Professional Documents
Culture Documents
1. Person Reporting (last name, first, middle initial) Rovner, liana D. 4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) ] Circuit Judge (Active)
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with appficable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instrucaons accompanying this form mast be followe"t Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
POSITION
1. 2. 3. 4. Member Emeritus, Board of Trustees Member, Board of Overseers Member, Board of Directors Trustee Trust
NAME OF ORGANIZATION/ENTITY
II. AGREEMENTS. tRepomng individual only; s~, ,,. 14-16 of filing instructions.)
~ NONE (No reportable agreements.) DATE
Rovner, liana D.
III. NON-INVESTMENT INCOME. tSepo,,~ng i,~ividnai and spo~e; see pv. 17-24 of filing instructions.)
A. Filers Non-Investment Income
NONE
1. 10/16/10 2. 3. 4.
B. Spouses Non-Investment Income - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~]
1. 2. 3. 4.
[~
SOURCE
DATES
LOCATION
PURPOSE
2. 3. 4. 5.
V. GIFTS. anctud~ ,hose to spo~e and depende.t children; see pp. 28-31 of filing instructions.)
[~ NONE (No reportable gifts.)
SOURCE 1. 2. 3. 4. 5. Partial Honorary Membership ~ DESCRIPTION
VALUE $1,8oo.oo
VI. LIABILITIES. a~tudes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
~
VALUECODE
L
1. 2. 3. 4. 5.
CitiMortgage
FINANCIAL DISCLOSURE REPORT Page 4 of 58 VII. INVESTMENTS and TRU STS - i ........
D
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code I [ (A-H)
rue, ~ransactlons tlncludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) T (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Gain Date Value mm/dd/yy Code 2 Code I IJ-P) (A-H) (5) Identity of buyer/seller (if private transaction)
Industrial Development Bank of Israel, Ltd. Brokerage Acct # 1 -Fidelity Municipal MMF -Fidelity AMT Tax-Free Money Fund (FIMXX) (Y) -AT&T Inc Corn =Agnico Eagle Mines Com NFV -Alcoa Inc -Anadarko Pete Corp -Apple Inc -Brocade Communications Sys -Enbridge Energy Partners LP -Govt Pptys Income Tr Corn Shs -Ishares Inc MSCI Canada Index Fd -ITC Hldgs Corp -Pimco Mun Income Fd II -Range Resources Corp -SPDR Ser Tr Morgan Stanley Tech
None
Dividend None
Closed Sold Distributed Distributed Distributed Distributed Distributed Distributed Distributed Distributed Distributed Distributed Distributed Distributed Distributed
03/02/10 01/01!10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10
J J K J J J J J J K K J K J J See Note 6 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4 Transfer to Trust #4
Dividend None
A A
E =$15,001 - $50,000 (see Columns BI a0d D4): 2. Value Codes (See Columt~ CI and D3) 3. Value Method Code~ (See Column C2) F ~$50~001 ~ $100~000 J =$15.000 or I~s N =$250.1)01 - $500.000 P3 =$25,000.001 - $50.000.000 Q =Appraisal U =Book Value G =$100,001 - $L000.0O0 K =$15.001 - $50.000 O =$500,001 - $1,000.000 R =Cost (Real Estate Only) V =Other H I ---$1;000,0~1 - $5.1)00,000 L =$50,0~1 - $100.000 PI =$1,000,001 - $5.000,000 P4 =More than $50.000.000 S =Ass~ssmeet W =Eslimated H2 =More than $5,000,000 M =$100,001 - $250.000 P2 =$5,000.001 - $25,000.000 T =Cash Market
VII. INVESTMENTS and TRUSTS - i, come, ,oi,,, ~o~aeao,~ (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction&)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "00" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (l) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mnYdd/yy Code 2 Code I (J-P) (A-H) (5) Identit~ of buyer/seller (if private tran~tion) Transfer to Trust #4 Transfer to Trust #4
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
-Tala Motors Limited Adr Ea Rep -Fidelity Canada (FICDX) -American Century Tax Free Bond (TWTIX) A
Distributed 02/23/10 K Distributed 02/23/10 K Buy (addl) Buy (addl) 01/01/10 01/29/10 J J
Distributed 02/23/10 K
Transfer to Trust #4
Dividend
Buy (addl)
Distributed 02/23/10 M -Marshall Intermed Tax Free CI Y (MITFX) A Dividend Buy (addl) Buy (addl) Distributed -Pimco Total Retum Class D (PTTDX) A Dividend Buy (addl) Buy (addl) Distributed -T Rowe Price Tax Free Short Inter (PRFSX) A Dividend Buy (addJ) Buy (addl) 01/01/10 J 01/29/10 02/23/10 01/01/10 01/29/10 02/23/10 J K J J K
Transfer to Trust #4
Transfer to Trust #4
Distributed 02/23/10 M -Thomburg Ltd Term Municipal Fund CI A (LTMFX) A Dividend Buy (addl) 01/01/10 J
E --$15,001 - $50,000 (Sec Columns B1 and D4) 2. Value Cod~ (See Columns CI and D3) 3. Value Method Codes (See Column C2) : F=$50~001-$100,000: J =$15.000 or Ices N =$250.001 - $500.000 P3 =$25.000.001 - $50.000,000 Q =Appraisal U =Book Value G=$100,001 - $L000.0O0 K =$15,001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other : H! -~1;000;001. $5.000.000 L =$50,001 - $100.O00 PI =$1,000.001 - $5,000,1)00 P4 =More than $50.000,0~0 S =Assessment W =Estimated H2 =Morelhan $5.000,000 M =$100.001 - $250.000 P2 =$5,000,001 - $25,000,1)00 T =Cash Market
VII. INVESTMENTS and TRUSTS - income, value, transactlo~ (Includes those of spouse and dependeht children; see pp. 34-60 of filing instruction&)
NONE (No reportable income, assets, or transactions.)
A.
Description of Assets
B.
Income during
C.
Gross value at end
D.
Transactions during ~aorting period (1) (2) (3) (4) (5)
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period
(1) (2)
of reporting period
(1) (2)
35. 36. 37. -Thomburg Strategic Municipal Income C (TSSCX) 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. -Hatteras Finl Corp Com (HTS) IRA Acct #1 -ML Bank USA Rasp A A Dividend Dividend -Wells Fargo Short Term Muni Bd-lnvest (STSMX) A Dividend -Wells Fargo Ultra Shrt Tm Muni Inc-Adv (SMUAX) A Dividend -Vanguard GNMA (VFIIX) A Dividend A Dividend
J J J J
Transfer to Trust #4 Transfer to Trust #4
Transfer to Trust
Buy 01/29/10 J (addl) " Distributed ~ 02/23/10 K Buy (addl) Buy (addl) 01/01/10 J 01/29/10 J
Transfer to Trust Transfer to Trust #4
Transfer to Trust #4
Closed
04123110 J
E --$15,001 - $50.000 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15,1)00 or lass N =$250,001 - $500.000 P3 =$25.000.001 - $50,000.000 Q =Appraisal O =Book Value K =$15.001 - $50.000 O =$500,001 - $1,000.000 R =Cost (Real Estate Only) V =Other L --$50,001 - $100,000 PI =$1,000.001 - $5.000,000 P4 =More than $50,000.000 S =As.~esament W =Estimated M =$100.001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS - income, ~otue, tro~o~ao~ anclud~ those of spouse o~ depende~ children; see pp. 34-60 of fillng instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
Amount Code 1
(A-H)
Value Code 2
(J-P)
Identity of buyer/seller
(if private transaction)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
J J J J J J J J J J
Transfer to IRA #8
Distributed 04/23/10 -Visa Inc. CI A Shrs Open Distributed -Blackrock Cap & Inc Strat. Open Distributed IRA Acct #2 -ML Bank USA Rasp -ML Retirement Reserves CL I -Visa Inc. CI A Shrs -Blackrock Cap & Inc Strat. A Distribution Closed Closed Distributed Buy (addl) 02/26/10 02/26/10 02/26/10 01/06/10 02/26/10 04/23/10 02/26/10 04/23/10
Transfer to IRA #8 Transfer From IRA Acct #2 Transfer to IRA #8 Transfer From IRA Acct #2 Transfer to IRA #8
J J
J
: (See Columns BI and D4)E--$50;001-$100,000 : 2. Value Codes J =$15.000 or le~ (See Cotumm CI and D3) N =$250.001 - $500,000 P3 =$25.000.001 - $50.000.1)00 3. Value Method Codes Q =Appraisal (See Column C2) U =Book Value
G =$100i001 ~ $1~000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V --Other
HI:=$1,000,001. $5,000,000 L --$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100.001 - $250.000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS -i.come, .aluc, t~a~u~ao~ a~l.d,~ those o/spot. ~nd dependent children; see pp. 34-60 of fillng instrucaon.~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (I) (2) Amount Type (e.g., Code 1 div., rent,
(A-H) or int.)
