karen e schreier financial disclosure report for 2010

8/3/2019 Karen E Schreier Financial Disclosure Report for 2010

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2/13

FINANCIAL DISCLOSURE REPORTPage 2 of 13

N a m e o f P e r s o n R e p o r t i n gSchreier , garen E.

D a t e o f R e p o r t05/10/2011

I I I. N O N - IN V E S T M E N T I N C O M E . ( R e~ o .i .g i .di , id.al~.dspo~,e: s .ep~ tZ-24 of filing instructions.)A. Filers Non-Investment Income[~] NONE non- inves tmen t income. )N o reportable

D A T E SOURCE AND TYPE

2.

3.

4.

INCOME( yo 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 t m e n t I n c o m e - t f y o u were married during any port ion of the report ing year, complete this sect ion.(Dollar amount not required except for honoraria.)D NO N E ( N o rep o r tab l e no n - inv e s tmen t i nc o me . )

DATE SOURCE AND TYPEI. 201 0 S e lf - e m p lo y e d (a t to rn e y )

2.

3.

4.

I V . R E I M B U R S E M E N T S -transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25 -27 of filing instructions.)

D (No reportable reimbursements.)ONE

2.3.4.5.

SOURCE DATES LOCATIONF e d e r a l J u d g e s A s s o c i a t i o n 5 / 2 1 /2 0 1 0 W a s h i n g t o n , D C

PURPOSE ITEMS PAID OR PROVIDEDb oa rd o f d ir ec to rs m ee tin g h ote l a nd m e als


3/13

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 3

N a m e o f P e r s o n R e p o r t in gS c h r e i e r, K a r e n E .

D a t e of Repor t05/10/201 I

V . G I F T S . a n c l , , d , . , , h o s e , o s p o ~ , o and dependent children; s e e p p . 2 8 -3 1 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a . d . d e s t h o s e o l s p o u s e a . d d e p e . d e , t c h U d r e ,; s * o ~ . 3 2 - 3 3 of filing imtructlons.)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.

4.5.

V A L U E C O D E


4/13

FINANCIAL DISCLOSURE REPORTPage 4 o f 13

N a m e o f P e r s o n R e p o r t i n gSchre i e r , Karen E .

D a t e o f R e p o r t05/10/201 I

V II. IN V ESTMENTS an d T RU STS -i .... e , r a l u e , t r a n s a c t i o n s (Includes those o f spouse a n d dependent ch i ldren; see plx 3 4 - 6 0 of f i l i ng i nst ruct i ons. )N O N E (No reportable income, assets, or transactions.)

A. B. C.Descript ion of Assets Inco m e du ring G ross va lu e at en d

(including trust assets) r e p o rt i n g p e r i o d o f r e p or t i n g p e r i o dO) (2 ) (1) (21

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

(I) (2) (3) (4)P l a c e " ( X ) " a l ~ e r e a c h a s s e t I A m o u n t T y p e ( e .g .. V a lu e V a lu e

e 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 iv ., r e n t , C o d e 2 M e tho dI (A-II) o r in t .) ( J- P ) C o d e 3~ ( Q - W )

1. B R O K E R A G E A C C O U N T #1 T. R o w ePrice2. -EQUI T Y I N C OM E F UN D3. -G ROW T H S T OC K F UN D4. -NEW HORIZONS FUND

5. - S C I EN C E A N D T E C H N O L O G Y F U N D

A

A

Dividend

Dividend

D i s t r i b u t i o n

None

K

K

LK T

T y p e ( e . g ., Dale V a l u e G ainbu y, se l l , n u r d d d . , 3 y Cod e 2 C o d e I

r e d e m p t i o n ) ( J - P ) (A-H)

( 5 )I d e n t i t y o f

b u y e r / s e l l e r( i f p r i v a t e

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

6. - V A L U E F U N D7. I R A A C C O U N T # 1 R B C W e a l t hM a n a g e m e n t8 . - Pr ime M oney M arke t Fund9. -PACIFIC LIFE FDS1 0 .

1 1 .

1 2 .

