CURTIS W MCGRAW FOUNDATION: Form 990PF, tax year 2011

View the entire original 990 at ProPublica ↗

Organization: CURTIS W MCGRAW FOUNDATION (EIN 22-1761678)
Tax period: 2011-01-01 to 2011-12-31
Filed: 2012-05-10
IRS object ID: 201211319349101076
Schema version: 2011v1.2
Source: Download XML · Original 990 at ProPublica

Every field in the e-filed return. Faint text is the IRS element name, for citing.

Return header
Form 990-PF
Accounting Fees Schedule
All Oth Prog Rltd Investments Sch
Depreciation Schedule
Investments Corp Bonds Schedule
Investments Corp Stock Schedule
Investments Govt Obligations Sch
Investments Other Schedule2
Land Etc Schedule2
Legal Fees Schedule
Other Expenses Schedule
Other Professional Fees Schedule
Taxes Schedule

Return header ReturnHeader

Field	Value	IRS element (for citing)
Timestamp	2012-05-10T13:51:33-04:00	Timestamp
Tax Period End Date	2011-12-31	TaxPeriodEndDate

Preparer Firm PreparerFirm

Preparer Firm Business Name PreparerFirmBusinessName

Field	Value	IRS element (for citing)
Business Name Line1	Rockefeller & Co Inc	BusinessNameLine1

Preparer Firm US Address PreparerFirmUSAddress

Field	Value	IRS element (for citing)
Address Line1	30 Rockefeller Pl - Rm 5600	AddressLine1
City	New York	City
State	NY	State
ZIP Code	10112	ZIPCode

Field	Value	IRS element (for citing)
Return Type	990PF	ReturnType
Tax Period Begin Date	2011-01-01	TaxPeriodBeginDate

Filer Filer

Field	Value	IRS element (for citing)
EIN	221761678	EIN

Name Name

Field	Value	IRS element (for citing)
Business Name Line1	THE CURTIS W MCGRAW FOUNDATION	BusinessNameLine1

Field	Value	IRS element (for citing)
In Care Of Name	% ROCKEFELLER & CO	InCareOfName
Name Control	CURT	NameControl

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	C/O ROCKEFELLER CO	AddressLine1
Address Line2	30 ROCKEFELLER PLAZA	AddressLine2
City	NEW YORK	City
State	NY	State
ZIP Code	10112	ZIPCode

Officer Officer

Field	Value	IRS element (for citing)
Name	SAMUEL W LAMBERT III	Name
Title	SECRETARY-TREASURER	Title
Date Signed	2012-05-10	DateSigned
Authorize Third Party	true	AuthorizeThirdParty

Preparer Preparer

Field	Value	IRS element (for citing)
Phone	2125495100	Phone

Field	Value	IRS element (for citing)
Tax Year	2011	TaxYear
Build TS	2016-02-24 21:20:13Z	BuildTS

Form 990-PF IRS990PF

Field	Value	IRS element (for citing)
Exempt PF	X	ExemptPF
FMV Assets EOY	20068023	FMVAssetsEOY
Method Of Accounting Cash	X	MethodOfAccountingCash

Analysis Of Revenue And Expenses AnalysisOfRevenueAndExpenses

Field	Value	IRS element (for citing)
Contri Received Rev And Expnss	0	ContriReceivedRevAndExpnss
Not Required To Attach Schedule B	X	NotRequiredToAttachScheduleB
Interest On Savings Rev And Expnss	198003	InterestOnSavingsRevAndExpnss
Interest On Savings Net Invst Incm	198003	InterestOnSavingsNetInvstIncm
Dividends Rev And Expnss	290412	DividendsRevAndExpnss
Dividends Net Invst Incm	290412	DividendsNetInvstIncm
Net Gain Sale Assets Rev And Expnss	770644	NetGainSaleAssetsRevAndExpnss
Gross Sales Price	11406579	GrossSalesPrice
Capital Gain Net Incm Net Invst Incm	770644	CapitalGainNetIncmNetInvstIncm
Total Revenue And Expenses	1259059	TotalRevenueAndExpenses
Total Net Investment Income	1259059	TotalNetInvestmentIncome
Comp Ofcr Dir Trst Rev And Expnss	0	CompOfcrDirTrstRevAndExpnss
Legal Fees Rev And Expnss	12115	LegalFeesRevAndExpnss
Legal Fees Net Invst Incm	8077	LegalFeesNetInvstIncm
Legal Fees Adj Net Incm	0	LegalFeesAdjNetIncm
Legal Fees Dsbrs Chrtbl Prps	4038	LegalFeesDsbrsChrtblPrps
Accounting Fees Rev And Expnss	15400	AccountingFeesRevAndExpnss
Accounting Fees Net Invst Incm	10267	AccountingFeesNetInvstIncm
Accounting Fees Adj Net Incm	0	AccountingFeesAdjNetIncm
Accounting Fees Dsbrs Chrtbl Prps	5133	AccountingFeesDsbrsChrtblPrps
Other Prof Fees Rev And Expnss	116495	OtherProfFeesRevAndExpnss
Other Prof Fees Net Invst Incm	116495	OtherProfFeesNetInvstIncm
Taxes Rev And Expnss	29563	TaxesRevAndExpnss
Taxes Net Invst Incm	21563	TaxesNetInvstIncm
Other Expenses Rev And Expnss	37867	OtherExpensesRevAndExpnss
Other Expenses Net Invst Incm	35337	OtherExpensesNetInvstIncm
Other Expenses Dsbrs Chrtbl Prps	2530	OtherExpensesDsbrsChrtblPrps
Tot Opr Expenses Rev And Expnss	211440	TotOprExpensesRevAndExpnss
Tot Opr Expenses Net Invst Incm	191739	TotOprExpensesNetInvstIncm
Tot Opr Expenses Adj Net Incm	0	TotOprExpensesAdjNetIncm
Tot Opr Expenses Dsbrs Chrtbl Prps	11701	TotOprExpensesDsbrsChrtblPrps
Contri Gifts Paid Rev And Expnss	1121540	ContriGiftsPaidRevAndExpnss
Contri Gifts Paid Dsbrs Chrtbl Prps	1121540	ContriGiftsPaidDsbrsChrtblPrps
Total Expenses Rev And Expnss	1332980	TotalExpensesRevAndExpnss
Total Expenses Net Invst Incm	191739	TotalExpensesNetInvstIncm
Total Expenses Adj Net Incm	0	TotalExpensesAdjNetIncm
Total Expenses Dsbrs Chrtbl Prps	1133241	TotalExpensesDsbrsChrtblPrps
Excess Of Revenue Over Expenses	-73921	ExcessOfRevenueOverExpenses
Net Investment Income	1067320	NetInvestmentIncome

Balance Sheets BalanceSheets

Field	Value	IRS element (for citing)
Cash BOY	329916	CashBOY
Cash EOY	220024	CashEOY
Cash EOYFMV	220024	CashEOYFMV
Accounts Receivable	31381	AccountsReceivable
Accounts Receivable BOY	20042	AccountsReceivableBOY
Accounts Receivable EOY	31381	AccountsReceivableEOY
Accounts Receivable EOYFMV	31381	AccountsReceivableEOYFMV
Investments Govt Oblig BOY	1466842	InvestmentsGovtObligBOY
Investments Govt Oblig EOY	2437291	InvestmentsGovtObligEOY
Investments Govt Oblig EOYFMV	2476993	InvestmentsGovtObligEOYFMV
Investments Corp Stock BOY	10143468	InvestmentsCorpStockBOY
Investments Corp Stock EOY	9888695	InvestmentsCorpStockEOY
Investments Corp Stock EOYFMV	11717680	InvestmentsCorpStockEOYFMV
Investments Corp Bonds BOY	3661340	InvestmentsCorpBondsBOY
Investments Corp Bonds EOY	3419362	InvestmentsCorpBondsEOY
Investments Corp Bonds EOYFMV	3520167	InvestmentsCorpBondsEOYFMV
Investments Other BOY	1346290	InvestmentsOtherBOY
Investments Other EOY	897224	InvestmentsOtherEOY
Investments Other EOYFMV	2101778	InvestmentsOtherEOYFMV
Total Assets BOY	16967898	TotalAssetsBOY
Total Assets EOY	16893977	TotalAssetsEOY
Total Assets EOYFMV	20068023	TotalAssetsEOYFMV
Accounts Payable BOY	0	AccountsPayableBOY
Total Liabilities BOY	0	TotalLiabilitiesBOY
Total Liabilities EOY	0	TotalLiabilitiesEOY
Org That Do Not Follow SFAS117	X	OrgThatDoNotFollowSFAS117
Capital Stock BOY	16967898	CapitalStockBOY
Capital Stock EOY	16893977	CapitalStockEOY
Retained Earnings BOY	0	RetainedEarningsBOY
Retained Earnings EOY	0	RetainedEarningsEOY
Total Net Assets BOY	16967898	TotalNetAssetsBOY
Total Net Assets EOY	16893977	TotalNetAssetsEOY
Total Liabilities Net Assets BOY	16967898	TotalLiabilitiesNetAssetsBOY
Total Liabilities Net Assets EOY	16893977	TotalLiabilitiesNetAssetsEOY

Changes In Net Assets Fund Balances ChangesInNetAssetsFundBalances

Field	Value	IRS element (for citing)
Total Net Assets Fund Balances BOY	16967898	TotalNetAssetsFundBalancesBOY
Excess Of Revenue Over Expenses	-73921	ExcessOfRevenueOverExpenses
Subtotal	16893977	Subtotal
Total Net Assets Fund Balances EOY	16893977	TotalNetAssetsFundBalancesEOY

Capital Gains And Losses CapitalGainsAndLosses

Capital Gains And Losses Info CapitalGainsAndLossesInfo (361 entries)

