~.

1/2olo
1. Ptr~ou Reporting (l~ frame, lir~ midd]~ inlt~l) Bertelsman, William O,

FOR CALENDAR YEAR 2009

:L Court or OrganL~tion KY-ED

0 u~.c. a??. ~ ~om~::

& Date of Report 05/11/2010

IMPORTANT NOTES: T~e ~naruc~ns ~ccompanying th~* form rnu# be foilawe* Complete all pa~ts,
c.hecldng ~e NONE box for each part wh e~e you h ave no r~portable information. Sign on la~ page.

2.

Ovt~er

529 Trust Plarm #1-#9 through Kentucky Education S~vings Plan mad Michigan Education Program

,:

~ NO~ (No reportable agreements

I.

Bertelsman, William O.

 FINANCIAL DISCLOSURE REPORT Page 2 of 1 7

~.. a~.,~o. R,po~,g

Bertelsman, Will|.m O.

D,~ ora,,~. 05/1 l/2D10

llI. NON-INVESTMENT INCOME. ~,a~,,~,ro~~ Filer% Non-~vatment ~come NO~ (~o reportable non-i~es~ent ~ncome.) DA~ 1. 2. 3.
4.

SO~CE ~ T~E

~CO~ ~ou~,nott~ute~)

B. Spouses Non-Investment Income - lf you were marritd d~ring any po~on of the reporting year, omplete thi~ seaion.
[Dollar amount not rsquir~d except for honorari~J

.~

NONE (No reportable non-investment income.} DATE. SOURCE AND TYPE

1. 2. 3.

4.

IV. REIMBURSEMENTS -~on,~. to~.~oo~ ,~t,n~,,~

~lnchde$ ~ose ~ ~o~ ~d ~denf c~en; s~e pp. 2~2 7 o filing i~~o~)

NO~ (No re~rtable reimbursements.) SO~CE

1. 2. 3. 4, 5.

LOCATION

P~OSE

~EMS P~D OR PROVIDED

FINANCIAL DISCLOSURE ~PORT ~ ~.~n~ o. Page 3 of 17

o~m/2o~o

~ NO~ (No report~le gifts.) $O~CE

I. 2. 3. 4.

DESC~TION

NO~ (No report~le li~ilities.)

1. 2. 3. 4. 5.

VII. INVESTMENTS an d TRUSTS NO~ ~o repor~le income, ~se~, or tr~actions.) A.

D~cfipti~ of~ (~lud~ ~ a~) ~e r~ p~

B.

C.
of r~g ~i~

D.

Ph~ ~" aR~ eanh ~t ~mpt ~m ~or d~el~

~o~ Y~ (e.g., ~e 1 div., ~

Valu~ ~de 2

V~u* ~

Ty~ (e.~, ~y, sell,

~ Value ~ mml~ ~d* 2 ~e I

I~nfi~ of b~er/~ller

I I. 2. 3. 4.

Vic~ ~a~ Gove~:nt R~o Dreyfus Municipal Bond Fund Dreyfus intenncdiam ~nici~l B~d Fund ~Idline (f~ly ~ Gold Fund)
[,egg Mason Europe Fund (stook)

A A C

Divi~nd Interest h~mst None

T Rndectaed Rc~med 5118/09 5/18/09 K L A A

L
l

T
T

Dividend

6.
7. 8. 9. 10. If. 12. "13. 14. 15. 16. 17.

U.S. Bmk, Fort Thomas, KY

Droflus Short Intermedidate Muniolpal Bead Fund Dupree, Kentucky- Short/M*& Fund Dupree, Kentucky - Tax Free Fund Two Undeveloped Lots in Charlott* Co., Florida Fifth Third Bark (A0oount) FitLh Third Bank. Fort Thomas, KY (Common Sham) Victory Established Value Fund G Dreyfus Growth & Inoome Fund Bank ofKentuolcy (Aoonunt) Proct~r & Getable - Common stock Victory Small Company Fund

A
A A B

Interest
lnt:mst Interest Interest None

ff

T
Rdeemcd 5/18109 5118/09 5/18109 L L L No Value-Ksses$~d ~$25,000 A

M N J K J K J L L K

T T T T T T T T T T

Buy (addl) Buy (addl)

A A A A C A A

Interest Dividend Dividend Dividend Interest Dividend Dividend

FINANCIAL DISCLOSUREREPORT Page 5 of 17

Name of Person Reporting

Date of Report 05111nOlO

] Bertelsman, William O.

