kim m wardlaw financial disclosure report for 2009

8/3/2019 Kim M Wardlaw Financial Disclosure Report for 2009

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Ao lo [ FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 19781 / 2 0 1 o [ F O R C A L E N D A R Y E A R 2009 ( 5 u . ~ : c . ~ p p . b ~ " ~ o t - 1 1 1 )I. Person Rep orting (last name, first, middle initial) 2. C o urt o r O rganizatio n 3. D ate o f R epo r(

WARDLAW, KIM M. NIN~Iq-I CIRCUIT COURT OF APPEALS 6/2812014. Title (A rticle Ill judges indicate active or senior status; 5a. R epo rt T ype (check appro priate type) 6. R epo rting Perio dmagistrate judges iadicate full- or paln-time) [~ Nomination, Dale 01/01/2009U.S. CIRCUIT JUDGE - ACTIVE 1"--] Initial ~ Annual 1-"] Final to12/31/2009

5b. [] Amended Repnrl7. Chambers or Office Address 8. On the basis of the information conlaincd in this Reporl and anymodifications pertaining thereto, it is, in my opinion, in co mpliance

U.S. COURT OF APPEALS with applicable laws and regulations.125 S. GRAND AVENUEPASADENA, CA 91105 Reviewing Officer Date

[ M P O R T A N T N O T E S : The instructions accompanying this form m ust be followed, Complete all parts,checking the NO NE box for each parl where you have no reportable infi;rmation. Sign on lastpage.

1 . P O S I T I O N S . ~ , ~ o ,n ~ individual only; see pit. 9-13 o/f!llng instruction~)~ N O N E (No reportabtepositions.)

POsiT]ON N A M E O F O R G A N I Z A T I O N /E N T I TY1. Board member

2, Board member

I I . A G R E E M E N T S . ( ~ e ~ , , , ,i ~ individual only; see pp. 14-t6 of ~li,g instruction,.) ~ . .~ N O N E (No reportable agreements.) " "~

PARTIES AND TE~S1.


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FINANCIAL DISCLOSURE REPORT S ~ m ~ o ~ . . . .. R e ~ o , ~ , g a ~ e o f R , p ~ , [Page 2 of 65 W A R D LA W , K . 1 M M . 6 / 2 8 / 2 0 1 0

Il L N O N - I N V E S T M E N T I N C O M E . r s , , o m . g individuaI and ~use; see pp. 17-24 of f!ltng i~tructions.)A. Filers Non-lnvestment IncomeN O N E (No reportable non-investment income,)

DATE SOURCE AN~ TYPE INCOME(you~, not spo~es)1,

2.

3~

4.

B . S p o u s e s N o n - ln v e s ~ m e n t I n c o m e - ll~ou were matried during any ~rtlon of the re~ordng year, complete th~ ,~ectio~(Dollar amount not required ~ cept for honoraries)~ N O N E (No reportable non-i~estment income.)

DATE SOURCE AND TYPE

2.

3.

4.

IV. REIMBURSEM ENTS -(lnctud~.s those to .~pous and dependent children; see pp. 25-27 o filling instructions )

D N O N E (No reportable reimbmwements,)SO URCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1. Univ, of Notre Dame The 3/18109-3/21/09 Notre Dame, Indiana Law Review Discussion Transportat ionLaw School Law Review

2. Univ, of Cali|bmia. Davis 4/I 7/09-4/18/09 Davis, CA Moot Court Competition TransportationSchool orLaw

3.4.

5.


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Iame of Person Reporting]

Date of ReportPageFINANCIAL3 of 65 DISCLOSURE REPORT [ WARDL AW, K IM M. 6 / 2 8 / 2 0 1 0

V . G I F T S . a, .~ . t .,~s ,hose ,o s~,NONE ~o reportable g~s.)

SOURCE DESC~PTION VALUEI.2.3.4.5.

VI. LIABIL ITIES. o-~,~,N O N E (No reportable tiabiliies.)

CREO1TOR DESCRIPTION VALUE CODE1.

3.4.5.


