Beruflich Dokumente
Kultur Dokumente
AO I0 Rev. 1/2011
Report Required by the Ethics in Go vernment Act of 1978 (5 U.S.C. app..~.~ 101-111)
I. Person Reporting (last name, first, middle initial) Smith, Jr., Milan O. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
Circuit Judge
[] Initial
United States Court of Appeals Suite 2325, 222 N Sepulveda BI El Segundo, California 90245
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 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.
I. POSITIONS. C Reponlng individual ontv ; see pp. 9-13 of fding instructions.) ~] NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
III. NON-INVESTMENT INCOME. tg,porang individual andspouse; see pp. I7-24 of filing instruction~.)
A. Filers Non-Investment Income ~] NONE
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
1.2010 2. 2010 3. 4.
SOURCE
George Washington University Law SchoolReligious Freedom Moot Court 2. Sandra Day OConnor College of Law
DATES
February 6-7, 2010
LOCATION
Washington, DC
PURPOSE
Judge Religious Freedom Moot Court Competition
Tempe, Arizona
Participate in ASU Summit on the Future of Legal Education CLE program program cancelled, but nonrefundable travel reimbursed
3.
Transporlation
V. GIFTS. anc/,d~ thos, ,o ,pous, und dependent children; see pp. 28-31 of filing instrucdon~)
NONE (No reportable gifts.) SOURCE
I. 2. 3. 4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. ancludes those of spo,~e und d~pendent children; see pl~ 32-33 of filing instruction&)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
FINANCIAL DISCLOSURE REPORT Page 5 of 16 VII. INVESTMENTS and TRUSTS -inco ....
.,,h,e, transactions (lnclude~ those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
(I)
Amount Code I (A-H)
(I)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(2)
(3)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
General Electric Co. Coca-Cola Company Intuitive Surgical Inc. Kinder Morgan Energy Partners LP Unit Ltd Parlnershihp American Tower Corp CL A Devon Energy Corp New Devon Energy Corp New L-3 Communications Holdings Inc. Pepsico Incorporated Pepsico Incorporated Time Warner, Inc. Time WamerCable Canadian Natl Ry Co. First Colony Life Policy Aetna LifePolicy
A A
J J K K K K
Distribution None
Dividend None
A A
K K
T T
A A A
J J K J K J K
1. Income Gain Codes: (See Columns B I a nd D4) 2. Value Codes (See Columr~ CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $1 00,000 J =$15,000 or Ices N =$250.001 - $500.000 P3 =$25.000.001 - $50.0~.000 Q =Appraisal U =Book Value
B --$1,00L - $2,500 G =$ 100,00 1 - $ 1,000,000 K =$15,001 - $50.00~ O =$-r~0,001 - $1,000.000 R ~Sosl (Real Estate Only) V =O,her
C =$2,501 - $5,000 I I I =$1,000,001 - $5.000.000 L =$50,001 - $100.0~) PI =$1,000,001 - $5.000,000 P4 =More than $50.000.0<)0 S =Asscssmenl W =Eslimated
D =$5.1)01 - $15.1)00 112 =More than $ 5.000.000 M =$100,001 - $250.000 P2 =$5.000.001 - $25,009.1900 T ~Cash Markcl
E =$15,001 - $50.000
Vl I. INVESTMENTS and TRU STS - income, value. ~an~a,~io,~ anclud,~,hose o/s~,ouse and depe,dent children; seepp. 34-60 o/filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust asse~s) Income during reporting period Gross value at end of reporting period Transactions during reporting period
(t)
Place "(X)" after each asset exempt from prior disclosure
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(i)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(t)
Type (e.g., buy, sell, redemption)
(2)
(3)
(4)
Gain Code I (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.