Description Of AssetDescriptionOfAsset	How AcquiredHowAcquired	Date SoldDateSold	Gross Sales PriceGrossSalesPrice	Gain Or LossGainOrLoss	Gains Minus Excess Or LossesGainsMinusExcessOrLosses	Date AcquiredDateAcquired	Cost Or Other BasisCostOrOtherBasis
MERRILL LYNCH SEC LITIGATION	P	2011-09-14	126	126	126
DORAL FINANCIAL SECURITIES LITIGATION	P	2011-01-04	2497	2497	2497
CENDANT CORP. SECURITIES LITIGATION	P	2011-12-22	834	834	834
F/X LOSS - ST	P		1770	1770	1770
100 SH. ADVANCE AUTO PARTS, INC.	P	2011-11-11	7062	1211	1211	2011-07-01	5851
20 SH. ADVANCE AUTO PARTS, INC.	P	2011-11-15	1373	203	203	2011-07-01	1170
120 SH. AERCAP HOLDINGS NV	P	2011-03-21	1581	-136	-136	2010-05-03	1717
430 SH. AERCAP HOLDINGS NV	P	2011-03-22	5535	-619	-619	2010-05-03	6154
890 SH. AERCAP HOLDINGS NV	P	2011-03-23	11362	-1100	-1100	2010-04-29	12462
410 SH. AERCAP HOLDINGS NV	P	2011-03-23	5234	-633	-633	2010-05-03	5867
330 SH. AERCAP HOLDINGS NV	P	2011-03-24	4281	-340	-340	2010-04-29	4621
100 SH. AERCAP HOLDINGS NV	P	2011-03-25	1318	-82	-82	2010-04-27	1400
390 SH. AERCAP HOLDINGS NV	P	2011-03-25	5140	-321	-321	2010-04-29	5461
390 SH. AERCAP HOLDINGS NV	P	2011-03-28	5088	-373	-373	2010-04-27	5461
160 SH. AERCAP HOLDINGS NV	P	2011-03-29	2045	-195	-195	2010-04-27	2240
360 SH. AERCAP HOLDINGS NV	P	2011-03-29	4600	-431	-431	2010-04-28	5031
610 SH. AERCAP HOLDINGS NV	P	2011-03-30	7685	-840	-840	2010-04-28	8525
400 SH. AERCAP HOLDINGS NV	P	2011-03-30	5040	-543	-543	2010-04-30	5583
400 SH. AERCAP HOLDINGS NV	P	2011-03-31	5030	-553	-553	2010-04-30	5583
150 SH. AERCAP HOLDINGS NV	P	2011-03-31	1886	-171	-171	2010-05-05	2057
80 SH. AERCAP HOLDINGS NV	P	2011-04-01	1008	-80	-80	2010-04-29	1088
270 SH. AERCAP HOLDINGS NV	P	2011-04-01	3401	-301	-301	2010-05-05	3702
910 SH. AERCAP HOLDINGS NV	P	2011-04-04	11305	-1071	-1071	2010-04-29	12376
300 SH. AERCAP HOLDINGS NV	P	2011-04-05	3737	-343	-343	2010-04-29	4080
300 SH. AFLAC, INC.	P	2011-11-11	13381	1012	1012	2011-10-12	12369
340 SH. AFLAC, INC.	P	2011-11-15	15004	985	985	2011-10-12	14019
30 SH. ALEXION PHARMACEUTICALS, INC.	P	2011-11-11	1930	515	515	2011-07-01	1415
190 SH. ALLSTATE CORPORATION	P	2011-11-11	5035	-790	-790	2011-07-01	5825
10 SH. ALLSTATE CORPORATION	P	2011-11-15	265	-42	-42	2011-07-01	307
100 SH. ANADARKO PETROLEUM CORPORATION	P	2011-11-11	8087	429	429	2011-07-01	7658
110 SH. APACHE CORPORATION	P	2011-11-11	11435	-2067	-2067	2011-07-01	13502
40 SH. APPLE INC.	P	2011-11-11	15387	1961	1961	2011-07-01	13426
10 SH. APPLE INC.	P	2011-11-15	3879	522	522	2011-07-01	3357
160 SH. BAKER HUGHES INCORPORATED	P	2011-11-11	9372	-2147	-2147	2011-07-01	11519
10 SH. BAKER HUGHES INCORPORATED	P	2011-11-15	575	-145	-145	2011-07-01	720
650 SH. BANK OF AMERICA CORPORATION	P	2011-08-10	4469	-2681	-2681	2011-07-01	7150
150 SH. BNP PARIBAS	P	2011-08-04	8618	-3047	-3047	2011-07-01	11665
50000 SH. BOA CO 5.625% 10/14/16	P	2011-11-10	49015	-2024	-2024	2011-09-09	51039
50000 SH. BOFA CORP NOTES 7.375% 5/15/14	P	2011-09-09	53945	382	382	2011-08-11	53563
120 SH. BOSKALIS WESTMINSTER - CVA	P	2011-11-14	4244	-1499	-1499	2011-07-01	5743
50000 SH. CAMPBELL SOUP CO 3.05% 7/15/17	P	2011-09-26	52572	420	420	2011-07-25	52152
240 SH. CAREFUSION CORPORATION	P	2011-11-11	5925	-631	-631	2011-07-01	6556
40 SH. CAREFUSION CORPORATION	P	2011-11-15	994	-99	-99	2011-07-01	1093
220 SH. CENTRICA PLC	P	2011-11-14	1063	-51	-51	2011-05-10	1114
1650 SH. CENTRICA PLC	P	2011-11-14	7972	-703	-703	2011-07-01	8675
4110 SH. CENTRICA PLC	P	2011-11-16	19456	-1348	-1348	2011-05-10	20804
90 SH. CHEVRON CORPORATION	P	2011-11-11	9622	373	373	2011-07-01	9249
6000 SH. CHINA AGRI-INDUSTRIES HOLDINGS	P	2011-11-16	4853	-2700	-2700	2010-11-24	7553
2000 SH. CHINA HIGH SPEED TRANSMISSION	P	2011-03-22	3121	-1154	-1154	2010-03-22	4275
120 SH. CHINA MOBILE (HONG KONG) LIMIT	P	2011-11-11	5910	306	306	2011-07-01	5604
270 SH. CHINA MOBILE (HONG KONG) LIMIT	P	2011-11-15	13289	755	755	2011-02-22	12534
10 SH. CHINA MOBILE (HONG KONG) LIMIT	P	2011-11-15	492	25	25	2011-07-01	467
65000 SH. CITIGROUP INC. 6.01% 01/15/15	P	2011-10-25	69469	-1868	-1868	2011-06-17	71337
380 SH. COMCAST CORPORATION - CL A	P	2011-11-11	8517	-1106	-1106	2011-07-01	9623
140 SH. COMERICA INCORPORATED	P	2011-11-11	3662	-1211	-1211	2011-07-01	4873
580 SH. COMMUNITY HEALTH CARE	P	2011-04-11	13803	-10338	-10338	2010-04-20	24141
2040 SH. COMMUNITY HEALTH CARE	P	2011-04-11	55822	-29086	-29086	2010-04-20	84908
1310 SH. COMMUNITY HEALTH CARE	P	2011-04-11	35846	-18468	-18468	2010-04-21	54314
110 SH. CONTINENTAL RESOURCES, INC.	P	2011-11-11	7447	358	358	2011-07-01	7089
170 SH. COVIDIEN PLC	P	2011-11-11	8084	-1012	-1012	2011-07-01	9096
40 SH. COVIDIEN PLC	P	2011-11-15	1930	-210	-210	2011-07-01	2140
40 SH. CREDIT SUISSE GROUP	P	2011-11-08	1053	-510	-510	2011-07-01	1563
50 SH. CREE, INC.	P	2011-11-11	1465	-821	-821	2011-04-04	2286
100 SH. CREE, INC.	P	2011-11-15	2944	-1629	-1629	2011-04-04	4573
800 SH. DONGFANG ELECTRIC CORP LTD	P	2011-11-14	2642	-398	-398	2011-07-05	3040
1800 SH. DONGFANG ELECTRIC CORP LTD	P	2011-11-16	6116	-229	-229	2011-03-22	6345
2420 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-06	7829	-702	-702	2011-03-22	8531
2330 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-07	7623	-591	-591	2011-03-22	8214
1160 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-08	3757	-332	-332	2011-03-22	4089
1740 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-09	5387	-747	-747	2011-03-22	6134
850 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-12	2581	-415	-415	2011-03-22	2996
2890 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-13	8700	-1488	-1488	2011-03-22	10188
2390 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-14	6957	-1468	-1468	2011-03-22	8425
1790 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-15	5117	-1193	-1193	2011-03-22	6310
1630 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-16	4672	-1074	-1074	2011-03-22	5746
160 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-16	459	-103	-103	2011-03-23	562
1790 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-19	5052	-1240	-1240	2011-03-23	6292
1820 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-20	5157	-1240	-1240	2011-03-23	6397
3050 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-21	8810	-1910	-1910	2011-03-23	10720
3180 SH. DONGFANG ELECTRIC CORP LTD	P	2011-12-22	8945	-2232	-2232	2011-03-23	11177
90 SH. FEDEX CORPORATION	P	2011-11-11	7360	-1178	-1178	2011-07-01	8538
10 SH. FEDEX CORPORATION	P	2011-11-15	832	-117	-117	2011-07-01	949
150000 SH. FHLB 1.75% 02/25/16	P	2011-05-25	150000	642	642	2011-02-08	149358
50000 SH. FREDDIE MAC 1.375% 02/25/14	P	2011-10-05	50919	32	32	2011-08-02	50887
150000 SH. FREDDIE MAC 2.5% 05/27/16	P	2011-11-08	159239	5005	5005	2011-06-07	154234
25000 SH. FREDDIE MAC 2.5% 05/27/16	P	2011-11-08	26540	861	861	2011-06-29	25679
2000 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2011-11-14	3789	-738	-738	2011-07-05	4527
400 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2011-11-16	766	-139	-139	2011-07-05	905
50000 SH. GOLDMAN SACHS 5.75% 10/01/16	P	2011-11-10	53013	-1889	-1889	2011-07-28	54902
30 SH. GOLDMAN SACHS GROUP	P	2011-11-11	3045	-976	-976	2011-07-01	4021
430 SH. HERTZ GLOBAL HOLDINGS INC.	P	2011-11-11	5091	-1794	-1794	2011-07-01	6885
10 SH. HERTZ GLOBAL HOLDINGS INC.	P	2011-11-15	117	-43	-43	2011-07-01	160
440 SH. HEWLETT-PACKARD COMPANY	P	2011-11-11	12166	-6857	-6857	2011-02-23	19023
260 SH. HEWLETT-PACKARD COMPANY	P	2011-11-15	7207	-4034	-4034	2011-02-23	11241
320 SH. HEWLETT-PACKARD COMPANY	P	2011-11-15	8870	-4904	-4904	2011-02-24	13774
150000 SH. HEWLETT-PACKARD FLOAT% 3/1/12	P	2011-06-23	150101	-34	-34	2011-02-07	150135
70 SH. HONEYWELL INC.	P	2011-11-11	3846	-317	-317	2011-07-01	4163
110 SH. HUMAN GENOME SCIENCES INC.	P	2011-08-25	1407	-1297	-1297	2011-07-01	2704
160 SH. HYUNDAI MOTOR CO., LTD. - 2ND	P	2011-11-16	10330	-2534	-2534	2011-05-02	12864
950 SH. ING GROEP	P	2011-11-14	7811	-4179	-4179	2011-03-09	11990
1140 SH. ING GROEP	P	2011-11-16	8165	-6224	-6224	2011-03-09	14389
1980 SH. ING GROEP	P	2011-11-25	12542	-11761	-11761	2011-03-08	24303
6910 SH. ING GROEP	P	2011-11-25	43770	-43445	-43445	2011-03-09	87215
300 SH. ING GROEP	P	2011-11-25	1900	-1825	-1825	2011-07-01	3725
6750 SH. ING GROEP	P	2011-11-25	42756	-15138	-15138	2011-08-09	57894
390 SH. INTERCONTINENTAL HOTELS GROUP	P	2011-11-14	6747	-1322	-1322	2011-07-01	8069
2930 SH. INTESA SANPAOLO - RNC	P	2011-07-13	5506	-861	-861	2011-07-01	6367
60 SH. KOREA ELECTRIC POWER CORP.	P	2011-11-14	1279	-312	-312	2011-06-24	1591
250 SH. KOREA ELECTRIC POWER CORP.	P	2011-11-14	5327	-1318	-1318	2011-07-01	6645
640 SH. KOREA ELECTRIC POWER CORP.	P	2011-11-16	13699	-3274	-3274	2011-06-24	16973
40 SH. LG ELECTRONICS INC. - PFD	P	2011-11-14	836	-666	-666	2011-03-09	1502
120 SH. LG ELECTRONICS INC. - PFD	P	2011-11-16	2479	-2026	-2026	2011-03-09	4505
0.7122 SH. LG ELECTRONICS RTS 12/21/11	P	2011-11-17				2011-03-09
120.0827 SH. LG ELECTRONICS RTS 12/21/11	P	2011-12-06	2138	2138	2138	2011-03-09
34.9173 SH. LG ELECTRONICS RTS 12/21/11	P	2011-12-06	622	622	622	2011-03-15
1 SH. LG ELECTRONICS RTS 12/21/11	P	2011-12-06	18	18	18	2011-11-17
150000 SH. MA ST BAB 4.2% 12/01/21	P	2011-11-14	163500	585	585	2011-10-12	162915
30 SH. MASTERCARD INC - CLASS A	P	2011-11-08	10944	1894	1894	2011-07-01	9050
