Robert W Gettleman Financial Disclosure Report for 2009

8/3/2019 Robert W Gettleman Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/robert-w-gettleman-financial-disclosure-report-for-2009 1/13

’ A O 1 0 I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c s

I i n Gov e r nme n t A c t o f 1978R~,./ /2olo F OR C AL E NDAR YE AR 2009

I . P e r s o n R e p o r t i n g ( las t name, f i rs t , middle ini t ial ) 2, Court or Organization 3 . D a t e o f R e p o r t

Gct t l eman , Robe r t W, U.S. Dis trict , N.D. I l l inois 5 /12 / 2010

4 . T i t le ( ^ r d c l e I l l j u d g e s i n d i c a t e a c t i v e o r ~ :n i o r s t a t u s ; 5 a . R e p o r t Ty p e ( ch e ck a p p r o p r i a te t y p e ) 6 , Repo r t i ng Po r t a lmagisu’a t e judge~; ind ica te fu l l - or pa i l - t ime )

[] Nomination. Date 0 1 / 0 1 / 2 0 0 9

U. S. District Judge (active) [] I.~tia! [] An.ua! [] Fin,1 t,

1 2 / 3 1 / 2 0 0 9

5b. [] Amended Report

7. Chambers or Office Address 8 . O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d l a t h i s R e p o r t a n d a n ym o d i f i c ~ t ti o n s pe r t a i n i ng the r e t o , i t |s , I n m ) ’ o p in i o n , In c o m pl i anc e

219 S. Dearborn St. wi t h ~p p l| c a h le l a ws a n d r e g u l a t i o n s .

Chamber~ 1788

Chicago, IL 60604Rev iew | r i g Of f i c e r D ~ t t e

I M P O R T A N T N O T E S : The instructions accompanying thls form must be followed Complete all parts,

check in g the NO NE bo x fo r each par t where yo ~ t have n o repo r tabl e in fo rm at io n . S ign o n l as t page .

~ NONE ~o reportable positiom0

POSITION NAME OF ORGANIZA~ON~NT~

1 .

~ N O N E ( N o r e p o r t a b l e a g r e e m e n t s .) ~

~ pARSES A~ TE~S

I. 2~9 Ge n e ~ l Pa ~ e ~ B o b Jo I nv ~ e n t s (p ~ iv e i nv e s ~ e n t p a ~ e ~ h i p ~ t h Jo e l R u b ~ i n s i ng l e r e ~ e s t a t e v m~ e ; w e. . : e a c h o ~ 5 0 %

2 . 2009 Bolar & Co. , Evanston, IL (Passive investment . with brother Lawrence in l imited partnerships & securi t ies ( l isted inPart VII ). (Cont . in Part V III )



FINANCIAL DISCLOSURE REPORT N ....P e r , o n R , p o , ~ i ,~ n.,.or..~o~

Page 2 of 1 3 Gett leman, Rober t W. 5 1 1 2 / 2 0 1 0

I I I. NON -INV ESTMEN T INCOM E. (Repora.g

A. Flier’s N o n - I n ve s t m e n t I n c o m e

N O N E ( N o r e p o r t a b l e n o n - i n v e s t m e n t i n c o m e . )

D A T E SOURCE AND TyPE INCQ.ME(your s , no t spouse ’ s )

I. 2 009 N o rthwes te m U n ive rs i ty Scho o l o f Law; ta u g ht co u rse s $4000.00

2.

3.

4.

B . , . . S . p o u s e ’ s N o n - I n v e s t m e n t I n c o m e - If)on were married during any ponton of the reporang ~vear, complete this section.

(Dollar amount not required excep t for I~onorar ia .)

D (No reportable i n c o m e . )ONE n o n - i n v e s l m e n l

D A T E S O U R C E A N D T Y PE

I . 2009 LCSW , Private Socia l Wo rk Pract ive

2 . 2009 Teachers’ Ret i rement Pension

3.

4.

