FINANCIAL DISCLOSURE REPORT Report Required by the Ethics ...€¦ · 29. Sold 08/10 K B 30. -Van Kampen Comstock Fund A None Sold 03/01 J A 31. -United Parcel Service Inc. common

POSITION

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Report Required by the Ethics FINANCIAL DISCLOSURE REPORT •AO JO in Government Act of 1978 Rev. 112007 FOR CALENDAR YEAR 2006 (5 U.S.C. app. §§ 101-111)

1. Person Reporting (last name, first, middle initial)

Conner, Christopher C

2. Court or Organization

Middle District Pennsylvania

3. Date of Report

05/14/2007

4. Title (Article HI judges indicate active or senior status; magistrate judges indicate full- or part-time)

U.S. District Judge - Active

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial Annual D Final

6. Reporting Period

0110112006 to

12/3112006

Sb. D Amended Report

7. Chambers or Office Address

P.O. Box 847 Harrisburg, PA 17108-0847

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 followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign 011 last page.

I. POSITI 0 NS. (Reporting i11dividual only; see pp. 9-13 of instructio11s.)

D NONE (No reportable positions.)

NAME OF ORGANIZATION/ENTITY ,._,

f.:::J =

I. Custodian Fidelity Advisor 529 College Savings Plans #I and #2g

2.

3.

4.

II. AGREEMENTS. (Reporti11g i11divid11a/ 011/y; see pp. 14-16 of instructio11s.)

[EJ NONE (No reportable agreements.)

PAR TIES AND

1.

2.

3.

SOURCE INCOME

2.

2.2006

5.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of17 05/14/2007Conner, Christopher C

III, NON-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of instructions.)

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.)

l.

AND TYPE (yours, not spouse's)

3.

4.

5.

B. Spouse's Non-Investment Income If you were married during any portion of the reporting year, complete this section. -

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2006 Widener University (part time law professor)

Commonwealth of Pennsylvania

3.

4.

JV. REIMBURSEMENTS -transportation, lodging,food, entertainmenl

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

D NONE (No reportable reimbursements.)

SOURCE DESCRIPTION

l. Colburn Bertholon Rowland July 23 and 24, 2006 - Hershey, PA - Meals, lodging and golf

2.

3.

4.

5.

DESCRIPTION YA LUE

4.

$ 750.00


05/14/2007Conner, Christopher C ' Page 3of17

V• GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

D NONE (No reportable gifts.)

SOURCE

l. 5 tickets to NBA basketball game Drew Anthon

2.

3.

5.

VI. LIABILITIES. (l11c/11des those of spouse and dependell/ children. See pp. 32-33 of instructions.)

[KJ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

4.

5.

FINANCIAL DISCLOSURE REPORT

Page 4of17

Name of Person Reporting


Date of Report

05/14/2007

VII. INVESTMENTS and TRUSTS income, vatue, transactions (btcludes those of the spouse and dependent childrer• see PP· 34-60 of filing - instrucnons.J

D NONE (No reportable income, assets, or transactions.)

A. B. C. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(1) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 ·buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

I. Commerce Bank/Harrisburg cash accounts A Interest J T

2. PNC Bank, NA cash accounts A Interest J T

3. Wachovia Bank cash account A Interest J T

4. Legacy Bank account (closed 2006) A Interest

5. Dow Chemical Company common stock A Dividend J T

6. PNM Resources Inc. common stock A Dividend J T

7. BROKERAGE ACCOUNT #7


9. - Van Kampen Comstock Fund Class A A Dividend J T

10. - Janus Advisor Forty Fund Class A A Dividend J T

11. - DWS Dreman High Return Equity Fund A Dividend J T (formerly Scudder)





16. - Fidelity Advisor New Insights Fund A Dividend J T Bought 04/19 J


I. Income Gain Codes: A =$1,000 or less 8=$1,001 - $2,500 C =S2,501 - $5,000 0=$5,001 - $15,000 E =$15,001 - $50,000

(See Columns Bl and 04) F=$50,00 I - SI 00,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J=$ 15,000 or less K =$15,001 - $50,000 L =$50.00 t - $100,000 M =$100,00 I - $250,000

(See Columns Cl and 03) N=$250,001 - $500,000 0 =$500,00 I - $1,000,000 Pl =$1.000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

Q =Appraisal S =Assessment 3. Value Method Codes R =Cost (Real Estate Only) T =Cash Market

(See Column C2) V =Other U =Book Value W =Estimated

L

A.