Gross value at end ofrepomng period (!) (2) Value Value Method Code 2 Code 3 (J-P) (Q-W)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
Distributed 02/22/10 IRA Acct. #4 -VMMR Federal Portfolio -Vangaurd Engery (Y) A Dividend Closed Open Distributed IRA Acct #5 -Fidelity Cash Reserves B Dividend L T Open Buy (addl) Buy (addl) -Fidelity Government Income Buy (addl) Buy (addl) 08/13/10 02/23/10 08/13/10
J
J
2. Value Codes (See Columns CI and D3) 3. Value Method Codea (Sen Column C2)
D =$5,001 - $15,000 H2 =More than $5.000,000 M =$100.001 - $250,000 12 =$5.000,00! - $25,000,000 T =~h Market
E =$15,001- $50,000
#o~ VII. INVESTMENTS and TRUSTS -*nco,,,e, v,,lue, tr .... (Includes those of sp ......
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "CA)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period (l) Value Code 2 (J-P) (2) Value Method Code 3
(i)
Amounl Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(i)
Type (e.g., buy, sell, redemption)
(2)
O) (4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private aansaction)
(Q-W)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. I00. 101. 102. -Fidelity Ginnie Mae -Fidelity Government Money Mkt (Y) Open Sold (pan) Open 03/16/10 11/26/10 02/22/10 J J J Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Buy (addl) Buy (addl) Buy (addl) 03/31/10 04/30110 05/28/10 06/30/10 07/30/10 08/31/10 09/08/10 09/30/10 10/29/10 11/29/10 I 1/30/10 12/17/10 12/31/10 J J J J J J J J J J J J J
c =$2,5ot, ss,ooo
(Se~ Columns BI and D4): 2. Value Codes (See Colmm,s CI and D3) 3. Value Method Codes (See Column C2) F =$50.001 ~ $100,000 ;; : J =$15.0~ or less N =$250,~)1 - $500.000 P3 =$25.000,001 - $50.000.000 Q =Appraisal U =Book Value G =$100;001, $1;000.000 K =$15,001 - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =Other
HI =$1.000,001 - $5,000.000 L =$50.001 - $100.000
D--SSiOOi ~ smooo
H2 ~Moreihan $5,000,000 M =$100.001 - $250,000
E =$15,001 - $50,1300
PI =$1.000,001 - $5,000,000
P4 =More than S =Assessment
P2 =$5,000,001 - $25,000,000
T =Cash Market
W =E~timated
VII. IN VESTMENTS an d TRU STS - inco,.e, val.e, tra,~a~o,~ anei.d,~ ,hose o:spo~se and depe.de~t children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each assel exempt from prior diselusure B. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (2) (1) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period O) Type (e.g., buy, sell, x~lemption) (2) (3) (4) Gain Date Value mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private tnms~ction)
103. 104. 105. 106. 107. 108. 109. 110. 111. !112. ~ 113. 114. 115. 116. : 117. -Fidelity Canada 118. 119.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Buy (addl) Buy (addl) Buy (addl) Open Sold (part) Buy (addl)
02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 108/31/10 09/08/10 109/30/10 10/29/10 11/29/10 11/30/10 12/10/10 12/31/10 02/22/10
11/26/10 J 12/03/10 J
E =$15,001 - $50,000 (SeeC0lumnsBlandD4) 2. Value Codes (see Colunms C I and D3) 3. Value Method Codes (See Column C2) F=$50~001-$[00,000 J =$15.0~0 or Ie~s N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value G=$100~001 ~$1,000,000 K =$15,001 - $50.000 O =$500,001 $1,000.000 R =Cost (Real Eslate Only) V =Other H1=$1~000,001-$5,000;000 : : L =$50,001 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More thau $50,000,000 S =Assessment W =Estimated H2 =More than $5.000,000 M =$100,001 - $250,000 P2 =$5,000.001 - $25,000,000 T =Cash Market
VII. INVESTMENTS and TRU STS - income, vaue, tra~a.lo,~ ana~des ,hose o,:spouse and dependent children; see pp. 34-60 of fillng instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during GrosS value at end Transactions dudrtg reporting period
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (2) (t) Amount Type (e.g., Code I div., rent,
(A-H) or int.)
of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
(2) Date
mm/dd/yy
(5) Identity of
buyer/seller (if private
120.
121. IRA Acct #6 122. -Vanguard Energy (Y) 123. JP Morgan Chase Accounts 124: Retirement Acct. #I 125. -Teachers Ins & Ann Assn 126. -Coil Rtrmnt Equ Fu 127. IRA Acct #7 128. -Schwab Cash Reserves 129. -Vanguard GNMA Fund 130. 131. -Vanguard Short Term lnvestmt Grade Fd 132. 133. -TRowe Price New Era Fd 134. -Conocophillips 135. -lntl Business Machines (IBM) 136. -Sequoia
C A
02/23/10 02/23/10
K J
Closed
Int./Div. Closed Buy (addl) Distributed Buy (addl) Distributed Distributed Distributed Distributed Distributed 02/22/10 01/29/101 02/22/10 01/29/10 02/22/10 02/22/10 02/22/10 02/22/10 02/22/10 J J M J J J J J J Transfer to IRA #8 Transfer to IRA #8 Transfer to IRA #8 Transfer to IRA #8 Transfer to IRA #8 Transfer to IRA #8
2. Value Codes (Sc Columrks CI and D3) 3. Value Mclhod Cod~ (See Column C2)
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruc~iong)
NONE (No reportable income, assets, or transactions.)
Description of Asscts (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (l) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (~W) Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) O) (4) Date Value Gain nnn/dd~y Code 2 Code ! (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
137. -Cemer 138. -Citigroup Inc 139. -Devon Energy CP 140. 141. -Dominion Res Inc va 142. -Gafisa Adr 143. -Kinder Morgan Mgmt LLC 144. -Pimco Corp Income Fund 145. 146. -Randgold Res Ltd Adr 147. -Tellabs Inc 148. -Verizon Communications
149. -Warner Chilcott Plc 150. -Harbor Bond Fund Inst C1 151. -Janus Short Term Bd Fd 152. 153. -Ridgeworth US Gov Sec
Distributed Distributed Buy (addl) Distributed Distributed Distributed Distributed Buy (addl) Distributed Distributed Distributed Distributed
02/22/10 02/22/10 01/04/10 02/22/10 02/22/10 02/22/10 02/22/10 02/05/10 02/22/10 02/22/10 02/22/10 02/22/10
K J J J J J K J K J J J
Transfer to IRA #8 Transfer to IRA #8 Transfer to IRA #8 Transfer to IRA #8 Transfer to IRA #8 Transfer to IRA #8
K J J K J
Transfer to IRA #8
E =$15,001- $50,000 2. Value C_x~des (S~ Columns CI and D3) 3. Value Method Codes (S~e Column C2) J -~$15.000 or I~S N =$250,(~)1 - $500.000 P3 =$25,G<)0.001 - $50,000,000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other L =S50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50.000,000 S =Assessment W =Estimated M =$100,001 - $250,~0 P2 =$5,000,001 - $25,000~000 T =Cash Market
Income during
reporting period
154.
Transfer to IRA #8
155. -TCW Total Return Bond 156. 157. -Thompson Plumb Bond Fund 158. -Vanguard Short Term Bond 159. 160. -Annaly Capital Mgmt 161.
162. -Government Ppty Income Tr 163.
