0a45c868.tif 926 000 956048985 201312 990PF

User Manual: 926 000

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cl

liki

'

990=PF

Form

Department

of

the

Treasury

Internal

Revenue

Service

Return

of Private

Foundation

or

Section

4947(a)(1)

Trust

Treated

as

Private

Foundation

Do

not

enter

Social

Security

numbers

on

this

form

as

it

may

be

made

public.

Information

about

Form

990-PF

and

its

separate

instructions

is

at

www.irs.gov/form990pf

OMB

No

1545-0052

2013

For

ca lendar

year

20 13

,

o

r

tax

year beginning

,

2013

,

and

ending

,

A

Employer

identification

number

ESSICK

FOUNDATI

N,

INC.

95-6048985

1379

LA

SOLANA

D

RIVE

B

Telephone

number

(see

the

instructions)

ALTADENA,

CA

91

01

626-794-7992

If

t

I

t

d

h

11k

G

Check

all

that

apply

Initial

return

Initial

return

of

a

former

public

charity

.,

exemp

ion

app

Ica

ion

is

pen

Ing,

c

ec

ere

Final

return

Amended

return

D

1

Foreign

organizations,

check

here

Address

change

Name

change

check

2

Foreign

organizations

meeting

the

85%

test

H

Check

type

of

org

nlzatlon

}{

Section

501

(c)(3)

exempt

private

foundation

❑

,

here

and

attach

computation

Section

4947(

(1)

nonexempt

charitable

trust

11

Other

taxable

private

foundation

E

If

private

foundation

status

was

terminated

I

Fair

market

value

of

all

assets

at

end

of

year

J

Accounting

method

Cash

X

Accrual

under

section

507(b)(1)(A),

check

here

(from

Part

11,

column

(

,

line

16)

Other

(specify)

F

If

the

foundation

is

in

a

60-month

termination

check

here

D

under

section

507(b)(1)(B)

$

3,

07,

594.

(Part

,

column

(d)

must

be

on

cash

bass)

,

art

A

na

l

ysis

o

evenue

an

Ex

p

enses

total

of

amounts

in

(a)

Revenue

and

(b)

Net

investment

(c)

Adjusted

net

(d)

Disbursements

h

bl

f

columns

(b),

(c)

and

(d)

may

not

neces-

expenses

per

books

income income

or

c

arita

e

purposes

(cash

sarily

equal

t

e

amounts

In

column

(a)

basis

only)

(

see

instruct/

ns)

)

Conlnbut

ion

,

gifts,

grants,

etc.

received

(all

sch)

^^^

2

Ck

.

if

if

the

foundn

is

not

req

to

all

Sch

B

N

3

Interes

t

n

savings

and

temporary

cash

Inv

stments

45,637.

45,

637.

45,

637.

=

4

Dividends

a

d

interest

from

securities

112

777.

112

,

777.

112,

777.

5 a

Gross

re

is

b

Net

rental

i

come

,

'-

.R-

or

(loss)

6a

Net

gain

/(

lo

s)

from

sale

of

assets

not

on

line

10

---

--

--

^----

-

672

.

-

-

`+,

''

E

b

Gross

sale

pr

i

ce

for

all

926

393.

,

assets

on

Ii

e

6a

4

E1J

7

Capital

gai net

income

(from

Part

IV,

line

2)

,

672

' '

"

'

_

•t

-

-

},

.,°,'

_

^

N-

8

Net

sho

t-term

capital

gain

p<F-

,

fr

I

P°-

1J

I

%

U=

9

Income

odlficatlons

I

r

'-

•°

-

^

V

.

-

E

°

Gross

sale

less

10

VJ

a

returns

an

allowance

n

NA

o

:l

?

4

0

03

b

Less

Cost

of

_

I I

goods

sot

I

W

'

c

Gross

pro

it/(loss)

(att

sch

)

I

,

t

t t

11

Other

I

come

(attach

schedule)

L

^J

lj

U

L^ Id

f

L

12

Total.

dd

lines

1

through

11

159

086.

159

086.

158

414.

13

Ccmpens

lion of

officers,

directors,

trustees

etc

14

Other

e

ployee

salaries

and

wages

15

Pensio

plans,

employee

benefits

A

16a

Legal

fe

s

(attach

schedule)

D

b

Account)

g

fees

(attach

sch)

SEE ST

1

14,

500.

4,834.

9,666.

I

N

c

Other

p

(fees

(attach

sch)

0

1

P

s

17

Intere

t

E T

R

18

Taxes

(

alt

ch

schedulexsee

insl(s

)

SEE

STM

2

1,517.

A

A

19

Depre

iation

(attach

•4

T T

sch)

nd

depletion

N

v

20

Occu

ancy

G

E

21

Trave

,

conferences,

and

meetings

A

E

N

22

Printi

g

and

publications

D

p

23

Othe

expenses

(attach

schedule)

N

SEE

STATEMENT

3

7,522. 2,506.

5,

016

.

s

24

Total

operating

and

administrative

s

expe

se

S

'

Add

lines

13

through

23

23,

539.

7,

340.

1

4,682.

25

Contrl

utions,

gifts,

grants

paid

PART

XV

141

,

000.

14

1,

26 Tota

expenses

and

disbursements.

Add

Ines

24

and

25

164,

539.

7,340.

0.

15

5,682.

27

Sub

ract

line

26

from

line

12:

a

Exc

ss

of

revenue

over

expenses

and disbursements

-5,

453.

_-"

:k

'

b

Net

i

vestment

income

(if

negative,

enter

-0-)

151,7

46.

C

Ad

u

led

net

income

(it

negative,

enter

-0-)

[

777

'7

--

-

k

'

158

,

414

bbAA

ror

rape

orK

rceaucuon

ACT

rvoace,

see

Instructions

.

lL

AU

041_

iUnS/13

corm

vvu-

14^1.

Fnrm

990-PF

•(2013)

R44T('F<

FGT1NT)ATTON_

TNC

95-6048985

Page

2

h

-

Attached schedules

and

amounts

in

the

description

Beginning

of

year

End

of

year

Balance

S

e

Part

11

t5

column

should

be

foi

end

of

year

amounts

only

l

F

M

k

t

V

(See

instructions

(a)

Book

Value

(b)

Book

Value

air

ar

e a

ue

(c)

1

Cash

-

non-In Brest-bearing

49,101. 24,130.

2

Savings

and

t

mporary

cash

investments

3

Accounts

recei

able

- -

-

-

-

-

- -

-

-

-

-

-

Less

allowan

e

for

doubtful

accounts

4

Pledges

recei

-

able

----------

-----------

-

-

=

-

Less

allowan

e

for

doubtful

accounts

5

Grants

receiva

- -

-

-

-

-

-

-

-

le

6

Receivables

due

fr

m

officers,

directors,

trustees,

and

other

disqualified

perso

s

(attach

schedule)

(see

instructions)

7

Other

notes

and

to

ns

receivable

(attach

sch)

_

=

µ

-

f

S

Less

allowan

e

for

doubtful

accounts

S

-----------

8

Inventories

for

sale

or

use

E

T

9

Prepaid

expe

ses

and

deferred

charges

1,

243.

S

10a

Investments

U

S

and

state

government

obligations

(at

ach

schedule)

b

Investments

-

co

porate

stock

(attach

schedule)

c

Investments

-

co

porate

bonds

(attach

schedule)

11

Investments

land,

buildings,

and

^

equipment

b

sis

^

--

-

-

--

--

-

-

-

a

__3

Less

accumulate

depreciation

(attach

schedule)

-

- -

-

-

-

-

-

-

12

Investments

mortgage

loans

13

Investments

other

(attach

schedule)

2,

936,

051.

2,

953,

175.

3,107,594.

14

Land,

bulldln

s,

and

equipment

baslsril

-----------

Less

accumulate

depreciation

(attach

schedule)

_

15

Other

assets

describe

-------

16

Total

assets

to

be

competed

by

all

filers

-

see

the

instru

tions

Also,

see

page

1,

item

I)

2,

985

152.

2,

978,

548.

3,

107,

594.

L

17

Accounts

pay

ble

and

accrued

expenses

A

18

Grants

payab

e

B

19

Deferred

rev

nue

•z,

-

20

Loans

from

offic

rs,

directors,

trustees,

&

other

disqualified

persons

I

21

Mortgages and

o

her

notes

payable

(attach

schedule)

T

22

Other

liabllltl

s

(describe'

)

1,151.

E

S

23

Total

liabiliti

s

(add

lines

17

through

22)

1,151.

0.

Foundations

that

follow

SFAS

117,

check

here

and complet

lines

24 through

26

and

lines

30

and

31.

N

F

24

Unrestricted

EU

T N

25

Temporarily

estricted

D

26 Permanently

restricted

,

S

B

Foundations

that

do

not

follow

SFAS

117,

check

here

X

C

a

S

A

and complet

e

lines

27 through

31.

E

L

T

A

27

Capital

stock

trust

principal,

or

current

funds 9

SN

28

Paid-in

or

capita

surplus,

or

land,

building,

and

equipment

fund

C

O

E

29

Retained

earnin

,

accumulated

income,

endowment,

or

other

funds

2,

984,

001.

2,978,548.

R

S

30

Total

net

as

s

ets

or

fund

balances

(see

instructions)

2,

984,

001.

2,

978,548.

31

Total

liabiliti

s

and

net

assets

/

fund

balances

(see

instructi

o

ns)

2,

985,

152.

2,

978,

548.

Part

III

I

Analysis

otl

Uhanges

in

Net

Assets

or

I-

unc]

balances

1

Total net

assets

or

fund

balances

at

beginning

of

year

-

Part

II,

column

(a),

line

30

(must agree

with

end-of-year

figure

eported

on

prior

year's

return)

1

2,

984,

001.

2Enter

amount

fro

Part

I,

line

27a

2

-5,

453.

3

Other

increases

not

Inc)

ded

in

line

2

(itemize)

-

-------------------------

-

3

4

---

Add

lines

1,2,an

3

42,

978,548.

5

Decreases

not

included

in

line 2

(itemize)

'

5

6

Total

net

assets

o

fund

balances

at

end

of

year

(line

4

minus

line

5)

-

Part

II,

column

(b),

line

3Q

6

2,

978,548.

BAA

TEEA0302L

07/09/13

Form

990-PF

(2013)

Form

990-PF

(2013)

ESSICK

FOUNDATION,

INC.

95-6048985

Page

3

f''

-W-J

Gai-o-

r

it

-a

-M

aihs

an

d

Losses

for

Tax

on

I

nvestment

I

ncome

(a)

List

an

describe

the

kind(s)

of

property

sold

(e

g

,

real

estate,

2-story

brick

warehouse,

or

common

stock,

200

shares

MLC

Company)

How

acquired

P

-

Purchase

D

-

Donation

(C)

Date

acquired

(month,

day,

year)

Date

sold

(month

day,

year)

1a

MERRILL

LYN

C

H

STOCK

TRANSACTIONS

P

VARIOUS

VARIOUS

b

MERRILL

LYN

C

H

STOCK

TRANSACTIONS

P

VARIOUS VARIOUS

C

d

e

(e)

Gross

sales

prt

e

(f)

Depreciation allowed

(or

allowable)

(g)

Cost

or

other

basis

plus

expense

of

sale

(h)

Gain

or

(loss)

(e)

plus

(f)

minus

(g)

a

921,143. 921,647.

-504.

b

5,250.

4,074.

1,176.

C

d

e

Complete

only

for

as

ets

showing

gain

in

column

(h)

and

owned

by

the

foundation

on

12/31/69

(I)

Gains

(Column

(h)

(t)

Fair

Market

Vale

as

of

12/31

/69

(j)

Adjusted

basis

as

of

12/31

/69

(k)

Excess

of

column

(i)

over

column

0),

if

any

gain

minus

column

(k),

but

not

less

than

0-)

or

Losses (from

column

(h))

a

-504.

b

1,176.

C

d

e

2

Capital

gain

net

income

or

(net capital loss)

If

gain,

also

enter

in

Part

I,

line

7

{If

(loss),

enter

-0-

in

Part

I,

line

7

2

672

.

3

Net

short-term

capital-gain

or

(loss)

as

defined

in

sections

1222(5)

and

(6)

If

gain,

also

enter

in

Part

I,

line

8,

column

(c)

(see

instructions)

If

(loss),

enter

-0-

in

Part

I,

line

83

0.

Isar[

V

'

'.

uallTlcatl

n

under

section

4u4u(e

)

Tor

Keaucea

i

ax

on

Nei

Investment

income

(For

optional

use

by

dome

tic

private

foundations

subject

to

the

section

4940(a)

tax

on

net

investment

income

)

If

section

4940(d)(2)

applies,

leave

this

part

blank

Was

the

foundation

liable

or

the

section

4942

tax

on

the

distributable

amount

of

any

year

in

the

base

period?

EYes

Fx]

No

If

'Yes,'

the

foundation

dos

not

qualify

under

section

4940

(

e)

Do

not

complete

this

part

1

Enter

the

appropriat

e

amount

in

each

column

for

each

year

,

see

the

instructions

before

making

any

entries

a

Base

period

year

Calendar

year

(or

to

year

beginning

in)

(

b

)

Adjusted

qualifying

distributions

(

c

)

Net

value

of

noncharitable-use assets

d

Distribution

ratio

(column

(b)

divided

by

column

(c))

2012

146,

665.

3,

038,

515.

0.048269

2011

150,

102.

2,

986,

057.

0.050268

2010

141,348.

2,893,143. 0.048856

2009

117,494.

2,505,783.

0.046889

2008

142,896.

2,878,854.

0.049636

2

Total

of

line

1,

column

(d)

2

0.243918

3

Average

distribution

ratio for

the

5-year

base

period

-

divide the

total

on

line

number

of

years

the

foundation

has

been

in

existence

if

less

than

5

years

2by

5,

or

by

the

3

0

.

048784

4

Enter

the net

value

of

noncharitable-use assets

for

2013

from

Part

X,

line

5

4

3,

119,

987.

5

Multiply

line

4

by

lin

3

5

152,

205.

6

Enter

1

%

of

net

investment

income

(1

%

of

Part

I,

line

27b) 6

1,517.

7

Addlnes5and6

7

153,722.

8

Enter

qualifying

disc

ibutions

from

Part

XII,

line

4

8

155,682.

If

line

8

is

equal

to

^r

greater

than

line

7,

check

the

box

in

Part

VI,

line

1

b,

and

complete

that

part

using

a

1

%

tax

rate

See

the

Part

VI

instructions

BAA

Form

990-PF

(2013)

TEEA0303L

07/09/13

Form

990-PF

'(2013)

E

P

art.

