robert h whaley financial disclosure report for 2010

8/3/2019 Robert H Whaley Financial Disclosure Report for 2010

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A O 1 0Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010Report Re quired by the Ethics

in Governraent Act of l978(5 U.S .C. app. ,~ ,~ 101-111)

I. Person Re por t ing ( las t name, f i r s t , middle in i t ia l)Wha l e y , Ro be r t H .

4. Title (Article III judges indicate active or senior status;ma gi s t r a t e judge s i ndica t e f ul l - or pa r t - t ime )

2. Court or Organizat ionUnited States D is t r ict Court

5a. Repor t T ype (check appropr ia te type)] N o m i n a t i o n , D a t eSenior D is trict Court Judge

7. Chambers or Office AddressUnited Sta tes D ist r ict CourtP .O. Box 2 8 3Spoka ne , WA 9 9 2 1 0 -0 28 3

[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodifications per ta in ing there to , i t is , in my opinion, in com pl iancew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Office r Date

3. Date of R e p o r t07/12/201 I

6. Report ing Pe riod01/01 /2010

to12/31/2010

I M P O R T A N T N O T E S : The instruct ions accom panying th is form m ust be fo llowed Com plete al i parts ,checking the NON E box for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . t n e p o , a . g individual only; seepp. 9-13 of f il lng instructions.)~ NONE(N o reportable posi t ions. )

POSITION NAME OF ORGANIZATION/ENTITY

2.

3.

4.5.

I I . A G R E E M E N T S . meporang i.dividual o.ly; se, ,,. 14-16 of filing instrnctlon~)N O N E (No reportable agreements.)

D A T E1.

2.

3.

PARTIES AND TERMS


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~ a m e o f P e r s o n R e p o r t i n gW h a l e y , R o b e r t H .

D a t e o f R e p o r t07 /12/2011

1 1 1 . N O N - I N V E S T M E N T I N C O M E . t R e p o ~ n g i n d i v id u o l a n d s p o u s e : s e e p p . 1 7 - 2 4 of filing instructions.)A. Fliers Non-lnvestm ent Incom e

~] (No reportable income . )ONE non-investmentD A T E S O U R C E A N D TYPE

2.

3.

4.

INCOME(yours , not spouses)

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 marr ied during an y por tion of the reporting year , comple te this section.(Dollar am ount not required except for honoraria.)

N O N E (No reportable non-investment income.)D A T E SOURCE AND TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S --transportation, Iodglng, food, entertainmenL(Includes those to spouse and depende nt children; see pp. 25-2 7 of filing instructions.)

NONE (No reportable reimbursements.)SOURCE DATES LOCATION

1.2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 4

N a m e o f P e r so n R e p o r t i n g\ V h a le y , R o b e r t H .

Date of Reporl07/12/2011

V . G I F T S . ( l n c l u d , ~ ,h o s e , o s p o u s e o nd d e p o n d e n , children; s e e p p . 2 8 - 3 1 of filing instruction~)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T IE S . (Includes those of spouse and dependent children: see pp. 32-33 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 14

N a m e o f P e r s o n R e p o r t i n g\ V h a le y , R o b e r t H .

D a t e o f R e p o r l07/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ncome , value, transactions (Includes those of spouse and dependent children seepp. 34-60 of f il ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during G ro ss value a t en d T ransactions during reporting period

(including trust assets) 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 (i) ( 2 ) O) (2) (1 ) (2) (3) (4) (5 )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 Value Gain I d e n t i t y o fexempt from prior disclosure ! Code I d i v . , r e n t , Code 2 M e t h o d buy, sell, m m /d d~ y Code 2 Code I buye r/se ller~ i ( A - I t) o r i n t . ) ( J - P ) 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 )

I. F I D E L I T Y I N VE S T M E N T S U L T R AA C C O U N T :2. -Core Cash Account A D i v i dend

4. F R A N K L I N T E M P L E T O N :5. - T e m p l e t o n D e v e l o p i n g M r k t s T r u s t M u t F d A6.

D i v i dend

7. B N Y M E L L O N :

8. - O c c id e n t a l P e t r o l e u m C o r p . C o m m o n S t o c l , A9.