Transfer to IRA #8
Distributed 02/22/I 0 K
Buy (addl) 02/01/10 J
Transfer to IRA #8
Distributed 02/22/10 K
164. -Ishares lboxx lnvestop 165. -Ishares Msci Brazil Indx 166. -Ishares Tr Barclay Tips 167. 168. 169. -Ishares Trust Dow Jones 170. -National Retail Pptys
Distributed 02/22/10 J Distributed 02/22/10 K Buy (addl) Buy (addl) 01/05/10 02/08/10
J J J
Distributed 02/22/10
Transfer to IRA #8
Transfer to IRA #8
E --$15,001 - $50.000
2. Value Codes (see Columns CI and D3) 3. Value Mclhod Codes (See Column C2)
L =$50,001 - $100,000 Pl =$1.000,001 - $5,000,000 P4 ~More than $50,000.000 S ~Asse, ssment W =Estimated
VII. INVESTMENTS and TRUSTS -i,~o~,e, volue, tro,~o~io,~ (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)
[]
17 I. 172. -Plum Creek Timber Co 173. -Spdr Gold Trust 174. -Aluminum Carp China ADR 175. -Bank of America Carp 176. Brokerage Acct. #2 177. -Schwab Tax Exempt MMF 178. -Alaska Air Group Inc 179. -Alcoa Inc 180. -Anadarko Petroleum Carp 181. -Bank of America Carp 182. -Brocade Communs Sys New 183. -Canadian Natural Res 184. -Comer Carp 185. -Eaton Vance Tax Managed 186. -Freeport McMom 6.75% pfd 187. A A A A A Dividend None Dividend None None None Dividend None Dividend Dividend
K J J J J
Closed Distributed Distributed Distributed Distributed Distributed Distributed Distributed Distributed Buy (addl)
02/22/10 02/22/10 02/22/10 02/22/10 02/22/10 02/22/10 02/22/I 0 02/22/10 02/22/10 02/02/10
K K J J J J J J J J J Transfer to Trust #2 Transfer to Trust #2 Transfer to Trust #2 Tramsfer to Trust #2 Transfer to Trust #2 Transfer to Trust #2 Transfer to Trust #2 Transfer to Trust #2 Transfer to Trust #2
Distributed 02/22/10
2. Value: Codes (See Colunms CI and D3) 3, Value Method Codes (See Column C2)
D =$5,001 H2 =More than $5,000,000 M =$100,001 - $250,0~0 P2 =$5,000.001 - $25,000.000 T =C~h Market
E --$15,001 - $50,000
e, value, tr .... tions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D. Transactions during reporting period (I) Type (e.g., buy, sell, ~lemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (A-H) (J-P) (5) Identity of buyer/seller (if private transaction)
188. -Iamgold Corp 189. -JPMorgan Chase & Co 190. -Novellus Systems Inc. 191. -Pimco Municipal lncm Fd 192. 193. -Plum Creek Timber Co 194. -Vale Capital Ltd 5.5% 10F t95. -Baird Intermediate Muni 196. 197. -Pimco High Yield Muni Bd 198. 199. -T Rowe Price Tax Free 200. 201. -Vanguard Gnma Fund 202. 203. -Wells Fargo Advantage 204.
A A
02/22/10 02/22/10 02/22/10 02/02/10 02/22/10 02/22/10 02/22/10 01/25/10 02/22/10 01/29/10 02/22/10 01/29/10 02/22/10 01/29/10 02/22/I0 01/29/10 02/22/10
J K K J J J J J K J J J K J L J K
Dividend
Dividend None
Dividend
Dividend
Dividend
Transfer to Trust #2
Dividend
Transfer to Trust #2
Dividend
Transfer to Trust #2
E ---$15,001 - $50.000 2. Value COd~ (See Colunms CI and D3) 3. Value Method Cod~ (S~e Colunm C2) J =$15,000 or I~s N =$250,001 - $500.000 P3 =$25,000.001 - $50,000,000 Q =Appraisal U =Book Value K =$15,!)01 - $50,000 O =$500.001 - $1,000,000 R =Cost (Real Eslate Only) V --Other L =$50.001 - $100,000 PI =$1,000.001 - $5,000,000 P4 =More than $50.000,000 S =Assessment W =Eslimated M =$100,001 - $250,000 P2 =$5.000,001 - $25,000,000 T =Cash Market
VII. INVESTMENTS and TRU STS -ineo,,,,. ,,,,I,,e, tr,,ns,,etions a.a,,des those olspo,,s, ,,nd de~,cndent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during repoiaing period [ (I) (2) I Amount Type (e.g., Code 1 div., rent, (A-H) or inL) C. Gross value at end of reporting period (2) (1) Value Value Code 2 Method Code 3 (J-P) (Q-W) D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dcl,~/y Code 2 Code 1 (J-p) (A-H) (5) ldentity of buyer/seller (if inirate transaction)
205. Retirement Acct. #2 206. -Fidelity Cash Reserve (Y) 207. Sun Life Main Register Common Shares 208. Brokerage Acct #3 209. -Fidelity Tax-Free Money Market 210. Brokerage Acct. #4 211. -ML Ready Asset Trust 212. -Clough Global Opptys 213. 214~ -Eaton Vance Enhanced Equity Fund 215. -KBW Inc. 216. -Travelers Cos. Inc. 217. -Nuveen Core Equity Alpha Fund 218. 219. -Blackrock Long Term Mun 220. 221. A A A A
None Distaibuted None Distributed 03/16/10 02/26/10 J J Transfer to IRA #5 Transfer to Trust #2
Distributed
02/23/I0
Transfer to Trust//4
None Dividend
04/26/10 04/26/10 04/26/I 0 04/26/10 04/26/10 04/26/10 04/26/10 04/26/10 01/13/10 02/01/10 03/01/10
L J J
J
J
J
Transfer to Trust #1
J J J J
Transfer to Trust #1
Dividend
---$15,001 - $50,000 2. Value Codes (See Columm~ CI and D3) 3. Value Method Codes (See Column C2) J =$15.000 or less N =$250.001 - $500.000 P3 =$25.000.001 = $50.0~1.000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500,001 - $I.000.000 R =Cosl (Real Estate Only) V =Other L =$50,001 - $100.000 PI =$1.000,001 - $5,000,000 P4 =More than S =As~ssmenl W =Eslimaled M =$100.001 - $250.000 P2 =$5,000,001 - $25,000,000 T =C~h Market
VII. INVESTMENTS and TRU STS - inco,,,e, vai,,e, tr,,ns~aio,~ and,,des those olspo,,se ~,,d dependent children; see pp. 34-60 of filing instruction&)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "00" after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (l) Type (e.g., buy, sell, m-demption)
Transactions during reporting period
(Q-W)
222. 223. 224. 225. 226. 227. 228. -Pimco Global Stockplus Income Fund A Dividend Buy (addl) Sold (part) Distributed (part) Buy (addl) Sold (part) Distributed 04/01/10 04/26/l 0 04/26/10 05/03/10 05/17/10 05/17/10 J J L J J J
Transfer to Trust # 1
Distributed 04/26/10 J
D A B
P1
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
J J J J J J J
2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
O)
Type (e.g., buy, sell, redemption)
(Q-W)
239. 240. 241. 242. 243. 244. 245. 246. 247. 248. 249. 250. 251. 252. 253. 254. 255. Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
Buy (addl) Buy (addl)
04/27/10 J 04/28/10
04/29/10 J 05/03/10 J
Buy (addl)
Buy (addl) Buy (addl)
05/04/10 L
05/06/10 J
05/10/10 J
Buy (addl)
Buy (addl)
05/17/10 J
05/26/10 J
Buy (addl)
05127110 J
E -~15,001 - $50,000
2. Value Codes (Se Columns CI and D3) 3. Value Method Codea (See Column C2) J =$15.0~0 or less N =$250.001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V -~3thar L ~$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Asa~sment W =Estimated M =$100.001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS -income, vulue, ~,o,~aaio,~ anc~ud~ tho,e of spoa,e o~d depe,ae~t children: see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (l) Amount Code I (A-H) (2) Type (e.g., div., rent, or inL) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method O-P) Code 3 (Q-W) D. Transactions during reporting period 0) Type (e.g., buy, sell, redemption) (2) (B) (4) Date Value Gain mm/dd~y Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
256. 257. 258. 259. 260. 261. 262. 263. 264. 265. 266. 267. 268. 269. 270. 271. 272.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
06/01/10 06/02110 06/04/10 06/11/10 06/15/10 06/16/10 06/28/10 06/30/I0 07/01/10 07/02/10 07/06/l 0 07/12/10 07/16/10 07/29/I 0 08/02/10 08/03/10 J 108/16/10 J
J J J J J J J J J J J K J J J
E =$15,001 - $50,000 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15.000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50.000,000 Q =Appraisal O =Book Value K =$15,~01 - $50.000 O ~$500.001 - $1,000,000 R =Cost (Real Estate Only) V =Other L =$50.001 - $100,000 Pl =$1,000.001 - $5,0~0,000 P4 =More Ihan $50.000.000 S =Assessment W =Estimated M =$100,001 - $250.1~0 P2 =$5,000,001 * $25,000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spoase and dependent children; see pp. 34-60 of fdlng instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "CA)" after each asset exempt from prior disclosure B. Income during ~l~orting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C, Gross value at end of ~1~orting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during ~porting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/ddqcy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
273. 274. 275. 276. 277. 278. 279. 280. 281. 282. 283. 284. 285. 286. 287. 288. 289.
