HomeMy Public PortalAbout12 December 14, 2016 CommissionComments are welcomed by the Commission. If you wish to provide comments to the Commission,
please complete and submit a Speaker Card to the Clerk of the Board.
MEETING AGENDA
TIME/DATE: 9:30 a.m. / Wednesday, December 14, 2016
LOCATION: BOARD ROOM
County of Riverside Administrative Center
4080 Lemon Street, First Floor, Riverside
COMMISSIONERS
Chair – Scott Matas
Vice Chair – John F. Tavaglione
Second Vice Chair – Dana Reed
Kevin Jeffries, County of Riverside
John F. Tavaglione, County of Riverside
Chuck Washington, County of Riverside
John J. Benoit, County of Riverside
Marion Ashley, County of Riverside
Deborah Franklin / Art Welch, City of Banning
Lloyd White / Mike Lara, City of Beaumont
Joseph DeConinck / Tim Wade, City of Blythe
Ella Zanowic / Joyce McIntire, City of Calimesa
Dawn Haggerty / Jordan Ehrenkranz, City of Canyon Lake
Greg Pettis / Shelley Kaplan, City of Cathedral City
Steven Hernandez / To Be Appointed, City of Coachella
Karen Spiegel / Randy Fox, City of Corona
Scott Matas / Russell Betts, City of Desert Hot Springs
Adam Rush / Clint Lorimore, City of Eastvale
Linda Krupa / Paul Raver, City of Hemet
Dana Reed / Douglas Hanson, City of Indian Wells
Michael Wilson / Glenn Miller, City of Indio
Frank Johnston / Brian Berkson, City of Jurupa Valley
Robert Radi / To Be Appointed, City of La Quinta
Bob Magee / Natasha Johnson, City of Lake Elsinore
To Be Appointed / John Denver, City of Menifee
Yxstian Gutierrez / Jesse Molina, City of Moreno Valley
Rick Gibbs / Jonathan Ingram, City of Murrieta
Berwin Hanna / Ted Hoffman, City of Norco
Jan Harnik / Susan Marie Weber, City of Palm Desert
Ginny Foat / Geoffrey Kors, City of Palm Springs
To Be Appointed / Rita Rogers, City of Perris
Ted Weill / Charles Townsend, City of Rancho Mirage
Rusty Bailey / Andy Melendrez, City of Riverside
Andrew Kotyuk / Crystal Ruiz, City of San Jacinto
Michael S. Naggar / Michael McCracken, City of Temecula
Ben Benoit / Timothy Walker, City of Wildomar
John Bulinski, Director, Governor’s Appointee Caltrans District 8
COMM-COMM-00063
Tara Byerly
From: Tara Byerly
Sent: Thursday, December 08, 2016 11:15 AM
To: Tara Byerly
Cc: Jennifer Harmon; Anne Mayer; STANDIFO
Subject: RCTC: December Commission Agenda - 12.14.2016
Importance: High
Good morning Commissioners:
The December Agenda for the Commission meeting scheduled for Wednesday, December 14, 2016 @ 9:30 a.m. is
available. Please copy the link:
http://www.rctc.org/uploads/media items/december-14-2016.original.pdf
Conflict of Conflict of
Interest Form.pdf Interest Memo.p...
Also, attached for your review and information is the conflict of interest memo and form. Please let me know if you
have any questions. Thank you,
Respectfully,
Riverside County Transportation Commission
Tara Byerly
Deputy Clerk of the Board
Riverside County Transportation Commission
PO Box 12008, Riverside, CA 92502-2208
4080 Lemon Street, 3rd Floor, Riverside, CA 92501
(951) 787-7141 I rctc.org
1
Tara Byerly
From: Tara Byerly
Sent: Thursday, December 08, 2016 11:50 AM
To: Tara Byerly
Subject: RCTC: December Commission Agenda - 12.14.2016
Importance: High
Good morning Commission Alternates:
The December Agenda for the Commission meeting scheduled for Wednesday, December 14, 2016 @ 9:30 a.m. is
available. Please copy the link:
http://www.rctc.org/uploads/media items/december-14-2016.original.pdf
Respectfully,
Riverside County Transportation Commission
Tara Byerly
Deputy Clerk of the Board
Riverside County Transportation Commission
PO Box 12008, Riverside, CA 92502-2208
4080 Lemon Street, 3rd Floor, Riverside, CA 92501
(951) 787-7141 I rctc.org
i
Riverside County Transportation Commission
TO: Riverside County Transportation Commission
FROM: Jennifer Harmon, Clerk of the Board
DATE: December 7, 2016
SUBJECT: Possible Conflicts of Interest — Riverside County Transportation Commission
Agenda of December 14, 2016
The December 14, 2016 agenda of the Riverside County Transportation Commission includes
items that may raise possible conflicts of interest. A Commissioner may not participate in any
discussion or action concerning a contract or amendment if a campaign contribution of more than
$250 is received in the past 12 months or 3 months following the conclusion from any entity or
individual listed.
Agenda Item No. 6H — RCTC 91 Express Lanes Changeable Message Signs Maintenance Agreement
and Software Purchase
Consultant(s): Daktronics, Inc.
Sarah Licht, Transportation Services Manager
201 Daktronics Drive
Brookings, SD 57006
Agenda Item No. 61— Agreement for Landscape Maintenance Services
Consultant(s): Tropical Plaza Nursery, Inc.
Leslie Fields, President
9642 Santiago Blvd.
Villa Park, CA 92861
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
www.rctc.org
AGENDA*
*Actions may be taken on any item listed on the agenda
9:30 a.m.
Wednesday, December 14, 2016
BOARD ROOM
County of Riverside Administrative Center
4080 Lemon Street, First Floor, Riverside, CA
In compliance with the Brown Act and Government Code Section 54957.5, agenda materials distributed 72 hours
prior to the meeting, which are public records relating to open session agenda items, will be available for
inspection by members of the public prior to the meeting at the Commission office, 4080 Lemon Street, Third
Floor, Riverside, CA, and on the Commission’s website, www.rctc.org.
In compliance with the Americans with Disabilities Act, Government Code Section 54954.2, and the Federal
Transit Administration Title VI, please contact the Clerk of the Board at (951) 787-7141 if special assistance is
needed to participate in a Commission meeting, including accessibility and translation services. Assistance is
provided free of charge. Notification of at least 48 hours prior to the meeting time will assist staff in assuring
reasonable arrangements can be made to provide assistance at the meeting.
1. CALL TO ORDER / ROLL CALL
2. PLEDGE OF ALLEGIANCE
3. PUBLIC COMMENTS – Each individual speaker is limited to speak three (3) continuous minutes or less.
The Commission may, either at the direction of the Chair or by majority vote of the Commission, waive
this three minute time limitation. Depending on the number of items on the Agenda and the number of
speakers, the Chair may, at his/her discretion, reduce the time of each speaker to two (2) continuous
minutes. In addition, the maximum time for public comment for any individual item or topic is thirty
(30) minutes. Also, the Commission may terminate public comments if such comments become
repetitious. Speakers may not yield their time to others without the consent of the Chair. Any written
documents to be distributed or presented to the Commission shall be submitted to the Clerk of the Board.
This policy applies to Public Comments and comments on Agenda Items.
Under the Brown Act, the Commission should not take action on or discuss matters raised during public
comment portion of the agenda that are not listed on the agenda. Commission members may refer such
matters to staff for factual information or to be placed on the subsequent agenda for consideration.
4. APPROVAL OF MINUTES – NOVEMBER 9, 2016
Riverside County Transportation Commission Agenda
December 14, 2016
Page 2
5. ADDITIONS / REVISIONS – The Commission may add an item to the Agenda after making a
finding that there is a need to take immediate action on the item and that the item came to the
attention of the Commission subsequent to the posting of the agenda. An action adding an
item to the agenda requires 2/3 vote of the Commission. If there are less than 2/3 of the
Commission members present, adding an item to the agenda requires a unanimous vote. Added
items will be placed for discussion at the end of the agenda.
6. CONSENT CALENDAR – All matters on the Consent Calendar will be approved in a single motion
unless a Commissioner(s) requests separate action on specific item(s). Items pulled from the
Consent Calendar will be placed for discussion at the end of the agenda.
6A. PROPOSED 2017 COMMISSION/COMMITTEE MEETING SCHEDULE
Page 1
Overview
This item is for the Commission to adopt its 2017 Commission/Committee Meeting
Schedule.
6B. RESOLUTION TO AMEND THE APPENDIX OF THE CONFLICT OF INTEREST CODE
Page 5
Overview
This item is for the Commission to adopt Resolution No. 16-016, “Resolution of the
Riverside County Transportation Commission Amending the Appendix of the Conflict of
Interest Code Pursuant to the Political Reform Act of 1974”.
6C. QUARTERLY FINANCIAL STATEMENTS
Page 17
Overview
This item is for the Commission to receive and file the Quarterly Financial Statements
for the period ended September 30, 2016.
6D. QUARTERLY SALES TAX ANALYSIS
Page 25
Overview
This item is for the Commission to receive and file the sales tax analysis for
Quarter 2, 2016 (2Q 2016).
Riverside County Transportation Commission Agenda
December 14, 2016
Page 3
6E. QUARTERLY INVESTMENT REPORT
Page 34
Overview
This item is for the Commission to receive and file the Quarterly Investment Report for
the quarter ended September 30, 2016.
6F. AMENDMENT TO 91 EXPRESS LANES RCTC-OCTA FACILITY AGREEMENT
Page 95
Overview
This item is for the Commission to:
1) Approve Agreement No. 16-31-025-02, Amendment No. 2 to Agreement
No. 16-31-025-00, with the Orange County Transportation Authority (OCTA) for
joint operating costs of the toll operations center in the amount of $2,536,500,
plus a contingency amount of $126,825, for a total amount not to exceed
$2,663,325;
2) Authorize Chair or Executive Director, pursuant to legal counsel review, to
execute the agreement on behalf of the Commission; and
3) Authorize the Executive Director or designee to approve the use of the
contingency amount as may be required.
6G. DEPARTMENT OF CALIFORNIA HIGHWAY PATROL AGREEMENT FOR RCTC 91 EXPRESS
LANES TOLL ENFORCEMENT
Page 105
Overview
This item is for the Commission to:
1) Approve Agreement No. 17-31-044-00 to the Department of California Highway
Patrol (CHP) for toll enforcement on the RCTC 91 Express Lanes for a three-year
term in the amount of $1,443,310, plus a contingency amount of $56,690, for
a total amount not to exceed $1.5 million;
2) Authorize the Chair or Executive Director, pursuant to legal counsel review, to
execute the agreement on behalf of the Commission; and
3) Authorize the Executive Director, or designee, to approve contingency work as
may be required for the agreement.
Riverside County Transportation Commission Agenda
December 14, 2016
Page 4
6H. RCTC 91 EXPRESS LANES CHANGEABLE MESSAGE SIGNS MAINTENANCE AGREEMENT
AND SOFTWARE PURCHASE
Page 114
Overview
This item is for the Commission to:
1) Award Agreement No. 17-31-045-00 to Daktronics, Inc. (Daktronics) for the
maintenance and repair of the changeable message signs (CMS) for the
91 Express Lanes for a four-year term, in the amount of $115,690, plus a
contingency amount of $11,569, for a total amount not to exceed $127,259;
2) Award Agreement No. 17-31-046-00 to Daktronics for CMS software for the
RCTC 91 Express Lanes, in the amount of $16,200, plus a contingency amount
of $1,620, for a total amount not to exceed $17,820;
3) Authorize the Chair or Executive Director, pursuant to legal counsel review, to
execute the agreements on behalf of the Commission; and
4) Authorize the Executive Director or designee to approve the use of the
contingency amount as may be required for the agreements.
6I. AGREEMENT FOR LANDSCAPE MAINTENANCE SERVICES
Page 126
Overview
This item is for the Commission to:
1) Award Agreement No. 17-24-023-00 to Tropical Plaza Nursery, Inc. (Tropical)
for the provision of landscape maintenance services for a three-year term, and
two, two-year options to extend the agreement, in an amount of $3,267,100,
plus a contingency amount of $326,710, for a total amount not to exceed
$3,593,810;
2) Authorize the Chair or Executive Director, pursuant to legal counsel review, to
execute the agreement, including option years, on behalf of the Commission;
and
3) Authorize the Executive Director or designee to approve the use of the
contingency amount as may be required for these services.
7. PRESENTATION: 40TH ANNIVERSARY SPOTLIGHT – COMMITMENT TO TRANSIT
8. 2016 COORDINATED PUBLIC TRANSIT – HUMAN SERVICES TRANSPORTATION PLAN
Page 151
Overview
This item is for the Commission to approve the 2016 Coordinated Public Transit-Human
Services Transportation Plan (2016 Coordinated Plan).
Riverside County Transportation Commission Agenda
December 14, 2016
Page 5
9. ELECTION OF RIVERSIDE COUNTY TRANSPORTATION COMMISSION OFFICERS AND
APPOINTMENT OF EXECUTIVE COMMITTEE MEMBERS
Page 155
Overview
This item is for the Commission to:
1) The Commission to conduct an election of officers for 2017 – Chair, Vice Chair, and
Second Vice Chair; and
2) The cities of Corona, Moreno Valley, Murrieta, Riverside, and Temecula to appoint two
representatives to the Executive Committee;
3) The cities of Banning, Beaumont, Calimesa, Canyon Lake, Eastvale, Hemet,
Jurupa Valley, Lake Elsinore, Menifee, Norco, Perris, San Jacinto, and Wildomar to
appoint one representative to the Executive Committee; and
4) The cities of Blythe, Cathedral City, Coachella, Desert Hot Springs, Indian Wells, Indio,
La Quinta, Palm Desert, Palm Springs, and Rancho Mirage to appoint one
representative to the Executive Committee.
10. ITEM(S) PULLED FROM CONSENT CALENDAR AGENDA
11. COMMISSIONERS / EXECUTIVE DIRECTOR REPORT
Overview
This item provides the opportunity for the Commissioners and the Executive Director to report
on attended meetings/conferences and any other items related to Commission activities.
12. ADJOURNMENT
The next meeting of the Commission is scheduled to be held on Wednesday,
January 11, 2017, Board Room, First Floor, County Administrative Center, 4080 Lemon Street,
Riverside.
AGENDA ITEM 4
MINUTES
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
MINUTES
Wednesday, November 9, 2016
1. CALL TO ORDER / ROLL CALL
The Riverside County Transportation Commission was called to order by
Chair Scott Matas at 9:30 a.m. in the Board Room at the County of Riverside
Administrative Center, 4080 Lemon Street, First Floor, Riverside, California, 92501.
2. PLEDGE OF ALLEGIANCE
Commissioner Dana Reed led the Commission in a flag salute.
Commissioners/Alternates Present Commissioners Absent
Marion Ashley Shelley Kaplan Ginny Foat
Rusty Bailey Andrew Kotyuk Yxstian Gutierrez
Ben Benoit Linda Krupa Steven Hernandez
John J. Benoit Bob Magee Michael Naggar
John Bulinski Scott Matas Adam Rush
Daryl Busch Robert Radi
Joseph DeConinck Dana Reed
John Denver Karen Spiegel
Deborah Franklin John F. Tavaglione
Rick Gibbs Chuck Washington
Dawn Haggerty Ted Weill
Berwin Hanna Lloyd White
Jan Harnik Michael Wilson
Kevin Jeffries Ella Zanowic
Frank Johnston
3. PUBLIC COMMENTS
Anne Mayer, Executive Director, presented Senior External Affairs Analyst Marla Dye with
a 5‐year service award, and Planning and Programing Director Shirley Medina with a
25‐year service award.
4. APPROVAL OF MINUTES – OCTOBER 12, 2016
M/S/C (Radi/Krupa) to approve the October 12, 2016 minutes as submitted.
Riverside County Transportation Commission Minutes
November 9, 2016
Page 2
5. ADDITIONS / REVISIONS
There were no additions or revisions to the agenda.
6. CONSENT CALENDAR
M/S/C (Krupa/Radi) to approve the following Consent Calendar items.
No: Commissioner Kevin Jeffries, Agenda Item 6G
Recuse: Commissioners Marion Ashley and John Tavaglione, Agenda
Item 6I
6A. SINGLE SIGNATURE AUTHORITY REPORT
Receive and file the Single Signature Authority report for the first quarter ended
September 30, 2016.
6B. AMENDMENT TO THE 91 EXPRESS LANES OPERATOR AGREEMENT
1) Approve Agreement No. 13‐31‐105‐01, Amendment No. 1 to Agreement
No. 13‐31‐105‐01, the operator agreement (ORCOA) between the Orange
County Transportation Authority (OCTA), the Commission, and Cofiroute
USA, LLC (Cofiroute), for a net reduction in operations and maintenance
services for the 91 Express Lanes in an amount of $2,900,947, and a total
amount not to exceed $31,196,999; and
2) Authorize the Chair or Executive Director, pursuant to legal counsel review,
to execute the agreement on behalf of the Commission.
6C. TRANSPORTATION UNIFORM MITIGATION FEE REGIONAL ARTERIAL PROGRAM
– PROJECT DELIVERY UPDATE
Receive and file a status report on the Transportation Uniform Mitigation Fee
(TUMF) Regional Arterial program.
Riverside County Transportation Commission Minutes
November 9, 2016
Page 3
6D. AGREEMENT FOR FINAL DESIGN AND RIGHT OF WAY ACQUISITION FOR THE
CONSTRUCTION OF THE INTERSTATE 215/PLACENTIA AVENUE INTERCHANGE
IMPROVEMENT PROJECT
1) Award Agreement No. 16‐31‐066‐00 to T.Y. Lin International (T.Y. Lin) to
perform final engineering services and prepare plans, specifications, and
cost estimate (PS&E) for the construction of the Interstate 215/Placentia
Avenue interchange improvements project (Project) in the amount of
$3,412,700, plus a contingency amount of $341,300 for potential changes
in scope, for a total amount not to exceed $3,754,000;
2) Authorize the Chair or Executive Director, pursuant to legal counsel review,
to execute the agreement on behalf of the Commission;
3) Authorize the Executive Director or designee to approve contingency work
as may be required for the Project;
4) Approve Agreement No. 17‐31‐039‐00 with Caltrans for the final design
and right of way (ROW) acquisition of the Project;
5) Authorize the Executive Director, pursuant to legal counsel review, to
execute the agreement and future non‐funding related amendments to
this agreement;
6) Authorize the Executive Director, pursuant to legal counsel review, to
execute utility agreements required for the Project in an amount not to
exceed $1.2 million; and
7) Authorize the Executive Director, pursuant to legal counsel review, to
acquire required parcels and mitigation property for the Mid County
Parkway (MCP) project in accordance with the Commission’s ROW policies
and procedures and subject to available funding.
6E. MOBILE SOURCE AIR POLLUTION REDUCTION REVIEW COMMITTEE
TRANSPORTATION CONTROL MEASURE PARTNERSHIP PROGRAM
1) Approve Agreement No. 17‐25‐016‐00 with the South Coast Air Quality
Management District (SCAQMD) for a grant from the Mobile Source Air
Pollution Reduction Review Committee (MSRC) Transportation Control
Measure Partnership Program in the amount of $1,909,241;
2) Approve Agreement No. 17‐25‐038‐00 with the city of Riverside for the
Rustin Avenue Sidewalk Improvement and Bike Lane project in the amount
not to exceed $600,000;
3) Approve an amendment in the amount of $1,909,241 to the FY 2016/17
Commuter Rail Short Range Transit Plan (SRTP);
4) Approve an increase in revenues and expenditures of $1,909,241 in the
FY 2016/17 budget related to the MSRC grant; and
5) Authorize the Chair or Executive Director, pursuant to legal counsel review,
to execute the agreements on behalf of the Commission.
Riverside County Transportation Commission Minutes
November 9, 2016
Page 4
6F. MOBILE SOURCE AIR POLLUTION REDUCTION REVIEW COMMITTEE MAJOR
EVENT CENTER TRANSPORTATION PROGRAM GRANT
1) Approve Agreement No. 17‐25‐040‐00 with the South Coast Air Quality
Management District (SCAQMD) for the receipt of a Mobile Source Air
Pollution Reduction Review Committee (MSRC) Major Event Center
Transportation Programs grant in the amount of $1.2 million;
2) Approve Agreement No. 17‐25‐037‐00 with the Los Angeles – San Diego –
San Luis Obispo (LOSSAN) Rail Corridor Agency for project coordination
and transportation services with Amtrak in an amount not to exceed
$1 million;
3) Approve Agreement No. 17‐25‐036‐00 with Goldenvoice/Valley Music
Travel (Goldenvoice) for project coordination and shuttle bus
transportation in an amount not to exceed $200,000;
4) Approve an amendment of $1.2 million to the FY 2016/17 Commuter Rail
Short Range Transit Plan (SRTP) for the total grant;
5) Approve an increase to the FY 2016/17 budget of $600,000 for MSRC grant
revenues and corresponding rail and shuttle service expenditures; and
6) Authorize the Chair or Executive Director, pursuant to legal counsel review,
to execute the agreements on behalf of the Commission.
6G. OCTA 2016 ANGELS EXPRESS AGREEMENT
1) Approve Agreement No. 17‐25‐014‐00 with the Orange County
Transportation Authority (OCTA) for the cost sharing of the 2016 Angels
Express Service for an initial one‐year term in an amount not to exceed
$33,176, with additional option years for the 2017 season and beyond
upon mutual written agreement by both agencies in an amount not to
exceed an annual 5 percent increase; and
2) Authorize the Chair or Executive Director, pursuant to legal counsel review,
to execute the agreement, including option years, on behalf of the
Commission.
6H. TRANSIT TRANSFER AND LICENSE AGREEMENTS
1) Approve Agreement No. 17‐25‐015‐00 with Omnitrans for reimbursement
of transit transfers effective January 1, 2017, for an indefinite term
cancelable by either party with a 30‐day notice in an amount
approximating $15,000 annually;
Riverside County Transportation Commission Minutes
November 9, 2016
Page 5
2) Approve Agreement No. 17‐25‐033‐00 with Megabus Northeast LLC
(Megabus) for use of the Commission’s Riverside‐Downtown Station for a
three‐year term, with two two‐year options to extend the agreement, in
an estimated revenue amount of $117,245 for the full term of all the
options; and
3) Authorize the Chair or Executive Director, pursuant to legal counsel review,
to execute the agreements, including option years, on behalf of the
Commission.
6I. AGREEMENTS FOR STATE AND FEDERAL LEGISLATIVE ADVOCACY SERVICES
1) Award the following agreements to provide state and federal legislative
advocacy services for a four‐year term, and two two‐year options to
extend the agreements, for up to an eight‐year period of performance, as
follows:
a) Agreement No. 17‐14‐009‐00 with Smith, Watts & Hartmann, in an
amount not to exceed $524,000;
b) Agreement No. 17‐14‐010‐00 with Ruffalo and Associates, LLC, in
an amount not to exceed $720,000;
c) Agreement No. 17‐14‐011‐00 with Cliff Madison Government
Relations, in an amount not to exceed $530,000; and
2) Authorize the Chair or Executive Director, pursuant to legal counsel review,
to execute the agreements, including option years, on behalf of the
Commission.
7. INTERSTATE 15 EXPRESS LANES PROJECT PLAN OF FINANCE
Theresia Trevino, Chief Financial Officer, presented the Interstate 15 Express Lanes
preliminary plan of finance, highlighting the following areas:
A map depicting the I‐15 Express Lanes project and the access points;
A graphic of the current I‐15 cross section and the future two tolled express lanes
in each direction;
Environmental process completed with Commission adoption in July 2016;
Minimal right of way impacts;
Project financing objectives and overview;
Finance plan – Measure A, TIFIA, toll revenue bonds, and other/federal grant
funds;
Financing schedule; and
Next steps.
Riverside County Transportation Commission Minutes
November 9, 2016
Page 6
Commissioner Rusty Bailey expressed support for this project and requested additional
information regarding the Congestion Mitigation and Air Quality (CMAQ) funds and the
Active Transportation Program (ATP).
Anne Mayer provided a detailed explanation of how CMAQ funds can and have been
spent, as well as ATP eligible projects and the lack of state and federal funding. She
expressed from a long term perspective, there are too many projects competing for the
same pots of money.
Commissioner Bailey expressed appreciation for Ms. Mayer’s comments and staff’s
efforts to bring this project forward.
M/S/C (Radi/J. Benoit) to:
1) Provide input and direct staff regarding the preliminary funding plan for
the Interstate 15 Express Lanes project (Project); and
2) Approve an additional $50 million in federal Congestion Mitigation and
Air Quality (CMAQ) and/or Surface Transportation Block Grant (STBG)
funds for a total amount of $110 million in CMAQ and/or STBG funds for
design‐build costs related to the Project and direct staff to program the
funding in the 2017 Federal Transportation Improvement Program (FTIP).
8. PRESENTATION: 40TH ANNIVERSARY SPOTLIGHT – VOTER APPROVED SALES TAX
MEASURES
John Standiford, Deputy Executive Director, presented the transportation sales tax
throughout California, highlighting the following areas:
Voter approved sales taxes and transportation;
The Self‐Help Era;
o Law requires detailed plans;
o Initially, only majority vote needed to pass;
Supermajority requirement:
o Proposition 13 specified a two‐thirds vote for special taxes;
o Proposition 62 in 1986 strengthened the two‐thirds language;
Riverside County and Measure A – Voters have approved sales taxes in Riverside
twice; and it has generated $2.7 billion since 1989;
2016: A new wave of sales tax elections, implications, and outcomes; and
Future issues and concerns.
Riverside County Transportation Commission Minutes
November 9, 2016
Page 7
Anne Mayer stated by looking at the number of measures on the ballot, local elected
officials are being forced to focus on local revenue streams that can be controlled at the
local and regional level. Ms. Mayer noted the failure in Ventura County directly impacts
the Commission as Ventura County is one of the five member agencies of Metrolink and
have expressed repeatedly it cannot sustain its investments into the Metrolink system
and maybe faced with withdrawing from the joint powers authority. Additionally, with
the passage of Los Angeles County’s measure, it will put pressure on the surrounding
counties since there are not enough revenue sources to build or implement the
complimentary transit systems.
9. ITEM(S) PULLED FROM CONSENT CALENDAR FOR DISCUSSION
There were no items pulled from the Consent Calendar.
10. COMMISSIONERS/EXECUTIVE DIRECTOR’S REPORT
10A. Chair Scott Matas briefed the Commission on Mobility 21.
10B. Commissioner Michael Wilson announced the CV Link project in Coachella Valley
was recommended for a $24.4 million ATP Grant award.
10C. Anne Mayer announced the California Transportation Commission (CTC) is
scheduled to meet in the Riverside at the County Administrative Center Board
Room on December 7. There will also be a reception for the CTC following the
meeting.
10D. Anne Mayer announced the special trains for the Festival of Lights at the Mission
Inn in Riverside. Flyers will be distributed to the Commissioners.
At this time, Commissioners John Bulinkski, Kevin Jeffries, and Frank Johnston left the meeting.
11. CLOSED SESSION
11A. CONFERENCE WITH REAL PROPERTY NEGOTIATORS
Pursuant to Government Code Section 54956.8
Property: 291 Corporate Terrace Circle, Corona 92882 – APN 115‐680‐012
Negotiating Party: Rexco Corporate Terrace, LLC; and
Tim Hawke, President, Strata Realty
Property: 301 Corporate Terrace Circle, Corona 92882 – APN 115‐680‐011
Negotiating Party: Corporate Terrace Properties, LLC and
Tim Hawke, President, Strata Realty
Agency Negotiator: Anne Mayer or Michael Blomquist
Under Negotiation: Price and terms of payment
Riverside County Transportation Commission Minutes
November 9, 2016
Page 8
There were no announcements from the Closed Session items.
12. ADJOURNMENT
There being no further business for consideration by the Riverside County Transportation
Commission, Chair Matas adjourned the meeting at 10:35 a.m. The next Commission
meeting is scheduled to be held at 9:30 a.m., Wednesday, December 14, 2016, Board
Room, First Floor, County Administrative Center, 4080 Lemon Street, Riverside.
Respectfully submitted,
Jennifer Harmon
Clerk of the Board
AGENDA ITEM 6A
Agenda Item 6A
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: December 14, 2016
TO: Riverside County Transportation Commission
FROM: Jennifer Harmon, Clerk of the Board
THROUGH: Anne Mayer, Executive Director
SUBJECT: Proposed 2017 Commission/Committee Meeting Schedule
STAFF RECOMMENDATION:
This item is for the Commission to adopt its 2017 Commission/Committee Meeting Schedule.
BACKGROUND INFORMATION:
The Commission is scheduled to meet on the second Wednesday of each month at 9:30 a.m.
The Executive Committee is scheduled at 9:00 a.m. on the same day. For 2017, the annual
Commission Workshop will be held on Thursday, January 26 and Friday, January 27 at the Hyatt
Palm Springs. Due to the timing of the annual workshop, the January Budget and
Implementation and Western Riverside County Programs and Projects Committees will not be
scheduled.
The Commission’s policy committees – Budget and Implementation and Western Riverside
County Programs and Projects – meet on the fourth Monday of each month at 9:30 a.m. and
1:30 p.m., respectively. For 2017, these Committees will not meet in December due to a
holiday. Additionally, the Eastern Riverside County Programs and Projects Committee meets on
the first Monday of each month at 10:30 a.m., except when the first Monday falls on a holiday
or in the same week as a Commission meeting. There are times when a committee meeting
may be cancelled due to lack of substantive agenda items. When this occurs, the
Commissioners will be notified and items are forwarded directly to the Commission for final
action.
Attachment: Proposed 2017 Commission/Committee Meetings Schedule
1
2017 RCTC Meeting Schedule – V1 RIVERSIDE COUNTY TRANSPORTATION COMMISSION 2017 MEETING SCHEDULE Meeting Date (Wednesday) Commission Location Executive Committee Location January 11 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A January 26‐27 Meeting / Workshop 1:30 p.m. (Thursday) 8:30 a.m. (Friday) Hyatt Palm Springs N/A N/A February 8 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A March 8 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A April 12 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A May 10 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A June 14 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A July 12 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A August 9 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A September 13 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A October 11 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A November 8 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A December 13 9:30 a.m. Board Room 9:00 a.m. RCTC Conf. Rm A The Commission and the Executive Committee meetings are held on the second Wednesday of each month.
2017 RCTC Meeting Schedule – V1 Meeting Date (Monday) Budget and Implementation Committee Western Riverside County Programs and Projects Committee Location February 27 9:30 a.m. 1:30 p.m. Board Room March 27 9:30 a.m. 1:30 p.m. Board Room April 24 9:30 a.m. 1:30 p.m. Board Room May 22 9:30 a.m. 1:30 p.m. Board Room June 26 9:30 a.m. 1:30 p.m. Board Room July 24 9:30 a.m. 1:30 p.m. Board Room August 28 9:30 a.m. 1:30 p.m. Board Room September 25 9:30 a.m. 1:30 p.m. Board Room October 23 9:30 a.m. 1:30 p.m. Board Room November 27 9:30 a.m. 1:30 p.m. Board Room The meetings of the Budget and Implementation Committee and the Western Riverside County Programs and Projects Committee are held on the fourth Monday of each month, except on holidays. Meeting Date (Monday) Eastern Riverside County Programs and Projects Committee Location April 3 10:30 a.m. CVAG Office 73‐710 Fred Waring Drive Suite 119 Palm Desert, CA 92260 May 1 10:30 a.m. June 5 10:30 a.m. October 2 10:30 a.m. December 4 10:30 a.m. The meetings of the Eastern Riverside County Programs and Projects Committee are held on the first Monday of the month, except when the first Monday falls on a holiday or in the same week as a Commission meeting.
2017 RCTC Meeting Schedule – V1 Meeting Date (Monday) Technical Advisory Committee Location January 23 10:00 a.m. Riverside ‐ RCTC Conf. Rm A March 20 10:00 a.m. Beaumont ‐ City Hall May 15 10:00 a.m. Riverside ‐ RCTC Conf. Rm A July 17 10:00 a.m. Beaumont ‐ City Hall September 18 10:00 a.m. Riverside ‐ RCTC Conf. Rm A November 20 10:00 a.m. Beaumont – City Hall The meetings of the Technical Advisory Committee are held on the third Monday of every other month, except for holidays.If the meeting falls on a holiday, the meeting is moved to the second Monday. Riverside – Commission Office, County Administrative Center, 4080 Lemon Street, 3rd Floor, Riverside, CA Beaumont ‐ City Hall, Conference Room 2, 550 East Sixth Street, Beaumont, CA
2017 RCTC Meeting Schedule – V1 Meeting Date (Monday) Technical Advisory Committee Location January 23 10:00 a.m. Riverside ‐ RCTC Conf. Rm A March 20 10:00 a.m. Beaumont ‐ City Hall May 15 10:00 a.m. Riverside ‐ RCTC Conf. Rm A July 17 10:00 a.m. Beaumont ‐ City Hall September 18 10:00 a.m. Riverside ‐ RCTC Conf. Rm A November 20 10:00 a.m. Beaumont – City Hall The meetings of the Technical Advisory Committee are held on the third Monday of every other month, except for holidays.If the meeting falls on a holiday, the meeting is moved to the second Monday. Riverside – Commission Office, County Administrative Center, 4080 Lemon Street, 3rd Floor, Riverside, CA Beaumont ‐ City Hall, Conference Room 2, 550 East Sixth Street, Beaumont, CA 4
AGENDA ITEM 6B
Agenda Item 6B
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: December 14, 2016
TO: Riverside County Transportation Commission
FROM: Jennifer Harmon, Clerk of the Board
THROUGH: Anne Mayer, Executive Director
SUBJECT: Resolution to Amend the Appendix of the Conflict of Interest Code
STAFF RECOMMENDATION:
This item is for the Commission to adopt Resolution No. 16-016, “Resolution of the Riverside
County Transportation Commission Amending the Appendix of the Conflict of Interest Code
Pursuant to the Political Reform Act of 1974”.
BACKGROUND INFORMATION:
As required, the Riverside County Transportation Commission performs a biennial review of its
Conflict of Interest Code (Code). For this year, there is a need to amend the appendix to
include new positions which must be designated, update referenced to Regulations, and add
clarifying language as provided by the Fair Political Practice Commission. The amended
appendix shows the list of positions who manage public investments, and positions to be
governed under the Code and their respective disclosure categories. A notice of intention to
amend the appendix of the Code was publicly posted and provided to the affected designated
employees.
After the Commission adopts the amended appendix, it will be submitted to the Riverside
County’s Board of Supervisors for approval as it is the code-reviewing body for the Commission.
In order to meet the requirements of the Code pursuant to the Political Reform Act of 1974,
staff recommends that the Commission adopt Resolution No. 16-016 to make the appropriate
changes to the Code.
Attachments:
1) Resolution No. 16-016
2) Amended Appendix
3) Notice of Intention
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CONFLICT OF INTEREST CODE FOR THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
(Amended December 14, 2016)
The Political Reform Act (Gov. Code § 81000, et seq.) requires state and
local government agencies to adopt and promulgate conflict of interest codes. The Fair
Political Practices Commission has adopted a regulation (2 Cal. Code of Regs. §
18730) which contains the terms of a standard conflict of interest code, which can be
incorporated by reference in an agency’s code. After public notice and hearing it may
be amended by the Fair Political Practices Commission to conform to amendments in
the Political Reform Act. Therefore, the terms of 2 California Code of Regulations
section 18730 and any amendments to it duly adopted by the Fair Political Practices
Commission are hereby incorporated by reference. This regulation and the attached
Appendix designating officials and positions and establishing disclosure categories,
shall constitute the conflict of interest code of the Riverside County Transportation
Commission (the “Commission”).
All officials and designated employees required to submit a statement of
economic interests shall file their statements with the Clerk of the Board as the
Commission’s Filing Officer. The Clerk of the Board shall make and retain a copy of all
statements filed by Members of the Board of the Commission and the Executive
Director, and forward the originals of such statements to the Clerk of the Board of
Supervisors of the County of Riverside. The Commission’s Clerk of the Board shall
retain the originals of the statements filed by all other officials and designated positions
and make all statements available for public inspection and reproduction during regular
business hours. (Gov. Code § 81008.)
ATTACHMENT 1
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APPENDIX
CONFLICT OF INTEREST CODE
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
(Amended December 14, 2016)
PART “A”
OFFICIALS WHO MANAGE PUBLIC INVESTMENTS
Commission Officials who manage public investments, as defined by 2
Cal. Code of Regs. § 18700.3(b), are NOT subject to the Commission’s Code, but must
file disclosure statements under Government Code Section 87200 et seq. [Regs. §
18730(b)(3)] These positions are listed here for informational purposes only.
It has been determined that the positions listed below are officials who
manage public investments1:
Members of the Board of the Commission and their Alternates
Executive Director
Deputy Executive Director
Chief Financial Officer
Financial Consultants
1 Individuals holding one of the above-listed positions may contact the Fair Political Practices
Commission for assistance or written advice regarding their filing obligations if they believe that
their position has been categorized incorrectly. The Fair Political Practices Commission makes
the final determination whether a position is covered by § 87200.
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DESIGNATED POSITIONS
GOVERNED BY THE CONFLICT OF INTEREST CODE
DESIGNATED POSITIONS’
TITLE OR FUNCTION
DISCLOSURE CATEGORIES
ASSIGNED
Accounting and Human Resources Manager 5
Capital Projects Manager 1, 2
Community Relations Manager 5
Commuter Assistance Manager 5
Clerk of the Board 4
Deputy Director of Finance 1
External Affairs Director 5
Facilities Administrator 1, 2
Finance Manager/Controller 5
General Counsel 1, 2
Goods Movement Manager 5
Government Relations Manager 1
Human Resources Administrator 4
Motorist Assistance Manager 5
Multimodal Services Director 2, 3, 5
Office and Board Services Manager 2, 4
Planning and Programming Director 2, 3, 5
Procurement and Assets Administrator 1, 2
Procurement and Assets Manager 1, 2
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Programming and Planning Manager 2, 5, 6
Project Delivery Director 1, 2
Project Development Director 1, 2
Public Affairs Manager 5
Rail Manager 1, 2
Right of Way Manager 1, 2
Senior Administrative Assistant, Administration 5
Staff Analyst – Multimodal Services (ALL)2, 3, 5
Staff Analyst – Programming (ALL)5
Staff Analyst – Rail (ALL)1, 2
Staff Analyst – Right of Way (ALL)1, 2
Toll Operations Manager 2, 3, 5
Toll Program Director 2, 3, 5
Toll Project Manager 2, 3, 5
Toll Technology Manager 3, 5
Transit Manager 2, 3, 5
Consultant and New Positions2
2 Individuals serving as a consultant as defined in FPPC Reg 18700.3(a) or in a new position
created since this Code was last approved that makes or participates in making decisions must
file under the broadest disclosure category in this Code subject to the following limitation:
The Executive Director may determine that, due to the range of duties or contractual obligations,
it is more appropriate to assign a limited disclosure requirement. described in this Section. A
clear explanation of the duties and a statement of the extent of the disclosure requirements must
be in a written document. (Gov. Code Sec. 82019; FPPC Regulations 18219 and 18734). The
Executive Director’s determination is a public record and shall be retained for public inspection in
the same manner and location as this Conflict of Interest Code (Gov. Code Sec. 81008).
DESIGNATED POSITIONS’
TITLE OR FUNCTION
DISCLOSURE CATEGORIES
ASSIGNED
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PART “B”
DISCLOSURE CATEGORIES
The disclosure categories listed below identify the types of investments,
business entities, sources of income, including gifts, loans and travel payments, or real
property which the Designated Position must disclose for each disclosure category to
which he or she is assigned.3 “Investment” means financial interest in any business
entity (including a consulting business or other independent contracting business) and
are reportable if they are either located in or doing business in the jurisdiction, are
planning to do business in the jurisdiction, or have done business during the previous
two years in the jurisdiction of the Commission.
Category 1: All investments and business positions and sources of
income, including gifts, loans and travel payments, that are located in, do business in,
or own real property within the jurisdiction of the Commission.
Category 2: All interests in real property which is located in whole or in
part within, or not more than two (2) miles outside, the jurisdiction of the Commission.
Category 3: All investments and business positions and sources of
income, including gifts, loans and travel payments, that are engaged in land
development, construction or the acquisition or sale of real property within the
jurisdiction of the Commission.
Category 4: All investments and business positions and sources of
income, including gifts, loans and travel payments, that provide services, supplies,
materials, machinery, vehicles or equipment of a type purchased or leased by the
Commission.
Category 5: All investments and business positions and sources of
income, including gifts, loans and travel payments, that provide services, supplies,
materials, machinery, vehicles or equipment of a type purchased or leased by the
Designated Position’s department, unit or division.
Category 6: All investments and business positions and sources of
income, including gifts, loans and travel payments, subject to the regulatory, permit, or
licensing authority of the Designated Position’s department, unit or division.
3 This Conflict of Interest Code does not require the reporting of gifts from outside this agency’s
jurisdiction if the source does not have some connection with or bearing upon the functions or
duties of the position. (Reg. 18730.1)
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LEGISLATIVE VERSION
CONFLICT OF INTEREST CODE FOR THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
(Amended December 10, 201414, 2016)
The Political Reform Act (Gov. Code § 81000, et seq.) requires state and
local government agencies to adopt and promulgate conflict of interest codes. The Fair
Political Practices Commission has adopted a regulation (2 Cal. Code of Regs. §
18730) which contains the terms of a standard conflict of interest code, which can be
incorporated by reference in an agency’s code. After public notice and hearing it may
be amended by the Fair Political Practices Commission to conform to amendments in
the Political Reform Act. Therefore, the terms of 2 California Code of Regulations
section 18730 and any amendments to it duly adopted by the Fair Political Practices
Commission are hereby incorporated by reference. This regulation and the attached
Appendix designating officials and positions and establishing disclosure categories,
shall constitute the conflict of interest code of the Riverside County Transportation
Commission (the “Commission”).
All officials and designated employees required to submit a statement of
economic interests shall file their statements with the Clerk of the Board as the
Commission’s Filing Officer. The Clerk of the Board shall make and retain a copy of all
statements filed by Members of the Board of the Commission and the Executive
Director, and forward the originals of such statements to the Clerk of the Board of
Supervisors of the County of Riverside. The Commission’s Clerk of the Board shall
retain the originals of the statements filed by all other officials and designated positions
and make all statements available for public inspection and reproduction during regular
business hours. (Gov. Code § 81008.)
ATTACHMENT 2
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LAW OFFICES OF
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APPENDIX
CONFLICT OF INTEREST CODE
OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
(Amended December 10, 201414, 2016)
PART “A”
OFFICIALS WHO MANAGE PUBLIC INVESTMENTS
Commission Officials who manage public investments, as defined by 2
Cal. Code of Regs. § 1870118700.3(b), are NOT subject to the Commission’s Code, but
must file disclosure statements under Government Code Section 87200 et seq. [Regs.
§ 18730(b)(3)] These positions are listed here for informational purposes only.
It has been determined that the positions listed below are officials who
manage public investments1:
Members of the Board of the Commission and their Alternates
Executive Director
Deputy Executive Director
Chief Financial Officer
Financial Consultants
1 Individuals holding one of the above-listed positions may contact the Fair Political Practices
Commission for assistance or written advice regarding their filing obligations if they believe that
their position has been categorized incorrectly. The Fair Political Practices Commission makes
the final determination whether a position is covered by § 87200.
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DESIGNATED POSITIONS
GOVERNED BY THE CONFLICT OF INTEREST CODE
DESIGNATED EMPLOYEES’POSITIONS’
TITLE OR FUNCTION
DISCLOSURE CATEGORIES
ASSIGNED
Accounting and Human Resources Manager 5
Capital Projects Manager 1, 2
Community Relations Manager 5
Commuter Assistance Manager 5
Clerk of the Board 4
Deputy Director of Finance 1
External Affairs Director 5
Facilities Administrator 1, 2
Finance Manager/Controller 5
General Counsel 1, 2
Goods Movement Manager 5
Government Relations Manager 1
Human Resources Administrator 4
Motorist Assistance Manager 5
Multimodal Services Director 2, 3, 5
Office and Board Services Manager 2, 4
Planning and Programming Director 2, 3, 5
Procurement and Assets Administrator 1, 2
Procurement and Assets Manager 1, 2
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Programming and Planning Manager 2, 5, 6
Project Delivery Director 1, 2
Project Development Director 1, 2
Public Affairs Manager 5
Rail Manager 1, 2
Right of Way Manager 1, 2
Senior Administrative Assistant, Administration 5
Staff Analyst – Multimodal Services (ALL)2, 3, 5
Staff Analyst – Programming (ALL)5
Staff Analyst – Rail (ALL)1, 2
Staff Analyst – Right of Way (ALL)1, 2
Toll Operations Manager 2, 3, 5
Toll Program Director 2, 3, 5
Toll Project Manager 2, 3, 5
Toll Technology Manager 3, 5
Transit Manager 2, 3, 5
Consultant and New Positions2
2 Individuals serving as a consultant as defined in FPPC Reg 18701 18700.3(a) or in a new
position created since this Code was last approved that makes or participates in making
decisions must file under the broadest disclosure category in this Code subject to the following
limitation:
The Executive Director may determine that, due to the range of duties or contractual obligations,
it is more appropriate to assign a limited disclosure requirement. described in this Section. A
clear explanation of the duties and a statement of the extent of the disclosure requirements must
be in a written document. (Gov. Code Sec. 82019; FPPC Regulations 18219 and 18734). The
Executive Director’s determination is a public record and shall be retained for public inspection in
the same manner and location as this Conflict of Interest Code (Gov. Code Sec. 81008).
DESIGNATED EMPLOYEES’POSITIONS’
TITLE OR FUNCTION
DISCLOSURE CATEGORIES
ASSIGNED
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Part “B”
DISCLOSURE CATEGORIES
The disclosure categories listed below identify the types of investments,
business entities, sources of income, including gifts, loans and travel payments, or real
property which the Designated Position must disclose for each disclosure category to
which he or she is assigned.3 Such economic interests “Investment” means financial
interest in any business entity (including a consulting business or other independent
contracting business) and are reportable if they are either located in or doing business
in the jurisdiction, are planning to do business in the jurisdiction, or have done business
during the previous two years in the jurisdiction of the Commission.
Category 1: All investments and business positions and sources of
income, including gifts, loans and travel payments, that are located in, do business in,
or own real property within the jurisdiction of the Commission.
Category 2: All interests in real property which is located in whole or in
part within, or not more than two (2) miles outside, the jurisdiction of the Commission.
Category 3: All investments and business positions and sources of
income, including gifts, loans and travel payments, that are engaged in land
development, construction or the acquisition or sale of real property within the
jurisdiction of the Commission.
Category 4: All investments and business positions and sources of
income, including gifts, loans and travel payments, that provide services, supplies,
materials, machinery, vehicles or equipment of a type purchased or leased by the
Commission.
Category 5: All investments and business positions and sources of
income, including gifts, loans and travel payments, that provide services, supplies,
materials, machinery, vehicles or equipment of a type purchased or leased by the
Designated Position’s department, unit or division.
Category 6: All investments and business positions and sources of
income, including gifts, loans and travel payments, subject to the regulatory, permit, or
licensing authority of the Designated Position’s department, unit or division.
3 This Conflict of Interest Code does not require the reporting of gifts from outside this agency’s
jurisdiction if the source does not have some connection with or bearing upon the functions or
duties of the position. (Reg. 18730.1)
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NOTICE OF INTENTION TO AMEND THE
CONFLICT OF INTEREST CODE OF THE
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
NOTICE IS HEREBY GIVEN that the Riverside County Transportation
Commission (the “Commission”) intends to amend its Conflict of Interest Code (the
“Code”) pursuant to Government Code Section 87306.
The Appendix of the Code designates those positions, members, officers,
and consultants who make or participate in the making of decisions and are subject to
the disclosure requirements of the Commission’s Code. The Commission’s proposed
amendments include new positions that must be designated, amended positions and
titles, deletion of abolished positions, and clarifying language as provided by the FPPC.
The proposed amended Code will be considered by the Board of
Commissioners on December 14, 2016, at 9:30 a.m. at Riverside County Board Room,
4080 Lemon Street, Riverside, California. Any interested person may be present and
comment at the public meeting or may submit written comments concerning the
proposed amendment. Any comments or inquiries should be directed to the attention of
Jennifer Harmon, Clerk of the Board, Riverside County Transportation Commission,
4080 Lemon Street, 3rd Floor, Riverside, CA 92501; (951) 787-7141. Written comments
must be submitted no later than December 14, 2016, at 9:30 a.m.
The proposed amended Code may be reviewed at, and copies obtained
from, the office of the Clerk of the Board.
ATTACHMENT 3
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AGENDA ITEM 6C
Agenda Item 6C
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: December 14, 2016
TO: Riverside County Transportation Commission
FROM: Michele Cisneros, Deputy Director of Finance
THROUGH: Anne Mayer, Executive Director
SUBJECT: Quarterly Financial Statements
STAFF RECOMMENDATION:
This item is for the Commission to receive and file the Quarterly Financial Statements for the
period ended September 30, 2016.
BACKGROUND INFORMATION:
During the first three months of the fiscal year, staff monitored the revenues and expenditures
of the Commission. The first quarter of the fiscal year is primarily directed toward completing
fiscal year-end closing activities. Staff expects most of the categories to present a more realistic
outlook beginning in the second quarter.
The operating statement shows the sales tax revenues for the first quarter at 3 percent of the
budget. This is a result of Governmental Accounting Standards Board (GASB) Statement No. 33,
Accounting and Financial Reporting for Nonexchange Transactions. GASB Statement No. 33
requires sales tax revenues to be accrued for the period in which it is collected at the point of
sale. The State Board of Equalization (SBOE) collects the Measure A funds and remits these funds
to the Commission after the reporting period for the businesses. This creates a two-month lag
in the receipt of revenues by the Commission. Accordingly, these financial statements reflect the
revenues related to collections for July 2016.
