financial disclosure report rt•parl reqr11rd by rhe i: g1n ... · . .n _____ _____ _ position...
TRANSCRIPT
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___________ ______ ____ _ _
POSITION NAME OE ORGAN!7t\TION/ENIJTY
•:· ,_,
. -,
TERMS
Rt•parl Reqr11r d by rhe E1h1...:i·FINANCIAL DISCLOSURE REPORT AO JO i: G1n·err.m,_•11t A.U of /9i8Rev. 112010 FOR CALENDAR YEAR 2009 (5 L'S C "i'P . }IOI-I/ I;
I. Pc:rson Rrporring (last n::imc. fi ..,l. mic.!dlc i111t1.1J)
BREEN. J. OA1'1EL
2. Court or Organizarion
WESTERN DISTRICT OF TEt'-:f\:ESSEE
3. fhtc of Rt>porr
4. Title (Article Ill Jt:dgc;t 1r.d1cutc <•Cfl\T or cr.ic.ir sl.itu::., m3gi•.:ra1c Jllc.!gc indica:c full- or p<i.r1-:1: 1C)
U.S DISTRICT JUDGUACTl\'E
Sa. R porr Type: (l.h · k apprupn;i1c typr.:)
D '.'Jom1n.11um, D,1rL· (:11:1.;il [{] /\nnu.:?I
5b. D Amc:nd d Hr.:purt
b. Reporting f'l'riod
01101/2009 '"
7. Ch<1mhrrs or Office Addn:H
444 lJNiTED STATES COUKTllOUSE I 11 SOUTH HIGHLA'.'JD A VF.NW·: JACKSO!\. TN .!830 I
S. On the ba.!>is or lhc inronnation cont:uned in (his Rrpon and :an)' moJili(ali<rns pntai11i11};! rhtrdo. ii is, in m'\o opinion, 111 ..:ompliancl' ,..,.irh npplinhk l anJ rrguh111011s.
Htviewini! Olflrn l>Jlt
fi�1 PORT A NT NO TES: The in,-rructions "'companyi11i; 1/1i> form mu>I he followed. C1>111p/e1, ""purrs, ch1:c:J.ing the /\'ONE box for earh purl where you hul'e no reportable i11furmntion. Sign un Ja.\t page•.
J. POSIT I 0 NS .. ( Rep"rring individ11u} nnly; _,.ee pp. 9-13 •1} filing im1rn1..·tfohs.)
D NONE (No reporrable posirions.j
I. Executive Commin c National Conkrcnc of Federal Trial Judges
Board of Directors Federal Judges' Association
3. Trustee Trust NI
4.
5.
_J
J J. 1\ GR.£ E\:JENl"S _ (ffrpuniriJ;; indfr1d1111/ onfr; sa pp. /.1-16 of fi/i11g ins:ructions.)
ZJ NONE (i\'u reporlt1bie agre1:me111s
PARTIES AND
Breen, J. Daniel
JNCO!VIE
SOURCE AND
1-
----------
Date of Rcpor( Name of Person He porting FINANCIAL DISCLOSURE REPORT
Page 2 of 13 05/10.'20: 0 BHEEN, J. DANIEL
A. Filer's Non-Investment Income
NONE (1Vo reportah!e non-invesiment income)LiJ
SOURCE A/\iD TYPE (JlltH.S, nu! puusc:'s)
I.
3.
B. Spouse's Non-In vestment Income - I} )'1111 Wert' mdrr•/f!d d11rinf: any pMIWn of,,, reporting yc:ur, rnrriph:le rho :H:Cfion.
NONE (No reportable non-investment income.) [ZJ
TYPE
2.
J.
J \1. REJ j\'JB lJRS EJVJENTS -- 1run.1puna1ion, lod ini:. f,w.J, e11tertainmen1.
NONE (No n:purtub!e reimb11rsements)
SOURCE LOCATION
A111e11crn Ibr Associatlo11
Federal Judges Assoc1otion 5102'2 0U9-5.'0412 009 Washington, DC:
PURPOSE
Nill1onol Cun'.erelli...T ur f=edera! Trial Judg ..;
Mee I mg
ITEMS PAID OR PP.OVIDED
travel, !odglr:g anU :neab
5.
------- -------------------------------------- - ----- ----
----------- ----··
l ...
DESCRIPTION CODE
i\3mt vf Person Rtporting Jhrt uf R port FINANCIAL DISCLOSURE REPORT
Page 3of13 05i1U201(1BREEN, J. DANIEL
\T. GJFTS. (l11cl11dn thoH' lo spo1151' 01rd dependent childro1; .H'L' pp. 1S-3J of filing i1Hfn14-ti11ns.)