IV. REIMBURSEMENTS -(Include~ thee to s~use a~ de~enl child~n: see pp. 25-27 of filing imt~ctiom)

N O ~ ~ o reportable reimbursements.)

~ D A T E ~ L O C A T IO N P~OSE I T E M S P A I D O R P R O V I D E D

1 .

3.

4.

5.



FINANCIAL DISCLOSURE REPORT r~ .... ~ ~ . o . a ~ p o ~ i ~ g ~,~ o~w0-

Pa g~ 3 o f 1 3 G e t t l e m a n , R o b e rt W . 5 / 1 2 / 2 0 1 0

~ NONE (No reportable g~sO

~ DESCRIPTIQN

2.

3.

4.

5.

~ N O N E (N o re p o r ta b l e l ia b i l i t ie s . )

CREDITOR DgSC~PTION VALUE CODE

3.

4.



’

FINAN CIAL DISCLOSURE REPORT n a m e o f P e r s e a R e p o r t i n g D a t e o f R e p o r t

Page 4 o f 13 Get t l eman , R o b e r t W . 5 , ’ 1 2 . r 2 0 1 0

VI I. I N V E S T M E N T S a nd T R U S T S - ,’ n c o ~ , ~ v . t u e , t ~ o . . c a o ~ a, aud~ ~o~ o!~ou, , ,~ d ~ r o ~ e , ~ c ~ u a . o ~ ,ee ~.

NONE (No r e p o r t a b l e in c o m e , a s s e t s , o r t r a n s a c t i o n s . )

A. B. I C. D.

D e s c r i p t io n o f A s ~ t x Income dur ing G r x ~ s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r , ~ p o r t in g p e r i o d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g i x r i o d o f r e p o ~ . i n g p e r i o d

(L) I (2) (I) (2) (1 ) (2) (.3)

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 ~ l T y p e ( e .g . , V alue Value T y p e { e . g . , D a t e V alue 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 i d i v . , r e n t , Code 2 , M e th o d buy, sell , m m / d d d y y Code 2 C o d e I buyer/seller

I1C o d e 3 i r e d e m p t io n ) [ ( J - P ) ( A - H ) (ifprivaleA - H ) o r i n t . )

’( Q - w ) i l ~ n - ~ O o n l

I. Ci t ibank (Chicago) A Interest J T

2. Bob Jo Investments (Real Esta te ) N o n e J U

[ 3 . Morg an S t an l ey L iq . Asse t Fund A Interest J T

4. MS Natura l Resourses A Dividend K T

~ .: Morgan Stanley Active AsseCs Money Trust C Interest L T

6. ILL St. Civic CTP, P,.EF-SPL (Bond) A Interest J T~’:

: 7 . I l l inoi s S t . Gen. Obl ig . (Bond) A Interes t J T

8. II1. Heal th Fats . Auth. (Bond ) A Interest J T

9. N e w m o n t M i n i n g A Dividend S o ld 06/25109 J A

1 0 . S ac r ed S i lk s A Dividend J T

1 I. El d o r a d o G o l d C P A Dividend J T

1 2 . Cedar Fair LP Dep Unit A Dividend S o l d 02/13109 J A

1 3 . Pa la t in e G O A Interest J T

1 4 . Scher lng P lough Carp A Interest J T S o ld 06/22!09 J A...... (part)

1 5 . Br is to l Myer s Squ ibbCo. A Dividend J T

1 6 . ING Plu s A Dividend J T

1 7 . G E M o n e y B K A Dividend J T

-" " - ( S o ¢ C o l u m ~ B I a n d D 4 ) F , . $ 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0 O = $ 1 0 0 , 0 0 1 - $ 1 , 0 0 0 ,0 0 0 H I - ,$ 1 , 0 0 0 , 0 O I - $ 5 , 0 0 0 , 0 0 0 1 1 2 - M o r t t h a n

¯ 2 . V a l tm Co des | ’-$ l 5 . 0 0 0 o r l e ~ g " $ 1 , $ . 0 0 1 - $ 5 0 , 0 0 0 L ~ a ,50 ,O01 - $100 ,000 M - $ 1 0 0 , 0 0 1 - $ 2 5 0 , ,0 0 0