(2) (1) (3) (4) (5)

Date of Report Name of Person Reporting FINA:NCIAL DISCLOSURE REPORT

'Page 5of17 05/14/2007Conner, Christopher C

VII. INVESTMENTS and TR US TS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing - instructions.)


Description of Assets

D.B. c. Gross value at end of Income during Transactions during reporting period

reporting period reporting period (including trust assets)

(I) (2)(2) (I) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)




21. Conseco Life Insurance Co. - flexible life None J T insurance policy

22. MORGAN STANLEY IRA #1 (Rolled over to Merrill Lynch IRRA #1)

23. - Liquid Asset Fund (cash equivalent A Dividend Withdrawal 08/15 L (Roll-over to line account) 122)

24. Withdrawal 11/22 K (Roll-over to line 123)

25. - Small-Mid Special Value Fund None

26. Bought 01/04 K

27. Bought 01/20 J

28. Bought 03101 J

29. Sold 08/10 K B

30. - Van Kampen Comstock Fund A None Sold 03/01 J A

31. - United Parcel Service Inc. common stock None Sold 01/20 K

32. - Unit VK IPOX-30 Index Portfolio 2005-3 None Sold 03/20 K B

33. - Suncor Energy Inc. common stock A Dividend Withdrawal 08/09 K (Roll-over to line 124)

34. - Chesapeake Energy Corp common stock A Dividend

I. Income Gain Codes: A :::$I ,000 or less B =$1,00 I - $2,500 C =$2,50 I - $5,000 D =$5,00 I - $15,000 E =$15,00 I · $50,000

(See Columns Bl and D4) F=$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,00 I - $5,000,000 H2 =More than $5,000,000

2. Value Codes J=$15,000 or less K=$15,001 - $50,000 L=$50,00I - $I 00,000 M =$100,001 - $250,000

(See Columns C l and D3) N =$250,001 - $500,000 0=$500,001 - $1,000,000 P l =$1,000,001 - $5,000,000 P2 =$5,000,00 I - $25,000,000

3. Value Method Codes P3 =$25,000,00 I - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V=Other S =Assessmen t

U=Book Value W=Estimated

FINANCIAL DISCLOSURE REPORT

Page 6of17

Name of Person Reporting


Date of Report

05/1412007

VII. INVE s TMENTS and TR us Ts - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)


A. B. c. Description of Assets Income during Gross value at end of

(including trust assets) reporting period reporting period

(1) (2) (1) (2) (1) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g.

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption)

(Q-W)

35. Bought

36. Sold

37. - MGM Mirage common stock None

38. Bought

39. Bought

40. Sold

41. - Gold Fields Ltd. SP. ADR None Sold

42. - Unit Claymore Security Global Water A Dividend Sold Equities Port Series 2

43. - Unit VK Cohen & Steers Global Real A Dividend Withdrawal Estate Port 2005-4

44. - Pepsi Bottling Group Inc. common stock A Dividend Sold

45. - Constellation Brands Inc. Class A common None Sold stock

46. - Yum Brands Inc. common stock None Sold

47. - Medtronic Inc. common stock A Dividend Sold

48. - Ivy Global Natural Resources Fund Class None A

49. Bought

50. Bought

51. Withdrawal

D.

Transactions during reporting period

(2) (3) (4) (5) Date Value Gain Identity of

Month- Code 2 Code 1 buyer/seller

Day (J-P) (A-H) (if private

transaction)

01117 K

03/30 K B

01117 K

03/08 K

03/27 L D

01117 K D

05111 K D

08/09 K (Roll-over to line 126)

01/03 J A

04117 J A

01/03 J A

03/07 K D

03/07 K

03/14 K

08/09 L (Roll-over to line

I. Income Gain Codes: A =$1,000 or less 8 =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000

(See Columns 81 and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,00 I - $5,000,000 H2 =More than $5,000,000

2. Value Codes l =$15,000 or less K =$15,00 I - $50,000 L =$50,00 I - $I 00,000 M =$ 100,001 - $250,000

(See Columns CI and D3) N =$250,00 I - $500,000 0 =$500,001 - $1,000,000 PI =$I ,000,00 I - $5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V =Other S =Assessment

U =Book Value W =Estimated

J


·Page 7of17 05/14/2007Conner, Christopher C

VII. INVE s TME NTS and TR us TS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) -


A.


(including trust assets)

after each asset

exempt from prior disclosure

B.

Income during

reporting period

c.

Gross value at end of

reporting period

D.


