finncial disclosure report report required by the ethics ... · modiicions petaining thereto, it...

___________ _ Date ____ _

TERMS

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Report Required by the Ethics FINANCIAL DISCLOSURE REPORT A0-10 in Government Act of 1978

Rev.1/2004 FOR CALENDAR YEAR 2004 (S U.S.C. app. §§ 101-111)

l. Person Reporting (Last name, First name, Middle initial)

BENNETI, MARK W

2. Court or Organization

USDC/Northem District oflowa

3. Date of Report

8/1212005

4. Title (Article III Judges indicate active or senior status;

magistrate judges indicate full- or part-time)

Chief Judge

5. ReportType (check appropriate type)

0 Nomination, Date

0 Initial @Annual 0 FinaJ

6. Reporting Period

1/1/2004

to 12131/2004

7. Chambers or Office Address

313 United States Courthouse

320 Sixth Street

Sioux City, IA 51101

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

ORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part

ere you have no reportable information. Sign on last page.

L POSIDONS. (Reporting individual only; see pp. 9-13 of:filing instructions)

NONE - (No reportable positions.)

POSmON NAME OF ORGANIZATION/ENTITY

1.

(Reporting individual only; see pp. 14-16 of filing instructions) IL AGREEMENTS.

NONE - (No reportable agreements.)

PARTIES AND

1.

CJ

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DESCRIPTION

8/1212005

3.

4.

Name of Person Reporting FINANCIAL DISCLOSURE REPORT Date of Report

BENNETT, MARK W

ID. NON-INVEST1\1ENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instructions)

A. Filer's Non-Investment Income

D NONE - (No reportable non-investment income.)

l . 2004

SOURCE AND TYPE

Aspen Publishing

GROSS INCOME (yours, not spouse's)

$4900

B. Spouse's Non-Investment Income - (If you were married during any portion of the reporting year, please complete this section. Dollar ·amount not required except for honoraria)

NONE - (No reportable non-investment income.)

SOURCE AND TYPE

1.

IV. REJMBURSE1\1ENTS - transportation, lodging, food, entertainment

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

0 NONE - (No such reportable reimbursements.)

SOURCE

1. FJC's Strategic Planning Workshop, Redondo Beach, CA 1/11-1114 airfare, lodging, meals

2. FJC's National Case Weighting Meeting, San Antonio, TX 1/28-1/30 airfare, lodging, meals

Ninth Annual Employment Practices Liability Insurance 212-2/3 airfare, lodging, meals Conference, New York, NY

Courthouse Design Meetini ·aosiOil; M:as5- - 213-2/4 airfare, lodging, meals

S. Courthouse Design Meeting, Boston, Mass 2/16-2/17 airfare, lodging, meals

6. Employmet Discrimination Course, Drake University 2129-3/2 mileage, lodging, meals School of Law, Des Moines, IA

9.

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

BENNETT, MARK W 8/1212005

IV. REl1\.1BURSEMENTS - transportation. lodging, food, entertainment.


0 NONE - (No such reportable reimbursements.)

SOURCE DESCRIPTION

7. EEO Committee Mid Winter Meeting, Rancho Mirage, CA 3/24-3/28 airfare, lodging, meals

8. Conference for Chief United States District Court Judges, 3128-3/31 airfare, lodging, meals Washington, DC

Employment Discrimination Course, Drake University Law 4/3-4/4 mileage, lodging, meals School, Des Moines, IA

