Professional Documents
Culture Documents
1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app..,~ I01-111)
[] Initial
7. Chambers or Office Address 169 Joseph P. Keinnery U.S. CH 85 Marconi Boulevard Columbus, Ohio 43215
8. On the basis of the information contained in this Repor~ 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 followe,q Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
2. 3. 4. 5.
II. AGREEMENTS. mopo~ing indivlduul only; seo p,. 14-16 of filing instructlon~)
NONE (No reportable agreements.)
DATE
I. 2. 3.
Graham, James L.
III. NON-INVESTMENT INCOME. tRcpo.ing individual andspouse; scepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income ~] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
INCOME
(yours, not spouses)
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.)
~]
PURPOSE
2. 3. 4. 5.
V. GIFTS. ancl,,des those,o spouse,,nd depon,~,,,t chitd,en; soe p~,. 2S-3t of filing instructions.)
NONE (No reportable gifts.)
SOURCE I. 2. 3. 4. 5. DESCRIPTION
VALUE
VI. LIABILITIES. a, cludes ,hose o~" ~ouse a,d d,,e,d,,, children; see pp. 32-33 of filing instructions.)
D NONE (No reportable liabilities.)
CREDITOR
I. 2. 3. 4. 5. Farm Credit of Mid America FLCA
DESCRIPTION
Mortgage on Farm land-owned by Partnership-ltem 3-Part VII
VALUECODE L
VII. INVESTMENTS and TRUSTS - inco,.e, ,olae, 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) Place "(X)" after each asset exempt from prior disclosure 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 (t) (2) Value Value Code 2 Method (J-P) Code 3
(Q-W)
Apt BIdgs-Gahanna, OH (Franklin Co) -See Part VIII Parmership-Farm Land-Franklin Co. Ohio 3. 4. 5. 6. 7. 8. Huntington National Bank-Checking & Savings Accounts Gold&SilverCoins Evergreen Muni Money Market Fund Ohio St Bldg Auth Adult Corr - 5.25% Due 10/01/18 Ohio St Infrastructure - 5.75% Due 02/01/14 Wayne County OH -Duel2/01/10-4%
E D A
O O J K
Sold (part)
10/05/10
J J K K
A A B C C A C A B C A
Dividend Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend Interest None K J L K T T K M T T
Redeemed 12/01/10 L
9. Ohio St Site Dev - 3.4% Due 05/01/I I 10. Ohio St Hwy Cap Imp-4% due 05/01/11
II. Cincinnati Water SYS-5.00%-Due 12/01/20 12. 13. 14. 15. Ohio St WTR DEV Auth - 5.25% Due 06/01/I I Toledo OH CAP IMPR D - 4.18% Due 12/01/18 Bank of America 6.204%-Series D PFD Evergreen Muni Money Market Fund
Redeemed 06/21/10 K
16. Eaton Vance OH Tax Exempt Mutual Fund A 17. Astropower, lnc.
I. Income Gain Codes: (Sc Colurrms B I and D.I) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F ~$50.0~1 - $100,000 J ~$15.000 or less N =$250.001 - $500,000 P3 =$25.00~).0~)1 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G ~$I00,001 - $1.0~0.000 K -$15,0~1 - $50,000 O =$ 500.001 - $ I ,O00.OOO R =Cosl (Real Estale Onlyl V -Olhcr
C =$2,501 - $5,00~ H I =$1.000.001 - $5.000.0~)0 L :$50.001 - SI00.090 PI $ 1.00~).001 - $5.000.0~O P4 -More than $50.000.000 S =Asscssmcnl W =Eslimatcd
D =$ 5.001 - $15,00~ H2 -Fdore than $5,0~0.0~0 M $100,0~1 - $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 instruction~)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempl from prior disclosure B. Income during reporting period 0) (2) Amount Type (e.g., Code I 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)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27.
28.
Ballard Power Systems, Inc. Capstone Turbine Corp Electrosource, Inc. Plug Power, Inc. Geeknet, Inc. Bank of America Bd-6.204& -Due 09/15/I I CD-Pacific Cap Bk-4.25% due 03/14111 CD-Wachovia Bk-4.55% due 09/12/I I CD-Wachovia Bk-4.75% due 09/12/12 AIM Constellation Class A Mutual Fund
Note Receivable-Benevolent Landlord
J J
J J K K K K J
K
T T T T T T T
T
29.