On a cash basis, the Measure A and Local Transportation Fund (LTF) sales tax revenues are 4.75
and 1.07 percent higher, respectively, then the same period last fiscal year. State Transit
Assistance fund receipts for the first quarter have not yet been submitted by the SBOE; therefore,
STA revenues are negative due to the reversal of FY 2015/16 accrued revenues at the beginning
of FY 2016/17. Staff will continue to monitor the trends in the sales tax receipts and report to
the Commission any necessary adjustments.
Federal, state, and local revenues are on a reimbursement basis. The Commission will receive
these revenues as eligible project costs are incurred and invoiced to the respective agencies. The
negative revenue amounts for federal, state, and local reimbursements reflect the reversal of FY
2015/16 accrued revenues at the beginning of FY 2016/17 in excess of amounts billed during the
first quarter. Reimbursement invoices for expenditures for the first quarter will be prepared and
submitted in the second quarter.
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Agenda Item 6C
During the FY 2016/17 budget process, the Commission took a conservative approach to estimate
the Transportation Uniform Mitigation Fee (TUMF) revenues of $18.5 million passed through
from the Western Riverside Council of Governments (WRCOG). The Commission received TUMF
receipts through July 2016. The budgeted balance of $20,000 relates to TUMF zone
reimbursements from WRCOG for the State Route 74/Interstate 215 Interchange project (74/215
Interchange project).
Toll revenues budgeted at $3.8 million represent a half year of projected toll transactions for the
RCTC 91 Express Lanes based on the Riverside County 91 Express Lanes Extension Investment
Grade Traffic and Revenue Report and 2013 financing assumptions. The commencement of toll
operations is scheduled for early 2017.
Other revenues include $2.3 million of non-toll source of revenues not attributable directly to toll
transactions and derived from the Commission’s share of 91 Express Lanes’ transaction-based
fees and account-based fees, net of uncollectable tolls. The budgeted balance of $173,000
relates to property management revenues generated from various Commission-owned
properties.
The Commission took a conservative approach in estimating investment income for FY 2016/17,
as a result of flat interest yields on investment balances. Investment income is higher in the first
quarter primarily as a result of the investment of sales tax and toll revenue bond proceeds.
The expenditure/expenses and other financing sources/uses categories are in line overall with
the expectations of the budget with the following exceptions.
• Professional services are higher in the first quarter due to the termination payment of
$10.3 million to Deutsche Bank (DB). Due to Moody’s Investor Service lowering DB’s
long-term rating to Baa2, the downgrade resulted in the occurrence of a termination
event under the swap agreement. At its September 2016 meeting, the Commission
approved the termination of the forward interest rate swap with DB in the outstanding
notional amount of $63.9 million and a termination cost of $10.3 million, resulting in the
refunding of the 2009 Series A Sales Tax Revenue Variable Rate Demand Bonds (2009 A
Bonds);
• Program operations are under budget due to unused budget authority for the 91 Project
activities, motorist and commuter assistance program operations, and highway and rail
program management;
• Capital project expenditures are generally affected by lags in invoices submitted by
contractors and consultants, as well as other issues encountered during certain phases of
the projects. The negative expenditure amounts for construction and right of way/land
reflect the reversal of FY 2015/16 accrued expenditures at the beginning of FY 2016/17,
in excess of amounts paid during the first quarter. The status of significant capital projects
with budget exceeding $5 million is discussed in the attachment;
• Special studies unused budget authority relates to feasibility studies;
18
Agenda Item 6C
• Local streets and roads are related to the timing of Measure A sales tax revenues as
previously explained. These financial statements reflect expenditures made to the local
jurisdictions related to collections through July 2016;
• Regional arterial expenditures primarily represent expenditures for the highways and
regional arterial program administered by the Coachella Valley Association of
Governments (CVAG). CVAG requests reimbursements from the Commission based on
available funds and sufficient budget authority;
• Debt service principal payments are made annually on June 1, while interest payments
are made semiannually on December 1 and June 1, except for the 2009 Sales Tax Revenue
Bonds (variable rate) as those interest payments are monthly;
• Cost of issuance and payment to escrow agent relate to the 2016 Series A Sales Tax
Revenue Refunding Bonds (2016 Refunding Bonds) resulting from the termination of DB
interest rate swap and refunding of the2009 A Bonds. The financial closing of the issuance
of the 2016 Refunding Bonds and payment of the cost of issuance and payment to escrow
agent were made in October 2016, and will be reflected in the second quarter financial
statements;
• Capital outlay expenditures are under budget due to unused budget authority for station
security improvements, toll operations equipment, and Commission network, hardware,
and software improvements;
• The Commission entered into a loan agreement with the U.S. Department of
Transportation for a $421,054,409 Transportation Infrastructure Finance and Innovation
Act (TIFIA) loan to pay eligible 91 Project costs. The loan is a toll revenue bond (TIFIA
Bond) that is subordinate to the 2013 Toll Bonds. Proceeds of the TIFIA Bond may be
drawn upon after certain conditions have been met. During the first quarter, the
Commission drew down $35.4 million in TIFIA loan proceeds. During construction of the
91 Project and for a period of up to five years following substantial completion, interest
is compounded and added to the initial TIFIA loan. TIFIA debt service payments are
expected to commence on December 1, 2021, which is approximately five years after
substantial completion of the 91 Project, through June 1, 2051; and
• At its September 2016 meeting, the Commission approved the issuance of the 2016
Refunding Bonds to refund all of the outstanding 2009 A Bonds, retire all of the
outstanding commercial paper notes which have been applied to finance a termination
payment in connection with an interest rate swap agreement with DB, and pay cost of
issuance. The 2016 Refunding Bonds were sold in October 2016, and the debt proceeds
will be reflected in the second quarter financial statements. Approximately $40 million
of commercial paper notes issuance was included in the FY 2016/17 budget and is
expected to occur in subsequent quarters.
Attachments:
1) Quarterly Project Status – September 2016
2) Quarterly Financial Statements – September 2016
19
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
QUARTERLY PROJECT STATUS
1ST QUARTER
FOR THREE MONTHS ENDED 9/30/2016
FY 2016/17 BUDGET
1ST QUARTER
EXPENDITURES
Project Description Project Status
91 Project (Design-Build) $ 196,476,400 $27,405,011 The Design-Build contract is 89 percent as of September 30,
2016. The Commission has acquired and delivered all 197
Caltrans Parcel Numbers to the Design-Builder. Construction
has begun on all 32 bridges (21 bridges are complete) and 87
walls (of 93, 58 walls are complete), while 87 utility relocations
(of 90) are complete. The under run of the FY 2016/17 budget
at the first quarter is due to under runs in right of way, including
anticipated goodwill and negotiated settlement costs later in the
fiscal year ($21.2 million), the Design-Build contract ($33.4
million), the project and construction management (PCM)
contract ($2.2 million), and the Caltrans Cooperative
Agreement ($2.3 million).
The project will connect with Orange County
Transportation Authority’s tolled express lanes at the
Orange County/Riverside County line and continue
approximately eight miles to the Interstate (I)-15/State
Route (SR)-91 interchange. The project involves
widening pavement on the outside of the existing
highway to reposition general purpose lanes and
repurposing the existing High Occupancy Vehicle
(HOV) lanes to accommodate two-tolled express
lanes in the median in each direction. The SR-91 CIP
also involves constructing one new general purpose
lane in each direction from SR-71 to I-15, ultimately
providing two-tolled express lanes and five general
purpose lanes in each direction. SR-91 CIP
development activities began in September 2007,
construction work related to roadway and structures
began in July 2014, and the toll lanes are expected to
open in early 2017. The total acquisition and
construction cost of the SR-91 CIP is estimated at
$1.4 billion, including capitalized interest, debt service
reserves, contingency, and cost of issuance.
I-15 Express Lanes Project 32,832,300 2,278,655 Staff completed the project report and environmental document
phase of work in May 2016. Staff is currently conducting two
procurements for toll system and operations and design-build
civil work. Procurement shortlists for both toll services and
design-build were announced in FY 2015/16. The under run of
the FY 2016/17 budget at the first quarter is due to under runs
in the PCM contract ($1.4 million) and special legal services for
completion of the Toll Systems Provider and Design-Build
procurements ($1.2 million).
The project will generally add two tolled express lanes
in each direction from SR-60 to Cajalco Road in
Corona. Project development activities began in April
2008, and lanes are expected to open to traffic in
2020. The 2016 CAPEX forecast estimates the total
project cost at $486 million, which includes $46
million of contingency.
ATTACHMENT 1
20
FY 2016/17 BUDGET
1ST QUARTER
EXPENDITURES
Project Description Project Status
I-215 Corridor Improvements/Scott Road to
Nuevo Road 5,863,728 264,051 Aesthetic work along the freeway has been completed and the
project is substantially complete with only minor punch-list items
remaining. Project accounting and change order close-out
activities are ongoing.
The project will add one mixed flow lane in each
direction. Preliminary engineering began in 2007 and
was completed in 2011. Final design began in 2011
and was completed in December 2012; construction
began in 2013 and was completed in 2016. The
estimated project cost is $120 million.
Mid County Parkway 10,764,300 274,505 Staff completed the work on the Environmental Impact Report
(EIR)/Environmental Impact Study (EIS). Major milestones
have been met and the project’s Record of Decision was
published in the Federal register in August 2015. In April 2015
the Commission approved the EIR. Staff is conducting the
procurement for final design of the I-215 Placentia interchange.
Staff has been working with the Federal Highway Administration
on approval of the New Connection Report and approval of the
Habitat Mitigation and Monitoring Plan with the U.S. Army Corps
of Engineers. The Commission acquired some of the mitigation
land needed for the project. Staff continues to work on
identifying the remaining mitigation land needed.
A recirculated project report and environmental
document is under development for a new corridor
from I-215 to SR-79. The environmental phase was
completed in FY 2014/15. Construction of this new
facility will be completed over many years as funding
becomes available; the project cost is estimated at
$1.3 to $1.6 billion.
Pachappa Underpass Project 11,933,500 25,075 Design work is proceeding. An option to retain the shoofly and
adjoining retaining walls is under consideration by Caltrans and
Union Pacific Rail Road with interface coordination required
with the BNSF Railway Company and city of Riverside.
The project will remove the Pachappa shoofly
activities and construct the retaining wall, drainage,
and track work for the permanent Pachappa
underpass; the project cost is estimated at $12
million.
21
FY 2016/17 BUDGET 1ST QUARTER
EXPENDITURES
Perris Valley Line and other rail projects 8,043,900 (9,251,829) The FTA awarded Small Starts Grant Agreement funds. ROW
acquisition activities for the station and layover facility at south
Perris have been completed. Following the settlement of a
lawsuit challenging elements of the California Environmental
Quality Act document in July 2013, the construction contract
was given full notice to proceed in October 2013 following FTA
approval of the Small Starts Grant Agreement. Active
construction commenced in January 2014. Metrolink operations
commenced in June 2016. Substantial completion was reached
in September 2016. Final completion is expected in November
2016, while closeout activities will extend into 2017.
The project extended commuter rail services to
the city of Perris. The project commenced in
December 2007 when the Commission received
approval from the Federal Transit Administration
(FTA) to move into project development. The
estimated project cost is $248.3 million. Other rail
projects included adding a fourth main track between
the Riverside Downtown station to the connector to
the San Jacinto Branch Line at Highgrove.
This list discusses the significant capital projects (i.e., total budgeted costs in excess of $5 million) and related status. Capital project expenditures are generally affected by lags in
invoices submitted by contractors and consultants, as well as issues encountered during certain phases of the projects. The capital projects budgets tend to be based on aggressive
project schedules.
22
Revenues
Sales tax 268,821,600$ 8,287,156$ (260,534,444)$ 3%
Federal reimbursements 32,456,953 (4,625,524) (37,082,477)-14%
State reimbursements 9,080,000 (697,367) (9,777,367)-8%
Local reimbursements 10,496,100 (129,145) (10,625,245)-1%
Transportation Uniform Mitigation Fee 18,520,000 1,134,460 (17,385,540)6%
Toll revenues 3,798,000 - (3,798,000)N/A
Other revenues 2,518,000 99,133 (2,418,867)4%
Investment income 1,849,000 608,934 (1,240,066)33%
Total revenues 347,539,653 4,677,647 (342,862,006)1%
Expenditures
Salaries and benefits 9,505,100 2,254,464 7,250,636 24%
Professional and support
Professional services 22,488,900 11,581,485 10,907,415 51%
Support costs 10,117,600 1,636,189 8,481,411 16%
Total Professional and support costs 32,606,500 13,217,674 19,388,826 41%
Projects and operations
Program operations - general 20,555,700 1,287,656 19,268,044 6%
Engineering 18,007,900 96,219 17,911,681 1%
Construction 89,054,038 (4,353,296) 93,407,334 -5%
Design Build 146,955,600 34,556,178 112,399,422 24%
Right of way/land 85,058,313 (9,646,207) 94,704,520 -11%
Operating and capital disbursements 145,539,447 35,457,656 110,081,791 24%
Special studies 2,965,000 - 2,965,000 N/A
Local streets and roads 51,358,000 3,242,438 48,115,562 6%
Regional arterials 30,516,600 1,603,183 28,913,417 5%
Total projects and operations 590,010,598 62,243,827 527,766,771 11%
Debt service
Principal 8,100,000 - 8,100,000 N/A
Interest 56,615,800 1,293,701 55,322,099 2%
Cost of issuance 245,000 - 245,000 N/A
Payment to escrow agent 63,900,000 - 63,900,000 N/A
Total debt service 128,860,800 1,293,701 127,567,099 1%
Capital outlay 2,181,000 67,681 2,113,319 3%
Total Expenditures 763,163,998 79,077,347 684,086,651 10%
Excess revenues over (under) expenditures (415,624,345) (74,399,700) 702,243,332 18%
Other financing sources/(uses)
Operating transfer in 241,687,700 17,191,397 (224,496,303) 7%
Operating transfer out (241,687,700) (17,191,397) 224,496,303 7%
TIFIA loan proceeds 100,269,200 35,411,868 (64,857,332) 35%
Debt proceeds 103,225,000 - (103,225,000) N/A
Total financing sources/(uses)203,494,200 35,411,868 168,082,332 17%
Net change in fund balances (212,130,145) (38,987,832) 870,325,664 18%
Fund balance July 1, 2016 741,082,700 740,421,402 (661,298) 100%
Fund balance September 30, 2016 528,952,555$ 701,433,570$ 869,664,366$ 133%
QUARTERLY BUDGET TO ACTUAL
RIVERSIDE COUNTY TRANPORTATION COMMISSION
1ST QUARTER
FOR THREE MONTHS ENDED 9/30/2016
FY 2016/17
BUDGET
1ST QUARTER
ACTUAL
PERCENT
UTILIZATION
REMAINING
BALANCE
ATTACHMENT 2
23
ENTERPRISE FUND
TRANSPORTATION DEVELOPMENT ACT
AGENCY FUND TOLL OPERATIONS
Revenues
Sales tax 325,000$ -$ 8,315,181$ 2,379,081$ 63,237$ 5,573,000$ (8,368,343)$ -$ -$ -$ -$ -$ -$ -$ -$ 8,287,156$
Federal reimbursements - - (4,625,524) - - - - - - - - - - - - (4,625,524)
State reimbursements (2,643) (31,435) (663,289) - - - - - - - - - - - - (697,367)
Local reimbursements (74,528) (67,257) 12,640 - - - - - - - - - - - - (129,145)
Transportation Uniform Mitigation Fee - - - - - - - 1,134,460 - - - - - - - 1,134,460
Other revenues 5,914 - 93,219 - - - - - - - - - - - - 99,133
Investment income - - 10,081 1,662 - - 3,323 3,323 - - - 397,836 141,512 44,705 6,492 608,934
Total revenues 253,743 (98,692) 3,142,308 2,380,743 63,237 5,573,000 (8,365,020) 1,137,783 - - - 397,836 141,512 44,705 6,492 4,677,647
Expenditures
Salaries and benefits 1,403,445 28,257 740,454 - - - - 63,682 10,347 8,279 - - - - - 2,254,464
Professional and support
Professional services (180,921) 19,976 1,469,839 1,371 - - 2,743 16,700 (40,223) - - 10,292,000 - - - 11,581,485
Support costs 1,476,771 43,312 116,023 - - - - - 83 - - - - - - 1,636,189
Total Professional and support costs 1,295,850 63,288 1,585,862 1,371 - - 2,743 16,700 (40,140) - - 10,292,000 - - - 13,217,674
Projects and operations
Program operations - general 397,277 393,963 476,241 - - - - 17,280 - 2,895 - - - - - 1,287,656
Engineering - - 65,248 - - - - 30,971 - - - - - - - 96,219
Construction (74,625) - (4,923,193) - - - - 644,522 - - - - - - - (4,353,296)
Design Build - - 34,556,178 - - - - - - - - - - - - 34,556,178
Right of way/land - - (9,962,758) - - - - 316,551 - - - - - - - (9,646,207)
Operating and capital disbursements 9,002,974 - 1,221,412 1,458,924 - 23,753,111 21,235 - - - - - - - - 35,457,656
Local streets and roads - - 2,346,523 832,678 63,237 - - - - - - - - - - 3,242,438
Regional arterials - - - 1,603,183 - - - - - - - - - - - 1,603,183
Total projects and operations 9,325,626 393,963 23,779,651 3,894,785 63,237 23,753,111 21,235 1,009,324 - 2,895 - - - - - 62,243,827
Debt service
Interest - - - - - - - - - - - 25,143 - - 1,268,558 1,293,701
Total debt service - - - - - - - - - - - 25,143 - - 1,268,558 1,293,701
Capital outlay 35,647 - 32,034 - - - - - - - - - - - - 67,681
Total Expenditures 12,060,568 485,508 26,138,001 3,896,156 63,237 23,753,111 23,978 1,089,706 (29,793) 11,174 - 10,317,143 - - 1,268,558 79,077,347
Excess revenues over (under) expenditures (11,806,825) (584,200) (22,995,693) (1,515,413) - (18,180,111) (8,388,998) 48,077 29,793 (11,174) - (9,919,307) 141,512 44,705 (1,262,066) (74,399,700)
Other financing sources/(uses)
Operating transfer in 9,213,095 714,700 4,682,252 - - - - - - - - - - - 2,581,350 17,191,397
Operating transfer out - (714,700) (2,635,342) - - (9,213,095) - - - - - (4,602,846) - (25,414) - (17,191,397)
TIFIA loan proceeds - - 35,411,868 - - - - - - - - - - - - 35,411,868
Total financing sources/(uses)9,213,095 - 37,458,778 - - (9,213,095) - - - - - (4,602,846) - (25,414) 2,581,350 35,411,868
Net change in fund balances (2,593,730) (584,200) 14,463,085 (1,515,413) - (27,393,206) (8,388,998) 48,077 29,793 (11,174) - (14,522,153) 141,512 19,291 1,319,284 (38,987,832)
Fund balance July 1, 2016 10,792,190 8,722,808 201,722,613 42,644,404 556 116,816,853 71,569,302 70,616,683 3,509,978 410,879 - 42,033,114 72,278,136 20,987,831 78,316,055 740,421,402
Fund balance September 30, 2016 8,198,460$ 8,138,608$ 216,185,698$ 41,128,991$ 556$ 89,423,647$ 63,180,304$ 70,664,760$ 3,539,771$ 399,705$ -$ 27,510,961$ 72,419,648$ 21,007,122$ 79,635,339$ 701,433,570$
CAPITAL PROJECTS FUNDS
GENERAL FUND FSP/
SAFE
WESTERN
COUNTY
PALO VERDE
VALLEY
COACHELLA
VALLEY
LOCAL TRANSPORTATION
FUND
MEASURE A SALES TAX
SPECIAL REVENUE FUNDS
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
QUARTERLY BUDGET TO ACTUAL BY FUND
1ST QUARTER
FOR THREE MONTHS ENDED 9/30/2016
SALES TAX
BONDS DEBT SERVICE COMBINED TOTALCOMMERCIAL
PAPER
STATE TRANSIT
ASSISTANCE
TRANSPORTATION
UNIFORM MITIGATION FEE
(TUMF)
TOLL REVENUE
BONDS
COACHELLA
VALLEY RAIL
24
AGENDA ITEM 6D
Agenda Item 6D
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: December 14, 2016
TO: Riverside County Transportation Commission
FROM: Michele Cisneros, Deputy Director of Finance
THROUGH: Anne Mayer, Executive Director
SUBJECT: Quarterly Sales Tax Analysis
STAFF RECOMMENDATION:
This item is for the Commission to receive and file the sales tax analysis for Quarter 2, 2016
(2Q 2016).
BACKGROUND INFORMATION:
At its December 2007 meeting, the Commission awarded an agreement with MuniServices, LLC
(MuniServices) for quarterly sales tax reporting services plus additional fees contingent on
additional sales tax revenue generated from the transactions and use tax (sales tax) audit
services. As part of the recurring contracts process, the Commission approved a five-year
extension through June 30, 2018. The services performed under this agreement pertain to only
the Measure A sales tax revenues.
Since the commencement of these services, MuniServices submitted an audit, which reported
findings generated and submitted to the State Board of Equalization (SBOE) for review and
determination of errors in sales tax reporting related to 568 businesses. Through 1Q 2016, the
SBOE approved corrections for 403 of these accounts for a total sales tax recovery of $6,712,416.
Updated amounts for 2Q 2016 will be provided once received from MuniServices. If the SBOE
concurs with the error(s) for the remaining claims, the Commission will receive additional
revenues; however, the magnitude of the value of the remaining findings was not available. It is
important to note that while the recoveries of additional revenues will be tangible, it will not be
sufficient to alter the overall trend of sales tax revenues.
Additionally, MuniServices provided the Commission with the quarterly sales tax summary report
for 2Q 2016. Most of the 2Q 2016 Measure A sales tax revenues were received in the third
quarter of calendar year 2016, during July through September 2016, due to a lag in the sales tax
calendar. The summary section of 2Q 2016 report is attached and includes an overview of
California’s economic outlook, local results, historical cash collections analysis by quarter, top 25
sales/use tax contributors, historical sales tax amounts, annual sales tax by business category,
five-year economic trend for significant business category (business to business), and final
results.
25
Agenda Item 6D
Taxable transactions for the top 25 tax contributors in Riverside County generated 20.8 percent
of taxable sales for the benchmark year ended 2Q 2016, slightly higher than the 20.4 percent for
the benchmark year ended 2Q 2015. The top 100 tax contributors generated 33.1 percent of
taxable sales for the benchmark year ended 2Q 2016, compared to 33 percent for the benchmark
year ended 2Q 2015.
In the Economic Category Analysis below, four of the six categories (general retail, food products,
business to business, and miscellaneous) experienced new highs in the 2Q 2016 benchmark year
compared to the prior eight benchmark years. Transportation was slightly below the 2Q 2015
benchmark year due to continued lower fuel prices and construction is higher than the 2Q 2015
benchmark year, but slightly lower than the high in the 2Q 2008 benchmark year.
An analysis of sales tax performers by quarter through 2Q 2016 is attached, and illustrates fairly
consistent cycles for sales tax performance for most of the economic categories since the
economic recession in 2009.
For 7 of the top 10 segments (auto sales-new, restaurants, department stores, miscellaneous
retail, building materials-wholesale, apparel stores, and building materials-retail) during the past
eight benchmark year quarters, sales tax receipts reached a new high point. The 7 segments
represent 56.9 percent of total sales tax receipts. Light industry, one of the top 10 segments
representing 4.9 percent of the total sales tax receipts for benchmark year 2Q 2016, was lower
than the 1Q 2016 benchmark year due to completion of renewable energy developments in
Riverside County. Food markets remained relatively unchanged representing 5.2 percent of the
total sales tax receipts, and service stations reached a new low point in 2Q 2016.
These top 10 segments represent 74.7 percent of the total sales tax receipts. For the other 19
segments representing 25.3 percent of the total sales tax receipts, 13 segments representing 19.7
percent of the total sales tax receipts reached new high points in the benchmark year 2Q 2016.
In the Economic Segment Analysis below, auto sales-new, restaurants, and department stores
represent the three largest segments for Riverside County, or 33.2 percent of total sales tax
receipts. This is the fifteenth consecutive quarter since 3Q 2008, that department stores and
auto sales-new have been in the top three economic segments. Growth seen in previous quarters
% of Total / % Change
RCTC State Wide Riverside
County
San
Bernardino
County
Inland
Empire South Coast S.F. Bay Area Sacramento
Valley
Central
Valley North Coast Central
Coast
General Retail 28.7 / 2.8 28.3 / 2.6 28.7 / 3.9 25.1 / 8.0 26.8 / 5.9 29.2 / 2.2 26.7 / 1.1 27.9 / 4.2 30.8 / 3.3 28.5 / 4.5 31.5 / 0.9
Food Products 17.6 / 5.7 20.6 / 5.0 19.7 / 5.1 14.7 / 6.0 17.1 / 5.5 21.8 / 5.1 22.0 / 5.2 16.9 / 3.6 16.6 / 3.9 18.4 / 3.0 30.8 / 2.0
Transportation 25.4 / 0.0 23.7 / -0.2 26.7 / -0.1 27.3 / 2.2 27.0 / 1.1 23.3 / -0.5 20.5 / -1.3 28.0 / 2.9 26.2 / -0.7 30.0 / 0.1 21.0 / -0.7
Construction 10.8 / 4.3 9.7 / 7.5 13.0 / 1.2 11.8 / 48.1 12.4 / 20.2 8.4 / 5.8 9.5 / 4.1 11.4 / 7.1 12.2 / 5.4 13.5 / 7.7 9.5 / 5.1
Business to Business 15.3 / 0.1 16.5 / -0.1 10.8 / 3.4 19.6 / -0.6 15.4 / 0.7 16.1 / -2.1 20.1 / 4.0 14.2 / 5.1 12.7 / -8.0 8.6 / -3.7 6.2 / 5.8
Miscellaneous 2.2 / 7.8 1.3 / 8.6 1.1 / 12.1 1.5 / 34.1 1.3 / 24.5 1.2 / 10.4 1.3 / 1.6 1.7 / 3.1 1.5 / 5.3 1.0 / 7.8 1.0 / -12.0
Total 100.0 / 2.4 100.0 / 2.5 100.0 / 2.7 100.0 / 8.0 100.0 / 5.4 100.0 / 1.8 100.0 / 2.3 100.0 / 4.2 100.0 / 1.0 100.0 / 2.6 100.0 / 1.4
General Retail: Apparel Stores, Department Stores, Furniture/Appliances, Drug Stores, Recreation Products, Florist/Nursery, and Misc. Retail
Food Products: Restaurants, Food Markets, Liquor Stores, and Food Processing Equipment
Construction: Building Materials Retail and Building Materials Wholesale
Transportation: Auto Parts/Repair, Auto Sales - New, Auto Sales - Used, Service Stations, and Misc. Vehicle Sales
Business to Business: Office Equip., Electronic Equip., Business Services, Energy Sales, Chemical Products, Heavy Industry, Light Industry, and Leasing
Miscellaneous: Health & Government, Miscellaneous Other, and Closed Account Adjustments
ECONOMIC CATEGORY ANALYSIS
26
Agenda Item 6D
for the service stations segment has been declining continuously from the high in the last five
years due to lower fuel prices, and this segment reached a new low point in 2Q 2016. Restaurants
replaced service stations in the top three economic segments beginning in 4Q 2014 and resulted
from continued steady growth in restaurant prices with no decline in restaurant use.
During the review of the 2Q 2016 detailed report with MuniServices, information regarding sales
tax comparison by city and change in economic segments (two highest gains and two highest
losses) from 2Q 2016 to 2Q 2015 was provided.
Staff continues to monitor monthly sales tax receipts and other available economic data to
determine the need for any adjustment to the revenue projections. Staff will utilize the forecast
scenarios included with the complete report and receipt trends in assessing such projections.
Attachments:
1) Sales Tax Digest Summary 2Q 2016
2) Sales Tax Performance Analysis by Quarter
3) Quarterly Sales Tax Change Comparison by City for 2Q 2016 to 2Q 2015
RCTC State Wide Riverside
County
San
Bernardino
County
Inland
Empire South Coast S.F. Bay Area Sacramento
Valley
Central
Valley North Coast Central
Coast
Largest Segment Auto Sales -
New Restaurants Restaurants
Department
Stores Restaurants Service
Stations Restaurants Restaurants
Department
Stores
Auto Sales -
New Restaurants
% of Total / % Change 11.7 / 6.2 14.6 / 6.1 12.6 / 6.1 10.2 / 4.6 11.1 / 6.3 26.0 / -1.6 15.7 / 6.0 16.0 / 6.2 13.6 / 1.9 11.7 / 13.8 22.3 / 1.5
2nd Largest Segment Restaurants Auto Sales -
New
Auto Sales -
New Restaurants Auto Sales -
New Restaurants Auto Sales -
New
Auto Sales -
New
Auto Sales -
New
Department
Stores Misc. Retail
% of Total / % Change 11.2 / 6.1 11.1 / 5.7 12.4 / 6.7 9.8 / 6.4 10.9 / 7.9 13.3 / 6.0 10.7 / 4.9 11.3 / 4.9 10.8 / 6.6 11.0 / 1.3 10.8 / 8.2
3rd Largest Segment Department
Stores
Department
Stores
Department
Stores
Auto Sales -
New
Department
Stores
Food
Markets
Department
Stores
Department
Stores Restaurants Restaurants
Auto Sales -
New
% of Total / % Change 10.3 / 2.6 9.5 / 0.5 10.6 / 0.0 9.6 / 9.3 10.4 / 2.3 8.6 / 1.7 7.8 / -1.8 9.2 / 0.4 10.8 / 6.2 10.6 / 4.3 8.7 / 12.0
ECONOMIC SEGMENT ANALYSIS
27
Riverside County Transportation Commission
Sales Tax Digest Summary
Collections through September 2016
Sales through June 2016 (2016Q2)
www.MuniServices.com (800) 800‐8181 Page 1
CALIFORNIA’S ECONOMIC OUTLOOK
California sales tax receipts increased by 1.2% over the same quarter from the previous year, with
Northern California reporting a 3.8% increase compared to ‐0.8% for Southern California. Receipts for
the RCTC changed by 1.4% over the same periods.
According YCharts data, U.S. retail sales increased 1.6% from $1.184T in 2016Q1 to $1.202T in
2016Q2. Previously 2016Q1 had decreased 0.3% from $1.187T in 2015Q4. (YCharts)
Retail sales should grow by 4% during the upcoming holiday season, up from a 2.5% increase last
year. A similar increase is anticipated for the 2017 holiday season. Online sales have grown 14.1%
compared to last year. (Kiplinger)
Gas prices in California fluctuated weekly throughout 2016Q2; however, monthly price figures show
a steady upsurge lasting from March through June. Since then, a continual decrease in pricing has
occurred. (U.S. EIA)
During June both the U.S. and California's unemployment rate increased by 0.2% to 4.9% and 5.4%
respectively, California's was the first increase since September 2010. Labor force grew for both as
well, increasing by 1% in California while its employment increased by just 0.04%. (CA DoF, CA EDD)
LOCAL RESULTS
Net Cash Receipts Analysis
Local Collections $42,968,731
Share of County Pool 0.0% 0
Share of State Pool 0.0% 0
SBE Net Collections 42,968,731
Less: Amount Due County 0.0% .00
Less: Cost of Administration (501,550)
Net 2Q2016 Receipts 42,467,181
Net 2Q2015 Receipts 41,879,899
Actual Percentage Change 1.4%
Business Activity Performance Analysis
Local Collections $42,968,731
Less: Payments for Prior Periods (2,148,487)
Preliminary 2Q2016 Collections 40,820,245
Projected 2Q2016 Late Payments 1,413,535
Projected 2Q2016 Final Results 42,233,780
Actual 2Q2015 Results 41,460,403
Projected Percentage Change 1.9%
ATTACHMENT 1
28
Riverside County Transportation Commission
www.MuniServices.com (800) 800‐8181 Page 2
HISTORICAL CASH COLLECTIONS ANALYSIS BY QUARTER
TOP 25 SALES/USE TAX CONTRIBUTORS
The following list identifies RCTC’s Top 25 Sales/Use Tax contributors. The list is in alphabetical order
and represents sales from July 2015 to June 2016. The Top 25 Sales/Use Tax contributors generate
20.8% of RCTC’s total sales and use tax revenue.
7‐ELEVEN FOOD STORES HOME DEPOT
ALBERTSON'S FOOD CENTERS JOHNSON MACHINERY COMPANY
AMAZON.COM KOHL'S DEPARTMENT STORES
AUTOZONE LOWE'S HOME CENTERS
BEST BUY STORES MACY'S DEPARTMENT STORE
CARMAX THE AUTO SUPERSTORE SAM'S CLUB
CIRCLE K FOOD STORES STATER BROS MARKETS
CONSOLIDATED ELECTRICAL DSTRS. TARGET STORES
COSTCO WHOLESALE VERIZON WIRELESS
CVS PHARMACY WAL MART STORES
DD’S DISCOUNTS WALGREEN'S DRUG STORES
DEPT OF MOTOR VEHICLES WHIRLPOOL CORPORATION
FOOD 4 LESS
29
Riverside County Transportation Commission
www.MuniServices.com (800) 800‐8181 Page 3
HISTORICAL SALES TAX AMOUNTS
The following chart shows the sales tax level from sales through June 2016, the highs, and the lows for
each segment over the last two years.
$0
$5,000
$10,000
$15,000
$20,000
$25,000
(in thousands of $)2Q2016
High
Low
ANNUAL SALES TAX BY BUSINESS CATEGORY
30
Riverside County Transportation Commission
www.MuniServices.com (800) 800‐8181 Page 4
FIVE‐YEAR ECONOMIC TREND: Business To Business
FINAL RESULTS: January‐March 2016 Sales
Local Net Cash Collections $40,977,671
Less: Pool Amounts ($‐528,660)
Less: Prior Quarter Payments ($2,012,309)
Add: Late Payments $1,632,763
Local Net Economic Collections after Adjustments $41,126,785
Percent Change from January‐March 2015 Sales UP BY 2.8%
MUNISERVICES’ ON‐GOING AUDIT RESULTS
This Quarter $282,843
Total to Date $6,661,741
31
RCTC 1/2%: Sales Tax Performance Analysis by Quarter TOTALEconomicTOTAL2016Q2 QoQ %∆QoQ $∆YoY %∆YoY $∆$42,233,417 1.9% $773,314 2.4% $3,930,494GENERAL RETAIL2016Q2 QoQ %∆QoQ $∆YoY %∆YoY $∆$11,663,153 3.2% $367,032 2.8% $1,304,63627.6%FOOD PRODUCTS2016Q2 QoQ %∆QoQ $∆YoY %∆YoY $∆$7,606,368 3.4% $249,358 5.7% $1,587,694% of Total: 18.0%TRANSPORTATION2016Q2 QoQ %∆QoQ $∆YoY %∆YoY $∆$10,873,228-2.9% -$320,406 0.0% -$10,759% of Total: 25.7%CONSTRUCTION2016Q2 QoQ %∆QoQ $∆YoY %∆YoY $∆$4,614,043 1.6% $71,377 4.3% $751,383% of Total: 10.9%BUSINESS TO BUSINESS2016Q2 QoQ %∆QoQ $∆YoY %∆YoY $∆$6,540,292 6.0% $368,050 0.1% $36,538% of Total: 15.5%Q3 Q4 Q1 Q2TOTALCATEGORYQoQ = 16Q2 / 15Q2YoY = YE 16Q2 / YE 15Q2% of 2016Q2 Total:$0$2,000,000$4,000,000$6,000,000$8,000,000$10,000,000$12,000,000$14,000,000$16,000,000$0$5,000,000$10,000,000$15,000,000$20,000,000$25,000,000$30,000,000$35,000,000$40,000,000$45,000,000$50,000,0002011Q22011Q32011Q42012Q12012Q22012Q32012Q42013Q12013Q22013Q32013Q42014Q12014Q22014Q32014Q42015Q12015Q22015Q32015Q42016Q12016Q2ATTACHMENT 232
INLAND EMPIRE: Quarterly Comparison of 2016Q2 and 2015Q2 ( April thru June Sales )General RetailFood ProductsTransportationConstructionB2BMisc.Apr ‐ Jun2016(2016Q2)Apr ‐ Jun2015(2015Q2)% Chg GainGainDeclineDeclineRIVERSIDE COUNTYBANNING0.0% 2.3%‐11.7%‐10.9% 5.9% 46.4%447,434475,490‐5.9%Misc. Vehicle Sales RestaurantsService Stations Auto Sales ‐ NewBEAUMONT3.0% 8.7%‐6.4%‐9.0% 40.9%‐36.1%1,029,272991,4353.8%Light IndustryRestaurantsService Stations Bldg.Matls‐WhsleBLYTHE‐4.2%‐0.7%‐15.0%‐4.8%‐6.0%‐43.7%372,307406,839‐8.5%Light IndustryBldg.Matls‐Retail Auto Sales ‐ New Energy SalesCORONA 2.0% 4.9%‐5.0% 4.2% 10.7%‐36.9%8,704,7448,481,6692.6%Bldg.Matls‐Whsle Electronic Equipment Service Stations Auto Parts/RepairLAKE ELSINORE1.6% 1.5% 1.9% 6.1% 4.5% 8.1%2,057,4762,009,8782.4%Auto Sales ‐ New RestaurantsService Stations Food MarketsHEMET4.8% 2.3%‐3.3% 1.2%‐5.5% 3.6%2,533,0202,543,104‐0.4%Department Stores RestaurantsService Stations Light IndustryINDIO2.9%‐3.0% 2.4%‐6.8% 5.7%‐45.2%2,476,2502,484,378‐0.3%Auto Sales ‐ New Department Stores Bldg.Matls‐Retail Service StationsPERRIS27.5% 5.8%‐20.5%‐5.4%‐6.0% 11.2%2,092,8442,167,778‐3.5%Department Stores RestaurantsService Stations Auto Sales ‐ NewSAN JACINTO3.1%‐5.6% 3.9% 24.3%‐31.7%‐34.3%609,340621,497‐2.0%Service Stations Florist/Nursery Food Markets Health & GovernmentRIVERSIDE1.1% 5.5%‐0.8%‐1.0% 14.8%‐8.8%13,932,07913,589,0732.5%Heavy IndustryRestaurantsService Stations Misc. Vehicle SalesCOACHELLA11.4% 0.0%‐0.5%‐19.4%‐18.0% 21.6%778,384788,967‐1.3%Apparel Stores Bldg.Matls‐Whsle Bldg.Matls‐Retail Heavy IndustryPALM SPRINGS‐0.1% 3.4%‐11.5% 1.8%‐7.8%‐6.4%2,583,3682,634,443‐1.9%Restaurants Food Markets Service Stations Energy SalesDESERT HOT SPRINGS9.7% 6.6%‐16.0% 19.7% 24.2%‐6.8%321,560330,110‐2.6%RestaurantsDrug StoresService Stations Liquor StoresNORCO5.0% 3.1%‐5.5% 25.0%‐6.5%‐45.9%1,380,4131,392,692‐0.9%Bldg.Matls‐Whsle Furniture/Appliance Service Stations LeasingINDIAN WELLS4.2% 9.2%‐100.0%‐79.7% 16.7% 7.4%227,516209,6278.5%RestaurantsFood Markets Apparel Stores Miscellaneous RetailRANCHO MIRAGE37.2%‐1.0% 1.3%‐1.4% 25.3% 39.3%1,155,1211,048,79410.1%Miscellaneous Retail Department Stores Food Markets Service StationsPALM DESERT‐0.9% 0.1% 11.6% 4.8% 12.1% 30.0%3,867,2993,813,4831.4%Auto Sales ‐ NewBldg.Matls‐Whsle Service Stations Department StoresCATHEDRAL CITY‐3.9% 2.9%‐8.7%‐8.7% 6.8% 6.4%1,956,9852,067,174‐5.3%RestaurantsLeasingAuto Sales ‐ New Service StationsLA QUINTA2.2% 8.2%‐14.7% 1.6%‐9.0%‐10.0%1,806,4221,798,8450.4%RestaurantsFurniture/Appliance Auto Sales ‐ New Service StationsMORENO VALLEY‐0.7% 5.3%‐8.8% 14.8%‐12.0%‐0.9%3,972,9434,017,184‐1.1%RestaurantsBldg.Matls‐Whsle Service Stations Miscellaneous RetailTEMECULA18.0% 3.5% 3.2% 5.3% 12.7% 4.3%8,196,5187,480,1869.6%Miscellaneous Retail Auto Sales ‐ New Service Stations Department StoresCANYON LAKE8.6% 7.2% 17.6% 13.4% 199.4% 68.0%54,16645,90718.0%Heavy IndustryService Stations Miscellaneous Retail Bldg.Matls‐WhsleCALIMESA 6.5%‐2.6%‐15.5%‐20.6%‐30.6% 76.6%154,954169,923‐8.8%Department Stores Misc. Vehicle Sales Service Stations Light IndustryMURRIETA7.4% 2.9%‐4.1% 1.7%‐3.5% 17.1%3,334,2063,274,7001.8%Department Stores RestaurantsService Stations Energy SalesWILDOMAR17.0% 10.5%‐13.7% 23.2% 18.9% 60.7%373,971367,0431.9%Misc. Vehicle Sales RestaurantsService Stations Business ServicesMENIFEE4.0% 2.6% 6.8% 18.1%‐9.3% 16.4%1,573,4491,497,6225.1%Auto Parts/Repair Bldg.Matls‐Whsle Service Stations Recreation ProductsEASTVALE3.2% 9.6%‐18.0% 9.3% 11.0%‐25.5%1,717,8891,622,3545.9%Business Services Bldg.Matls‐Whsle Electronic Equipment Service StationsJURUPA VALLEY26.8% 2.1%‐13.5%‐3.7%‐5.5% 14.7%2,173,9042,185,777‐0.5%Furniture/Appliance Office Equipment Service Stations LeasingRIVERSIDE COUNTY‐2.0%‐0.7%‐12.6%‐8.3% 13.8% 19.1%6,125,0976,331,408‐3.3%Heavy IndustryBusiness Services Service Stations Bldg.Matls‐WhsleATTACHMENT 3Non‐ConfidentialMuniServices33
AGENDA ITEM 6E
Agenda Item 6E
RIVERSIDE COUNTY TRANSPORTATION COMMISSION
DATE: December 14, 2016
TO: Riverside County Transportation Commission
FROM: Megan Kavand, Accountant
Michele Cisneros, Deputy Director of Finance
THROUGH: Anne Mayer, Executive Director
SUBJECT: Quarterly Investment Report
STAFF RECOMMENDATION:
This item is for the Commission to receive and file the Quarterly Investment Report for the
quarter ended September 30, 2016.
BACKGROUND INFORMATION:
For many years and as a result of a low interest rate environment, the Commission’s quarterly
investment reports reflected investments primarily concentrated in the Riverside County
Pooled Investment Fund (RCPIF). Other investments included the state Local Agency
Investment Fund and mutual funds.
In connection with the issuance of sales tax revenue bonds and toll revenue bonds and the
execution of Transportation Infrastructure Finance and Innovation Act (TIFIA) loan for the State
Route 91 Corridor Improvement Project (91 Project), the Commission anticipated the need to
engage an investment manager for the bond proceeds and other required funds. Additionally,
the Commission desired to engage an investment manager to provide investment advisory and
management services related to the Commission’s operating funds. Accordingly, at its May
2013 meeting, the Commission awarded two investment management services agreements to
Logan Circle Partners, L.P. (Logan) for 91 Project funds and to Payden & Rygel Investment
Management (Payden & Rygel) for Commission operating funds.
Logan invested the 91 Project debt proceeds during the first quarter of FY 2013/14 in the
Short-Term Actively Managed Program (STAMP). Payden & Rygel was authorized to make
specific investments for the Commission’s operating funds beginning with the third quarter of
FY 2014/15. Since June 2015, the Commission funded its annual 91 Project equity contributions
approximating $67.8 million; the funds were invested by Logan in a separate STAMP account.
The quarterly investment report for the first quarter of FY 2016/17 as required by state law and
Commission policy reflects the increased investment activities resulting from the 91 Project and
available operating cash. The quarterly investment report includes the following information:
34
Agenda Item 6E
• Investment Portfolio Report;
• STAMP Portfolio by Investment Category;
• STAMP Portfolio by Account;
• STAMP Portfolio Transaction Report by Account;
• STAMP Portfolio Summary of investments by credit rating, industry group, asset class,
security type and market sector;
• STAMP Portfolio Toll Revenue Project Senior Lien Fund Summary of investments by
credit rating, industry group, asset class, security type and market sector;
• STAMP Portfolio Toll Revenue Project Sales Tax Revenue Fund Summary of investments
by credit rating, industry group, asset class, security type and market sector;
• STAMP Portfolio Toll Revenue Series A & Series B Reserve Fund Summary of investments
by credit rating, industry group, asset class, security type and market sector;
• STAMP Portfolio Toll Revenue Project Capitalized Interest Fund Summary of investments
by credit rating, industry group, asset class, security type and market sector;
• STAMP Portfolio Sales Tax Revenue Capitalized Interest Fund Summary of investment by
credit rating, industry group, asset class, security type and market sector;
• STAMP Portfolio Sales Tax Equity Fund Summary of investment by credit rating, industry
group, asset class, security type and market sector;
• Logan Circle Partners, L.P. Short Duration Third Quarter 2016 Review;
• Payden & Rygel Operating Portfolio by Investment Category;
• Payden & Rygel Operating Portfolio Transaction Report;
• Payden & Rygel Operating Portfolio Third Quarter 2016 Review; and
• County of Riverside Investment Report for the Quarter Ended September 30, 2016.
The Commission’s investments were in full compliance with the Commission’s investment
policy adopted on April 13, 2016, and investments securities permitted under the indenture for
the Commission’s sales tax revenue bonds and the master indenture for the Commission’s toll
revenue bonds. Additionally, the Commission has adequate cash flows for the next six months.