08/26/10 08/27/10 09/01/10 09/02/10 09/03/10 09/10/10 09/16/10 09/17/10 09/20/10 09/27/10 09/30/10 10/01/10 10/04/10 10/18/10 10/28/10 I 1/01/10
J J J M J J J J J J J J J J J J
(addl)
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (add0 Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
Buy (addl)
11/02/10 J
2. Value Co~ (See Columns CI and D3~ 3. Value Method Codes (See Colam C2)
K =$I 5,001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Olher
E =$15,001 - $50~000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Deaeription of Assets (including mast assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) Amount Code I (A-H) (2) Type (e.g., div., r~nt, or int.) Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period O) Type (e.g., buy, sell, redemption) (2) (3) (4) Gain Date Value mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
(Q-W)
290. 291. 292. 293. 294. 295. 296. 297. 298. 299. 300. 301. 302. -Sch AMT Tax-Free Money Mt Fd (SWWXX) 303. 304. 305. 306. Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) 11/16/10 11/29/10 12/01/10 1.2/02/10 12/03/10 12/08/10 12/10/10 12/15/10 12/16/10 12/27/10 12/28/10 12/30/10 01/15/10 02/16/10 03/15/10 04/15/10 05/17/10 J J J J J J J J J J J J J J J J J
E =$15,001 - $50,000 2. Value Codes (See Colmrm.s CI and D3) 3. Value Method Codes (See Column C2) J =$15.1~0 or less N =$250.001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =B~ak Value K O =$500,001 - $1,000.000 R =Cost (Real Estate Only) V =Other
VII. INVESTMENTS and TRU STS - income, votue, tru,,o~#o,~ anandes those o:spo~se and dependent children; see pp. 34-60 of f!llng instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including Irust assets) Place "(X)" after each asset exempt from prior disclosure B Income during reporting period (1) (2) Type (e.g., Amount Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Value Gain Date mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private twmsac~on)
307. 308. 309. 310. 311. 312. 313. 314. -Allen Cnty IN Comm Bonds 315. -Delroit MI City Schl Bonds 316. -Meridian MI Publ Schl Bonds 317. -Zeeland MI Pub School Bonds
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
J J J J J J J
Sold Sold
05/01/10 05/01/10
K K
A A
318. -AT&T Inc. CS 319. -Archer-Daniels-Midland Co. 320. -Bank of America Corp 321. -Comcast Corp New CL A 322. -Grupo Televisa SA De CVF 323. -Intel Corp. CS
E =$15,001 - $50,000 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15.0~0 or I~s N =$250.001 - $500.000 P3 =$25,000.001 - $50.000,000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500,001 - $1,000,000 R =Cosl (Real Estate Only) V =Olher L --$50,001 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000.000 S =Asscssraent W =Estimated M =$100.001 - $250.~0 P2 =$5,000.001 - $25,000.000 T =C~sh Market
324. -Marriott Intl Inc. CI A CS 325. -Medtronic, Inc. 326. -Schnitzer Stl Inds CI A 327. -Teck Cominco Lid CI B 328. -Wynn Reso~s 329. -Fidelity Govt Income Fund 330. 331. 332. 333. 334. 335. 336. 337. 338. 339. 340.
(part)
Sold
07/06/10 K
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
01/29/10 02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/3 l/l 0 09/08/10 09/30/10 10/29/10 I 1/30/10
J J J J J J J J J J J J
(See C01umns BI and D4)E--$50~OOI ~$100000 2. Value Codes J =$15.000 or less N =$250.001 - $500.000 [See Columns CI and D3) P3 =$25,000,001 - $50.000,000 3. Value Method Codes Q =Appraisal (See Column C2) U =Book Value
G ~$100~001 ~ $1:000.000 K =$15,001 - $50.000 O =$500,001 - $1,000.000 R =Cost (Real Estate Only) V -=Olher
HI ~$1,000,001 ~ $5;0~0;000 L =$50,001 - $100,000 PI =$1,000,00| - $5,000,000 P4 =More than $50,000.0(g) S =Assessment W =Estimated
(2) (1). Type (e.g., Value .. Method=~......:.. buy, sell, t~lemption) C~xte 3 (Q-W)
12/17/10 12/31/10
J J
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
J J J J J J J
E =$15,001 - $50,0~O 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15.0~0 or I~s N =$250,001 - $500.000 P3 =$25,000.001 - $50,000,000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500,001 - $1,0~0,000 R =Cosl (Real Estate Only) V -~9~her L --$50,001 - $100,000 Pl =$1,000,0OI P4 =More than $50.000,000 S =Assessment W =Estimated M =$100,001 - $250,000
T =Cash Market
(0
Type (e.g., buy, sell, redemption)
(2)
(3) (4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private wansaction)
(Q-W)
358. 359. 360. 36 I. 362. 363. -Vanguard GNMA Fund 364. 365. 366. 367. 368. 369. 370. 371. 372. 373. 374. Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) 08/31/10 09/30/10 10/29/10 I 1/30/10 12/31/l 0 01/29/10 02/26/10 03/29/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/3 l/l 0 09/30/10 10/29/10 I 1/30/10
J J J J J J J J J J J J J J l J J
E =$15,001 - $50.000
2. Value Codes (See Columns CI and D3) 3. Value Method Codas (See Column C2) J =$15,000 or le~ N =$250,001 - $500.000 P3 =$25,000,001 - $50.0~0,000 Q =Appraisal O =Book Value K =$15,001 - $50,000 O =$500,001 - $1,00~.000 R =Cost (Real Estate Only) V ~Othar L =$50.001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,1)00,000 S =Assessment W =Estimated M =$100.001 P2 =$5.000,001 - $25,000.0~ T =Cash Market
VII. INVESTMENTS and TRUSTS - inco~,e, vol.e, ~a,~aeao,~ ~lndudes those of st, ouse and depen,tent chl/dren: see pp. 34-60 of fillng instructlon~)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)~ after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Type (e.g., Amount Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain rnm/dd,~,y Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private trensac~ion)
375. 376. 377. -Wells Fargo Advantage Ult S/T Mun In Inv 378. 379. 380. 381. 382. 383. 384. 385. 386. 387. 388. 389. -Wells Fargo Advantage S/T Muni Bd Inv 390. 391.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
12/30/10 12/31/10 01/29/10 02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/31/10 09/30/I 0 10/29/l 0 I 1/30/10 12/31/10 01/29/I 0 02/26/10 03/31/I0
J J J J J J
J J J J J J J J J J
2. Value Codes issue Colinires CI and D3) 3. Value Method Codes (See Column C2)
D =$5,001 - $15,000 H2 =More than $5.000,000 M =$100.001 - $250.0~) P2 =$5,000,001 - $25,000.000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, vutue, tru~acao~ (Includes those of spouse and dependent chi/dren; see pp. 34-60 of filing instruction&)
NONE (No reportable income, assets, or transactions.)
A. Dc~iption of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (l) (2) A/nounl Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during r~perting period (l) Type (e.g., buy, sell, redemption) (2) (3) (4) Value Gain Date mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
392. 393. 394. 395. 396. 397. 398. 399. 400. 401. 402. -Teradata Corp 403. -NCR
Buy (addl) Buy (addI) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
04/30/10 05/28/10 06/30/10 07/30/10 08/31/10 09/30/10 I0/29/10 I 1/30/10 12/10/10 12/31/I0
J J J J J J J J J J
404. - Blackrock Long Term Muni 405. 406. -Clough Global Oppty Fund 407. -Eaton Vance Enhanced 408. -KBW, Inc
L J J J J
Transfer from Brokerage #4 Transfer from Brokerage #4 Transfer from Brokerage #4 Transfer from Brokerage #4 Transfer from Brokerage #4
2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
C =$2i501 - $5,000 HI =$ 1.000~001 - $5;000,000 L =$50,001 * $100,000 PI =$1,000.001 * $5;000,000 P4 =More than $50.000,000 S =Assessment W =Estimated
D =$5.001 - $15,000 H2 =More lhan $5.000.000 M =$100.001 - $250,000 P2 =$5.000,001 - $25,000.000 T =~h Marke~
E =$ 15,001 - $50.000
(4)
Gain Code I (A-H) Identity of buyer/seller (if private transaction)
(Q-W)
409. Sold 05/04/10 J
410. -Nuveen Core Equity Fund 411. -Pimco Global Stocks Plus 412. -Travelers Companies Inc 413. IRA Acct #8 414. -Schwab Bank 415. 416. -Vanguard Energy (Y) 417. 418. -Vanguard GNMA Fund 419. 420. 421. 422. 423. 424. 425. E lnt./Div. O T
J J J
Buy Buy (addl) Open Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
04/27/10 08/16/10 08/13/10 12/16/10 02/22/10 02/26/10 03/29/10 03/29/10 03/31/10 04/30/10 05/28/10 06/30/10
E =$15,001 - $50,000 (See Columfis B1 and 04)F =$50.001 :~ $100.000 G =$100i001 - SL0O0.000 2. Value Codes J =$15.000 or le~ K =$15,00t - $50,000 (See Columns CI and D3) N =$250.001 - $500.0~0 O =$500.001 - $1,000.000 P3 =$25.0~.001 o $50.000.0~0 R =Cos~ (Real Estate Only) 3. Value Method Codes Q = Appraisa| V -~her (See Column C2) U =Book Value : HI --$L0~0.001 - $5;0~0:000 : L =$50.001 - $100.000 Pl =$1.000.001 - $5,000.000 P4 =More than $50,000.000 S =As~sarc~m W =Estimated H2 =More than $5~000.000 M =$100.001 - $250.000 P2 =$5,000,001 - $25,0~0.000 T =Cash Market
VII. INVESTMENTS and TRUSTS - Znco,~e, voZue, tru,~cao~ ana~des ,hoso of sponse ~nd depende,~ children; see plx 34-60 of Jding instructions;)
[]
426.