[ZJ NONE (No reportable gifts)
SOURCE DESCRIPTION
2.
3.
4
--- --
\!J. J AB JL JTJ £.S. (/nd111les 1hme oflprmH' an,f ,f pn1deof cliifdn:n; SCI! pp. 31-33 njjiling in.Hnutmns.)
ZJ NONE (No reportable liabilities.)
CREDITOR VALUE
4.
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Dart" of Hepon :--larnt� of Person Reporting FINANCIAL DISCLOSURE REPORT Page 4 of 13 BRF.EC>', J. DAl'IEI. 051 I fl! O IO
\'II. INVEST.I\-1 ENTS and TR US'fS -- income, valut!, 1rans1u:fitJnf (/ncluJei; thou of lf'Oll,\I! 1111d dt'Pl.!lldt:'rll children,- SU l'P· 34-60 t>/ filin;: ln51rnctiim.\·.J
D NOJ\E (N1! reportable i11u1me. ossc:ts. ur twnsoctions.)
--1 [JBA c Gtu:. \;.d Je ;.;\ cnJ 0GscnpliU!l of /\ :.,.::ts
{mcludinl! trust a:l ctsl (lj ! {2) l!'l I (2) (l) (4)\I) (1) (5)
Typct.c . t Gi.111' IJ·-·11111y ol cc.J,,,· ' Ccdo I bu:,·cr:\c:kr
Ammml t Type (Cg. d
Value V<ilm; Dllc \'alucPbc..:: "(X)" atlcr •::Jch ;.is cl ocmpt frorn prir:i di closurc tCod I
(A-f! J " C d u e . ..: ' Mc1Ji0d buy. )Cll, m:'dd ''j)' n· .. rent,
I c'' ml) (J-P) ('oJc 1 ! t 1.r; (,\.I!) lil rrival 1Q-W) 1rJmJrt10niI - -- ··-
Bancorp S1Juth K T
lllA - Fidelity Mag [l DiviJend L T
.1. ('\1A ACCT - ME'l.R!LL LYNCH
Idaho P0wer Co. CS (mJw known \S ldaco• '. Inc.)
A Dividend T
Procter & Gambk CS A Dividend K T ' I
6. Clmago, IL BrJ. Ed. Bonds A
7. AT&T CS A
Cm·<1-Co'3 CS A
E. I Duprn11 CS A
! 1 0 Johnson & Johnson CS A
I? Waddell & Reed S1ra1egy Port A
13 \'i .,JJell & Reed Ba:anceJ Purl /\
'4 W adJell & Reed Bond Pon A
15 WJddtll & Red Cure [yuity A
16 \'/ Jddcll & Recd Growth Port A
17 Ivy V!P ;-.Jny Mkr A
lntcrest T
Dividend T
Dividend T
Dividend T
D1v1dend T
01 v1dcnd T
D1·. idead T
Dividend T
Dividend T
Div1Ji:nd T
Interest L T
i ln,·Qn'<: (,Jin (,h!c' -\ "'SI I'(-..: or k LI = i rr111 i . \11i"; C "'4>2.Sfil. "t:i f1'J(I IS · · Col111·m H l .1•:'.I 1)-$1 1 - i. r:(1I • 11nn 'l<111 (, = l!1flfJ<tl. \1.()00.!if·O I!! .. i, ftt111.oi11 \', !'r:n 11nr1 ti -\1Pf\: lhJn 15.t)/;11 fif}(I
2 '.".1!1u: Co,k:. (S,·t" f "o!urnn L" I Jnd Ul)
J 1) 1 001} (IT !•;S<;.'; 2 11.0f;I. S51lfi.f1{11l I' _I ""'°l '.i .(lllP.nn I l ) !Jfll 1,1)(J\i
K ::1\! ),f,;11. i fJ.{lfHI O-'!,)(.t11Jl!I. SJ.(1!1•11,1111
L' 150.001 · )l(·U 11..-lfr I'! :$.1.000.Ll1,t 1)110.l•(Ji)r-1 =\1.,r;: Th;m 50 llc<l.;'"Jllf1
1 -=b!OO.f1(JI · ?Si! ()(HIP2 · ·H (.lf·!··.orn . S S.t(l[1J,1.11
J 'h·lut: !\l::h '1iC1>t1-::·, (I -=. ppc.·1 JI 1-< =C: ... r1 _11r 1.Jt•·0•·J')
l'n · Ct•lt,rnn Ci 1 \ ilt>dl. .... J/ll( \" =(J1hc·1
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FINANCIAL DISCLOSURE REPORT Name of Pnson f{('porlint: Oart of Hcport
Page5of13 BREEN, J. O>\J\IEL 0'.' I li.'20 Ill
VII. INVESTIVIENTS and TRUSTS - inc""'"·''"'""· """""crions o"'"'"""' '"o"' of.•i•ousc· unJ ""P''"'''"' chiMrm: '" ""· )4.611 uf Jil•nK im1ruo;,,,,_,_J
LJ NONE (No rtporiublc inco111t:. ussets. or trum,!Clions.)
