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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Tax-Exempt California Money Market Fund (MM) | NASDAQ:TXCXX | NASDAQ | Ordinary Share |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.00 | - |
ITEM 1.
|
SCHEDULE OF INVESTMENTS
|
Investment Portfolio | as of December 31, 2013 (Unaudited) |
Principal
Amount ($)
|
Value ($)
|
|||||||
Municipal Investments 99.9%
|
||||||||
California 84.7%
|
||||||||
California, ABAG Finance Authority for Non-Profit Corporations, Multi-Family Housing Revenue, Colma Bart Apartments, Series A, AMT, 0.06% *, 11/15/2035, LOC: Fannie Mae
|
3,000,000
|
3,000,000
|
||||||
California, Austin Trust, Various States, Series 2008-1065, 144A, 0.19% *, 3/1/2033, LIQ: Bank of America NA
|
1,000,000
|
1,000,000
|
||||||
California, Bay Area Toll Authority, Toll Bridge Revenue, San Francisco Bay Area:
|
||||||||
Series E-1, 0.04% *, 4/1/2045, LOC: Bank of Tokyo-Mitsubishi UFJ
|
1,000,000
|
1,000,000
|
||||||
Series C-1, 0.05% *, 4/1/2045, LOC: Union Bank NA
|
1,805,000
|
1,805,000
|
||||||
California, BB&T Municipal Trust, Series 2023, 144A, 0.08% *, 2/1/2024, INS: NATL, LIQ: Branch Banking & Trust, LOC: Branch Banking & Trust
|
1,585,000
|
1,585,000
|
||||||
California, BB&T Municipal Trust, Public Financing Authority, Series 2011, 144A, 0.1% *, 9/1/2022, LIQ: Branch Banking & Trust, LOC: Branch Banking & Trust
|
7,320,000
|
7,320,000
|
||||||
California, Clipper Tax-Exempt Certificate Trust, Series 2009-66, 144A, 0.06% *, 5/15/2030, LIQ: State Street Bank & Trust Co.
|
4,250,000
|
4,250,000
|
||||||
California, Nuveen Dividend Advantage Municipal Fund, Series 1-1362, 144A, AMT, 0.22% *, 6/1/2041, LIQ: Morgan Stanley Bank
|
5,000,000
|
5,000,000
|
||||||
California, Nuveen Dividend Advantage Municipal Fund 2, 144A, AMT, 0.16% *, 8/3/2043, LIQ: Royal Bank of Canada
|
5,000,000
|
5,000,000
|
||||||
California, Nuveen Dividend Advantage Municipal Fund 3, Series 1-1600, 144A, AMT, 0.15% *, 9/1/2043, LIQ: Barclays Bank PLC
|
1,200,000
|
1,200,000
|
||||||
California, RBC Municipal Products, Inc. Trust, Series E-24, 144A, 0.05% **, 8/1/2014, LIQ: Royal Bank of Canada, LOC: Royal Bank of Canada
|
1,200,000
|
1,200,000
|
||||||
California, State Department of Water Resources, Supply Revenue, Series M, 5.0%, 5/1/2014
|
600,000
|
609,450
|
||||||
California, State General Obligation:
|
||||||||
Series 2178, 144A, 0.09% *, 12/1/2037, GTY: Wells Fargo & Co., LIQ: Wells Fargo & Co.
|
1,200,000
|
1,200,000
|
||||||
Prerefunded 2/1/2014 @ 100, 5.125%, 2/1/2027
|
900,000
|
903,703
|
||||||
Prerefunded 4/1/2014 @ 100, 5.3%, 4/1/2029
|
4,630,000
|
4,688,453
|
||||||
California, State Health Facilities Financing Authority Revenue, Catholic Healthcare West, Series B, 0.04% *, 3/1/2047, LOC: Bank of Montreal
|
5,000,000
|
5,000,000
|
||||||
California, State Health Facilities Financing Authority Revenue, Children's Hospital, Series D, 0.05% *, 11/1/2034, GTY: Children's Healthcare of California, LOC: U.S. Bank NA
|
2,800,000
|
2,800,000
|
||||||
California, State Health Facilities Financing Authority Revenue, Scripps Health, Series F, 144A, 0.03% *, 10/1/2031, LOC: Northern Trust Co.
