james o browning financial disclosure report for 2010

8/3/2019 James O Browning Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor t ing ( las t name , f i r s t , middle ini t ia l )Br ow ning , J am es O .

] 4. Title (Article Ill judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

U.S. Distr ict Judge - Active

7. Chamb ers or Office Address333 Lomas Blvd NW Suite 660Albuque rque , NM 87102

2. Court o r Organizat ionU.S.D.C. for Distr ict of NM

3. Date of Report05/11/2011

5a. Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icab le laws and regulat ions.

6. Repor t ing Per iod01/01/2010

to12/31/2010

Reviewing Officer Date

I M P O R T A N T N O T E S : The instruct ions accompanying th is form must be fo l lowed. Complete al l parts ,check ing the NONE box for each par t where you have no repor table information. S ign on las t page.

I . P O S I T I O N S . meportl.g individual only; see pp. 9-13 of filing instructions.)~] N O N E ( N o reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY1 . Trustee T r u s t # 12. C ustod ian C ustod ia l A cco unt #33. Director /Vice Cha irman Chr is t ian Schola r sh ip Fund

4. Director/President Inn of the Courts5. Director Tenth C i r cui t His to r ica l Soc ie ty

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)N O N E (No reportable agreements.)

D A T E1.2.

3.

P A R T IE S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of I I

N a m e o f P e r so n R e p o r t i n gBrowning, James O.

D a t e o f R e p o r t05/11/2011

I l L N O N - IN V E S T M E N T I N C O M E . mepo.ing individual and sp .... ; see p p . 17 -24 o f f i l i ng ins truc t ions . )A. Filers Non-Investment Income~-] N ON E (N o reportable non-investment income.)

DA TE_ SOURCE AND TYPE

2.3.4.

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

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - I f you were married during an y port ion of the report ing year, complete this sect ion.(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

1 . 2 01 02 .2 0 1 03.4.

DA TE_ SOURCE AND TYPESunse t Mesa Schoo ls Inc . , wagesSelf Employed - School Ch oir Direc tor , income f rom students parents

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en ter ta inmenL(Includes those to spouse and dependent children; see pp. 25-27 of f!l ing instructions.)

~ (No reportable re imbursements . )ONE

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 of 11


D a t e o f R e p o r t05/11/2011

V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)NONE (No reportable gifts.)

S O U R C E1 .2.3.4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n c l u d e s those of spouse and dependent children; see pp. 32-33 of f!l ing instructions.)D N O N E ( N o repor table liabili t ies.)

CREDITOR DESCRIPTION1 . New Mexico Bank & Trus t Mortgage on Renta l P rop #3, Albuquerque , NM (Par t VII , l ine 38) . SeeNote 5 at Part VIII2. New Mexico Bank & Trus t Mortgage on Vacant Land #2, Albuquerque , NM (Par t VII , l ine 39) . See KNote 5 at Part VIII3.4.5.

VALUE CODEM


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D a t e o f R e p o r t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ncom e , vo lue , t ...... t ions (Includes those of spouse an d depende nt chi ldren ; s ee pp. 34-60 of f il ing ins t ruct ions .)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross Value at end Transactions during reporting period(including trust assets)

Place "(X)" after each assetexempt from prior disclosure

Am oun t T y pe (e . g . ,Code 1 div., rent.(A-H)

(5)Value Value Type(e:g., D a t e V a l ue G a i n l d e n t i . t y o f

C o d e 2 M e t h o d b u y , s e l l , m m / d d /y y Code 2 ~ Code 1 buyer/seller(J-P) (A-H) ( i f p r i v a t et r a n s a c t i o n )

2.

3.

4.5.

6.

7.8.

9.1 0 .

1 2 .

1 3 .

1 4 .

1 7 .

Co rp o ra t io n- -Work ing In te re s t -Ce rc ion #6 , Lea C ounty ,NM N o n e

Sold 03/1 /10- -Work ing In te re s t -Ce rc ion #7 , Lea County ,NM

N o n e Sold 03/1/10

- -Work ing In te re s t -Ga rza #1 , Lea C ounty ,NM N o n e Sold 03/01/10 J- -Working Inte res t - She l l S ta te #1, Lea ACounty, NM Royalty Sold 03/01/10--Working Interest - Shell State #2, Lea ACounty, NM Royalty So ld 03/01/10--Working Interest - Shell State #3, Lea ACounty, NM Royalty Sold