A. u Description of A cL:) Jn(OHX du1111g
(i1 cludir.g t:u:>I a::.-:>cts) fl'pOrllr.g pcrDLI
( ) ) 1.4 ! tli Vciluc
(I) ' \',due D;1IL'
mm-'<:dryy G:rn� IJ·:n!1ly uf Pbcc "{X)" a.ftc:r c ch ;.is..<.i.:l
..,:;11;,:.mpl from prior thsckisurc Type (c ·· d1\ . n:r.t
T)pc(<g.. .\mount! Cod•; I I j Code 2
int) (1-P) c ace 2 Codr.: II buy,r1:;clkr
11f pnv.i1.:: tiuy. sdl.
H'dcmptior.J 1J-I') (A·ll)1.•.-1!) or •Q-W) lr.m .!UHlll)
I 18.
19
20
21
122 23
!
:!5.
"".<.•'.'.l.
29
JO.
: 32.
33.
Waddell & Recd f!igh hc1ime PoJ\
Waddell & Recd Science & Tec·h Pon
Waddell & Reed Small Cap Growlh Pon
Waddell & Reed Trgt. Fd. ln•I. Growth Purl
Waddell & Reed Value Pon
Waddel I & Recd Global Ntrl. Res. Pon
Waddell & Recd );lid Cap Gwth Pon
Waddell & Reed T•rgel M:crocap Gv.th
\Vaddell & Reed Targe1 Energy Pon
TNG Acct.
ING A111. Fds. Gw1!.-l11c Pait
Fidelny Conlraft,nd
NG H!R SM ::JivcrsiGd Mid,ar
fNG JP i"vlorga1: .Sm.ill Ci.Ip Cove Eq. Pon
fNG An. Fds. Int'! Pert
IRA ACCOUNT - MERRILL L Y'JCH
American C.opi1al WLG GR W anJ l c.
..
,\
A
A
A
A
A
A
A
A
A
A
A
A
A
A
Di11dend
Div1<.knd
01vidend
Dividend
DividrnJ
Dividend
Dividend
Dividend
Divide-nd
DiV1dend
Di"dend
011:Je11d
D1v1dcnd
Divida1d
DI\ idcnd
J
J
J
J
J
J
J
J
J
J
J
J
J
]
T
T
T
T
T
T
T
T
T
T
T
T
T
T
Sold 5126109 J A
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I
u "'s 1 on· -1:!.sno c "' 2 ..srn . s .s.oori D :.:S5.r101 · S.J .S/Jf•O (Si:r Columm Ii 1 infl o.;1 F =1.Sr1.0ili \10n,1Y.1r1 (i =\\l•l)lio11. \ !JJfl!l/)f)li 111 :\ 1,0fl0.0<11 . \.SJr01l.flOO fl: '""�.,for\: 1h:in S.S/i00.000
2 \'alu\·C:ntk\ J -'\I .001! u 1t.. K '-H .nn1 - SS0,000 L =S.50.(101 - S IOIJ.Ol)<'J M:...Slf1!H10J. \2 0.r11JtJ f')i:c Culi111H11i:1 .1n:I IJlJ \ =-1:50/if)I · SSf10.fl0C. o -\lf!O mJt i 1.onr..1,00 I' 1 ,..S 1 .oon.1.0 i l .s.uoo.oorJ p =$5.1)1111Jl'11 . ) [J1l[.,(J(1I
i'I • ):!5 t!.J1l.f!t1J · \ !i,OtHl OfH) r•i; '-'.\1(,ro.:1h ..r.s.so.oon.<m11 l) ··A1irrJ1,al R '-CP\.I '.1' · d 1,1..1.: 011lyJ
L =tiu�.J •;,due V :oCtr·.1
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Namt of Ptrson Repvrrin Darr <if Rqwrt FINANCIAL DISCLOSURE REPORT Page 6 of 13 BREEl\°,J. DANIEL u 1012010
v II. IN \?ESTI\IIENTS and TRUSTS -- ini·1>me, i·ulu.:. 1rans1u:riun (1111.:/tiJ('J rlwu 1)/ Sf'Oll.'it' 1111J ,fependi.'111 cl1i/drl'11; St'f ff'· .;./-fi O fl} filmg i11Hflfffi1111f.)
