Professional Documents
Culture Documents
1/20il
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 U. S. Court of Appeals 401 West A Street Suite 2000 San Diego CA 92101 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
IMP OR TANT NO TES: 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.
NAME OF ORGANIZATION/ENTITY
American Judicature Society Georgetown University Law Center Association of Business Trial Lawyers - San Diego Federal Judges Association La Jolla Music Society International Association of Women Judges
II. AGREEMENTS. meportlng inalvlaaal o.ly; see pp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.) DATE PARTIES AND TERMS
McKeown, Maw M.
III. NON-INVESTMENT IN COME. tnepo.i.g i.dlvid.al a.d spo.se; see pp. 17-24 of filing instructions.)
A. Filers Non-lnvestment Income ~ NObIE (No reportable non-investment income.) DATE SOURCE AND TYPE
1. Spg/Falll0 2. 3. 4.
B. Spouses Non-Investment Income - If you were married daring anyportion of the reporting year, complete this section.
(Dollar amount not required ex~ept for honoraria.)
DATE
1.2010 2.2010 3. 4.
SOURCE AND TYPE University of Califomia San Diego - Salary Self-employed Consultant
2.
01/28/10-01/29/10
Philadelphia, PA
Commercial Arbitration Meeting Judicial Advisory Board Meeting Meeting Judicial Clerkship Institute
3.
02/I 5/10-02/16/10
Washington, DC
4.
Washington, DC Malibu, CA
5. Pepperdine University
Washington, D.C.
ASIL Annual Meeting Panel Rule of Law InitiativeJudicial Ethics Meeting Statute of Anne Copyright Conference Evidence Moot Court Rule of Law Initiative Meeting Board of Visitors Meeting
7.
03/26/10-03/31/10
Manama, Bahrain
8.
04/08/10-04/09/10
Berkeley, CA
9.
04/09/10-04/10/10 04/11/10-04/13/10
Brooklyn, NY Washington, DC
04/14/10-04/20/10
London, England
06/13/10-06/16/10
Rule of Law Initiative Meeting Teaching Annual Meeting World Justice Project Meeting
13. University of San Diego 14. American Bar Association 15. American Bar Association 16. Federal Judges Association 17. National Association of Women Judges 18. Georgetown University Law Center 19. Washington State Bar Association
Transportation, lodging and meals Lodging Transportation, lodging and meals Lodging and meals
10/27/10-10/29/10
Washington, DC
Transportation
11/03/10-11/4/10
Seattle, WA
12/02/10-12/03/10
Santa Fe, NM
V. GIFTS. anaudes those to spouse ond dependen, children; see pp. 28-3! of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. ancluaes those of spouse ona dependent children; see pp. 32-33 of filing instructions.) ~ NONE (No reportable liabilities.) CREDITOR
SUNTRUST MORTGAGE, INC./ CHASE HOME
DESCRIPTION
RESIDENTIAL/RENTAL PROPERTY - SAN FRANCISCO CA
VALUECODE N
3.
4.
5.
e, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
(5)
Identity of buyer/seller (if private transaction)
BANK OF AMERICA #2 BOE1NG LINCOLN MUTUAL INSURANCE SCHWAB ACCT #4 ---AIM VI TECH FUND ---ALGER LARGE CAP GROWTH ---AMER CENTURY VP 1NTL ---BARON GROWTH OPPORT FND ---SCHWAB S&P 500 INDEX FUND TULLYS COFFEE TRUST#1 ---FIDELITY BLUE CHIP ---FIDELITY DISCOVER FUND ---FIDELITY GROWTH & INC 403b #1- FIDELITY INVESTMENTS ---UC SAVINGS FUND ---FIDELITY CONTRA
A A A
J J J J J
T T T T T
None
A A A
K J K
T T T
A A
Dividend Dividend
J M
T T
|. Income Gain Codes: (See Colunms B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes ISce Column C2)
A =$1,000 or tess F =$ 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 ~Estimatcd
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- $50,000
VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) PIace "(X)" after each asset exempt from prior disclosure B. Income during reporting period (l) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
---FIDELITY EURO CAP APPREC ---FIDELITY SELECTTECH/PURITAN FIDELITY ANNUITY #2 ---FIDELITYVIP CONTRA ---FIDELITY VIP EQUITY INCOME NORTHERN TRUST #1 ---NORTHERN TRUST CHK NORTHERN TRUST #2 --NORTHERN TRUSTMMF NORTHERN TRUST #3 ---NORTHERN TRUST CHK NORTHERN TRUST#4 ---NORTHERN TRUSTCHK NORTHERN TRUST#5 ---ABBOTT LAB (ABT) ---ACCENTURE BERMU (ACN) ---ADRABB LTD (ABB)
B A
Dividend Dividend
L K
T T
None None
K J
T T
Interest
Int./Div.