200 SH. MITSUI & CO., LTD.	P	2011-11-14	3053	-421	-421	2011-07-01	3474
600 SH. MITSUI & CO., LTD.	P	2011-11-16	8989	-1120	-1120	2011-03-16	10109
230 SH. MORGAN STANLEY	P	2011-11-11	3733	-1568	-1568	2011-07-01	5301
120 SH. MORGAN STANLEY	P	2011-11-11	1948	-115	-115	2011-08-09	2063
410 SH. MORGAN STANLEY	P	2011-11-15	6491	-556	-556	2011-08-09	7047
70 SH. MSCI INC. - A	P	2011-11-11	2403	-250	-250	2011-07-01	2653
170 SH. MSCI INC. - A	P	2011-11-15	5803	-500	-500	2010-12-08	6303
10 SH. MSCI INC. - A	P	2011-11-15	341	-38	-38	2011-07-01	379
230 SH. NETAPP, INC.	P	2011-11-11	9800	1419	1419	2011-09-08	8381
210 SH. NETAPP, INC.	P	2011-11-15	8849	1197	1197	2011-09-08	7652
190 SH. NOVARTIS AG - ADR	P	2011-11-11	10583	-957	-957	2011-07-01	11540
370 SH. NOVARTIS AG - ADR	P	2011-11-15	20431	-2042	-2042	2011-07-01	22473
175000 SH. NY BAB 4.669% 10/01/22	P	2011-11-10	190547	10370	10370	2011-05-17	180177
90 SH. NYSE EURONEXT	P	2011-11-11	2501	-589	-589	2011-07-01	3090
80 SH. OCEANEERING INTERNATIONAL, INC	P	2011-11-11	3571	336	336	2011-07-01	3235
10 SH. OCEANEERING INTERNATIONAL, INC	P	2011-11-15	445	41	41	2011-07-01	404
400 SH. OGX PETROLEO E GAS PARTICIPAOE	P	2011-11-11	3218	-556	-556	2011-07-01	3774
230 SH. PEPSICO, INC	P	2011-11-11	14558	-1537	-1537	2011-07-01	16095
20 SH. PEPSICO, INC	P	2011-11-15	1285	-115	-115	2011-07-01	1400
340 SH. PFIZER INC.	P	2011-11-11	6796	-205	-205	2011-07-01	7001
30 SH. PFIZER INC.	P	2011-11-15	596	-22	-22	2011-07-01	618
40 SH. PHILIPPINE LONG DIST TELE CO	P	2011-11-15	2217	-36	-36	2011-11-11	2253
700 SH. PRUDENTIAL PLC	P	2011-11-14	7130	-147	-147	2011-11-08	7277
830 SH. PRUDENTIAL PLC	P	2011-11-16	8187	-441	-441	2011-11-08	8628
200 SH. QUALCOMM INC.	P	2011-11-11	11360	49	49	2011-07-01	11311
110 SH. QUEST DIAGNOSTICS INCORPORATED	P	2011-11-11	6345	20	20	2011-03-09	6325
70 SH. QUEST DIAGNOSTICS INCORPORATED	P	2011-11-11	4038	-84	-84	2011-07-01	4122
240 SH. QUEST DIAGNOSTICS INCORPORATED	P	2011-11-15	13661	-140	-140	2011-03-09	13801
50 SH. REGENERON PHARMACEUTICALS	P	2011-11-11	2677	-140	-140	2011-07-01	2817
120 SH. REGENERON PHARMACEUTICALS	P	2011-11-15	6359	2776	2776	2010-12-03	3583
20 SH. REGENERON PHARMACEUTICALS	P	2011-11-15	1060	-67	-67	2011-07-01	1127
0.2733 SH. ROYAL DUTCH SHELL PLC-ADR A	P	2011-09-27	17	-2	-2	2011-07-01	19
240 SH. ROYAL DUTCH SHELL PLC-ADR A	P	2011-11-15	16899	-134	-134	2011-11-11	17033
250 SH. SANTOS LIMITED	P	2011-11-14	3493	-252	-252	2011-03-09	3745
620 SH. SANTOS LIMITED	P	2011-11-16	8374	-914	-914	2011-03-09	9288
110 SH. SCHNEIDER ELECTRIC SA	P	2011-11-16	5849	-3357	-3357	2011-07-01	9206
450 SH. SCHNEIDER ELECTRIC SA	P	2011-11-25	21526	-16137	-16137	2011-07-01	37663
1500 SH. SEMEN GRESIK (PERSERO) TBK	P	2011-11-14	1539	-171	-171	2011-07-01	1710
4000 SH. SEMEN GRESIK (PERSERO) TBK	P	2011-11-16	4148	-104	-104	2011-03-31	4252
290 SH. SKF AB - B SHS	P	2011-11-11	5934	-2499	-2499	2011-07-01	8433
210 SH. STATE STREET CORP.	P	2011-10-12	7068	-2419	-2419	2011-07-01	9487
130 SH. THERMO FISHER SCIENTIFIC INC.	P	2011-11-11	6337	-2042	-2042	2011-07-01	8379
20 SH. THERMO FISHER SCIENTIFIC INC.	P	2011-11-15	984	-305	-305	2011-07-01	1289
110 SH. TORONTO-DOMINION BANK	P	2011-11-11	7873	-1437	-1437	2011-07-01	9310
30 SH. TORONTO-DOMINION BANK	P	2011-11-15	2126	-413	-413	2011-07-01	2539
300000 SH. US TREAS INFL 2.125% 01/15/19	P	2011-08-25	369295	18323	18323	2011-05-18	350972
125000 SH. US TREAS N/B 1.75% 04/15/13	P	2011-10-20	127803	-62	-62	2011-08-23	127865
260000 SH. US TREASURY N/B 2.125% 5/31/15	P	2011-08-25	274351	3990	3990	2010-10-22	270361
360 SH. VEDANTA RESOURCES PLC	P	2011-11-16	6130	-7814	-7814	2011-04-01	13944
175000 SH. VERIZON COMM 5.5% 02/15/2018	P	2011-07-12	199385	8774	8774	2011-02-24	190611
830 SH. VODAFONE GROUP PLC - SP ADR	P	2011-11-15	23863	-257	-257	2011-11-11	24120
20 SH. WAL-MART STORES, INC.	P	2011-11-15	1149	85	85	2011-07-01	1064
260 SH. WAL-MART STORES, INC.	P	2011-11-15	14934	-461	-461	2011-11-11	15395
90 SH. WELLPOINT INC.	P	2011-11-11	6363	-771	-771	2011-07-01	7134
10 SH. WELLPOINT INC.	P	2011-11-15	699	-94	-94	2011-07-01	793
240 SH. WELLS FARGO COMPANY	P	2011-11-11	6115	-658	-658	2011-07-01	6773
230 SH. WELLS FARGO COMPANY	P	2011-11-11	5860	304	304	2011-08-09	5556
550 SH. WELLS FARGO COMPANY	P	2011-11-15	13766	479	479	2011-08-09	13287
800 SH. WYNN MACAU, LIMITED	P	2011-11-14	2136	-645	-645	2011-07-05	2781
300 SH. WYNN MACAU, LIMITED	P	2011-11-16	757	-286	-286	2011-07-05	1043
180 SH. YUM! BRANDS, INC.	P	2011-11-11	10050	44	44	2011-07-01	10006
120 SH. ADVANCE AUTO PARTS, INC.	P	2011-11-15	8240	3641	3641	2009-11-04	4599
520 SH. ALEXION PHARMACEUTICALS, INC.	P	2011-03-08	51830	27908	27908	2009-10-16	23922
10 SH. ALEXION PHARMACEUTICALS, INC.	P	2011-11-11	643	413	413	2009-10-16	230
50 SH. ALEXION PHARMACEUTICALS, INC.	P	2011-11-15	3331	2187	2187	2009-10-15	1144
50 SH. ALEXION PHARMACEUTICALS, INC.	P	2011-11-15	3331	2181	2181	2009-10-16	1150
280 SH. ALLSTATE CORPORATION	P	2011-11-15	7420	-2102	-2102	2010-04-28	9522
370 SH. AMERIPRISE FINANCIAL, INC.	P	2011-03-08	23433	9877	9877	2009-09-30	13556
2930 SH. AMERIPRISE FINANCIAL, INC.	P	2011-03-09	182889	75543	75543	2009-09-30	107346
330 SH. AMERIPRISE FINANCIAL, INC.	P	2011-03-09	20598	8742	8742	2009-10-05	11856
1060 SH. ANADARKO PETROLEUM CORPORATION	P	2011-03-08	84245	13707	13707	2009-10-16	70538
150 SH. ANADARKO PETROLEUM CORPORATION	P	2011-11-15	12099	2157	2157	2009-10-15	9942
70 SH. ANADARKO PETROLEUM CORPORATION	P	2011-11-15	5646	988	988	2009-10-16	4658
4210 SH. ANNALY MORTGAGE MANAGEMENT INC	P	2011-03-08	74521	2567	2567	2008-04-18	71954
1350 SH. ANNALY MORTGAGE MANAGEMENT INC	P	2011-03-08	23896	955	955	2008-04-23	22941
310 SH. ANNALY MORTGAGE MANAGEMENT INC	P	2011-03-08	5487	201	201	2008-05-16	5286
300 SH. APACHE CORPORATION	P	2011-11-11	31186	2075	2075	2010-06-17	29111
90 SH. APACHE CORPORATION	P	2011-11-15	9309	576	576	2010-06-17	8733
30 SH. APACHE CORPORATION	P	2011-11-15	3103	341	341	2010-06-23	2762
50 SH. APPLE INC.	P	2011-11-15	19394	6267	6267	2010-04-27	13127
340 SH. AVERY DENNISON CORP.	P	2011-03-23	14062	3985	3985	2009-07-29	10077
150 SH. AVERY DENNISON CORP.	P	2011-03-24	6176	1741	1741	2009-07-28	4435
1680 SH. AVERY DENNISON CORP.	P	2011-03-24	69167	19374	19374	2009-07-29	49793
630 SH. AVERY DENNISON CORP.	P	2011-03-25	25977	7352	7352	2009-07-28	18625
650 SH. AVERY DENNISON CORP.	P	2011-03-25	26801	7910	7910	2009-07-30	18891
870 SH. AVERY DENNISON CORP.	P	2011-03-28	35755	10470	10470	2009-07-30	25285
780 SH. AVERY DENNISON CORP.	P	2011-03-29	31768	9099	9099	2009-07-30	22669
200000 SH. AVON PRODUCTS 6.50% DUE 3/1/19	P	2011-07-13	231056	33112	33112	2009-02-25	197944
220 SH. BAKER HUGHES INCORPORATED	P	2011-11-15	12641	3215	3215	2010-06-14	9426
65000 SH. BANK OF AMER CO 5.75% 8/15/16	P	2011-06-17	68435	3065	3065	2006-10-20	65370
3090 SH. BANK OF AMERICA CORPORATION	P	2011-08-10	21244	-34324	-34324	2009-08-28	55568
6990 SH. BANK OF AMERICA CORPORATION	P	2011-08-10	48057	-76013	-76013	2009-08-31	124070
2270 SH. BANK OF AMERICA CORPORATION	P	2011-08-10	15607	-19234	-19234	2009-10-29	34841
85000 SH. BEAR STEARNS CO. 5.3% 10/30/15	P	2011-08-24	90993	7010	7010	2006-10-20	83983
200000 SH. BERKSHIRE HATHAWAY 5% 8/15/13	P	2011-07-07	215980	14796	14796	2008-08-14	201184
150 SH. BIOMARIN PHARMACEUTICAL INC.	P	2011-11-11	4710	726	726	2008-09-30	3984
220 SH. BIOMARIN PHARMACEUTICAL INC.	P	2011-11-15	6983	1140	1140	2008-09-30	5843
760 SH. BNP PARIBAS	P	2011-08-04	43664	-4839	-4839	2009-05-08	48503
950 SH. BNP PARIBAS	P	2011-08-04	54580	-7676	-7676	2010-05-11	62256
80 SH. BNP PARIBAS	P	2011-08-04	4596	-755	-755	2010-05-12	5351
1360 SH. BNP PARIBAS	P	2011-08-10	75169	-11626	-11626	2009-05-08	86795
20 SH. BOSKALIS WESTMINSTER - CVA	P	2011-11-14	707	-2	-2	2007-05-24	709
90 SH. BOSKALIS WESTMINSTER - CVA	P	2011-11-16	2974	-218	-218	2007-05-24	3192
110 SH. BOSKALIS WESTMINSTER - CVA	P	2011-11-16	3634	-264	-264	2007-05-25	3898
265000 SH. BOTTLING GROUP LLC NOTES, 5.0%	P	2011-07-13	289746	21560	21560	2004-03-31	268186
500 SH. CAREFUSION CORPORATION	P	2011-11-15	12430	241	241	2010-11-04	12189
100000 SH. CATERPILLAR FIN 5.75% 02/15/12	P	2011-07-07	103036	3044	3044	2009-02-06	99992
91710.8 SH. CENTERPOINT CNP 4.97% 8/1/14	P	2011-02-01	91711	23	23	2005-12-12	91688
189612.35 SH. CENTERPOINT CNP 4.97% 8/1/14	P	2011-05-16	194296	4728	4728	2005-12-12	189568
420 SH. CHEVRON CORPORATION	P	2011-11-11	44904	31168	31168	2003-03-28	13736
160 SH. CHEVRON CORPORATION	P	2011-11-15	17128	11895	11895	2003-03-28	5233
6780 SH. CHINA HIGH SPEED TRANSMISSION	P	2011-03-22	10581	-3876	-3876	2010-03-17	14457
6000 SH. CHINA HIGH SPEED TRANSMISSION	P	2011-03-22	9364	-3753	-3753	2010-03-18	13117
7000 SH. CHINA HIGH SPEED TRANSMISSION	P	2011-03-22	10924	-4472	-4472	2010-03-19	15396
5220 SH. CHINA HIGH SPEED TRANSMISSION	P	2011-03-23	8101	-3030	-3030	2010-03-17	11131
50 SH. CHUNGHWA TELECOM LTD ADR	P	2011-11-15	1673	435	435	2010-07-01	1238
120 SH. CHUNGHWA TELECOM LTD ADR	P	2011-11-15	4015	921	921	2010-07-07	3094
120 SH. CHUNGHWA TELECOM LTD ADR	P	2011-11-15	4015	916	916	2010-07-08	3099
190 SH. CISCO SYSTEMS, INC.	P	2011-11-11	3597	195	195	2005-03-18	3402
2000 SH. CISCO SYSTEMS, INC.	P	2011-11-11	37861	1968	1968	2005-03-21	35893
620 SH. CISCO SYSTEMS, INC.	P	2011-11-15	11811	711	711	2005-03-18	11100