(I) Amount Code 1

(A-H)

(2) Type (e.g.

div., rent,

or int.)

(l) Value

Code 2

(J-P)

(2) Value

Method

Code 3

(Q-W)

(1)

Type (e.g.

buy, sell,

redemption)

(2)

Date

Month-

Day

(3)

Value

Code 2

(J-P)

(4)

Gain

Code l

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

Place "(X)"

128)

52. - Henderson International Opportunities None Fund Class A

53. Bought 01103 J

54. Withdrawal 08109 L (Roll-over to line 130)

55. - Fidelity Adv. New Insights Fund Class A None

56. Bought 01104 K

57. Bought 01120

58. Withdrawal 08109 L (Roll-over to line 132)

59. - Williams Company Inc. common stock None Sold 01/17 K B

60. - Copa Holdings SA, Class A None Sold 02/22 K

61. - Talisman Energy Inc. None Sold 01123 K D

62. - Davita Inc. common stock None Bought 01/17 K

63. Sold 02115 K c

64. - Norfolk Southern Corp common stock A Dividend Bought 01123 K

65. Sold 02/22 K D

66. - Parlux Frangrancies Inc. common stock None Bought 03/07 K

67. Sold 03/08 K A

1. Income Gain Codes: A =$1,000 or less 8 =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000

(See Columns 81 and 04) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,00 I - $250,000

(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000


(See Column C2) Q ""'Appraisal V =Other S =Assessment


(1) (I) (I) (4)


Page 8of17 0511412007Conner, Christopher C

VII. INVE s TMENTS and TR us TS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) -


A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period

(2) (2) (3) (5)(2) Place "(X)" after each asset


Amount Code 1

Type (e.g.

div., rent,

Value

Code 2 Value

Method (A-H) or int.) (J-P) Code 3

(Q-W)

Type (e.g.

buy, sell, redemption)

Date

Month-Day

Value Gain Identity of

Code 2 Code 1 buyer/seller

(J-P) (A-H) (if private

transaction)

68. - Henderson European Focus Fund A None Bought 03/08 K

69. Bought 03/20 J

70. Withdrawal 08/09 L (Roll-over to line 134)

71. - Unit VK LBO Opportunity Fund 2006-1 None Bought 03/27 K


73. - Prime Income Trust common stock B Dividend Bought 04/24 K

74. Sold 11117 K

75. - Morgan Stanley Zero Coupon Notes due None Bought 04127 K 11/03/09


77. - Ivy Asset Strategy Fund A A Dividend Bought 05111 K


79. RENTAL PROPERTY, Mechanicsburg, PA E Rent N R (2004, $302,250)

80. MORGAN STANLEY IRA #2 (Rolled over A Dividend to Merrill Lynch IRRA #2)

81. - Ivy Global Natural Resources Fund, Class Withdrawal 08/09 J (Roll-over to line B 160)

82. - Small-Mid Special Value Fund Class B Withdrawal 08/23 J (Roll-over to line 161)

83. - Henderson International Opportunities Withdrawal 08/09 J (Roll-over to line Fund Class B 163)

84. BROKERAGE ACCOUNT #11 (Closed

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 0 =$5,00 I - $15,000 E=$15,001-$50,000

(See Columns BI and 04) F =$50,001 -$100.000 G =$100,00I - $1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L=$50,00l-$100,000 M =$100.00 I - $250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 - $1,000,000 PI =$1,000,00 I -$5,000,000 P2 =$5,000.00 I -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market


U=Book Value W =Estimated

A.



VII. INVESTMENTS and TRUSTS income, vatue, transactions (lnctudes those of the spouse and dependent children. see PP· 34-60 of filing instructions.) -




Place "(X)" after each asset


B. c. D.

Income during Gross value at end of Transactions during reporting period

reporting period reporting period

(I) (2) (I) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

2006)

85. - Cash equivalent accounts - Morgan Stanley A Interest Sold Bank

86. - Lockheed Martin Corp common stock None Sold

87. - United Parcel Service Inc. Class B A Dividend Sold common stock

88. - Unit VK IPOX-30 Index Portfolio 2005-4 A Dividend Sold

89. - Henderson International Opportunities None Withdrawal Fund Class A

90. - Ivy Global Natural Resources Fund Class None Withdrawal A

91. - Small-Mid Special Value Fund None

92. Bought

93. Partial sale

94. Sold

95. - Petro Canada Common stock None Sold

96. - Davita Inc. common stock None Bought

97. Sold

98. - Boyd Gaming Corp common stock A Dividend Bought

99. Bought

100. Sold

08115 K

01117 K B

01120 K

03/20 K

08/09 K (Transfer to line 166)