Interest
Interest
A A
J J J
A B A
I. Income Gain Codes: (See Columns B I and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$ 1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 o $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 Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRU 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) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions 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)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
---CITRIX SYS (CTXS) ---COLGATE (CL) ---CONOCOPHIL (COP) ---COSICO (COST) ---CUMMINS INC (CM1) ---DANAHER CORP (DHR) ---DOMINION (D) ---AMER EX (AXe) ---APPLE (AAPL)
Dividend None
T T
10/04/10 10/04/I 0 11/29/10 10/04/10 10/04/10 10/04110 10104110 10/04/10 10/04110 11/29110 10/04/10 10/04/I 0 11/29/10 10/04/10 10/04/10 10/04/10 10/04/10
J J J J J J J J J J J J J J J J J B
Dividend None
T T T T T T
---BANK OF AMERICA (BAC) ---BERKSHIRE HATH (BRK-B) ---BHP BILLITON (BHP) ---CISCO SYSTEMS (CSCO)
J J J J
J J J J J J J
T T T T T T T
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 orlcss 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 =Cost (Real Estale 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 Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, votue, transactions (Includes those of spouse and dependent children; seepp. 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
(1) (2)
Gross value at end of reporting period (1) (2) Value Value Code 2 Method
(J-P) Code 3 (Q-W)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
---DUPONT (DD)
Dividend
T T T T T
J J J J J J J J J J J J J J J J J C A A A A
---EMC CORP (EMC) ---EMERSON ELECT (EMR) ---FEDEX CORP (FDX) ---FRKLN RES (BEN) ---FRONTIER (FTR) A A
J J J J
Spinoff 07/08/10 (from line 122) Sold 07/12/10 ~ I0/04/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10 11/29/10 06/03/10 10/04/10 10/04/10
None A Dividend None A A A Dividend Dividend Dividend None None A A Dividend Dividend
J J
J
T T T
J J J
T T T
Buy Sold
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 orlcss 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 Valuc
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=Estimalod
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, ~alae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instractions.)
(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. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81.
82. 83.
---MCKESSON CORP (MCK) ---MEDCO HLTH SOLUT (MHS) ---MFB NORTH FDS BD INDEX
(NOBOX)
J J M K L L J K
T T T T T T T T
J J M A
~ocxx)
--MFB NORTH FDS CALIF INTER TAX EXPT (NCITX) ---MFB NORTH FDS MUN MM FD (NOMXX) --MFB NORTH MULTI-MGR MID CAP (NMMCX) --MFB NORTH MULTI-MGR SMALL CAP (NMMSX) ---MFB NORTH FDS CA TAX EXPT (NCATX)
J L J K K L J L L K L
Dividend None
Int./Div.
A A
---MFB NORTH EMERG MKTS EQ FND (NOEMX) ---MFB NORTH HI YIELD FXD INC (NHFIX)
Dividend None
Int./Div.
10/04/10 11/18/10
A E
84. 85.
B B
Dividend Dividend K T
10/04/10 M 10/04/10 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 Estale 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 ~Asscssmcnt W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 255,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - inco,.e, ,,atue, 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 I (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) (1) Type (e.g., buy, sell, redemption) D 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)
86. ---MFBNORTH INTL EQTY INDEX (NOINX) 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98.
99.
