Escolar Documentos
Profissional Documentos
Cultura Documentos
1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. .~; I01-111)
I. Person Reporting (last name, first, middle initial) Thompson, Anne E. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or pan-time)
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 applicable laws and regulations.
Reviewing Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followea~ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
D
1. 2. 3. 4. 5.
NAME OF ORGANIZATION/ENTITY National Conference of Bar Examiners Trust #1 - U/W Trust #2 - U/W Art. Fifth Art. Sixth
Thompson, Anne E.
D
1.2010
NONE
(No reportable
DATE
National Conference of Bar Examiners -- Fees earned for drafting, editing & revising bar exam and evaluating performance oftest questions.
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.)
SOURCE
National Conference of Bar Examiners 2. 3. 4. 5. National Conference of Bar Examiners
DATES
May 6-9, 2010
LOCATION
New Orleans, LA
PURPOSE
Activity of Organization
Activity of Organization
V. GIFTS. (lncludes those to spouse and dependent children; see pp. 28-31of filing instructions.) NONE (No reportable gifts.) SOURCE
1. 2. 3. 4.
DESCRIPTION
VALUE
5.
Vl. LIABILITIES. ancludes those o/spouse and depende.I children; see pp. 32-33 of filing instructlon~)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
lue, tr ....,ions (Includes those of sp ......d dependent children; see pp. 34-60 of filing instructionsO
I (i)
i Amount [ Code I ii (A-H)
(2)
Type (e.g., div., rent, or int.)
(i)
Value Code 2 (J-P)
(2)
Value Method Code 3
I.
Interest
K J
T T Closed 01/12/10 J
2. 3.
4.
None None
lnt./Div.
5.
Dividend
05/06/10 J
6.
None
7.
U.S.
Bancorp
Dividend
05/05/10 04/28/10
J J
A A
8.
Dominion Resources
Dividend
9.
Gilead Sciences Inc Exelon Corporation McDonalds Corp Varian Medical Systems Inc
None
10.
Dividend
J J
11.
Dividend
12.
None
13.
lVlEducational Services
None
14.
ITTEducational Services
None
15.
ITTEducational Services
None
16.
Intel
Corp
Dividend
J
J
T
T
17.
Ace Ltd
Dividend
I. Income Gain Codes: (Scc Columns BI and IM) 2. Value Cod~ (Scc Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or leas F =$50.001 - $100,000 J =$15.11~O or less N =$250,001 - $500.000 P3 =$25,000.001 - $50,000.000 Q -Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 - $1,000,000 K =$15.001 - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =O~her
C =$2,501 - $5,000 Ill =$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 - $15,000 112 =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
VII. INVESTMENTS and TRUSTS - income, vatue, ~u.~a~io.~ ttnctua~ those o/spouse ond a.p~nd~n, ch it dren; s~e pp. ~ 4-6o o/ ~ting 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
I ~1)
I Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(Q-W)
T T T T T T Buy Buy Buy Buy Buy 02/19/10 05/19/10 05/28/10 07/07/10 11/16/10 J J J
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30.
Charles Schwab National Oilwell Varco Inc Schlumberger Ltd Medtronic Inc Cisco Systems TRUST#1 --~ -- Fidelity Diversified Intl Fund -- Fidelity Cash Reserves -- Fidelity Advisor New Insights Fund -- Fidelity Advisor New Insights Fund -- Fidelity Real Estate Investment Fund -- Fidelity Blue Chip Growth Fund -- Fidelity NJ Municipal Income Fund
A A A A
J J J J J O
Dividend
03/09110 J 09/02/10 J
04/06/10 ! J
31. -- Fidelity Short-lnter Mediate Muni Income Fund 32. 33. 34. -- Fidelity Short-later Mediate Muni Income Fund -- Cambriar Opportunity Investor Fund -- AllianceBern Muni Inc Fund II NJ
03/09/10 J 06/17/10 J
A A
Sold (part)
06/17/10
I. Income Gain Codes: (See Columns BI and 1)4) 2. Value COdc~ {See Columns CI and D3) 3. Value Method Codes ~See Column C2)
A =$1,000 or less F =$50.001 - $100,000 J =$15.000 o le~.s N =$250.001 - $500.(X~O P3 =$25.000.001 - $50.090.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001. $1.000.000 K =$15.001 - 550.000 O =5500.001 - $1.000.000 R =Cost (Real Estate Only) V =O~ho"
C =52.501 - 5L000 Itl =$1.000,001 - $5.000.000 L =550.001 - $100.000 PI =$1.000.001 - $5.000.000 P4 =M~e than $50.000.000 S =Assessment W =Estimated
D =$5.001 - 515.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
E $15.001- $50.0~0
(i)
Amount Code I [ (A-H)
(2)
Type (e.g., div., rent, or int.)
