Documente Academic
Documente Profesional
Documente Cultură
Report Required by the Ethics in Govermnent Act of 1978 (5 U.S.C. app..~aq I01-111)
Nomination,
[] Initial
7. Chambers or Office Address P.O. Box 838 475 Mulberry Street Macon, Georgia 31202
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 page.
NAME OF ORGANIZATION/ENTITY
2.
3. 4. 5.
DATE
1.01/01/96 2. 3.
III. NON-INVESTMENT INCOME. CRepo~ing individual and spouse; see pp. 17-24 of filing instructions.)
A. Filers Non-lnvestment Income
~
INCOME
(yours, not spouses)
$90,262.08
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.)
1.2010 2.2010 3. 4.
DATES
LOCATION
PURPOSE
V. GIFTS. a.c/udes tl, ose to spouse a.d depe.de.t chUdre.; see pp. 28- 3 ~ of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIAB ILITIES. a,,.ludes those ol spouse o.d dependent children; see pp. 32-33 of f!ling instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INV ESTMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent 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 reporting period (1) (2) Amount Type (e.g., Code l div.~ rent, (A-H) or int.) C. Gross value at end of reporting period (t) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell,
redemption) Transactions during reporting period
1.
Dividend
2.
Merrill
Lynch IRA Lynch - F1A Card Services A A Interest Interest None J J L T T T Buy 05/03/10 J
3.
--Merrill
4.
5.
6.
Merrill Lynch
7.
K L K N K J K K K
T T T W T T W W W
8.
-Transamerica Life Ins. Co.-Transamerica Landmark Annuity --Transamerica Life Ins. Co.- Transamerica Landmark Annuity ~ GA Hawkinsville,Pulaski County,
9.
10.
I 1.
12.
Franklin Class A
13.
Rental House~
17.
Dividend
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Colunms 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 - $100,000 P I =$ 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
Income during
reporting period
(1) (2)
of reporting period
(1) (2)
(Q-W)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31.. 32. 33. 34. --Regions Financial Corp. --Stellar Pharmaceuticals Inc --Nuveen Georgia Muni Bond Fund --VimetxHldg Corp --Legg Mason Western Asset SunmarkCommunity Bank-Accounts Merrill Lynch --Merrill Lynch Deposit Account --Abbott Laboratories Common --American Intl Group Inc Common --AT&T Inc --Automatic Data Processing Inc Common --American Funds Capital World Growth & Income Fund CI B --Chevron Texaco Corp Common --Cintas Corp Common --Coca-ColaCo. Common --General Electric Co., Common A A A A A A A A A A Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J
J
Dividend None
K J N J K J
T T T T T T
10/04/10 J 10/27/10 J
D A B A
T T T T T T T T T T Sold 03/10/10 J A
J J J J J
J
(part)
J J
I. Income Gain Codes: (See Colunms B I and D4) 2. Value Codes (See Colunuas 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 Estale 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 TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing 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 (t) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Transactions during reporting period
(l)
Value
Method Code 3
(2)
Date
(3)
Value (J-P)
Value
Code 2 (J-P)
Type (e.g.,
buy, sell,
mm/dd/yy Code 2
redemption)
(Q-W) 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45.
46. 47. 48. 49. 50. 51.
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
Dividend Dividend None
J
J
T
T
--E I Dupont De Nemours & Co. Common A --Exxon Mobile Corp Common --Illinois Tool Works Inc. --Eli Lilly & Co. Common --McDonalds Corp. Common --Medtronic Inc. Common --Pfizer Inc. Common --Proctor & Gamble Co. Common -Legg Mason Clearbridge Appreciation Fund CL B -Legg Mason Clearbridge Fundamental Value Fund CI A
--Legg Mason Partners Cap & inc FD Sm Bray B --Van Kampen Equity and Income Fund Class B --Silverstar Hldgs LTD Shs --Stellar Pharmaceuticals Inc --Virntex Hldg Corp --Walgreen Co. New Common A
A A A A A A A A A
A A
J J J J
J
T T T T
T
J J J J K K J
T T T T T T T Buy Buy I 1/01/10 02/22/10 J J Sold 03/10/10 K Sold (part) Sold (part) 03/10/10 J 03/10/10 J
(part)
Dividend
I. Income Gain Codes: (See Columns BI 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 - $1,000,000 K -$ t 5,001 - $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 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 - $50,000
VII. INVESTMENTS and TRU STS - i.come, valae, transactions (Includes those of ~pouse and dependent children; seepp. 34-60 of filing instructlon.~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
(l)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3
(Q-W)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. --Fairhome Fund A Dividend J T --Cohen & Steers Global --Eaton Vance Glbl Macro --EV Glb Mcr Abs Rtn Fd A A Dividend Dividend J J T T --Blackrock Equity Dividend --Blackrock Global Allocation Fund --CGM Advisor Targeted A A A Dividend Dividend Dividend J J J T T T --Wells Fargo & Co. New Common --Kripsy Kreme Dougnut Y Merck and Co., Inc. Georgia Trust Bankshares -~ Merrill Lynch --American New World Fund
Buy Sold Buy Buy Buy Sold (part) Buy Buy Buy Sold (part) Buy Sold (part) 03/10/10 05/05/10 10/15/10 03/10/10 03/10/10 05/05/10 03/10/10 05/05/10 05/05/10 10/22/10 03/10/10 05/05/10 J J J J J J J J J J J J A Dividend J T
J J N
T T T
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$ 1,000 or less F =$50,001 - $I00,000 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,(K~0 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 I =$ 1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 1-12 =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 - income, value, transactions (Includes 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 (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (l) (2) Value Code 2 (J-P) Value Method Code 3 Transactions during reporting period
(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)
69. 70. 71. --First Eagle
72. 73. 74.