V

1

CK

FOUNDATION,

INC.

95-6048985

Page

4

on

investment

income

(Section

4940(a),

4940(b),

4940(e),

or

4948

-

see

instructions)

1

a

Exempt

operating

foundati

ns

described

in

section

4940(d)(2),

check

here

and

enter

'N/A'

on

line

1

= b

_

Mrv

N

,

„;

Date

of

ruling or

determina

tion

letter

(

attach

copy

of

letter

if

necessary

-

see

instrs)

b

Domestic

foundation

that

meet

the

section

4940(e) requirements

in

Part

V,

1

1,517.

check

here

•

a

d

enter

1

%

of

Part

I,

line

27b

c

All

other

domestic

foundat ons

enter

2%

of line

27b

Exempt

foreign

organizations

enter

4%

of

Part

I,

line 12,

column

(b)

a

=-

j

=

)

2

Tax

under

section

51

1

(domestic

section

4947(a)(1)

trusts

and

taxable

foundations

only

Oth

ers

enter

-0-)

2

0

.

3

Add

lines

1

and

2

3

1,517.

4

Subtitle

A

(income)

t

ax

(domestic

section

4947(a)(1)

trusts

and

taxable

foundations

only

Others

enter

-0-)

4

0

.

5

Tax

based

on

invest

ent

income

.

Subtract

line

4

from

line

3

If

zero

or

less,

enter

-0-

5

1,517.

6

Credits/Payments

,

<

y

^•F

^-'-

'`-$*

-'mil

a

2013

estimated

tax

pmts

an

d

2012

overpayment

credited

to

2013

6a

2,760.

b

Exempt

foreign

organ

izations

-

tax

withheld

at

source

6b

c

Tax

paid with

applic

tion

for

extension

of

time

to

file

(Form

8868)

6

c

-

d

Backup

withholding

rroneously

withheld

6

d

`NS

4i

7

Total

credits

and

pay

ments

Add

lines

6a

through

6d

7

2,760

.

8

Enter

any

penalty

fo

underpayment

of

estimated

tax

Check

here

if

Form

2220

is

attached 8

9

Tax

due.

If

the

total

of line

s

5

and

8

is

more

than

line

7,

enter

amount

owed

9

0

.

10

Overpayment

If

line 7

is

ore

than

the

total

of

lines

5

and

8,

enter

the

amount

overpaid

10

1,

2

43

.

11

Enter

the

amount

of

line

1

to

be

Credited

to

2014

estimated

tax

1,2

43.

1

Refunded

-

F

1

1

0

,

art-

-

S

tatemen

t

s

R

egar

d

ing

A

ctivities

1

a

During

the tax

year

state

or

local

legislation

or

did

it

id

the

foundation

attempt

to

influence

any

national

Yes

No

,

participate

or

interve

,

,

e

in

any

political

campaign?

1

a

X

b

Did

it

spend

more

th

n

$100

during

the

year

(either

directly

or

indirectly)

for

political

purposes

(see

the

instructions

or

definition)?

1

b

X

If

the

answer

is

'Yes'

t

1a

or

1b,

attach

a

detailed description of

the

activities

and

copies

of

any

materials

published

{

or

distributed

by

the

oundatlon

in

connection

with the

activities

c

Did

the

foundation

fil

e

Form

1120

-POL

for

this

year?

1

c

X

d

Enter

the

amount

(if

any)

of

tax

on

political

expenditures

(section

4955)

imposed

during

the

year

(1)

On

the

foundatio

n

$

0.

(2)

On

foundation

managers

$

0.

-

e

Enter

the

reimburseme

nt

(if

any)

paid

by

the

foundation

during

the

year

for

political

expenditure

tax

imposed

on

t

!

foundation

manager

$

0.

2

Has

the

foundation

e

gaged

in

any

activities

that

have

not

previously

been

reported

to

the

IRS's

2

X

If

'Yes,'

attach

a

deta

iled

description

of

the

activities

3

Has

the

foundation

ma

e

any

changes,

not

previously

reported

to

the IRS.

in

its

governing

instrument,

articles

of

incorporation,

or

b

laws,

or

other

similar

instruments?

If

'Yes,'

attach

a

conformed

copy

of

the

changes

3

x

4a

Did

the

foundation

ha

ve

unrelated

business

gross

income

of

$1,000

or

more

during

the

year?

4a

X

b

If

'Yes,'

has

it

filed

a

tax

return

on

Form

990

-T

for

this

year?

4

b

N

A

5

Was

there

a

liquidation,

ter

ination,

dissolution,

or

substantial

contraction

during

the

year?

5

X

If

'Yes,'

attach

the

st

tement

required

by

General

Instruction

T

'

6

Are

the

requirements

of

section

508(e)

(relating

to

sections

4941

through

4945)

satisfied

either

-

'

•

By

language

in

the

governing

instrument,

or

•

By

state

legislation

t

at

effectively

amends

the

governing

instrument

so

that

no

mandatory

directions

that

conflict

Tz"-

'-

4='

with

the

state

law

r

main

in

the

governing

instrument?

6

X

7

Did

the

foundation

have

at

east

$5,000

in

assets

at

any

time

during

the

year?

If

'Yes,'

complete

Part

ll,

column

(c),

and

Part

XV

7

X

8

a

Enter

the

states

to

w

ich

the

foundation

reports

or

with

which

it

is

registered

(see

instructions)

CA

r

;

I

b

If

the

answer

is

'Yes'

to

lin

e

7,

has

the

foundation furnished

a

copy

of

Form

990-PF

to

the

Attorney

General

-

-

-

-

(or

designate)

of

each

stat

as

required

by

General

Instruction

G?

If

'No,'

attach

explanation

8

b

X

9

Is

the

foundation

clai

ming

status

as

a

private

operating foundation

within the

meaning

of

section

4942(1)(3)

or

49420)(5)

-

^

--

- -

-j

for

calendar year

201

or

the

taxable

year

beginning

in

2013

(see

instructions

for

Part

XIV)'

If

'Yes,'

complete

Part

XIV

9

X

10

Did

any

persons

beco

e

substantial contributors

during

the

tax

year?

If

'Yes,'

attach

a

schedule

listing

their

names

and

addresses

10

X

BAA

Form

990-PF

(2013)

TEEA0304L

07/10/13

(

Form

990-PF

'(2013)

ESOICK

FOUNDATION,

INC.

95-6048985

Page

5

1

0

-4

_

-

A

♦

^+n

mn

to

nn^r

inn

r^^^nf^na

/nnnfm,

ioi-Il

11

At

any

time

during

th

e

year,

did

the

foundation,

directly or

indirectly,

own

a

controlled

entity

within

the

meaning

f

section

512(b)(13)7

If

'Yes',

attach

schedule

(see

instructions) 11

X

12

Did

the

foundation

ma

e a

distribution

to

a

donor

advised

fund

over

which

the

foundation

or

a

disqualified

person

had

advisory

privileges?

f

'Yes,'

attach

statement

(see

instructions)

12

X

13

Did

the

foundation

co

mply

with

the

public

inspection

requirements

for

its

annual

returns

and

exemption

application?

13

X

Website

address

^

N/A

-----------------------------------------

14

The

books

are

in

car

of

^

ROBERT

ESSICK

Telephone

no

626-794-7992

-------------

-------------

--

--

--

--

Located

at

^

137

-

-

--

--

--

9

LA

SOLANA

DRIVE

ALTADENA

CA

ZIP

+4

^

91001

15

Section

4947(a)(1)

n

--

-

_

---------------------------------

---------

--

nexempt

charitable

trusts

filing

Form

990-PF

in

lieu

of

Form

1041

-

Check

here

N/A

and

enter

the

amour

t

of

tax-exempt

interest

received

or

accrued

during

the

year ^

15

N/A

16

At

any

time

during

cal

ndar

year 2013,

did

the

foundation

have an

interest

in

or

a

signature

or

other

authority

over

a

Yes

No

bank,

securities,

or

1

,

her

financial

account

in

a

foreign

country?

16

X

See

the

instructions

f

exceptions

and

filing

requirements

for

Form

TD

F

90-22

1

If

'Yes,'

enter

the

name

of

the

r

foreign

country

^

__

=

4_;,;

P

art

VII-B

-1

Stateme

n

ts

R

egar

d

ing

A

ctivities

f

or

Wh

ic

h F

orm

4720

M

ay

B

e

R

equire

d

File

Form

4720

if

an

item

is

checked

in

the

'

Yes'

column

,

unless

an

exception

applies.

Yes

No

1

a

During

the

year

did

t

ie

foundation

(either directly or

indirectly)

(1)

Engage

in

the

s

le

or

exchange,

or

leasing

of

property

with

adisqualified

person?

11

Yes

N

No

,

lP

-

(2)

Borrow

money

fr

m,

lend

money

to,

or

otherwise

extend

credit

to

(or

accept

it

from)

a

^}

`

x

disqualified

pers

n7

Yes

X

No

(3)

Furnish

goods,

s

rvices

or

facilities

to

(or

accept

them

from)

adisqualified

person?

Yes

X

No

(4)

Pay

compensatio

n

to,

or

pay

or

reimburse

the

expenses

of,

adisqualified

person?

Yes

X

No

(5)

Transfer

any

inco

for

the

benefit

or

me

or

assets

to

a

disqualified

person

(or

make

any

of

either

available

use

of

a

dis

ualified

erson)?

E

Yes

X

No

p

q

(6)

Agree

to

pay

mo

ey

or

property

to

a

government

official?

(

Exception

.

Check

'No'

if

the

foundation

agreed

of

governmentse

to

make

a

grant

to

or

to

employ

the

official

for

aperiod

after

termination

rvice,

if

terminating

within

90

days)

Yes

No

b

If

any

answer

is

'Yes

'

to

l

a(l)-(6),

did

any

of

the

acts

fail

to

qualify

under

the

exceptions described

in

-

-

-

Regulations

section

3

4941(d)-3

or

in

a

current

notice

regarding

disaster

assistance

(see

instructions)?

1

b

N

A

Organizations

relyin

on

a

current

notice

regarding

disaster

assistance

check

here

^

.

c

Did

the

foundation

a

gage

in

a

prior

year

in

any

of

the

acts

described

in

1

a,

other

than

excepted

acts,

--

-

-

-

-^

that

were

not

correct

d

before

the

first

day

of

the

tax

year

beginning

in

2013'

1

c

X

2

Taxes

on

failure

to

d

stribute

income

(section

4942)

(does

not

apply

for

years

the

foundation

was

a

private

operating

fou

elation

defined

in

section

4942)(3)

or

4942(j)(5))

a

At

the

end

of

tax

yea

and

6e,

Part

XIII)

for

r

2013,

did

the

foundation

have

any

undistributed

income

(lines

6d

tax

year(s)

beginning

before

2013?

Yes

No

,

If

'Yes,'

list

the

year

20

,

20

,

20

,

20

b

Are

there

an

ears

l

Y Y

isted

in

2a

for

which

the

foundation

is

not applying

the

provisions

of

section

4942(a)(2)

(relating

to

incorrect

valuation

of

assets)

to

the

year's

undistributed

incomes

(If

applying

section

4942(a)(2)

to

all

years

listed,

answ

er

'No'

and

attach

statement

-

see

instructions)

2b

N

A

c

If

the

provisions

of

s

ection

4942(a)(2)

are

being

applied

to

any

of

the

years

listed

in

2a,

list

the

years

here

{

20

20

20

20

3a

Did

the

foundation

ho

t

t t

ld

more

than

a

2%

direct

or indirect

interest

in

any

business

Fy^

d

th

?

Y

N

en

erprise

a

any

im uring

e

year

e

es o

LAJ

b

If

'Yes,'

did

it

have

e

cess business

holdings

in

2013

as

a

result of

(1)

any

purchase

by

the

foundation

or

disqualified

person

by

the

Commissions

s

after

May

26,

1969,

(2)

the

lapse

of

the

5

year

period

(or

longer period

approved

under

section

4943(c)(7))

to

dispose

of

holdings

acquired by

gift

or

bequest,

or

-'l

(3)

the

lapse

of

the

1

-,

15-,

or

20-year

first

phase

holding

period?

(Use

Schedule

C,

Form

4720,

to

determine

if

the

foun

ation

had

excess

business

holdings

in

2013)

3b

N

A

4a

Did

the

foundation

in

est

during

the

year

any

amount

in

a

manner

that

would

jeopardize

its

charitable

purposes?

4

a

X

b

Did

the

foundation

m

ke

any

investment

in

a

prior

year

(but

after

December

31,

1969)

that

could

jeopardize

its

chantabl

purpose

that

had

not

been

removed

from jeopardy

before

the

first

day

of

the

tax

year beginnin

in

20137

4b

X

BAA

Form

990-PF

(2013)

TEEA0305L

12/07/12

"

Form

990-PF

•(2013)

E:SICK

FOUNDATION,

INC.

95-6048985

Page

6

Part

VII

-

B

I

Statements Regarding

Activities

tor

Which

Form

4/ZU

May

Be

Kequired

(continued)

5

a

During

the

year

did

t

he

foundation

pay

or

incur

any

amount

to

(1)

Carry

on propag

anda,

or

otherwise

attempt

to

influence

legislation

(section

4945(e))7

Yes

No

(2)

Influence

the

ou

on,

directly or

in

come

of

any

specific

public

election

(see

section

4955),

or

to

carry

erectly,

any

voter

registration

drive?

Yes

X

No

(3)

Provide

a

grant

t

o

an

individual

for

travel,

study,

or

other

similar

purposes?

Yes

LX

No

(4)

Provide

a

grant

t

in

section

509(a)

o

an

organization

other

than

a

charitable,

etc,

organization

described

(2)

or

(3)

or

section

4940(d)(2)'

(see

instructions)

(1)

Yes

No

,

,

,

(5)

Provide

for

any

p

urpose

other

than

religious,

charitable,

scientific,

literary,

or

l

?

educational

purp

s

oses,

or

for

the

prevention

of

cruelty

to

children

or

anima

Yes

No

b

If

any

answer

is

'Ye

E

'

to

5a(1)-(5), did

any

of

the

transactions

fail

to

qualify

under

the

excep

tions

described

in

Regulat

ons

section

53

4945

or

in

a

current

notice

regarding

disaster

assistance

(see

instructions)?

5b

N

A

Organizations

relyin

on

acurrent

notice

regarding

disaster

assistance

check

here

c

If

the

answer

is

'Yes

tax

because

it

maint

to

question

5a(4),

does

the

foundation claim

exemption

from

the

fined

expenditure

responsibility

for

the

grant?