Quanta SVCS lnc DowChemicaICompany 5.750 12/15/12 Dow Chemical Company 5.3000 3/15/13 Franklin UniversalTrust Franklin UniversalTrust General Electric Cap Corp 4.000 4/15/10 Goldman Sachs 5.250 10/15/13 lntl Lease Fin Corp 4.200 2/15/10 John Hancock Life Ins Co 4.150 2/15/12 La Salle Fndg LLC Multi 3.000 1/15/11 McDonalds Corp 6.000 4/15/11 MFS Intermediate Income Trust Motorola Inc. 7.625 11/15/10 National Rural Utilities 4,125 2/15/11 New York Tel Co. 7.000 6/15/13 Teco Energy Inc 7.200 5/1/11 Anaheim CA Pub Fing Auth 5.000 10/1/10 A A A A A A C A A A A A A A C
None Interest Interest Dividend None lnterest Interest Interest Interest Interest Interest Dividend Interest Interest Interest Interest Interest J J J T T T J J J K T T T T J T J J L T T T
Sold (part)
10/ll/10
J J J
B C A
Redeemed
02/26/10
09/02/10 11/15/10
K J
04/26/10 10/01/10
J J
1. Income Gain Codes: (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 F =$50.(~1 - $100,000 J =$15.0~) or less N =$250.001 - $500.000 P3 =$25,0~,001 - $50.0~.(~0 Q =Appraisal LI =Book Value
B =$1,001 - $2,500 G =$100.001 - $1.000.000 K =$15.001 - $50,000 O =$5003301 - $1,000,000 R =Cosl (Real Estatu Only) V -~3ther
C =$2.501 - $5,000 III =$1.000,001 - $5.000.000 L =$ 50,001 - $ 100.000 PI =$1.000.001 - $5,000.000 P4 =More than $50.00~.000 S =Assessment W =Eslimalcd
D $5.001 - $15.000 112 =More than $5.0~0.000 M =$ 100.001 - $ 250.(X}O P2 =$5,000.001 - $25.000.000 T =Cash Market
E =$15.0~1 - $50.000
VII. INVESTMENTS and TRUSTS - income, ,*t.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!ling instruction&)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust asse~)
Place "(X)" after each asset exempt from prior disclosure
(2)
Type (e.g., div., rent,
(A-H)
or int.)
(J-P)
Code 3 (Q-W)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
Parlier CalifRedev Agy 4.650% 8/I/10 Oneoklnc New Century Tel., Inc. Cpn 5.000% Due 2/15/15 Dean Witter Discover Odd Cpn Med Term Notes 7.07% 2/10/14 Boeing Co. Global Notes Cpn 5.125% Due 2/15/13 Genzyme Corp Gen Div Marriott Int Inc Class A MBIA/Claymore MGD Dura Inv Grd Muni Fd Money Mkt Oblig Trust Auto Cash Mgmt American Capital Agency Corp Williams Partners LP Com Unit Led Part Int Williams Partners LP Corn Unit Ltd Part Int Williams Partners LP Com Unit Led Part Int Ishares Trust Barclays I-3 Yr. Treasury Bd FD Ishares Trust Barclays 1-3 Yr. Treasury Bd FD Ishares Trust Barclays I-3 Yr. Treasury Bd FD Ishares Trust Barclays 1-3 Yr. Treasury Bd FD
A B A A A
Redeemed 08/02/10 J
A B A D C
Sold T L K
T T
05/20/10 K
J J J J J J K K D D C
I. Income Gain Codes: (Sc Columns B I and IM) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (S~c 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 =Apl~aisaI U =l:k~ok Value
B =$1.001 - $2.500 G =$100.001 - $ I,O00,0O0 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R =Cosl (Real Lstate Only) V =Olher
C =$2,501 - $5,000 !11 =$1.000.001 - $5.000.000 L =$50.001 - $10~.000 PI =$1.000.001 - $5.000,000 P4 =More than $50.009.000 S ~Asscssment W =Estimated
D =$5.001 - $1 112 =More than $5,000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000,000 T =C~h Market
E =$15,001 - $50.000