(1) Value
Method Code 3 Type (e.g., buy, sell, redemption)
Value
Code 2 (J-P)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
-- Baron Growlh Fund -- Columbia Marisco Focused Eq. CL A -- DWS Strategic High Yield Tax Free CL S -- Davis NY Venture CL A -- Diamond Hill Small Cap Fund CL A
-- Franklin NJ Tax Free Income Fund A -- Franklin NJ Tax Free Income Fund A -- Harbor Capital Appreciation Fund -- Hartford Capital Appreciation Fund CL A
Sold (part)
11/16/10 J
Sold (pa~)
11/16/10 J
03/09/10 04/06/I 0
J J
-- Hotchkins & Wiley Mid Cap Value Fund CL A 45. 46. 47. 48.
49.
-- Morgan Stanley Mid Cap Growth Port CL P -- Mutual Series Mutual Shares CL A -- Nuveen NJ Muni Bond Fund CL A -- T Rowe Price Mid Cap Value Fund Adv Class
-- T Rowe Price Value Fund Adv Class
11/16/10 J 03/09/I0 J
B A
50. 51.
I. Income Gain Codes: (Se Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15.001 - $50.000 0 =$50~.001 - $1,000.000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5,000 Ill =$1.0OO.001 - S5.0OO.0OO L -$50.OOI - $10~.0~O Pl -$1.0OO.0OI - $5.0OO.0~O P4 =More than $50.000.000 W =Estimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 . $250.0~0 P2 =$5.000.001 - $25.000.000 T =~h Markcl
E =$15,0~1 - $50.000
FINANCIAL DISCLOSURE REPORT Page 7 of 17 VII. INVESTMENTS and TRUSTS - i,,,-o ....
D NONE (No reportable
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure income,
.,~1,,,, transactions andudes those of spouse and dependent children: see pp. 34-60 of filing instruction~)
assets, or transactions.)
B. Income during reporting period [ O) [ Amount i Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3 (I) Type (e.g., buy, sell, redemption) Transactions during reporting pedod (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)
(Q-W)
Sold (part) 11/18/10 J
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 166.
-- S&P 500 Depository Receipt -- CRM Mid Cap Value Investor Fund -- Fidelity AMT Tax-Free Money Mkt Fund -- Fidelity AMT Tax-Free Money Mkt Fund -- Pimco Real Estate Admin Class Fund -- Pimco Commodity Real Ret Strat Admin -- Fidelity Emerging Markets Fund -- Invesco Intl Growth Fund (Fonnerly known as AIM thel) -- Artio International Equity Fund It -- Manning & Napier World Oppt -- Thomburg Intl Value Fund -- Vitrus Foreign Opportunities Fund -- Goldman Sachs High Yield Fund -- T Rowe Price High Yield Fund -- Templeton Global Bond Fund -- MFS International Value Fund
J K
[ 06/17/10 I 1/16/10
J J
A A
67.
Sold Buy
08/17/10 03/09/10 J
68.
I. Income Gain Codes: (5 Colamns BI and D4) 2. Value Codes (5c Columns CI and D3) 3. Value Method Codes {See Column C2)
A =$1.000 or less F =$50,001 - $ I 0~,000 J =$15.0~O or h.ss N =$250.0OI - $500.0~3 P3 =$25.000.001 - $50.000.000 Q =Appraisal U -Book Value
B =$1,0OI - $2,500 G =$100,001 . $1,000,000 K =$15.001 - $50.000 O -$500.001 - $1.00~.000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5,000 I11 =$1,000,001 - $5.000.000 L =$50.0OI - $100.0OO PI =$1,000.001 - $5.0~),000 P4 =More than S =Assessment W =Estimated
D -$5,001 - $15,000 112 =More than $5.000,000 M =$100.001 - $250.000 P2 =$5.000,001 T =Cash Market
E :$15,001 - $50.000
FINANCIAL DISCLOSURE REPORT Page 8 of 17 VII. INVESTMENTS and TRU STS - i ........
lue, tr .... tions (Includes those of spouse and dependent children: see pp. 34-60 of filing instructions.)
transactions.)