427.
Buy (addl)
Buy (addl)
07/30/10
08/31/10
428. 429. 430. 431. 432. -Vanguard Short Term Investmt Grade Fd
!433. 434. 435. 436. 437. !438. 439. 440. 441. i442.
Buy (addl)
Buy (addl)
09/30/10
10/29/10
11/30/10 12/31/10
02/22/10 02/26/10 03/31/10 04/30/10 : 05/28/10 06/30/10 07/30/10 08/31/I0 09/30/10 10/29/10 11/30/10
E --$15,001 - $50,~0
2. Valu~ Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2)
VII. INVESTMENTS and TRU STS - income, value, tran~aclions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Asscts (including trust assets) Place "(X)~ after each asset exempt from prior disclosure Income during reporting period (I) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (I) Value Code 2 (l-P) (2) Value Method Code 3 (1) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (5) Identity of buyer/scller (if private
(Q-W) 443. 444. -TRowe Price New Era Fd 445. 446. -Conocophillips
447. 448. 449. 450. 451. -Intl Business Machines (IBM)
J J J J J
J
06/01/10 I
09/01/10 12/01/10 02/22/10
J
J
452. -Sequoia !453. 454. 455. -Cemer 456. -Citigroup Inc 457. -Devon Energy CP 458. 459.
Open Buy (addl) Buy (addl) Open Open Open Buy (addl) Buy (addl)
02/22/10
11/15/10 J 12/28/10 J 02122/10 : K 02/22/10 J 02/22/10 J 04/01/10 J 06/30/10 J Transfer from IRA #7 Transfer from IRA #7 Transfer from IRA #7
E =$15,001 - $50.000
2. Value Code~ (Sen Colunms CI and D3) 3. Value Method Codes (See Column 122)
VII. INVESTMENTS and TRUSTS - i,come, va.e, t~ons~,~io,~ a,a~des those of spouse und dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during rel~rfing period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W)
Transactions during reporting period
460. 46 I. !462. 463. -Dominion Res Inc va [464. 465. 466. 467. 468. -Gafisa Adr
Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open
J J J J J J J J J
469. -Kinder Morgan Mgmt LLC 470. -Pimco Corp Income Fund
471. 472. 473. 474. 475. 476.
Open Open
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
02/22/10 K 02/22/101 K
03/31/10 05/03/10, 06/01/10 06/29/10 08/03/10 09/01/10 J J J J J J
E --$15,001 - $50.000
2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
VII. INVESTMENTS and TRU STS - ~neome, volue, ~u~oc~o~ andudes those of spouse and dependent children; see pp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
Description of Assets
477. 478. 479. 480. 481. -Randgold Res Ltd Adr 482. -Tellabs Inc 483. 484. 485. 486. -Verizon Communications 487. 488. -Frontier Communications 489. -Warner Chilcott Plc 490. -Harbor Bond Fund lnst CI 491. 492. 493.
Buy (addl)
Buy
09/29/10
11/01/10
J J J J J J
J
J
Spinoff 07/01/10 (from line 486) Open Open Buy (addl) Buy (addl)
Buy (addJ)
02/22/10
2. Value Codes {See Colunms C1 and D3) 3. Value Me~od Codes (See Column C2)
D =$5,001 - $15.000 H2 =More than $5.000.000 M =$100.001 - $250,000 P2 =$5.000.001 - $25,000,000 T =Cash Markel
E --$15,001 - $50,000
494. 495. -Janus Short Term Bd Fd 496. 497. 498. 499. 500. 501. 502. 503. 504. 505. 506. 507. 508. -Ridgeworth US Gov Sec 509. 510.
Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl)
12/17/10 02/22/10 02/26/10 03/31/10 04/30/10 05/28/I0 06/30/10 07/30/10 08/31/10 09/30/10 10/29/I0 I 1/30/10 12/22/I 0 12/31/10 02/22/10 02/26/10 03/31/10 J
J K J J J J J J J J J J J J K
E --~15,001 2. Valu~ Codes (See Columns CI and D3) 3. Value Method COde~ (See Column C2) J =SI 5.CO0 o~" less N =$250,001 - $500.0~ P3 =$25,000,001 - $50.0~0.000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500,001 - $I,000,000 R =Cosl (Real Estate Only) V =Olher L --$50,001 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More ~han $50,000,000 S =Assessment W =Estimated M =$100.00l - $250,000 1)2 =$5,000.001 - $25,000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS - income, vol, e, t,o,~ocao~ anciod~ those o/spouse ond depe,~e,~ children; see pp. 34-60 of fillng instrucdong)
[]
(I)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
(Q-W)
511. 512. 513. 514. 515. 516. 517. 518. 519. 520. -TCW Total Return Bond 521. 522. 523. 524. 525. 526. 527.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open 04130110 05/28/10 06/30/10 07/30/10 08/31/10 09/30/10 J 10/29/10 I 1/30/10 12/31/10 02/22/I 0 J J J K J J J J J
Buy (addl)
Buy (addl)
02/26/10
03/31/10
J
J
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
J J J J
08/31/10 J
E --$15,001 - $50,000 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15.0~0 or I~s N =$250,001 - $500.000 P3 =$25,000.001 - $50,000.000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V --Other L =$50,001 - $100,000 Pl =$1.000.001 - $5.000,000 P4 =More than $50,000,000 S =Assessment W =Estimated M ~$10~.001 - $250,000 P2 =$5,000,001 - $25,000.000 T =Cnsh Market
VII. INVESTMENTS and TRUSTS - i, co,~e, vatue. ,,a,~o~io~ anct~des ,hose oI,eou,e ~nd deee,~en, children; see pp. 34-60 of filing instructiong)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during ~vorting period (l) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (I) (l) (2) Value Value Type (e.g., Method buy, sell, Code 2 redemption) (J-P) Code(Q_W)3
Transactions during ~porting period
(2) (3) (4) Gain Date Value mm/dd/yy Code2 Code I (J-P) (A-H)
(5)
Idenlity of buyer/seller (if private
t~acfion) 09/30/10 11/01/10 11/30/10 12/29/10 02/22/10 03/29/10 06/28/10 09/28/10 12/16/10 02/22/10 02/26/10 03/31/10 03/31/10 03/31/10 04/30/10 05/28/10 06/30/10 J J J J K J J J J K J J J J J J J Transfer from IRA #7 Transfer from IRA #7
528. 529. 530. 531. 532. -Thompson Plumb Bond Fund 533. 534. 535. 536. 537. -Vanguard Short Term Bond 538. 539. !540. 541. 542.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
543. 544.