( S e e C o lu m ~ C l a n d D 3 ) h i - $ 2 5 0 , 0 0 1 - $ 5 0 0 , 0 ~ O -1 5 00 ,1 00 1 - $ 1,0 0 0,0 00 P l = $ 1,0 00 ,0 01 - $ 5,0 0 0,0 00 P 2 = $ 5 . 0 0 0 ,0 0 1 -

¯ - P3 "$25,C00.001 - 150.000,000 P 4 = M o ~ e th ~ $ 5 0 , 0 0 0 ,0 0 0

[ 3 . V a l ue M e t h od C o d ~ Q .gpl~aisal R , , , C o s t ( R e t l E s t a t e O ~ l y ) S = A . s s es s m c m t T ~



¯ FINANCIAL DISCLOSURE REPO RT N,menfPer~onReport~g D. t~ o fR~ por t

Pag~ 5 o f 13 G e r a e m a n , ~ o b e ~ t W .

I N V E S T M E N T S an d T R U S T S - in c ~ m ~ v a ~ u e ~ tt sa ¢ d ~ ( I n c ~ u d ~ $ ~ $ e ~ fs ~ u ~ ¢ a n d d ~ p ~ n d e n t c h i~ d r e n ~ $ ¢ ¢ ~ J 4 - 6 ~ f ~ in g ~ m t ru ~ n $ ~

NO ~ (No reportable income, assets, or ~amactions.)

A. B. C. D.

D~cfiption of~ Income during

(including ~ ~) ] ~ng pefi~ of re~g ~od

(2) 0) (2) 0) C2) (3) O) (~)Pla~ "~)~a~r e~h ~t A~nt T~ (e.g., VMue V~u* T~ (6, Dat* V~I~ G~in Id~dty of

(A-~ o r in L ) ( J - P ) ~e 3 ~emption) ( J - P ) (A-~ ( i f p f i v a m

(~ audi t ion)

MS B~k CD A Divided J T Bu y 1 ~ 0 1 1 0 9 J

I tems 2 0 ~o~gh 46 ~e Bolar investment.

2 0 . Bravo Restaurants, Inc. None K W

2 1 . Mo rgan Stanl ey L iq . As s et Fund A D i v i d e n d

2 2 . M o r g a n S t a n l e y A c t iv e A s s e t T r u s t A D i v i d e n d

23 . M o r g a n S t a n l e y D e v . G r o w t h F u n d A Dividend J T\’~’.

24. M organ Stanley Div. Growth Fund A 3 i v i d e n d ! C a l : J T

25 . Giga Tronics A D i v i d e n d J T

26 . G l a m i s G o l d L e d A Distr ibut ion Sold 1 2 / 0 1 1 0 9 J A

27 . HDFC Bank Led ADP. A Dividend J T

28. P la c e r Do m e l n c A Dividend S o ld 09/01/09

29. S u n M i c r o s y s t e m s , In c . A D i V i d e n d S o l d 07/22/09

f3 0. Un is ys co rp A D i v i d e n d S o l d 12/01/09

31. B an ro Co rp A Dividend J T B u y 06/02/09

3 2 . China Unicorn LtdADS A Dividmd J T

33 . Isis Phann Inc A D i v i d ¢ n d J T

3 4 : Polymct M ining Corp A D i v i d e n d S o l d 07/22/09



,

FINANCIAL DISCLOSURE REPORT m . ~ e o f r . ~ o , ~ R . |, o . l, ,: v. ,eofR~,t

P a g e 6 of 13 G e t t l e ma n , R o b e r t W . 5 1 1 2 / 2 0 1 0

V I I. I N V E S T M E N T S a nd TRU STS - 0 .co . .~ ~a ~ . . .~==a o .s a .a ,d . .ho s , o ! ~p . . .. . ~ a ,~ .~ ,~ , .~.~:

NONE ~ o reportable income, ~setz. or transaction.)