VII. INVESTMENTS and TRUSTS - ~,~,., ,~,, ~,~.~/~ o.~t~

NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including tmg ~s~ts) Place "(X)" after each asset exempt from prior disclosure B. Income duz~ng re/xating period (I) C2) Amount Type (~.g., Code l div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Valu~ Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactiom during r~porting period 0) Type (e.g., buy, sell, redemption)

Date Value mm/dd/yy Code 2 (J-P)

Gain Code I (A-H)

Identity of buyer/seller (if private tr~sactlon)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33.

NCR Corp. (common stock) Pom~oy IT Solution~ Rcs. (Common stock BankAmori~a Corp. (common slo~k) Bank of Kentuoky (Account) United States Savings Bonds (I) Conegra Foods, Inc. Sh~in William~ Tyco International Ltd. DWS Dr~man High R~tum Fund Russell County, KY Hospital American Express Co. Kroger Co. Hm-lan County, KY Health Car~ Fa~s Laurel Pmject Eastern KY Oniv. Rcvs. Sy$ (Du~ 2/I109) Barbonrville, KY EDK Bldg R~v (Union College) J.M. Smuck~ Co. A C B A A A B A A A A A A A

None None Dividend Interest Interest Dividend Dividend Dividend Dividend Interest Dividznd Dividend Inte~st Interest Interest Dividend J T J J T T J T K T J M L T T T

Sold Sold

6/3/09 6/3109

J J

A A

Sold Sold Sold

6/3/09 6/3/09 6/3/09

J K J

A D A

Redeemed Sold

6/I/09 6/3/09

J J

A A

Redeemed Redeemed

6/11109 1011/09

J J

A A

34. Comcast Corp. Class A

Dividend

FINANCIAL DISCLOSURE REPORT Page 6 of 17

I.~e

o~Person Reporting

I
C. Gross wluc m rid of repoSing period 0) C2) Valu~ Value ~d~ 2 Mr~d ~P) Code 3 (Q-W) K J L K K M K T T T T T T T D. T~n.sactions during rrpor~g p~aod

ounno~o

VII. INVESTMENTS and TRUSTS -i~e~me~al~e~tra~cti~m~cl~de~t~f~u~eanddePende~c~e~;$~epp.~4~f~g~m~)

NONE (No reportable income, assets, or transactions.)
A. Dt~crlption of Asscta (including txust ~ss~) Plsc~ .(x). ~Ror ach ~s~t ~xempt from prior dlsclosu~ B. [ Income during ! r~porting period [ 0) (~) ! Amount Type (tg., Code ] ally, ran% (A-H) or int)

ryp~ (.g., buy, ~ll, rrdemption)

Da~Vtl~ Gain mm/dd/yy Cod~ 2 Code l (I-P)(A-H)

Idmtity of buyer/s~ller (if pr~w~-

35. 36. 37. 38. 39. 40. 41.

Ky Education Savings Plan 529 Trust #l Ky Education Savings Plan 529 Trust #2 Miehigaa Education Savings Program #2 Michigan Education Savings 1W~gram #3 Ky Eduoafion Savings Plan 529 Trust//4 Michigan Educafioa Savings Prodam #4 Ky ~ucafion Sadn~ PI= 529 T~t #5

B B B B B B B

Interest Int~rst Ints~rst lat~rrst Jnter~st Interrst ~te~st

42. Mi0higm ~ucation Sav~gs ~g~ #S

43. ~. ~5. 46. ~7. 48. 49. ~0. 51. Ky Eduction Savhgs PI~ 529 T~t #6 ~fi~hig~ ~u~afion Savings ~o~ #6 BP PLC ~*~n-Texa~ CoW. ~k ~*r~ Clomx Co. Conooo Philli~ ~on Mobil Co~. G=e~I ~lh, h.

B
B B C B A B A B A

h~mst
h~st ~st Dividend ~idond ~vi~nd Dividnd Divided Divi~nd Divi~d

M
K M K L J L ff J K

T
T T T T T T T T T

FINANCIAL DISCLOSURE REPORT Pag~ 7 of 1 7 VII. INVESTMENTS and TRUSTS -

n .... f P.~o. a,~,o~.g s,~,~,,~, William O.

D,t, orRepon 05111/2010

HO~ ~o reportable income, ~se~. or ~sactions.)