2. Value Cod~ (S~ Columns CI and D3) 3. Value Method COd~: (See Column C2)
VII. INVESTMENTS and TRUSTS - inco,~e, val,~, tra~alo,~ tlncludes those of spouse aM aepenaent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during rq~orting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period Transactions during reporting period (i) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
O)
Value Code 2 (J-P)
(2)
Value Method Code 3
Type (e.g.,
buy, sell, t~demption)
(Q-W)
545. 546. 547. 548. 549. 550. 551. -Annaly Capital Mgmt 552. 553. 554. 555. -Government Ppty Income Tr 556. 557. 558. 559. -Ishares Iboxx Investop 560. 561. -lshares Msci Brazil lndx Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open
Buy (addl) Buy (addl) Buy (addl) Open
J J J J J J K
J J J K J J J J
Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Open
06/07/10 J 02/22/10 K
Transfer from IRA #7
E =$15,001 - $50.000 2. Value Codes (see Columns CI and O3) 3. Value Method Codes (See Column C2) J =$15,000 or Ic~ N =$250.001 - $500.000 P3 =$25,000.001 - $50.000.000 Q =Appraisal U =Book Value K =$15,001 - $50,000 O =$50~.001 - $ 1,000.000 R =:Cost (Real Eslatc Only) V --O~her L --$50,001 - $100,000 Pl =$1.000.001 - $5,000.000 P4 =More than $50,000,000 S =Assessment W =Estimated M =$100.001 - $250,000 P2 =$5.000,001 - $25,000.000 Y =Cash Market
VII. INVESTMENTS and TRUSTS - ~nco,,,e, ,,,,i,,e, t,.,,,~,,aio,~ ana,,a~s those o/spo,,se and de~,endent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including In,st assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, . (A-H) or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporttng period (1) Type (e.g., bay, sell, redemption) (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (5) Identity of buyer/seller (if private ~ansaction)
Open
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold
02/22/I0
03/08/10 04/09/10 05/07/10 06/07/10 07/08/10 08/06/10 09/08/10 10/07/10 11/05/10 12/03/10
J
J J J J J J J J J J A
573. -Ishares Trust Dow Jones 574. 575. 576. 577. 578. -National Retail Pptys
J J J J J K A
E =$15,001 - $50,000 2. Value Codes (Se~ Coltaans CI anti D3) 3. Value Method C~xles (See Column C2) J =$15,000 or le~s N =$250,001 - $500,000 P3 =$25.000.001 - $50,000,000 Q =Appraisal U =Book Value K =$15,001 - $50,000 O =$500,001 - $1,000.000 R =Cost (Rcal Estate Only) V =Olher L ---$50,1101 - $100,000 Pl =$l,000,00t - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated M =$100.001 - $250.000 12 =$5.000,001 - $25,000.000 T =Cash Market
VII. INVESTMENTS and TRU STS - inco,,,e, v,,I,,e, ~,,~,,cao~ ancl,,des ,hose o/ spo,,~e ,,nd de~,endent children; see pp. 34-60 of fillng instructlon.~)
NONE (-No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset
exempt from prior disclosure
Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
(A-H)
or int.)
579. 580. 581. 582. -Plum Creek Timber Co 583. 584. 585. 586. -Spdr Gold Trust 587. -Aluminum Carp China ADR 588. -Bank of America Carp 589. 590. 591. 592. 593. -Blackrock Enhcd Cap & Income 594. -Eaton Van Tax Adv 595. -Old Mutual Claymore Long (Y)
Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Open Open Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Open Open
05/14/I 0 08/16/10 11/15/10 02/22/10 05/28/10 08/31/10 11/30/10 02/22/I0 02/22/10 02/22/10 03/29/10 06/25/10 09/24/10 12/28/10 04/23/10 04/23/10 04/23/10
J J J J J J J J J J J J J J J J J Transfer from IRA #1 Transfer from IRA #1 Transfer from IRA#I Note 2 Transfer from IRA #7 Transfer from IRA #7 Transfer from IRA #7 Transfer from IRA #7
2. Value COde~ (See Columns CI and D3) 3. Value Method Cod~; (See Column C2)
J =$15,000 o*" lass N =$250,001 - $500,000 P3 =$25.000,001 - $50,000,000 Q =Appraisal U =8oak Value
=$15,151 - $50,000
VII. INVESTMENTS and TRUSTS - i,come, value, transactions (Includes those of spouse and dependent children; see pp~ 34-60 of f!llng instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosu re B. Income during repontng period (1) (2) Amount Type (e.g., Code I div., rent~ ] (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code3 (Q-W) D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private Wansaction)
596. -Visa Inc CI A 597. 598. -Guggenheim Enhanced Eqty Income Fund
04/23/10 06102/I0
J J J J
(v)
599. Transamerica Life Insurance (Y) 600. Trust #2 601. -Sch Amt TF MMF 602. -Alaska Air Group Inc
Merged 06/22/10 (with line 595) G D Distribution Int./Div. T Open Open Sold (part) Sold (paR) Distributed Open Distributed Open Distributed Open Buy (addl) Buy (addl) 02/22/10 02/22/10 08/12/10 08/12/10 12/21/10 02/22/10 12/21/10 02/22/10 12121/10 02/22/10 06/28/10 09/27/10 Closed 03/02/10
K K J J K J J J J J J J B B Transfer to Trust #3 Transfer from Brokerage #2 Transfer to Trust//3 Transfer from Brokerage #2 Transfer to Trust #3 Transfer from Brokerage #2 Transfer from Brokerage #2
E =$15,001 - $50.000 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2) J =$15.000 or less N =$250,001 - $500.000 P3 =$25,000.001 - $50.000,000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =Other L =$50,001 - $100,000 PI =$1,000.001 - $5,000,000 P4 =More than $50,000.000 S =Assessment W =Estimated M =$100.001 - $250,0~0 P2 =$5,01~,001 - $25,000.000 T =Cash Market
FINANCIAL DISCLOSURE REPORT Page 40 of 58 VII. IN VESTMENTS and TRUSTS -inco .....
iue, transucdon~ (Includes those of sp ...... d dependent children; see pp. 34-60 of fding instruction&)
[]
Income during
reporting period
Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W)
Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction) Transfer to Trust #3 Transfer from Brokerage #2 Transfer to Trust #3
613. 614. -Brocade Communs Sys New 615. 616. -Canadian Natural Res 617. 618. -CemerCo~ 619. 620. -Eaton Vance Tax Managed 621. 622. 623. 624. 625. -Freeport McMorn 6.75% pfd 626. 627. 628. 629.
Distributed Open Distributed Open Distributed Open Sold Open Buy (addl) Buy (addl) Buy (addl) Distributed Open Sold (part) Buy (addl) Buy (addl) Distributed
12/21/10 02/22/10 12/21/10 02/22/10 12/21/10 02/22/10 03/29/10 02/22/10 06/01/10 09/01/10 12/01/10 12/21/10 02/22/10 05/03/10 08/03/10 I 1/02/10 12/21/10
J J J J J J J J J J J J J J J J K B
Transfer to Trust #3
E =$ 15,001 - $50,000
F =$50~001- $100,000 J =$15.000 or less N =$250,001 - $500.000 P3 =$25,000.001 - $50.000,0~0 Q =Appraisal U =Book Value
; G ~$100,001 - SL000,000 K =$15,001 - $50.000 O =$500,001 - $1,000,000 R ~Cost (Real Estate Only) V =Other
::
HI =$1~000,001 - $5;000,000 L --$50,001 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000.000 S =Assessmem W =Estimated
Date of Report
07/29/2011
Income during reporting period (2) O) Amount Type (e.g., Code 1 div., rent, (A-H) or int.)
Gross value at end of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W)
(1) Type (e.g., buy, sell, redemption)
630. -lamgold Corp 631. 632. -JPMorgan Chase & Co 633. 634. -Novellus Systems Inc. 635. 636. -Pimco Municipal Incm Fd 637. 638. 639. 640. 641. 642. 643. 644. 645. 646.
Open Distributed Open Distributed Open Distributed Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
02/22110 J 12/21 [10 K 02/22/10 K 12/21/10 K 02/22/10 K 12/21/10 K 02/22/10 03/30/10 05/03/10 06/02/10 06/30/10 08/02/10 09/02/10 09/30/10 11/02/10 12/02/10 J J J J J J J J J J J
Transfer from Brokerage #2 Transfer to Trust #3 Transfer from Brokerage #2 Transfer to Trust #3 Transfer from Brokerage #2 Transfer to Trust #3 Transfer from Brokerage #2
Distributed 12/21/10
Transfer to Trust #3
E =$15,001 - $50,000 2. Value Codes (See Columns Cl and D3) 3. Value Method Codes (See Column C2) J =$15,000 or lem N =$250,001 - $500.0~0 P3 =$25,000.001 - $50,000.000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Rezl Estate Only) V =Other L --$50.001 - !;100.000 Pl =$1,000,001 - $5,000,000 p4 =More than $50,000,000 S =Assessment W =Estimated M =$100.001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
FINANCIAL DISCLOSURE REPORT Page 42 of 58 VII. INVESTMENTS and TRUSTS - i,e ......
I,,e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
(including trust assets) Place "(X)" afle~ each asset exempt from palm dis~lusure
reporting period
(1} (2)
Transactions during reporting period (1) Type (e.g., buy, sell, redemption)
(2) O) (4) Date Value mm/ddiyy Code 2 (J-P) (5) Identity of buyer/seller (if private transaction)
647. -Plum Creek Timber Co 648. 649. 650. 651. 652. -Vale Capital Ltd 5.5% 10F 653. 654. 655. -Baird Intermediate Muni 656~ 657. 658. 659. 660. 661. 662. 663.