05/05/10 J 07/26/10 03/10/10 05/05/10 07/01/10 03/10/10 12/02/10 03/10/10 05/05/10 09/03/10 J J J J J J J J J A
A
A A
Dividend
75. 76. --Franklin Rising Dividends Fund 77. 78. --Franklin Income Fd Adv 79. 80. 81. 82. 83. 84. --Hussman Strategic Total 85.
A A
Dividend
A A
Dividend Dividend
03/10/10 J 05/06/10
J J J A
Merged 05/24/10 (with line 82) --Goldman Sachs Absolute Buy Buy (addl) Dividend Buy
Sold
05/24/10
06/11/I0 J 07/26/10
10/15/10
J
J
(part)
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes ISee 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 0 $500,001 -$1,000,000 R =Cost(Real Estate Only) V =Olhcr
C =$2,501 - $5,000 H I =$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 ~Asscssment 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 Mark~
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - inco,.e, vo/ae, transactions (Includes 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) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period O) Amount Code 1 (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 (Q-W) Type (e.g., buy, sell, redemption)
Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1
(J-P) (A-H)
Buy Sold
A A A
J J J
Dividend
Buy
Sold (part)
95. --Pimco Developing Local 96. 97. --Pimco Total Retum Fund 98. 99. I00. --RS Emerging Markets CI Y 101. 102. --Templeton Glbl Bond Fd --Pimco Unconstrained A
Dividend
Dividend Dividend
Dividend
Buy
|. Income Gain Codes: (See Columns B I and 04) 2. Value Codes (See Columns C I and 03) 3. Value Method Codes {Scc Column C2)
A:$1,00Oorless F =$50,001 - $100,000 J =$15,000 orless 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-Co~(R~aI E~ateOn|y) V Other
C =$2,501 - $5,000 H I =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P1 $1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D=$5,00t -$15,000 H2 =More~an $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 - income, value, transactions (Includes those of spouse and dependent children; seepp. 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 reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 (J-P) Method Code 3 (Q-W) Transactions during reporting period
103. 104. 105. --The Oakmark Fund 106. 107. --Wisdomtree Global Equity 108. --Wisdomtree Emerging Mrkt 109.
IlO. 111. 112. 113. 114. A Dividend
Sold
05/05/10 07/01/10
J J J
A A
(part)
Sold
(pan)
Buy
Sold (part) A
A
03/10/10
05/05/I 0 10/22/I 0 09/17/10
J J J
Dividend
Dividend J
Buy Buy
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Mclhod Codes (See Column C2)
A=$1,000 orlcss F ~$50,001- $100,000 J =$15,000 orless N =$250,001 - $500,000 P3 $25,000,001 -$50,000,000 Q =Appraisal ~ =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 Cosl(Rcal 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 =Morethan $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
Page 4, Line 11 -- Evergreen Investment - High Yield Bond Fund A changed its named to Wells Fargo - High Yield Bond Fund A Page 8, Line 79 -- Goldman Sachs Satellite merged into Goldman Sachs Absolute on May 24, 2010. Page 5, Line 30 -- American Cap World Growth transferred from one Merrill Lynch account into another one, but there was no effect on anything.
