Professional Documents
Culture Documents
1. Person Reporting (last name, first, middle initial) BENNETT, MARK W. 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time)
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
I D Initial
5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.
Date
313 United States Courthouse 320 Sixth Street Sioux City, IA 51101
Reviewing Officer
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.
2. 3. 4. 5.
Bennett, Mark W.
IlL NON-INVESTMENT INCOME. (geporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filers Non-lnvestment Income D NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
INCOME
(yours, not spouses) $4,200.00 $3,700.00
1. 2010 2.2010 3. 4.
B. Spouses Non-Investment Income - if you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~
1. 2. 3. 4.
1.
EPLI
2.
International Assoc. of Defense Counsel Alaska Bar Association Pacific Coast Labor & Employment Bar
2/14/10-2/16/10
Naples, FL
3. 4.
4/27/10-5/1/10 5/12/10-5/14/10
Anchorage, AK Seattle, WA
43rd Annual Pacific Coast airfare, lodging, meals Labor & Employment Law Conf. Employment Law Seminar airfare, lodging, meals
5.
5/16/10-5/18/10
Miami, FL
St. Paul, MN
Upper Midwest Employment Law Institute Lawyers Chautauqua Summer Seminar ALJ CLE MCLA./ABOTA Trial Advocacy Program NLRB Conference Mass Tort Products Liability Conference Baldwin/Mobile County Bench Bar Program Federal Practice Seminar Co-Teaching law class
7. 8. 9.
mileage, lodging, meals mileage, meals mileage, lodging, meals airfare, lodging, meals
9/23/10-9/24/10 9/29/10-9/30/10
12/2/10-12/5/10
Mobile, AL
14. Iowa State Bar 15. Drake University School of Law 16. 17. 18. 19. 20. 21. 22.
V. GIFTS. anclu~es those to sp ...... d dependent children; see pp. 28-31 of f!ling instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. ancl.des those olspouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
I
(2)
VII. INVESTMENTS and TRUSTS - income, value, transaetions (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 (including trust assets) Income during reporting period Gross value at end of reporting period (1) (2) (1) Transactions during reporting period (5)
(1)
Place "(X)" after each asset exempt from prior disclosure
Amount Code 1 (A-H)
(2) (3~
(4)
Value Code 2
Value Method
Gain Code 1
(A=H)
Identity of buyer/seller
(if private transaction)
1.
2. ANTX 3. 4. 5. 6. 7. 8. Berkshire Hathaway FBR Focus Fund First Eagle Global Class C Harding Loevner Emerging Mkts Invesco Intl. Small Co. Permanent Portfolio
J J J J J
J J
T T
Buy (addl)
12/20/10 J
Buy
10/l/10
10/01/t0 12/20/10
J J D
Pimco Total Return Class C Surebeam Corp. Vanguard Index FDS WasatchUltra Growth
Dividend
None J
Sold
12/14/10 J
Dividend None
J J
T T
12/20/10 12/15/10
J J
Ro!lover IRA (Fidelity) Direxion Daily Emerging Markts Bull Fidelity Cash Reserves A
None J
Buy Buy
10/06/10
Dividend
0U29110 J
: 1: InCome Gain c0des: (See Columns BI and 1)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1;000 or less =$50,001 - $100,000 =$15.000 or less N -$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 -$2,500 G =$I00,001- $I,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 Markei
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 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 O) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W)
Transactions :during reporting period
(5) (4) Gain ..... Identity of Code I. buyer/seller (if private (A-H) transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
None
01/11/10 03/30/10 08/06/I 0 10/05/10 01/11/I0 03/30/10 06/23/10 01/08/10 03/30/10 07/21/10 11/16/10 03/01/10 03/30/10 10/19/10 04/05/10
J J J J
A A D
Dividend
J J J K J J J J
J
(part)
(part)
First Eagle Global Class C None K Buy Sold (part) Sold (part) Buy (addl) Goldman Sachs Satellite Port A Dividend Buy Sold (part) Buy (addl) Ishares TR S&P 500/Growth Index Fund A Dividend Buy Sold (part) Sold (part)
A B
A B
J
J
09/08/10 J 12/31/10 J
B B
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 - $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 - $i i000,000 K =$15,001 - $50,000 O =$500,001 - $ t ,000,000 R =Cost (Real Estate Only) V -Other
C =$2,501 - $5,000 H 1 =$t,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 =$100,00 ! - $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 f!ling instructions.)
~-~ NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) income during reporting period
Code t (A-H)
Date mm/i:ld/yy
35. 36. 37. 38. 39. 40. 41. 42. 43~ 44. 45. 46. 47. 48. 49. 50. 51.
