OF
BOSTON ClASIS AM. Of 05/31/11
EATON VANCf tNCOME fUND OF
BO~ CUdS A AS OF 05/ll/11
L8S LIQUID ASSfTS F\JND AS 01'
'O!i{24/ll
EATOii VANct lNWME fUl'lD OF

BOSTON CLASS A AS OF 04/29/11
EATON VANCf INCOME FUND OF
BOSlON ClASS A AS Of 04/29/11
UBS LIQUID M.SETS FUND AS OF
04,125/11
MMUAA-9l94A1
Quarterly Fee
Qua~rlv~e
,QUAf(TERLY FEE
EATON VANCE INCOME FUND OF
BOSTON a.ASS A AS OF rJl/31/11
MFEVIF-513H53
SnJ.36
$4.69
$727.63
EAlON VNIO:.INCOME RJNO 01'
http://cwv2proxy .cwlh.pwj.com:8080/CICE/activity?fonnFlag::;;:Y&prinWl::;;:l &totRccCou... 6113/2012
JE10047 Client Inquiry- Activity fo,Itlrs ._06/13MtUW:30

Elltry
Oat.
G'l/01/11
03128/11
Settle
Daa
I
Q4/0_lfu
REINVESTMENT
0)/28,111
DMDENO
03/111,'11
03,118,111
DMCEND
03/18/11
03,1111/11
REINVESTMENT
0)/01/11
03101/11
DIVIDEHD
03,101/U
03101/11
RBNVESTMENT
02}2li1L
02/23/11
DIVIDEND
02/01/11
02/01/11
DIVIDEND
02,101/11
02/01/11
RflNV~I;NT
01/26/ll
01/25/U
D!VIOEND
01/21fll
01/2-4/11
01/24/U
01/Zi{U
Ol/2'4./Jl
BYPASS
BYPASS
ff CHAAGEO
01J24/11
Adlwtty
BOSTON CLASS A AS OF 03/)1/11

UI!S UQUJD ASSE'T'.5 'UNO M. OF
CJ/25111
AWANZ NFJ OJVJOEND VALUE FUND
QA$AASOF03/17/ll
AU.INa Nfl ONID61D VALUE fUND
Q.ASS A AS OF D)/17/11
EATON VANCE INCOME FUNO Of

BOSTON CLASS A AS OF DV281U
EATON VANCE IHCOME RJNO Of
BOSTON ClASS A AS Of D~B/11
UBS LJQUID ASISFI'S RJNO AS OF
Ol/22/11
!A10H VANCE INCOME fUNO OF
80STON QASS A AS OF Dl/31/11
EATil'l VANce LNCOI4: F~O OF
BOSTON QAS5 A AS OF Ol/31/11
UllS UQIJIO Jeirni RJNO AS OF
DJ/25/11
Symllol I
Seal~
Page 2 of2
,.,..
QQntttw
PrlcllfDellll
AWiau.t
MFfVIF-543HS3
25.570
RfiNVEST OIV
_:1151.63
MMURA-919W
0.000
DIVDINCO~
$4.95
MFPINQ5~0J78
O.OOCI
'0~
$144.57
MFPJNC}540078
l;t.4S2
REINVEST OJ\1
U11.57
MFE\'JFS43H53
0.000
DIV
$14D.&4
MFEVIF-543HS3
23.fi71
REINVEST OIV
$140.84
MMURA-9191A1
0.000
DIVD INCOME
f4.511
MFEVlF543H5l
0.000
or.
$154.119
MFMFS43H5l
2U61
REINVEST ON
-$154.89
MMLlRA-9194Al
0.000
DlVO If::ti1E
$4.J:l
o.ooo
F
1
0.000
0.000
fee ChB191!d
fee Chlkoed
Fee Chii'Qid
$697.16
-$697.16
Qu.-terly "-e
Qulrtei!V ~e
QUARTERLY fEE
$697.~
01/03111
01/03/11
OI'IIOEr-.c
EATON VMCE INCOM: Fl.tlD OF

BOSTOH QASS A ASOF 12/31/10
01/0l'U
01/03/11
DJV!Offll)
~:~UID ASSETS fUND AS 01'

1 110
MMLIAA-9194Al
0.000
OIVDlNCOME
$0.116
RfiNVESJMENT
EATON VN:E INCOME f'UNO OF

BOSTON a.A5S A AS OF 12/31/10
MFEVIF-S'IJH53
26.336
REIHVeSI" DIV
$153.80
01/0~11
01/03111
MFEVIF-543H53
0.000
OIV
$153.1!0
1 D15played as an addlltonlllrenactlon, lhe 11bo111 t.nk anf activity ir debllld from your account on 1111 26th ofeac~ rnonlh, assuming t111s elate 15 a bldiness
dav.Otherwlllll, It 15 de!Jitecl from your 1ta1unt on the following bUSii\Us dar.
lntl'lllli'l'f updates ror equi!V, FIXed lncom~ 11nd Mutu&l fund trades, and scmt QISII and securttY uensacuons are Included on iiiPpraKinlalely iii 20 minute
deiY-~m!alm IDSI
fill: ~lllllty llldu lm llll'\ltl5. ll!d malt Dlllll\ltdl ui!Jr.ll s!JD!:IIQil Sit t!!IJ!;S;Qll!!t. fiX!d !nmme agency tnula may hOt Include
commiSSion and fees. Mutuil Fund tr.ldt5 lrt 11!1\ectM followng PIIC.<onftlmauon !TOrn lhe fllnd <ompanv or tr.lnsfer agent. Mutu1l Fund dfrecl busine&S, Mutllll
em
Fund trtnsters, some !fade torredlons 1nd 11001e
rees are nat lnduded lntrAdey.
mav
lhl1 report Is
lnlortn~tlon~! PIIIJ)CSe5 onlv and may or
net lndllde 11 hllllllngr or dient aca~Unts. NllnfoiTIIItiOn presenMd Is suDjett 10 d1111ge lit any time
and 5 pr!Mded only as fJ the ditbllndltiiillld. 1he Rrm'5 pe/10dlc act1)Unt statemenl5 and olllelil! tax documents ~re the only ol!ldirl remrd gf drent atai\Jnts 1111d ant
not !RJ~, replaced, or llllll!ndl!lll b'( any of the lnfQrl!lltlon pr-'lld 111 tt11sw reports. Oients sllould llOt rely oo thl$ lnb~ !n making purdliM or~~~
decI - . rortn purposes or othiiM111!.
http://cwv2proxy.cwlh.pwj.com:8080/CICE/activity?formFlag=Y&printAll=l&totRecCou... 6/1312012
\A!S Finsrodal SeNit.. l~.

51 8roa<lvm
Farga NO SSt OH933
$UBS
Retirement Account
December 201 1
CPZ2004f9?407 1211 )(2480 0
--=-Your PI RAMI al Advlsar.
Account name: TRACY J MARnN

SI:P
VIsit our webolt.:
Account type: Simplified Employee Pension

Account nuntbtr:
'ftNIW.ubs..~naocialsl!rv05
Vour lnvKtment objectives:

You
na~~e 1Cie<11~iod
the follcwing
f1vetm""t objo<lives for this account. If

lllU haw question\ abc>Jt the<t
objectr.'el, d~agreo with them, or wish to

Q'..ange tn@m, ple~JS@ cuntact \'<]Ur
flnoroal AdVIsor or Blanch Manal)l!r, You
c.an find a full descriptiot\ of tho
altemative Investment o~ectim in
Value of your account

Ot\
Your assets
rmporrant informar1011 abc>ur your

star.mont at the end of this documont.
No:wember 30
(~)
on Decombor JO ($)
Your lttOLMtlrutructlono
UBS Flnnclal Service Inc. i> youo
cuMdlan.
271,305.07_ _ _ _ __171,341 .65
Your liabilities
0.00
Yaur r.turn objKIIVe:

Cur~tii1COII\f & capitalappri!Clation
Your rlolt profile:
Primary- MoQerate
0.00
$271,305.07
5.2 71,34
us
Sec011dary - Nontl selecllld
Change in the value of your a~'QO'!ffit
l"<>ur PACE lnvl1,.,.,.t obJ-ctjv..:

YoloiTPAC! r.t&lm objecti\1-.:
Doa!mb 201 I ($)
lntome and capit.11appredUon
VllrtOdo!te ($)
Opanlng accou11t 11alue

$211,305.07
S311,Z27.76
.~---------------~--------~---Deposits, including inVl!ltments
transferted in
0.00
2.54
Your PACE rltk profile:
Moclora tely olggressiv
Withdr~wals aod fees,
----
Including invi!Stmenl$ transferred out
0.00
Dividend and Interest income

Change in market value
Closing .cctJunt value
Me,bai'SIPC
S,346.75
4,096.47
8,419.82
-4,0S9.89
-42,961.72
$171,341.65
$271,341.65
Cl'220007004197407 PZ20002S4115 0000~ U 11 XZ4 005634?59 0 80 14
------ .---------------------- - .. . ____ __ ,
, ... 5 ol 16
$UBS
TRACY J MARTIN
Cash activity summary
Dividend and interest income earned
5Hft ltiotl ACCOIMII dMty INs llltlllln tor do!OIIo. lJa5 Bonk USA dtp<Hit IICOO\In! boiM<Osart
..,.l:rilod irl !ht wdoi/Ofi OIMn<o. '~'" Itt ;"'"rod by tho FDIC wrWn ~ imiu, but ott
fa" pLII'poMI of 'this sttltrMnt. taubGil~ of lntant and dNrdtnd ll'ltQJne hM bftn drttrll"'t'\t4 frQm US
or ptO<I:rd bpo,
liP ropqrurg p<...,.cllvt. ,...., upOI' the midon"' <>I lho '""'"" hdd!t. ICCOUn\ typo,
1Het-1led tJ? SlK St.'<t Ctrpi!li"Urt! r lnfwm~tion iiibellt.)'(lt.r,Urement: M thitf"'d or tM documtnl rot
dtW.rbour 1!-o,. bo\-"<..
~t
Decomber 2011
Opening balances
Additions
Deptnlts and other1unds credited
Dividend and Interest locome
Proceeds from ii'!V@Stment transactions

Total additions
($)
Year to dal~ Ill
so.oo
$8,765.36
"""'"'-""
'"'""d.~ po-U '""not be ~
.
to Urlttd SO ttl M1 """"' ,_..... llico (~Al
li'y.Qtnl t.IU.. TIIot di+I'\T .jN~nlhJr U..UIMC'It nm n~ I.Q bt u:s.fd l fld u rm01 be IUid UPirl tor \n
,...,".no..id """'
purpoH>.
"'tho 19f>i'*<~ t .. r_ lil9 ror.,.. tfooy ~~ (,.,.., un ,.....,..'It,'""'<>
lho F"'"" 1 0' ~ on<! IN Fo.., 480, lor tao "~ 'nl"'"">llotl k ~ 11'0 .....,," <I U81 ro n. Ill<
'~ klb llo .., t ~\ltiQ foriN ..W11'1 t/W: US lrltt iNI RM tk.lt' SfMct 11'K1 fR Trw~~#)' 0 tp.wtl"''lt n1, AM ~
~"""""" ""'""" dot~Y~"'W\- II I&> twr'rpl lli\Wbll
l~liiiiPflllpir8f_
0.00
2..54
4,0!16.47
8,419.82
0.00
304,442.62
- --
- -54,096.47
~cember
$312,864.91
related ~rvices
0.00
-5,202.08
Other funds deb~ed
0.00
144.67
4,096.47
31 6.283. 59
54,09&.47
5321.630.34
Funds withdrawn for

Total subtractions
SO.OG
Net cash flow

Closing balncft
$0.00
Year to date($)
8,419.82
Total current ~ear
S4,0!16.47
$8A1!1.82
To111 dividtU'Id a lntere~
1-4,081.47
$8,41!1.82
Summary of gains and losses

VMuet 1fp0r1ed l;lfM)w td.dt prGducH. ~at wtlldl g.alnfi illnd lo55ts 1M nM dil!isrfitd.
in~~estments
bought
(~)
4,096.47
Dividends
Subtract/Qns
Prof(>ssional mar1agement fees and
2011
................. con\1111~
-$8,765.36
ger'lS ad loOJ., (S)
6,938.03
Ulltaalind
Short term
0.00
10,352.99
Long term
0.00
-4,799.68
0.00
so.oo
-$15,15U7
$6,931.03
ToU.I
so.oo
_ _ _..::R:::e~lil:.:ed
:::..l!:
gi"'-~~~-~~~---OombN ~011 (S)
Yurto date($)
Wim!letdhtgs and tax summary
===
Dtc""'ber 101 1 ISl
Year to dole (Sl
0.00
142.13
----------------------
Foreign
taxes paid
Paget of 16
- -
------------ - ---
..
- ----
*UBS
Ac:tount n.-n:
A<munlty!*
Ac<ountnumber:
Retirement Account
IJQCQmbRr 2011
l/IACY J MARliN
Sitnpilied (mp~ PMion
Your ffnlnclll Advltor.
Your PACE assets

Some prices. WltOfTll'ii!OdQJrTltntv.alua ~ rNrt-"PJ'Illii'Nle. AI ,..,It, gilllinsaod kmt'!!.I'I\Wf nol
be kCt.lt'ilefy tfflt(led ~and kmei fer uro-QNPOn lllWitm.,-Q .,., not shewn. S..e ~nt
Jm'orma\101'\ it bout 'fO'. sttttmtf'll 11 ttwwnd cf dis ~l fUf morw llformlion.