Attachments:
1) Investment Portfolio Report
2) STAMP Portfolio by Investment Category
3) STAMP Portfolio by Account
4) STAMP Portfolio Transaction Report by Account
5) STAMP Portfolio Summary of Investments
6) STAMP Portfolio Toll Revenue Project Senior Lien Fund Summary of Investments
7) STAMP Portfolio Toll Revenue Project Sales Tax Revenue Fund Summary of Investments
8) STAMP Portfolio Toll Revenue Series A & Series B Reserve Fund Summary of
Investments
9) STAMP Portfolio Toll Revenue Project Capitalized Interest Fund Summary of Investments
10) STAMP Portfolio Sales Tax Revenue Capitalized Interest Fund Summary of Investments
11) STAMP Portfolio Sales Tax Equity Fund Summary of Investments
12) Payden & Rygel Operating Portfolio by Investment Category
35
Agenda Item 6E
13) Payden & Rygel Operating Portfolio Transaction Report
14) Logan Circle Partners, L.P. Short Duration Quarterly Review
15) Payden & Rygel Operating Portfolio Quarterly Review
16) County of Riverside Investment Report
36
Riverside County Transportation CommissionInvestment Portfolio ReportPeriod Ended: September 30, 2016FAIR VALUERATINGMOODYS/FITCH/S&PCOUPON RATEPAR VALUEPURCHASE DATEMATURITY DATEYIELD TO MATURITYPURCHASE COSTMARKET VALUEUNREALIZED GAIN (LOSS)OPERATING FUNDSCity National Bank Deposits30,419,575 A3/BBB+N/AN/ACounty Treasurer's Pooled Investment Fund355,811,624 Aaa-bf/AAA/V1N/A0.72%Local Agency Investment Fund (LAIF)3,654,166 Not RatedN/AN/A Subtotal Operating Funds389,885,366 FUNDS HELD IN TRUSTCounty Treasurer's Pooled Investment Fund: Local Transportation Fund89,274,928 Aaa-bf/AAA/V1N/A0.72% Subtotal Funds Held in Trust89,274,928 COMMISSION MANAGED PORTFOLIOUS Bank Payden & Rygel Operating50,677,025 First American Government Obligation Fund8,340,500 Aaa-mf/-/AAAmN/AN/A Subtotal Commission Managed Portfolio59,017,525 STAMP PORTFOLIO for 91 CIP Toll Revenue Project Senior Lien Fund21,006,182 Toll Revenue Project Sales Tax Revenue Fund57 Series A & Series B Reserve Fund19,513,333 Toll Revenue Project Capitalized Interest Fund11,657,868 Sales Tax Revenue Capitalized Interest Fund36,629,545 Sales Tax Revenue Equity Fund68,466,592 Subtotal STAMP Portfolio157,273,577 TOTAL All Cash and Investments695,451,396$ See attached report for detailsSee attached report for detailsSee attached report for detailsSee attached report for detailsSee attached report for detailsSee attached report for detailsSee attached report for details2.81%3.02%6.94%9.84%8.49%12.84%56.06% $‐ $50,000,000 $100,000,000 $150,000,000 $200,000,000 $250,000,000 $300,000,000 $350,000,000 $400,000,000 $450,000,000STAMP Portfolio for 91 CIP ReserveSTAMP Portfolio for 91 CIP Project FundSTAMP Portfolio for 91 CIP CapitalizedInterestSTAMP Portfolio for 91 CIP EquityCommission Managed PortfolioTrust FundsOperating FundsNature of Investments1.20% Mutual Funds68.37% County Pool/Cash0.53% LAIF27.59% Fixed Income2.21% Money Market Funds0.10% CashATTACHMENT 137
Source AccountAccountIdentifierSecurity Type CategoryIssuerFinal Maturity Trade Date Current Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit Rating256350023 LC-Sr Lien Reserve Fund-13135G0D75 Agency Federal National Mortgage Association Fannie Mae 06/22/2020 05/06/2015 600,000.00 593,490.00 ---609,180.00 13,968.48 1.500 1.080AAA256350005 LC-Project Fund-Toll 23133EECD0 AgencyFederal Farm Credit Banks Consolidated Systemwide Bonds06/20/2017 06/15/2015500,000.00 500,308.15 ---500,370.00 260.16 0.562 0.459AAA256350023 LC-Sr Lien Reserve Fund-13137EADR7 AgencyFederal Home Loan Mortgage Corporation05/01/2020 05/15/2015475,000.00 471,527.75 ---480,153.75 7,691.63 1.375 1.066AAA256350023 LC-Sr Lien Reserve Fund-13137EACA5 AgencyFederal Home Loan Mortgage Corporation03/27/2019 07/05/2013770,000.00 843,053.75 ---823,037.60 20,222.08 3.750 0.946AAA256350023 LC-Sr Lien Reserve Fund-13137EADB2 AgencyFederal Home Loan Mortgage Corporation01/13/2022---750,000.00 737,385.50 ---789,780.00 45,801.36 2.375 1.332AAA205091001 LC-2013 A Capitalized Interest 3130A3CE2 AgencyFHLBanks Office of Finance10/14/2016 09/30/2016275,000.00 275,027.50 ---275,027.50 1.96 0.625 0.367AAA205091001 LC-2013 A Capitalized Interest 3130A7P82 AgencyFHLBanks Office of Finance10/05/2016 07/25/2016700,000.00 700,134.40 ---700,014.00 6.43 0.490 0.345AAA256350023 LC-Sr Lien Reserve Fund-13136G3JZ9 AgencyFederal National Mortgage Association Fannie Mae 04/26/2019 05/31/2016200,000.00 200,960.00 42,669.00 200,174.00 3.79 2.000 0.788AAA205091001 LC-2013 A Capitalized Interest 3137EADS5 AgencyFederal Home Loan Mortgage Corporation10/14/2016 08/30/2016320,000.00 320,188.80 ---320,054.40 (1.38) 0.875 0.436AAA205091001 LC-2013 A Capitalized Interest 31392HWL3 Agency CMO Federal National Mortgage Association Fannie Mae 02/25/2018 07/12/201314,959.52 15,791.65 ---15,292.52 109.63 5.000 -0.517AAA256350023 LC-Sr Lien Reserve Fund-13137AJMF8 Agency CMO Federal Home Loan Mortgage Corporation10/25/2021 08/05/201530,000.00 31,038.28 ---31,839.00 999.96 2.968 1.613AAA205091001 LC-2013 A Capitalized Interest 31392F6C6 Agency CMO Federal National Mortgage Association Fannie Mae 12/25/2017 07/09/201387,987.18 93,335.15 ---89,503.20 202.64 5.000 -0.206AAA256350023 LC-Sr Lien Reserve Fund-138377JZ89 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities10/20/2039 07/05/2013108,446.70 111,763.64 ---112,727.09 1,645.04 3.500 1.866AAA205091001 LC-2013 A Capitalized Interest 31393EXC8 Agency CMO Federal National Mortgage Association Fannie Mae 09/25/2018 07/24/2013147,157.07 155,572.62 ---150,541.68 425.57 4.500 0.155AAA256350022 LC-Sr Lien Ob Fund-1 Interest31393EXC8 Agency CMO Federal National Mortgage Association Fannie Mae 09/25/2018 07/24/201316,350.79 17,285.85 ---16,726.85 47.29 4.5000.155AAA256350005 LC-Project Fund-Toll 23137AH6Q6 Agency CMO Federal Home Loan Mortgage Corporation08/25/2018 06/24/2016470,539.54 482,229.51 ---479,291.58 (1,406.37) 2.412 1.230AAA256350023 LC-Sr Lien Reserve Fund-131392JJ83 Agency CMO Federal National Mortgage Association Fannie Mae 03/25/2018 07/08/201311,262.39 11,881.83 ---11,488.99 58.92 5.000 -0.007AAA256350023 LC-Sr Lien Reserve Fund-138376GB33 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities10/16/2044 01/23/2015322,865.12 331,409.83 ---327,485.32 (3,055.25) 3.500 2.211AAA256350005 LC-Project Fund-Toll 23137A2AZ4 Agency CMO Federal Home Loan Mortgage Corporation05/25/2020 07/01/2015330,674.99 340,646.91 ---335,046.52 (1,017.31) 2.757 1.420AAA256350023 LC-Sr Lien Reserve Fund-13137AUPE3 Agency CMO Federal Home Loan Mortgage Corporation06/25/2022 07/03/2013235,000.00 220,358.40 ---244,310.70 19,219.74 2.396 1.632AAA205091001 LC-2013 A Capitalized Interest 31392BVM5 Agency CMO Federal National Mortgage Association Fannie Mae 02/25/2017 07/11/20132,217.46 2,340.81 ---2,223.54 (4.22) 5.500 0.248AAA256350005 LC-Project Fund-Toll 238378BR35 Agency CMO Government National Mortgage Association11/16/2042 07/10/2015335,606.67 328,055.52 ---328,679.75 499.81 1.333 1.858AAA256350023 LC-Sr Lien Reserve Fund-138378CRT6 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities10/20/2040 05/22/201493,606.50 90,388.78 ---93,716.02 2,948.98 2.000 1.939AAA256350005 LC-Project Fund-Toll 23136A7L26 Agency CMO Federal National Mortgage Association Fannie Mae 12/25/2017---357,697.17 359,327.98 ---358,713.03 (363.79) 1.513 1.781AAA256350023 LC-Sr Lien Reserve Fund-13137A7E22 Agency CMO Federal Home Loan Mortgage Corporation04/15/2028 07/08/2013120,434.46 124,687.30 ---122,673.34 624.39 3.500 1.102AAA256350005 LC-Project Fund-Toll 231397SRT3 Agency CMO Federal National Mortgage Association Fannie Mae 10/25/2039 08/09/2016251,864.18 261,309.09 ---258,664.51 (2,532.54) 4.000 1.767AAA256350023 LC-Sr Lien Reserve Fund-138376T5Z1 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities01/16/2039 01/26/2015134,607.82 140,631.52 ---139,796.95 (115.33) 3.000 1.794AAA256350023 LC-Sr Lien Reserve Fund-138377RSZ9 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities06/16/2039 01/21/201543,196.63 45,780.18 ---44,833.79 (603.09) 4.500 2.035AAA256350005 LC-Project Fund-Toll 23136A8G38 Agency CMO Federal National Mortgage Association Fannie Mae 08/25/2017---170,404.29 170,931.45 ---170,383.84 (140.48) 1.246 1.647AAA256350005 LC-Project Fund-Toll 23137A85H7 Agency CMO Federal Home Loan Mortgage Corporation12/15/2039 07/13/2015124,356.52 129,641.67 ---129,664.06 523.79 3.500 1.487AAA256350005 LC-Project Fund-Toll 23137A1LC5 Agency CMO Federal Home Loan Mortgage Corporation08/15/2020 08/31/201570,717.35 71,844.41 ---71,453.52 (71.63) 2.000 0.983AAA256350022 LC-Sr Lien Ob Fund-1 Interest3136A4M89 Agency CMO Federal National Mortgage Association Fannie Mae 01/25/2019 07/05/2013155,781.24 156,773.13 ---157,191.06 1,106.20 1.934 1.479AAA256350023 LC-Sr Lien Reserve Fund-138378BX20 Agency CMO Government National Mortgage Association06/16/2051 03/17/201563,299.96 61,891.99 ---61,590.86 (262.07) 1.240 1.845AAA256350023 LC-Sr Lien Reserve Fund-138378B7E3 Agency CMO Government National Mortgage Association05/16/2046---289,523.83 279,540.13 ---280,502.27 705.04 1.744 2.054AAA256350005 LC-Project Fund-Toll 23137AQT24 Agency CMO Federal Home Loan Mortgage Corporation01/25/2019---339,419.85 346,570.13 ---345,169.62 (288.52) 2.130 1.291AAA256350005 LC-Project Fund-Toll 23133XY2H7 Agency CMO FHLBanks Office of Finance04/20/2017 07/13/2015235,653.80 242,060.64 ---238,245.99 216.79 2.900 0.916AA256350023 LC-Sr Lien Reserve Fund-138377RVK8 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities04/20/2039---154,968.71 159,339.31 ---160,831.18 2,581.51 3.000 1.593AAA256350023 LC-Sr Lien Reserve Fund-13137AEV77 Agency CMO Federal Home Loan Mortgage Corporation05/25/2018---364.82 364.82 ---372.46 - 0.000 2.640NA256350023 LC-Sr Lien Reserve Fund-13137ASNH3 Agency CMO Federal Home Loan Mortgage Corporation09/25/2021 07/03/2013301,952.62 295,076.12 ---302,052.26 4,258.68 1.459 1.407AAA256350023 LC-Sr Lien Reserve Fund-13136A72D3 Agency CMO Federal National Mortgage Association Fannie Mae 04/25/2022 07/03/2013395,000.00 375,250.00 ---411,293.75 29,560.46 2.482 1.682AAA256350022 LC-Sr Lien Ob Fund-1 Interest3137ASNH3 Agency CMO Federal Home Loan Mortgage Corporation09/25/2021 08/15/2013301,952.62 294,026.36 ---302,052.26 4,966.29 1.459 1.407AAA205091001 LC-2013 A Capitalized Interest 31392FPP6 Agency CMO Federal National Mortgage Association Fannie Mae 11/25/2017 07/15/201352,332.06 55,422.92 ---53,170.42 111.70 5.000-0.209AAA205091001 LC-2013 A Capitalized Interest 3136A8G38 Agency CMO Federal National Mortgage Association Fannie Mae 08/25/2017 07/08/2013 1,687,552.23 1,662,634.47 ---1,687,349.72 6,246.98 1.246 1.647AAA256350022 LC-Sr Lien Ob Fund-1 Interest3136A8G38 Agency CMO Federal National Mortgage Association Fannie Mae 08/25/2017 07/08/2013511,212.89 503,664.51 ---511,151.54 1,892.41 1.246 1.647AAA256350005 LC-Project Fund-Toll 231394GH22 Agency CMO Federal Home Loan Mortgage Corporation07/15/2018 07/20/201569,012.01 71,535.27 ---70,481.28 410.84 4.500 1.165AAA256350005 LC-Project Fund-Toll 23137AQVV7 Agency CMO Federal Home Loan Mortgage Corporation10/25/2018 06/06/2016149,356.59 149,963.35 ---149,813.62 (45.13) 1.560 1.164AAA256350005 LC-Project Fund-Toll 23137ANLP8 Agency CMO Federal Home Loan Mortgage Corporation11/25/2016---8,036.69 8,102.44 ---8,029.78 (8.46) 1.655 1.308AAA256350023 LC-Sr Lien Reserve Fund-138378B7F0 Agency CMO Government National Mortgage Association12/16/2042---450,000.00 427,324.22 ---438,538.50 10,325.16 2.273 2.084AAA256350023 LC-Sr Lien Reserve Fund-13137AQT24 Agency CMO Federal Home Loan Mortgage Corporation01/25/2019 10/21/2013169,709.93 170,903.20 ---172,584.81 2,486.17 2.130 1.291AAA256350023 LC-Sr Lien Reserve Fund-138376WA62 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities10/20/2039 01/21/2015101,402.83 106,461.71 ---107,172.65 366.69 4.000 1.747AAA256350023 LC-Sr Lien Reserve Fund-138378TAF7 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities07/20/2041 07/05/2013200,851.53 200,881.81 ---206,903.19 6,174.89 2.500 1.604AAA256350022 LC-Sr Lien Ob Fund-1 Interest31393V2T7 Agency CMO Federal Home Loan Mortgage Corporation06/15/2018 07/08/201382,933.25 87,714.87 ---84,793.44 440.77 4.500 -0.202AAA205091001 LC-2013 A Capitalized Interest 31393V2T7 Agency CMO Federal Home Loan Mortgage Corporation06/15/2018 07/08/2013273,053.27 288,796.50 ---279,177.86 1,451.22 4.500 -0.202AAA256350005 LC-Project Fund-Toll 23137AH6B9 Agency CMO Federal Home Loan Mortgage Corporation10/25/2020---177,872.64 181,511.06 ---180,165.42 (364.32) 2.257 1.267AAA256350005 LC-Project Fund-Toll 23136A2HB2 Agency CMO Federal National Mortgage Association Fannie Mae 03/25/2040 08/17/2016544,335.28 555,902.41 ---558,096.08 2,280.11 2.250 1.443AAA256350023 LC-Sr Lien Reserve Fund-138377DPX8 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities11/20/203612/31/20131,081.89 1,134.17 ---1,081.68 (0.22) 2.500 0.485AAA256350023 LC-Sr Lien Reserve Fund-131395EZP5 Agency CMO Federal Home Loan Mortgage Corporation08/15/2019 07/09/201354,435.89 57,591.47 ---55,823.46 156.32 4.500 0.820AAA256350023 LC-Sr Lien Reserve Fund-131394DVM9 Agency CMO Federal National Mortgage Association Fannie Mae 02/25/2034 06/19/2014116,467.08 123,145.73 ---120,925.43 225.28 5.000 1.824AAA256350023 LC-Sr Lien Reserve Fund-138378KXW4 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities02/16/2037 12/11/2014190,227.43 189,306.02 ---188,616.21 (748.17) 1.705 1.859AAA256350005 LC-Project Fund-Toll 236225FGM5 Agency MBS Ginnie Mae II08/20/2041 08/06/201595,155.15 98,485.59 ---98,240.08 (103.02) 1.875 1.201AAA256350005 LC-Project Fund-Toll 23138ELY64 Agency MBS Federal National Mortgage Association Fannie Mae 02/01/2023 07/07/2016218,565.10 240,353.31 ---238,878.54 (1,273.36) 6.000 1.142AAA256350023 LC-Sr Lien Reserve Fund-131413XVG5 Agency MBS Federal National Mortgage Association Fannie Mae 06/01/2019 08/04/2014200,000.00 218,500.00 ---206,626.00 (2,099.41) 4.506 3.147AAASTAMP Portfolio by Investment Category for quarter ended September 30, 2016Page 2 of 33ATTACHMENT 238
Source AccountAccountIdentifierSecurity Type CategoryIssuerFinal Maturity Trade Date Current Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit RatingSTAMP Portfolio by Investment Category for quarter ended September 30, 2016256350023 LC-Sr Lien Reserve Fund-138379KDN5 Agency MBS Government National Mortgage Association 09/16/2055 08/05/2015 187,374.45 182,587.62 --- 187,781.06 4,879.76 2.101 1.896 AAA256350023 LC-Sr Lien Reserve Fund-13136A4M48 Agency MBS Federal National Mortgage Association Fannie Mae 01/25/2022 07/05/2013 317,013.88 317,905.48 --- 322,016.36 4,686.13 2.098 1.601 AAA256350005 LC-Project Fund-Toll 238378NNA7 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities 05/16/2038 06/26/2015 517,768.12 521,307.55 --- 520,724.57 (355.55) 2.250 1.849 AAA256350023 LC-Sr Lien Reserve Fund-131381PEB0 Agency MBS Federal National Mortgage Association Fannie Mae 11/01/2020 09/26/2014 261,405.92 275,252.26 --- 280,540.83 11,283.13 3.370 1.402 AAA256350023 LC-Sr Lien Reserve Fund-138378KRS0 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities 07/16/2043 05/08/2015 450,000.00 434,460.94 --- 455,026.50 19,923.86 2.389 2.174 AAA256350005 LC-Project Fund-Toll 23136AEYG6 Agency MBS Federal National Mortgage Association Fannie Mae 06/25/2018 07/02/2015 208,425.09 211,030.41 --- 210,027.88 169.87 1.825 1.589 AAA256350023 LC-Sr Lien Reserve Fund-138378KWU9 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities 11/16/2041 --- 82,246.90 80,315.51 --- 79,948.10 (447.31) 1.400 1.701 AAA256350005 LC-Project Fund-Toll 236225FLU1 Agency MBS Ginnie Mae II 02/20/2042 08/06/2015 202,502.87 209,400.62 --- 209,778.79 676.56 2.000 1.065 AAA256350023 LC-Sr Lien Reserve Fund-138378XP62 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities 05/16/2055 05/14/2015 398,476.35 403,395.04 --- 409,701.43 6,564.68 2.500 1.931 AAA256350005 LC-Project Fund-Toll 23138EKUP8 Agency MBS Federal National Mortgage Association Fannie Mae 03/01/2025 09/21/2015 162,675.81 171,432.34 --- 168,083.15 (2,191.09) 5.000 2.123 AAA256350023 LC-Sr Lien Reserve Fund-13137B1U75 Agency MBS Federal Home Loan Mortgage Corporation 01/25/2023 08/29/2016 380,000.00 394,917.97 --- 394,728.80 23.76 2.522 1.783 AAA256350023 LC-Sr Lien Reserve Fund-131404WTT3 Agency MBS Federal National Mortgage Association Fannie Mae 05/01/2019 12/31/2013 47,128.93 52,536.62 --- 48,462.21 (1,200.86) 4.500 1.661 AAA256350023 LC-Sr Lien Reserve Fund-131417YKF3 Agency MBS Federal National Mortgage Association Fannie Mae 01/01/2030 07/10/2013 117,078.44 123,517.75 --- 128,512.32 5,254.07 4.500 1.644AAA256350023 LC-Sr Lien Reserve Fund-131385XBG1 Agency MBS Federal National Mortgage Association Fannie Mae 03/01/2018 09/13/20134,450.70 4,739.99 ---4,502.42 (10.63) 6.000 1.509AAA256350023 LC-Sr Lien Reserve Fund-131416YXJ2 Agency MBS Federal National Mortgage Association Fannie Mae 08/01/2026 07/03/201349,603.35 51,936.26 ---52,483.32 1,183.56 3.500 1.328AAA256350022 LC-Sr Lien Ob Fund-1 Interest31402RBG3 Agency MBS Federal National Mortgage Association Fannie Mae 09/01/2019---24,496.74 26,276.38 ---25,179.71 (130.68) 6.000 1.726AAA205091001 LC-2013 A Capitalized Interest 31402RBG3 Agency MBS Federal National Mortgage Association Fannie Mae 09/01/2019---83,775.33 89,852.76 ---86,110.98 (444.18) 6.000 1.726AAA256350005 LC-Project Fund-Toll 23138L1TX7 Agency MBS Federal National Mortgage Association Fannie Mae 11/01/2017 06/18/2015304,671.17 306,051.72 ---304,616.33 (525.91) 1.660 1.646AAA256350022 LC-Sr Lien Ob Fund-1 Interest31385JLF3 Agency MBS Federal National Mortgage Association Fannie Mae 08/01/2017 09/18/201337,452.00 39,980.01 ---37,887.19 (128.00) 6.000 1.509AAA256350023 LC-Sr Lien Reserve Fund-138378KSL4 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities12/16/2046---425,000.00 415,829.11 ---434,235.25 18,216.00 2.785 2.363AAA256350023 LC-Sr Lien Reserve Fund-13138EJPZ5 Agency MBS Federal National Mortgage Association Fannie Mae 07/01/2022 08/29/2016338,959.10 360,024.87 ---361,174.48 1,269.90 2.973 0.830AAA256350005 LC-Project Fund-Toll 231374CNE2 Agency MBS Federal National Mortgage Association Fannie Mae 05/01/2019 07/22/2016293,534.18 301,033.07 ---301,626.92 852.33 5.000 0.666AAA256350005 LC-Project Fund-Toll 236225EUY6 Agency MBS Ginnie Mae II09/20/2039 09/17/201593,876.35 96,545.97 ---96,733.95 304.04 1.875 1.395AAA256350023 LC-Sr Lien Reserve Fund-131418AFW3 Agency MBS Federal National Mortgage Association Fannie Mae 06/01/2022 07/10/2013162,727.89 168,067.39 ---171,005.85 4,857.26 3.000 0.340AAA256350023 LC-Sr Lien Reserve Fund-13138L33G8 Agency MBS Federal National Mortgage Association Fannie Mae 06/01/2020 11/12/2015100,000.00 99,875.00 ---101,879.00 2,027.75 2.010 1.461AAA256350023 LC-Sr Lien Reserve Fund-131381Q6B7 Agency MBS Federal National Mortgage Association Fannie Mae 06/01/2021 07/15/2016191,008.94 211,840.86 ---212,281.61 1,367.19 4.295 1.662AAA205091001 LC-2013 A Capitalized Interest 31410GSQ7 Agency MBS Federal National Mortgage Association Fannie Mae 12/01/2017 07/05/201337,179.97 39,921.99 ---37,695.66 (234.81) 6.000 2.122AAA256350023 LC-Sr Lien Reserve Fund-138378B6A2 Agency MBS Government National Mortgage Association11/16/2052 01/22/2015133,767.04 129,550.24 ---131,792.64 2,253.18 1.826 2.050AAA205091001 LC-2013 A Capitalized Interest 31294LPZ0 Agency MBS Federal Home Loan Mortgage Corporation12/01/2016 07/05/20134,673.20 4,940.45 ---4,683.71 (5.29) 6.000 2.286AAA256350023 LC-Sr Lien Reserve Fund-13136A7MJ8 Agency MBS Federal National Mortgage Association Fannie Mae 04/25/2018---465.71 465.71 ---467.18 - 0.000 1.510NA256350023 LC-Sr Lien Reserve Fund-13136A7MN9 Agency MBS Federal National Mortgage Association Fannie Mae 05/25/2022 08/29/2016300,000.00 308,578.13 ---307,869.00 (582.59) 2.349 1.669AAA205091001 LC-2013 A Capitalized Interest 36200AFG9 Agency MBS Government National Mortgage Association11/15/2017 07/09/201311,360.53 12,106.06 ---11,505.15 (75.91) 5.500 2.066AAA205091001 LC-2013 A Capitalized Interest 3128MBTH0 Agency MBS Federal Home Loan Mortgage Corporation03/01/2019 07/26/201352,059.41 55,182.98 ---53,478.03 60.51 5.000 1.284AAA205091001 LC-2013 A Capitalized Interest 36290WH47 Agency MBS Government National Mortgage Association09/15/2018 07/18/2013456,150.63 484,660.05 ---464,552.92 (4,209.80) 4.500 1.935AAA205091001 LC-2013 A Capitalized Interest 3128H4NR6 Agency MBS Federal Home Loan Mortgage Corporation05/01/2018 07/16/201335,689.56 37,808.63 ---36,662.10 180.22 5.000 0.514AAA205091001 LC-2013 A Capitalized Interest 31402QT68 Agency MBS Federal National Mortgage Association Fannie Mae 10/01/2019 07/11/2013107,829.70 116,489.77 ---111,916.45 (516.22) 6.000 1.568AAA205091001 LC-2013 A Capitalized Interest 3128PGLY7 Agency MBS Federal Home Loan Mortgage Corporation05/01/2017 07/17/201344,966.64 47,383.60 ---46,191.98 814.88 5.000 -5.166AAA205091001 LC-2013 A Capitalized Interest 3128GNR59 Agency MBS Federal Home Loan Mortgage Corporation10/01/2016 07/05/20132,502.08 2,650.65 ---2,500.38 (1.70) 6.000 2.032AAA256350023 LC-Sr Lien Reserve Fund-13128MMAK9 Agency MBS Federal Home Loan Mortgage Corporation09/01/2019 07/08/201388,667.45 94,264.58 ---91,722.04 28.45 5.000 1.860AAA205091001 LC-2013 A Capitalized Interest 31401MWC1 Agency MBS Federal National Mortgage Association Fannie Mae 06/01/2018 07/12/2013347,418.30 370,434.76 ---356,159.34 971.07 4.500 0.741AAA205091001 LC-2013 A Capitalized Interest 3128PHVS7 Agency MBS Federal Home Loan Mortgage Corporation11/01/2019 07/16/201325,005.91 26,349.98 ---25,687.32 200.13 5.000 -0.022AAA205091001 LC-2013 A Capitalized Interest 3132FEAK7 Agency MBS Federal Home Loan Mortgage Corporation12/01/2017 07/03/201350,766.42 53,796.54 ---52,149.81 379.17 5.000 -0.722AAA256350023 LC-Sr Lien Reserve Fund-13136AEYG6 Agency MBS Federal National Mortgage Association Fannie Mae 06/25/2018 11/20/2013133,706.66 134,761.70 ---134,734.87 701.94 1.825 1.589AAA256350005 LC-Project Fund-Toll 23137A7JU5 Agency MBS Federal Home Loan Mortgage Corporation11/25/2017 06/03/2016430,000.00 442,345.70 ---439,167.60 (4.76) 3.882 1.503AAA256350005 LC-Project Fund-Toll 255315FAB6 Asset Backed MMAF EQUIPMENT FINANCE LLC12/17/2018 05/03/2016275,000.00 274,996.84 ---275,500.50 502.57 1.390 1.137AAA256350005 LC-Project Fund-Toll 247787UAD5 Asset Backed John Deere Owner Trust 201506/17/2019---600,000.00 600,819.73 ---601,506.00 915.90 1.320 1.009AAA256350005 LC-Project Fund-Toll 2161571FK5 Asset Backed Chase Issuance Trust08/16/2021 12/10/2015150,000.00 148,359.38 ---151,317.00 2,611.75 1.580 1.272AAA256350005 LC-Project Fund-Toll 258768WAD1 Asset Backed Mercedes-Benz Auto Receivables Trust 2013-111/15/2019 06/16/2015282,206.41 283,066.26 ---282,302.36 (174.86) 1.130 1.062AAA256350005 LC-Project Fund-Toll 202582JGG9 Asset Backed American Express Credit Account Master Trust05/17/2021 02/26/2016300,000.00 300,468.75 ---300,939.00 487.21 0.944 0.800AAA256350005 LC-Project Fund-Toll 236159LBW5 Asset Backed GE Dealer Floorplan Master Not04/22/2019 05/03/2016300,000.00 300,656.25 ---300,744.00 366.05 1.282 0.856AAA256350005 LC-Project Fund-Toll 265478QAD0 Asset Backed Nissan Auto Lease Trust 2016-A03/15/2019 05/17/2016155,000.00 154,992.99 ---155,331.70 337.51 1.490 1.361AAA256350005 LC-Project Fund-Toll 258769AAD8 Asset Backed Mercedes-Benz Auto Lease Trust 2015-B07/16/2018---600,000.00 600,906.74 ---601,242.00 549.85 1.340 1.091AAA256350005 LC-Project Fund-Toll 290290KAD7 Asset Backed USAA Auto Owner Trust 2014-105/15/2019 06/12/2015445,000.00 443,991.80 ---445,035.60 419.95 0.940 0.930AAA256350005 LC-Project Fund-Toll 243814KAC5 Asset Backed Honda Auto Receivables 2015-1 Owner Trust10/15/2018 06/02/2016571,806.44 571,895.79 ---572,012.29 139.93 1.050 0.994AAA256350005 LC-Project Fund-Toll 2161571HB3 Asset Backed Chase Issuance Trust05/17/2021 06/07/2016500,000.00 500,878.91 ---502,145.00 1,307.04 0.934 0.779AAA256350005 LC-Project Fund-Toll 2161571GJ7 Asset Backed Chase Issuance Trust01/15/2019---500,000.00 500,726.56 ---500,300.00 43.09 1.150 0.950AAA256350005 LC-Project Fund-Toll 258772PAC2 Asset Backed Mercedes-Benz Auto Receivables Trust 2015-106/15/2018 08/04/2015182,264.88 182,286.24 ---182,310.45 (50.12) 0.794 0.731AAA256350005 LC-Project Fund-Toll 2161571GQ1 Asset Backed Chase Issuance Trust11/15/2019 10/28/2015120,000.00 120,510.94 ---120,450.00 166.90 1.380 1.047AAA256350005 LC-Project Fund-Toll 236159LCR5 Asset Backed GE Dealer Floorplan Master Not01/20/2020 06/07/2016110,000.00 109,759.38 ---109,940.60 120.62 1.032 1.079AAA256350005 LC-Project Fund-Toll 2477877AD6 Asset Backed John Deere Owner Trust 2014-B11/15/2018---369,436.72 369,410.74 ---369,591.88 176.25 1.070 0.999AAA256350005 LC-Project Fund-Toll 260689LAC9 Asset Backed MMAF EQUIPMENT FINANCE LLC12/11/2017 08/05/201538,861.85 38,880.07 ---38,863.79 (2.59) 1.030 0.992AAA256350005 LC-Project Fund-Toll 265474VAL5 Asset Backed Nissan Master Owner Trust Receivables06/15/2021 07/12/2016225,000.00 224,967.96 ---224,253.00 (708.75) 1.540 1.673AAA256350005 LC-Project Fund-Toll 255315GAC2 Asset Backed MMAF EQUIPMENT FINANCE LLC10/16/2019---282,000.00 281,080.94 ---282,239.70 735.04 1.390 1.311AAA256350005 LC-Project Fund-Toll 2161571BQ6 Asset Backed Chase Issuance Trust04/15/2019 04/27/2016300,000.00 299,730.47 ---300,150.00 381.53 0.574 0.451AAA256350005 LC-Project Fund-Toll 202582JGS3 Asset Backed American Express Credit Account Master Trust01/15/2020 07/13/2015500,000.00 500,859.38 ---501,005.00 686.00 1.260 0.977AAA256350005 LC-Project Fund-Toll 262888WAA4 CMONATIONAL CREDIT UNION ADMINISTRATION GUARANTEED NOTES TRUST12/08/2020---496,148.90 498,115.02 ---497,007.24 (966.91) 1.079 0.975AAA256350005 LC-Project Fund-Toll 262888YAA0 CMONCUA Guaranteed Notes Trust 2011-R101/08/2020 07/14/2015190,627.79 191,551.15 ---190,997.61 (303.77) 0.969 0.975AAAPage 3 of 3339
Source AccountAccountIdentifierSecurity Type CategoryIssuerFinal Maturity Trade Date Current Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit RatingSTAMP Portfolio by Investment Category for quarter ended September 30, 2016256350005 LC-Project Fund-Toll 22254EAMN0 CP Credit Suisse (USA), Inc. 12/22/2016 08/24/2016 1,100,000.00 1,096,327.53 --- 1,097,844.00 374.61 0.000 0.863 AAA256350005 LC-Project Fund-Toll 23454G0K56 CP Ford Motor Credit Company LLC 10/05/2016 08/30/2016 600,000.00 599,574.17 --- 599,982.00 30.67 0.000 0.270 AA256350001 LC-Project Fund-2 Senior Lien88513AKQ4 CP Thomson Reuters Corporation 10/24/2016 08/25/2016 1,000,000.00 998,443.06 --- 999,690.00 296.94 0.000 0.486 AA256350001 LC-Project Fund-2 Senior Lien83700EKQ0 CP South Carolina Electric & Gas Company 10/24/2016 09/26/2016 1,000,000.00 999,377.78 --- 999,690.00 201.11 0.000 0.486 AA256350022 LC-Sr Lien Ob Fund-1 Interest0255E2KC3 CP American Electric Power Company, Inc. 10/12/2016 08/22/2016 275,000.00 274,656.25 --- 274,964.25 39.88 0.000 0.426 AA256350001 LC-Project Fund-2 Senior Lien0255E2KC3 CP American Electric Power Company, Inc. 10/12/2016 08/22/2016 1,100,000.00 1,098,625.00 --- 1,099,857.00 159.50 0.000 0.426 AA256350001 LC-Project Fund-2 Senior Lien44890MK43 CP Hyundai Capital America 10/04/2016 08/25/2016 825,000.00 824,365.43 --- 824,991.75 40.56 0.000 0.120 AA256350001 LC-Project Fund-2 Senior Lien65475LKJ0 CP Nissan Motor Acceptance Corporation 10/18/2016 08/22/2016 1,100,000.00 1,098,780.84 --- 1,099,758.00 121.61 0.000 0.466 AA256350001 LC-Project Fund-2 Senior Lien43357LKB7 CP Hitachi Capital America Corp. 10/11/2016 09/07/2016 1,100,000.00 1,099,096.16 --- 1,099,868.00 179.67 0.000 0.432 AA256350001 LC-Project Fund-2 Senior Lien3454G0KK3 CP Ford Motor Credit Company LLC 10/19/2016 08/22/2016 1,100,000.00 1,098,475.88 --- 1,099,736.00 209.00 0.000 0.481 AA256350001 LC-Project Fund-2 Senior Lien58507AKH5 CP Medtronic Global Holdings S.C.A. 10/17/2016 08/23/2016 1,100,000.00 1,098,773.19 --- 1,099,769.00 125.89 0.000 0.473 AA256350022 LC-Sr Lien Ob Fund-1 Interest43357LKR2 CP Hitachi Capital America Corp. 10/25/2016 09/30/2016 100,000.00 99,940.97 --- 99,967.00 23.67 0.000 0.496 AA205091001 LC-2013 A Capitalized Interest 037833AJ9 Corporate Apple Inc. 05/03/2018 06/17/2015 3,000,000.00 2,960,430.00 --- 2,995,830.00 17,989.57 1.000 1.088 AA256350005 LC-Project Fund-Toll 200138CAA6 CorporateAIG GLOBAL FDG SR SECD MEDIUMTERM NTS BOOK ENTRY 144A 12/15/2017 --- 700,000.00 702,068.00 --- 702,870.00 1,436.96 1.650 1.306A256350022LC-Sr Lien Ob Fund-1 Interest38144LAB6 CorporateThe Goldman Sachs Group, Inc.09/01/2017 07/03/2013300,000.00 322,515.00 ---312,945.00 7,618.25 6.250 1.505A256350005 LC-Project Fund-Toll 2553794AA6 CorporateMUFG Americas Holdings Corporation02/09/2018---350,000.00 348,334.50 43,109.00 350,528.50 1,466.99 1.625 1.505A256350005 LC-Project Fund-Toll 2865622CB8 CorporateSumitomo Mitsui Banking Corporation01/18/2019 01/13/2016250,000.00 250,000.00 ---251,262.50 1,262.50 1.628 1.577A256350005 LC-Project Fund-Toll 2166754AK7 CorporateCHEVRON PHILLIPS CHEM CO LLC / CHEVRON PHILLIPS CHEM CO LP05/01/2018---400,000.00 399,676.00 ---399,612.00 (224.87) 1.700 1.762A256350005 LC-Project Fund-Toll 294988J5E3 CorporateWells Fargo Bank, National Association05/24/2019 08/03/2016255,000.00 255,731.85 ---256,331.10 641.27 1.425 1.267AA256350005 LC-Project Fund-Toll 222546QAM9 CorporateCredit Suisse AG05/26/2017---555,000.00 554,149.80 ---555,144.30 574.36 1.315 1.348A256350022 LC-Sr Lien Ob Fund-1 Interest05565QCC0 CorporateBP Capital Markets P.L.C.11/06/2017 07/03/2013300,000.00 292,194.00 ---300,027.00 2,071.34 1.375 1.366A256350005 LC-Project Fund-Toll 226442CAD6 CorporateDuke Energy Carolinas, LLC04/15/2018 06/11/2015116,000.00 127,422.52 ---123,081.80 812.30 5.100 1.095AA256350005 LC-Project Fund-Toll 274368CAD6 CorporateProtective Life Global Funding09/13/2019 09/07/2016295,000.00 295,000.00 ---294,548.65 (451.35) 1.555 1.608AA256350022 LC-Sr Lien Ob Fund-1 Interest166764AE0 CorporateChevron Corporation06/24/2018 06/17/2015300,000.00 301,848.00 43,244.00 302,643.00 1,591.69 1.718 1.177AA256350005 LC-Project Fund-Toll 289352HAP4 CorporateTransCanada PipeLines Limited01/12/2018 02/03/2016150,000.00 146,716.50 ---149,469.00 1,654.89 1.457 1.925A256350005 LC-Project Fund-Toll 2828807CM7 CorporateSimon Property Group, L.P.02/01/2018---540,000.00 540,516.00 43,040.00 541,668.60 1,182.72 1.500 1.213A256350022 LC-Sr Lien Ob Fund-1 Interest891145TN4 CorporateThe Toronto-Dominion Bank03/13/2017 05/21/2015700,000.00 707,168.00 ---701,435.00 (375.12) 1.500 1.044AAA205091001 LC-2013 A Capitalized Interest 084664BE0 CorporateBerkshire Hathaway Finance Corporation05/15/2018 06/17/2015800,000.00 890,632.00 ---853,728.00 2,532.58 5.400 1.213AA256350005 LC-Project Fund-Toll 205531FAP8 CorporateBB&T Corporation06/15/2018---380,000.00 381,823.60 43,235.00 382,329.40 805.41 1.710 1.350A256350022 LC-Sr Lien Ob Fund-1 Interest48121CYK6 CorporateJPMorgan Chase Bank, National Association10/01/2017 07/03/2013300,000.00 341,424.00 ---312,876.00 2,672.63 6.000 1.666A256350005 LC-Project Fund-Toll 2446438RR6 CorporateThe Huntington National Bank11/06/2018---550,000.00 553,005.00 43,379.00 556,869.50 4,198.45 2.200 1.568A256350005 LC-Project Fund-Toll 290261XHJ4 CorporateUBS AG03/26/2018---500,000.00 500,562.50 ---501,410.00 817.06 1.557 1.367A256350005 LC-Project Fund-Toll 274153WCE7 CorporatePricoa Global Funding I08/18/2017---500,000.00 499,977.00 ---499,935.00 (267.68) 1.350 1.364AA256350022 LC-Sr Lien Ob Fund-1 Interest89236TAY1 CorporateToyota Motor Credit Corporation10/24/2018 06/17/2015500,000.00 505,870.00 ---507,315.00 3,648.35 2.000 1.280AA205091001 LC-2013 A Capitalized Interest 89236TAY1 CorporateToyota Motor Credit Corporation10/24/2018 06/17/2015 2,000,000.00 2,023,480.00 ---2,029,260.00 14,593.41 2.000 1.280AA256350005 LC-Project Fund-Toll 259562VAT4 CorporateBerkshire Hathaway Energy Company04/01/2018---500,000.00 539,316.00 ---532,655.00 (125.77) 5.750 1.345A256350005 LC-Project Fund-Toll 206416CAA6 CorporateBank of Nova Scotia, The09/11/2019 06/29/2016425,000.00 434,974.75 ---432,913.50 (1,339.26) 2.125 1.477AAA256350005 LC-Project Fund-Toll 2928668AF9 CorporateVolkswagen Group of America Finance, LLC11/20/2017 06/11/2015300,000.00 300,525.00 ---299,340.00 (908.49) 1.600 1.795A256350005 LC-Project Fund-Toll 206050TLY6 CorporateBank of America, National Association03/26/2018 06/10/2015300,000.00 298,968.00 ---301,245.00 1,801.43 1.650 1.367A256350001 LC-Project Fund-2 Senior Lien91324PCJ9 CorporateUnitedHealth Group Incorporated01/17/2017 08/03/2015290,000.00 290,222.43 ---290,275.50 230.17 1.129 1.018A256350005 LC-Project Fund-Toll 269353RET1 CorporatePNC Realty Investors, Inc.11/05/2018---600,000.00 606,243.00 43,379.00 605,112.00 (650.89) 1.800 1.370A256350005 LC-Project Fund-Toll 202665WBB6 CorporateAmerican Honda Finance Corporation02/22/2019---420,000.00 424,065.30 ---425,069.40 1,458.58 1.636 1.186A205091001 LC-2013 A Capitalized Interest 89114QAE8 CorporateThe Toronto-Dominion Bank10/19/2016 07/08/2013750,000.00 776,452.50 ---750,442.50 37.81 2.375 1.243AA256350005 LC-Project Fund-Toll 2037833BR0 CorporateApple Inc.02/22/2019---450,000.00 454,432.50 ---456,993.00 3,079.86 1.637 1.039AA256350005 LC-Project Fund-Toll 217401QAC5 CorporateCitizens Bank, National Association12/03/2018---550,000.00 553,356.00 43,407.00 556,352.50 3,374.22 2.300 1.735A256350022 LC-Sr Lien Ob Fund-1 Interest02580ECC5 CorporateAmerican Express Bank, FSB09/13/2017 07/08/2013250,000.00 287,890.00 ---260,750.00 1,816.43 6.000 1.439A256350005 LC-Project Fund-Toll 291159HHD5 CorporateU.S. Bancorp05/15/2017---550,000.00 554,566.00 42,840.00 551,600.50 (184.95) 1.650 1.109A256350005 LC-Project Fund-Toll 246623EKD0 CorporateJPMorgan Chase & Co.03/01/2018---730,000.00 729,894.80 43,132.00 732,219.20 2,083.55 1.700 1.469A256350005 LC-Project Fund-Toll 2891145W59 CorporateThe Toronto-Dominion Bank09/25/2019 08/16/2016450,000.00 461,686.50 ---459,333.00 (1,925.56) 2.250 1.537AAA256350005 LC-Project Fund-Toll 206367XF30 CorporateBank of Montreal06/15/2021 08/17/2016500,000.00 500,975.00 ---498,655.00 (2,300.14) 1.750 1.810AAA256350005 LC-Project Fund-Toll 213607RAB6 CorporateCanadian Imperial Bank of Commerce09/06/2019 08/29/2016430,000.00 429,922.60 ---430,004.30 79.95 1.600 1.600AA256350005 LC-Project Fund-Toll 289837LAA3 CorporateThe Trustees of Princeton University03/01/2019---255,000.00 281,113.75 ---276,621.45 2,243.29 4.950 1.374AAA256350005 LC-Project Fund-Toll 240428HPQ9 CorporateHSBC USA Inc.03/05/2018---395,000.00 394,330.60 ---395,809.75 1,183.86 1.700 1.554A256350005 LC-Project Fund-Toll 274256LAT6 CorporatePrincipal Life Global Funding II12/01/2017 08/22/2016360,000.00 361,533.60 ---361,530.00 118.96 1.342 1.019A256350005 LC-Project Fund-Toll 261747YDT9 CorporateMorgan Stanley03/22/2017 06/08/2016300,000.00 308,265.00 ---304,941.00 (137.37) 4.750 1.280A256350005 LC-Project Fund-Toll 238141GRC0 CorporateThe Goldman Sachs Group, Inc.01/22/2018---580,000.00 586,667.20 ---586,409.00 1,336.30 2.375 1.520A256350005 LC-Project Fund-Toll 206050TKX9 CorporateBank of America, National Association06/15/2017---505,000.00 501,876.55 ---504,767.70 1,502.32 1.150 1.245A256350005 LC-Project Fund-Toll 289114QBF4 CorporateThe Toronto-Dominion Bank01/22/2019---525,000.00 528,126.80 ---528,811.50 1,062.92 1.542 1.385AA256350005 LC-Project Fund-Toll 205531FAQ6 CorporateBB&T Corporation02/01/2019 08/23/2016200,000.00 204,374.00 43,467.00 203,810.00 (385.01) 2.250 1.389A205091001 LC-2013 A Capitalized Interest 30231GAL6 CorporateExxon Mobil Corporation03/06/2018 06/10/2015580,000.00 579,344.60 ---581,757.40 2,102.84 1.305 1.091AAA256350022 LC-Sr Lien Ob Fund-1 Interest30231GAL6 CorporateExxon Mobil Corporation03/06/2018 06/10/2015420,000.00 419,525.40 ---421,272.60 1,522.74 1.305 1.091AAA256350005 LC-Project Fund-Toll 255279HAH3 CorporateManufacturers and Traders Trust Company07/25/2017---550,000.00 549,163.10 ---550,121.00 515.89 1.015 1.144A256350005 LC-Project Fund-Toll 263307EAB3 CorporateNational Bank of Canada10/19/2016 09/12/2016 2,000,000.00 2,002,590.00 ---2,000,980.00 (391.18) 2.200 1.259AAA256350005 LC-Project Fund-Toll 209062XAB9 CorporateBiogen Inc.03/01/2018 03/03/201655,000.00 60,217.85 ---59,205.85 452.48 6.875 1.413A256350022 LC-Sr Lien Ob Fund-1 Interest94974BGF1 CorporateWells Fargo & Company01/30/2020 06/03/2015600,000.00 594,924.00 ---604,368.00 8,055.27 2.150 1.923A256350005 LC-Project Fund-Toll 294988J5B9 CorporateWells Fargo Bank, National Association01/22/2018---500,000.00 501,314.25 ---502,320.00 1,261.85 1.442 1.252AA256350005 LC-Project Fund-Toll 249327M2H6 CorporateKeyBank National Association06/01/2018---650,000.00 650,060.00 ---653,178.50 2,891.04 1.700 1.402A256350005 LC-Project Fund-Toll 2202795HU7 CorporateCommonwealth Edison Company03/15/2018 08/05/2016255,000.00 273,819.00 ---271,707.60 (460.33) 5.800 1.252A256350005LC-Project Fund-Toll 294974BGR5 CorporateWells Fargo & Company12/07/2020 07/12/2016440,000.00 453,314.40 ---448,632.80 (4,063.97) 2.550 2.058A205091001 LC-2013 A Capitalized Interest 89153VAC3 CorporateTotal Capital International06/28/2017 07/08/2013160,000.00 157,765.60 ---160,456.00 885.89 1.550 1.164AA256350022 LC-Sr Lien Ob Fund-1 Interest46625HJL5 CorporateJPMorgan Chase & Co.05/15/2018 06/03/2015500,000.00 497,550.00 ---501,045.00 2,413.11 1.625 1.494APage 4 of 3340
