rya w zobel financial disclosure report for 2010

8/3/2019 Rya W Zobel Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/rya-w-zobel-financial-disclosure-report-for-2010 1/16

FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 2010

Report Required by the E thicsin Government Act of 1978(5 U.S.C. app. § § lOl-lll)

1 . Person Rep or t ing ( las t name, f i r s t , middle in i t ia l)

Z obe l , R ya W .

4. Tit le (Ar t ic le 111 judges indicate ac t ive or senior s ta tus ;magistrate judges indicate full- or part- time)

U. S. D.J. , ac t ive,

7 . C h a m be r s o r O f f i c e A d d r e s s

1 C o u r t h o u s e Wa y

B os t on , M A 02210

2. Court o r Organ iza t ion

D C M A ,

3. Date of Repor t

05/10/2011

5a. Repor t Type (check ap propr ia te type)

] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5 h . [] A m e n d e d R e p o r t

8. On the basis o f the in fo rma tion con ta ined in this Report and anymodif ica t ions per ta in ing there to , i t i s , in my opinion, in com pl iance

with appl i cable l aws and regu la t ions .

Reviewing Office r Date

6. Report ing Pe riod

01 / 01 / 201 0

12/31/2010

I M P O R T A N T N O T E S : The in s t r uc t ion s a ccomp a n y in g th i s f o r m m a s t be fo l lowea ~ Comple te a l l pa r ts ,

checking the NON E box for each part where you have no repo rtable information. Sign on last page.

I . P 0 S I T I 0 N S . (Reporting individual only; see p p . 9 - 1 3 of filing instructions.)

D N O N E (No reportableposit ions.)

POSITION

1 . Tru s t e e

NAME OF ORGANIZATION/ENTITY

Rya W. Zobel Irrevocable Trust

I I . A G R E E M E N T S . m e p o r a n g i nd i v idua l on l y ; s eepp. 14-16 o f f i t i ng ins t r uc t ions . )

~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS

F IN A N C I A L D I SC L O S U R E R E P O R T

N a m e o f P e r s o n R e p o r t i n g

Zobel , Rya W.

D a t e o f R e p o r t

05/10/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of f!llng instructions.)

A. Flier’s Non-Investment Income

~] NONE non-investment income.)N o reportable

DATE SOURCE AND TYPE

INCOME

( 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 - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for h onoraria.)

N O N E (No reportable non-investment income.)

I V . R E I M B U R S E M E N T S - t r n n s p o . ~ a o n , lodging, food, e n t e r t a i n m e n t

(Includes those to spouse and dependent children; see pp. 2 5-27 of f!ling instructions.)

~] (No reportable reimbursements.)ONE

DATES LOCATION PURPOSE

March 26, 2010 New York, NY Meeting

¯ SOURCE

1. New York Intellectual

Property Law Association,

A n n u a l D in n e r

2. Aspen Institute November 5-7, 2010 Wye, MD S e m i n a r transportation, lodging, food

ITEMS PAID OR PROVIDED

t r a n s p o r t a t i o n , l o d g i n g , f o o d

FI N A N C I A L D I SC L O S U R E R E PO R T

N a m e o f P e r s o n R e p o r t in g

Zobel , Rya W.

05/10/2011

V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

N O N E (N o reportable g ifts.)

SO U R C E D E SC R IPT IO N

V I . L I A B I L I T I E S . a n c l n d e s t h o s e o f s p o n s e ond dependent children; see pp. 32-33 of filing instructions.)

NONE (No reportable liabilities.)

C R E D IT O R D E SC R IPT IO N

VALUECODE

F I NANCI AL DIS CL O S URE RE P O R T

Z o b e l , R y a W .