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FINANCIAL DISCLOSURE REPORTWARBLAW, K I M M .age 4 of 65 [ I

VII. INVESTMENTS and TR U STS - i . . . . . . . .. t , , e , ~ . . . . . ~ , ,a . a , , a , ,a o , a , o s o , ,i ~ , ~ , o ,, ~ o ~ , ,d a e ~ , ,, ,a o , t a , u a , o ~ ; s e e ~ , ~ , . S 4 - 6 0--] N O N E (No reportable income, assets, or transactions.)

A . B . " .........i .....................................i~ i ............Description of Assets lucome during Gross value at end Transactions during reporting p~riod( 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 o f r e p o r t i n g p e r i o d

Place "(X)" afler each asset Amouut Type(e.g., Value Value Type(e.g. Date i Value ~ Gain ldentityofCode 1 div., rent, Code 2 Melhod buy, Sell, mm/dd/y3~ Code 2 ! Code 1exempt f r o m prior dise|osure ] (~-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) ! (if private

~. AB B O T T L AB O RAT O RI E S A Dividend So l d 0 5 / 1 5 1 0 9 1 A(part)3. ABBOTT LABORATORIES Sold 05/18/09 1

4. ADOBE SYSTEMS 1NC Noue J T BU Y 1 1 0 / 1 4 / 0 95. AD O B E SY ST E M S I N C B U Y 10/30/09 J6. AE T N A I N C None B U Y 09/16/09 J7. A ET N A I N C BU Y 09/17/09[ J8. A ET N A I N C So l d 05/19/09 J A(part)9. A ET N A I N C So l d 10/08/09 ,! A( p a n )

1 0 . A ET N A I N C Sold 1 0 , 1 5 / 0 9 J A( p a r t )1 1 . A ET N A I N C So l d 1 0 / 2 0 1 0 9 J At2. A F L A C None So l d 01/22/09 J A1 3 . AG1LENT TECHNOLOGIES N o n e K T

1 4 . AI R PRO D U CT S & Ct t E M ICAL S I N C A Dividend K T1 5 . AL B E RT O CU L VE R CO A Dividend 3 T BU Y 0 9 ! 1 6 1 0 9 J1 6 . A L B E R T O C U L V E R C O BU Y 0 9 / ~ 8 1 0 9 J1 7 . A L B E R T O C U L V E R C O BU Y 09/23/09 J

|, Inco m e Gain C tvdes: A =$ |.000 o r less B = 5t,001 - $2,500 C ~S2,501 - $5,000 D ,:$5.001 - 515,000 E =S 15,00! - S50,000(See Columns B I and D4) F -,$50.00| - S 100.000 G ~$t00.001 - 51,000,000 HI ~S l,000,001 - 55,000,000 H2 ..More than $5,000,0002 V,M o e C o des J ~$15.000 o r less g : ,$t5,001 - 550,000 L =550,001 - :5100,000 M =$|00.001 - $250,000(See Columns CI anti "03) N =5250.001 - $500,000 O "=5500.001 - ~1,000.000 P] =$1,000.00t - $5,000,000 P2 =$5,006.00~ - $25,000.f~10P3 -,$25.000.001 - 550,000.000 P4 =More them 550,lg10,0003. Value Mctht~l Codes Q =Appraisal R =Cost I Real E~law Only) 8 =Assessment T ~Ca~h Marke:(S ee C o lumn C 2) U =B o o k Value V =Other W =Eslimated


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FINANCIAL DISCLOSURE REPORTPage 5 of 65 WARDLAW, K I M M . 6 / 2 8 / 2 0 1 0

VII. IN V E S T M E N T S a nd T R U S T S -~ NONE ~o reportable income, assets, or transactions[)........................ ~ ~ B . c. D.~s~ption of A~ets i[ ~comc during G r o s s v a l u e a t ~ n d T~fio~s during r~rting ~ri~(including t~st a~ets) ~ re~i~g ~od o f r e p o f l i n g

~ O) 1 2 ) ~ O) {2) O) ~ ( 4 ) ( 5 )A m o u n t [ T~e (e.g., F Value Value T~c (e.g., m~d~ C o d e e 2 G a i n I d e n t i t y o fP l a c e " ( X ) " a f te r e a c h a s s e t [ C~dc 1 ] div., r~t, [ C o d e 2 Mcih~ buy, ~ll, C~e I b~er/~ll~rx e m p t f r o m p r i o r d i s c l o s u r e i (A-H) ! o r i n t . ) ~ ( J - P ) C o d e 3 redem~ion) ( J - P ) ( A - H ) ( i f p r i v a t ej_ ( Q - W ) ] , tr~cfion)