lllYftlmrnL rrl1.1n is tl'lt W"Y'tf''t valut mnvs ttle 1mount you uwtSttd. It don nollndudt IJff'f ca'ih ~
tNr ~ uol ,..f'W'I'ltt d..
To til rfin~ d the tut.ll ol.al rrinwi~ diYidtncls. ll doos oallldJcil rr; ash dMdtndl.lt is nol 1 to.
loc. rOf the puposeJ o4 de-terminif'l9 holdWu~ ~S or~~ ~is. The ~you rewive 8iKh lJII'Wl you
TIPIR'fiiU ~iQird5 b.c~JtNo 8~t~tt taJr. lot.
CooiiHoiS ~I~ 10101 pL.f!haot C<lOI ollho ISCUrity, .-.jud!'41 roin...,.d dMdends. fhe CXOI 101 ""'' nooa
lo 1>e odjoslod fot
oap'"l pojfnt<\ls ft ordtriO dt11rr11ino tht ~CO<!"-"' lot 11> Nj>Ottr,g
'"''""of
unrwllnd goon or bu i> 1he d~'"'"'' bt~n tht "''""' ,.,..., ard !he"""...,., The unr..ioUd oarn or
loris"'"' rwodlobc adlollodfo< relurnoi<OIIinl Pfll...,b on O<de<lodtl""'"' t"oe reoiooO!JIIO 01ios>
tor,.,. """""" IJL'1IOI"'
Qlsh <~~lternathles
Purthas1pricw
~~."!l
PACE MONEY MARK~ T
tiVESlMOOS FUNC
CLASS P
Trodocute" 5ep 26, 11
Tot.l ,.inw<ttd
*""'Y toLl I
Ph.-rlblt
oiW...
~.596.810
A~t~
M20
4.S96.830
1.000
1.000
1.000
Numbu
Purt'M..prili
A"ff191 pric1
--liiJ
O'anl
.,596 .81
CO\O
bal~
IS)
~.596.81
O.Ol
4,59Ul
l'ritt P"SI\0<0
V4l.Jon
<tiD<< l~ ll
Dtd Otll
1.000
I 000
4,S9UI
0.02
4,S9Ul
4,596.8$
..,
un-<W~ n
2111\arlaD(I)
~\l i'Mnl
.......9
Nt~CIJ
Otriod
S'T
0.02
Equities
Ito~---
PACE GLOIIAL ~EAL ESTATE

~ECURmES IWIIESTMENTS
CLASS P
Trade date: Sop 26, 11
Total roinYI!S!ed
fAt $623 (urront yield: 7.82%
Surity totol
I*'_ I$'
Cast
i"""tmlllliUl
buh~l
Prictptr &haf1'
on0oc30IIl
1,506.024
4.980
7,500.00
4ql9
7,500.00
21i.7l
5.140
4.4.4110
1 . ~S0.50<1
4.979
ollha'e
Otnt
7,500.00
7,719.73
5.140
w... .,
lln<HI,..dl~
- - -~~~fll..__~ICIIsfSI
7,740.96
128.63
240.96
7,96t,S9
l49.B6
hel~l
roturr.ISJ
por.O<I
Sl
8,90
469.59
~ACE
INTffthATIONAL
EMERGING ~KflS EQUITY
IIWI:STMENTS CLASS P
contir>ued ne><t ,.,;
CPZ1000700rl797411 FZ20<102541150000l1211 )(24005634751 0 80 14
aa t o1 16
*UBS
A<J;QUnt IIH\e:
A<tQUnt l\llma.r:
Tl!ACY J MARTIN
,_._,:_.,.
Your PACE assets , Equities lcontind)
N_,
""'"""'~"""'
A""'"''"II'Qo
1145.250
21.427
966.677
11.020
11.019
11.020
Tota' reinvested
Secorltlii>Lil
PACE 1WERNATIONAl
EQUI1Y 11MSTMENTS
CLASS P
T'"'*' d,ia: Sop 26, 11
TctolflltM!Oied
EAt $671 Current Yield: 2.23'!(,
2,616.057
89.90/
Se<utity tot~ I
PAC. LA~GE CO GqoWTH
"'"~~'
on Dec3Q(I)
C:\101\l
~OSl
11 .410
11 410
10,416.61i
10,415.156
236.12
10,652.78
10.950
10.670
28,645.82
28,645,82
11.1410
11.1410
2 , /0~.964
10.941
28.645.82
29,005.13
1,715.793
4.394
17.Q!JJ
29,322.9<1
17.259
29.322.90
75.84
1,720.187
17.090
29,lU.9<1
29.3'.18.74
2,648.!104
14.750
15.360
39. ~248
44.673
lMo2.48
686.18
2,692.977
14.760
39,062.48
J9,74.!1.66
707.6$4
'4.no
10,416.66
10,.4~U6
9f8901
14.170
15.074
13,020.81
13,020.83
ofWm
HoiOO\g
Tadedaie:Sep26, 11
~"'-"IS)
inwolmon\(11
IC,416.fi6
boOI(I)
959.31
VuQn
U...ollr.t~l\a>.l
""'"""'""'
L>o<30 Ill
10,78530
244.AS
11,029.78
aoln ... lau(ll

368,64
U,\42.87
1,001.56
497.05
42.15
30,144.43
$39,30
30.644.05
7848
1,321,15
2.64
30,722.53
1,12U9
42.611.20
718.79
3,$48.72
)2.61
43,329.00
J,S81JJ
4,2li7.51
lMSO
11,07V8
658.12
658.12
15.860
15.860
14,573.76
1,55293
0.16
r~ttwn(Sl
~
ST
8.36
377.00
6\J,\2
sr
1,498.61
EQUTY iiiVESTMEt{TS
CLAS~P
Trade date: Sop 26, 11

lotal roin...,.C.d
I:At $50 Curront yield: 0.16%
5e<utll;l !Ot.ll
PACE LA~Gf. CO VAlUE
EQUITY iNVESTMENTS
CIA>S P
rrodo dl: Sep 26, 11
Tol>l ro~rMted
EAI: S46~ CoJrrenl yield: 1.08%
S.C:mt~ toto I
PAC:E SMAll I MID!.IM CO
GRQWr~ EQuiTY
INVESTMeNTS CLASS P
TM dol!!: S..p 26, 11
PACl SMAll/ MEDPJIII\ CO
VALUE EQUITY
INVfSTMENTS CLASS P
Trado dare: Sop 26, 1 t
Toto! ,.;,....stool
0.201
3.0)
17.860
17.860
16.09<1
16,090
3 19
51
1,3'19.6]
51
51
5T
~~-'-
----
CPD0007004797112 PWl00254l\ 5 00002 1211 X14 005634759 0 81ll4
~-------
r-v 10 of 16
$UBS
Accaunt.,.,.e:
Account typo:
Account nurn.bar:
Retirement Ac:c:ount
December 20.1 1
TRACY J MARTIN
Simplillod EmpiC>f Penoon
Yow Pl....,dal AGviiCir.
Your PACE assets Equities (continued)

I'Ur(hMe praY
Ho!G:g
EAI: ~6 Current }r\fld: 0 04%
Socur.\y totol
~ACE pol'll'allo tot.t
Toal ettlmal:iodaMldll n:omac St.lltl
N....t>or
ofsNrts
";!~~~'
919.102
1~.170
C"e.nt
<.""
~1CJ
Pf1$hafe
Value on
Doc lQ (I)
Urvtll7'fd [W)
Holdlnv
'!'~!"~'-- !!"'<.<!
- """""""'
lnvo.,rnont UJ
bolio(l)
13.020.83
$1!1.315.35
13,023.85
14,576.95
1,553.09
1.~56.12
St40.S&5.5&
St-41.148.0$
S8.18J.49
S10,45Z.70
nnDoclO(Il
~lo
or 125~ 1!1.
fllCed Income
.H~dl~
PAC l GOVERNMENT
5eCURmtS RXED INCOtv'IE
IJIMSTMENTS CIA 55 P
Numbor
"''""'"'
~ooel>fin!t
Avtt-~gprlet
CIIM\t
c.,,
Pri<:<por....,.
l>!'"''"'"l
~Ill
b><k!J)
on Doc 30 (S]
13.430
17,968.74
17,968.74
13.320
13.320
Trado dote. Sop 26. 11

Total reinvested
<AI: ~sn Curront}'iold 3.20'!1>
1,337.955
17.462
13,288
Sccu~ty tar.al
1)5S.J7
13.428
17.968.7~
18,200.79
dito: Sop 2~. 1 I

Totyl rolnvostod
<AI: $1,243 Current )ll~d 8.00\lo
1,564.676
9.570
14,!173.!1!>
14,973.95
47.300
9.615
454.89
Sec\1 ri~ toto I

PACE INTERNATIONAl FIXED
INCOME INVtSTMENT CLASS
1,611.981
9.571
-- ~~?_! 95
15,'128.84
1,726.041
12.070
20.833.32
20,833 J2
93.624
I 1.290
1.057.07
232.05
Vo!IJU.<M'l
~clO_(I)
VrnaliudCUI
-- P'"""""Cil
17,8l1 56
-147.18
232 59
C.S4
18,0!;4 15
14~:64
9.640
15,083.47
109.5l
9.640
4560J
1.14
15,539.50
110.66
I 1.250
19,-417.96
-1,.15.35
11.~50
t,os~.l7
3.90
20.471.23
1.4 1 9.16
tliW'J.~I
1t~n(SI
t<olrf"'t
Ot<iod
5T
as 41
PAC~ HIGH 'riUD

INV~STMENTS ClASS P
Trod~
ST
565.55
p
Tr.ode dote: 51!1126, I 1
Total remwstod
EAI: $',55a Curronl yold: 7.61\lo

Socurity total
ACE ST'RATEGIC FIXEO
INCOME IN111;5TMENTS
- ---I,R19.665
12.0]0
20,833.32
21,990.39
ST
362 .0!l
ClASS P
continved nvxt {ge

Cnl0007004797~1]
I'Z20002S41t Hl0002 1211X24 005634759 0 BD 14
--' 11 of t6
*UBS
A~uunt hamll;
TRACY' I MARTIN
Accoul\1 number.
Your PACE assets , Fixed Income ccontinuedl