J J J J J J J J K J J J J J J J J
(part)
Distributed 12/21/10 Open Buy (addl) Buy (addl) Buy (addl) Buy (addI) Buy (addl) Buy (addl) Buy (addl) Buy (addl) 02/22/10 02/25/10 03/25/10 04/29/10 05/25/10 06/25/l 0 07/26/10 08/25/10 09/27/10 Transfer to Trust #3 Transfer from Brokerage #2
E =$15,001 - $50.000 2. Value Codes (Se~ Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15,0~0 or I~s N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal O =Book Value K =$15,001 - 550,000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Other L =$50.001 - SI00,000 PI ~$1.000.001 - $5.000.000 P4 =More than $50,000,000 S :Assessment W =Estimated M =$100.001 P2 ~$5.0~0.001 - $25.000.000 T =Cesh Market
VII. INVESTMENTS and TRU STS - i.eo,~e, vat.e, ~ra,~cao,~ a~cludes ,hose o/spouse ~ d~p~d~1 children; see pp. 34-60 of filing instruction&)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including t~ust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int,) Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (l) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyerlseller (if private transaction)
(Q-w)
664. 665. 666. 667. -Pimco High Yield Muni Bd 668. 669. 670. 671. 672. 673. 674. 675. 676. 677. 678. 679. -T Rowe Price Tax Free 680. Buy (addl) Buy (addl) Distributed Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Distributed Open Buy (addl) 10/25/10 11/26/I0 12/21/10 02/22/10 02/26/I0 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/31 / l 0 09/30/10 10/29/10 11/30/I0 12/2 l/10 J J K J J J J J J J J J J J J
02/22/10 K 02/26/10, J
E =$15,001 - $50.000 2. Value Codes (S~e Columns CI and D3) 3. Value Method Cod~ (See Column C2) J ~$15,000 or less N =$250,001 - $500,000 P3 =$25,000.001 - $50,000,000 Q =Appraisal U =Book Value K =$15,001 - $50.0~0 O =$500.001 - $1,000.000 R ~ost (Real Estate Only) V -~3ther L =$50.001 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000.000 S =Assasamem W =Estimated M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Markct
(1)
Value
(2)
Value
Code 2 (J-P)
681. 682. 683. 684. 685. 686. 687. 688. 689. 690, 691. -Vanguard Gnma Fund 692. 693. 694. 695. 696. 697.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
Distributed 12/21110 K Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
Buy (addl)
05/28/10 J 06/30/10 J
07/30/10 J
E =$15,001 - $50.0~0 2. Valu~ Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15,000 or less N =$250,001 - $500.000 P3 =$25.000,001 - $50.000,000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estatc Only) V =Other L =$50.001 - $100,000 PI =$1,000.001 - $5.000,~0 P4 =More than $50,000.000 S =Assessment W =Estimated M =$100,001 - $250,0~} P2 =$5,000,00| - $25,000.000 T =Cash Markl
VII. INVESTMENTS and T RU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, ~Memption) (2) O) (4) Date Value mm/dd/yy Code 2 (J-P) Gain Code I (A-H) (5) Identity of buyer/seller (ifprivate ~nsaction) Transactions during reporting period
698. 699. 700. 701. 702. 703. -Wells Fargo Advantage 704. 705. 706. 707. 708. 709. 710. 711. 712. 713. 714.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Distributed Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
08/31 / 10 09/30/10 10/29/10 11/30/10 12/21/10 02/22/10 02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/31/10 09/30/10 10/29/10 11/30/10 12/10/10
E =$15,001 - $50,000 2. Value Codes (See Columns C| and D3) 3. Value Method Codes (S~e Column C2) J =$15.000 or le~s N =$250.001 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value K =$15,001 - $50.000 L =$50,001 - $100,000 P4 =More than $50,000,0~0 S =Assessment W =Eslimated M =$100.001 - $250,000
T =Cash Market
VII. IN V ESTMENTS and T RU STS - i.co~,e, v,~ue, ~a~sucno~ a.aud~ those of spouse a~d dependent chtTdren; see pp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prio~ disclosure B. Income during reporting period (I) Amount Code 1 ~ (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of r~orting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-~) D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private ~ansaction)
Distributed 12121/10 J
Open Closed Buy Open Closed Buy Closed Open Closed Open Closed Open Closed
04/15/10 12/22/10 05/27110 12121/10 12/21/10 10113110 12/21/10 12/21/10 12/21/10 12/21110 12121/10 12/21/10 12/21/10
N N J K K J J J J J J K K
Account Closed Transfer from Trust #2 Account Closed Transfer from Trust #2 Account Closed I Transfer from Trust #2
Account Closed
2. Value Cod~ (See Columns Cl and D3) 3. Value Method Codes (See Column C2)
lue, Ira~actions (Includes those of spouse and dependent children; see pp. 34-60 of filing instrucllon&)
732. -Bank of America Corp 1733. 734. -Brocade Communs Sys 735. 736. -Canadian Natural Res 737. 738. -Eaton Van Tax Managed 739. 740. - Freeport McMoran Copper 741. 742. -lamgold Corporation 743. 744. -JPMorgan Chase & Co 745. 746. -Novellus Systems Inc 747. 748. -Pimco High Yield Muni bd
Open Closed Open Closed Open Closed Open Closed Open Closed Open Closed Open Closed Oi3en Closed Open
12/21/10 12/21/10 12/21/10 12/21/10 12/21/10 :12/21/10 12/21/10 112/21/10 12/21/10 12/21/10 12/21/10 12/21 / 10 12/21/10 12/21/10 12/21/10 12/21/10 12/21/10
J J J J J J J J K K K K K K K K J
E -~$15,001 - $50,1)00 2. Value Codes (See Coltlm~ CI arid D3) 3. Value Method Codes (See Column C2) J --$15.000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O =$500.001 o $1,000.000 R =Cosl (Renl Estate Only) V --Other L =$50,001 - $100,000 PI =$1,000.001 - $5.000,000 P4 =More than $50,000.000 S =Assessment W =Eslimated M =$100.001 - $250,1~0 P2 =$5.000.001 - $25,000.000 T =Csah Market
VII. INVESTMENTS and TRUSTS -income, van,e, ~a~acao~ and.d~ those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assels
(including in, st assets)
B. Income during
reporting period
Transactions during ~orting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I I J-P) (A-H) (5) Identity of buyer/seller (if private transaction) Account Closed Transfer from Trust #2 Account Closed Transfer from Trust #2 Account Closed Transfer from Trust #2 Account Closed Transfer from Trust #2 Account Closed Transfer from Trust #2 Account Closed Transfer from Trust #2 Account Closed Transfer from Trust #2 Account Closed
or in,t.)
749. 750. -Pimco Municipal Income fd 751. 752. -Plum Creek Timber co 753. 754. -Sun Life Financial Inc 755. 756. -T Rowe Price Tax Free Short Intermediate Fund 757. 758. -Vale SA ADR 759. 760. -Vanguard GNMA Fund 761. 762. -Wells Fargo Advantage ST Muni Bond Inv 763. 764. Trust #4 765. -Fidelity Tax-Free Money Market D Dividend O T
Closed Open Closed Open Closed Open Closed Open Closed Open Closed Open Closed Open Closed
12/21/10 12/21/10 12/21/10 12/21/10 12/21/10 12/21/10 12/21/10 12/21/10 12/21/10 12/21/10 12/21/10 12121/10 12/21/10 12/21/10 12/21/10
J J J J J J J K K J J L L K K
Open
02/23/10 J
E =$15,001 - $50.000 2. Value Codes (See Columns CI and D3) 3. Value Mcthod Codes (Sec Column C2) J =$15.0~0 or le~s N =$250,001 - $5001000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value K =$15,001 - $50,000 O =$500,001 - $ L000,000 R =Cost (Real Estate Only) V --Other L =$50,001 - $100,0~0 PI =$I,000,001 - $5,000,000 P4 =More than $50,000.000 S =Assessment W =Estimated M =$10~.001 - $250,000 P2 =$5,000,001 - $25,000.000 T =Cash Market
766. -AT&T Inc Com 767. -Agnico Eagle Mines Corn NPV 768. -Alcoa lnc 769. -Anadarko Pete Corp 770. -Apple Ine 77 I. -Brocade Communications Sys 772. -Enbridge Energy Partners LP 773. -Govt Pptys Income Tr Corn Shs 774. -Ishares Inc MSCI Canada Index Fd 775. -ITC Hldgs Corp 776. -Pimco Mun Income Fd II 777. -Range Resources Corp 778. -SPDR Ser Tr Morgan Stanley Tech 779. -Tata Motors Limited Adr Ea Rep 780. -Fidelity Canada (FICDX) 781. 782.