Di vi de nd T

I 0 . FIDELITY EDUCATION ACCOUNT:

I I .1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

-NH 100% Equi ty Contr ibut ion N o n e T Buy 01/29/10(add l )Buy 02/26 /10(addl)Buy 03/31/10(add l )Bu y 04/29/10(addl)Bu y 05/28 /10(addl)Buy 06 /30 /10(addl)Buy 07/30 /10(addl)

J

J

J

J

J

J

J

1. Income Gain Codes:( S ee C olumns B I and I ) 4)

2 . Value CodesI S ce C olumns C I and D 3 }

3. Value Method Codes{ S ee C olumn C 2 )

A :$1,000 or lessF =$50,001 - $100,000J =$15.0~0 or lessN $250.001 - $50~.000P3 =$25. (~0,001 - $50.000,000Q =AppraisalU = Book Value

B =$1,001 - $2.500G = $ 1 0 0 . 0 0 1 - $ 1 . 0 O 0 .0 0 0K $15,001 - $50,000O $ 50 0 ,0 0 1 - $ 1 . 0 0 0 . 00 0R =Co~I (Real I :stalc Only)V = O t h ~ * r

C =$2.501 - $5,000I 11 =$ 1.000.001 - $ 5 . 0 0 0 . 0 0 0L ~$5 0, 001 - $100. 0( ~

PI =$1,000.001 - $ 5 . 0 ( } 0 . 0 0 0P 4 =More than $50.000.000

D =$5.001- $15.000112 =More than $5.000.009M=$100.001 o $250.000P2 =$5.000,001- $25.000.0~0T =C a. s h Mar ket

E = $15 , 001- $5 0. 000


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FINANCIAL DISCLOSURE REPOR TPage 5 of 14

N a m e o f P e r s o n R e p o r t i n g\Vhaley, Robert H.

D a t e o f R e p o r l07/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructionsON 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 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 nc l ud i ng t rus t asse t s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

I n c o m e d u r i n g G r o s s v a l u e a t e n dr 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) (I) C2) CI ) (2) (3) (4) (5 )A m o u n t T y p e ( e .g ., V a lue V a lue Type (e.g., Da te Va lue G a i n I d e n l i t y o fC o d e I d iv ., re n t , C o d e 2 M e t h o d b uy , se ll . m rrd d d/y y C o d e 2 C o d e I buyer / se l l e r( A - H ) or i n t . ) ( J- P) C o d e 3 r e d e m pt i o n ) ( J- P) ( A- t l ) ( i f pr iva t e

( Q - W ) t ransac t i on)

1 8 .

20 .

21 .

22 .

23 .

24.

25 .

26 .

27 .

28 .

29 .

30 .

31 .

32 .

33 .

3 4 .

Bu y 08/31/10 J(add l)Buy 09130/I0 J(add l )Bu y 1 0 / 2 9 / 1 0 J

(add l )Buy I 1/30110 J(add l )Bu y 12/31/10 J(add l )

F I D E L I T Y E D U C A T I O N A C C O U N T :-NH 100% Equ ity Conlr ibu tion None T Bu y 01/29/10(add l)

Bu y 02/26 /10(addl)Buy 03/31/ I0(add l)Bu y 04/29/10(add l )Bu y 05/28/10(add l )Bu y 06/30/10(add l)B uy 07/30 /10(add l )Bu y 08/31/10(add l )Bu y 09/30/10

(add l )Bu y 10/29/I 0(add l)

J

J

JJJJJ

JJJ

I. Income Gain Codes:( S ee C olumns B I and D 4)

2 . V al , C odes(See Colulnns CI and D31

3 . Value Iqcthod CodesI S le C olumn C 2 )

A $1.000 o r l e s sF =$50.001 - $ 1 0 0 . 0 0 0J $1 5 .0 (~ o r l essN $250.0~1 - $500.0001 " 3 = $ 2 5 . 0 0 0 . 0 0 1 - $50.000.000Q = A p p r a isa lU -Bot~k Value

B -$1,001 - $2.500G =$100.0~1 - $1.000.000K -$15 , 0OI - $50.0~00 -$5 00.0~ I - $1 .000.~0R = Co s l ( Rea l E s t a t e On l y )V :O the r

C =$2.501 - $5.000I I I = $ 1 . 0 0 0 . 0~ 1 - $ 5 . 0 0 0 .0 ~ 0L =$50.001 - $ 1 1 X 1 . 0 0 9PI =$1.000.0~1 - $5.000,000P4 =More Ihan $50.009.000S = A s s ~ s s n ~ c n tW -I-sfimatcd

D :$5.001 - $15.000112 :More than $5.000.000P 2 $5 . 0~O. 001 - $25 . 000.000Y =Canh Market


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FINANCIAL DISCLOSURE REPORTPage 6 o f 14

N a m e o f P e r so n R e p o r t i n gWhale] , , Robert H.