N/A

Yes

No

-

u

i

If

'Yes,'

attach

the

s

atement

required

by

Regulations

section

534945.5(d)

;-"

6a

Did

the

foundation,

c

on

a

personal

benefi

uring

the year,

receive

any

funds,

directly or

indirectly,

to

pay

premium

t

contracts

s

Yes

No

b

Did

the

foundation,

c

uring the

year,

pay

premiums,

directly

or

indirectly,

on

a

personal

bene

fit

contract?

6 b

X

If

'Yes'

to

6b,

file

Fo

m

8870

7 a

At

any

time

during

t

e

tax

year,

was

the

foundation

a

party

to

a

prohibited

tax

shelter

transactions

Yes

No

b

If

'Yes,'

did

the

found

ation

receive

any

proceeds

or

have

any

net

income

attributable

to

the

transaction?

N/A

7 b

art

n

ormati

n

out

Off

icers

,

D

irectors,

T

rustees

,

F

oun

d

ation

M

anagers

,

H

ig

hl

y

P

ai

d

E

mp

l

oyees,

and

Cont

r

actors

1

List

all

officers

,

dire

c

tors

,

trustees

,

foundation

managers

and

their

compensation

(see

instructions).

(b)

Title,

and

average

(c)Compensation

(d)

Contributions

to

(e)

Expense

account,

(a)

Name

a

d

address

hours

per

week

(

If

not

paid

,

employee

benefit

other

allowances

devoted

to

position

enter

-0

-)

plans

and

deferred

compensation

DR_

JAMES

STANG

R

____-____-

CFO

0. 0. 0.

8045

ELLISON

LO

O

-

PNW

___-____

0

OLYMPIA

,

WA

985

C

2

ROBERT ESSICK

--------

-----------

PRESIDENT/TR

0. 0. 0.

1379

LA

SOLANA

R.

2.00

ALTADENA

,

CA

91 O1

-JENIJOY-LA-BELL

---------

- - -

-

-

-

-

-

- -

-

SECRETARY/VP

0. 0. 0.

1379

LA

_SOLANA_

R.________-_

0

ALTADENA

,

CA

910

01

-------------

-------------

------------

------------

2

Compensation

of

five

h

ighest

-

paid

employees

(

other

than

those

included

on

line

1

-

see

instructions

). If

none

,

enter'NONE.'

(a)

Name

and

addres

s

of

each

employee

(b)

Title,

and

average

(c)

Compensation

(d)Contributions

to

(e)

Expense

account,

paid

more

han

$50,000

hours

per

week

employee

benefit

other

allowances

devoted

to

position

plans

and

deferred

compensation

NONE

-----------------------

------------

------------

-----------

-----------

------------

------------

-----------

-----------

------------

------------

-----------

-----------

------------

-

-

-

-- - - -

-

- -

-

-

-----------

-

- - - -

--

-

-

-

-

-

Total

number

of

other

em

p

loyees

paid

over

$50,000

0

BAA

I

TEEA0306L

07/10/13

Form

99U-PF

(zuli)

Form

990-PF

'(2013)

ESSIICK

FOUNDATION,

INC.

intormati

n

umcers

,

uirectors,

and

Cont

actors

(continued)

95-6048985

Page

7

on

M

anagers

,

H

ig

hl

y

P

ai

d

E

mp

l

oyees,

3

Five

highest-paid

in

d

ependent

contractors

for

professional services

(

see

instructions

).

If

none

,

enter'NONE.'

(a)

Name

and

ad

dress

of

each

person

paid

more

than

$50,000

(b)

Type

of

service

(c)

Compensation

NONE

------------

------------

------------------------

------------------------

------------

------------

------------------------

------------------------

------------

------------

------------------------

------------------------

-------------

------------

--------------------------

------------------------

------------

------------

------------------------

------------------------

Total

number

of

others

rec eiving

over

$50,000

for

professional services

'0

RPart^IX

-

A

Summary

of

Direct

Charitable

Activities

List

the

foundation's

four

largest

organizations

and

other

beneficiar

direct

charitable

activities

during

the

tax

year

Include

relevant

statistical

information

such

as

the

number

of

ies

served,

conferences

convened,

research

papers

produced,

etc

Expenses

1

N/A

---------

----------

--------------------------------------------

2

---------

---------

--------------------------------------------

--------------------------------------------

3

---------

---------

--------------------------------------------

--------------------------------------------

4

---------

---------

--------------------------------------------

--------------------------------------------

Part

IX

-

B

Summary

of

Program-Related

Investments

(see

instructions)

Describe

the

two

largest

pro

ram-related

investments

made

by

the

foundation

during

the

tax

year

on

lines

1

and

2

Amount

----------

N/A

----------

-----

--------------------------------------

--------------------------------------------

2

----------

----------

--------------------------------------------

--------------------------------------------

All

other

program-related

3

----------

----------

investments

See

instructions

--------------------------------------------

--------------------------------------------

Total

.

Add

lines

1

through

'

0.

BAA

Form

990-PF

(2013)

TEEA0307L

07/10/13

Form

990-PF

•(2013)

ESSIICK

FOUNDATION,

INC. 95-6048985

Page

8

ii-al

rte

=

.

I

minimum

I

vestment

rceturn

yHn

aomestic

tounaauons

must

complete

tnls

part

rorelgn

tounciatlons,

see

instructions

)

1

Fair

market

value

of

a

Average

monthly

fair

assets

not

used

(or

held

for

use)

directly

in

carrying

out

charitable,

etc,

purposes

market

value

of

securities

1

a

3,122

,266.

bAverage

of

monthly

ash balances

1

b

45,

233.

C

Fair

market

value

of

all

other

assets

(see

instructions)

1

c

dTotal

(add

lines 1a,

,

and

c)

1

d

3,

167,

499.

e

Reduction

claimed

f

(attach

detailed expI

2

Acquisition

indebted

r

blockage

or

other

factors

reported

on

lines

1a

and

lc

nation)

1

e

0

.

ess

applicable

to line

1

assets

=

=.

2

0.

3

Subtract

line

2

from

ine

ld

33,

167,

499.

4

Cash

deemed

held

fo

(for

greater

amount,

r

charitable

activities

Enter

1-1/2%

of

line

3

see

instructions)

4

47,512.

5

Net value

of

noncha

itable

-

use

assets

.

Subtract

line

4

from

line

3

Enter

here

and

on

Part

V,

line

4

5

3,119,

987.

6

Minimum

investmen

t

return

.

Enter

5%

of

lin

e

5

6

155,999.

art

X1

I

D

istri

b

uta

bl

and

certain

e

mount

(see

instructions)

(Section

4942(j)(3)

and

(j)() private

operating

foundations

orelgn

organizations

check

here

'

and

do

not

complete

this part.)

1

Minimum

investment

return

from

Part

X,

line

6

1

155,

999.

2

a

Tax

on investment

in

b

Income

tax

for

2013

c

Add

lines

2a

and

2b

come

for

2013

from

Part

VI,

line

5

2a

1,517.

(This

does

not

include

the

tax

from

Part

VI)

2b

2c

1,517.

3

Distributable

amount

before

adjustments

Subtract

line

2c

from

line

1

3

154,

482.

4

Recoveries

of

amou

is

treated

as

qualifying

distributions

4

5

Add

lines

3

and

4

5

154,482.

6

Deduction

from

distri

utable

amount

(see

instructions)

6

7

Distributable

amoun

as

adjusted

Subtract

line

6

from

line

5

Enter

here

and

on

Part

XIII,

line

1

7

154,482.

Part

XII

Qualifying

D

istributions

(see

instructions)

1

Amounts

paid

(in

cu

a

Expenses,

contribute

ing

administrative

expenses)

to

accomplish

charitable,

etc,

purposes

ns,

gifts,

etc

-

total

from

Part

I,

column

(d),

line

26

-

--

1

a

155,682.

b

Program-related

inve

tments

-

total

from

Part

IX-B

1

b

2

Amounts

paid

to

acq

ire

assets

used

(or

held

for

use)

directly

in

carrying

out

charitable,

etc,

purposes

2

3

Amounts

set

aside

fo

a

Suitability

test

(prior

r

specific

charitable

protects

that

satisfy

the

RS

approval

required)

-

-

3a

b

Cash

distribution

test

(attach

the

required

schedule)

3b

4

Qualifying

distributi

o ns

.

Add

lines

la

through

3b

Enter here

and

on

Part

V,

line

8,

and

Part

XIII,

line

4 4

155,682.

5

Foundations

that

qualif

Enter

1

%

of

Part

I,

Ii

y

under

section

4940(e)

for

the

reduced

rate

of

tax

on

net

investment

income

e

27b

(see

instructions)

5

1,517.

6

Adjusted

qualifying

d

istributions

.

Subtract

line

5

from

line

4

6

154,165.

'

For

990

-

PF

(2013

)

ESSIICK

FOUNDATION,

INC.

95-6048985

Page

9

Part

x111,

Undistributed

Income

(see

instructions)

(a)

(b)

(c)

(d)

Corpus

Years

prior

to

2012 2012

2013

1

Distributable

amount

for

2013

from

Part

XI,

line

7

-

154,482.

2

Undistributed

income,

if

a

y,

as

of

the

end

of

2013

a

Enter

amount

for

20

2

only

0

b

Total

for

prior

years

20

20

20

0

.

3

Excess

distributions

carry

_

er,

if

any,

to

2013

a

From

2008

b

From

2009

Fr

m

2010

o

c

d

From

2011

1,390.

e

From

2012

f

Total

of

lines

3a

thro

gh

e

1,

390.

4

Qualifying

distributio

ns

for

2013

from

Part

XII,

line

4$

155

682

a

Applied

to

2012,

but not

more

than

line

2a

-

0

,

b

Applied

to

undistnbu

ed

income

of

prior

years

-ti

(Election

required

-

see

instructions)

=

0

.

c

Treated

as

distributi

ns

out

of

corpus

(Election

required

-

see

instructions)

0

.

d

Applied

to

2013

distr

butable

amount

=

154,482.

e

Remaining

amount

d

stributed

out

of

corpus 1,

200.

5

Excess

distributions

carry

er

applied

to

2013

0

.

0

.

(!f

an

amount

appea

rs

in

column

(d),

the

same

amount

must

b

e

shown

in

column

(a)

)

6

Enter

the

net

total

o

each

column

as

indicated

below:

a

Corpus

Add

lines

3f,

4c,

a

d

4e

Subtract

line

5

2,590.

b

Prior

years'

undistrib ted

income

Subtract

line

4b

from

line

2b

0

c

Enter

the

amount

of

nor

years'

undistribut-

ed

income

for

which

notice

of

deficiency

,

has

been

issued,

or

on

which

the

section

j

4942(a)

tax

has

bee

previously

assessed

0

,

d

Subtract

line

6c

from

line

6b

Taxable

amount

-

see

instru

ctions.

0

e

Undistributed

income

for

2

12

Subtract

line

4a

from

line

2a

Taxable

amount

see

instructions,

0.

-

-

f

Undistributed

incom

for

2013

Subtract

lines

4d

and

5

from

line

1

This

amount

must

be

distributed

in

2014

0

7

Amounts

treated

as

d

istributions

out

of

corpus

to

satisfy

req

irements

imposed

_

by

section 170(b)(1)(

)

or

4942(g)(3)

•,

,,

(see

instructions)

0

,

-

_

8

Excess

distributions

arryover

from

2008

not

applied

on

line

5

or

I

ne

7

(see

instructions)

0

.

=

9

Excess

distribution

carryover

to

2014.

Subtract

lines

7

and

from

line

6a

2,590.

10

Analysis

of

line

9

a

Excess

from

2009

b

Excess

from

2010

c

Excess

from

2011

1,390.

-

--

,7

d

Excess

from

2012

e

Excess

from

2013

1

,

200.

BAA

Form

990-PF

(2013)

TEEA0309L

07/10113

Form

990-PF

•(2013)

ESSICK

FOUNDATION,

INC.

95-6048985

Page

10

,

rt

P

rivate

Foundations

(see

instructions

and

P

art

1-A,

question

9

)

N/A

1

a

If

the

foundation

has

r

eceived

a

ruling

or

dete

rmination

letter

that

i

t

is

a

private

operati

ng

foundation,

and

th

e

ruling

is

effective

for

2013,

enter

the

date

of

the

ruling

11-

b

Check

box

to

indicat

e

whether

the

foundat

ion

is

a private

ope

rating

foundation

d

escribed

in

section

4942(1)(3)

or

49420)(5)

2a

Enter

the

lesser

oft

th

e

adtusted

net

Tax

year

Prior

3 years

income

from

Part

I

o

investment

return

fro

the

minimum

m

Part

X

for (a)

2013

(b)

2012

(c)

2011

(d)

2010

(e)

Total

each

year

listed

b

85%

of

line

2a

cQualifying

distributio

ns

from

Part

XII,

line

4

for

each

year

I

sted

d

Amounts

included

in

line

c

not

used

directly

for

active

conduct

of

exem

p

t

activities

e

Qualifying

distributio

ns

made

directly

for

active

conduct

of

exempt

activities

Subtract

line

2d

fro

line

2c

3

Complete

3a,

b,

or

c

for

the

alternative

test

relie

upon

a

'Assets' alternative

t

st

-

enter

(1)

Value

of

all

asse

s

(2)

Value

of

assets

ualifying

under

section 4942i3)(3

(B)

(i)

b

'Endowment'

alternative

to

t

-

enter

2/3

of

minimum

investment

retur

shown

in

Part

X,

line

6

for

each

year

listed

c

'Support'

alternative

test

-

enter

(1)

Total

support

oth

er

than

gross

investment

incom

e

(interest,

dividends,

rents,

payments

on

securities

loa

ns

(section

512(a)(5)),

or

ro

alties)

(2) Support

from

general

public

and

5

or

more

exempt orgamz

tions

as

provided

in

section

4942(1)(3)(

)(iii)

(3)

Largest

amount

o

f

support

from

an

exempt

organ

ization

(4)

Gross investmen

income

a

,-

'

Suppleme

tary

Information

(

Complete

this

part

only

if

the

foundation

had

$5

,

000

or

more

in

1

Information

Regards

g

Foundation

Managers:

a

List

any

managers

oft

e

foundation

who

have

contributed

more

than

2%

of

the

total

contributions

received

by

the

foundation

before

the

close

of

any

tax

year

(but

only

if

they

have

contributed

more

than

$5,000)

(See

section

507(d)(2)

NONE

List

any

managers

of

t

e

foundation

who own

I

U%

or

more

of

the

stock

of

a

corporation

(or

an

equa

a

partnership

or

other

entity)

of

which

the

foundation

has

a

10%

or

greater

interest

NONE

ip

2

Information

Regardi

g

Contribution

,

Grant

,

Gift,

Loan

,

Scholarship

,

etc,

Programs:

Check

here

0

XX

if

he

foundation

only

makes

contributions

to

preselected

charitable

organizations

and

does

not

accept

unsolicited

requests

for

funds

If

the

foundation

makes

gifts,

grants,

etc

(see

instructions)

to

individuals

or

organizations

under

other

conditions,

complete

items

2a,

b,

c,

and

d

a

The

name,

address,

ar}'d

telephone

number

or

e-mail

of

the

person

to

whom

applications

should

be

addressed

b

The

form

in

which

applications

should

be submitted

and

information

and

materials they

should

include

c

Any

submission

deadlines

d

Any

restrictions

or

limitations

on

awards,

such

as

by

geographical

areas,

charitable

fields,

kinds

of

institutions,

or

other

factors

BAA

as

sets

at

a

y

time auring

the

year

-

see

Instructions.