VII. INVESTMENTS and TRU STS - i,,co,,,. ,.al,,e. ,,a,~o,*io,~ ancl~d~ tho,e oy,po.,e o~a 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 assl exempt from prior disclosure B. Income during reporting period I (I) (2) Amount Type (e.g., ~ Code l div., rent, (A-H) or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code3 (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm!ddhyy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
I
[
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
Ishares Trust Barclays 1-3 Yr. Treasury Bd FD Ishares Trust Barclays I-3 Yr. Treasury Bd FD Ishares Trust Barclays I-3 Yr. Treasury Bd FD Ishares Trust Barclays I-3 Yr. Treasury Bd FD Capstead Meg Corp Corn No Par Capstead Meg Corp Corn No Par MFA Mortgagelnvestments Inc. MFA Mortgage Investments Inc. Hatteras Financial Corp Putnam Managed Municipal Income TrustSBI Putnam Managed Municipal Income TrustSBI Putnam Managed Municipal Income TrustSBI Putnam Municipal Opportunities Trust-SBl Seligman Select Municipal Fund Inc. Seligman Select Municipal Fund Inc. Westembank PR; 5.20%;08/07/10 Fidelity Advisor Mun Income Fund CL T B B C C C C C D
None None None None Dividend None Dividend None Dividend Dividend None None Dividend Dividend None Interest Dividend L T L L T T K K T T K T K T
Sold (part) Sold (part) Sold (part) Sold (part) Sold (pail) Buy (addl) Buy (addl) Buy (addl) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part)
07/26/I0 07/29/10 09/02/10 10/18/10 05/20/10 07/26/10 05/20/10 04/08/10 04/08/10 05/20/10 07/26/10 12/13/10 07/26/10 01/21/10 12/10/10
J K K J J K J J J K J J K J K K K C A B C A A A A A C
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (S~e Columns CI and D3) 3. Value Method Codes (S~c Column C2)
A =$1.000 or less F =$50.001 - $100.000 J =SI5.0~1 o" less N =$250.001 - $500.000 P3 =$25.000.001 - $50.0~0.000 Q =Appraisal U =Book Value
B =$1,1D01 . $2,500 G =$100.001 - $1.0OO.000 K =$1S,0Ol - $50.000 O =$500.001 - $1,000.000 R ~Cost (Real Estalc O~ly) V =Olher
C ~$2,501 - $5,000 Itl =$1,000,001 - $5.000,000 L ~$50.001 - $100.000 PI =$1.000,001 - $5,000,000 P4 =Mote than S =Assessment W =Estimated
D =$5,0~1 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 T =Cash Market
E =$15,1)01 - $50.000
FINANCIAL DISCLOSURE REPORT Page 9 of 16 VII. INVESTMENTS and TRUSTS - inc ......
lue, transactions (Includes those of spouse and dependent children: seepp. 34-60 of fillng instructions.)
Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) K T
Transactions during reporting period (i) Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain rnm/dd~y Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private Ixansactlon)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
Gabelli Glbl Util Inc Trust GDV Gabelli Glbl Util Inc Trust GDV lshares Trust Iboxx $ Investop Investment Grade Bond Fund Ishares Trust Iboxx $ lnvestop Investment Grade Bond Fund Ishares Trust Iboxx $ Investop Investment Grade Bond Fund Ishares Trust Iboxx $ Investop Investment Grade Bond Fund lshares Barclays Intermediate Credit Bond Fund Ishares Barclays Intermediate Credit Bond Fund lshares Barclays MBS Bond Fund ETF Ishares Barclays MBS Bond Fund ETF Ishares Barclays MBS Bond Fund ETF Ishares Barclays MBS Bond Fund ETF lshares Barclays MBS Bond Fund ETF Ishares Barclays MBS Bond Fund ETF lshares Barclays MBS Bond Fund ETF Ishares Barclays I-3 YR Credit Bond Fund ETF AnnalyCapital Management Inc.