D a t e o f R e p o r t07/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - inco me , v a lue , t ransac t io ns ( Inc ludes th o se o f spo use and dependen t ch i ldren; seepp . 34-60 o f f i l ing ins t ruc t io ns . )N O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e t s I n c o m e d u r i n g( in clu d in g t ru s t a s se t s ) r e p o r t i n g p e r i o d

0) (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 l o s u r e i Code I di v. , ren t ,

i ( 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 in g p e r io d

(I) (2)V a lue V a lue

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

( 1 )T y p e ( e . g .,buy, 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 i n g p e r i o d

(2) (3) (4) (5 )D a t e Value G a i n Identity o f

m ~ d d / y y Cod e 2 Cod e I buyer/seller( J - P ) ( A - H ) ( i f p r i v a t e

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

35 .36 .37 .

Bu y 11130/10 J(addl )Buy 12/31110 J

(add l )

38 .

39 .

40.

41.

42.

43.

44.

45.

46.

47.

48.

49.

50 .

51 .

F I D E L IT Y E D U C A T I O N A C C O U N T :oNH 100% Equity Contr ibu tion None T B uy 01/29/10( add l )

B uy 0 2 1 2 6 1 1 0( add l )B uy 0 3 1 3 1 1 1 0

( add l )B uy 04/29110( add l )B uy 05128/10( add l )B uy 0 6 1 3 0 1 1 0( add l )B uy 07 /30/10( add l )B uy 08/31/10( add l )B uy 09/30/10

( add l )B uy 10/29/10( add l )B uy 11/30/10( add l )B uy ~ 1 2 / 3 1 / 1 0

( add l )

JJJJ

JJJ

JJJ

JJ

I. Income Gain Codes:( S ee C olumns B I and D 4)

2. Value Codes( S ee C olumns C I and D 3 }

3. Value Mclhod Codes( S ee C olumn C 2 )

=$1,000 or less=$ 50 ,0 0 1 - $ 1 0 0 , 0 0 0=$15.000 o~ less=$250,001 - $500,000

P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $50.000.000=Appraisal- B ook V alue

B -$1,001 - $2,500G = $ 1 0 0 , 0 0 1 - $ 1 . 0 0 0 ,0 0 0K =$15,001 - $50.000O =$509.001 - $1,000.009R = Co s t ( Rea l E s t a t e On l y )V = O ~ h , . . r

C =$2.501 - $5,0~)I I I = $ 1 . 0 0 0 , 0 ~ I - $ 5 , 0 0 0 . 0 0 0L =$50.0OI -PI -$1 .0 ~.0 ~1 - $5.0~0.000P4 =More than $50,000.000S = A s s e s s m . . ," n tW = E st i m a t ed

D =$5.001 . $15.000112 =More than $5.000.000M=$100.001 - $250.000P 2 -$5.000,001 - $25.000.000T = ~ h Mar kc~

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


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N a m e o f P e r s o n R e p o r t i n gW h a l e y , R o b e r t H .

D a t e o f R e p o r t07 /12/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i n c o , . e , v a l . e , ,, a , ,~ a c t io , , ~ t l n c l u d e s t h o s e of spouse and dependent children; see pp. 3 4 - 6 0 o f f i l in g i n s t r u c t i o n s . )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 t s I n co m e d ur i n g G ro ss v a l ue a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( i n clud i n g t rus t a ss e ts ) re p o r t in g p e ri o d o f r e p o r t i n g p e r i o di (I) (2) (I) (2) (I) (2) (3) (4) (5)

Place "(X)" after each asset ! A m o u n t T y p e ( e . g ., V a lue V a lue T y p e ( e . g ., Da te Va lue 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 Code I d i v . , r e n l , C o d e 2 M e t h o d buy, se l l , m m / d d h / y C o d e 2 C o d e I buyer / se l l e r

i (A-H) or i n t . ) ( J- P) Code3 r e d e m p t i o n ) (. l-P) ( A - H ) ( i f pr iva t e[ (Q-W) t ransac t i on)

52 . F I D E L I T Y E D U C A T I O N A C C O U N T :53 . -N H 1 0 0 % E q uity Co n tr ibutio n N o n e J T B uy 0 3 1 3 1 1 1 0 J

54 . Bu y 04/29/10 J(add l )

55 . Buy 05/28/10 J(add l )56 . Buy 06 /30 /10 J(add l )57. Buy 07/30 /10 .I(add l)58. Buy 08/31/10 J(add l )59 . B uy 09/30/10 J(add l )60 . Buy 10/29/10 J(add l )61. Buy 11/30/10 J(add l)62. Buy 12/31/10 J(add l )63 .64. F I D E L I T Y I N VE S T M E N T S I R A :65. -General Electr ic Common Stock A Dividend66. - Fi d el it y l n t l Di sco v er y F und None67. -Fidel ity Canada M utual Fund A Dividend68 . -Fide l i ty New Mar ke t s Income M utua l Fund C Dividend