60 SH. CISCO SYSTEMS, INC.	P	2011-11-15	1143	107	107	2005-11-22	1036
1610 SH. CIT GROUP, INC.	P	2011-03-22	67470	8284	8284	2010-03-15	59186
780 SH. CIT GROUP, INC.	P	2011-03-23	32464	3790	3790	2010-03-15	28674
20 SH. COMCAST CORPORATION - CL A	P	2011-11-11	448	79	79	2007-12-10	369
600 SH. COMCAST CORPORATION - CL A	P	2011-11-15	13326	2263	2263	2007-12-10	11063
220 SH. COMERICA INCORPORATED	P	2011-11-15	5674	-2670	-2670	2010-03-16	8344
200000 SH. CONOCOPHILL CA 5.625% 10/15/16	P	2011-07-21	233842	45503	45503	2008-10-29	188339
10 SH. CONTINENTAL RESOURCES, INC.	P	2011-11-11	677	441	441	2009-07-07	236
150 SH. CONTINENTAL RESOURCES, INC.	P	2011-11-15	10123	6578	6578	2009-07-07	3545
30 SH. CONTINENTAL RESOURCES, INC.	P	2011-11-15	2025	1318	1318	2009-07-08	707
200 SH. COVIDIEN PLC	P	2011-11-15	9649	2241	2241	2008-11-25	7408
855 SH. CREDIT SUISSE GROUP	P	2011-11-08	22502	-11696	-11696	2005-06-20	34198
505 SH. CREDIT SUISSE GROUP	P	2011-11-08	13290	-7070	-7070	2005-06-21	20360
1770 SH. CREDIT SUISSE GROUP	P	2011-11-09	43422	-27374	-27374	2005-06-20	70796
4092.86 SH. CSX TRANS, 8.375% 10/15/2014	P	2011-04-15	4093			2008-10-21	4093
88040.38 SH. CSX TRANS, 8.375% 10/15/2014	P	2011-07-19	104219	16179	16179	2008-10-21	88040
100000 SH. CVS CORP, 5.75%	P	2011-08-15	100000	-17	-17	2009-02-10	100017
50000 SH. E.I. DU PONT, 6% 07/15/18	P	2011-12-09	60636	12809	12809	2008-10-27	47827
100000 SH. ESTEE LAUDER 5.55% 05/15/17	P	2011-07-26	113430	13532	13532	2007-04-26	99898
140 SH. FEDEX CORPORATION	P	2011-11-15	11642	690	690	2010-02-09	10952
300000 SH. FFCB 2.125% DUE 06/18/12	P	2011-10-12	303927	4095	4095	2009-06-12	299832
100000 SH. FFCB, 4.70% 8/10/2015	P	2011-09-01	114430	8640	8640	2009-09-14	105790
4200 SH. GALAXY ENTERTAINMENT GROUP LTD	P	2011-11-16	8044	4260	4260	2010-10-13	3784
250000 SH. GE CAP CORP 4.00% 2/15/12	P	2011-05-25	256280	6280	6280	2008-02-05	250000
60 SH. GOLDMAN SACHS GROUP	P	2011-11-15	5928	66	66	2009-03-13	5862
30 SH. GOOGLE INC - CLASS A	P	2011-11-11	18193	-3327	-3327	2007-11-05	21520
50 SH. GOOGLE INC - CLASS A	P	2011-11-15	30811	-5056	-5056	2007-11-05	35867
660 SH. HERTZ GLOBAL HOLDINGS INC.	P	2011-11-15	7702	-457	-457	2010-04-15	8159
680 SH. HONEYWELL INC.	P	2011-11-11	37359	11328	11328	2005-12-20	26031
300 SH. HONEYWELL INC.	P	2011-11-15	16452	4968	4968	2005-12-20	11484
2230 SH. HUMAN GENOME SCIENCES INC.	P	2011-08-25	28526	-27913	-27913	2010-05-18	56439
100 SH. HYUNDAI MOBIS	P	2011-04-26	35471	20665	20665	2010-04-21	14806
110 SH. HYUNDAI MOBIS	P	2011-04-27	37531	21244	21244	2010-04-21	16287
20 SH. HYUNDAI MOBIS	P	2011-04-28	6946	4034	4034	2010-04-20	2912
120 SH. HYUNDAI MOBIS	P	2011-04-28	41674	23906	23906	2010-04-21	17768
220 SH. HYUNDAI MOBIS	P	2011-04-29	75935	43904	43904	2010-04-20	32031
100 SH. HYUNDAI MOBIS	P	2011-05-02	34135	19576	19576	2010-04-20	14559
1400 SH. INTEL CORP.	P	2011-02-23	29521	9027	9027	2008-12-19	20494
3170 SH. INTEL CORP.	P	2011-02-24	67102	20697	20697	2008-12-19	46405
1260 SH. INTEL CORP.	P	2011-02-24	26671	8557	8557	2008-12-22	18114
60 SH. INTERCONTINENTAL HOTELS GROUP	P	2011-11-14	1038	408	408	2009-05-12	630
550 SH. INTERCONTINENTAL HOTELS GROUP	P	2011-11-16	9283	3510	3510	2009-05-12	5773
11090 SH. INTESA SANPAOLO - RNC	P	2011-07-13	20840	-16443	-16443	2010-01-21	37283
8940 SH. INTESA SANPAOLO - RNC	P	2011-07-14	16487	-13568	-13568	2010-01-21	30055
5720 SH. INTESA SANPAOLO - RNC	P	2011-07-15	10545	-8685	-8685	2010-01-21	19230
2820 SH. INTESA SANPAOLO - RNC	P	2011-07-18	4917	-4564	-4564	2010-01-21	9481
9010 SH. INTESA SANPAOLO - RNC	P	2011-07-18	15710	-13413	-13413	2010-01-22	29123
6860 SH. INTESA SANPAOLO - RNC	P	2011-07-18	11961	-4986	-4986	2010-05-12	16947
1780 SH. INTESA SANPAOLO - RNC	P	2011-07-19	3131	-1197	-1197	2010-05-11	4328
5690 SH. INTESA SANPAOLO - RNC	P	2011-07-19	10009	-4047	-4047	2010-05-12	14056
6250 SH. INTESA SANPAOLO - RNC	P	2011-07-20	11720	-3477	-3477	2010-05-11	15197
28570 SH. INTESA SANPAOLO RTS 06/03/11	P	2011-06-01	4559	4559	4559	2010-01-21
9010 SH. INTESA SANPAOLO RTS 06/03/11	P	2011-06-01	1438	1438	1438	2010-01-22
8030 SH. INTESA SANPAOLO RTS 06/03/11	P	2011-06-01	1281	1281	1281	2010-05-11
12550 SH. INTESA SANPAOLO RTS 06/03/11	P	2011-06-01	2003	2003	2003	2010-05-12
100000 SH. JOHN DEERE CAP 5.5% 4/13/2017	P	2011-08-09	116868	17226	17226	2007-04-10	99642
200000 SH. JPM CHASE FDIC 2.125% 12/26/12	P	2011-06-14	205358	3657	3657	2010-02-24	201701
190 SH. MASTERCARD INC - CLASS A	P	2011-11-08	69312	35311	35311	2008-09-30	34001
320 SH. MASTERCARD INC - CLASS A	P	2011-11-09	115575	58310	58310	2008-09-30	57265
30 SH. MASTERCARD INC - CLASS A	P	2011-11-11	11072	5703	5703	2008-09-30	5369
30 SH. MASTERCARD INC - CLASS A	P	2011-11-15	11072	5703	5703	2008-09-30	5369
520 SH. MICROSOFT CORP.	P	2011-11-11	14009	-1317	-1317	2007-08-07	15326
860 SH. MICROSOFT CORP.	P	2011-11-15	22998	-2349	-2349	2007-08-07	25347
3270 SH. NEWMONT MINING CORPORATION	P	2011-03-16	168521	15090	15090	2006-12-01	153431
50000 SH. NORFOLK SOUTHERN CORP. SR. NOT	P	2011-02-15	50000	8	8	2008-10-27	49992
150000 SH. NY NASSAU BAB 5.375% 10/01/25	P	2011-11-15	158862	4958	4958	2009-12-02	153904
110 SH. NYSE EURONEXT	P	2011-11-11	3057	221	221	2009-12-23	2836
290 SH. NYSE EURONEXT	P	2011-11-15	7865	388	388	2009-12-23	7477
120 SH. OCEANEERING INTERNATIONAL, INC	P	2011-11-15	5345	1932	1932	2010-05-18	3413
600 SH. OGX PETROLEO E GAS PARTICIPAOE	P	2011-11-16	4618	-1345	-1345	2009-12-29	5963
250 SH. PEPSICO, INC	P	2011-11-15	16062	2435	2435	2008-12-17	13627
670 SH. PFIZER INC.	P	2011-11-15	13302	1402	1402	2010-11-01	11900
20 SH. PHILIPPINE LONG DIST TELE CO	P	2011-11-15	1108	-63	-63	2010-09-21	1171
10 SH. QUALCOMM INC.	P	2011-11-11	568	189	189	2010-02-09	379
270 SH. QUALCOMM INC.	P	2011-11-15	15495	5254	5254	2010-02-09	10241
205000 SH. RBS 5.0% 10/11/14	P	2011-06-15	205125	-2412	-2412	2004-03-31	207537
300 SH. REGENERON PHARMACEUTICALS	P	2011-12-06	16400	7442	7442	2010-12-03	8958
560 SH. REPUBLIC SERVICES INC. CL A	P	2011-02-22	16525	1236	1236	2007-04-10	15289
2090 SH. REPUBLIC SERVICES INC. CL A	P	2011-02-22	61675	4623	4623	2007-04-11	57052
1660 SH. REPUBLIC SERVICES INC. CL A	P	2011-02-22	48985	3486	3486	2007-04-12	45499
830 SH. REPUBLIC SERVICES INC. CL A	P	2011-02-22	24493	1526	1526	2007-04-13	22967
120 SH. SCHNEIDER ELECTRIC SA	P	2011-11-25	5740	2920	2920	2003-04-04	2820
250 SH. SCHNEIDER ELECTRIC SA	P	2011-11-28	12259	6383	6383	2003-04-04	5876
570 SH. SCHNEIDER ELECTRIC SA	P	2011-12-15	27810	14413	14413	2003-04-04	13397
280 SH. SCHNEIDER ELECTRIC SA	P	2011-12-16	13726	7145	7145	2003-04-04	6581
850 SH. SCHNEIDER ELECTRIC SA	P	2011-12-19	41283	21305	21305	2003-04-04	19978
590 SH. SCHNEIDER ELECTRIC SA	P	2011-12-20	29754	15887	15887	2003-04-04	13867
900 SH. SKF AB - B SHS	P	2011-11-11	18416	3953	3953	2010-02-03	14463
40 SH. SKF AB - B SHS	P	2011-11-14	812	172	172	2010-02-02	640
1450 SH. SKF AB - B SHS	P	2011-11-14	29417	6116	6116	2010-02-03	23301
1190 SH. SKF AB - B SHS	P	2011-11-15	23543	4493	4493	2010-02-02	19050
1790 SH. SKF AB - B SHS	P	2011-11-16	35016	6361	6361	2010-02-02	28655
1680 SH. SKF AB - B SHS	P	2011-11-17	32034	5140	5140	2010-02-02	26894
540 SH. STATE STREET CORP.	P	2011-10-12	18174	-5505	-5505	2008-10-07	23679
910 SH. STATE STREET CORP.	P	2011-10-12	30627	-7669	-7669	2008-10-08	38296
1030 SH. STATE STREET CORP.	P	2011-10-12	34666	5954	5954	2009-03-19	28712
370 SH. STATE STREET CORP.	P	2011-10-12	12453	2760	2760	2009-03-20	9693
920 SH. STATE STREET CORP.	P	2011-10-12	30964	-9064	-9064	2009-10-29	40028
100000 SH. STATOIL	P	2011-08-16	110827	11064	11064	2005-11-03	99763
900 SH. SUMCO CORPORATION	P	2011-03-11	15357	-2608	-2608	2010-01-14	17965
1400 SH. SUMCO CORPORATION	P	2011-03-11	23889	-6029	-6029	2010-01-15	29918
1000 SH. SUMCO CORPORATION	P	2011-04-04	19248	185	185	2010-01-13	19063
1300 SH. SUMCO CORPORATION	P	2011-04-04	25023	-927	-927	2010-01-14	25950
560 SH. SWEDBANK AB	P	2011-11-16	7377	1447	1447	2009-12-03	5930
190 SH. THERMO FISHER SCIENTIFIC INC.	P	2011-11-15	9350	1090	1090	2010-08-26	8260
120 SH. TORONTO-DOMINION BANK	P	2011-11-15	8505	766	766	2009-12-02	7739
120 SH. TULLOW OIL PLC	P	2011-11-14	2627	172	172	2009-10-16	2455
190 SH. TULLOW OIL PLC	P	2011-11-16	4029	142	142	2009-10-16	3887
200000 SH. UNITED TECH CORP 6.125% 2/1/19	P	2011-11-14	245158	34420	34420	2009-02-26	210738
100000 SH. US TREAS INF IDX 1.75% 1/15/28	P	2011-05-18	111233	15896	15896	2009-04-14	95337
300000 SH. US TREASURY INFL 2.375%1/15/27	P	2011-05-18	377648	67061	67061	2007-09-21	310587
158000 SH. US TREASURY N/B 4.25% 11/15/17	P	2011-08-25	185132	6889	6889	2010-08-12	178243
180000 SH. US TREASURY N/B 4.625% 8/31/11	P	2011-08-25	180113	154	154	2007-06-29	179959
170 SH. WELLPOINT INC.	P	2011-11-15	11886	2378	2378	2010-11-04	9508
100000 SH. WELLS FARGO BANK NA SUB NOTES,	P	2011-02-01	100000			2001-04-25	100000
1900 SH. WYNN MACAU, LIMITED	P	2011-11-16	4796	886	886	2010-10-11	3910
10 SH. YUM! BRANDS, INC.	P	2011-11-11	558	297	297	2008-10-10	261
50 SH. YUM! BRANDS, INC.	P	2011-11-15	2766	1516	1516	2006-02-13	1250
220 SH. YUM! BRANDS, INC.	P	2011-11-15	12170	6419	6419	2008-10-10	5751
380 SH. YUM! BRANDS, INC.	P	2011-12-08	22066	12562	12562	2006-02-13	9504
200 SH. YUM! BRANDS, INC.	P	2011-12-12	11493	6491	6491	2006-02-13	5002
200 SH. YUM! BRANDS, INC.	P	2011-12-13	11697	6695	6695	2006-02-13	5002