~ D~pfi~ of ~ B. ~c~ ~g 0) ~ ~e 1 (A-~ C. O~ T~ (.g., V~I~ O~ D.

Ph~ "~" ~ esch ~t ~*mpt from ~ d~]~

T~ [.g., dlv.,

V~ue

V~lu~

I~nti~ of

52.

Pq~sioo, lno.

C E C A B B B C C C B B A A A A B

Divid*nd Dividend Dividend Dividend Dividend Divided Interest Interest Interest Interest Interest Interest Intorr~t Interest Interest Interest Dividend

M N L K L L K M M M

T T T T T T T T T T Redeemed Sold 711/09 7/30109 K K A A

53. Pro~t~r & Gamble Co. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. Southern Co. Sunooo, Ino. Wisconsin Energy Corp+ Y~m Bnmd% In~. U.S. Savings Bonds (H) M~chigan Education Savings Program #7 Michigan Education Savings Program #8 Mi~higma Education Swcings Program #9 Kmtuoky St~t~ Turnpike Authority Bond Krntuoky Stat Propert), & Bldgs. Communication Revenue Bond Chy Connty. KY ffusfio* Center Bond K*rtt~ky State Property & Bldg~ Revrnu, Bond E-Trade Ac~oount Ky. State Tumplke Bond 3.6%

K L J J K

T T T T T

68. A~tomatio Data Prooessing, Ino.

FINANCIAL DISCLOSURE REPORT

r .... ne~o, ~.,~

~*~m~, Willi~

Vat,

Page 8 of 1 7

O.

05111~010

VII. I~ES~ENTS ~d TRUSTS -~.~,, ~ ~,~a~ o~ ~o~

NO~ (No report~le income, ~sets, or tr~sactiom.)
A. D~fip~ o~ ~ B. ~m d~ C. Gm~ v~ ~ end D. T~cfi~

(Q-~ 69. 70. 71. ~. 73. 74. 75. 76. ~. 78. 79. 80. 81. 82. 83. 84. 85. ~s~ & Jo~s~ T-Ro~ ~e ~ui~ ~ 500 Templ~on Fo~i~ F~d CI A ~n Fun~ ~o~ Fund of~ea Ky. Sta~ ~p~ & Bldg. C~n. B~d Jess~e Co., KY Seh~l 2/1111 3.1~ ~pfis* F~. ~e. Peabody ~gy ~oup KY In,local Seh~l (due 311111) ~ ~gh Ine~e T~t ~son ~., KY School DisLBIdg.R~. ~les~, KY School Bldg. Rev. Ha~Co., KY ~blie~ Bow~g ~e~, KY ~nt (due 511113) Broa~dge F~meial Solufiom Covidien Ltd. W~stem Union Co. A A A A A A A A A A A A A A A A A ~vi~nd Di~dend ~st ~vidend ~mst ~te~st ~vidend ~te~st ~mst ~st ~mst ~tem~t ~st ~tem~t ~vi~d Dividend Dividend K T K K K K T T T T Sold Sold 6~109 6~9 ff J A A K K T T Sold ~13109 J A K K J K K K T T T T T T Sold 6~/09 J A

FINANCIAL DISCLOSURE REPORT Page 9 of 17 VII. INVESTMENTS and TRUSTS -

r~a,., one.o, a,po~.g

Bertelsman, Willlmn O.

I
I

D~tt* of R,port

05111/2010

N0~ ~o report~le income, ~se~, or ~actions.)

~ D~fipfi~ of~ B. ~c~e ~ ~o~ ~e l T~ (e.g., ~v., ~ C. Gm~ v~ue ~ end D. T~a~om ~g ~ ~fi~