10. Courtroom Design Commissioner's Meeting, Washington, 4/19-4/21 airfare, lodging, meals DC

11. Pacific Coast Labor and Employment Law Conference, 5/12-5/15 airfare, lodging, meals Seattle, WA

12. Upper Midwest Employment Law Institute, St Paul, MN 5125- 5121 airfare, lodging, meals

13. NELI 2004 Employment Litigation Workshop, San 6/10-6/13 airfare, lodging, meals Francisco, CA

14. Defender Services Committee Meeting, Washington, DC 6/13-6/16 airfare, lodging, meals

15. Courthouse Art in Architecture Meeting, New York, NY 6/21 -6/23 aiJfare, lodging, meals

16. Texas Bar Association Annual Meeting, San Antonio, TX 6124-6125 airfare, lodging, meals

17. Courthouse Design Meeting, Cedar Rapids, IA 6/27-6/28 airfare, lodging, meals

18. EEOC Speech on 40th Anniversary of Title VII 6/29-6/30 airfare, lodging, meals

19. Eighth Circuit Judicial Conference 7/12-7/15 airfare, lodging, meals

20. Courthouse Design Meeting, Cedar Rapids, IA 7/19-7/20 airfare, lodging, meals

21. FJC National Workshop for District Court Judges, Seattle, 9/19-9/22 airfare, lodging, meals WA

22. Courthouse Design Meeting, Cedar Rapids, IA 10/31-11/ 1 airfare, lodging, meals

23. Federal Death Penalty Defense Strategy Session, Salt Laite 11/4-1117 aiJfare, lodging, meals City, Utah

24. Akron Bar Association CLE!reaching Fellowship, Akron, 11/10- ll/13 airfare, lodging, meals Ohio

DESCRIPTION

IV. REIMBURSElVIENTS -- transportation. lodging, food, entertainment.


0 NONE (No such reportable reimbursements.) -

SOURCE

25. 12/7-12/11 airfare, lodging, meals Biscayne, FL

26.

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

BENNETI, MARK W

Meeting of Committee on Defender Services, key

Date of Report

8/12/2005

FffiANCIAL DISCLOSURE REPORT Name of Person Reporting

BENNETI, MARK W


(No such reportable gifts.)

DESCRIPTION

(Includes those of spouse and dependent children. See pp. 32-34 of instructions.)

(No reportable liabilities.)

DESCRIPTION

Date of Report

8/12/2005

VALUE CODE

V. GIFTS.

NONE -

SOURCE

1.

VL LIABnnIES.

NONE -

CREDITOR

1.

A B

G·

K

N 0

It" disclosure

(4)

c E'

L M

(e.g.

int)

c. D.

(I) (2)

FINANCIAL DISCLOSURE REPORT

Page 1of8 Name of Person Reporting

BENNETI, MARK W

Date of Report

8/1212005

VIl. INVEST1\1ENTS and TRUSTS - income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A. B. Transactions during reporting period Income during Gross value at end of

Description of Assets reporting period reporting period (including trust assets)

not exempt from (!) (2) (I) (2) (3) (5)

Place "(X)" after each asset exempt Amount Type Type (e.g. Date: Value Gain Identity of Value Value from prior disclosure buy, sell, Month- Code2 Code buyer/sellerCode2 MethodCode 1 div. rent or

(A-H} merger, Day (J-P) 1 (A- (if private (J-P} Code3 redemption)(Q-W) transaction)m

DNONE (No reportable income, assets. or transactions)

l. Mutual Funds (IRA)

2. Aim Health Sciences Fund Inv. Class** See Notes None J T

3. American Century Small Cap Value fund Inv Class None Sell

4. Bjunnan Micro Cap Growth A Dividend K T Buy

5. Reinvest

6. Buffalo Small Cap Fund A Dividend J T Buy

7. Buy

8. Reinvest

9.

10 .. Excelsior Value and Restructuring Fund A Dividend J

..

T

Reinvest

Buy

11. Reinvest

12. Reinvest

13. Reinvest

14. Reinvest

15. Henlopen Fund A Dividend J T Buy

16. Buy

17.

18. · --· · . .. --· ··· - - ··· · - · ·

Invesco Health Sciences Fund Investor Class** See Notes

---None

Reinvest

112 J D

115 J

12/16 J

115 J

1120 J

6/18 J

12120 J

118 J

4/13 J

6/28 J

10/13

12121

115 J

1123 J

12129 J

L Income/Gain Codes-: = $1,000-orless · = $l;OOl"S2;500· = s2,501-ss;ooo- o· = S5,00l Sl5,000 · = $15;001.SSO,OOO·

(See. Columns Bl andD4} F = $50,00J.UOO;OOO. = $lOO;OOI.$1,000,000 HI = $1;000,001-$5;000;000 H2 = More than $5,000,000

2. Value Codes: J = $15 ,000: or less: =$15;001-$50;000' = $50,001-$100,000 = Sl00,001"$250;000:

(SecColunms CI andD3) = $250,000-SSOO;ooo• = $500,001-$1,000,000. Pt = $1,000,001-$5;000,000 P2 = $5,000,001-$25,000,000

P3 = s25,000;001 s50;000;001l P4' =$More than $50,000;000 ·

3. ValueMethodCodes Q = Appraisak R = Cost.(Real.Estate Only) S-. =Assessment. T =Cash/Market

(SeeColwnnC2) u = BookValue. v = Other W · = Estimated

B.