Field	Value	IRS element (for citing)
Capital Gain Net Income	770644	CapitalGainNetIncome

Qlfy Und Sect4940e For Reduced Tax QlfyUndSect4940eForReducedTax

Field	Value	IRS element (for citing)
Liable For4942 Tax	false	LiableFor4942Tax
Qualifying Distributions Year1	1110999	QualifyingDistributionsYear1
Noncharitable Assets Year1	20284506	NoncharitableAssetsYear1
Distribution Ratio Year1	0.054771	DistributionRatioYear1
Qualifying Distributions Year2	1030564	QualifyingDistributionsYear2
Noncharitable Assets Year2	18092944	NoncharitableAssetsYear2
Distribution Ratio Year2	0.056959	DistributionRatioYear2
Qualifying Distributions Year3	1137556	QualifyingDistributionsYear3
Noncharitable Assets Year3	22197166	NoncharitableAssetsYear3
Distribution Ratio Year3	0.051248	DistributionRatioYear3
Qualifying Distributions Year4	1218151	QualifyingDistributionsYear4
Noncharitable Assets Year4	25422653	NoncharitableAssetsYear4
Distribution Ratio Year4	0.047916	DistributionRatioYear4
Qualifying Distributions Year5	1397843	QualifyingDistributionsYear5
Noncharitable Assets Year5	23783518	NoncharitableAssetsYear5
Distribution Ratio Year5	0.058774	DistributionRatioYear5
Total Distribution Ratio	0.269668	TotalDistributionRatio
Average Distribution Ratio	0.053934	AverageDistributionRatio
Net Noncharitable Assets	21394416	NetNoncharitableAssets
Adjusted Noncharitable Assets	1153886	AdjustedNoncharitableAssets
One Percent Net Investment Income	10673	OnePercentNetInvestmentIncome
Adj Nonchrtbl Assets And One	1164559	AdjNonchrtblAssetsAndOnePct
Qualifying Distributions	1133241	QualifyingDistributions

Excise Tax Based On Investment Incm ExciseTaxBasedOnInvestmentIncm

Field	Value	IRS element (for citing)
Investment Income Excise Tax	21346	InvestmentIncomeExciseTax
Subtotal	21346	Subtotal
Tax Based On Investment Income	21346	TaxBasedOnInvestmentIncome
Est Tax Payments And Overpayment	23370	EstTaxPaymentsAndOverpayment
Total Credits And Payments	23370	TotalCreditsAndPayments
Overpayment	2024	Overpayment
Amount Credited To Next Year	2024	AmountCreditedToNextYear

Statements Regarding Activities StatementsRegardingActivities

Field	Value	IRS element (for citing)
Legislative Political Activities	false	LegislativePoliticalActivities
More Than100 Spent	false	MoreThan100Spent
Form1120 POL Filed	false	Form1120POLFiled
Activities Not Prev Reported	false	ActivitiesNotPrevReported
Changes To Articles Or Bylaws	false	ChangesToArticlesOrBylaws
Unrelated Bus Income Over1000	false	UnrelatedBusIncomeOver1000
Termination Etc	false	TerminationEtc
Requirements Of Sect508e	true	RequirementsOfSect508e
At Least5000 In Assets	true	AtLeast5000InAssets
States Filed With	NJ	StatesFiledWith
Form990 PF Filed With AG	true	Form990PFFiledWithAG
Private Operating Foundation	false	PrivateOperatingFoundation
New Substantial Contributors	false	NewSubstantialContributors
Interest In Controlled Entity	false	InterestInControlledEntity
Applicable Insurance Contract	false	ApplicableInsuranceContract
Comply With Public Inspection Rqr	true	ComplyWithPublicInspectionRqr
Website Address	NA	WebsiteAddress

Books In Care Of Business Name BooksInCareOfBusinessName

Field	Value	IRS element (for citing)
Business Name Line1	ROCKEFELLER & CO	BusinessNameLine1

Field	Value	IRS element (for citing)
Books In Care Of Phone Number	2125495100	BooksInCareOfPhoneNumber

Books In Care Of US Address BooksInCareOfUSAddress

Field	Value	IRS element (for citing)
Address Line1	30 ROCKEFELLER PLAZA ROOM 5600	AddressLine1
City	NEW YORK	City
State	NY	State
ZIP Code	10112	ZIPCode

Field	Value	IRS element (for citing)
Foreign Bank	false	ForeignBank

Statements Regarding Acty4720 StatementsRegardingActy4720

Field	Value	IRS element (for citing)
Sale Or Exchange With Dsqfly Person	false	SaleOrExchangeWithDsqflyPerson
Borrow Or Lend With Dsqfly Person	false	BorrowOrLendWithDsqflyPerson
Furnished Goods With Dsqfly Person	false	FurnishedGoodsWithDsqflyPerson
Pay Compensation To Dsqfly Person	false	PayCompensationToDsqflyPerson
Transfer Assets To Dsqfly Person	false	TransferAssetsToDsqflyPerson
Payment To Government Offical	false	PaymentToGovernmentOffical
Uncorrected Prior Acts	false	UncorrectedPriorActs
Undistributed Income Prior Years	false	UndistributedIncomePriorYears
Undistr Income4942a2 Not Applied	false	UndistrIncome4942a2NotApplied
Business Holdings	false	BusinessHoldings
Jeopardy Investments	false	JeopardyInvestments
Uncorrected Jeopardy Investments	false	UncorrectedJeopardyInvestments
Influence Legislation	false	InfluenceLegislation
Influence Election	false	InfluenceElection
Grants To Individuals	false	GrantsToIndividuals
Grants To Organizations	false	GrantsToOrganizations
Noncharitable Purpose	false	NoncharitablePurpose
Rcv Funds To Pay Prsnl Bnft Contract	false	RcvFundsToPayPrsnlBnftContract
Pay Premiums Prsnl Bnft Contract	false	PayPremiumsPrsnlBnftContract
Prohibited Tax Shelter Transactn	false	ProhibitedTaxShelterTransactn

Ofcr Dir Trustees Key Employee Info OfcrDirTrusteesKeyEmployeeInfo

Ofcr Dir Trustees Or Key Employee OfcrDirTrusteesOrKeyEmployee (6 entries)