2 0 . AL L E G E N Y T E CHN O L O G IE S I N C A Dividend K T B U Y 01/07/09 J21. AL L E G E N Y T E CHN O L O G IE S I N C B U Y 01/08/09 J22. A L L E R G A N I N C A Dividend K T So l d 06/03/09 J A(part)2 3 . A LLS T A T E C O R P A Dividend J T B U Y 0 5 1 2 0 / 0 9 J24. A LLS T A T E C O R P BU Y 05/21/09 J25. A L L S T A T E C O R P B U Y 05/22/09 J

26. A M E R I C A N M E D I C A L S Y S H L D G S None J T S o ld 02/05/09 J A(part)2 7 . A M E R I C A N M E D I C A L S Y S H L D G S So l d 02/09/09 J A(part)

]28. A M E R IC A N ME D IC A L S Y S HL D GS So ld 02/12/09 J A(pan)2 9 . A M ER I C A N T O WER C O R P C L A None J T3 0 . A M EP , I C A N WA T ER W O R K S A Dividend K T B U Y 08/13/09 K3 1 . A MER IC A N W A T ER W O R K S B U Y 08/14/09 J3 2 . A MER IC A N W A T ER W O R K S B U Y 0 8 1 2 4 / 0 9 J

3 3 _ AT&T INC A Dividend J T Sold 09/16/09 J A(pan)3 4 . AT&T INC So l d 11/20/09 J A(pan)


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N a m e o f P e r s o n R e p o r t i ng [ D a t e o f R e p o r tP a g e F I N A N C I A L 6 o f 6 5 D I S C L O S U R E R E P O R T WARDLAW,

V II. INVESTMEN TS and TRUSTS - ~ , , . o , , e .--] N O N E (No reportable income, assets, or transactions~)

A. B. ! C. D ~D e s c r i p ti o n o f A s s e ~ s Income during ~i G ro s s ~ a l u c a t e n d T r a n ~ 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 r m s t a s s e t s ) reporting period [ o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f te r e a c h a s s e ~ Amo unt I Type (e.g., | Value Value T y p e ( e . g ., D a ~ e Value [ Gain I I d e n t i t y o f.... pt from prior disel ..... i Cdel I di ...... t, [ Code2 M e t h o d buy, sell, it am/d,, Code2 I~nd.e_l [ b u y e r / s e l l e r(Q-W) i ........................

3 5 . AT&T INC S o ld 11/23/09 .r A(part)36. B AE SY ST E M S PL C SPO N AD R A Dividend J T BU Y 1 2 1 0 3 / 0 9 J37. B A K E R H U G H E S IN C A Dividend S o ld 05/18/09 J A38 . BANK OF NEW YORK MELLON CORP A Dividend J T BUY 06117/09 J

3 9 . B A R R I C K G O L D C O R P U S $ A Dividend K T4 0 . BA X T ER I N T ER N A T I O N A L I N C A Dividend K T41. B E RKSHI RE HAT HAWAY I N C CL B None J T BU Y 03/04/09 J42. BES T BU Y I N C A Dividend J T4 3 . BIOGEN IDEC INC None B I A Y 02/04/09

44. BIOGEN IDEC INC BU Y 0~05/09 J45. BIOGEN 1DEC INC B U Y 0 2 / 0 9 / 0 9 [ J46. BIOGEN IDEC INC BU Y 08110/09 J4 7 . BJOGEN IDEC INC S o ld 11/03/09 J A(part)48. B IO GEN ID E C IN C So ld l 1/05/09 J A(part)49. BIOGEN IDEC INC S o ld 11/06/09 J A50. B O E I N G CO A Dividend J T BU Y 11/02;09 J5 I. B O E I N G CO B U Y 1 1 1 1 9 / 0 9