L TK T

B uy 08/06 /10So ld 04/12 /10

K

K D

I . I ncome G ain C odes : A = $1.000 o r less B ~ 51,001 - $2 ,500 C = 52,5 01 - $5 ,000 D =$5.001 - $15.000(See Columns B I and D4) F =$50.001 - $ 100,000 G -$100.001 $1.000.000 I I I =$ 1.000.001 - $5,000.000 112 = More than $5.000.000

2 . Value Codes J = 5 1 5 ,0 0 0 o r I~ s K =$15.001 - $50.000 L =550.001 o $10~ ,000 M = 5100,0~1 - $250.000( S cc C olumr m C I and D 3 ) N 5 25 0.001-$5 00.000 O =$5 00 .00 1 - 51 .0 00.0 00 P I = $1,0 00 .0 01 - $5 .0 00 .00 0 P2 = 55 -0 00.0 01 - 5 25 ,0 0 0 - 0 0 0

P3 =$25.009.0OI - $50.000.000 P4 =More than $50.000.0003. Value I"dcthod Code s Q = A p p r a isa l R =Cost (Real E.slate O~ly} S = A ssessm en t T = Cash Mar k e t[Scc Column C2) U Bo o k Va lu e V -O the r W = E st i m a ted

= 5 15 . 001 - 5 5 0 . 000


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N a m e o f P e r so n R e p o r t i n gW h a l e y , R o b e r t H .

D a t e o f R e p o r ~07/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions ( I n c l u d e s t h o s e of s p o u s e a n d dependent children: see p p . 3 4 - 6 0 o f f i l in g instructio.~)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 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 io d( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f te r e a c h a s s e t

exempt from prior disclosure

I n c o m e d u r i n gr e p o r t i n g p e r i o d

(I) (2)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 ) or i n t . )

G r o s s v a l u e a t en do f r e p o r t i n g p ~ r i o d(i) (2)V a l u e ValueC o d e 2 M e t h o d

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

(i )T y p e ( e . g .,buy, sell,


(2) (3) (4) (5 )D a t e Value Gain I d e n t i t y o f

mm/dd/yy Code 2 C o d e 1 buyer/seller( J - P ) (A-H) ( i f p r i v a t e

tran~ction)

69 .70 .71 .

-Spartan Intl index Investor Class MutualFund-Fidel i ty Capi ta l & Income Mutual Fund-Fidel i ty Low Priced Stock Mutual Fund

N oneDi vi de nd

N o n eL

So ld 0 4/1 2 /10Sold 1 2 / 0 7 ! I 0( p a r t )Sold 04/12/10

KJK

A

C

72 . -Fidel i ty Stra tegic Income Mutual Fund73 . -Dreyfus Internatl Bond Fund CI 1 M utualFund (see VIII)74. -F i r s t E a g l e G l oba l C l a ss A M ut ua l Fund

CCB

Di vi de nd KDi vi de nd LDi vi de nd L

T

T

T

Sold 12/07/10(part)

75 . -Oa km a rk E qui t y & Incom e Fd 1 Mut ua lFund76 . -Ki ne t i cs Sm a l l C a p Opp or t un ie s M ut ua lFund77 . - Nor the rn Sm al l Cap Va lue Fund

A Di vi de nd MA Di vi de nd JA Di vi de nd J

TTT

78 . - P e r m a n e n t P o r t f o li o M u t ua l F u n d A D i v i dend M T B uy 04/16/10 L

79 . -T hi rd Ave nue R e a l E s t a t e Va l ue Mut ua lFund80 . -Va n Ka m pe n E qui t y & Inc om e C l a ss CMutual Fund81 . - Vanguard W el l ing ton Mutua l Fund82 . -F i de l it y C a sh Re se rve

A Di vi de nd K TA D iv id e n d So ldB Di vi de nd L T Buy(addl )A Di vi de nd J T

04/14/10 K D

10/08110 K

83 .84. F I D E L I T Y I N V E S T M E N T S :85 . - Amgen Inc . Common S tock N one J

I. I n c o m e G a i n Co d es ;( S ee C olumns B I and D 4)

2.Value Codes( S ee C olumns C I and D 3 )

3. Value Method Codes1See Column C2)

A =$1.000 or lessF=$50.091 - $100,009J =SI5.000 or lessN -$250.001 - $500.000P 3 =$25,009,001 - $50,000,0~0Q =AppraisalU =Book Value

B = $ 1 , 0 O I - $2.500G =$100,001 - $1.000.000K =$15.0OI - $50.000O -$500.0OI - $1.000.000R =C os t ( R eal E s t a t e O n l y )V =Olhcr

C =$2.501 - $5,000I I 1 -$ 1.000.001 - $5 .000.000L = $ 5 0 . 0 O I - $ 1 0 0 . 0 O Op ] =$ l .000.00l - $5.000.000P4 =More than $50.000.000S = A s s es s m ~ m lW = E st i m a t cd

D =$5.001 - $15.000112 -More than $5,000.000M =$100.001 - $250.CO0P 2 = $ 5 . 0 O O , 0 O I - $ 2 5 . 0 0 0 . 0 ~ OT ~ S ~ s h Mar kel

E =$15.1 )01 - $50.0~O


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N a m e o f P e r s o n R e p o r t i n gW h a l e y , R o b e r t H .