03/01/10 J

--Working Interest - Shell State #4, Lea ACounty, NM Royalty Sold 03/01/10--Working Interest - Shell State #6, Lea ACounty, NM Royalty Sold 03/0t/10- -Working Inte res t - She l l S ta te #5 , LeaCounty, NM N o n e Sold 03/01/10- -Working Inte res t -Snoddy Federa l #1, LeaCounty, NM- -Work ing In teres t - West Loving #1 , E d d yCounty, NM

A RoyaltyN o n e

Sold 03/01/10Sold !03/01 /10

JJ

- - W o r k in g I n t e re s t - Q ueen Lake 36 #1 ,Eddy County NM A Royalty Sold 03/01/10- -Working Inte res t - Milano S t #1, EddyCounty, NM A Royalty Sold 03 / 01 / 1 0- -Work ing In te re s t - Mi lano St #2 , EddyCounty, NM A Royalty Sold

03/01/10

- -Working ln te res t - T irano S t , EddyCounty, NM A Royalty Sold i 03101/10- -Work ing In te re s t - Hopi Fede ra l , Lea ACounty, NM Royalty Sold 03/01/10

See NOTE 1 @ Pa r tVIIIA For tyn ine r Ridge , LLC

A For tyn ine r Ridge , LLCA For tyn ine r Ridge , LLCA For tyn ine r Ridge , LLC

A For tyn ine r Ridge , LLCA For tyn ine r Ridge , LLCA For tyn ine r Ridge , LLCA For tyn ine r Ridge , LLC

A For tyn ine r Ridge , LLCA For tyn ine r Ridge , LLC

A I Fortyniner Ridge, LLCA For tyn ine r Ridge , LLC

A For tyn ine r Ridge , LLCA For tyn ine r Ridge , LLCA i For tyn ine r Ridge , LLCA For tyn ine r Ridge , LLC

1. Income Gain Codes: A =$1,000 or less( Se e C olu nm s B I a nd 19 4) F =$ 50,0 01 - $ 100,0 00

2. Value Codes J =$15,000 or less(Sec Co lumns C I and D3 ) N =$250.001 - $500,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appra i s al(See Co lumn C2 ) U =Book Value

B=$1;001 2 $2,500G =$100,001 - $1,000,000K=$15,001 - $50,000O =$500,001 - $ l i000,000R =Cost (Real Estate Only)V = Olher

C =$2,501 - $5,000H i = $1,000,00i - $5,000,000L $ 50 ,0 0 1 -$10 0 ,0 00P 1 =$1 ,000,001 - $5,000,000P4 =More than $50,000,000S =A~sessmentW =Estimated

D =$5,001- $15,000H2 =More than $5~000~000M = $10 0 ,0 0 !- $250 ,0 0 0P2 =$5;000,001 - $ 25,000,000T : C a s h M a r k e t

E =$15,001 -$50,000


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Date of Report05/11/2011

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.)

D e s c r i p t i o n o f A s s e t s( i n c l u d i n g t r u s t a s s e ts )

Place "(X)" after each assetexempt from prior disclosure

B . C. D.Income during G r o s s v a l u e a t e n d Transactions during reporting period

r e p o r t i n g pe ri o d o f r e po rt i n g pe r i o d0) (2) (1 ) (2 ) (D (2) (31 (4) (5)A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g ,, D a t e V a l ue G a i n I d e n t i t y o fC o d e l div..rent. Co d e2 M e th o d b uy , s e ll , . m m / d d / y y Co de2 C ode 1 . . . . . . . .. . . buyer/seller( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - p ) (A~ ..... ( i p r i v a t e

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

1 8 .

1 9 .

20 .

21 .22 .23 .24 .25.26 .27 .

- - W o r k in g I n t e re s t - Tomcat 16 St #2, EddyCounty, NM- - W o r k in g I n t e re s t - Tomcat 16 St #3, EddyCounty, NM- -Work ing In te re s t - Tomca t 16 St #4 , EddyCounty, NM- - W o r k in g I n t e re s t - Tomcat 16 St #6, EddyCounty, NM--Working Interest - Tomcat 16 St #7, EddyCounty, NM- - W o r k in g I n t e re s t - Tomcat 16 St #8, EddyCounty, NM- -Working Inte res t - Tomcat t6 St #10,Eddy County, NM- - W o r k in g I n t e re s t - Tomcat 16 Fed #13,Eddy County, NM- -Work ing In te re s t - Oxy Fede ra l #1 , EddyCounty, NM- -Wil low Lake 35 #1 , Eddy County , NM