If

(3) (4)

A: R c E

G

N

Q s

w

Estate Only)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page2 of8 BENNETI, MARK W 8/12/2005

VII. INVESTMENTS and TRUSTS - income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 offiling instructions.)

A.

Description of Assets (including trust assets)

Place "(X)" after each asset exempt from prior disclosure

19. Janus Global Technology

Income during reporting period

(1) (2)

Amount Type (e.g. Code I div. rent. or (A-H) int.)

None

c. Gross value at end of reporting period

(1) (2)

Value Value Code2 Method (J-P) Code3

(Q-W)

D. Transactions during reporting period

(I) not exempt from disclosure

(2) (5) Type (e.g. Date: Value Gain Identity of buy, sell, Month- Code2 Code buyer/seller merger Day (J-P) 1 (A· (if private redemption) m transaction)

Sell 1/26 J A

20. Janus Twenty Fund None Sell 115 J A

21. Pimco RCM Biotechnology Class D None J T Part Sale 1/21 J D

22. Part Sale 11117 J c

23. Rainier Small/Mid Cap Equity Portfolio A Dividend J T Buy 1/27 J

24. Buy 1/28 J

25. Reinvest 12115 J

RS Internet Age Fund 26 . . None J T Buy 115 J

21:

28. TCW Galileo Value Oppty A Dividend J T

Buy 1/23 J

Reinvest 12117 J '

29. Wasatch Core Growth Fund A Dividend K T Part Sale 1/21 J D

30. Reinvest 10/15 J

31. Reinvest 12/17 J

32. Reinvest 12/31 J A

33. Wasatch Global Tech Fund None J T Buy 1/26 J

34. Stocks (IRA)

35. Antex Biologics New None Sell 212 J A

36. Cryotech Indus. CL A

·-·--·-·· ·· -·· -··· -

None

--··

Sell 212 J A

l. Iilcome/Gain Codes: = $1,000 odess. = $1,001-$2,500· = $2,50l-S5,000:· D· = ss;oo 1-s1s;ooo · =Sl5;001 s50;000

(see: Columns Bl and.D4) F· =·sso oo1�uoo;ooo: = Sl00,001.-$1,000,000 · m· =s1;000;00Ms;ooo,ooo H2' =More: than $5;000,000

2; Value Codes: J = $15;ooo·orless· K = $15;001-$50,000· L = $50,001-$100;000 M = SJ00,001-$250,000

(Set Columns CI• andD3) = $250;000-$500;000 0 = $500;001-$1,000,000' Pr =$1,000;00l-$5;000,000 P2 = SS;OOOcOOl-$25,000,000

P3 = $25,000;001-$50;000;000' P4'' =$More than SS0,000,000.

3. ValucMethodCodcs = Appraisalc =Cost (Real.R = Assessment· T =Cash/Market

\SccColmnnC2) u =Book.Value v =Other = Estimated·

If

. ..

-

..

B• =Sl;OOI-$2;500"

FINaNCIAL DISCLOSURE REPORT Date of ReportName of Person Reporting

·Page 3 of8 BENNETI, MARK W 811212005

Vll. INVESTMENTS and TRUSTS - income. value. transcations (includes those of the spouse and dependent children. See pp. 34-57 offiling instructions.)

A. B. c. D. Income dilling Gross value at end of Transactions during reporting period


(1) (2) (I) (2) (l) not exempt from disclosure


37. General Electric Company

38.

39.

40.

41. Hilton Petroleum Ltd.

42. JDS Uniphase Corporation

43. Michael's Stores

44.

45.

46.