C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd~y Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (ifprivate transaction)
or
B. Income during reporting period I (I) i Amount i Code I I (A-H) I (2) (e.g., Type div., rent, or int.)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
-- Manning Strategic lnst Inc Intl Equity -- American EuropacificGrowth -- MFS International Diversification Fund -- Fidelity Select Money Market -- Fidelity Select Money Market -- Eaton Vance Tax Managed Value -- T Rowe Tax Free Inc Fund TRUST#2--~ -- Burlington County NJ Bond -- Ocean City NJ Bond -- Fidelity Diversified Intl Fund -- Fidelity Cash Reserves -- Fidelity Advisor Mid Cap Fund It CL 1 -- Fidelity Advisor Intl Discovery Fund CL I -- Fidelity Real Estate Investment Fund -- Fidelity Blue Chip Growth Fund -- Fidelity Short-lnter Mediate Muni Income Fund
D Dividend 0 T
J J J J J J J
J J J
B B A
I. Income Gain Codes: (See Columns B] and IM) 2. Value Cod,.~ (See Columns CI and D3) 3. Value Method Codes (See Cohunn C2)
A =$1,000 or less F =$50.001 - $100.000 J =$15.000 o~ less N =$250.001 - $500.000 P3 =$25.000.0OI - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 - $1.000.000 K =$15,001 - S50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Olher
C =$2,501 - $5.000 Ill =$1.000.001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000.0OI - $5.000.000 P4 =More than $50.000.000 S =Assessm,n! W =Estimated
D =$5.001 - $15,000 112 =More than $5.000,000 M =$100,001 - $250.000 P2 =$5.000.0OI - $25.000.000 T =Cash Markcl
E =$15,001- $50.000
lue, VII. INVESTMENTS and TRUSTS - ineo ..... transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng 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 reporting period [ (1) (2) ] Amount Type (e.g., i Code I div., rent, i (A-H) or int.) I 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) Date Value Gain mm/dd,~/y Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
-- Fidelity Short-lnter Mediate Muni Income Fund -- Allianz NFJ Dividend Value Fund -- Allianz NFJ Dividend Value Fund -- Baron Growth Fund -- Columbia Marisco Focused Eq. CL A -- DWS Strategic High Yield Tax Free CL S -- Davis NY Venture CL A -- Diamond Hill Small Cap Fund CL A -- Franklin NJ Tax Free Income Fund A -- Harbor Capital Appreciation Fund -- Hataford Capital Appreciation Fund CL A -- lShares TR Russell 100 Growth Index Fund -- Artio Intl Equity Fund II CL A -- Mutual Series Mutual Shares CL A
J J J
A B
Sold
11/16/10 J
(part)
Buy (addl)
I 1/16/10
100. --Nuveen NJ Muni Bond Fund CL A 101. -- RS Value Fund 102. -- T Rowe Price Mid Cap Value Fund Adv Class
I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $ 100,000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25.000.0OI - $50.000.000 Q =Appraisal U =Book Value
B -$1,001 - $2.500 G =$100.001 - $1,000.000 K =$15.001 - $50,000 O =$500.001 - $1.009.000 R =Cost (Real Estate Only) V =O~h,:r
C =$2,501 - $5.000 It I =$1,000,001 - $5.000,000 L =$50,001 - $100.000 PI =$1,000.001 - $5,000,000 P4 =More than $50.000.0~0 S =Asscsslr~fl! W =Es~imated
D =$5,0~1 - $15.000 t 12 ~M ore than $5,000.0OO M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 T =Cash Market
E =$15,0~I - $50.0~1
VII. INVESTMENTS and TRUSTS - i,,co,,,e, vol,,,,. ~on~ooio~ anctud~ those olspousc ond ~,pendent children: see pp. 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
