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Committee on Financial Disclosure Judicial Conference of the United States One Columbus Circle, FIE Washington, D.C. 20544 Re: 2010 Financial Disclosure Report Dear Committee Members: Please note that the report that I am filing is for me alone our assets and tax returns separate, and I do not have access to any of his financial information.
Enclosed you will find an original and three copies of my Financial Disclosure Report for January 1, 2010 through December 31, 2010.
If the Committee needs any further information, please do not hesitate to contact me at~] Sincerely,
c:
Enclosures
Dlott, Susan J.
Report Required by the Ethics in Government Act of 1978 (5 U.S,C. app. ,~ 101-111)
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 NOTES: The instructions accompanying this farm must be followea~ Complete all parts,
checking the NONE box for each parl ~,here you have no reportable information. Sign on last pag~
I. POSITI ONS. tR,pnra, g individual only," ,ee pp. 9-13 of1"aing instr.ctioni )
[~ NONE (No reportableposithgns.)
POSITION
I. 2. 3. 4. 5. CO-PERSONAL REPKESENTATIVE
III. NON-INVESTMENT INCOME. tnepo,an~ individual andspouse; see pp. 17-24 of fdlng insrruc~Ons,)
A. Filers Non-lnvestmen| Income ~] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
were married during anj, portion of the reporting year, complete this ~aior~
IV. REIMBURSEMENTS (Includes those to spouse and dependent children; see pp. 2.L27 of filing imrructions.)
NONE(No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
2. 3. 4. 5.
4/27/2011
VALUE
2. 3. 4. 5.
~]
1. 2.
3.
4. 5.
VII. INVESTMENTS and TRUSTS - i,~o,~e, ~. transactions (Includes those of spouse and dependent children; aee pp. ,$4-60 O/]dlng in.~tr~ctions.)
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 (t) Amount Code I (A-H) C. Gross value al end of reporting period (?) Value Method Code 3 (Q.W) O) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) Dale Value mr~dd/yy Code 2 (J-P)
(2) (~) Type (e.g., Value div., rent, Code 2 or int.) (J-P)
BOND-GREEN OHIO INCOME TAX REb COMM. LEAILNING CENTER BOND-BLUE ASH OH SERV GARAGE & FIREHOUSE 3% DUE 11/I/10 3. 4. 5. TIME WARNER INC. BOND - KENTUCKY RURAL WATER FINANCING CORP 4.00% BOND - KENTUCKY ASSOC. OF COUNTIES FINANCING 4.250%
BOND - CINCINNATI OHIO CITY SCHOOL DISTRICT 5%, DUE 12/1/15
D C A B
M Matured l l/Ol/lO M
M N M M N J K M
Buy Buy
M N
D D
7.
BOND - FAIRFIELD & UNION LOCAL SCHOOL, 3.875%, DUE 12/1/12 CASH held in custodian at Johnson lnvenstmcnts ~
CASH held in custodian at Johnson Inveslemen~ ~ WomenS capital club partnership (2.5% onwership)) BOND - OHIO STATE UNIV GENERAL RECEIPT REV 5.00% BOND-LORAIN CO OH REV CATH HEALTHCARE 5.2% DUE 9/1/10 FIFTH THIRD BANK CHECKING ACCTS BOND - PORTAGE COUNTY OHIO GENERAL OBLIGATION LTD 4.00% BOND-LAKE OH LOCAL SCH DIST GEN OBLIG 5.35% DUE 12/01/1 SHS CHEVRON CORP SHS MICROSOFT CORF D A B c C A
Buy Matured
06f25110 M
05/21/10 i
09/17/10!
N M A
I Income Gain Codes: (See Columns B I and 2. Value C~dcs (See Co|umos C I and D3 3. V a h;,e (See Colu~ C2)
A =$1,000 or less -$50,001 - $100.000 =$15.000 or less N "$250,001 - $500,000 P3 =$25.0(10,01)1 Q =Appr ai.~] U =Book Value
E =$15,001 - $50,000
T ,~sh Market
12)
Value Method Code 3 (Q-W)
(1)
Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain mm/dd~ Code 2 Code I (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction)
B D A C C
TI
N
J L L
T
T T T
Buy (addl)
04/0]/10 K
21.
22.
