Morris S Arnold Financial Disclosure Report for 2009

8/3/2019 Morris S Arnold Financial Disclosure Report for 2009

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~o 1o IFINANCIAL DISCLOSURE REPORT Reportin GovernmentRequired ActbY

Rev. 1/20tO FOR CALENDAR YEAR 2009 ( ~ U.S.C app. y~

I . Pe rson Report ing ( la s t nam e , f i rs t , midd le in i t ia l) 2 . Cour t o r O rgan l z a t i e n 3 , Da te of ReportArno ld , Mor r i s S . 8 th U S Ci r cu i t Ct o f Appea l s 05/10/2010

4 . T i t l e ( A r t i c l e 1 1 1 j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5a . Report Type (check appropria te |ype ] 6. Repor t ing Per iodm a g i s t ra t e j u d g e s i n d i c a t e f u l l - o r p a r t -t i m e ) [ ] Nom i r . a t i o n , D a t e 01/01!2009Judge- -Sen lor [] Initial [] Annual [] Final to12/31/2009

5 b. [] A m e n d e d R e p o r t7. Chambers or Off ice Address & O n the bas i s of the Informat ion conta ined In Ihl s Re por t and anyraodi f i ea tlons per t a in ing there to, I t i s , In m y opinion, in compl ianceP . O . Box 2060 wi th app l l cah l e l aws and r egu l a t i ons .L i t t le R ock , AR 72203-2060

Rev l tw i ng Of f i ce r Da te

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 have no reportable information. Sign on iast page.

I. P O S I T I O N S . tR,por, ing i .aiviauat onty; see pp. 9-1J o/fitlng instructions.)[] NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION~NTITY

I I . A G R E E M E N T S . (R,partlng individuatanl).l $pp. 14-16of fiting instruedons.) ~r~ ~:".~ 3-:~ NONE ~o reportable agreements.) ~"

D A T E PARTIES AND TE~SI.


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[ Name of Person Reporting Date of ReportF I NA N C IA L D I S C L O SU R E R E P O R T I1 Arnold, Morr|s S.05/10,2010P a g e 2 o f 14

IIl. N O N - I N V E S T M E N T I N C O M E . ( R e p o r t l n ~ i n d i v id u a ! a n d s p o u s e ; se e p ~ I z - 2 of filing ln~tructlom.)A. Fliers Non-Investment Income

NONE ( ]go r e p or t a b le non - i nv e s t m e n t i ncom e . )D A T E SOURCE AND TYPE INCOME( y ou r s , no t s p o u s e s )

I . 2009 Unive r s i t y o f Arkan sa s - - au thor s roya l t i e s $1,011.00

2.3.4.

B. Sp ou se t s N o n - I n v e s tm e n t I n c o m e - i f y o u ~ r e married during any portion of the reporting year, complete this section.(Dol lar amount not required except for honoraria. )

[~ NONE (No repo r t ab le n o n - in vesO n en t i n co me . )D A T E SOURCE AND TYPE

1.2.3.4.

IV . REIMBURSEMENTS -tron,po,t~ion,(Includes those to s p o ~ s e and d ependent chi ldren; se~ pp. 25-27 of f i l ing ins truct ions . )

NONE (No reportable reimbursemems.)SOURCE D A T E S LOCATION PURPOSE I[TEMS PAID OR PROVIDED

!.2.3.4.5.


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Name o f P e r s o n Re p o r t ing Dat e o f Rc p o r tF I N AN CI AL D I S CLO S UR E R EP O R TArnold, Morris S.age 3 of 14 o 5 ~ I o / 2 o ~ o

V . G I F T S . a . a , . ~ . . . ,~ o , , ,o , p o , . e and dependent cldldren; see p ~ . 2 8 - 3 1 of filing instrucaonx)NONE (No reportable gifts.)

S O U R C E D E S C R I P T I O N ~I.2.3.4.

5.


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FINANCIAL DISCLOS URE REPORT [ N a me o f Person R ep or t in g D a t e o f R e p o r t/[ Arnold, Morris S.

P a g e 4 o f 14 osnonoloV I I . I N V E S T M E N T S a n d T R U S T S - t.~o.,., .oI=., tran~actionJ (tnct=aes those oZspo~s~

N O N E (No reportable income, ~sets. or transaction.)~ B. C. [ D.