P~ ~" ~r each ~t ~empt ~om ~or d~l~

Vflue ~d~ 2

Value Me~

Ty~ (e.g., b~, ~IL

~m Value G~ mm/~ ~ 2 C~e l

Id:nti~ of buyer/~I]~r

CQ~
86. 87. 88. 89. ~. 91. 92. 93. 94. 95. ~. 97. 98. 99. PaYor Coal Co. Tem~ Co~. Spec~ En*~y Jcff~on, Ky SD F~. C~. Km~*~ SL ~op & Bldgs (du~ 8/1~5) Highlan~ R~ch Met. Dis~ (du~ 1~I11~) Ky. Sm~ Tump~* Au~ofi~ (du~ 7/1/16) N*w Y~ ~ (due 8/1/16) Hop~s ~. ~dpL School (duo 1~1117) ~ona ~h. F~cs. B~. (du~ 9/111~ California SL (due 8/1118) Okl~oma ~pL TrY. Rev. (~e 911108) ~e~o Rico Hsg. FM. Au~. (due 1~1/18) Bowling ~, KY ~oj. (du* 6/1~0) k A A A A A A A B A A A A A A A A ~vidcnd Dividend Divi~nd ~st ~st ~te~st ~te~st ~st ~m~st ~st ~t~st ~t*~st ~te~st ~tc~st Dividend Divi~nd Dividend K T J K L M L L L M M M L L T T T T T T T T T T T T Buy (addO Sold Buy (addo 5/8109 7~0/09 1~09 J K J A Sold SMd 6~/09 6~/09 J J A C

100. Ivy ~set S~tegy Fund CI Y 101. 102. Blaa~k Global ~ocafion Fund

1. [ncom e ~ Codes: (See Colttrnnt B I md D4) 2. Value Codes (Sess (~oIufnnt CI trod D3) 3. Vtloe Method Codm (See Colunln f~2)

A =$ ] ,000 or let* F =150,001 - $ 100.000 J .$ l 5,000 or lest N =1250,001 - $500,000 P3 ~-125,000,0~ 1 - f~0,0~0,000 Q =Apprai~tl U =l$o~k V~]ae

B---$ 1,001 - $2,500 O ~$100,0Ol - $1,000,000 K ~i$,001 - 150,000 O =1500,001 - $1,000,000 R =Cott (P.etl Ertat~ Only) V =.O~ef

C =~2,501 - $5,000 H 1 =$ I ,~O0,001 - $~,000,000 L ~$50,001 - $100,000 Pl ,-$1,000,~01. S5,000,000 P4 -Morn than S =A~e~tment W

D ~::~,00 ! - $1~,000 H2 ~Mor~ thsm M P2 T

E =$1~,001 - $~0,000

FINANCIAL DISCLOSURE REPORT I Page 10 of" 17

Name of Pert, O. Bertelsman, Williamon Reporting

Datr of Report 05/I i/2010

NONE (No reportable income, assets, or transactions.)

A. De~eriptima of Ar.s~t.s (inclaaing trust ass~) Phee "(X)" a~cr ~ach ~ss~t exempt from prior di.wlomae B, J_neome dming repwting period (i) (2) Amount Type (e.g., Cod~ l div., r~t, CA-I-I) or ira.) C. Gross value at end ef reputing period Cl) Value Value Code 2 Me,hod Code 3 (I-P) (Q-VO J T D. Tramaetiorts during r~poaJag period

Type (e.g, buy, setl, redemption)

Da~ Value mm/dd~yy Cod~ 2 (J-P)

Gain Code I CA-H)

Identity of b~ri~r/seller (if private

103. 104. 105. I06. 107. 108. 109. Healthoare Seleot SPDR 110. Seotor SPDR Consumers STPL ISharea Barehys 1-3 yr Treas. Index Fund IShares MSCI EAFE Index Fund

A A A A A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

Buy (~dl) Sold Buy Sold Sold

5/18/09 7/20109 1/22/09 7/20/09 5/1/09 7/20/09 2/23/09 3/10/09 J J K J A A A A

~rt)
Sold Sold Sold K T Sold Buy (addq) Sold

111. Allianoe Bemstein BaL Wealth Strategy 112. A!lianoe Bemstein Infl Growth

7/20/09 3/23/09 7/20/09 7/20/09 7/20/09 5/4/09 7/20/09 7/20/09

J J J J J

I 13. Loomis Sayles Growth Fund CI Y 114. 115. Loomis Sayle~ Value Fund CI Y 116. Loomis Sayles Global h~ts Fd CI Y 1 ] 7. Loomia Sayles Strategio Inc Fd CI Y I 18. 119. Blackcock Natl A Div Municipal Fund

B A B

A A A

Dividend Dividend Dividend

Sold Sold Buy caddl) Sold

Dividend

Sold

FINANCIAL DISCLOSURE REPORT

~ .... rP .... R,por~ng

Bertelsman,

~),~ ora~or~

Pag~ 1 ] of 17

W|l[lam O.