B A
L K K J J J J
T T T T T T T
Sold (part)
10/04/10
---MFCISHARE TR BARCLAYS TIPS (TIP) ---MFC SPDR GOLD TR (GLD) ---MFC SECTOR SPDR BEN INT-HLTH (XLV) ---MFC SLT SECTOR SPDR CONSUMER STAPLES (XLP) ---MFCSLT SECTOR SPDR ENERGY (XLE) ---MFCSLT SECTOR SPDR FINANCIAL (XLF)
Buy (addl) Buy Buy Buy Buy Sold (part) Sold (part)
10/04/10 10/04/10 10/04/10 10/04/10 06/03/10 10/04/10 11/03/10 10/04/10 10/05/10 10/05/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10
K J J J J J J J J J J
J J J
A A
Dividend
A A
---MFC SLECT SECTOR SPDR TECH (XLK) ---MFOCREDIT SUISSE COMMID1TY RETURN (CRSOX) --MFOP1MCO FNDS PAC INVST (PCR1X) ---MICROSOFT CORP (MSFT)
-o-NATL OIL WELL VARCO (NOV)
A A B A
A A A
Buy Sold
A A B
J J J J
T T T T
1. 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 - $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 - $1,000,000 K =$15,001 - $50,000 O -$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Othcr
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 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 1 (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) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (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)
103. ---OMNICOM GRP (OMC) 104. ---ORACLE (ORCL) 105. ---PEPSICO INC (PEP) 106. 107. ---PG&E CORP (PCG) 108. ---PRINCIPAL F1NL GRP (PFG) 109. ---PROCTOR & GAMBLE (PG) 110. ---SALESFORCE COM (CRM) I 1 I. ---SCHLUMBERGER LTD (SLB) 112. ---SLT SECTOR SPDR CONSMR DISCRET (XLY) I 13. ---SLT SECTOR SPDR RE INDL (XLI)
114. ---SIMON PROP GRP (SPG)
J J J
T T T
11/29/10
J J J J J J J J J J J J J J J A
A
10/04/101
06/03/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10 1 !/03/10 10/04/10 10/04/i 0
A A A
A A A
Sold Buy Buy (addl) Buy Sold J J J T T T Buy Buy Buy Buy (addl)
A A A A
Dividend None
11/29/10 J
06/01/10 J
None
Sold
1. Income Gain Codes: ( See Columns B 1 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 PI =$1,000,001- $5,000,000 P4 -More than $50,000,000 S =Assessment W=Estimated
D=$5,001- $15,000 H2 =More ban $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.eome, vat.e, transactions an~t~des those of spouse ann aepcnde.t 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 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 (1) Value Code 2 (J-P} (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) . (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
120. ---TRAVELERS COS 121. ---UNITED TECH (UTX) 122. ---VERIZON COMM (VZ) 123. 124. ---WHOLE FOODS MKT (WFMI) 125. NORTHERN TRUST #6 126. ---ABBOTT LAB (ABT) 127. ---ACCENTURE BERM (ACN) 128. ---ADOBE (ADBE) 129. ---ADR ABB LTD (ABB) 130. ---ADR ARCELORMITTAL (MT) 131. ---ADR NOKIA CORP (NOK) 132. ---ALTERA CORP (ALTR) 133. ---AMAZON (AMZN) 134. 135. ---AMER EX (AXP) 136. ---AMERIPRISE FINL (AMP)
A A A
J J
T T
10/04/10
None
Buy
A A
Sold (part) Sold Sold Sold Sold Sold J J T T Buy Buy Sold (part)
10/04/10 10/04/10 i 0/04/10 10/04/10 10/04/10 03/22/10 10/04/10 10/04/10 11/29/10 10/04/10 10/04/10
J J J J J J J J J J J
A B A A A A
A A A
A A
Dividend Dividend
Buy Sold
1. 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 orlcss F =$50,001- $100,000 J =$15,000 orless N =$250,001- $500,000 P3 =$25,000,001 -$50.000.000 Q =App~isal 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(Reel 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 =Motet hun $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
(Q-W)