)JONE (No n:po!'labie income, aHi!l.I', or 1rans,1c1iuns . .J=:J lJ
Dt:S.(Tlpt;on of l\:;s.ct G:-vs:; 1,.;iluc Jl t:nd (tncludin.g trn 1 as-.;cl\J rcpt):-"\l:1g pcrioC ofr.::p<.)r;1ni; pnio 1
14)c:atn
111 VJluc
12)\":llu,::
(5)JJLnl!I}' t1f
-·("' Typ!: (e.g ..
ill (1)
•)1:11.·dd:yy
(i)Value{I) iAmount 1I Ty;ic (c , P acc "(XI' aflc:- ca..:h asset
cx:::mp: from prior di Llosu c Code I I: Colle 2 Mcthc,JCode J
Cude? Ctl(k1.1·11;
div, rent,11 [.}
:I bu)'Crl.,cl·t·r(A-Hi
buy. sd:. rc1.kmpt1:Jll;/]-[') (ii') (0fpm:;:;1c,;
lrJfl\Jl !10111 llT
JQ-1\)
36.
i 37
i I
39.
40.
41
43.
44
45
6
47
49
50.
51
Amc1 inn Ca:-1111.il Income
American Cap. WLD. GRW and Inc,
Americ:in New Perspective
AmericJn Shon Term Bond
Coca Cola - CS
[Jlackrock Low Duralion Bd Fd.
Duke Energy-CS
Exxon Mobil - CS
General Electric - CS
Goldman Sachs \1id C'np Value Fd.
Hume Depul - CS
llouschold lnt'I - CS
Jvhnsur: & Johnson · CS
J f'. Morgan Chase & Co.
McDonalds - CS
Loomis S.1yks Sirotegic Inc. Fd.
Mcnill Lynch Variable Coupon Notes
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
A
Dividend
Dividend
Di\'idcnd
D1v1dend
Dividend
Dividend
Dividend
Dividend
Dividend
D1viJi:::nJ
Dividend
Dividend
Dividend
D1v1drnJ
Dividend
Dividend
D1v1dcnd
J
J
)
J
K
J
J
J
J
1
J
J
J
J
Duy
SolJ
T
·1 Lluy
T
T Buy
T
T
T
Suki
T
1
T
T
T
T Buy
So'.J
512(1/llY J
5/26/1)9 J A
9/11/09 J
9il 1/09 K
9i I J.09 J A
f/24f09 .J
2.'l J/09 J A
:
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lro1m••'·C.1.nl11d..: .. A..-$[ JJO(i ur k" H ->1.001. s2 c -s2.so1. s. .uuu 0 ,5.00! . \!5.(h'ff! t".o.:e C•ihimn":> UI JTl(I i)-l) t =>:l.5fJ.O(J 1 • s 1 oo.oon (j ... itoG,001. Sl.Ol.ll\DO(i II i - lJJ00.fJ0 I · S 5.i1'10,00{• 112 ,. du·, than '$5.0liO.OC·O
V.Jlul·Cudn J .£SI .000 or ks K =ft'i,OOt. 'i5fl.0i)(1 l. c'E<J.flOI . S 100.Cilll) M .:)100.{;{H · 1250.01)() •. Ser Culurrn Cl .Jr.d [JJ) N ·S250,f·fi": • S ·OO.OOU 0 =i Ot_oil! • Sl.0•10Jlll(1 f'l =Sl,flOC.fiOl -1.Sfl()OOnn
PJ =125.0C-tl.l'IO l . S5U.ono.uoo r..i .:r,k•n: 1b.m f·,OC•O.!lfllt ) V.1'11c .\k1hod (ut.k'> {) -=Ar,rr:i1 .i1 "'Ct•'t Ot· <il L\latc OnlJ'I
tSc.: Cvh11r11 C ) Li "Bou VJ1L1e \" "'O:hc1
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Name or PerSon Reporting Date or Repor1 FINANCIAL DISCLOSURE REPORT
Page 7of13 BREEN, J. DANIEL 051I0120 I 0
VII. INVESTMENTS and TRUSTS --income. value, fr0'1SOClions (Includes thou v/SJMll.fe and di:pendent children,· St:e pp. .f.J-600/frlinJ: i11str11ctums.)
