Glen E Conrad Financial Disclosure Report for 2010

8/3/2019 Glen E Conrad Financial Disclosure Report for 2010

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A O 1 0 FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app..~:~" 101-111)

I. Person R eport ing ( last name, f i rst , middle ini t ia l )C O N R A D , G L E N E .

4. T i t le (Art ic le I !1 judges ind ica te act ive o r sen io r s ta tus;magistrate judges indicate full- or part-time)

C H I E F U S D I ST R I C T J U D G E ( A C T I V E )

7. Chambers or Of f ice Address2 1 0 FR A N K L I N R D - R O O M 3 2 0P O B O X 2 8 22R O A N O K E , V A 2 4 0 01

2. Court or Organiza t ionU S D I ST R I C T C O U R T

3. Date of Repor t04/26/201 I

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion conta ined in thi s Repor t and anymodifica t ions pe rta in ing the re to , i t is , in my op in ion , in comp liancew i t h a p p l i ca b l e l a w s a n d r e g u l a t io n s .

6. Report ing Pe riod01/01/2010

to12/31/2010

R e v i e w i n g O f f ic e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NONE box for each part where you ha ve no reportable informatiot~ Sign on last pa ge.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)~] N O N E (No reportable positions.)

POSITION

2.

3.

4.5.

N A M E O F O R G A N I Z A T I O N /E N T I T Y

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~] NONE (No reportable agreements.)

DATE PARTIES AND TERMS


2/10

FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a m e o f P e r so n R e p o r t i n gCONRAD, G L E N E .

Dale of Report04/2 6/201 l

I I I . N O N - I N V E S T M E N T I N C O M E . ( ~ e p o . i n g i n d i v id u a l a n d s p o u s e ; s e ep p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Income

~ (No reportable income.)O N E non-investmentD A T E S O UR C E A N D T Y P E

2.3.4.

I N C O M E( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - i f you were m arried during a nyportion of the reporting yea r, complete this section.(Dollar amount not required except for honoraria.)

N O N E (No reportable non-investment income.)D A T E S O UR C E A N D T Y P E

I.2.3.4.

I V . R E I M B U R S E M E N T S --transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)D NONE(No reportable reimbursements.)

S O U R C E D A T E S L O C A T IO N P UR P O SE IT E M S P A ID O R P R O VID E DI. Reg en t Un ivers i ty Scho o l o f February 5-6, 2010 Virg in ia B e a c h , VA ju d g in g m o o t c o u r t m e a l s a n d lo d g i n g e x p e n s e s

L aw2. C o l l e g e o f W i l l ia m a n d M a r y F e b r u a r y 1 2 - 1 3 , 2 0 1 0 W i l l i a m s b u r g , VA j u d g i n g m o o t c o u r t m e a l s a n d lo d g i n g e x p e n s e sScho o l o f Law3. L i be r ty Un i ve r si ty Sc h oo l o f M a rc h 2 7, 2 01 0 Lyn chburg , VA j u d g i n g m o o t c o u r t m e a l e x p e n s e o n l yL aw4.5.


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 0

N a m e o f P e r so n R e p o r t in gCONRAD, GLEN E.

D a t e o f R e p o r t04/26/201 I

V . G I F T S . a n a u d e s th o s e t o s p o u s e u ,, t d e p e n d e n t children; seepp. 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCEI.

2.3.4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n a u d e s t h o s e q s ~ , o u s e und dependent children; see pp. 32-33 of filing instructiong)NONE ( No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.5.

V A L U E C O D E


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N a m e o f P e r so n R e p o r t i n gCONRAD, GLEN E.

D a t e o f R e p o r t04/26/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i . e o m e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c rip t io n o f A s s e ts In c o m e d u r in g G ro s s v a lu e a t e n d T r a n s a c tio n s d u r in g r e p o r t tn g p e r io d( in c l u d in g t r~s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(1) (2) (l) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset Amount Type (e.g., V a l u e V a l u e Type (e.g., D a t e Value G a i n Identity ofe x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , mm/dd/yy C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) or i n t . ) (J-P) C o d e 3 r e d e m p t i o n ) (J-P) ( A - H ) (if private

( Q -W ) tra n s a c tio n )

H ous e 2 Lot s P u la s k i Co., VA ( s ee P a r tVIll)2.