47.

48.

49. Microsoft Corp.

50. Nautilus Group, Inc.

51.

52.

53. Netratings Inc.

54. Oracle Corporation -· - -·

Amount

Code I

(A-H)

A

A

A

Type (e.g. Value Value

div. rent. or Code2 Method

inL) (J-P) Code3

(Q-W)

Dividend

None

None J T

Dividend J T

None

Dividend

None

None

(2) (3) (4) (5) Type (e.g. Date: Value Gain Identity of buy, sell, Month- Code2 Code buyer/seller merger. Day (J-P) I (A- (if private redemption) m transaction)

Reinvest 1127 J

Reinvest 4127 J

Part Sale 5/12 J c

Sell 7/19 J c

Sell 212 J A

Part Sale 1/20 J D

Reinvest 212 J

Reinvest 513

Reinvest 8/2 J

Part Sale 9/20 J c

Reinvest 11/1 J

Sell 1120 J D

Part Sale 1/2 J D

Reinvest 3/11 J

Sell 4/6 J c

Sell J c

Sell 1121 J c

l. Income/Gant Codes:. A,• = Sl,OOQorless· c· =$2;501-$5,000. D =S5,001-Sl5;ooo K =$15,001-SS0,000•

(See Cohmms Bl and 04)' F· = $50;0014100,000• G =S100,001-s1.ooo;ooo• Hl- = $l;000,0014MOO,OOO H2 =More than•$5;000,000

Codes: r. =Sl5;ooo.or!ess. K" = $15;001-$50;000 L =$50,00JcSIOO,OOO2. Value.. M, =SI00,001-$250,000

(See·CollllllilS.Cl and·D3)· N. =$250;000-'$500,000• o =$500;001-sr;ooo,ooo Pl =s1.ooo,oor ss;ooo;ooo n =S5;000,001-sis;ooo;ooo

PJ $25,000;001-S50,000;00<f· P4 =$More than•S50.000,000=

3. ValueMethodCodes. Q = Appraisal· R = Cost.(Real-Estate Only) S· =Assessment< T =Cash/Marlcet

(See ColumnC2) U =Book Value V =Other w. = Estimated

It disclosure

(3) (4)

..


.Page 4 of8 BENNETI, MARK W 8/12/2005

VII. INVESTMENTS and TRUSTS --income, value. transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A.


Place "(X)" after each assei exempt from prior disclosure

55. Price Legacy Corp.

56. RCN Corporation

57. Southmark Corp. New

58. Surebeam Corp.

59. Symons International Grp:

60. Titan Corp

6L Vertical Computer Sys.

62. Williatns Companies

63. Schwab Money Market Fund (IRA)

64.

65.

66.

67.

68.

69.

70.

71.

72.

B. Income during

reporting period

(!) (2)

Amount Type (e.g. Code 1 div. rent. or (A-H) int)

None

None

None

None

None

None

None

None

A Dividend

c. D. Gross value at end of Transactions during reporting period reporting period

(1) (2) (I) not exempt from

(2) (5)

Value Value Type (e.g. Date: Value Gain Identity of Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (J-P) Code3 merger, Day (J-P) 1 (A- (if private

(Q-W) redemption) H\ transaction)

Sell 1/2 J A

Sell 1/2 J A

Sell 2112 J A

J T

Sell 2/2 J A

Sell 1/20 J B

Sell 2/2 J A

Sell 1/2 J c

J T Part Sale 1/6 J A

Buy 1/8 J

Part Sale 1/9 J c

Part Sale 1/21 J c

Buy 1/23 J

Buy 1/26 J

Part Sale 1/27 J D

Part Sale 1/28 J D

Part Sale 1/29 J B

Buy 2/6 J

l: Income/Gain Codes: A· =$1;000' odess·• B = $1;001-S2,500 C = $2;501"$.5;000•· D · = SS,001-$15;000 Ei =Sl5;001-$50,000"

(See Columns Bl and 04} F = $50;00 l-$100;000 G =·$100;001-Sl;OOO;OOO. Hb = Sl;OOO,O(H-SS;000,000 H2 =More than $5;000,000