1 3 . NEW Y ORK LIFE I N S U R A N C E C O . -ANNUITY1 4 . NEW YORK LIFE UNIVERSAL LIFEPOLI C Y1 5 . L I N C O L N F I N A N C IA L G R O U PUNI VE R SAL LI FE I NS. P O LI CY1 6 . JEFFERSON N A T I ON A L UN I VERS A L

LI FE I NS. P O LI CY1 7 . T R A V E L E R S L I F E & A N N U I T YUNI VE R SAL LI FE I NS. P O LI CY

A Dividend K T

A I n t e r e s t

B lnt . /Div. M T Bu y 01/26/10 J

I n t e r e s t K

Dividend K

Div id en d J

Dividend J

Div id en d J

Bu y( add l )Bu y( add l )Bu y( add l )

T

T

T

T

T

02/16/1003/16/1006/28/10

J

JJ

I . In co m e G a i n C o d es : A =$1.000 or less B =$1,001 - $2.500 C $2. 5 01 - $5 . 000 D =$5.001 - $15.000(S ee C o lu m ns BI a n d 134) F = $ 50.001 - $ 100.000 G = $100.09 1 - $1.000.000 Il l = $ 1.000.001 - $ 5.000.000 112 =More than $5.000.000

2 . V a l ue C o de s J = $ 15.000 o r le s s K = $15.001 o $50.000 L = $50.001 - $ 10~.{X~ M = $ 100 . 001 - $ 2 5 0 . 0 0 0( See C o l u m n s C l an d D3) N =$250.001 - $ 500.000 O =$500.001 - $1.0(KI.00~ PI =$ 1.000.0O I - $ 5.000.000 P2 =$ 5.000.001 - $25.000.000

P3 = $25.000.001 - $ 50.0~0.000 P4 = M ore than $ 50.000.0003. V a lu e M e tho d C o d e s Q = A pp raisal R ~Sost (Real Esta te Only) S = A s s e s s me n t T = C a s h M a rk c ~

t S c C o h m m C 2 ) U = Bo o k V a l ue V = O ~ h o " W = E s l i m a t e d .

E =$15.001 - $50.000


5/13

FINANCIAL DISCLOSURE REPORTPage 5 o f 13 Ia m e o f P e r s o n R e p o r t i n gS c h r e i e r , K a r e n E . Dale of R e p o r t05/10/201 l

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 , ~ o c t i o ~ a n c l u d , ~ th o s e of spouse and dependent children; s e e p p . 3 4 - 6 0 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t io n o f A s s e ts I n c o m e d u r i n g G ro s s v a l u e a t e n d T ra 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( i n c l u d i n g t n ~ 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 di (0 (2) O) (2) (i ) 12) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t i 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 Val ue G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e i ~ C o d e I d i v . , r e n t , C od e 2 M e th o d b u y , s e l l , m m / d d / 3 , y C od e 2 C od e I b u y e r / s e l l e r( AdD o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - I I ) ( i f p r i v a t e

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

1 8 . COMMUNITY HEALTH LTD.[~i C Distribution J W1 9 . H O M E F E D E R A L B A N K A C C O U N T A Interes t K T20 .21 .22 .23 .24 .25 .26 .27 .28 .29 .30 .31 .32 .33 .34 .

F I R S T D A K O T A T I T L E I N S . L T D . P T R .

B R O K E R A G E A C C O U N T # 2

- T A M A R A C K P R I M E M O N E Y M K T F D- A L L I A N C E B E R N S T E I N M I D C A PG R O W T H F U N D C L C- A L T R I A G R O U P I N C . C O M M O N

- A O L I N C . C O M M O N

- B E R K S H IR E H A T H A W A Y C L BC O M M O N- B U R L I N G T O N N O R T H E R N S A N T A F EC O M M O N

D Distr ibution M T

- C I SC O S Y S T E M S I N C . C O M M O N

- C I T IG R O U P I N C . C O M M O N

- C O C A - C O L A C O M P A N Y C O M M O N

- C O L G A T E - PA L M O L I V E C O M P A N YC O M M O N- D R E Y F U S S & P 5 0 0 I N D E X F U N D

A Interes tA Di v i den dA Dividend

N o n eN o n e

A Dividend

A

AA

N o n eDi v i den d

KKKJK

JJ

Di v i den d JDi v i den d JDividend K

T

T

T

T

T S p i n o f f( f r o m l i n e 2 7 )Sold(part)