NONE (No reportable income. assets. or transactions) L A u
Dcscnption of Assets l11CO!l1C during
(including trnsl ns.icts} rcport1r.g period
(I)
PIJcc "i X)" Jflcr each assc: !Amuulll Typc(c.g, : Code Icxemp1 from prior disclosure dn . rent,
(A·ll) ur mt)
c.
Gross vJluc at end
of report ing period
(I) V;.il•.1c Valttc lrpc(cg.
Code Mc<ho<l buy, sell.
il·P) Code J red.:mpl1l n)
(Q·W)
Transac:1ons during rcporung pcnud
(2) ill (4) (5) Dale Value G<1111 IJrnttl nl
imm.'ddiyy Code 2 Code I t1uycr/)(ikr
I (.A·H) {If prHJll'(1-P)
trJn ;ic111J11J
52 Microsoft Corp - cs A Dividend J T
53 Fidelity Adv1Sor Mid-Cup Fd. A Div1di:nd J T
54 Spectra Energy Corp. CS A Di,·idend J T
55. Wal-Mart Stores - CS A Dividend J T
56. Pimco Total Return Fd. A Div idend J T
57. Black rock Global Alloc. Fd. A Dividend J T
58. IRA- MERRILL LYNCH
59. Sallie Mae Bank - CD A Interest J T
60. DN Southside Bank - CD A lntercsl J T
61. American Cap Grwth and Inc. Fd. A Dividend
62. American New Pcrspccrivc Fd A Dividend J T
63 .Americ<:1n Capital Income A Oi-1drnd J T
64 American Gro\vth Fd A Drv1du,d
Ouy
Buy
Buy
Buy
Sold
Buy
Sold
! 6i American Shon Tenn Bond Fd ,\ D1v1dc:nd J l BuyI
66 Blackrock Lmv Durot1on Bond Fd
67. F1del1Ly Advisor
68. Eaton Vance Low Duratrnn Fd
A
A
A
Divi dend K
Dividend J
Dividend J
T 13uy
T
T Buy
2!13/09 J
11110/09 J
5/27/09 J
5121109 J
6123109 J A
6!23109 J
9/11.'09 J
9/11 /09 J
10/2/09 K
9/ I 1/09 J
t
i.
I
I ln.:omc r..1111 Cod " A"'1.I000ork'>'> u "' 1.001 • l ,50(/ c =l. .501 - } .000 0 ,.S 5,00{ - I 5 .000
(S..:e Colurnn:. Ul .:rnJ O ) f =S50.(}{JI . }100,flilfl G "'-SI00,001. sr.001/,000 Ill "Sl.000,0lll · SS.000.0fiO 112 '"f\fort: 1han H.000.000
l V4h1c Code, J = 15.000 N Its K =i15.0\ll 150.000 L ·llO.OOt -1100.000 M =1100001. S250,000
(Sec Col11rn11-. Cl .'.Ind DJ\ /'\ =S2SO.Oll! · 151Jtl.00ll 0 cS5U0.001. "i.l.OO!J.000 PI ="i. I .IJ00.00 I • S5 O(J!).(/00 1'2 :SS.1100,001 · S25.00IJ.flOn
P3 ... s s.r1no.M1 irn.orin.onn P..\ ==-\1or..- th n sn.ono.onn J V..11111.: Mc1h,>t.J (udo Q =.Apµr.ll),jl •Cv 1 {l l·JI l:_,1..,1r Only) S ·=/\))t0))m..:01
15..:c Collllnn l"2l U •Ullo!. \·ah1 \. =Ott.rr \l,/ "'1: r11nat.:d
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Name of Person Rt"porting Date of l(eporC FINANCIAL DISCLOSURE REPORT
Page 8 of 13 BREE!\, J. DANIEL osnonu1n
\lll. IN\lESTl\.'lENTS and TRUSTS -- incame, vulue, transaction) (l11d11Jt'S 1/u•)t! of;)p/lll)t' and Jependc"'11 t•l1i/Jr 11; see pp. 14-60 ofjilirig inHr1Hti11ns.)
!'<ONE (Nu repurlahle income. assets, or /ransaclions.J
.•. B. D. D.:-scnp110'1 of :\35c\s Income- Jurint! Gro":>:s v;tlul.'.: at end T:1inSi1C'l10n . d·m:ig rL'por'.ni pcr1LH.J
(ir,duding lllJSI ;JS'1CL ) rcponing pcn�hi of rcpurnng p•:r1l1d·-- -(Ii--! (2) 11• (2) (I) - (2) () ),r\m0unt i Tpc (c.g, Value \'alt.c °T)lll' (c b. ! D.i:c ] \';due [p;;icc "(X)' afll!r <.:uch a::o:.i:t -Cod< ICll mpt from prior d1sclo5uri;
JJ::11tiLy vfG<1111
Codc2 I Code I/,
Code:! Method b.1y, sell, tw1cr/sclkrIJ-P) iA·ll t1lpr1valc
d1·•.. rent. n:m'dd.yy(,'.-I!) er in1 J tl·Pl Code 3 r:;di.:rnp:1cn) .
