Professional Documents
Culture Documents
1/2011
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 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 fortn mast 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
Cudahy Fund
Gender Bias Committee/7th Circuit Court of Appeals American Bar Association American Bar Association Section on Public Utilities, Communications & Transportation The Lawyers Club of Chicago Federal Judges Association Catholic Theological Union, Chicago, Illinois American Legion Cudahy F T #I, #2 Union League Club of Chicago Advisory Committee to the Center for International Human Rights at Northwestern University Foundation Advisory Board of the International Aviation Law Institute at DePaul University Visiting Committee of the University of Chicago Divinity School IPLAC - Intellectual Property Law Association of Chicago
5. 6. 7. 8. 9.
Member Member Trustee Emeritus and Member of Investment Committee Member Co-Trustee
12. Member
Cudahv, Richard D.
III. NON-INVESTMENT INCOME. (Reporting individual andspouse; seepp. 17-24 offiling instructions.)
A. Filers Non-lnvestment Income
D NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
1. 2010 2.2010 3. 4.
Prudential Retirement (formerly )] Cudahy Pension Plan B) West Services, book royalties
B. Spouses Non-Investm ent Income - If you were married during any portlon of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
I. 2010 2. 3. 4.
3. 4. 5.
V. GIFT S. a,,.t~des those ,o spouse and dependen, children; see pp. 28-3 ! of filing instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. anclndes those of spouse and dependent children; see pp. 32-33 of filing instructlong)
NONE (No reportable liabilities.)
CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
VII. INVESTMENTS and TRUSTS - income, value, transactions Oncludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
B. Income during
reporting period
-Cash Northern Trust Chicago -Cash Marshall&llsley Milw Schwab Govt Money Fund -U S Treas Note -U S Treas See Stripped Tulsa County OK Indp Sch Dis Santa Clara CA Uni Sch Dist -Maine St GO BNDS -NJ GO BNDS -MA St GO BNDS -Boston, MA GO BDS -Los Angeles CA Uni Schl Dist -TN St GO BNDS -Port Seattle WA -Salt Lake Cnty UT -Hawaii State GO BNDS
A A A C
J J O M
T T T T
Matured D D C C C C C C C C B Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest M M T T Buy M M M M M M Sold T T T T T Buy Matured Sold
M M M
04/29/I 0 M
12/01/10
12/02/10 M
I. Income Gain Cedes: (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 =$500J)01- $1.000.000 R ~Cost(RcalEstate Only) V ~()thcr
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=Estimatcd
=$5.001- $15.000 H2 =More than $5,000,000 M=$100.001- $250.000 P2 =$5.000,001- $25.000,000 =Cash Markct
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 Gross value at end of reporting period Transactions during reporting period
(l)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3
(Q-W)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. -First EagleGold -Market Vectors ETF TR Gold Miner ETF -AgnicoEagle Mines -Kinross Gold C A A A Dividend Dividend Dividend Dividend M K L L
T T T T
-Jordan UT School -Albuquerque NM MSD GO SCH BL -Mississippi ST -Arlington TXISD -Gulf Coast WasteTX -New YorkNY.GO BDS -Maricopa Cnty AZ Dist No-refBd -New YorkST -ArlngtonTX Perm IMPT -St. Louis Co. MO Pkwy SDGOBDS -Newcrest Mining -LIHIR Gold Ltd.
C A C C C C C C B A A A
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend Dividend
M M M M M M M M M M M
T T T T T T T T T T T Buy Buy Buy Buy Sold Buy (addl) Buy 11/29/10 11/30/10 09/24/10 01/19/10 09/24/10 12/16/10 12/02/10 M M M K K J K Reinv Reinv. Div Buy 11/29/10 M
1. Income Gain Codes: (See Colunms B I and D4) 2. Value Codes (See Columns CI 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 = ()thor
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 =Estimaled
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 -ineo,~e, val.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction&)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
35. 36. ~37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
A E
Dividend Dividend
L M
T T
K K J K Reinv.
