Professional Documents
Culture Documents
5b. [] Amended Report 7. Charal~rs or Office Address 313 United States Courthouse 320 Sixth Snee~ Sioux City, IA 51101 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance ,,,,ith applicable laws and regulations. Revle~,ing Officer I)a~e
IMPORTANT NOTES: The instructions accompanying this form must be followed~ Complete alt parts, checking the NONE box for each part ~,here you have no reportable information. Sign on lax/page.
NAME OF ORGANIZATION/ENTITY
3.
.-
II.
[~]
/-~.l.Jl~l~ IL, l1 IL~IN/~o (R~t*r~ing indi,~dual onl); see pp. 1,1-16 of filing ins,ructions.)
I.
Bennett, Mark W.
I. 2009 2. 2009 3. 4.
B. Spouses Non-Investment Income - tf ~.ou ~,~ married during an.r porlivn of the rep,,r~ing ).ear. ,omplete this
(Dolhvr amoun! not required e~cept for honoraria ) NONE (No reportable non-investment income.) DATE 1. 2. 3. 4. SOURCE AND TYPE
2.
1/29/09-2/I.,10
New York. NY
Seminar on International Human Ri,~hts National Conference on EEO Law Employment Law Institute DILl Employrnent Law Seminar Upper Mid~,est
3.
4,2/09-45/09
Orlando, FL
4. 5.
4;15,09~/17/09 4/29/09-5!209
Philadephia. PA Orlando. FL
6.
Minnesota CLE
5/27/09-5/28/09
St. Paul, MN
~ ....
IP ...... Itllrmrting
Dateof IleportL
Page 3 of 15
~E~Elr, ~,IARK W.
Employmen! Law lnstih~tc
7/19/2010
7.
6i9/09-6/I Z09
Lung Beach. CA
8.
9!17/09-9118/09
Des Moines, IA
Iowa Defense Counsel Meeting Ga~es Public Service Law Program Theee Slate Federal Bar Conference Filth Biennial Ohio Fcdearl Bench.,B ar Conference 2009 Fall Seminar 2009 Annual eke Program IACDL Seminar Federal Practice Seminar Co-Teaching law class
9.
10/4!09-10/7.09
Seattle. WA
10/8!09-10111109
I I.
10/21/09-10/23,09
Columbus. O|I
12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22.
NELA American Bar Associauon IACDL Iowa Slate Bar Association Drake Law School
aiclhre, lodging, meals airfare, lodging, meals mileage mileage mileage, ludging, meals
BENNETT, MARK V.
7/19,2010
[N
I. 2. 3. 4. 5.
3.
4.
5.
I.);ue of Rep.rl
<11
Pl~ce "(X)" afi~ each as~e~ ~xcmpt from prior di~losu~
Il! C~e 2
(J-P)
(2) Meth~
Code 3
~1~
buy. sell, rdcmpl~o~)
(21
~ (3) Code 2
~]-P)
14~ C(~c I
(A-HI
(51
buyer/seller (ffprivatc
C~ I
(A-H~
mmid~~
I.
2.
(IRA/Schwab)
Aim Global Health Care (Y)
None
None
3. 4. 5. 6.
7.
COlvl Fx:us Fund (Y) Columbia Selecl Opportunity Fund (Y) Columbia Value & Restructering Y) ttarding l.oevner Emerging (YI
Rainier Small/Mid Cap Equity" Portfolio (Y)
8. 9. I 0. I I.
12.
Schwab Money Market Fund (Y) Non-IRA (Fidelity Account) ANTX Berkshire Ilathaway
FB R Focus Fund
None
None None
None
J J
J
T T
T
Buy
Buy
04,27/09
08:03/09
J
J
None
Dividend
Dividend
Sold
I)ate,,f Report
Page 6 of 15
Vii. INVESTMENTS and TRUSTS -i .........
~ A (including I~Sl a~cts~ Place "(X~" after each as~t exempt ~om prior di~losure B ~ing period IAmount " ly~ leg. Code I ~ di~.. rc~l.
{A-H} ~ or mr]
~E~,-NETr, ~,~RK W.
.t ......... .,.,., a...~.ao,.,.,~ .z~p.,..,. ..u a,po.~o., ~,u ........