|
2,200,000
|
2,200,000
|
||||||
California, State Health Facilities Financing Authority Revenue, St. Joseph Health Systems:
|
||||||||
Series A, 0.04% *, 7/1/2041, LOC: Union Bank NA
|
2,500,000
|
2,500,000
|
||||||
Series D, 0.05% *, 7/1/2041, LOC: Wells Fargo Bank NA
|
1,000,000
|
1,000,000
|
||||||
California, State Infrastructure & Economic Development Bank Revenue, Pacific Gas & Electric Co., Series A, 0.02% *, 11/1/2026, LOC: Mizuho Corporate Bank
|
3,500,000
|
3,500,000
|
||||||
California, State Pollution Control Financing Authority, Solid Waste Disposal Revenue, Recology, Inc. Project, Series A, 0.07% *, 4/1/2020, LOC: Bank of America NA
|
4,495,000
|
4,495,000
|
||||||
California, State Revenue Anticipation Notes, Series A-2, 2.0%, 6/23/2014
|
3,000,000
|
3,025,116
|
||||||
California, State University Revenue, Series A, Prerefunded 5/1/2014 @ 100, 4.75%, 11/1/2024, INS: AGMC
|
2,070,000
|
2,100,907
|
||||||
California, Statewide Communities Development Authority, Multi-Family Housing Revenue, Series R-13104CE, 144A, 0.56% *, 9/6/2035, GTY: Citibank NA, LIQ: Citibank NA
|
8,395,000
|
8,395,000
|
||||||
California, Wells Fargo Stage Trust, Series 94C, 144A, AMT, 0.13% *, 5/1/2030, GTY: Wells Fargo Bank NA, LIQ: Wells Fargo Bank NA
|
4,000,000
|
4,000,000
|
||||||
California, West Hills Community College District, 0.03% *, 7/1/2033, LOC: Union Bank of California
|
2,000,000
|
2,000,000
|
||||||
Los Angeles County, CA, General Obligation, Series A, 2.0%, 2/28/2014
|
3,000,000
|
3,008,718
|
||||||
Orange County, CA, Water District, Certificates of Participation, Series A, 0.05% *, 8/1/2042, LOC: Citibank NA
|
2,400,000
|
2,400,000
|
||||||
Otay, CA, Water District Certificates of Participation, Capital Projects, 0.04% *, 9/1/2026, LOC: Union Bank NA
|
1,400,000
|
1,400,000
|
||||||
Rancho, CA, Water District Financing Authority Revenue, Series B, 0.03% *, 8/15/2031, LOC: U.S. Bank NA
|
3,500,000
|
3,500,000
|
||||||
San Francisco City & County, CA, Airports Commission, Series 36A, 0.04% *, 5/1/2026, LOC: U.S. Bank NA
|
3,500,000
|
3,500,000
|
||||||
San Jose, CA, Redevelopment Agency, TECP, 0.15%, 5/16/2014, LOC: JPMorgan Chase Bank NA
|
5,000,000
|
5,000,000
|
||||||
99,586,347
|
||||||||
Puerto Rico 15.2%
|
||||||||
Puerto Rico, Industrial Tourist Educational, Medical & Environmental Control Facilities, Bristol-Myers Squibb Project, AMT, 0.25% *, 12/1/2030
|
7,800,000
|
7,800,000
|
||||||
Puerto Rico, RBC Municipal Products, Inc. Trust, Series E-46, 144A, 0.14% **, 9/1/2015, LIQ: Royal Bank of Canada, LOC: Royal Bank of Canada
|
5,650,000
|
5,650,000
|
||||||
Puerto Rico, RIB Floater Trust, Series 8WE, 144A, 0.11% *, 9/30/2014, LOC: Barclays Bank PLC
|
4,350,000
|
4,350,000
|
||||||
17,800,000
|
||||||||
% of
Net Assets
|
Value ($)
|
|||||||
Total Investment Portfolio
(Cost $117,386,347) †
|
99.9
|
117,386,347
|
||||||
Other Assets and Liabilities, Net
|
0.1
|
154,543
|
||||||
Net Assets
|
100.0
|
117,540,890
|
For information on the Fund's policies regarding the valuation of investments and other significant accounting policies, please refer to the Fund's most recent semi-annual or annual financial statements.
|
|
*
|
Variable rate demand notes are securities whose interest rates are reset periodically at market levels. These securities are payable on demand and are shown at their current rates as of December 31, 2013.
|
**
|
Floating rate securities’ yields vary with a designated market index or market rate, such as the coupon-equivalent of the U.S. Treasury Bill rate. These securities are shown at their current rate as of December 31, 2013.
|
†
|
The cost for federal income tax purposes was $117,386,347.
|
144A: Security exempt from registration under Rule 144A of the Securities Act of 1933. These securities may be resold in transactions exempt from registration, normally to qualified institutional buyers.
|
|
AGMC: Assured Guaranty Municipal Corp.
|
|
AMT: Subject to alternative minimum tax.
|
|
GTY: Guaranty Agreement
|
|
INS: Insured
|
|
LIQ: Liquidity Facility
|
|
LOC: Letter of Credit
|
|
NATL: National Public Finance Guarantee Corp.
|
|
Prerefunded: Bonds which are prerefunded are collateralized usually by U.S. Treasury securities which are held in escrow and used to pay principal and interest on tax-exempt issues and to retire the bonds in full at the earliest refunding date.
|
|
TECP: Tax-Exempt Commercial Paper
|
Assets
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||||||||||
Municipal Investments
(a)
|
$ | — | $ | 117,386,347 | $ | — | $ | 117,386,347 | ||||||||
Total
|
$ | — | $ | 117,386,347 | $ | — | $ | 117,386,347 |
There have been no transfers between fair value measurement levels during the period ended December 31, 2013.
|
(a)
|
See Investment Portfolio for additional detailed categorizations.
|
ITEM 2.
|
CONTROLS AND PROCEDURES
|
(a)
The Chief Executive and Financial Officers concluded that the Registrant’s Disclosure Controls and Procedures are effective based on the evaluation of the Disclosure Controls and Procedures as of a date within 90 days of the filing date of this report.
|
|
(b)
There have been no changes in the registrant’s internal control over financial reporting that occurred during the registrant’s last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant’s internal controls over financial reporting.
|
|
ITEM 3.
|
EXHIBITS
|
Certification pursuant to Rule 30a-2(a) under the Investment Company Act of 1940 (17 CFR 270.30a-2(a)) is filed and attached hereto as Exhibit 99.CERT.
|
Registrant:
|
Tax-Exempt California Money Market Fund
|
By:
|
/s/Brian E. Binder
Brian E. Binder
President
|
Date:
|
February 21, 2014
|
By:
|
/s/Brian E. Binder
Brian E. Binder
President
|
Date:
|
February 21, 2014
|
By:
|
/s/Paul Schubert
Paul Schubert
Chief Financial Officer and Treasurer
|
Date:
|
February 21, 2014
|
1 Year Tax-Exempt California Money Mark Chart |
1 Month Tax-Exempt California Money Mark Chart |
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