Escolar Documentos
Profissional Documentos
Cultura Documentos
1/2011
I. Person Reporting (last name, first, middle Initial) Nickerson, William M, 4. Title (Article 111 Judges Indicate active or senior status; magistrate judges indicate hill- or part-tlme)
Reviewing Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
POSII]ON
NAME OF ORGANIZATION/ENTITY
I. 12/6/93
Nickerson, William M.
INCOME
(yours, not spouses)
$29,727.36
B. Spouses Non-Investment Income - If yoa were married during any portion of the reportingyear, complete this sectimt
(Dollar amount not required except for honoraria.)
IV. REIMBURSEMENTS (Includes those to spouse and dependent h itdren," see pp. 25-27 of filing imtructions.)
~-~
V. GIFTS. a~,.t,,aes ,ho,.e ~o ~.~o,,~, ona a,p~d~nt children; see pp. 28-31 of filing instructions.)
NONE (No reportable g~s.) SOURCE I. 2. 3.
4.
DESCRIPTION
5.
~-]
1. 2. 3. 4. 5.
Gross value at end of reporting period (1) (~) Value Value Code 2 Method (J-P) Code 3 (Q.W) K L L M K J K K L L K J J J J K J T T T T T T T T T T T T T T T T T
Bristol Myers Squibb cmn Chevron Texaco Corp. formerly Chevron Corp. cmn Coca Cola Co. cmn Colgate Palmolive Co. emn Diamond Offshore Drilling Co. cmn DuPont, E. 1. Equifax Inc. cmn General Electric Co. cmn General Mills Inc. gmn Johnson &. Johnson cmn Merck & Co., Inc. cmn Pitney Bowes, lnc. cmn Procter & Gamble Co. cmn MutualShares Fund ConsteIlationEnergy Cheesecake Factory Inc. cmn Jones Grp cmn (Formerly Jones Apparel)
B B B B A A A B B C A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None
Dividend
I. Income Gain Codes: (Se~ Columm B1 and D4) 2. V~ue Codes (See Columns C I and D3} ~. Value Meth~ Codes (Se ColumnC2}
A =1;I .000 or bess F =$50.~1 -$[00,~0 J =~ I 5,000 or I ss N =$250.~ I - SS0O.000 P3 =I;25,000,001 - $~0,000,000 Q -App~isal U =Book V~lue
B =$1,~01 - 1;;2,500 G =$t00,~1 -$l,0O0,000 K =$ [ 5,001 - $ 50,~0 O =$ 500.~1 - $ I,~,000 R =Cost (Real Estate OnIy~ V =Olher
C =$2.501 - $5,000 HI =S],~,O0t - $5,000.~0 L ~ S 50,001 ~ 100,0~ P 1 =$1.0~.00 t - $5,000,000 P4 =More than S -Assgssmer.t W =Estimated
E =~ 15,0131 - S f0,000
Descr,ption of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure
Income during reporting period (1) (~) Amount Type (e.g., Code 1 div., rent, (A-H) or int.)
Gross value at end of reporting period (i) (~) Value Value Code 2 Method (J-P) Code 3 (Q-W) L M PI
T T T
Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) D~e Value Gain mm/dd/)7 Code 2 Code 1
(J-P) (A-H)
T.R.P. l~Id. Tax Free Bond T.R,P. TaxExempt M/M J P Morgan - Trust " . J P Morgan US (Form DollarPrincipal Deposit Sweep InstT
j21.
23. 24. 25. 26. 27. 28. 29. 30. 31.
22. . .1P Morgan Short Term Mun. Bd. Fd. - Verizon Communications - Chevron Corp. - Dew Chemical Gen Elect Co - Exxon Mobil Carp - J F Morgan Core Bond Sel Fid Fund - Altria Group, Inc. - American Electric Power Co, Inc. - Bank of America Carp ( Formerly New)
Buy
! 1/23/09 N
Sold
11/25/09 L
(pro)
Sold (part)
11/25/09 K
Buy (addl)