TEEA0310L

07/10/13

Form

990-PF

(2013)

Form

990-PF

'(2013)

ES'

ICK

FOUNDATION,

INC.

n(continue

95-6048985

Page

11

3

Grants

and

Contributions

Paid

During

the

Year

or

Approved

for

Future

Payment

Reci

lent

If

recipient

is

an

individual

,

show

any

relationship

to

any

Foundation

status

of

Purpose

of

grant

or

Amount

foundation

manager

or

contribution

N

d

dd

h

b

t

t

b

t

b

l

recipient

ame

an

a

ress

ome

or

usiness)

s

an

ia

u

or

su

contri

a

Pald

during

the

year

UNIVERSITY

OF RO

HESTER

501C3

GENERAL

9,000.

P

0

BOX

270032

ROCHESTER, NY

14

27

HUNTINGTON LIBRA

RY

501C3

GENERAL

61,362.

1151

OXFORD

RD

SAN

MARINO,

CA

9

D263

WILLIAM

COLLEGE

LUMINI

501C3

GENERAL

3,500.

P

0

BOX

425

WILLIAMSTOWN,

MA

01267

UNIVERISTY

OF

NO

TH

CAROLINA

501C3

GENERAL

64,638.

103

SOUTH

BLDG,

B

NO 9110

CHAPEL

HILL,

NC

7599

THE

DA

CAMERA

SO

IETY

501C3

GENERAL

2,500.

10

CHESTER

PLACE

LOS

ANGELES,

CA

0007

Total

^3a

141,

000.

b

Approved

for

future

ayment

Total

^

3b

BAA

TEEA0501L

07/11/13

Form

990-PF

(2013)

Form

990-PF

(2013)

ESISICK

FOUNDATION,

INC.

Part

XVI-A

Analysiof

Income

-

Producing

Activities

Enter

gross

amounts

unles

otherwise

indicated

Unrelated

business

income

Excluded

by

section

512, 513, or

514 (e)

Program

service

reve

ue

(a)

Business

code

(b)

Amount

(c)

Exclu-

sion

code

(d

)

Amount

Related

or

exempt

function

income

(See

instructions

a

b

c

d

e

f

g

Fees

and

contracts

fro

m

government

agencies

2

Membership

dues

an

assessments

3

Interest

on

savings

and

to

porary

cash

investments

45,

637.

4

Dividends

and

interest

from

securities

112,777.

5

Net

rental

income

or

loss)

from

real

estate

^,

-

;,-

a

Debt-financed

proper

V

b

Not

debt-financed

pro

erty

6

Net

rental

income

or

(loss)

f

rom

personal

property

7

Other investment

inco

me

8

Gain

or (loss)

from

sales

of

assets

other

than

inventory

672.

9

Net

income

or

(loss)

f

om

special

events

10

Gross

profit

or

(loss)

rom

sales

of

inventory

11

Other

revenue

-'

a

b

c

d

e

12

Subtotal

Add

column

13

Total

.

Add

line

12,

Co

(See

worksheet

in

line

13

(b),

(d),

and

(e)

159,

086.

umns

(b), (d),

and

(e)

13

159,

086.

structions

to

verify

calculations

)

Part-XVl

-

B

Relation

hip

of

Activities

to

the

Accomplishment

of

Exempt

Purposes

Line

No

.

V

Explain

below

accomplishmen

ow

each

activity

for

which

income

is

reported

in

column

(e)

of

Part

XVI-A

contributed importantly

to

the

t

of

the

foundation's

exempt

purposes

(other

than by

providing

funds

for

such

purposes)

(See

instructions

)

N

/

A

95-6048985

Page

12

BAA

I

TEEAD502L

07/11/13

Form

990-PF

(2013)

Form

990-PF

X2013)

ESISICK

FOUNDATION,

INC.

95-

6048985

Page

13

LPart

XVII

intormatt n

rcegaraing

i

ransters

i

o

ana

i

ransactions

ana

rceiatlonsnips

vvitn

noncnarltaoie

Exempt

O

ganizations

Yes

No

1

Did

the

organization

described

in

section

relating

to political

o

a

Transfers

from

the

rep

(1)

Cash

irectly

or indirectly

engage

in

any

of

the

following

with

any

other

organization

01

(

c)

of

the

Code

(

other

than

section

501

(c)(3

)

organizations

)

or

in

section

527,

anlzatlons?

orting

foundation

to

a

noncharitable

exempt

organization

of

ce,

1

a

(1)

r

a

,

3

`

X

(2)

Other

assets

1

a

(2)

1

1

X

b

Other

transactions

(1)

Sales

of

assets

t

a

noncharitable

exempt

organization

1

b

(1)

X

(2)

Purchases

of

ass

is

from

a

noncharitable

exempt

organization

1

b

(2)

X

(3)

Rental

of

facilitie

,

equipment

,

or

other

assets

1

b

(3)

X

(4)

Reimbursement

r

rangements

1

b

(4)

X

(5)

Loans

or

loan

gu

rantees

1

b

(5)

X

(6)

Performance

of

s

rvices

or

membership

or

fundraising

solicitations

1

b

(6)

X

c

Sharing

of

facilities

,

quipment

,

mailing

lists

,

other

assets,

or

paid

employees

1

C

X

d

If

the

answer

to

any

f

the

goods

,

other

assets

any

transaction

or

sh

the

above

is

'Yes,'

complete

the

following

schedule

Column

(

b)

should

always

show

the

fair

m

or

services

given

by

the

reporting

foundation

If

the

foundation

received

less

than

fair

market

value

in

ring

arrangement

,

show

in

column

(d)

the

value

of

the

goods

,

other

assets

,

or

services

receive

arket

val

d

ue

of

(a)

Line

no

(

b)

Amount

Inv

lved

(

c)

Name

of

noncharitable

exempt

organization

(d)

Description

of

transfers,

transactions

,

and

sharing

arrangements

N/A

2

a

Is

the

foundation

dlrectl

described

in

section

5

b

If

'Yes

,'

complete

the

or

indirectly

affiliated

with

,

or

related

to,

one

or

more

tax-exempt

organizations

0

1

(

c)

of

the

Code

(

other

than

section

501(c)(3

))

or

in

section

527?

fo

llowing

schedule

E

Yes

No

(a)

Name

of

org

a

nization

(

b)

Type

of

organization

(c)

Description

of

relationship

N/A

Under

penalties

of

perfury

,

correct

,

and

complete

Dec

Sign

Here

x

,

Signs

ure

oCofficer

or

tru

Print/Type

prepar

Paid

AMY

BEH

Preparer

Firm's

name

Use

Only

Firms

address

declare

that

I

have

examined

this

return,

including

accompanying

schedules

and

statements

,

and

to

the

best

of

my

knowledge and

belief,

it

is

true,

l

ration

of

preparer

(

other

than

taxpayer

)

is

based

on

all

mf

f

tee

Da

(e

is

name

ZP

Y

B

^rg

ure

NS

EHR

N

BEHRENCY

ACCOUNTAN

INC

221

E

WALNUT

ST

PASADENA

,

CA

91101-1585

BAA

TEEA0503L

2013

FEDE

RAL

STAT

EMENTS

PAGE

1

ESSICK

FOUNDATION

,

INC.

95

-

6048985

STATEMENT1

FORM

990-PF

,

P

A

RT

I,

LINE

16B

ACCOUNTING

F

ES

(A) (B)

NET

(C) (D)

EXPENSES

INVESTMENT

ADJUSTED

CHARITABLE

PER

BOOKS

INCOME

NET

INCOME

PURPOSES

ACCOUNTING

FE

$

14,500.

$

4,834.

$

9,666.

TOTAL

$

14,500.

$

4,834.

$

0.

$

9,666.

STATEMENT

2

FORM

990-PF

,

P

A

RT

I,

LINE

18

TAXES

(A) (B)

NET

(C)

(D)

EXPENSES INVESTMENT

ADJUSTED

CHARITABLE

PER

BOOKS

INCOME

NET

INCOME

PURPOSES

$

1,517.

TOTAL

$

1,517.

$

0.

$

0.

$

0.

STATEMENT

3

FORM

990-PF

,

P

A

RT

I,

LINE

23

OTHER

EXPENS

E

S

(A)

(B)

NET

(C) (D)

EXPENSES INVESTMENT

ADJUSTED CHARITABLE

PER

BOOKS

INCOME

NET

INCOME

PURPOSES

INVESTMENT

EX

ENSE

$

6,248.

$

2,082.

$

4,166.

OFFICE

EXPENSE

1,274.

424. 850.

TOTAL

$

7,522.

$

2,506.

$

0.

$

5,016.

(When

required)

RECORDING QUESTED

BY

AND

MAIL

TO:

DAILY

COMMERCE

SINCE

1917

-

91

E FIRST

ST,

LOS

ANGELES,

CA

90012

Mailing

Address

P

0

Box

54026,

Los

Angeles,

California

90054-0026

Tele

hone

(213)

229-5300

/

Fax

(213)

229-5481

BEHRE

S

ACCOUNTANCY,

INC

221E

WA

LNUT

ST

#122

PASAD

E

NA.

CA

-

91101

PR(

D

OF OF

PUBLICATION

(2015

.5

C.C.P.)

State

of

California

County

of

Los

Angels

)

ss

Notice

Type

.

AA

-

AVAILABILITY-

ANNUAL

RETURN

Ad

Descrlptton•

ESSICK

FOUNDATI

N

I

am

a

citizen

of

the

nited

States

and

a

resident

of

the State

of

California;

I

am

over

the

age

of

eight

en

years

,

and

not

a

party

to

or

interested

in

the

above

entitled

matter

.

I

am

h e

principal

clerk

of

the

printer

and

publisher

of

the

DAILY

COMMERCE

,

a

ne

paper

published

in

the

English

language

in

the

city

of

LOS

ANGELES

,

cou

ty

of

LOS

ANGELES

,

and

adjudged a

newspaper

of

general

circulation

a

defined

by

the

laws

of

the

State

of

California

by

the

Superior

Court

of

the

County

of

LOS

ANGELES

,

State

of

California,

under

date

10/30/1981

,

Case

N

O

.

599760

.

That

the

notice

,

of

which

the

annexed

is

a

printed

copy

,

has

be

e

n

published

in

each

regular

and

entire

issue

of

said

newspaper

and

not

i

any

supplement

thereof

on

the

following

dates,

to-wit

04/25/2014

I

certify

(or

correct.

Executed

on-

04/25/2014

At

Los

Angeles,

California

tr

penalty

of

perjury

that

the

foregoing

is

true

and

This

space

for

filing

stamp

only

DC

#:

2615216

NOTICE

OF

AVAILABILITY

OF

ANNUAL

RETURN

Pursuant

to

Section

6104

(

d) of

the

Internal

Revenue

Code

,

notice

is

hereby

given

that

the

annual

return

for

the

calendar=20113

-

of

Essiok

1`01.11160111011

Inc,

a

pfoundation

,

is

available

at

the

foundation

'

s

principal

office

for

inspection

dunng

regular

business hours

horn

9

.

00

am

.

to

5.00

p

m

by

any

citizen

who

requests

it

wlttnn

180

days

alter

the

date

of

this

publication

The

foundation

'

s

principal

office

is

located

at

1379

La

Solana

Or,

Attadena,

CA

91001,

626-794-7992

The

pnna

p

al

manager

of

the

foundation

is

ROBERT

ESSICK

4/25/14

DC-2615216#

V

^

I

^V'

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THE

ESSICK

FOUNDATION,

INC.

INVESTM

ENT

IN

STOCKS

-

#4001

12/31/13

Purchase

Cost

of

Name

Shares

Date

ment

Sales

Purchase

Cost

Grand

-

Total

Sales

Corporate

Bonds

NM

Merrill

L

y

nch

20000

01/27/04

20,000

00

Bank

of

Amer

Cr

p

10000

05/08/09

9,85471

Princi

p

al

Life

Inc

Fnd

g

10000

09/13/04

10,000

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Swiss

Bank

Cor

p

NY

Br

25000

10/12/98

25,069

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Libor

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ISS

Bac 10000

06/07/12

10,000

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AIIState

Life

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Fd

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10000

11/09/04

9,94450

CNA

Financial

10000

02/18/99

9,855

00

NM

SLM

Cor

p

10000

02/09/04

10,000

00

NM

SLM

Cor

p

10000

11/18/03

9,63000

Aetna

Inc

25000

03/31/99

24,725

00

Consolidated

Natural

G

30000

10/30/98

29,700

00

Pharmacia

Cor

p

25000

11/10/98

25,298

59

Occidental

Petroleum

50000

01/28/99

49,505

00

Geor

g

ia-Pacific

Grou

p

25000

10/09/98

25,096

59

Bor

g

-warner

Auto

20000

03/30/99

20,003

71

JP Mor

g

an

Chase

&

Co

10000

12/21/11

10,012

29

US

West

Telecom

Inc

50000

02/22/99

50,642

59

Zion

Bancor

p

oration

5000

11/05/13

5,00000

Sub-Total

355000

0

.