3.4.5.

6.

7.

8,

9.1 0.

I1.

1 2.

1 3.

1 4.

1 5.

1 6.17 .

home (40% int ) Dare County NC(see Part VII1)Stamp c ollection

Coin collection

Abbott Laboratories CS

D

None M Q

Rent N QNone L WN o n e J W

A Dividend K TA Dividend J TA Dividend J TA Dividend

A F L A C , I n c . C SA G C O C o r p . C S

Alliance Data Systems Corp. CS

A m e r i c a n E l e ct r i c P o w e r C SAT&T Corp . CSBerkshire Hathaway, Inc. CSBH P Bi l l i ton Limited CS

B Dividend KB Dividend K

None KA Dividend

T

T

T

B u y 10/01/10 J( a d d l )B u y 01/14/10 JB u y 10/21/10 J

B u y 05/17/10 J

S o l d 10/21/10 J

Sold 05/26/10 JCelgene Corp. CS

Cisco CS

Clinical Data, Inc. CSCognizant Technology Solutions Corp. CS

A DividendA Dividend J

A Dividend MA Dividend J

T

TT

S o l d 10/14/10 J

Bu y 06/25/10 J

I . Income G ain C odes : A ~$1,000 or less B =$ 1,001 - $2.500 C = $2,5 01 - $5 ,000 D =$5,001 - $15,000tSe C o lum ns B I and D 4 1 F = $50,001 - $100,000 G = $100,001 - $1,000,000 H I =$ 1, 00 0, 00 1 - $ 5 ,0 00 ,0 00 H 2 = Me re t ha n $ 5, 00 0, 00 02. Value Codes J -$1 5 .000 o r less K - $15,001 - $50.000 L =$50,001 - $ 100,000 M -$ 100,001 - $250,000( See C olu nms C I and D 3) N = $ 2 5 0 . 0 ( 1 1 - $ 5 1 1 0 . 1 1 1 1 1 1 O = $5 00.00 1 - $ 1, 000 ,000 P I = $1 ,0 00,0 01 - $ 5,00 0,00 0 P 2 = $5 ,000,001 - $ 25 ,000,000

P3 :. $25,000.001 . $50,000.000 P4 =More than $50,000,0003. Valu e M cthodUodes Q =Appraisal R : Cost (Real Estate Only) S = A s s es s ment T =Ca sh M a rke t( See C olu mn C 21 U = B ook Valu e V - Oth e r W = E s t imated

E =$15.001 - $50,000


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Date of Report04/26/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i , c o m e , v a t u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr ipt ion o f Assets Income during Gross va lue a t end Transac t ions dur ing repor t ing per iod( includ ing t rust a sse ts) repor t ing per iod of repor t ing per iod(I ) (2 ) (1) (2) (1 ) (2) (3) (4) (5)Place "(X)" after each asset A m o u n t Type (e.g. , Va lue Value Type (e.g. , D a t e Value G ain Id en tity o fexempt f rom pr ior d isc losure Code 1 div. , rent, Code 2 Method buy, se l l . mm/dd/yy Co d e 2 Code 1 buyer /se l l e r(A-H) o r i n t . ) (J-P) Co d e 3 redempt ion) (J-P) (A -H) (if p rivate

(Q-W) transaction)

J TJ TL TK TL T

i 8 . C o m c a s t C o r p . C S A Divid en d1 9 . C o m p a n h i a d e B e b i d a s d a s A m e r i c a s A D i v i d e n d Bu y 07/29/10 J