R e d e e m e d(part)TT Bu y

Sold(part)TTT

02/17/10 K

02/17/10 K

02/17/10 K

0 9/10 /I010/19/10

JJ

C

A

I . In co m e G a i n C o d es : A $1 . 000 or l es s B = $ 1.001 - $ 2.500 C = $2.,501 - $5.000 D =$5.001 - $15.000( See C o l u m n s B I an d D4) F ~$50.001 - $100.000 G =$ 100.001 - $ 1.000.000 III =$1.000.001 - $5.000.000 112 =More than $5.000.000

2 . V a l ue C o de s J = S I 5 . 0 0 0 o r I ~ . ~ s K :$15.001 - $50.000 L = $ 50.001 - $ 100.000 M = $ 100.001 - $ 250.000( See C o l u m n s C I an d D3) N =$250.001 - $500.000 O $5 00. 001 - $1 . 000. 000 P 1 =$ 1. 00 0. 00 1 - $ 5. 00 0. 00 0 P 2 = $ 5. 00 0. 00 1 - $ 25 .0 00 .0 00

P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.1)003. Value Method Codes Q -A p p r a i sa l R =Cost (Real Estale O~ly) S ~As,scssmem T =Cash Marke~( See C o l u m n C 2) U = B o o k Va l u e V =Olh ; r W -Es t i m a t ed

E =$15.001- $50.000


6/13



D a t e o f R e p o r t05/10/701 I

V l l. I N V E S T M E N T S a n d T R U S T S -i .... e , v a l u e , t r a n ~ a c t i o ~ (Indudes thoxe o[spouse and depende.t childrem see pp. 34-60 of filing instructions.)D NONE i ncome , or transactions. )N o reportable assels,D e s c 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

( in c lu d in g tn a s t a s se ts ) r e p o r t in g p e r io di (I) (2)Place "(X)" after each asset [ A m o u n t T y p e (e.g.,

e x e m p t f r o m p r i o r d i s c lo s u r e I Code I div . ,I i ( A - H ) o r in t . )

3 5. -EMC CORP. MASSCOMMON None

36. -GENERAL ELECTRIC COMPANY A DividendCO M M O N37 . -HANESBRANDS INC. COMMON None

38. -HOM E DEPOT INC. COMM ON A Dividend

39 . - I N G I N DEX PLUS M I DC A P F UN D C L A A Di v i den d40. -ING INDEX PLUS SMALLCAP FUND None

CL A41. -INTEL CORPORATION COMMON A Dividend

42. -KOPIN CORP COMMON None

43. -KRAFT FOODS INC CL A A Dividend

44. -MEDTRONIC INC. COMMON A Dividend

45. -MERCK & CO. INC. COMMON A Dividend

46. -MICROSOFT CORP COMMON A Dividend

47. -PEPSICO INCORPORATED COMMON A Dividend

:48. -PFIZER INC. COMMON A Dividend

49. -PHILIP MORRIS INTL INC. COMMON B Dividend

~ 50. -PROCTOR & GAMBLE CO. COMMON A Dividend

5 1. -REGIONAL BK HOLDRS TR A DividendDEPOSITARY RCPT

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(t) (2)V a lu e V a lu e

C o d e 2 M e t h o d( J - P ) C o d e 3

J TJ T

J T

J T

J T

J T

J T

J T

J T

J T

J T

K T

J T

J T

K T

J T

J T


(I) (2) (3) (4)T y p e ( e . g ., D a t e V a l u e G ainbu y, se l l , m m / d d ~ y C od e 2 C o d e I

r e d e m p t i o n ) ( J - P ) (A-H)Idcnti~ o f

bu yer /se l l e r( i f p r i v a t e

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

I . In co m c G a i n C o d es : A =$1,000 or less B -$1,001 - $2.500 C = $ 2.501 - $ 5,0~0 D = $ 5,001 - $ 15,000(S e e C o l umn s B I a n d D 4 ) F = $50.001 - $ 100,000 G = $1 00 .1 3 0 1 - $ 1. 0 00 .0 00 I 11 = $ 1 . 0 ~ 0 .0 0 1 - $ 5 . 0 0 0 .0 0 0 112 =More than $5.000.000