D~rlpfion of A~~ I n com~ d u r i n g G ~ s s v ~ u ~ a t e n d ~ T~aclion~ during ~ing period(including ~t ~ts) r~po~iag ~ri~ of re~ingPlace(X)" a~r~ch~s~l Amoun t T~ (e.g., Value Va lue Type (~.g. , Date ] Value r Gain Idcntiwof

(A-H) or int.) (J-P) C~e 3 r~cmpt ion) . (J-P) (A-]I) ( i fpHvat~(Q~ ~ :i tra~actlon)

I. Del t a Tru s t and Ba rd~ A I n t e r e s t J T2. U n iv of A rk an sa s a t L itt le R ock Non e Matu red 01/01/09 J See no te--Sec t ion VI I I3.4. M INERAL INTERESTS--VARIOUSLANDS IN TEXAS:5. S o u t h la n d C h a m p i o n M i n e r a l , M o r g a n D Royalty L WK eegan, Lutkin, TX6. G rayburg Mineral Account, Morgan B Royalty K WK e e g a n , L u f k i n T X7.8. S E C U R I T I E S !t E L D B Y D E L T A T R U S TI N VE ST M E N T S-A c c o u n t I9. P r i m e Ca s h S e r i e s M o n e y M a r k e t None C los e d 01/01109 J M o n e y m a r k e t ch a n g eF u n d - - n a m e c h a n g e

1 0 . Wa c h o v i a B a n k - f r om P r i m e C a sh Se r i e s A I n t e r e s t J T O p e n 0 I/01/09 J C h a n g e f r P r i m e C a shM M f d1 I. Norfolk Southern B D i v i d e n d K T1 2 . W i n d s t r e a m A D i v i d e n d J T1 3 .1 4 . S E C U R I T I E S H EL D B Y D E L T A T R U S TI N VE ST M E N T S-A c co u n t 1 I1 5 . T r u s t S e r i e s P r im e C a sh M M F u n d - - n a m e None C los e d 0 1 1 0 1 1 0 9 J M o n e y m a r k e t c h a n g ec h a n g e1 6 . W a c h o v ia Ba n k - -f r om P r i m e Ca s h S e r i e s A I n t e r e s t J T O p e n 01/09/09 J C h a n g e f r P r i m e C a shM M f d1 7 . Gener a l E l ec t r i c company A D i v i d e n d J T

C = $2,501 - $5.000 E = $15.001 - $50,000. l i . .c o m e G a i n C o d e s : A = $ 1 , 0 0 0 o r l e s ~ B ~IolXII- S2,500( .~e Co lumnl B I lad D4) F =$50.001 - $ I 0 0 , 0 0 0 1 3 = $ 1 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 HI =$1,000,001. SL000,000 H2 -More than $~,000,0002 . Vak~ Codes 1 =$15,000 or less K -$15.001 - $50,000 L =$S0.001 - $100,000 M "~ 100.001 - $250,000( Se e Co lum ns C l a nd D 31 N -$250,001 - $500.000 O =$500,001 - $1,000,000 P I = $1,000 ,001 - $5,~00,000 P2 = $S,000,001 $2~,000,009P $ -$25,000,001 - SS0,000,O 00 P 4 =M ore tha n $S0.000.00O3 , V. lue Me~od Codes Q -Appra i s a l R = . C o s t ( P . ea l E s t a t e O n l y ) S - A s s e s s me n t T =Ca .~h Marke t

(See Column (22) U -Book Va lue V =O th e r W = E s t im a u ~ d


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Ia m e o f P e r s o n R e p o r t i n g Date of ReportFINANCIAL D I S C L O S U R E REPORT[ A r n o l d , Mor r i s S .

Page 5 of 14 0 5 / 1 0 ~ 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ o , ~ e , v a u e , t , ,~uc~,~ ( Includes those u f spouse and dep ende nt ch i l dren; seepp. 34-60 o f f il lng ins truct ions . )

[] NONE (No repo r t ab l e i n co m e , a sse t s , o r t ran sac t i o n s . )A. B. C. D.

D e s c r i p t i o n o f A s ~ e t s . Income during Gross value at ~nd Tran~ctionx during reporling period(includ ing trus t a s se ts ) r e p o rt i n g p er i o d o f r e po rt i n g p er i o dAmoun l V a l u e Va lue T y p e ( e . g ., : Date [ Value Gain Iden t i ty ofP l a c ee x e m p t f r o m p r i o r d i s c l o s u re Co d e l d i v . . r e n t , - Code 2 M e th o d buy, sell , i mm /dd/y} , : Code 2 ~ Code I buyer l se l l e r(A-H) orin t . ) : ( J - P ) Co d e 3 r e d e m p t i o n ) . ( J - P ) : (A-H) (if private ( Q - W ) ; 1! i t r a n s a c t i o n )

1 8 . Proc to r a nd Gamble A D i v i d e n d J T1 9 . Do m i n i o n Re so u r s ce | n c U p p e r De c s A D i v i d e n d J T

20 . Ca la ruos S t r a t e g ic To t a l Re tu rn Fun d A Di v i d e n d J T21 . Winds t ream A Div i d en d J T22 . W a e h 0 v i a - m e r g e r t o W e l l s F a r g o None M erg e d :01/02/09 J Mer ge r i n to Wel l s(wi th l ine 23 ) Far go23 . Wel l s Fa r go - -mer g e r f r Wacho v i a A Div i d en d J T O p en : 01/02/09 J M erg e r f rom W achov iz24. Pulask i Cry AR , AR Chi ld Hosp 3 .3% bond A In t e re s t J T Buy 05/07/09 J25 .26 . S EC U RIT IES HELD B Y M ORG A NSTANLE Y #3--Accoun t c losed27 . Morgan Stan l ey Act ive Asse t s Money T rus t ~ A Interest Closed ! 03/05/09 J Tran s f e r t oT IA A - C REF #328 . Coca Cola A Div i d en d Sold 07/22/09 J C29 . Discove r F in anc i a l Se rv ic e s A Di v i d e n d S o l d 07/22/09 J A3 0 1 M o r g a n S t a n l e y A Di v i d e n d Sold 07/22/09 J D31 . P roc to r and Gamble A D i v i d e n d So ld 01/05109 J A3 2 . Trin s ic None Sold 07/22/09 J A33 . Wye th A Div i d en d Sold 07/22/09 J A3 4. Uni t s V K Select 10 Indus t r i a l 2008-5A A Div i d en d Sold 07/22/09 J A