Date of R e p o r t

05/1 0/201 1

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, 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. B. C. .......... :: D-

Description of Assets Income du r ing Gross value a t ehd Transactions during reporting period

(including trust assets) reporting period o f r e p o r t i n g p e r i o d

(! ) (2 ) (1) (2) (1 ) (2) O) (4)

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 - , D a t e : V a l u e G ain Id entity of

C o d e 1 d i v . , r e n t , Code 2 Method : buy, se l l , mm/dd/yy Code 2 Code 1 .... bUyer/sellerexempt from prior disclosure

] ( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption) ( J = P ) (A-HI ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n S ’

A sse t s o fRya W. Zobe l

F i de l i ty S e l ec t R e t a i l i ng F S R P X

Fi de l it y Se l e c t Cons t ru c t i on & H ou s i ng

I S H O X

A D i v i d e n d J T

T.Row e P r i ce B l u e Ch i p Grow t h , Inc

T R B C X .

Ca l a m os G row t h C l a ss A

H o d g e s Fu n d C V G R X

Div idend Sold 03 /1 9 /1 0

D i v i de nd J T

Div idend J T

Div idend Sold 11/11/10

Ish a re s TR NA SD A CBi o t e ch no l ogy Inde s A

F D IBB

I sh a re s Com e x Go l d Tru s t IA U A

D i v i de nd

Div idend

Sold 03/19/10 J

Ma rke t Ve c t o r s E TF TR Coa l KOL A D i v i d e n d J

P o w e r s h a re E x c h a n g e T r a d e d F D T R W i l d e r A D i v i de ndP BW

S P D R S E R T R S & P H o m e b u i l d er s X H B A D i v i de nd

S o l d 03/16/10 J

B u y 03/18/10 J

I s h a re s T R M S C I E m e r g i n g M a r k e t s I n d e x A D i v i de nd

E E M ( X )

I sh a re s TR D ow Jone s U S Re a l E s t a t e Inde x A D i v i de nd

I Y R ( X )

Ish a re s TR D ow Jone s U S Broke r D e a l e r s A Div idendI N d e x I A I ( X )

Sec tor SP DR T R SHS Ben In t Financ i a l A D i v i de nd

XLF (X) (Y)

U ni t e d STS Na t Ga s FD LP U n i t U NG (X ) A D i v i de nd

T B u y

03 /1 8 /1 0

03 /1 6 /1 0

P o w e r s h a r e s Q Q Q T R U n i t S e r 1 Q Q Q ( x ) A D i v i de nd J

I l n d o m e Ga i n Co d e~: A = $ 1 , 000 o r l e ss

. . .. . (Se e Co !umn s B ! a n d D4 )F =$50,001 - $100,000

2. V a l u e Co d es J = $ 1 5 , 0~0 o r l e ss

(S ee C ol um ns C I a nd D 31 N -$ 25 0.0 01 - $ 50 0.0 00

P3 =$25,000.001 - $50,000,000

3 . V a l u e Met ho d Co d es Q =Appraisal

( See C olumn C 2 ) U = B o o k V a l u e

B =$1 ;001 - $2,500

G =$100;001- $1.000,000

K =$t5 ,0 0 1- $5 0 .0 0 0

O = $ 500, 001 - $ 1 , 000 .000

R = Co s t ( R e a l Es t a t e O n l y )

V = O t h e r

C --$ 2,501 - $ 5;000 D = $5.001 - $1 5 .000

HI =$1,000,001 r $5,000,000 H2 =More than $5,000,000

L =$50,001 = $100000 M =$I0 0 0 0 1- $2 5 0 .0 0 0

P = $ 0 0 0 0 0 1 , $ 5 0 0 0 0 0 0 P2 =$5,000~001 -$25,000.000

P 4 = Mo r e t han $ 50 , 000000

S = A ssessm en t T =C as h Mar ket

W = E st i m a t ed

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0

N a m e o f P e r so n R e p o r t i n g

05/10/2011

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 . ~ o t u e . ~ ,u s o ~ t i o n s a n a u d e s t h o s e o l s , o ~ s e , n d dependent children; s e e p p . 3 4 - 6 0 of f i l ing instructions.)