l'ul <NH prtcor
... king
1rade date: Sop 26, 11
T~till reltwested
EAI: ~870 Currant yield: 4.02'Wo
U>tal
PAa portfolio total
T<>tal ...l - d ... nu.l lnc.....,.:
Stcunt~
v.Juooo
Unr...,!l(.,.)
onDet30(11
O.CJC(J)
gO<totloss<Sl
li,31Kl.19
14.560
lO,g76.T9
-40J.40
674,38
14.560
575,19
1.41
21,6$2.58
575,717.4&
401.99
zn.J9
S1A57.1J
l51il.26
Nwnb
nf>NM
~-r.:.m
Cllo!nt
lnvest-t (II
ba>OCII
1,440.714
411414
14.840
21,3a:J.19
1,487.128
14.830
14.529
21,380.19
575,156.211
loot
Pril:ti>O'Ih>r8
22,054.57
$n.n~
~~
lnmtrrent
relun'I(S)
ST
$~
Altern.tlve 51rategies
'""""""'leo
~~~~~Ill
IIM5tl'nlnl (I~
COil
Prk.t pr;,n
Villveon
gf.JNrll!l
to.<i(l)
Ofi03CCil
l>o<.3D(Sl
Unroalllld l"'-'1
gain or""' Ill
4,66().698
8,940
41.666.64
41,666.64
9.050
42,179.31
512.67
Numbr
Holdoog
Clent
WM~1tr#.fll
ret..,n (Sl
Hdding
period
PACE ALTRNATM
STIIATK;IES II'NESTMENTS
CLASS P
Trod dolo: Sp 26, 1 1
~AI: 1113 Curi'E!lt yield: 1.21%
512.61
ST
Your toul assets

v....,on De<lDtll
C:.5h l18matiYes
Ec!ultlel
F110dlncom
P-"1
1'-"CII
ofott<lrndlve SV.ItgMI
f'A.C
4,SM.U
141,141.05
75,711,4&
PA.C
-- __
,
Tot81
- - - - ----- -
. ... ___. -
--- -
41,,9.11
S:z71,J41:~
----- - ---~------
- - - - - - -
Petcorlloye or
Cost
yoLr!aCiltnf
basis (i)
1.11%
<&.591.11
_,.
,,,,.,.
27.91"
100.00%
....... ,~
...,.....
Es1ilr\010d
~,
UM.wd
gain rwloss($)
140,515.!1
1,111.00
1!,281A9
77.S74.5D
~41.00
1.157.1J
stU7
$1,111.03
","'"'
$2&4,4031.&2
51!1.00
1u'1ioo
CPili)II070047974141'ZlQOOlS411S 000021211X14 ODSB0159 01!0 1'
Page 1l Of
f6
$UBS
Retirement Account
Atcaurrtnlmt:
Atcourrt type;
Account ftUmbor.
December 2011
Account activity this month
TI\ACY J MARTIN
Simp~fied Employee Perulon
You Financial AdYI50t:
(contonud)
Y<M
'""'
2SO.o7
o...
Ac.l.rvJy
C>ecrcnQn
Dt<27
Reinwstnwn1
PACE STRATECliC FIXtO INCOME NVESTMEI.rTS
Oe<2 7
St C:p Gin
Doc 27
OMc!end
ClASS P lT CAP GAINS ~EJ I'NESTID AT tU9 NAV

0'1 12122111 AS OF I~!(~.!. -
PACE HIGH YlflD IIM:STMHITS (lAS~ P SHORT
_ !~~~. S.~TAl GAIN AS OF 1"1/l1111
PACE HIGH VIElO INVE5rMENTS CLASS PAS OF
Dec 27
LtC~Cioin
PAU HIGH VIELO IN\Ili~TMENTS CLASS P lONG

TERM CAI'IT.OL GAIN AS 0~ 1lJ22/11
144.87
Dec 27
Relnmlmon1
PACE HIGH YIELD INVCSTMENTS CLASS PST CA?

GAINSAEINVESTEOAT ll.59NAVON 12(.!2111 AS
1
OF 12122111
21.71
27
Reirwestment
PACE HIGIJ 'II!.LO INVESTMENTS CLASS P OIV()END

REINVESTED AT 9.59 NAV ON 12122111 AS Of
12122/11
Dec27
ReinvewniK\t
PACE HIGH Vl!l.D INVESTMENTS ClASS P lT CAP

GAINS REWYESTED liT ~.59 NAVON 12/22/11 AS
J>N:o/VW.(J)
apn ~~ecode
amwnt el)
17.258
c..nonG
~l>Monco !l)
-- -21 .71
91 .6Z
12121111
Ql!(
9.554
91 52
1 5.1~ 6
144.87
OF 12122111
.,... JO
so.oo
aootng <llh and moiM)f billa,...
Fun do u-..1 t....l-ment ''""'IICtloPlJ
S4,0NA7
Realized gains and losses

The esttm.Jtfd A!ZIIizld gainllnd ~ t
tiM\
bt!ow att not 6ctt.u pu rpoe~ ,..., . ,
recogoi111td on LN tct'-'01' rftfBT~pl iC11 of ( "tt!n SIN\ttd Prod~
l'b i\ g11111:cx ~'

CC1"111n91At O ~t Slw laa. I'N)' bt
=~~~:!:;i:-~t~~TN~~~t~.! t::;~D~:o::.~:::-; ;.~~utW.":.
thisml'thcd ui'Uuyou (4Jetifled which IIlii Iot lG do:H ~nyautticld )'OIIadlr.11'1isl5 kroNn
purc:h.iW5 orVSPordtr. SH
/tnpomt~t.,~~ywrsattment
lll'lllllH
IT'Qtt
llthtnd aflhGdDCUmlntfot
""''noll
Womo.ltM. Wt
ac!"'t 111lns ...S _ , I Ic>pi!OI clunQtl. Wt avtOOlltiatt/ id;.Jsl colt bosi< iot
t&t...,...-""0'1 <tnd A'tL' t<M:.OCX' rn~(;Olll JtMtit.i l01 tsttrn,ttd ....-crriu !ion of bQI'\d ~um .-.d ror ctt.ud
0 1) lOt s.t ~ &Wtd I t a cf'Rcunt. II t DU lf<IUII't.ci Ito..' IJU 14f1;1)t CO"- ~I> fof tN bond pNT'IIutn
ln\Qfi,IUtiOtl on ~ !lfbt lf'Nrillll e-n CO_I1 b,t,SJ rtftrtcttd fot ~ l fCLN'itiH t\115 bMn ,l~l11d . E&tilftl.taJ
h lht U~$1f(fd Sffon can not 1M dust~ s IMt term ar 1on51rm btGNM trletmltlon 1$ ml~"9 . or tht
prod.ud I on in ~h 1hl g.IN'b:ss cakulaiJon " not pr<Wldld,
Prlor month or year activity adjustments

Gr.!Nldlcmdtt.~J preRn~ ke~ n:flect c.hii"'QU 10 grt'fliowsi" r~rcedQIIns end la:s&e:t. r11UtJngfi'DITl
trlil cancwlt\ion, ~il5h w\11 \r-o~1on or., updt. a;, mst bi3is. If theo ad.btmtm i' 1 mult d w.~ h
<Yit tf&n'Wt(lion.lht 1m01..mt of tht dQ&III)oN'e(t lot! Ns btttl tddtd to tht cml bus of tht se~;;unlJeo:i of th~ sn1e
i~ that you 1-.P!d wllYqiJfl'lttotnawi!l'l 11J1.
Short-term capital gains and losses

ww. ....
cott bl51~
t<fu>unor.t<l 1
Quinthyor PurchaseYllJe dllt

0 .600 Mar 31, 11
f6tl
C:IOGROIJ? INC
Adjustment
MayOt, It
U .7J
lou (IJ
CPZ20007004797417 PZIQQQl>41 IS 00002
G>lnlll
1.44
25.19
\ l11 ~ l4 001~/sg
0 liD 14
P8Qe IS ol 16
)E10Q47- Client Inquiry- Activity fori?11 06/UJil W!ll:13

Cl11~111t.d On: lll/1l/20U
_..L
7'tiiiL.j /YIAf7i, ...
Page 1 oflO
Allellunt Ia \IW~I
UIS PIIIIIK'I.. S.Nicel Jnc.
~E.P-1..18.5
W:.llllred by: Entry DBte 01{01/2011-12/11/:2011, All Securities Trans;IC!Ions, All cash Tr1n11dlons, MOMV Market Exduded, Elltlude Debit Card
lntry
S.ttle
S)'ll'lbal/
ryp. Qullllllty Ptfcltoal
D-=rlptlon
~
Dr! !:Ill
Date
S.C:rltyill
12/27/11
W27/ll
DIVIOfND
12/21/11
12/27/11
OMDe40
12/27{11
12/27/11
DMDENO
12/'27/11
12/27111
01\IJDENO
12/27/11
1l/27/l1
LT CAP GAIN
12/27/11
12/27/11
LTOO GAIN
12/27/U
12/27/11
LTCAPG.\[N
12/27/11
1"1,/27/11
REINVESTMENT
12/27/H
1"1,/27/11
RfiHVESTMENT
12/27/11
12/27/11
REINVESTMENT
12/27/11
12/27/11
REIJIVfSTl'IENT
12/27/11
12/27/ll
RfiNVEST"MfNT
!2/27/11
12/27/.U
RE.INVESTMENT
12/27/11
12}27/11
REINVESTMENT
12127/11
12/27111
REINVESTMENT
12/27/11
12/27/ll
REINVESTMENT
12/27/11
12/27/11
REI NVESTMI!NT
12/27/11
12/27/ll
STCAP GAIN
12/27/11
12/27/11
STCN'GAlN
12{27/11
12/27{11
ST CAP Go\IN
11/21/ll
12/21/11
DIVIDBIID
12/2.1/U
12/21/11
DMOEND
12/21/11
12/21/11
DMDEND
12/21/ll
12/21/11
DIVIDEND
12/21/11
12/21{11
Dl\IIDEND
12/21/11
12/21{11
DIVIDEND
12/21J 11
12/21/11
LTCAPGA!N
12/21/U
12/21{11
RfiNVeSTMfJH
12/21/11
12/:Zl/11
REINVESTMENT
12/21/ll
12/:ZI/1 I
REINVf:ST~ENT
12/21/11
12/11/ll
REINVE:STM ENr
12,121/lt
12/21/ll
REtNVESJl.lENT
12/21/ll
12/21/11
REINVESTMENT
PACE GOVERNMENT SECURJTII;S FMO

INCOME JIS Of t:l,/22/11
PACE INTERNATIONAl. FIXED INCCME
INVE!IDIENT ClASS AS OF 12/D.Ill
PACE HIGH YlEW tN\IfSTIII ENlS Q.ASS P
PS Of 12[22/11
PN:E STAAT8itC FIXED INOOME
INVESTMENTS AS Of H/22/11
PACE GOVERNMENT SEOJRffiES FIXED
INCOME AS Of 12/22/11
PPU STRATEGIC FJXED INCOME
INVESTMENTS AS OF 12{).2/11
PACE HIGH YIELD INVESTMENTS ClASS P
ASOF 12/22/U
PACe H!GH Y!ELD INVESTMENTS QASS P
/IS OF 12[22/11
P.oiE INTERNATIONAL FIXED INCD4E
INVESTMENT CLASS AS OF 12f_22f11
PACE HIGH VIELO INVESTMENTS a.ASS P
/IS OF 12/22/ U
PIIC.E HIGH 'fl~LD lNVSTM"fNTS CLASS P
MfPCGU
JAOM<j2
MfPCGJ3AOM76
MfPCHQ3AON14
MfPGl3AON)(3
MI'PCXilJ-
AS OF 12122/11
3AON1~
PACE STRATEGJC FIXED INCOME

INVESTMEI'il'S AS OF 12/22/11
PACE Sll!ATEGIC FIXED INCOME
MFPCSJ
3ADNX3
MFPCSJ3ADNX3
INVESTMENTS AS OF 12JW11
PACE STRATEGIC FMD INCOME
1NVESllo1'EifTS AS OF 12/22/11
PACE GOVERNMEPIT SECUIUTIES FIXED
INCOME AS OF 12/22/11
PACE GOVeRNM~T SECURITIES FIXED
INOOME /IS OF 12.m111
PACE GOVERNMENT SECURITIES fiXfD
INCOME AS Of lZ/22/11
PACE HIGH YIELD INVESTMEN"TS CLASS P
AS CJ' 12/22.111
PACE STRATEGIC FIXED INCOMJ;
INVI:STMfNT5 AS OF 12/22/11
PACE GOVERHMEN1FIU1IES FIXEO
INCOME AS Of 12/2 !/11
PACE lNTERNATIOWL ~QUnY
IN\IESTJio1ENTS AS OF 12/19/11
AAO: Gl.OilAL REAL ESI"ATE SEOJRITlES
INVESrMEnlSASOF 12/19111
PACE INTERNATIONAL EMERGING
MARXETS EQUllY AS Of 12,1111111
PACE SMALL f MEDIUM CO VALUE EQUITY
AS OF 12/19/11
PACE LARGE CO VALUE EQUITY
INVESll'IENTS AS OF 12{19/ll
PACE LAA.GE CO GROWT'r1 EQUITY
INVESTMENTS AS OF 12.119/11
!'ACE INTfRNfiTI(Nto,L EMERGING
MARKETS EQUnY AS Of 12./19/11
Pta. INTeRNATIONAL EMERGtNG
MARICET5 EQUnY AS Of 12/19/11
PACE INTERNATIONAL EQUITY
INVESTMENTS PS OF 12/19/11
PACE INTERNATIONAL EMERGING
MARXETS EQUm' AS Of 1~19/11
PACE GLOBAL REAL ESTATE SEOJRmES
lf.IIIE!m\ENTS ASOF 12/19/11
PAa: SMAll/ MBll\JM CO VALUE EQUJ:IY
AS OF !2/19/11
PACE LARGE CO \IALUE EQUID'
INVESTMENTS AS OF 12/19/11
PACE LARGE CO GROWTH EQUrTY
AmOUnl
0.000
DIV
$4<1.80
0.000
DIV
$'357.19
0.000
ON
$91.62
0.000
DIV
$17...77
a.ooo
LTG
$25.02
0.000
LTG
$250.07
o.ooo
LTG
$1+4.87
2.2&4
REINVEST SCG
-$21.71
.I
115.311
REINVEST Dl\1
$957.19
15.106
REINVEST Rill
$14U~
9.55'1
RElNVESTDJII
-$91.62
17.258
REINVEST IU\I
$250.07
9.793
REINvesT SO::
-$141.91
12.062
REINVfST DIV
-$17'1.77
1.885
REIHYEST PJ\1
$25.02
~.IM6
REINVEST SCG
-$64.30
3.376
REINVEST OTV
-$44.80
0.000
SCG
$21,71
o.aoo
SCG
$141.91
o.ooo
SC:G
$61.JC
o.ooo
OIV
$959.31
o.ooc
OIV
$219.73
o.ooc
OIV
$114.09
0.000
01'1
$3.~
O.ODO
DIV
$686.18
o.ooo
O.IV
$75.841
0.000
LTG
$122.03
10."353
RfiNVESTDfll
$1lUl9
89.907
REINVEST Dill
$959.31
u.071
REINVESTRn
-$122m
+4.1fao
REDNEST Dill
-$219.73
lfiONWS
0.201
REINVEST DIV
$].03
MFPO.W
J,t&JNM9
-41.673
REINVEST O!V
-$686.18
3ACIM92
MFPCSJ3AONX3
Mf?Oi(J-
3AON1ol
MFP01Q
3AIIN14
MFPCGJ3AOMJ6
MFPOiQ:wlNl~
MFI'OlQ
Mft'CSJ-
3NlNX3
MFPCGU
3ADM92
HfPCGu3AOH92
MFFCGU
YIDM92
MFPOiQ3AOifl1
MFPCSJ
3AONX3
MFPCGU
3AOM92
MfPOH
WlNHl
MFPOOl3ACN31
MFPO:N~F5
Mfi'C5W
3#M'fl
MfPO.W3AII'IM9
l'oi'POD:wJNIQ
MFPCENJADNFS
Mf~
lAD~
MfPCIH
JAONHI
MP'PCEN3MNF5
MfPotQ
3110tm
MFI'(.'U)-
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JE10047- Client Inquiry- Activity for s - 06/13fJ*' llf:l3
Page 2 oflO
I
1'*
s.na.
Dl'te
Dille
12/21111
12121/11
11/25/U
11/25/11
11/25111
11/25/11
~vltf
Pl'lai/Otllll
4.394
REINVEST DIV
$75.81
DMDENO
PACE GOVERNMENT" SECUIU'T!ES FJXEC

INCOME flS OF 1112~11
lllfPCGu-
a.aoo
DIY
$48.97
DIVIDEND
3AOM92
WPCGJ
PACe INTERNATJONAL FIXED INCOME

INVESTMENT CIA'iS AS Of' 11/22/11
~76
0.000
DIV
$49.1~
PACE HIGH 'fiELD lNVESTMEtll'S CLASS P

AS OF 11/22/11
PACE STRATEGIC fDCtD INCOME
INVESTMENTS AS OF ll/22/11
PACE HIGH YIELD INV!SnolEWTS QASS P
AS Of' U.Q2/11
PACE STRAlEGIC FIXED INOOMt:
INVESTMENTS AS 01' I ~2/11
PACE GOVERNMENT SEO.JRITIES FIXED