( S e e C o l u ,n n s B I a n d I ~ ) F =$ 50 .001 - $ | 00 .000 13 =$ 10 0 .0 0 1 - $ 1 .0 ~ .0 0 0 H I "$ 1 .0 0 0 .0 0 1 - 5 5 .0 0 0 .0 0 0 H2 =Mor ~ t kan 55 .000 .{X) 0V a l u e C c d e s . I =$15 .000 o I ~ K = $15 .001 - l ~0 .000 L = ~ 0 .00 1 - $ 100 .0 0~ M =$ | 0 0 .0 0 1 - $ 25 0 .0 0 0(g C ~um ns C I ~ nd D 3) N -$250.C OI - $500,000 O =$500,001 - $1,000,O00 ~ 1 = $1.000,001 - S ~,000,000 P 2 -$5,000,001 - $2~ ,000,000

P3 -$25,000,001 - S~0,000,000 P4 =Mo~ thanVt lue M~tbed Coder Q =AppraL~ l R -~o~ (R~ Estate Onb~) S 1Assessment T =Cn~h Market( S e e C o l u m n C 2 ) U = B o o k V ~ l ~ e V = ( 3 the r W = E s t i m a t e d


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Nam~ ofPerson Reporf l .g Da t e of RnportFINANCIAL DISCLOSURE REPORTA r n o l d , M o r r is S .a g e 6 o f 1 4 o s 1 I O 1 2 O l O

V I I . I N V E S T M E N T S a n d T R U S T S - i . , . o . . e , , a ~ o , transactions (Includes tho.,e of spo ..... d depenclent children; $eepp. .14.60 of fillng instrucgons.)NONE (TV o repo r t ab l e i n co me , a sse t s , o r t ran sac t i o n s .)

D e s c r i p t i o n o f A s s e t s [ Income during Gro~s value at end 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( inc luding t rot asse t s ) i r e p or t i n g p er i o d o f r e po rt i n g p er i o d [P l ace (X) "a f i e r eauhas se t IAm~unt Type(e .g . , " V a l u e V a l u e j Type(e .g . , : Date i Value :~ Gain I den thyo f

exempt from priord isclosur~ . Code I div . , r ent , Co d e 2 M e th o d i buy, se l l , [mm/dd / yy i Code2 ! Code 1 buyer / se l l e rJ (A-H) orint.) ( J - P ) Co d e 3 i r e d e m p t i o n ) [ i ( J P ) (A-H) (ifprivate( Q - W ) : ! I [ t r a n s a c t i o n )

35 .3 6 , SECURITIES HELD BY TIAA-CREF #3

37 . M o n e y M a r k e t A I n t e r e s t J T O p e n 03 /05/09 J T r a n s f e r i n f r M / S 3

38 . C ohen & S t e e r s R ea l t y Fd A Div i d en d J T B uy 07/23 /09 J39 . C olum b i a M id C ap Va l u e Fd A Div i d en d J T B uy 07/23109 J40. N o t th e m Sm a l l C a p Va l u e F d A Di v i d e n d J T B uy 7/23/09 J41. T R owe Pr ice In t l Growth & Incom e Fd A Div i d en d J T B uy 7/23/09 J42. T Rowe P r i c e Tax F r e e In com e Fd A Div i d en d J T Buy 7/23109 J43 . Royce V a l u e P l u s Fun d S v c C l a s s A Div i d en d J T B uy 7/23/09 J44. Blackrock Cap i ta l Appr Fund A Div i d en d J T B uy 7/23/09 J45. Pion~er Cul len V alue Fund CI A A Div i d en d J T Buy 7/23/09 J46 . T h o m b u r g L t d T e r m M u n i F u n d A D i v i d e n d J T B u y 7/23/09 J47.

48.