Dividend None
04/08/10 11/03/10 03/19/10 03/19/10 04/08/10 05/20/10 07/26/10 10/12/10 01/13/10 07/26/10 07/26/10 09/02/10 I0112110 12110110 12/13/I0 I0/12/I0 05/20/I0
K J J K K J J J J J J K K J K J J A A A A A
Dividend None
Buy (addl) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part)
C D
Dividend Dividend
M L
T T
I. Income Gain Codes: (See Columns B I and IM) 2. Value Codes (See Cohzmns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or Ices F =$50.001 - $100.000 l =$15.000 or Ices N =$250.001 - $500.000 P3 =$25.000.001 - $50.000,000 Q =Appraisal U Book Value
B =$1,001 - $2,500 G =$109.001 - $1.000.000 K =$15.0OI - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =O~hcr
C =$2,.501 - $5.000 III =$1,000,001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000.001 P4 =More than $50.00~.000 S =Assessment W =Estimated
E =$15,001 - $50.000
T =Cash Market
,io,,~ VII. INVESTMENTS and TRUSTS -inco,,e. votue. ,r .... anctud~ those of spouse and ,teHenaent chit,lien: see HP. S4-6o of fillng instructions.)
[~]
Gross value at end of reporting period (I) (2) Value Value Code 2 Method
(J-P) Code 3
(A-H)
or int.)
AnnalyCapital Management Inc. Annaly CapitalManagement Inc. Linn Energy LLC Copano Energy LLC Ishares Trust Barclays Credit Bond Fund ETF C C D B
None None Distribution Distribution Dividend Dividend None A A Dividend Dividend None A Dividend None None B Dividend None None C Dividend L T K T K K T T K K M K T T T T
Buy (addl) Buy (addl) Sold (part) Sold (part) Sold (part) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Sold (part) Sold Buy (addl) Buy (addl) Sold (part) Buy (addl)
07/26/10 04/08/10 12/10/10 07/26/10 07/26/10 01/13/10 02/04/10 01/13/10 07/26/10 12/10/10 01/13/10 03/19/10 04/08/I0 04/08/I0 07/26/10 12/29/10 04/08/10
J J J J J J J J J J K K L J J J J C C A
94. Encana Corp 95. 96. 97. 98. 99. Encana Corp Ishares Barclays Short Treasury Bond Fund ETF Ishares Barclays Short Treasury Bond Fund ETF Ishares Barclays Short Treasury Bond Fund ETF Abbot Laboratories
100. Abbot Laboratories 101. Abbot Laboratories 102. H & Q Life Sciences Ivestors SBI
I. Income Gain Codes: (See Columns B 1 and IM) 2. Value Codes (See Columr~ 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 =$25.009.001 - $50.0~0.000 Q =Appraisal U =Book Value
B :$1,001 - $2,500 G =$100.001 - $1,000.000 K =$15,0OI - $50.000 O =$500.001 - $1.000.000 R ~ost tReal Estate Only) V =G~h~
C =$2.501 - $5,000 I 11 =$1,000,001 - $5.000,0OO L =$50.0OI - $100.0OO PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,001 - $15,000 112 =More than $5.000.000 M =$100.0OI - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Marke~
E =$15.0~1 - $50,000
Vll. INVESTMENTS and TRUSTS - inco,~e, value, tru,~actlo~ anel~d,~ those of spouse and dependent children: see plx 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 (I) (2)
Amount Type (e.g.,
Code 1 (A-H)