11/25/09 K
32. Boeing Co. 33. 34. -Bristol Meyers Squibb Co - Consolidated Edison, Inc.
Buy
11/25/09 K
1. Income Gain Codes: (See Columm 131 at~d D4) 2. VIIUe C~es (See Colum~ CI and D3) 3. Value Method Codes (See Column ~)
A =$1.000 or less F =$50,001 - $100,000 J =$ l 5,000 or [e~s N =5250,001 - $500,000 P3 ~525,~0,001 - $50.000,~00 Q =Appraisal U ~Buok Value
B =$1.00! - $2,500 G =S 100,001 - $1,0~,000 K =S IS,001 - $50,~0 O =S500,~ 1 - ~1,0~,000 R ~C~st (Real Estate Only) V =O~her
C ~$2,501 - $5,0C0 H I =Sl.~,00t - $5,000.000 L *$50,00 t - S l~,0~ P1 ~$ l,~O.001 - $~,0~,0~ P4 =More thin S ~Asses~ment W =Estimated
D =$5,001 - $t5,000 H2 =Mote than $5.000,000 M =$ i0~,001 - $250,000 P1 -$5.000,001 - ~25,Q00,~0 T =Cash Market
E =$ I 5.001 - $50,000
A Description of Assets (including trust assets} Place "(X)" after each asset exempt from prior disclosure
B. Income during reporting period (I) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.)
Gross value at end of reporting period (0 (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
Transactions during reporting period (l) Type (e.g., buy, sell, redemption} (2) (3) (4) Da~e Value Gain mm/dd/yy Code 2 Code 1 {J-P) (A-H) (5) Identity of buyer/sel!er (if private transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. : 47. 48.
49. 50. 51.
- Dominion Resources lnc VA - ScanaCorp - HomeDepot, Inc. - McDonalds Corp. - Morgan Stanley 4.25%5/15/10 - Donnelley RR& Sons Co. - Duke Energy (Formerly Hldg.) Corp. - Travelers Cos. lnc. - WhirlpoolCorp. - Kraft Foods, Inc. - Spectra Energy Corp. - Pfizerlnc. - Philip Morris lntT, Inc. {X) - Kellogg Co.
- JP Morgan Mun. Bd. Fd. -Coca-Cola Co. - SyscoCorp.
K K K K K
Buy
I 1/25109 K
Sold
11123/09 N
I. Incom Gum Codes: (See Columus B I a~l D4) 2. Value Codes (See Columm CI ~nd D3) 3. Value Method Codes (See Column C2)
A -$1,000 or less E =$50,001 - $100,000 J =SI ~,0~0 or less N =$250,001 - $500,000 P3 ~$25.000,001 - $50,0g0.000 U =Book Value
B =$1,001 I2,500 G =$100,0OI - $1,000,000 K =$15,001 . O =~500.001 - $l,t,00,000 R -Cost (Real Estate Only) V =Other
C ~$2.~01 - SS,000 HI =Sl.000,O01 L =$50,00 l - $100.000 PI =$1,000,001 - $5,000.000 P4 =More tb.an $50,000.000 W =Estimated
D =$5,001 . $15.000 H2 =M~re than M =$ |00,001 - $250.000 P2 =$5.000,001 - $25,000,000 T =Cash Market
E "$15,001 - $50,~00
VI I. INVESTMENTS and TRUSTS - i, eo,.,. ~t,,. ,,~.,=.,io,s a,,,.d,, ,ho,, o.t,po,,so ~,.~,~e~,,,ae,,t,~iWon: ~,,~,~,. ~-~0 o.r~i,~ ~,~,~
~ NOiqE (No reportable income, assets, or transactions.)
Description of Assets (including Irust assets) Plae~ "(X)" after each asset exempt from prior disclosure Income during reporting period O) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.)
Gross value at end of reporting period (t) ~2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
Transactions during reporting period O) Type (e.g., buy, sell, redemption) (2) (3) Date Value Gain mm/dd/~,3~ Code 2 Code 1 (J-P) (A-H)
52. 53.