" Descfipt on :: ~i~ ~ ~ ~

(includ ng ~st asse~)

Place "~)" af ter each ~ou~e x e m p t f f 0 m ~ 0 r d i ~ i ~

V a n g u a r d I n d e x F D S V a n g u a rd R E I T E T F , A D i v i d e n d J T B u y 0 3 / 1 8 / 1 0 J

B a r c l a y s B a n k P L C I P a t h S & P 500 , VI X A D i v i d e n d J T B u y 05/18/10 J

IS h a r e s z S i l v e TR 1 S h a r e s S L V A Div idend

Sold 12/28/10 J

(part)

Bu y 05 ]1 8/1 0 J

22 . ISh a re s Ba rc l a ys Tre a s In f l a t ion P ro t e c t e d A Div idend J TS E C S F D , T I P

23 . S e c t o r S P D R T R S H S B E N I n t F in a n c i al A Div idend J T

24 . ISh a re s TR Ru sse l l 2000Inde x FD IWM A Div idend J T

Bu y 05/1 8 /1 0

Bu y 11/08/10

Bu y 11/11/10

25 . Ci t i zens Bank , c hec k ing A Interest K T

26 . Hans c om Fede ra l Cred i t Union , s av ings A Interest K T

27 . A sse t s o fRya W . Zobe l I rr e v oca b l e Tru s t

28 . F e d l H o m e L n B a n k s C o n c . B d 6 . 1 0 0 % , A Interest

12 / 3 / 10

29 . Fidel i ty Tota l Bond B Interest K T

30 . A m e r ic a n H i g h I n c o m e C l a s s F A H T F X A Interest J T

31 . U S Tre a su ry NTS 4 .0% A Interest K T

Sold 10/18/10

32 . U S Tre a su ry NTS 4 .5% A Interest K T

33 . Forw a rd Se l e c t Incom e KIFA X (X ) A Interest K T

34 . P u t n a m D i v e r s if i e d I n c o m e F D C L Y , A Div idend J T

P D V Y XBu y 11/ 15 / 10

I . I n c O m e Ga i n Co d es : A =$L 0 0 0 or l es s B = $ 1 ; 0 0 1

( See C olumns BI and 0 4 ) F = $ 50i 00 i - $ 1

2 . V a l u e Co d es J = $1 5.000 o r le ss K = $15 ,001 - $.50 ,000

( See C olumns C I and D 3) N =$250,001 - $500.000 0 ~$500,001 "$1,000.000

P 3 = $ 2 5 , 0 0 0 , 0 0 1 - $50,000,000

3 . V alu e Metho d Co d es Q = A p praisal R = C o s t ( Res l E s t a t e O n l y)

( See C olumn C 2 ) U = B o o k V a l u e V =Oth er

=$2.501 - $5,000 D =$5 ,001 - $1 5,000 E = $ 15 ,001 - $50,000

1 =$1,000,001 - $5.09~,000 1t2 ~More than

L =$50,0oi : $100.000 ......

P4 =More than $50.000.000

= A ssessm en t T =C as h Mar ket

W = E st i m a t ed

Zobel , Rya W.

05/10 /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 , v a l u e , tr a , s~ c t l o n s a n c l u d e s th o , e o j ~ * p o ~ s e ~ n d d e p e n d e n t children; see pp. 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )

D NONE (No reportable income, assets, or t ransact ions.)