A. B. C. D .

Descr ip t ion o f A~ I ~o m e d u n g G~ss value a t end T~n~ct io a s du rng re in ing(includ~g ~t ~) r e ~ n8 pe f i~ of ~ing

(0 (Z) 0) (2) 0) (2 )

PI~e "~" ~er ~h ~et A m o ~ t T~ ( e .g . , V ~ u e V a l ~ T~ ( e .g . , Date [ Value Gain Identiw of¢xem pl f rom prior aisc lo~ C~ I div. , ~1, C~e 2 Me~ b u y , ~ 1 1 , ~d~yyI

(A-~ o r i n L ) ( J . P ) C~e 3 ~demp t~a) ( J - P ) ( A - H ) ( i f p r i v a t e

(Q-~[

~action)

3 5 . Tanzan ian Ro ya l~ Expl CP A Dividend S o ld 7 /~109 J A

36. China Medica l Tech ADS A Dividend J T

37. Eche lon CP A Dividend J T

38 . S i lv e r W h e a t o n C o r p . A Dividend J T

39° Terady’ne lne A Dividend S o ld 0 9 / 2 1 1 0 9 J A

40 . W es te rn C oo pe r C or p A Dividend S o ld 09/21/09 J A

4I . Bos tonScien t i f i e Co rp A Dividend J T

42 . A S A L id ( B e rm u d a ) A Dis t r ibu t i on J T

43 . Se qu e no m ln e Ne w A Distribution J T

44, SAIC, I nc . A Dis t r ibu t i on J T

45 . T en et He althc ar ~ A Dis t r ibu t i on J T

46. U S G o ld C o r p N ew A Distr ibut ion J T S o ld 6/30/09 J A

47 . Sta r t o f IRA Am er ican Mutua l Fund C Dividend K T

48. Am e r . F DS C a p . B l d r s . C Di v i d e n d K T

49. Morg an S t an l ey Growth Fund o f Am e r . C Di v i d e n d K T

¯ 5 0 . U.S . Treas . Bonds A Interest L T

¯ 5 . 1 . Morg an S t an l ey U.S . Gov t . Sec . C Di v i d e n d M T



’ FINANCIAL DISCLOSURE R EPORT Nam e o fPersoa Report ing D a l e o f R e p o r l

Page 7 o f 13 G e t tle n ~ a n , R n b e r t W , 5 1 1 2 / 2 0 1 0

V̄ I I. I N V E S T M E N T S a n d T R U S T S - ~ n c o ,,~ , , l ~ 0 . tran~acaons anaud~ tho~e ofs~u~ and depender children; seerp. 34~0 o/filing ~struct~on~)

NONE ~o repo~able income, ~se~, or ~ansactions.)

A. B. C. D.

~ p tl o n o f A ~ e t ~ I n c o m e d u r in g Gr~s v~ue ~t end T~tion~ during ~ing( i n c l ud i n g ~ t ~ e ~ ) reining ~ of ~a~g ~

(0 (2 ) ~) (2 ) (0 (2 ) O) (~ ) (~ )Pl~"(X)" afl~ ~ ~t A m o u n t T~ (g . , V a l ~ Value T~ ( e .g . , Da ~ V alue Gain Iden ti~

C~e 1

[

~d~

(J~)

C~ 1 buy~/~ellerxempt &ore prior di~losu~ div., ~k C~e 2 Me~M ~y, ~11, C~e 2(A-H) or inL) (J-P)~ C~ 3 ~mption) (A-~ (ifpfiwte

5 2 . Morgan S tan ley Liq . As se t Fund B Divide~ K T

5 3 . Morg an S t an l ey European Growth A Div idend K T

5 4 . Morgan S tan ley Pac if ic Growth B A Dividemt J T

55 . F inanc ing Corp CPN St r ipx Se r 1 INT PMT A Div idend K T, , . 1 0 . 0 0 Q 2 0 1 8