- Yum Brands Inc. Exxon lviobil Corp cmn A Dividend Dividend A A Dividend Dividend Dividend None A A Dividend Dividend None A Dividend None Dividend K J L K J J J J J L T T T T T T T T T T K T
Buy
11/25/09 K
54, IntelCorpcmn 55. PNC Finl. Svs. Grp. cmn 56. 57. 58. i"59. 60. 61. 62. 63. 64. 65. 66. 67, 68. Microsoft Corpcmn T. Rowe Price Inc. cmn ZebraTechemn Wal-Mart Storescmn Fidelity Natl. Into. Svc~. Inc. cmn ZimmerHldgs. Inc. cmn Smu~ker J M Co cmn Medcohealth Solutions, lnc. cmn Massachusetts Mutual Ins. Co. - whole life policy AmeripriseTrust Co. ACF W. M. Nickerson IRA - Columbia Acorn Fd. - A - Columbia (Formerly Riversource)Diversified Bd, Fd. CI A -(Columbia ( Fomaerly Riversource) High Yield Bd. Fd. CI A A A
L Dividend Dividend J K
T T T
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See ColumnsCI and D3) ]. Value Method Codes (See Column ~)
A =$1.~)0 or less F -$50,~ I - $ IOO,~0 ~ =$1 ~,000 or less N =$250,~ I - SS00,0~ P3 =$25,000,001 - $50,000,000 Q =App~is=l U =Book Val~e
B =$1,001 . $2,500 G =$ I ~,O01 - S I.OOO.~O K =$15,001 - $50,000 0 =~5~,001 - SI,~.OOO R =Cus~ (Real E=~t Only) V =O=he*
C =$2,501 - $5,0~0 H I =$1,000,001 - $ 5,0~0,~,0 L =$50.001 - $100.000 PI =$1,000,001 - $5.~0,000 P4 =MOrn than S =As~s5ment W =Estimated
E =S 15,0or - $50.000
69. 70, 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
-IShares MSCI Emerging Mkts. - I Shares Russell 1000 Value - [ Shares; Russell 1000 Growth - I Shares S&P Europe 350 Index - 1 Share~ S&P Midcap400 Barra Growth Index Fd. - 1 Shares S&P Midcap 400 Barra-Value Index Fd. - I Shares S&P Smallcap 600 Index Fd. - Morgan Stanley Capital Trust V - Fidelity Advisor New Insights - T Fd. - Columbia (Formerly RVS) Diverse Equity Inc. - A - MFS Intl. Diverse- A - Fidelity Advisor Mid Cap 1I - A Columbia b,~ult Adv(FonnerlyRiversource) Intt Sel VaI-A Fund Columbia Mid Cap Value -A Fund Columbia SmalICap Value A Fund Columbia Recovery & lnfrst A Fd. Fidelity Advisor Mid Cap II-A Fd.
A A A A A A A A
I Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None L K K K L K K T T T T T T T Sold K 12/11/09 K
A A
K K K K K K
T T T T T T Buy 01/27f10 K
A A A A
I. Income Gain Codes: (See Columns B 1 and D4) 2. V~lue Codes (See Columns C t and D3) 3. Value Method Codes (See Column C2)
A =$1,000 ur less F =$~0.001 - $100,000 J ~$15,000 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 ~5100,001 -~,I,000,000 K =S 1J,001 - $50,000 O =$500,001 -$1,000,000 R =Co~.t (Real Estate Only) V =Other
C =$2,501 - $5,000 HI =$I.000,0OI - $5,000,000 L =$50,001 - $10~J,000 Pl =$1,000,001 - $5,000,000 p4 =Mode than $hO,(100,00n S =Assessment W =Estimated
D =$5,001 - $15.000 H2 =Mote lhaa $5,000.000 M =$ 100.00 t - $250,000 P2 =$5,000,00 ! - $25,000,000 T ~Cash M~ket
E =t 15,[101 -
Description of Asscts (including trust assets) Place "(X)" after each asset exempt from prior disclosure
Income during reporting period O) Amount Codo I (A-H) (~) Type (e.g., div., rent, or int.)
Gross value at end of reporting period O) C2) Value Value Cod~ 2 Method Code 3 (J-P) (Q-W) K K J J L L M J M L J J T T T T U U R T U U T T
Transactions during reporting period O) Type (,g., buy, sell, redemption) (2) (3) (~) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) C5) Identity of buyer/seller (if private uansaction)
186. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97.
Fidelity Advisor New Insights A Fd. MFS Value - A Fd, Morgan Stanley Capital Trust V Oppenheimer Developing Mkts. - A Fd. Riversoaree Rot. Adv. Plus Annuity Riversource Rot, Adv. Plus Annuity Investment property, Baltimore, MD Lender Proc. Svcs., Inc. - cmn Riversource Rot. Adv, 4 Ad. VA Annuity Riversource Rot. Adv. 4 Ad. VA Annuity Riversource Roe. & [nfra. A Fd. Franklin MD Tax F~ee Inc. - A A C A A A A A A A A
Buy Buy
01/27/10
01/27/10 K
Buy
12111/09
C "$2,S01 - $5,000
D =$5,~1 - $15,000
E =$I$,001 - $50,000
PI =~1,000,~1 - $5.000.000 P4
P2 =$5,000.~1 - $25,000,000
IX. CERTIFICATION.
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 [urther certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in ompliance 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 FAILS 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
AO IO
1/2o.