2. Va lu e C o d e s J = $ 15.000 o r Ics s K = $15,001 - $ 50.000 L = $50.001 - $ 100.000 M = $ 100.001 - $ 250.000l Sce C o l u m n s C I an d D3) N = $ 2 5 0 . 0 0 1 - $ 5 C O . 0 0 0 O =$ .q )O .001 - $ 1,000.00 0 P I = $1 .0 ~0 ,0 01 - $ 5.0 00 ,0 00 P 2 = $5 .0 00 .00 1 - $2 5.00 0.0 00

P3 =$25,000.001 - $ 50.000.090 P4 =More than $50.000.0003. Value/qcwhod Codes Q =Appraisal R -~?ost (Real Esta te Only) S =Asscssmc-at T = C ~ h M a r k e t( Scc C o l u m n C 2) U = B o o k Va l u e V = O ~ h c T W ~Est imated

E = $ 1 5 ,0 0 1 - $ 5 0 . 0 00


7/13

FINANCIAL DISCLOSURE REPOR TPage 7 o f 13

N a m e o f P e r s o n R e p o r t i n gS c h r c i e r , K a r e n E .

D a t e o f R e p o r t05/10/2011

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 . , . a l ,o . , ,a , ~ o c , i o ,~ (Include~ those of spouse a n d d e p e n d e n t chi l dren; see p p . 3 4 - 6 0 of filing instrucllo.$ON O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descript ion of Assets Income d u r ing G ross va lu e a t end Transactions during reporting period

( i n c l u d i n g m . L s t a s s e ~ s ) r epor t i ng per iod o f r ~ r t i n g p e r i o di (I) (2) (~) (2) (~ ) (2) (3) (4) (5 7P l a c e " ( X ) " a f te r e a c h a s s e t i A m o u n t T y p e ( e . g ., V a lu e V a lu e T y p e ( e . g ., D a t e V a l u e G ain I d e n t i t y o fexempt from prior disclosure i C o d e I d i v . , r e n t , Cod e 2 M e t ho d bu y , se ll, m m /d d ,.~, C od e 2 C o d e I bu yer /se l l e r] (A-H) o r i n t . ) ( J - P ) Cod e 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 )

52 . - S A R A L E E C O R P . C O M M O N A D i vi d e n d J53 . - 3M C OM PA NY C OM MO N A Dividend J54 .55 .56 .57 .58.59 .60 .61 .62 .63 .64 .

65 .66 .67 .68 .

- T I M E W A R N E R C A B L E I N C C O M M O N-T I M E W A RN ER I N C . N EW C OM M ON- V A N E C K F U N D S G L O B A L H A R DA S S E T S F U N D C L C- W A L G R E E N C O C O M M O N- W A L T D I S N E Y C O ( H O L D I N G C O )CO M M O N- B P P L C S P O N S A D R C O M M O N-C OVI DI EN PLC C OM M ON ( X )-A M ERI C A N F UN DS EURO PA C I F I CG R O W T H F D C L A- T Y C O E L E C T R O N I C S L T D C O M M O N- T Y C O I N T L L T D N E W C O M M O N- U I T F IR S T T R U S T C A N A D I A NE N E R G Y 7 I N C O M E- A L L IA N C E B E R N S T E I N G L O B A LB ON D F UN D I N C C L A- P I M C O F D S H I Y L D C L C

- N U V E E N F L A G S H I P A L L - A M E R I C A NM UN I C I PA L B ON D F UN D C L A- T H O R N B U R G L T D T E R M M U N I C IP A LF U N D C L A

A Di v i den d J TA Di v i den d J TA Di v i den d J TA Di v i den d J TA Di v i den d J TA Dividend J TA Di v i den d J TA Dividend K TA Dividend J TA Di v i den d J TA Di v i den d J T Bu yA Int./Div. K TB Di v i den d K TA Interes t K T

A Interes t K T

06/15/10

I . In co m e G a i n C o d es : A = $ 1,000 o r les s B = $ 1,001 - $ 2,500 C = $ 2,501 - $ 5.0~0 D = $ 5,001 - $ 15,000( S e e C o l u m n s B I a n d I M ) F =$50,001 - $109,000 G =$100.001 - $1,000.000 II1 =$1.0~},001 - $5.0~).000 112 =More than $5,000.000