Putnam Income FD CL Y,.PNCYX

Goldman Sachs G loba l Income Insti tutional,G S G L X

Goldm an Sachs Local Emrg M rkts Debt CL

I , GIM DX

P a y d e n S h o r t o n d , P Y S B X

Dividend

B u y 11/15/10

B u y 11 /15 /10

B u y 11/15/10

1 . I n c o m e Ga i n Co d es :

[See C olumns BI and D 4 )

2. V al u e Co d es

( See C olumns C I and D 3)

3 V al u e Met ho d Co d es

( See C olumn C 2 )

A =$1.000 or less

F =$50,001 - $100.000

J =$15,000 or less

N =$250,001 - $500.000

P3 =$25.000.001 - $50.000.000

Q =Appraisal

U = B o o k V a l u e

=$1,001 - $2.500

=$100,001 - $1.000.000

=$15.001 - $50.000

=$500,001 - $1.000,000

=Cost (Real Estate Only)

=Other

C =$2.51)1 - $5.0~0 D =$5.~01 - $15

H l =$1,000.001 - $5.000.000 H2 =More than $5.000.000

L = $50.001 - $ 1 00.000 M = $ 1 00.001 - $ 250.000

PI -$I.006.001 - $5.000.000 P2 =$5.000.001 - $ 25.000.000

P4 =More ’ than

S = A ssessm en t T -~2ash Mar k e t

W = E s t i m a t ed

E =$15_001- $50,000

FI N A N C I A L D IS C L O S U R E R E PO R T

Name o f Pe rson Report ing

Date of R e p o r t

05/1 0/201 1

V I I I. A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indicate part of repor~)

Line 15 of P a r t V II r epor t s t he pu rc has e i n 201 0 of th i s s ec u r i ty whic h had been bough t and s o ld i n i t s en t i re ty i n 2009.

FINANCIAL DISCLOSURE REPORT

P a g e 8 o f 8

Name o f Pe rson Report ing

Date of Report

05/10/2011

IX. CERTIFICATION.

I c e r t i f y t h a t a ll 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 in 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 re n , i f a n y ) i s

a c c u r a t e , t ru e , a n d c o m p l e t e t o t h 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 le 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 r ti f 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 i d 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 t s 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 .

Signature: S/Rya W. Zobel

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 S IF IE S O R F A I LS T O F I L E T H I S R E P O R T M A Y B E S U B JE 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 )

C o m m i tt e e o n F in a n c i a l D i s c l o s u r eA d m i n i st r a ti v e O f f ic e o f t h e U n i t e d S t a t e s C o u r t s

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

FOR CALENDAR YEAR 20 10

Report Required by the Ethics

in Government Act of 1978

(5 U.S.C. app. §§ 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i ti a l )

Zobel , Rya W .

4~ Ti t le (A r t ic le I I I judges indicate ac t ive or senior s ta tus ;magistrate judges indicate full- or part- time)

U. S. D.J . , act ive,

7 . C h a m b e r s o r O f f i c e A d d r e s s

1 C o u r t h o u s e W a y

B o s t o n , M A 0221 0

2. Court o r Organ iza t ion

D C M A ,

3. D a t e o f R e p o r t

05/10/2011

5a. Repor t Type (check app rop r ia te type)

] N o m i n a t io n , D a t e

[] Initia| [] Ann~a| [] Final

5 b . [] A m e n d e d R e p o r t

8. On the basis o f the in fo rm a tion con ta ined in this Report and anymod if ica t ions per ta in ing there to, i t i s , in my op inion, in comp l iancewith appl i cab le l aws and regula t ions .

Reviewing Off ice r Date

6. Report ing Pe riod

01/01/2010

12/31/2010

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 b ox for each part where you have no reportable informatior~ Sign on last page.

I . P O S I T I O N S . a e p o r a n g individual only; seepp. 9-13 of f i l ing instructions.)

D N O N E (No reportable positions.)

POSITION

1 . Tr us tee

NAME OF ORGANIZATION/ENTITY

Rya W. Zobel Irrevocable Trust

II. AGREEMENTS. m e p o r t i n g i n d l v ld u a t o n l y ; s e e p p . 1 4 - 1 6 of filing instructions.)

~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS

Zobe l , Rya W .

05/10/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer’s Non-Investm ent Incom e

~] NONE (No reportable non-investment income.)

INCOM E(yours, not spouse’s)

B . S p o u s e ’ s N o n - in v e s t m e n t I n c o m e - lf you were married during any portion of the reporting year, complete this section.