(Q-W) 103. H & Q Life Sciences Ivestors SBI 104. Enterprise Products Partners LP 105. Powershares Global Exchange Trades FD TR Weekly VRDO Tax Fre 106. Teco Energy Inc 107. Blackrock Income Trust Inc 108. Blackrock Income Trust Inc 109. Blackrock Income Trust Inc 110. Blackrock Income Trust Inc 111. Blackrock Income Trust Inc 112. Blackrock Income Trust lnc 113. Blackrock Income Trust Inc 114. DWS Dreman Value Income Edge Fund Inc New 115. DWS Dreman Value Income Edge Fund Inc New 116. DWS Dreman Value Income Edge Fund Inc New 117. DWS Dreman Value Income Edge Fund Inc New 118. DWS Dreman Value Income Edge Fund lnc New 119. DWS Dreman Value Income Edge Fund Inc New B None B Distribution A A D Dividend Dividend Dividend None None None None None None Dividend None None None None None M Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) 01/20/10 01/20/10 03/19/10 03/20/I 0 04/08/10 07/26/10 10/12/10 01/13/10 03/19/10 03/20/10 04/08/10 09/02/I 0 11/26/10 J K K K K K K J J .I J J K C K Sold 03/09/10 L Buy (addl) 07/26/10 J
I. Income Gain Codes: (See Columns BI and D4) 2. Value COd~ (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100.000 J =$15.0~0 o~ 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 - $1.000.0~0 K =$153301 - $50.000 O =$500.001 - $1.000.000 R =Cosl (Real E.slate Only) V -~lher
C =$2,501 - $5.000 I11 =$1.000,00l . $5.0~0.000 L =$50.0~1 - $100.00~ PI =$1.0~0.001 - $5.000.000 P4 =More lhan $50.000.000 S =Assessment W =Eslimalcd
D =$5.001 - $15.000 112 =More than $5.000.0D0 M =$100.1~)1 - $250.0~0 P2 =$5.000.001 - $25.000.0~0 T =Cash Markel
E :$15.001 - $50.000
VII. INVESTMENTS and TRUSTS -inco,.e, volue, ~ra,~o,~io,~ tlncludes those of spouse and dependent children see pp. 34-60 of filing instruction&)
---] NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
120. DWS Dreman Value Income Edge Fund Inc New 121. Franklin Investors Sees Tr Adjustable US Govt Sees Fund 122. Franklin Investors Sees Tr Adjustable US Govt Sees 123. Gabelli Dividend & Income Fund 124. Gabelli Dividend & Income Fund 125. Gabelli Dividend & Income Fund 126. Gabelli Dividend & Income Fund 127. Ishares Trust Barclays 1-3 Yr Credit Bond Fund ETF 128. H J Heinz Co 129. Eli Lilly & Co 130. Statoil Asa Sponsored ADR 131. Statoil Ass Sponsored ADR 132. Statoil Asa Sponsored ADR 133. St Jude Medical Inc 134. Windstream Corp 135. M & I Marshall & llsley Bk Milwaukee Wis C/D FDIC DUE 2/26/2 136. United Westem Bk Denver Co C/D FDIC Ins to Limits Due 6/30/ A A C A A A B A
None Dividend None Dividend None None None Dividend Dividend Dividend Dividend None None None Dividend None Interest J J T T M J J J T T T T K T K T
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Sold (part) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Sold (part) Buy (addl) Buy (addl)
12/10/10 01/04/10 02/0 [ / [ 0 07/26/10 01/13/10 03/19/10 07/26/10 04/20/10 04/08/10 04/08/10 04/08/I 0 08/24/10 ! 11/03/10 04/08/10 04/08/10
K J J K K K K K J J J J J J J K K
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 or less F =$50.001 - $100,000 J =$15.000 o less N =$250.1~1 - $500.000 P3 =$25.000.001 - $50.000.0~O Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1.000.000 K =$15.1)01 - $50.000 O =$500.001 - $1.00(1.000 R =Cost (Real Estate Only) V =Olhcr
C =$2.501 - $5,000 |tl =$1.000,001 - $5.000.000 L =$50.0OI - $100.000 PI =$1.000.001 - $5.000.000 P4 =More ihan $50.000.000 S =Asst:ssment W =Estimalcd
D =$5,001 - $15,000 112 =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
FINANCIAL DISCLOSURE REPORT Page 13 of 16 VII. IN VESTMENTS and TRUSTS - i.c ......
lue, transactions (Includes those of spouse and dependent eMldren; ~et pp. 34-60 of filing instructions.)