Source AccountAccountIdentifierSecurity Type CategoryIssuerFinal Maturity Trade Date Current Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit RatingSTAMP Portfolio by Investment Category for quarter ended September 30, 2016205091001 LC-2013 A Capitalized Interest 90327QCW7 CorporateUSAA Capital Corporation12/13/2016 07/11/2013 4,000,000.00 4,145,440.00 ---4,010,600.00 1,890.01 2.250 0.941AA256350022 LC-Sr Lien Ob Fund-1 Interest63307EAB3 CorporateNational Bank of Canada10/19/2016 05/21/2015900,000.00 918,414.00 ---900,441.00 (210.64) 2.200 1.259AAA256350005 LC-Project Fund-Toll 238147MAA3 CorporateThe Goldman Sachs Group, Inc.07/19/2018 12/02/2015100,000.00 102,578.00 ---102,369.00 582.82 2.900 1.561A256350005 LC-Project Fund-Toll 246849LSL6 CorporateJackson National Life Global Funding10/15/2018---650,000.00 655,151.00 ---656,090.50 1,425.49 1.875 1.408AA256350005 LC-Project Fund-Toll 2209111ET6 CorporateConsolidated Edison Company of New York, Inc.04/01/2018 06/22/2015220,000.00 245,828.00 ---234,883.00 744.05 5.850 1.290A256350005 LC-Project Fund-Toll 231677QAV1 CorporateFifth Third Bank02/28/2018 06/08/2016400,000.00 400,544.00 43,128.00 400,672.00 225.64 1.450 1.322A256350005 LC-Project Fund-Toll 2063679ZT4 CorporateBank of Montreal01/30/2017 06/12/2015300,000.00 304,620.00 ---300,921.00 (22.47) 1.950 1.023AAA256350005 LC-Project Fund-Toll 20258M0DZ9 CorporateAmerican Express Credit Corporation11/05/2018---450,000.00 453,007.50 43,378.00 453,676.50 1,058.92 1.875 1.462A256350005 LC-Project Fund-Toll 2233851CF9 CorporateDaimler Finance North America LLC07/05/2019 06/30/2016370,000.00 369,448.70 ---367,942.80 (1,548.52) 1.500 1.707A256350005 LC-Project Fund-Toll 255279HAA8 CorporateManufacturers and Traders Trust Company03/07/2018 06/06/2016400,000.00 400,012.00 43,136.00 399,924.00 (88.18) 1.450 1.463A256350005 LC-Project Fund-Toll 259217GAY5 CorporateMetropolitan Life Global Funding I01/10/2018---550,000.00 550,406.00 ---551,512.50 1,079.33 1.500 1.282AA256350005 LC-Project Fund-Toll 280851QDA9 CorporateThe Charles Schwab Corporation09/01/2017 10/27/201565,000.00 71,075.55 ---68,108.95 57.41 6.375 1.130A256350022 LC-Sr Lien Ob Fund-1 Interest78011DAC8 CorporateRoyal Bank of Canada09/19/2017 05/21/2015700,000.00 700,763.00 ---699,699.00 (623.83) 1.200 1.245AAA205091001 LC-2013 A Capitalized Interest 822582AC6 CorporateShell International Finance B.V.03/22/2017 07/08/2013400,000.00 449,936.00 ---408,148.00 1,554.14 5.200 0.917AA256350005 LC-Project Fund-Toll 2780082AA1 CorporateRoyal Bank of Canada02/05/2020 06/24/2016990,000.00 1,002,941.55 ---1,000,434.60 (1,617.14) 1.875 1.550AAA256350005 LC-Project Fund-Toll 246625HJF8 CorporateJPMorgan Chase & Co.01/25/2018 08/03/2016265,000.00 266,831.15 ---266,317.05 (329.27) 1.615 1.389A256350005 LC-Project Fund-Toll 238141EC49 CorporateThe Goldman Sachs Group, Inc.12/15/2017 08/03/2016275,000.00 275,558.25 ---275,841.50 344.27 1.650 1.417A256350005 LC-Project Fund-Toll 2842434CN0 CorporateSouthern California Gas Company06/15/2018 06/15/2015250,000.00 249,992.50 ---251,620.00 1,624.39 1.550 1.165AA256350005 LC-Project Fund-Toll 248121CYK6 CorporateJPMorgan Chase Bank, National Association10/01/2017 03/09/2016250,000.00 265,022.50 ---260,730.00 964.87 6.000 1.666A256350005 LC-Project Fund-Toll 26174467V5 CorporateMorgan Stanley04/25/2018---311,000.00 314,084.33 ---314,595.16 1,076.10 1.995 1.407A256350004 LC-PF-2 Sales Tax Revenue Bond CCYUSD CurrencyUNITED STATES OF AMERICA09/30/2016---- (0.01) ---(0.01) - 0.000 0.000AAA256350005 LC-Project Fund-Toll 262944BBC7 Non-US Gov N.V. Bank Nederlandse Gemeenten07/14/2017---575,000.00 574,335.00 ---575,063.25 433.70 0.743 0.920AAA256350005 LC-Project Fund-Toll 2748148RV7 Non-US Gov Gouvernement de la Province de Quebec09/04/2018---375,000.00 374,252.10 ---375,333.75 906.71 1.065 1.051AA256350005 LC-Project Fund-Toll 2500769FZ2 Non-US Gov KfW12/15/2016---540,000.00 539,671.10 ---539,994.60 114.30 0.625 0.629AAA256350005 LC-Project Fund-Toll 2298785GK6 Non-US Gov Banque Europeenne D'investissement (BEI)04/18/2017---575,000.00 575,503.50 ---575,074.75 (217.61) 0.875 0.851AAA256350005 LC-Project Fund-Toll 2302154BL2 Non-US Gov The Export-Import Bank of Korea01/14/2017---400,000.00 400,576.00 ---400,480.00 229.87 1.423 1.218AA256350005 LC-Project Fund-Toll 245818WAN6 Non-US Gov Inter-American Development Bank12/12/2016 05/12/2016250,000.00 250,025.00 ---250,045.00 38.22 0.835 0.746AAA256350023 LC-Sr Lien Reserve Fund-1 9AMMF05B2 MM Fund U.S. Bank Money Market Account Fund09/30/2016---- 136,860.36 ---136,029.82 - 0.000 0.000NA256350022 LC-Sr Lien Ob Fund-1 Interest 9AMMF05B2 MM Fund U.S. Bank Money Market Account Fund09/30/2016---- 13,674.29 ---13,674.29 - 0.000 0.000NA205091001 LC-2013 A Capitalized Interest 9AMMF05B2 MM Fund U.S. Bank Money Market Account Fund09/30/2016---- 314,738.42 ---314,741.99 - 0.000 0.000NA256350001 LC-Project Fund-2 Senior Lien 9AMMF05B2 MM Fund U.S. Bank Money Market Account Fund09/30/2016---- 12,392,547.06 ---12,392,547.06 - 0.000 0.000NA256350004 LC-PF-2 Sales Tax Revenue Bond 9AMMF05B2 MM Fund U.S. Bank Money Market Account Fund09/30/2016 08/02/2016- 57.12 ---57.12 - 0.000 0.000NA256350005 LC-Project Fund-Toll 29AMMF05B2 MM Fund U.S. Bank Money Market Account Fund09/30/2016---- 2,409,828.30 ---2,409,828.30 - 0.000 0.000NA205091001 LC-2013 A Capitalized Interest 184126YS3 MuniClayton County Water Authority05/01/2017 07/11/2013770,000.00 755,939.80 ---772,941.40 5,169.86 1.300 0.646AA205091001 LC-2013 A Capitalized Interest 64966H4E7 MuniNew York, City of10/01/2017 07/12/2013 1,170,000.00 1,238,222.70 ---1,196,687.70 10,018.97 3.140 0.851AA256350005 LC-Project Fund-Toll 2955116AZ1 MuniWest Palm Beach, City of10/01/2017 06/09/2016230,000.00 229,857.40 ---230,046.00 161.99 1.100 1.080AA256350005 LC-Project Fund-Toll 265819WAC7 MuniNorth Carolina Eastern Municipal Power Agency07/01/2018---190,000.00 190,625.40 ---191,843.00 1,407.89 2.003 1.440A256350005 LC-Project Fund-Toll 2544587B98 MuniMunicipal Improvement Corporation of Los Angeles 11/01/2018 11/04/2015160,000.00 160,000.00 ---163,092.80 3,092.80 2.344 1.400A256350005 LC-Project Fund-Toll 2180848HP1 MuniClark, County of07/01/2017 07/06/2015120,000.00 126,764.40 ---123,098.40 512.60 4.300 0.850AA256350005 LC-Project Fund-Toll 220772JL59 MuniConnecticut, State of08/01/2020 03/03/2016130,000.00 132,577.90 ---134,539.60 2,278.28 2.500 1.558AA256350005 LC-Project Fund-Toll 213063BFU1 MuniCalifornia, State Of03/01/2019---140,000.00 158,412.45 ---156,798.60 1,516.20 6.200 1.156AA256350005 LC-Project Fund-Toll 2937308AZ7 MuniWBRP 3.2 WASHINGTON BIOMED RES03/01/2018 09/25/201595,000.00 95,000.00 ---95,362.90 362.90 1.485 1.213AA256350022LC-Sr Lien Ob Fund-1 Interest235219JS2 MuniDallas, City of02/15/2017 07/10/2013650,000.00 650,000.00 ---652,268.50 2,268.50 1.589 0.655AA205091001 LC-2013 A Capitalized Interest 235219JS2 MuniDallas, City of02/15/2017 07/10/2013 2,135,000.00 2,135,000.00 ---2,142,451.15 7,451.15 1.589 0.655AA256350005 LC-Project Fund-Toll 249130TRY4 MuniKentucky Housing Corporation01/01/2017 06/17/2015275,000.00 274,634.25 ---275,066.00 126.25 0.937 0.840AAA256350005 LC-Project Fund-Toll 291476PPG7 MuniUniversity of Oklahoma07/01/2020 11/17/201580,000.00 79,544.00 ---82,188.00 2,562.94 2.349 1.595A256350023 LC-Sr Lien Reserve Fund-1912828WU0 TIPSTreasury, United States Department of07/15/2024 02/05/2016608,124.00 591,883.10 ---617,002.61 23,906.61 0.125 -0.062AAA256350005 LC-Project Fund-Toll 2912828K33 TIPSTreasury, United States Department of04/15/2020--- 2,158,107.00 2,174,799.95 ---2,200,211.67 26,986.07 0.125 -0.421AAA256350023 LC-Sr Lien Reserve Fund-1912828B58 US GovTreasury, United States Department of01/31/2021--- 1,640,000.00 1,677,556.65 ---1,709,060.40 37,774.95 2.125 1.127AAA256350005 LC-Project Fund-Toll 2912828TG5 US GovTreasury, United States Department of07/31/2017--- 1,600,000.00 1,592,193.36 ---1,598,496.00 3,081.48 0.500 0.613AAA205091001 LC-2013 A Capitalized Interest 912828M23 US GovTreasury, United States Department of10/31/2017 12/28/2015800,000.00 798,262.41 ---800,768.00 1,792.13 0.418 0.335AAA205091001 LC-2013 A Capitalized Interest 912828UB4 US GovTreasury, United States Department of11/30/2019 06/17/2015 2,500,000.00 2,433,398.44 ---2,504,975.00 52,799.83 1.000 0.936AAA256350023 LC-Sr Lien Reserve Fund-1912828UF5 US GovTreasury, United States Department of12/31/2019--- 1,000,000.00 985,496.10 ---1,005,630.00 16,884.74 1.125 0.949AAA256350005 LC-Project Fund-Toll 2912828KD1 US GovTreasury, United States Department of02/15/2019--- 1,935,000.00 2,027,131.64 ---2,022,674.85 17,394.64 2.750 0.819AAA256350023 LC-Sr Lien Reserve Fund-1912828VV9 US GovTreasury, United States Department of08/31/2020---235,000.00 241,525.78 ---244,501.05 3,933.94 2.125 1.068AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828RX0 US GovTreasury, United States Department of12/31/2016 09/13/2013950,000.00 945,212.89 ---951,387.00 1,752.01 0.875 0.290AAA256350005 LC-Project Fund-Toll 2912828UA6 US GovTreasury, United States Department of11/30/2017--- 3,465,000.00 3,454,861.14 ---3,462,297.30 4,153.74 0.625 0.692AAA256350005 LC-Project Fund-Toll 2912828B58 US GovTreasury, United States Department of01/31/2021--- 1,125,000.00 1,160,760.74 ---1,172,373.75 14,486.22 2.125 1.127AAA205091001 LC-2013 A Capitalized Interest 912828J84 US GovTreasury, United States Department of03/31/2020 06/03/2015 3,700,000.00 3,650,945.31 ---3,748,433.00 84,405.57 1.375 0.994AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828J84 US GovTreasury, United States Department of03/31/2020---600,000.00 591,146.48 ---607,854.00 14,390.07 1.375 0.994AAA256350023 LC-Sr Lien Reserve Fund-1912828VB3 US GovTreasury, United States Department of05/15/2023 07/05/2013 1,600,000.00 1,487,125.00 ---1,635,936.00 114,853.48 1.750 1.394AAA256350005 LC-Project Fund-Toll 2912828UF5 US GovTreasury, United States Department of12/31/2019--- 3,775,000.00 3,776,018.56 ---3,796,253.25 20,380.01 1.125 0.949AAA256350005 LC-Project Fund-Toll 2912828UR9 US GovTreasury, United States Department of02/28/2018--- 2,750,000.00 2,747,428.71 ---2,750,852.50 3,197.62 0.750 0.728AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828UA6 US GovTreasury, United States Department of11/30/2017 07/05/2013 1,200,000.00 1,166,062.50 ---1,199,064.00 8,233.37 0.625 0.692AAA205091001 LC-2013 A Capitalized Interest 912828UA6 US GovTreasury, United States Department of11/30/2017 07/05/2013 1,750,000.00 1,700,507.81 ---1,748,635.00 12,007.00 0.625 0.692AAA256350023 LC-Sr Lien Reserve Fund-1912828XB1 US GovTreasury, United States Department of05/15/2025 05/24/2016 1,200,000.00 1,228,546.88 ---1,254,564.00 27,045.75 2.125 1.559AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828K41 US GovTreasury, United States Department of04/30/2017 07/30/2015200,000.00 200,001.77 ---200,038.00 37.42 0.324 0.294AAA205091001 LC-2013 A Capitalized Interest 912828RU6 US GovTreasury, United States Department of11/30/2016 07/05/2013 3,350,000.00 3,346,990.23 ---3,353,618.00 3,764.92 0.875 0.226AAA256350023 LC-Sr Lien Reserve Fund-1912828RC6 US GovTreasury, United States Department of08/15/2021--- 1,775,000.00 1,804,427.73 ---1,853,632.50 52,208.27 2.125 1.187AAA256350005 LC-Project Fund-Toll 2912828VK3 US GovTreasury, United States Department of06/30/2018--- 3,475,000.00 3,511,639.86 ---3,511,383.25 9,720.81 1.375 0.771AAA205091001 LC-2013 A Capitalized Interest 912828UZ1 US GovTreasury, United States Department of04/30/2018 06/03/2015 3,400,000.00 3,360,421.88 ---3,394,424.00 16,113.78 0.625 0.729AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828UZ1 US GovTreasury, United States Department of04/30/2018 07/14/2015700,000.00 693,656.25 ---698,852.00 2,463.12 0.625 0.729AAAPage 5 of 3341
Source AccountAccountIdentifierSecurity Type CategoryIssuerFinal Maturity Trade Date Current Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit RatingSTAMP Portfolio by Investment Category for quarter ended September 30, 2016140,521,909.27 156,733,921.54157,273,577.95 979,608.56Page 6 of 3342
Source Account Account IdentifierSecurity Type Category Issuer Final Maturity Trade DateCurrent Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit Rating205091001 LC-2013 A Capitalized Interest3130A3CE2 AgencyFHLBanks Office of Finance10/14/2016 09/30/2016 275,000.00 275,027.50 ---275,027.50 1.96 0.625 0.367AAA205091001 LC-2013 A Capitalized Interest3130A7P82 AgencyFHLBanks Office of Finance10/05/2016 07/25/2016 700,000.00 700,134.40 ---700,014.00 6.43 0.490 0.345AAA205091001 LC-2013 A Capitalized Interest3137EADS5 AgencyFederal Home Loan Mortgage Corporation10/14/2016 08/30/2016 320,000.00 320,188.80 ---320,054.40 (1.38) 0.875 0.436AAA205091001 LC-2013 A Capitalized Interest31392HWL3 Agency CMOFederal National Mortgage Association Fannie Mae02/25/2018 07/12/2013 14,959.52 15,791.65 ---15,292.52 109.63 5.000 -0.517AAA205091001 LC-2013 A Capitalized Interest31392F6C6 Agency CMOFederal National Mortgage Association Fannie Mae12/25/2017 07/09/2013 87,987.18 93,335.15 ---89,503.20 202.64 5.000 -0.206AAA205091001 LC-2013 A Capitalized Interest31393EXC8 Agency CMOFederal National Mortgage Association Fannie Mae09/25/2018 07/24/2013 147,157.07 155,572.62 ---150,541.68 425.57 4.500 0.155AAA205091001 LC-2013 A Capitalized Interest31392BVM5 Agency CMOFederal National Mortgage Association Fannie Mae02/25/2017 07/11/20132,217.46 2,340.81 ---2,223.54 (4.22) 5.500 0.248AAA205091001 LC-2013 A Capitalized Interest31392FPP6 Agency CMOFederal National Mortgage Association Fannie Mae11/25/2017 07/15/2013 52,332.06 55,422.92 ---53,170.42 111.70 5.000 -0.209AAA205091001 LC-2013 A Capitalized Interest3136A8G38 Agency CMOFederal National Mortgage Association Fannie Mae08/25/2017 07/08/2013 1,687,552.23 1,662,634.47 ---1,687,349.72 6,246.98 1.246 1.647AAA205091001 LC-2013 A Capitalized Interest31393V2T7 Agency CMOFederal Home Loan Mortgage Corporation06/15/2018 07/08/2013 273,053.27 288,796.50 ---279,177.86 1,451.22 4.500 -0.202AAA205091001 LC-2013 A Capitalized Interest31402RBG3 Agency MBSFederal National Mortgage Association Fannie Mae09/01/2019--- 83,775.33 89,852.76 ---86,110.98 (444.18) 6.000 1.726AAA205091001 LC-2013 A Capitalized Interest31410GSQ7 Agency MBSFederal National Mortgage Association Fannie Mae12/01/2017 07/05/2013 37,179.97 39,921.99 ---37,695.66 (234.81) 6.000 2.122AAA205091001 LC-2013 A Capitalized Interest31294LPZ0 Agency MBSFederal Home Loan Mortgage Corporation12/01/2016 07/05/20134,673.20 4,940.45 ---4,683.71 (5.29) 6.000 2.286AAA205091001 LC-2013 A Capitalized Interest36200AFG9 Agency MBSGovernment National Mortgage Association11/15/2017 07/09/2013 11,360.53 12,106.06 ---11,505.15 (75.91) 5.500 2.066AAA205091001 LC-2013 A Capitalized Interest3128MBTH0 Agency MBSFederal Home Loan Mortgage Corporation03/01/2019 07/26/2013 52,059.41 55,182.98 ---53,478.03 60.51 5.000 1.284AAA205091001 LC-2013 A Capitalized Interest36290WH47 Agency MBSGovernment National Mortgage Association09/15/2018 07/18/2013 456,150.63 484,660.05 ---464,552.92 (4,209.80) 4.500 1.935AAA205091001 LC-2013 A Capitalized Interest3128H4NR6 Agency MBSFederal Home Loan Mortgage Corporation05/01/2018 07/16/2013 35,689.56 37,808.63 ---36,662.10 180.22 5.000 0.514AAA205091001 LC-2013 A Capitalized Interest31402QT68 Agency MBSFederal National Mortgage Association Fannie Mae10/01/2019 07/11/2013 107,829.70 116,489.77 ---111,916.45 (516.22) 6.000 1.568AAA205091001 LC-2013 A Capitalized Interest3128PGLY7 Agency MBSFederal Home Loan Mortgage Corporation05/01/2017 07/17/2013 44,966.64 47,383.60 ---46,191.98 814.88 5.000 -5.166AAA205091001 LC-2013 A Capitalized Interest3128GNR59 Agency MBSFederal Home Loan Mortgage Corporation10/01/2016 07/05/20132,502.08 2,650.65 ---2,500.38 (1.70) 6.000 2.032AAA205091001 LC-2013 A Capitalized Interest31401MWC1 Agency MBSFederal National Mortgage Association Fannie Mae06/01/2018 07/12/2013 347,418.30 370,434.76 ---356,159.34 971.07 4.500 0.741AAA205091001 LC-2013 A Capitalized Interest3128PHVS7 Agency MBSFederal Home Loan Mortgage Corporation11/01/2019 07/16/2013 25,005.91 26,349.98 ---25,687.32 200.13 5.000 -0.022AAA205091001 LC-2013 A Capitalized Interest3132FEAK7 Agency MBSFederal Home Loan Mortgage Corporation12/01/2017 07/03/2013 50,766.42 53,796.54 ---52,149.81 379.17 5.000 -0.722AAA205091001 LC-2013 A Capitalized Interest037833AJ9 CorporateApple Inc.05/03/2018 06/17/2015 3,000,000.00 2,960,430.00 ---2,995,830.00 17,989.57 1.000 1.088AA205091001 LC-2013 A Capitalized Interest084664BE0 CorporateBerkshire Hathaway Finance Corporation05/15/2018 06/17/2015 800,000.00 890,632.00 ---853,728.00 2,532.58 5.400 1.213AA205091001 LC-2013 A Capitalized Interest89236TAY1 CorporateToyota Motor Credit Corporation10/24/2018 06/17/2015 2,000,000.00 2,023,480.00 ---2,029,260.00 14,593.41 2.000 1.280AA205091001 LC-2013 A Capitalized Interest89114QAE8 CorporateThe Toronto-Dominion Bank10/19/2016 07/08/2013 750,000.00 776,452.50 ---750,442.50 37.81 2.375 1.243AA205091001 LC-2013 A Capitalized Interest30231GAL6 CorporateExxon Mobil Corporation03/06/2018 06/10/2015 580,000.00 579,344.60 ---581,757.40 2,102.84 1.305 1.091AAA205091001 LC-2013 A Capitalized Interest89153VAC3 CorporateTotal Capital International06/28/2017 07/08/2013 160,000.00 157,765.60 ---160,456.00 885.89 1.550 1.164AA205091001 LC-2013 A Capitalized Interest90327QCW7 CorporateUSAA Capital Corporation12/13/2016 07/11/2013 4,000,000.00 4,145,440.00 ---4,010,600.00 1,890.01 2.250 0.941AA205091001 LC-2013 A Capitalized Interest822582AC6 CorporateShell International Finance B.V.03/22/2017 07/08/2013 400,000.00 449,936.00 ---408,148.00 1,554.14 5.200 0.917AA205091001 LC-2013 A Capitalized Interest9AMMF05B2 MM FundU.S. Bank Money Market Account Fund09/30/2016---- 314,738.42 ---314,741.99 - 0.000 0.000NA205091001 LC-2013 A Capitalized Interest184126YS3 MuniClayton County Water Authority05/01/2017 07/11/2013 770,000.00 755,939.80 ---772,941.40 5,169.86 1.300 0.646AA205091001 LC-2013 A Capitalized Interest64966H4E7 MuniNew York, City of10/01/2017 07/12/2013 1,170,000.00 1,238,222.70 ---1,196,687.70 10,018.97 3.140 0.851AA205091001 LC-2013 A Capitalized Interest235219JS2 MuniDallas, City of02/15/2017 07/10/2013 2,135,000.00 2,135,000.00 ---2,142,451.15 7,451.15 1.589 0.655AA205091001 LC-2013 A Capitalized Interest912828M23 US GovTreasury, United States Department of10/31/2017 12/28/2015 800,000.00 798,262.41 ---800,768.00 1,792.13 0.418 0.335AAA205091001 LC-2013 A Capitalized Interest912828UB4 US GovTreasury, United States Department of11/30/2019 06/17/2015 2,500,000.00 2,433,398.44 ---2,504,975.00 52,799.83 1.000 0.936AAA205091001 LC-2013 A Capitalized Interest912828J84 US GovTreasury, United States Department of03/31/2020 06/03/2015 3,700,000.00 3,650,945.31 ---3,748,433.00 84,405.57 1.375 0.994AAA205091001 LC-2013 A Capitalized Interest912828UA6 US GovTreasury, United States Department of11/30/2017 07/05/2013 1,750,000.00 1,700,507.81 ---1,748,635.00 12,007.00 0.625 0.692AAA205091001 LC-2013 A Capitalized Interest912828RU6 US GovTreasury, United States Department of11/30/2016 07/05/2013 3,350,000.00 3,346,990.23 ---3,353,618.00 3,764.92 0.875 0.226AAA205091001 LC-2013 A Capitalized Interest912828UZ1 US GovTreasury, United States Department of04/30/2018 06/03/2015 3,400,000.00 3,360,421.88 ---3,394,424.00 16,113.78 0.625 0.729AAA36,629,545.82 256350001 LC-Project Fund-2 Senior Lien91324PCJ9 CorporateUnitedHealth Group Incorporated01/17/2017 08/03/2015 290,000.00 290,222.43 ---290,275.50 230.17 1.129 1.018A256350001 LC-Project Fund-2 Senior Lien88513AKQ4 CPThomson Reuters Corporation10/24/2016 08/25/2016 1,000,000.00 998,443.06 ---999,690.00 296.94 0.000 0.486AA256350001 LC-Project Fund-2 Senior Lien83700EKQ0 CPSouth Carolina Electric & Gas Company10/24/2016 09/26/2016 1,000,000.00 999,377.78 ---999,690.00 201.11 0.000 0.486AA256350001 LC-Project Fund-2 Senior Lien0255E2KC3 CPAmerican Electric Power Company, Inc.10/12/2016 08/22/2016 1,100,000.00 1,098,625.00 ---1,099,857.00 159.50 0.000 0.426AA256350001 LC-Project Fund-2 Senior Lien44890MK43 CPHyundai Capital America10/04/2016 08/25/2016 825,000.00 824,365.43 ---824,991.75 40.56 0.000 0.120AA256350001 LC-Project Fund-2 Senior Lien65475LKJ0 CPNissan Motor Acceptance Corporation10/18/2016 08/22/2016 1,100,000.00 1,098,780.84 ---1,099,758.00 121.61 0.000 0.466AA256350001 LC-Project Fund-2 Senior Lien43357LKB7 CPHitachi Capital America Corp.10/11/2016 09/07/2016 1,100,000.00 1,099,096.16 ---1,099,868.00 179.67 0.000 0.432AA256350001 LC-Project Fund-2 Senior Lien3454G0KK3 CPFord Motor Credit Company LLC10/19/2016 08/22/2016 1,100,000.00 1,098,475.88 ---1,099,736.00 209.00 0.000 0.481AA256350001 LC-Project Fund-2 Senior Lien58507AKH5 CPMedtronic Global Holdings S.C.A.10/17/2016 08/23/2016 1,100,000.00 1,098,773.19 ---1,099,769.00 125.89 0.000 0.473AA256350001 LC-Project Fund-2 Senior Lien9AMMF05B2 MM FundU.S. Bank Money Market Account Fund09/30/2016---- 12,392,547.06 --- 12,392,547.06 - 0.000 0.000NA21,006,182.31 256350004 LC-PF-2 Sales Tax Revenue Bond CCYUSD CurrencyUNITED STATES OF AMERICA09/30/2016---- (0.01) ---(0.01) - 0.000 0.000AAA256350004 LC-PF-2 Sales Tax Revenue Bond 9AMMF05B2 MM FundU.S. Bank Money Market Account Fund09/30/2016 08/02/2016- 57.12 ---57.12 - 0.000 0.000NA57.11 256350005 LC-Project Fund-Toll 23133EECD0 AgencyFederal Farm Credit Banks Consolidated Systemwide Bonds06/20/2017 06/15/2015 500,000.00 500,308.15 ---500,370.00 260.16 0.562 0.459AAA256350005 LC-Project Fund-Toll 23137AH6Q6 Agency CMOFederal Home Loan Mortgage Corporation08/25/2018 06/24/2016 470,539.54 482,229.51 ---479,291.58 (1,406.37) 2.412 1.230AAA256350005 LC-Project Fund-Toll 23137A2AZ4 Agency CMOFederal Home Loan Mortgage Corporation05/25/2020 07/01/2015 330,674.99 340,646.91 ---335,046.52 (1,017.31) 2.757 1.420AAA256350005 LC-Project Fund-Toll 238378BR35 Agency CMOGovernment National Mortgage Association11/16/2042 07/10/2015 335,606.67 328,055.52 ---328,679.75 499.81 1.333 1.858AAA256350005 LC-Project Fund-Toll 23136A7L26 Agency CMOFederal National Mortgage Association Fannie Mae12/25/2017--- 357,697.17 359,327.98 ---358,713.03 (363.79) 1.513 1.781AAA256350005 LC-Project Fund-Toll 231397SRT3 Agency CMOFederal National Mortgage Association Fannie Mae10/25/2039 08/09/2016 251,864.18 261,309.09 ---258,664.51 (2,532.54) 4.000 1.767AAA256350005 LC-Project Fund-Toll 23136A8G38 Agency CMOFederal National Mortgage Association Fannie Mae08/25/2017--- 170,404.29 170,931.45 ---170,383.84 (140.48) 1.246 1.647AAA256350005 LC-Project Fund-Toll 23137A85H7 Agency CMOFederal Home Loan Mortgage Corporation12/15/2039 07/13/2015 124,356.52 129,641.67 ---129,664.06 523.79 3.500 1.487AAA256350005 LC-Project Fund-Toll 23137A1LC5 Agency CMOFederal Home Loan Mortgage Corporation08/15/2020 08/31/2015 70,717.35 71,844.41 ---71,453.52 (71.63) 2.000 0.983AAA256350005 LC-Project Fund-Toll 23137AQT24 Agency CMOFederal Home Loan Mortgage Corporation01/25/2019--- 339,419.85 346,570.13 ---345,169.62 (288.52) 2.130 1.291AAA256350005 LC-Project Fund-Toll 23133XY2H7 Agency CMOFHLBanks Office of Finance04/20/2017 07/13/2015 235,653.80 242,060.64 ---238,245.99 216.79 2.900 0.916AA256350005 LC-Project Fund-Toll 231394GH22 Agency CMOFederal Home Loan Mortgage Corporation07/15/2018 07/20/2015 69,012.01 71,535.27 ---70,481.28 410.84 4.500 1.165AAA256350005 LC-Project Fund-Toll 23137AQVV7 Agency CMOFederal Home Loan Mortgage Corporation10/25/2018 06/06/2016 149,356.59 149,963.35 ---149,813.62 (45.13) 1.560 1.164AAA256350005 LC-Project Fund-Toll 23137ANLP8 Agency CMOFederal Home Loan Mortgage Corporation11/25/2016---8,036.69 8,102.44 ---8,029.78 (8.46) 1.655 1.308AAA256350005 LC-Project Fund-Toll 23137AH6B9 Agency CMOFederal Home Loan Mortgage Corporation10/25/2020--- 177,872.64 181,511.06 ---180,165.42 (364.32) 2.257 1.267AAA256350005 LC-Project Fund-Toll 23136A2HB2 Agency CMOFederal National Mortgage Association Fannie Mae03/25/2040 08/17/2016 544,335.28 555,902.41 ---558,096.08 2,280.11 2.250 1.443AAA256350005 LC-Project Fund-Toll 236225FGM5 Agency MBSGinnie Mae II08/20/2041 08/06/2015 95,155.15 98,485.59 ---98,240.08 (103.02) 1.875 1.201AAA256350005 LC-Project Fund-Toll 23138ELY64 Agency MBSFederal National Mortgage Association Fannie Mae02/01/2023 07/07/2016 218,565.10 240,353.31 ---238,878.54 (1,273.36) 6.000 1.142AAA256350005 LC-Project Fund-Toll 238378NNA7 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities05/16/2038 06/26/2015 517,768.12 521,307.55 ---520,724.57 (355.55) 2.250 1.849AAA256350005 LC-Project Fund-Toll 23136AEYG6 Agency MBSFederal National Mortgage Association Fannie Mae06/25/2018 07/02/2015 208,425.09 211,030.41 ---210,027.88 169.87 1.825 1.589AAA256350005 LC-Project Fund-Toll 236225FLU1 Agency MBSGinnie Mae II02/20/2042 08/06/2015 202,502.87 209,400.62 ---209,778.79 676.56 2.000 1.065AAA256350005 LC-Project Fund-Toll 23138EKUP8 Agency MBSFederal National Mortgage Association Fannie Mae03/01/2025 09/21/2015 162,675.81 171,432.34 ---168,083.15 (2,191.09) 5.000 2.123AAA256350005 LC-Project Fund-Toll 23138L1TX7 Agency MBSFederal National Mortgage Association Fannie Mae11/01/2017 06/18/2015 304,671.17 306,051.72 ---304,616.33 (525.91) 1.660 1.646AAA256350005 LC-Project Fund-Toll 231374CNE2 Agency MBSFederal National Mortgage Association Fannie Mae05/01/2019 07/22/2016 293,534.18 301,033.07 ---301,626.92 852.33 5.000 0.666AAASTAMP Portfolio by Account for quarter ended September 30, 2016Page 7 of 33ATTACHMENT 343
Source Account Account IdentifierSecurity Type Category Issuer Final Maturity Trade DateCurrent Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit RatingSTAMP Portfolio by Account for quarter ended September 30, 2016256350005 LC-Project Fund-Toll 236225EUY6 Agency MBSGinnie Mae II09/20/2039 09/17/2015 93,876.35 96,545.97 ---96,733.95 304.04 1.875 1.395AAA256350005 LC-Project Fund-Toll 23137A7JU5 Agency MBSFederal Home Loan Mortgage Corporation11/25/2017 06/03/2016 430,000.00 442,345.70 ---439,167.60 (4.76) 3.882 1.503AAA256350005 LC-Project Fund-Toll 255315FAB6 Asset BackedMMAF EQUIPMENT FINANCE LLC12/17/2018 05/03/2016 275,000.00 274,996.84 ---275,500.50 502.57 1.390 1.137AAA256350005 LC-Project Fund-Toll 247787UAD5 Asset BackedJohn Deere Owner Trust 201506/17/2019--- 600,000.00 600,819.73 ---601,506.00 915.90 1.320 1.009AAA256350005 LC-Project Fund-Toll 2161571FK5 Asset BackedChase Issuance Trust08/16/2021 12/10/2015 150,000.00 148,359.38 ---151,317.00 2,611.75 1.580 1.272AAA256350005 LC-Project Fund-Toll 258768WAD1 Asset BackedMercedes-Benz Auto Receivables Trust 2013-111/15/2019 06/16/2015 282,206.41 283,066.26 ---282,302.36 (174.86) 1.130 1.062AAA256350005 LC-Project Fund-Toll 202582JGG9 Asset BackedAmerican Express Credit Account Master Trust05/17/2021 02/26/2016 300,000.00 300,468.75 ---300,939.00 487.21 0.944 0.800AAA256350005 LC-Project Fund-Toll 236159LBW5 Asset BackedGE Dealer Floorplan Master Not04/22/2019 05/03/2016 300,000.00 300,656.25 ---300,744.00 366.05 1.282 0.856AAA256350005 LC-Project Fund-Toll 265478QAD0 Asset BackedNissan Auto Lease Trust 2016-A03/15/2019 05/17/2016 155,000.00 154,992.99 ---155,331.70 337.51 1.490 1.361AAA256350005 LC-Project Fund-Toll 258769AAD8 Asset BackedMercedes-Benz Auto Lease Trust 2015-B07/16/2018--- 600,000.00 600,906.74 ---601,242.00 549.85 1.340 1.091AAA256350005 LC-Project Fund-Toll 290290KAD7 Asset BackedUSAA Auto Owner Trust 2014-105/15/2019 06/12/2015 445,000.00 443,991.80 ---445,035.60 419.95 0.940 0.930AAA256350005 LC-Project Fund-Toll 243814KAC5 Asset BackedHonda Auto Receivables 2015-1 Owner Trust10/15/2018 06/02/2016 571,806.44 571,895.79 ---572,012.29 139.93 1.050 0.994AAA256350005 LC-Project Fund-Toll 2161571HB3 Asset BackedChase Issuance Trust05/17/2021 06/07/2016 500,000.00 500,878.91 ---502,145.00 1,307.04 0.934 0.779AAA256350005 LC-Project Fund-Toll 2161571GJ7 Asset BackedChase Issuance Trust01/15/2019--- 500,000.00 500,726.56 ---500,300.00 43.09 1.150 0.950AAA256350005 LC-Project Fund-Toll 258772PAC2 Asset BackedMercedes-Benz Auto Receivables Trust 2015-106/15/2018 08/04/2015 182,264.88 182,286.24 ---182,310.45 (50.12) 0.794 0.731AAA256350005 LC-Project Fund-Toll 2161571GQ1 Asset BackedChase Issuance Trust11/15/2019 10/28/2015 120,000.00 120,510.94 ---120,450.00 166.90 1.380 1.047AAA256350005 LC-Project Fund-Toll 236159LCR5 Asset BackedGE Dealer Floorplan Master Not01/20/2020 06/07/2016 110,000.00 109,759.38 ---109,940.60 120.62 1.032 1.079AAA256350005 LC-Project Fund-Toll 2477877AD6 Asset BackedJohn Deere Owner Trust 2014-B11/15/2018--- 369,436.72 369,410.74 ---369,591.88 176.25 1.070 0.999AAA256350005 LC-Project Fund-Toll 260689LAC9 Asset BackedMMAF EQUIPMENT FINANCE LLC12/11/2017 08/05/2015 38,861.85 38,880.07 ---38,863.79 (2.59) 1.030 0.992AAA256350005 LC-Project Fund-Toll 265474VAL5 Asset BackedNissan Master Owner Trust Receivables06/15/2021 07/12/2016 225,000.00 224,967.96 ---224,253.00 (708.75) 1.540 1.673AAA256350005 LC-Project Fund-Toll 255315GAC2 Asset BackedMMAF EQUIPMENT FINANCE LLC10/16/2019--- 282,000.00 281,080.94 ---282,239.70 735.04 1.390 1.311AAA256350005 LC-Project Fund-Toll 2161571BQ6 Asset BackedChase Issuance Trust04/15/2019 04/27/2016 300,000.00 299,730.47 ---300,150.00 381.53 0.574 0.451AAA256350005 LC-Project Fund-Toll 202582JGS3 Asset BackedAmerican Express Credit Account Master Trust01/15/2020 07/13/2015 500,000.00 500,859.38 ---501,005.00 686.00 1.260 0.977AAA256350005 LC-Project Fund-Toll 262888WAA4 CMONATIONAL CREDIT UNION ADMINISTRATION GUARANTEED NOTES TRUST12/08/2020--- 496,148.90 498,115.02 ---497,007.24 (966.91) 1.079 0.975AAA256350005 LC-Project Fund-Toll 262888YAA0 CMONCUA Guaranteed Notes Trust 2011-R101/08/2020 07/14/2015 190,627.79 191,551.15 ---190,997.61 (303.77) 0.969 0.975AAA256350005 LC-Project Fund-Toll 200138CAA6 CorporateAIG GLOBAL FDG SR SECD MEDIUMTERM NTS BOOK ENTRY 144A12/15/2017--- 700,000.00 702,068.00 ---702,870.00 1,436.96 1.650 1.306A256350005 LC-Project Fund-Toll 2553794AA6 CorporateMUFG Americas Holdings Corporation02/09/2018--- 350,000.00 348,334.50 43,109.00 350,528.50 1,466.99 1.625 1.505A256350005 LC-Project Fund-Toll 2865622CB8 CorporateSumitomo Mitsui Banking Corporation01/18/2019 01/13/2016 250,000.00 250,000.00 ---251,262.50 1,262.50 1.628 1.577A256350005 LC-Project Fund-Toll 2166754AK7 CorporateCHEVRON PHILLIPS CHEM CO LLC / CHEVRON PHILLIPS CHEM CO LP05/01/2018--- 400,000.00 399,676.00 ---399,612.00 (224.87) 1.700 1.762A256350005 LC-Project Fund-Toll 294988J5E3 CorporateWells Fargo Bank, National Association05/24/2019 08/03/2016 255,000.00 255,731.85 ---256,331.10 641.27 1.425 1.267AA256350005 LC-Project Fund-Toll 222546QAM9 CorporateCredit Suisse AG05/26/2017--- 555,000.00 554,149.80 ---555,144.30 574.36 1.315 1.348A256350005 LC-Project Fund-Toll 226442CAD6 CorporateDuke Energy Carolinas, LLC04/15/2018 06/11/2015 116,000.00 127,422.52 ---123,081.80 812.30 5.100 1.095AA256350005 LC-Project Fund-Toll 274368CAD6 CorporateProtective Life Global Funding09/13/2019 09/07/2016 295,000.00 295,000.00 ---294,548.65 (451.35) 1.555 1.608AA256350005 LC-Project Fund-Toll 289352HAP4 CorporateTransCanada PipeLines Limited01/12/2018 02/03/2016 150,000.00 146,716.50 ---149,469.00 1,654.89 1.457 1.925A256350005 LC-Project Fund-Toll 2828807CM7 CorporateSimon Property Group, L.P.02/01/2018--- 540,000.00 540,516.00 43,040.00 541,668.60 1,182.72 1.500 1.213A256350005 LC-Project Fund-Toll 205531FAP8 CorporateBB&T Corporation06/15/2018--- 380,000.00 381,823.60 43,235.00 382,329.40 805.41 1.710 1.350A256350005 LC-Project Fund-Toll 2446438RR6 CorporateThe Huntington National Bank11/06/2018--- 550,000.00 553,005.00 43,379.00 556,869.50 4,198.45 2.200 1.568A256350005 LC-Project Fund-Toll 290261XHJ4 CorporateUBS AG03/26/2018--- 500,000.00 500,562.50 ---501,410.00 817.06 1.557 1.367A256350005 LC-Project Fund-Toll 274153WCE7 CorporatePricoa Global Funding I08/18/2017--- 500,000.00 499,977.00 ---499,935.00 (267.68) 1.350 1.364AA256350005 LC-Project Fund-Toll 259562VAT4 CorporateBerkshire Hathaway Energy Company04/01/2018--- 500,000.00 539,316.00 ---532,655.00 (125.77) 5.750 1.345A256350005 LC-Project Fund-Toll 206416CAA6 CorporateBank of Nova Scotia, The09/11/2019 06/29/2016 425,000.00 434,974.75 ---432,913.50 (1,339.26) 2.125 1.477AAA256350005 LC-Project Fund-Toll 2928668AF9 CorporateVolkswagen Group of America Finance, LLC11/20/2017 06/11/2015 300,000.00 300,525.00 ---299,340.00 (908.49) 1.600 1.795A256350005LC-Project Fund-Toll 206050TLY6 CorporateBank of America, National Association03/26/2018 06/10/2015 300,000.00 298,968.00 ---301,245.00 1,801.43 1.650 1.367A256350005 LC-Project Fund-Toll 269353RET1 CorporatePNC Realty Investors, Inc.11/05/2018--- 600,000.00 606,243.00 43,379.00 605,112.00 (650.89) 1.800 1.370A256350005 LC-Project Fund-Toll 202665WBB6 CorporateAmerican Honda Finance Corporation02/22/2019--- 420,000.00 424,065.30 ---425,069.40 1,458.58 1.636 1.186A256350005 LC-Project Fund-Toll 2037833BR0 CorporateApple Inc.02/22/2019--- 450,000.00 454,432.50 ---456,993.00 3,079.86 1.637 1.039AA256350005 LC-Project Fund-Toll 217401QAC5 CorporateCitizens Bank, National Association12/03/2018--- 550,000.00 553,356.00 43,407.00 556,352.50 3,374.22 2.300 1.735A256350005 LC-Project Fund-Toll 291159HHD5 CorporateU.S. Bancorp05/15/2017--- 550,000.00 554,566.00 42,840.00 551,600.50 (184.95) 1.650 1.109A256350005 LC-Project Fund-Toll 246623EKD0 CorporateJPMorgan Chase & Co.03/01/2018--- 730,000.00 729,894.80 43,132.00 732,219.20 2,083.55 1.700 1.469A256350005 LC-Project Fund-Toll 2891145W59 CorporateThe Toronto-Dominion Bank09/25/2019 08/16/2016 450,000.00 461,686.50 ---459,333.00 (1,925.56) 2.250 1.537AAA256350005 LC-Project Fund-Toll 206367XF30 CorporateBank of Montreal06/15/2021 08/17/2016 500,000.00 500,975.00 ---498,655.00 (2,300.14) 1.750 1.810AAA256350005 LC-Project Fund-Toll 213607RAB6 CorporateCanadian Imperial Bank of Commerce09/06/2019 08/29/2016 430,000.00 429,922.60 ---430,004.30 79.95 1.600 1.600AA256350005 LC-Project Fund-Toll 289837LAA3 CorporateThe Trustees of Princeton University03/01/2019--- 255,000.00 281,113.75 ---276,621.45 2,243.29 4.950 1.374AAA256350005 LC-Project Fund-Toll 240428HPQ9 CorporateHSBC USA Inc.03/05/2018--- 395,000.00 394,330.60 ---395,809.75 1,183.86 1.700 1.554A256350005 LC-Project Fund-Toll 274256LAT6 CorporatePrincipal Life Global Funding II12/01/2017 08/22/2016 360,000.00 361,533.60 ---361,530.00 118.96 1.342 1.019A256350005 LC-Project Fund-Toll 261747YDT9 CorporateMorgan Stanley03/22/2017 06/08/2016 300,000.00 308,265.00 ---304,941.00 (137.37) 4.750 1.280A256350005 LC-Project Fund-Toll 238141GRC0 CorporateThe Goldman Sachs Group, Inc.01/22/2018--- 580,000.00 586,667.20 ---586,409.00 1,336.30 2.375 1.520A256350005 LC-Project Fund-Toll 206050TKX9 CorporateBank of America, National Association06/15/2017--- 505,000.00 501,876.55 ---504,767.70 1,502.32 1.150 1.245A256350005 LC-Project Fund-Toll 289114QBF4 CorporateThe Toronto-Dominion Bank01/22/2019--- 525,000.00 528,126.80 ---528,811.50 1,062.92 1.542 1.385AA256350005 LC-Project Fund-Toll 205531FAQ6 CorporateBB&T Corporation02/01/2019 08/23/2016 200,000.00 204,374.00 43,467.00 203,810.00 (385.01) 2.250 1.389A256350005 LC-Project Fund-Toll 255279HAH3 CorporateManufacturers and Traders Trust Company07/25/2017--- 550,000.00 549,163.10 ---550,121.00 515.89 1.015 1.144A256350005 LC-Project Fund-Toll 263307EAB3 CorporateNational Bank of Canada10/19/2016 09/12/2016 2,000,000.00 2,002,590.00 ---2,000,980.00 (391.18) 2.200 1.259AAA256350005 LC-Project Fund-Toll 209062XAB9 CorporateBiogen Inc.03/01/2018 03/03/2016 55,000.00 60,217.85 ---59,205.85 452.48 6.875 1.413A256350005 LC-Project Fund-Toll 294988J5B9 CorporateWells Fargo Bank, National Association01/22/2018--- 500,000.00 501,314.25 ---502,320.00 1,261.85 1.442 1.252AA256350005 LC-Project Fund-Toll 249327M2H6 CorporateKeyBank National Association06/01/2018--- 650,000.00 650,060.00 ---653,178.50 2,891.04 1.700 1.402A256350005 LC-Project Fund-Toll 2202795HU7 CorporateCommonwealth Edison Company03/15/2018 08/05/2016 255,000.00 273,819.00 ---271,707.60 (460.33) 5.800 1.252A256350005 LC-Project Fund-Toll 294974BGR5 CorporateWells Fargo & Company12/07/2020 07/12/2016 440,000.00 453,314.40 ---448,632.80 (4,063.97) 2.550 2.058A256350005 LC-Project Fund-Toll 238147MAA3 CorporateThe Goldman Sachs Group, Inc.07/19/2018 12/02/2015 100,000.00 102,578.00 ---102,369.00 582.82 2.900 1.561A256350005 LC-Project Fund-Toll 246849LSL6 CorporateJackson National Life Global Funding10/15/2018--- 650,000.00 655,151.00 ---656,090.50 1,425.49 1.875 1.408AA256350005 LC-Project Fund-Toll 2209111ET6 CorporateConsolidated Edison Company of New York, Inc.04/01/2018 06/22/2015 220,000.00 245,828.00 ---234,883.00 744.05 5.850 1.290A256350005 LC-Project Fund-Toll 231677QAV1CorporateFifth Third Bank02/28/2018 06/08/2016 400,000.00 400,544.00 43,128.00 400,672.00 225.64 1.450 1.322A256350005 LC-Project Fund-Toll 2063679ZT4 CorporateBank of Montreal01/30/2017 06/12/2015 300,000.00 304,620.00 ---300,921.00 (22.47) 1.950 1.023AAA256350005 LC-Project Fund-Toll 20258M0DZ9 CorporateAmerican Express Credit Corporation11/05/2018--- 450,000.00 453,007.50 43,378.00 453,676.50 1,058.92 1.875 1.462A256350005 LC-Project Fund-Toll 2233851CF9 CorporateDaimler Finance North America LLC07/05/2019 06/30/2016 370,000.00 369,448.70 ---367,942.80 (1,548.52) 1.500 1.707A256350005 LC-Project Fund-Toll 255279HAA8 CorporateManufacturers and Traders Trust Company03/07/2018 06/06/2016 400,000.00 400,012.00 43,136.00 399,924.00 (88.18) 1.450 1.463A256350005 LC-Project Fund-Toll 259217GAY5 CorporateMetropolitan Life Global Funding I01/10/2018--- 550,000.00 550,406.00 ---551,512.50 1,079.33 1.500 1.282AA256350005 LC-Project Fund-Toll 280851QDA9 CorporateThe Charles Schwab Corporation09/01/2017 10/27/2015 65,000.00 71,075.55 ---68,108.95 57.41 6.375 1.130A256350005 LC-Project Fund-Toll 2780082AA1 CorporateRoyal Bank of Canada02/05/2020 06/24/2016 990,000.00 1,002,941.55 ---1,000,434.60 (1,617.14) 1.875 1.550AAA256350005 LC-Project Fund-Toll 246625HJF8 CorporateJPMorgan Chase & Co.01/25/2018 08/03/2016 265,000.00 266,831.15 ---266,317.05 (329.27) 1.615 1.389A256350005 LC-Project Fund-Toll 238141EC49 CorporateThe Goldman Sachs Group, Inc.12/15/2017 08/03/2016 275,000.00 275,558.25 ---275,841.50 344.27 1.650 1.417A256350005 LC-Project Fund-Toll 2842434CN0 CorporateSouthern California Gas Company06/15/2018 06/15/2015 250,000.00 249,992.50 ---251,620.00 1,624.39 1.550 1.165AAPage 8 of 3344
