Professional Documents
Culture Documents
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
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 form must be followea~ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
2. 3. 4. 5.
Zouharv, Jack
III. NON-INVESTMENT INCOME. ~Reporang individual and spouse; see pp. 17-24 o:filing instructions.)
A. Filers Non-Investment Income
~] NONE (No reportable non-investment income.)
DATE
2. 3. 4.
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.)
DATES
1/20-21/2010
LOCATION
San Antonio, TX
PURPOSE
Justice and Public Safety Retreat ACTL Task Force on Discovery Employment Discrimination Seminar Spring Meeting
2.
University of Denver
1/28-29/2010
Denver, CO
3.
ACI
2/25-26/2010
New York, NY
4.
314-7/2010
Palm Desert, CA
5.
7/8-9/2010
Denver, CO
V. GIFTS. ancludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. aneludes those oyspouse und dependent ~hildren; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
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.)
Description of Assets (including trust assets)
B, Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.l
C. Gross value at end o~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 (5) (2) (3) (4) Identity of Date Value Gain mm/dd/yy Code 2 Code I .... buyer/seller (if private (JrP) (A-H) transaction)
1. DTE Energy*
2. Trust #1 G
Dividend Int./Div. P2 T
3. - Boeing*
4. - DCT Industrial Trust*
14. 15.
~c.~ ,ncom,. ~a,n Codesi (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 (3 =$100,00i ~ $1,000,000 K =$15,001 o $50,000 0 =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H t =$t 000 001 : $5 000.000 L ---$50,001 - $100,000 Pi ~-$1 000.00i- $5,000;000 P4 =More thin $50!000~000 S =Assessment W ~Estimated
D =$5,001 - $15,000 H2 =More than $3.000.@0 : M =$100 001 - $250,000 P2 ~$5;000~001 ~ $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS an d TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
---] NONE (No reportable income, assets, or transactions.)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33.
-BPPLC* - Cardinal Health Inc Ohio * - Coca Cola* -Eaion* - Centurylink* - HSBC Holding* - JP Morgan Chase* - Key Corp* - McDonalds* -Merck&Co* - PNC* - Royal Dutch Shell* - Bristol-Myers Squibb* - Conoco Philips* - CBS* - Colgate Palmolive*
Sold
!10/05/10
Sold
10/05/10 J
34.
- ConagraFoods*
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Cohlmn C2)
A=$1 000 or [ess : F=$50~001 r $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 - $t,000,000 K =$15,001 - $50.000 O =$500;00t ~ $1~000~000 R -Cost (Real Estate On!y) V =Other
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - income, vutue, trunsactions (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 1 div., rent, (A-H) or int.) D. Co: ............ ............. Transactions during reporting period Gross value at end of reporting period (1) (2)
(5)
(J-P)
Code 3
redemption)
(J-P) : (A:H)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
- Du Pont E I DeNemours* - HCPInc. * - Olin* - Oracle* - Walgreen* - Whole Foods* - Tradewinds NWQ Intl Value (Fund) - Cohen & Steers Intl (Fund) - Blackrock National (Fund) - Nuveen Ohio Mun (Fund) - Sprint Nextel* - Stryker* - Windstream* - Wisconsin Energy* - 3 M* - Eaton Vance Ohio Mun (Fund) - Eaton Vance Tax (Fund) Sold 12/31/10 K
i. tn~6me G~ihcodesi
.....
A ~$1,ooo or less
F--$~0~001-
2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Cohunn C2)
0=$500,00,- $t,ooo,ooo
R =Cost (Real Estate Only) V =Other
E=$15,001-$50,000
VII. INVESTMENTS and TRU STS - income, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
C. Gross value at end of reporting period (4) {5) Type (e.g., buy~ sdl, redemption)
(1) (2) (1) (2) = (1) (2) (3) Value Type (e.g., Value Amount Cod~ I .... div., rent, Code2 Method (A,H) : or int.) (J-P) Code 3 (Q_~
Date mm/dd/yy
52. - Amgen*
53. - Johnson & Johnson*
54. - Microsoft*
55. 56.
