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Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
Date
[] Annual [] Final
active
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~L Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY National Conference of Bar Examiners -- Constl Law Drafting Committee
Intellectual Property Law & Technology Advisory Council of the University of Akron School of Law Cleveland Chapter Bd. Of Advisors -- Federalist Society Board of Trustees -- Grove City College -- see note 5 Board of Directors -- Foundation for Research on Economics and the Environment
3. 4. 5.
Batchelder, Alice M.
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filers Non-Investment Income D NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
1.3/25 2. 10/14 3. 4.
B, Spouses Non-Investment Income - lf you were married daring any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) DATE 1. jan - dee 2. jan - dec 3. 4. OPERS -- pension Ohio House of Representatives -- salary
D
1.
2. 3.
4.
Oct. 14-17
Honolulu, HI
5.
V. GIFT S. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
~-] NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. ancludes those oyspouse und dependent children; seepp. 32-33 of filing instructions.)
~ NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. Old Phoenix Natl Bank Old Phoenix Natl Bank Old Phoenix Natl Bank Old Phoenix Natl Bank Old Phoenix Natl Bank Old Phoenix Natl Bank First Natl Bank of Wyoming Farmers Savings Bank Farmers Savings Bank Old Phoenix Natl Bank Old Phoenix Natl Bank Old Phoenix Natl Bank unsecured note Mtge/Note on Property # 12 Mtge/Note on Property # 17 Mtge/Note on Property # 19 Mtge/Note on Property # 1 Mtge/Note on Property # 5 Mtge/Note on Property # 23 Mtge/Note on Property # 9 Mtge/Note on Property #20 Mtg/Note on Property #8 Mtge/Note on Property #14 Mtge/Note on Property #11
DESCRIPTION
VALUE CODE
K K K K L K L L K L L L
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.)
Description of Assets Income during
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.)
2. Brokerage Account # I -- IRA account -see note 2 - IRA asset: Wells Fargo Bank Deposit Sweep Account - IRA asset: iSHARES TR 13 yr Treas Index Fd - IRA asset: iSHARES S&P Midcap 400 Value Index Fund - IRA asset: iSHARES S&P Midcap 400 Growth Index Fund - IRA asset: iSHARES TRUST MSCI EAFE Index Fund - IRA asset: iSHARES IBOXX Investment Grade Corp Bond Fund - IRA asset: iSHARES S&P 500 Value Index Fund - IRA asset: iSHARES S&P 500 Growth Index Fund 3. Brokerage Account # 2 -- IRA Account -see note 2 - IRA asset: Wells Fargo Bank Deposit Sweep - IRA asset: iSHARES S&P Midcap 400 Value Index Fund - IRA asset: iSHARES S&P Midcap 400 Growth Index Fund - IRA asset: iSHARES TRUST MSCI IAFE Index Fund - IRA asset: iSHARES BOXX Investment Grade Corp. Bond Fund - IRA asset: iSHARES TR 13 yr Treas Index Fund - IRA asset: iSHARES S&P 500 Value Index Fund
Dividend
none
Dividend
none
I. Income Gain Codes: (See Columns BI and 134) 2. Value Codes (See Colum~ts Cl and D3) 3. ValueMelhodCodes (See Column C2)
A =$L000or ess 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=$1,0oi ~ $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,00 i - $ 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
E =$15,001 - $50,000
P2 ~$5,000;00i; $25;000~000
T =CaSh Market
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during
Gross value at end Transactions during reporting period of reporting period (1) (2) (1) (2) (3) (4) Date Value Gain ~aine Value ..... Type (e.g., " inna/dd/yy Code 2 Code 1 Code 2 Method: buy, sell, redemption) . (J-P) (A-H) (J-P) Code 3 (Q-W)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
- IRA asset: iSHARES S&P 500 Growth Index Fund 4. Brokerage Account # 3 -- SEP IRA Account -- see note 2 - IRA asset: Wells Fargo Bank Deposit Sweep - IRA asset: RPM, Inc. stock - IRA asset: J.M. Smucker Co. class A stock - IRA asset: iSHARES S&P Midcap 400 Value Index Fund - IRA asset: iSHARES S&P Midcap 400 Growth Index Fund - IRA asset: iSHARES TRUST MSCI EAFE Index Fund - IRA asset: iSHAKES BOXX Investment Grade Corp. Bond Fund - IRA asset: iSHARES TR 13 yr Treas Index Fd - IRA asset: iSHARES S&P 500 Value Index Fund - IRA asset: iSHARES S&P 500 Growth Index Fund 5. Brokerage Account # 4 --see note 2 -IRA asset: Wells Fargo Bank Deposit Sweep - Account asset: :iSHARES S&P Midcap 400 Value Index Fund - Account asset: iSHARES S&P Midcap 400 Growth Index Fd - Account asset: iSHARES TRUST MSCI EAFE Index Fd A Dividend none A Dividend
none
L 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 --$11000 0r 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 - $5,000 Hi =$ii000,0oi ~ $5,000;000 : L =$50;001 : $100;000 el =$i,000;001 .$510001000 P4 =More than $50;000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 ~6~ th~ $5,000;000 M =$I00!001 - $250;000 P2 =$5;000i001 . $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS an d TRU S TS - 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
B. Income during
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (1) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
of repoiting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W)
(2) (3) (4) Date Value Gain mrn]ddgyy 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.