(See Colmnna B 1 and D4) F -$50,001 - $ 100,000 G -S I00 ,00l - 51,0 00,000 tll ~,$ 1,000,0U J - $ 5,000,000 tt2 ~M ore than S5,000,000


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FINANCIAL DISCLOSURE REPORT[ ~

f ~ e . o . R e p o ~ , ~ n g ....

lD a t e n f a e p o r l

]Page 7 of 65 W A R D L A W , KIM bl.6 / 2 8 / 2 0 1 0

VII. I N V E S T M E N T S a n d T R U S T S - i.~o~e, , , a ~ . , ~ . . . . . ,~ (Includes those af sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l in g~ NONE income, or transaction.)~o reportable ~SSGIS,I n c o m e d u 6 n g Gruss value at end T~s~6ons during repo~ng p~odDe~ripfion of Assets(i~luding ~st ~sets) ~ reposing ~ri~ of reposing pe~od

P l a c e " C x ) " a ~ e r e a c h a s ~ e ~ ~ A m o u m T , w - - p c C e . g . , ] Value Value T~e (e,g.. D~te ~ Value G a i n Idemi~exempt ~om p~or di~elosu~ ~ C~e I d i v . , r e n t , ~ C o d e 2 M e t h o d b u y , s e l l , m~d~ :: Co~ 2 C o d e I buyerl~llerC A - H ) o r i r a . ) C J - P ) C o d e 3 r e d e m p t i o n ) 0-P) ( A - H ) (ifpfiwte

5 2 . BOE~G CO S o ld 03/04/09 J(paa)5 3 . ~ OEING C O So l d 06/23/09 J A(pro)5 4 . B R O A D C O M C O R P None J T BU Y 02!19/09 J5 5 . B R O C A D E C O M M U N I C A T IO N S S Y S None .1 T BU Y 01/07/095 6 , B R O C A D E C O M M U N I C A T IO N S S Y S BU Y 01/08/09IN C57. B R O C A D E C O M M U N I C A T IO N S S S B U Y 01i09/09IN C5 8 . C A M E C O C O R P U S $ A Dividend K T B U Y 01/29/095 9 . C A M E C O C O R P U S $ B U Y 04/28/09 J6 0 . C A M E C O C O R P U S $ BU Y 05/04/09

6 I, CAM PB E L L SO U P CO A Dividend So l d 0 1 1 1 3 / 0 9 J A(part)6 2 , CA MPB E L L SO U P C O So ld 05/19/09 J A6 3 , C A N A D I A N N A T U R A L R E S O U R C E S A Dividend J "I-L T D U S $6 4~ C A N O N I N C A D R A Dividend ,I T6 5 . CARDINAL I IEALTH 1NC A Dividend So l d 08/03/09 J A(part)66. CARD I N AL HE A L T H I N C S o ld 08/04/09 J A6 7 , CARN I VAL CO RP CO M M O N PAI RE D None J T So l d 05/19/09 J ASTOCK ( p a r t )6 8 . C A R N I V A L C O R P C O M M O N P A I R ED So l d 05/20/09 J AS T O C K (part)

I. Irtco*x~e G a i n C o d e s : A = $ 1 , 0 0 0 o r l e s ~ B = $ 1 , 0 0 1 - 5 2 . 5 0 0 C = a 2 , 5 0 1 - $ 5 . 0 0 0 D = $ 5 , 0 0 1 - $ 1 5 , 0 0 0 E = $ 1 5 , t ) 0 1 - $ 5 0 , 0 0 0(See Columns BI and Da) F = , ~ 5 0 , 0 0 1 - S I 0 0 , 0 0 0 G = $ 1 0 0 . 0 0 1 - $ 1 , 0 0 0 , 0 P ~ 0 F I I = S ! , 0 0 0 , 0 0 1 - $ 5 , 0 0 0 . 0 0 0 1 - 1 2 = M o ~ e t h an $ 5 , 0 1 ) 0 . 0 0 0


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FIN A N C IA L D ISC L OS U R E R E POR T N ~ m ~ o f P e r so n R e p o r t in g ] D a t e o f R e p o r tPage 8 of 65 WARDLAW, K I M M . I 6 / 2 8 / 2 0 1 0VII. INVESTMEN TS and TRU STS - in ...... t ~ e , , ...... tides a ~ e ~ a e ~ , h o s e o ~ . .. ..

