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Report Required by the Ethics in Government Act of 1978 (5 U.S.C app. 101-111)
5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NO TES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
2. 3. 4. 5.
Pallmever, Rebecca R.
III. NON-INVESTMENT INCOME. mcponlng indlvidual and spouse; see pp. 17-24 of f!llng instructions.)
A. Fliers Non-Investment Income
~ NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
INCOME
(yours, not spouses)
1. 2010 2. 3. 4.
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
[]
DATE
1. 2010 2. 1/13/10 3. 1/25/10 4.2/18/10 5.3/31/10 6. 5/31/10 7. 8/31/10 8.9/03/10 9. 9/21/10
SOURCE AND TYPE Northwestern University Salary Honorarium: University of Minnesota ($500.00) Royalty: Oxford University Press Royalty: John Wiley & Sons Honorarium: St. Olaf College ($600.00) Royalty: American Psychological Association Royalty: Guilford Press Royalty: John Wiley & Sons Royalty: Guilford Press
LOCATION
Santa Fe, NM
PURPOSE
Panel Member - Seminar
I.
3. 4. 5.
V. GIFTS. ancludes those to spouse and dependent children; seepp. 28-31 of f!ling instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.)
CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
+, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
Gioss value at end .... Income during reporting period of reporting period (1) (1) (2) (1) ......... (2): :: Amount Type(e.g., Value Value.- -- Type (e.g., Code t Code 2 Methrd: !my,~ell, div.,rent~. code 3: iedemptinn) (A:H). . or int.) . Q~P) (Q-W) A A A Interest Interest Interest None A A A A A A A A B Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend K J K K K T T T T T T Buy Buy Buy K J T T
Sold
Transactions during reporting period (3) ~ (a) (2) Value Gain Date mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
I. 2. 3. 4. 1 5. 6. 7.
Checking Account: Chase, Evanston, IL CD: Chase, Evanston, IL Money Market Accounts: Chase, Evanston, IL TIAA-CREF Metropolitan Life Eaton Vance Tax Mgmt Emerging Market Instl. Fidelity Advisor Leveraged Co. Stk. CI.I
J J M O T T T
Sold
10/05/10 J
8. Harbor Bonds Ins. 9. I0. 11. 12. 13. 14. 15. 16. I Shares S & P Index Fund I Shares TR MSCI. Eafe. Index Fund Market Vectors ETF TR. Global Alternative Energy Keeley Small Cap Value Class A American Funds New World Fund A
10/05/l 0 K
Sold Sold
10/05/10
A A
10/05/I 0 J
Prime Fund Capital Reserves Money Market A Doubleline Total Retum Bond FD CL 1 Oppenheimer Intl Bond FD CL Y A A A
A ~$i;~00 6~ i6~
(S~e Columns B I ahd I)4) ....... ~$50;~6i ~ ~i00;006 .... ~ 2. Value Codes J =$15,000 or less (See Columns CI and D3) N =$250,001 -$500,000 P3 --$25,000,00i ~ $~0~000,000 3. Value Method Codes Q =Appraisal (See Column C2) U =Book Value
B =si;100i ~ $2~500 G --$i00~00i ~ $ii0001000 K =$15,001 ~ $50,000 0=$500,001 - $1,000,000 R =Cost (Real Estate Only) X( =Other
C --$2;501 : S5,000 ~ $5i000,000 L =$50~001 -$100,000 PI =$1,000,001 -$5,000000 P4 =MOre than $50,000,000 S =Assessment W =Estimated
D =S5,001 - $15,000 1-12 =More than $5~000;000 M =$100,00] -$250;000 P2 =$5,000,001 ,$25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVES TMENTS and TRUSTS - income, value, ,rans~etlons anel~des those olspouse and dependent children; see pp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place"(X)!~ after each asset exempt from prior disclosure B. Income during reporting period : (11 Amount Code 1 (A-H) (2) "type (e.g., div., rent, or int.) C. Gross value at end of reporting period : (2) (1) Value Value Code 2 Method (J-P) Code3 .... (Q-W) D. Transactions during reporting period (1) Type (~.g., buy, sell, redemption) (2) (3) (4) Date . Value I Gain ,., : mngdd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
Pimco Commidty Real Return Inst. Principal High Yield CI A RS Partners Fund CI Y T Rowe Price Real Est. Fund Dodge & Cox Income Prosp; Doubleline Core Fixed Income C1 1
A A A A A A
J K J J J J
T T T T T T
J K J J J J
C =$2,501 - $5,000 : (See Columni B Fand D4): 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) ~ F =$50,001 - $100;000 J =$15,000 or less N =$250,001 -$500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value G =$~00,001 - $1,000,000 K =$15,001 - $50;000 O=$500,001 - $I,000,000 R =Cost (Real Estate Only) V =Other 1-11 =$1;000,001- $51000,000 L =$50,001 - $I00;000 P 1 =$ I ;000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 E =$15,001 - $50,000 H2 =More than $5,000,000 ..... M -$100,001 - $250,000 P2 =$5,000,001 - $25,000,000
T =Cash Market
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544