49. S EC U RIT IES HELD B Y M ORG A NSTANLEY #4--Account closed50 . MS US Govt See Tr D None Sold 2/13/09 J Lo s s o n s a l e5 1 . M S I F T r L a d D u r a t i o n l u s t None So ld 2/13/09 J Los s on s a l e

(~e Column s 81 ~ ~) F = $ 5 0 , ~ 1 - $ 1 0 0 , ~ O =$1~,~1 - $ t.~,000 HI -$1,~,~ 1 - $5.~0,~ H 2 ~ M o r e th a n $ 5 . ~ .0 0 0Z V a l u e ~ J -$ I S,~ ~ l~s K - $ ! 5 , ~ 1 - $ 5 0 . ~ L ~50,~ I - $ I ~,~ M = $ 1 0 0 , ~ 1 - ~5 0 , ~(S~ ~lu mn s e l ~d D 3) N = $250,~1 - $5~,~ O =SS00 ,~ l - $1 .~ .~ P I = $1,~,~1 - $ 5,~0. ~0 P 2 = 15 ,~ .~1 - $ 25 ,~.~0P3 =$25 , ~ , ~1 - $50 , ~ , ~ P4 ~M~e ~an $50,~ ,~3. V~I~e MeI~ C~s Q = A p p ~ l R ~ t ( R ~ E s ~ O n l y ) S =~s~ T ~ h M a n e t(S ~ Column ~) U "~k Va lu e V =~h~ W = E ~ m a t ed


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I N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tP a g e F I N A 1 N C I A L 7 o f 1 4 D I S C L O S U R E R E P O R T I1Ar no ld , M o r ri s S . 0 5 / 1 0 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -N O N E (No repo r t ab l e i n co me , a sse t s , o r t ran sac t i o n s . )

A. B. C. D.D e s c r i p t io n o f A s s e t s Income during Gross va lue a t end T ran sactions during rep erting pe riod(includ ing trus t a s scls ) r e p or t i n g p er i o d o f r e p o rt i n g p er i o d

(t ) (2 ) (i) (2) .... il ) (2) , (3) i i4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., V a l u e V a l u e T y p e ( e . g ., Date I Value Gain Iden t i ty ofe x e m p t f r o m p r i o r d i s c lo s u r e Code I d a y . , r e n t , Code 2 M e th o d buy. se l l , i mm/dd / yy i Code 2 : Code I buyer / se l l e r: (A-H) orint.) ( 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 ) I t r a n s a c t i o n )

5 2, M S IF A ct iv e In d A II oc tn A None Sold 2/13/09 J Lo s s o n s a l e53 . M S IF Em e rg i n g M a rke t s A None Sold 2/13/09 J Lo s s o n s a l e54 . Va n l ~ a m p e n C o m s t o ck I None Sold 2/13/09 J Los s on s a l e

55 . MSIF T r M id Cap Growth Ins t None Sold 2/13/09 J Lo s s o n s a l e56 . M SIF U S R e a l -Es ta te P or t A Non e So ld 2/13/09 J Los s on s a l e

5 7 . MSIF US Large Ca p Gr Pur l A None Sold 2/13/09 J Lo s s o n s a l e58 . M S IF T r U S S m a l l C ap Va l l a s t None Sold 2/13/09 J Lo s s o n s a l e5 9. E V In c om e F un d of Bo st on None Sold 2/13/09 J Loss on sale60 .

61 . S E C U R I T I E S H E L D B Y D E L T A T R U S T B Div i d en d K TINVES TM ENTS INC - IRA62 . -W a chov ia B a n k -form e r ly P r im e M on ey Form e r ly P r im e M MM ark e t Fun d63 . -Di l lards64. -Mat t e l l nc

65 . -Wachov ia Corp 2nd New--Me rge r to We l l s M e r g e d 01/02/09 J M e r g e d t o We l l s F a r g oF a rg ~ (w i th l in e 6 6 )66 . -We l l s F a r g o C o m p a n y -M e r g e r f r O p e n 01/02/09 J M e r g e d f r omWachovi a Wachov ia67 . M F S C o r e E q u it y F u n d C l a s s B68 . -Gabell i Equity Tru st Inc.

I . I n c o m e G a i n C o d e s : A -$1 ,000 o r l e s s B -$1.OO 1 - $2 ,~;00 C -$2 , 501 - $5 , 000( S e e C o lu m m B I a n d D 4 ) F -$50,00t - $100,000 (3 -$100 ,001 - $1 , 000 , 000 H I -$ I,O G0 ,0 01 - $ 5,0 00 ,0 00 H 2 -M or e th an2 . V a l u e C o d e s | - $ 1 5 , 0 0 0 o r l e s s K = $ 1 5 , 0 0 1 . $ 5 0 .0 0 0 L =$ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 M -,~ 1 0 0 ,0 0 1 - $ 2 5 0 ,0 0 0( S ee Co ~u rn nt C l t r o d D 3 ) N -$ 25 0,0 01 - $ . i0 0, 0 00 O - $ 5 0 0 , 0 0 1 . $ 1 , 0 0 0 , 0 0 0 P I = $ 1 , 0 0 0 , 0 0 1 - $ 5 .0 0 0 , 0 0 0 P 2 = $ ~ i . 0 0 0 . 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0p ~ - $ 2 5 . 0 0 0 , 0 0 1 $ 5 0 , 0 0 0 , 0 0 0 P 4 = M o l e th x t l $ 5 0 ,0 0 0 ,0 0 03 . V a l u e M e h o d C o d e s Q - A p p r a i s al R - C o s t ( R e a l E s t a te O n l y ) S - A s s e s s m e n t T - C a s h M a r k e t( S e e C o l u m n C ~ ) O ~ B o o k V a l ue V = O t h er W = E s t i m a te d