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
Nickerson, William M.
4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time)
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 followe~ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
2. 3. 4. 5,
II. AGREEMENTS. me, o,ing individual only; see pp. 14-16 of filing instructions.)
---] NONE (No reportable agreements.)
DATE
1.12/6/93 2. 3. State ofMd. Judicial Pension Plan;
Nickerson, William M. A
III. NON-INVESTMENT IN COME. (neponing i.dlvldual a.d spouse; see pp. 17-24 of filing instructions.)
A, Filers Non-lnvestment Income ~ NONE(No reportable non-investment income.) DATE
1. monthly 2. 3. 4.
B. Spouses Non-Investment Income - if you were married during any porffon of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~]
2. 3. 4.
DATES
LOCATION
PURPOSE
V. GIFTS. tinct.des those to spouse a.d dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. andudes those oSspou~e and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!ling 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 (1) Amount Code l (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (1) Type (e.g., buy, sell, (2) (3) (4) Date Value Gain mm/dd/yy Code 2 I Code 1 D. Transactions during reporting period
redemption)
(JP) (A-H)
(Q-W)
1. 2. Bristol Myers Squibb cmn Chevron Texaco Corp. formerly Chevron B B Dividend Dividend K L T T
Corp. cmn 3. 4. 5. 6. 7. 8. 9.
10. 11. 12. 13. 14. 15. 16. 17.
Coca Cola Co. cmn Colgate Palmolive Co. cmn Diamond Offshore Drilling Co. cmn DuPont, E. I. cmn Equifax Inc. cmn General Electric Co. cmn General Mills Inc. cmn
Johnson & Johnson cmn Merck& Co., Inc. cmn PitneyBowes, Inc. cmn Procter & Gamble Co. cmn Mutual Shares Fund Constellation Energy cmn Cheesecake Factory Inc. cmn Jones Grp cmn (Formerly Jones Apparel)
B B A A A B B
C A A A A A
L M K J K K L
L K J J J J K J
T T T T T T T
T T T T T T T T
Dividend
1. Income Gain Codes: (See Colurans B I and D4) 2. Value Codes (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 - $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 (Rcal Estate Only) V =Other
C =$2,501 -$5,000 H 1 =$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 TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
(5)
Identity of buyer/seller (if private transaction)
(Q-W)
18. 19. 20. 21. 22. 23. 24. 25.
T.R.P. Md. Tax Free Bond
C A
Dividend Dividend
L M PI
T.R.P. Tax Exempt M/M J P Morgan - Trust - J P Morgan US DollarPrincipal (Form Deposit Sweep Instl. - JP Morgan Short Term Mun. Bd. Fd. - Verizon Communications - Chevron Corp. - Dow Chemical
A Distribution
Buy
11/23/09 N
Sold (part)
11/25/09 L
26. -GenElectCo 27. 28. 29. 30. 31. 32. 33. 34. - Exxon Mobil Corp - J P Morgan Core Bond Sel Fid Fund -AltriaGroup, Inc. - American Electric Power Co, Inc. - Bank of America Corp ( Formerly New) -Boeing Co. - Bristol 1Meyers Squibb Co -Consolidated Edison, Inc. Buy 11/25/09 Buy (addl) 11/25/09 Sold (part) 11/25/09
1. Income Gain Codes: (See Colum~s BI and D4) 2, Value Codes (See Columns C I 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 -$25,000,001 - $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 =Other
C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L -$50,001 - $100,000 P 1 =$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 o $25,000,000 T -Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRU STS -income, value, transactions (ln~ludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) B. Income during reporting period (1) (2) C. Gross value at end of reporting period (l) (2) (1) Type(e.g., buy, sell, redemption) D. Transactions during reporting period
(2) (3) (4) Date Value I Gain mm/dd/yy Code 2 [ Code 1 (J-P) (A-H)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
- Dominion Resources Inc VA o ScanaCorp - HomeDepot, Inc. - McDonalds Corp. - Morgan Stanley4.25% 5/15/10 - Donnelley RR & Sons Co. - Duke Energy ( Formerly Hldg.) Corp. - Travelers Cos. Inc. - Whirlpool Corp. - Kraft Foods, Inc. - Spectra Energy Corp. Pfizerlnc. - Philip Morris Intl., Inc. (X) - Kellogg Co. - JP Morgan Mun. Bd. Fd. - Coca-Cola Co. - SyscoCorp. Sold 11/23/09 N Buy 11/25/09 K Sold Buy Buy Redeemed Sold 11/25/09 11/25/09 ! 1/25/09 11/27/09 11/25/09 K K K K K
1. I ncome Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$ 1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 ~$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$ 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 -Other
C =$2,501 - $ 5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $ 100.000 P I =$ 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 .... e, value, transactions ancluaes those of spoase an,t d~pend~nt ehUaren; so, pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. C.