IN~E /IS Of ll/22/11
PACE ltm:RNATIOI'llll. fiXB> INCOME
INVESTMENT a.ASS AS OF 11/22/11
PACE M~EY MAAKU INV'ESTMtJ(rS fUND
loS OF 11 lSLH
PACE MONEV MARKET INVESTJ.Iftm fU~
QASS P AS Of 11{15/11
.
PK GOVERNMENT SEO.JIUTlES fiXED
INCOfo!E AS OF 10120/11
P.Aa HIGH YIELD lNVESTMENTS ClASS P
ASOF 10/20/11
PACE It.'TCRNATIONAJ. fiXED JNt:CME
lfiVESTMENT o..ASS AS OF 10/20/11
Pita STRATEGIC FDCal INCOME
INVESTMENlS AS OF 10/20/11
WI'CHQ3AON11
MFPCS.l
0.000
OlV
$96.21
0.000
DlV
$53.88
9.994
REINVEST DIV
$96 . 2~
3.633
Rl:INVEST DIV
-$53.88
3.67'9
REINII!:STDIV
-S411.97
3ADM;16
MFPCMN
:w:INP3
4.122
REINVEST Dl\1
-$49.14
o.ooo
OIV
$0.01
3AONQ1
0.010
RfiNVEST 0[~
f0.01
HFPCXlLJ.
lAOH'ill
0.000
DJV
$48.97
lAQN.14
0.000
DlV
$10D.4S
MFPCGJ.
0.000
CIV
$50.7S
11/25/11
11/25/11
DMDft.jD
11/25111
11/25/ll
REINVI51l!ENT
11/25/11
11/25/11
REIN'JSTMENT
11/25/ll
11/25/11
REINVESTMENT
11/25/11
11/25/11
RflNVESTMENT
11/11)/!1
11/16/11
DIVIDEtiO
1Vl6/11
11/16/11
RflNVfSTMENT
10/24/11
10/24/11
DMCEND
10124/11
10124/11
DlVIOfNO
DNIOfNO
10/24/11
10/24/11
DIVIoet<
1(1(24/U
11+'24/11
10/21/11
10/24/11
fE01ARGEU
REFUND
10/24/11
10/24/11
RBNVESTM~T
10/24/11
10/24/11
RflNVESTM~T
10/24/11
10/24/U
REINVESTM~T
10/21/11
10/24/11
RI!INVESTMEKT
10/24/11
10/25/11
SOI.D
10/18/11
10/18/11
OlVloa.O
10/18/11
1D/1B/ll
R.ElNVf:SlfoiEt
10/17/11
10/17/11
DIY!DfND
10114/11
10/07111
10/0l/11
10/()],111
10/03/ll
10/14/11
l()i07J11
10/03{11
DIYlDEND
OIVIDfND
DI'IIDENO
DIVIDEND
DIVIDEND
10/03/11
Qui!MIIJ
JAONK2
DIYIDfHD
10/03111
Type
INVESTMENTS AS OF 12/l!l/11
11/25/11
10124/11
Symbal/
.$eaarltyM
RfltMSll100
11/25/U
1012-4/11
'
.3AL'lNXJ
t-'1'1'01()-
3AON14
MFPCSJ
3AQN)O
Mff'c:GU3ADM!I2
MFPCGJ
MFP01Q
JAOto\76
MfPCSJ
3AONlC3
QUARTERLY fEE
PK REBATE
PACE GOVERNMENT SEOJRITli:S FIXED
INCOME AS OF 10/2(],/11
Pia llffi:RNATIONAI. I'IXI!D ItDMI!
lNVESTl-lENT CUSS AS OF 10/20/11
PACE HIGH VIEW IN~ENTS ClASS P
AS OF 10/20/11
PACE STRATEGIC FIXEO INCOME
IIMSTMENTS AS OF 10/20/11
P~ MOHEY MARKET INVESTMENTS RJNO
Tmlef:55110 Slat:37
PACE MONf'1' MARICET INVESTMENTS FUND
AS OF 10/17/11
PACf MONEY PWIGITINVESTM~tmi FUND
CLASS PAS Of lD/17(11
OCCIDENTAL PfTROLEUM CRP PAID ON '16
AS Of 10/15{11
HCTOROI.A SOLUTIONS JNC PAlO ON ~07
MfRCit & CC INC NEW COM PAlO ON 121i
UNION PACFlC CORP PAID ON 54
HAATFORO FINCL SERVICES GROUP INC
VIACOM INC NEW CL B IWD (j 281
MFPCGu31()M92
MFPCGJ
3AOM76
MFI'CHQ-
3AON14
HFPCSJ
3AONX3
MFPCMN-
3AONP3
l'lfFCMN-
3AONP3
3AIINQ1
4.191
REINVEST Dl~
-$50.75
10.3811
REINVEST DIV
$100.45
3.66e
RflNVfST DIV
$53.74
611.520
$1.000
$611.52
0.000
OIV
$0.01
0.010
DJV
tO.Dl
0.000
01'146
U1.16
0.000
0.000
orv zo1
t"S..C
~INVEST
~7-88
0.000
O'JF 206
o.ooo
ll215EBO
HE!H08BA9
Gs-11164H1
0.000
0.000
o.ooo
Otv 59
S16.80
$1ii.M
$&.31l
$20.65
0.000
Fu cnarued
$53.51
0.000
DIVD INCOME
to.06
MFPCDi
3AONH1
2,c!lti-057
S10.9SO
$28,6'15.82
PACE IrnRNATIONAL EMERGiffG

MARKETS EQUnY
T111~&!6g602 Blct:37
MFPCEN
3AONF5
!w.i.250
$11.020
$10,116.66
PACE GOVERI'IIIlEtiT' SECURTTIES FIXfD
IOifPCG\1-
1,337.955
$13A:Jl
$17,968.71
a.Q074331
I'OREIGN DlVIDENO
DIVIDEND
OQf']:g/11
OIVI~D
GOlDMAN SAOtS GROOP INC PAID ON 59
011/29/lt
FEE CHARGED
lNITlALFEf
09/27{11
09127/11
DNIDEND
U8S CASH RESERVES FUND AS OF
IOIMLIRC
09/26/11
919480
BALANCE FUI.WARD
lNGERSOLLRAND P1.C PAlO ON 140
HE$ CORP PAID ON 63
~a:
aoUGKT
$6.90
~~ N"T RSOURa5 LTD CAD~

OF 1
11
09/30/11
09/2]/11
-$48.97
0.000
0.000
09129/11
09/29/U
09/28/11
09/26/11
REINVEST ON
BAlANCE f'QRWAAO
BOUGHT
3.676
VJM-<191604
FOREIGN DIVIDEND
09{27/11
0.000
UNP-469106
HIG-19BBE4
10/0]/11
09/26/11
$53.74
-$970.18
DIV126
DIV 54
DIV 2liJ
OIV 2111
09/30/11
09/30/11
IWJUGHT
Dtv
Fee Olarged
RI!IUnd
1
1
1
10/03/11
09/27/11
o.ooc
0.000
COC'f346497
MSJ038MUO
MRX-Z831Z7
09/30/1]
09/JG/11
09f26/ll
1
1
INTERNATIONAL EQUnY
1NVEST1'1EtOTS
Trada:696Cl8 lllot:37
llt<XJME
3AOM92
o.aoo
rNF 140
OIV 63
$15.65
$23.lll
$70.25
$17.64
http://cwv2proxy .cwlh.pwj .com: 8080/CICE/activity?fonnFlag=Y&printAU= 1&totR.ecCou. .. 6/13/20 12
,JE1 Op47 - Client Inquiry- Activity for,

...,1
.. - 06/1
_ .
1
lntry
5eltll
Date
Dlt
Activity
09/26(11
09/27/11
BOUGKT
09/26111
09/27/11
BOOGHT
09/lE/11
0'"127/11
BOUGHT
09/26/ll
09(l.7/ll
BOJGHT
~/26/11
09/27111
BOOGHT
09/26/11
09./27/11
BOJGHT
Jl A. lb: 13
Dell:riPIIGII
Tradet :69604 Slot: 37

PACt INTERNAllOOAL FIXED INCOME
INVESTMENT QASS
Trade#:69S98 Blot:37
PACE HIGH YIELD INVESffl ENTS ClASS P
Trade#:69603 Blat:37
PACE AlTERMllVE STRATEGIES
INVESTMENTS
r,.de#:69599 Blot:J7
PACE STRATEGIC FIXED INCOME!
lNVESTMfl'iTS
Trade#:696Ql Blot::$7
PACE SMALL/ MEDIUM CO VALUE EQUJTY
lrade :69606 810t:37
PACE SMAU../ MEDIUM CO GROWTH
~lTY
T111de# :69597 81ot:37

PACE HONEY MARI<ET IN~EHTS FUND
09/26/11
09{27/11
BOUGHT
09{26/11
09/27/11
BOUGHT
09{26111
09/27/11
BOUGHT
09/26/11
09/27/11
BOUGHT
09/26/11
09/22/11
09/27/11
09}22/11
RB'\JND
OMOEND
09/22/11
09/27/11
SOLO
09/22/11
09/27/ll
SOLO
09/22/11
09/27/11
SOLO
09/22/11
09/27/ll
SOlO
09/22/11
D'J/27/11
SOU)
O!l/21,/ll
09/27/11
SOlD
09/22/11
09m111
SOUl
09/22/11
09/2]/11
SOlO
09/21,/11
09{27/11
SOlO
0'3/U/U
00/27(11
50lD
0'3/22/11
09/Z7/11
SOLP
0'3/22/11
09/27/11
SOlO
Wl2/11
()9127/11
SOLO
09/Z1/11
09/27/ll
SOLD
09/22111
09/27/11
SOLP
09/22}11
OO/l7f11
SOLD
09/22/U
n9/l7/1l
SOlD
09/22/11
09/27/ll
SOLO
09/22/11
09/27/ll
SOLO
Trade# :696CS Dlot:37

PACE LARGE CO VALUE EQUI'TY
INVESTMENTS
Tr11detl:69607 Blot:37
PACE LARGE CO GROWTH EQUITY
INVE.5THEm'S
Tlldai:69S96 Blol:l7
PACE GLOIW. REAL ESTATE SEOJIUTlES
iNVf!ffi.ll':NTS
Tndel:69600 B/ot:37
PRORATED MMSr:xl.V FEE
HALUBURTON CO (HOLOING COMPANY)
WELLS FARGO !a CO NEW UNSC:Ucm:D
Tndel:67121 Blot:85
CA INC UNSOUCITEO
Ttlde#:61089 810t:85
BARRJCX GOil) CXlFIP CNJ UNSOLJCrnD

Tlidel:6789-4 Blot:85
VIACOM INC NEW CL B IJNSOL.ICITfO
Trlldei:67J72 Blal:8S
UNUM GROUP UNSOUCfTED
Trodetl:6i'J65 Blgt:85
HAim<lRD FINO. SERVICES GROJP INC
Tllldel :57~3 Blot:85
HAU.IBUJUUN CO (HOLDING WMPAHV]

Tradel:67231 8101::85
GOLDI'-11\N SAO\S GROUP INC
UNSCt.Ion:o
Tradel:ti5591 Bklt:BS
GENWOP.~ FlNANCAllN<: CL A
Tradetl :6~372 Blot:85
CISCO SYSTEMS INC UN50U(l11;0
Tl'lldtf :65390 81ot:8S
GeNERAL MOTORS CO UNSOLICITED
Tradel :65579 Blot:BS
CANADIAN NAT RfSOURCfS LTD CAD
Tradel :72641 Blot;SS
CVS c:AREMARK CORP UNSOUcmD
Trade I :65'100 Blot:as
RAYTtlfON CO NEW UNSOLICJTED
Tra<le#:66971 9101::85
PITNEY BOWES INC UNSOUC'TtD
T'r~del:64646 81ot:85
PfiZER INC UNSOUaTEO
Trade#:66065 Blot:85
PHI UP MORAlS INTL INC llNSOUOlED
Trade6:67313 Blat:85
PACCAR INC UNSOUCITEO
Trlldel : ~a etat:8S
OCOoF.NTAL PETROJ.fl> C'.RP
UNSOLICITED
SyNbol/
Securltf~
JfiCGJJf.DM76
MfpCHQJAONI~
MFPCAQ3AON10
MFPCSl
3AQNX3
MFPCSW
JAONV7
~H'CSH
WlNT1
MfPCMN
JAONP3
loiFPCLW
JAONM9
MFPCLD3AONK2
MFPCRQ3AON31
Page3 oflO
Type
Qulnatr
Prlc:l/l)eUII
AINUIIt
1,126.041
$12.07~
S20,B:l3.32
t,s64.676
~.57(
$14,973.95
.. ,660.~
$8.!HO
$41,660.61
1,+40.714
$14.840
$21,380.19
918.901
$14.170
$13,DZ0.83
1()7.654
$14.720
-$10, .. 16.66
5,:208.33(
$1.000
$S,208.33
2,646.304
$14.750
$39,062.18
1,715.793.
$17.()9(]
$29,322.9!1
1,506.024
$4.981:
$7,500.00
0.000
R.et\m~
.$109.55
HAL19&463
0.000
DIV 7..
$6.66
WFC-4971H5
289.000
$23.100
$6,675.77
CA068BSS
65!i.O!X
$20.110
$13,Z52.23
ADX-G439G4
232.000
$49.JSC
.$11,441.98
VIAB-492604
-.281.000
$43.86()
$12,32~.42
UNI'H86345
312.000
$20.310
$6,336.59
HIG1988f4
-238.000
$16..000
$3,al7.92
HAl-198463
7"1.000
$32,950
$2,438.25
G5-1861Hl
59.000
$95.710
$5,646.78
GNWln9R7
-603.000
$5.04()
$3,039.06
<:.SCXHJ91-43Q
-~.000
$1S."'70
$6,868.~
GM0861Z3
179.000
$20.500
$3,669.42
(}IQ-074331
206.000
$29.75()
$6,128.38
~731.1-\l
-172.000
$)\.3\Q
$5,901-20
RTN3917Z4
-121 .000
$38.970
$4,715.27
PBI37500~
-142.000
$18.910
$2,685.16
PrE-370011
-710.000
$l7.53D
$12,446.()1;
Pfo1361Pt-16
-n.aoo
t65.500
$5..043.40
I'CAP.-3)-4643
76.000
$34.270
R673.00
OX'T'-346497
-'16.000
$73.15()
$3,364.83
Tradel:66020 Blot:8S
NOOLE ENERGY INC: UNSOLJClTEO
http://cwv2proxy .cwlh.pwj .com:8080/ClCE/activity?formFlag"" Y&printAll=J &totRecCou. .. 6/13/2012
- - - - - . - ---
JE10047- Client Inquiry- Activity for 3

l!llltly
o.tll
09/22/11
Settle
Dllbl
09127/11
Ac:IWily
SOLD
09{2lf11
09/27111
50..0
09/22/11
09/21/11
SOLD
09/"l'2/1l
09/27/11
SOLD
09/22/11
09/27/11
SOLD
09/2Z/t I
09/Z7/ll
SOlD
09/22/11
09/27/11
SOLD
09/22/11
r/9/27/11
SOlD
09(22/11
D9/Z7/U
SOLD
09/22(11
r/9/27/11
SOLD
09/22/U
D'J/27{11
SOLD
09/'22/11
09/27/ll
sow
f13/22/11
fl'J/27111
501..0
09/22/11
~!27/11
501.0
09/22/11
09/27/11
SCl,D
Mm,tll
09/27/11
SOI.D
09/22/11
09/27JU
soc.n
rYiJ/22/11
09/27!11
SOlD
09/22/U
09/27/11
SOlD
09/22/11
fi9/'Z1/11
50I..D
09/22/ll
09/21/11
50I..D
09/2()/11
09/23111
EOJGHT
09/15/11
119/19/11
09/15/11
F<lRElGN OIVIDENO
DMDEHD
09{15/!1
09/15/11
FORfiGN DIVIDI!NO
09114/11
09/14/11
09/14/11
DMOEHO
DMDBIO
09/19/11
09/!i/11
09/12111
D9f15,111
BOUGHT
09/l:l/11
09/12111
DJVDEN)
09/14/11
BOUGHT
09/09/11
00/0Wil
O!lfll/11
BOUGHT
09/01.!111
09/1]/11
BOUGHT
09{01Vll
09{011,111
DJVIDENO
09/011111
09/08111
09/08/11
09/08,/11
DIVIDEND
fOREIGN TAX
09/06JU
09/01/11
09/Q6111
09/l)lJil
DMDSID
DIV1D!!ND
()8/26/11
09/26111
08/26/11
08{2fi/1.1
a F
DMI:rljltloft
T~e#:66S64
!llot:85
MEnJFE INC U~LlaTED

Trade#:li6836 BIOC:BS
MERCK l CO INC NEW COM UNSOUCITEO
Trade#:ti~546 1110l:8S
MIOlOSOFT CORP UNSOUCITfO
Trede#:6455B 91ot:as
LCEWS CORP UNSQJCITa)
Tl1dt1:6S792 Bloi:BS
UNCOUt NA1l Cau' IND UN51:lUCTfD
Trade1:&6811 lllot:Bs
JPMORGNI CHASE l CO UNSOUCITEO
Tllldel:65724 lllot:85
INGERSOU.AAHD PLC UHSOUCITEO
Tl'lld!l:~m6
Page 4 of 10
06/11(fiJi,I IL?:l3
lfot:as
5ylllllal/
kurttyiJ
N8l2Q!FB5
QUII!tlf
Pnci/Dellll
--
_1
74.000
$73.570
MET2854U7
2'16.000
$27.960
MRK2837Z7
126.000
$31.1SO
$3,924.82
MSFT-270890
2-M.OOO
$25.300
$6,173.08
l264130
186.000
$34.420
$&,470.83
I.M:261 521
151.000
$15.550
$2,3~ .00
JPM11JJP2
129.000
$29.290
$3,778.33