. . 5 6 ; . Lord Abbe t t A Div idend S o l d 07 /22 / 09 J A

57 . Mie rov i s i on I ne (Wash) A Div idend J T

58. Putnam H ea l th Sci ence Trus t A Dividend J T

59 . Sacramen to Cnty Ca l i fGo Pens FDG-A A Div idend J TTaxable O Y 7.53 BE

60 . Term VY Auth 6.75% 6-1-28 SR D A Div idend J T

61. N e w m o n t M i n in g C o W A Div idend S o l d 0 4 / 2 1 1 0 9 J A

62 . Bris to l Myers Squ ibb Co . A Div idend J T

63. C o eu r D : A len e M n s C p A Dividend J T

64. Sun Microsystems, In<:. A Dividend J T

65 , SLM Co rp Se t CPl /F loa te r A Div idend J T

66. Wo rld F in l Ne twork Na t l Bank Gahanna Oh A Div idend M a t u r e d 1 2 / 0 1 1 0 9 J

....... CD

67 . I nt l Bk fo r P~ ec on & D e vA

Dividend J T

6g . Novar t i s AG ADR A Dividend J T

;--"(S~ Columm BI and IM) F ~50, (IO I. $ |OO.O00 G -$100 ,001 - $ 1 ,00O ,0OO HI -$ I0~00 , 0~1 - $ ~ , 000 , 000 H2 ~Mor(: ~

: 2 ! V d ~ C 4 ~ c l e ~ J " ~ 1 5 . 0 0 0 o r l e ~ K - $ I 5 , ~ O I - I 5 0 ,O 0 0 L = $ 5 0 . t 3 0 1 - $ 1 1 3 0 , 0 0 0 M , $ I 0 0 ,0 0 1 -

( S ~ C ~ l u m m C I t ~ l D 3 ) N - $ 2 5 ~ , 0 0 1 - $ 5 0 0 , 0 0 0 O "$ 50 0,0 ~ 1 - $ 1,0 0O ,0 00 P I ~ $1 ,0 00 ,0 ~ ! - $ $,0 0 0 ,0 0 0 F 2 - $ 5 , 1 3 0 0 ,0 0 1

.... p] - $25 , 0 (30 . 001 - $50 , 00~ . 000 P 4 - M c ~ e t h a n $ 50 , 000 .0 (3 0

(See Co l tm-m C2 ) O - B o o k V a l ue V ~ W , ~ _ ~ im a t ed



FINANCIAL DISCLOSURE REPOR T r~ ....fP e . . . . Report ing Date of Reporl

Page 8 o f 13 Getf leman, Robert W. 5/12/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i.eom*, ~ot.o, ~,~.cao., (lnctudes ~hos, olspo .... d dep,ndent chiUrrn;

N O N E ( N o r e p o r t a b l e i n c o m e , a s s e t s , o r w a n s a c t i o n s . )

A. B. C. D.

Deception of A~ In,me during G m s ~ v a l u e a l e n d T~nsaaion~ during r~ning

(includ~g ~st ~ts)I reining ~ ofr~o~ing

(I) (2) (l) (2) (I) (2 )P~e )’(~" ~er e~h ~t Amour T~ (e.g., V a lu e V a lu e T~ (e.g., D a l e V a l u e Gain ~ ]d~tity of

exempt ~m phor ~sc~ C~ I div., ~ ~ 2 Me~ ~, ~11. m~ C~e 2 ~ I b u ye r /~ l l e r(A-~ o r in t . ) (J-P) C~ 3 ~ d e m p t i o n ) (J-P) ( A- H) (if pdva~

69. Ra~eon Co ~ew) A Dividend J T

70 . W~te~ Silver Co ~ A Divided Sold 07~09 J A

71 . Dundee Prccio~ Metals, Inc. A Divided 8old 1~01/09 J A

72 . Free,ale Semi Inc. C~ A Dividend J T

73.. No~el Ne~or~ Co~ New A Divided S o l d 01/21/~ J A

74 . GMAC Bank CD A Interest J T

75 . Amen Corn Inc. A Divided S o l d 01~1/09 J A

76. ~umcheTelekon O~ABS AGI A Divided J T

77 . ~von Ene~ Co~ New A ~d J T

78 . ~namic Materials Co~ A Divided S o l d 07~09 J A

79 . Eli Lilly & Co. A Dividend J T

80 . lntel Cor~ A Dividend J T

81. Isis Pharm Inc. A Dividend l T

82 . Sanofi Aventis Ads A Dividend J T

83 . Seabridge Gold lnc A Dividend J T Sold 6 /30 /09 J A

..... ( p a r t )