A Royalty Sold 03/01/10 J A For tyn ine r Ridge , LLC



A Royalty Sold 03/01/10 J A For tyn ine r Ridge , LLCA Royalty Sold 03/01/10 J A For tyn ine r Ridge , LLC

A Royalty Sold 03/01/10 J A For tyn ine r Ridge , LLCA Royalty Sold 03/01/10 J A For tyn ine r Ridge , LLCA Royalty Sold 03/01/10 J A For tyn ine r Ridge , LLC

A Royalty Sold 03/01/10 J A For tyn ine r Ridge , LLCA Royalty Sold 03/01/10 J A For tyn ine r Ridge , LLC

28 .29 .30 .31 .32 .33 .34 .

- -Work ing In te re s t - N Scan lon , EddyCounty, NM- -Work ing In te re s t - For ty Nine r Ridge Uni t A3- -Work ing In te re s t - For ty Nine r Ridge Uni t B2- -Work ing In te re s t - For ty Nine r Ridge Uni t B4- -Work ing In te re s t - For ty Nine r Ridge Uni t A6- -Work ing In te re s t - For ty Nine r Ridge Uni t1

N o n e Sold 03/01/10 J A For tyn ine r Ridge , LLCRoyalty Sold 03/01/10 J B For tyn ine r Ridge , LLCRoyalty Sold 03/01/10 J B F o r ty n in e r R id g e , L L CRoyalty Sold 03/01/10 J B For tyn ine r Ridge , LLCRoyalty Sold 03/01/10 J B For tyn ine r Ridge , LLC

N o n e Sold 03/01/I 0 J A For tyn ine r Ridge , LLCRoyalty Sold 03/01/10 K E For tyn ine r Ridge , LLC-Work ing In teres t - USP Fee #2 , EddyCounty, NM

1. Incom e G ain C odes: A = $1i000 or less(See Columns B 1 and D4) F =$50,001 - $100,000

2. Va lue C odes J = $15 ,000 or less(See Co lumns C I and D3 ) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appra i s al

(Sc Co lumn C2 ) U =Book Value

B =$ 1,001 - $2,500 C = $2,501 - $ 5,000 D =$5,001. $15,000G = $100,001 - $1,000,000 Hi =$L0001001 ~ $5;000;000 H2 =M0re than $5;000,000K =$15,001 - $50,000 L =$50;001 - $100,000 M =$100,001 ~ $250,000O =$500,001 - $1,000,000 P I = $ 1, 00 0, 00 1 - $ 5 ,0 00 ,0 00 P 2 = $ 5, 00 0, 00 1 ~ $ 25 ,0 00 ,0 00

P4 =More ihan $50,000i000R =Cost (Real Estate Only) S = A ssessmen t T = Cash Mark e!V = Other W =Estimated

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gBrowning , James 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 n c o m e , v a lu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s Income during G r o s s v a l u e a t e n 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 p e r i o d o f r e p o r t i n g p e r i o d

(I) (2) (1) (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 T y p e ( e . g ., Value Value T y p e ( e .g . , D a t e , : V a l ueexempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M et h o d buy, sell; m m / d d / ~ C o d e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P )

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( 4 ) ( 5 )

Gain Identity ofC o d e 1 buyer/seller(A-H) (if private

transaction)

35 . - -W o r k i n g In t e r e s t - F o r t y Ni n e r R i d g e U n i t B Royalty Sold 03/01/10 K936 . - - S in g l e M e m b e r L L C

D For tyn ine r Ridge , LLCSee Note l , Pa r t VI I I

37 . -- --N M Bank & T ru s t C h eck in g /Sav in gs N o n e J38 . ----Rental Property #3, Albuquerque, NM E R e n t O R(2006, $663,074)39 . --- -Vacan t land #2, A lb uque rqu e, N M N o n e O R(2006, $900,754)40 . ----Rental Property #2, Albuquerque, NM B R e n t O R(2005, $ 611 ,855)41 . - -F id e li ty Mun icip a l Mo n ey M arke t (Tax N o n e J TExempt)42 . - -Check ing A ccount a t New Mexico Bank & N o n e J TTrust43 . Trus t #1 - Vangua rd Broke rage Acc t - Pr ime A Dividend J TMo n ey Marke t4 4 . T r us t # 1 - T r ea s ur y Bi ll s B Interest O T45 . Trust # I - Savings Bonds C Interest K46 . Trus t #1 (Broke rage Account a t Fide l i ty )47 . - -F id e li ty Mun icip a l Mo n ey M arke t A Dividend J48 . IRA #1 (Fide l i ty Broke rage Account)49 . - - EM C C o m m o n S t o ck None J