CONOCOPHILLIPS
BOND-CLEVELAND OH WATERWORKS KEV I STMORT SERIES G 5.5% 2!)13 SHS PROCTER& GAMBLE CO
Matured (part)
01/01/I0
23.
Dividend None
T T
24.
SHSCISCOSYSTEMS
25.
A A B C A D D D C
J K L L
T T T
26.
27.
28.
- SHARES NOVARTIS AG ADR LAKEWOOD OHIO GEN 5.0% DUE 12/1/I 4 DATED 5/26/05 GAHANNA OHIO GEN 5.0% DUE
12/1118 DATED 9/I105 JACKSON OHIO LOCAL SCttOOL DIST 5.0% DUE 1211!16 DATED 4/2110 MENTOROHIO GEN 5.0% DUE 12/1/15 DATED 1011105
Sold M M M M
T T T T
10/19/10
I. lrtcome Gain ~odes (See Coleus BI a~ D4) [Set Colu~t CI and D3) 3. Value Metb~ C~ (S1 Col~n C2)
A =$1.000 or ~esx F =$50,~1 $1 ~,(~ N =$250,~1 - $5~,0~ P3 =I25,~.~ I $50,~.~0 Q =Appraisal U ~B~k Value
B =$ I,OOt * $2,5~ G =1 I~,001 - $1,0~,~ O -$5~.~1 - $1,0~,~ R ~o~l (Real Estate Only) V ~b~
E =$15,001
VII. INVES TMEN TS an d TRUS TS - i.co..e, .ol~e, ,.o.s.c~on, a.d.~,s ,hose o~" s~,o~ ~.~ ao,~n~e.I children; see pp. 34-60 of fdlng lngtrucdt}t~.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust asset~) Place "(X)~ after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code l (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (I-P) Code 3 (Q-W) M M M M L M L L L L L D. Transactions during reporting period (I) Type (e.g., buy, sell, ~edemption) (2) (3) (~) Date Value Gain mm/dd/yy Code 2 Code I UP) (A-H) (5) Identity of buyer/seller (if private transaction)
34. 35. 36. 37, 38. 39. 40. 41. 42. 43. 44. 45. 46. 47~ 48. 49. 50.
UNION COUNTY OHIO 4.5% DUE 12/I/14 DATED 7/1/05 UNIVERSITY OF cEqCINNATI GEN 4.0% DUE 6/1!12 DATED 311/05 BOND - OH]O HOUSING FINANCY AGENCY MORT REV,3.95%,DUE 9/1/15 OHIO STATE DEPT OF ADMIN SERVICES COP, 5%, DUE 9/1/I 1 PICKERINTONOHIO LOCAL SCHOOL, 4.125A, DUE 12/I/16 STATE OF OHIO INFRASTRUCTURE IMP, 4%, DUE 2/1/13 3M COMPANY SHARES CINCINNATI FINANCIAL CORP SHARES
DOMINION RESOURCES SHARES EMERSON ELECTRIC COMPANY
D C C D C C B C C B A A A A D A D
Inleresl I i Interest Interesl lnlerest Inlerest lnleres! Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Interest
Sold
041061 ] 0
SHS KELLOGG COMPANY BOND - STATE OF OHIO BLDG AUTH REV,5%, DUE 10/1/]7 SHS US BANCORP
OHIO MUNI ELECTRIC GENERATION AGENCY REV CALLABLE 2-15-14
Sold
10119/10
I. Income Gum Cad~:s: 1S Columns B I I~t IM) 2. Value Codes (See Columns C ) and D3) 3. V~lue M~thod Codes (Sec Column C2)
A =$1.000 or less F =$50,001 - $100,000 J =$15,000 or less N -1;250,001 - $500,000 P3 "$25,000.1~01 - 150,0~0,000 Q -Appraisal U "Book V~lue
13 -$1 ,DO] - $2,500 G =$100,001 - $1,000,000 K =$15,001 . $50,000 13 =$500,001 - 1;I.000,000 R ,-Cost tRial ~lat~ Only) V =O~her
C =$2.501 - $5,000 I11 =$1,000.001 - $5,000,000 L =$50.001 - 1;100,000 PI =$1.O00,OOt - $5.000,000 P ~More than $50~000,000 S =Ass(ssmen! W =Estimated
D ~$5,001 - $15,000 112 =More than $5,000,000 M --$100.001 -$250,000 P2 ~*~5,000,001 - ~25.000,000 T -4~a.sb Mark(~
VII. INVES TMENTS and TRU S TS - i.co~,~, vol.~, tro.~octio.s ana.,~$ r~o., of $~,o.. =n,~ *pe.de., children; ,~ee pp. 34-60 of fding instructions.}
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 (I) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int,) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) D. Transactions during reporting period (1) Type (e,g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm!dd/yy Code 2 Code 1 (I-P) (A-H) 15) Identity of buyer/seller (if private transaction)
51.