Address Line1USAddress/AddressLine1	CityUSAddress/City	StateUSAddress/State	ZIP CodeUSAddress/ZIPCode	TitleTitle	Avg Hours Per Wk Devoted To PositionAvgHoursPerWkDevotedToPosition	CompensationCompensation	Contri To Empl Benefit Plans EtcContriToEmplBenefitPlansEtc	Expense Account Other AllowancesExpenseAccountOtherAllowances
ELIZABETH McGRAW WEBSTER
C/O ROCKEFELLER CO	NEW YORK	NY	10112	TRUSTEE & CHAIRMAN	0	0	0	0
CURTIS M WEBSTER
2 CORNELIA STREET	NEW YORK	NY	10014	TRUSTEE & PRESIDENT	0	0	0	0
LISETTE M EDMUND
5784 VIA LAS NOBES	RIVERSIDE	CA	92507	TRUSTEE & VP	0	0	0	0
MARIANNA PAEN
117 N HIAWATHA	HAILEY	ID	83333	TRUSTEE & VP	0	0	0	0
SAMUEL W LAMBERT III
115 NORTH ROAD	PRINCETON	NJ	08540	SECRETARY-TREASURER	0	0	0	0
THEO M WEBSTER
62 STONE STREET	NEW BRUNSWICK	NJ	08901	VICE PRESIDENT	0	0	0	0

Compensation Of Hghst Paid Cntrct CompensationOfHghstPaidCntrct

Business Name BusinessName

Field	Value	IRS element (for citing)
Business Name Line1	ROCKEFELLER & CO	BusinessNameLine1

US Address USAddress

Field	Value	IRS element (for citing)
Address Line1	30 ROCKEFELLER PLAZA ROOM 5600	AddressLine1
City	NEW YORK	City
State	NY	State
ZIP Code	10112	ZIPCode

Field	Value	IRS element (for citing)
Type Of Service	INVESTMENT MGMT/ACTG	TypeOfService
Compensation	0	Compensation

Summary Of Direct Charitable Acty SummaryOfDirectCharitableActy

Field	Value	IRS element (for citing)
Description1	NONE	Description1

Sum Of Program Related Investments SumOfProgramRelatedInvestments

Field	Value	IRS element (for citing)
Description1	NONE	Description1

Minimum Investment Return MinimumInvestmentReturn

Field	Value	IRS element (for citing)
Avg Monthly FMV Of Securities	18680151	AvgMonthlyFMVOfSecurities
Avg Monthly Cash Balances	555926	AvgMonthlyCashBalances
FMV All Other Noncharitable Assets	2484142	FMVAllOtherNoncharitableAssets
Total FMV Of Unused Assets	21720219	TotalFMVOfUnusedAssets
Acquisition Indebtedness	0	AcquisitionIndebtedness
Adj Total FMV Of Unused Assets	21720219	AdjTotalFMVOfUnusedAssets
Cash Deemed Charitable	325803	CashDeemedCharitable
Net Noncharitable Assets	21394416	NetNoncharitableAssets
Minimum Investment Return	1069721	MinimumInvestmentReturn

Distributable DistributableAmount

Field	Value	IRS element (for citing)
Minimum Investment Return	1069721	MinimumInvestmentReturn
Tax Based On Investment Income	21346	TaxBasedOnInvestmentIncome
Total Tax	21346	TotalTax
Distributable Amount Before Adj	1048375	DistributableAmountBeforeAdj
Distributable Amount Before Ded	1048375	DistributableAmountBeforeDed
Distributable Amount As Adjusted	1048375	DistributableAmountAsAdjusted

Qualifying Distributions QualifyingDistributions

Field	Value	IRS element (for citing)
Expenses And Contributions	1133241	ExpensesAndContributions
Program Related Investments Total	0	ProgramRelatedInvestmentsTotal
Amounts Paid Acq Charitable Assets	0	AmountsPaidAcqCharitableAssets
Amounts Set Aside Suitability Test	0	AmountsSetAsideSuitabilityTest
Amounts Set Aside Cash Distri Test	0	AmountsSetAsideCashDistriTest
Qualifying Distributions	1133241	QualifyingDistributions
Adj Qualifying Distributions	1133241	AdjQualifyingDistributions

Undistributed Income UndistributedIncome

Field	Value	IRS element (for citing)
Distributable Amount As Adjusted	1048375	DistributableAmountAsAdjusted
Undistributed Income Prior Year	0	UndistributedIncomePriorYear
Prior Year1	2009	PriorYear1
Prior Year2	2008	PriorYear2
Prior Year3	2007	PriorYear3
Excess Distri Carryover Year5	250909	ExcessDistriCarryoverYear5
Excess Distri Carryover Year3	37310	ExcessDistriCarryoverYear3
Excess Distri Carryover Year2	129821	ExcessDistriCarryoverYear2
Excess Distri Carryover Year1	118436	ExcessDistriCarryoverYear1
Total Excess Distri Carryover	536476	TotalExcessDistriCarryover
Qualifying Distributions	1133241	QualifyingDistributions
Applied To Year1	0	AppliedToYear1
Applied To Current Year	1048375	AppliedToCurrentYear
Remaining Distri From Corpus	84866	RemainingDistriFromCorpus
Total Corpus	621342	TotalCorpus
Taxable Amount2	0	TaxableAmount2
Undistributed Income CY	0	UndistributedIncomeCY
Excess Distri Cyov From Year5	250909	ExcessDistriCyovFromYear5
Excess Distri Cyov To Next Year	370433	ExcessDistriCyovToNextYear
Excess From Year3	37310	ExcessFromYear3
Excess From Year2	129821	ExcessFromYear2
Excess From Year1	118436	ExcessFromYear1
Excess From Current Year	84866	ExcessFromCurrentYear

Field	Value	IRS element (for citing)
Private Operating Foundations		PrivateOperatingFoundations

Supplementary Information SupplementaryInformation

Field	Value	IRS element (for citing)
Contributing Manager	ELIZABETH M WEBSTER	ContributingManager
Shareholder Manager	NONE	ShareholderManager
Only Contributes To Preselected	X	OnlyContributesToPreselected

Grant Or Contri Paid During Year GrantOrContriPaidDuringYear (138 entries)