00

0.00

354,336.98

0.00

Municipal

Bonds

California

ST

10000

03/25/10

10,011

80

Sub-Total

10,011.80

Preferred

Stocks

Aeon

N

V

200

01/24/12

5,000

00

Affiliated

Mana

g

ers

Gro

200

10/03/12

5,000

00

Affiliated

Mana

g ers

200

08/01/12 5,000

00

Allstate

Cor

p

200

06/05/13

5,000

00

American

Financial

200

06/07/12

5,00000

American

Financial

Gro

ull

200

09/22/10 5,000

00

Annal

y

Ca

p

M

g

mt

Inc

200

09/06/12

5,000

00

Annal

y

Ca

p

ital

M

g

mt

200

05/09/12

5,00000

A

p

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Cor

p

200

06/05/13

5,000

00

Ares

Ca

p

ital

Cor

p

200

09/20/12

5,000

00

Ar

g o

Grou

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US,

Inc

200

09/18/12

5,00000

Armour

Residential

200

05/31/12

5,000

00

Barcla

y

s

Bank

Plc

200

11/30/07

5,00000

BB&T

Cor

p

oration

200

07/24/12

5,00000

Cam

p

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Crest

Commune

200

10/09/13

5,012

22

Ca

p

ital

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Financial

200

08/13/12

5,000

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Cite

rou

Inc

200

09/12/13

5,000

00

Cite

rou

Inc

200

10/31/13

5,00000

Cite

rou

Inc

200

03/20/13

5,000

00

Commonwealth

Reit

250

11/18/09

5,000

00

Coresite

Realt

y

Cor

p

200

12/05/12

4,589

57

5,000

00

Cor

p

Office

Pro

p

TR

200

06/20/12

5,000

00

C

y

s

Investments

Inc

200

04/23/13

5,00000

DB

Cont

Ca

p

Trust

III

300

02/12/08

7,500

00

Di

g

ital

Realt

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Trust

Inc

200

04/02/13

5,000

00

Discover

Financial

SVS

200

10/09/12

5,00000

Dominion

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200

06/10/09

5,000

00

Duke

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gy

Cor

p

300

01/09/13

4,002

38

5,00000

Endurance

S

p

ecialt

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Hid

200

05/24/11

5,000

00

Enter

gy

Arkansas

Inc

200

12/06/12

5,000

00

Everbank

Fihancial

200

11/05/12

5,00000

Federal

A

g

ric

Mt

g

Cor

p

200

01/14/13

5,00000

Financial

Sec

Assur

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300

11/06/02

7,500

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First

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200

11/15/12

5,00000

First

Re

p

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Bank

200

04/16/13

5,00000

First

Re

p

ublic

Bank

200

05/24/12

5,000

00

Firstment

Cor

p

oration

200

01/28/13

5,000

00

General

Elec

Ca

p

Cor

p

200

10/02/12

5,000

00

General

Elec

Ca

p

Cor

p

200

01/22/13

5,000

00

General

Growth

Pro

p

200

02/06/13

5,000

00

Goldman

Sachs

G

p

200

10/19/11

5,000

00

Goldman

Sach

Grou

p

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200

10/26/10

5,000

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Hanover

Insurance

Gro

200

03/20/13

5,000

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Hatteras

Find

Cor

p

200

08/16/12

5,00000

Health

Care

Reit

Inc

200

02/29/12

5,000

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Inland

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Cor

p

200

09/29/11

5,000

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JP Mor

g

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200

01/29/13

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Ca

p

200

03/25/10

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Ka

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MLP

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09/09/13

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Kilro

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Realt

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Cor

p

200

03/16/12

5,000

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Kimco

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200

03/09/12

5,000

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Lasalle

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200

03/04/13

5,000

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M

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p

5

08/17/12

5,004

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Maiden

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s

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200

08/22/12

5,000

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Maiden

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g

s

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200

11/25/12

5,000

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Merrill

L y

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Ca

p

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300

07/15/13

7,547

35

Merrill

L

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10/29/98

25,000

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250

10/21/10

6,012

52

Mont

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200

05/03/11

5,000

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Mor

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300

04/10/03

7,500

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Mor

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200

12/10/13

5,000

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5,00000

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03/12/13

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200

08/21/01

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Protective

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200

05/15/12

5,000

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Protective

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p

400

10/07/09

8,000

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Prudential

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Inc

200

11/27/12

5,00000

PS

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400

09/05/12

10,000

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Public

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300

04/06/10

7,50000

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200

06/01/11

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Qwest

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11/17/09

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02/05/13

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08/10/12

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04/09/13 5,000

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300

01/18/12

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Stifel

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200

12/18/12

5,000

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Sun

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200

11/06/12

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12/13/12

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200

11/16/10

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200

04/23/13

5,000

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Texas

Ca

p

ital

Bancshar

200

03/21/13

5,00000

The

Goldman

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200

10/17/12

5,00000

Torchmark

Cor

p

200

09/17/12

5,000

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Tortoise

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12/03/12

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Vornado

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02/12/13

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02/19/13

6,255

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p

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200

04/26/13

11

5,000

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Wells

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09/13/13

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95

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10

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000.00

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05/16/13

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American

Ca

p

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02/28/13 6,326

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p

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07/11/11

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p

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01/04/13

4,490

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10/03/12

8,490

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Ares

Ca

p

ital

Cor

p

300

10/12/05

4,638

00

Ares

Multi-strate

gy

200

10/31/13

5,000

00

Armour

Residential

Reit

1500

02/14/13

11,100

00

Armour

Residential

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500

02/20/13

3,430

35

Bac

Ste

u

CL

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1000

12/10/10

10,000

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Bank

of

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Cor

p

48

11/04/03 1,830

22

Bank

of

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p

24

01/14/04

950

38

Bank

of

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10/20/06

373

20

Bank

of

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p

300

05/19/09

3,00000

Bank

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12/03/09

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500

12/17/13

5,00000

5,000

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200

09/19/13

5,031

28

C

Stars

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RBC

500

08/15/13

5,00000

Ca

p

ital

Product

Prtnrs

1000

08/06/13 9,250

00

Chevron

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p

100

12/14/04

5,45600

Cisco

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y

stems

296

10/02/98

4,049

28

Cisco

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4

10/02/98

54

73

Cisco

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201

04/21/08

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Citi

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Corn

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132

08/08/07

4,517

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Clean

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04/05/13 3,212

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Comcast

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p

new

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150

08/26/05

3,16593

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p

new

63

08/26/05

1,327

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Cvr

Partners

500

05/22/13

12,575

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Davita

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50

12/18/13

3,209

85

3,209

85

DAXK

Ste

pup

Issuer

BA

500

08/29/13 5,000

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DCP

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Partner

200

08/18/13

10,008

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Disne

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100

11/13/12

4,90535

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12/21/10

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11/24/03

3,062

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Escrow

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09/26/13 5,000

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11/26/13

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12/03/13

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11/29/12

2,500

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Gdm

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500

08/29/13

5,000

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General

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200

08/25/05

6,871

55

General

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100

12/18/12

2,234

85

General

Motors

274

11/18/10

10,000

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General

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2

06/28/01

243

96

General

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19 11/05/07

1,71754

General

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01/04/11

3,865

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General

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50

02/23/11

1,770

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General

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02/24/11

1,730

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General

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07/28/11

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06/07/10

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09/06/13

4,053

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4,636

42

JPM

Stars

Issuer

RBC

500

12/31/13

5,00000 5,00000

Kite

Rlt

y

Gr

p

Tr

400

11/06/13

2,464

00

Lnkd

Ste

p

s

Issue

HSBC

500

09/26/13 5,000

00

McDonalds

Cor

p

100

01/15/11

7,61535

Memorial

Production

Prt

500

10/02/13

9,950

00

Microsoft

Cor

p

200

01/17/03 5,319

35

Midcoast

Ener

gy

Partne

600

11/13/13

10,905

46

10,800

00

Msci

Eafe

Arn

Issuer

Se

479

02/21/13

4,790

00

NGL

Ener

gy

Partners

L

500

09/20/13

16,190

00

Nikkei

Ste

p

u p

Issuer

Ba

i

l

500

03/28/13

5,00000

Occidental

Pete

Cor

p

100

10/22/10

8,11616

Occidental

Pete

Cor

p

50

09/23/11

3,641

77

OCH-Ziff

Ca

p

t]