84. S t r e e t r a c k s D J G l o b a l T it a n s A Dividend JT

85 . Tan7.anian Royal Expl CP A Dividend Sold 0 7 / 2 1 / 0 9 J A

I . Incom e Ga in Coda : A - $ 1 , 0 0 0 o i ’ l e a . I 1 3 - $ 1 , 0 0 1 o $ 2 , 5 0 0 (~ -$2,501 ¯ $5,000 D -$5,001 - $15,000 E-$15.001. $50 ,000’--(Se~ Colunm~ B I aod IM) F - $ ~ 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G -$ 100.001 - $ 1 ,000.000 H I -$ 1, 0~0 ,0 01 - $ 5, 00 0, 00 0 1 t2 - M0 ~ I ha a $5 .0 00 .( X) 0

(S¢1 C.~lu nm a Cl and D3) N -$2~,001 - $ 500 ,000 O -$500 ,001 - 11 .000 ,0 00 Pl -$1,000.001 - $~,000,~00 P2 -$5.000.001 - $25,000,000-" " P 3 - $ 2 5 , 0 0 0 . 0 0 1 ¯ $ 5 0 . 0 0 0 , ~ 0 0 P4 -Mo~ than3: V~t~ Melhod Cod~a Q "Apl~ital R -Coal (R~al Eatat¢ Oal~,) S - A . s se~--m T ...Cash

(S~ Colmrm C’2) U =Book Value V =Olh~t W =Est i rnm~



FINANCIAL DISCLOSURE REPORT n a m e o r P e r , u o R , p o n i n t

Page 9 of 13 G e m e m a n , R o b e ~ W . 5 / I ~ 0 1 0

V I I. IN V E S T ~ N T S a n d T R U S T S -t ,~ o ~ ~ ~ o ~ a ~ ~ o ~ o y ~ , ~ ~ ~ , ~ , ~ i t~ r ~ : ~ r ,-

N O ~ ~ o reputable incom e, assets , or transactions.)

A. B , C.D .D~s~ption of A~ ]~m~ during G r o ~ v ~u ~ a t e n d Tm~ctlo~ daring ~ning

. (includ~g ~t ~ge~) r~ng ~ of re~ing p~

: (I) (2) (l) (2) (I) (2) (3) (4) (5 )P]~e "(~" aRcr ~ ~el ~ount T~ (e.g., Value Value T~ (e.g., D a ~ ¢ Value Gain [d~ti~ of

(A-H) or ~t.) (J-P) C~e 3 ~em~ion) (J-P) (A-H) (ifpdvate

86 . Tib~ So--re Inc. A Dividend J T

87. Bank t l apoa l im F id A Dividend J T

8 8. Am eric an M u ra l A A I n t e r e s t J T

89. C o lu mb ia G lo b a l Va lu e B A Dividend J T

i. ~

~0. Agnico ,Eag le Mines A Dividend J T

91 , A n gl o Am e ri ca n PL C A DR N ew A Dividend J T

9 " 2 : Bam~ Corp A D i v i d e n d J T

93 . B a r r i c k G o l d A Dividend J T

94. Cubi s t Pha rm A Di v i d e n d S o ld 7 /22 / 09 J A

95 . Dres s e r Rand A Dividend J T

96. Eche lon A Dividend J . T

97. E i d e r ’ a d o G o l d A Dividend J" T

98. Novagold A D i v i d e n d J T

99. Si lver Wheaton Corp A Dividend J T

1 9 0 . Symyx Techno log ie s A Dividend J T

1 0 1 . Goldman Sachs GRP lneA Dividend J T

1 0 2 . KJnr~s~ Gold Corp New A Dividend J T



¯ FINANCIAL DISCLOSURE R EPORT r ~ a ~ e o r P e .... Report ing Dateo fRep0r i

Page 1 0 of 1 3 G e t t le m a n , R o b e r t W . 5 1 1 2 / 2 0 1 0

V I I . IN V E S T M E N T S a n d T R U S T S - ~ = o , .~ , o ~ . e , ~ , ~ = ~ o . , a ~ c t . a , t hos e o : ~ = , ~ ,~