- Account ass iSHARES BOXX Investment Grade Corp. Bond Fun - Account asset: iSHARES TR 13 yr Treas Index Fd - Account asset: iSHARES S&P 500 Value Index Fund - Account asset: iSHARES S&P 500 Growth Index Fund REAL ESTATE -- see note4 Prop. # 1 -- duplex -- Medina, Ohio Prop. # 2 -- 2-family -- Medina, Ohio (1/3 interest) Prop. # 3 -- Single family -- Medina, Ohio (1/3 interest) Prop. # 4 -- 4 duplex units -- Medina, Ohio (1/2 interest) Prop. # 5 -- 2 duplex units -- Medina, Ohio (1/2 interest) Prop. # 6 -- 2-fam. & 3-fam. Houses -Medina, OH (1/2 int) Prop. # 7 -- Apartments -- Medina, Ohio (I/3 interest) Prop. # 8 -- 2 duplex units -- Medina OH Prop. # 9 -- Farm -- Lodi, OH Prop. # 10 -- hog feeder, Lodi, OH (1/5 int) Prop. # 11 -- single family -- Medina OH Prop. # 12 -- single family -- Medina, OH (1/2 interest) D D C B D D D E D D Rent Rent Rent Rent Rent Rent Rent Rent Rent None Rent Rent M K K M L L N M O J M Q Q Q Q Q Q Q Q Q W
1: lheomc Gain Codes: (See Colunms BI and 2. Value Codes (Sce Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or iess F =$50,001 - $100,000 .1 =$t5,000 or less N =$250,00] - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
: B =$1,00i ~ $2;500 G --$100,001 = $1,000,000 K ~$15,001 = $50,000 O =$500,001 - $1,000,000 R =Cost (Re~l EStaie Only) V =Other
c--$2;50t - $5 000
HI :$i,0001001~ $5,000,000 L =$50,001 = $100,000
D =$5,00t - st 5,00~
H2 =More than $5,000,000 M =$I00,001 = $2501000
E =$15,00 ~ - $50,000
PI =$i,0oo,o0i - $5;000;000
P4 =More than $50~000,000 S =Assessment W =Estimated
P2 =$5,ooo,oo~ - $25,ooo,ooo
T =Cash Market
VII. INVESTMENTS and TRUSTS - income, v.l.e, transactio.s (Includes those of spouse and dependent children; see pp. 34-60 of fili.g instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets B. Income during C. Gross value at end D, Transactions during reporting period
reporting period (i) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.)
of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W~ M M K M M K M M Q Q Q Q Q W Q Q
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63.
Prop. # 13 -- Commercial bldg -- Medina OH (I/3 interest) Prop. # 14 - duplex -- Medina, OH (see n. 1 See. VIII) Prop. # 15 -- vacant lot -- Medina, OH (1/2 interest) Prop. # 16 --~ Vacant land - Medina OH Prop. # 17 -- single family -- Medina, OH Prop. # 18 -- single family -- Medina OH (1/2 interest) Prop. # 19 -- commercial bldg -- Medina OH Prop. # 20 -- Comm. Bldg with apt. -Medina OH Prop. # 21 -- duplex -- Medina OH (1/2 interest) Prop. # 23 --~ vacant land -- Big Horn County, WY MISCELLANEOUS Floating Rate Demand Note -- GE Interest Plus
E D
D C D D C A
Sold N W
11/23/10 K
M. Neuendorff
Interest
1. Inc0me Gain C~gesi : (See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A ~$i;000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,00i - $50,000,000 Q =Appraisal U =Book Value
B =$1~001 =$2,506 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Olher
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-$15~00 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
Note 1 : Re: assets in Sec. VII whose value method is reported as "Q": I have again used the Medina County Auditors most recent appraisal figures. I am unable to provide the date of the appraisal in any of these cases because it was not provided to me. These appraisals are the basis for our real estate taxes. Note 2: As has been the case in prior years, each of the funds included in our brokerage accounts is an iShares fund. My broker advised me in 2008 that: "Barclays Global Investors is the manager for the following positions held in your account: ISHS S & P MIDCAP 400 VALUE ISHS S & P MIDCAP 400 INDEX ISHS MSCI EAFE INDEX ISHARES INVESTMENT BD FUND ISHS TR 13 YR TREAS IND ISHS S& P 500 VAL INDX FD ISHS S & P 500 GRWTH FD" These are still all of the positions held in these brokerage accounts. Note 3: Line 35 of See. VII -- I have no idea why the program still will not let me type in both the dash (which is apparently necessary to convince the program that these are all assets of the brokerage account) and the fact that this is an account asset. Hence, "account ass". Who knew? Note 4: All properties except the one on line 61 of Section VII are in Medina County, Ohio. The property on Line 61is in Big Horn County, Wyoming. Note 5: Three liabilities have been removed from Section VI -MtgeiNote on Property #21 was paid off when we sold that property (see Section VII line 60) Mtge/Note on Property # 6 was paid off Mtge/Note on Property #20 was paid off Note 6: The "audit" feature advises me that I should list the assets of the entity of which I am a trustee. I am assuming that this is not true when that entity is an educational institution, and the audit has simply detected the term "trust" in the item. Otherwise, this requirement is ridiculous, and I cannot comply with it.
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. 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 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