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[ N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tF I NA N C IA L D I S C L O SU R E R E P O R T I I Arnold, Morris S.05/10/2010P a g e 8 o f 14

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 ~ , e . ,.at, e, t r a n s a c t io n s ( I n c l u d e s t hose o f spouse and dependent ch i l dren: see pp. 34-60 o f f i l lng ins t ruct ions . )[---] NONE (No repo r t ab l e i n co m e , a sse t s , o r t ran sac t i o n s . )

A. B. C, [ D,D e s c r i p t i o n o f A s s e t s In com e durin g Gross va lue a t end ~ Transact ions during reporl ing pe riod( i n c l o d i n g I r u s t a s s c t ~ ) r e p o r t i n g p e r i o d o f ~ e p o r t i n g p e r i o d . . ] ................. ..( 0 I (2)" O) (2) ! (1) ! (2) I O) ! i4) (~)Place "(X)" alter each assetm o u n t I T y p e ( e . g . . V a l u e V a l u e i T y p e ( e . g . , ~ D a t e I V a l u e s , G a i n I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u re Code I [ d iv . , r e n t , Code 2 M e th o d i buy, se l l , !mm /dd/yy i Code 2 ~: Code I buyerlsellcr, (A-H) o r i n t . ) ( J - P ) COdeo "~3I redemption) i[ [ (J-P)~ ( A - H ) ( i f p r i va~(_-W. i I t r a n . ~ a c t i o n )

69 , -Gab~l l i Hea l thca re & We l ln e ss

70 . -L ibe r t y A l l S t a r Equ i t y Fu nd

72 . S E C U R I T I E S H E L D B Y M O R G A N A D i v i d e n d C l o s e d 3/2/09 J I T r ans f e r t o TIAA-CRESTANLEY #1--IRA -- Accoun t c losed IR A s73 . - M S L iqu i d As s e t F un d C l o s e d 3/2/09 J

74 . -Chevron T exaco C l o s e d 3/2/09 J75 . -C i s co Sy s t e m s C l o s e d 3/2/09 J76 . -Eas tman Kodak C l o s e d 3/2/09 J

77 . -Exxon Mobil C l o s e d 3/2/09 J

78 . -Gene r a l E l ec t r i c C l o s e d 3/2/09 J

79 . -In te l C l o s e d 3/2/09 J

8 0 . - Nok i a C p Ad r C l o s e d 3/02/09 J81. -Pep s ico lnc . C l o s e d 3/2/09 J82 . -Sou thwe s t A i r l i n e s Clo s ed 3/2/09 J8 3 . -Walmar t S to r e s C l o s e d 3/2/09 J

84. -Wa l m a r t De M e x i c o Sa V O r d C los e d 3 / 2 - / 0 9 J8 5 . -ING Group C l o s e d 3/2/09 J

(See Coturnns BI and D4) F = $ ~ 0 . 0 < 3 1 - $ 1 0 0 , 0 0 0 G =.$109,001 - $1.000.009 HI =$1,~.~1 - $5.~.~ H2-Mme ~ $5,~.~(~ ~lumns CI ~nd D3) N =$250,~1 - S5~,~ O =$5~,~1 - $1,~,~ PI =$I,~,~I -$~,~0,~ ~=~,~,~l

3. V~Iur M~ ~ Q = A p p ~ M R ~ (Real ~ Only) S =A~enl ~ Manet{ S ~ C o l u m n ~ ) U = B~ k V a l u~ V ~=r W


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tFIN,~NCIAL DISCLOSURE REPORT ] Arnold, M orris S .Page 9 of I4V I I . I N V E S T M E N T S a n d T R U S T S - , . ~ o , . ~ , ~ . . ~ r . ~ .o . ~ o ~ a ~ a ~ a ~ , ,~ o . ~ o ~ . ~ o ~ . ~ d o ~ . . ~ .~ , . ~ U ~ . ~ :

N O N E (No reportable income, assets, or transactions.)A. B. C. D.

D e s c r i p t i o n o f A s s e t s ; In com e during Gross va lu* tt end Transact ions during reponlng pe riod(includ ing trus t a s s ts ) r e p or t i n g p er i o d o f r e p o rt i n g p er i o dP I = c e " ( X ) " a f t e r e a c h a s s e t . A m o u n t T y p e ( e . g ., V a lue V a lue T y p e ( e . g ., ; Date V a l u e Gain I d e n t i ty o fe x e m p t f r o m p r i o r d i s c lo s u r e . Code 1i v . , r e n t , C o d e 2 M e th o d buy, se l l , i m m ] d d / y y Code 2 C o d e 1 buyer ; se l l e r(A-H) o r i n L ) ( J - P ) Co d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) (if private, (Q-W) i t r a n s a c t i o n )

86 . -Morgan S t an l ey 11 I *33M H01 6 . 250% C l o s e d 3/2/09 J87 . - p r t S t a t e g F un d C l o s e d 3/2/09 J88.