IR21SEBD
I..:J.OOO
$30,90
$4,254.51
6J.OOO
$53.930
$3,:397.52
263.000
$24.550
$&,456.51
207,000
$41.930
$8,679.34
111.000
$87.000
$9,917.80
2&1.000
$-44.950
$12,765.55
1jlQ.OOQ
$.54.94(]
$12,Q86.56
HESS CORP UNSOLIOT'ED

HeS.2088R9
Tredet:65628 Blot:ll5
CmGROUP INC UNSOUCI'f'B)
C2049Z'I
T...et:li528J Blot:BS
MOTOROLA SOU1TlONS INC UNSCllCTED
MSI038MUO
Tmdel:671i0 1 l!lot:8S
APAOIE <DIP UNSOI.IOl'Bl
APA-029131
Tw.dejj :65119 lllot:85
ANGLDGOLD J9Wm Lm NEW SPOff AOA
IIIJ-Q287BO
Trede.1:651<43 l!lot185
AloiGeN INC UN90UCITED
AM.;N-CI23825
Trll~l :65081 81ot:85
AON CORP U~CITEO
Tractef:lili563 Blat;.BS
Type
'
$5.444.07
$6,878.02
AON~237<l1
-161.000
$'10.300
$6,488.17
TAUS MAll ENERGY INC CAD UNSOUc:mD

Tradef :67879 BlaUS
UNION PACIFIC CORI' U#ISOUcrrm
Tradel:ll6383 Blot::85
TIME WARNER INC NEW l.fiSOUaTEO
Trldelll:l57075 Blot:SS
TEVA PHAAMACEUnCAlS INO LTO ISRAEL
ADR
Tmdet:66290 Blot:85
NRG ~ERGY INC NEW IINSQJCITED
TildeI :66885 Blot:8S
SANOf1 SPON ADA. UNSOUCITal
Tmdu :66997 lllot:85
"TWA PHAA.MACEt/TICALS INO L10 ISAAEL
l1Joi-'176SAIJ
-416.000
$12.8110
$5,357.97
UNP-169106
-54.000
$80.230
$4,332.3]
lWX-'1587Ml
193.000
$28.790
$5,556.36
TI:VA-4567~6
152.000
$36.000
15,471.89
HRG-+15H67
160.000
$21.7.ol0
$3,478.33
SNY-40Bll9
'
320.000
$31.130
$9,961.40
ADR
TEVA4567<48
48.000
$36.864
$1,769.51
AU0287BO
1
1
1
1
1
0.000
DVF284
DIV li'J
DVF 232
DIV 188
DIV659
$3'1.]1
$559.90
Tradal:79060 Blclt:85
ANGLOGrul ~Tl LTD NEW SPON AOR
TIME WAAHER IIIC NEW PAID OH 193
BAAA:ICX GOLD CORP CAD PAID OH 232
LDI!WS CORP PAlO~ 1111
CA INC PAID ON 659
PNXAA INC UNSOUCJTED
Tradef:li4308 8lct: 85
PI'TNEY BOWES INC PAID ON 142
PACX:AR ~C UNSOUCITEO
Tradef:ll'I02 llot:IIS
TWX~587M1
ABX-tl439G4
L-2&41.30
rA-068855
o.ooc
0.000
O.OIX
0.000
$~5.36
$27.84
$11 .75
$32.95
PCAR-354643
16.000
$]'1.~93
Pei-375004
0.000
DlV 1i2
$52 .5~
PCAA-354643
46.000
t:JS.190
$1,632.57
ClSCO SYSTEMS U:UNSOUCITED TRACE

cscc-091430
DATI': 09/D8/201l
Trdef:622~ aot:ll5
158.000
$16.195
t2,S~8.87
PACCAA INC UNSOUcmD

Tradd:393S8 81ot:85
~c:ROSOFT' CQRI> PAlO ON 244
AMGEN INC PAID ON 220
PCAR354643
16.000
$36.576
$Sss.:n
MSFT-270890
AMGND:l3!125
0.000
0.000
DlV2""
DlV 220
$39.04
$6UO
!iAHOFI SPOH ADR AS OF 06/24,111
5NI"1082L9
o.ooo
RI:FRC25159i2
$2.51
PfE-370011
WfC-4971H5
1
1
0.000
$142..00
o.ooo
DIV 710
DIV 211'3
DIVlOO'IC
PFJZE1l. INC PAlO ON 110

WELLS FARGO l CO NfW PAlO (Jj 299
UBS CASH RESElliiES AJ ..D AS OF
MMURC
118125/11
919'11!0
D.OOO
DIVDINCOME
$0.02
OMOENO
cmCiltOI.JIIINC PAlO ON 263
C2049Z4
Q.OOO
DIV 263
$2.1SJ
RBl.AIM
$34.68
http://cwv2proxy.cwlh.pwj.com:8080/CICE/activity?furmFlag=Y&printAll=l&totRecCou... 6/1312012
.JE10047 ~Client Inquiry- Activity for - 06/1~:13

Entry
Date
08/25/11
SStie
DelllCI'tptlon
08/25/11
fOI!.fiGN OIVIDENO
TevA PHARMACfUTTCALS IND LTD ISAAEl
06122111
OSJll/11
~19)11
DB/19/11
FOREIGN TAX
WnrtiEt..O
DIVIDEND
0\Yll)[flO
DIVIDEND
DS/19/11
DS/2~11
SOLD
08,118/11
08129/11
BOUGI1T
08/111/11
<JB/23/11
SOLD
08117/11
oem.1u
BOUGHT
08/17/11
oam/11
SOLD
08,125/11
08125111
08,122/ll
ll8f221Jl
OB/1~/11
08/19/11
BOUGI-IT
08116{11
08{19/11
SOLO
011/15/11
DR/19/11
BOUGHT
08/I!Vl1
08115/11
DMDEND
08/15./11
DB/18/11
SOLD
011/12/11
08/17/11
BOliGHT
ADR
r-K>BI.E ENERGY INC PAID Of( 74
AP/ICH'C CORP PAlD 01'4 l1o4
LHIM GROOP PAID ON 312
LOCKHEED MAII.TlN COOP UNSOUCm;D
Trad~ :92828 Blot:BS
RA'fTHEON CO NEW ~SOUc:rnO
Tradel :92~2 BIOt:IIS
LOCKHEED MARTIN CORP UNSOUcmo
Trldd:77006 Blot:85
RAYTHEON CO NEW UNSOUCITED
Tradtf :87.385 8101:85
LOCKHEED MARTIN CORP UNSOUCITED
Tra~l:gUMO
.Riot:85
RAYTI-IEON CO NEW UNSOUCJ'TE)

Treddl:l-4525 lll~t:85
l.O(J(I1EED MARTIN C:ORP UNSOUCITED
Trlldll':l8J12 Blat:ll!i
MICROSOfT CORP UNSOI.JC:ITED
Ti11dd:16082 61ot:85
AON C:ORP PAID ON 1&1
MOTOROLA MOBlUTl" HOLDINGS
Tr11Cief:13974 Blot:BS
MOTOIJLA SOUJTIONS INC UNSQ.Jcm:O
T~t\C\0854 lllot:85
RAYTHfOfll CO folfW PAID ON 77
CVS CAREMAAX CORI' PAID ON 172
UNOOLN NAn CORP INO PAID ON 151
JPMORGAN CHASE &. CO PAlO ON 129 AS
01'07/31/U
TAU94AN ENERGY INC CAD I.I4SOUOTEO
Tradel:03612 Blot:85
QSOO SYSTEMS INC PAID ON :286
UBS 091 RESERVES fUND ~ Of
07/25/11
08/01/U
DIVIDEND
DIVIDEND
DIVIDEND
08/01/U
08/0l/11
OMDEND
D7/2Wn
08/0~11
BOUGHT
0.7/'H/11
07/27/ll
DMDEND
07/M/11
07/26/11
OMDEND
07/22{11
07/22/ll
BYPASS
Quarte~y
Q?/22111
B'IPASS
07/22111
07/2.2/U
07/2.2/U
FEEOIARGED
07/22,111
07{2.?/11
SOLD
QuartMyf'1!e
QUMTeiU.VFEE
PITNEY BOWES INC UNSOLICITED
Trade#:74B09 Blot:85
OB/11/ll
D8102Jlt
07/Zl/11
07/25/tl
SOLD
07(20/11
Ol/25/11
SOLD
07/15111
07115/11
OlVIDENO
07/13/11
07{18/11
SOLD
07/11/11
07/08/11
07/11{11
07/0B/11
DIVIDEND
DIVIDEND
07(08/11
07/1~11
SOLD
07/07/11
'J7/07(11
'FOREIGN DlVLOEND
07/07/U
07/12/11
SOLO
01/01/11
07/07/ll
BOUGtiT
07/01111
07/01/11
07/0l/11
06/30111
07/01/11
07/01/ll
07/Cl/11
0&/30/U
01V10END
DlVIDtNO
DIV!OENO
BALANCE FORWARD
06.130/11
07/06,111
BOUGHT
06/301U
06J3C/ll
06130111
FOREIGN DMOENO
fOREIGN DIVIDEND
Surrtyll
Traclet;82.248 Blot:85
PmlEY BOWES INC UNSOUCITED
Tn~deill:l7467
Blot:SS
OOJDBjTAL PETROLEUM CRP PAID ON 69

LOCICHEED MAR'm CORP LJNSOUCJ'TB)
Tr~~def:52262 Blot:BS
PH!LlP MOORJS INTl INC PAID ON
MERCK. CO INC NEW COM PAlO ON 126
LOCKHEfD MAR.TIN CORP UNSOUCITEO
Tradef:U802 Blot:BS
CANADIAN NAT RfSOU~ LTD CAD AS
OF07/01/ll
l.OOOi!:ED MMmN CC41P IJoiSI)..LCmD
Tradeill:29231 Blot:!IS
GOLDMAN SACHS mOUP INC
UNSOUCITED
TF'I!Ciei':SS971 Blat:!IS
VIACOM INC: NEW 0. B PAID ON 281
UNION PACIFIC CORP PAlO 01'1' 54
HAIUFO!m FINO.SERVICI'S GROUP INC
BALANO: fORWARD
TALISMAN ENERGY INC CAD UNSC:UCITEO
Tl'lldet:89369 BICit:B5
INGEASOURAND PLC PAlO ON 110
TALISMAN ENERGY INC OJ) PAlO ON 262
Prita/EMIIII
AlftCKint
$24.02
OVFt04
0.000
TAX J04
-$3.60
1
:1
1
0.000
OIV7o4
$16.28
0.000
0.000
DWU~
$17.~
DJ'o/312
$32..71i
I.MT-2639Cl
-3.000
~.646
~208.93
IITN-3917Z4
u.ooo
$o4(],105
S48t.26
I.MT-26390
6.000
$69.075
~414.44
RTtH917Z4
8.000
~1.369
-$.330.95
LMH639Cl
9.000
$71.218
$6'!0.95
Rr*3917Z1
24.000
$41.067
$985.62
llIH~!9Cl
20.000
$70.873.
$1,~17.44
MSFT-270890
1011.000
$25.'157
-$2,7~9.38
NBL2glf85
.IIPA-0~131
Ufl/~4863'15
AOO-Q23701
O.DOO
DIV 161
$24.15
MMI-o31mi5
298.000
$38.!03
$11,41'1.25
MS1-038MUO
8.000
$10.021
-$32<l. lB
$33.11
$21.50
Rlli<3917Z4
C\r5..0731H1
l.NC-261521
0.000
1
I
0.000
0.000
DIV77
DIV172
OIV 151
JPM24UP2
0.000
OIV 129
$32.25
TLM-476SAO
90.000
$18.485
$1,663.70
CSCo-o9l4.30
MMUII.C
919480
0.000
Dl'o/296
$11-16
0.000
DJVO INCOME
$0.04
U,4'10.11
$7.55
U44D.n
0.000
F
1
o.ooo
O.DOO
HeOIII'!Ied
Fee Olarged
Fee Ollrged
PBJ-375004
16.000
$22.401
$358.41
PB!-375004
-20.000
$22.456
$~9.1~
PBI-375004
4.000
$22.3115
$89.5~
Fee
PITNEVBO~INCUNSOLXJTEO
Quaetlty
T'nle
0.000
TfVA4567"t8
AOR.
IDA PHARMACEUTICALS INO LID ISRAEL TEVA-4567"t8
OB/11/11
08/02/11
08101111
~30/11
Sptllol/
Acllwlty
Dale
Page 5 of 10
$1 4'10.1
O)('f-346197
0.000
DIV69
$31.7~
LMI "263!1C1
6.000
$80.313
t<U!t.B7
PM-364PM6
MRK2837Z7
J
l
o.oco
o.ooo
Dl\177
DIV 126
$49.2E
I.MT-2639Cl
-4.000
$80.860
$323.43
~Q-07'1331
o.ooo
M206
$19-ZS
LMT2639Cl
~.000
$81.52~
$326.09
GHB54H1
12.000
$135.881
$1,630.61
VIAB-492604
0.000
O!V 291
Utll'-469106
I
1
0.000
DIVS~
o.ooo
O!V238
$25.65
$23.80
0.000
$52.53
HIG1~88E4
~7.Bfi
$70.2
TL.M-476SAO
10.000
$20.340
i'l06.81
IR215EBO
n.M-1765AO
o.ooa
0.000
OVI' lo4<J
01/F 262
$35.73
$1&.80
http://cwv2proxy.cw1h.pwj.com:8080/CICE/activity?formFlag=Y&printAll=l&totRecCou... 6/13/2012
JE 10047 Clientlnquiry - Activity f o r - - 06/13 (]Sid

l!nlly
s.ttle
Delli!
Aclivlty
DMcrlptlon
tP: 13
Symbol/
Securfty-'
Page 6 oflO
I
Qlllll\ly
TY1'1
l'riot/Detlll
'
AIMM!nt
OCCIDENTAl PfTROlU'! CRP

~SOLICITED
OXY-346497
Tra&nll :94195 Blot:85
TAL.!SMI\N ENERGY INC C'AD UNSOLICI'TEO
11M-<4765AO
Tnidl!!t:ll786 Blot:85
GOLDMAN SACHS GROUP INC PAlO ON 47 GS-1664H1
HB-208Bil9
HE!SS CORP PAID ON U
SANOfl SPOH AOA. PALO Ofl 320 Mi OF
06f3Wll
07/06,111
SOLD
06/29/11
07/0S/11
OOUGHT
06}29/11
06129/ll
06129111
06/30111
DMDfNO
DMDfNO
06rn/ll
06fl9/11
fORfJGfl DMOEHO
06/29/11
06/29/11
FOREIGN TAX
WJTI-IHELD
0612'\/U
D6/2"1/1l
OMOENO
06{23/11
06128,111
BOUGHT
06/22/11
()6/27/11
BOUGHT
06/22/11
06,124/11
CANCEL SELL
06,121/Jl
C6/l2/11
DMOENO
HALLIBUirnlN CO .(HOlDOOi CXlM~
06/22/11
06/27/11
no
ICROGBl COMPANY UN9:1L!CrTEO
06/22/11
Of.o'24/1t
901.0
OE/21/11
SANa=I SPON f<DR loS OF<l6/2i/11
DATE: 06/21/2011
23.000
$10l.999
~2,391.93
ofi.OOO
$19.811
$671.69
1
1
0.000
DIV47
OIV 63
$16.45
320
~564.211
SNY~821.9
o.ooo
o.ooo
SNY~B21..9
0.000
....o81
$141.07
0.000
DIV66
$49.50
a.ooo
$47.146
P77.97
12.000
$47.640
$571.69
48.000
$21.51
tw.-198'153
$6.66
o.ooo
-sa.ooo
ON 7
ICR252301
$2-4.58'1
$1,oU5.85
KR252301
49.UOO
$2"1.536
$1,177.72
TEVA-'4~748
22.000
$47.548
-$1,04b.07
LOCKHEED MARTlN CORP PAll) ON 66

LMT26J9Cl
TEVA PHARMACEUTICALS IIIO L11) ISRAEl.
'TEVA-456748
I'DR
TIBdel:671l!l IIIOt:BS
nYA PHAII.MACEUllCALS 00 LTO ISRAEL
TEVI\456748
~
T111ddl :70836 1!101::85
KROGH!. CXJMPANY UN~LicmD TRADE
DATE: 06}21Jl01l
IIR-252301
Tradeil :82747 Blot:BS
Trede#:56471 BI~: B5
KROGEl1. fD'I.Pf>Nf UN!inUCrTED lRADE
$6.30
$1,!78.06
Trl~elll:83621
Blot:BS
TEVA PHARMACEUTICAlS IND L10 !SRAft
~21/11
06/24/U
BOUGHT
06/lJ/11
06/21111
SOU)
06/17111
Olj/17/U
06116111
06/111./11
DIVIDEND
OMOENO
06/15/11
06{15/ll
Oli{IS/11
06/15/11
06/W11 06111/11
OMOEND
FORBGN DIVIDEND
DMOEND
06/11/U
SOlD
06/13/11
O!i/13111
OMDENO
05/09111
06109/11
OIVJOBID
06/09/11
06/Wll
SOLD
06/14/11
ADR
Tradef:BIK48 l!lot:BS
KROGeR CXJIIPANV UN9li.ICITED
Tlllde#:B2747 BkltBS
om;R.OUP INC PAlO ON :131
CA INC PAlO ON 659
TIME WARNER INC NEW PAID ON 193
IIARRJO< GOLD CORP rAil PJJD ON Dl
LOI!WS CORP PAX> ON 188
AON OORP UNSOUO'TEO
Tl1!rie#:87901 Blot8S
PITNfY BOWES INC PAID ON 182 ~ 0~
KR252301
...~.000
$24.543
$1,178.06
C:Z019Z4
CMl68BS5
$45.36
AI!X-0-4JCJG4
o.ooo
OlV l31
DlV 659
OIV 1g3
DVF232
DlV 188
$2.31
$32.!15
lWX-4SB7M1