2. Value Codes: l =$15,000-orless· K =SlS;OOl-$50;000 L =$50,001-$100;00(}. M" = SI00;00!-$250,000'

(SeeColumns Cl and.DJ) N· = $250;000,.$500,000' o =SSOO;oo1-n,ooo,ooo Pl =Sl,000,001'-$5;(}00,(}00 P2 =S5,000,00h$25,(}00;000

PJ = $25;000;001-$50;-c>OO;OOO• P4•' =$More than SS0,000,000

3. Value Method Codes• Q =Appraisal, R = Cost(Real.Estate.Only) S =AssesSlllelll; T = Cash/Marlcct

(See Column C2) U =Book Value. V =Other W =Estimated

L A

E

J

u

(!)

B

If disclosure

(3)


Page 5 of8 8/12/2005

VIL INVESTMENTS and TRUSTS - income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

BENNETI, MARK W

A.



B. Income during

reporting period

(2)

Amount Type (e.g.

Code 1 div. rent. or (A-H) inl)

c. Gross value at end of reporting period

(1) (2)

Value Value Code2 Method (J-P) Code3

(Q-W)

(1)

Type (e.g. buy, sell, merger, redemption)

D. Transactions during reporting period

not ex.empt from

(2) Date: Value Month- Code2 Day (J-P)

(4)

Gain Code I (A-R\

(5)

Identity of buyer/seller (if private transaction)

73. Buy 4/13 J

74. Buy 5/18 J

75. Buy 7123 J

76. Buy 7127 J

77. Part Sale 8/31 J c

78. Buy 9124 J

79. Buy 10115 J

80. Buy 12126 J

81. Part Sale 12131 J

82. Non 1RA Assets and Investment Activity

83. ANTI{ None J T

84. Cisco None J T

85. Dresdner RCM Biotech None J T

86. Janus Mercury None J T

87. JDS Uniphase None J T

88. Michael's Stores, Inc. None J T

89. Price Legacy Corp. None J T

90. Strong Blue Chip .. . .. -···-· -

None ..

J T

Income/Gain Codes: =·$1·,000:odess:. = Sl;OOl-$2,500 c: =$2,501-SS;OOO< D" =SS,001:.SIS;ooo E. =Srs;oot-SSO;OOO··

(See Cohmms Bl· andD4} = SSO;OOJ:.Sl OO;OOO:' G = s100;001-sr;ooo.ooo Ht: = St;OOO,OOl"SS;ooo.ooo H2" = MOJ'C'than.SS,OOO;ooo

2. Value-Codes: =·S15;000or:less. K = ns;OOMS0,000 L =SS0,001-SIOO;OOO M = SI00,001-$250,000

(See'Col111DDS.CI and.D3) N•i = $2SO;OOQ;.S500',000· 0 = ssoo;oo1-s1;000,ooo· Pl = s1;000.001:.ss.ooo,ooo· PZ· = ss;ooo;oo1-s2s;ooo;ooo ·

P3 . . = $25,000;001'-$50;000;000- P4· =$More than$50;000;000

3. Value Method.Codes Q = Appraisal R = Cost(Real.EStateOnly) S · = Assessment r = Cash/Market

(See ColumnC2) =Book Value. v =Other. W =Estimated•

F

Q

B•

G-

K

0

It disclosure

T

-

L

s

(5)

FINA,.NCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

,Page 6 of8 BENNETI, MARK W 8/12/2005

VII. IN'VESTlVIENTS and TRUSTS -income, value. iranscations (includes those of the spouse and dependent children. See pp. 34-57 offiling instructions.)

A.



91. Surebeam Corp.

92. Wasatch Core Growth

93. WasatchUltra Growth

94. Williams Co's Inc.

95. Miscellaneous Holdings

96. Iowa College Savings Account- Mark Bennett custodian

n Iowa College Savings Account . custodian

98. . CKG ACCT; Fidelity, Boston MA

99. Norwest Checking Account

100. REINSURANCE AGREEMf; 1st Colony Life Ins. Co.

101. Belcour Pension Invest VI

102. LMTD PTRSHIP; Riverfront Ass'n; Des Moines,

103. LMTD PTRSHIP-Shearson Senior Income Fund

104. LMTD PTRSHIP-Shearson Coast Savings

105. LMTD PTRSHIP-Caryle Real Estate

106. RESIDENTIAL LOT; Sioux City, IA

107.