D a t e o f R e p o r t07 /12/201 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 , . e , r o t . e , , r o ,~ a c , i o , ~ a . c l .d e , , h o s e o / s p o . ~ e a ~ d d e p e . d e ~ , c h i l d r e n : s e e p ~ . 3 4 - 6 0 of f i l ing ins t ruc t ions . )N O N E (No reportable income, assets, or transactions.)

A. B. D.Description of Assets Income during Transactions during reporting period

(including trust assets) r e p o r t i n g p e r i o d(I) (2)

, A m o u n t T y p e ( e . g .,C o d e 1 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 t

exempt from prior disclosure

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 d0) (2)V a l u e Value

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

(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 fbuy, sell, mm!dd/yy Code 2 C o d e 1 buyer;seller

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 )

86 . - The Ben Frankl in Fed S&L As s n Comm on N one J TStock87 . - Johns on & Johns on Commo n S tock A Di vi de nd J T Buy88 . - Z immer Hold ings Inc . Common S tock N one J T89 . -Fidel i ty Internat ionaIDiscovery Mutual A Di vi de nd J TFund90 . -Fidel i ty Canada Mutual Fund A Dividend J T91 . -Fidel i ty Diversi f ied Internat ional Mutual A Di vi de nd J TFund92 . -Fidel i ty New Markets Income Mutual Fund A Di vi de nd J T93 . -Fidel i ty Small Cap Stock Mutual Fund (See SoldVIII)94. -Fidel i ty Capi ta l & Income Mutual Fund A Dividend J T95 . -Fidel i ty Contrafund Mutual Fund (See VIII Sold96 . -Fidel i ty Real Esta te Investments Mutual A Di vi de nd J TFund97 . -Fidel i ty Balanced Mutual Fund (See VIII) Sold98 . -Fidel i ty Low-Priced Stock Mutual Fund A Dividend L T99 . -Fidel i ty Strategic Income Mutual Fund A D iv idend J T1 0 0 . - Amer ican Ba lanced Clas s C M utua l Fund A Di vi de nd L T1 0 1 . -Ca lam o s G ro w th Fun d Cla ss C M utua l N o ne L T

Fund1 0 2 . -Am e r i c a n G rowt h Fund o f A m e r i c a C l a ss C A Dividend L TMutual Fund

09/22/10

12/28/09 K

1 2 / 2 8 / 0 9 K

1 0 / 2 1 / 0 9 K

I . I ncome G ain C odes : A =$1.000 or less B =$1.00t - $2.500 C =$2.501 - $5.000 D =$5.001 - $15.000( S ee C olumns B I and D 4) F =$50.00| - $100.O~O G = $| 00 .0 01 - $ | .0 00 .0 00 I I| =$ 1.0 00 .0 0| - $ 5.0 90 .0 00 112 =More lhan $5.000.~00

2. Va lue Co d es J = $15 .000 o r le ss K =$15.0OI - $50.000 L = $ 5 0 . 0 0 1 - $ 1 0 0 .0 O O M =$100.001 - $250.000I S ee C olumns C I and D 3 I N = $2 50 .0 01 - $ 50 0.0 00 O -$ 50 0.0 01 - $ I.C 00 .0 00 P I =$ 1 .0 (X ) .0 O I - $5 .0 0 0. 00 0 P 2 =$ 5. 00 0 .0 0 1 - $2 5 .0 00 .0 0 0P3 =$25.000.0OI - $50.009.000 P4 =More Ihan $50.000.000

3. Value Method Codes Q =Appraisal R -~os! (Real Estawc Only) S =Asscssm,"nl Y = Cash Mar k e t( S ee C olumn C 2 ) U =Book Value V O ~ho " W =Estimalcd


10/14


N a m e o f P e r s o n R e p o r t i n g\ V h a le y , R o b e r t H .

D a t e o f R e p o r ~07/12/201 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 n c o m e . , a t u e . t r a n s o c , io , ~ a n c l u d ~ t h o s e o / s p o u s e a n d d e p e n d e n , children; see pp. 3 4 - 6 0 of f i l ing ins truct ion~)N O N E (No reportable income, assets, or transactions.)