IX. CERTIFICATION.
1 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 ~vithheld 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 Administrativ~ Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
Report Required by the Ethics in Government Act ofl978 (5 U.S.C. app..83q 101-111)
Nomination, [] Initial
7. Chambers or Office Address P.O. Box 838 475 Mulberry Street Macon, Georgia 31202
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. Reviewiug Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followetL Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
~]
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
PARTIES AND TERMS Georgia Retirement System for Superior Court Judges
III. NON-INVESTMENT INCOME. (Repor,i.g individual and spouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
D
INCO1ME
(yours, not spouses)
I. 2010 2. 3. 4.
$90,262.08
B. Spouses Non-Investment Income - if you were married during anyportion of the reporting year, complete this sectiom
(Dollar amount not required except for honoraria.)
1.2010 2.2010 3. 4.
SOURCE
DATES
LOCATION
PURPOSE
2. 3.
4.
5.
V. G I FT S. an,tuaes those to s, ouse und ,tepende,t children; see pp. 28-31 of filing instructions.)
~ NONE (No reportable gifts.)
SOURCE DESCRIPTION
VALUE
3. 4. 5.
VI. LIABILITIES. a,,cludes thos~ oys~,ouse und de~,,na~nt children; see pp. 32-33 of fding instructions.)
NONE (No reportable liabilities.)
CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - inco,.e, vai.e, transactions (Includes 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) Income during reporting period (1) (2) Type (e.g., Amount Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) Transactions during reporting period
1)
Type (e.g., buy, sell, redemption)
~2) (3)
Date Value mm/dd/yy Code 2 (J-P)
1. 2. 3. 4. 5. 6. 7. 8. 9.
10.
Sunmark Bancshares, Inc. Merrill Lynch IRA --Merrill Lynch - FIA Card Services --Merrill Lynch - Blackrock Global --Lincoln National Life Legacy 111 Plus Merrill Lynch --Merrill Lynch Bank USA --Transamerica Life Ins. Co.-Transamerica Landmark Annuity --Transamerica Life Ins. Co.- Transamerica Landmark Annuity
~ GA Hawktnsvdle,Pulask~ County,
Dividend
A A
J J L
T T T Buy 05/03110 J
K L K N K J K K K
T T T W T T W W W
11.
A A C
12.
Franklin Class A
13.
Rental House,~
15.
16.
Rent
17.
Merrill
Dividend
I. Income 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 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P 1 =$ 1,000,001 - $5,000,000 P,~ =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ 100,001 o $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,00I- $50.000
VII. IN VESTMENTS 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.)
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 (Q-W) (l) Type (e.g., buy, sell, redemption)
Transactions during reporting period
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
--Regions Financial Corp. --Stellar Pharmaceuticals lnc --Nuveen Georgia Muni Bond Fund --Vimetx HldgCorp --Legg Mason WestemAsset Sunmark Community Bank-Accounts Merrill Lynch --Merrill Lynch Deposit Account --Abbott Laboratories Common --American lntl Group Inc Common --AT&T lnc --Automatic Data Processing Inc Common --American Funds Capital World Growth & Income Fund CI B --Chevron Texaco Corp Common --Cintas Corp Common --Coca-Cola Co. Common --General Electric Co., Common
Dividend None
K J N J K J
T T T T T T
10/04/10 J 10/27/I 0 J
D A B A
A A A A A A A A A A
Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
J J J J J J J J J J
I. Income Gain Codes: (See Columns BI and 134) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100,000 J =$ | 5,000 or tess 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 =$15,00 | - $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 =$50,00 t - $100,000 P 1 =$1.000,001 - $5,000,000 P4 -More than $50,000,000 S =Asscssrncnt W =Estimated
D =$5,001 - $15,000 H2 -More than $5,000,000 M =$100,00 | - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - i.come, va~ae, transactions (Includes 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) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (i) (2) Amount Type (e.g., Code 1 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) J J J J J .I J J J J J K K J J J J T T T T T T T T T T T T T T T T T
(t)
Type (e.g., buy, sell, redemption)
(2)
(3)
Gain Code I (A-H) (J-P) Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 5 I.