II[_1_ :w; lrin :'H.:lh.Jll) -L ..
- -· - · ---
---·-·-i fJ9. Block rock Global Alloc Dividend K T -
; 70 l\iat1011JI l.ity Bank CD A hue: rest SvlJ 512 I r09
71 Frank Jin Income f=d 01vidtnd T
Frankl:n G1owth ht. A Dividend Suld 9/1 I .'09
Sa!!:e 1,tae Bank CD A Jncr:rest T Uuy 51 7!09
74. John llancock Balanced A Dividend T
75 DN Southside Bank CD A Interest T Buy 51 1109
76. Am Cap. \l/LD Grw and Inc. A Dividend Sold 9/i 1109
Am Short Tem1 Bd. FJ A Dividend T Buy 9/11/09
78. Primco Total Return Fd A Dividend T
Col:nnos Mkt :slcutr:d Inc Fd A Di .. Jend SolJ 1012/09 K·iq
'80 BlackrocJ., Low Dciratiun Bd FJ. A D1\"idend T Fl11y i l)/2/09
I CnlJn1:!;1 s u:h.:, Grwth t-d A Dividend T Duy 9'Jl,Q9
Earun Vance Large Ca;.1 \';due Fd A Div1d nd T
R3. Hanford Cop App1<c. Fd A Di.,idrnd K
A D1·"dend T
i 35 Mcmll Lynch nty J\1.\d.et Fd A lriccrc'.-1 T
r :'i 1.001 -(S•.c C•_)l...m1n lJ I Jr1J D-4J I S!,J.f"l!)I - Slf1i1J)(•O G- 1or:JJOI. 1.000.(tfl!"l Ill '"SIJ)0t).0Ct -'iSJJ'tOOnO 11 "':Vlorc lt·a )5,0fill.lXJO
V1J11c Lt'!.k-. J -"SI 5,000 or li:u K = 15,liOI - :rnJ.Ullf! L ==S50 OfH - SI Ol:.(!110 M •$100,0vl -$:lOOOo ;:,1.1.· rnm CI ln;/ l>J\ N "" 1 11.UOI . SS<10 111"ih 0 :S O\) 001. Sl,OOOJI!)() f'I :::\IJ:OO,(iQI - S5,U()lJ,!IO{; " ... s.ovn.0:11 - 1?: ·.0\JO fJo:i
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1'>aC1,.d11>nr1l"?) lt :liuu::.. \'J.l!l: \ -01h ·r \11 "Eq1111.1r..:d
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Name of Person ReportincFINANCIAL DISCLOSURE REPORT
BREEN. J. DANIEL Page 9of13
VII. INVESTMENTS and TRUSTS - incume. l'a/ue, tramacrion> (/nrludes rlwsc u[wouu unJ Jep<nd<"' childrm; SU pp. Jf.60 ofji/inx UIStruCl!uns.)
NONE (!lfo reportahle income. osst'IS, or /ransauions.)D i--- · c.
Gross ••nluc al t.:nd Trans.:idillnS dl:r:ng reronint; p\·riaJInceme <lunng Dcscnption of Ass::ts
(indt.iJing lru::.I J M.:l .. ) 1 cport ing p.:riod
I. tli .
of n:por:1n£ rrriod1
f1)(IiValu'°
I I (5)(?\l OJIC/ Value
dr ... . . rcn!. Cod:? felhod hu}, sell. mr.1dl11yy 1
C<'ck }
ValuePIJ..:l' "(X}" aflc:r carh J Cl ) Amount (jarnType (e.g .. 1 ypdo .. ldcn!Jly ur
jCoJ.._. I C'ndc Ic:-:cmpt from prier d1:;ch.lsu1c bu;.-c·'.;clkr(A·Hi or !Ill) (.I.I') CoCc J r..:dcr.1ption) (l·P) I (,\·II) (1i'p11v:11c
(().\\') tr;i1;:. l1ur.)
87
s.
90
91.
192 93
94.
;
95.
96
97.
I 98 I
99
100
101.