NONE ~o reporlable income, assets, or transactions.)A. ~ B. C. D.D~fipfion of Assets ] I n c o m e d u r in g G r o s s v M u e a t ~ n d T~fions during re~ing peri~( i n c l u d i n g t r u s t a s s e t s ) ~?.~.~ng pe~d_ ...... of reining ~dod] .... ....... ....... t ................ .............. .............P l a c e " ( X ) " a f t e r e a c h ~ s e t I Amo unt T}~ (e.g., Value Value Ty~ (e.g., ] Date [ Value GainI i d e n t i t y o fe x e m p t ~ o m p r i o r d i s c l o s u r e I C~e I [ div., rent, C o d e 2 M e th o d buy, ~tl, mm/d~~ C~e 2 ] C~elI b u y e r / s e l l e r(A-H) [ o r i r a . ) { J - P ) C~e3 r e d e , n p t i o n ) ] (J-P)[ (A-H) , (if ,dvate

6 9 , CBLGN COE Noac K T Bg Y70. CE L G E N E CO RP BU Y 01/13/09 J7 1 . C E R N E R C O R P None K T Sold 10/21/09 J C(part)7 2 , C H E V R O N C O R P A Dividend J T " B U Y 02/12/09 J7 3 , CHEVRON COILP BU Y 09/17]09 J

74 , CISCO SYSTEMS FNC N o n e

75. C O C A - C O L A C O A Dividend J T7 6 . C O LGA T E- P A LM O LI V E C O A Dividend J "1" B U Y 08/05/09 J7 7 . C O M C A S T C O K P C L A A Dividend J T Sold 08/04!09 J A(part)

- 7 8 . CO M CAST CO RP CL A Sold 08/05/09 J A(part)7 9 . CO M CAST CO RP CL A So l d 08/06/09 J A(part)8 0 . C O MC A S T C O R P C L A S o ld 08/07/09 J A(part)8 1 . CO MC A ST CO R P CL A So ld 08/10/09 .l A(part)8 2 . CO MC A ST CO R J C L A So ld 08/12/091 J A(part)8 3 . CONOCOPH ILLIPS A Dividet~d Sold 04/20/09 J A8 4 . CO ST CO WHO L E SAL E CO RP A Dividend J T85. D A N A H E R C O R P A Dividend K T BU Y i 10/14/09 J

l. Income Gain Code-s: A = $1.000 or less B =SI,001 - S2.500 C = $2.501 - $5.000 D = $5,001 - $15,000 E =$15,001 - $50,000ISee Colulllas ~ 1 and D4) F =,~.50,00 | - $100.000 G = $1 00 .0 131 - S t, 00 0,0 00 H | = $1 .00 0. 00 I o $5, 00 0, 00 0 H 2 = Mo r th an $ 5.0 00 ,0 00

2. Value Codes J ,:$t 5.000 or less g =$15.001 - $50.000 L =$50.001 - $100,000 M ~$100,001 - $2.50.000


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FIN A N C IA L D ISC L OS U R E R E POR T ~,.~ orV .... m p o r t ~ . g W , ~ o f ~ a p o r tPage 9 of 65 WARDLAW, K I M M . 6 / 2 8 / 2 0 1 0VII. INVESTMENTS and TRU STS - i. ....... ~.,, , ..... ,kms (lncludes those of spouse ana dependent children; see pl~ 34-6 0 0f f!ling instructions.)

NONE ( No reportable income, assets, or transactions.)A. B. C. D.D e s c r i p t io n o f A s . ~ t s Income during G r o s s v a l u e 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 ti n g p e r i o d( 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 o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f te 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 |1 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 re Code] d i v . , r e n , , Code2 M e th o d b u y , s e l l , m m /d d / y y Code2 i Code l i b ~ y e r / s e l l e r (A-H) orint.) ( J - P ) [ C o d e 3 r e d e m p t i o n ) (J-P) [ (A-H) I ( i f p r i v a t e[ i t r a n s a ~ : t i o n )8 6 . D AVI T A I N C None K T87, DELL INC None S o ld 01/09/09 ~ A