--Walt Disney Co. Common --E I Dupont De Nemours & Co. Common --Exxon Mobile Corp Common --Illinois Tool Works Inc. --Eli Lilly & Co. Common --McDonalds Corp. Common --Medtronic Inc. Common --Pfizer Inc. Common --Proctor & Gamble Co. Common --Legg Mason Clearbridge Appreciation Fund CL B --Legg Mason Clearbridge Fundamental Value Fund CI A --Legg Mason Partners Cap & inc FD Sm Brny 13 --Van Kampen Equity and Income Fund Class B --SilverstarHldgs LTD Shs --Stellar Pharmaceuticals Inc --VimtexHldgCorp --Walgreen Co. New Common
A A A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None None None
03/10/10
03/10/10 J
Sold (paN)
03/10/10 K
Buy Buy
11/01/10 02/22/10
J J
Dividend
1. Income Gain Codes: (See Columns BI and IM) 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Colunm 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 - $25,000,000 1" =Cash Market
E =$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - i .... , value, transactions (Includes those of spouse and dependent 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 Income during reporting period Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) Transactions during reporting period
(l)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
52. 53. 54. 55. 156. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
--Wells Fargo & Co. New Common --Kripsy Kreme Dougnut Y Merck and Co., Inc. Georgia Trust Bankshares Merrill Lynch --American New World Fund ~
Dividend None
J J J N
Dividend None
None
Buy Sold
03/10/10 05/05/10 10/15/10 03/10/10 03/10/10 !05/05/10 03/10/10 05/05/10 05/05/10 10/22/10
J J J J J J J J J J J J A A
--Blackrock Equity Dividend --Blackrock Global Allocation Fund --CGM Advisor Targeted
A A A
J J
J
T T T
--Cohen & Steers Global --Eaton Vance Glbl Macro --EV Glb Mcr Abs Rtn Fd
A A
J J J
T T T
--Fairhome Fund
Dividend
103/10/1o
05/05/10
1. Income Gain Codcs: (See Columns BI 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 (Real Estale Only) V Othcr
C =$2,501 - $5,000 H I =$1,000~001 - $5,000,000 L $50.001 - $100,000 P I -$ 1,000.001 - $5,000,000 P4 More Ihan $50,000,000 S =Assessment W =Eslimatcd
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 - inco,.e, vatue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
(l)
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)
69. 70.
None
J J J J J
J
Dividend
Buy Sold
(part)
Sold (part)
A Dividend
Buy
A A
75. 76. --Franklin Rising Dividends Fund 77. 78. --Franklin Income Fd Adv 79. 80. 81. 82. 83. 84. --Hussman Strategic Total 85.
A Dividend
J J J J
J
Sold (part)
05/06/10
J J J J J J
Merged 05/24/10 (with line 82) --Goldman Sachs Absolute None Buy Buy (addl) Buy Sold (part) 05/24/10 06/I 1/10 07/26/10 10/15/10
I. Income Gain Codes: (See Columns. BI and 134) 2. Value Codes (See Columns CI and D3) 3. Vnlue Method Codes IScc Column C2)
A =$1,000 or less F =$50,001 - $I00,000 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 K $15,001 - $50,000 O $500,001-$1,000,000 R =Cost (Real Estate Onlyl V =Other
C =$2,501 - $5,000 H 1 =$1,0~0,001 - $5,~t0,000 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 B2 =Morethan $5,000~00 M=$100,001- $250,000 P2 -$5,000,001- $25,000,000 T =Cash Markct
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent chltdren; see pp. 34-60 of filing instructions.)
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) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) J T
(2) (3) (4) Date Value Gain mrrddd/yy Code 2 Code 1 (J-P) (A-H)
None
Buy Sold
03/10/10
J A
A A A
J J J
T T T
Dividend
95. --Pimco Developing Local 96. 97. --Pimco Total Return Fund 98. 99. 100. --RS Emerging Markets CI Y 101. 102. --Templeton Glbl Bond Fd --Pimco Unconstrained
Dividend
Buy
Sold (par0
03/10/101 J
07/01/10 07/01/10 J J
A A
Dividend Dividend
Buy
Buy Sold
None
Dividend
Buy
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes IScc Column C2)
A=$1,000 orlcss F =$50,001 -$100,000 J =$15,000 orlcss 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- $1,000,0~0 R =Cost(Real Estate Only) V -Other
C =$2,501- $5,000 H 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=Estimatcd
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- $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code i (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
Transactions during reporting period
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
103. 104. 105. --The Oakmark Fund 106. 107. --Wisdomtme Global Equity 108. --Wisdomtree Emerging Mrkt 109. 110.
I11.
J J J J J J
A A
(part)
A A Dividend Dividend
I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$ 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 (Real 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 =M ore than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001- $50,000
Page 4, Line 11 -- Evergreen Investment - High Yield Bond Fund A changed its named to Wells Fargo - High Yield Bond Fund A Page 8, Line 79 -- Goldman Sachs Satellite merged into Goldman Sachs Absolute on May 24, 2010. Page 5, Line 30 -- American Cap World Growth transferred from one Merrill Lynch account into another one, but there was no effect on anything.
IX. CERTIFICATION.
1 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