None
Buy Sold
(part)
K J J J
J
A B
(part)
Buy
(addl)
Sold
Leuthold Global fund Retail Class Metzler Payden Euro Emerging Markets
Dividend None
J J
Buy
Buy
Sold
10/06/10
(part)
New Century Alter Strategies A Dividend
T Buy
03/30/10
01/08/10
Sold
10/07/10
(paa)
Oakmark Equity & Income None
Buy 01/l 1/10 J
Sold
03/30/10
(part)
Buy 04/05/10 J
(addl)
(part)
Sold
Sold
11/02/10
12/31/10
Dividend
J J J A
(part)
Permanent Portfolio None
1. Income Gain Codes: (See Colunms B 1 and I)4) 2. "Va|ue Codes (See Columns C I and D3) 3. Value Method Codes (Sc Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$ | 5,1)00 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 =Olher
E =$15,001 - $50,000
L =$~o,oo~ = $~oo,ooo
M ~$iOOiO0~ - $~so~ooo
P2 =$5 000 001 - $25;000i000 T =Cash Market
VII. INVESTMENTS and TRUSTS - i .... e, 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 reporting period ~ l) Amount Code 1 (A-H) (2) Type (e.g., div.~ rent, or ira.)
C. Gross value at end of repoSing period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (,g,, buy; sell~ re~!~mPtion)
D. Transactions during reporting period (2) (3) (4) Date Value Gain mm!dd/yy Code 2 Code 1 (~P) (A-H) (5) Identity of buyer/seller (ifp~vate transaction)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
Dividend
Buy Sold
J J J J J J J A D B A
(part)
Wasatch Long/Short Fund A Dividend J T Buy Sold (part) Sold Sold Wasatch Ultra Growth None J T Buy
(part) (part)
Miscellaneous Holdings Iowa College Savings AccountW no control Iowa College Savings Account~ no control CKG ACCT; Fidelity, Boston MA Wells Fargo Checking Account Iowa/Nebraska State Bank Checking Account REINSURANCE AGREEMT; 1st Colony Life Ins. Co. Belcour Pension Invest VI LMTD PTRSHIP; Riverfront Assn; Des Moines, A A A None None Interest Interest Interest None None None J J J J J N J J T T T T T W T W J J
1:Income Gain Codes: (See Colunans 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 =$15,000 or less =$250,001 - $500,000 P3 =$25,000,001 - $50,000.000 =Appraisal =Book Vatue
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 =$1~000,00 i 5 $5,000,000 L =$50i00i ~ $100~000 P1 =$1,000;001. $5,000;000 P4 --M~re than $50;000,000 S =Assessment w =Estimated
D =$5,001 - $15.000 H2 =M0re 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, valae, 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. Inc0meduring reporting period (t) (2) An~ount :,: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) (1) Type (e.g., buy, sell, redemption)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
LMTD PTRSHIP-Shearson Senior Income Fund LMTD PTRSHIP-Shearson Coast Savings LMTD PTRSHIP-Caryle Real Estate RESIDENTIAL LOT; Sioux City, IA
J J J K
W W W W
IRA Fidelity~ American Century Mid Cap Berkshire Hathaway Inc DEL CL B Boston Partners (Y) Fidelity Global Balanced None Sold (part) Sold Fidelity Global Commodity Stock Fund Fidelity Cash Reserves Fidelity Emerging Markets (X) Fidelity Real Estate Income First Eagle Global Class C A A None Dividend None Dividend None J K T T J J T T Sold Buy Sold (part) Buy (addl) 03/29/10 01/08/10! 03/08/10 11/09/10 J J J J C D Buy 03/29/10 12128/10 01/08/10 J J C D None None
J K T T Buy Sold (part)
10/15/10 08/06/10
J J D
1. Income Gain Codegi 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1i000 or r.ess J =$15,000 Or less N =$250,001 - $500,000 P3 =$25,000,001 - $50;000,000 Q =Appraisal U =Book Value
B $I~001 -$2,500 K =$15,001 - $50,000 O =$500,001 ~$1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,50l - $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
VII. INVESTMENTS and TRU STS - i.eome, v.~ue, transactions (Includes those of spouse and dependent children; see pp. 34-60 o_tfiling instruc,ions.)
NONE (No reportable income, assets, or transactions.)
Description.0fAssets (including ha/st assets)
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) (1) Type (e.g., buy, sell, redemption)
D. Transactions during repotting period (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (5} Identity of buyer/seller
86. 87. 88. 89. 90. 9t. 92. 93. 94. 95. 96. 97. 98. 99.
None
Buy Sold
03/31/10 10/05/10 10/04/10 12/28/10 08/09/10 01/08/10 08/08/10 12/14/10 01/04/10 05/07/10 05/21/10 06/14/10 10/26/101 10/26/10 03/30/10 08/05/I 0 08/05/10
J J J J J J J J J J J J .1 J
J J J
None
Buy Sold
None Dividend
B C
None Dividend
B C
100. IVA Worldwide Fund 101. Market Vectors Gulf State Index ETF 102.
None None
K J
T T
A B
L i~0me Gain Codes: (See Columns BI and I)4) 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 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 =Assessment W =Estimated
D =$5,00t - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250;000 P2 =$5,000i001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRU STS -i .... , value, transactions (Includes those of sp ...... d dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions..)