M

g

mt

Gr

250

10/03/13

3,03076

Pfizer Inc

7

01/31/00

189 06

Pfizer

Inc

133

04/04/02

3,971

95

Pfizer Inc

60

08/27/12

1,49355

Plains

All

Amern

Pi

I I

234

03/06/12

9,284

76

Plains

All

Amern

Pi

I 1

4

05/16/12

161

70

Plains

All

Amern

Pi

I I

2

08/15/12

81

83

Plains

All

Amern

Pi

II

p

4

08/15/12

173

20

Plains

All

Amern

Pi

II

1

10/01/12

44

86

Plains

All

Amern

Pi

I I

p

3

11/15/12

1

54

Plains

All

Amern

Pi

II

p

2

02/14/13

139

55

Plains

All

Amern

Pi

II

3

05/16/13

144

12

Plains

All

Amern

Pi

I 1

2

08/15/13

148

71

Plains

All

Amern

Pi

p

I I

p

3

11/15/13

153 55

Procter

&

Gamble

Co

100

07/12/05

5,557

37

Prudential

Financial

100

06/02/09

3,90000

R2000

Ste

p

u p

Issuer

Ba

500

01/24/13

5,000

00

Safe

Bulkers

Inc

800

04/12/11

Sealed

Air

Cor

p

250

05/09/12

4,542

85

Sealed

Air

Cor

p

100

06/08/12

1,581

09

Sealed

Air

Cor

p

100

58/01/12

1,664

61

Sealed

Air

Cor

p

100

08/17/12

1,418

35

Seas

an

Cor

p

400

11/20/13

8,80000

Select

Income

Reit

500

06/27/13

14,125

00

Sem

p

ra

Ener exchan

145

05/18/05

4,438

78

Sirius

XM

Holdin

g

s

Inc

500

12/02/13 1,925

35

1,925

35

SP500

Arn

Issuer

Bac

972

11/29/12

9,72000

S

p

sio

p

Arn

Issuer

Bac

500

10/24/13

5,000

00

SXSE

Ste

p

u

p

Issuer

HS

500

07/25/13

5,00000

Tara

Resources

Partne

200

11/15/12

7,200

00

Tesoro

Lo

g

istics

LP 400

11/22/13

20,474

29

20,420

00

Time

Warner

Inc

67

12/15/09

2,97463

Time

Warner

Cable

4

09/10/98

353

42

Time

Warner

Cable

12

10/16/98

1,040

88

Time

Warner

Cable

17

03/22/05

931

99

Valero

Ener

gy

Cor

p

Ne

100

06/19/13

3,87560

Veolia

Enviroment

ADR

250

08/07/12

2,585

76

Vodafone

Grou

p

PLC

262

10/27/99 13,031

25

Vodafone

Grou

p

PLC

175

02/21/06

4,36569

Vodafone

Grou

p

PLC

167

11/18/08

3,281

31

Wells

Far

g

o

&

Co

New

100

11/13/12

3,32535

We

y

erhaeuser

Co

200

12/13/11

3,437

35

Yamana

Gold

Inc

100

03/04/13

1,471

85

Yamana

Gold

Inc

200

02/10/12 3,316

45

Yamana

Gold

Inc

200

06/20/13

2,013

77

Sub-Total

30603

0.00

55

,720.22

17,635.20

479,798.13

52,405.85

Mutual

Funds-Defined

A

sset

Fund

s

Advent

Claymore 500

05/24/07

6,703

31

AIlianz

NFJ

Div

600

03/07/06

12,166

74

Allianz

NFJ

Dividend

765

02/08/06

11,069

34

Allianzgi

Global

Water

216

04/19/13

6

07

2,50607

ALPS

Alerian

MLP

ETF

300

06/22/12

4,803

83

American

New

World

112

02/16/07

130

24

5,895

53

American

Inc

Fd

of

Ame

r

633

08/26/04

11,072

00

American

Ca

p

INC

BLD

341

11/14/03

171 12

17,116

34

American

Washin

g

ton

542

02/02/04

587

91

16,622

16

A

p

ollo

Tactical

Income 250

02/25/13

5,00000

Ares

D

y

namic

Credit

250

11/27/12

5,000

00

Babson

Ca

p

Global

200

10/25/12

5,000

00

Blackrock

S

and

P

800

05/25/04

11,685

35

Blackrock

Sr

Hi

g

h

Inc

1461

11/15/04

8,358

85

Blackrock

Res&Commo

500

03/28/11

8,955

35

Blackrock

Multi-sector

250

02/25/13

5,00000

Blackrock

Small

Cap

Gr

1031

10/26/99

1273

56

12,746

06

Blackrock

HL

SC

O

pp

262

06/29/07

972

19

7,668

15

Blackrock

Basic

1228

05/23/01

4506

75

37,432

27

Blackrock

Eurofund

CL

1

3

2757

10/27/98

414

30 43,489

10

Blackrock

Global

Value

2363

09/04/02

2443

31

35,580

72

Blackstone

GSO

Strate

i

200

09/25/12

4,00000

Calamos Conv

&

High

I

1000

06/15/06

14,451

75

Calamos

Strat

Tot

Retur

2000

03/25/04

23,077

89

Clearbrid

g e

Amern

Ener

250

06/25/13

5,000

00

Clough

Global

Equity

300

04/27/05

6,000

00

Clough

Global

Opp

Fun

600

04/25/06

11,658

37

Coehn

&

Steers

Select

400

03/25/04

8,000

00

Cohen

&

Steers

Divid

550

01/26/05

10,430

00

Cohen

&Steer

Closed

600

11/20/06

11,317

79

Cohen

&

Steers

Ml

p

Inc

250

03/25/13 5,000

00

Cohen

&

Steers

Ltd

Du

a

rl

200

07/26/12

5,000

00

Davis

O

pp

ortunit

y

238

08/12/05

14

55

6,069

26

Davis

NY

Venture

174

02/16/06

308 64

6,288

73

Delaware

Corporate

Bo

1703

07/18/12

35

59

11,036

82

Doubleline

Income

300

04/25/13

7,50000

Dre

y

fus

International

241

03/17/06

114

31

8,841

18

Dre

y

fus

Global

Al

p

a

392

11/01/06

5,36700

Eaton

Vance

Ltd

Dur

700

05/27/03

13,819

35

Eaton

Vance

SHT

700

02/23/05

13,352

83

Eaton

Vance

Floatin

g

250

06/25/13

5,00000

Eaton

Vance

GIbI

Macr

o

483

04/30/13

5,000

00

E

q

uinox

Mutual

hed

g

e

531

09/05/13

9

77

5,009

77

Fidelit

y

Advisor

144

08/15/13

7

51

2,507

50

Fidelit

y

Advisor

New

512

04/28/06

1637

91

9,884

15

First

TR

Inter

Duration

400

05/23/13

10,000

00

Franklin

Income

FD

CL

10413

02/14/05

108

86

24,896

14

Ft

3838

High

Divid

E

q

t

y

456

02/01/13

5,009

30

Ft

3838

Hi

g h

Divid

E

t

97

81

Ft

3959

Income

Allocate

2992

02/01/13

166 85

29,632

31

Ft

4074

MI

Excess

249

03/14/13

2,502

85

Ft

4074

MI

Excess

5

55

GDL

250

01/26/07 5,000

00

Goldman

Sachs

MI

me

500

11/29/13

10,000

00

Goldman

Sachs

Strate

gi

(

459

02/19/13

5,00000

Goldman

Sachs

Risin

g

288

02/19/13

4,999

99

Gu

gg

enheim

1086

Tech

253

10/17/13

319

2,510

17

Hartford

Inflation

Plus

2689

04/22/04

1057

75 29,612

06

27

58

Hartford

Ca

p

ital

718

02/21/02

1295

40

22,679 82

Hartford

Balance

Fund

524

10/03/02

6,675

86

Hartford

Mid

Ca

p

1164

07/24/03

2159

17

24,598

75

nvesco

Convertible

228

02/16/11

127 38

5,12570

nvesco

E

q

uit

y

&

Incom

e

2455

06/10/05

1512

86

21,418

08

nvesco

Comstock

Fund

700

08/12/05

48

92

13,331

32

(shares

Iboxx

Hi

g

h

Yiel

50

11/05/09

4,393

04

(shares

Tr

Ftse

Nareit

500

10/15/12

7,174

15

Iv

y

Asset

Strate

gy

215

01/19/10

32

11

5,22477

Iv

y

Hi

g h

Income

250

05/28/13

5,000

00

Kane

Anderson

Ener

gy

200

04/05/11

6,116

00

Lazard

GI

Tot

Ret

&

Inc

400

04/27/04

8,000

00

Le gg

Mason

Bw

Globl

in(

250

03/27/12

5,000

00

Market

Vectors

Mort

g a

ge

100

05/18/12

2,505

35

MFS

Charter

Income

1000

04/05/04

9,1.05

35

MFS

Growth

Fund

A

525

08/13/99

516

90

33,222

84

MFS

Hi

g

h

Yield

1344

02/18/04

10,220

96

MFS

Intermediate

Incom

5500

02/09/98

40,659

82

MFS

MID-CAP

Growth

733

02/21/02

7,002

35

MFS

Research

Bond

1469

01/10/03

6

86

15,148

90

MFS

Utilities

Fund

887

09/08/04

762

43

9,186

31

Nuveen

Lon

/Short

200

10/25/12

5,00000

Nuveen

Mort

g

a g

e

O

rtni

400

11/24/09

5,000

00

Nuveen

Build

Amer

Bd

F

500

04/27/10

10,000

00

Nuveen

Santa

Barbara 198

09/17/13

36 54

499

99

6,536

54

O

pp

enheimer

Intl

544

02/16/06

66 92

5,993

63

O

pp

enheimer

Global

10584

02/13/96

51,120 72

O

pp

enheimer

Internatl

1877

12/12/03

10,570

46

O

pp

enheimer

Global

20315

02/25/97

99,992

00

Pimco

D

y

namic

Income 400

05/24/12

10,000

00

PIMCO

Total

Return

946

04/19/02

10,014

55

PIMCO

Real Return

922

08/01/02

10,029

50

Pioneer

Strate

g

ic

Incom 1004

01/27/04

10,625

03

Pioneer

Multi

Asset

Real

511

08/31/10

2

25

5,516

43

Powershares

Preferred

300

03/19/10

4,322

15

Princi

p

al

Global

1133

01/06/12

24247

15,956

67

Princi

p

al

Preferred

907

03/20/09 5,129

87

Prudental

Shrt

Duration

500

04/25/12 10,000

00

Prudential

Global

Short

250

12/20/12

5,00000

Prudential

Jennison

587

05/02/12

412

87

7,912

87

Sector

SPDR

Ener

gy

50

02/03/05

1,998

32

Transamerica

Small/Mid

371

10/30/09

827

21

6,225

25

Virtus Al

p

hasector-A

490

01/07/11

455

61

5,860

43

Virtus

Mid-Ca

p

Value

187

05/07/07 5,383

97

Wells

Far

g

o

Advanta

g

e

1000

06/24/03

19,390

70

Western

Asset

Mt

g

Defin

500

02/23/10

10,000

00

Sub-Total

110916 22503

.

86

103

.

36 499.99

1,206,014.84

0.00

Alternative

Investment

Asia

Cc

y

Note

Issuer

Ba

1000

07/28/11

10,091

90

Asia

Cc

y

Note

Issuer

Ba

500

08/25/11

4,343

17

Brlmxnveur

Mits

Iss

Barc

500

12/31/13

5,00000 5,00000

CNY

Mitts

Issuer

Bac

1000

01/04/12

10579

87

10,000

00

CNY

Mitts

Issuer

Bac

500

07/01/12

5,000

00

CNY

Mitts

Issuer

Bac

500

07/26/12 5,000

00

MIcx

Am

Issuer

Bac

344

01/07/13

3,44000

Mlcx

rec

Arn

Issuer

Bac

500

05/01/13

5,00000

Mlcx

p

m

Am

Issuer

Bac

500

01/31/13

5,000

00

Sub-Total

0.00

10

,

579.87

5,000

.

00

42,875.07

10

,

000.00

Other

Plains

GP

Hldgs

Lp

250

10/21/13

Sub-Total

0

.

00

0.00

0.00 0.00

0.00

Total

-

month

22503

.

86

74

,

995.40

28

,

135.19

2

,

602,828

.76

72

,405.85

Total

Money

Market

148

,

148.20

Total of

Long

Portfolio

2,750,976.96

THE

ESSICK

FOUNDATION,

INC.

INVESTMENT

IN

STOCKS

-

4004

12/31/13

Reinvest

SALES

PURCHASE

NAME

OF

STO

K

HARE

DATE

#

NAME?

PRICE PRICE

COST

ALTRIA

GROUP

64

04/30/02

810

00

ALTRIA

GROUP

66

12/04/02

611

00

ALTRIA

GROUP

23

05/27/08

515

17

AMERICAN

TOWER

C

RP

20

04/15/09

617

20

AMERICAN

TOWER

C

RP

17

03/15/11

848

75

APPLE

INC

17

07/19/07

2,38245

APPLE

INC

9

02/07/08

1,09348

AT&T

INC

60

05/22/09

1,428

60

AVON

PROD

INC

24

08/05/09

768

71

AVONPROD

INC

21

05/06/10

601

80

BAIDU

INC

SPON

ADR

10

04/19/13

90240

BALL

CORP

38

05/29/09

747

93

CHESPEAKE

ENERG

Y

OKLA

50

05/02/12

850

00

CHEVRONTEXACO

C

RP

13 10/26/04

699

10

CHEVRONTEXACO

CO

R

P

56

04/30/02

2,429

29

CISCO

19 10/25/07

592

80

CISCO

68

02/07/08

1,564

05

CITIGROUP

INC

COM

EW

10

04/28/10

444

00

CITIGROUP

INC

5

06/10/10

195

00

COCA

COLA

90

04/30/02

5,005

80

DIAGEO

PLC

SPSD

AD

NEW

13

08/07/09

803

79

DIAGEO

PLC

SPSD

AD

NEW

13

03/16/11

926

89

DICKS

SPORTING

GO

DS

INC

30

05/19/10

826

45

DISNEY

(

WALT

)

CO CO

45

03/15/11

1,860

99

DISNEY

(

WALT

)

CO CO

10

08/10/11

314

55

EXPRESS

SCRIPT

HLD

CO

20

02/04/10

844

22

EXXON

19

02/23/01

789 89

EXXON

76

04/30/02

3,061

78

EXXON

20

12/17/02

714

54

FEDEX

CORP

21

01/22/10

1,696

56

FORD

MOTOR

CO

NE

W

73

05/06/10

872

35

FORD

MOTOR

CO

31

07/18/12

293

78

GENERAL

ELECTRIC

190

04/30/02

5,985

01

GENERAL

ELECTRIC

2

01/10/03

51

80

GENERAL

ELECTRIC

8

04/24/13

174

40

GOLDCORP

INC

20

06/24/11

935

29

GOLDCORP

INC

10 12/07/12 371

60

GOLDCORP

INC

5

02/04/13

180

20

GOLDCORP

INC

5

07/23/13

144 80

HESS

CORP

10

05/03/11

800

60

HESS

CORP

5

06/13/11

353 90

HESS

CORP

5

00

07/18/12

224

35

HESS

CORP

10

00

12/07/12

494

50

INTL

BUSINESS

MACH

INES

15 10/23/09

1,80420

JOHNSON

AND

JOHNS

N

24

04/30/02

1,531

69

JOHNSON

AND

JOHNS

N

31

12/04/02

1,76610

JOHNSON

AND

JOHNS

N

25

03/04/04

1,32674

JP

MORGAN

CHASE

35

06/04/09

1,226

40

KANSAS

CITY

SOUTHE

N

17

08/02/11

963

71

KELLOGG

CO

16

06/28/10

843

52

KELLOGG

CO

10

09/21/10

501

85

MC

DONALDS

CORP

25

01/05/11

1,86500

MICROSOFT

142

04/30/02

3,709

04

NESTLE

62

05/01/02

1,48750

NESTLE

33

12/17/02

673

27

NEWELL

RUBBERMAI

D

INC

51

10/15/12

1,01734

NIKE

INC

15

06/24/09

79740

OCCIDENTAL

PEETE

C

RP

20

07/01/10

1,531

40

OCCIDENTAL PEETE

C

RP

1

08/25/10

72

47

PG&E

CORP

35

04/24/09

1,295

00

PROTERGAMBLE

54

08/03/01

1,902

97

PROTERGAMBLE

46

01/14/04 2,307

36

PULTE

GROUP

50

08/05/10

426

00

TARGET

CORP

65

04/30/02

2,834

00

QUALCOMM

INC

18

09/12/11

899

10

QUALCOMM

INC

2

04/23/13

127 55

TEVA

PHARMACTICA

INDS

25

04/05/10

1,593

00

TEVA

PHARMACTICA

INDS

10

05/11/10

583

80

TEVA

PHARMACTICA

INDS

25

04/28/10

1,468

50

TEVA

PHARMACTICA

INDS

10

05/20/10

550

00

TEVA

PHARMACTICA

INDS

10

07/23/10

489

00

TEVA

PHARMACTICA

INDS

10

01/31/12

451

00

TEVA

PHARMACTICA

L

INDS

10

07/23/13

412

00

THERMO

FISHER

SCIE

TIFIC

19

06/09/09

770

02

TRAVELERS

COS

INC

18

06/24/09

732

05

TWENTY

FIRST

CENT

RY

FOX

138

04/30/02 1,354

59

TWENTY

FIRST

CENT

RY

FOX

12

07/06/05

170

99

UNITED

TECHS

CORP

18

05/16/06

1,17284

UNITED

TECHS

CORP

15

08/03/06

944

25

UNITED

TECHS

CORP

13 10/25/07

98444

UNITEDHEALTH

GRO

U

P

25

09/03/10

842

38

UNITEDHEALTH

GRO

U

P

14 11/01/13

956

76

956

76

VERIZON

COMMUNICA

T

ION

28

01/15/10

855

67

WASTE

MANAGEMEN

T

INC

25

05/19/09

708

75

WASTE

MANAGEMEN

TINC

10

05/29/09

274

00

WENDYS

ARBYS

GRO

P

100

11/05/09

428

91

WEYERHAEUSER

CO

50

10/18/10

767

50

WEYERHAEUSER

CO

33

09/21/10

509

52

WEYERHAEUSER

CO

26

08/19/10

420

42

YAMANA

GOLD

INC

100

06/20/13

945

89

2857

0.

00

956.76

95,125.66

MUTUAL

FUNDS

CALAMOS

STRAT

TO

RETURN

300

03/26/12

2,984

97

COHEN

&

STEERS

GLO

BAL

28

07/27/09

12

69

929

41

FIDELITY

ADVISOR

156

08/15/13

2,64871

ISHARES

GOLD

TR

75

08/24/11

1,266

43

ISHARES

SILVER

50

04/26/11

1,882

60

ISHARES

US

BASIC

30

09/10/09

1,608

85

MARKET

VECTORS

50

02/24/09

1,72650

NEUBERG

&

BERMN

G

NESIS

168

10/30/09

758

60

6,364 78

PRUDENTIAL

SHORT

T

ERM

454

05/01/12

27

23

5,27755

SECTOR

SPDR

FINAN

C

IAL

63

10/16/12

1,01276

VIRTUS

EMERGING

MA

RKETS

238

02/01/13 2,500

00

VAN

ECK

GLOBAL

49

10/16/09

0

74

2,062

85

799.26

0.00

0

.

00

30,265.41

CASH

76,806.83

TOTAL

PORTFOLIO

0

00

956

76

202,197.90

THE

ESSICK

FOUNDATION,

INC.

G

AIN

ON

SALE

ON STOCKS

-

4004

11/30/13

PURCHASE

SOLD

SALES

GAIN/

NAME

OF

STO

C K

HARE

DATE DATE

PRICE

COST

LOSS

TWENTY

FIRST

CENTU

RY

FOX

170

04/30/02

981

42

316

67

664

75

NEW

NEWS

CORP

LLC

42

07/06/05

658

97

213

23

445

74

NEW

NEWS

CORP

LLC

3

07/06/05

47

07

22

11

24 96

NEW

NEWS

CORP

LLC

768

1

7

68

MICROSOFT

50

04/30/02 08/23/13

1713

98

1306

00

407

98

CENTURYLINK

INC

S

S

50

01/18/12

11/22/13

1840

94

1,87333

(

37549

)

CENTURYLINK

INC

SS

10

02/07/13

11/22/13

343

10

Y-T-D

1

,175.62

GAIN

ON

SALE

OF

SECURITIES

Cost

of

Purchase

Sold

Sales Sales

January

Oppenheimer

Intl

01/03/13

74

69

-74

69

E

q

uit

y

Residential

100

11/28/12

1/10/13

5,64452

5,47500

169 52

A

pp

olo

Coml

Real

Est

500

10/03/12

1/22/13

8,55446 8,49000

64

46

Corener

Infrastructure

1500

12/13/12

1/23/13

9,977

88

9,000

00

977

88

Co

p

ano

Enr

gy

LLC

500

10/19/12

1/24/13

16,622

72

16,065

00

557

72

Memorial

Prodtn

Partner

300

12/07/12

1/24/13

5,497

39

5,100

00

397

39

Ro

g ers

Am

Issuer

Sek

350

10/28/11

1/9/13

3,44663 3,50000

-53

37

49,743.