Description of Assets Income during(including trust assets) r e p o r t i n g p e r i o d

: (1) (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 .,

exempt from prior disclosure Code I d i v . , r e n t ,(A-H) o r i n t . )

Gross value a t endo f r e p o r t i n g p e r i o d(1) (?)

Value V a l u eCode 2 M e t h o d

( J - P ) Code 3

Transac t ions 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 Gain I d e n t i t y o f

buy, sell, m m/dd/yy Code 2 Code I buyer/sellerr e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

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

1 0 3 . -Oa km a rk E qui t y & Inc om e Fd 1 M ut ua l A Di vi de ndFund104. -Vanguard W el l i ng ton Fund M utua l Fund C Di vi de nd105. - Fide l i ty Cas h Res e rves A Di vi de nd1 0 6 .1 0 7 . F ID E L I T Y I N V E S T M E N T S I R A :

MMK

T

TT

1 0 8 . - F i de l i t y Cas h R es e r v es A D i v i dend

1 0 9 . -Fidel i ty Divers i f ied Internat ional Fund A D i v i dendM u t u a l Fu nd

1 1 0 . - F i de l i ty New M ar ke t s I nc om e M u t ua l Fu nd A D i v i dend

1 1 1 . - F i de l i t y S m a l l Cap S t oc k M u t ua l Fu nd N o n e1 1 2 . - F i de l i ty Cap i t a l & I nc om e M u t u a l Fu nd A D i v i dend

1 1 3 . - F i d e li t y Re a l Es t a t e I n ve s t m e n t M u t u a l A D i v i dendFu nd1 1 4 . - F i de l i ty B a l anc ed M u t u a l Fu nd A D i v i dend

1 1 5 . - F i de l i t y S t r a t eg i c Inc om e M u t ua l Fu nd B D i v i dend

J

J

J

J

J

J

J

K

TTTT

T

T

TT

116 . - Fide l i ty Se l ect Technology Mutua l Fund117. -Dreyfus Int l Bond Fund Mutual Fund118 . - Oakmark Equi ty & Income M utua l Fund1 1 9 .

N o n e J T

B D i v i dend K T

A D i v i dend J T

I . Income Gain Codcs: A =$1,000 or less B $1,001 - $2 .5 0~ C =$2,501 - $5.0~) D =$5.001 - $15.000( S ee C olumns B | and I ) 4) F -$5 0,001 - $100.0D0 G -$100.001 - $1 .000,000 I1 | =$1.000,00| - $5.000,000 | |2 =More " than

2. Value Codes J =SI5,000 or I tss K $ 1 5. 0 ~ 1 - $ 50 . 0 0 0 L = $5 0. 0~1 - $100, 000 M -$100. 001 - $25 0. 000( S c C olumns C I an d D 3 ) N $250. (~01 - $500.~OO O=$ 50 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 pI =$ 1 . 0 0 0 . ~ 1 - $ 5 ,0 ~ 0 . 0 0 0 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.000 P4 =Mort : lhan $50.000.0003. Va lue M etho d Co d es Q = A ppraisal R ~Sost (Real l-stale Only) S =As s cs s mcm T -Ca sh M a rk e t

ISce C ohtm n C2) U -B o o k Value V = O ~ h o " W = E st i m a t ed

E = $15 . 091- $5 0. 000


11/14

FINANCIAL DISCLOSURE REPOR TPage 11 of 14

N a m e o f P e r s o n R e p o r t i n gWh aley, Robert H.

D a t e o f R e p o r t07/12/201 I

V I I. 1 N V E S T M E N T S a n d T R U S T S - i n c o . , e , ,, a ~ . e , ,. a , ~ a c t ia , ~ a . e t . ,U s t h o s e o / s p o a s e a n d dependent children: see p p . 3 4 - 6 0 offillng instructions.)N O N E (No reportable income, assets, or transactions.)

Description of Assets Income during(including trust assets) 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 i A m o u n t T y p e ( e . g . ,

exempt from prior disclosure Code I d i v . , r e n t ,(A-tt) o r i n t . )

Gross value a t endo f r e p o r t i n g p e r i o d(i) (2)Value Value

Code 2 M e t h o d( J - P ) Code 3( Q - W )

O)T y p ~ ( e .g . ,buy, sell,


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

(2) (3) (4) ( 5 )D a t e Value Gain I d e n t i t y o f

m m /dd/yy Code 2 Co de I buye r/se ller( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

120 . Bank of Am er ica Money M arke t Fund1 2 1 .

I n t e r e s t M

1 2 2 . Lt d . Pa r t ne r , De m i ng & A ss . , Roswe l l , N M(HUD P roject)

123 . L td . P a r tne r , D eming A par tment s , LLCInterest J W

N one J W1 2 4 .