A A A B A A A A A A A A D
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest J J J K K K M T T T T T T T K K T T
J J K K L K
A A
52. CHESAPEAKE ENERGY CORPORATION 53. 54. 55. 56. 57. 58. 59. 60. 6 I. 62. 63. SHS - REPUBLIC SVS INC NESTLEA SPONSERED ADR SAFE~AY INCORPORATED GOLDMAN SACHS GROUP INC MANITOWOC COMPANYINC MINDRAY MEDICAL INTL LTD PEPSICO INCORPORATED PETROLEO BRASILEIRO - SA POLO RALPH LAUREN CORP TATA MOTORS LTD- SPNS ADR GREATER CLEVELAND OHIO P,GIONAL TRANSPORTATION AUTHORITY GNE MASON OHIO GEN 4% DUE 12/021/20 NORTH OLMSTED OHIOGEN. 5.250% DUE 1211/20 OHIO STATE HOUSING FINANCE AGENCY KEV 3.7% DUE 1211/16
D D
A
D D C
M M L
T T T
Matured (part)
09/01/10
Q =Appraml
S =~essment
T ~h M~k~
A. Description of Asse~ (including trust assets) Place "(X)" after each asset exempt from prior disclosure
(l)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(t)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(1)
Type (e.g.,
buy, sell, redemption)
(2)
(3)
(J-P)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
FPLGROUP INC VANGUARD MONEY MARKET RESERVES VANGUARD MONEY MARKET RESERVES
A A
Sold Sold
Sold
05/03/10 L 1 I126/10
11/29/10
C
A A
(pan)
L O
Beaverueek Ohio city school district 4.75% D DUBLIN OHIO CITY SCHOOL D1STR/CT FAC. 4.0% KENTON CTY. KY SCHOOL DISTRICT FINANCE 4.5% KENTUCKY STATE PROP AND BLDG. COMMISSION 5.0% D D D
M M M M M
L
T T
RISING SUN IN. SCHOOL BLDG. CORP. D 3.8% 75. 176. 177.
WALGREEN COMPANY GAMESTOP CORPORATION A
None
None None
J
Buy Sold 01/14/10 J 01/14/10 K
VALLEY FORGE COMPOSITE TECI-~OLOGY APPLIED MATERIALS, INC NORFOLK SOUTHERN CORPORATION
POTASH CORPORATION OF SASKATCHEWAN, INC
A A
A
Dividend
Dividend
Dividend
T T T T
82.
Dividend
83. NOVARTIS
Dividend
1. Income Gain Codes: ($e Columns B1 and D4) 2 Value Codts (See Colurans CI and D3) 3 Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 ~ ~$15.0~ o~ le~s N -5250.001 P3 =$25,000,001 - $50,000.000 Q -Apprai~l U ~Book Val,x:
=$15,001 - $50.000
T --Cash Market
VII. INVESTMENTS and TRUSTS - i.co,~e, ~ot.o, tr..~.cao,~ a~a~des ~,o, o,~,o~s, ..d ae~,o.~e., children; see pp. 34-~0 of filing instructions.)
V-] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after e~ch asset exempt from prior disclosure B. Income during reporting period (I) (21 Amount Type (e.g., Code I div., rent, (A-|I} or intO C. Gross value al end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (q-w) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Valve mrrddd/yy Code 2 (J-P) (5) ldentily of buyer/seller (if private transaction)
$4. 85. 86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
SHS - JOHNSON AND JOHNSON GS FINLSQ MMKT INSTL ARCHER DA~NrlELS MIDLAND BP PLC SPONS ADR DPL INC GS FINL SQ MMKT [NSTL APPLE INC AMDOCS LTD HASBRO INC INDUSTRIAL SECTOR SPDR ISHARES MSCI EAFE INDEX ISHARESTR MSCI EMERGING KROGERCOMPANY COMMON MEDTRONIC INC NYSE EURONEXT PETMEDEXPRESS INC
A A B A A A B A A
Dividend None A A B A Dividend Dividend Dividend Dividend None None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J K K K K K T T T T T T T T
K L L K T T T T Sold
Buy (addl)
Sold Sold
L J J A A
01/14/10
L J
10/28110
01/29/10 !