05111/2010

VH. INVESTMENTS and TRUSTS - ~,. .~,. ~o.. ~,~,.~ ~o., o~~ .....
NO~ ~0 re, oriOle i~come, ~se~, or ~cfio~.)
~ D~fip~on of ~ B. ~om~ ~ C. Oro~ v~ ~t ~d D. T~c~om ~ mpo~ ~dod

(~clu~ ~.~)
P~ "~" ~r ~ach ~t

m~p~
~o~

ofr~g~od
V~ue V~[u~ Ty~ [eg., Da~ V~u~ Oz~ Idmti~ of

T~ (e.g.,

(A-~

a ~t)

(I-P)

~3

rde~ion)

(~-~

(A-~

(~pd~.~

120. ~l~mm~ -Rog~ Tr. A D~v 121. ISh~ MSCI ~g~g ~ Fd 122. 123. Van~d Small Cap 124. ISha~s ~SE Xi~ua Chha 125. Pow~Sh~ Global 126. S~RSerTr

A A

Dividend D~v~d~nd

Sold Buy (ad~l) Sold

7~0/09

7~0/09 7~0/09 1~09 7~0/09 1~09 5~1/09 7/20~9 1~09 7~0/09 1~09 7~/09 ~18109 7~0/09 5/8/09 7~0/09

] J J J K J J J J J J J K J J

A A A A A A A

A A A A

~vidend Dividend Dividend ~vidend Dividend Dividend Divi~nd

Sold Sold Sold Sold Sold Sold Buy (addl) Sold

127. ISha~s ~O~$ ~gh Yield ~ Bd Fund A 128. ISha~s TR S ~d P Natl Mun Bd Fd 129. Pow~Sh~ ~ T~ F~ 130. 131. P0w~Sh~s Global Exoh Traded Fund 132. 133. S~ztor SPDR Utilities 134. S~R Gold T~st 135. Nuv~n High Yield Muni Bond Fd CI A 136. A A A A A A

~vi~nd

Buy (addl) Sold

A A A

Dividend Dividend Dividend

Sold Sold Buy (addl) Sold

137. J-P Morgan Intl Value Fund C1 A

138. Ab~1~n Equity Long Short Fd CI A 139. Jaam Adviser Fort3, Fund CI A 140..TP ]Morgan Highbrldg e Stat M:k~ ~q~.utcal Fd 141.

A
A A A

Dividend
Divi~nd Divi&:nd Dividend .l T

Sold
Sold

7/20/09
7/20/09

J
J

A
A

Buy (addD Sold

3/23/09 7/20/09

J J A

142. T0uchston Large Cap ~ Fund CI A 143. Nav~n Rittcnhous Growth Fund 144. Alliancg Bemstein Muni Inc Fund 145. Alliance Bgmst~in Global Bond Fund 146. Endowraent Fund 147. Cilizens Bank of No. Ky (CD) 148. CiliTens Bank of No. Ky. (CD) 149. Citizens Bank of No. Ky (CD) 150. Citizens Bank ofNo. Ky (CD) 151. M~rrill Lynch Money Fund (Muni) 152. Merrill Lynch Bank (Regular)
153. Mrrill Lynch Bank (PIA)

A A A A A A A A A A A
A

Dividend Dividend Divld~ad Dividend Dividend Interest Interest Interest Interest Interest Interest
Interest

Sold Sold Sold Sold M L J K K K L T T T T T T T

Closed

7/6/09 5/6/09 7/20/09 7/20/09

J J J J

A A A B

711109

FINANCIAL DISCLOSURE REPORT Page 13 of 17

VII. INVESTMENTS and TRUSTS -

Name of Person Reporting

Da~e of Report

0~/i lrZO:0

NONE (No reportable income, assets, or trar~actions.)

A. Description of A~sgt.s (inc luding tru.o. ~sscts) Plac~ "CX)" a~r ~ach a~set ~x~mpt from prior disclosar B. Incom dur~g i mpcrtfing p~iad ] Amount Code I (A-H) Typ~ (e.g., div., ant. or ir~) C, C,oss vah~ ~t ~nd o[reporthg period Val~ Code 2 (l-P) Valu~ Mgthod ~3 (Q-W) Type (e.g., buy, ~11, re.~mptlan) D. Trgrsacfiom during mpor~g period

Dat mm/dd/yy

V~lu ~od~ 2 (I-P)

Osin Code 1 (A-H)

Idmtity of buy~r/~ellcr (if private trans~ctlon)

154. 155.