-[SPDR] StreettracksGoldTr -Genworth Life Ins. Co. -USBankIRA Cash -NuveenTaxExUnitTmsts(3) (Wells Fargo) -AGE Bank Dep Program (Wells Fargo) -HarrisBnkWinnetka Cash/CashEq -HarrisBnkWinnctka C/D -HarrisBnkWintka Prem Savers -Marshl/llslyBnkMilw C/D (IRA) -Nuveen Prem Inc. MuniFund 1V (Stifel) -GeneralMuni MM (Stifcl) VanKampen Advtg Muni Inc Tr II (Stifel) (INVSCO) -NuveenSelectTaxFreclncome (Tr 625) (Wells Fargo) -Nuveen Municipal Value Fund (Wells Fargo) D A B A A B A A C A A A A
None Distribution Interest Dividend Interest Interest Interest Interest Interest Dividend Dividend Dividend Dividend Dividend
M M K J J J M K K K J K J K
T T T T T T T T T T T T T T
Buy (addl)
I. Income Gain Codes: (See Columns BI and D41 2. Value Codes (See Colunms CI and I13) 3. Value Method (odes (Scc {.otul~ln C2)
A =$1.000 or less F =$50,!101 . $ I00.000 J ~ $15,000 or less N =$250.001 - $500,000 P3 :-$25,000,001 o $50,000.000 Q = Apprais:d tl =: [~ook V~lhlc
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 TRUSTS - inco=e, vat.e, transactions a.ctades those of spouse ann dependent children; see pp. 34-60 of filing instructions.)
NOblE (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 (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain rnm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transactron)
52. 53.
-Neuberger Berman Mun Fund (Intermediate) (Stifel) -Blackrock Muni Tr. II (Stifel)
B B
Dividend Dividend
K K P2
-Short-term Investments & Cash -MFB Northern SmallCaplndexFnd (NSIDX) -MFB Northern Mid-Cap Index Fnd (NOMIX) -MFB Northern Fnds Stk Ind Fund (NOSIX)
-MFB NorthemEmerg Mkts Fund (NOEMX) -MFB Northern Intl Equ Fnd Index (NOINX) -MFB Nor~hem Funds Large Cap Index (NOLVX) (X) -Orono, MN, Indpt Schl Dist
Interest
amort/accrete
-Santa Fe NM Com Coil -Univ SC HR Ed Rev. -WashoeCty NV Schl Dist. -AtlantaGA Dev Auth
-Portland, OR Sew Sys Rev.
68.
Interest
amort/accrete
I. Income Gain Codes: (See Columns B 1 and D4) 2, Value Codes (Scc (olunms 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 : Othcr
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
VII. INVESTMENTS and TRUSTS -ineo,~e, 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 (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)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
-Columbia, MOSchDist -NJ Environmental -Maryland State -Henrico Cnty VA -Cache Co. UT Sch Dist -Eagan, MN -Univ ofNeb. Facs Corp. -U ofColoEnterpr Sys Rev. -Union Cnty, NJ -VA St Pub SchlAuth -Norwalk, CT -TX St -St. Louis Cnty, MO Pkwy Schl Dist -Overland Park, KS -Boulder, CO -N.C. StateCap Imprv. -Johnson City, KS Uni Schl Dist
Interest Interest Interest Interest Interest Interest h~terest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest
1, Income Gain C0dcs: (.gee Colunw~s BI and 134) 2. Value Codes (See Columns CI ~nd D3) 3, Value Method Codes. tScc 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 HI =$1,0~0,001 - $5,000,0~0 L =$ 50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =glore than M =$ 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 C. Gross value at end of reporting period Transactions during reporting period
(l)
Amount Code 1 (A-H)
(Z)
Type (e.g., div., rent, or int.)
(t)
Value Code 2 (J-P)
(2)
Value Method Code 3
(4)
Gain Code 1 (A-H)
(5)
Identity of buyer/seller (if private transaction)
(Q-W)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
-Iowa City, IA -MA State -DeSotu Co., Miss -Cherokee Co., GA F -Schwab Govt. Money Fund -U.S. Treas Note -U.S. Treas. Note -lshares Msci Emerg. Mkts Ind. Fund -Barclays IPATH MSCI India -TX St Pub Fin. Auth Rev. -Boston, MA Go Bnds -Maricopa Cnty AZ Sch Dist NSI -TN State GO Bnds
Interest Interest Interest Interest PI Interest Interest Interest Dividend None Interest lnt./Div. Interest Interest Interest Interest Interest
T T T T T T Matured T T T T T T Buy (addl) Buy 04/29/10 M 11/17/10 M Buy 08/25/10 L 03/15/10 L B2=di, int, cap gain distributions
100. -Sapulpa OK Cap lmpr 101. -Kentucky Interlocal Sch Trans Auth. 102. -Ishares MSCI XNHUA IDX
Sold T T
07/01/10 M
I. Income Gain Codes: (See Column s B I and IM) 2. Value Codes (See Columns C I and D31 3. Value Method Codes (See Colunm C21
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 ~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 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 (t) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (t) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) T T T Sold T T T T Buy (addl) Buy (addl) Buy (addl) Sold T T T T Matured 07/01/10 K 04/09/10 07/09/10 10/01/10 11/30/10 J J J M Reinv Shares Buy 03/22/10 12/02/I 0 L M Transactions during reporting period O)
Type (e.g., buy, sell,
(2)
(3)