R Sold Sold Sold Sold Sold 02/03/10 02/03/10 02/03/I 0 02/03/I 0 03/I 8/I 0 K J K J K
30. ~ BlackrockGlbl Alloc 31. ~Blackrock Glbl Alloc 32. ~ IVY Asset Strategy C| 1 33. ~ IVY Asset Strategy CI 1 34. ~ JPMorgan Chase & Co.
I. Income Gain Codes: {See Columns B I and D4) 2. Value Codes (See Columns 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 Estalc Only) V =Olhcr
C =$2,501 - $5,000 HI =S I .000.001 - $5.090.000 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 $5.000.000 M -$I00,001 - $250.000 P2 =$5,090,001 - $25,000.000 T =Cash Market
E =SIS.00I - S50.000
35. ll Kinder Morgan Energy 36. ~ Linn Energy LLC 37, ~ Loomis Sayles W/W Istl 38. ~ Loomis Sayles W/W Instl 39. ~ Pimco All Asset/Auth I 40. Wells Fargo Money Market Account
A A
Sold Sold Sold Sold Sold J K T T Sold (part) Sold Sold Sold Sold Sold Sold Sold Sold Sold Sold
K K K J K A B A
A B A A
4 I. ~ Altria Group 42. I~ American Electric Power 43. ~Cenovus Energy Inc. 44. I~ Chevron Corp 45. [~lCoca-Cola Company 46. ~ Encana Corp 47. ~ General Mills Inc 48. ~l Intel Corp 49. ~Verizon Communications 50. ~1~ WaI-Mart Stores, Inc. 5 I. [[~J[~[~ Waste Management Inc.
05/IZtl0 05111110 01119110 02110/10 05104110 02/01110 05/07/10 05/I 1/10 01/29/10 05/12/10 05/12/10
K K J K K .I K K K K K
A A A A A A A
B B
1. Income Gain Codes: {See Columns BI and D~ 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A -$1,000 or less F =550.O01 - $100.000 J -$15,000 or less N $250.0OI-5500,000 p3 = $25.000.001 . 550.000.000 Q =Appraisal U Book Value
B =$1.001 - $2,500 G =SI00.0OI - $1.0~O.000 K $15,001 - 550.000 O =$500,001 - $1,000.O0~ R =Cost (Real Estate Only) V Other
C =52.501 - $5.000 HI =51.0OO,001 - $5,0(~).0~O L =$50.0OI - 5100.0OO P I =$1.000.001 - $5,000,000 P4 More than 550,0~.0OO S =Assessment W =Estimaled
D =$5.0~1 - $15,000 H2 =More than $5,000.0OO M = $ 100,001 - 5250,000 P2 =$5,000,001 " $25,0(~,000 T =Ca,h Market
E =$15.001
VII. INVESTMENTS and TRUSTS - income, ralue, transactions (Includes those of spouse and dependenl children; seepp. 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
(2) (3) (4) Date Value Gain mm]dd/yy Code 2 Code I (J-P) (A-H)
(Q-W)
52. B C Dividend Interest K K
T T
54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
DPL lnc Sr Notes 6.875% Due 09/01/I I National City Corp CPN 4% Due 02/01111 Wells Fargo Money Market Fund Charles Schwab Bank Charles Schwab Money Market Dow Chemical 6.7% Note due 6/15/14 Middletown OH RFDG/IMPR3.75% DUE 12/01/19 Wells Fargo Bank Oh ST Inft/Impr 3.25% Due 08/01/20 Wells Fargo Adv Muni Money Market Fund Single Family Rental Columbus Oh-See Part VIII Bk ofAmerica CPN 5.15% Due 09/15/16 Bk ofAmerica CPN 1.30% Due 04/09/12 Wells Fargo Adv Muni Money Market Fund Wells Fargo Adv Muni Money Market Fund