(Dollar amount not required excep~ for honoraria.)

N O N E (No reportable non-investment income.)

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmenL

(Includes those to spouse and dep endent children," see pp. 25 -27 o fi l l ing instructions.)

~-~ (No reportableONE reimbursements.

SOURCE

New York Intellectual

Property Law Association,

A n n u a l D i n n e r

A s p e n I n s t i t u t e

DATES LOCATION PURPOSE

March 26, 2010 New York, NY Meeting

ITEMS PAID OR PROVIDED

transportation, lodging, food

2. November 5-7 , 2010 Wye , M D S e m i n a r transportat ion, lodging, food

FINANCIAL DISCLOSURE REPOR T

Zobe l , Rya W .

05/10/2011

V . G I F T S . a n c l u d e s those to spouse and depen dent children; see pp. 28-31 of f!ling instructions.)

N O N E (NO reportable gif ts.)

SOURCE DESCRIPTION

V I . L I A B I L I T I E S . a n e i u d e s t h o s e o f sp o ~ e a n d dependent children; see pp. 3 2 - 3 3 of filing instructions.)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

VALUECODE

N a m e o f P e r s o n R e p o r t i n g

Zobe l , Rya W .

05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o ~ e , v u l u e , trunsuctions (Includes those of spouse and dependent children; see pp , 34-60 of filing instructions.)

D NONE income, assets, or transactions.)N o reportable

1. Asse t s o fR y a W . Zob e l

2. Fide l i ty Se l ec t Re ta i l i ng FSR PX A Dividend J T

3. F i de l i ty S e l e c t Cons t ruc t i on & H ous i ng A Dividend

IS H OX

4. T . R ow e P r i c e B l ue Ch i p G row t h , Inc A DividendT R B C X .

5. Ca l a mos G row t h C l a ss A A Dividend

S o l d 03/19/10

6. H o d g e s F u n d C V G R X A Dividend

7. I sh a re s T R NAS DACBi o t e c h no l ogy Inde s A DividendF D IBB

8. I sh a re s Come x G o l d T rus t IAU A Dividend

Sold 11/11/i0

So ld 03 /19/10

9. Ma rk e t V e c t o r s E T F T R C oa l KOL A Dividend J

1 0 . P o w e r s h a r e E x c h a n g e T r a d e d F D T R W i l d e r A D i v i d e n d

1 1 . S P D R S E R T R S & P H o m e b u il d e rs X H B A Dividend J

Sold 03116/10 J

B u y 03/18/10 J

1 2 . I s h a re s T R M S C I E m e r g in g M a r k e t s I n d e x A Di v i de nd J

E E M ( X )

1 3 . I sh a re s T R Dow Jone s US R e a l E s t a t e Inde x A Dividend JI Y R ( X )

1 4 . I sh a re s T R Dow Jone s US Brok e r De a l e r s A Dividend JI N d e x I A I ( X )

1 5 . Sec tor SPDR TR SHS Ben ln t F inanc i a l A Dividend JX L F ( X ) ( Y )

1 6 . Uni t e d ST S Na t G a s F D LP Uni t LING (X) A Dividend

T Bu y 03/18/10 J

Sold 0 3 1 1 6 1 1 0 J

1 7 . P o w e r s h a r e s Q Q Q T R U n i t S e r 1 Q Q Q ( x ) A Di v i de nd J

( See C olumns B! and D4} E--$50i001- $100,000

2. V alu e C o d es J = $ 15,000 o r le ss

( S ee Co l u m n s C1 an d D 3 ) N =$ 250.001 - $500.000

P3 =$25,000.00t - $50.000.009

3. V alu e M etho d Co d es Q = A p praisal

( See C olumn C 2 ) U = B o o k Va l u e

B f$1 ,oo[ -$2 ,5 { )0 c = $ 2 , 5 0 1 : $ 5 , 0 0 0 : D =$5.001 - $15.000 E =$1&001 -$50,000