137. ---APPLE INC (AAPL) 138. ---BANK OF AMER (BAC) 139. ---BANK OF NY MELLON (BK) 140. ---BAXTER INTL (BAX) 141. ---BECTON DICKINSON & CO. (BDX) 142. ---BERKSHIRE HATH B (BRK!B) 143. ---BHP B1LLITON (BHP) 144. ---CISCO SYS (CSCO) 145. 146. ---CITRIX SYS (CTXS) 147. ---COLGATE-PALM (CL) 148. ---CONOCOPHILLIPS (COP) 149. ---COSTCO WHOLESALE (COST) 150. ---CUMMINS (CMI) 151. ---CVS CAREMARK (CVS) 152. ---DANAHER CORP (DHR) 153. ---DOMINION RES (D)
J J
T T
J J J
J
A A A
Sold
10/04/10
J J J
T T T
Buy Buy
Sold
10/04110
10/04/10
10/04/10
A A
(part)
Sold (part) 11/29110 J
J J J J J
T T T T T
Buy
10/04/10
Buy
Buy
10/04110
11/29/10
(part)
Buy
Sold
10/04/I 0
10/04/10
Sold
10/04/10
J J
T T
Buy
10/04/l 0
(addl) Buy
10104/10 J
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 =More tha n $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, votue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
154. ---DUPONT (DD) 155. ---EMC CORP (EMC) 156. ---EMERSON ELECT CO. (EMR) 157. ---EXELON CORP EXC (EXC) 158. ---FEDEXCORP (FDX) 159. 160. ---FRNKLN RES (BEN)
Dividend None
J J
Buy Buy
10/04/10 J 10/04/10 J J J J J J A B
A A A
10/04/10 02/25/10
06/03/10 10/04/10 10/04/10
None None
Buy
J J
A A A
A A B
(part)
Buy
1. Income Gain Codes: (See Columns BI and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A=$1,000 orlcss F =$50,001- $100,000 J =$15,000 or less N =$250,001- $500,000 P3 =$25,000,001 o $50,000,000 Q=Appraisal U=BookValuc
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K=$15,001 - $50,000 O=$500,001 o $1,000,000 R =Cost (Real Estale Only) V =Other
C =$2,501 - $5,000 L =$50,001 - $100,000 PI $I,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; seepp. 34-60 of filing instructions.)
~ NONE (No reportable income, assets, or transactions.) A.
Description of Assets (including trust assets)
B. Income during
reporting period
D.
Transactions during reporting period
171. ---KELLOGG CO. (K) 172. ---KOHLS CORP (KSS) 173. ---LOWES COS (LOW) 174. ---MCDONALDS (MCD)
175. ---MCKESSON CORP (MCK)
Dividend None
Sold Sold J T Buy Sold J J M T T T Sold (part) Buy (addl) Sold (part)
J J J J
A A
A A A
176. ---MEDCO HLTH SOLUTIONS (MHS) 177. ---MFB NORTH EMERG MKTS (NOEIVlX) 178. 179. --MFB NORTH FDS FX 1NC (NOFIX) 180. --MFB NORTH FDS GLOBAL RE INDEX (NGREX) 181. ---MFB NORTH HI YLD FXD 1NC (NHFIX) 182. ---MFB NORTH ITL EQTY INDEX (NOINX) 183. --MFB NORTH MM ITL EQUITY (NM1EX) 184. ---MFB NORTH MM MID CAP (NMMCX) 185. ---MFB NORTH MM SMALL CAP (NMMSX) 186. --MFB NORTH MONEY MKT FND (NORXX) 187. ---MFC 1SHARES BARCLAYS TIPS (TIP) D B D B B A A A A A
J L J J J J
Dividend
A A A
M K M L M K K L K
T T T T T T T T T
10/04/10
10/04/I 0 K
Buy
10/04/10 K
1. Income Gain Codes: (See Columns 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 =$100.00 t - $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 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 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 - income, ,,al.~. 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 dunng reporting period (1) (2) Amount Type (e.g., Code l div., rent, (A-H) or int.) C. Gross value at end of reporting period (l) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W~ (i) 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)
188. ---MFC SCTR SPDR BEN INT-HLTH CARE (XLV) 189. ---MFC SLCT SCTR SPDR CONSUMER STAPLES (XLP) 190. ---MFC SELECT SECT SPDR ENERGY (XLE) 191. ---MFC SELECT SECT SPDR FINL (XLF) 192.