60

47

,

704.69

2,038.91

February

Blackrock

Fltg

Rt

Inc

1000

08/25/04 02/07/13

15,348

80

18,597

64

-3,248

84

Calumet

S

p

ecialit

y

400

02/03/01

02/13/13

13,842

73 12,724

00

1,118

73

DCP

Midstream

Partner

400

03/02/12

02/20/13

17,991

64

18,968

00

-976

36

Cater

p

illar

Inc

Del

67

09/17/07 02/25/13

9,17946 5,00000

4,17946

Cater

p

illar

Inc

Del

33

07/06/10

02/25/13

2,035

35

-2,035

35

CHK

CBN

Issuer

HSBC

500

02/09/12 02/25/13

4,986

58

5,00000

-13

42

EFA

EEM

Stars

Issuer

449

08/16/12 02/25/13

4797

56

4,49000

307

56

Met

CBN

Issuer

BAC

500

01/26/12 02/08/13

5,00000

5,000

00

0

00

Ft

3189

Income

allocatio

1318

11/01/11

02/05/13

13,880

91

12,887

67

993

24

85,027

.

68

84

,

702.66 325.02

March

Select

Income

Reit

200

12/05/12

03/01/13

5,321

23

4,80000

521

23

Flahert

y

&

Crumnne

300

04/26/10 03/06/13

5,98431

4,75535

1,22896

Kane

Anderson

MLP

200

04/05/11

03/06/13

6,98444 6,11600

868

44

Teeka

y

Offshore

Partner 0

03/08/13

03/08/13

17

62

0

00

17

62

Arch

Ca

p

ital

Grou

p

Ltd

200

03/26/12 03/08/13

5,451

53

5,000

00

451

53

Teeka

y

Offshore

Partner

500

09/12/12 03/08/13

14,629

97

13,825

00

804

97

Teeka

y

Offshore

Partner

9

11/13/12

03/08/13

0

00

256

25

-256

25

Teeka

y

Offshore

Partner

9

02/19/13 03/08/13

0

00

261

14

-261

14

Dcp

Midstream

Partners

250

03/06/13

03/08/13

10,669

41

10,157

50

511

91

Suncoke

Ener

gy

Partner

300

01/18/13

03/11/13

5,94951

5,70000

249

51

American

Cap

Agy

Corp

200

02/28/13 03/14/13

9,751

27

9,48900

262

27

Enbridge

Energy

Mgmt

L

500

03/01/13 03/14/13

14,311

38

13,645

00

666

38

Tara

Resources

Partne

100

01/19/13

03/14/13

4,284

55

3,36700

917

55

Pitney

Bowes

Inc

200

03/07/13 03/19/13

4,98954 5,00000

-10

46

Kosmos

Ener

gy

Ltd

400

02/15/13 03/20/13

4,43955 4,40000

39

55

Nuveen

Mort

g a g e

O

rtrn

200

11/24/09

03/25/13

5,87652

5,00000

876

52

Tal

Intl

Grou

p

Inc

300

02/21/13

03/25/13

13,169

35

13,020

00

149

35

Kinder

Mor

g

an

Ener

gy

200

02/21/13 03/28/13

17,649 57 17,270

00

379

57

Bank

of

America

Cor

p

20000

08/26/10

03/07/13

20,000

00

20,000

00

0

00

NM

Ford

Motor

10000

11/19/98

03/11/13

10,000

00

10,000

00

0

00

EEM

Stars Issuer

Barc

500

02/23/12 03/11/13

5,000

00

5,000

00

0

00

Preferred

Plus

TR

200

10/01/02

03/14/13

5,000

00

4,541

54

458

46

Preferred Plus

TR

SRS

400

08/16/01

03/14/13

10,000

00

10,000

00

0

00

Preferred

Plus

TR

SRS

200

12/20/01

03/14/13

5,00000

4,496

00

504

00

Partner

Re

Ltd

200

05/01/03 03/18/13

5,00000 5,00000

0

00

R2000

Bear

Arn

Iss

Barc

500

09/06/12 03/22/13

4,343

93

5,000

00

-656

07

SLM

Corp

20000

06/21/04 03/27/13

19,800

00

20,000

00

-200

00

213,623

.

68

206

,

099.78

7

,

523.90

April

Enbrid

g e

Ener

gy

Partner

500

09/06/12 04/01/13

14,705

14

14,320

00

385

14

Tara

Resources

Partne

r

100

01/19/11

04/02/13

4,44255 3,36700

1,07555

Van

g

uard

Nat

Res

LLC

500

01/31/13

04/04/13

14,150

53

13,925

00

225

53

Re

g

enc

y

Ener

gy

Partner

500

03/20/12

41365

00

12,535

41

12,235

00

300

41

Tara

Resources

Partne

100

11/15/13 04/08/13

4,411

23

3,600

00

811

23,

Hos

p

italit

y

P

t

s

Trust

250

03/19/13

04/09/13

6,734

50

6,38750

347

00

Aviv

Reit

Inc

Md

100

1

03/20/13 04/16/13

2,41699 2,00000

416

99

Realt

y

Incm

Cr

p

Md

Pv

-

$

1

200

03/05/13 04/25/13

9,604

77

9,18000

424

77

Citi

g

rou

p

Ca'

ital

VIII

500

09/06/01

04/16/13

12,500

00

12,500

00

0

00

81,501

.12

77

,514.50

3,986.62

May

Realt

y

Incm

Cr

Md

Pv$

200

03/05/13 05/02/13

9,88543 9,18000

705

43

Pitne

y

Bowes

Inc

200

11/19/12

05/07/13

5,07453 5,00000

74

53

Aviv

Reit

Inc

Md

100

03/20/13 05/13/13

2,774

91

2,00000

774

91

Hos

p

italit

y

P

t

s

Trust

250

03/19/13 05/14/13

7,41573

'6,387

50

1,02823

Govt

P

t

s

Income

Tr

500

03/11/13 05/15/13

13,019

36

12,600

00

419

36

General Motors

17

06/28/01

05/21/13

538

40

2,07369

-1,53529

General Motors

94

11/02/98

05/12/13

2,977

00

11,660

00

-8,683

00

Pioneer

Floatin

g

Rate

400

12/22/04

05/24/13

5,58965 8,00000

-2,410

35

Ellington

Financial

LLC

500

05/14/13 05/31/13

12,669

43

12,750

00

-80

57

Holl

y

Ener

gy

Partners

253

03/19/13 05/31/13

5,51730 5,99760

-480

30

Bank

of

America

exchan

400

04/22/08 05/28/13

10,000

00

10,000

00

0

00

Bank

of

America

Cor

p

300

05/20/08 05/01/13

7,50000 7,50000

0

00

Kane

Anderson

MLP

200

12/30/05

05/13/13

5,02500 5,00000

25 00

Ener

gy

Arn

Issuer

HSBC

500

03/29/12 05/31/13

5,952

50

5,000

00

952

50

Xcel

Ener

gy

200

01/11/08 05/31/13

5,000

00

5,000

00

0

00

98,939

.

24

108

,

148.79

-9,209.55

June

Williams

Partners

L

P

300

03/05/13

06/13/13

14,951

42

14,742

00

20942

TC

Pi

p

elines

LP

200

05/16/13

06/19/13

8,769

50

8,770

00

-0

50

Holl

y

Ener

gy

Partners

253

03/19/13 06/19/13

9,571

73

10,322

40

-750

67

Mac

q uarie

Infrastructure

100

05/03/13 06/25/13

5,09506

5,850

00

-754

94

THL

Credit

Inc

500

06/24/13

06/27/13

7,24452

7,31000

-65

48

American

Intl

Grou

p

200

05/29/07 06/17/13

5,00000

5,000

00

0

00

Prudential

Financial

200

06/24/08 06/17/13

5,00000

5,000

00

0

00

Ge

Stars

Issuer

Barc

500

12/20/12

06/28/13

5,000

00

5,000

00

0

00

60,632.23

61

,

994.40

-1,362.17

July

Senior

Housin

g

PPTY

200

07/17/12 07/03/13

4,644

57

5,000

00

-355

43

AAPLStars

Issuer

BAC

500

06/20/12

07/02/13

3,94204 5,00000

-1,05796

GT

Ste p

s

Issuer

BAC

500

06/28/12 07/08/13

5,325

50

5,000

00

325

50

Hannon

Armstron

g

500

04/17/13 07/05/13

6,13664 6,25000

-113

36

Thermo

Fisher

Scientific

100

06/07/13 07/12/13

8,629

51

8,550

00

79

51

Exterran Partners

200

03/01/11

07/02/13

5,84455 5,73000

114

55

Calumet

S

p

ecialit

y

300

03/26/13 07/26/13

9,79916

11,250

00

-1,45084

Silver

Clirn

Issuer

Bac

250

06/23/11

07/02/13 1,747

53

2,500

00

-752

47

46,069.50

49

,

280.00

-3,210.50

August

Bank

of

America

200

11/14/07

08/01/13

5,00000 5,00000

0

00

Ashford

Hos

p

italit

y

TR

500

06/20/13 08/16/13

6,069

54

6,000

00

69

54

C

Stars

Issuer

Bac

500

02/07/13

08/13/13

5,365

25

5,000

00

365

25

GE

Stars Issuer

Barc

500

08/28/13

08/28/13

5,413

00

5,000

00

413

00

Microsoft

Corp

100

11/05/98

08/28/13

6,74683 2,70607 4,04076

Microsoft

Cor

p

60

03/02/99

2,267

90

-2,267

90

Microsoft

Cor

p

40

04/30/99

1,641

42

-1,641

42

Powershares

Build

Amer

400

11/17/09

08/21/13

10,499

67

10,139

96

359

71

Western

Asst

GIbI

Cor

p

350

11/23/09

08/20/43

6,046

05

7,000

00

-953

95

4

93

4

93

45,145

.27

44,

755.35 389.92

September

NM

General

Mtrs

Acct

10000

09/06/01 09/06/01

10,000

00

10,000

00

0

00

JP Mor

g

an

Chase

&

Co

200

08/14/08 09/13/13

5,000

00

5,00000

0

00

F

Stars Issuer

Hsbc

500

03/07/13 09/27/13

5,443

75

5,00000

443

75

Oaktree

Ca

p

Grou

p

LLC

200

05/22/13

09/13/13

10,594

46

10,700

00

-105

54

Safe

Bulkers

Inc

800

04/12/11

09/09/13 5,894

55

6,720

00

-825

45

Summit

Hotel

PPTYS

In

1000

09/18/13

09/24/13 9,315

35

9,200

00 115

35

World

PT

Terms

L p

500

08/08/13 08/02/13 10,044

47

10,000

00

44

47

56,292.58 56,620.00

-327.42

Ocotber

CD

Bank

of

America

5000

09/19/05

10/14/13

15,000

00

15,000

00

Dal

Ste p

s

Issuer

RBC

500

09/27/12

10/11/13

5,09550 5,00000

95 50

Fcx

Stars Issuer

Barc

500

10/11/12 10/15/13

4,73065

5,00000

-269

35

Western

Asset

Hi

g h

Yiel

250

10/26/10

10/04/13

4,397

57

5,000

00

-602

43

ING

Emer

g

in

g

Mkts

250

04/26/11

10/04/13

3,084

47

5,000

00

-1,915

53

Nuveen

Diversified

200

09/27/10

10/04/13

3,22593 5,00000

-1,77407

CHS

Inc

Class

B

cum

200

09/19/13

10/07/13

5,522

33

5,00000

522

33

Uil

Hld

g

Cor

p

Conn

100

10/02/13 10/23/13

3,77958

3,725

00

54

58

Oci

Partnrs

LP

Corn

Unit

400

10/09/14

10/10/13

7,49452

7,200

00

294

52

52,330.55

55

,

925.00

-3,594.45

November

Asia

C

y

Mitts

Issuer

Bac

500

11/22/11

11/29/13

5000

00

5,01899

-18

99

Kenned

y

Wilson,

Inc

200

11/20/12 11/21/13

4,814

65

5,000

00

-185

35

Fcx

Stars

Issuer

Rbc

250

05/16/13

11/22/13

2,72400 2,50000

224

00

Fidelit

y

National

Financ

200

10/30/13 11/22/13

5,51955 5,35000

169 55

Inte

g

ra

L

Hld

s

Cor

p

Ne

100

11/13/13

11/11/13

4,340

99

4,000

00

340

99

Enter

p

rise

Prdts

Prtn

L

p

300

11/08/13

11/25/13

18,904

34

18,615

00

289

34

Northern

Tier

Ener

gy

L

p

400

05/01/13

11/20/13

9,90060

10,512

00

-611

40

Plains

GP

Hldgs

Lp

250

10/21/13 11/04/13

5,60705 5,50000

107

05

56,811

.

18

56

,

495.99 315.19

December

Coresite

Realt

y

Cor

p

200

12/05/12 12/06/13

4,58957

5,00000

-410

43

Duke

Ener

gy

Cor

p

300

01/09/13

12/06/13

4,002

38

5,000

00

-997

62

D

is

Ste

u

Issuer

Bac

500

12/21/10 12/30/13

7032

39

5,00000

2,032

39

Eli

Lill

y

&

Co

100

11/16/12 12/18/13

4,936

06

4,685

85

250

21

Em

p

ire

St

Rlt

y

Tr

Inc

500

10/07/13 12/09/13

7,14452

6,500

00

644

52

F

Ste

p

s

Issuer

Barc

500

11/29/12 12/13/13

5,22750 5,00000

227

50

Midcoast

Ener

gy

Partner

600

11

/13/13

12/20/13

10,905

46

10,800

00

105

46

Tesoro

Lo

g

istics

LP 400

11/22/13 12/24/13

20,474

29

20,420

00 54 29

Ft

3838

Hi

g

h

Divid

E

t

97

81

97

81

Ft

4074

MI

Excess

5

55

5

55

CNY

Mitts

Issuer

Bac

1000

01/04/12

12/30/13

10579

87

10,000

00

579

87

Cash

in

liu

31

17

31

17

75,026

.57

72

,405.85

2

,

620.72

Y-T-D

921

,143.20

921,647.01

-

503.81

GAIN

ON

SALE

OF

SECURITIES

Cost

of

Purchase

Sold

Sales Sales

January

Oppenheimer

Intl

01/03/13

74

69

-74

69

E

uit

Residential

100

11/28/12

1/10/13

5,64452

5,47500

169 52

A

pp

olo

Coml

Real

Est

500

10/03/12

1/22/13

8,55446 8,49000

64

46

Corener

gy

Infrastructure

1500

12/13/12

1/23/13

9,97788 9,00000

977

88

Co

p

ano

Enr

gy

LLC

500

10/19/12

1/24/13

16,622

72

16,065

00

557

72

Memorial

Prodtn

Partner

300

12/07/12

1/24/13

5,49739

5,1,00

00

397

39

Ro

g

ers

Arn

Issuer

Sek 350

10/28/11

1/9/13

3,44663

3,50000

-53

37

49,743.