.20. Co n o co P h i l l ip s Co rp . CS B D i v i d e n d21 . C S X C o r p . C S A D i v i d e n d22 . C h e v r o n T e x a c o C o r p . C S C D i v i d e n d23 . Dicks Sp o r t in g Go o d s In c . CS A D iv id e n d So ld 0 9/23 /1 0 J A24 . D o m i n i o n R e s o u r ce s C S A Divid en d J T25 . Eb ay , I nc . CS A D i v i d e n d So ld 0 5/2 1/10 J26 . Fai rpo in t (V er izon s p in-o f f ) CS A Divid en d J T27 . Fed ex Co rp . CS A D i v i d e n d J T2 8. F ir st O p p o rt un i ty F u n d ( m u tu a l fu n d ) (S ee B Divid en d K TPart VIII)29 . MTB ( t ax f ree b ond fund) B D i v i d e n d M T30. M TB ( tax f ree bo n d fun d ) (See VII I ) B D i v i d e n d L T31 . Fluor C orp . CS A Divid en d So ld 11/04/10 J3 2. F or d M o to r C o m pa ny CS A Dividend So ld 0 7/07 /1 0 J B

33. Fran kl in VA Tax Free In co me Fun d B Dividend M T34 . G l a x o S m i t h k l i n e C S B Dividend K T

I . Income G ain C odes : A =$1,000 or less B = $1,001 - $2.500 C = $2,501 - $5 ,000 D = $ 5,001 - $ 15,000(See Columns |31 and D41 F ~$50,001 - $ 100,000 G =$1 00,001 - $1,000,000 HI =$1,000,001 - $5 ,000,000 H2 =More than $ 5,000.000

2. Va lu e C od es J = $15,000 or less K =$15 ,001 - $50.000 L =$50,001 - $ 1 00,000 M =$100,001 - $250,000( See C olu mns C I and D 31 N =$250.001 - $500.000 O = $5 00,001 - $1.000,000 P I = $1 ,000,001 - $5 ,000,000 P 2 = $5,000,001 - $25.000,000

P3 = $25,000,001 - $50,000.000 P4 =More than $50,000.0003. Value Method (?odes Q :Appraisal R = C os t ( R eal E s t a t e O nly ) S = A s s es s ment T - C a s h M a r k e t|See Col u m n C 2 ) U = B ook Valu e V =Oth e r W = E s t imated

E =$15,001 - $50.000


6/10




V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v o l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. O. C. D.Description of Assets Income during Gross va lue a t end Transac t ions dur ing repor t ing per iod( includ ing t rust a sse ts) rep orting perio d of repo rting p eriod(1) (2) (1) (2) (l ) (2) (3) (4) (5 )Place "(X)" after each asset Am ount Type (e .g., Value Value Type (e.g. , D a t e Value Gain Identity ofexempt f rom pr ior d isc losure C o d e 1 div. , rent, Code 2 Method bu y, s e ll, m m/dd /yy C od e 2 Co d e I buyer /se l l e r(A-H) orint.) (J-P) C od e 3 red em p tio n) ( J - P ) - (A-H) (if private

(Q-W) transaction)

35 . Greiflnc. CS A Dividend Sold 02/04/10 J36 . Halozyme Therapeutic CS A Dividend M T37 . Hospir a CS None J T38 . H ome Depot Inc. CS A Dividend B uy 102126/10 J39 . Sold 07129110 J40. Ideate Inc. CS (see Part VII) None Closed 01/04110 J41. Intel Corp. CS A Dividend J T B uy 02104110 J42. IShares Inc. CS A Dividend Sold 02126/10 J43 . LubrizolCorp. CS A Dividend K T B uy 03/15110 J44. M EDCOH ealth CS None K T Sold 04/21/10 J(part)45. M astercardlnc. CS A Dividend Sold 03/15/10 J46. M e Afeel nc . CS A Dividend Sold 01114/10 J47 . M cDonalds Corp. CS A Dividend J T48 . MedicisPharmaceutical Corp. CS A Dividend J T B uy 09/23110 J49 . M erck &Co. Inc. CS A Dividend J T

50 . JP Morgan Chase & Co. CS A Dividend K T51 . Nu Skin Enterpr ises, Inc. CS A Dividend J T B uy 04/02/10 J