None A A
A
K J K
K
T T T
T
10/04/10 10/04/10 10/04/10 10/04/10 11/03/10 10/04/10 06/30/10 07/01/10 10/05/10 10/04/10
10/04/10 10/04/10 10/04/10 10/04/10
K J J J J J K K J J
J J J J
Dividend Dividend
Dividend
Buy (addl)
Sold (part)
A A
193. ---MFC SELECT SECT SPDR SHS BEN INT-MAT (XLB) 194. ---MFC SPDR GOLD TR (GLD)
195. ---MFO CREDIT SUISSE COMMODITY RTN (CRSOX) 196. ---MFO P1MCO FDS PAC (PCRIX)
Dividend
Sold
None
Buy
(addl) Sold
Dividend
A A A
A A
Dividend
Sold
(pan)
197. ---MICROCH1P TECH (MCHP)
198. ---MCROSOFT CORP (MSFT) 199. ---NAIL OIL WELL VARCO (NOV) 200. ---NIKE INC CL B (NKE) 201, ---NOBLE ENERGY (NBL) 202. ---NOVARTIS AG (NVS) 203. ---OMNICOM GRP (OMC)
A Dividend Sold
A A A A
J J J J J
T T T T T
T
Sold (part) Sold (part) Buy (addl) Buy Buy Buy Buy
J J J
I.Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (Scc 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 - $100,000 P 1 -$ 1,000,00 t - $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 TRUSTS -income, value, t ..... ctions (Includes those of spouse and dependent children; seepp. 34-60 of fillng 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) (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 Code 2 Method Code 3 (J-P) (Q-W) D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) 12) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction)
205. ---PEPSI CO INC (PEP) 206. ---PG&E CORP (PCG) 207. ---PRINCIPAL FIN GRP (PFG) 208. ---PROCTOR & GAMBLE (PG) 209. ---PRUDENTIAL FINL (PRU) 210. ---ROCK.WELL COLLINS (COL) 211. ---SALESFORCE COM (CRM) 212. ---SCHLUMBERGER LTD (SLB) 213. ---SELECT SECT SPDR INDL (XLI) 214. ---SELECT SECT SPDR CNSMR DISCR (XLY) 215. ---SIGMA-ALDRICH (SIAL) 216. ---SIMON PROP GRP (SPG) 217. 218. ---SPECTRA ENERGY (SE)
219. ---SYSCO CORP COM 220. 221. ---TRANSOCEAN INC (RIG)
A A A A A A
J J J
A A
J J
T T
Buy
Sold Sold J T Buy Sold J K T T Sold (part) Buy (addl) Sold J T Buy Buy (addl)
10/04/10 06/03/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10 10/04/10 11/03/10 10/04/10 10/04/10 11/29110 06/01/10
J J J J J J J J J J J J J
A A
A A A A A
A A
Dividend None
A A
None
Sold
1. Income Gain Codes: (See Columns B 1 and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or Icss F =$50,001 - $ 100,000 J =$15,000 or less N =$250,001 o $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 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 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMEN TS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruetions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
222. ---TRAVELERS COS 223. ---UNITED TECH CORP (UTX) 224. ---VERIZON COMM (VZ) 225. ---WHOLE FOODS MKT (WFMI)
226. NORTHERN TRUST #7
A A A
J J
T T
J J J A A
Buy
10/04/10 J
227. ---TEMPLETON FOREIGN CL A (TEMFX) 228. NORTHERN TRUST #8 229 ....AMERICAN BALANCED CL A (ABALX) 230. 231. 232. 233. NORTHERN TRUST #9 234. NORTHERN TRUST#10
235. CONDO(50%) SAN FRANCISCO CA
Dividend
Buy (addl)
12/21/10
Dividend
J J
J
A A
D
Dividend Dividend
Rent
J L O
T T w
236.
237.
238.
1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See ColumnsCI and D3) 3. Value Method Codes (See Column C2)
A =$ 1,000 or less F =$50,001 o $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 =Mo~ ~an $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, 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) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) (I) "Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value mm/dd/yy Code 2
Gain Code I
(J-P)
(A-H)
239. 240. 241. 242. 243. 244. 245. 246. 247. 248. 249. 250.
251.
I. Income Gain Codes: (See Colunms B 1 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 - $1.000.000 K =$15,001 - $ 50,000 O =$500,001 - $1,000,000 R =Cost (Real Estale 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 T =Cash Market
E =$15,001 - $50,000
PART VII:
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 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