Open Open Open Open Open Open Open Open Open Open Open Open Open Open Open Buy (addl) Buy (addl)
02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/I0 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 02/23/10 12/03/10 12/30/10
K J J J J J J K K J K J J K K J J
Transfer from Brokerage # 1 Transfer from Brokerage #1 Transfer from Brokerage #1 Transfer from Brokerage #1 Transfer from Brokerage #1 Transfer from Brokerage #1 Transfer from Brokerage #1 Transfer from Brokerage #1 Transfer from Brokerage #1 Transfer from Brokerage #1 Transfer from Brokerage # I Transfer from Brokerage #1 Transfer from Brokerage # I Transfer from Brokerage #1 Transfer from Brokerage # I
E =$15,001 - $50,0~0 2. Value C.~des (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15,000 o~ less N =$250,001 - $500,000 P3 =$25,000.001 - $50.000,000 Q =Appraisal U =Book Value K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Eslate Only) V -~)ther L =$50,0~1 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000.000 S =Assessment W =Eslimated M =$100.001 - $250,000 P2 =$5.000,001 - $25,000,000 T =Cash Market
FINANCIAL DISCLOSURE REPORT Page 50 of 58 VII. INVESTMENTS and TRU STS - i ....
e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructiong)
(i)
Type (e.g., buy, sell, redemption)
(Q-W)
783. -American Century Tax Free Bond 784. 785. 786. 787. 788. 789. 790. 791. 792; 793. 794. -Baird Intermediate Muni Bond Invs CI (BMBSX)
Open 02/23/10 K
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/31/10 09/30/10 I0/29/I0 11/30/10 02/23/10 02/26/10 03/25/10 04/26/10 05/25/10 06/25/10
E =$15,001 2. Value Codes (See Columns CI and D3) 3. Value Method COd~s (See Column C2) J =$15.000 or l~s N ~$250,001 - $500.000 P3 =$25,000.001 - $50,000.000 Q =Appraisal ILl =Book Value K =$15.001 - $50.00~ O =$500,001 - $1,0~1.00~ R =Cost (Real Eslate Only) V =O~her L =$50.001 - $100.000 PI =$1,000,001 - $5.000,000 P4 =More than $50.000.000 S =Assessment W =Estimated M =$100.001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS - ~,,co,,,,. v,,t,,e, ~,,,,~,,c,io,~ ~t,,a,,d,~ ,hos, ofs~,o .... ,a de~,e,,d,,t child, e,,; see~,~,. 34-60
---] NONE (No reportable income, assets, or transactions.)
l~seription of AsseIs (including trust assel~)
Place "(X)" after each asset exempt from prior disclosure
(2) Date
(5) Identity of
buyer/seller
mm/dcl/yy Code 2
(A-H)
or int.)
(J-P)
Code 3 (Q-W)
redemption)
(J-P)
(A-H)
800. 801. 802. 803. 804. 805. 806. -Marshall Intermed Tax Free CI Y (MITFX) 807. 808. 809. 810. 811. 812. 813. 814. 815. 816.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
07/26/10 08/25110 09/27/10 10/25/10 11/26/10 12/27/10 02/23/10 02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/31/10 09/30/10 10/29/10 11/30/10
2. Value Codes (See Colunm.s CI and D3) 3. Value Method Codes (See Colunm C2)
D =$5;001 - $15,000 H2 =More than $5.000.000 M =$100.001 - $250,000 P2 =$5,000.001 - $25.000.000 T -~h Market
E =$15,001 - $50,000
---]
Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private aansaction)
reporting period (1) (2) Amount Type (e.g., Code 1 die., rent, (A-H) or int.)
of ~porting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
817. 818. -Pimco Total Return Class D (PTrDX) 819. 820. 821. 822. 823. 824. 825. 826. 827. 828. 829. 830. oT Rowe Price Tax Free Short Inter (PRFSX)
831. 832. 833.
Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl)
12/09/10 02/23/10 02/26/10 03131110 04/30/10 05/28/10 06/30/10 07130/10 08/31110 09/30/10 10/29/I0 I 1/30/10 12/08/10 02/23/10 02/26/10 03/31/10
Buy
(addl)
04/30/101 J
E =$15,001 - $50,000
2. Value Codes (See Coltam~ CI and D3) 3. Value Method Codes (S4:e Column C2)
VII. INVESTMENTS and TRU STS - incor~e, voi.e, t~o,~caor~ ancl~d.~ those o/st, o~se ~nd de~,endent children; see pp. 34-60 of filing instructions.)
[]
834. 835. 836. 837. 838. 839. 840. 841. -Thornburg Ltd Term Municipal Fund CI A (LTMFX) 842. 843. 844. 845. 846. 847. 848. 849. 850.
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
05/28/10 06/30/10 07/30/I0 [ 08/31/10 09/30/10 10/29/10 11/30/10 02/23/10 02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/l 0 081311101 09130110 10/29/10
J J J J J J J J J J J J J J J J J
E ~$15,001 - $50,000
2. Value Codes (See Columm CI and D3) 3. Value Method Codes (See Column C2)
VII. INVESTMENTS and TRUSTS - income, vane, trans~ao~ anclud, s ,hose of spouse und dependent children; see pl~ 34-60 of filing instruction&)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 Transactions during reporting period
O)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
(Q-W)
851. 852. -Thomburg Strategic Municipal Income C (TSSCX) 853. 854. 855. 856. 857. 858. 859. 860. 861. 862. 863. 864. -Vanguard GNMA (VFIIX) 865. 866. 867. Buy (addt) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) 11/30/10 02/23/10 02/26/10 03/31 / 10 04/30/10 05/28/10 06/30/10 07/30/10 08/31/10 09/30/10 10/29/10 11/19/10 J L J J J J J J J J J J
(See Columns BI and D4)F-- $50i001. $100.000 2. Value Codes J =$15.0~0 or less (See Columns CI and D3) N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 3. Value Method Codes Q =Appraisal (See Column C2) U =Book Value
G =$100~001- $1;000~000 K =$15,001 - $50.0~0 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =Olher
HI -~$L000;001 - $5.000,000:: .... L =$50.001 - $100.000 Pl =$1.000,001 - $5.000,0~) P4 =More than $50,000,000 S =Assessment W =Estimated
VII. INV ESTMENTS and TRU STS - income, ,atue, ~a~cao~s anaud~ ,hose of spouse ond dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including tn~st assets)
Place "(X)" after each asset exempt from prior disclosure
B. Income during reporung period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.)
C, Gross value at end of reporting period (i) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W)
D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
868. 869. 870. 871. 872. 873. 874. 875. 876. 877. -Wells Fargo Ultra Shrt Tm Muni Inc-Adv (SMOAX) 878. 879. 880. 881. 882. 883. 884.
Buy (addl) Buy (addI) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
04/30/10 05/28/10 06/30/10 07/30/10 08/31/I0 09/30/10 10/29/10 11/30/10 12/31/I0 02/23/10 02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/31/10
E --$15,001 - $50,000 2. Value Cod~s (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15.000 or less N =$250.001 - $500.000 P3 =$25.000,001 - $50.000.000 Q =Appraisal U =Book Value K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other L ---$50,001 - $100,000 Pl =$1.000,001 - $5,000,000 P4 =More than $50,000.000 S =Assassmcn! W =Estimated M ~$100.001 - $250,(~(} P2 ~$5,000,001 - $25,000,000 T =C~h Market
Value
Code 2 (J-P)
Value
Method Code 3 (Q-W)
Type (e.g.,
buy, sell, redemption)
Date
mm/dd/yy
Value
Code 2 (J-P)
Gain
Code I (A-H)
Identity of
buyer/seller (if private transaction)
885. 886. 887. 888. -Wells Fargo Short Term Muni Bd-Invest (STSMX) 889. 890. 891. 892. 893. 894. 895. 896. 897. 898. 899. 900. -Hatteras Finl Corp Corn (HTS) 901. Sun Life Assurance Company None I
Buy (addl) Buy (addl) Buy (addl) Open Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Open Closed
09/30/10 i0/29/10 11/30/10 02/23/10 02/26/10 03/31/10 04/30/10 05/28/10 06/30/10 07/30/10 08/31/10 09/30/10 10/29/10 11/30/10 12/13/10 02/23/10 02/26/10
J J J L J J J J J J J J J J J K J Transfer from Brokerage #1 Proceeds from Life Ins. Transfer from Brokerage #1
E --$15,001 - $50,000 2. Value Co(~ (Se Columns CI and D3) 3. Value Melhod Codes (See Column C2) J =$15,000 or lass N =$250,001 - $500,000 P3 =$25.000.001 - $50.000,000 Q =Appraisal U =Book Value K =$15,001 - $50,000 O =$500,001 - $1,0~,0~ R =Cost (Real Estate Only) V =Other L =$50,001 - $I00.000 PI =$1,000.001 - $5,000,000 P4 =More than $50.000.000 S =Assessment W =Eslimated M =$100.001 - $250.000 P2 =$5,000.001 - $25,000,000 T =Cash Market
! certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. ! further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544