Source Account Account IdentifierSecurity Type Category Issuer Final Maturity Trade DateCurrent Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit RatingSTAMP Portfolio by Account for quarter ended September 30, 2016256350005 LC-Project Fund-Toll 248121CYK6 CorporateJPMorgan Chase Bank, National Association10/01/2017 03/09/2016 250,000.00 265,022.50 ---260,730.00 964.87 6.000 1.666A256350005 LC-Project Fund-Toll 26174467V5 CorporateMorgan Stanley04/25/2018--- 311,000.00 314,084.33 ---314,595.16 1,076.10 1.995 1.407A256350005 LC-Project Fund-Toll 22254EAMN0 CPCredit Suisse (USA), Inc.12/22/2016 08/24/2016 1,100,000.00 1,096,327.53 ---1,097,844.00 374.61 0.000 0.863AAA256350005 LC-Project Fund-Toll 23454G0K56 CPFord Motor Credit Company LLC10/05/2016 08/30/2016 600,000.00 599,574.17 ---599,982.00 30.67 0.000 0.270AA256350005 LC-Project Fund-Toll 29AMMF05B2 MM FundU.S. Bank Money Market Account Fund09/30/2016---- 2,409,828.30 ---2,409,828.30 - 0.000 0.000NA256350005 LC-Project Fund-Toll 2955116AZ1 MuniWest Palm Beach, City of10/01/2017 06/09/2016 230,000.00 229,857.40 ---230,046.00 161.99 1.100 1.080AA256350005 LC-Project Fund-Toll 265819WAC7 MuniNorth Carolina Eastern Municipal Power Agency07/01/2018--- 190,000.00 190,625.40 ---191,843.00 1,407.89 2.003 1.440A256350005 LC-Project Fund-Toll 2544587B98 MuniMunicipal Improvement Corporation of Los Angeles11/01/2018 11/04/2015 160,000.00 160,000.00 ---163,092.80 3,092.80 2.344 1.400A256350005 LC-Project Fund-Toll 2180848HP1 MuniClark, County of07/01/2017 07/06/2015 120,000.00 126,764.40 ---123,098.40 512.60 4.300 0.850AA256350005 LC-Project Fund-Toll 220772JL59 MuniConnecticut, State of08/01/2020 03/03/2016 130,000.00 132,577.90 ---134,539.60 2,278.28 2.500 1.558AA256350005 LC-Project Fund-Toll 213063BFU1 MuniCalifornia, State Of03/01/2019--- 140,000.00 158,412.45 ---156,798.60 1,516.20 6.200 1.156AA256350005 LC-Project Fund-Toll 2937308AZ7 MuniWBRP 3.2 WASHINGTON BIOMED RES03/01/2018 09/25/2015 95,000.00 95,000.00 ---95,362.90 362.90 1.485 1.213AA256350005 LC-Project Fund-Toll 249130TRY4 MuniKentucky Housing Corporation01/01/2017 06/17/2015 275,000.00 274,634.25 ---275,066.00 126.25 0.937 0.840AAA256350005 LC-Project Fund-Toll 291476PPG7 MuniUniversity of Oklahoma07/01/2020 11/17/2015 80,000.00 79,544.00 ---82,188.00 2,562.94 2.349 1.595A256350005 LC-Project Fund-Toll 262944BBC7 Non-US GovN.V. Bank Nederlandse Gemeenten07/14/2017--- 575,000.00 574,335.00 ---575,063.25 433.70 0.743 0.920AAA256350005 LC-Project Fund-Toll 2748148RV7 Non-US GovGouvernement de la Province de Quebec09/04/2018--- 375,000.00 374,252.10 ---375,333.75 906.71 1.065 1.051AA256350005 LC-Project Fund-Toll 2500769FZ2 Non-US GovKfW12/15/2016--- 540,000.00 539,671.10 ---539,994.60 114.30 0.625 0.629AAA256350005 LC-Project Fund-Toll 2298785GK6 Non-US GovBanque Europeenne D'investissement (BEI)04/18/2017--- 575,000.00 575,503.50 ---575,074.75 (217.61) 0.875 0.851AAA256350005 LC-Project Fund-Toll 2302154BL2 Non-US GovThe Export-Import Bank of Korea01/14/2017--- 400,000.00 400,576.00 ---400,480.00 229.87 1.423 1.218AA256350005 LC-Project Fund-Toll 245818WAN6 Non-US GovInter-American Development Bank12/12/2016 05/12/2016 250,000.00 250,025.00 ---250,045.00 38.22 0.835 0.746AAA256350005 LC-Project Fund-Toll 2912828K33 TIPSTreasury, United States Department of04/15/2020--- 2,158,107.00 2,174,799.95 ---2,200,211.67 26,986.07 0.125 -0.421AAA256350005 LC-Project Fund-Toll 2912828TG5 US GovTreasury, United States Department of07/31/2017--- 1,600,000.00 1,592,193.36 ---1,598,496.00 3,081.48 0.500 0.613AAA256350005 LC-Project Fund-Toll 2912828KD1 US GovTreasury, United States Department of02/15/2019--- 1,935,000.00 2,027,131.64 ---2,022,674.85 17,394.64 2.750 0.819AAA256350005 LC-Project Fund-Toll 2912828UA6 US GovTreasury, United States Department of11/30/2017--- 3,465,000.00 3,454,861.14 ---3,462,297.30 4,153.74 0.625 0.692AAA256350005 LC-Project Fund-Toll 2912828B58 US GovTreasury, United States Department of01/31/2021--- 1,125,000.00 1,160,760.74 ---1,172,373.75 14,486.22 2.125 1.127AAA256350005 LC-Project Fund-Toll 2912828UF5 US GovTreasury, United States Department of12/31/2019--- 3,775,000.00 3,776,018.56 ---3,796,253.25 20,380.01 1.125 0.949AAA256350005 LC-Project Fund-Toll 2912828UR9 US GovTreasury, United States Department of02/28/2018--- 2,750,000.00 2,747,428.71 ---2,750,852.50 3,197.62 0.750 0.728AAA256350005 LC-Project Fund-Toll 2912828VK3 US GovTreasury, United States Department of06/30/2018--- 3,475,000.00 3,511,639.86 ---3,511,383.25 9,720.81 1.375 0.771AAA68,466,592.13 256350022 LC-Sr Lien Ob Fund-1 Interest31393EXC8 Agency CMOFederal National Mortgage Association Fannie Mae09/25/2018 07/24/2013 16,350.79 17,285.85 ---16,726.85 47.29 4.500 0.155AAA256350022 LC-Sr Lien Ob Fund-1 Interest3136A4M89 Agency CMOFederal National Mortgage Association Fannie Mae01/25/2019 07/05/2013 155,781.24 156,773.13 ---157,191.06 1,106.20 1.934 1.479AAA256350022 LC-Sr Lien Ob Fund-1 Interest3137ASNH3 Agency CMOFederal Home Loan Mortgage Corporation09/25/2021 08/15/2013 301,952.62 294,026.36 ---302,052.26 4,966.29 1.459 1.407AAA256350022 LC-Sr Lien Ob Fund-1 Interest3136A8G38 Agency CMOFederal National Mortgage Association Fannie Mae08/25/2017 07/08/2013 511,212.89 503,664.51 ---511,151.54 1,892.41 1.246 1.647AAA256350022 LC-Sr Lien Ob Fund-1 Interest31393V2T7 Agency CMOFederal Home Loan Mortgage Corporation06/15/2018 07/08/2013 82,933.25 87,714.87 ---84,793.44 440.77 4.500 -0.202AAA256350022 LC-Sr Lien Ob Fund-1 Interest31402RBG3 Agency MBSFederal National Mortgage Association Fannie Mae09/01/2019--- 24,496.74 26,276.38 ---25,179.71 (130.68) 6.000 1.726AAA256350022 LC-Sr Lien Ob Fund-1 Interest31385JLF3 Agency MBSFederal National Mortgage Association Fannie Mae08/01/2017 09/18/2013 37,452.00 39,980.01 ---37,887.19 (128.00) 6.000 1.509AAA256350022 LC-Sr Lien Ob Fund-1 Interest38144LAB6 CorporateThe Goldman Sachs Group, Inc.09/01/2017 07/03/2013 300,000.00 322,515.00 ---312,945.00 7,618.25 6.250 1.505A256350022 LC-Sr Lien Ob Fund-1 Interest05565QCC0 CorporateBP Capital Markets P.L.C.11/06/2017 07/03/2013 300,000.00 292,194.00 ---300,027.00 2,071.34 1.375 1.366A256350022 LC-Sr Lien Ob Fund-1 Interest166764AE0 CorporateChevron Corporation06/24/2018 06/17/2015 300,000.00 301,848.00 43,244.00 302,643.00 1,591.69 1.718 1.177AA256350022 LC-Sr Lien Ob Fund-1 Interest891145TN4 CorporateThe Toronto-Dominion Bank03/13/2017 05/21/2015 700,000.00 707,168.00 ---701,435.00 (375.12) 1.500 1.044AAA256350022 LC-Sr Lien Ob Fund-1 Interest48121CYK6 CorporateJPMorgan Chase Bank, National Association10/01/2017 07/03/2013 300,000.00 341,424.00 ---312,876.00 2,672.63 6.000 1.666A256350022 LC-Sr Lien Ob Fund-1 Interest89236TAY1 CorporateToyota Motor Credit Corporation10/24/2018 06/17/2015 500,000.00 505,870.00 ---507,315.00 3,648.35 2.000 1.280AA256350022 LC-Sr Lien Ob Fund-1 Interest02580ECC5 CorporateAmerican Express Bank, FSB09/13/2017 07/08/2013 250,000.00 287,890.00 ---260,750.00 1,816.43 6.000 1.439A256350022 LC-Sr Lien Ob Fund-1 Interest30231GAL6 CorporateExxon Mobil Corporation03/06/2018 06/10/2015 420,000.00 419,525.40 ---421,272.60 1,522.74 1.305 1.091AAA256350022 LC-Sr Lien Ob Fund-1 Interest94974BGF1 CorporateWells Fargo & Company01/30/2020 06/03/2015 600,000.00 594,924.00 ---604,368.00 8,055.27 2.150 1.923A256350022 LC-Sr Lien Ob Fund-1 Interest46625HJL5 CorporateJPMorgan Chase & Co.05/15/2018 06/03/2015 500,000.00 497,550.00 ---501,045.00 2,413.11 1.625 1.494A256350022 LC-Sr Lien Ob Fund-1 Interest63307EAB3 CorporateNational Bank of Canada10/19/2016 05/21/2015 900,000.00 918,414.00 ---900,441.00 (210.64) 2.200 1.259AAA256350022 LC-Sr Lien Ob Fund-1 Interest78011DAC8 CorporateRoyal Bank of Canada09/19/2017 05/21/2015 700,000.00 700,763.00 ---699,699.00 (623.83) 1.200 1.245AAA256350022 LC-Sr Lien Ob Fund-1 Interest0255E2KC3 CPAmerican Electric Power Company, Inc.10/12/2016 08/22/2016 275,000.00 274,656.25 ---274,964.25 39.88 0.000 0.426AA256350022 LC-Sr Lien Ob Fund-1 Interest43357LKR2 CPHitachi Capital America Corp.10/25/2016 09/30/2016 100,000.00 99,940.97 ---99,967.00 23.67 0.000 0.496AA256350022 LC-Sr Lien Ob Fund-1 Interest9AMMF05B2 MM FundU.S. Bank Money Market Account Fund09/30/2016---- 13,674.29 ---13,674.29 - 0.000 0.000NA256350022 LC-Sr Lien Ob Fund-1 Interest235219JS2 MuniDallas, City of02/15/2017 07/10/2013 650,000.00 650,000.00 ---652,268.50 2,268.50 1.589 0.655AA256350022 LC-Sr Lien Ob Fund-1 Interest912828RX0 US GovTreasury, United States Department of12/31/2016 09/13/2013 950,000.00 945,212.89 ---951,387.00 1,752.01 0.875 0.290AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828J84 US GovTreasury, United States Department of03/31/2020--- 600,000.00 591,146.48 ---607,854.00 14,390.07 1.375 0.994AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828UA6 US GovTreasury, United States Department of11/30/2017 07/05/2013 1,200,000.00 1,166,062.50 ---1,199,064.00 8,233.37 0.625 0.692AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828K41 US GovTreasury, United States Department of04/30/2017 07/30/2015 200,000.00 200,001.77 ---200,038.00 37.42 0.324 0.294AAA256350022 LC-Sr Lien Ob Fund-1 Interest912828UZ1 US GovTreasury, United States Department of04/30/2018 07/14/2015 700,000.00 693,656.25 ---698,852.00 2,463.12 0.625 0.729AAA11,657,867.70 256350023 LC-Sr Lien Reserve Fund-13135G0D75 AgencyFederal National Mortgage Association Fannie Mae06/22/2020 05/06/2015 600,000.00 593,490.00 ---609,180.00 13,968.48 1.500 1.080AAA256350023LC-Sr Lien Reserve Fund-13137EADR7 AgencyFederal Home Loan Mortgage Corporation05/01/2020 05/15/2015 475,000.00 471,527.75 ---480,153.75 7,691.63 1.375 1.066AAA256350023 LC-Sr Lien Reserve Fund-13137EACA5 AgencyFederal Home Loan Mortgage Corporation03/27/2019 07/05/2013 770,000.00 843,053.75 ---823,037.60 20,222.08 3.750 0.946AAA256350023 LC-Sr Lien Reserve Fund-13137EADB2 AgencyFederal Home Loan Mortgage Corporation01/13/2022--- 750,000.00 737,385.50 ---789,780.00 45,801.36 2.375 1.332AAA256350023 LC-Sr Lien Reserve Fund-13136G3JZ9 AgencyFederal National Mortgage Association Fannie Mae04/26/2019 05/31/2016 200,000.00 200,960.00 42,669.00 200,174.00 3.79 2.000 0.788AAA256350023 LC-Sr Lien Reserve Fund-13137AJMF8 Agency CMOFederal Home Loan Mortgage Corporation10/25/2021 08/05/2015 30,000.00 31,038.28 ---31,839.00 999.96 2.968 1.613AAA256350023 LC-Sr Lien Reserve Fund-138377JZ89 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities10/20/2039 07/05/2013 108,446.70 111,763.64 ---112,727.09 1,645.04 3.500 1.866AAA256350023 LC-Sr Lien Reserve Fund-131392JJ83 Agency CMOFederal National Mortgage Association Fannie Mae03/25/2018 07/08/2013 11,262.39 11,881.83 ---11,488.99 58.92 5.000 -0.007AAA256350023 LC-Sr Lien Reserve Fund-138376GB33 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities10/16/2044 01/23/2015 322,865.12 331,409.83 ---327,485.32 (3,055.25) 3.500 2.211AAA256350023 LC-Sr Lien Reserve Fund-13137AUPE3 Agency CMOFederal Home Loan Mortgage Corporation06/25/2022 07/03/2013 235,000.00 220,358.40 ---244,310.70 19,219.74 2.396 1.632AAA256350023 LC-Sr Lien Reserve Fund-138378CRT6 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities10/20/2040 05/22/2014 93,606.50 90,388.78 ---93,716.02 2,948.98 2.000 1.939AAA256350023 LC-Sr Lien Reserve Fund-13137A7E22 Agency CMOFederal Home Loan Mortgage Corporation04/15/2028 07/08/2013 120,434.46 124,687.30 ---122,673.34 624.39 3.500 1.102AAA256350023 LC-Sr Lien Reserve Fund-138376T5Z1 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities01/16/2039 01/26/2015 134,607.82 140,631.52 ---139,796.95 (115.33) 3.000 1.794AAA256350023 LC-Sr Lien Reserve Fund-138377RSZ9 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities06/16/2039 01/21/2015 43,196.63 45,780.18 ---44,833.79 (603.09) 4.500 2.035AAA256350023 LC-Sr Lien Reserve Fund-138378BX20 Agency CMOGovernment National Mortgage Association06/16/2051 03/17/2015 63,299.96 61,891.99 ---61,590.86 (262.07) 1.240 1.845AAA256350023 LC-Sr Lien Reserve Fund-138378B7E3 Agency CMOGovernment National Mortgage Association05/16/2046--- 289,523.83 279,540.13 ---280,502.27 705.04 1.744 2.054AAA256350023 LC-Sr Lien Reserve Fund-138377RVK8 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities04/20/2039--- 154,968.71 159,339.31 ---160,831.18 2,581.51 3.000 1.593AAA256350023 LC-Sr Lien Reserve Fund-13137ASNH3 Agency CMOFederal Home Loan Mortgage Corporation09/25/2021 07/03/2013 301,952.62 295,076.12 ---302,052.26 4,258.68 1.459 1.407AAAPage 9 of 3345
Source Account Account IdentifierSecurity Type Category Issuer Final Maturity Trade DateCurrent Face Value Original CostNext Call Date Base Market ValueBase Net Total Unrealized Gain/Loss Coupon YieldSummarized Credit RatingSTAMP Portfolio by Account for quarter ended September 30, 2016256350023 LC-Sr Lien Reserve Fund-13136A72D3 Agency CMOFederal National Mortgage Association Fannie Mae04/25/2022 07/03/2013 395,000.00 375,250.00 ---411,293.75 29,560.46 2.482 1.682AAA256350023 LC-Sr Lien Reserve Fund-138378B7F0 Agency CMOGovernment National Mortgage Association12/16/2042--- 450,000.00 427,324.22 ---438,538.50 10,325.16 2.273 2.084AAA256350023 LC-Sr Lien Reserve Fund-13137AQT24 Agency CMOFederal Home Loan Mortgage Corporation01/25/2019 10/21/2013 169,709.93 170,903.20 ---172,584.81 2,486.17 2.130 1.291AAA256350023 LC-Sr Lien Reserve Fund-138376WA62 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities10/20/2039 01/21/2015 101,402.83 106,461.71 ---107,172.65 366.69 4.000 1.747AAA256350023 LC-Sr Lien Reserve Fund-138378TAF7 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities07/20/2041 07/05/2013 200,851.53 200,881.81 ---206,903.19 6,174.89 2.500 1.604AAA256350023 LC-Sr Lien Reserve Fund-138377DPX8 Agency CMOThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities11/20/2036 12/31/20131,081.89 1,134.17 ---1,081.68 (0.22) 2.500 0.485AAA256350023 LC-Sr Lien Reserve Fund-131395EZP5 Agency CMOFederal Home Loan Mortgage Corporation08/15/2019 07/09/2013 54,435.89 57,591.47 ---55,823.46 156.32 4.500 0.820AAA256350023 LC-Sr Lien Reserve Fund-131394DVM9 Agency CMOFederal National Mortgage Association Fannie Mae02/25/2034 06/19/2014 116,467.08 123,145.73 ---120,925.43 225.28 5.000 1.824AAA256350023 LC-Sr Lien Reserve Fund-138378KXW4 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities02/16/2037 12/11/2014 190,227.43 189,306.02 ---188,616.21 (748.17) 1.705 1.859AAA256350023 LC-Sr Lien Reserve Fund-131413XVG5 Agency MBSFederal National Mortgage Association Fannie Mae06/01/2019 08/04/2014 200,000.00 218,500.00 ---206,626.00 (2,099.41) 4.506 3.147AAA256350023 LC-Sr Lien Reserve Fund-138379KDN5 Agency MBSGovernment National Mortgage Association09/16/2055 08/05/2015 187,374.45 182,587.62 ---187,781.06 4,879.76 2.101 1.896AAA256350023 LC-Sr Lien Reserve Fund-13136A4M48 Agency MBSFederal National Mortgage Association Fannie Mae01/25/2022 07/05/2013 317,013.88 317,905.48 ---322,016.36 4,686.13 2.098 1.601AAA256350023 LC-Sr Lien Reserve Fund-131381PEB0 Agency MBSFederal National Mortgage Association Fannie Mae11/01/2020 09/26/2014 261,405.92 275,252.26 ---280,540.83 11,283.13 3.370 1.402AAA256350023 LC-Sr Lien Reserve Fund-138378KRS0 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities07/16/2043 05/08/2015 450,000.00 434,460.94 ---455,026.50 19,923.86 2.389 2.174AAA256350023 LC-Sr Lien Reserve Fund-138378KWU9 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities11/16/2041--- 82,246.90 80,315.51 ---79,948.10 (447.31) 1.400 1.701AAA256350023 LC-Sr Lien Reserve Fund-138378XP62 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities05/16/2055 05/14/2015 398,476.35 403,395.04 ---409,701.43 6,564.68 2.500 1.931AAA256350023 LC-Sr Lien Reserve Fund-13137B1U75 Agency MBSFederal Home Loan Mortgage Corporation01/25/2023 08/29/2016 380,000.00 394,917.97 ---394,728.80 23.76 2.522 1.783AAA256350023 LC-Sr Lien Reserve Fund-131404WTT3 Agency MBSFederal National Mortgage Association Fannie Mae05/01/2019 12/31/2013 47,128.93 52,536.62 ---48,462.21 (1,200.86) 4.500 1.661AAA256350023 LC-Sr Lien Reserve Fund-131417YKF3 Agency MBSFederal National Mortgage Association Fannie Mae01/01/2030 07/10/2013 117,078.44 123,517.75 ---128,512.32 5,254.07 4.500 1.644AAA256350023 LC-Sr Lien Reserve Fund-131385XBG1 Agency MBSFederal National Mortgage Association Fannie Mae03/01/2018 09/13/20134,450.70 4,739.99 ---4,502.42 (10.63) 6.000 1.509AAA256350023 LC-Sr Lien Reserve Fund-131416YXJ2 Agency MBSFederal National Mortgage Association Fannie Mae08/01/2026 07/03/2013 49,603.35 51,936.26 ---52,483.32 1,183.56 3.500 1.328AAA256350023 LC-Sr Lien Reserve Fund-138378KSL4 Agency MBSThe Government National Mortgage Association Guaranteed Remic Pass-Through Securities12/16/2046--- 425,000.00 415,829.11 ---434,235.25 18,216.00 2.785 2.363AAA256350023 LC-Sr Lien Reserve Fund-13138EJPZ5 Agency MBSFederal National Mortgage Association Fannie Mae07/01/2022 08/29/2016 338,959.10 360,024.87 ---361,174.48 1,269.90 2.973 0.830AAA256350023 LC-Sr Lien Reserve Fund-131418AFW3 Agency MBSFederal National Mortgage Association Fannie Mae06/01/2022 07/10/2013 162,727.89 168,067.39 ---171,005.85 4,857.26 3.000 0.340AAA256350023 LC-Sr Lien Reserve Fund-13138L33G8 Agency MBSFederal National Mortgage Association Fannie Mae06/01/2020 11/12/2015 100,000.00 99,875.00 ---101,879.00 2,027.75 2.010 1.461AAA256350023 LC-Sr Lien Reserve Fund-131381Q6B7 Agency MBSFederal National Mortgage Association Fannie Mae06/01/2021 07/15/2016 191,008.94 211,840.86 ---212,281.61 1,367.19 4.295 1.662AAA256350023 LC-Sr Lien Reserve Fund-138378B6A2 Agency MBSGovernment National Mortgage Association11/16/2052 01/22/2015 133,767.04 129,550.24 ---131,792.64 2,253.18 1.826 2.050AAA256350023 LC-Sr Lien Reserve Fund-13136A7MN9 Agency MBSFederal National Mortgage Association Fannie Mae05/25/2022 08/29/2016 300,000.00 308,578.13 ---307,869.00 (582.59) 2.349 1.669AAA256350023 LC-Sr Lien Reserve Fund-13128MMAK9 Agency MBSFederal Home Loan Mortgage Corporation09/01/2019 07/08/2013 88,667.45 94,264.58 ---91,722.04 28.45 5.000 1.860AAA256350023 LC-Sr Lien Reserve Fund-13136AEYG6 Agency MBSFederal National Mortgage Association Fannie Mae06/25/2018 11/20/2013 133,706.66 134,761.70 ---134,734.87 701.94 1.825 1.589AAA256350023 LC-Sr Lien Reserve Fund-19AMMF05B2 MM FundU.S. Bank Money Market Account Fund09/30/2016---- 136,860.36 ---136,029.82 - 0.000 0.000NA256350023 LC-Sr Lien Reserve Fund-1912828WU0 TIPSTreasury, United States Department of07/15/2024 02/05/2016 608,124.00 591,883.10 ---617,002.61 23,906.61 0.125 -0.062AAA256350023 LC-Sr Lien Reserve Fund-1912828B58 US GovTreasury, United States Department of01/31/2021--- 1,640,000.00 1,677,556.65 ---1,709,060.40 37,774.95 2.125 1.127AAA256350023 LC-Sr Lien Reserve Fund-1912828UF5 US GovTreasury, United States Department of12/31/2019--- 1,000,000.00 985,496.10 ---1,005,630.00 16,884.74 1.125 0.949AAA256350023 LC-Sr Lien Reserve Fund-1912828VV9 US GovTreasury, United States Department of08/31/2020--- 235,000.00 241,525.78 ---244,501.05 3,933.94 2.125 1.068AAA256350023 LC-Sr Lien Reserve Fund-1912828VB3 US GovTreasury, United States Department of05/15/2023 07/05/2013 1,600,000.00 1,487,125.00 ---1,635,936.00 114,853.48 1.750 1.394AAA256350023 LC-Sr Lien Reserve Fund-1912828XB1 US GovTreasury, United States Department of05/15/2025 05/24/2016 1,200,000.00 1,228,546.88 ---1,254,564.00 27,045.75 2.125 1.559AAA256350023 LC-Sr Lien Reserve Fund-1912828RC6 US GovTreasury, United States Department of08/15/2021--- 1,775,000.00 1,804,427.73 ---1,853,632.50 52,208.27 2.125 1.187AAA256350023 LC-Sr Lien Reserve Fund-13137AEV77 Agency CMOFederal Home Loan Mortgage Corporation05/25/2018---364.82 364.82 ---372.46 - 0.000 2.640NA256350023 LC-Sr Lien Reserve Fund-13136A7MJ8 Agency MBSFederal National Mortgage Association Fannie Mae04/25/2018---465.71 465.71 ---467.18 - 0.000 1.510NA19,513,332.88 Page 10 of 3346
Source Account Account Identifier DescriptionBeginning Base Market Value Base Purchases Base SalesBase Maturities and Redemptions Base PaydownsNet Total Realized Gain/LossBase Amortization/AccretionBase Change In Net Unrealized Gain/LossEnding Base Market ValueEnding Accrued Income Balance205091001 LC-2013 A Capitalized Interest 90327QCW7 USAA CAPITAL CORP4,025,400.00-----(10,890.88) (3,909.12) 4,010,600.00 250.00 205091001LC-2013 A Capitalized Interest 084664BE0 BERKSHIRE HATHAWAY FINANCE CORP865,248.00-----(7,788.42) (3,731.58) 853,728.0016,320.00 205091001LC-2013 A Capitalized Interest 64966H4E7 NEW YORK N Y1,205,825.40-----(4,137.15) (5,000.55) 1,196,687.70 18,369.00 205091001LC-2013 A Capitalized Interest 822582AC6 SHELL INTERNATIONAL FINANCE BV412,488.00-----(3,448.67) (891.33)408,148.00520.00 205091001LC-2013 A Capitalized Interest 89114QAE8 TORONTO DOMINION BANK753,510.00-----(2,068.43) (999.07)750,442.508,015.63 205091001LC-2013 A Capitalized Interest 89236TAY1 TOYOTA MOTOR CREDIT CORP2,038,860.00-----(1,752.14) (7,847.86) 2,029,260.00 17,444.44 205091001LC-2013 A Capitalized Interest 36290WH47 GN 619551532,587.33---(66,783.34) (2,007.61)(1,710.76) 2,467.31 464,552.921,710.56 205091001LC-2013 A Capitalized Interest 31401MWC1 FN 712643440,353.32---(81,637.97) (2,022.88)(1,148.69) 615.55356,159.341,302.82 205091001LC-2013 A Capitalized Interest 31393V2T7 FHR 2627E GY344,803.65---(64,562.54) (1,208.82) (652.48) 798.06279,177.861,023.95 205091001 LC-2013 A Capitalized Interest 31393EXC8 FNR 0388E TH185,662.52---(33,775.85) (733.69)(361.83) (249.46)150,541.68551.84 205091001LC-2013 A Capitalized Interest 459200GX3 INTERNATIONAL BUSINESS MACHINES CORP465,274.35--(465,000.00) --(250.34) (24.01)-- 205091001LC-2013 A Capitalized Interest 3128PGLY7 FH J0484365,964.10---(19,367.24) (228.33)(202.92) 26.3746,191.98187.36 205091001LC-2013 A Capitalized Interest 31402QT68 FN 735073138,242.63---(25,006.50) (1,064.40) (191.99) (63.29)111,916.45539.15 205091001LC-2013 A Capitalized Interest 3132FEAK7 FH Z5001074,148.67---(21,539.18) (457.63)(169.61) 167.5552,149.81211.53 205091001LC-2013 A Capitalized Interest 31410GSQ7 FN 88892753,941.03---(15,820.31) (347.64)(159.16) 81.7537,695.66185.90 205091001LC-2013 A Capitalized Interest 31392F6C6 FNR 0277C CB119,061.14---(29,255.53) (455.84)(150.99) 304.4189,503.20366.61 205091001LC-2013 A Capitalized Interest 31402RBG3 FN 735439103,781.51---(26,180.89) (873.40)(150.77) 53.5176,629.95372.76 205091001 LC-2013 A Capitalized Interest 3128H4NR6 FH E9670046,519.57---(9,639.66) (235.43)(135.34) 152.9636,662.10148.71 205091001LC-2013 A Capitalized Interest 3137EADS5 FREDDIE MAC-320,188.80----(133.02) (1.38)320,054.401,298.89 205091001LC-2013 A Capitalized Interest 3128MBTH0 FH G1305264,504.95---(10,780.89) (293.60)(127.80) 175.3853,478.03216.91 205091001LC-2013 A Capitalized Interest 3130A7P82 FEDERAL HOME LOAN BANKS-700,134.40----(126.83) 6.43700,014.001,676.89 205091001LC-2013 A Capitalized Interest 3135G0YE7 FEDERAL NATIONAL MORTGAGE ASSOCIATION350,080.50--(350,000.00) --(119.00) 38.50-- 205091001LC-2013 A Capitalized Interest 31392FPP6 FNR 0274C PE71,493.17---(18,187.24) (268.28)(105.17) 237.9553,170.42218.05 205091001LC-2013 A Capitalized Interest 3128PHVS7 FH J0602533,230.37---(7,381.73) (160.67)(103.96) 103.3125,687.32104.19 205091001LC-2013 A Capitalized Interest 36200AFG9 GN 59516715,327.50---(3,727.08) (84.65)(62.46)51.8411,505.1552.07 205091001LC-2013 A Capitalized Interest 3128GNR59 FH E8590819,995.84---(17,425.99) (61.34)(49.47)41.352,500.3812.51 205091001 LC-2013 A Capitalized Interest 31294LPZ0 FH E0224020,862.81---(16,103.39) (92.63)(40.47)57.394,683.7123.37 205091001LC-2013 A Capitalized Interest 31392HWL3 FNR 033D BC19,603.03---(4,291.97) (67.10)(24.99)73.5515,292.5262.33 205091001LC-2013 A Capitalized Interest 31402RBG3 FN 7354398,002.13---(2,018.69) (60.87)(10.66)(3.31)5,908.6028.74 205091001LC-2013 A Capitalized Interest 31392BVM5 FNR 023C PG7,524.05---(5,262.38) (32.45)(10.58)4.902,223.5410.16 205091001LC-2013 A Capitalized Interest 31402RBG3 FN 7354394,838.21---(1,220.53) (39.43)(6.84)1.013,572.4317.38 205091001LC-2013 A Capitalized Interest 3130A3CE2 FEDERAL HOME LOAN BANKS-275,027.50----(1.96)1.96275,027.50797.31 205091001LC-2013 A Capitalized Interest 9AMMF05B2 U.S. Bank Money Market Account Fund390,543.391,573,343.52(1,649,144.92) -----314,741.99- 205091001LC-2013 A Capitalized Interest CCYUSD Cash-----0.00---- 205091001LC-2013 A Capitalized Interest CCYUSD Payable(350,878.55)--------- 205091001LC-2013 A Capitalized Interest 235219JS2 DALLAS TEX2,149,816.90------(7,365.75) 2,142,451.15 4,334.88 205091001LC-2013 A Capitalized Interest 30231GAL6 EXXON MOBIL CORP584,524.00-----59.91(2,826.51) 581,757.40525.63 205091001 LC-2013 A Capitalized Interest 89153VAC3 TOTAL CAPITAL INTERNATIONAL SA160,832.00-----145.00(521.00)160,456.00640.67 205091001LC-2013 A Capitalized Interest 912828RU6 UNITED STATES TREASURY3,356,867.50-----225.27(3,474.77) 3,353,618.00 9,850.92 205091001LC-2013 A Capitalized Interest 912828M23 UNITED STATES TREASURY800,536.00-----229.282.72800,768.00664.93 205091001LC-2013 A Capitalized Interest 912828J84 UNITED STATES TREASURY1,324,583.00-----886.77(8,452.77) 1,317,017.00 49.11 205091001LC-2013 A Capitalized Interest 184126YS3 CLAYTON CNTY & CLAYTON CNTY GA WTR AUTH WTR & SEW775,351.50-----946.28(3,356.38) 772,941.404,170.83 205091001LC-2013 A Capitalized Interest 912828J84 UNITED STATES TREASURY2,445,384.00-----1,614.55 (15,582.55) 2,431,416.00 90.66 205091001LC-2013 A Capitalized Interest 3136A8G38 FN 12M13A A21,829,081.59---(138,242.93) 634.95 1,859.80 (5,983.69) 1,687,349.72 1,752.24 205091001LC-2013 A Capitalized Interest 912828UA6 UNITED STATES TREASURY1,751,435.00-----2,864.02 (5,664.02) 1,748,635.00 3,675.72 205091001LC-2013 A Capitalized Interest 912828UZ1 UNITED STATES TREASURY3,402,244.00-----3,395.25 (11,215.25) 3,394,424.00 8,892.66 205091001 LC-2013 A Capitalized Interest 037833AJ9 APPLE INC3,007,380.00-----3,436.95 (14,986.95) 2,995,830.00 12,333.33 205091001LC-2013 A Capitalized Interest 912828UB4 UNITED STATES TREASURY2,516,300.00-----3,698.60 (15,023.60) 2,504,975.00 8,401.64 36,631,134.10 2,868,694.22 (1,649,144.92) (815,000.00) (618,211.84) (10,161.75) (16,932.09) (111,710.45) 36,629,545.82 127,422.27 256350001 LC-Project Fund-2 Senior Lien 91324PCJ9 UNITEDHEALTH GROUP INC290,368.30-----(38.61)(54.19)290,275.50682.16 256350001LC-Project Fund-2 Senior Lien 55314MAD8 MMAF 11A A43,625.09---(3,623.16) (0.01)(1.17)(0.75)-- 256350001LC-Project Fund-2 Senior Lien 9AMMF05B2 U.S. Bank Money Market Account Fund164,097.7656,908,239.16 (44,679,789.86) -----12,392,547.06 - 256350001LC-Project Fund-2 Senior Lien CCYUSD Cash-----(0.00)---- 256350001LC-Project Fund-2 Senior Lien 6116M2G52 Monsanto Company699,958.00--(700,000.00) --66.11(24.11)-- 256350001LC-Project Fund-2 Senior Lien 83700EKQ0 South Carolina Electric & Gas Company-999,377.78----111.11201.11999,690.00- 256350001LC-Project Fund-2 Senior Lien 04635PG60 AstraZeneca PLC1,599,872.00--(1,600,000.00) --151.11(23.11)-- 256350001LC-Project Fund-2 Senior Lien 78513KG62 S&P Global Inc.1,599,872.00--(1,600,000.00) --188.89(60.89)-- 256350001LC-Project Fund-2 Senior Lien 66765EG82 Northwest Natural Gas Company1,484,836.65--(1,485,000.00) --190.58(27.23)-- 256350001LC-Project Fund-2 Senior Lien 05333TG80 AutoZone, Inc.1,599,824.00--(1,600,000.00) --208.45(32.45)-- 256350001LC-Project Fund-2 Senior Lien 43357LG71 Hitachi Capital America Corp.1,499,865.00--(1,500,000.00) --225.00(90.00)-- 256350001LC-Project Fund-2 Senior Lien 27743JGC1 Eastman Chemical Company1,599,728.00--(1,600,000.00) --352.00(80.00)-- 256350001LC-Project Fund-2 Senior Lien 07588LGC6 Becton, Dickinson and Company1,599,728.00--(1,600,000.00) --356.89(84.89)-- 256350001LC-Project Fund-2 Senior Lien 05635MGD9 Bacardi Corporation1,599,696.00--(1,600,000.00) --384.00(80.00)-- 256350001LC-Project Fund-2 Senior Lien 83701LGD7 South Carolina Fuel Company, Inc.1,599,696.00--(1,600,000.00) --394.67(90.67)-- 256350001LC-Project Fund-2 Senior Lien 69350AGD4 Ppg Industries, Inc.1,499,715.00--(1,500,000.00) --410.00(125.00)-- 256350001LC-Project Fund-2 Senior Lien 46015PH94 International Paper Company-1,599,566.67-(1,600,000.00) --433.33--- 256350001LC-Project Fund-2 Senior Lien 0255E2GF1 American Electric Power Company, Inc.1,599,648.00--(1,600,000.00) --491.56(139.56)-- 256350001LC-Project Fund-2 Senior Lien 27805AJE8 Eaton Corporation-1,099,494.00-(1,100,000.00) --506.00--- 256350001LC-Project Fund-2 Senior Lien 28103AGJ7 Edison International1,599,584.00--(1,600,000.00) --506.22(90.22)-- 256350001LC-Project Fund-2 Senior Lien 69430LGJ1 Pacific Gas and Electric Company1,599,584.00--(1,600,000.00) --528.89(112.89)-- 256350001LC-Project Fund-2 Senior Lien 25737LGK0 Dominion Gas Holdings, LLC1,599,552.00--(1,600,000.00) --568.00(120.00)-- 256350001LC-Project Fund-2 Senior Lien 69339EHJ8 PG&E Corporation-999,416.67-(1,000,000.00) --583.33--- 256350001LC-Project Fund-2 Senior Lien 47836JGV5 Johnson Controls, Inc.1,000,000.00--(1,000,000.00) --583.34(583.34)-- 256350001LC-Project Fund-2 Senior Lien 44890MK43 Hyundai Capital America-824,365.43----585.7640.56824,991.75- 256350001 LC-Project Fund-2 Senior Lien 08465RJP7 Berkshire Hathaway Energy Company-1,099,412.72-(1,100,000.00) --587.28--- 256350001LC-Project Fund-2 Senior Lien 43357LKB7 Hitachi Capital America Corp.-1,099,096.16----592.17179.67 1,099,868.00 - 256350001LC-Project Fund-2 Senior Lien 77434LJC2 Rockwell Collins, Inc.-1,099,401.12-(1,100,000.00) --598.88--- 256350001LC-Project Fund-2 Senior Lien 83700EJD1 South Carolina Electric & Gas Company-1,099,370.87-(1,100,000.00) --629.13--- 256350001LC-Project Fund-2 Senior Lien 78355AJM7 Ryder System, Inc.-1,099,358.34-(1,100,000.00) --641.66--- 256350001LC-Project Fund-2 Senior Lien 83701LJE2 South Carolina Fuel Company, Inc.-1,099,335.41-(1,100,000.00) --664.59--- 256350001LC-Project Fund-2 Senior Lien 82484LJC1 Shiseido Americas Corporation-1,299,332.67-(1,300,000.00) --667.33--- 256350001LC-Project Fund-2 Senior Lien 27743JHC0 Eastman Chemical Company-1,599,318.67-(1,600,000.00) --681.33--- 256350001LC-Project Fund-2 Senior Lien 6821A2JM0 Omnicom Capital Inc.-1,099,317.69-(1,100,000.00) --682.31--- STAMP Portfolio Transaction Report by AccountQuarter ended September 30, 2016Page 11 of 33ATTACHMENT 447
Source Account Account Identifier DescriptionBeginning Base Market Value Base Purchases Base SalesBase Maturities and Redemptions Base PaydownsNet Total Realized Gain/LossBase Amortization/AccretionBase Change In Net Unrealized Gain/LossEnding Base Market ValueEnding Accrued Income BalanceSTAMP Portfolio Transaction Report by AccountQuarter ended September 30, 2016256350001 LC-Project Fund-2 Senior Lien 44890MGN6 Hyundai Capital America1,599,472.00 - - (1,600,000.00) - - 700.00 (172.00) - - 256350001 LC-Project Fund-2 Senior Lien 6362P2GR1 National Grid USA1,599,408.00 - - (1,600,000.00) - - 714.67 (122.67) - - 256350001 LC-Project Fund-2 Senior Lien 82484LJC1 Shiseido Americas Corporation- 1,099,257.50 - (1,100,000.00) - - 742.50 - - - 256350001 LC-Project Fund-2 Senior Lien 07787PGN2 The Bell Telephone Company of Canada Or Bell Canad1,699,439.00 - - (1,700,000.00) - - 763.59 (202.59) - - 256350001 LC-Project Fund-2 Senior Lien 41282JJM4 Harley-Davidson Financial Services, Inc.- 1,099,208.62 - (1,100,000.00) - - 791.38 - - - 256350001 LC-Project Fund-2 Senior Lien 07787PJL3 Bell Canada- 1,049,183.33 - (1,050,000.00) - - 816.67 - - - 256350001 LC-Project Fund-2 Senior Lien 65475LKJ0 Nissan Motor Acceptance Corporation- 1,098,780.84 - - - - 855.55 121.61 1,099,758.00 - 256350001 LC-Project Fund-2 Senior Lien 92780JH20 Virginia Electric and Power Company1,349,257.50 - - (1,350,000.00) - - 864.00 (121.50) - - 256350001 LC-Project Fund-2 Senior Lien 58507AKH5 Medtronic Global Holdings S.C.A.- 1,098,773.19 - - - - 869.92 125.89 1,099,769.00 - 256350001 LC-Project Fund-2 Senior Lien 69430LHG6 Pacific Gas and Electric Company- 1,599,128.90 - (1,600,000.00) - - 871.10 - - - 256350001 LC-Project Fund-2 Senior Lien 83701LHB0 South Carolina Fuel Company, Inc.- 1,599,128.90 - (1,600,000.00) - - 871.10 - - - 256350001 LC-Project Fund-2 Senior Lien 05333THG1 AutoZone, Inc.- 1,599,097.78 - (1,600,000.00) - - 902.22 - - - 256350001 LC-Project Fund-2 Senior Lien 91842LJE5 VW Credit, Inc.- 1,099,090.97 - (1,100,000.00) - - 909.03 - - - 256350001 LC-Project Fund-2 Senior Lien 60920VGU0 Mondelez International, Inc.1,699,286.00 - - (1,700,000.00) - - 918.00 (204.00) - - 256350001 LC-Project Fund-2 Senior Lien 0255E2HJ2 American Electric Power Company, Inc.- 1,299,059.67 - (1,300,000.00) - - 940.33 - - - 256350001 LC-Project Fund-2 Senior Lien 58507AHP1 Medtronic Global Holdings S.C.A.- 1,599,059.10 - (1,600,000.00) - - 940.90 - - - 256350001 LC-Project Fund-2 Senior Lien 44890MHS4 Hyundai Capital America- 1,599,059.10 - (1,600,000.00) - - 940.90 - - - 256350001 LC-Project Fund-2 Senior Lien 88513AKQ4 Thomson Reuters Corporation- 998,443.06 - - - - 950.00 296.94 999,690.00 - 256350001LC-Project Fund-2 Senior Lien 74432JJS1 Prudential Financial, Inc.- 1,099,037.80 - (1,100,000.00) - - 962.20 - - - 256350001 LC-Project Fund-2 Senior Lien 25737LHN3 Dominion Gas Holdings, LLC- 1,599,035.55 - (1,600,000.00) - - 964.45 - - - 256350001 LC-Project Fund-2 Senior Lien 41282JH20 Harley-Davidson Financial Services, Inc.1,599,120.00 - - (1,600,000.00) - - 1,009.78 (129.78) - - 256350001 LC-Project Fund-2 Senior Lien 83700EGT9 South Carolina Electric & Gas Company1,699,320.00 - - (1,700,000.00) - - 1,043.61 (363.61) - - 256350001 LC-Project Fund-2 Senior Lien 3454G0KK3 Ford Motor Credit Company LLC- 1,098,475.88 - - - - 1,051.12 209.00 1,099,736.00 - 256350001 LC-Project Fund-2 Senior Lien 66807MHF7 NorthWestern Corporation- 1,598,933.33 - (1,600,000.00) - - 1,066.67 - - - 256350001 LC-Project Fund-2 Senior Lien 0255E2KC3 American Electric Power Company, Inc.- 1,098,625.00 - - - - 1,072.50 159.50 1,099,857.00 - 256350001 LC-Project Fund-2 Senior Lien 91842LH98 VW Credit, Inc.- 1,598,791.10 - (1,600,000.00) - - 1,208.90 - - - 256350001 LC-Project Fund-2 Senior Lien 43357LHC9 Hitachi Capital America Corp.- 1,598,760.00 - (1,600,000.00) - - 1,240.00 - - - 256350001 LC-Project Fund-2 Senior Lien 6116M2HH5 Monsanto Company- 1,598,753.33 - (1,600,000.00) - - 1,246.67 - - - 256350001 LC-Project Fund-2 Senior Lien 92939AHF0 WPP CP LLC- 1,598,753.33 - (1,600,000.00) - - 1,246.67 - - - 256350001 LC-Project Fund-2 Senior Lien 78513KHC8 S&P Global Inc.- 1,598,708.90 - (1,600,000.00) - - 1,291.10 - - - 256350001 LC-Project Fund-2 Senior Lien 6821A2HK6 Omnicom Capital Inc.- 1,598,699.55 - (1,600,000.00) - - 1,300.45 - - - 256350001 LC-Project Fund-2 Senior Lien 3454G0HH4 Ford Motor Credit Company LLC- 1,598,669.78 - (1,600,000.00) - - 1,330.22 - - - 35,484,552.30 107,546,917.87 (44,679,789.86) (77,385,000.00) (3,623.16) (0.01) 44,926.31 (1,801.14) 21,006,182.31 682.16 256350004 LC-PF-2 Sales Tax Revenue Bond9AMMF05B2 U.S. Bank Money Market Account Fund5,226,632.41 293.19 (5,226,868.48) - - - - - 57.12 - 256350004 LC-PF-2 Sales Tax Revenue BondCCYUSD Cash(0.00) - - - - 0.00 - - (0.01) - 5,226,632.41 293.19 (5,226,868.48) - - 0.00 - - 57.11 - 256350005 LC-Project Fund-Toll 2 912828KD1 UNITED STATES TREASURY 737,842.00 - - - - - (2,716.95) (3,408.05) 731,717.00 2,458.56 256350005 LC-Project Fund-Toll 261747YDT9 MORGAN STANLEY307,440.00 - - - - - (2,666.08) 167.08 304,941.00 356.25 256350005 LC-Project Fund-Toll 23137A7JU5 FHMS K701 A2443,132.20 - - - - - (2,528.89) (1,435.71) 439,167.60 1,391.05 256350005 LC-Project Fund-Toll 2912828KD1 UNITED STATES TREASURY658,787.50 - - - - - (2,417.89) (3,050.86) 653,318.75 2,195.14 256350005 LC-Project Fund-Toll 248121CYK6 JPMORGAN CHASE BANK NA264,052.50 - - - - - (2,417.61) (904.89) 260,730.00 7,500.00 256350005 LC-Project Fund-Toll 2209111ET6 CONSOLIDATED EDISON COMPANY OF NEW YORK INC237,912.40 - - - - - (2,334.16) (695.24) 234,883.00 6,435.00 256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY1,979,640.00 - - - - - (2,171.24) (7,052.26) 1,970,416.50 6,775.99 256350005 LC-Project Fund-Toll 2202795HU7 COMMONWEALTH EDISON CO- 273,819.00 - - - - (1,651.07) (460.33) 271,707.60 657.33 256350005 LC-Project Fund-Toll 259562VAT4 BERKSHIRE HATHAWAY ENERGY CO161,623.50 - - - - - (1,546.90) (280.10) 159,796.50 4,312.50 256350005 LC-Project Fund-Toll 23137AH6Q6 FHMS K704 A2484,571.54 - - - (2,236.24) (53.15) (1,519.42) (1,471.15) 479,291.58 945.78 256350005 LC-Project Fund-Toll 289837LAA3 TRUSTEES OF PRINCETON UNIVERSITY192,514.00 - - - - - (1,296.00) (1,379.75) 189,838.25 721.88 256350005 LC-Project Fund-Toll 2912828B58 UNITED STATES TREASURY736,036.00 - - - - - (1,259.25) (5,299.75) 729,477.00 2,506.11 256350005 LC-Project Fund-Toll 263307EAB3 NATIONAL BANK OF CANADA- 2,002,590.00 - - - - (1,218.82) (391.18) 2,000,980.00 19,800.00 256350005 LC-Project Fund-Toll 213063BFU1 CALIFORNIA ST118,515.60 - - - - - (1,158.64) 241.99 117,598.95 542.50 256350005 LC-Project Fund-Toll 2912828KD1 UNITED STATES TREASURY326,758.60 - - - - - (1,131.32) (1,581.18) 324,046.10 1,088.79 256350005 LC-Project Fund-Toll 2912828KD1 UNITED STATES TREASURY316,218.00 - - - - - (1,065.23) (1,559.77) 313,593.00 1,053.67 256350005 LC-Project Fund-Toll 23133XY2H7 FEDERAL HOME LOAN BANKS255,971.96 - - - (16,465.78) (196.41) (1,014.41) (49.37) 238,245.99 208.82 256350005 LC-Project Fund-Toll 226442CAD6DUKE ENERGY CAROLINAS LLC124,203.52 - - - - - (1,009.35) (112.37) 123,081.80 2,727.93 256350005 LC-Project Fund-Toll 238141GRC0 GOLDMAN SACHS GROUP INC506,720.00 - - - - - (863.26) (331.74) 505,525.00 2,276.04 256350005 LC-Project Fund-Toll 2180848HP1 CLARK CNTY NEV124,039.20 - - - - - (857.93) (82.87) 123,098.40 1,290.00 256350005 LC-Project Fund-Toll 280851QDA9 CHARLES SCHWAB CORPORATION (THE)68,916.90 - - - - - (830.20) 22.25 68,108.95 345.31 256350005 LC-Project Fund-Toll 259562VAT4 BERKSHIRE HATHAWAY ENERGY CO- 374,136.00 - - - - (727.29) (550.21) 372,858.50 10,062.50 256350005 LC-Project Fund-Toll 206416CAA6 BANK OF NOVA SCOTIA436,016.00 - - - - - (721.99) (2,380.51) 432,913.50 501.74 256350005 LC-Project Fund-Toll 2063679ZT4 BANK OF MONTREAL301,905.00 - - - - - (718.71) (265.29) 300,921.00 991.25 256350005 LC-Project Fund-Toll 23137A2AZ4 FHMS K009 A1349,403.92 - - - (12,341.96) (212.51) (692.02) (1,110.92) 335,046.52 759.73 256350005 LC-Project Fund-Toll 209062XAB9 BIOGEN IDEC INC59,862.00 - - - - - (654.12) (2.03) 59,205.85 315.10 256350005 LC-Project Fund-Toll 23137AQT24 FHMS K708 A2307,218.00 - - - (511.89) (9.51) (623.58) (1,511.59) 304,561.43 531.59 256350005 LC-Project Fund-Toll 294974BGR5 WELLS FARGO & CO- 453,314.40 - - - - (617.63) (4,063.97) 448,632.80 3,553.00 256350005 LC-Project Fund-Toll 2780082AA1 ROYAL BANK OF CANADA683,862.75 - - - - - (599.40) (1,148.85) 682,114.50 1,968.75 256350005 LC-Project Fund-Toll 2912828B58 UNITED STATES TREASURY446,879.00 - - - - - (583.64) (3,398.61) 442,896.75 1,521.57 256350005 LC-Project Fund-Toll 291159HHD5 U.S. BANCORP301,437.00 - - - - - (448.85) (115.15) 300,873.00 1,870.00 256350005 LC-Project Fund-Toll 2891145W59 TORONTO DOMINION BANK- 461,686.50 - - - - (427.94) (1,925.56) 459,333.00 168.75 256350005 LC-Project Fund-Toll 2037833BR0 APPLE INC304,293.00 - - - - - (411.91) 780.91 304,662.00 532.06 256350005 LC-Project Fund-Toll 213063BFU1 CALIFORNIA ST39,505.20 - - - - - (395.46) 89.91 39,199.65 180.83 256350005 LC-Project Fund-Toll 202665WBB6 AMERICAN HONDA FINANCE CORP303,321.00 - - - - - (380.19) 680.19 303,621.00 545.33 256350005 LC-Project Fund-Toll 217401QAC5 CITIZENS BANK NA303,927.00 - - - - - (378.76) (83.24) 303,465.00 2,261.67 256350005 LC-Project Fund-Toll 291159HHD5 U.S. BANCORP251,197.50 - - - - - (377.22) (92.78) 250,727.50 1,558.33 256350005 LC-Project Fund-Toll 289837LAA3 TRUSTEES OF PRINCETON UNIVERSITY- 86,960.00 - - - - (363.39) 186.59 86,783.20 330.00 256350005 LC-Project Fund-Toll 2446438RR6HUNTINGTON NATIONAL BANK303,672.00 - - - - - (360.14) 435.14 303,747.00 2,658.33 256350005 LC-Project Fund-Toll 26174467V5 MORGAN STANLEY243,328.06 - - - - - (358.98) 816.88 243,785.96 907.94 256350005 LC-Project Fund-Toll 269353RET1 PNC BANK NA303,639.00 - - - - - (354.19) (728.81) 302,556.00 2,190.00 256350005 LC-Project Fund-Toll 20258M0DZ9 AMERICAN EXPRESS CREDIT CORP303,192.00 - - - - - (320.71) (420.30) 302,451.00 2,281.25 256350005 LC-Project Fund-Toll 23138EKUP8 FN AL3289198,254.91 - - - (29,050.82) (1,375.74) (300.70) 555.50 168,083.15 677.82 256350005 LC-Project Fund-Toll 289114QBF4 TORONTO-DOMINION BANK402,692.00 - - - - - (299.96) 511.96 402,904.00 1,216.15 256350005 LC-Project Fund-Toll 246849LSL6 JACKSON NATIONAL LIFE GLOBAL FUNDING303,519.00 - - - - - (298.92) (409.08) 302,811.00 2,593.75 256350005 LC-Project Fund-Toll 231394GH22 FHR 2649G KA87,433.87 - - - (16,269.36) (301.82) (295.02) (86.39) 70,481.28 258.80 Page 12 of 3348