Description of Assets
(including trust assets)
Income during
reporting period
(2)
Date
(3)
Value
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
- YumBrands Inc. Exxon Mobil Corp cmn Intel C0rp cmn PNC Finl. Svs. Grp. cmn Microsoft Corpcmn T. Rowe Price Inc. cmn ZebraTech cmn Wal-Mart Stores cmn Fidelity Natl. Info. Svcs. Inc. cmn Zimmer Hldgs. Inc. cmn Smucker JM Co cmn Medcohealth Solutions, Inc. cmn Massachusetts Mutual Ins. Co. - whole life policy Ameriprise Trust Co. ACF W. M. Nickerson IRA - Colurabia Acorn Fd. - A - Columbia (Formerly Riversource)Diversified Bd. Fd. CI A -(Columbia (Formerly Riversource) High Yield Bd. Fd. CI A A A Dividend Dividend J K T T A A A
A A A A Dividend Dividend Dividend Dividend K J K J T T T
Buy
11/25/09 K
L K
J
T T
T T T T
J J J J
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns C I 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 =$25,000,001 - $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 =Other
C =$2,501 - $5,000 H l =$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 =M ore than $5,000,000 M =$100.001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 o $50,000
VII. INVES TMEN TS and TRUSTS -income, v.t.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)
D 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 (1) (2) Amount Type (e.g., Codel div., rent, (ArH) or int.)
Gross value at end of reporting period (1) (2) VaLue Value Code2 Method (JaP) Code 3 (Q-W) : K K L K K K L K K T T T T T T T T T
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)
- I Shares MSCI Emerging Mkts. - I Shares Russell 1000 Value - I Shares Russell 1000 Growth - I Shares S&P Europe 350 Index - I Shares S&P Midcap400 Barra Growth Index Fd. - I Shares S&P Midcap 400 Barra-Value Index Fd. - 1 Shares S&P Smallcap 600 Index Fd.
- Morgan Stanley Capital Trust V
A A A A
A A A
- Fidelity Advisor New Insights - T Fd. - Columbia (Formerly RVS) Diverse Equity Inc. - A - MFS Intl. Diverse- A - Fidelity Advisor Mid Cap II - A ColumbiaMultAdv(FormerlyRiversource) Intl Sel VaI-A Fund Columbia Mid Cap Value-A Fund Columbia Small Cap Value A Fund Columbia Recovery & lnfrst A Fd. Fidelity Advisor Mid Cap II-A Fd. A A A A A A
Dividend Dividend None Dividend Dividend Dividend Dividend None K K K K Buy 01/27/10 K K K
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes tSee Column C2)
A=$1,000 orless F =$50,001- $100,000 J =$15,000 orloss 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 =Other
C =$2,501- $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 than $5,000,000 M=$100,001 - $250,000 P2=$5,000,001 - $25,000,000 T =Cash Markct
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - i.come, val.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure
Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
86.
87.
None
Dividend
K K J
J
T T T
T
Buy Buy
01/27/10 J 01/27/10 K
88.
Dividend
89.
Dividend
90.
Int./Div.
91.
Int./Div.
92.
None
93.
Dividend
94.
Int./Div.
95.
Int.iDiv.
Buy
12/11/09 L
96.
Dividend
97.
Dividend
I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Codes (See Columns C I 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 =$25,000,001 - $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 -Other
C =$2.501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P 1 =$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
IX. CERTIFICATION.
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. 1 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 FAILS 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