I Income Gain Codes: (See Columos B 2. Value Coder (See Columns C1 and D31 ] Value MetbodC~e~ [See Cdumn C2)
~S I ,O0~ or -$15,000 or le~s -$250,001 . $500,000 P3 -$25,00~,001 - $50.00~,000 -Appraisal ~Book V~lue
D ---$~,001 - $15,0~0 1t2 -Mor~ than M =$10O,001 - $250,0Q0 P2 =$5.000.001 - $25,0~,000 T =C~E Mark~"
$50,001)
VII. INVESTMENTS and TRUSTS - i .... o, value, transactions (Includes those of spouse and dependen~ children; see pp. 34-60 of filing instructions.}
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assels) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code ] (A-H) (~) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (0 Type (.g., buy, sell, redemption) (2) Date mm/dd!yy (3) (4) Value Gain Code 2 Code I (J-P) (A-H) (5) Identib, of buyer/seller (if private transaction)
101. PORTFOLIO RECOVERY ASSOCIATE 102. SUNCOR ENERGY INC 103. AT&T INC. 104. FEDERATED MUNICIPAL CASH TRUSI , 105. CONSTELLATION BRANDS INC CL A 106. VANGUARD SHORT TERM INVESTMENT GRADE FUND 107. VANGUARD SHORT TERM INVESTMENT GRADE FUND 108. WORLDCOM, INC, 109. SHS - CONOCOPHILLIPS 110. SHS - DOMINION RESOURCES 111. SHS - EMERSON ELECTRIC COMPANY 112. MICROSOFT CORPORATION l 13. NESTLE S A SPONSORED ADR 114. SHS - SAFEWAY INCORPORATED 115. PROCTER & GAMBLE COMPANY 116. THOR.NBURG INTERNATIONAL VALUE FUND 117. ,1OHNSON FIXED INCOME FUND
E A A A A A A A A A A A A B A
Norse
Sold
K K T T
06/10/10 K
Dividend Dividend Interest None Dividend Distribution Distribution Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Distribution
K O
T T
Buy
01/14/10 K
Sold
J J J J T T T T
12/07/10 .1
Sold
,1 J T T
04/06/10 J
E =$15,001 (See Columns BI and ~) 2. Value C~s ~e Columns CI and D3) " 3 Value Meth~ C~es (See Col~ C2) F =$50,~1 - $1~,~0 J =$15.~ ~ less N ~$250,~1 - $5~,~ P3 -$2~,~,~1 - $50.0~.~10 Q ~Appraisal U ~B~k Value G =$1~,~1 - $1.~.~ K =~15.~1 - $50,0~ O ~$~.001 - $1.0~.~0 R ~osl (Real f~tale Only) V ~her Itl =$1,~0,001 - $5,~,0~ L =$50,001 - ~100,~ PI =$ I.~.001 - $5,~,~ P4 =More ~ $50,~,0~ S =Assessmenl W ~E~imated 1t2 =M~e than $5,0~.~ M ~$100,001 - ~250,0~ P2 =$5,~,~1 - $25,~,~ T =C~h Markel
(2) Value
Method Code 3
(2)
Type (e.g., buy. s~ll, redemption)
Date
(3)
Val~e
(4)
Gain Code I
(5)
Identity of buyer/seller
mm/dd/y~j Code 2
(A-H)
or int.)
(J-P)
(A-H)
(Q-W)
Buy
I~ =$15,001 .
(Sc Columns ~1
U =B~k Value
V ~her
W =Estimated
Date of Report
412712011
! 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 thai earned income from outside employment and honoraria and the acceptance of gilts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 el. seq., 5 U.S,C. 7353, and Judicial Conference regulations.
Signal
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE TltlS 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