108. Berkshire Hathaway Inc DEL CL B

B. Income during

reporting period

(1) (2)

Amom1t Type (e.g. Code l div. rent. or (A-H) int)

None

None

None

None

None

None

B Interest

A Interest

None

None

None

None

None

None

None

None

c. D. Gross value at end of Transactions during reporting period reporting period

(1) (2) (1) not exempt from

(2) (3)

Value Value Type (e.g. Date: Value Code 2 Method buy, sell, Month- Code2 (J-P) Code 3 merger. Day (J-P)

(Q-W) redemption)

J T

J T

J T Part Sale J

J T

J T Contribute J

J T Contribute J

K T

J T

M w

]

] w

] w

J w

J w

K w

K T

(4)

Gain Identity of Code buyer/seller l (A- (if private m transaction)

B

L Income/Gain.Codes:. A = $1;000 or-less·• =$1;001-$2;500 c = $2,501-SS;OOO· n,, = ss;oo1-s15;000 E = $15,001-$50;000·

(SeecColwnnsBl andD4) = $50 001-$100;000 =$100;001-$1,000,000. HF= $1,000,0(H $5;000;000; H2:=More tbam$5;000;000'

2: VillueCodes: J =Sl5;ooo or less =S15;001-s5o;ooo = $50,001-$100;000 M' =SIOO;O<tM250,000:

(SeeColumnsCI andD3) N = $250;!)0�500,000• =$500;001-$1,000,000· PL = $1,000;00J-SS;ooo,ooo• P2. = $5,000.00l-$25,000;000

P3 = S25,000;00lcS50,000,000! P4• =$More than S50,000,000

3: Value-Method Codes. =Appraisat R = Cost. (Real Estate Only) = Assessment .. T =Cash/Market·

(SeeColwnn C2) u =Book Value. v =Other W =Estimated.

F·

N

B.

R

G

K

0

R

It from disclosure

(4) (1) (2)

= S50oioo1-sr;ooo,ooo ·

(2)

R = SIS,001-$50;000


. .Page 7of8 8/1212005BENNETI, MARK W

VII. INVESTMENTS and TRUSTS - income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions.)

A. c. D. Income during Gross value at end of Transactions during reporting period


not exempt (2) (l)(1)

(3) (5) Place "(X)" after each asset exempt Type (e.g. Date: Identity of Amount Type (e.g. Value Value Value Gain from prior disclosure Code 1 div. rent. or Code2 Method buy, sell, Month- Code2 Code buyer/seller

merger. Day(A-H) int) (J-P) Code 3 (J-P) 1 (A- (if private (Q-W) redemption) Tot\ transaction)

109. FBR Small Cap Class Buy 1/8 J

1120 Jl lO. Buy

Reinvest 12/17 Jl ll.

112. Fidelity Cash Reserves A Dividend J T

113. Fidelity New.Millenium None K T Part Sale 12123 J c

114. Fidelity Select Biotechnology None J T Part Sale 12123 J

Part Sale 12130 J115.

116. Fidelity Select NWK & Infrastructure None J T Buy 1120 J

117 Fidelity Structured Large Cap Value Fund None· J T Buy 12123 J

118. Gradco Systems Inc. *** See Notes None J T

International Business Machine A Dividend J T119.

120. Matthews Pacific Tiger Fund J T Buy 12131 J

121. Oakmark Equity & Income FD A Dividend J T Reinvest 1219 J

Part Sale 12130 J A122.

The Olstcin Financial Alert Fund L T123.