C B A A A B A A B A D C A A A
Interest Interest Interest Interest Int.ff)iv. Interest Interest Interest Interest Interest Rent Interest Interest Interest Interest
L L N J J K K N K J M K J K K T T T T T T T T T R T T T T Open Open Buy Buy Open Buy Open Buy Buy Buy Open Open 02/03/10 02/03/I 0 01/13/10 01/13/10 01/13/10 01/13/10 01/13/10 04/23/I 0 01/13/10 04/09/10 01/13/10 01/13/10 J J K K N K J M K J L K
I. Income Gain Codes: (See 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 =$15,0~0 or less N =$250,001 - $500,000 P3 $25,000.001 - $50,00~.000 Q =Appraisal U =Book Value
B =$1.0~1 - $2,500 G =$100.001 - $1,000,000 K = $15.001 - $50,00~ O =$500.001 - $1,000.000 R =Cosl (Real Estate Only) V =Other
C =$2,501 - $5,0~) 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 =As~ssmcnl W =Eslimatcd
D =$5,001 - $15.000 H2 =More than $5,00~,000 M =$ 100.001 - $250.0~) P2 =$5,000,001 - $25,000.000 T :Cash Market
E =$15,001 - $50,0~0
VII. INVESTMENTS and TRUSTS - income, ,alue, transac,ion$ (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
(2)
Type (e.g., div., rent, or int.)
(2)
Value Method Code 3
(2)
Date
(3)
Value (J-P)
mm!dd!yy Code 2
69. 70.
None None None None None None None None None None None None None None A Dividend None None
Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy
08/09/10 08/12/10 05/03/10 05/06/10 03/05/10 03/18/10 03/05/10 05/06/10 03/23/10 05/06/10 03/24/10 05/06/10 03/24/10 05/06/10 04/22/10 05/06/10 02/09/10!
K K K K J J J J K K J J J J K K K
A
71. []-Abbott Labs 72. []-Abbott Labs 73. 1Apple Inc 74. 1-Apple Inc 75. 1-Apple Inc 76. I-Apple Inc 77. ~Apple Inc 78. []-Apple Inc
791
i-Apple Inc
I. Income Gain Codes: (See Columns B I and 13-I) 2. Value Codes {See Columns CI and D3) 3. Value Method Codes (Sec Column C2)
A =$1,009 or less F =$50.0OI - $ IOO,000 J = $15.0~ or les s N =$250.001 - $500.000 P3 = $25.00~.0~ I - $50.090,000 Q =Appraisal U =Book Value
B =$ 1.001 - $2,500 G =$100.0OI - $1,0OO.000 K -$15,001 - $ 50,000 O =$50~.001 - $1,000,000 R =Cost (Real Estale Only) V -Other
C =$2,501 - $5,0~0 HI =$1.000,001 - $5,0OO.0OO L :$ 50.001 - $ 100,0~0 PI =$1,000.001 - $5,000,0~0 P4 =More than $50,0~0.0~0 S =Assessment W =Eslimatcd
D =$5,001 - S 15,000 H2 =More than $5,0~O,0OO M =$100.0~ 1 - $250.000 P2 =$5.0~0.001 - $25,000.000 T =Cash Market
E =$15,001 - $50,0~0
VII. INVESTMENTS and TRUSTS - income, value, transactions ~lncludes those of spouse and dependent children; see pp. ~4-60 ol"lrling instructions.)
~ NONE (No reportable income, assets, or transactions.)
A. B. C.
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure
Income during reporting period O) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.)