redemption)
(J-P)
103. -Shawnee KS Internal 104. -Gulf Coast Waste TX 105. -Tacoma WA Water 106. -Pulaski Cnty AR 107. -Market Vectors ETF Gold Miner ETF 108. -Ishares MSCI Australia 109. -Ishares MSCI Brazil 110. -Ishares MSCI Singapore 111. -Fidelity Equity Inc. Fund I 12. I 13. I 14. 115. -SPDR Gold Tr. Gold Shs 116. -MA St Bnds 117. -Denver Co. City & Co. SD 118. -NY GO Bnds 119. -Albuq NM CO Gen PU
Interest Interest Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Interest Interest Interest Interest
Buy
11/29/10
1. 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 ~ Cosl (Real Estale Only) V Olhcr
C =$2,50.1 - $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 =Asscssmenl 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) 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 (l) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) D. Transactions during reportmg 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)
t20. -OH St GO Hwy CA 121. -Fairfax Co VA RefPub I 122. -Vanguard IntnatlGroPofolio 123. -Vanguard lndex500 Pofolio 124. 125. 126. 127. -Vanguard Healthcare Portfolio 128. 129. T Rowe Price MidCap Growth 130. 131. 1976 TRUST/
Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend T T T T T T None T Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (add;l) Buy (addl) Buy (addl) 03/29/10 06/28/10 09/23/10 12/23/10 03/22/10 12~16/10 12/14/10 J J J J J K J ReinvDividends
T T T T T T
132. -Charles Schwab Govt. Money Fund 133. -Leander, TX Ind. Sch. 134. -L.A. Calif Comm Coil GO BDS 135. -Maricopa Cry AZ Sch Dist NSI 136. TX St Pub Fin Auth
Buy Buy
11/22/I 0 11/17/10
L L
I. Income Gain Codes: (See Colunms B 1 and D4) 2. Value Codes (See Colunms CI and D3} 3. Value Mclhod Codes (Scc Column C2)
A =$1,000 or less F =$50,001 - $ 100,000 J =$15.00(I or less N ~$250.001 - $500,000 P3 =$25,000.001 - $50.000.01}0 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 =Olhcr
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =St,000,001 - $5,000,000 P4 -More than $50,000,000 S =Assessment W =Eslimated
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 Markel
E =$15,001- $50.000
VII. INVESTMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
D 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)
Transactions during reporting period (1) 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
137. -Tempe AZ 138. -CT St Bonds 139. -L.A. CA Uni Sch Dist GO Bnds 140. -Albuq NM GO GEN PU 141. -NY GO Bonds 142. -Kentucky Intloc Sch Trans Auth 143. -Pulaski Cnty AR 144. -Beaufort Cnty. S.C. 145. -Boston MA GO BDS 146. -Ishares Msci Emerg. Mkts Ind. Fund. 147. -Ishares MSCI XNHUA IDX 148. -lshares MSCI Brazil 149. -Ishares MSCI Singapore 150. -Barclays IPATH MSCI India 15 I. -Fidelity Equity Income Fund 152. 153.
Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend Dividend Dividend Dividend None Dividend Dividend Dividend T T T T T T T T T T
Matured
07/01/10
Matured
07/01/10
03/01110 03/22/10
J K
Buy
04/29/10
Buy
Buy (addl) Buy (addl) Buy (addl)
08/25/10 K
04/09/10 07/09/10 10/01/10
J J J
Reinvested Dividends
I. Income Gain C0dcs: (See Colunms BI and D4) 2. Value Codes (See Columns (| and D3} 3. Value Mcthl~d (odes (See Colunm (2)
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- $1.000,000 K =$ [ 5,t)0 [ - $50,000 O =$500,001 - $ I,~00,000 R ~ Cost (Real Estate OnlyJ V = Other
C =$2,501 - $5,000 HI =$1,000,001-$5,000,000 L =$50,001 - $ 100,000 P| =$1,000,00| - $5,~00,~30 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,~0| - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVES TMENTS 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.)
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 O-P) (A-H) (5) Identity of buyer/seller (if private transaction)
154. 155. -VanguardWorldlntnatlGrowth 156. -Vanguard Index Tr 500 157. 158. 159. 160. -Vanguard Health Care 161. 162. -T Rowe Price MidCap Growth 163. -Market Vectors EFT Gold Miner EFT 164, -SPDR Gold Tr Gold Shrs
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None Dividend None T T T T T T T T T
Sold
11/30/10 L
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy
J J J J J J K K
I. Income Gain Codes: (See Colunms BI and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes ~SceColunmC2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 :$25.000.001 - $50,0~,00~ Q =Appraisal U =Book Value
B =$ 1.001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50.000 O =$500,001 - $1,000,000 R :Cosl (Rczl Eslale Only) V Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L -$50,001 o $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
l 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 ~vith 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