124. PBHG MID CAP Value None K T Reinvest 12/8 J

125. Surebeam Corp. *** See Notes None

Wasatch Core Growth A Dividend K T126. -·

l . . Income/Gain COdes: A = S1;000:or:leS&< =$1 00.l-$2;500•' c =·s2;so1..S5;000 o =ss,001-ns,ooo•

(SCeColimms.Bl and D4) =$50 001'-SlOO;OOOc =·$100,001-SJ.OOO;OOO· HL = s1,aoo;0<>1-$S,OOO,OO(). H2 =MOre thm$5,000,000

2. Value. Codes: J =Sls;ooo·or:Jess =$15,001-SS0,000' L =$50,001 $100,000 M =$100,00l'-$250,000

(SCe•.Colmnns CI and 03) = $250;0001-SSOO;OOQ Pt = sr,000,001-Ss;ooo,ooo P2 = S5,ooo,001'-S25;000;000

P3··=S2S,000;001 $50;000;000 P4' =$More.thanS50,000;000'

J. Value Method Codes Q =Appraisal·. = Cost (Real Estatc.OnJY): S. = Assessment T· = CashlMarket

(See Colmnn C2) u =Book.Value·•· v =Other- W =Estimated

F

disclosure i (2)

Q =Appraisal ·

(2) (5)


Page 8 of8 BENNETI, MARK W 8/1212005

VIL INVESTlVIENTS and TRUSTS -income, value, transcations (includes those of the spouse and dependent children. See pp. 34-57 offiling instructions.)

c.B. D.A. Income during Gross value at end of Transactions during reporting period


If not exempt from (I) (1)(2)(1)

(3) (4) Place "(X)" after each asset exempt from prior disclosure

127.

128. Wasatch Small Cap Value

129. Weitz Value

130.

131.

Amount Code 1 (A-H)

A

Type (e.g. div. rent. or int.)

None

Dividend

Value Code 2 (J-P)

K

Value Method Code3 (Q-W)

T

Type (e.g. buy, sell, ·

merger, redemption)

Reinvest

Part Sale

Part Sale

Reinvest

Sell

Date: Value Gain Identity of Month- Code2 Code buyer/seller Day (J-P) 1 (A- (if private

m transaction)

J12117

J B12/30

J A1/8

J6/29

12128 J c

L IncomelGainCode& A =·Sl;OOO·orJCS&, B'' =$1';00l"S2;SOO:?· . Dec.= SS;OlH•SIS;OOO·

(See.Columns:HhndD4).· =·$SO;oo1;.s100;000: G;. =$100;00:1::S.1;000;-000 HF=·St,000.001 ;000;000;, m:=More:thanss;ooa;oo<r

2:; V :COdes: J =S15;000:or;.less·. K; = $15;001 $50;000 L. = $50;001-$'100,000•' Mr. = Sl 00;001-$250;000'• · ·

(See:ColumnsC! and-03). N' =$250;000-$500;000" Q;· = $500;0!H:.Sl;OOO;OOO Pl' = St,000;001"$5;000';000' P2: =$5;000,001-$25;000;000::

P3' = $25;000;001-$50,000;00<>: p4;· =SMore.t11ansso;ooo;oro

3; ValueMethod.Codcs; R· = Cost.(Real.EState.Only). S = Assessmcnto T = Cash/Market··

(See ColumnC2) U =BookValue: W =EStimated:

----

Name of Person Reporting Date of Report: ·FINANCIAL DISCLOSURE REPORT . . . ·· : .... · . .. .

BENNETI, MARK W 8/1212005

(Indicate part of Report.)VIII. ADDIDONAL INFORMATION OR EXPLANATIONS

Entry #2 (Aim Health Sciences Fund Inv. Class) was not listed on the 2003 report. This fund was spun off of a fund previously owned by Judge Bennett in 2003.. In December, 2004, it had a total market value of $2. l 0

Entry #18 (Invesco Health Sciences Fund Investor Class) was listed on the 2004 report and was part of Judge Bennett's IRA in January of2004 with a total market value ofS2.05. Per Schwab records, this fund is no longer a part of Judge Bennett's IRA. There is no definitive sale date listed in the records.

Entry# 117 (Gradco Systems, Inc.) was merged into a separate investment

Entry #124 (Surcbeam) was completely sold in 2003.

· -·--· .. · · ·· ·--·

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

BENNETI, MARK W 8/12/2005

IX. CERTIFICATION.

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 reportedwas 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. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES ORF AILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

finncial disclosure report report required by the ethics ... · modiicions petaining thereto, it...

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