60

47

,

704.69

2

,

038.91

February

Blackrock

FItg

Rt

Inc

1000

08/25/04 02/07/13

15,348

80

18,597

64

-3,248

84

Calumet

S

p

ecialit

y

400

02/03/01

02/13/13

13,842

73

12,724

00

1,11873

DCP

Midstream

Partners

400

03/02/12 02/20/13

17,991

64

18,968

00

-976

36

Cater

p

illar

Inc

Del

67

09/17/07 02/25/13

9,17946 5,00000

4,17946

Cater

p

illar

Inc

Del

33

07/06/10

02/25/13

2,035

35

-2,035

35

CHK

CBN

Issuer

HSBC

500

02/09/12 02/25/13

4,986

58

5,000

00

-13

42

EFA

EEM

Stars Issuer

449

08/16/12 02/25/13

4797

56

4,49000

307

56

Met

CBN

Issuer

BAC

500

01/26/12 02/08/13

5,00000

5,00000

0

00

Ft

3189

Income

allocatio

1318

11/01/11

02/05/13

13,880

91

12,887

67

993

24

85,027.68 84,702.66

325.02

March

Select

Income

Reit

200

12/05/12

03/01/13

5,321

23

4,800

00

521

23

Flahert y

&

Crumrine

300

04/26/10 03/06/13

5,98431

4,75535

1,22896

Kane

Anderson

MLP

200

04/05/11

03/06/13

6,98444

6,116

00

86844

Teeka

y

Offshore

Partner 0

03/08/13 03/08/13 17

62

0

00

17

62

Arch

Ca

p

ital

Grou

p

Ltd

200

03/26/12 03/08/13

5,451

53

5,000

00

451

53

Teeka

y

Offshore

Partner

500

09/12/12 03/08/13

14,629

97

13,825

00

804

97

Teeka

y

Offshore

Partner

9

11/13/12

03/08/13

0

00

256

25

-256

25

Teeka

y

Offshore

Partner 9

02/19/13 03/08/13

0

00

261

14

-261

14

Dcp

Midstream

Partners

250

03/06/13 03/08/13

10,669

41

10,157

50

511

91

Suncoke

Ener

gy

Partner

300

01/18/13 03/11/13

5,94951

5,70000

249

51

American

Cap

Agy

Corp

200

02/28/13

03/14/13

9,751

27

9,489

00

262

27

Enbridge

Energy

Mgmt

L

500

03/01/13 03/14/13

14,311

38 13,645

00

666

38

Tara

Resources

Partne

100

01/19/13 03/14/13

4,284

55

3,367

00

917

55

Pitney

Bowes

Inc

200

03/07/13

03/19/13

4,989

54

5,00000

-10

46

Kosmos

Ener

gy

Ltd

400

02/15/13

03/20/13

4,439 55

4,40000

39 55

Nuveen

Mort

g a

g

e

O

rtni

200

11/24/09

03/25/13

5,87652

5,00000

876

52

Tal

Intl

Grou

pInc

300

02/21/13 03/25/13

13,169

35

13,020

00

149 35

Kinder

Mor

g

an

Ener

gy

200

02/21/13 03/28/13

17,649

57

17,270

00

379

57

Bank

of

America Cor

p

20000

08/26/10

03/07/13

20,000 00 20,000 00

0

00

NM

Ford

Motor

10000

11/19/98

03/11/13

10,000

00

10,000

00

0

00

EEM

Stars

Issuer

Barc

500

02/23/12 03/11/13

5,000

00

5,000

00

0

00

Preferred

Plus

TR

200

10/01/02

03/14/13

5,000

00

4,541

54

458

46

Preferred Plus

TR

SRS

400

08/16/01

03/14/13

10,000

00

10,000

00

0

00

Preferred

Plus

TR

SRS

200

12/20/01

03/14/13

5,00000

4,496

00

504

00

Partner

Re

Ltd

200

05/01/03 03/18/13

5,000

00

5,00000

0

00

R2000

Bear

Am

Iss

Barc

500

09/06/12 03/22/13

4,343

93

5,000

00

-656

07

SLM

Corp

20000

06/21/04

03/27/13

19,800

00 20,000 00

-200

00

213,623

.

68

206,099.78

7,523.90

April

Enbrrd

e

Ener

gy

Partner

,

500

09/06/12 04/01/13

14,705

14

14,320

00

385

14

Tara

Resources

Partne

100

01/19/11

04/02/13

4,44255 3,36700

1,07555

Van

g

uard

Nat

Res

LLC

500

01/31/13 04/04/13

14,150

53

13,925

00

225

53

Re

g

enc

y

Ener

Partner

500

03/20/12

41365

00

12,535

41

12,235

00

300

41

Tara

Resources

Partne

100

11/15/13

04/08/13

4,411

23

3,600

00

811

23

Hos

p

italit

y

P

t

s

Trust

250

03/19/13 04/09/13

6,734

50

6,387

50

347

00

Aviv

Reit Inc

Md

100

03/20/13

04/16/13

2,41699

2,000

00

416

99

Realt

y

Incur

Cr

p

Md

Pv$ 200

03/05/13 04/25/13

9,604

77

9,18000

424

77

Cite

rou

Ca

p

ital

VIII

500

09/06/01

04/16/13

12,500

00

12,500

00

0

00

81,501

.12

77

,514.50

3,986.62

May

Realt

y

Incm

Cr

p

Md

Pv$

200

03/05/13 05/02/13

9,88543 9,18000

705

43

Pitne

y

Bowes

Inc

200

11/19/12

05/07/13

5,07453 5,00000

74

53

Aviv

Reit

Inc

Md

100

03/20/13 05/13/13

2,774

91

2,000

00

774

91

Hos

p

italit

y

P

t

s

Trust

250

03/19/13 05/14/13

7,41573

6,38750

1,02823

Govt

P

t

s

Income

Tr

500

03/11/13 05/15/13

13,019

36

12,600

00

419

36

General

Motors 17

06/28/01

05/21/13

538

40

2,07369

-1,53529

General Motors

94

11/02/98

05/12/13

2,977

00

11,660

00

-8,683

00

Pioneer

Floatin

g

Rate

400

12/22/04

05/24/13

5,58965 8,00000

-2,410

35

Ellington

Financial

LLC

500

05/14/13 05/31/13

12,669

43

12,750

00

-80

57

Holl y

Ener

gy

Partners

253

03/19/13 05/31/13

5,517

30

5,99760

-480

30

Bank

of

America exchan

400

04/22/08 05/28/13

10,000

00

10,000

00

0

00

Bank

of

America

Cor

p

300

05/20/08

05/01/13

7,50000 7,50000

0

00

Kane

Anderson

MLP

200

12/30/05

05/13113

5,025

00

5,000

00 25 00

Ener

gy

Arn

Issuer

HSBC

500

03/29/12 05/31/13

5,95250 5,00000

952

50

Xcel

Ener

gy

200

01/11/08 05/31/13

5,000

00

5,000

00

0

00

98,939

.

24

108,148.79

-

9,209.55

June

Williams

Partners

L

P

300

03/05/13 06/13/13

14,951

42

14,742

00

20942

TC

Pi

p

elines

LP 200

05/16/13 06/19/13

8,76950 8,77000

-0

50

Holl

y

Ener

gy

Partners

253

03/19/13

06/19/13

9,571

73

10,322

40

-750

67

Mac

q

uarie

Infrastructure

100

05/03/13 06/25/13

5,09506 5,85000

-754

94

THL

Credit

Inc

500

06/24/13

06/27/13

7,24452 7,31000

-65

48

American

Intl

Grou

p

200

05/29/07 06/17/13

5,000

00

5,000

00

0

00

Prudential

Financial

200

06/24/08 06/17/13

5,00000 5,00000

0

00

Ge

Stars

Issuer

Barc

500

12/20/12

06/28/13

5,000

00

5,00000

0

00

60,632

.

23

61

,

994.40

-1,362.17

July

Senior

Housin

g

PPTY

200

07/17/12 07/03/13

4,644

57

5,00000

-355

43

AAPLStars

Issuer

BAC

500

06/20/12 07/02/13

3,942

04

5,000

00

-1,057

96

GT

Ste

p

s

Issuer

BAC

500

06/28/12 07/08/13

5,325

50

5,000

00

325

50

Hannon

Armstron

g

500

04/17/13 07/05/13

6,136

64

6,250

00

-113

36

Thermo

Fisher

Scientific

100

06/07/13 07/12/13 8,629

51

8,550

00 79

51

Exterran

Partners

200

03/01/11

07/02/13

5,84455

5,73000

114

55

Calumet

S

p

ecialit

y

300

03/26/13 07/26/13

9,79916

11,250

00

-1,45084

Silver

Clirn

Issuer

Bac 250

06/23/11

07/02/13 1,747

53

2,500

00

-752

47

46,069.50 49,280.00

-3,210.50

August

Bank

of

America

200

11/14/07

08/01/13

5,00000 5,00000

0

00

Ashford

Hos

p

italit

y

TR

500

06/20/13 08/16/13

6,069

54

6,00000

69

54

C

Stars

Issuer

Bac

500

02/07/13 08/13/13

5,365

25

5,00000

365

25

GE

Stars

Issuer

Barc

500

08/28/13

08/28/13

5,413

00

5,00000

413

00

Microsoft

Cor

p

100

11/05/98

08/28/13

6,74683 2,70607

4,04076

Microsoft

Cor

p

60

03/02/99

2,267

90

-2,267

90

Microsoft

Cor

p

40

04/30/99

1,641

42

-1,641

42

Powershares

Build

Amer

400

11/17/09

08/21/13

10,499

67

10,139

96

359

71

Western

Asst

GIbI

Cor

p

350

11/23/09 08/20/43

6,046

05

7,000

00

-953

95

493 493

45,145

.27

44,

755.35 389.92

September

NM

General

Mtrs

Acct

10000

09/06/01 09/06/01

10,000

00

10,000

00

0

00

JP

Mor

g

an

Chase

&

Co

200

08/14/08

09/13/13 5,000

00

5,000

00

0

00

F

Stars

Issuer

Hsbc

500

03/07/13 09/27/13

5,443 75

5,00000

443

75

Oaktree

Cap

Grou

p

LLC

200

05/22/13 09/13/13

10,594

46

10,700

00

-105

54

Safe

Bulkers

Inc

800

04/12/11

09/09/13

5,894

55

6,72000

-825

45

Summit

Hotel

PPTYS

In

c

1000

09/18/13 09/24/13

9,315

35

9,200

00 115

35

World

PT

Terms

L p

500

08/08/13

08/02/13

10,044

47

10,000

00

4447

56,292.58

56

,

620.00

-327.42

Ocotber

CD

Bank

of

America

15000

09/19/05

10/14/13

15,000

00

15,000

00

Dal

Ste

p

s

Issuer

RBC

500

09/27/12

10/11/13

5,09550

5,000

00 95 50

Fcx

Stars

Issuer

Barc

500

10/11/12 10/15/13

4,73065

5,000

00

-269

35

Western

Asset

Hi

g

h

Yiel

250

10/26/10

10/04/13

4,397

57

5,000

00

602

43

ING

Emer

g

in

g

Mkts

250

04/26/11

10/04/13

3,084

47

5,00000

-1,91553

Nuvee.q

Diversified

200

09/27/10

10/04/13

3,225

93

5,000

00

-1,774

07

CHS

Inc

Class

B

cum

200

09/19/13

10/07/13

5,522

33

5,00000

522

33

Uil

Hld

g

Cor

p

Conn

100

10/02/13 10/23/13

3,779

58

3,725

00

54 58

Oci

Partnrs

LP

Corn

Unit

400

10/09/14 10/10/13

7,494

52

7,200

00

294

52

52,330

.

55 55

,

925.00

-

3,594.45

November

Asia

C

y

Mitts

Issuer

Bac

500

11/22/11

11/29/13

500000

5,018

99

-18

99

Kenned

y

Wilson,

Inc

200

11/20/12 11/21/13

4,814

65

5,000

00

-185

35

Fcx

Stars

Issuer

Rbc

250

05/16/13

11/22/13

2,72400 2,50000

224

00

Fidelit

y

National

Financ

200

10/30/13 11/22/13

5,51955 5,35000

169

55

Inte

g

ra

L

Hld

s

Cor

p

Ne

100

11/13/13 11/11/13

4,340

99

4,000

00

340

99

Enter

p

rise

Prdts

Prtn

L p

300

11/08/13 11/25/13

18,904

34

18,615

00

289

34

Northern

Tier

Ener

gy

L

p

400

05/01/13

11/20/13

9,90060

10,512

00

-611

40

Plains

GP

Hldgs

Lp

250

10/21/13 11/04/13

5,607

05

5,500

00

107

05

56,811

.

18

56,495.99

315.19

December

Coresite

Realt

y

Cor

p

200

12/05/12 12/06/13

4,589

57

5,000

00

-410

43

Duke

Ener

gy

Cor

p

300

01/09/13

12/06/13

4,002

38

5,000

00

-997

62

D

pa

Ste

p

u

p

Issuer

Bac

500

12/21/10 12/30/13

7032

39

5,00000 2,03239

Eli

Lill

y

&

Co

100

11/16/12 12/18/13

4,93606 4,68585

250

21

Em

p

ire

St

Rlt

y

Tr

Inc

500

10/07/13

12/09/13

7,144 52

6,500

00

644

52

F

Ste

p

s

Issuer

Barc

500

11/29/12 12/13/13

5,22750 5,00000

227

50

Midcoast

Ener

gy

Partner

600

11/13/13 12/20/13

10,905

46

10,800

00 105

46

Tesoro

Lo

g

istics

LP 400

11/22/13

12/24/13

20,474 29 20,420 00 54

29

Ft

3838

Hi

g h

Divid

E

t

97

81

97

81

Ft

4074

MI

Excess

5

55

5

55

CNY

Mitts

Issuer

Bac

1000

01/04/12

12/30/13

10579

87

10,000

00

579

87

Cash

in

liu

31

17

31

17

75,026

.57

72

,405.85

2,620.72

Y-T-D

921,

143.20

921,647.01

-503.81