8 8 . D ELT A P ET R O LEUM C O R P None So l d 01/09/09 J A(part)8 9 . D ELT A P ET R O LEUM C O R P So l d 03/t0/09 J A(part)9 0 . D ELT A P ET R O LEUM C O R P So l d 03/12/09 J A9 I . D I AM O N D O F F SHO RE D RI L L IN G I N C A Dividend J T BU Y 09/22/09 J92 ~ D I SCO VE RY CO M M U N I CA T I O N S IN C None J T BU Y 05/20/09 JCLA9 3 . E AST WE ST B AN CO RP IN C A Dividend So l d 03/10/09 J A94. E B A Y I N C None J T Sold 10/05/09 J A(part)9 5 . ECOLAB INC .... A Dividend J T96 . EDISON INTERNATIONAL A Dividend J T B U Y 01/16/09 J

97 . EDISON INTF.RNATIONAL B U Y " 01/20/09

9 8 . E M E RSO N E L E CT RI C CO A Dividend K T99. E N E RG I Z E R HO L D I N G S I N C None J TI00. E O G R E S O U R C E S I N C A Dividend J T BU Y 08/12/09 J1 0 1 . EXEL1XIS INC None So l d 03/06/09 J A(parO

02. EXEI.IXIS IN(: S o ld 0 3 1 0 9 / 0 9 J A


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Ia m e o f P e r s o n ] R e p o r t i n g D a t e o f R e p o r tF IN A N C IA L D I SC L O SU R E R E POR T[ W A R D L A W , K I M M .

6/28/2010Page 10 of 65V I I . I N V E S T M E N T S a n d T R U S T S - i .... e, v a ~ u e ~ t r a n s a c t i ~ n s ( 1 n ~ l u d e s t h ~ s e ~ f s p ~ s e a n d d e p e n d e m c h i ~ d r e ~ ; s ~ p p . 3 4 - 6 ~ f . ~ i l i ~ g i n s t r u c t i ~ n s . )

NONE (No reportable h~come, assets, or transactions.)

D e s c r i p t io n o f A s s e t s t I n c o m e d u r in 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 l i n g p e r i o d( i n c l u d i n g m i s t a s s e t s) [ repo~_g period ] o f r e p o r t i , n g p e r i o d,I (1 ) (2 ) | (I) i (2) (1 ) (2) i (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e , A m o u n t T y p e ( e . g . , ~ Value i Vatue lype(e.g., Date i Value Gain [ ldentityofi e x e m p t f ro m p r i o r d i ~ l o s u r e C o d e 1 d i v . , r e n t , i C o d e 2 [ Method buy, sell, mm!dd/yy i Code 2 Code I I b u y e r i s e l l e r! ( A - H ) o r i n t . ) J 0 - P ) Code3 r e d e m p t i o n ) " (I-P) i (A-H) I ( i f p r i v a t e~ ( Q - W )L .............................................................. ~ .................. 1 ......... [ . . . . . . . . . . . . . . . . . .. . . . ~ ........... ~ t r a n s a c t i o n )

1 0 3. E X X O N M O B I L CO RP A Dividend J T S o ld 0 6 1 1 2 1 0 9 J A(part)! 1 0 4 . F E D E X C O RP A Dividend J T BU Y 06/03/09 J

1 0 5 . F I RST SO L AR I N C None .I T BU Y 02/26/09 J1 0 6 . F I RST SO L AR I N C BU Y 11/14/09 J1 0 7 . FIRSI" SOLA R INC S o ld 05/26/09 J B(part)1 0 8 . F L U O R C O R P A Dividend J T S o ld 11/05/09 J C(part)1 0 9 . GENENTECH INC None S o ld 02/03/09 J A(part)1 1 0 . G E N E N T E CH I N C S o ld i 02/13/09 J A{ g a f f )1 1 1 . GENENTECH 1NC S o ld 02/19/09 J B

1 1 2 . G E N E RAL E L E CT RI C CO 1 3 Dividend K T S o ld 05/20/09 J A(part)1 1 3 . G E N E RAL M I L L S I N C A Dividend K T BU Y 04/17/09 J1 1 4 . G E N E RAL M I L L S I N C BU Y 1!/19/09 J1 1 5 . G E N E RAL M I L L S I N C B U Y 1 1 / 2 0 / 0 9 J1 1 6 . GENPACr LTD None .1 T