- Verizon Communications*
- Alcatel Lucent*
- Vanguard Ohio Tax,Free Fund - Dividend Capital Total Realty Trust - Deutsche Bank PFD Trust IX - I Shares TR S&P National Mun Bd Fund
- NCR* - TeraData* Sold Sold 11/02/10 J A
05/I2/10 K
A @$i;090:or !ess I. Income Gain ~des: (S~ c~i~mfis B} ~nd D4)~ ~$~6~1 ~ $i~;000 .... J =$t5.~0 or I~s 2. Value Cod~ N =*250,~1 - *5~.~ (See Coh,mns CI and 03) P3 =$25,000.~ 1 - $50.000.0~ 3. Value Method C~es Q =Appraisal (See Column C2) U =B~k ValUe
B ~$i;O0i fi $2i500 K ~$15,~I - $507~0 O =$500;00i ; $! ~0~0 R =Cost (Real ~tate Only) V =Oth~
C =$2,501 - $5,000 H1 =$t.~,~1 - $5,~,~0 L =$50,001 - $100 ~0 PI =$L@,001 + ss;000;@ P4 =More than $50~000 000 S =As~ssment W =Estimated
O =$5,001 - $15,000 H2 =More than $5,~0,000 M =$100,~1 - $250.~0 P2 =$5 000 001 - $25,000.000 T =C~h Market
E =$15,001 - $50.000
VII. INVESTMENTS an d TRU STS - inco,.e, vatue, ~ansactions ancludes those of spouse und dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during Gross value at end Transactions during reporting period (1) Type (e.g., (2) (3) (4) ......... Date Value Gain (5} Identity of
reporting period
(t) (2) Amount : Type (e.g.
of reporting period
(1) (2) Value Value
Code 1 (A-H)
Code 2 (J-P)
Method Code 3
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
- Waste Management* - Verifone* - Real Estate Property No. 1 (Darke County, Ohio) - Real Estate Property No. 2 (Darke County, Ohio) - Real Estate Property No. 3 (Darke County, Ohio) - Capital One (Accounts) - Fifth Third Bank (Accounts) - Merrill Lynch (Accounts) - Key Bank (Accounts) - Thomas McDonald Partners (Accounts) (cash) - Various Municipal Tax-Exempt Bonds (Lines 80-99) - Greene County (Bond) - Cincinnati Urban Redevelopment (Bond) - Ohio State Water Development (Bond) - Westlake Ohio City School (Bond) - Cleveland Public Power (Bond) - Wadsworth School Improvement (Bond) Redeemed 12/01 / 10 Redeemed 10/01 / 10 K
Sold Sold 12/30/10 N 12/30/10 M G G Sold 09/03/10 J A
A:#$!~O00 or less 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15~000 Or less N =$250~001 - $500,000 , P3 =$25,000.001 - $50,000,000 Q =Appraisal U =Book Value
13 =$1;001: + $2;500 .... G~$100,00i ~ $1,000,000 K =$15,001 - $50,000 O =$5001001- $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 =$1,000.00i - $5.000,000 P4 =More than $50,000,000 S =Assessmcm 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 an d TRU STS - income, volue, ~ansuctions ancludes 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) 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) (!) :Type (e.g., buy, sell, redemption) D. Transactions daring reporting period (2) (3) (4) Date Value Gain mm/dd,~y Code 2 Code 1 (J-P) (A,H) (5) Identity of buyer/seller (if private transaction)
- Marysville School District (Bond) - Waverly City School (Bond) - Barberton City School (Bond) - Springboro Sewer System (Bond) - Millcreek - West Unity School (Bond) Redeemed 12/01/10 K