1
1
0.000
0.000
l261130
o.ooo
0.000
$27.81
f11.75
AON-023701
1<1.000
$51.089
$715.23
0&/12111
P8137500"1
$67.34
MSFT-270890
o.ooc
o.ooc
ON lB.;
MJCROSOFT CDRP PAlO ON 136

ADNCORP
OIV 136
$21.76
AON-D2J701
-~2.000
$51.117
$1,124.5-1
Trldd:l471M l!lot.SS
lEVA PHARMACEUTI<:ALS !NO l TO lSRAEI.
Oti(DI!/U
06/13/11
BOUGHT
ADR
TEVA-456748
42.000
$i9.727
H,088.56
Tllldelii:S:Z922 Blot:85
LOCKHEED MARnN CORP
Tn~llef:551fi7 llot:BS
TIVA PHf\RM.faliTlCALS IND l TO ISRAE\.
LHT-2639C1
14.000
$77.167
$1.1110.32
ADR
mA.-.56718
20.000
$i9.667
$993.35
PFE-370011
0.000
O!V750
$150.00
Pff-370011
"10.000
$20.~
$830.41
IR-215EOO
-24.000
$-46.261
$1,110.25
APA0291J1
2.000
$117.362
$'2]4.71
C-20"19Z1
32.000
$40.182
-$1,285.8~
WFC4971H5
ICR2.5Zl0l
0.000
DIV Z89
S34.6B
o.ooo
DIV106
0.000
V~9260<1
6.000
$50.0S9
$300.34
VJAB-49260<1
22.000
$49.997
$1,099.91
0.000
DIVD INCOME
~.03
06108/11
06/13/11
SOlD
OISIQ7/11
06/10111
BOUGHT
CfJ/01/ll
Gfi/07/11
DIVIDEND
Oli{06{11
06/Q9/ll
SOLD
06/06/11
06/09/11
$OlD
06{06/11
06/09/11
$01.0
06,1(11/11
06/06Jil
BOUGHT
06/01/11
06/01111
U!i/01}11
OIVIOENO
DlVlDfND
OS/31/11
06/01/11
05/31/11
05/Zl/11
06/02/11
~f()RWAAD
SOLO
Tn~del:842!l3
llcx:8S
PFIZER INC PAID ON 750
PFIZER INC
TI'JdeN :fi9107 BICX:85
INGERSOLL-RAND PLC:
Tr.ldei:6910J 81CX:Il5
AP~ECORP
Trtclel:689'12 llot:ll!i
anGROUPJNC
Tredef;6t626 l!lot:es
WaLS FARGO I. CO NW PAID ON 289
ICROGER COMPANf PAID ON 106
1WN4CE FORWARD
IIIAOOM INC NfW a. B
T111df!l:8g253 1!101::85
05}26/11
06/01/11
!IOlD
YOCOM INC flEW a. B

T11idi3!3C761 Blct!85
OS/25/11
05/:!.5/11
OlVID~O
UIIS CASH RQR.VI:S FUND AS Of

0),12-'1/ll
MHURC
9194BO
$11.13
_100.50
http://cwv2proxy .cwlh. pwj .com:8080/CICE/activity?formFlag=Y&printAll=l &totRecCou... 6/13/2012
.JE]0047
~Client Inquiry- Activity fo~rf--- 06/U) JJFMb:l3
Entry
Date
Settle
hte
OS/25/11
OS/31/11
SOLD
DS/25/11
05/31/11
SOLD
05/2'1/11
05/26/11
I900GiiT
05/23111
05,123/11
05/20111
0.5/23}\1
05/23/11
t)Wlte)
05/20/lt
DIVIDEND
05/16/11
05/19/11
I:IOlJ(jl-rT'
05/16111
05/16/11
()IVIOENO
05/13/11
OS/18/11
!MXJGHT
05/13/11
OS/18/11
I!IDtiGHT
05/12,111
05/17/11
llOtJGHT
Al:tlvtty
I)IVIOENO
OS/17/11
llOOGHT
05/09/lJ
0.5/09111
CASH DIU~U
0~/06111
05/11/11
[IOUGHT
05/06/U
05/06/11
05/03111
05106/1.1
~')(CHANGE
05/06111
05,103/11
I'J(CHANGE
OIVIOENO
OS/02,/11
,05105111
OOUGHT
05/02/11
05/02,111
llMDEND
05/02/11
05/02,111
llMCNO
001/1!1/ll
04/29/U
fW.ANCf FORWARD
04/29/11
OSJCX'll
~UGHT
04/l9/H
OS/CX'll
0'1/29/U
05/(X/11
$OLD
0~/211{11
04/28,111
O!VlDEflO
!r.i/03/11
SOLD
05/12,111
(X/28,111
01/28/11
05/03/11
SOLD
M/28/11
05/03/1.1
SOLO
M/2.7/11
04/29/ll
CAHCB. SEU.
De.:rfptlol
VlACOM INC NEW CL B
Trade:669J7 Blot:BS
NRG ENERGY INC NEW
Tr.~~et:64470 Slot:B5
GOLDMAN !W:HS GIJJP JNC TIW)E
DATE: 05/23/2011
Tradef:l5791 BII)(:BS
NOOU; 'ENERGY INC PAID Oti 74
IU'ACHE CORP PAID ON 116
UNUJo1 GROUP PAID ON 312
ClSCO SYSTEMS INC
Trlde#:51528 lllot:35
AON CORP PAID~ 197
ClliGROUP INC
Trade#~ 72405 alot:85
CSCO SYSTEMS INC
Trede#:98149 81C1:~85
c:mGRDUP INC
Tra~elll:87027 Blot:B5
CISCO SYSTEMS INC

Tra~d:92633 Blot;SS
CJTIGROUP INC~~ 05/06/11
GOlDMAN SA01S GROtJP INC
Tr.~dd~~SJ?l l!l!i:IIS
Sflllbol/
511rtty
Page 7 oflO
Qut~ntlty
Ty ..
10.000
f50.18l
$501.81
NR.G+45HB7
-<1.000
$H.Ii75
$98.69
GS.1864HI
8.000
$136.745
$1,093,96
Dl\1 7~
DIV 116
DIV 312
$13.3'2.
$17.40
-$638. ~'
NBL291fBS
IU'~29131
UNM-..6345
0.000
0.000
0.000
C!iC0-091430
38.000
$16.1Kl1
AON--023701
0.000
DIV 197
U9.5.5
C2049Z1
a coo
$41.1!118
$335.11
a;aHl!i 14JO
36.000
$16..861
-$60,.01
C-2049Z4
20.000
$41.999
$839.99
I:SC0-091130
2J2.000
$16.862
$3,57...79
0.000
CR.RII294721
$26.?.3
$1~9.985
$599.~
C2049Z4
G5-1864HJ
4.000
2049Z4
C2045U4
1
1
21l3.000
CVS CAREMAAK CIJfUI PAID ON 1n

WEI.Ui fARGO r.. CO NEW
Tndelll:77975 Blct:8S
CVS07JlH1
1
1
JPM241JP2
LNC261S21
PlTNEY~JNC
Trade#:25~29 Blot:85
BAAAlCK GOCD CORP CAO
Trad141:30596 lllatBS
r-"OTOROIA SOlUTIONS INC
Trildef:34546 Bklt:85
MOTOROLII sot.UTlONS INC TRADE DATE:
01/26,12011
Trldef~4'1595
04/29/U
0.000
$21.50
58.000
$'29.107
$J,688.Zl
a.ooo
DIY 129
$32,25
o.aoo
OIV 151
0.000
CiS-"19ii<IH1
4.001l
$149.8~
$599.33
ABX~39G4
16.000
$51.04C
$816.63
PBI-375004
ll.OOO
$24.7BE
$297.45
RT!H917Z4
0.000
DIVn
$33.U
PSI-375004
-10.000
$26.218
$262.17
AHX04J9GII
20.000
$51.561
$1,031.22
MS!038MUC
MOD
$16.09'1
$368.66
lo\5Hl38MUO
18.000
$4'1.2.9'1
$797.28
WFC4971HS
$7.55
$2 432.19
Blot:es
04{26/2011
MS!-038MUO
9 .000
$+4.]2~
$3911.91
Tradel:13307 Blot:I!S
PITNEY BOWes INC
Tradel:36963 lllot:85
MOTOROlA SOLUTIONS INC TRADE DATE:
P81J7SOD4
15.000
$26.070
$391 .05
04/26/2011
MSI-QJIIMUO
1e.ovo
$44.32<!
$797.81
0.000
011/D INCOME
$0.03
MSI-DJSMUO
4.000
$44.173
$176.68
LMT1639C1
-8.000
$711.7~
$629.90
18.000
$11.291
$797.28
05/0~11
SOLD
01/27/11
O't/29/11
SOLD
Trade:~2161
01/26/11
04/26111
DIVIDEND
04/~11
04/28/11
SOLD
0'1/26/11
04/29/11
SOLO
04/26111
04/29}11
SOLO
04/26111
04/29/11
SOLO
04/28}11
$0.00
$0.00
SOLD
04/27/11
01/25/11
$2B.II6
EXOiANGE
Dill 172
-;ul36.000
MOTOROlA SOLUTlO~S INC TAADf DATI::;

04/2.7111
,_nt
VIAB-192604
CrTIGROOP INC
CITIGR.OUP INC
JPMORGAN CHASE &. CO PAI1J Oti 129 ~

OF 04/:Kl/11
UNCOLN 9ji\TL CORP lND PAID 00 151 /IS
OF 05/01/11
8AI.ANCE !'ORWARO
GOLDMAN SACHS GROUP INC
Tr..:le#:llBJO Blot:85
IIARRIOC GOlD CORP CAD
Tt'lldef:04797 Blat:8S
PITNEY BOWES INC
Tl'll<k#: \6708 Blat:SS
RAYTHEON CO NEW PAJD Cf4 77
Prlci/IMIIIII
SOLD
Blot:as
UIIS CASH RESERVES RJNO AS OF
04,125111
MOTOROLA SOLUTIONS INC TRADE OATf:
04J2SI20ll
Trade-:65976 Blot:B5
LOCIGiEED MARTtN CORP
Trede.t :31
Blot:BS
MOTOROlA SOLUTIONS INC
Tredel:44595 Blot:BS
LOfWSCORP
Trlcle#:~0352 llot:B5
rn
lOCKHEED fi4ARTIN CORP

Tradelll~64769
lllct:BS
MMLIRC91C)qi!O
M51-Qlii-1UO
L-261130
14.000
$1].256
$605.57
LMT2~39Cl
15.000
$77.75'1
$1,166.29
http://cwv2proxy.cwlh.pwj.com:8080/CICE/activity?formFlag=Y&printAJl=l&totRecCou... 6/13/2012
sWS 'Z 06/1-;13
JE10047 ~Client Inquiry. Activity for
Dlltll
.....
IHf25/11
04/28{11
SOLO
04/21/11
04/21111
04/21/11
04/21/11
04/21/ll
IIYPASS
BYPASS
FEE OlARGEO
04/:ll/11
04{27/11
SOLD
0'1{21111
04/27/11
SOLO
04/15/11
04120111
BOUGHT
QqflS/11
04115/11
04/11/11
01,10"7/11
<M/11111
IH/07/11
DIVIDfNO
DIVIDEND
OMOEND
D4fW11
04/11111
SOLD
04/05/11
04/08111
SOLO
Entry
04/21/11
s.tclll
AdlwltJ
~lC!!/1l
04(01(11
04101111
04/01/11
04/01111
04101{11
04/01(11
03/31/11
ID410i!11
03/31/11
DIVIDEifD
DMDEND
DMDEHD
FOREIGN DMIBID
BAI.ANCE ~WARD
OS/31111
04/05(11
IIOUGfT'
03130/11
03}30/U
03/30111
03/31/11
03130111
03131111
03/]0,111
03/30f11
DMDENO
OlVIOEI'ID
DIVIDEND
fOOJGN DMOEND
03/29/11
~101/11
SOLD
03/28{11
OJ,/28(11
DIVID~ND
03/WU
03[28,111
FOREIGN DIVIDEND
03/2Bill
03131/11
SOlD
03125/11
03/25/11
OMDEHD
DJ/25/11
OJ/30/11
SOLD
0312-t/11
G3/29/11
sow
03/.23,111
OJ/2.3/11
DIVIDEND
03/27.111
03/25/11
BOUGHT
03/lB/11
03/23/11
IIOOGHT
03117/U
03,122/11
BOUGHT
03115/11
03/18/11
BOUGHT
Ol,/15/11
I 03/15/11
03/15/U
OJ,11S/11
OMOENO
03/14/11
03/17/U
BOUGHT
03/l1/U
03/1-4/11
03114(11
0311"1/11
DIVIDEND
DIVIDEND
03/11/11
03/11(11
DMDfND
03/11/11
ffiREJ.GN DIVIDEND
03/16/11
BOUGtfT
03/1~11
00110/11
DIVIDEND
03/09111
03/14/11
I!OUGHT
0"3(08/11
03/11111
BOUGHT
03/02/11
03{07/11
SOLO
03/01111
Cl3101/11
DlVI~D
~IIf
$tW
DeQptlon
lOEWSCORP
Tr&de,:6031J Bloi::BS
Qua!Wiy Fu
L264JJO
Tn~de~:~206
Bot:ll.S
I.OCICHEED MARTIN OORP
Trllde .. :99252 Bot:8S
G01.DMAN SA01S GROUP INC
T!adel :04554 Blot:8S
OCCIDENTAL PmOLUM au> P~ ON 69
Pl1lUP MORRIS Ilffi. INC PAlO ON
MEII.OC li C:O INC NEW COM PAID ON 126
LCl:WSCORP
iradet:0586B lllot:BS
LOfWSCORP
Trede#:55734 Blot:BS
V!ACOM IHC NEW 0. 8 PAlO ON 319
UNION PACfiC COJUI PN:D ON 60
HARTFORD FINCL SERVICES GROOP INC
CANADIAN NAT RfSOURCES LTO CAD
BAlANCE FORWARD
CJTIGROUPINC
Ttade' :97968 l!lot:85
GClDfolAN SA01S GROUP INC PAID ON 18
HESS CORP PAID ON 53
WElLS FARGO &. CO NEW PAID 00 231
INGfRSOU.-AAND PU: PAID ott 164
PITNEY BOWES INC
Till del :03960 _Biot:85
MOTOROLA MOBILrTY HOlDIHGS

Tradd :0!1938 Blot:BS
MICROSOFT CORP PAlO ON 136
MOTOROlA MOB~ HOLDINGS
Tr1Clet :73557 Blot:IIS
MOTOROLA MOBILITY HOLDINGS
Trildet :08070 Blot:85
~NINC
Tnltlei:~66S
lllot18S
WELLS FARGO ~CO NEW PAID ON 231
obolnt
-4.000
$43.173
$172.68
o.ooo
feeOIII~
0.000
Fee O!argecl
om
Fee Charged
-12.000
$43.240
$518.87
LMT-2tiJ9Cl
-8.000
$71.701
$621.6'1
G5-1864Hl
4.000
$15q_98f
-$619.9'1
OXV-346497
0.000
0.000
DlV61
DlV77
fll-74
PM-364PM6
MRK-2837Z7
1
1
0.000
DlVU6
~7.81!
L-264130
-4.01lll
$43.ti31
$17~.52
L-264130
22.000
$43.630
$959.84
VJAB-492604
UNP--469106
HIG-19BSE4
c.aoo
o.ooo
$47.85:
~0074331
01V319
DIV60
OIV238
!M206
$~9.21
$22.8C
$2JA!!
0.000
0.000
0.000
C204SU4
'135.000
$4.420
$1,922.70
GS-1864H1
HES-21l8BR9
0.000
1
1
0.1100
0.000
$6.30
$16.17
0.000
DIV 19
DIVSJ
DIV 231
DVF 164
22.000
t25.202
$554.~4
WFC-4971HS
IR215E80
PBI-37004
MMllRC
gt!I'IBO
0 25 11
ANGLOOOLD .I3Wfl1 LlD NEW SPON ADR AlJ-02S71!0
PtfNfY BOWES INC
PSI-375004
TriiCid :261196 Blot: liS
LOCXHEED MARTIN CORP PAlO ON '11
LMT2ti39Cl
PITHt'l I!OINfS lNC
P8137S001
Tr1de-:~~579 Blot:BS
UUON PAOFlC CORP
UNIY69106
TrBde#:77992 Blot:BS
tWUBUR'Tt> C:O{HOLDING COI'4PANY)
HAL191HG3
NiEN INC
AMGN-o23825
TrBdd:2lS611 Slat:BS
AMGEN INC
AMGI'Hl23825
Tradd:86067 Blot:8.5
GOLDMAN SACHS GROUP !NC
G5-18~Hl
Tnu:le1:7310S Blot:SS
MOTOROlA MC&Lil'r' HOLDINGS
MMH)3fni5
Tr1idef:BSS66 Blot:85
TlME WARNER INC NI:W PAlO ON 1g3
lWX~587M1
BARIUCK GOL.D CORP CAD PAID ON 26.11
AIIX0439G4
MOTOROlA MOBIUTY HOLDINGS
MMI038THS
Trade#;13671 Blot:85
l264130
LOEWS CORP PAlO OH 2~
CA INC PAID ON 659
CA~IIS5
P~~ BOWES INC PAlO ON 323 AS OF
Prlei/IGGI
L-264130
~~ ~H RESERVES F\JNO liS OF
03/1 11
Type Q...mltJ
$1,-473.3'1
$1,473.34
$1 473,34
IQuartutr Ft"
IQUARTfRI.Y fff
LOEWSCORP
Page 8 oflO
$19.18
$352.24
$6.30
$11.~
0.000
DIVD INCOME
$0.04
O.DOO
DW281J
pJ,gB
-14.000
$2.5.160
$352.21
o.aoc
DIV97