CB

I . Income G ain C odes : A =$1,000 or less B =$ 1,001 - $2,500 C = $ 2,501 - $5 ,000 D =$5,001 - $15,000(Se e Co lumn s B I and D4) F = $50,001 - $100,000 G ~$100,001 - $1.000,000 HI = $ 1,000,001 - $ 5 ,000,000 H2 = Mo re than $5,000,000

2. Value (odes J ~$15.000 or less K ~ $ 15.001 - $5 0.000 L = $50,001 - $ 100,000 M =$ 100,001 - $250,000(Scc Co lumn s C I and D3) N ~$250.001 - $500,000 O = $500,001 - $1,000,000 P I = $ 1,000,001 - $5 ,000,000 P2 =$5,000,001 - $25.000,000

P 3 = $ 25 ,000,001 - $5 0.000,000 P 4 = Mo re than $50,000,0003. Value Method Codes Q =Appraisal R ~C os t ( R eal E s t a t e O nly ) S = A s s es s ment T =Ca sh M a rke t(See C o l u m n C2) U = B ook Valu e V ~Othcr W = E s t imated

E =$15.001 - $50,000


7/10


Name of Person ReportingCONRAD, GLEN E.


V I I . IN V E S T M E N T S a n d T R U S T S - in c o m e , v u l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. DDescription of Assets Income dur ing Gross va lue a t end Transac t ions dur ing repor t ing per iod( inc luding t rus t asse ts ) rep o m ng pe rio d of rep orting period

(l) (2) (1) (2) (l ) (2) (3) (4) (5 )Place "(X)" after each asse t Am ount Type (e.g., Va lu e Va lu e Type (e.g., Date Value G ain Id en tity o fexempt f rom pr ior d isc losure Code I div., rent, Co d e 2 Metho d buy, se l l , mm/dd /yy Co d e 2 C o d e 1 buyer /se l l e r(A-H) o r i n t . ) (J-P) Co de 3 redem ption) (J-P ) (A-H) (if private

(Q-W) transaction)

5 2.53 .54 .5 5.5 6.5 7.5 8.59 .60 .61 .62 .63 .64 ,65 ,66 ,67 ,68 .

N u v e e n V A P r e m I n c o m e M u n i c i p a l Fu n d A Divid en d J TN v i d i a C o r p . C S A D iv id e n d So ld 05 /21 /1 0 JP arke r -H anni f in C orp . A Divid en d J T Bu y 11/04/10 JP f ize r I nc . CS A Divid en d J TP l u m C r e e k T i m b e r C o . I n c . C S A Divid en d Sold 10/01/10 JQ u e s t C o m m u n i c a ti o n s C S A Divid en d J TRos s Store s , I nc . A D i v i d e n d J T Bu y 0 6/16/10 JSc h wab Money Marke t Fund A Divid en d N T R ed e em ed 07 /01 /1 0 K(par t)Sc ot t & St r ingfe l low Mo ney Marke t Fund A Divid en d K TSco t tr a de Mone y Ma rke t Fu nd A D i v i d e n d L TSP DR G old Trus t Gold Sh ares A D i v i d e n d Sold 12/16/10 JS P D R I n d e x S h a re s E m e r g i n g L a t i n A D i v i d e n d K TA m e r i c a E F TSunt rus t Banks , I nc . C S C D i v i d e n d KT e l e f o n i e a S A C S A Divid en d KT e x a s l n s tm m e n t s C S A D i v i d e n d JT o r o C o m p a n y A D i v i d e n d JTrac tor Supply C o. CS A Dividend K

TTT

TT

Bu y 10/07/10 KBu y 10/14/10 J

Bu y 12/21/10 J

B

C

I . Income G ain C od es : A ~$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000( See C olu nms B I and D 4 ) F =$ 50.001 - $ 100.000 G =$ 100,001 - $ 1.000,000 H 1 =$1,000,001 - $ 5 ,000,000