T Sold 11/17/10 K(part)

TSee NOTE 1 @ Pa r tVIII

See NOTE 1 @ Pa r tVIII

50 . - - M ic ros o ft Com mon S tock A D iv idend J

51 . - - P M C - S ie r r a C o m m o n S to c k None J

1 . Income Ga in Codes : A =$1,000 or less B =$1,001 - $2,500(See Cotunms B 1 and D4) F =$50,001 - $100,000 G =$100,001 = $1,000,000

2. Value Codes .1 =$15,000 or less K ~ $15,001 - $50~ 000(See Columns C 1 and D3) N =$250,001 - $ 500,000 O =$500,001 - $1;000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only)(See C o lum n C 2) U = Book Value V = Other

C = $2 , 50t - S5, 000 D =$5,001 - $15,000H i =$1,000100i 2 $5 000 000 H2 =More than $5;000,000L =$50,001 - $100,000 M :$ i 00 , 00t - $ 250 , 000p! =$L000,00!. $5;000,000 P2 =$5,000,001 - $25,000,000P4 =More than $50,000,000S = A ssessmen t T = C a s h M a r k etW = Est ima ted

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gBrowning, James 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 n c o m e , v a l u e , transactions (Includes tltose o f spouse and dependent children; see pp. 34-60 of f!ling instructions.)NONE (No reportable income, assets, or transactions.)

Description of Assets(including trust assets)

Transac t ions dur ing r epo r t ing pe r iodreporting period of reporting period

(1), , (2) (1 ) (2) (1) (2) (3) (4) (5 )Place "(X)" after each asset A m ount: " T ype (e .g . Value Va lue T y p e ( e . g . , Date:: Value Gain Identity of

exempt from prior disclosure C o d e : l div., rent, Code .~ Method b uy , sell, m m /d d/y y C od e :2 Code 1 buyer/seller( A - H ) : :or int.) ( J - P ) C ode 3 redemption) (JrP) (A-H) ( i f p r i v a t e(Q-W) transaction)

52 . - -Char les Schw ab Co mmon S to ck A Dividend J T

53 . --Tellabs Common Stock A Dividend J T54 . - - X i l in x C o m m o n S t o c k A Dividend J T55 .56 .

57 .58 .

59 .

60 .61 .62 .

63 .

64 .

65 .66 .

67 .

68 .

--Baron Small Cap Fund None M T--Baron Partners Fund None L T- -Dodge & C ox In te rn t l S tock Fund- -Mer id ian G rowth Fund- -Rydex Nasdaq 100

A Dividend L T Buy 12/21/101(addl)A Dividend M T Bu y 12/15/10(addl)

None M T

JJ

--Vanguard Intl G rowth Portfolio

--Vangu ard Total Stock MarketB

C

--Fidelity Cash Reserves A Dividend

Dividend L

Dividend N

T Bu y 12/16/10( add l )T Bu y 03/24/10(addl)

Bu y 06/23/I 0(addl)Bu y 09/23/10(addq)Bu y 12/21/10( add l )

T

JJ

JJJ

--Fidelity Intl Discovery A Dividend K

IRA #2 (Fidelity B rokerage Account)

T Bu y 12/03/10( add l )Bu y 12/30/10(addI)

JJ

See NOTE 1 @ Pa r tVIII

1 . Income Ga in Codes : A =$1,000 or less B =$1,001 : $2,500(See Colurrms B i and D4) F =$50,001 - $100,000 G = $100,001 - $1,000,000

2. Value Codes J =$15,000 or loss K =$15,001 - $50,000(See Co lumns C I and D3 ) N =$250,001 - $500,000 O =$500,001 ~ $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R = C os t (R ea l Es ta te On ly )(See Co lumn C2 ) U =Book Value V = Other

C =$ 2 ,5 01 - $5 ,000HI =$1,0001001- $5~000,000L =$50~001 ~ $100,000P I =$1,000,001 - $5,000,000P4 =More than $50,000;000S =AssessmentW =Estimated