89 . S E C U R I T I E S H E L D B ~ TIAA. -CREF-IRA B D i v i d e n d L T T r a n s f e r r e d i n f r M / S#1 IR A9 0 . - M o n e y m a r k e t f u n d O p e n 3/2/09 J

9 1 . - Ch e v r ~n Te x a c o O p e n 3/2/09 J

92 . -Exxon Mobil O p e n 3/2/09 J

9 3 . -Intel O p e n 3/2/09 J9 4 . -Peps ico Inc . O p e n 3/2/09 J

95 . -W a l M a rt S tore s O p e n 3/2/099 6 . -Wa l m a r t De M e x i c o Sa V O r d O p e n 3/2/09 J

97 .

98 . S E C U R I T I E S H E L D B Y M O R G A N Non e T ra n s fe r ou t toSTANLEY-IRA R O L L O V E R - -A c c t c l os e d T I A A - C R E F99 . - M LLiqu i d As s e t F un d C l o s e d 3/02/09 K100 . -Focus F rowth Fund D S o l d 2/17/09 J L o s s o n s a l e1 0 1 , -U S Go v e r n m e n t S e e T r D So ld 2/17/09 J Los s on s a l e102 . -MSIF T r Lt d Du r a t ion I ns t Sold 2/13/09 J Los s on s a l e

( S ~ C o ] u ~ s B I ~ d ~ ) F =$50 , ~ I - $ I ~ , ~0 G -$ 100,~ 1 - $ t ,~ ,O~ H l =$1 ,~,~ l - $5,~0,0~ H2 -More k ~ n ~ S , 0 ~, ~ 0

]. Vtlu~ M~h~ C~ O - A p ~ is a l R ~ o s t ( g ~ l ~ m t e O n l y ) S -~s~t T ~ Ma&et( S e e C o l ~ C 2 ) U - B ~ k V a l u e V ~ W ~ E ~ i ~ m d


10/14

FINANCIAL DISCLOSURE REPORT N a m e o f Pe r son Rep or l ing D a t e o f R e p o r tP a g e i 0 of 14 A r n o l d , M o r ri s S . 0 5 / 1 0 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . ~ va lue , t ransac t ions ( Inc ludes those o f spouse and depen den t ch i l dren ; $eepp . 34-60 oZf il l ng in$truc t lon~ l

NONE ~o reportable income, ~sets, or transactions.)A. B. C, D.

~scd p t lon of A sse ~ i~om e d u r in g Gross value at end ~ T ~ t i o n s d u r i n g r e i n i n g p e ~ o d(including ~t ~ts) ~ing ~riod o f r cpoa i ng ~r i~( I ) . . . . ( 2 ) (I) (~) (0 " , (~) [-(3)-~ ( 4 )P I a c ~ " ( X ) " a f t e r ~ c h a s s e t A m o u n t T y p e ( e . g . + V a Iu ~ Va lu~ T y p e ( ~ , g ., ~ D a l e ~ V a l u e ~ G a i n Identity of

~pt ~ prior disclos~ C~ 1 div . , ~n~ ~de 2 Melhod buy, se l l , ~ m~d ~y y i C ~e 2 [ C ~e I buyer / se l l e r ( A - H ) ] or in~) ( J - P ) ~de3 r e d e m p t i o n ) ;, [ ( I - P ) ~ ( A - H ) ( i fpr iva te ~ t~nsaction)Q-~10 3 . -M S IF T r H i I n c ome Y i e l d e o~ l a s t So ld 2/13/09 J L o s s o n s a l e1 0 4. M SI F E m e r g i n g M a r k e t s I n s t Sold 2/17/09 J L o s s o n s a l e

105 . - Van K am p en C om s tock I Sold 2/17/09 J Loss on sa le106 . -MS1F T r M id Cap Crowth In s t So ld 2/17/09 J L o s s o n s a l e1 07 . -MSI F Tr US Sma l l Cap V a l l a s t Sold 2/17/09 I Los s on s a l e1 08 . E V I nco me Fund o f Bo s ton Sold 2/19/09 J Los s on s a l e1 0 9 .1 1 0 . S E C U R I T I E S H E L D B Y T I A A - C R E F -I R A C D i v i d e n d L T T r a n s f e r r e d i n f r om#2 M /SI l 1 . M o n e y m a r k e t f u n d O p e n 07/01/09 J

112. -C i sco Sys tem O p e n 7/01/09 J T r a n s f e r r e d i n f r omM IS113 . -C i sco Sys tem So ld 7/2/09 J A1 1 4. -E as tman Ko dak O pe n 7/01/09 J Tran s f e r r e d i n f romM/S115. -Eas tman Kodak Sold 7/2/09 J A116 , -Gene ra l E l e c t r i c O p e n 7/01109 J T r a n s f e r r e d i n f r omM /S117 . -Gene ra l E l e c t r i c So ld 7/2/09 J A

I 18, -Noki~t Cp Ad r O pe n 7/01109 J Tran s f e r r e d i n f romM I S119. -Nokla Cp A dr Sold 7/2/09 J A