Income during reporting period (t) (2) Amount TyI~ (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period (i) (2) Value Value Code 2 Method (J-P) Code 3
Identity of buyer/seller
(if private
transaction) L L T Buy Buy (addl) Buy (addl) Buy (addl) O K T Buy Sold (part) Buy Buy (addl) Buy (addl) K K T T Buy Buy Buy (addl) K T Buy Buy (addl) K T 05/20/10 K 12/10110 J 10/I 1/10 K 11/03/10 t2/10/10 03/22/10 03/22/10 05/20/10 07/26/10 08/02/10 K J K K J J J K 08/24/10 10/12/10 11/04/10 12/10/10 J K K K
137. Schwab CA Muni Money Fund Cash Money Market Fund 138. Western Asset Emerging Mkts Income Fd lnc 139. Western Asset Emerging Mkts Income Fd Inc 140. Western Asset Emerging Mkts Income Fd Inc 141. Western Asset Emerging Mkts lncome Fd Inc 142. RBC Prime Money Market Cash Reserve 143. H & Q Healthcare Investors SBI 144. H & Q Healthcare Investors SBI 145. NFJ Divid Int & Prem Strategy FD 146. NFJ Divid Int & Prem Strategy FD 147. NFJ Divid Int & Prem Strategy FD 148. Ishares TR 2012 S&P AMT Free Municipal Ser FD 149. Ishares TR 2013 S&P AMT Free Municipal Ser FD 150. Ishares TR 2013 S&P AMT Free Municipal Ser FD 151. Ishares TR 2014 S&P AMT Free Municipal Ser FD 152. Ishares "YR. 2014 S&P AMT Free Municipal Ser FD 153. Managed Duration Invt Grade Mun FD
A B
A B
A A
Dividend None
Dividend
1. Income Gain Codes: (See Columns B 1 and D4 ) 2. Value Codes (S~ Columns CI and D3) 3. Value Method Codc~ (S~e Column C2)
A =$1.000 or less F =$ 50,001 - $ 100,000 J =$15.000 or less N =$250.0OI - $500.000 P3 =$25,000.001 - $50.090,000 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,O00.00~ R =Cost (Real Estalc Only) V =Other
C =$2,501 - $5,000 I I I =$ 1.000,001 - $5.000.000 L :$50,001 - $100.00~ PI -$1.000.001 - $5.000,0OD P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,001 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.01~ P2 =$5.000,001 - $25,000.000 T =Cash Market
E =$15.001 - $50,000
V I I. 1 N V E S T M E N T S a n d T R U S T S -income, ,alue, #o~oc,lo~, tlnclud~ ,hose of spouse and dependent children; see pp. 34-60 of fillng instructlons.)
NONE (No reportable income, assets, or transactions.)
Dc,scription of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period I (t) (2) Amount Type (e.g., Code I div., rent, i (A-H) orint.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method
(J-P) Code 3
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
(Q-w) 154. Managed Duration Invt Grade Mun FD 155. Ishares TR S&P Short Term Nail Amtfr 156. Textron Inc 157. Textron Inc 158. Templeton Income TR Global Total Return FD ADV CL 159. Vanguard Scottsdale Funds Vanguard Short Term Corp Bond ETF 160. California St Dept Zero 6.7% (X) See Part VIII 161. Allegheny Energy Inc. (X) See Part VIII 162. Russell Money Market S 163. Tamarack Instl Prime Fd 164. Gabelli Glbl Util Inc Trust (Y) See Part VIII
A A A
Sold (part) Buy K Buy Buy (addl) K L T T Buy Buy Redeemed T Sold Sold
03/19/10 J 04/08/10 O
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 or less F =$50.001 - $100,000 J =$15.0~0 or Inss 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 Eslalc Only) V =O~hcr
C =$2,501 - $5,000 Itl =$1.000,001 - $5.000.000 L =$50.0OI - $100.000 PI =$1.000.001 - $5,000,000 P4 =Mo~e Ihan $50.000.000 S =Assessment W =Estimated
D =$5,001 - $15.000 112 =Morn than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000,000 T =Cash Markc~
E =$15,001 - $50.000
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 ~NILFULLY FALSIFIES OR FALLS 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 2-30! One Columbus Circle, N.E. Washington, D.C. 20544