D =$5,001 -$15,000H2 =More than $5,000,000M= $ 10 0 ,0 0 1 - $ 2 50 ,0 0 0P2 =$ 5,000,001 -$25,000,000T = C a s h M a r k e t

E =$15,001- $50,000


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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 f!ling instructions.)NONE (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e during G ross value at end(including trust assets) reporting period of reporting period

O) (2) (1) (2)Place "(X )" after each asset Am ount Type (e.g., Value Valueexempt from prior disclosure : Code 1 div., rent, Code 2 Method(A-H) o r i n t . ) ( J - P ) Code 3

{ Q - W )

Transact ions dur ing repor t ing per iod

(1 ) (2) (3) (4) (5 )Type (e.g., D a t e Value Gain Identity of

buy, sel l , m rrddd!yy C ode 2 C ode 1 buyer/sellerredemption) (J-P) (A-H) ( i f p r i v a t e

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

69 .70 .71 .72.

73 .74 .75 .

7 6 .77 .78 .79 .80 .

81 .82 .

83 .84 .85 .

--AllianceBem G lobal Thematic G r A(Mutual Fund)--Putnam V ista Class A--Putnam M ult i Cap G rowth C1 A--Vanguard Total Stock M arket

--Fidelity Cash Reserve--Baron Partners Fund

Custodial Account #3--Vanguard Total Stock M arket

--Fidelity M unicipal Money M arket--Baron Partners Fund

A DividendNoneNone

Buy 1 1/23/10 J(add l)M erg ed 09/24 /1 0 J See NOTE 2 @ Pa r t

(with line 71) VIII09/24/10 J See NOTE 2 @ Pa r tVIII

A Dividend

A Dividend

Bu y 03/24/10(add l)Bu y 06/23/10(add l )Bu y 09/23/10(add l )Bu y 12/21/ I0( add l )

J

J

J

J

None J

A Dividend

N o n e

Bu y 03/24/10( add l )

Bu y 06/23/10( add l )

Bu y 09 /23 /10( add l )Bu y 12/21/10

( add l )

J

J

J

J

N o n e J

Oppenhe imer Schola r s Edge 529 Acc t #1(Wel ls Fa rgo Advsr s )

See N O T E 1 @ Par tV l l I

S e e N O T E S l& 3 @Par t Vl l l

(See Co lumns BI and D4)2. Value Codes

(See Co lumns CI and D3 )3. Value Method Codes

(See Co lumn C2 )

A=$ii000 Or tessF =$50,001 - $100,000J =$15;000 or lessN =$250,001 - $500,000P3 =$25,000,001 - $50,000,000Q=AppraisalU = Book Value

B =$1,001- $2,500O =$2001001- $1,000,000K =$15,001- $50,000O=$500,001- $1,000,000R - C os t (R ea l Es ta te On ly )V -O~er

C =$2,501 - $5,000H I =$1,000,001 - $5,000,000L =$50,001 - $ 100,000PI =$1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D =$5,001 - $15,000H2 =More than $5i000,000M - $ 10 0 ,0 01 - $ 2 50 ,0 0 0P2 =$5,000,001 - $ 25,000;000T = C a s h M a r k et

E =$15,001- $50,000


9/11

FINANCIAL DISCLOSURE REPORTPage 9 of 1 1

N a m e o f P e r s o n R e p o r t in gBrowning, James O.

D a t e o f R e p o r t05/11/: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 u c o m e , v u l u e , t ru n ~ . c t io . ~ anaudes tho~e oIspou~ and dependent children; see p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descr ip t ion o f Asse t s( inc lud ing t rus t a s se t s )

(1) (2) (1) (2) (I) (2) (3) (1) (5)Place "(X)" after each asset A m o u n t T p e (e .g ., V a lu e V a lu e Type (e.g,, Date Value G a i n I d e n t i t y o f

exempt from prior disclosure C o d e I d iv . , ren t , C o d e 2 M e th o d b u y , s e l l , mm/dd/yy C o d e 2 Cod~l buye r / se l l e r( A - H ) o r in t .) (J- P ) C o d e 3 r e d e m p t i o n ) (J-P) ( A ~ H ) ( i f p r iva te( Q - W ) t ransac t ion )

86 .

87 .88 .

89 .90 .

91 .92 .

93 .