Address Line1RecipientUSAddress/AddressLine1	CityRecipientUSAddress/City	StateRecipientUSAddress/State	ZIP CodeRecipientUSAddress/ZIPCode	Purpose Of Grant Or ContributionPurposeOfGrantOrContribution	AmountAmount
101
151 Moore Street	Princeton	NJ	08540	General Fund	$5,000
A Better Chance
240 West 35th Street 9th floor	New York	NY	10001	General Fund	$5,000
Aids Resource Foundation for Children
182 Roseville Avenue	Newark	NJ	07107	General Fund	$5,000
Alzheimer's Association
225 North Michigan Avenue	Chicago	IL	60601	General Fund	$3,000
American Cancer Society
POB 22718	Oklahoma City	OK	73123	General Fund	$10,000
American Red Cross
2025 E Street NW	Washington	DC	20006	General Fund	$2,500
American Repertory Ballet
80 Albany Street	New Brunswick	NJ	08901	General Fund	$10,000
Amnesty International of the USA Inc
5 Penn Plaza	New York	NY	10001	General Fund	$5,000
Assisting Children in Need
2 Cornelia Street Apt 402	New York	NY	10014	General Fund	$40,000
Blaine County Community Drug Coalition
1650 Aviation Drive	Hailey	ID	83333	General Fund	$5,000
Blaine County Education Foundation
P O Box 253	Hailey	ID	83333	General Fund	$20,000
Blue Curtain
115 Harris Road	Princeton	NJ	08540	General Fund	$20,000
Brooklyn Ballet
145 Hicks Street Suite A-45	Brooklyn	NY	11201	General Fund	$7,500
Cal Poly Pomona Foundation
3801 W Temple Ave	Pomona	CA	91768	General Fund	$5,000
Calpulli Mexican Dance Company
9110 34th Avenue Apt 5B	Jackson Heights	NY	11372	General Fund	$2,500
Cancer Hope Network
Two North Road Suite A	Chester	NJ	07930	General Fund	$5,000
CARE
151 Ellis Street NE	Atlanta	GA	30303	General Fund	$2,500
Carolyn E Wylie Center for Children Youth and Fa
7177 Potomac Street	Riverside	CA	92504	General Fund	$5,000
Cause Effective
505 Eighth Avenue Suite 1212	New York	NY	10018	General Fund	$2,500
Centurion Ministries
221 Witherspoon Street	Princeton	NJ	08542	General Fund	$5,000
City Parks Foundation
830 Fifth Avenue Room 280	New York	NY	10021	General Fund	$5,000
Citymeals-on-Wheels
355 Lexington Avenue	New York	NY	10017	General Fund	$2,500
Company of Fools
P O Box 329	Hailey	ID	83333	General Fund	$1,000
Corner House
369 Witherspoon Street	Princeton	NJ	08540	General Fund	$10,000
Council of NJ Grantmakers
101 West State Street	Trenton	NJ	08608	General Fund	$100
Council on Foundations
PO Box 0021	Washington	DC	20055	General Fund	$1,940
Crawford House Inc
362 Sunset Road	Skillman	NJ	08558	General Fund	$10,000
Creative Heartwork Inc
5 Drake Court	Boonton Township	NJ	07005	General Fund	$10,000
Croy Canyon Ranch
P O Box 640	Hailey	ID	83333	General Fund	$2,000
Drug Policy Alliance
925 Ninth Avenue	New York	NY	10019	General Fund	$5,000
El Puente de Williamsburg Inc
211 South 4th Street	Brooklyn	NY	11211	General Fund	$2,500
Environmental Defense Fund Inc
257 Park Avenue South	New York	NY	10010	General Fund	$2,500
FL Nimick Nature Center
HC 64 Box 453	Rector	PA	15677	General Fund	$10,000
First Baptist Church of Princeton
PO Box 501	Princeton	NJ	08540	General Fund	$5,000
PRINCETON HEALTHCARE SYSTEM FOUNDATION INC
253 WITHERSPOON STREET	PRINCETON	NJ	08540	General Fund	$100,000
Foxcroft School
PO Box 5555	Middleburg	VA	20118	General Fund	$25,000
NYC Lab School
333 West 17th Street	New York	NY	10011	General Fund	$2,500
MOTHERS2MOTHERS INTERNATIONAL
1622 N Curson Avenue	Los Angeles	CA	90046	General Fund	$10,000
Green Faith
46 Bayard Street Suite 401	New Brunswick	NJ	08901	General Fund	$1,000
Hailey Rotary Foundation Inc
P O Box 2190	Hailey	ID	83333	General Fund	$5,000
Hip-Hop Theater Festival Inc
57 Thames Street Suite 4B	Brooklyn	NY	11237	General Fund	$2,500
Historic Morven
55 Stockton Street	Princeton	NJ	08540	General Fund	$5,000
Hitops
21 Wiggins Street	Princeton	NJ	08540	General Fund	$10,000
Home Front
1880 Princeton Avenue	Lawrenceville	NJ	08648	General Fund	$10,000
Housing Initiatives of Princeton
11 Mercer Street	Princeton	NJ	08540	General Fund	$2,500
Interfaith Caregivers TrentonFaith In Action
229 Lawrence Road	Lawrenceville	NJ	08648	General Fund	$5,000
ISLES
10 Wood Street	Trenton	NJ	08618	General Fund	$10,000
Jewish Renaissance Foundation
PO Box 2506 149 Kearny Avenue	Perth Amboy	NJ	08862	General Fund	$1,000
La Mama
74A East 4th Street	New York	NY	10003	General Fund	$2,500
Latino International Theater Festival Of NY Inc
142 East 27th Street Suite 1A	New York	NY	10016	General Fund	$2,500
Lebanese American University
475 Riverside Drive	New York	NY	10115	General Fund	$25,000
Lighthouse International
111 East 59th Street	New York	NY	10022	General Fund	$2,500
Mariachi Academy of New York
1775 Third Avenue	New York	NY	10014	General Fund	$2,500
Mary Jacobs Memorial Library
64 Washington Street	Rocky Hill	NJ	08553	General Fund	$1,000
McCarter Theater
91 University Place	Princeton	NJ	08540	General Fund	$25,000
Mercer Street Friends
151 Mercer Street	Trenton	NJ	08611	General Fund	$10,000
Metropolitan Opera
Lincoln Center	New York	NY	10023	General Fund	$10,000
Montgomery Township Emergency Medical Services In
P O Box 105	Belle Mead	NJ	08502	General Fund	$2,500
Montgomery Township Fire Department #2
P O Box 267	Blawenberg	NJ	08504	General Fund	$2,500
NAMI Mercer NJ
88 Lakedale Drive	Lawrenceville	NJ	08648	General Fund	$5,000
Nassau Presbyterian Church
61 Nassau Street	Princeton	NJ	08542	General Fund	$15,000
National Sports Academy
12 Lake Placid Club Drive	Lake Placid	NY	12946	General Fund	$7,500
New Jersey Aids Partnership
15 Princess Road	Lawrenceville	NJ	08648	General Fund	$2,500
New Jersey Conservation Foundation
Bamboo Brook	Far Hills	NJ	07931	General Fund	$5,000
New Jersey SEEDS Center
303-309 Washington Street 4th floo	Newark	NJ	07102	General Fund	$1,000
New Yorkers for Parks
355 Lexington Avenue	New York	NY	10017	General Fund	$2,500
North Country SPCA
23 Lakeshore Road	Westport	NY	12993	General Fund	$5,000
North High School
1550 3rd Street	Riverside	CA	92503	General Fund	$23,000
Opera New Jersey
P O Box 3151	Princeton	NJ	08543	General Fund	$10,000
Partnership for the Delaware Estuary Inc
1009 Philadelphia Pike	Wilmington	DE	19809	General Fund	$2,500
Passage Theatre Company
P O Box 967	Trenton	NJ	08605	General Fund	$1,000
Pepperdine University
24255 Pacific Coast Highway	Malibu	CA	90263	General Fund	$50,000
Perris High School
175 East Nuevo Road	Perris	CA	92571	General Fund	$2,000
Philabundance
P O Box 37555	Philadelphia	PA	19148	General Fund	$2,500
Planned Parenthood of Mercer County
437 East State Street	Trenton	NJ	08608	General Fund	$20,000
Playgroup Cooperative
32 Carmine Street	New York	NY	10014	General Fund	$2,500
Presbyterian Church of the Big Wood
P O Box 660	Ketchum	ID	83340	General Fund	$5,000
Princeton Adult School
P O Box 701	Princeton	NJ	08542	General Fund	$1,000
Princeton Chamber Symphony
P O Box 250	Princeton	NJ	08540	General Fund	$5,000
Princeton Child Development Institute
300 Cold Soil Road	Princeton	NJ	08540	General Fund	$3,000
Princeton Day School
P O Box 75	Princeton	NJ	08542	General Fund	$25,000
Princeton Friends School
470 Quaker Road	Princeton	NJ	08540	General Fund	$10,000
Princeton Public Library
65 Witherspoon Street	Princeton	NJ	08542	General Fund	$5,000
Princeton Senior Resource Center
Spruce Circle	Princeton	NJ	08540	General Fund	$10,000
Princeton University
P O Box 46	Princeton	NJ	08544	General Fund	$5,000
Princeton YMCA
Paul Robeson Place	Princeton	NJ	08540	General Fund	$5,000
Princeton-Blairstown Center
158 Millbrook Road	Blairstown	NJ	07825	General Fund	$5,000
Princeton-YWCA
Paul Robeson Place	Princeton	NJ	08540	General Fund	$5,000
Ramona High School
7675 Magnolia Avenue	Riverside	CA	92504	General Fund	$2,000
Riverside Art Museum
3425 Mission Inn Avenue	Riverside	CA	92501	General Fund	$3,000
Rutgers University Foundation
7 College Avenue	New Brunswick	NJ	08901	General Fund	$10,000
Sagebrush Equine Training Center for the Handicapp
P O Box 2918	Sun Valley	ID	83353	General Fund	$2,500
Sarah Lawrence College
1 Mead Way	Bronxville	NY	10708	General Fund	$2,500
Second Wind
759 State Road	Princeton	NJ	08540	General Fund	$7,500
Sheenway School and Culture
10101-25 South Broadway	Los Angeles	CA	90003	General Fund	$15,000
Sheridan College Foundation
P O Box 6328	Sheridan	WY	82801	General Fund	$5,000
Small Animal Rescue League
900 Herrontown Road	Princeton	NJ	08540	General Fund	$20,000
Somerset Home for Temporarily Displaced Children
49 Brahma Avenue	Bridgewater	NJ	08807	General Fund	$2,500
South Brunswick Board of Education
PO Box 181 4 Executive Drive	Monmouth Junction	NJ	08852	General Fund	$5,000
Special Operations Warrior Foundation
P O Box 14385	Tampa	FL	33690	General Fund	$15,000
St Luke Center for Community Health
1450 Aviation Drive	Hailey	ID	83333	General Fund	$1,000
St Luke's WOOD RIVER FOUNDATION
P O Box 7005	KETCHUM	ID	83340	General Fund	$35,000
Stony Brook-Millstone Watersheds Assoc
31 Titus Mill Road	Pennington	NJ	08534	General Fund	$5,000
Synergos Institue Inc
51 Madison Avenue 21st Floor	New York	NY	10110	General Fund	$5,000
TASIS Foundation Inc
1640 Wisconsin Avenue NW	Washington	DC	20007	General Fund	$25,000
The American Boychoir School
19 Lambert Drive	Princeton	NJ	08540	General Fund	$10,000
The Blaine County Police Activities League
1650 Aviation Drive	Hailey	ID	83333	General Fund	$3,000
The Builders Association
453 Broome Street 4C	New York	NY	10013	General Fund	$7,500
The Career Wardrobe
1211 Chesnut Street- Suite 205	Philadelphia	PA	19107	General Fund	$2,000
The Community Library Association Inc
P O Box 2168	Boise	ID	83340	General Fund	$1,000
The Community Norms Messaging Campaign
1650 Aviation Drive	Hailey	ID	83333	General Fund	$2,000
The Crisis Ministry of Princeton and Trenton
61 Nassau Street	Princeton	NJ	08542	General Fund	$10,000
The Drumthwacket Foundation Inc
354 Stockton Street	Princeton	NJ	08540	General Fund	$5,000
The Foundation Fighting Blindness
14 Nassau Street	Princeton	NJ	08542	General Fund	$1,000
The Frick Collection
1 East 70th Street	New York	NY	10021	General Fund	$10,000
The Joy of Athletics Foundation
P O Box 216	Richmond	MA	01254	General Fund	$5,000
The Lawrenceville School
P O Box 6125	Lawrenceville	NJ	08648	General Fund	$20,000
The New Grange School
526 South Olden Avenue	Hamilton	NJ	08629	General Fund	$2,000
The Patriots Theater Foundation Inc
P O Box 232	Trenton	NJ	08625	General Fund	$5,000
The Princeton Hub Inc
70 Jefferson Road	Princeton	NJ	08540	General Fund	$1,000
The Smile Train
245 Fifth Avenue Suite 2201	New York	NY	10016	General Fund	$5,000
The Trenton Area Soup Kitchen
P O Box 872	Trenton	NJ	08605	General Fund	$10,000
TIGHAR
2812 Fawkes Drive	Wilmington	DE	19808	General Fund	$30,000
Trinity Counseling Service
22 Stockton Street	Princeton	NJ	08540	General Fund	$15,000
United Warrior Survivor Foundation
P O Box 181097	Coronado	CA	92178	General Fund	$15,000
VOICES
P O Box 404	Princeton	NJ	08534	General Fund	$1,000
Womanspace Inc
1212 Stuyvesant Avenue	Trenton	NJ	08618	General Fund	$5,000
Women Helping Women
224 Main Street	Metuchen	NJ	08840	General Fund	$2,500
Women's Entrepreneurial Foundation
127 US Highway 206 Suite 28	Hamilton	NJ	08610	General Fund	$2,500
Women's Health and Counseling Center
95 Veterans Memorial Drive East	Somerville	NJ	08876	General Fund	$2,500
LEARNING ALLY
20 ROSZEL ROAD	PRINCETON	NJ	08540	General Fund	$2,500
Young Scholars Institute
399 W State Street	Trenton	NJ	08618	General Fund	$2,500
SOMEONE CARES SOUP KITCHEN & TUTORING
720 WEST 19 STREET	COSTA MESA	CA	92627	GENERAL FUND	$3,000
ST FRANCIS FOOD PANTIRES & SHELTERS
450 SEVENTH AVENUE	NEW YORK	NY	10123	GENERAL FUND	$5,000
THE CHALLIS JOINT SCHOOL DISTRICT 181
POB 304	CHALLIS	ID	83226	GENERAL FUND	$10,000
THE SENIOR CONNECTION
721 3RD AVENUE SOUTH	HAILEY	ID	83333	GENERAL FUND	$10,000
UIH FAMILY PARTNERS
764 BELLEVUE AVENUE	TRENTON	NJ	08618	GENERAL FUND	$2,500
VOLUNTEERCONNECT INC
POB 615	PRINCETON	NJ	08542	GENERAL FUND	$2,500

Field	Value	IRS element (for citing)
Tot Grant Or Contri Paid During Year	1121540	TotGrantOrContriPaidDuringYear

Analysis Income Producing Acty AnalysisIncomeProducingActy

Field	Value	IRS element (for citing)
Fees Contracts From Govt Agencies		FeesContractsFromGovtAgencies
Membership Dues And Assessments		MembershipDuesAndAssessments

Int On Savings And Temp Cash Invst IntOnSavingsAndTempCashInvst

Field	Value	IRS element (for citing)
Exclusion Code	14	ExclusionCode
Exclusion	$198,003	ExclusionAmount

Dividends And Int From Sec Part VII DividendsAndIntFromSecPartVII

Field	Value	IRS element (for citing)
Exclusion Code	14	ExclusionCode
Exclusion	$290,412	ExclusionAmount

Field	Value	IRS element (for citing)
Net Rental Incm Re Debt Fincd Prop		NetRentalIncmReDebtFincdProp
Net Rntl Incm Re Not Debt Fincd Prop		NetRntlIncmReNotDebtFincdProp
Net Rental Incm Personal Property		NetRentalIncmPersonalProperty
Other Investment Income Part VII		OtherInvestmentIncomePartVII

Gain Sales Assets Oth Than Invntry GainSalesAssetsOthThanInvntry

Field	Value	IRS element (for citing)
Exclusion Code	18	ExclusionCode
Exclusion	$770,644	ExclusionAmount

Field	Value	IRS element (for citing)
Net Income Loss From Special Events		NetIncomeLossFromSpecialEvents
Gross Profit Loss Sales Of Invntry		GrossProfitLossSalesOfInvntry

Subtotals Part XVIA SubtotalsPartXVIA

Field	Value	IRS element (for citing)
Exclusion	$1,259,059	ExclusionAmount

Field	Value	IRS element (for citing)
Total Part XVIA	1259059	TotalPartXVIA

Trnsfr Tr Rln With Noncharitable EO TrnsfrTrRlnWithNoncharitableEO

Field	Value	IRS element (for citing)
Trnsfr Of Cash To Noncharitable EO	false	TrnsfrOfCashToNoncharitableEO
Trnsfr Oth Assets Noncharitable EO	false	TrnsfrOthAssetsNoncharitableEO
Sales Or Exchanges Of Assets	false	SalesOrExchangesOfAssets
Purchase Assets Noncharitable EO	false	PurchaseAssetsNoncharitableEO
Rental Of Facilities Etc	false	RentalOfFacilitiesEtc
Reimbursement Arrangements	false	ReimbursementArrangements
Loans Or Loan Guarantees	false	LoansOrLoanGuarantees
Performance Of Services Etc	false	PerformanceOfServicesEtc
Sharing Of Facilities Etc	false	SharingOfFacilitiesEtc
Relationships Noncharitable E Os	false	RelationshipsNoncharitableEOs