Source Account Account Identifier DescriptionBeginning Base Market Value Base Purchases Base SalesBase Maturities and Redemptions Base PaydownsNet Total Realized Gain/LossBase Amortization/AccretionBase Change In Net Unrealized Gain/LossEnding Base Market ValueEnding Accrued Income BalanceSTAMP Portfolio Transaction Report by AccountQuarter ended September 30, 2016256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY304,560.00 - - - - - (272.04) (1,146.96) 303,141.00 1,042.46 256350005 LC-Project Fund-Toll 2780082AA1 ROYAL BANK OF CANADA319,135.95 - - - - - (271.77) (544.08) 318,320.10 918.75 256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY304,560.00 - - - - - (270.06) (1,148.94) 303,141.00 1,042.46 256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY304,560.00 - - - - - (270.06) (1,148.94) 303,141.00 1,042.46 256350005 LC-Project Fund-Toll 23136A7L26 FN 12M9 AQ2- 267,473.93 - - (6,894.81) (31.65) (252.50) (310.29) 259,984.67 326.87 256350005 LC-Project Fund-Toll 231374CNE2 FN 310089- 325,285.65 - - (23,648.44) (610.53) (252.09) 852.33 301,626.92 1,223.06 256350005 LC-Project Fund-Toll 23136AEYG6 FN 13M9 AQ2212,133.02 - - - (967.00) (7.43) (251.71) (879.01) 210,027.88 316.95 256350005 LC-Project Fund-Toll 238147MAA3 GOLDMAN SACHS GROUP INC102,617.00 - - - - - (244.44) (3.56) 102,369.00 580.00 256350005 LC-Project Fund-Toll 205531FAP8 BB&T CORP261,385.80 - - - - - (236.83) 444.83 261,593.80 197.63 256350005 LC-Project Fund-Toll 200138CAA6 AIG GLOBAL FUNDING401,744.00 - - - - - (225.47) 121.47 401,640.00 1,943.33 256350005 LC-Project Fund-Toll 2912828UF5 UNITED STATES TREASURY656,981.00 - - - - - (215.04) (3,106.46) 653,659.50 1,848.00 256350005 LC-Project Fund-Toll 23137AH6B9 FHMS K015 A1148,536.86 - - - (10,664.39) (172.63) (212.96) (404.50) 137,082.39 254.55 256350005 LC-Project Fund-Toll 294988J5B9 WELLS FARGO BANK NA251,102.50 - - - - - (204.37) 261.87 251,160.00 710.79 256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY131,976.00 - - - - - (190.61) (424.29) 131,361.10 451.73 256350005 LC-Project Fund-Toll 23138ELY64 FN AL4332- 255,177.70 - - (13,480.55) (1,355.90) (189.35) (1,273.36) 238,878.54 1,092.83 256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY131,976.00 - - - - - (188.76) (426.14) 131,361.10 451.73 256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY131,976.00 - - - - - (187.83) (427.07) 131,361.10 451.73 256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY182,736.00 - - - - - (185.61) (665.79) 181,884.60 625.48 256350005 LC-Project Fund-Toll 246625HJF8 JPMORGAN CHASE & CO- 266,831.15 - - - - (184.83) (329.27) 266,317.05 808.15 256350005 LC-Project Fund-Toll 205531FAQ6 BB&T CORP- 204,374.00 - - - - (178.99) (385.01) 203,810.00 750.00 256350005 LC-Project Fund-Toll 23138L1TX7 FN AM1465306,417.76 - - - (1,758.85) (3.42) (173.18) 134.01 304,616.33 421.46 256350005LC-Project Fund-Toll 236159LBW5 GEDFT 122 A300,714.00 - - - - - (172.99) 202.99 300,744.00 117.50 256350005 LC-Project Fund-Toll 2828807CM7 SIMON PROPERTY GROUP LP401,712.00 - - - - - (171.10) (304.90) 401,236.00 1,000.00 256350005 LC-Project Fund-Toll 249327M2H6 KEYBANK NA401,904.00 - - - - - (164.50) 216.50 401,956.00 2,266.67 256350005 LC-Project Fund-Toll 246849LSL6 JACKSON NATIONAL LIFE GLOBAL FUNDING- 202,394.00 - - - - (153.11) (366.89) 201,874.00 1,729.17 256350005 LC-Project Fund-Toll 23137A85H7 FHR 3820F GJ141,761.53 - - - (10,690.48) (421.51) (142.38) (843.10) 129,664.06 362.71 256350005 LC-Project Fund-Toll 220772JL59 CONNECTICUT ST135,848.70 - - - - - (141.42) (1,167.68) 134,539.60 541.67 256350005 LC-Project Fund-Toll 258768WAD1 MBART 131 A4350,227.50 - - - (67,793.59) (77.57) (140.99) 87.01 282,302.36 141.73 256350005 LC-Project Fund-Toll 274256LAT6 PRINCIPAL LIFE GLOBAL FUNDING II- 361,533.60 - - - - (122.56) 118.96 361,530.00 402.63 256350005 LC-Project Fund-Toll 259217GAY5 METROPOLITAN LIFE GLOBAL FUNDING I251,440.00 - - - - - (118.77) (633.73) 250,687.50 843.75 256350005 LC-Project Fund-Toll 247787UAD5 JDOT 15 A3506,838.20 - - - - - (115.95) (454.70) 506,267.55 296.27 256350005 LC-Project Fund-Toll 231397SRT3 FNR 1124B PC- 274,754.71 - - (12,959.63) (487.34) (110.70) (2,532.54) 258,664.51 839.55 256350005 LC-Project Fund-Toll 2161571GJ7 CHAIT 141 A200,400.00 - - - - - (107.28) (172.72) 200,120.00 102.22 256350005 LC-Project Fund-Toll 258769AAD8 MBALT 15B A3175,442.75 - - - - - (106.60) 26.10 175,362.25 104.22 256350005 LC-Project Fund-Toll 246623EKD0 JPMORGAN CHASE & CO251,385.00 - - - - - (104.26) (520.74) 250,760.00 354.17 256350005 LC-Project Fund-Toll 258769AAD8 MBALT 15B A3170,430.10 - - - - - (103.56) 25.36 170,351.90 101.24 256350005 LC-Project Fund-Toll 2302154BL2 EXPORT IMPORT BANK OF KOREA200,276.00 - - - - - (102.82) 66.82 200,240.00 624.69 256350005 LC-Project Fund-Toll 238141GRC0 GOLDMAN SACHS GROUP INC81,075.20 - - - - - (98.86) (92.34) 80,884.00 364.17 256350005 LC-Project Fund-Toll 23137AQVV7 FHMS K709 A1167,576.63 - - - (17,257.01) (65.40) (95.00) (345.60) 149,813.62 194.16 256350005 LC-Project Fund-Toll 202582JGS3 AMXCA 142 A502,030.00 - - - - - (92.71) (932.29) 501,005.00 280.00 256350005 LC-Project Fund-Toll 2298785GK6 EUROPEAN INVESTMENT BANK275,275.00 - - - - - (85.08) (154.17) 275,035.75 1,089.50 256350005 LC-Project Fund-Toll 2912828UF5 UNITED STATES TREASURY783,323.50 - - - - - (84.89) (3,875.36) 779,363.25 2,203.38 256350005 LC-Project Fund-Toll 23136A2HB2 FNR 11111B PC- 564,786.17 - - (8,698.91) (186.62) (84.67) 2,280.11 558,096.08 1,020.63 256350005 LC-Project Fund-Toll 23136A8G38 FN 12M13A A2125,116.33 - - - (9,456.35) (15.21) (82.63) (140.83) 115,421.32 119.86 256350005 LC-Project Fund-Toll 231677QAV1 FIFTH THIRD BANK401,984.00 - - - - - (81.82) (1,230.18) 400,672.00 531.67 256350005 LC-Project Fund-Toll 23137AQT24 FHMS K708 A240,962.40 - - - (68.25) (1.23) (80.55) (204.18) 40,608.19 70.88 256350005 LC-Project Fund-Toll 2161571GJ7 CHAIT 141 A200,400.00 - - - - - (76.07) (203.93) 200,120.00 102.22 256350005 LC-Project Fund-Toll 200138CAA6 AIG GLOBAL FUNDING301,308.00 - - - - - (70.80) (7.20) 301,230.00 1,457.50 256350005 LC-Project Fund-Toll 255279HAH3 MANUFACTURERS AND TRADERS TRUST CO299,478.00 - - - - - (67.95) 655.95 300,066.00 574.88 256350005 LC-Project Fund-Toll 236225FLU1 G2 083038222,487.61 - - - (11,943.02) (391.83) (67.09) (306.87) 209,778.79 337.50 256350005 LC-Project Fund-Toll 262888WAA4NGN 10R3 1A297,233.78 - - - (11,675.82) (45.60) (66.74) 69.18 285,514.80 205.09 256350005 LC-Project Fund-Toll 23137A1LC5 FHR 3710F AB81,779.75 - - - (10,009.72) (121.53) (65.73) (129.25) 71,453.52 117.86 256350005 LC-Project Fund-Toll 269353RET1 PNC BANK NA- 302,925.00 - - - - (64.32) (304.68) 302,556.00 2,190.00 256350005 LC-Project Fund-Toll 274153WCE7 PRICOA GLOBAL FUNDING I- 200,466.00 - - - - (64.30) (427.70) 199,974.00 322.50 256350005 LC-Project Fund-Toll 2302154BL2 EXPORT IMPORT BANK OF KOREA- 200,196.00 - - - - (63.23) 107.23 200,240.00 624.69 256350005 LC-Project Fund-Toll 23137AH6B9 FHMS K015 A146,683.01 - - - (3,351.66) (51.16) (63.17) (133.99) 43,083.04 80.00 256350005 LC-Project Fund-Toll 2161571GQ1 CHAIT 147 A120,622.80 - - - - - (62.57) (110.23) 120,450.00 73.60 256350005 LC-Project Fund-Toll 2912828UR9 UNITED STATES TREASURY566,542.45 - - - - - (62.21) (1,305.09) 565,175.15 362.88 256350005 LC-Project Fund-Toll 238141EC49 GOLDMAN SACHS GROUP INC- 275,558.25 - - - - (61.02) 344.27 275,841.50 201.70 256350005 LC-Project Fund-Toll 2912828UR9 UNITED STATES TREASURY481,310.40 - - - - - (58.72) (1,102.88) 480,148.80 308.29 256350005 LC-Project Fund-Toll 2928668AF9 VOLKSWAGEN GROUP OF AMERICA FINANCE LLC300,126.00 - - - - - (54.15) (731.85) 299,340.00 1,746.67 256350005 LC-Project Fund-Toll 262888YAA0NGN 11R1 NTS203,611.67 - - - (12,571.26) (46.81) (53.15) 57.16 190,997.61 123.19 256350005 LC-Project Fund-Toll 290261XHJ4 UBS AG (STAMFORD BRANCH)- 250,817.50 - - - - (52.33) (60.17) 250,705.00 54.05 256350005 LC-Project Fund-Toll 2298785GK6 EUROPEAN INVESTMENT BANK300,300.00 - - - - - (48.64) (212.36) 300,039.00 1,188.54 256350005 LC-Project Fund-Toll 2912828VK3 UNITED STATES TREASURY55,836.00 - - - - - (48.60) (211.55) 55,575.85 191.12 256350005 LC-Project Fund-Toll 26174467V5 MORGAN STANLEY70,676.20 - - - - - (46.89) 179.89 70,809.20 263.72 256350005 LC-Project Fund-Toll 238378NNA7 GNR 13194 AB579,059.70 - - - (55,132.90) (355.81) (46.15) (2,800.27) 520,724.57 970.82 256350005 LC-Project Fund-Toll 262888WAA4NGN 10R3 1A220,173.17 - - - (8,648.76) (30.60) (44.87) 43.50 211,492.44 151.92 256350005 LC-Project Fund-Toll 294988J5E3 WELLS FARGO BANK NA- 255,731.85 - - - - (42.02) 641.27 256,331.10 383.68 256350005 LC-Project Fund-Toll 23133EECD0 FEDERAL FARM CREDIT BANKS FUNDING CORP499,865.00 - - - - - (38.57) 543.57 500,370.00 85.83 256350005 LC-Project Fund-Toll 265819WAC7 NORTH CAROLINA EASTN MUN PWR AGY REV35,394.45 - - - - - (35.82) (19.13) 35,339.50 175.26 256350005 LC-Project Fund-Toll 23137ANLP8 FHMS K501 A255,579.46 - - - (50,977.06) (33.38) (34.67) 54.10 4,588.45 6.33 256350005 LC-Project Fund-Toll 236225FGM5 G2 082903105,974.17 - - - (7,649.55) (257.93) (33.40) 206.80 98,240.08 148.68 256350005 LC-Project Fund-Toll 236225EUY6 G2 08239896,777.18 - - - (847.22) (23.21) (28.26) 855.46 96,733.95 146.68 256350005 LC-Project Fund-Toll 265819WAC7 NORTH CAROLINA EASTN MUN PWR AGY REV30,338.10 - - - - - (25.48) (21.62) 30,291.00 150.23 256350005 LC-Project Fund-Toll 23137ANLP8 FHMS K501 A241,684.59 - - - (38,232.79) (23.69) (25.48) 38.71 3,441.34 4.75 256350005 LC-Project Fund-Toll 2161571HB3 CHAIT 161 A500,145.00 - - - - - (25.47) 2,025.47 502,145.00 207.62 256350005 LC-Project Fund-Toll 2161571GJ7 CHAIT 141 A100,200.00 - - - - - (22.91) (117.09) 100,060.00 51.11 256350005 LC-Project Fund-Toll 206367XF30 BANK OF MONTREAL- 500,975.00 - - - - (19.86) (2,300.14) 498,655.00 2,576.39 256350005 LC-Project Fund-Toll 243814KAC5 HAROT 151 A3600,948.00 - - - (28,193.56) (3.17) (17.22) (721.75) 572,012.29 266.84 256350005 LC-Project Fund-Toll 259217GAZ2 METROPOLITAN LIFE GLOBAL FUNDING I151,486.50 - (151,359.45) - - 1,221.50 (15.26) (1,333.30) - - 256350005 LC-Project Fund-Toll 23136A8G38 FN 12M13A A259,579.20 - - - (4,503.02) (0.17) (13.98) (99.49) 54,962.53 57.08 256350005 LC-Project Fund-Toll 245818WAN6 INTER-AMERICAN DEVELOPMENT BANK249,985.00 - - - - - (12.09) 72.09 250,045.00 110.23 256350005 LC-Project Fund-Toll 265474VAL5 NMOTR-16A-A2- 224,967.96 - - - - (6.21) (708.75) 224,253.00 154.00 Page 13 of 3349
Source Account Account Identifier DescriptionBeginning Base Market Value Base Purchases Base SalesBase Maturities and Redemptions Base PaydownsNet Total Realized Gain/LossBase Amortization/AccretionBase Change In Net Unrealized Gain/LossEnding Base Market ValueEnding Accrued Income BalanceSTAMP Portfolio Transaction Report by AccountQuarter ended September 30, 2016256350005 LC-Project Fund-Toll 260689LAC9 MMAF 13A A360,722.07 - - - (21,862.66) (3.19) (3.66) 11.24 38,863.79 24.46 256350005 LC-Project Fund-Toll 24581X0CJ5 INTER-AMERICAN DEVELOPMENT BANK100,043.00 - (100,006.00) - - 3.32 (3.63) (36.69) - - 256350005 LC-Project Fund-Toll 2166754AK7 CHEVRON PHILLIPS CHEMICAL COMPANY LLC- 100,045.00 - - - - (3.15) (138.85) 99,903.00 708.33 256350005 LC-Project Fund-Toll 2748148RV7 QUEBEC, PROVINCE OF99,764.00 - - - - - (1.58) 326.58 100,089.00 73.97 256350005 LC-Project Fund-Toll 23136A7L26 FN 12M9 AQ2- 98,783.33 - - - - (1.48) (53.49) 98,728.36 124.13 256350005 LC-Project Fund-Toll 294974BFK1 WELLS FARGO & CO300,690.00 - (300,711.00) - - 669.36 (0.90) (647.46) - - 256350005 LC-Project Fund-Toll 240428HPQ9 HSBC USA INC250,157.50 - - - - - (0.81) 355.81 250,512.50 306.94 256350005 LC-Project Fund-Toll 294974BFK1 WELLS FARGO & CO140,322.00 - (140,331.80) - - 307.56 (0.52) (297.23) - - 256350005 LC-Project Fund-Toll 205531FAP8 BB&T CORP120,639.60 - - - - - (0.41) 96.41 120,735.60 91.21 256350005 LC-Project Fund-Toll 29AMMF05B2 U.S. Bank Money Market Account Fund419,117.65 23,267,365.78 (21,276,655.13) - - - - - 2,409,828.30 - 256350005 LC-Project Fund-Toll 2865622CB8 SUMITOMO MITSUI BANKING CORP251,742.50 - - - - - - (480.00) 251,262.50 836.53 256350005 LC-Project Fund-Toll 274368CAD6 PROTECTIVE LIFE GLOBAL FUNDING- 295,000.00 - - - - - (451.35) 294,548.65 216.62 256350005 LC-Project Fund-Toll 2037833BR0 APPLE INC152,146.50 - - - - - - 184.50 152,331.00 266.03 256350005 LC-Project Fund-Toll 289114QBF4 TORONTO-DOMINION BANK125,841.25 - - - - - - 66.25 125,907.50 380.05 256350005 LC-Project Fund-Toll 294988J5B9 WELLS FARGO BANK NA251,102.50 - - - - - - 57.50 251,160.00 710.79 256350005 LC-Project Fund-Toll 2500769GE8 KFW325,009.75 - - (325,000.00) - - - (9.75) - - 256350005 LC-Project Fund-Toll 244890MG14 Hyundai Capital America1,200,000.00 - - (1,200,000.00) - - - - - - 256350005 LC-Project Fund-Toll 2CCYUSD Payable(667,717.13) - - - - - - - - - 256350005 LC-Project Fund-Toll 2CCYUSD Receivable554,433.08 - - - - - - - - - 256350005 LC-Project Fund-Toll 265819WAC7 NORTH CAROLINA EASTN MUN PWR AGY REV126,408.75 - - - - - - (196.25) 126,212.50 625.94 256350005 LC-Project Fund-Toll 2544587B98 LOS ANGELES CALIF MUN IMPT CORP LEASE REV163,928.00 - - - - - - (835.20) 163,092.80 1,562.67 256350005 LC-Project Fund-Toll 202665WBB6 AMERICAN HONDA FINANCE CORP121,328.40 - - - - - - 120.00 121,448.40 218.13 256350005 LC-Project Fund-Toll 2477877AD6 JDOT 14B A3361,958.05 - - - (66,256.72) 0.00 - (27.83) 295,673.50 140.55 256350005 LC-Project Fund-Toll 231374CNE2 FN 310089- - - - - - - - - - 256350005 LC-Project Fund-Toll 2937308AZ7 WBRP 3.2 WASHINGTON BIOMEDICAL RESH PPTYS WASH LE95,666.90 - - - - - - (304.00) 95,362.90 117.56 256350005 LC-Project Fund-Toll 255279HAA8 MANUFACTURERS AND TRADERS TRUST CO400,908.00 - - - - - 0.01 (984.01) 399,924.00 386.67 256350005 LC-Project Fund-Toll 2842434CN0 SOUTHERN CALIFORNIA GAS CO252,417.50 - - - - - 0.64 (798.14) 251,620.00 1,140.97 256350005 LC-Project Fund-Toll 255315FAB6 MMAF 16A A2275,269.50 - - - - - 0.95 230.05 275,500.50 169.89 256350005 LC-Project Fund-Toll 265478QAD0 NALT 16A A3155,469.65 - - - - - 0.99 (138.94) 155,331.70 102.64 256350005 LC-Project Fund-Toll 20258M0DZ9 AMERICAN EXPRESS CREDIT CORP151,596.00 - - - - - 1.11 (371.61) 151,225.50 1,140.63 256350005 LC-Project Fund-Toll 213607RAB6 CANADIAN IMPERIAL BANK OF COMMERCE- 429,922.60 - - - - 1.75 79.95 430,004.30 477.78 256350005 LC-Project Fund-Toll 269353RET1 PNC BANK NA253,032.50 - (252,397.50) - - 2,424.40 2.43 (3,061.84) - - 256350005 LC-Project Fund-Toll 258769AAD8 MBALT 15B A3255,645.15 - - - - - 3.92 (121.22) 255,527.85 151.87 256350005 LC-Project Fund-Toll 245950KBY5 INTERNATIONAL FINANCE CORP99,994.00 - - (100,000.00) - - 4.51 1.49 - - 256350005 LC-Project Fund-Toll 2477877AD6 JDOT 14B A390,489.51 - - - (16,564.18) 5.28 4.87 (17.10) 73,918.38 35.14 256350005 LC-Project Fund-Toll 246849LSL6 JACKSON NATIONAL LIFE GLOBAL FUNDING151,759.50 - - - - - 6.44 (360.44) 151,405.50 1,296.88 256350005 LC-Project Fund-Toll 245950KBY5 INTERNATIONAL FINANCE CORP499,970.00 - - (500,000.00) - - 6.69 23.31 - - 256350005 LC-Project Fund-Toll 225152RVQ3 DEUTSCHE BANK AG (LONDON BRANCH)14,984.70 - (14,971.55) - - (18.07) 6.82 (1.90) - - 256350005 LC-Project Fund-Toll 258772PAC2 MBART 151 A2B268,822.80 - - - (86,439.69) (33.96) 8.96 (47.67) 182,310.45 64.34 256350005 LC-Project Fund-Toll 2912828TG5 UNITED STATES TREASURY24,992.25 - - - - - 9.78 (25.53) 24,976.50 21.06 256350005LC-Project Fund-Toll 262944BBC7 BANK NEDERLANDSE GEMEENTEN NV299,703.00 - - - - - 9.95 320.05 300,033.00 489.37 256350005 LC-Project Fund-Toll 246623EKD0 JPMORGAN CHASE & CO180,997.20 - - - - - 12.23 (462.23) 180,547.20 255.00 256350005 LC-Project Fund-Toll 2161571BQ6 CHAIT 072A A299,793.00 - - - - - 23.00 334.00 300,150.00 76.57 256350005 LC-Project Fund-Toll 291476PPG7 UNIVERSITY OKLA REVS82,361.60 - - - - - 23.86 (197.46) 82,188.00 469.80 256350005 LC-Project Fund-Toll 255315GAC2 MMAF 15A A335,043.40 - - - - - 24.18 (37.83) 35,029.75 20.27 256350005 LC-Project Fund-Toll 2446438RR6HUNTINGTON NATIONAL BANK253,060.00 - - - - - 24.76 37.74 253,122.50 2,215.28 256350005 LC-Project Fund-Toll 2955116AZ1 WEST PALM BEACH FLA SPL OBLIG230,535.90 - - - - - 26.61 (516.51) 230,046.00 604.39 256350005 LC-Project Fund-Toll 217401QAC5 CITIZENS BANK NA253,272.50 - - - - - 26.75 (411.75) 252,887.50 1,884.72 256350005 LC-Project Fund-Toll 290261XHJ4 UBS AG (STAMFORD BRANCH)250,215.00 - - - - - 29.29 460.71 250,705.00 54.05 256350005 LC-Project Fund-Toll 2748148RV7 QUEBEC, PROVINCE OF149,646.00 - - - - - 31.05 456.45 150,133.50 110.95 256350005 LC-Project Fund-Toll 2166754AK7 CHEVRON PHILLIPS CHEMICAL COMPANY LLC299,310.00 - - - - - 31.82 367.18 299,709.00 2,125.00 256350005 LC-Project Fund-Toll 222546QAM9 CREDIT SUISSE AG (NEW YORK BRANCH)299,817.00 - - - - - 34.36 226.64 300,078.00 394.63 256350005 LC-Project Fund-Toll 259217GAY5 METROPOLITAN LIFE GLOBAL FUNDING I301,728.00 - - - - - 34.45 (937.45) 300,825.00 1,012.50 256350005 LC-Project Fund-Toll 255315GAC2 MMAF 15A A3247,306.28 - - - - - 35.29 (131.62) 247,209.95 143.05 256350005 LC-Project Fund-Toll 202582JGG9 AMXCA 132 A300,219.00 - - - - - 35.57 684.43 300,939.00 125.90 256350005 LC-Project Fund-Toll 2233851CF9 DAIMLER FINANCE NORTH AMERICA LLC- 369,448.70 - - - - 42.62 (1,548.52) 367,942.80 1,310.42 256350005 LC-Project Fund-Toll 2748148RV7 QUEBEC, PROVINCE OF124,705.00 - - - - - 45.51 360.74 125,111.25 92.46 256350005 LC-Project Fund-Toll 2828807CM7 SIMON PROPERTY GROUP LP140,599.20 - - - - - 49.90 (216.50) 140,432.60 350.00 256350005 LC-Project Fund-Toll 2553794AA6 MUFG AMERICAS HOLDINGS CORP50,047.50 - - - - - 49.98 (21.98) 50,075.50 117.36 256350005 LC-Project Fund-Toll 236159LCR5 GEDFT 151 A109,654.60 - - - - - 51.83 234.17 109,940.60 34.68 256350005 LC-Project Fund-Toll 2500769FZ2 KFW249,995.00 - - - - - 54.73 (52.23) 249,997.50 460.07 256350005 LC-Project Fund-Toll 274153WCE7 PRICOA GLOBAL FUNDING I301,020.00 - - - - - 56.40 (1,115.40) 299,961.00 483.75 256350005 LC-Project Fund-Toll 216677AG66 Chevron Phillips Chemical Company LLC699,944.00 - - (700,000.00) - - 58.34 (2.34) - - 256350005 LC-Project Fund-Toll 249130TRY4 KENTUCKY HSG CORP HSG REV275,382.25 - - - - - 60.25 (376.50) 275,066.00 644.19 256350005 LC-Project Fund-Toll 2912828UA6 UNITED STATES TREASURY120,098.40 - - - - - 61.49 (253.49) 119,906.40 252.05 256350005 LC-Project Fund-Toll 246623EKD0 JPMORGAN CHASE & CO301,662.00 - - - - - 63.45 (813.45) 300,912.00 425.00 256350005 LC-Project Fund-Toll 240428HPQ9 HSBC USA INC145,091.35 - - - - - 67.16 138.74 145,297.25 178.03 256350005 LC-Project Fund-Toll 290290KAD7 USAOT 141 A4445,102.35 - - - - - 74.21 (140.96) 445,035.60 185.91 256350005 LC-Project Fund-Toll 238378BR35 GNR 12142 AB332,298.38 - - - (2,459.12) 54.80 75.79 (1,290.10) 328,679.75 372.80 256350005 LC-Project Fund-Toll 2912828UA6 UNITED STATES TREASURY800,656.00 - - - - - 84.04 (1,364.04) 799,376.00 1,680.33 256350005LC-Project Fund-Toll 2912828UA6 UNITED STATES TREASURY170,139.40 - - - - - 84.30 (356.30) 169,867.40 357.07 256350005 LC-Project Fund-Toll 206050TLY6 BANK OF AMERICA NA301,800.00 - - - - - 92.08 (647.08) 301,245.00 68.75 256350005 LC-Project Fund-Toll 2500769FZ2 KFW289,994.20 - - - - - 92.10 (89.20) 289,997.10 533.68 256350005 LC-Project Fund-Toll 262944BBC7 BANK NEDERLANDSE GEMEENTEN NV274,727.75 - - - - - 98.70 203.80 275,030.25 448.59 256350005 LC-Project Fund-Toll 247787UAD5 JDOT 15 A395,345.80 - - - - - 99.33 (206.68) 95,238.45 55.73 256350005 LC-Project Fund-Toll 207787PG51 The Bell Telephone Company of Canada Or Bell Canad1,199,928.00 - - (1,200,000.00) - - 102.67 (30.67) - - 256350005 LC-Project Fund-Toll 2161571FK5 CHAIT 124 A151,951.50 - - - - - 109.41 (743.91) 151,317.00 105.33 256350005 LC-Project Fund-Toll 205634BG69 Bacardi U.S.A., Inc.999,920.00 - - (1,000,000.00) - - 109.72 (29.72) - - 256350005 LC-Project Fund-Toll 2553794AA6 MUFG AMERICAS HOLDINGS CORP300,285.00 - - - - - 121.30 46.70 300,453.00 704.17 256350005 LC-Project Fund-Toll 249327M2H6 KEYBANK NA251,190.00 - - - - - 123.35 (90.85) 251,222.50 1,416.67 256350005 LC-Project Fund-Toll 222546QAM9 CREDIT SUISSE AG (NEW YORK BRANCH)254,844.45 - - - - - 132.58 89.27 255,066.30 335.44 256350005 LC-Project Fund-Toll 278513KG70 S&P Global Inc.1,199,892.00 - - (1,200,000.00) - - 170.00 (62.00) - - 256350005 LC-Project Fund-Toll 244331BG56 HP Inc.1,999,880.00 - - (2,000,000.00) - - 175.55 (55.55) - - 256350005 LC-Project Fund-Toll 243357LG71 Hitachi Capital America Corp.1,199,892.00 - - (1,200,000.00) - - 180.00 (72.00) - - Page 14 of 3350
Source Account Account Identifier DescriptionBeginning Base Market Value Base Purchases Base SalesBase Maturities and Redemptions Base PaydownsNet Total Realized Gain/LossBase Amortization/AccretionBase Change In Net Unrealized Gain/LossEnding Base Market ValueEnding Accrued Income BalanceSTAMP Portfolio Transaction Report by AccountQuarter ended September 30, 2016256350005 LC-Project Fund-Toll 2912828UA6 UNITED STATES TREASURY375,307.50 - - - - - 181.30 (781.30) 374,707.50 787.65 256350005 LC-Project Fund-Toll 255279HAH3 MANUFACTURERS AND TRADERS TRUST CO249,565.00 - - - - - 190.27 299.73 250,055.00 479.07 256350005 LC-Project Fund-Toll 206050TKX9 BANK OF AMERICA, N.A.249,182.50 - - - - - 204.97 497.53 249,885.00 127.81 256350005 LC-Project Fund-Toll 2912828UF5 UNITED STATES TREASURY2,375,239.00 - - - - - 233.21 (12,241.71) 2,363,230.50 6,681.22 256350005 LC-Project Fund-Toll 269430LGJ1 Pacific Gas and Electric Company899,766.00 - - (900,000.00) - - 297.50 (63.50) - - 256350005 LC-Project Fund-Toll 26821A2GC5 Omnicom Capital Inc.- 1,499,679.17 - (1,500,000.00) - - 320.83 - - - 256350005 LC-Project Fund-Toll 292780JHF1 Virginia Electric and Power Company- 1,074,675.11 - (1,075,000.00) - - 324.89 - - - 256350005 LC-Project Fund-Toll 23454G0K56 Ford Motor Credit Company LLC- 599,574.17 - - - - 377.16 30.67 599,982.00 - 256350005 LC-Project Fund-Toll 282484LGJ9 Shiseido Americas Corporation- 1,374,610.42 - (1,375,000.00) - - 389.58 - - - 256350005 LC-Project Fund-Toll 206050TKX9 BANK OF AMERICA, N.A.254,166.15 - - - - - 415.99 300.56 254,882.70 130.37 256350005 LC-Project Fund-Toll 289352HAP4 TRANSCANADA PIPELINES LTD149,365.50 - - - - - 429.70 (326.20) 149,469.00 491.77 256350005 LC-Project Fund-Toll 2912828UR9 UNITED STATES TREASURY1,709,654.65 - - - - - 537.26 (4,663.36) 1,705,528.55 1,095.06 256350005 LC-Project Fund-Toll 2912828TG5 UNITED STATES TREASURY874,728.75 - - - - - 612.89 (1,164.14) 874,177.50 737.09 256350005 LC-Project Fund-Toll 227743JHC0 Eastman Chemical Company- 1,499,330.84 - (1,500,000.00) - - 669.16 - - - 256350005 LC-Project Fund-Toll 291842LH98 VW Credit, Inc.- 1,499,273.75 - (1,500,000.00) - - 726.25 - - - 256350005 LC-Project Fund-Toll 2912828TG5 UNITED STATES TREASURY699,783.00 - - - - - 756.12 (1,197.12) 699,342.00 589.67 256350005 LC-Project Fund-Toll 283701LJE2 South Carolina Fuel Company, Inc.- 1,499,156.25 - (1,500,000.00) - - 843.75 - - - 256350005 LC-Project Fund-Toll 258507AJC8 Medtronic Global Holdings S.C.A.- 1,499,136.66 - (1,500,000.00) - - 863.34 - - - 256350005 LC-Project Fund-Toll 266807MHK6 NorthWestern Corporation- 1,499,093.75 - (1,500,000.00) - - 906.25 - - - 256350005 LC-Project Fund-Toll 227805AHR1 Eaton Corporation- 1,499,018.34 - (1,500,000.00) - - 981.66 - - - 256350005 LC-Project Fund-Toll 26821A2JD0 Omnicom Capital Inc.- 1,498,973.34 - (1,500,000.00) - - 1,026.66 - - - 256350005 LC-Project Fund-Toll 23454G0HN1 Ford Motor Credit Company LLC- 1,498,965.84 - (1,500,000.00) - - 1,034.16 - - - 256350005LC-Project Fund-Toll 283701LGU9 South Carolina Fuel Company, Inc.1,499,370.00 - - (1,500,000.00) - - 1,057.49 (427.49) - - 256350005 LC-Project Fund-Toll 2912828UA6 UNITED STATES TREASURY2,001,640.00 - - - - - 1,061.89 (4,261.89) 1,998,440.00 4,200.82 256350005 LC-Project Fund-Toll 22254EAMN0 Credit Suisse (USA), Inc.- 1,096,327.53 - - - - 1,141.86 374.61 1,097,844.00 - 256350005 LC-Project Fund-Toll 243357LHC9 Hitachi Capital America Corp.- 1,498,837.50 - (1,500,000.00) - - 1,162.50 - - - 256350005 LC-Project Fund-Toll 2912828K33 UNITED STATES TREASURY522,481.95 - - - - - 2,995.09 (1,617.11) 523,859.92 296.58 256350005 LC-Project Fund-Toll 2912828K33 UNITED STATES TREASURY522,481.95 - - - - - 3,005.80 (1,627.83) 523,859.92 296.58 256350005 LC-Project Fund-Toll 2912828K33 UNITED STATES TREASURY1,149,460.29 - - - - - 5,817.08 (2,785.54) 1,152,491.83 652.47 68,423,061.24 52,283,972.45 (22,236,432.43) (29,275,000.00) (698,533.02) (2,339.45) (23,016.12) (118,404.59) 68,466,592.13 202,953.07 256350022 LC-Sr Lien Ob Fund-1 Interest 63307EAB3 NATIONAL BANK OF CANADA902,934.00 - - - - - (3,330.60) 837.60 900,441.00 8,910.00 256350022 LC-Sr Lien Ob Fund-1 Interest 48121CYK6 JPMORGAN CHASE BANK NA316,863.00 - - - - - (2,516.75) (1,470.25) 312,876.00 9,000.00 256350022 LC-Sr Lien Ob Fund-1 Interest 02580ECC5 AMERICAN EXPRESS BANK LTD.263,375.00 - - - - - (2,324.18) (300.82) 260,750.00 750.00 256350022 LC-Sr Lien Ob Fund-1 Interest 38144LAB6 GOLDMAN SACHS GROUP INC316,863.00 - - - - - (1,422.99) (2,495.01) 312,945.00 1,562.50 256350022 LC-Sr Lien Ob Fund-1 Interest 891145TN4 TORONTO DOMINION BANK702,786.00 - - - - - (1,004.55) (346.45) 701,435.00 525.00 256350022 LC-Sr Lien Ob Fund-1 Interest 89236TAY1 TOYOTA MOTOR CREDIT CORP509,715.00 - - - - - (438.04) (1,961.96) 507,315.00 4,361.11 256350022 LC-Sr Lien Ob Fund-1 Interest 31385JLF3 FN 54582657,365.49 - - - (18,974.00) (355.41) (242.37) 93.47 37,887.19 187.26 256350022 LC-Sr Lien Ob Fund-1 Interest 31393V2T7 FHR 2627E GY104,725.67 - - - (19,609.29) (367.15) (198.18) 242.39 84,793.44 311.00 256350022 LC-Sr Lien Ob Fund-1 Interest 166764AE0 CHEVRON CORP303,504.00 - - - - - (158.36) (702.64) 302,643.00 1,388.72 256350022 LC-Sr Lien Ob Fund-1 Interest 78011DAC8 ROYAL BANK OF CANADA701,519.00 - - - - - (82.99) (1,737.01) 699,699.00 280.00 256350022 LC-Sr Lien Ob Fund-1 Interest 3136A4M89 FN 12M3B 2A1163,226.73 - - - (5,082.40) (11.13) (55.99) (886.15) 157,191.06 251.07 256350022 LC-Sr Lien Ob Fund-1 Interest 31402RBG3 FN 73543931,639.20 - - - (7,981.60) (266.27) (45.96) 16.31 23,361.68 113.64 256350022 LC-Sr Lien Ob Fund-1 Interest 31393EXC8 FNR 0388E TH20,629.17 - - - (3,752.87) (81.52) (40.20) (27.72) 16,726.85 61.32 256350022 LC-Sr Lien Ob Fund-1 Interest 31402RBG3 FN 7354392,462.19 - - - (621.14) (18.73) (3.28) (1.02) 1,818.03 8.84 256350022 LC-Sr Lien Ob Fund-1 Interest 912828K41 UNITED STATES TREASURY200,030.00 - - - - - (0.25) 8.25 200,038.00 133.85 256350022 LC-Sr Lien Ob Fund-1 Interest 9AMMF05B2 U.S. Bank Money Market Account Fund75,774.61 312,261.34 (374,361.66) - - - - - 13,674.29 - 256350022 LC-Sr Lien Ob Fund-1 Interest CCYUSD Cash- - - - - 0.00 - - - - 256350022 LC-Sr Lien Ob Fund-1 Interest 235219JS2 DALLAS TEX654,511.00 - - - - - - (2,242.50) 652,268.50 1,319.75 256350022 LC-Sr Lien Ob Fund-1 Interest 43357LKR2 Hitachi Capital America Corp.- 99,940.97 - - - - 2.36 23.67 99,967.00 - 256350022 LC-Sr Lien Ob Fund-1 Interest 912828J84 UNITED STATES TREASURY50,945.50 - - - - - 34.11 (325.11) 50,654.50 1.89 256350022 LC-Sr Lien Ob Fund-1 Interest 30231GAL6 EXXON MOBIL CORP423,276.00 - - - - - 43.38 (2,046.78) 421,272.60 380.63 256350022 LC-Sr Lien Ob Fund-1 Interest 78355AHP2 Ryder System, Inc.- 104,940.79 - (105,000.00) - - 59.21 - - - 256350022 LC-Sr Lien Ob Fund-1 Interest 92780JH20 Virginia Electric and Power Company149,917.50 - - (150,000.00) - - 94.66 (12.16) - - 256350022 LC-Sr Lien Ob Fund-1 Interest 46625HJL5 JPMORGAN CHASE & CO501,955.00 - - - - - 207.37 (1,117.37) 501,045.00 3,069.44 256350022 LC-Sr Lien Ob Fund-1 Interest 3137ASNH3 FHMS K019 A1316,854.74 - - - (13,275.56) 221.35 261.07 (2,009.33) 302,052.26 367.12 256350022 LC-Sr Lien Ob Fund-1 Interest 94974BGF1 WELLS FARGO & CO610,176.00 - - - - - 266.80 (6,074.80) 604,368.00 2,185.83 256350022 LC-Sr Lien Ob Fund-1 Interest 0255E2KC3 American Electric Power Company, Inc.- 274,656.25 - - - - 268.13 39.88 274,964.25 - 256350022 LC-Sr Lien Ob Fund-1 Interest 912828RX0 UNITED STATES TREASURY952,194.50 - - - - - 369.02 (1,176.52) 951,387.00 2,100.71 256350022 LC-Sr Lien Ob Fund-1 Interest 912828J84 UNITED STATES TREASURY560,400.50 - - - - - 420.06 (3,621.06) 557,199.50 20.78 256350022 LC-Sr Lien Ob Fund-1 Interest 05565QCC0 BP CAPITAL MARKETS PLC301,047.00 - - - - - 459.23 (1,479.23) 300,027.00 1,661.46 256350022 LC-Sr Lien Ob Fund-1 Interest 3136A8G38 FN 12M13A A2554,086.61 - - - (41,878.15) 192.35 563.39 (1,812.65) 511,151.54 530.81 256350022 LC-Sr Lien Ob Fund-1 Interest 912828UZ1 UNITED STATES TREASURY700,462.00 - - - - - 565.69 (2,175.69) 698,852.00 1,830.84 256350022 LC-Sr Lien Ob Fund-1 Interest 912828UA6 UNITED STATES TREASURY1,200,984.00 - - - - - 1,963.90 (3,883.90) 1,199,064.00 2,520.49 11,650,222.42 791,799.35 (374,361.66) (255,000.00) (111,175.01) (686.52) (6,286.32) (36,644.55) 11,657,867.70 43,834.07 256350023 LC-Sr Lien Reserve Fund-1 3137EACA5 FREDDIE MAC863,744.00 - (32,241.21) - - 860.93 (3,225.97) (6,100.14) 823,037.60 320.83 256350023 LC-Sr Lien Reserve Fund-13137A7JU5 FHMS K701 A2334,925.50 - (332,261.72) - - 950.32 (1,081.04) (2,533.05) - - 256350023 LC-Sr Lien Reserve Fund-131381Q6B7 FN 468066- 212,362.19 - - (470.06) (51.69) (926.02) 1,367.19 212,281.61 683.65 256350023 LC-Sr Lien Reserve Fund-131413XVG5 FN 958815208,638.00 - - - - - (819.25) (1,192.75) 206,626.00 751.00 256350023 LC-Sr Lien Reserve Fund-1912828RC6 UNITED STATES TREASURY500,569.25 - - - - - (738.02) (3,788.73) 496,042.50 1,289.15 256350023 LC-Sr Lien Reserve Fund-1912828XB1 UNITED STATES TREASURY1,267,548.00 - - - - - (733.60) (12,250.40) 1,254,564.00 9,631.79 256350023 LC-Sr Lien Reserve Fund-1912828B58 UNITED STATES TREASURY767,580.40 - - - - - (649.01) (6,191.09) 760,740.30 2,613.52 256350023 LC-Sr Lien Reserve Fund-13136G3JZ9 FEDERAL NATIONAL MORTGAGE ASSOCIATION200,918.00 - - - - - (626.38) (117.62) 200,174.00 1,722.22 256350023 LC-Sr Lien Reserve Fund-1912828RC6 UNITED STATES TREASURY1,369,979.00 - - - - - (566.50) (11,822.50) 1,357,590.00 3,528.19 256350023 LC-Sr Lien Reserve Fund-1912828B58 UNITED STATES TREASURY525,740.00 - - - - - (539.14) (4,145.86) 521,055.00 1,790.08 256350023 LC-Sr Lien Reserve Fund-13137EADB2 FEDERAL HOME LOAN MORTGAGE CORP211,830.00 - - - - - (335.26) (886.74) 210,608.00 1,029.17 256350023 LC-Sr Lien Reserve Fund-131404WTT3 FN 78096257,622.85 - - - (8,903.17) (513.62) (279.73) 535.88 48,462.21 176.73 256350023 LC-Sr Lien Reserve Fund-13137AEV77 FHMS K703 A2256,268.17 - (254,262.75) - (1,127.57) 2,850.97 (264.57) (3,464.26) - - 256350023 LC-Sr Lien Reserve Fund-1912828VV9 UNITED STATES TREASURY157,324.50 - - - - - (264.56) (995.44) 156,064.50 272.96 256350023 LC-Sr Lien Reserve Fund-13128MMAK9 FH G18009105,310.88 - - - (12,762.71) (454.05) (221.02) (151.05) 91,722.04 369.45 256350023 LC-Sr Lien Reserve Fund-131381PEB0 FN 466430284,053.15 - - - (1,076.43) (32.97) (214.79) (2,188.12) 280,540.83 734.11 256350023 LC-Sr Lien Reserve Fund-13137B1U75 FHMS KS01 A2- 394,917.97 - - - - (212.93) 23.76 394,728.80 798.63 256350023 LC-Sr Lien Reserve Fund-131395EZP5 FHR 2835G MD64,758.56 - - - (8,830.86) (225.28) (200.64) 321.68 55,823.46 204.13 Page 15 of 3351