91. - Toledo Sewer System (Bond) 92. 93. 94. 95. 96. 97. 98. 99. - Akron Economic Development (Bond) - Anthony Wayne Local School (Bond) - Butler County Sewer System (Bond) - Ohio State Higher Education (Bond) - Lakewood City School (Bond) - Elida Local School (Bond) - Buffer County Transportation (Bond) - Lorain Water System (Bond)
A~$1;000 or lesg :: (S~ C~lumns B1 and D4)F--$50.001 : $100,000 J =$15.000 or less 2. Value Codes (See Columns CI and D3) N =$250~001 - $500,000 P3 =$25,000.001 - $50.000.000 Q =Appraisal 3. Value IMelhod C~les (See Column C2) 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 ! =$1,000,001 - $5,000,000 PI =$1,000.001 ~ $5,000,000 P4 =More than $50.000~000 S -Assessment W Estimated
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS -- income, value, ~ansactlons ancludes those olsponse and dependent children; see pp. 34-60 o~dlng 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) (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) (1) D. Transactions during reporting peri0d (2) (3) (4) (5)
Code3 (Q-W)
redemprion)
(J-P)
tA-H)
103. - VGT 104. - VWO 105. - Fairpoint Communications 106. - Franklin High Yield (FRHIX) Fund 107. - Blackrock Short Municipal (MALMX) Fund
118. - Carefusion
119. - NBH
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 =$100i001 ~$ :000 000 K =$15,001- $50,000 0=$500,001-$1,000~000 R =Cost (Real Estate Only) V =Other
D =$5,00t - $15.000 E=$15,001 - $50.000 C =$2,501 , $5.000 H2 =Morethan $5.000,000 ....... : ......... HI =$1 0001001, $5~000,000 M--$i00.001 : $~50i000 L =$50,001 : $100;000 P2 =$5;000,001 ~ $25,000~000 PI =$1 ~00,00! ~ $5 0O0;000 P4 :M~te thafi $50!000;000 .... T =Cash Market : S =ASseisment W =Estimated :
VII. INVEST MENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
[] NONE
(No reportable
122. - LDLFX 123. - Montgomery County Ohio Rev (Bond) 124. - Ohio State Higher Education Fac. (Bond) 125. - Greene County Hosp. (Bond) 126. - Am. Mun. Power OH Rev (Bond) [27. - Met Life Bank (Account) 128. - Frontier 129. - Banco Santander 130. - Diageo 131. - Kimberly Clark 132. - Monsanto 133. - Philip Morris 134. - STEC 135. - Blackrock Build America Bond Fund 136. - Lord Abbett Floating Rate Fund Redeemed 10/30/101 L J J K K K K J K L
Spinoff 07/08/I0 i (from line 61) Buy Buy Buy Buy Buy Buy Buy Buy 04/27/10 05/06/10 01/22/10 09/28/10 01/29/10 01/22/10 10/21/10 02/09/10
A ~$1 ;000 0r less 1. income Gain Codes: (see COlumns BI and 04)F:~$50,001 ~$100,000 ..... J =$15,000 or less 2. Value Codes (See Col .....CI and 03) N =$250,001 ~ $500.000 P3 =$25,000,00i, $50;000~000 3. Value Method Codes Q =Appraisal (See Cohunn C2) U =Book Value
B =$1,001 - $2.500 (3 --$100i001 ~ $1,000,000 K =$15,001 - $50,000 O =$500,00t - $1,000.000 R --Cost (Real Estate Only) V =Other
C =$2,501 - $5.000 HI --$t,000~001 ~ $5 000 000 L =$5o~ooI ~ $ib610o0 PI =$1100~i00i : $51000,0D0 P4 =More than $~0;000;000 S =Assessmdnt W =Estimated
M ~Si3~.00i ~6~0oo
: .... T--Cash Market :
VII. INVESTMENTS and TRUSTS - income, volue, transactions (Includes those of spouse and dependent children see pp. 34-60 of filing instructions.)