08/09 K (Transfer to line 167)

01120 K

07/26 J

08/10 K

01130 K c

01/17 K

02115 K B

01117 J

01/20 J

03110 K A

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,50 I - $5,000 D =$5,00 I - $15,000 E =$15,00 I - $50,000

(See Columns BI and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,00 I - $I 00,000 M =$100,001 - $250,000

(See Columns Cl and D3) N =$250,00 I - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000






VII. INVESTMENTS and TRUSTS income, value, transactions r111c1udes those of the spouse and dependent children. see PP· 34-60 of filing instructions.J -


A.



B.

Income during

reporting period

c.

Gross value at end of

reporting period

D.




(I)

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)

(1) Type (e.g.

buy, sell,

redemption)

(2)

Date

Month-

Day

(3) Value

Code 2

(J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

10 I. - Chevron Corp common stock A Dividend Bought 02/03 K

102. Sold 05109 K B

103. - Nuveen High Yield Municipal Bond Fund A Interest Bought 02/22 K A

104. Sold 06/21 K

105. - Henderson European Focus Fund A None Bought 03/10 K

106. Withdrawal 08/09 K (Transfer to line 169)

107. - Unit VK LBO Opportunity Fund 2006-1 None Bought 03/24 K


109. - Ivy Asset Strategy Fund A A Dividend Bought 05109 K


111. - Unit VK DJ Microcap Fund 2006-3 None Bought 06/21 K

I12. Withdrawal 08/10 K (Transfer to line 174)

113. FIDELITY ADVISOR 529 COLLEGE SAVINGS PLAN #1

114. - FA 529 Diversified International Portfolio None K T

115. - FA 529 Mid Cap Portfolio None K T

116. - FA 529 Small Cap Portfolio None K T

117. FIDELITY ADVISOR 529 COLLEGE

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,50 I - $5,000 0=$5,00 I - $15,000 E =$15,001 - $50,000

(See Columns BI and 04) F=$50,00 I - $100,000 G =$100,001 - Sl,000,000 HI =$1,000,00 I • $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,00 I • $50,000 L=$50,00 I - $100,000 M =$I 00,00 I • $250,000

(See Columns CI and 03) N=$250,00 I • $500,000 0=$500,00 I - $I ,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=Cash Market

(See Column C2) Q=Appraisal V=Other S ""'Assessment


(!) (5) (I) (2)


Page 11 of 17 05/14/2007Conner, Christopher C

VII. INVESTMENT s and TR us TS -- income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)


D.B. c.A. Gross value at end of Income during Description of Assets Transactions during reporting period

reporting period reporting period (including trust assets)

(I) (2)(2) (3) (4) Value ValueAmount Type (e.g. Place "(X)" after each asset

Code 1 Code 2 Methoddiv., rent, exempt from prior disclosure (A-H) Code 3 or int.) (J-P)

(Q-W)

Type (e.g. buy, sell, redemption)

Date Month-

Day


Code 2 Code 1 buyer/seller

(J-P) (A-H) (if private transaction)

SAVINGS PLAN #2

118. - FA 529 Diversified International Portfolio None K T

119. - FA 529 Mid Cap Portfolio None K T

120. - FA 529 Small Cap Portfolio None K T

121. MERRILL LYNCH IRRA #1

122. - ML Bank money market account B Dividend N T Deposit 08/15 L

123. Deposit 11/27 K

124. - Suncor Energy Inc. common stock A Dividend Deposit 08/10 K

125. Sold 11/09 K D

126.

127.

- Unit VK Cohen & Steers Global Real Estate Port 2005-4

A Dividend Deposit

Sold

08/10

10/06

K

K D

128.

129.

- Ivy Global Natural Resources Fund Class A

None Deposit

Sold

08/10

11/15

L

L D

130.

131.