Accounting Fees Schedule AccountingFeesSchedule

Accounting Fees AccountingFees

Field	Value	IRS element (for citing)
Category	ROCKEFELLER&CO ACCOUNTING FEES	Category
Amount	$15,400	Amount
Net Investment Income	10267	NetInvestmentIncome
Disbursements Charitable Prps	5133	DisbursementsCharitablePrps

All Oth Prog Rltd Investments Sch AllOthProgRltdInvestmentsSch

All Oth Prog Rltd Investments AllOthProgRltdInvestments

Field	Value	IRS element (for citing)
Description	NONE	Description

Depreciation Schedule DepreciationSchedule

Investments Corp Bonds Schedule InvestmentsCorpBondsSchedule

Investments Corp Bonds InvestmentsCorpBonds (53 entries)

Name Of BondNameOfBond	EOY Book ValueEOYBookValue	EOYFMVEOYFMV
10000 JOHN DEERE CAP 5.5% 4/13	0	0
100000 3M COMPANY 4.375% DUE 0	106432	106298
100000 BB&T CORPORATION 3.95%	106845	107436
100000 CATERPILLAR FIN 5.75% 0	0	0
100000 CSX CORP DEBENTURES 6.2	99968	114261
100000 CVS CORP, 5.75%	0	0
100000 DOW CHEMICAL COMPANY 4.	100761	103944
100000 E.I. DU PONT, 6% 07/15/	0	0
100000 ESTEE LAUDER 5.55% 05/1	0	0
100000 FFCB, 4.70% 8/10/2015	0	0
100000 GENERAL MILLS INC 5.70%	114634	117166
100000 IBM CORP. SR. UNSEC NOT	103909	103406
100000 MCDONALD'S CORP 5.80% D	120378	121814
100000 PEPSICO INC. NOTES, 5.1	101768	101687
100000 STATOIL 5.125% DUE 04/3	0	0
100000 UNITED PARCEL SERVICE 5	120145	120795
100000 WALGREEN CO. 5.25% DUE	114788	118884
100000 WAL-MART STORES INC. 5.	116787	122584
100000 WELLS FARGO BANK NA SUB	0	0
120000 TORONTO DOMINION BANK 2	121779	122111
150000 J&J 5.15% DUE 07/15/201	0	0
150000 JOHNSON & JOHNSON 5.15%	159776	181106
20000 JPM CHASE FDIC 2.125% 12	0	0
200000 AVON PRODUCTS 6.50% DUE	0	0
200000 BERKSHIRE HATHAWAY 5% 8	0	0
200000 CONOCOPHILL CA 5.625% 1	0	0
200000 UNITED TECHNOLOGIES COR	0	0
205000 ROYAL BANK OF SCOT GRP	0	0
225000 FEDERAL HOME LOAN BANK	259312	270023
250000 FANNIE MAE FNMA 5.375%	301533	302057
250000 GE CAP CORP 4.00% 2/15/	0	0
265000 BOTTLING GROUP LLC NOTE	0	0
281323 CENTERPOINT CNP 4.97% 8	0	0
300000 FEDERAL FARM CREDIT BAN	343516	353535
300000 FFCB 2.125% DUE 06/18/1	0	0
300000 FREDDIE MAC FHLMC 1.375	304355	304852
40000 FEDEX CORP NOTES, 8.0% D	52093	52524
50000 BOEING, 6.00% DUE ON 03/	58602	60641
50000 CAMPBELL SOUP CO 4.25% D	55255	55788
50000 CATEPILLAR INC. 5.7% 8/1	57755	58673
50000 COMCAST CORP NOTES, 5.30	54138	53878
50000 DIAGEO CAP PLC 5.750% DU	57680	58672
50000 E.I. DU PONT DE NEMOURS,	47843	61114
50000 GENERAL DYNAMICS CORP NO	54657	54556
50000 HONEYWELL INTERNATIONAL	55930	58195
50000 JP MORGAN CHASE 3.70% D	52136	51840
50000 NORFOLK SOUTHERN CORP. S	0	0
50000 VERIZON COMMUNICATIONS 6	59031	60925
50000 WELLS FARGO & COMPANY, 5	56347	56976
60000 DUKE ENERGY INDIANA INC.	61209	64426
65000 BANK OF AMER CO 5.75% 8/	0	0
85000 BEAR STEARNS CO. 5.3% 10	0	0
96133.24 CSX TRANS, 8.375% 10/	0	0

Investments Corp Stock Schedule InvestmentsCorpStockSchedule

Investments Corp Stock InvestmentsCorpStock (92 entries)

Name Of StockNameOfStock	EOY Book ValueEOYBookValue	EOYFMVEOYFMV
ADVANCE AUTO PARTS, INC.	78936	143438
AERCAP HOLDINGS NV	0	0
AFLAC, INC.	274072	282055
ALEXION PHARMACEUTICALS, INC.	29124	92235
ALLSTATE CORPORATION	139356	112929
AMERIPRISE FINANCIAL, INC.	0	0
ANADARKO PETROLEUM CORPORATION	182435	240440
ANNALY MORTGAGE MANAGEMENT INC	0	0
APACHE CORPORATION	143061	156703
APPLE INC.	199943	313875
AVERY DENNISON CORP.	0	0
BAKER HUGHES INCORPORATED	137133	159053
BANK OF AMERICA CORPORATION	0	0
BIOMARIN PHARMACEUTICAL INC.	73959	107266
BNP PARIBAS	0	0
BOSKALIS WESTMINSTER - CVA	93139	107394
CAREFUSION CORPORATION	154521	193116
CENTRICA PLC	231859	261443
CHEVRON CORPORATION	77509	252168
CHINA AGRI-INDUSTRIES HOLDINGS	89822	54028
CHINA HIGH SPEED TRANSMISSION	0	0
CHINA MOBILE (HONG KONG) LIMIT	268763	291910
CHUNGHWA TELECOM LTD ADR	94713	128527
CISCO SYSTEMS, INC.	167310	175918
CIT GROUP, INC.	0	0
COMCAST CORPORATION - CL A	130132	203906
COMERICA INCORPORATED	112853	77658
COMMUNITY HEALTH CARE	0	0
CONTINENTAL RESOURCES, INC.	57766	163440
COVIDIEN PLC	119818	151234
CREDIT SUISSE GROUP	0	0
CREE, INC.	62996	30636
FEDEX CORPORATION	126367	165350
GALAXY ENTERTAINMENT GROUP LIM	57528	120460
GOLDMAN SACHS GROUP, INC.	71325	66014
GOOGLE INC - CLASS A	382378	423065
HERTZ GLOBAL HOLDINGS INC.	115365	112746
HEWLETT-PACKARD COMPANY	289281	208141
HONEYWELL INC.	166846	239140
HUMAN GENOME SCIENCES INC.	0	0
HYUNDAI MOTOR CO., LTD. - 2ND	161461	122900
INTEL CORP.	0	0
INTERCONTINENTAL HOTELS GROUP	77840	138633
INTERTEK GROUP PLC	101995	165403
INTESA SANPAOLO	115745	109506
JOHNSON MATTHEY PLC	169190	176335
KOREA ELECTRIC POWER CORPORATI	227246	198722
LG ELECTRONICS INC. - PFD	60653	34375
MASTERCARD INC - CLASS A	67641	147264
MICROSOFT CORP.	307186	316193
MITSUI & CO., LTD.	131822	122905
MORGAN STANLEY	156572	87905
MSCI INC. - A	89870	80349
NETAPP, INC.	110297	110624
NEWMONT MINING CORPORATION	0	0
NGK INSULATORS LTD.	136330	106914
NOVARTIS AG - ADR	299571	301858
NYSE EURONEXT	105631	107793
OCEANEERING INTERNATIONAL, INC	52329	84879
OGX PETROLEO E GAS PARTICIPACO	78996	61337
PEPSICO, INC	198243	250803
PFIZER INC.	174617	215751
PHILIPPINE LONG DISTANCE TELEP	55451	57044
PRUDENTIAL PLC	117862	116495
QUALCOMM INC.	151046	218800
QUEST DIAGNOSTICS INCORPORATED	192378	195082
REGENERON PHARMACEUTICALS	47502	88688
REPUBLIC SERVICES INC. CL A	0	0
ROYAL DUTCH SHELL PLC-ADR A	192487	254499
SAFRAN SA	169424	178632
SAMSUNG ELECTRONICS CO., LTD P	115397	115799
SANTOS LIMITED	128769	109171
SCHNEIDER ELECTRIC SA
SEMEN GRESIK (PERSERO) TBK	62109	75765
SKF AB - B SHS	0	0
SMITHS GROUP PLC	148199	122292
STATE STREET CORP.	0	0
SUMCO CORPORATION	0	0
SVENSKA HANDELSBANKEN AB - A S	149075	144424
SWEDBANK AB	87171	108718
THE MCGRAW-HILL COMPANIES, INC		296802
THE TRAVELERS COMPANIES, INC.	0	0
THERMO FISHER SCIENTIFIC INC.	126861	131762
TORONTO-DOMINION BANK	135784	157849
TULLOW OIL PLC	52884	56868
VEDANTA RESOURCES PLC	175655	83445
VODAFONE GROUP PLC - SP ADR	241427	333837
WAL-MART STORES, INC.	191244	248004
WELLPOINT INC.	130737	173575
WELLS FARGO COMPANY	127950	215795
WYNN MACAU, LIMITED	61006	76076
YUM! BRANDS, INC.	76732	183521

Investments Govt Obligations Sch InvestmentsGovtObligationsSch

Field	Value	IRS element (for citing)
US Govt Securities EOY Book Value	1507730	USGovtSecuritiesEOYBookValue
US Govt Securities EOYFMV	1547526	USGovtSecuritiesEOYFMV
State Local Securities EOY Book Val	929561	StateLocalSecuritiesEOYBookVal
State Local Securities EOYFMV	929467	StateLocalSecuritiesEOYFMV

Investments Other Schedule2 InvestmentsOtherSchedule2

Investments Other InvestmentsOther

Field	Value	IRS element (for citing)
Category Or Item	5500 FUND LP	CategoryOrItem
Listed At Cost Or FMV	AT COST	ListedAtCostOrFMV
Book Value	897224	BookValue
EOYFMV	2101778	EOYFMV

Land Etc Schedule2 LandEtcSchedule2

Legal Fees Schedule LegalFeesSchedule

Legal Fees LegalFees

Field	Value	IRS element (for citing)
Category	DRINKER BIDDLE & REATH LLP	Category
Amount	$12,115	Amount
Net Investment Income	8077	NetInvestmentIncome
Disbursements Charitable Prps	4038	DisbursementsCharitablePrps

Other Expenses Schedule OtherExpensesSchedule

Other Expenses OtherExpenses (5 entries)

DescriptionDescription	Revenue And Expenses Per BooksRevenueAndExpensesPerBooks	Disbursements Charitable PrpsDisbursementsCharitablePrps	Net Investment IncomeNetInvestmentIncome
MEMBERSHIP DUES	2500	2500
FEES	30	30
PORTFOLIO DEDUCTIONS THRU K-1	34735		34735
BANK CHARGES	592		592
MISCELLANEOUS EXPENSE	10		10

Other Professional Fees Schedule OtherProfessionalFeesSchedule

Other Professional Fees OtherProfessionalFees (2 entries)

CategoryCategory	AmountAmount	Net Investment IncomeNetInvestmentIncome
ROCKEFELLER & CO - INVESTMENT	$105,995	105995
MERRILL LYNCH - CONSULTING FEE	$10,500	10500

Taxes Schedule TaxesSchedule

Taxes Taxes (2 entries)

CategoryCategory	AmountAmount	Net Investment IncomeNetInvestmentIncome
US EXCISE TAX-EST PYMTS	$8,000
FOREIGN TAX ON DIVIDENDS RECD	$21,563	21563