--M oderate Portfolio COppenheimer Scholars Edge 529 Acct #2(Wells Fargo Advsors)--M oderate Portfolio C

- -Mode ra te ly Aggress ive Por t fo l io AC h e c k i n g A c c o u n t - W e l l s F a r g o B a n k

None J T Distributed 01/25/I0 K See NOTE 4 @ Pa r t( p a r t ) W n

None

NoneA Interest

T Bu y 01/25/10 K( add l )Distributed 06/09/10 J(part)

Distr ibuted 08/02/10 J(part)D is trib ute d 0 8/0 2/1 0 J

See NOTES 1 &3 @Par t VIIISee NOTE 4 @ Pa r tVIII

1. lncome Gain Codes~ A = $1,000 or less B = $1,001 - $2 ,500(See Colunms B 1 and D4) F =$50,001 - $100,000 G -$100,001 - $1,000,000

2. Valae C odes J = $ 15,000 or less K $1 5, 001 - $50 , 000(See Colutrms C I and D3) N =$250,001 - $ 500,000 O =$500,001 - $ 1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R -Cost (Real Estate Only)(See Co lumn C2 ) U = Book Value V = Other

= $2,5 01 - $5 ,000 D = $5,001 - $ 15,000HI =$1,000,00i ~ $5;000,000 H2 =More th an $5,000,000

=$50,00i- $100i0b0 M =$1001001 - $250;000Pl =$1,000,001 r $5i000;000 P2 =$5,000,001 - $25,000,000P4 =More than $50,000,000 T : C a s h M a r k e t= A ssessmen tW =Estimated

E =$15,001 - $50,000


10/11

FINANCIAL DISCLOSURE REPORTP a g e 1 0 o f 1 1

N a m e o f P e r so n R e p o r t i n gBrown ing, James O.

D a t e o f R e p o r t05/11/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lnaicatepartof report.)NOTE I - The i tems l is ted in Section VII tha t have the note "See NOT E 1 @ P ar t VII I" in C olumn D(5) a re headers only . Th e specif ic asse ts he ld in tha tcorpora t ion/ t rus~accounts a re inden ted and l is ted indiv idua l ly fol lowing the header .

NOTE 2 - On September 24 , 2010 Putnam Vis ta C la ss A sha re s were merged in to Putnam Mul t i Cap G rowth C la ss A sha re s . No sha re s were purchased or so lddur ing the yea r .NOTE 3 - The F inancia l Adv isor managing the Oppenhe imer Schola r s Edge 529 accounts changed f rom be ing associa ted with A .G. Edwards to Wells FargoAdvisor s in 2010.NOTE 4 - Alm ost the ent i re remaining ba lance of the Oppen he imer Schola r s Edge 529 Acct #1 was t ransfe r red in to the Oppenhe imer Schola r s Edge Acct #2 onJanuary 25, 2010.NOTE 5 - Th e two mor tgages payab le to New Mexico Bank & Trust l i s ted a t Par t VI , lines 1 & 2 a re in the name of the S ingle Mem ber LLC (Par t VII , l ine 36)which is owned b y the C orpora t ion (Par t VII , l ine 1) and were inadver tent ly omit ted f rom prev ious repor ts . The mor tgages a re persona l ly guaranteed by f l ie r s


11/11


Name of Person Repo rt ingB r o wn i n g , J a m e s O.

Date of Report05/I 1/2011

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

a c c u r a t e , tr u e , a n d c o m p le t e t o t h e b e s t o f m y k n o w le 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 io n n o t r e p o r t e d w a s w i th h e ld b e c a u se i t m e t a p p l i c a b l e s t a tu to r yp r o v i s io n s p e r m i t t i n g n o n - d i s c lo su r e .I f u r t he 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 s i d e e m p l o y m e n t a n d ho n o r a r i a a n d t he a c c e p t a n c e o f g i f t s wh i c h ha 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 th t h e p r o v i s io n s o f 5 U . S . C . a p p . 5 01 e t . s e q . , 5 U . S . C . 7 35 3 , a n d J u d ic i a l C o n f e r e n c e r e g u l a ti o n s .

Signature: S/James O. Brown ing

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 I F I ES O R F A I L S T O F IL E T H I S R E P O R T M A Y B E SU B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )

C o m mi t t e e o n F i n a n c i a l Dis c l o s u r eAd minis t ra t ive Off ice of the Uni ted Sta tes Cour tsSui te 2-301On e C o l umb us C i r cl e , N .E .W a s h i n g t o n , D .C . 2 0 5 4 4

james o browning financial disclosure report for 2010

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