$72.75:
58.000
$25.080
$1,705.46
6.000
~5.351
f512,09
0.000
Dll/74
$6.66
18.000
$52.809
$950.58
H.OOO
$52.875
$7~0."1.6
9.000
$15-4.ti21
$1,3'31.59
36.000
$23.872
$859!tl
0.000
0.000
DlY 193
DVF 268
$45.36
$32.16
52.000
$24.734
$1 .2e~.19
1
I
0.000
OIV 2~4
DIV6S9
$15.25
$26.36
o.ooo
zs.ooo
owm
,119.51
$21.:3.32
$681.32
0.000
Pllll75004
MMI-031mi5
MSFT-2m!90
0.000
DIY 136
$21.76
MMI-038Tti5
32.000
$26.733
$855.16
MHI-0311Tlt5
16.000
$26.7go
-$428.65
AMGN-<l23825
20.000
$51.575
-$1.3~0.93
WFC~971H5
0.000
DIV 231
$11.55
http://cwv2proxy .cwlh.pwj .com:8080/CICE/activity?formFlag=Y&printAll=l&totRecCou... 6/13/2012
- ...... ------- - --
------
.J~)Q047- Client Inquiry~ Activity f o r - 06/1~:13

l!llbf
Dabl
s.ttll
IMta
03}01/11
DMOENO
02128/ll
03/01}11
03)01/11
02/28/11
02/28111
03/03/ll
SOLO
02/2SJJ1
03,102jll
SOlD
0~/25Jll
OJ/02/11
SOLD
02124n1
03,101/11
SOLD
02/23/!1
02/28/11
BOUGHT
OJ/01/11
DQc:rtptlon
Activity
DIVID~D
BALANCt" FORWARD
Trpe
QUM!IIty
Prlcl/o.ll
AIIIOin
$1SO.OC
D.DI)(J
l
1
0.000
KR2Sl301
10.000
$22.818
$228.71
f*364~
-2~.000
$62.238
.U,<I93.7~
KR-25230 1
1.2.000
$22.941
$215.28
KR-252301
-12.000
$23.19~
U78.32
GI+0861Z3
4.000
$35.494
-$141.98
0.000
DNDINCOMf
,0.01
-18.000
$23.100
$415.81
GM-QII61Z3
lB. DOD
$35.662
$&U.92
NBL-l!llFBS
""Ml29131
0.000
0.000
D1V7-4
DlV 116
$17.40
KR-~301
-:n.ooo
$11141
$743.10
UNM-4863'15
0.000
DIV 312
$26.86
Tndet;7J386 Blot:85
GM-OB61Z3
14.000
$l6.01l
$501.19
~N
AON-013701
1
1
o.ooo
RTN3917Z4
0.000
DJV 19
ON n
$29.55
$28.88
I(MB-247600
-11.000
$65.012
$7lS.L2
KMIH47ti00
9.000
$64.980
$584.1l0
KM8-247600
11.000
$64.945
$714.38
KM5-21p7600
-9.000
$64.975
$584. ~
CV5-0731Hl
88.000
$32.622
$2,87o.n
GM-086113
14.000
$35.S59
-f497.8~
IO>IB2~7600
-18.000
$64.841
$1,167.12
ICMII-247MO
-9.000
$6~.980
$S84.el
cvs-o?J lH1
0.000
0.000
DIV84
OlV 151
$10.50
JPM-21!JP2
1
1
1
0.000
DIVI29
$6.45
CAQ6BBS5
36.000
$D.337
$&'1(1.13
0.000
ONDlNCOME
$0.03
0.000
0.000
Fee Olarged
FteO\Iroed
'l
o.ooo
FaCMrgtd
$1 381.34
$1,381.31
-$1 381.34
-lU\00
$64.117
SB97.6l
1.000
$41-968
$179.87
0.000
D!V69
$26.22
12.000
$44.106
-$529.2.11
~.000
$44.621
-$1,784.81
PAZER INC PAJD ON 750

ICROGfR. COMPANY PAID ON 190
BAI.ANCE FORWARD
KROGER COMPANY
T~el:92696 l!lot:BS
PHIU1' MORRIS INll. INC
Trade :897<4<1 l!lot:BS
KROGER roMPANY
Tm:l1lf :00353
~:85
KROGER CD~PAHY
Trldttl :76JlS Blot:BS
GENERAL MOTOIIS CO
Trade#:92641 Bklt:85
U8S CASH RESEIMS RJNO AS Of
02/22/ll
~Qt(J(&R COMPANY
Tra!le1:93717 Blot:85
GBiERAL MOTORS CO
Tradel:l6714 alot:85
Noet.f I!NERGY liiC PAID ON 74
N'ACJiE CDRP PAlO ON 1l6
02/23/H
02/23{11
OlVIDENO
0'2/23/U
02/28/11
SOLD
0'2/22{H
02/25/11
IIOUGHT
0'2/2.1./11
02{22/ll
01/22/11
02/2?,/11
OMDEtlO
DlVlOBIO
02122/!1
02/2Sill
SOlD
02/UVil
02/18/11
DIVICC:ND
02{15/ll
02/ll!/11
IIOIJGHT
021-15/U
02/15/11
02/10/11
02/10/11
DIVIDEND
DIVIDEND
02,108111
02/11/11
Sl)l0
C11/07/11
02/0B,IU
CANCflSEI.l.
O'l/07/ll
02/10/ll
SOLD
O'l./07/11
02/08111
SOLD
0210'!/11
02/09/11
BOUGHT
0210<1/11
02/08,/ll
BOJGtfT
02101111
02/09/11
SOLD
02/03,111
02,/08/11
SOlD
02/02/H
Dl\IIDEND
01/28,111
01/02/11
0'2/01/11
01{31/11
DIVIDBID
DMOft/0
01/26,111
01/31/11
BOUGHT
OtOii/11
01/1.6111
DlVlOCNO
01{21/11
01/24/11
BYPASS
TrDdel:73413 Blat:BS
CVS CAREMARIC COIU' PAID ON &4
UNCD.N No\Tl CORP IM> PAID ON 151
JPfo!OAGAN CHASf II. CO PAlO ON 129
CA INC
Tradci:041-41 Blat:85
UBS CASH RESERVES ~UNO AS OF
Ol/25Jll
. QUI rteriY Fee
01/21/11
01/2.../11
01/24/11
rrtPASS
,Qua~r1yFee
01[24/lt
FEEOiARGEO
01{21/ll
01/26/11
SOLO
02101/11
Sylllbol/
Security-
Page 9 oflO
~~RCOMPANY
Trldel:13743 Blot:BS
UNUM GROUP PAID ON 312:
GENERAL MOTORS CO
CORP PAID ON ~97
RAYTHEON CO I'EtN IWD OH 77
K1M&EIU.Y a.ARK CQUI
Tro~~delll:46904
Blct:a!i
KIMBERLY a.ARK CQU>llW)E DATE:

02,103{20\ I
Tra~el :73113 Blot:BS
KIMBERLY CLARIC CORP
TrBde#:57513 Blot:B5
KIMBERLY CLARJ< CORP lRAOE OAlf:
02/03/2011
Trade.t:.59808 81ot:8S
CIIS CAREMARK CORP
Tn!del:-18233 81ot:85
G~ERAL MOTORS
PfE-370011
ICR-152301
MMURC919180
ICR-252301
o.coo
00 TRADE DATE:
02/03/2011
Tride1:08653 Blct:8S
I<II"SERLY Cl.AAK CORP
Trade#:S6~2
lllat:85
KIMBERLY a.AAK CXliiP
0\.IARTI:RlY FEf
KIMBERlY CLARJ( CORP
Tradel :70128 Blal:85
LNC-261521
MMURC
919~80
F
I<MII-247600
ON 7.50
DlV 190
$19.9)
~2?3.83
tl3.)2
~7.55
ANGlOGOlD ASko\NTI LTD NEW SPON NlR

01{18/11
01{21/11
BOUGHT
IU/18/11
01/18/11
DIVIDEND
01{14/11
01/20/11
BOUGHT
01{14/11
01/19/11
BOUGHT
AU-028700
T1111d&# :<11l02 Bloi:BS
OCOOfNTI\l PfTROLfUM CRP PAlO ON 69
OXY-346~97
AS 0Hl1/l5(l1
ANGLOGOLD ASHAml LTO NEW SPOH ADR
AU-028180
Trade" :81538 Blai:B5
ANGI.OGOLO ASHANTl LTD NEW SPON AI>R
TIVDE OA~: 01/13/2011
AU02B7BO
Tr~de" :08158 Blot: 55
http://cwv2proxy .cwlh. pwj.com: 8080/CICEiactivity?formFiag""Y&printAll=l &totR.ecCou... 611312012
JE10047- Client Inquiry- Activity f o r - - - 06/11 !!?

Inti'
Settle
DRill
Dilh
01/1"'1/U
D1J19/U
SOLO
Dl/11/U
01{13/11
BOUOHT
01/11/11
01/13/11
SOLD
Ol/10/11
01/10/11
DIIIIDENO
01/07/11
Dl/07/11
CASHIN UEU
Ol/D711l
Dl/07/11
CA!ItiN UEU
01/07/11
01107/11
OIVIO~O
01/07(11
01/12/11
SOLD
OVC6111
01/11/11
SOLO
OJJ04/ll
01/(M/11
DlVIDBID
01/04,111
Dl/04/11
EX01ANG~
01/IH/11
01/04/ll
EXCHANG!!
01/IM/11
01/(H/U
fOREIGN DIVIDEND
Ot/D'IJU
OI/031U
01/03/11
01101/11
SPIN OFF
OlJOJ/11
OMDENO
01/011
DMDENO
01/03/11
01,'03(11
DIVIDEND
01/03/11
DMDEND
01/03111
Adlwtty
'IJ':13
lylllbal/
S.O..rltylJ
DUI:rlfltiDII
fo10TOR0t.A MOBILOY HOlDINGSTRADt
DATE: Ol/13/2011
Tr1dii:Ot\~ Blot:BS
ANGLOOOW ASHANTI LTD NEW SI'Cfl ADR
TRPDE DATE: 01/10/2011
T!li1el:71l34 llot:BS
MOTOROlA lo10111l.CIY HOLDINGS TRAOf
DATI:: 01/10/2011
Trtdei:7DZ57 lllot:IIS
PHIUP MORRIS INTt INC PAID ON 101
MOTOROLA M081UTY HOLDINGS AS OF
01/04/11 TRADE DAlE: Dl/D4/2011
MOTOROI.ASOL.UllONS INC.-s OF
01/04111
MER.O< CO INC N~ OOM PAID ON 208
MOTOROlA MOBILm' HOLDINGS
Tradel:84726 llot:85
MOTllRCU loroBIIJTV HOLDINGS
Trade.f:32792 81ot:85
KIMIIERLY OARK COftf PAl D 00 63
MOTOR.Cl.A INC RMRSE SPUT EFF:
01/2.011"'"'
MOTDRIU SOUJTIONS INC
CNIADIAN NAT RESOURCES LTD CAD AS
OF 01/01/11
MOTOII(lA MOen.rTY HOLDINGS
UNION PACFIC (X)RP PAlO ON 60
HAR1fORO FINO. SERVICS GROUP INC
CBS CORP N~ Q. B PAID ON 185 PS Of
01/01/11
HESS CORP PAID ON 63
Type
qualltlty
llrial/a.tall
Am au lit
MMlD31m15
.je.ooo
1)2.992
$593.85
AU-{128780
6.000
f11.571
$267.45
MMI-038TH5
""'1.000
$l2.78'J
$131.15
PM3&4PM6
0.000
OlV 101
.~...6..
........~5
0.000
CILAQJQ19388
$16.51
MSID31lMUD
0.000
C!IA10073'138
$11.12
MRJC2B37Z7
O.Dll!l
DIV 2118
$79.0'1
MMI-ollmi5
38.000
$31063
$1,256.38
MMI..(I31JT115
14.000
$33.060
$462.83
ICHS247600
0.000
DIV63
$41.56
1239
-1,668.000
EXCHANGE'
$0.00
2311.000
EXCHANGe
$0.00
$15.4S
MSID38MUO
O.Q-074331
0.000
DVF206
MMIOJIJTH5
208.()00
~P.Cil04n3S
$0.00
UNP-469106
011160
OIV 238
$22.80
HIG-Jg&8~
0.000
0.000
CBS--06JIMO
o.ooo
D1V 1H5
~.25
HES.208BR9
0.000
DIV63
$6.30
$11.90
2 Dl~ayed l511n IICidlllllNIJ lrllnsadlon, the above bank aud activity IS debill!d from your attC~Jnt an the 25th f1f each month, assuming this dn! 15 a IJ.Jslnl!!ls
dey.Od1erw!R, II; Is debited 1\'om !lOUr ac:count on 1111 fol!owlno bUJinus oay.
'
lncraday updal!s for EqllltY, F~ Income ilnd Hub.lil fund Irides, and somt cash en!) seoalty tramractloru are Included an appriiXiiTIItely a iQ mlnutll
Clf.fiV.COIM'II~n IDg !! fllr :lulrt lr~ 1m l:S!m!lt. 1ne1 m!r: ~ot l!!lt!ll!!t!lt ~ ~~rg~~ !I! Ills llmi!Dt. Fillecl Inmme aQenty trades mBiinot lndude
commission and tees. Nuruol Ftmd trie.! .-e n!ftected folloP.Wig ptloe oonl\11111tl0n l'rUIII t11e Mid company or tJensl'er agent. Mutual Fund dir!CI: buslne!IS, MuM I
Fund tn~lll'li!r~,. sorM trlde mrrectlons and 10me lles ~~ r lndudecl lntradev.
Thl5 r~IICirt 151'or lrtorlllllloNI purpos:u.only lind may or may not In dude all holdings or tllent ao;;ourtt Allllltor111111:1on proenll!d Is SIA!je<t trJ dllnglll: eny tim~
and IS provtded an~ of 1111 d~te lndie.atll<l. The Arm's pt~od!c aca~unt attrnents end ofl1clal tal( doam~ents are the cnty amc;ial remrd f1f dient accounts end are
not 511persedl!d, reple~, or 1mended bv eny cA the lnfllrll'lllllan pre!ll!nted In these reports. CJients should not rely on this lnformallon In making p~ase or Sill
decislonl, form pu-poses or otherwise.
http://cwv2proxy .cwlh. pwj .com: 808 0/CICE/activity?formFlag=Y &printAll=l &totRecCou.. , 6/13/201 2
- - - --- . ..
______ _
Richard A. Berg
Schedule VIII - Positions
Attachment
Partner in Partnerships
Member in LLCs (Limited Liability Companies)
Goldmark Schlossman VC Partnership, LLP

INRElT Properties, LLLP
Marelius Apartments
Summitt Partners LLP
Braaten Apartments, LLP
SG FiveLLP
Jimberg Partners LLP
Westwind Properties LLP
Westwind Properties II, LLP
Wheelberg Partners LLP
Fay Land Partners, LLP
Farm House Partners
High Point Partners LLP
Red Gate Apartments LLP
Kenwood-Rosewood Apartments LLP
1520 Partners LLP
Ag Foundation Building LLP
Old Abe Capital, LLP
Skyv iew Partners LLP
Amber Holdings LLP
JJR Properties LLP
714 Partners LLP
Bauer Private Equity Fund III
Bauer Private Equity Fund IV
Big Bend Development, LLP
Cow Share LLP
Camping Adventures, LLP
Old Abe Two Capital
TnteJiigent lnSites, LLC

Ntractive, LLC
Dacotah Cattle Growers, LLC
Renaissance Ventures, LLC
TAG,LLC
Case Plaza LLC
TFRE,LLC
Toasted Frog WestLLC
U:\clients\90470\!ax\2011\[S~lledule
VIII Po~ltions Attacl1menc.xls]Sheetl

Rick Berg's 2011 Personal Financial Disclosure Form

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HAND DELIVERED

UNITED STATES HOUSE OF REPRESENTATIVES

CALENDAR YEAR 2011 FINANCIAL DISCLOSURE STATEMENT

Richard A (Rick) Berg

~.Annual (May 15)

(Office Uae Only)

A UOO penalty ahaD

PRELIMINARY JNFORMATION- ANSWER EACH OF THESE QUESTIONS

II y, co"'fflettland attach SeM<IUio 1.

- - szoo Is tbo ...,......ng fii'IDd 0111Cid...,. ,...... , . - -