2 . V a l ue C o de s J =$15.0~O o less K =$153301 - $50.000 L =$50.001 - $10~.000 M =$100.001 - $250.000(S~e C o lu mn s C I a n d D3) N = $ 250.001 -

P3 =$25,000.001 - $ 50,000.000 P4 =Mote than $50,0~k0003 . V a l ue M e t h o d C o de s Q = A p p ra i sa l 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 me n t T = C ash M ar kcl( See C o l u m n C 2) U = B o o k V a l u e V = Ot he r W = E s t i ma t e d

E =$15.001- $50.000


8/13


N a m e o f P e r so n R e p o r t i n gS c h r e i e r , K a r e n E .

Date of R e p o r t05/10/201 I

V 1 1 . 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 tu e , ~ * ~ s * . i o~ a n c l u d e s t h o s e * S ~ p o ~ s e * n d dependent children; see p p . 3 4 - 6 0 of filing i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( 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 di (I) (2)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 .,e x e m p t fr o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value ValueC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

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(I) {2) (3) (4) ( 5 )T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o f

b u y , s e l l , m m / d d ~ / y C o d e 2 C o d e I b u y e r / s e l l e rr e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

69 .70 .71 .

72 .73 .

1 7 4 .75 .76 .77 .78 .79 .80 .8 1 .82 .83 .84 .8 5 .

-PHOEN I X G O A Z B ON D- C A H L T H F A C . R E V . B O N D-WA ST. COLL SVGS BDS.~

- SO DAK ST. BLD. ATH LE S. R E V.A M B A C B O N D-M A RI C OPA C O. I DA S F M ET M A ZB O N D- D E S C H U T E S & J E FF E R S O N C N T Y S O RSDI~I-EA S T S I DE UHS D C A LI F . B ON D-Y UB A C I T Y C A L. UN I . S C HOOL DI S T .B O N D- R YDE X SE R FDS JUNO FD C L C-LI N C OLN N A T L LI F E A M ER.A N N U ITYI R A A C C O U N T # 2 R B C W E A L T HM A N A G E M E N T-F EDERA T ED M ON EY M KT F D F / K!AT A M A R A C K- A D V I SO R S I N N E R C I R C L EC HA M PLA I N S M A LL C O F D- E A G L E S E R M I D C A P S T K F D- E A T O N V A N C E L A R G E C A P V A L U EF UN D C L A- A M E R I C A N F U N D S G R O W T H F U N DC L A S S F-A M ERI C A N F UN DS EURO PA C I F I CG R O W T H F U N D C L A

A Interes t R e d e e m e dN o n e R e d e e m e dN o n e J TN o n e J TN o n e J TN o n e K TN o n e J TN o n e J TN o n e J T

A I n t e r e s t J T

A Interes t

A DividendA Di v i den dA Di v i den dA Di v i den dA Di v i den d

JJ

JK

KK

T

T Bu yT Bu yT

T

T

07/01/1010/01/10

03/29 /1 003/29/I 0

J

J

J

J

I . In co m e G a i n C o d es : A =$1.000 or less B =$I,001 - $2.500 C =$2.501 - $5.000 D =$5.001 . $15.000( See C o l u m n s B I an d D4) F = $50.001 - $ 100.000 G = $100.001 - $1.000.0~0 I 11 = $1 .0 00 .0 01 - $ 5. 00 0. 00 0 1 12 = Mo rc t ha n $5 .0 00 .0 00

2. V a lu e C o d es J = $ 15.000 o r le s s K = $15.001 - $ 50.000 L = $50.001 - $ 100.000 M =$10~.001 . $250.000{See C o l u m n s C I an d D3) N = $ 2 5 0 . 0 0 1 - $ 5 0 0 . 0 ( 1 0 O = $ 500 . 001 - $1,000.000 P I = $ 1. 00 0. 00 1 - $ 5. 00 0. 00 0 P 2 = $ 5. 0, 00 .0 0{ - $2 5. 00 0. 00 0

P3 =$25.000.001 - $ 50.000.000 P4 =Mo~e Ihan $50.000.0003 . V a l ue M e t h o d C o de s Q = A p p ra i s a l 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 me n t T =Cas h M ar k d( See C o l u m n C 2) U = B o o k Va l u e V = Ol he r W =Esl ima~cd

E =$15.001 - $50.000


9/13


N a m e o f P e r s o n R e p o r t in gSchre i e r , Karen E.