- Henderson International Opportunities Fund Class A

c Dividend K T Deposit

Bought

08/10

10/02

L

K

132. - Fidelity Adv. New Insights Fund Class A None Deposit 08/10 L

133. Sold 08/17 L

I. Income Gain Codes: A ==$1,000 or Jess B =$1,001 -$2,500 c=$2,501 - $5,000 0=$5,001 -$15,000 E =$15,001 - $50,000

(See Columns Bl and 04) F=$50,00 l - $ l 00,000 G =Sl00,001 • $1,000,000 H l =$ l ,000,00 l - $5,000,000 H2 =More than $5,000,000

2. Value Codes J=$15,000 or less K=$15,00 l - $50,000 L=$50,001 - $100,000 M =$ l 00,00 l - $250,000

(See Columns Cl and 03) N=$250,001 - $500,000 0=$500,00 l - $ l ,000,000 pl =$ l ,000,00 l - $5,000,000 P2 =$5,000,00 l - $25,000,000

3. Value Method Codes P3=$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V=Other S =Assessment



Page 12 of 17 05/14/2007Conner, Christopher C

VII. INVESTMENTS and TR US TS - income, value, transactions r1nc1udes those of the spouse and dependent children. see PP· 34-60 of filing instructions.;


A.



B.

Income during

reporting period

c. Gross value at end of

reporting period

D.




(1) Amount Code 1 (A-H)

(2) Type (e.g.

div., rent,

or int.)

(1) Value

Code 2 (J-P)

(2) Value

Method

Code 3 (Q-W)

(I) Type (e.g.

buy, sell,

redemption)

(2) Date

Month -

Day

(3) Value

Code 2 (J-P)

(4) Gain

Code 1 (A-H)

(5) Identity of

buyer/seller

(if private

transaction)

134. - Henderson European Focus Fund A c Dividend M T Deposit 08/10 L

135. Bought 12/19 K

136. - Unit VK LBO Opportunity Fund 2006-1 None Deposit 08/10 K

137. Sold 10/06 K

138. - Morgan Stanley Zero Coupon Notes due None 11/03/09

Deposit 08/10 K

139. Sold 09106 K

140. - Ivy Asset Strategy Fund A A Dividend Deposit 08/10 K

141. Sold 10/02 K

142. - Hershey Company common stock A Dividend Bought 08/23 K

143. Sold 11/09 K

144. - MGM Mirage Inc. common stock None Bought 09/11 K

145. Sold 09106 K D

146. - Statoil ASA common stock None Bought 09/11 K

147. Sold 11/09 K A

148. - Valero Energy Corp common stock A Dividend Bought 09/11 K

149. Sold 12/11 K A

150. - Boyd Gaming Corp common stock A Dividend Bought 09112 K

I . Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 -$5,000 D=$5,00 I - $15,000 E =$15,00 I - $50,000

(See Columns BI and D4) F =$50,00 I -$I 00,000 G=$100,00l -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,00 I -$50,000 L=$50,001 -$100,000 M =$100,001 - $250,000

(See Columns Cl and D3) N =$250,001 -$500,000 0 =$500,00 I -$1,000,000 PI =$1,000,00 I - $5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V =Other S ""Assessment


I



VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of the spouse and dependent children. see PP· 14-60 of filing instructions.)


A.



Place " (X)" after each asset


B. Income during

reporting period

c. Gross value at end of

reporting period

D.


(!) 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)

(!) Type (e.g.

buy, sell,

redemption)

(2) Date

Month-

Day

(3) Value

Code 2 (J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

151. Sold 11/09 K D

152. - Yamana Gold Inc. common stock None Bought 10/02 K

153. Sold 11/02 K B

154. - Bristol-Myers Squibb Company common A Dividend Bought 10/06 K stock

155. Sold 11/09 K A

156. - Ness Technologies Inc. common stock None Bought 10/06 K

157. Sold 11/09 K c

158. - ML&Company LIRN RGER Notes due None K T Bought 11/30 K 6/7/2010

159. MERRILL LYNCH IRRA #2 B Dividend J T

160. - Ivy Global Natural Resources Fund, Class Deposit 08/09 J B

161. - Small-Mid Special Value Fund Class B Deposit 08/23 J

162. Sold 12/27 J A

163. - Henderson International Opportunities Deposit 08/09 J Fund Class B


165. - ML Bank USA money market account A Interest J T Bought 08/09 K

166. - Henderson International Opportunities A Dividend K T Deposit 08/09 K Fund Class A

167. - Ivy Global Natural Resources Fund Class None Deposit 08/09 K

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501. $5,000 D =$5,00 I - $15,000 E =$15,00 I - $50,000 (See Columns BI and 04) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,00 I - $50,000 L =$50,00 I - $I 00,000 M =$100,001 - $250,000 (See Columns CI and D3) N =$250,00 I - $500,000 0 =$500,00I - $ J ,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes P3 =$25,000,00 I - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market



A. B.

(I) (2) (2)

(A-H) (Q-W)



VII. INVESTMENTS and TRUSTS income, vatue, transactions (111ctudes those of the spouse and dependent children. see PP· J4-6o of filing instructions.) -


D.c.