~~~-fOlio 'OOI'IpGUH, ot dopo'ldt~l dlllcf

,.....I\..I, 1011, .... -hal!gO I Ill

Yta li( No r::::J

~';':,'oom,.._ and Mtach Schedule rv.

Dlclro<~, your.,;;ii.io, oriidopoodonl chN"""anrroporUbt. ..blllly

VI, flit NPOIUIO piiiGd

lfy, ~end - c h Schedule H.

"'""'then ft,OOO at tbo tnd Of tilt plllod7

Gilt YQV, y - epo~~ uo,...llont ohlld .....,.., Ani' ropool&l>lo gill m

r-. campi.W and llttach Sdledu'* VI.

If Y compr.w ..cr lllaeh Sct.tdur. VII.

conpl.te 1111<1 IIIIIch SclltcluleiX.

Each qu1etlon In tflls p;~rt must be an.wered and the 1pprop~

lr Y.. _,lllett 11'<1 attt.m SCMdu'* v.

R!cnard A. (Rick) Berg

U.t the ~urce, t)lpt, 1111d amount o1 eM'Md Income from

lndep-mdent Family Doctors, Ltd.

House of Rep. Salary

-Cattle Ranch- Oliver County. ND - -- - -

Spouse Cattle Ranch

SCHEDULE Ill ASSETS AND "UNEARNED" INCOME

"-t and/or Income Source

ldNIIify (a) .-oh -~~ held for lnwllmenl ar produc:clon of In-..,..,

Chckll col...,.,. lhM

For redrement ... counta t1111t

othtrlhan fair mllbl

ForalfiRAa .nd Dtl!et' .........,_,,pia.,. (euch M '111(k) JIIM) lh&Ure

PI'OIIIde aompletlo N l - of atock8 aiiCI mutu&l f...a (do not ueetJcaor

Namct Richard A- (Rid() Berg

lhe .....hod ...d. If Dll

the V.IIM 1howlcl be

IRAI). VOU 1MY

cheak the "Mont

.... n llrei11Y81ttd, muet

during the reporting

appr<>prtale ...... ....,,

Olvldellda, lntaN.., .w1

For an -nrWIIp lrtt-ln prlvii!Myonlld bullln... thltla not

Residential Land- Washbum,

Independent Family Doctors,

SCHEDULE Ill ASSETS AND "UNEARNED" INCOME

Name Rlchanl A. (Rick) Berg

Gold mark Schlossman VC

-111telllgent lnSttes, LLC

Dacotah Cattle Grower& LLC

College Save Seetlon 529 PlanGrowth Portfolio

Loans to Jay Braaten-Fa~go,

~-ioans to Jeooe Crai,-Faogo:

- Loans to Wes~ind Propertiesr-- ____ , F'rgo, NO

-j- ~: g. #3-Moorhea~, ~-~ -

_ - -- - - - - - - - - ------ _