2. Valu e C odes J =$15.000 or less K = $ 15 ,001 - $ 50,000 L =$ 50,001 - $ 100,000( See C olu mns C I and D 3) N = $25 0,001 - $5 0(I,000 O =$ 500,001 - $ 1,000,000 PI =$1,000,001 - $5,000,000

P 3 = $25,000.001 - $5 0,000,000 P 4 = More than $50,000,0003. Value Method Codes Q :Appraisal R =Cost (Real Estate Only) S = A s s es s ment(Se e Co lumn C2) U :B ook Valu e V = O lher W = E s t imated

D =$5,001- $15,000H2 = M or e ~an $5 ,000,000M=$100,001 -$250,000P2 =$5,000,001- $25,000,000T = C a s h M a r k c t

E =$15.001 - $50,000


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D a t e o f R e p o r t "04/26/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , va l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~-~ N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d( i n c lu d i n g t r u s t a s s e t s ) re p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

Cl) (2) ( 1 ) ( 2 )Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a l u e

exempt from prior disclosure C o d e 1 div., rent, C o d e 2 M e t h o d( A - H ) or i n t . ) (J-P) C o d e 3

( Q - W )

Type (e.g.,b u y , s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)D a t e Value Gain

mm/dd /yy C o d e 2 C o d e l( J - P ) (A-H)

Identity ofb u y e r / s e l l e r(if private

t r a n s a c t i o n )

69 . The Travelers Companies CS A Dividend J T70 . Transocean Inc. CS A Dividend J T7 I. Veriz on Commu nications CS B Dividend K T72 . W a c h o v i a B a n k ( c h e c k in g a c c o u n t ) ( S e e P a r t A Interes t L TVIII)73 . W ells Fargo CS A Dividend J T

I. Incom e G ain C odes: A 251,000 or less B = $1 ,001 - $2,500 C = $ 2,501 - $ 5,000 D =$5,001 - $15,000( See C olu mns B 1 and D 4 ) F =$50,001 - $ 1 00,000 G =$ 100,001 - $1,000,000 H 1 = $1,000,001 - $ 5,000,000 H2 =More than $5,000,000

2. Value C o des J = $ 15 ,000 or le ss K =$ 15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250.000(See C o lu m ns C I a n d D 3) N = $250,001 . $ 500,000 O =$ 500,001 - $1,000,000 P I 25 1,000,001 - $ 5,000,000 P2 =$5 ,000,001 - $25,000,000

P3 : $25.000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Ap p r a i sa l R = Cost (Real Estate Only) S = A s s es s ment T - Ca sh M a rkct(Se e Co tuma C2) U =t~,ook Value V = O ther W = E s t imated

E =$15 ,001 - $ 50,000


9/10


N a m e o f P e r so n R e p o r t i n gC O N R A D , G L E N E .

Date of Report04/26/201 I

V II I. A D D I T I O N A L I N FO R M A T I O N O R E X P L A N A T I O N S .(lndicatepart of report.)P ar t V I I , L ine 1 - App ra i s a l da t e -May 2004P ar t V I I , L ine 2 - App ra i s a l da t e - Septemb er 1999P ar t V I I , L ine 28 - Fi r s t Oppor tun i ty Fund was fo rmer ly kn own a s Fi r s t Financ ia l Fund I nc .Par t VII , L in e 3 0Par t VII , L in e 40 - Id earc In c . f i led ban kru p tcy in 2 0 0 9; in acco rd an ce wi th the res t ruc tur in g p lan , p re -em erg en ce s to ck o f Id earc , In c . was can ce l l ed e f fec t ive12 /3 1/09; ho ld ers o f Id earc s to ck wi l l n o t rece ive an y d i s t r ibut io n , an d equi ty shares have n o va lue .P ar t V I I , L ine 7 2


10/10


Name o f Pe rson Report ingC O N R A D , G L E N E .

Date o f Report04/26/201 !

IX. CERTIFICATION.I c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , t r u e , a n d c o m p l e t e t o th e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I f u r t h e r c e rt if y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signatu re: S/GLEN E. CONRAD

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L SI FI E S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Glen E Conrad Financial Disclosure Report for 2010