Source Account Account Identifier DescriptionBeginning Base Market Value Base Purchases Base SalesBase Maturities and Redemptions Base PaydownsNet Total Realized Gain/LossBase Amortization/AccretionBase Change In Net Unrealized Gain/LossEnding Base Market ValueEnding Accrued Income BalanceSTAMP Portfolio Transaction Report by AccountQuarter ended September 30, 2016256350023 LC-Sr Lien Reserve Fund-131418AFW3 FN MA1080185,914.04 - - - (14,400.59) (314.58) (181.57) (11.45) 171,005.85 406.82 256350023 LC-Sr Lien Reserve Fund-1912828B58 UNITED STATES TREASURY152,464.60 - - - - - (171.41) (1,187.24) 151,105.95 519.12 256350023 LC-Sr Lien Reserve Fund-138377RVK8 GNR 10166F GP106,549.03 - - - (5,153.17) (87.64) (152.36) (636.37) 100,519.49 242.14 256350023 LC-Sr Lien Reserve Fund-138377JZ89 GNR 10117A GK125,250.94 - - - (11,378.56) (289.56) (143.00) (712.74) 112,727.09 316.30 256350023 LC-Sr Lien Reserve Fund-138376GB33 GNR 116 BA340,123.53 - - - (11,832.96) (283.56) (132.10) (389.59) 327,485.32 941.69 256350023 LC-Sr Lien Reserve Fund-13136A7MN9 FN 12M8 A2- 308,578.13 - - - - (126.54) (582.59) 307,869.00 587.35 256350023 LC-Sr Lien Reserve Fund-138376T5Z1 GNR 104A PD147,859.20 - - - (6,912.68) (276.87) (125.69) (747.02) 139,796.95 336.52 256350023 LC-Sr Lien Reserve Fund-13138EJPZ5 FN AL2239- 360,024.87 - - - - (120.30) 1,269.90 361,174.48 839.77 256350023 LC-Sr Lien Reserve Fund-138377RVK8 GNR 10166F GP63,929.42 - - - (3,091.91) (99.08) (116.06) (310.67) 60,311.69 145.28 256350023 LC-Sr Lien Reserve Fund-138377RSZ9 GNR 10162D PQ51,557.90 - - - (6,125.96) (328.86) (114.89) (154.41) 44,833.79 161.99 256350023 LC-Sr Lien Reserve Fund-1912828B58 UNITED STATES TREASURY120,920.20 - - - - - (104.57) (972.98) 119,842.65 411.72 256350023 LC-Sr Lien Reserve Fund-1912828VV9 UNITED STATES TREASURY89,150.55 - - - - - (82.10) (631.90) 88,436.55 154.68 256350023 LC-Sr Lien Reserve Fund-13136AEYG6 FN 13M9 AQ2136,085.34 - - - (620.33) (1.75) (72.76) (655.63) 134,734.87 203.32 256350023 LC-Sr Lien Reserve Fund-13137AQT24 FHMS K708 A2174,090.20 - - - (290.08) (0.69) (65.43) (1,149.19) 172,584.81 301.24 256350023 LC-Sr Lien Reserve Fund-138378XP62 GNR 14166 PL469,348.89 - - - (54,830.04) (644.93) (58.93) (4,113.57) 409,701.43 830.16 256350023 LC-Sr Lien Reserve Fund-131394DVM9 FNR 0543D PB133,253.00 - - - (11,282.48) (408.24) (58.66) (578.19) 120,925.43 485.28 256350023 LC-Sr Lien Reserve Fund-131417YKF3 FN MA0293134,943.06 - - - (6,624.94) (351.60) (53.85) 599.65 128,512.32 439.04 256350023 LC-Sr Lien Reserve Fund-131416YXJ2 FN AB338056,804.70 - - - (3,900.68) (136.73) (50.75) (233.22) 52,483.32 144.68 256350023 LC-Sr Lien Reserve Fund-13137AJMF8 FHMS K016 A231,911.00 - - - - - (43.77) (28.23) 31,839.00 74.19 256350023 LC-Sr Lien Reserve Fund-1912828B58 UNITED STATES TREASURY52,574.00 - - - - - (42.10) (426.40) 52,105.50 179.01 256350023 LC-Sr Lien Reserve Fund-13136A4M48 FN 12M3A 1A1337,202.74 - - - (12,449.76) (13.35) (36.17) (2,687.09) 322,016.36 554.25 256350023 LC-Sr Lien Reserve Fund-131385XBG1 FN 5554396,907.12 - - - (2,344.17) (41.33) (27.07) 7.87 4,502.42 22.25 256350023 LC-Sr Lien Reserve Fund-13137B6ZL8 FHMS K714 A132,196.44 - (29,554.29) - (2,487.55) (0.11) (21.16) (133.33) - - 256350023 LC-Sr Lien Reserve Fund-138376WA62 GNR 1015C PD120,908.86 - - - (12,323.10) (660.94) (17.40) (734.77) 107,172.65 338.01 256350023 LC-Sr Lien Reserve Fund-138376GRX0 GNR 1083 KB- 88,240.93 - - (87,911.26) (312.82) (16.85) - - - 256350023 LC-Sr Lien Reserve Fund-138377DPX8 GNR 10101E NC7,931.80 - - - (6,833.36) (29.47) (16.21) 28.92 1,081.68 2.25 256350023 LC-Sr Lien Reserve Fund-131392JJ83 FNR 0317D HC14,622.85 - - - (3,092.18) (47.00) (13.95) 19.28 11,488.99 46.93 256350023 LC-Sr Lien Reserve Fund-138378TAF7 GNR 1371A GA217,147.84 - - - (8,823.49) 5.06 (9.47) (1,416.74) 206,903.19 418.44 256350023 LC-Sr Lien Reserve Fund-13138L33G8 FN AM3498102,806.00 - - - - - (4.69) (922.31) 101,879.00 167.50 256350023 LC-Sr Lien Reserve Fund-1912828B58 UNITED STATES TREASURY- 104,273.44 - - - - (2.62) (59.82) 104,211.00 358.02 256350023 LC-Sr Lien Reserve Fund-19AMMF05B2 U.S. Bank Money Market Account Fund145,788.27 766,778.06 (776,536.51) - - - - - 136,029.82 - 256350023 LC-Sr Lien Reserve Fund-13137AEV77 FHMS K703 A2- 372.46 - - - - - - 372.46 - 256350023 LC-Sr Lien Reserve Fund-1CCYUSD Receivable776.03 - - - - - - - - - 256350023 LC-Sr Lien Reserve Fund-1CCYUSD Cash- - - - - - - - - - 256350023 LC-Sr Lien Reserve Fund-13136A7MJ8 FN 13M8 AQ2- 467.18 - - - - - - 467.18 - 256350023 LC-Sr Lien Reserve Fund-13138EJPZ5 FN AL2239- - - - - - - - - - 256350023 LC-Sr Lien Reserve Fund-13137B03W2 FHMS K502 A234,841.29 - (25,479.10) - (9,292.53) 73.82 0.05 (143.53) - - 256350023 LC-Sr Lien Reserve Fund-138378KSL4 GNR 1374 AL230,888.25 - - - - - 1.76 (1,000.76) 229,889.25 522.12 256350023 LC-Sr Lien Reserve Fund-138378KWU9 GNR 1396 A- 17,053.55 - - (42.17) 0.74 1.81 (182.75) 16,831.18 20.20 256350023 LC-Sr Lien Reserve Fund-138378B7E3 GNR 1333 AC- 65,612.06 - - (137.89) 2.75 6.67 (752.30) 64,731.29 97.10 256350023 LC-Sr Lien Reserve Fund-138378KXW4 GNR 13105 A191,019.60 - - - (1,883.36) 8.61 9.23 (537.87) 188,616.21 270.28 256350023 LC-Sr Lien Reserve Fund-138378BX20 GNR 12132 AB63,141.64 - - - (1,377.12) 31.67 14.80 (220.13) 61,590.86 65.42 256350023 LC-Sr Lien Reserve Fund-138378KWU9 GNR 1396 A64,055.26 - - - (737.35) 18.08 15.35 (234.42) 63,116.92 75.75 256350023 LC-Sr Lien Reserve Fund-138378CRT6 GNR 1213E EG101,596.27 - - - (7,959.31) 242.07 16.61 (179.62) 93,716.02 156.01 256350023 LC-Sr Lien Reserve Fund-138378KSL4 GNR 1374 AL205,234.00 - - - - - 27.14 (915.14) 204,346.00 464.11 256350023 LC-Sr Lien Reserve Fund-138378B6A2 GNR 1312A AB133,138.05 - - - (729.43) 23.18 33.87 (673.03) 131,792.64 203.55 256350023 LC-Sr Lien Reserve Fund-138378B7F0 GNR 1333 B195,968.00 - - - - - 45.17 (1,107.17) 194,906.00 378.83 256350023 LC-Sr Lien Reserve Fund-138378B7E3 GNR 1333 AC219,729.49 - - - (3,041.94) 115.50 69.33 (1,101.41) 215,770.97 323.67 256350023 LC-Sr Lien Reserve Fund-138379KDN5 GNR 1529 AD192,961.84 - - - (4,059.75) 97.86 69.68 (1,288.58) 187,781.06 328.06 256350023 LC-Sr Lien Reserve Fund-13136A7MJ8 FN 12M8 AQ2125,947.80 - (119,980.34) - (5,732.93) 1,247.85 73.41 (1,555.79) - - 256350023 LC-Sr Lien Reserve Fund-1912828UF5 UNITED STATES TREASURY232,470.20 - (155,623.63) - - 1,563.59 78.43 (3,066.34) 75,422.25 213.23 256350023 LC-Sr Lien Reserve Fund-1912828UF5 UNITED STATES TREASURY96,020.30 - (95,382.23) - - 2,067.46 80.26 (2,785.80) - - 256350023 LC-Sr Lien Reserve Fund-138378KRS0 GNR 1378 AG452,385.00 - - - - - 118.43 2,523.07 455,026.50 895.72 256350023 LC-Sr Lien Reserve Fund-1912828UF5 UNITED STATES TREASURY176,879.50 - - - - - 121.17 (1,015.42) 175,985.25 497.54 256350023 LC-Sr Lien Reserve Fund-138378B7F0 GNR 1333 B244,960.00 - - - - - 129.02 (1,456.52) 243,632.50 473.54 256350023 LC-Sr Lien Reserve Fund-13137EADR7 FEDERAL HOME LOAN MORTGAGE CORP482,163.00 - - - - - 171.81 (2,181.06) 480,153.75 2,721.35 256350023 LC-Sr Lien Reserve Fund-13137ASNH3 FHMS K019 A1316,854.74 - - - (13,275.56) 189.10 220.85 (1,936.87) 302,052.26 367.12 256350023 LC-Sr Lien Reserve Fund-13135G0D75 FEDERAL NATIONAL MORTGAGE ASSOCIATION611,526.00 - - - - - 312.91 (2,658.91) 609,180.00 2,475.00 256350023 LC-Sr Lien Reserve Fund-13137AUPE3 FHMS K021 A2244,012.25 - - - - - 386.50 (88.05) 244,310.70 469.22 256350023 LC-Sr Lien Reserve Fund-13136A72D3 FN 12M9 A2412,518.25 - - - - - 529.31 (1,753.81) 411,293.75 816.99 256350023 LC-Sr Lien Reserve Fund-13137A7E22 FHR 3804A DA150,316.52 - - - (26,361.88) (207.62) 569.13 (1,642.81) 122,673.34 351.27 256350023 LC-Sr Lien Reserve Fund-13137EADB2 FEDERAL HOME LOAN MORTGAGE CORP582,532.50 - - - - - 588.99 (3,949.49) 579,172.00 2,830.21 256350023 LC-Sr Lien Reserve Fund-1912828UF5 UNITED STATES TREASURY758,055.00 - - - - - 691.25 (4,523.75) 754,222.50 2,132.30 256350023 LC-Sr Lien Reserve Fund-1912828VB3 UNITED STATES TREASURY1,650,560.00 - - - - - 2,726.27 (17,350.27) 1,635,936.00 10,576.09 256350023 LC-Sr Lien Reserve Fund-1912828WU0 UNITED STATES TREASURY610,569.16 - - - - - 4,104.69 2,328.76 617,002.61 161.12 19,516,171.71 2,318,680.84 (1,821,321.78) - (380,511.27) 4,535.22 (2,867.00) (120,578.82) 19,513,332.88 63,429.40 176,931,774.18 165,810,357.92 (75,987,919.13) (107,730,000.00) (1,812,054.30) (8,652.51) (4,175.23) (389,139.55) 157,273,577.95 438,320.98 Page 16 of 3352
STAMP Portfolio Summary of Investments for quarter ended September 30, 2016Market SectorSecurity TypeAsset ClassIndustry GroupCredit RatingATTACHMENT 553
STAMP PortfolioToll Revenue Project Senior Lien Fund Summary of Investments for quarter ended September 30, 2016Credit RatingIndustry GroupAsset ClassSecurity TypeMarket SectorATTACHMENT 654
STAMP PortfolioToll Revenue Project Sales Tax Revenue Fund Summary of Investments for quarter ended September 30, 2016Credit RatingIndustry GroupAsset ClassSecurity TypeMarket SectorATTACHMENT 755
STAMP PortfolioSeries A & Series B Reserve Fund Summary of Investments for quarter ended September 30, 2016Credit RatingIndustry GroupAsset ClassSecurity TypeMarket SectorATTACHMENT 856
STAMP PortfolioToll Revenue Project Capitalized Interest Fund Summary of Investments for quarter ended September 30, 2016Credit RatingIndustry GroupAsset ClassSecurity TypeMarket SectorATTACHMENT 957
STAMP PortfolioSales Tax Revenue Capitalized Interest Fund Summary of Investments for quarter ended September 30, 2016Credit RatingIndustry GroupAsset ClassSecurity TypeMarket SectorATTACHMENT 1058
STAMP PortfolioSales Tax Equity Fund Summary of Investments for quarter ended September 30, 2016Credit RatingIndustry GroupAsset ClassSecurity TypeMarket SectorATTACHMENT 1159
Account Number: 001050990415 Name: RIVERSIDE COUNTY TRANS COMMCUSIP Security Type Category IssuerFinal Maturity Trade DateNext Call Date Original CostBase Market ValueUnrealized Gain/LossAccrued Income Coupon YieldCredit Rating31846V203 CASH EQUIVALENTSFIRST AMER GOVT OBLIG FUND CL Y114,794.49 114,794.490.00 1.820.006022500037833AG5 CORPORATE OBLIGATIONSAPPLE INC 0.9063% 5/03/1805/03/2018 05/03/2013250,408.81 250,585.00 176.19 371.33 1.01 0.904168562 AA+037833BB5 CORPORATE OBLIGATIONSAPPLE INC 0.900% 5/12/1705/12/2017 05/13/2015119,917.20 119,997.6080.40 414.00 0.9 0.899775056 AA+037833BN9 CORPORATE OBLIGATIONSAPPLE INC 1.300% 2/23/1802/23/2018 02/23/201629,987.10 30,088.20 101.10 41.17 1.3 1.296150433 AA+037833BQ2 CORPORATE OBLIGATIONSAPPLE INC 1.700% 2/22/1902/22/2019 02/23/201639,993.20 40,453.20 460.00 71.78 1.7 1.686374097 AA+037833CB4 CORPORATE OBLIGATIONSAPPLE INC 1.100% 8/02/1908/02/2019 08/04/201659,940.00 59,764.20 -175.80 104.50 1.1 1.106918239 AA+05581RAD8 CORPORATE OBLIGATIONSBMW VEHICLE LEASE 1.340% 1/22/19 01/22/2019 02/17/2016599,929.50 601,242.00 1,312.50 245.67 1.34 1.338006371 N/A05582QAD9 CORPORATE OBLIGATIONSBMW VEHICLE OWNER 1.160% 11/25/20 11/25/2020 07/20/2016454,997.95 455,104.65 106.70 87.97 1.16 1.161230905 N/A06406HCK3 CORPORATE OBLIGATIONSBANK OF NY MTN 1.14499% 3/06/18 03/06/2018 03/06/2013750,701.99 751,177.50 475.51 596.35 1.28 1.143139314A084664CD1 CORPORATE OBLIGATIONSBERKSHIRE HATHAWAY 0.98859% 1/12/18 01/12/2018 01/15/2015250,349.46 250,592.50 243.04 522.86 0.97 0.985437799 AA084664CK5 CORPORATE OBLIGATIONSBERKSHIRE HATHAWAY 1.300% 8/15/19 08/15/2019 08/15/2016159,844.80 160,270.40 425.60 265.78 1.3 1.301340381 AA161571HC1 CORPORATE OBLIGATIONSCHASE ISSUANCE TRUST 1.370% 6/15/21 06/15/2021 06/17/2016750,858.58 752,197.50 1,338.92 456.67 1.37 1.369465908 AAA166764AV2 CORPORATE OBLIGATIONSCHEVRON CORP 1.365% 3/02/18 03/02/2018 03/03/2015499,970.00 500,880.00 910.00 549.79 1.37 1.363786230 AA-166764BA7 CORPORATE OBLIGATIONSCHEVRON CORP 1.790% 11/16/18 11/16/2018 11/17/2015252,882.50 252,587.50 -295.00 1,665.69 1.79 1.773980952 AA-17275RAU6 CORPORATE OBLIGATIONSCISCO SYSTEMS INC 1.650% 6/15/18 06/15/2018 06/17/2015399,932.00 403,284.00 3,352.00 1,943.33 1.65 1.638920895 AA-17275RBG6 CORPORATE OBLIGATIONSCISCO SYSTEMS INC 1.400% 9/20/19 09/20/2019 09/20/2016109,877.90 110,095.70 217.80 47.06 1.4 1.400812471 AA-191216BR0 CORPORATE OBLIGATIONSCOCA COLA CO THE 0.875% 10/27/17 10/27/2017 10/27/201535,984.16 35,924.04 -60.12 134.75 0.88 0.876419800 AA-191216BV1 CORPORATE OBLIGATIONSCOCA COLA CO 1.375% 5/30/19 05/30/2019 05/31/2016249,825.00 250,615.00 790.00 1,155.38 1.38 1.371803697 AA-19416QDU1 CORPORATE OBLIGATIONSCOLGATE PALM MTN 2.625% 5/01/17 05/01/2017 05/04/2011513,597.43 510,125.75 -3,471.68 5,523.44 2.632.602333674 AA-30231GAL6 CORPORATE OBLIGATIONSEXXON MOBIL 1.305% 3/06/1803/06/2018 03/06/2015460,000.00 461,393.80 1,393.80 416.88 1.31 1.302369214 AA+30231GAP7 CORPORATE OBLIGATIONSEXXON MOBIL 1.708% 3/01/1903/01/2019 03/03/201640,000.00 40,426.40 426.40 56.93 1.71 1.694478065 AA+30231GAU6 CORPORATE OBLIGATIONSEXXON MOBIL 1.439% 3/01/1803/01/2018 03/03/201640,000.00 40,167.20 167.20 47.97 1.44 1.433124191 AA+31680GAB2 CORPORATE OBLIGATIONSFIFTH THIRD AUTO TRU 1.020% 5/15/18 05/15/2018 11/05/201598,102.77 98,122.1319.36 44.47 1.02 1.019765454 N/A36159LCN4 CORPORATE OBLIGATIONSGE DEALER FLOORPLA 0.93036% 10/20/19 10/20/2019 10/21/2014475,198.14 475,256.5058.36 135.03 0.98 0.929875265 N/A36962G2G8 CORPORATE OBLIGATIONSGEN ELEC CAP CRP MTN 5.400% 2/15/17 02/15/2017 02/13/2007106,285.76 105,695.20 -590.56 717.60 5.4 5.324183625 AA-36962G3H5 CORPORATE OBLIGATIONSGEN ELEC CAP CRP MTN 5.625% 9/15/17 09/15/2017 09/24/2007521,755.00 521,355.00 -400.00 1,250.00 5.63 5.405171668 AA-47787UAB9 CORPORATE OBLIGATIONSJOHN DEERE OWNER 0.870% 2/15/18 02/15/2018 03/11/2015146,062.98 146,024.19 -38.79 56.48 0.87 0.870208850 N/A47788NAC2 CORPORATE OBLIGATIONSJOHN DEERE OWNER 1.250% 6/15/20 06/15/2020 07/27/2016274,978.11 275,423.50 445.39 152.78 1.25 1.249200512 N/A48125LRD6 CORPORATE OBLIGATIONSJP MORGAN CHASE MT 1.0556% 6/14/17 06/14/2017 06/19/2015750,000.00 750,067.5067.50 373.86 1.26 1.055504805 A+58933YAH8 CORPORATE OBLIGATIONSMERCK CO INC 0.9861% 5/18/18 05/18/2018 05/20/2013751,549.92 753,015.00 1,465.08 903.92 1.16 0.982132086 AA594918BF0 CORPORATE OBLIGATIONSMICROSOFT CORP 1.300% 11/03/18 11/03/2018 11/03/2015752,615.00 753,660.00 1,045.00 4,008.33 1.3 1.294949696 AAA650119AD2 CORPORATE OBLIGATIONSNEW YORK UNIVERSITY 0.898% 7/01/17 07/01/2017 04/16/2015200,000.00 199,670.00 -330.00 449.00 0.9 0.899475139 AA-650119AE0 CORPORATE OBLIGATIONSNEW YORK UNIVERSITY 1.315% 7/01/18 07/01/2018 04/16/2015120,000.00 120,073.2073.20 394.50 1.32 1.315723648 AA-717081DP5 CORPORATE OBLIGATIONSPFIZER INC 0.76766% 5/15/1705/15/2017 05/15/2014250,006.66 250,252.50 245.84 250.56 0.97 0.767035031 AA717081DU4 CORPORATE OBLIGATIONSPFIZER INC 1.450% 6/03/1906/03/2019 06/03/2016249,715.00 251,482.50 1,767.50 1,188.19 1.45 1.446239777 AA89236TAY1 CORPORATE OBLIGATIONSTOYOTA MOTOR MTN 2.000% 10/24/18 10/24/2018 10/24/2013346,388.60 344,974.20 -1,414.40 2,965.56 2 1.975367171 AA-89236TCX1 CORPORATE OBLIGATIONSTOYOTA MOTOR MTN 1.200% 4/06/18 04/06/2018 04/08/2016249,940.00 250,072.50 132.50 1,441.67 1.2 1.201465788 AA-89237CAD3 CORPORATE OBLIGATIONSTOYOTA AUTO RECEIV 1.270% 5/15/19 05/15/2019 06/17/2015499,972.95 501,165.00 1,192.05 282.22 1.27 1.267503019 AAA89237KAD5 CORPORATE OBLIGATIONSTOYOTA AUTO 1.250% 3/16/20 03/16/2020 03/02/2016199,988.66 200,452.00 463.34 111.11 1.25 1.248177661 AAA90331HMQ3 CORPORATE OBLIGATIONSUS BANK NA MTN 1.350% 1/26/18 01/26/2018 01/27/2015 12/26/2017 500,492.68 500,795.00 302.32 1,218.75 1.35 1.347776169 AA-91159HHE3 CORPORATE OBLIGATIONSUS BANCORP MTN 1.950% 11/15/18 11/15/2018 11/07/2013 10/15/2018 254,410.00 253,175.00 -1,235.00 1,841.67 1.95 1.926934593 A+92867VAB6 CORPORATE OBLIGATIONSVOLKSWAGEN AUTO 0.870% 6/20/17 06/20/2017 03/05/201540,331.26 40,369.3838.12 10.73 0.87 0.870008700 N/A94974BFK1 CORPORATE OBLIGATIONSWELLS FARGO MTN 1.2681% 4/23/18 04/23/2018 04/23/2013501,610.90 501,175.00 -435.90 1,232.88 1.34 1.265341555A94974BFW5 CORPORATE OBLIGATIONSWELLS FARGO COM MTN 1.150% 6/02/17 06/02/2017 06/03/2014500,234.56 499,550.00 -684.56 1,900.69 1.15 1.151070496A13063CFD7 MUNICIPAL OBLIGATIONSCALIFORNIA ST 1.250% 11/01/16 11/01/2016 11/05/2013350,872.08 350,143.50 -728.58 1,822.92 1.25 1.249762545 AA-54473ERP1 MUNICIPAL OBLIGATIONSLOS ANGELES CNTY CA 1.507% 12/01/17 12/01/2017 09/02/201525,000.00 25,110.00 110.00 125.58 1.51 1.501788793 AA54473ERQ9 MUNICIPAL OBLIGATIONSLOS ANGELES CNTY CA 2.036% 12/01/18 12/01/2018 09/02/201550,000.00 50,258.00 258.00 339.33 2.04 2.015981306AA6055806F1MUNICIPAL OBLIGATIONSMISSISSIPPI ST SER D 3.381% 11/01/18 11/01/2018 11/10/2010104,642.76 104,987.00 344.24 1,408.75 3.38 3.227684964 AA702282ND2 MUNICIPAL OBLIGATIONSPASADENA CA UNIF 1.861% 11/01/18 11/01/2018 03/20/2014251,500.33 254,067.50 2,567.17 1,938.54 1.86 1.834328858 A+91412GD36 MUNICIPAL OBLIGATIONSUNIV OF CA 1.169% 5/15/1905/15/2019 04/20/2016140,000.00 139,927.20 -72.80 731.92 1.17 1.173470924 AA91412GPZ2 MUNICIPAL OBLIGATIONSUNIV OF CA 1.296% 5/15/1805/15/2018 03/14/2013251,067.50 251,092.5025.00 1,224.00 1.3 1.291917541 AA91412GWU5 MUNICIPAL OBLIGATIONSUNIV CALIFORNIA CA 1.418% 5/15/18 05/15/2018 03/25/2015250,000.00 251,582.50 1,582.50 1,339.22 1.42 1.410832969 AA91412GWV3 MUNICIPAL OBLIGATIONSUNIV OF CA 2.003% 5/15/1905/15/2019 03/25/2015250,000.00 255,240.00 5,240.00 1,891.72 2 1.968898675 AA3130A62S5 US TREAS & AGENCY OBLIGATIONS F H L B 0.750% 8/28/1708/28/2017 07/24/2015339,238.40 340,275.40 1,037.00 233.75 0.75 0.749700120 AA+3130A6LZ8 US TREAS & AGENCY OBLIGATIONS F H L B DEB 0.625% 10/26/1710/26/2017 10/09/2015748,372.50 749,332.50 960.00 2,018.23 0.63 0.625869959 AA+3130A7CX1 US TREAS & AGENCY OBLIGATIONS F H L B 0.875% 3/19/1803/19/2018 02/18/2016519,838.80 520,416.00 577.20 151.67 0.88 0.874816289 AA+3130A9AE1 US TREAS & AGENCY OBLIGATIONS F H L B 0.875% 10/01/1810/01/2018 08/26/2016509,653.20 509,775.60 122.40 433.85 0.88 0.875744383 AA+3133EEWS5 US TREAS & AGENCY OBLIGATIONS F F C B DEB 0.56489% 1/02/1801/02/2018 04/02/2015699,961.01 700,273.00 311.99 318.54 0.56 0.564461010 AA+3134G72P5 US TREAS & AGENCY OBLIGATIONS F H L M C 1.200% 10/29/1810/29/2018 10/29/2015 10/29/2016 500,000.00 500,065.0065.00 2,533.33 1.2 1.200000000 AA+3134G8L98 US TREAS & AGENCY OBLIGATIONS F H L M C M T N 1.050% 2/26/1802/26/2018 02/26/2016 11/26/2016 500,000.00 500,025.0025.00 510.42 1.05 1.049632629 AA+3134G9AF4 US TREAS & AGENCY OBLIGATIONS F H L M C M T N 1.050% 4/26/1804/26/2018 04/26/2016 07/26/2016 689,724.00 690,248.40 524.40 3,126.39 1.05 1.049916007 AA+3134G9UY1 US TREAS & AGENCY OBLIGATIONS F H L M C M T N 1.000% 6/29/1806/29/2018 06/29/2016 12/29/2016 510,000.00 509,495.10 -504.90 1,303.33 1 0.999990000 AA+3134GAJQ8 US TREAS & AGENCY OBLIGATIONS F H L M C M T N 1.150% 9/14/1809/14/2018 09/14/2016 12/14/2016 510,000.00 510,000.000.00 276.96 1.15 1.149965501 AA+Payden & Rygel Operating Portfolio by Investment Category for Quarter ended September 30, 2016ATTACHMENT 1260
Account Number: 001050990415 Name: RIVERSIDE COUNTY TRANS COMMCUSIP Security Type Category IssuerFinal Maturity Trade DateNext Call Date Original CostBase Market ValueUnrealized Gain/LossAccrued Income Coupon YieldCredit RatingPayden & Rygel Operating Portfolio by Investment Category for Quarter ended September 30, 20163135G0E58 US TREAS & AGENCY OBLIGATIONS F N M A DEB 1.125% 10/19/18 10/19/2018 09/01/2015 529,141.40 532,745.40 3,604.00 2,683.13 1.13 1.120350545 AA+3135G0J53 US TREAS & AGENCY OBLIGATIONS F N M A DEB 1.000% 2/26/1902/26/2019 02/23/2016498,820.00 500,710.00 1,890.00 486.11 1 0.999630137 AA+3135G0K77 US TREAS & AGENCY OBLIGATIONS F N M A DEB 1.250% 6/13/1906/13/2019 06/13/2016 12/13/2016 490,000.00 489,931.40 -68.60 1,837.50 1.25 1.254126075 AA+3135G0L68 US TREAS & AGENCY OBLIGATIONS F N M A DEB 0.750% 7/27/1807/27/2018 07/27/2016 07/27/2017 509,235.00 508,750.50 -484.50 680.00 0.75 0.752739974 AA+3135G0N33 US TREAS & AGENCY OBLIGATIONS F N M A 0.875% 8/02/1908/02/2019 08/02/2016529,109.60 527,938.30 -1,171.30 760.03 0.88 0.879971841 AA+3135G0P49 US TREAS & AGENCY OBLIGATIONS F N M A 1.000% 8/28/1908/28/2019 09/02/2016509,204.40 509,765.40 561.00 410.83 11.003200209 AA+3136AMTM1 US TREAS & AGENCY OBLIGATIONS F N M A GTD REMIC 0.3845% 9/25/18 09/25/2018 03/01/2015432,074.03 432,154.5480.51 51.60 0.72 0.724117241 N/A3137BNN26 US TREAS & AGENCY OBLIGATIONS F H L M C MLTCL MTG 1.780% 7/25/19 07/25/2019 04/01/2016216,872.90 216,980.15 107.25 318.92 1.78 1.766872140 N/A3137BPCF4 US TREAS & AGENCY OBLIGATIONS F H L M C MLTCL MTG 1.376% 10/25/20 10/25/2020 05/01/2016376,396.23 376,598.73 202.50 86.32 1.38 1.377060336 N/A3137EADX4 US TREAS & AGENCY OBLIGATIONS F H L M C 1.000% 12/15/1712/15/2017 12/11/2015819,155.40 822,829.00 3,673.60 2,414.44 1 0.997784917 AA+3137EAEB1 US TREAS & AGENCY OBLIGATIONS F H L M C M T N 0.875% 7/19/1907/19/2019 07/20/2016350,150.58 349,775.01 -375.57 605.720.88 0.880095754 AA+3137EAED7 US TREAS & AGENCY OBLIGATIONS F H L M C M T N 0.875% 10/12/1810/12/2018 09/16/20161,509,720.70 1,509,305.40 -415.30 550.52 0.88 0.875726853 AA+912828D98 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 1.000% 9/15/17 09/15/2017 09/15/20142,302,347.61 2,307,107.00 4,759.39 1,016.57 1 0.997237652 N/A912828H94 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 1.000% 2/15/18 02/15/2018 02/17/2015546,210.78 547,043.75 549.60 696.06 10.997426639 N/A912828K25 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 0.750% 4/15/18 04/15/2018 04/15/20151,241,556.92 1,250,200.00 8,643.08 4,328.89 0.75 0.750788328 N/A912828L40 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 1.000% 9/15/18 09/15/2018 09/15/2015386,124.73 386,547.70 489.27 170.17 10.997774962 N/A912828M72 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 0.875% 11/30/17 11/30/2017 11/30/20151,579,024.70 1,583,081.00 3,656.30 4,646.11 0.88 0.873872704 N/A912828N22 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 1.250% 12/15/18 12/15/2018 12/15/20151,246,185.73 1,241,537.40 -4,648.334,536.89 1.25 1.241421776 N/A912828N55 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 1.000% 12/31/17 12/31/2017 12/31/20151,263,601.71 1,269,452.80 5,851.09 3,196.87 1 0.997307270 N/A912828N63 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 1.125% 1/15/19 01/15/2019 01/15/20161,107,304.69 1,107,392.00 -1,099.452,622.96 1.13 1.120227829 N/A912828P95 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 1.000% 3/15/19 03/15/2019 03/15/20161,873,484.16 1,877,162.10 3,677.94 826.52 1 0.998791462 N/A912828R51 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 0.875% 5/31/18 05/31/2018 05/31/20162,527,748.96 2,535,237.10 7,488.14 7,399.22 0.88 0.874484054 N/A912828R85 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 0.875% 6/15/19 06/15/2019 06/15/2016526,054.39 524,141.48 -1,912.91 1,352.95 0.88 0.877536079 N/A912828S43 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 0.750% 7/15/19 07/15/2019 07/15/20163,535,162.11 3,538,498.00 3,335.89 5,643.34 0.75 0.754838515 N/A912828TS9 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 0.625% 9/30/17 09/30/2017 10/01/20122,499,101.76 2,497,825.47 -1,276.2942.91 0.63 0.625512921 N/A912828UA6 US TREAS & AGENCY OBLIGATIONS U S TREASURY NT 0.625% 11/30/17 11/30/2017 11/30/20122,023,823.43 2,038,408.80 14,585.374,284.84 0.63 0.625901298 N/A50,600,913.52 50,677,024.56 74,307.21 109,028.99 61
Account Number: 001050990415Name: RIVERSIDE COUNTY TRANS COMMTransaction Date Trade DateSettlement Date CUSIP DescriptionUnits Price Commissions SEC FeesMiscellaneous Fees Net Cash AmountFederal Tax Cost AmountShort Term Gain/Loss AmountLong Term Gain/Loss Amount07/01/201631846V203INTEREST EARNED ON FIRST AMER GOVT OBLIG FUND CL Y UNIT ON 0.0000 SHARES DUE 6/30/2016 INTEREST FROM 6/1/16 TO 6/30/160.0000 0.000000- - - 1.11 - - - 07/01/2016 07/01/2016 07/01/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y1,687.0000 1.000000- - - (1,687.00) 1,687.00 - - 07/01/2016650119AD2INTEREST EARNED ON NEW YORK UNIVERSITY 0.898% 7/01/17 $1 PV ON 200000.0000 SHARES DUE 7/1/20160.0000 0.000000- - - 898.00 - - - 07/01/2016650119AE0INTEREST EARNED ON NEW YORK UNIVERSITY 1.315% 7/01/18 $1 PV ON 120000.0000 SHARES DUE 7/1/20160.0000 0.000000- - - 789.00 - - - 07/05/20163133EEWS5INTEREST EARNED ON F F C B DEB 0.50885% 1/02/18 $1 PV ON 700000.0000 SHARES DUE 7/2/20160.0000 0.000000- - - 296.83 - - - 07/05/2016 07/05/2016 07/05/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y297.9400 1.000000- - - (297.94) 297.94 - - 07/12/2016084664CD1INTEREST EARNED ON BERKSHIRE HATHAWAY 0.94114% 1/12/18 $1 PV ON 250000.0000 SHARES DUE 7/12/20160.0000 0.000000- - - 588.21 - - - 07/12/2016084664CD1AMORTIZED PREMIUM ON BERKSHIRE HATHAWAY 0.94114% 1/12/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (57.18) - - 07/13/201607/13/2016 3130A5EP0RECEIVED ACCRUED INTEREST ON SALE OF F H L B 0.625% 5/30/170.0000 0.000000- - - 746.53 - - - 07/13/201607/08/201607/13/2016 3130A5EP0SOLD PAR VALUE OF F H L B 0.625% 5/30/17 /WELLS FARGO SECURITIES, LLC/XOTC 1,000,000 PAR VALUE AT 100.016 %-1,000,000.0000 1.000160- - - 1,000,160.00 (999,170.00) - 990.00 07/13/2016 07/13/2016 07/13/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y364,979.2600 1.000000- - - (364,979.26) 364,979.26 - - 07/13/201607/13/2016 912828N22PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.250% 12/15/180.0000 0.000000- - - (1,864.75) - - - 07/13/2016 07/08/2016 07/13/2016 912828N22PURCHASED PAR VALUE OF U S TREASURY NT 1.250% 12/15/18 /JPMORGAN CHASE BANK/RBS SECURI/1,950,000 PAR VALUE AT 101.40234359 %1,950,000.0000 1.014023- - - (1,977,345.70) 1,977,345.70 - - 07/13/201607/13/2016 912828SS0RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 4/30/170.0000 0.000000- - - 2,352.47 - - - 07/13/2016 07/08/2016 07/13/2016 912828SS0SOLD PAR VALUE OF U S TREASURY NT 0.875% 4/30/17 /CREDIT SUISSE SECURITIES (USA)/1,337,000 PAR VALUE AT 100.25 %-1,337,000.0000 1.002500- - - 1,340,342.50 (1,339,768.77) 573.73 - 07/13/2016912828SS0AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 4/30/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (131.80) - - 07/14/20163137EADV8INTEREST EARNED ON F H L M C 0.750% 7/14/17 $1 PV ON 800000.0000 SHARES DUE 7/14/20160.0000 0.000000- - - 3,000.00 - - - 07/14/2016 07/14/2016 07/14/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y3,000.0000 1.000000- - - (3,000.00) 3,000.00 - - 07/15/2016161571HC1AMORTIZED PREMIUM ON CHASE ISSUANCE TRUST 1.370% 6/15/21 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (147.40) - - 07/15/2016161571HC1INTEREST EARNED ON CHASE ISSUANCE TRUST 1.370% 6/15/21 $1 PV ON 750000.0000 SHARES DUE 7/15/20160.0000 0.000000- - - 799.17 - - - 07/15/2016 07/15/2016 07/15/2016 31680GAB2PAID DOWN PAR VALUE OF FIFTH THIRD AUTO TRU 1.020% 5/15/18-17,378.8300 0.000000- - - 17,378.83 (17,378.35) 0.48 - 07/15/201631680GAB2INTEREST EARNED ON FIFTH THIRD AUTO TRU 1.020% 5/15/18 $1 PV ON 126.5400 SHARES DUE 7/15/2016 $0.00085/PV ON 148,871.28 PV DUE 7/15/160.0000 0.000000- - - 126.54 - - - 07/15/2016 07/15/2016 07/15/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y25,938.6900 1.000000- - - (25,938.69) 25,938.69 - - 07/15/2016 07/15/2016 07/15/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y31,433.5000 1.000000- - - (31,433.50) 31,433.50 - - 07/15/2016 07/15/2016 07/15/2016 47787UAB9PAID DOWN PAR VALUE OF JOHN DEERE OWNER 0.870% 2/15/18-24,970.7900 0.000000- - - 24,970.79 (24,969.18) - 1.61 07/15/201647787UAB9INTEREST EARNED ON JOHN DEERE OWNER 0.870% 2/15/18 $1 PV ON 168.7300 SHARES DUE 7/15/2016 $0.00072/PV ON 232,733.39 PV DUE 7/15/160.0000 0.000000- - - 168.73 - - - 07/15/201689237CAD3INTEREST EARNED ON TOYOTA AUTO RECEIV 1.270% 5/15/19 $1 PV ON 529.1700 SHARES DUE 7/15/2016 $0.00106/PV ON 500,000.00 PV DUE 7/15/160.0000 0.000000- - - 529.17 - - - 07/15/201689237KAD5INTEREST EARNED ON TOYOTA AUTO 1.250% 3/16/20 $1 PV ON 208.3300 SHARES DUE 7/15/2016 $0.00104/PV ON 200,000.00 PV DUE 7/15/160.0000 0.000000- - - 208.33 - - - 07/15/2016912828H37INTEREST EARNED ON U S TREASURY NT 0.875% 1/15/18 $1 PV ON 2015000.0000 SHARES DUE 7/15/20160.0000 0.000000- - - 8,815.63 - - - 07/15/2016912828WT3AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 7/15/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (829.63) - - 07/15/2016912828WT3INTEREST EARNED ON U S TREASURY NT 0.875% 7/15/17 $1 PV ON 1000000.0000 SHARES DUE 7/15/20160.0000 0.000000- - - 4,375.00 - - - 07/18/2016 07/18/2016 07/18/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y203.3300 1.000000- - - (203.33) 203.33 - - 07/18/2016 07/18/2016 07/18/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y200,484.3800 1.000000- - - (200,484.38) 200,484.38 - - 07/18/201643814NAC9INTEREST EARNED ON HONDA AUTO 1.570% 12/18/19 $1 PV ON 200000.0000 SHARES DUE 7/18/20160.0000 0.000000- - - 203.33 - - - 07/18/2016 07/13/2016 07/18/2016 43814NAC9SOLD PAR VALUE OF HONDA AUTO 1.570% 12/18/19 /TORONTO DOMINION SECURITIES (U/200,000 PAR VALUE AT 100.242188 %-200,000.0000 1.002422- - - 200,484.38 (199,971.58) 512.80 - 07/20/201605581RAD8INTEREST EARNED ON BMW VEHICLE LEASE 1.340% 1/22/19 $1 PV ON 670.0000 SHARES DUE 7/20/2016 $0.00112/PV ON 600,000.00 PV DUE 7/20/160.0000 0.000000- - - 670.00 - - - Payden & Rygel Operating Portfolio Transaction ReportQuarter ended September 30, 2016Page 26 of 33ATTACHMENT 1362
Account Number: 001050990415Name: RIVERSIDE COUNTY TRANS COMMTransaction Date Trade DateSettlement Date CUSIP DescriptionUnits Price Commissions SEC FeesMiscellaneous Fees Net Cash AmountFederal Tax Cost AmountShort Term Gain/Loss AmountLong Term Gain/Loss AmountPayden & Rygel Operating Portfolio Transaction ReportQuarter ended September 30, 201607/20/2016 07/12/2016 07/20/2016 05582QAD9PURCHASED PAR VALUE OF BMW VEHICLE OWNER 1.160% 11/25/20 /J.P. MORGAN SECURITIES LLC/455,000 PAR VALUE AT 99.99954945 %455,000.0000 0.999995 - - - (454,997.95) 454,997.95 - - 07/20/201607/20/2016 3137EADZ9RECEIVED ACCRUED INTEREST ON SALE OF F H L M C M T N 1.125% 4/15/190.0000 0.000000- - - 1,078.44 - - - 07/20/2016 07/19/2016 07/20/2016 3137EADZ9SOLD PAR VALUE OF F H L M C M T N 1.125% 4/15/19 /BONY/TORONTO DOMINION SECURITI/290,000 PAR VALUE AT 100.573 %-290,000.0000 1.005730- - - 291,661.70 (289,904.30) 1,757.40 - 07/20/2016 07/19/201607/20/2016 3137EAEB1PURCHASED PAR VALUE OF F H L M C M T N 0.875% 7/19/19 /PERSHING LLC/351,000 PAR VALUE AT 99.758 %351,000.0000 0.997580- - - (350,150.58) 350,150.58 - - 07/20/2016 07/20/2016 07/20/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y18,835.4300 1.000000- - - (18,835.43) 18,835.43 - - 07/20/2016 07/20/2016 07/20/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-450,052.2000 1.000000- - - 450,052.20 (450,052.20) - - 07/20/201636159LCN4AMORTIZED PREMIUM ON GE DEALER FLOORPLA 0.89805% 10/20/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (12.66) - - 07/20/201636159LCN4INTEREST EARNED ON GE DEALER FLOORPLA 0.89805% 10/20/19 $1 PV ON 561.2800 SHARES DUE 7/20/2016 $0.00075/PV ON 750,000.00 PV DUE 7/20/160.0000 0.000000- - - 561.28 - - - 07/20/201607/20/2016 912828R85RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 6/15/190.0000 0.000000- - - 51.04 - - - 07/20/2016 07/19/2016 07/20/2016 912828R85SOLD PAR VALUE OF U S TREASURY NT 0.875% 6/15/19 /JPMORGAN CHASE BANK/RBS SECURI/61,000 PAR VALUE AT 100.121094 %-61,000.0000 1.001211- - - 61,073.87 (61,252.37) (178.50) - 07/20/2016912828R85AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 6/15/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (141.48) - - 07/20/2016 07/20/2016 07/20/2016 92867VAB6PAID DOWN PAR VALUE OF VOLKSWAGEN AUTO 0.870% 6/20/17-18,766.6700 0.000000- - - 18,766.67 (18,748.19) - 18.48 07/20/201692867VAB6INTEREST EARNED ON VOLKSWAGEN AUTO 0.870% 6/20/17 $1 PV ON 68.7600 SHARES DUE 7/20/2016 $0.00072/PV ON 94,849.10 PV DUE 7/20/160.0000 0.000000- - - 68.76 - - - 07/22/2016 07/22/2016 07/22/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y274,240.8700 1.000000- - - (274,240.87) 274,240.87 - - 07/22/201607/22/2016 36159LCN4RECEIVED ACCRUED INTEREST ON SALE OF GE DEALER FLOORPLA 0.89805% 10/20/190.0000 0.000000- - - 14.31 - - - 07/22/2016 07/19/2016 07/22/2016 36159LCN4SOLD PAR VALUE OF GE DEALER FLOORPLA 0.89805% 10/20/19 /MITSUBISHI UFJ SECURITIES (USA/XOTC 275,000 PAR VALUE AT 99.718749 %-275,000.0000 0.997187- - - 274,226.56 (275,123.66) - (897.10) 07/22/201636159LCN4AMORTIZED PREMIUM ON GE DEALER FLOORPLA 0.89805% 10/20/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (0.84) - - 07/25/2016TRUST FEES COLLECTED CHARGED FOR PERIOD 06/01/2016 THRU 06/30/2016 COLLECTED BY DISBURSEMENT0.00000.000000- - - (527.81) - - - 07/25/2016 07/25/2016 07/25/2016 3136AMTM1PAID DOWN PAR VALUE OF F N M A GTD REMIC 0.3845% 9/25/18-485.8400 67.972625- - - 485.84 (485.72) - 0.12 07/25/20163136AMTM1INTEREST EARNED ON F N M A GTD REMIC 0.3845% 9/25/18 $1 PV ON 242.6400 SHARES DUE 7/25/2016 $0.00054/PV ON 448,847.71 PV DUE 7/25/160.0000 0.000000- - - 242.64 - - - 07/25/2016 07/25/2016 07/25/2016 3137BLVY1PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 1.639% 10/25/19-957.2900 1,184.985741- - - 957.29 (954.89) 2.40 - 07/25/20163137BLVY1INTEREST EARNED ON F H L M C MLTCL MTG 1.639% 10/25/19 $1 PV ON 191.6600 SHARES DUE 7/25/2016 $0.00137/PV ON 140,325.01 PV DUE 7/25/160.0000 0.000000- - - 191.66 - - - 07/25/20163137BNN26AMORTIZED PREMIUM ON F H L M C MLTCL MTG 1.780% 7/25/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (54.39) - - 07/25/20163137BNN26INTEREST EARNED ON F H L M C MLTCL MTG 1.780% 7/25/19 $1 PV ON 318.9200 SHARES DUE 7/25/2016 $0.00148/PV ON 215,000.00 PV DUE 7/25/160.0000 0.000000- - - 318.92 - - - 07/25/2016 07/25/2016 07/25/2016 3137BPCF4PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 1.376% 10/25/20-1,007.4000 1,126.042287- - - 1,007.40 (1,007.39) 0.01 - 07/25/20163137BPCF4INTEREST EARNED ON F H L M C MLTCL MTG 1.376% 10/25/20 $1 PV ON 451.1900 SHARES DUE 7/25/2016 $0.00115/PV ON 393,481.85 PV DUE 7/25/160.0000 0.000000- - - 451.19 - - - 07/25/201607/25/2016 07/25/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y200,809.8600 1.000000- - - (200,809.86) 200,809.86 - - 07/25/2016 07/25/2016 07/25/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y4,729.8700 1.000000- - - (4,729.87) 4,729.87 - - 07/25/201607/25/2016 912828M72RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 11/30/170.0000 0.000000- - - 262.98 - - - 07/25/2016 07/22/2016 07/25/2016 912828M72SOLD PAR VALUE OF U S TREASURY NT 0.875% 11/30/17 /CITIGROUP GLOBAL MARKETS INC./XOTC 200,000 PAR VALUE AT 100.273438 %-200,000.0000 1.002734- - - 200,546.88 (199,636.53) 910.35 - 07/25/2016912828M72ACCREDITED DISCOUNT ON U S TREASURY NT 0.875% 11/30/17 MARKET DISCOUNT0.0000 0.000000- - - - 159.99 - - 07/25/2016912828M72AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 11/30/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (144.94) - - 07/25/201694974BFK1AMORTIZED PREMIUM ON WELLS FARGO MTN 1.2681% 4/23/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (227.06) - - 07/25/201694974BFK1INTEREST EARNED ON WELLS FARGO MTN 1.2681% 4/23/18 $1 PV ON 500000.0000 SHARES DUE 7/23/20160.0000 0.000000- - - 1,602.74 - - - 07/26/2016 07/26/2016 07/26/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y3,375.0000 1.000000- - - (3,375.00) 3,375.00 - - Page 27 of 3363
Account Number: 001050990415Name: RIVERSIDE COUNTY TRANS COMMTransaction Date Trade DateSettlement Date CUSIP DescriptionUnits Price Commissions SEC FeesMiscellaneous Fees Net Cash AmountFederal Tax Cost AmountShort Term Gain/Loss AmountLong Term Gain/Loss AmountPayden & Rygel Operating Portfolio Transaction ReportQuarter ended September 30, 201607/26/201690331HMQ3AMORTIZED PREMIUM ON US BANK NA MTN 1.350% 1/26/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (171.25) - - 07/26/201690331HMQ3INTEREST EARNED ON US BANK NA MTN 1.350% 1/26/18 $1 PV ON 500000.0000 SHARES DUE 7/26/20160.0000 0.000000- - - 3,375.00 - - - 07/27/2016 07/07/2016 07/27/2016 3135G0L68PURCHASED PAR VALUE OF F N M A DEB 0.750% 7/27/18 /NOMURA SECURITIES/FIX INCOME/510,000 PAR VALUE AT 99.85 %510,000.0000 0.998500- - - (509,235.00) 509,235.00 - - 07/27/2016 07/27/2016 07/27/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-784,213.1100 1.000000- - - 784,213.11 (784,213.11) - - 07/27/2016 07/19/2016 07/27/2016 47788NAC2PURCHASED PAR VALUE OF JOHN DEERE OWNER 1.250% 6/15/20 /RBC CAPITAL MARKETS, LLC/275,000 PAR VALUE AT 99.99204 %275,000.0000 0.999920- - - (274,978.11) 274,978.11 - - 08/01/201631846V203INTEREST EARNED ON FIRST AMER GOVT OBLIG FUND CL Y UNIT ON 0.0000 SHARES DUE 7/31/2016 INTEREST FROM 7/1/16 TO 7/31/160.0000 0.000000- - - 1.70 - - - 08/02/20163133EEWS5INTEREST EARNED ON F F C B DEB 0.50505% 1/02/18 $1 PV ON 700000.0000 SHARES DUE 8/2/20160.0000 0.000000- - - 304.43 - - - 08/02/2016 07/29/2016 08/02/2016 3135G0N33PURCHASED PAR VALUE OF F N M A 0.875% 8/02/19 /GOLDMAN, SACHS & CO./530,000 PAR VALUE AT 99.832 %530,000.0000 0.998320- - - (529,109.60) 529,109.60 - - 08/02/2016 08/02/2016 08/02/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y3,272.8800 1.000000- - - (3,272.88) 3,272.88 - - 08/02/201608/02/2016 912828R85RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 6/15/190.0000 0.000000- - - 608.20 - - - 08/02/2016 07/29/2016 08/02/2016 912828R85SOLD PAR VALUE OF U S TREASURY NT 0.875% 6/15/19 /SOCIETE GENERALE NY/530,000 PAR VALUE AT 100.277009 %-530,000.0000 1.002770- - - 531,468.15 (532,166.01) (697.86) - 08/02/2016912828R85AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 6/15/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (84.36) - - 08/03/2016037833AG5AMORTIZED PREMIUM ON APPLE INC 0.9063% 5/03/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (57.62) - - 08/03/2016037833AG5INTEREST EARNED ON APPLE INC 0.9063% 5/03/18 $1 PV ON 250000.0000 SHARES DUE 8/3/20160.0000 0.000000- - - 566.44 - - - 08/03/2016 08/03/2016 08/03/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y50,296.2000 1.000000- - - (50,296.20) 50,296.20 - - 08/03/2016 08/03/2016 08/03/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y566.4400 1.000000- - - (566.44) 566.44 - - 08/03/201608/03/2016 912828N55RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 1.000% 12/31/170.0000 0.000000- - - 46.20 - - - 08/03/2016 08/02/2016 08/03/2016 912828N55SOLD PAR VALUE OF U S TREASURY NT 1.000% 12/31/17 /MLPFS INC/FIXED INCOME/XOTC 50,000 PAR VALUE AT 100.5 %-50,000.0000 1.005000- - - 50,250.00 (49,944.73) 305.27 - 08/04/2016 07/28/2016 08/04/2016 037833CB4PURCHASED PAR VALUE OF APPLE INC 1.100% 8/02/19 /GOLDMAN, SACHS & CO./60,000 PAR VALUE AT 99.9 %60,000.0000 0.999000- - - (59,940.00) 59,940.00 - - 08/04/2016 08/04/2016 08/04/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-59,940.0000 1.000000- - - 59,940.00 (59,940.00) - - 08/09/2016084670BH0AMORTIZED PREMIUM ON BERKSHIRE HATHAWAY 1.550% 2/09/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (746.50) - - 08/09/2016084670BH0INTEREST EARNED ON BERKSHIRE HATHAWAY 1.550% 2/09/18 $1 PV ON 500000.0000 SHARES DUE 8/9/20160.0000 0.000000- - - 3,875.00 - - - 08/09/2016 08/09/2016 08/09/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y3,875.0000 1.000000- - - (3,875.00) 3,875.00 - - 08/12/2016 08/12/2016 08/12/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y22,830.6100 1.000000- - - (22,830.61) 22,830.61 - - 08/12/2016 08/12/2016 08/12/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-33,918.5900 1.000000- - - 33,918.59 (33,918.59) - - 08/12/201608/12/2016 912828H37RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 1/15/180.0000 0.000000- - - 1,341.51 - - - 08/12/2016 08/11/2016 08/12/2016 912828H37SOLD PAR VALUE OF U S TREASURY NT 0.875% 1/15/18 /CITIGROUP GLOBAL MARKETS INC./XOTC 2,015,000 PAR VALUE AT 100.222656 %-2,015,000.0000 1.002227- - - 2,019,486.52 (2,006,872.01) 12,614.51 - 08/12/2016912828H37ACCREDITED DISCOUNT ON U S TREASURY NT 0.875% 1/15/18 MARKET DISCOUNT0.0000 0.000000- - - - 1,074.74 - - 08/12/201608/12/2016 912828N63PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.125% 1/15/190.0000 0.000000- - - (1,724.80) - - - 08/12/2016 08/11/2016 08/12/2016 912828N63PURCHASED PAR VALUE OF U S TREASURY NT 1.125% 1/15/19 /BNP PARIBAS SEC CORP/2,015,000 PAR VALUE AT 100.7539062 %2,015,000.0000 1.007539- - - (2,030,191.21) 2,030,191.21 - - 08/15/2016 08/08/2016 08/15/2016 084664CK5PURCHASED PAR VALUE OF BERKSHIRE HATHAWAY 1.300% 8/15/19 /MLPFS INC/FIXED INCOME/160,000 PAR VALUE AT 99.903 %160,000.0000 0.999030- - - (159,844.80) 159,844.80 - - 08/15/2016161571HC1AMORTIZED PREMIUM ON CHASE ISSUANCE TRUST 1.370% 6/15/21 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (185.11) - - 08/15/2016161571HC1INTEREST EARNED ON CHASE ISSUANCE TRUST 1.370% 6/15/21 $1 PV ON 750000.0000 SHARES DUE 8/15/20160.0000 0.000000- - - 856.25 - - - 08/15/2016 08/15/2016 08/15/2016 31680GAB2PAID DOWN PAR VALUE OF FIFTH THIRD AUTO TRU 1.020% 5/15/18-16,155.4800 0.000000- - - 16,155.48 (16,155.04) 0.44 - 08/15/201631680GAB2INTEREST EARNED ON FIFTH THIRD AUTO TRU 1.020% 5/15/18 $1 PV ON 111.7700 SHARES DUE 8/15/2016 $0.00085/PV ON 131,492.45 PV DUE 8/15/160.0000 0.000000- - - 111.77 - - - 08/15/2016 08/15/2016 08/15/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y1,593.7500 1.000000- - - (1,593.75) 1,593.75 - - 08/15/2016 08/15/2016 08/15/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y80,657.1900 1.000000- - - (80,657.19) 80,657.19 - - 08/15/201636962G2G8AMORTIZED PREMIUM ON GEN ELEC CAP CRP MTN 5.400% 2/15/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (2,274.59) - - 08/15/201636962G2G8INTEREST EARNED ON GEN ELEC CAP CRP MTN 5.400% 2/15/17 $1 PV ON 104000.0000 SHARES DUE 8/15/20160.0000 0.000000- - - 2,808.00 - - - 08/15/2016 08/15/2016 08/15/2016 47787UAB9PAID DOWN PAR VALUE OF JOHN DEERE OWNER 0.870% 2/15/18-35,765.4100 0.000000- - - 35,765.41 (35,763.11) - 2.30 Page 28 of 3364