(See Columr t s B I a nd IM) F =$50,001 - $100,000 G = $ I ~ ,~ I * g l , 0 ~ , 0 ~ H2. Value C~ J =$15 ,~0 or les ~ K =~ 15 , ~ I - $50 , ~ L =$50,001 - $ I ~ ,0~ M =$1 ~,~ I - ~50,~( ~ C o l u m n s C l t ~ D 3 ) N =$250 ,~1 - $5~ ,~ O =$5~,~ l - $1.~,~ PI3. Value M~ C~ Q =App~l~l R ~ os t ( R~ I E s ~ e On l y ) S = A s s ~ t m e n t T ~h

( S ~ ~l~m n C 2 ) U = B ~k V itu e V ~ O t ~ r W = Es t i ~ te d


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DIS CL OS URE RE P ORT N a m e o f Person Reporting Date of ReportF I N A ~ N C I A LArnold, Morris S.a g e 1 1 of 14 o 5 / ~ o ~ 0 1 o

V I I . I N V E S T M E N T S a n d T R U S T S - ~ , ,co, , ,e , va~ e, tra~actians(l~cludesthaseofspouseanddependenrchildren;seepp..!4-6~Toff!linglnstructions.)NONE (No reportable income, assets, or transactions.)

~ B. C. ~ D.D e s cr ip t ion of A ss e t s In com e d u r in g Gross "value at end ! Tr a n s a c t i oos d u r i n g r e p o r t i n g p e r i od( i nc luding l~ust a~et~ ) r epor t ing pe r iod o f r e p o r t i n g p e r i od,Cl~ ~) ~ ~2),Place "(X)" tfl.er each a~et A m o u n t T y p e ( e . g . , V a lu e V a lu e I T y p e ( e . g ., , Dale ! Value Gain I d e n t i t y o f

ex em p t f i om p r i o r d i s c lo su r e C o d e I d iv. , r en t , C od e 2 M e thod bu y , s e l l , [ m m / d d / y y C o d e 2 C od e I bu y e r /s e l le r(A -H) or in t . ) ( J -P ) C o d e 3 r e d e m p t i o n ) ( I -P ) (A - I t ) (if private( Q - W ) t r a n s a c t i on )

120. -Southwes l Air l ines O pe n 7/01109 J Tr an s f e r r ed i n f r omM/ S121. -Sou thw e s t A ir l in e s Sold 7102/09 J A122. -ING Group O pe n 7/01/09 J Tr an s f e r r ed i n f r omM iS123, - Ing Group Sold 7/2t09 J A124. -Morgan S tan ley I I I * 33MH 01 6 ,35% O pe n 7101/09 J Tr an s f e r r ed i n f r omM/S1 25 . -Mo r gan S t an l ey I i i * 6 . 35% Sold 7/02/09 J A1 26 . -P r t S t r a t eg i c Fund O pe n 7/01/09 J Tr an s f e r r ed i n f r omM/S1 27 . -P r t S t r a t eg i c Fund Sold 7/2/09 J A28 . Amer i c an Cen tu r y I n f l a tio n Bo nd Fd Bu y 7/6/09 J

1 29 . Co hen & S t ee r s Rea l t y Sha r e s Bu y 7/6/09 J13 0 . C o lu r ab ia M id C ap V a l u e Fun d Bu y 7/6/09 J13 I . Nor t h e rn S m a l l C ap V a l u e Fun d B uy 7/6/09 J1 3 2 . T Ro w e P r i c e l n tl G r ow t h & I n c o m e B u y 7/6/09 J1 3 3 . R o y c e V a l u e P l u s F u n d B u y 7/6/09 J1 3 4 . Bl a c k r o ck C a p i t a l A p p r F u n d B u y 7/6/09 J1 3 5 . Pimeo Tota l Re turn Fund B uy 7/6/09 J1 3 6 . P i o n e e rC u l l e n V a l u e F u n d B uy 7/6/09 J


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F IN AN CI AL D I S CLO S UR E R EP O R T Na~, e o f P e r ~o n Re p o r t i ng D a t e o f R e p o r tPage 12 of 14 Arnold, M o r r is S . 0 5 / 1 0 / 2 0 1 0

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 ~ . e , v ,t ,o , t r ,n s a c n o n s a n c t a d e , th o , e o ~ " s p o , ,e a n d dependent children; s e e p p . 3 4 - 6 0 of fillng Instructions.)NONE (No repo r t ab l e i n co m e , a sse t s , o r t ran sac t i o n s . )

A. B. C. [ D.D ~ sc 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 Gr os s va l u e a t e n d I Tr a n s a c t i on s d u r i n g r e p o r l i n g p e r i od( i n c l u d i n g t r u s t a s s e t s ) i r e po rt i n g p er i o d o f r e po rt i n g p er i o d ~l/l a c e " ( X ) " a f l e r e a c h a s s e t [ A m o u n t Type(e.g., , V a lu e V a lu e Type(e,g., I Date , Value Gain Idcntityofe x e m p t f r om prior disclosure , Cod e I d i e . , r ~ n t , ! C o d e 2 M e t h od b u y , s e l l , m m / d d /y y ! C o d e 2 C o d e I buyer/sel leri (A-H) or in t , ) i ( . I-P) Cod e 3 r e d e m p t i o n ) i I (IP) ( A- H ) (if privatei ( Q - W ) ! [ t r a n s a c t i on )

1 3 7 .