Income during Gross value at end of Description of Assets Transactions during reporting period reporting period reporting period (including trust assets)

(2)(1) (!) (5)(3) (4) Gain Identity of ValueAmount Value Date ValueType (e.g. Type (e.g. Place "(X)" after each asset

Code 1 Month- Code 1 buyer/sellerCode 2Methoddiv., rent, Code 2 buy, sell, exempt from prior disclosure (A-H) or int.) Code 3 redemption) Day (J-P)(J-P) (if private

transaction)

A

168. Sold 11/15 K c

169. - Henderson European Focus Fund A A Dividend K T Deposit 08/09 K

170. - Unit VK LBO Opportunity Fund 2006-1 None Deposit 08/10 K

171. Sold 10/03 K

172. - Ivy Asset Strategy Fund A A Dividend Deposit 08/09 K

173. Sold 09/27 K

174. - Unit VK DJ Microcap Fund 2006-3 None Deposit 08/10 K

175. Sold 10/03 K

176. - MGM Mirage Inc. common stock None Bought 09/11 J

177. Sold 10/17 J B

178. - Statoil ASA ADR common stock None Bought 09/11 J

179. Bought 10/06 J

180. Sold 11/06 K B

181. - Gold Fields SP ADR common stock None Bought 10/06 K

182. Sold 11/06 K A

183. - Sunoco Inc. common stock A Dividend Bought 10/06 J

l. Income Gain ·codes; A =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,00 I - $15,000

(See Columns BI and D4) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5.000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,00 I - $I 00,000 M =SI00,001 - $250,000

(See Columns CI and D3) N =$250,00 I - $500,000 0 =$500,001 - $1,000,000 PI =$1,000,00 I - $5,000,000 P2 =$5,000,00 I - $25,000,000



U =Book Value W :=Estimated

E =$15,00 I - $50,000

A.

(2) (2) (2) (3)



VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those ofrhe spouse and dependent children. see PP· 34-60 of filing instructions.)


D.B. c.

Description of Assets Income during Gross value at end of Transactions during reporting period reporting period (including trust assets) reporting period

( l ) (I) (4) (5)( l )

Place "(X)" after each asset Amount Type (e.g. Value Value

exempt from prior disclosure Code l div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3

(Q-W)

Type (e.g.

buy, sell,

redemption)

Date

Month-

Day


Code 2 Code I buyer/seller

(J-P) (A-H) (if private

transaction)

184. Sold 11/15 J B

185. - Yamana Gold Inc. common stock None Bought 10/06 J

186. Sold 11/02 J B

187. - Powershares ETF Water Resources None K T Bought 12/21 K

188. - Powershares ETF Golden Dragon None K T Bought 12/21 K

189. - Claymore Zachs Yield Hog ETF A Dividend K T Bought 12/21 K

l. Income Gain Codes: A =$I ,000 or less B =$1,001 - $2,500 C =$2,50 I - $5,000 D =$5,00 I - $15,000 E =$15,00 I - $50,000

(See Columns BI and D4) F =$50,00 I - $ I00,000 G =$ I 00,00 I - $I ,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,00 I - $50,000 L =$50,001 - $100,000 M =$I 00,00 I - $250,000

(See Columns Cl and DJ) N =$250,00 I - $500,000 0 =$500,001 - $!,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,00 I - $25,000,000



U =Book Value W "'Estimated



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (llldicate partofReport)

Part VII, Line 7, Brokerage Account #7; This is a custodial account for which the filer is not the custodian. No individual asset in the account has a value in excess of $1,000 ..

Part VII, Line 8, Brokerage Account #8; This is a custodial account for which the filer is not the custodian. Only three individual assets in the account have a value in excess of $1,000.

Part VII, Line 12, Brokerage Account #9; This is a custodial account for which the filer is not the custodian. Only four individual assets in the account have a value in excess of $1,000.

Part VII, Line 17, Brokerage Account# IO; This is a custodial account for which the filer is not the custodian. Only three individual assets in the account have a value in excess of $1,000.



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.

Signature

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)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

Documents

FINANCIAL DISCLOSURE REPORT Report Required by the Ethics ...€¦ · 29. Sold 08/10 K B 30. -Van Kampen Comstock Fund A None Sold 03/01 J A 31. -United Parcel Service Inc. common