G - - $ 1 00 ; 0 0 1 ~ $ 1 ; 0 0 0 ~ 0 0 0 H 1 =$1,000i0Ol, $5~000 000 H2 =More than $5 ,000.000

K =$~5 ,0m 155o.ooo ..... L = $ ~ 0 1 0 0 i - : $ i 6 6 1 0 6 6 M ~ i ~ 0 ~ 0 0i ; $ 2 ~ 0 1 0 o 0

R = C o s t ( R e a l E s t a te O n l y ) S =Assess~cnt T~cash Market: ....

V = O t h e r W = E s t i m a t e d

Date o f R e p o r t

05/10/2011

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 , v a n e , transactions (Includes those of spouse an d dependent children; seepp. 34-60 of f iling instructions.)

Place "(X)" after each asset

exempt f rom pr io r d i sc losure

Description of Assets Income dur ing

(including trust assets) reporting period o f r e p o r t i n g . p e r i o d

] (1) .... (2) ,, : O) (2 ) (I) (2 ) (3) (4) (5 )

A m o u n t T y p ~ ~ g , V a l u e V a l u e T y p e ( e . g . , Date Value Gain Identity of

M e t ho d buy, sell, m nd d d /yy Code 2 Code I .... buyer /se l ler

Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

(Q-W) t r a n s a c t i o n 1

V a n g u a r d I n d e x F D S V a n g u a r d R E I T E T F , A D i v i d e n d J T B u y 03/18/10 J

B a r c l a y s B a n k PL C I Pa t h S& P 500 , V I X A D i v i d e n d J T B u y 05/18/10 J

I S h a r e s z S il v e T R I S h a r e s S L V A D i v i d e n d

So l d 12/28/10 J

( p a N )

Buy 05/18/10 J

22 . IS h a re s Ba rc l a y s T re a s In f l a t i on P ro t e c t e d A DividendS E CS F D, T IP

23 . Sec tor SPDR TR SHS BE N In t F inanc i a l A DividendX LF

24 . IS h a re s T R R usse l l 2000Inde x F D IW M A Dividend

Bu y 05/18/10

Bu y 11/08/10

Bu y 11/11/10

25 . Ci t i zens Bank , check ing A Interest K T

26 . Hans com Fede ra l Cred i t Union, s av ings A Interest K T

27 . A s s e t s o fR y a W . Z ob e l I r r evocab l e T r us t

28. F e d l H o m e L n B a n k s C o n c . B d 6 . 1 0 0% , A Interest12/3/10

29 . Fidel i ty Tota l Bond B Interest K

Sold 10/18/10 J

30 . A m e r ic a n H i g h I n c o m e C l a s s F A H T F X A In te re st J T

31 . US T re a su ry NT S 4 . 0% A Interest K T

32 . US Treas uryN TS 4 .5% A Interest K T

33 . F orw a rd S e l e c t I nc ome KIF AX (X) A Interest K T

34 . Putnam Dive rs i f i ed Income FD CL Y, A Dividend J T B uy 11/15/10 J

P D V Y X

( s6e CbJ,mn s B1 ~n d ~ ) : : F- -~6! 60i $1 00,000 ~ --$i00!00i ~ $i i000,000 H i = $ 1, 00 0, 00 1 - $5 ,0 00 .0 00 H 2 = M o re Ih a n $ 5 ,0 00 ,0 00

2. Value Co, des 3 =$15 000 or less K = $|5,001 : $50,000 L =$50,00t - StO0 000 M =$100.0Ot - $ 250,000

( Sec C olumns C I and D3) N = $ 2 5 0 ~ 0 0 1 ~ $ 5 0 0 ; 0 0 0 O=$500~001 - SL000~000 P I = $ 1 , 0 0 0 i 0 0 1 ~ $ 5 ~ 0 0 0 , 0 0 0 P2--$5,000.001 =$25,000,000

P3 = $ 25,000,001 - $50.000.000 P4 = M 0re than $50,000;000

3 . Va l u e Met ho d Co d es Q =Appraisal R =CoSt (Real Estate Only) s - -A s s es s ment T =C as h Mar ket

( S ee Co hn n n C2) U =Book value V = O t h e r W = E st i m a t ed

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0

Na me o f Pe r s o n Re p o r t i ngI

Da t e o f Re p o r t

Zo be l , Ry a W .