1 2 5 . M as s M u t ua l : G P L i f e a t 6 9 N one K T1 2 6 .

127. Mas s M utua l : Whole L i fe N one K T1 2 8 .1 2 9 . C B S S , L L C1 3 0 .

N one K

131 . TRU ST # 1 (Fide l i ty) :1 3 2 . -F i de li t y Muni c ipa l M one y M a rke t Fund133 . - Fide l i ty B a lanced M utua l Fund134. -Fidel i ty Con trafund M utual Fund135. - Fide l ity D iv idend G rowth M utua l Fund136. -Fidel i ty Export & Mult int l Mutual Fund

A In te re st

A D i v i d e n d

A D i v i dend

A D i v i dend

A D i v i dend

J

J

J

J

J

T

T

T

T

T

I . I ncome G ain C odes : A $1.000 o r l e s s B = $1,001 - $2 ,5 00 C = $2,5 01 - $5 ,000 D =$5,001 - $15.000(See Col umns B I and D4 ) F =$50,001 - $ 100,000 G =$ 100,001 - $ 1.000.000 I I I =$ 1.000.001 - $5.000.000 1 1 2 = M o r e t h a n $ 5 . 0 O O . 0 0 0

2. Value Codes J -$15.000 or less K =$15,001 - $50.000 L $50.0~1 - $100.000 M =$100.001 - $250.000( S ee C olumns C I and D 3 ) N -$25 0, 0OI - $5 00, 000 O = $5 0~. 0OI - $1 , 000. 000 PI =$1.000,0OI - $5.000.000 P2 =$5,000,0OI - $25.CO0.009

P3 =$25.000.0OI - $50.0~O.000 P4 =More Ihan $50.000.0903. Value Mclhod Codes Q = A p p r a isa l R = Co s t ( Rea l E s t a t e On l y ) S =Asscssmcm T . = Cash Mar k e l( S o: C olumn C 2 ) U = Book Value V = O ~ h c r W = E st i m a t ed

E = $15 . 001- $5 0, 000


12/14


N a m e o f P e r s o n R e p o r t i n g\Vhaley, Robert H.

Date of Repo~07 /12/2011

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 e o ,, e , v o tu e . ~ , . .. . , i o ~ (Includes those o f spouse and dependn! chi ldren; see p p . 3 4 - 6 0 of fi l lng i n s t r u c t i o n s ~ )N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s cr ip t io n o f A s se t s I n co m e d ur i n g G r o ss v a l ue a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( in clu d in g t ru s t a s se ~s ) re p o r t i n g p~ ri o d o f re po rt i n g pe ri o d(I) (2 ) (I) (2) (I) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t T y p ~ ( e . g . , Val ue Va lue T y p e ( e . g ., Dat e Va lue 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 [ Code I di v. , ren t , C o d e 2 M e t ho d b uy , se l l , m m / d d h ! y C o d e 2 C o d e I buyer / se l l e r

i (A-It) or i n t . ) ( J- P) C o d e 3 r e d e m pt i o n ) ( J - P ) ( A - H ) (ifprivate~ ( Q - W ) t ransac t i on)

137. -Fidel i ty Canada M utual Fund A D i v i dend J1 3 8 . - F i de l i t y I n t l D i s c ov e r y M u t u a l Fu nd A D i v i dend J

139. -Fidel i ty Strategic Income M utual Fund A Divid end J1 4 0 . - F i de l i ty S m a l l Cap S t oc k M u t ua l Fu nd N o n e J14 I. -Fidel i ty Total Bond Mutual Fund A Dividend J1 4 2 . - Oakm ar k S e l ec t M u t u a l Fu nd A D i v i dend J1 4 3 .

144. Trust # 1, Surfe r Coun ty, CA A Distribution L W Distributed 02/22/10 M(par t)1 4 5 .

146 . Trus t # 2 (X) (See VII I ) : N one L W Distributed 05/04/10 M(par t)1 4 7 .1 48 . W E L L S F A R G O ( X ) :149. - Amer ican Ba lanced Fund Mutua l Fund A D iv idend150. -Capital Income Bu ilder M utual Fund A Dividend151. -Income Fund o f Amer ica M utua l Fund A Dividend1 5 2 . -Investment Company of American Mutu al A DividendF u n d153. -Cash A Int./Div.