[]
137. - National City Cap. Tr. Pfd. 138. - Morgan Stanley Pfd. 139. - USB Cap. XI Pfd. 140. - Bank One Cap. VI Pfd. 141. - Gabelli Utilities Fund 142. ]iRA #1 143. - Bond Fund of America (BFAFX) 144. - Calamos (CVTEX) 145. - Gateway (GATEX) 146. - Munder Mid Cap (MGOAX) 147. - Oppenheimer Intematonal (OIBAX) 148. - Pennsylvania Mutual (PENNX) 149. - Thomas McDonald Money Market Fund 150. - I Shares Russell Midcap (IWS) 151. - Growth Fund of America (GFAFX) 152. - Henderson European Focus 153. - Thomburg International Value (TGVIX)
Int./Div. N
K K K K K
1, lngome Gain Codes: (See Columns B1 and D4/ 2. Value Codes [See Columns CI and D31 3. Value Method Codes (See Column C2)
A=$L000 or [gas 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
=$1.001 - $2.500 G =$10C.001 - $1.OO0,000 =$15.001 - $50.000 =$500.001 - $t.000.000 =Cost (Real Estate Only) =Other
C =$2,50t ~5,000 H1 =$1,000.001 -$5.000.000 L =$50.001 - $100,000 P1 =$I.000,001 - $5.000.000 P4 =More than $50,000.000 S =Assessment W =Es~ima~ed
D =$5.001 - $15.000 H2 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 2~ =Cash Markel
E =$15.001 -$50.000
VII. INVESTMENTS and TRU STS - ineome, vulue, ~..~uetions andu#es those olspouse und dependent children; see pp, 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
~:
(inCluding ~ as~)
157. - Dodge & Cox Income (DODIX) 158, - Gabelli Utilities Fund (GABUX) 159, - BAC Cap. XII Pfd. 160, IRA #2 161, - DFEOX 162, - DFITX 163, - DFREX 164, - DFLAX 165, - DFSHX 166, - VIPSX 167, - Schwab (Account)
168. - VBSSX
Buy Buy
01122/10 K 03/29/10 K
E =$t5,001 - $50.000
2. Value Codes (See Columns CI and D3) 3. Value Melhod Codes (See Column C2)
J =$15,000 or less K =$15,001 ~ $50 000 O --$500;001 - $1,000,000 N =$250;001 - $500,000 ..... P3 =$25,000.001 $50~0~i000 R --cOSt (R~at Estate Only) Q =Appraisal U =BOok Value V Vo~her
VII. INVESTMENTS an d TRUSTS - income, value, ~ransactions ancludes those of spouse attd dependent children; see pp. 34-60 of filing instructions.)
~ NONE
(No reportable
171. IRA #3 172. - Morgan Stanley & Co. 173. - Microsoft (MSFT)* 174. IRA #4 175. - Blackrock Build America (BBN) 176. - Spider China ETF (GXC) 177. - Vanguard Total Market EFT (VTI) 178. - Dodge & Cox Income (DODIX) 179. Fifth Third Bank (Accotmts) 180. Key Bank (Accoums) 181. Rurban Financial 182. Fifth Third IRA (CDs) 183. John Hancock Venture 184. Reliastar Whole Life (Insurance) 185. US Savings Bonds 186. Washington County Ohio Health (Bond) 187. Citigroup (C)*
Int./Div.
Dividend
E B
T
Redeemed 12/30/101
J K M J K J K
T T T T T T T
A D A B A B
C --$2.501 - $5~000
D =$5,001 - $t 5 000
E =$15,001 - $50,0~0
H 1 =$1,000,001 - $5 000.000
2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15,000 or less N =$250,001 - $5001000 P3 =$25,000.001 r $50.000,000 Q =AppraisaI U =Book Value K =$15,001 - $50,000 : O =$5001001- $1,000,000 R --Cost (Real Estate Only) V =Other
P1 =$1,ooo.oo~ - $5;000.000
P4 =More than $50.000.000 S =Assessment W =Estimated
VII. INVESTMENTS and TRUSTS - income, vatue, trunsactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)~ after each asset exempt from prior disclosure Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end Transactions during reporting period (5) Identity of ..buyer/seller 0f privme transactionl
Value Type (e.g., Method ..... buy, sell, Code3 redemption) (Q_~
188. Coca Cola Enterprises (CCE)* 189. Walt Disney Company (DIS)* 190. FFD Financial (FFDF)* 191. Gliatech (GLIAQ)* 192. Motorola (MOT)* 193. Occidental Petroleum (OXY)* 194. RPM International (RPM)* 195. Tower Financial (TOFC)* 196. US Bancorp (USB)* 197. Huntington* 198. Orbital (OBTEF)* 199. Merrill Lynch CMA Funds (cash) 200. Sylvania Ohio City School (Bond) 201. Amgen (AMGN)* 202. Applied Material (AMAT)* 203. Ares Capital (ARCC)* 204. AT&T (T)*
A A A
J J J J J K J J J J J L K J J K K
T T T T T T T T T T T T T T T T T
A A A
A A
B B
A B A
: A~$i 000OrleSs : 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2) 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
~ =,100,00t - ,l,000,000
K $15,001-$50.000 O =$500,001 - $ I ~000.000 R =Cost (Real Estate Only) V =Other
C ~$2,50t - $5,000 H ~. =$t,000,00l - $5,000 ~00 L ~$50;001- $100,000 P4 =More than $50~000i000 S =AsseSsment W =Estimated ........