Income during reporting period 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, redemptirn) Transactions during reporting period (2) (3) (4) Date Value mm/dd/~y Code2 (J-P) (5) Identity of buyer/seller (if private transaction)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure
(2)
Amount Code I (A-H) Type (e.g., div., rent, or int,)
103. 104. Matthews China Fund 105. Metzler Payden Euro Emerging Markets 106. New Century Alter Strategies 107. Oakmark Equity & Income FD 108. 109. Permanent Portfolio 110. 111. 112. Pimco Total Return Class 113. Proshares Ultra Gold 114. 115. 116. Oppenheimer Gold & SPL Minerals 117. Robeco Boston Prtners 118. 119. None None K T A Dividend None None K T None None None None J J J J T T T T
Buy (addl)
10/06/10
Buy
10/06/10
Buy (addl)
J
J
(part)
Buy Buy
(addl) Buy (addl) Sold J
Sold
J
J
01/07/10
Buy
Sold
01/08/101
J J
J
03/29/10
(part)
Sold Sold Buy (addl) Buy (addl) Buy (addl) 03/29/10
B A D
J
J
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 =$50,00i - $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 - $5,000 H 1 =$ L000~001 = $5;000;000 L =$50,00i r $100~000 P1 =$1,000100i ~ $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 f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) B. Income during C. Gross value at end D. Transact ons during reporting p~riod
Date mrn/dd/yy
Identity o Value Gain Code2 ~ Codet ..... : : buyer/seller (if private (J-P) (A-H) transaction)
120. T. Rowe Price 121. United STS Natural Gas 122. Vanguard Index FDS 123. Vanguard Inflation 124. 125. 126. Wasatch 1st Source (Y) 127. Wasatch Hoisington US 128. Wasatch Long/Short Fund (X) 129. Wasatch Ultra Growth 130. 131. IRA Smith Bamey~ 132. Blackrock Energy & Resources 133. Blackrock Global Allocation Fund (X) 134. Citibank NA South Dakota Bank Deposit Program (Y) 135. Dreyfus Liquid Assets, Inc. 136. First Eagle Global Fund
Dividend
03/17/10
None
03/29/10
None
Sold
01/21/10
Dividend
Sold
03/08/10
(part)
Sold 03/17/10 J C
(part)
Sold (part) 03/29/10 J C
J J J
A D
None None
J J
T T
None None
J K
T T
Redeemed (part)
01/15/10
I. Income Gain Codes: ( See Columns B l and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (Sec Column C2)
A =$1~000 Or less F =$50,001 - $100,000 .1 =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 : $21500 G =$ 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 =M6re than $5~000,000 M =$100,001 : $250~000 P2 =$5,000,001 - $25~000~000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRU S TS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place ,(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code 1 (A"H) (2) Type (e.g., div.. rent. or int.) C. Gross value at end of reporting period (1) Value Code2 (J-P) (2) Value Method Code 3: (Q-W) : (I~ Type (e.g., buy. sell; redemption) D Transactions during reporting period (2) (3) (4) Date Value Gain mroJdd/yy;: :~ode:2 1 Code 1 (J:P) (A:H) (5) Identity of buyer/seller (if private transaction)
137. First IND Realty Trust 138. Franklin Income Advisor Class 139. Franklin Income Fund Class C 140. Hartford Capital Appreciation Fund 141. Ishares S&P U.S. Preferred Stock 142. Ishares S&P 100 Index Fund 143. Ivy Asset Strategy Fund 144. Ivy Global Natural Resources 145. Lexington Realty Trust 146. MFS Emerging Markets Deb Fund 147. Oppenheimer Gold and Special Minderals Class C 148. Permanent Portfolio 149. Templeton Global Bond Fund 150. Vanguard Emerging Markets ETF
A A
A
Dividend Dividend
Dividend None
J J
T T
Merged 03/22/10 (with line 138)
J
J J
T
T T Buy (addl) Buy 06/08/10 06/08/10
A A
Dividend Dividend
J J
None None
A A Dividend Dividend
K J
J J T T
Sold Buy
03/25/10 03/25/10
J J
1. Income Gain Codes: (See Columns BI and IM) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$ L000 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 =Olher
C =$2,501 - $5,000 HI =$i;000~00i Z $5,000;000 L =$50 001 ~ $100 000 P1 =$1,000i00!- $5;000i000 P4 =More ihan $50,0001000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 --M0re than $5,000,000 M =$100 00!:" $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. 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