NONE (No r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c 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 c - t s I n c o m ~ d u r i n g G ro s s v a l u e a t e n d 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

(including trust a s s e t s ) r e p o r t i n g p er i o d o f re p o r t i n g p er i o d

(D (2) O) (2) O) (2) (3) (4) (5 )P l a c ~ " ( X ) " a f t e r e a c h e ~ s e t A m o u n t T y p e (e.g., V alue V alue T y p e ( e . g . , D a t e V alue Gain i d e n t i t y o f

e x e m p t f io m p r i o r d i s c lo s u r e C o d e 1 d i v , , r e n t , C o d e 2 M e t h od buy, sell . mm/dd/~ , C o d e 2 C e d e 1 b u y e r / s e l l e r( A - - H ) o r i n t . ) ( . l -P ) C e d e 3 r e d e m p t i o n )

i( J - P ) ( A - H ) (if pz’ivate

( Q - W ) [ t ~ n . ~ ¢ t l o ~ )

! 0 3 . M a rke t V e c t o r s G o l d M i n e s A Dividend J T

104 . Royal Gold Inc . A Dividend J T

1 0 5 . S e q u e n o m l n e N e w A Div idend J T

106 . Tene t Hea l thca re Corp A Dividend J T

!:! "

l i07t ¯ Morgan ST !I I Cure ^ Dividend J T

1 0 8 . Yam ah a G o ld I n c . A Dividend J T Bu y 6/30/09 J.~~!

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VII1. ADDITIONAL INFORM ATION OR EXPLANATIONS. a.dtc~,or~,

Part [1 Agreements.

No. 1 : of one lim ited partne~shlp interest) .No. 2: We each own 50% of the partnership which owns a Mo rgan Stanley Active Assets accou nt. Bolar was dissolved in Novem ber 2009 and all a~sct~ wered is tn ’buted equal ly to my bro ther and m e.



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IX. CERTIFICATION.

I c e r t if y t h a t a l l In f o rm 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 rm a t i o n pe r t a in i n g t o my spouse a n d m i n o r o r d e pe n d e n t c h i ld r e n , I f a n y ) i saccur a te , t r ue , and comple te to the bes t o f my knowledge and be l ie f , and tha t any In fo rmat ion no t r epor ted was w i thheld because i t met app l ic ab le s ta tu to ryp r o v is i o n s p e r m i t t in g n o n - d i s c l o s u r e .

l f u r t h e r c e r ti f y t ha t e a r n e d i n c o m e f r o m o u t ~ l d e e m p l o yme n t a n d ho 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 t s w hi c h ha ve b e e n r e po r t e d a r e I ncom pl iance wi th the prov i s ions o f 5 U .S .C. app. § 501 e t . s eq ., 5 U.S .C. § 7353 , and Jud ic ia l Confe ren ce regu la t io ns .

N O T E : A N Y I N D I V I D U A L W I lO KN O W I N G L Y A N D W I L FU L L Y FA L S I FIE S O R FA I L S T O FI L E T H I S R E PO R T M A Y B E S U B JE C T T O C I V I LA~D ~RIMINAL SANCTIONS (5 U .S.C . app . § 104 )

FILING INSTRUCTIONS

M 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 ie 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 l o s u r eAd m in i s t r a t ive Of f i c e o f the Un i t e d S t a t e s Cou r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D .C . 2 0 5 4 4

Documents

Robert W Gettleman Financial Disclosure Report for 2009