D a t e o f R e p o r t05/10/2011

N O N E (No reportable income, assets, or transactions.)D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g

( 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(i) (2)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 .,f r o m p r i o r d i s c l o s u r e i Code I d i v . , r e n t ,x e m p t

~i ( A- H ) o r in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(]) (2)V a l u e V a l u e

C o d e 2 M e th o d( J - P ) C o d e 3

O)T y ~ (e.g.,bu y, se l l ,

r e d e m p t i o n )

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(2) (3) (4) (5 )

D a t e V a l u e G ain I d e n t i t y o fm m /d d~/y C od e 2 C o d e 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 )

86 . -OPPEN HEI M ER M A I N S T REET S M A LL A Di v i den dCA P FU N D A So l d 03/29/I0 J87 . - R S V A L U E F U N D C L A A Di v i den d So l d 03/29/10 J88 . - DE LAW AR E DI VE R SI FI E D I NCO ME A Di v i den d

F UN D C L A89 . - E A T O N V A N C E G L O B A L M A C R O A Interes tA B S O L U T E R E T U R N F U N D C L I9 0. - E A T O N V A N C E M U T F D S T R F L T G A Int./Div.R A T E F D C L A9 1. - F T T E M P L E T O N G L O B A L B O N D A A Interes t

JJJJ

T So l d(part)

T

T B u y

03/29/I 0

0 3 / 2 9 / 1 0

9 2. - L O O M I S S A Y L E S S T R A T E G I C A Di v i den dI N C OM E F UN D C L A93 . - FI CO STR I P S SE R I E S E BO ND N o n e

JJ

T

T

Sold 03/29/10 J(part)

9 4. - US TR E AS. SE C. STR P D. BO ND N o n e K T9 5. -F HR 2 1 2 1-Z f / k /a F EDL. HOM E LO A NM TG . CO R P . B O N D96 . B R O K E R A G E A C C O U N T # 3 R B CW EA LT H M A N A G EM EN T9 7. -G A LEN A PA RK I N D. B ON D

In teres t

N o n e K98 . - C L A C K M U S & W A S H I N G T O N S E R V AB O N D9 9. -S OUT HERN M I N N ES OT A M UN I PW RB O N D1 0 0 . -S OUT HERN M N M UN PW R A G YS U P P L Y B O N D1 0 1 . -PEN N S T T PK C OM M N T PK T OLL

R O A D S B O N D1 0 2 . - PRI M E M ON EY M A RKET F UN D A

N o n e KN o n e JN o n e KN o n e K

Interes t J

TT

TTT

B u y 04/14/10 J

Bu y 08/03/10 K

I . In co m e G a i n C o d es : A = $1,000 or less B = $ 1,001 - $ 2,500 C = $2,501 - $ 5,09 0 D = $ 5.001 - $ 15,000( See C o l u m n s B I an d D4) F =$50,001 - $ 100.000 G = $1 00 ,0 01 - $ 1.0 00.0 00 II I = $1 .0 00 .0 01 - $ 5.0 00 .0 00 112 =More than $5,000.000

2 . V a l ue C o de s J = $ 1 5 .0 O O o r I c e s K = $ 1 5 , 0 0 1 - $ 5 0 . 0 O O L = $ 5 0 . 0 O I - $ 1 0 0 . (X ) O M =$100.001 - 1250.000( See C o l u m n s C I an d D3) N = $250,001 - $ 500,000 O = $500.I)01 - $ 1,000,000 PI = $ 1.000.001 -

P3 =$25,000.0OI - $50.000.000 P4 =More lhan $50.000.0003 . V a l ue M e t h o d C o de s Q =Appraisal R -~?os! (Real Esta te Ordy) S = A s s e s s me n ! T = C ~ h M ar kc~( See C o l u m n C 2) U = Bo o k V a l ue V = Ol hcr W = E s t in h a l c d