103. -- T Rowe Price Value Fund Adv Class 104. -- Royce PA Mutual Fund 105. -- S&P 500 Depository Receipt 106. -- CRM Mid Cap Value Investor Fund 107. -- Fidelity AMT Tax-Free Money Mkt Fund 108. -- Fidelity AMT Tax-Free Money Mkt Fund 109. -- Invesco Intl Growth Fund (Formerly known as AIM Intl 1 I0. -- Artisan Intl Value Fund 111. -- American EuroPacific Growth Fund 112. -- GE International Equity Service Fund 113. -- MFS International Value Fund 114. -- Manning & Napier World Oppt 115. -- Oppenheimer Commod Strat Total Return 116. -- SSGA Emerging Markets 117. -- Thomburg Intl Value Fund 118. -- AllianceBem Muni Inc II NJ Fund 119. -- Pimco Real Estate Admin Class Fund
Sold (part)
01/15/10
J K J A A
Sold (part)
Sold Sold
06/17/10 11/16/10
J J
A A
Sold
06/17/10
Sold
11/16/10 J
I. Income Gain Codes: (S Columns BI and D4) 2. Value Codes IScc Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F -$50.0OI - $100,000 J -$15,0OO ~r less N =$250.0OI - $500.000 P3 =$25.000.001 - $50.000.000 Q -Appraisal U =Book Value
B =$1,0~1 - $2.500 G =$100,001 - $1,000,090 K =$15.0OI - $50,000 O =$500.001 - $1.000.000 R =Cosl (Real Estate Only) V =Other
C =$2.501 - $5,000 1tl =$1.000,001 . $5.000.000 L ~$50.001 - $100.000 PI =$1.000.001 - $5.000,000 P4 =More than $50.00~,000 S =Assessment W =Eslimated
D =$5,001 - $15.000 tl2 ~Morc than $5.0~0,0OO M =$100.0OI - $250.000 P2 =$5.000.001 - $25.000.000 T -Cash Markc~
E =$15.001- $50.000
VII. INV ESTMENTS and TRU STS -i.co,~e, votue, ~ro,~oc,lo.s anc/udes thos. o/ spo.se o.d dependent ch ildrem see pp. 34-60 of filing instructions.)
--] NONE (No reportable income, assets, or transactions.)
Description of Assets Income during reporting period Gross value at end of reporting period Transactions during reporting period
O) Value Code 2
(J-P)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
120. -- T Rowe Price High Yield Fund 12 I. -- Templeton Global Bond Fund 122. -- Fidelity NJ Muni Income 123. -- Fidelity NJ Muni Income 124. -- Fidelity NJ Muni Income 125. -- Eaton Vance Tax Managed Value 126. -- Eaton Vance Tax Managed Value 127. -- MFS International Diversification Fund 128. -- Pimco Commodity Real Return Strat Admin 129. -- Fidelity Advisor New Insights 130. -- American Beacon Large Cap Investor 131. -- American Beacon Large Cap Investor 132. -- T Rowe Tax Free Income Fund 133. -- T Rowe Tax Free Income Fund
134. GLENMEDE IRA
Sold (part) Sold Buy Buy (addl) Buy (addl) Buy Sold Buy Buy Buy Buy Sold Buy Sold E Distribution 0 Sold (part) Sold (pan)
11/16/10 11/16/10 01/15/10 04/06/I0 11/16/10 06/17/10 09/02/10 06/17/10 06/17/10 09/02/10 09/02/10 11/16/10 09/02/I 0 11/16/10
J J J J K J J J J J J J J J
A A
135. -- Glenmede Core Fixed Income Port 136. -- Glenmede Core Fixed Income Port
01/27/10 K 06/08/10 J
A A
I. Income Gain Codes: (See Columns BI and [34) 2. Value Codns (See Columns CI and D3) 3. Value Method Codes (Sc Cohlmn C2)
A =$1,000 or less F =$50.001 - $100,000 J =$15.000 o less N =$250.001 - $500,000 P3 =$25,000.001 - $50.000,0~0 Q =Appraisal U -Book Value
B =$1,001 - $2.500 G =$100,0Ol - $1,090.000 K =$15.001 - $50,000 O =$500.001 - $l,000.0OO R =Cost (Real Estate Only) V =O~her
C =$2,501 - $5,000 Ill =$1.000.001 - $5.000.000 L =$50.001 - $100.000 PI =$1.0OO,00l - $5.000,000 P4 =More than $50.00~.000 S =Asscssm~l W =Estimated
D =$5.001 - $15.000 112 =More than $5.000.000 hi =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T Gash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, vntoe, ,r .... (Includes those of sp ...... ,io,~
NONE (No reportable income, assets, or transactions.)