I lQc
Merrill Lynch Re!i1ement Resenes
Procter & G"rnble CS
Waddell & Keed Advisors Simi! Cap
Waddell & Recd Accurnla1ivc
Waddell & Reed Core lnves!ment
Wadckll & Reed Advi;ors Ca>h Managmcnt
F1rsl State Bank CO
BanCorp Sollth CD
Ivy VIP Asset Stra:egy
Ivy VIP Balanced Fd
Iv)' Energy Fd
h·y Global Nai'I Res. FJ.
Ivy Intl Grwlh fd
Ivy Sci NC Tech FJ
TRUST #I (irnes !01-1::!8) (x)
- ML Bank Dcpos:l Progr;11n
A
A
A
A
A
A
B
A
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A
A
A
A
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ntcres1
D1v:dt"nd
Di"dend
01v1dc!nd
Dividend
Dividend
J11te1t:SI
lnteri:st
Dividend
Dividend
Dividend
Dividend
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D1vidc11J
lntt:re:)(
J
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i ·S O.UHl • IOIJ.j)()I) B =S 1.,>f.· - \ . 00 C1 .. wn,11u 1 . s 1.1H>n.r,oo
C ..:1:?. ·U I · SS.0\1'1 111 =1 t ,000.0in . 5 000/Jof;
D s .tlOJ · S 5 tJr1r 1r1 a.1\.iorc t an is IHU).(Ji ti
l =)I. .'J.: l . )S1l.1J,11\
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FINANCIAL DISCLOSURE REPORT \'ame of PerstH1 Reporting narc ul' rtcport
Page I 0of13 BREEN,J. DANIEL 05'1012010
\1) I. I VESTMENTS and TR us Ts - income, w1:11 . rramucfinns {Include) 1/io. e of.fJllHISt! til14 dependent L·/11/Jren: ra pp. }.J-6() 11/ filin1: ,.,,_,111a·ri111u·.)
D NONE (Nu 1·eportabl<' income. assets. 01 rranrnc1io11s)
A Dt:!:.nipt1nn ui As cb
lJ lmumc.· d1.nng
( Grn s va !ui..• ill end
(mdu;Jing lru:'-.t O:> Ct.i) rcpi.:i Llng p.;noC ofrcponing period
i.IJ(I) ,---(!)j V duc
( I 15)I)) ldcnt1ly \llValu ·D.llC
ti) (2j 1Amour.t j Typc(cg, V<Jluc CiJinPIJcc ''(X)" aflcr c.:tch a 5cl
exempt from pnur d1\("[o.;urc
Tyre (cg. r I Code I JM.::Lhod drv.. rent. bu)', >di, 1111111 '.jd ·yy CorJi: bu)·n/!t-clli.:r
{if pr1v;i\t.• Cede.
(.'\·ii) redcmp!10n)nr int) (J-P) Corle l. ( -Ii)1 I 11-f', (Q-W)
_L_ -- _j
103. - CD GE Cup1tal Fi:i:mcial Interest J T Buy 6'18'D9 J
104 -ML AR 1 SPX [J 01videnc.J Sold 1o:n.09 l. D
105 - RBC ARN SPX A Dividend K T lhl) I 0'2 :09 K
1(16 Ml)TUAL FL'NDS
107. -Blackrock Globo! Alloc. Fd A Dividend Sold 6.'18.'09 L c
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109.
- [l!Jckrock Cap &Inc. Strat
-Black rock Cop & Inc. Strat
A
A
Div,dend
Dividend
J T
Sold f)!J 8109 J
110. - bton Vance Large Cap A Dividend J T Buy 6/18·09 J
II I. Clough Global 1\lloc. Fd A Dividend Sold 6/18!09 K
11 .
I 113
- First Eagle Global Fd.