E =$15,001- $50.000


10/13



D a l e o f R e p o r l05/10/2011

VII. INVESTM ENTS an d TRUSTS - ~,,co,,e. ,ah, e. , , . . . .i o , ~ ( lncludes those o f spouxe and dependent ch i ldren; seep l~ 34 -60off i l lng ins t ruct ion~)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 o m e d u r i n g( in c lu d in g tru s t a s s e ts ) r e p o r tin g p e r io d

~ O) (2)Place "(X)" after each asset A m o u n t T y p e ( e . g .,

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I div . , r e n t ,(A-H) o r in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

V a l u e V a l u eC o d e 2 M e t h o d

( J - P ) Code 3( Q - W )


( I ) (2) (3) (4) (5 )Type (e.g., Da te V a l u e G a i n I d e n t i t y o fb u y , s e l l , m m / d d , ~ y C o d e 2 C o d e I b u y e r / s e l l e r

r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n sa c t io n )

I03. F I R S T N A T I O N A L B A N K IN S I O U XF A L L S A C C O U N T1 0 4 . F I R S T N A T I O N A L B A N K IN S I O U X

F A L L S A C C O U N T1 0 5 . D O U G H E R T Y & D O U G H E R T Y L L P

106. DISCOVER B ANK ACCOUNT1 0 7 . B R O K E R A G E A C C O U N T # 41 0 8 . -C H ROB INSON W ORLDWIDE INC.

C O M M O N1 0 9 . - E A T O N V A N C E N A T M U N C O M M O N

1 1 0 . - M A R I N A B I O T E C H I N C . C O M M O N F /K / A M D R N A INC

1 1 1 . - S P E C T R A S C I E N C E C O M M O N

1 1 2 . - U S B A N C O R P D E L C O M M O N

1 1 3 . -TUSCARAW AS CNTY OHIO H OSP REVBOND1 1 4 . -M ERRILL LYNCH 7 CO INCCOPORATE BONDI 15. -BANK. AMER CORP BOND

1 1 6 . -M ORGAN STANLEY DEAN W ITTERDISCOVER MED TERM SR NTS1 1 7 . -M ORGAN STANLEY GROUP INC.

BOND1 1 8 . -M ORGAN STANLEY GROUP INC.

FLOATING RATE NTS119. -B ANK OF AMERICA NA CD

D

C

AA

A

A

AA

AAA

None

None

I n t e r e s t

I n t e r e s t

Dividend

Dividend

None

None

Dividend

I n t e r e s t

None

l a t e r e s t

Int./Div.

I n t e r e s t

I n t e r e s t

I n t e r e s t

L

N

M

J

J

J

J

J

K

J

J

K

J

TT

W

T

So ld 07 /30/1 0T

TTT

T

So l d 09/13/10TT Bu y 03/15/10T Bu y 08/20/10T Bu y 09 /23/1 0T Bu y 08/06/10

K

J

J

K

J

1. In co m e G ain C o d es : A = $ 1,000 o r les s B = $ 1,001 - $ 2.500 C = $ 2.501 - $ 5,00 D = $5,001 - $1(Scc Columns B I and D4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 G =$100.001 - $ 1.000.000 I I I ~$ 1.000.001 - $5.000.000 t l2 =More than $5.000,000

2 . V a l ue C o de s J = $ 15.000 o r le s s K = $15.0O I - $ 50.000 L = $ 50.001 - $ 100.0(~ M = $10~.001 - $250.000( See C o l u m n s C I an d D J ) N = $ 250.001 - $ 500.000 O = $500.001 - $1.000.000 PI = $ 1,000.001 - $ 5.000.000 12 =$5.000,001 - $25,000.000

P3 =$25.000.001 - $50.000,0~0 p4 =More than $50.000.0{)03. V a lu e M e tho d C o d e s Q = A p praisa l R ~Cost tRcal Esta te Only) S =Asscssmcnt T = C a s h M a rk c ~( S~ C o l u m n C 2) U = B o o k Va l u e V = ~ h o " W = E s t ima t e d

E =$15.091 - $50.000


11/13

FINANCIAL DISCLOSURE REPORTPage 11 o f 13


D a t e o f R e p o r t05/10/201 I

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 m e , ,, o tu e , . o ~ o c , i o ~ a . d . d e ~ t h o ~ . o I ~ p o u ~ e o . d d e p e . d ~ . t c h i l d r e n t s e e p p . 3 4 - 6 0 of filing instructlon~.)N O N E (No reportable income, assets, or transactions.)