Description of Assels (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period [ O) (2) ] Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (1) (21 Value Value Code 2 Method (J-P) Code 3 (Q-W)
(2) (3) (4) Dale Value Gain mm!dd/yy Code 2 Code I (J-P) (A-H)
137. -- Bank of America Bond 138. -- Corts GE Capital Bond 139. -- Exxon Mobil Corp 140. -- Johnson & Johnson 141. -- Glenmede Govt Cash Fund 142. -- Glenmede International Fund 143. -- Glenmede International Fund 144. -- Devon Energy 145. -- Qualcomm Corp 146. -- Rio Tinto PLC 147. -- Rio Tinto PLC 148. -- Rio Tinto PLC 149. -- Nil Holdings lnc - CL B 150. -- McDermott International Inc 151. -- Procter & Gamble Co 152. -- Hansen Natural Corp 153. -- AT&T Inc Sold Sold (part) 05/06/10 07/20/10 J J
A A
07/30/10 J 12/16/10 K
A A
J J J J
A
06/22/10 J
I. Income Gain Codes: (See Columns BI and D41 2. Value Codes (See Columns CI and D31 3. Value Method Codes (See Column C2)
=$1.000 or less =$50.001 - $ [ 00.000 =$15.000 or less =$250.001 - $500.000 P3 =$25.000.001 - $50.0~0.000 =Appraisal =Book Value
B -$1,001 - $2,500 G= $ 100.001 - $ [ .000.000 K =$ I 5.001 - $5 O=$500.001 - $1.000.O00 R -~Sosl (Real Estate Only) V =O~her
C $2.501 - $5,000 Ill =$1.000.001 - SL@.000 L =$50.001 - $10~.000 P4 =More than $50.000.000
D =$5.001 . $15.0~0 112 =More than $5.000.000 M =$10~.001 - $250.000 P2 =$5.000.001 - $25.000.000 T ~:Cash Markc~
E =$15.001- $50.000
W -Estimated
VI I. INVESTMENTS and TRUSTS - income, value, transactions (Include~ those of spouse and dependent children; seepp~ 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 O) i Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period 0) 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) Date Value Gain mnddd~ Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
154. -- Google Inc 155. -- Google Inc 156. -- Honeywell International Inc 157. -- Nucor Corp 158. -- U.S. Bancorp 159. -- Baker Hughes Inc 160. -- Baker Hughes lnc 161. -- Astrazeneca PLC Bond 162. -- Conocophillips 163. -- Dominion Resources Inc 164. -- Gilead Sciences Inc 165. -- Exelon Corp 166. -- Novartis AG ADR 167. -- ITT Industries Inc 168. -- Yum Brands Inc
169. -- Northern Trust Corp 170. -- McDonalds Corp
04121/10 07/20/10
J J A
J J J
A A A
J J J
B B
Sold
07/20/10
Sold
09/23/10
I. Income Gain Codes: (See Columns BI and IM) 2. Value Codc~ (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100.000 J =$15.000 or less N -$250.001 - S500.000 P3 =$25.0~O.001 . $50,000.0~O Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100.001 - $1,000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R ::=Cost (Real Eslate Only) V -Olher
C =$2,501 - $5,000 II I =$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 - $15,000 112 =More than $5.000.000 M =$10~.001 - $250.0~0 P2 =$5.000.001 - $25.000.000 ~" =Cash Market
E =$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - i.co.,e, value, ~a,~oetlo.~ a.et~des those o/s, ouse ~na a~,ende.t children: seepp. 34-60 offillng 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 reporting p~riod ! (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period