C of rcpomng p~r~ Valu~ ~odc 2
(J-PI
7,,IW20~0
pp. 3~-60of filint, in3truction~
Value Me0~
Code 3
Gain C~le I
, IAHI
Idemity of buyer/seller
Ofp~vate
Dividend
Closed Sold
J J J J A J C C
22. JDS Uniphase 23. 24. 25. 26. 27. 28. 29. 30 3 I. 32 33. 34. Pirnco Total Return C!ass C Surebeam Corp. Va~aguard Index FDS WasatchUItra Growth Miscellaneous Holdings lo,,va College Savings Account self-- no control Iowa College Savings Account.. conlrol CKG ACCT; Fidelity, t3ostoo MA Wells Fargo Checking Account 10~,z(Nebraska State Bank Checking
.A.CCOLIn|
Buy Sold
04..20.,09 04/13/09
J J A
K J J" J J N J
T T T T T W T
J J
IN ......
fP ..... Rrpor6ng
I)~lte of R~porl
V1 I. ! NV ESTM E NTS and T r U STS - i ......... ~,,. , ...... .,io,.,- (Inctudes ,how q.,~ ...... d dependent c~itd ....... pp. 34-60 ,(]iting instruaion~)
NONE (No reportable income, assets, or transactions.) A.
~cnp~ton of A>sets (including t~st asselM Place "( X F ~fier each ~sset exempt ~om prier disclosure Income during ~ning pent~ II~ ~ (2J i I Amoum ~ y~ (e g., div. rent. ~ Code I
a
(I) Vnlue C~e 2
C
(;ross value at end of repoOing penod 12} V~lue Metht~ ~ Q-W)
O.
Tr~nsacl~t,ns during re~mtng ~rit~ (t~ (2} (3} ~ (4J lypele g. Date Vzlue (;zin buy.. sell. m~;dd~yy C~e ~ Code I ~ ~ {5) Identity of _ 9 buyer/seller. transaction)
35.
LMTD PTRSHIP; Riverl?ont Assn; Des Moincs. ~MTD PTRSHIP-Shezrson Senior Income Fund [.MTD PTRSHIP-Shearson Coas~ Savings
N~ne
.I
36.
None
37. 38.
None
None
RESIDENTIAL LOT; Sioux City, IA IRA. Fidelity, A itn International Small Company (Y) Barclays Global Investors Funds
None
Non~
Buy
Sold
0WI 1/09
I 0/22/09
J
J J C
44. 45.
None None J T
Sold
05119/09
13uy {addl) Duy (addl) Buy (addl) Sold (part.I Sold (part1 Sold (part) Sold
J J J
46. 47.
48. 49.
J J
D ([7 I
12;02/09 12/28/09
50.
~ 51.
12,28/09
Ipa~)
O.,,.ofnep+., 7!19/2010
NONE ~Vo reportable income, assets, or transactions.) A. [)cscription of Assels Place "(X)" aft ..... h as~I exempt from prm{ di~losure B Incnme during !A,~unt ~ type leg.. ~ (t~de I d~., rent. ormtl I1 {A-H) C (;ross value D "-
52. 53. 54. 55. 56. 57. 58. 59. 60. 6 I. 62. 63. 64 65. 66 67. 68.
I~uy Sold
J J J J C
A A
Dividend Dividend
.I
T Buy laddl) Sohi 114/02/09 12/2g/f19 03/I 7.09 05q9/09 12."29.09 (191009 0g.24,09 09,2g,09 05,18.09 05119/09 09/29/09 05.:20,09 J .I J J J J J J J J J J D D D C D
Dividend
First Potomac RLTY FundX Aggressive Upgradcr Fund Ishares Inc. MSCI BRazil Index Fund IVA Worldwide Fund
A A A A
JP Morgan Russia
None
Buy
7,;19,~2010
70.
12/2809 12130/(19
J J
7 I.
Sold J
i72.
73. 74.
~,larket Veclors
None
I 1/16;09
J J
Dividend
Buy
75. 76.
77. 78.
12/29;09 09/14109
09/22109
J J
J
None
Dividend
Sold
Sold Buy (addl) Buy addl) Sold
D
C
None
()4,"08,09 05119z09
l J
79.
11..()3/09 ~
D ,,
Dividend Dividend
J K
Buy
J J
82. 83.
J :
84
Dividend
Buy
0%O8/09
85.
Buy (addl)
09/14.09
VII. INVESTMENTS and TRUSTS -i ........ i,..,, ......i,,..a...~.s.,,~,,~.4.w ...... ~..o.~ .... hita,,.:.,,,pv, s,.~o,/ui.x~ ........ ,~o.~
~ NONE (No reportable income, assets, or transactions.)
......... ~.