- Hartford Mid Cap FC CL C
A
A
Dividend
Di v i dend
J
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T
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Bu)
811)
II S 09
6! 18/09
J
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114. i
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- Ivy Asset Strat gy
- JJous forty FJ
A
A
Dividend
D1vll.knJ
K
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So:J (pan)
f1...y
6/18109
6'18 09
K
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117. - Lord 1\bbett National TIF ll D1vide1d L T Rt.y 6118109
I 11 s - N111een High Yield Muni Bd. Fd. B Dividend K T Buy 6n 8109 K
) 19 · Nmccn TrdwinJ Vc.::ue Fd A On.1der d
-
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Name uf Penon Rcportin: D:ift' ol R purl FINANCIAL DISCLOSURE REPORT Page 11 of 13 BREEr\, .I. DANIEL
VII. INVESTJYIENTS and TRUSTS - inrnm•. ••a/11,, 1ra111urti<ms (/nc/u,frs thn.<e nj <[>011.<t a11d dependent d1ildre11: '" f'P· J./-MI n/fi/11111 i11<(rtlCl/f/llS.}
D NONE (Nu n:puriabl income. <15.\t!ls. ur tmnsuctions.}
c D·.:"£(.T!plll):J 0f A:> l.:l:l. lnc.::111e du:-;ng G;;;-.$ .. all1C <ii t•nd
(1ncll1d1ng tni t as'>cts; rcp0nrng pcnud of rcponing period
(I) tc> ti) J2) (I) Pl:u:o: "tXi" .iftc; c:.irh J::.s.: Amounl l:p {c.g. Vah1c \ .:dlJ: 'f]pC IC£,
i Code I c .cmpt frorn prior J1si.:lo!>uro: div. rcn!, Code Method buy. !.Cl!, '(A-II) orn.t.) (J.Pj Cude) :;;Ji.:mp11on)I fQ-W)
j
0
t'l (3) [Jotc V;ilu (1J\ll l1krit1ly \ll
1r1m1dd/yy 1 Lvdc:: (L)d(' I buyer.Hiier tl-P\ (A-II) (1f privJlC
tri.lns:1c1io11)
! 120. - Principal High Yield
1 121. -Aun Consiellat:on Fd
I
122. - Boe AHn Rogrer
-C itigroup Im: cs
'
124. -Conoco Phillips CS
125 -l.ifepvint I losp Jnc. CS
126. M i'msoft Curµ CS
127. Sek Am GEIB
128. Tr velers Co. CS
;\
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A
A
A
A
.A
A
A
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Dividend
Divideod
Dividend
Di\ id end
D1videnJ
Dividend
Dividend
Dividend
J
J
T Buy
Sold
T Buy
Sc•ld
Sold
SolJ
Sold
Sold
Seid
6118.109 J
6.'18109 J
6125.1)9 J
6/18/09 J
6118109 J
6/18109 J
6118/09 J
4/18.'09 L
6118/09 J
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2 v.•Juc Cud J · I 5,004) or h.-, K =SI. O:JI - SSO,t11JO L =150.00t · SIO!l,f<O[) M =Sroo.001 - J2SC·,(l{)IJ f ...:c ( :)lu•11n.,, (I .rnd UJ1 r-. -s:5!/.ml1 SS01J.O(if/ 0 .-\\!)0 frfil . S IJ•O(/ 011(. I'I -=l I JHJl)J (JI · }S.li1)f1J,OO P2 -=l.\,()(1(),1)01. H .f>frl"1.f1fJl1
f' .\ ··12 r1r,1).(l01 'S n r,n.1,r.i"1.': !'4 :M,•1..: !Inn ). 0.11(11)f1h(J ) \ Jl11 · M:l J C. uth's l) ,\ppr. . !
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Name or Penon Rcpor1ing Dare or Rl·porr FINANCIAL DISCLOSURE REPORT
BREEN, J. DA:'ilEL Page 12 of J 3
VIII. ADDITIONAL INFORMATION OR EXP LANA TlONS. (/Hdic01,·partn/Rcpml.J
I ';'"""1
'.\l<t nit vr Ptrson Rl'porfing 0.31e or Rl'port FINANCIAL DISCLOSURE REPORT
Page 13of13 BREE ·. J. DANIEL li5!10/20 I 0
IX. CERTIFICATION.
I certif)' that aJJ information given abo'H' (including information prrtaining to my spouse and minor or dependent l'hildrcn, if any) h acrurate, true, and complete to the hcst nfmy knowledge and bl'lief, and that :tn)' information not r-rporrr<l ,,as nichl1c/cf hcc:1usr it met appli1:ahlc staturory provisinns permitting non-disclosure.
I furlhl'r certify 1h.1t earni:d inuune from outside emplo) ment and honoraria ::and thr ;1rcrptanrC" of gilts whid1 havl' fJrcri rc.·pnrft"tJ arr in compliance with rhe pro\tisions ofS L!.S.C. app. SfJl et. :ttq.1 5 l:.s.C. § 7J53, :ind Judicial Cun(t·rence rrgulation .
I I
I NOTE: ANY INDIVIDUAL WtlO KNOWINGLY AND WILFULLY f'ALSIFIITuKTIUl.:Sl1TFTL"""E-rIITSl{EPUITTl'.TATllE SUBJECT TO CIVIL AND CRl!l'llNAL SANCTIONS (S U.S.C. "PP·§ 104)
FILING INSTRUCTJONS
\foil signed original and 3 Jddi:1onal copies to:
Committee on hn nc1al Disc losurc 1\dm;i11strative Office of the United Srntcs Couns Suite 2-30 I
One Columbus Circle, N.E. Washington, D.C. 20544