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!llng instructions.)
[]
205. Bristol-Myers Squibb (BMY)* 206. Coca Cola (KO)* 207. Conagra Foods (CAG)* 208. Eli Lilly (LL)* 209. Intel (INTL)* 210. KeyCorp (KEY)* 211. Marathon Oil (MRO)* 212: ML&Co Mitts S&P (MTSM) 213. Sony (SNE)* 214. Verizon Communications (VZ)* 215. Zimmer Holdings (ZMH)* 216. Goldman Sachs Fund (GHYAX) 217. Blackrock Mun Intermediate Fund (MUI) 218. Blackrock Muniholdings Fund (MHD) 219. Nuveen Fund (NZF) 220. Diversified Credit Oppty Fund 221. CBS (CBSA)*
A A A B A B A
J J J K J K J
T T T T T T T Redeemed 03/08/10 K
A A
K J J J K L K L J
T T T T T T T T T
A C B A
Dividend
I ~ Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
E =$15,001 - $50,000
F =$50.001- $100,000 .... G~$i00001 ~$ ;000,000 ..........H 1 =$1,000 001 ~ $5,000 000 =$250.00~ - $500.000
P3 =$25.000.001 - $50.000.000
=Appraisal =Book Value R =cost (Real Estate Only) V =Other
0 ~s500~oO~ ~ $ti000;000
VII. INVESTMENTS and TRUSTS - inco,~e, volue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
A. ....
Descriptio~ 0f Ag~ (includ ng ~t ~
:
:~ros~ re~i~g pefigd
(Q~ 222. Goldman Sachs (GSMAX) 223. Loomis Sayles (NEFZX) 224. Campbell Strategic 225. Merck (MRK)* 226. Ohio Water Dev (Bond) 227. Anthony Wayne School (Bond) 228. Lakewood City (Bond) 229. Cedar Fair (FUN)* 230. Royal Dutch Shell (RDSA)* 231. Deutsche Bank PrefTrust IX 232. Eaton Vance Nat Mun Fund 233. Waverly Ohio City Schools (Bond) 234. Barberton Ohio City Schools (Bond) 235. Springboro Ohio Swr System (Bond) 236. Millcreek-West University Ohio (Bond) 237. Verifone (PAY)* 238. Nationwide Bank (Accounts) C A B A A A B A A B A A A A A None Interest Interest Dividend Interest Interest Interest Dividend Dividend Dividend Dividend Interest Interest Interest Interest None Interest M T J J J T T T
Distributed 11/16/10
J J L J
T T T T
Redeemed 09/01 / 10
J K J K K K
T T T T T T Redeemed 12/01/10
1. income Gain Codes: ISee Colutrms 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 =$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 $56,000,000 S =Assessment W =Estimated
D =$5,001 - $15,0~0 H2 =More than $5.000.000 M =$100.001 - $250,000 P2 =$5,000.001 - $25,000,000 T =Cash Market
E =$15,~01 - $50,000
VII. INVESTMENTS and TRUSTS - income, vulue, ~an~ucao.~ (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
[]
239. Butler County (Bond) 240. Henderson International (HFOAX) Fund 241. IXJ 242. Pfizer (PFE) 243. VGT 244. VEU 245. Gigamedia Limited - G1GM 246. VOHXX 247. VOHIX 248. DFA US Core Equity (DFQTX) 249. DFA International Core (DFIEX) 250. DFA Emerging (DFCEX) 251. Schwab (Accoun0 (cash) 252. Bank of America (BAC) 253. VGK 254. Franklin High Yield Tax Free (FRHIX) Fund 255. Legg Mason Municipal High (STXAX) Fund
B A A A A A
K K K
T T T
Distributed Ii116/10
J J J K K M K K K J J J J T T T T T T T T T T T T T
A C B B B A A A A A