I including tr~: as~) Hace"(X)"a~erencb ~I exempl from prior d~sclosure
-"i
c
of re~mng period (I) [21 Value Value C~c 2 Melh~ ~.1 p~ Code3
D
(11 ~ 12) 1"3~ ~ 141 ly~[eg..~ Dale Value ~, Gain bu~. sell. ,m~ddyy ~ C~te 2 ~ C~e I rede~npuonl ~ II-P) (A-tt~ ~5) Idemityof buyertseller (if private j ~ [ ; I
rc~ing ~dod (I) ~ 1~) Amu~nt ~ Ty~eg.. Code I ~ di~. rent, : [.~-HI orml~
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 100. ProShares Ultra Short MSCI Emerging Mkt * See Notes Oppenheirner Gold & SPL Mincr~ds Perkins Discovery Quantitative Emerging Markets A A None Dividend None None Dividerad J T J J T T ProShares Ultra Sho~ Consume~ Se~ic~ Proghares Ultra Short FINES A None Dividend
Buy (addl) Buy iaddl) Buy laddl~ Sold (p~) 9old Buy (addll Sold ~ part) Buy (addl] Buy {addll Sold {part) Sold
09/22.09 11/I 6/09 I I/23,09 1224,09 05/08,09 05/08/09 05,13~09 05/14/09 08/12,09 08/26/09 09121 i09
J J J J J J J J J J J C C 13 E C
J J J J
C C
FINANCIAL DISCLOSURE REPORT Page I1 of 15 VII. INVESTMENTS and TRUSTS -i .......... ~ ...........
~ NONE (No reportable income, as.~ets, or A {
Dateo[ I~eoort
Z.IO/20m
transactions.) ~. C, of rcpomt)g Value C~)de 2 {I.P) Value Me~h~ (t~de3 Ty~ buy. sell, redemplionl D
{includmg tmsl ~sets) Place qXl" after each ~sel exen~pl from prior disclosure
Amount Ct~e I
{A-HI
mmld~yy
b~tyer/xeller
lifp~vale
103. UnitedSlS Na~ralGas 104. 105. 11)6 107. 108. 109. 1 I O. 1 I I. Vanguard Inflation I 12. 113. I 14. 115. 116. I 17. Wasatch 1st Source 118. Wasatch Itoisington US 119. IRA SmithBamey--] A Vangmard World FD Mega Cap A A Vanguard Index FDS Van Eck Emerging Markets
None None
09t11/09 05/19/00 08/24109 04/08109 05/0509 ! 05/08,09 09729,09 09i21/09 04/02/09 04/27/09 05/14,09 12,;29/09 040g.09 09/21 ,09 12/29z09
J J J J J C
None
J J J J J J J J J C E D C .
Dividend
Dividend
Buy Sold
None Dividend
J 1
T T
Buy
N =$250.001 - $51R).000
O =$500.001 - $
n ....
lP ..... Reporting
Date of Report
BENNETT, MARK W.
7:19/2010
VII. INVESTMENTS and TRUSTS - i ......... ,~ .......... tion, (In,l, de~ ,h ...... ~.[sp ........ d dependent ,hild ....... "pp..14-60 tfilinL, in.xtru,~ion.~)
NONE ~Vo r~7~ortable income, assets, or transactions.)
~ ~
Place "( x !" aficw each asset exempt lrom Wior disclosure
120.
Dividend
Buy
11/12:0q
121.
12.0[:09
122. Cilibank NA Soulh Dakola Bank Deposit Prowam 123. Conslellation En~e~ G~ 124. Oiamon~ Trust
Interest Dividend
Sold
11119:09
Sold J T
11/12/09
Notre
112,"09 Iq 2/09
Dividend
128. First IND Realty Trust 129. Franklin Income Advisor Class fX)
130. Franklin Income Fund Class C
A .a,
B
Dividend Dividend
Dividend
J J
J
T T
T
Buy
I 1,12/09
03/I 9/09
K K J K
E C
None A Dividend
Snld
135.
ING Groep
Sold
I 1/12/09
136
INGRussian Fund
None
Buy
05/I8/09
.I
I ~?.
Sold
12/0 I.O9
A A
Dividend Dividend
J K
T 2
Buy Buy
11/12/09 K
139. ]v~ As~I Strate~, Fund 140. 1~ Global Natural Resources 141. Lexington Realty Trust
I Itl2/09 I L12/09
None
Buy
Ntme
Buy
I 1/12/09
142. MFS Emerging Markets Deb Fund t43. National Bank of Greece
Dividend Dividend
Buy
I I,1209
A A
Sold J T
I 1/12,09
144 Op~nheimer Gold and S~cia[ Minderals Class C 145. Prvdenfial Financial Inc.
Dividend
A A
Interest Dividend J
Sold Buy
05.q8"09
.I
146.
T T
147.
Dividend
Buy
P3 -$25.000.001 - $50,000.000
[I
N ....
IP ..... Rer~rti.g
] BENNETT, I~IARK W.
7/19/2010 ]
SiRnalure__
NOTE: AN~" 1NDI\IDUAL WHO KNOWINGLY AND \VILFULLY FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
FII.ING INSTRUCTIONS Mail signed original and 3 additional copies to: Commitlee on Financial Disclosure Administrative Office ofthe United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544