Account Number: 001050990415Name: RIVERSIDE COUNTY TRANS COMMTransaction Date Trade DateSettlement Date CUSIP DescriptionUnits Price Commissions SEC FeesMiscellaneous Fees Net Cash AmountFederal Tax Cost AmountShort Term Gain/Loss AmountLong Term Gain/Loss AmountPayden & Rygel Operating Portfolio Transaction ReportQuarter ended September 30, 201608/15/201647787UAB9INTEREST EARNED ON JOHN DEERE OWNER 0.870% 2/15/18 $1 PV ON 150.6300 SHARES DUE 8/15/2016 $0.00073/PV ON 207,762.60 PV DUE 8/15/160.0000 0.000000- - - 150.63 - - - 08/15/2016717081DP5AMORTIZED PREMIUM ON PFIZER INC 0.76766% 5/15/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (2.19) - - 08/15/2016717081DP5INTEREST EARNED ON PFIZER INC 0.76766% 5/15/17 $1 PV ON 250000.0000 SHARES DUE 8/15/20160.0000 0.000000- - - 490.45 - - - 08/15/201689237CAD3INTEREST EARNED ON TOYOTA AUTO RECEIV 1.270% 5/15/19 $1 PV ON 529.1700 SHARES DUE 8/15/2016 $0.00106/PV ON 500,000.00 PV DUE 8/15/160.0000 0.000000- - - 529.17 - - - 08/15/201689237KAD5INTEREST EARNED ON TOYOTA AUTO 1.250% 3/16/20 $1 PV ON 208.3300 SHARES DUE 8/15/2016 $0.00104/PV ON 200,000.00 PV DUE 8/15/160.0000 0.000000- - - 208.33 - - - 08/15/201608/15/2016 912828D98RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 1.000% 9/15/170.0000 0.000000- - - 748.37 - - - 08/15/2016 08/11/2016 08/15/2016 912828D98SOLD PAR VALUE OF U S TREASURY NT 1.000% 9/15/17 /CITIGROUP GLOBAL MARKETS INC./XOTC 180,000 PAR VALUE AT 100.359375 %-180,000.0000 1.003594- - - 180,646.88 (180,198.85) - 448.03 08/15/2016912828D98AMORTIZED PREMIUM ON U S TREASURY NT 1.000% 9/15/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (1,048.88) - - 08/15/2016912828H94AMORTIZED PREMIUM ON U S TREASURY NT 1.000% 2/15/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (283.42) - - 08/15/2016912828H94INTEREST EARNED ON U S TREASURY NT 1.000% 2/15/18 $1 PV ON 725000.0000 SHARES DUE 8/15/20160.0000 0.000000- - - 3,625.00 - - - 08/17/2016 08/17/2016 08/17/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y101,783.0700 1.000000- - - (101,783.07) 101,783.07 - - 08/17/2016 08/17/2016 08/17/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-105,081.5500 1.000000- - - 105,081.55 (105,081.55) - - 08/17/201608/17/2016 912828G20RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 11/15/170.0000 0.000000- - - 1,821.57 - - - 08/17/2016 08/16/2016 08/17/2016 912828G20SOLD PAR VALUE OF U S TREASURY NT 0.875% 11/15/17 /CITIGROUP GLOBAL MARKETS INC./XOTC 815,000 PAR VALUE AT 100.210938 %-815,000.0000 1.002109- - - 816,719.14 (813,058.01) - 3,661.13 08/17/201608/17/2016 912828N63PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.125% 1/15/190.0000 0.000000- - - (822.20) - - - 08/17/2016 08/16/2016 08/17/2016 912828N63PURCHASED PAR VALUE OF U S TREASURY NT 1.125% 1/15/19 /BARCLAYS CAPITAL INC. FIXED IN/815,000 PAR VALUE AT 100.73828098 %815,000.0000 1.007383- - - (821,016.99) 821,016.99 - - 08/22/201605581RAD8INTEREST EARNED ON BMW VEHICLE LEASE 1.340% 1/22/19 $1 PV ON 600000.0000 SHARES DUE 8/22/20160.0000 0.000000- - - 670.00 - - - 08/22/2016 08/22/2016 08/22/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y17,330.2500 1.000000- - - (17,330.25) 17,330.25 - - 08/22/2016 08/22/2016 08/22/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y670.0000 1.000000- - - (670.00) 670.00 - - 08/22/201636159LCN4AMORTIZED PREMIUM ON GE DEALER FLOORPLA 1.0302% 10/20/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (7.56) - - 08/22/201636159LCN4INTEREST EARNED ON GE DEALER FLOORPLA 1.0302% 10/20/19 $1 PV ON 407.7900 SHARES DUE 8/20/2016 $0.00086/PV ON 475,000.00 PV DUE 8/20/160.0000 0.000000- - - 407.79 - - - 08/22/2016 08/20/2016 08/22/2016 92867VAB6PAID DOWN PAR VALUE OF VOLKSWAGEN AUTO 0.870% 6/20/17-16,867.3000 0.000000- - - 16,867.30 (16,850.69) - 16.61 08/22/201692867VAB6INTEREST EARNED ON VOLKSWAGEN AUTO 0.870% 6/20/17 $1 PV ON 55.1600 SHARES DUE 8/20/2016 $0.00073/PV ON 76,082.43 PV DUE 8/20/160.0000 0.000000- - - 55.16 - - - 08/23/2016037833BN9INTEREST EARNED ON APPLE INC 1.300% 2/23/18 $1 PV ON 30000.0000 SHARES DUE 8/23/20160.0000 0.000000- - - 195.00 - - - 08/23/2016037833BQ2INTEREST EARNED ON APPLE INC 1.700% 2/22/19 $1 PV ON 40000.0000 SHARES DUE 8/23/20160.0000 0.000000- - - 340.00 - - - 08/23/2016 08/23/2016 08/23/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y535.0000 1.000000- - - (535.00) 535.00 - - 08/24/2016 08/24/2016 08/24/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y1,890.0200 1.000000- - - (1,890.02) 1,890.02 - - 08/24/201658933YAH8AMORTIZED PREMIUM ON MERCK CO INC 0.9782% 5/18/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (219.04) - - 08/24/201658933YAH8INTEREST EARNED ON MERCK CO INC 0.9782% 5/18/18 $1 PV ON 750000.0000 SHARES DUE 8/18/20160.0000 0.000000- - - 1,890.02 - - - 08/25/2016TRUST FEES COLLECTED CHARGED FOR PERIOD 07/01/2016 THRU 07/31/2016 COLLECTED BY DISBURSEMENT0.0000 0.000000- - - (527.57) - - - 08/25/201605582QAD9INTEREST EARNED ON BMW VEHICLE OWNER 1.160% 11/25/20 $1 PV ON 455000.0000 SHARES DUE 8/25/20160.0000 0.000000- - - 513.14 - - - 08/25/2016 08/25/2016 08/25/2016 3136AMTM1PAID DOWN PAR VALUE OF F N M A GTD REMIC 0.3845% 9/25/18-15,758.8800 0.000000- - - 15,758.88 (15,754.84) - 4.04 08/25/20163136AMTM1INTEREST EARNED ON F N M A GTD REMIC 0.3845% 9/25/18 $1 PV ON 254.0600 SHARES DUE 8/25/2016 $0.00057/PV ON 448,361.87 PV DUE 8/25/160.0000 0.000000- - - 254.06 - - - 08/25/2016 08/25/2016 08/25/2016 3137BLVY1PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 1.639% 10/25/19-78,947.8900 14.368655- - - 78,947.89 (78,749.89) 198.00 - 08/25/20163137BLVY1INTEREST EARNED ON F H L M C MLTCL MTG 1.639% 10/25/19 $1 PV ON 1117.2700 SHARES DUE 8/25/2016 $0.00802/PV ON 139,367.72 PV DUE 8/25/160.0000 0.000000- - - 1,117.27 - - - Page 29 of 3365
Account Number: 001050990415Name: RIVERSIDE COUNTY TRANS COMMTransaction Date Trade DateSettlement Date CUSIP DescriptionUnits Price Commissions SEC FeesMiscellaneous Fees Net Cash AmountFederal Tax Cost AmountShort Term Gain/Loss AmountLong Term Gain/Loss AmountPayden & Rygel Operating Portfolio Transaction ReportQuarter ended September 30, 201608/25/20163137BNN26AMORTIZED PREMIUM ON F H L M C MLTCL MTG 1.780% 7/25/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (56.20) - - 08/25/20163137BNN26INTEREST EARNED ON F H L M C MLTCL MTG 1.780% 7/25/19 $1 PV ON 318.9200 SHARES DUE 8/25/2016 $0.00148/PV ON 215,000.00 PV DUE 8/25/160.0000 0.000000- - - 318.92 - - - 08/25/2016 08/25/2016 08/25/2016 3137BPCF4PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 1.376% 10/25/20-917.5700 1,236.281701- - - 917.57 (917.56) 0.01 - 08/25/20163137BPCF4INTEREST EARNED ON F H L M C MLTCL MTG 1.376% 10/25/20 $1 PV ON 450.0400 SHARES DUE 8/25/2016 $0.00115/PV ON 392,474.45 PV DUE 8/25/160.0000 0.000000- - - 450.04 - - - 08/25/2016 08/25/2016 08/25/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y513.1400 1.000000- - - (513.14) 513.14 - - 08/25/2016 08/25/2016 08/25/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y97,237.0600 1.000000- - - (97,237.06) 97,237.06 - - 08/26/2016 08/25/2016 08/26/2016 3130A9AE1PURCHASED PAR VALUE OF F H L B 0.875% 10/01/18 /MLPFS INC/FIXED INCOME/510,000 PAR VALUE AT 99.932 %510,000.0000 0.999320- - - (509,653.20) 509,653.20 - - 08/26/20163134G8L98INTEREST EARNED ON F H L M C M T N 1.050% 2/26/18 $1 PV ON 500000.0000 SHARES DUE 8/26/20160.0000 0.000000- - - 2,625.00 - - - 08/26/20163135G0J53INTEREST EARNED ON F N M A DEB 1.000% 2/26/19 $1 PV ON 500000.0000 SHARES DUE 8/26/20160.0000 0.000000- - - 2,500.00 - - - 08/26/201608/26/2016 08/26/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y9,836.4300 1.000000- - - (9,836.43) 9,836.43 - - 08/26/201608/26/2016 912828L40RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 1.000% 9/15/180.0000 0.000000- - - 2,272.83 - - - 08/26/2016 08/25/2016 08/26/2016 912828L40SOLD PAR VALUE OF U S TREASURY NT 1.000% 9/15/18 /GOLDMAN, SACHS & CO./XOTC 510,000 PAR VALUE AT 100.410156 %-510,000.0000 1.004102- - - 512,091.80 (511,469.28) 622.52 - 08/26/2016912828L40AMORTIZED PREMIUM ON U S TREASURY NT 1.000% 9/15/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (347.19) - - 08/29/20163130A62S5INTEREST EARNED ON F H L B 0.750% 8/28/17 $1 PV ON 340000.0000 SHARES DUE 8/28/20160.0000 0.000000- - - 1,275.00 - - - 08/29/2016 08/29/2016 08/29/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y1,275.0000 1.000000- - - (1,275.00) 1,275.00 - - 08/30/2016 08/29/2016 08/30/2016 313384F87PURCHASED PAR VALUE OF F H L B DISC NTS 9/14/16 /NOMURA SECURITIES/FIX INCOME/400,000 PAR VALUE AT 99.9889575 %400,000.0000 0.999890- - - (399,955.83) 399,955.83 - - 08/30/2016 08/30/2016 08/30/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y232,442.2600 1.000000- - - (232,442.26) 232,442.26 - - 08/30/2016 08/30/2016 08/30/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-231,069.9700 1.000000- - - 231,069.97 (231,069.97) - - 08/30/201608/30/2016 912828WT3RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 7/15/170.0000 0.000000- - - 437.50 - - - 08/30/2016 08/29/2016 08/30/2016 912828WT3SOLD PAR VALUE OF U S TREASURY NT 0.875% 7/15/17 /BMO CAPITAL MARKETS CORP./400,000 PAR VALUE AT 100.222656 %-400,000.0000 1.002227- - - 400,890.62 (400,583.51) - 307.11 08/30/2016912828WT3AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 7/15/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (209.31) - - 09/01/201630231GAP7INTEREST EARNED ON EXXON MOBIL 1.708% 3/01/19 $1 PV ON 40000.0000 SHARES DUE 9/1/20160.0000 0.000000- - - 337.80 - - - 09/01/201630231GAU6INTEREST EARNED ON EXXON MOBIL 1.439% 3/01/18 $1 PV ON 40000.0000 SHARES DUE 9/1/20160.0000 0.000000- - - 284.60 - - - 09/01/2016 09/01/2016 09/01/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y622.4000 1.000000- - - (622.40) 622.40 - - 09/01/201631846V203INTEREST EARNED ON FIRST AMER GOVT OBLIG FUND CL Y UNIT ON 0.0000 SHARES DUE 8/31/2016 INTEREST FROM 8/1/16 TO 8/31/160.0000 0.000000- - - 0.52 - - - 09/02/2016166764AV2INTEREST EARNED ON CHEVRON CORP 1.365% 3/02/18 $1 PV ON 500000.0000 SHARES DUE 9/2/20160.0000 0.000000- - - 3,412.50 - - - 09/02/20163133EEWS5INTEREST EARNED ON F F C B DEB 0.5359% 1/02/18 $1 PV ON 700000.0000 SHARES DUE 9/2/20160.0000 0.000000- - - 323.03 - - - 09/02/201608/31/2016 09/02/2016 3135G0P49PURCHASED PAR VALUE OF F N M A 1.000% 8/28/19 /GOLDMAN, SACHS & CO./510,000 PAR VALUE AT 99.844 %510,000.0000 0.998440- - - (509,204.40) 509,204.40 - - 09/02/2016 09/02/2016 09/02/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y218,801.5300 1.000000- - - (218,801.53) 218,801.53 - - 09/02/201609/02/2016 912828R85RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 6/15/190.0000 0.000000- - - 963.22 - - - 09/02/2016 08/31/2016 09/02/2016 912828R85SOLD PAR VALUE OF U S TREASURY NT 0.875% 6/15/19 /CITIGROUP GLOBAL MARKETS INC./XOTC 510,000 PAR VALUE AT 99.92827 %-510,000.0000 0.999283- - - 509,634.18 (512,023.13) (2,388.95) - 09/02/2016912828R85AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 6/15/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (137.16) - - 09/02/2016 09/02/2016 09/02/2016 977100AU0FULL CALL PAR VALUE OF WISCONSIN ST 5.050% 5/01/18 /CALLS/-200,000.0000 1.068362- - - 213,672.48 (212,255.25) 1,417.23 - 09/02/2016977100AU0AMORTIZED PREMIUM ON WISCONSIN ST 5.050% 5/01/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (2,447.31) - - 09/06/201606406HCK3AMORTIZED PREMIUM ON BANK OF NY MTN 1.14499% 3/06/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (115.84) - - 09/06/201606406HCK3INTEREST EARNED ON BANK OF NY MTN 1.14499% 3/06/18 $1 PV ON 750000.0000 SHARES DUE 9/6/20160.0000 0.000000- - - 2,146.86 - - - 09/06/201630231GAL6INTEREST EARNED ON EXXON MOBIL 1.305% 3/06/18 $1 PV ON 460000.0000 SHARES DUE 9/6/20160.0000 0.000000- - - 3,001.50 - - - 09/06/2016 09/06/2016 09/06/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y46,962.3200 1.000000- - - (46,962.32) 46,962.32 - - 09/06/2016 09/06/2016 09/06/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y3,394.7200 1.000000- - - (3,394.72) 3,394.72 - - Page 30 of 3366
Account Number: 001050990415Name: RIVERSIDE COUNTY TRANS COMMTransaction Date Trade DateSettlement Date CUSIP DescriptionUnits Price Commissions SEC FeesMiscellaneous Fees Net Cash AmountFederal Tax Cost AmountShort Term Gain/Loss AmountLong Term Gain/Loss AmountPayden & Rygel Operating Portfolio Transaction ReportQuarter ended September 30, 201609/06/201609/06/2016 912828N22RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 1.250% 12/15/180.0000 0.000000- - - 2,040.98 - - - 09/06/2016 09/01/2016 09/06/2016 912828N22SOLD PAR VALUE OF U S TREASURY NT 1.250% 12/15/18 /BNP PARIBAS SECURITIES BOND/720,000 PAR VALUE AT 100.902344 %-720,000.0000 1.009023- - - 726,496.88 (729,474.57) (2,977.69) - 09/06/2016912828N22AMORTIZED PREMIUM ON U S TREASURY NT 1.250% 12/15/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (1,685.40) - - 09/06/201609/06/2016 912828N63RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 1.125% 1/15/190.0000 0.000000- - - 4,585.29 - - - 09/06/2016 09/01/2016 09/06/2016 912828N63SOLD PAR VALUE OF U S TREASURY NT 1.125% 1/15/19 /UBS SECURITIES LLC/XOTC 2,830,000 PAR VALUE AT 100.625 %-2,830,000.0000 1.006250- - - 2,847,687.50 (2,849,462.95) (1,775.45) - 09/06/2016912828N63AMORTIZED PREMIUM ON U S TREASURY NT 1.125% 1/15/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (558.49) - - 09/06/201609/06/2016 912828S43PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 0.750% 7/15/190.0000 0.000000- - - (3,834.58) - - - 09/06/2016 09/01/2016 09/06/2016 912828S43PURCHASED PAR VALUE OF U S TREASURY NT 0.750% 7/15/19 /UBS SECURITIES LLC/3,550,000 PAR VALUE AT 99.58203127 %3,550,000.0000 0.995820- - - (3,535,162.11) 3,535,162.11 - - 09/06/2016977100AU0INTEREST EARNED ON WISCONSIN ST 5.050% 5/01/18 $1 PV ON 200000.0000 SHARES DUE 9/2/2016 ACCRUED INTEREST ON 9/2/2016 FULL CALL0.0000 0.000000- - - 3,394.72 - - - 09/07/201609/07/2016 084670BH0RECEIVED ACCRUED INTEREST ON SALE OF BERKSHIRE HATHAWAY 1.550% 2/09/180.0000 0.000000- - - 602.78 - - - 09/07/2016 09/01/2016 09/07/2016 084670BH0SOLD PAR VALUE OF BERKSHIRE HATHAWAY 1.550% 2/09/18 /FTN FINANCIAL SECURITIES/500,000 PAR VALUE AT 100.738 %-500,000.0000 1.007380- - - 503,690.00 (502,150.07) - 1,539.93 09/07/2016084670BH0AMORTIZED PREMIUM ON BERKSHIRE HATHAWAY 1.550% 2/09/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (117.42) - - 09/07/2016 09/07/2016 09/07/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y504,292.7800 1.000000- - - (504,292.78) 504,292.78 - - 09/09/2016 09/09/2016 09/09/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-507,240.4900 1.000000- - - 507,240.49 (507,240.49) - - 09/09/201609/09/2016 912828N63PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.125% 1/15/190.0000 0.000000- - - (1,883.15) - - - 09/09/2016 09/08/2016 09/09/2016 912828N63PURCHASED PAR VALUE OF U S TREASURY NT 1.125% 1/15/19 /BNP PARIBAS SEC CORP/1,100,000 PAR VALUE AT 100.66406273 %1,100,000.0000 1.006641- - - (1,107,304.69) 1,107,304.69 - - 09/09/2016912828N63FED BASIS OF U S TREASURY NT 1.125% 1/15/19 ADJUSTED BY 1186.76 FIXED FEDRL TX CST FROM $1107304.69 TO $1108491.450.0000 0.000000- - - - 1,186.76 - - 09/09/2016912828N63FED BASIS OF U S TREASURY NT 1.125% 1/15/19 ADJUSTED BY -1186.76 FIXED FEDRL TX CST FROM $2029767.67 TO $2028580.910.0000 0.000000- - - - (1,186.76) - - 09/09/201609/09/2016 912828WT3RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 7/15/170.0000 0.000000- - - 798.91 - - - 09/09/2016 09/08/2016 09/09/2016 912828WT3SOLD PAR VALUE OF U S TREASURY NT 0.875% 7/15/17 /BARCLAYS CAPITAL INC. FIXED IN/600,000 PAR VALUE AT 100.191407 %-600,000.0000 1.001914- - - 601,148.44 (600,848.02) - 300.42 09/09/2016912828WT3AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 7/15/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (27.24) - - 09/14/2016313384F87INTEREST EARNED ON F H L B DISC NTS 9/14/16 $1 PV ON 400000.0000 SHARES DUE 9/14/2016 400,000 PAR VALUE AT 100 %0.0000 0.000000- - - 44.17 - - - 09/14/2016 09/14/2016 09/14/2016 313384F87MATURED PAR VALUE OF F H L B DISC NTS 9/14/16 400,000 PAR VALUE AT 100 %-400,000.0000 1.000000- - - 399,955.83 (399,955.83) - - 09/14/2016 08/29/2016 09/14/2016 3134GAJQ8PURCHASED PAR VALUE OF F H L M C M T N 1.150% 9/14/18 /BARCLAYS CAPITAL INC. FIXED IN/510,000 PAR VALUE AT 100 %510,000.0000 1.000000- - - (510,000.00) 510,000.00 - - 09/14/2016 09/14/2016 09/14/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y110,058.8400 1.000000- - - (110,058.84) 110,058.84 - - 09/14/2016 09/14/2016 09/14/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-107,976.7700 1.000000- - - 107,976.77 (107,976.77) - - 09/14/201648125LRD6INTEREST EARNED ON JP MORGAN CHASE MT 1.0556% 6/14/17 $1 PV ON 750000.0000 SHARES DUE 9/14/20160.0000 0.000000- - - 2,023.23 - - - 09/14/201609/14/2016 912828R85RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 0.875% 6/15/190.0000 0.000000- - - 239.31 - - - 09/14/2016 09/13/2016 09/14/2016 912828R85SOLD PAR VALUE OF U S TREASURY NT 0.875% 6/15/19 /NOMURA SECURITIES INTL., FIXED/110,000 PAR VALUE AT 99.835938 %-110,000.0000 0.998359- - - 109,819.53 (110,431.27) (611.74) - 09/14/2016912828R85AMORTIZED PREMIUM ON U S TREASURY NT 0.875% 6/15/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (29.36) - - 09/15/2016161571HC1AMORTIZED PREMIUM ON CHASE ISSUANCE TRUST 1.370% 6/15/21 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (156.57) - - 09/15/2016161571HC1INTEREST EARNED ON CHASE ISSUANCE TRUST 1.370% 6/15/21 $1 PV ON 750000.0000 SHARES DUE 9/15/20160.0000 0.000000- - - 856.25 - - - 09/15/2016 09/15/2016 09/15/2016 31680GAB2PAID DOWN PAR VALUE OF FIFTH THIRD AUTO TRU 1.020% 5/15/18-17,231.5200 0.000000- - - 17,231.52 (17,231.05) 0.47 - 09/15/201631680GAB2INTEREST EARNED ON FIFTH THIRD AUTO TRU 1.020% 5/15/18 $1 PV ON 98.0400 SHARES DUE 9/15/2016 $0.00085/PV ON 115,336.97 PV DUE 9/15/160.0000 0.000000- - - 98.04 - - - 09/15/2016 09/15/2016 09/15/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y856.2500 1.000000- - - (856.25) 856.25 - - 09/15/2016 09/15/2016 09/15/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y82,958.2600 1.000000- - - (82,958.26) 82,958.26 - - 09/15/201636962G3H5AMORTIZED PREMIUM ON GEN ELEC CAP CRP MTN 5.625% 9/15/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (10,776.80) - - Page 31 of 3367
Account Number: 001050990415Name: RIVERSIDE COUNTY TRANS COMMTransaction Date Trade DateSettlement Date CUSIP DescriptionUnits Price Commissions SEC FeesMiscellaneous Fees Net Cash AmountFederal Tax Cost AmountShort Term Gain/Loss AmountLong Term Gain/Loss AmountPayden & Rygel Operating Portfolio Transaction ReportQuarter ended September 30, 201609/15/201636962G3H5INTEREST EARNED ON GEN ELEC CAP CRP MTN 5.625% 9/15/17 $1 PV ON 500000.0000 SHARES DUE 9/15/20160.0000 0.000000- - - 14,062.50 - - - 09/15/2016 09/15/2016 09/15/2016 47787UAB9PAID DOWN PAR VALUE OF JOHN DEERE OWNER 0.870% 2/15/18-25,924.8000 0.000000- - - 25,924.80 (25,923.13) - 1.67 09/15/201647787UAB9INTEREST EARNED ON JOHN DEERE OWNER 0.870% 2/15/18 $1 PV ON 124.7000 SHARES DUE 9/15/2016 $0.00073/PV ON 171,997.19 PV DUE 9/15/160.0000 0.000000- - - 124.70 - - - 09/15/201689237CAD3INTEREST EARNED ON TOYOTA AUTO RECEIV 1.270% 5/15/19 $1 PV ON 529.1700 SHARES DUE 9/15/2016 $0.00106/PV ON 500,000.00 PV DUE 9/15/160.0000 0.000000- - - 529.17 - - - 09/15/201689237KAD5INTEREST EARNED ON TOYOTA AUTO 1.250% 3/16/20 $1 PV ON 208.3300 SHARES DUE 9/15/2016 $0.00104/PV ON 200,000.00 PV DUE 9/15/160.0000 0.000000- - - 208.33 - - - 09/15/2016912828D98AMORTIZED PREMIUM ON U S TREASURY NT 1.000% 9/15/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (193.19) - - 09/15/2016912828D98INTEREST EARNED ON U S TREASURY NT 1.000% 9/15/17 $1 PV ON 2300000.0000 SHARES DUE 9/15/20160.0000 0.000000- - - 11,500.00 - - - 09/15/2016912828L40AMORTIZED PREMIUM ON U S TREASURY NT 1.000% 9/15/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (26.70) - - 09/15/2016912828L40INTEREST EARNED ON U S TREASURY NT 1.000% 9/15/18 $1 PV ON 695000.0000 SHARES DUE 9/15/20160.0000 0.000000- - - 3,475.00 - - - 09/15/2016912828P95AMORTIZED PREMIUM ON U S TREASURY NT 1.000% 3/15/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (495.14) - - 09/15/2016912828P95INTEREST EARNED ON U S TREASURY NT 1.000% 3/15/19 $1 PV ON 1870000.0000 SHARES DUE 9/15/20160.0000 0.000000- - - 9,350.00 - - - 09/16/201609/16/2016 3137EADV8RECEIVED ACCRUED INTEREST ON SALE OF F H L M C 0.750% 7/14/170.0000 0.000000- - - 1,033.33 - - - 09/16/2016 09/15/2016 09/16/2016 3137EADV8SOLD PAR VALUE OF F H L M C 0.750% 7/14/17 /MORGAN STANLEY & CO. LLC/800,000 PAR VALUE AT 100.079 %-800,000.0000 1.000790- - - 800,632.00 (799,376.00) - 1,256.00 09/16/2016 09/15/2016 09/16/2016 3137EAED7PURCHASED PAR VALUE OF F H L M C M T N 0.875% 10/12/18 /BARCLAYS CAPITAL INC. FIXED IN/1,000,000 PAR VALUE AT 99.994 %1,000,000.0000 0.999940- - - (999,940.00) 999,940.00 - - 09/16/2016 09/15/2016 09/16/2016 3137EAED7PURCHASED PAR VALUE OF F H L M C M T N 0.875% 10/12/18 /BARCLAYS CAPITAL INC. FIXED IN/510,000 PAR VALUE AT 99.957 %510,000.0000 0.999570- - - (509,780.70) 509,780.70 - - 09/16/2016 09/16/2016 09/16/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-195,949.4800 1.000000- - - 195,949.48 (195,949.48) - - 09/16/201609/16/2016 912828L40RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 1.000% 9/15/180.0000 0.000000- - - 14.09 - - - 09/16/2016 09/15/2016 09/16/2016 912828L40SOLD PAR VALUE OF U S TREASURY NT 1.000% 9/15/18 /BARCLAYS CAPITAL INC. FIXED IN/510,000 PAR VALUE AT 100.410157 %-510,000.0000 1.004102- - - 512,091.80 (510,233.65) 1,858.15 - 09/16/2016912828L40AMORTIZED PREMIUM ON U S TREASURY NT 1.000% 9/15/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (1.43) - - 09/19/20163130A7CX1INTEREST EARNED ON F H L B 0.875% 3/19/18 $1 PV ON 520000.0000 SHARES DUE 9/19/20160.0000 0.000000- - - 2,275.00 - - - 09/19/2016 09/19/2016 09/19/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y2,275.0000 1.000000- - - (2,275.00) 2,275.00 - - 09/20/201605581RAD8INTEREST EARNED ON BMW VEHICLE LEASE 1.340% 1/22/19 $1 PV ON 600000.0000 SHARES DUE 9/20/20160.0000 0.000000- - - 670.00 - - - 09/20/2016 09/13/2016 09/20/2016 17275RBG6PURCHASED PAR VALUE OF CISCO SYSTEMS INC 1.400% 9/20/19 /CITIGROUP GLOBAL MARKETS INC./110,000 PAR VALUE AT 99.889 %110,000.0000 0.998890- - - (109,877.90) 109,877.90 - - 09/20/2016 09/20/2016 09/20/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-109,509.6300 1.000000- - - 109,509.63 (109,509.63) - - 09/20/2016 09/20/2016 09/20/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y19,557.0700 1.000000- - - (19,557.07) 19,557.07 - - 09/20/201636159LCN4AMORTIZED PREMIUM ON GE DEALER FLOORPLA 0.93036% 10/20/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (7.90) - - 09/20/201636159LCN4INTEREST EARNED ON GE DEALER FLOORPLA 0.93036% 10/20/19 $1 PV ON 368.2700 SHARES DUE 9/20/2016 $0.00078/PV ON 475,000.00 PV DUE 9/20/160.0000 0.000000- - - 368.27 - - - 09/20/2016 09/20/2016 09/20/2016 92867VAB6PAID DOWN PAR VALUE OF VOLKSWAGEN AUTO 0.870% 6/20/17-18,844.1400 125.765413- - - 18,844.14 (18,825.59) - 18.55 09/20/201692867VAB6INTEREST EARNED ON VOLKSWAGEN AUTO 0.870% 6/20/17 $1 PV ON 42.9300 SHARES DUE 9/20/2016 $0.00073/PV ON 59,215.13 PV DUE 9/20/160.0000 0.000000- - - 42.93 - - - 09/21/2016 09/21/2016 09/21/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y4.1300 1.000000- - - (4.13) 4.13 - - 09/21/2016 09/21/2016 09/21/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-200,759.7100 1.000000- - - 200,759.71 (200,759.71) - - 09/21/201647788NAC2INTEREST EARNED ON JOHN DEERE OWNER 1.250% 6/15/20 $1 PV ON 275000.0000 SHARES DUE 9/15/20160.0000 0.000000- - - 458.33 - - - 09/21/201609/21/2016 912828L40PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 1.000% 9/15/180.0000 0.000000- - - (33.15) - - - 09/21/2016 09/20/2016 09/21/2016 912828L40PURCHASED PAR VALUE OF U S TREASURY NT 1.000% 9/15/18 /MLPFS INC/FIXED INCOME/200,000 PAR VALUE AT 100.36328 %200,000.0000 1.003633- - - (200,726.56) 200,726.56 - - 09/26/2016TRUST FEES COLLECTED CHARGED FOR PERIOD 08/01/2016 THRU 08/31/2016 COLLECTED BY DISBURSEMENT0.0000 0.000000- - - (526.98) - - - Page 32 of 3368
Account Number: 001050990415Name: RIVERSIDE COUNTY TRANS COMMTransaction Date Trade DateSettlement Date CUSIP DescriptionUnits Price Commissions SEC FeesMiscellaneous Fees Net Cash AmountFederal Tax Cost AmountShort Term Gain/Loss AmountLong Term Gain/Loss AmountPayden & Rygel Operating Portfolio Transaction ReportQuarter ended September 30, 201609/26/201605582QAD9INTEREST EARNED ON BMW VEHICLE OWNER 1.160% 11/25/20 $1 PV ON 455000.0000 SHARES DUE 9/25/20160.0000 0.000000- - - 439.83 - - - 09/26/2016 09/25/2016 09/26/2016 3136AMTM1PAID DOWN PAR VALUE OF F N M A GTD REMIC 0.3845% 9/25/18-418.2000 0.000000- - - 418.20 (418.09) - 0.11 09/26/20163136AMTM1INTEREST EARNED ON F N M A GTD REMIC 0.3845% 9/25/18 $1 PV ON 258.2700 SHARES DUE 9/25/2016 $0.00060/PV ON 432,602.99 PV DUE 9/25/160.0000 0.000000- - - 258.27 - - - 09/26/2016 09/25/2016 09/26/2016 3137BLVY1PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 1.639% 10/25/19-822.3000 0.000000- - - 822.30 (820.24) 2.06 - 09/26/20163137BLVY1INTEREST EARNED ON F H L M C MLTCL MTG 1.639% 10/25/19 $1 PV ON 82.5200 SHARES DUE 9/25/2016 $0.00137/PV ON 60,419.83 PV DUE 9/25/160.0000 0.000000- - - 82.52 - - - 09/26/20163137BNN26AMORTIZED PREMIUM ON F H L M C MLTCL MTG 1.780% 7/25/19 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (56.20) - - 09/26/20163137BNN26INTEREST EARNED ON F H L M C MLTCL MTG 1.780% 7/25/19 $1 PV ON 215000.0000 SHARES DUE 9/25/20160.0000 0.000000- - - 318.92 - - - 09/26/2016 09/25/2016 09/26/2016 3137BPCF4PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 1.376% 10/25/20-15,157.6400 0.000000- - - 15,157.64 (15,157.52) 0.12 - 09/26/20163137BPCF4INTEREST EARNED ON F H L M C MLTCL MTG 1.376% 10/25/20 $1 PV ON 645.2200 SHARES DUE 9/25/2016 $0.00165/PV ON 391,556.88 PV DUE 9/25/160.0000 0.000000- - - 645.22 - - - 09/26/201609/26/2016 09/26/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y758.7500 1.000000- - - (758.75) 758.75 - - 09/26/2016 09/26/2016 09/26/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y16,857.1700 1.000000- - - (16,857.17) 16,857.17 - - 09/29/2016 09/29/2016 09/29/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y47,055.1400 1.000000- - - (47,055.14) 47,055.14 - - 09/29/2016 09/29/2016 09/29/2016 31846V203SOLD UNITS OF FIRST AMER GOVT OBLIG FUND CL Y-118,405.4000 1.000000- - - 118,405.40 (118,405.40) - - 09/29/201609/29/2016 912828H94RECEIVED ACCRUED INTEREST ON SALE OF U S TREASURY NT 1.000% 2/15/180.0000 0.000000- - - 220.11 - - - 09/29/2016 09/28/2016 09/29/2016 912828H94SOLD PAR VALUE OF U S TREASURY NT 1.000% 2/15/18 /BMO CAPITAL MARKETS CORP./180,000 PAR VALUE AT 100.390625 %-180,000.0000 1.003906- - - 180,703.13 (180,400.18) - 302.95 09/29/2016912828H94AMORTIZED PREMIUM ON U S TREASURY NT 1.000% 2/15/18 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (168.60) - - 09/29/201609/29/2016 91412GPZ2PAID ACCRUED INTEREST ON PURCHASE OF UNIV OF CA 1.296% 5/15/180.0000 0.000000- - - (1,206.00) - - - 09/29/2016 09/27/2016 09/29/2016 91412GPZ2PURCHASED PAR VALUE OF UNIV OF CA 1.296% 5/15/18 /BARCLAYS CAPITAL INC. FIXED IN/250,000 PAR VALUE AT 100.427 %250,000.0000 1.004270- - - (251,067.50) 251,067.50 - - 09/30/201609/30/2016 3137BLVY1RECEIVED ACCRUED INTEREST ON SALE OF F H L M C MLTCL MTG 1.639% 10/25/190.0000 0.000000- - - 78.69 - - - 09/30/2016 09/24/2016 09/30/2016 3137BLVY1SOLD PAR VALUE OF F H L M C MLTCL MTG 1.639% 10/25/19 /PERSHING LLC/59,597.53 PAR VALUE AT 100.425781 %-59,597.5300 1.004258- - - 59,851.28 (59,448.05) 403.23 - 09/30/2016 09/30/2016 09/30/2016 31846V203PURCHASED UNITS OF FIRST AMER GOVT OBLIG FUND CL Y67,739.3500 1.000000- - - (67,739.35) 67,739.35 - - 09/30/2016912828TS9AMORTIZED PREMIUM ON U S TREASURY NT 0.625% 9/30/17 CURRENT YEAR AMORTIZATION0.0000 0.000000- - - - (50.64) - - 09/30/2016912828TS9ACCREDITED DISCOUNT ON U S TREASURY NT 0.625% 9/30/17 CURRENT YEAR ACQ. PREMIUM OID0.0000 0.000000- - - - (271.65) - - 09/30/2016912828TS9ACCREDITED DISCOUNT ON U S TREASURY NT 0.625% 9/30/17 CURRENT YEAR OID0.0000 0.000000- - - - 271.65 - - 09/30/2016912828TS9INTEREST EARNED ON U S TREASURY NT 0.625% 9/30/17 $1 PV ON 2499000.0000 SHARES DUE 9/30/20160.0000 0.000000- - - 7,809.38 - - - Total- - - - 129,632.76 12,548.99 7,971.96 Page 33 of 3369
Logan Circle Partners, L.P. 25 Deforest Avenue
Summit, NJ 07901 908-376-0550
SHORT DURATION FIXED INCOME
Third Quarter 2016 Client Review
Riverside County
Transportation Commission
ATTACHMENT 14
70
��G D P - S e c o n d - h a l f G D P e s t i m a t e s r e l y o n s u s t a i n e d s t r e n g t h i n p e r s o n a l c o n s u m p t i o n , s u p p o r t e d b y r i s i n g
w a g e s a n d h o u s e h o l d i n c o m e s . W e a k b u s i n e s s f i x e d i n v e s t m e n t a n d a n e m i c g o v e r n m e n t s p e n d i n g c o n t i n u e
t o c a p u p s i d e g r o w t h p o t e n t i a l . C u r r e n t f o r e c a s t s s u g g e s t f u l l - y e a r e c o n o m i c g r o w t h t o f a l l b e l o w 2 % . A
s t r e n g t h e n i n g d o l l a r a n d t h e p o t e n t i a l f o r i n c r e a s e d t r a d e b a r r i e r s c o u l d d a m p e n t h e n e t e x p o r t s c o m p o n e n t
o f G D P .
��C o n s u m e r - H i g h e r h e a l t h c a r e c o s t s , i n c l u d i n g i n s u r a n c e , r e p r e s e n t a n i n c r e a s i n g s h a r e o f c o n s u m e r
s p e n d i n g a n d d i s p o s a b l e i n c o m e . B o t h p r e s e n t s i t u a t i o n a n d e x p e c t a t i o n s c o m p o n e n t s o f c o n s u m e r
c o n f i d e n c e r e a c h h i g h s n o t s e e n s i n c e t h e f i n a n c i a l c r i s i s a l t h o u g h t h i s c o n f i d e n c e h a s y e t t o t r a n s l a t e i n t o
i m p r o v i n g r e t a i l s a l e s . R e b o u n d i n s a v i n g s r a t e s k e w e d b y s t r e n g t h o f u p p e r i n c o m e e a r n e r s . S u s t a i n e d p a c e
o f s t u d e n t a n d a u t o l o a n d e b t g r o w t h r e p r e s e n t s a l o n g - t e r m d e m o g r a p h i c c o n c e r n .
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p r e s s u r e m a n y i n d u s t r i a l s u b - s e c t o r s . D e t e r i o r a t i o n o f c r e d i t m e t r i c s c o n t i n u e s , h i g h l i g h t e d b y r i s i n g
d e b t / e q u i t y r a t i o s a n d d e c l i n i n g o p e r a t i n g m a r g i n s . A l t h o u g h f i n a n c i a l s c o n t i n u e t o b u i l d c a p i t a l a n d i m p r o v e
b a l a n c e s h e e t s , t h e s t r e n g t h a n d s t a b i l i t y o f e a r n i n g s a r e n e g a t i v e l y i m p a c t e d b y l e s s d i v e r s e b u s i n e s s
m o d e l s a n d r e d u c e d n e t i n t e r e s t m a r g i n s . W e a k n e w b u s i n e s s f o r m a t i o n s s y m p t o m a t i c o f t h e b r o a d e r
c h a l l e n g e s t o g r o w t h . E l e c t i o n y e a r a n d g e o p o l i t i c a l u n c e r t a i n t y w e i g h o n b u s i n e s s c o n f i d e n c e .
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a n d p a r t i c i p a t i o n r a t e s . S e r v i c e s e c t o r ( e . g . h e a l t h s e r v i c e s , l e i s u r e a n d h o s p i t a l i t y ) a c c o u n t s f o r a l l o f t h e
e m p l o y m e n t g a i n s s i n c e t h e f i n a n c i a l c r i s i s . O v e r a l l i n c r e a s e i n a v e r a g e h o u r l y e a r n i n g s l e d b y l a b o r
s h o r t a g e s i n s e l e c t s e r v i c e s u b - s e c t o r s a n d w a g e i n c r e a s e s a t t h e l o w e n d o f t h e s p e c t r u m .
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C e n t r a l B a n k p o l i c i e s r e m a i n a c c o m m o d a t i v e . S t i m u l u s p r o g r a m s h a v e f a i l e d t o a c h i e v e e c o n o m i c g r o w t h
a n d i n f l a t i o n o b j e c t i v e s . B O J s h i f t s p o l i c y t o t a r g e t t e n - y e a r J G B y i e l d s a t 0 % . A l t h o u g h E C B f l o a t s t a p e r i n g o f
b o n d b u y i n g p r o g r a m , a c c o m m o d a t i o n w i l l c o n t i n u e w e l l i n t o t h e f u t u r e . P o l i t i c a l p o s t u r i n g o v e r B r e x i t t e r m s
w i l l c o n t i n u e t o i m p a c t c u r r e n c i e s a n d f i n a n c i a l m a r k e t s . B r e x i t o u t c o m e m a y f u e l b r o a d e r n a t i o n a l i s t
s e n t i m e n t s .
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s e a s o n a l i t y a n d a s l o w d o w n i n h i g h e r p r i c e d h o m e s s a l e s . T h e n u m b e r o f h o m e s c u r r e n t l y o n t h e m a r k e t
r e m a i n s l o w a t 4 . 4 m o n t h s s u p p l y , h o w e v e r , i n v e n t o r y f i g u r e s a r e s k e w e d b y a b u i l d u p o f h i g h e r - p r i c e d
h o m e s . A f f o r d a b i l i t y d e c l i n e s a s p r i c e a p p r e c i a t i o n c o n t i n u e s t o o u t p a c e i n c o m e g r o w t h . R e f i n a n c i n g a c t i v i t y
w i l l s l o w a s m o s t b o r r o w e r s w h o c o u l d b e n e f i t f r o m c u r r e n t m o r t g a g e r a t e s h a v e a l r e a d y a c t e d . N e w h o m e
c o n s t r u c t i o n s l o w s d u e t o s e a s o n a l i t y b u t c o n t i n u e s t o g a i n m o m e n t u m o n a y e a r - o v e r - y e a r b a s i s .
��I n f l a t i o n - C o r e P C E c o n t i n u e s t o e d g e h i g h e r a s r e n t s , h e a l t h c a r e i n s u r a n c e a n d m e d i c a l c o s t s e s c a l a t e .
E n e r g y p r i c e s a n d w a g e g r o w t h s u p p o r t h e a d l i n e i n f l a t i o n , w h i l e s t r o n g e r d o l l a r a c t s t o m i t i g a t e u p w a r d
p r e s s u r e . F e d e r a l R e s e r v e i n d i c a t e s a w i l l i n g n e s s t o l e t i n f l a t i o n e x c e e d p r e v i o u s t a r g e t . B u d d i n g p r o t e c t i o n i s t
/ p o p u l i s t m o v e m e n t s e x p e c t e d t o h a v e n e g a t i v e ( h i g h e r ) l o n g - t e r m i n f l a t i o n i m p l i c a t i o n s a s f r e e t r a d e p o l i c i e s
a r e t e s t e d .
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s t a b i l i t y c o n c e r n s , a s t i m i n g o f p o l i c y n o r m a l i z a t i o n p u s h e d t o D e c e m b e r a t t h e e a r l i e s t . D i v i d i n g l i n e s
b e t w e e n h a w k s a n d d o v e s d e e p e n a s b o t h s i d e s b e c o m e m o r e v o c a l i n s p e e c h e s a n d p o l i c y d i s c u s s i o n s .
T h r e e d i s s e n t e r s e m e r g e a t S e p t e m b e r m e e t i n g . D o m e s t i c f i s c a l p o l i c y i n i t i a t i v e s u n l i k e l y t o e m e r g e i n t h e
n e a r t e r m a s e l e c t i o n y e a r p o l i t i c s p r e c l u d e s u b s t a n t i v e a c t i o n .
T h e v i e w s p r e s e n t e d a b o v e a r e L o g a n C i r c l e '