05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .e o m e , v a l u e , t ra . s ~ c t io n s a n c ~ u d e s t h o s e of spouse and dependent children; see p p . 3 4 - 6 0 of filing instructions.)

[-~ NONE income, assets, or transactions.)eportable

35. Putnam Income FD CL Y, PNCYX A Dividend

36. G o l d m a n S a c h s G l o b a l Income Insti tutional A Dividend

37. G o l dman S a c h s L o c a l E m r g M r k t s Debt CL A Dividend

I , GIM DX

38. P ay d en Shor t o n d , P YSB X A Dividend

T B uy

11/15/10

2 . Va l u e Co d es J =$15 000 or less K =$15,001 ~ $50,000

(See Columns C1 and D3) N =$250,001 2 $500,000 O --$500,001 - $1,000~000

P3 =$25,000.001 = $50.000,000

3. Value Method Codes Q - -A ppr a i sa l R ~ os t ( R eal Es t a t e Only )

(See Column C2) U = B o o k Va l u e V =Oth er

C =$2,501 - $5,000

H l = $1.000,001 - $ 5.000.000

L =$50,001- $100~000

PI =$1,000,001 = $5,000,000

P4 =More than $50,000.000

S = A ssessm en t

W =Estima/ed

O =$5,001 - $15.000

H2 =More than $5,000.090

M =$100~001 - $250,000

P2 =$5,000,001 - $25,000.000

T =C as h Mar ket

E =$15 ,001 - $50 ,000

05/10/2011

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. (lndicatepart of report.)

L i n e 1 5 o f Pa r t V I I r e p o r t s t h e p u r c h a s e i n 201 0 o f t h i s s e c u r i ty w h i c h h a d b e e n b o u g h t a n d s o l d i n i t s e n t i r e t y i n 2009 .

I n m y 2 0 0 9 r ep o r t I l i st ed S p a r t an U S E qu i t y I ndex . T h i s a s s e t h a s f a l l en b e l ow t h e r ep o r t i ng t h r e s h o l d and w i l l no l onge r b e r ep o r t ed .

N a m e o f Pe r s o n R e p o r t in g

Date of Repor t

05/10/2011

IX. CERTIFICATION.

1 c e r t i f y t ha t a l l i n f o rm a t i o n g i v e n a bo v e ( i n c l u d i n g i n f o rm a t i o n p e r t a i n i n g t o m y sp o u se 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 sa c c u r a t e , t r u e , a n d c o m p l e t e to t h 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 ld 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 tu t o r y

p r o v i s i o n s p e r m i t t in g n o n - d i s c lo s u r e .

I f u r t h e r c e r ti f y th a t e a r n e d i n c o m e f r o m o u t s i d 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 nco m pl ian ce w i th the p ro v i s io n s o f 5 U.S .C. app . § 501 e t . s eq ., 5 U.S .C. § 7353 , an d Ju d ic ia l Co n fe ren ce reg u la t io n s .

Signature : $ /Rya W . Zobe l

N O T E : A N Y I N D I V ID 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 S IF 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 JE C T T O C I V ILA 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 )

C o m m i tt e e o n F i n a n c i a l D i s c l o s u r eA d m i n i st r a ti v e O f f i c e o f t h e U n i te d S t a t e s C o u r t s

S u i t e 2 - 3 0 1

One Columbus Circle, N.E.

Washington, D.C. 20544

rya w zobel financial disclosure report for 2010

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