1 3 8 .

1 3 9 . T e a c h e r s I n s u r a n ce & A n n u i t y A s s n C o l le g e E I n t e r e s t O TRe t i r e m e n t E q F u n d1 4 0 .

1 41 . T I A A -C RE F ( Re t i r e m e n t ) B In teres t K T

1 4 2 ,

1 4 3 . I NG Se l e c t P l u s D e f e r r e d V a r i a bl e A n n u i t y A In teres t J T

I . I ncome Ga in Code s : A =$1,000 or less B = $ 1.001 - 12500 C =$2,501 -$5,000 D =25.001 - $15.000 E = 21S,001 - $ 50.000(See Co lumns BI and D4) F = $50,00I - $100,000 G =$100.001 - $1.000,000 H I ~$1,000.001 . 25,000,000 H2 =More than2. V a lue C oda J -$ I 5 ,000 o I~ K =$15.001 - S50.000 L = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 O O M "2100,~01 - S250,000( S e e C o l u m n s C I a nd D 3 ) N -$ 2 . ~ 0 , 0 0 1 - 2 5 0 0 , 0 0 0 O = $ 5 0 0 , 0 0 1 - $ 1 , 0 0 0 , ( ~ 1 0 P I - - $ 1 , 0 0 0 , 0 0 1 - $ 5 , 0 C 0 , 0 0 0 P 2 - $ 5 , 0 0 0 , 0 0 1 - 2 2 5 , 0 0 0 , 0 0 0

P 3 - $ 2 5 , 0 0 0 , 0 0 1 - 2 5 0 , 0 0 0 , 0 0 0 P 4 = M o r e t h an3 . V a l u e M t l a h o d C o d e s Q -Appraisal R " , C ~ s t ( R e a l E s l a t O n l y ) S = A s s ~ s m e n t T - ,C a s h M a r k e t( S e e C o l u m n C 2 ) U ~ B o o k V a l u e V -Other W ~ E s d m a t ed


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] Name of Person Reporting I Date of ReportFINANCIAL DISCLOSURE REPORT I I A r n o l d , M o r r i s S .]

05/10/2010age 13 of 14 IVIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

P a n V I I -L i n e 2 : i~-7"-] of U n v e r s i t y o f A rkan s a s a t L i t t l e Rock bon d s m a t u r ed i n a p r i o r y e a r a n d e r ron eou s l y we r e n o t om i t te d f rom t h e d a t e o f m a t u r i ty o r i nsucceed ing repor t s .

P a r t V I I : A l l s e cu r it i e s h e l d i n M org an S t an l e y r e g u l a r a ccoun t s we r e s o l d o r t r a n s f e r r e d t o T IA A .C R EF b roke r ag e a ccoun t s i n 2009 . A l l M org an S t an l e y IRAaccoun ts were sold or t ran s fe r red to TIAA-CRE F accoun ts in 2009.


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FINANCIAL DISCLOSURE REPORT N , m ~ o r P , ~ o . R , p o ~ i ~ D . t , o f R e p o r tPage 14 of 14 Arno ld , Mor r i s S . 05/10/2010IX. CERTIFICATION.

I c e r t i fy t h a t a l l i n fo rma t i on g i v e n a bov e ( i n c l ud i n g i n fo rm a t fon p e r t a i n i n g t o my s p ou s e a n d m i n o r o r d e p e n d e n t c h il d r e n , I f a n y ) I sa ccu r a t e , t r u e , a nd co m p l e t e t o t he b e s t o f m y kn o w l edg e a nd b e l i e f , a nd t h a t a n y i n f o r m a t io n no t r e po r t e d w a s w i t h h e l d b ec au t e i t m e t a p p l i c ab l e s t a t u to r yp rov i s i on s p e rm i t t in g n on - d l s c lo s u r e .

[ f u r th e r c e r t i f y t h a t e a r n e d i n c om e f rom ou t s i d e e m p loy m e n t a n d hon 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 t s wh i c h h a v e b e e n r e p o r t e d u r e i nc omp l i a n c e w i t h t h e p rov i s i on s o r s U . S . C . a p p . 5 0 1 e l . s e q . , 5 U . S . C . 7 3 5 3 , a n d J ud i c i a l C on f e r e n c e r e g u l a t i on s .

Signalur, :

N O T E : A N Y IN D I V I D U A L W H O K N O W I N G L Y A ND W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L 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 LAND CR IMINAL SANCT IONS (5 U.S.C. app . 104)

FILING INSTRUCTIONSM a i l s i g n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o:

C o m m i t te e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t r a t iv e O f f i c e of t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 lOne Columbus Circle, N.E.W a s h i n g t on , D . C . 2 0 5 44

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