LShar*s DJ US Talzoom.

Dividend

Buy Sold

1/26/09 2123/09 3/16/09 7/20/09

J J J J B A

156. Elements Roger~ Agile. Tr 157.

Dividend

Buy Sold

158. pow~shar~s TR Dynamio 159.

160. Market Vrctors EIF Tr 161. 162.

Dividend

Buy Sold

3/16/09 7/20/09
M6/09 7/15/09 7/20/09

~ J
J J J B

Dividend

Buy Buy (addl) Sold

163. Pr~ Shar~ Ultra QQQ 164. 165. 166. 167. SPDR SP China
168. 169.

Divi&nd

Buy Buy (addl) Buy (~dD Sold

3/4/09 7/15/09 7/I 6/09 7/20/0~ 215/09

3/4/09 7/7109

J J

Divid:nd

Buy
Buy (addl) Sold

J J C

170. IShsr~s RS 2000 Valu

Dividend

Buy

1/22/09

FINANCIAL DISCLOSURE REPORT

Page 14 of I 7

~.,.av,~.,R,~o~.g
~.~el~m... ~,.o o.

Date efReport

l
D. T~o~ ~g ~ ~od O) (2) O) O)

0=.~a0,0

VII. INVESTMENTS and TRUSTS HO~ ~o report~le in.me. ~se~, or ~actio~.)

~ D~p~ of~ B. ~~ O) ~) C. Gm~ v~ ~t end O) ~)

(~)

171. 172. Janus Ov~rseas Fd C1A 173. 174. ] 75. Janus Flexible Bd C1 A 176. 177. DRYDN Sh Trm Co. Bd Z 178. 179. PRIN Preferred S~s A 180. 181. 182. 183. AIX4Intl Growth 184. 185. WF Ultra Sir Mun. Ine, Inv. 186. 187. SPDRSPMetaI~ Minin8 A Dividend A Dividend A Dividend Alliance Bemstein High A Dividend A Dividend A Dividend A Dividend A Dividend

Sold Buy Buy (addl) Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy

5/7109 3/23/09 7/20/09 7/27/09 5/4/09 7/20/09 1/26/09 7/20/09 7/15/09 7/20/09 514/09 7/20/09 611/09 7/20/09 6/12/09 7/20/09 5/28/09

J J J J J J J J J J J J J J l J

of Person Rpor~ng FI~ANCIAL DISCLOSURE REPORT [ ~a,=~, wm~= o.

Page 15 of 17

IMam

D,~ of Repor~

~ mo~0

NO~ ~o re~rtable income, ~se~, or tr~actions.)

& B. c. D.

~empt~m ~d~cl~

~e ]

~v.,ren~

~2

Me~od

5~.~1l

mm/~

~de 2

C~e ]

b~er/seHer

188. 189. DB US Do]l~ Index Bullish Fund 1 ~. 191. ~Y Global Na~l 1~ Ianu~ Fo~ Fund CI C 193. P~CO To~ Remm Fd CI C 194. ~cipal ~v~n Sccu66~ C 195. ~x~gt~-Fay~e U~m ~un~ Ky S~ A 196. ~ina MobiIe L~ Spon ~R 197. ~a ~la ~. 198. ~oa Mobile Co~. 1~. Jonson & Johns~ 200. 3M Co. A A A A A A A A A A ~v[d=nd ~vid~nd Divi~d ~vi~nd ~t~st Dividend ~dCnd D{vi~nd Divld~nd ~vldend K K K K K 1 J J J J T T T T T T T T T T A ~vidend

Sold Buy Sold Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy

7/6t09 6/15/09 7/15/09 7~1~9 7~1/09 7~ i~9 7~II09 ~/09 6~/09 6~ 6~/~ ~0/09 6~/09

J J J K K K K K J J J J J

FINANCIAL DISCLOSURE REPORT Page 16 of 1 7

Name of Person Reporting

[ Date of Report

]~rt,.l~man, W[ll[m O. [

05/] 1/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 17 of 17 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 wa~ withheld because it met applicable gtatutory provisiona permitting non-disclosure. I further certify that earned Income from outside employment and honoraria and the acceptance of gift~ which have been rel~orted are in compliance with the pravision~ ors U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulationa.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIN~[NAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Diselosttre Administrative Office of the United States Courts Suite 2-301 One Colu.mbus Circle, N.E. Washington, D.C. 20544