K T B uy 05/05/10

K T B uy 05 /05 /10

K T B uy 05/05/10

K T B uy 05/05/10

K T B uy 05/05/10

K

K

K

K

K

I . Incom e G ain Codes: A -$ 1.00 0 or less B = $1,001 - $2 .5 00 C ~ $2,5 01 - $5 ,000 D =$5.001 - $15.000( Se C ol um n s B I a nd D4 ) F =$ 50 ,0 ~ I - $ 10 9, 00 0 G =$100.001 - $ 1.000.000 1 1 1 = $ 1 . 0 0 0 . 0 O I - $ 5 . 0 0 0 . 0 0 0 1 1 2 = M o r e th a n $ 5 , 0 0 0 . 0 0 0

2. Value Codes J = $15.0~ 0 or Ic~ s K = $15.001 - $ ,5 0.000 L = $5 0.0O I - $100.00~ M = SI 00.001 - $25 0. 000[S ee C olumns C I and D 3 ) N =$,250.001 - $500,000 O =$,500.001 - $1.000.0~O PI =$1.000.0OI - $5,000,000 P 2 = $ 5 . 0 O O , 0 0 1 - $ 2 5 , 0 0 0 . 0 0 0

P3 =$25.000.001 - $50,000.000 P4 = M o r e tha n $5 0.00~ .0003. Value Mlhod Codes Q - Appr a i sa l R = Co s t [ Rea l E s t a t e On l y ) S = A s s e s s m e m T =C as h Mar ket

( S ee C olumn C 2 ) U -13~ok Value V = O l h t ~ r W = E st i m a t ed

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


13/14


N a m e o f P e r so n R e p o r t i n g\ V h a le y , R o b e r t H .

D a t e o f R e p o r t07 /12/201 I

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicate part of report)Page 8 , L i ne 73 : D r ey f u s I n t em a t l B ond Fu nd CI I M u t u a l Fu nd s h ou l d h av e b een l i s t ed l a s t y ea r b u t w as i nad v e r l en t l y om i t t ed .Page 9 , L i ne 9 3 : F i de l i t y S m a l l Cap S t oc k M u t u a l Fu nd s h ou l d h av e b een l i s t ed a s s o l d on 1 2 - 2 8 - 0 9 b ut w as l i s t ed i n e r r o r a s an a s s e t .Page 9 , L i ne 9 5 : F i de l i t y Con t r a f u nd M u t u a l Fund s h ou l d h av e b een l i s ted a s s o l d on 1 2 - 2 8 - 0 9 b u t w as l i s ted i n e r r o r a s an a s s e t .Page 9 , L i ne 9 7 : F i de l i t y B a l anc e M u t u a l Fund s h ou l d h av e b een l i s ted a s s o l d on 1 0 - 2 1 - 0 9 b u t w as l i s t ed i n e r r o r a s an a s s e t .Page 1 2 , L i ne 1 4 6 : T r u s t # 2 s h ou l d h av e b een l i s ted p r ev i ou s l y b u t w as i nadv e r t en t l y om i t t ed . T h e t r u s t m ade a d i s t r i b ut i on i n 2 0 1 0 , w h i c h r e s ul t ed i n t h ec r ea t ion o f t h e Wel l s Fa r go ac c oun t a t Pag e 1 2 , L i ne 1 4 8 . T h e t r u s t w i l l be c l os ed du r i ng 2 0 1 I .


14/14

FINANCIAL DISCLOSURE REPORTP a g e 1 4 o f 1 4

IX . CERTIFICATION.

Name of Person Repor ting\V haley , Ro ber t H .

Date of Repor t07 /12/201 I

! c e r t i fy t ha t a l l i n fo rm a t i o n g i ve n a bo ve ( i n c l ud i n g i n fo rm a t i o n p e r t a i n i n g t o m y sp o use 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 ura t e , t rue , a n d c o m p l e t e t o t he be s t o f m y k n o ~v l e d g e a n d be l i e f , a n d t ha t a n y i n fo rm a t i o n n o t r e p o r t e d wa s wi t hhe l d be c a use i t m e t a p p l i c a b l e s t a t u t o ryp ro v i s i o n s p e rm i t t i n g n o n -d i sc l o sure .

I fu r t he r c e r t i fy t ha t e a rn e d i n c o m e f ro m o u t s i d e e m p l o ym e n t a n d ho n o ra 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 ve be 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 he p ro v i s i o 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 ud i c ia l C o n fe r e n c e r e g u l a t i o n s .

Signature : S] Rober t H. W haley

N O T E : A N Y I N DI VI D U A L W H O K N O W I N G L Y A N D W I L F UL L Y F A L S I F IE S O R F A L 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 J E C T T O C IV 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 04 )

C o m m i tt e e o n F i n a n c i a l D is c lo s u r eA d m i n i s t r a t iv e O f f i ce o f t h e U n i t e d S t a t e s C o u r t sSuite 2-301One Columbus Circle, N.E.W a s h i n g t o n , D . C . 2 0 5 4 4

robert h whaley financial disclosure report for 2010

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