Dividend Dividend Dividend Dividend Dividend Interest Dividend .Dividend Dividend Dividend
i~:C01~ Bi ~nd D,I) 2. Value Codes (See Cot .... 1 and D3) 3. Value Method Codes (See Cohlmn C2)
F =$~0.001- $1001000 J =*| 5.000 or less N --$250 00i- $500 000 P3 =$25.000,00t - $50 000 000 Q =Appraisal U =Book Value
~ ~$100,00i : $i,000~000 K =*i500i ; $5~)i~0 O ~$500 ~0i ~ $ii000;00b R =Cost (Real Estate only) V =Other
H2 =More than $5,000,000 M =$!00,~! " $250;000 : e2 ~$~;~i00i $25,000;000 T =cash M~rket
VII. INVESTMENTS and TRUSTS - inco.,e, value, t~u,~uctions anaades those oSspo~se und dependent children; see pp. 34-60 of filing instructions.)
[]
NONE
256. PNC Bank (IRA) (CD) 257. Ohio State Higher Ed (Bonds) 258. Montgomery County Ohio Rev (Bonds) 259. Greene County Ohio Hos. (Bonds) 260. ATOIX 261. XLP 262. Dexcom 263. HEV 264. Met Life Bank (Account) 265. VFSTX 266. Banco Santander (STD) 267. Cisco (C1SCO) 268. Energy Sector Spdr. (XLE) 269. Kimberly Clark (KIvlB) 270. Kroger (KR) 271. Monsanto (MON) 272. National Bank Greece (NBG)
A C C B C A
Redeemed
04/15/10
B A A
Redeemed
10/28/10
J J J K J K J
A A A A
1. income Gain Codes: (See Columns BI and D4~ 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100,000 J =$15.000 or tess N =$250.091 - $500.000 P3 =$25.000.0~1 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2.500 ~3 ~$100.001 - $1.000.000 K =$15.0~1 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5.000 HI =$1,000,o01 - $5.000.000 L =$50.001 - $100.000 PI =$I,000.001 - $5.000,000 P4 =More than $5G.000,000 S =Assessment W -Estimated
D =$5.001 - $15.000 H2 =Mre than $5-000000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
E =$15.001 - $50.000
VII. INVEST MENTS and T RU STS - i, come, vai.e, ~a.sactio,~ (I, ci.des ,hose ol spo,se ~.d de, e,den, children; see pp. 34-60 of filing instructions.)
~-] NONE (No reportable income, assets, or transactions.)
273. National City Cap. Pfd. (NCC PRC) 274. Petroleo Brasileiro (PBR) 275. Qualcomm (QCOM) 276. Savient Pharmaceutical (SVNT) 277. Tortoise MLP Fund (NTG) 278. Blackrock Build America Fund (BBN) 279. Templeto~ Global Bond (TGBAX) 280. Lord Abbott Short Duv. (LDLFX) 281. Tortoise MLP Fund (NTG) 282. Frontier (FTR)
A A A
K J K J J K J K J J
T T T T T T T T T T
Buy Buy Buy Buy Buy Buy Buy Buy Buy Spinoff (from line 61)
K J K J J
A A A A A A
08/26/101 K
05/10/10 05/10/10 07/27/10 07/08/10 i J J K J
i~ i~(~ ~i~ ~i 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
A =$L000 0r less .... J =$15,000 or less N =$250,001 - $500~000 P3 =$25,000,00! - $50.000,000 Q =Appraisal U Book Value
B =$1,OO1 - $2~500 G =$tO0,OO1, Sl,000.000 K =$15,001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2.50t - $5,000 H1 =$1.000,001 - $5.1)00.000 L =$50.001 - $100,000 PI =$1~000,001 - $5,000,000 P4 =More than $50.000;000 S =Assessment W =Estimated
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