A. B. D.Descript ion of Assets Income d u r ing Transactions during reporting period

( inclu d ing t ru s t a s se~) r e p o r t i n g p e r i o d(I) (2)

i A m o u n t T y p e ( e . g .,C o d e I d i v . , r e n t ,( A - H ) o r i n t _ )

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t fr o m p r i o r d i s c l o s u r e

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)

V a l u e V a l u eC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

(I) (2) (3) (4) (5 )T y p e ( e . g . , Da te V a l u e G a i n I d e n t i t y o fb u y , s e l l , m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e r

r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

1 2 0 . - JP M O R G A N C t t A S E B K N E W Y O R K , A In leres t Redeemed 07/22110 JN Y C D1 2 1 . - W E L L S F A R G O B K N A C D A In teres t Redeemed 08/02/10 J

1 2 2 . D O U G H E R T Y & C O M P A N Y L L C M MA C C O U N T

1 2 3 . T R U S T # 1

1 2 4 . - F IR S T N A T I O N A L B A N K I N S I O U XF A L L S , A C C O U N T S ( x )

125. TRUST #2 (X)~,~, S E P I R A1 2 6 . - F IR S T N A T I O N A L B A N K I N S I O U X

F A L L S A C C O U N T S ( X )1 2 7 . T R U S T # 3 ( X ) T R A D I R A1 2 8 . - F IR S T N A T I O N A L B A N K I N S I O U X

F A L L S A C C O U N T S ( X )

A I n t e r e s t J T

A I n t e r e s t M T

A D i s t r i b u t i o n L T

B D i s t r i b u t i o n N T

I . In co m e G a i n C o d es : A = $1.000 or less B = $ 1,001 - $ 2.500 C = $ 2.~01 -(ScColmnns B I and 1)4) F = $ 50.001 - $ 10~,000 G = $100.001 - $1.000.0~0 Ill = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 ( ~ 0 . 0 0 0

2 . Vahm C o , d ~ J = $ 15. 000 o r k~ s K =$15.001 - $50.000 L = $ 50 . 001 - 5100 . 0~( S~ C C o l u m ~ C I an d D3) N = $250.001 - S500.000 O = $500.001 - $1.000.000 PI = $ 1.000.001 - $ 5.000.000

P3 =$25.00~.001 - $50.000.000 P4 =More than $50.000.0003 . V a l ue M e t h o d C O d~ Q = A p p ra i sa l R = C ~ t ( Rea l Es t a t e On l y) S = A s s e s s me n t(S, .: Column C2) U = B o o k Va l u e V = Ot he r W = E~ i m at ed

D =$5.001 - $15.000112 =More than $5.000.000M =$100.0OI - $250.~O0P 2 = $ 5 .00 0 ,0 0 1 - $ 2 5 .0 00 .0 (~T -~Zash Markc~

E = S l5 . 0~l - $5 0. 000


12/13

FINANCIAL DISCLOSURE REPORTP a g e 1 2 o f 1 3

Name of Person Reporting

S c h r e i e r, K a r e n E .D a t e o f R e p o r t

05/10/2011

V I II . A D DI TI O N A L I N F O R M A TI O N O R EX P LA N A T I O N S . (Indicate part of report)


13/13

FINANCIAL DISCLOSURE REPORTP a g e 1 3 o f 1 3

N a me o f P e r s o n R e p o r t i n gS c h r e i e r , K a r e n E .

D a t e o f R e p o r t05/10/2011

IX. CERTIFICATION.I c e r ti f y t h a t a l l in 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 i n 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 r e n , i f a n y ) i sa 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 l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h er c e r t if 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 ch 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 .

Signatu re: S/Karen E. Schreier

N O T E : A N Y I N D IV I D UA L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I F IE S O R F A L L S T O F I L E T H IS 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 )

Committee on Financial DisclosureA d m i n i s tr a t iv e O f f i c e o f t h e U n i te d S t a te s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g t o n , D . C . 2 0 5 4 4

karen e schreier financial disclosure report for 2010

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