(2) (3) (4) Date Value Gain mnddd~,y Code 2 Code I (J-P) (A-H)
(Q-W)
171. -- Varian Medical Systems Sold Sold Buy (addI) Sold 06/28110 J 01/27/10 J 11116/10 05107110 J J C B
172. -- Apache Corp 173. -- Cisco Systems 174. -- Expeditors lntl Wash Inc 175. -- Buffalo Small Cap Fund 176. -- William Blair Intl Growth Fund 177. -- Paychex Inc 178. -- Abbott Laboratories 179. -- Baxter International 180. -- ITT Educational Services 181. -- ITT Educational Services 182. -- ITT Educational Services 183. -- ITT Educational Services 184. -- Intel Corp 185. -- Temple:on Global Bond Fund 186. -- Legg Mason Brandywine Global Fund 187. -- Ace Lid
J J J
J J J A A
Buy
01/12/10
I. Income Gain Codes: (See Columns BI and D4) 2. Vahle Co&~s (Scc Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or Icss F =$50.001 - $100,000 J =$15.0~0 or less N =$250.001 o $500.000 P3 =$25,000.001 - $50.0~0,000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100,001 - $1,000.000 K =$15.001 - $50.00~ O =$500.001 - $1.00~.000 R =Cosl (Real Estate Only) V =Olher
C =$2,501 * $5,000 III =$1.000,001 - $5.000.000 L =$50.0~1 - $100.000 PI =$1.000.001 - $5.0~O.000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5.001 . $15,000 tl2 =More lhan $5.000.000 M =$100.001 - $250.000 P2 =$5.0~0.001 - $25.000.000 T =Cash Market
E =$15,001 - $50,000
VII. INV ESTMENTS and T RU STS -inco,., vQlue, ~rQnsoe,io~ anclud,~ ,hose oys~o.se and dependc.I 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 C. Gross value at end of reporting period Transactions during ~-porting period (I) (2) (3) (4) (5)
[ (1)
] Code I [ (A-H)
I Amount
[
(2)
Type (e.g., div., rent, or int.)
(I)
Value Code 2 (J-P)
(2)
Value Method Code 3
(Q-w)
188. -- Charles Schwab 189. -- Chubb Corp 190. -- National Oilwell Varco Inc 191. -- National Oilwell Varco Inc 192. -- International Business Machines 193. -- Pepsico Inc 194. -- Hewlett Packard Corp 195. -- Schlumberger Ltd 196. -- Precision Castparts Corp 197. -- Medtronic Inc 198. -- Matthews Asian & Growth Income Fund 199. -- Babcock & Wilcox 200. -- Babcock & Wilcox 201. -- HJ Heinz Co 202. -- Kellogg Co 203. -- Advance Auto Parts
Buy Buy Buy Buy (addl) Buy Buy Buy Buy Buy Buy Buy
02/19/10 03/11/I 0 03/12/10 05/19/10 05/24/10 05/26/10 05/26/10 05/28/10 06/10/10 07/07/10 07/09/10
J
J
J J
J
J
J
Spinoff 08/02/10 (from line 150) Sold Buy Buy Buy 08/18/10 08/04/10 08/04/10 08/24/10
J J
I. Income Gain Codes: (See Columns B I and 04 ~ 2. Value Codc~ (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A -$1,000 or less F =$50,001 - $ 100.000 J =$15.(~0 or Icss N -$250.001 - $500.000 P3 =$25,009.001 - $50.000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$ 100.001 - $1.000.000 K =$15.1301 - $50,000 O =$500,001 - $1,000.000 R -~?ost (Real F-stale Only) V =Olhcr
C =$2.501 - $5,000 I ! 1 =$1.0~0,001 - $5,000.000 L =$50.001 - $100.000 PI =$1.000,001 - $5,000,000 P4 =More than $50,000.000 S =Asscssmoa! W =Estimated
D =$5,001 - $15,000 112 =More than M =$100,001 - $250.000 P2 =$5.0~O,001 - $25,000,000 T ::=Cash Market
E =$15,001- $50,000
I 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.
I 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