Gross value at end of reporting period (i) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W)
Transactions during reporting period (2) (3) (4) Date Value Gain mnffdd/yy Code 2 Code 1 (A-H) O-P)
(5) Identity of buyer/seller lifprivate transaction)
None None None None None None None None None None None A Dividend None A Dividend None A Dividend None
Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold
03118/10 02/09/10 05/06/10 03/23/10 05/06110 07/13/10 07/14/10 04/22/10 05/05/I 0 05/03/10 05/05110 01/22/10 03/18/10 01/22/10 05/06/10 03/23/10 05/06110
K K K K K K K K K J J J J J J J J
ICisco Systems
88. /-Cisco Systems 89. /-Cisco Systems 90. /-Cisco Systems 91. []-Energy Select EFT 92. ~[1-Energy Select EFT 93. ~-Ford MotorCo 94. ~-Ford Motor Co 95. ~Ford Motor Co 96. [~-Ford Motor Co 97. [-Intel Corp 98. [-lntel Corp 99. [-Intel Corp 100. ~l-lntel Corp 101. [[[~-Intel Corp 102. ~l ntel Corp
I. Income Gain Codes: (see Columns B I and D4) 2. Value Codes (See Columns C! and D3) 3. Value Method Codes Isec Column C2)
A =$1,000 or Ices F ~$50.001 - $100.0~ 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 - $1.0~0,000 K =$ I 5,001 - $ 50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V -O~hcr
C =$2,501 - $5.000 HI =$1,0~.001 - $5.000.000 L =$50,001 - $ 100.000 PI =$1.000.001 - $5,000.000 P4 =More than $50,000.000 S =Asscssmcnl 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,~o, valae, 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 (I) (2) Amount Type (e.g., Code I 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) Transactions during reporting period (I) Type (e.g., buy, sell, redemption)
(2)
(3)
(4)
103. [-lntel Corp 104. I ntel Corp 105. ~l ohnson & Johnson 106. []-Johnson & Johnson 107. []-Johnson & Johnson 108. ~ ohnson & Johnson 109. W-Johnson & Johnson 110. W-Johnson & Johnson 11 i. [-Linn Energy LLC 112. [-Linn Energy LLC I 13. [-Linn Energy LLC 114. [-Linn Energy LLC I 15. []-Microsoft Corp I 16. []-Microsoft Corp 117. []-Microsoft Corp I 18. []-Microsoft Corp 119~[~-Microsoft Corp
Dividend None
Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy
04/15/10 05/06/10 01/22/10 03/18/10 01/22/10 05/07/10 01/22/10 05/07/10 01/22/10 03/18/10 01/22/10, 03/24/10 02/09/I 0 03/18/10 02/09/10 05/07/10 03/24/10
J J J J J J J J K K K K K K J J J A B A A
Dividend None
Dividend None
Dividend None
Dividend None
Dividend
I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (SeeColumasCI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $ 100,000 J =$I 5.000 or less N =$250.0~1 - $51~1,00~ P3 =$25.0(~.001 - $50.0~0.000 Q =Appraisal U =Book Value
B =$1.001 - $2.500 G = $ 100.0~ I - $1.0~0,0~0 K =$15,0~1 - $50.000 O $500.001 - $1,000,0~0 R -Cc~t lReal Estate Only~ V =Oahcr
C $2,501 - $5.000 H I =$ 1.0~0.001 - $ 5,0~).000 L =$50,001 - $10~.000 PI =$1,0~0,001 -$5,000,000 P4 =More than $50.009.00~ S =As,,.cssmcnt W =Estimated
D =$5.00| - $15,000 H2 -More than M =$100,001 - $250.000 P2 -$5.000.0~1 -$25,000.000 1 -Cash Market
E =$15,001 - $50,000
"atae, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructiong)
C. Gross value at end of reporting period
O)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(~)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W) Type (e.g., buy, sell, redemption)
None A A Dividend Dividend None None None None None None A Dividend None A Dividend None None None None None
Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold
05/07/10 03/24/10 05/06/10 01/04/10 02/03/10 05/03/10 05/06/10 07/13/10 07/14/10 01/22/10 03/18/10 01/22/10 05/06/10 03/18/10 03/24/10 03/18/10 07/02/I 0
J K K J J K K K K J J J J L L L L D A A A
1-Oracle Corporation
122. 1-Oracle Corporation 123. l-Pimco Asset All Authority 124. /-Pimco Asset All Authority 125. l-Scotts Miracle Grow Co 126. ~Scotts Miracle Grow Co 127. ~-Sector SPDR TR Technology 128. ~i-Sector SPDR TR Technology 129. I~-Xilinx Inc 130. []-Xilinx Inc 131. lil-xilinx Inc 132. ~Xilinx Inc 133. ~SPDR Gold Trust EFT 134. ~-SPDR Gold Trust EFT 135. ~I-SPDR Gold Trust EFT 136. ~I-SPDR Gold Trust EFT
I. Income Gain Codes: (See Colurrms B I and IM ) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,00~ or less F = 550,001 - $ 100.000 J =515,000 or less N -$250,001 - 5500.000 P3 =$25,000,091 - $50.000,090 Q -Appraisal U =Book Value
B =$1,001 - 52,500 G = $ 100.001 - 51,000,000 K $15.001 O =$500.001 - $1.000.0~0 R =Cost (Real Estate Only) V O~.h cr
C -$2,501 - $5,0~0 H I =$ 1,000.001 - $ 5.000,000 PI =$1,000.0~1 - $5.000,0~0 P4 =More than $50.0~,0.0~0 S =Assessment W =Estimalod
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.)
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 (l) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
Transactions during reporting period
137. I~I-SPDR Gold Trust EFT 138. []-SPDR Gold Trust EFT 139. []-SPDR Gold Trust EFT 140. BSPDR Gold Trust EFT 141. [~iSPDR Gold Trust EFT 142. ~-SPDR Gold Trust EFT 143. ~-SPDR Gold Trust EFT 144. MSPDR Gold Trust EFT 145. I~-Encana Corp 146. B-Encana Corp 147. B-BP 148. I~-BP 149. ~l-Nike lnc 150. ~-Nike Inc 151. ~l-Marathon Oil Corp 152. I~-Marathon Oil Corp 153. ~E.I. DuPonte
None None None None None None None None None None None None None None None None None
Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy
05/20/10 07/02/10 07/09/10 07/19/10 08/06/10 12/28/10 08/06/I 0 12/28/10 01/13/10 02/01/10 03/24/10 05/04/I 0 05/07/I 0 05/I 1/10 05/04/I 0 05/1 I/I0 03/24/10
K K L L K K J J K K K K K K K K K B D
A
I. Income Gain Codes: (See Columns B I and IM) 2 Value Codes (See Colurans CI and D3) 3. Value Method Codes tSec Column C2)
A = $1.000 or I~s 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 - $2,500 G =$ 100.0O I - $ 1.00O,00O K =$15,001 - $50.000 O $500.001 - $1,000,000 R =Cost (Real Estale Only) V =Other
C =$2,50 i - $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 =E:,timalcd
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
O)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
O)
Value Code 2 (J-P)
(2)
Value Method Code 3
Idemity of
(Q-W) 154. [-E.I. DuPonte 155. 1-Vefizon Communications 156. ~-Verizon Communications 157. ~lI-Kohls Corp 158. [-Kohls Corp 159. []-Johnson Controls 160. ~l ohnson Controls 161. [~Cummings Inc 162. [~-Cummings Inc 163. None None None None None None None None None Sold Buy Sold Buy Sold Buy Sold Buy Sold 05/11/10 02/12/10 05/12/10 03/24/10 05/12/10 01/13/10 05/12/10 04/29/I 0 05/12/10 K K K K K K K K K
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes ( Scc Columns C I and D3 ) 3. Value Method Codes tSce Column C2)
A =$1,000 or less F =$50,0~1 - $100,0~0 J =$15,0~0 or less N =$250,0~ I - $500,0~) P3 =$25,000,001 - $50,090,00~ Q =Appraisal U =Book Value
B =$1,001 - $2,500 G $100.001 - $1,0~0.0~ K =$15.001 - $50.0~0 O -$500.0~ I - $ 1,090,0~0 R -Cost (Real Estate Only) V =Olhcr
C =$2,501 - $5,0~0 HI =$1,0~,001 L =$50,001 - $ 100,0~ P I =$1,000,0~ I - $5,000,000 P4 =More than $50.0~0,0~0 S =Assessment W =Estimated
=$5,001 - $15,000 H2 =More than $5,0~,0~0 M =$100,001 - $250,000 P2 =$5,000,001 - $25,0@),000 =Cash Market
E =$ 15.00
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 emplo)anent 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