1 7 . G O L D M A N S A C H S F IN A N C I A L A Dividend K T BU Y 04/]4/09S Q U A R E T R E A S U R Y18. GO L D MA N S A C HS FIN A N C IA L S o ld 10/22/09S Q U A R E T R E A S U R Y (part)19. G OLDMA N S A C H S G R OUP INC A Dividend K

]. Income Gain t.d od~: A ,~ $ 1.000 or less B = $1.001 - $2,500 C =5.2.501 - $5,000 D =$ 5,001 - $15,000 E =$15,001 - $511,000(See Columns B 1 and D4) F -$ 50.001 - 510~ 1,000 G -5101),0 0| - S 1,00 0.00 0 HI =$1,000,001 - $5,000.0~ H2 =More than $5,000,0002. Value Codes J =$15.000 or le~ K =$15,001 - 5.50.000 L =$50,001 - $ 100,~00 M =$100,001 - $250,00~(See Co lumns (.~ I and D3) N =$250.001 - $500,000 O ~.S500,001 - $1.000.000 P 1 ~$ 1, 00 0, 00 1 - 5 .5 ,0 00 ,0 00 P 2 =$ 5 ,0 00 .0 01 - $ 25 ,0 0 0. 00 0

P3 -$25,000.001 - $50,000.00~ P4 =Mo~e than $50,000.0fi0


11/65

FINANCIAL DISCLOSURE REPORT N .... f P e r s o n R e p o r t in g D a t e o f R e p o r tPage 1 1 of 65 WARDLAW, K 1 M M . 6 / 2 8 1 2 0 1 0

N O N E (No reportable income, g~sets, or transactions.)A. B. C. D.Des~ption o f A ssels Income d~ing G r o s s v a l u e a t e n d Tr~actions during re~ing ~od

( i n c l u d i n g t r u s t a ~ s c t s ) reputing ~riod of reposing periodPlaee~X)"a~ ..... has~t lm ...... t T~e(e.g., ~. Value ] Vah, "r~e(e.g., / Date [Value Gain ~ l d e n t iW o f

excmpt~ompfiordisclosure [ C~e 1 div.,~nt, ] c o d e 2 ] M ~ n o a ~y,~t, /m~aa,~. :~Code2 Code I buy~/seller[

~ ( A - H ) o r i n t . ) ~ ( J - V ) ~ Co de 3 ,~emptiou) ~ - ( i f p r i v a t e

1 2 0. G O O G L E ~ C C L A None K T1 2 1. H A N E S B R A N D S I N C None J T1 2 2. HE I N E KE N N V A D R A Dividend So l d 08/28/09 J A(part)123 . H EINEK ENNV A DR So l d 08/31/09 J A(part)1 2 4. HE 1 N E KE N N V AD R S o ld 09/01/09 J A(part)125. HE IN E K E N N V A D R So ld 09/02/09 J A1 2 6 . H EWLET T - PA C K A R D C O A Dividend J T1 2 7 . HU D SO N CI T Y B AN CO RP I N C A Dividend J T S o ld 05/05/09 J A(part)1 2 8 . I LLIN O I S T O O L W O R K S 1N C A Dividend K T I1 2 9 . lINTEL CORP No ne So l d 01/22/09 J A1 3 0 . I~NTERNATIONAL BUSINESS A Dividend K T BU Y 03,31/09 JM ACHI N E S CO RP1 3 1. I RO N M O U N T AI N I N C None K T BU Y 1 1 , 1 9 / 0 9 J132. JAB1L CIRC UIT INC A Dividend S o ld 01/15/09 J A(part)133. JAI~IL CIRCU IT INC So l d 01/16/09 J A( p a r t )1 3 4 . J AB I L CI RCU I T I N C Sold 03/t0/09 J A(part)135. JA B IL C IR C U IT IN C So ld 03/11/09 J A(part)1 3 6 . J AB I L CI RCU I T I N C So l d i03/12/09 .1 A


12/65

FINANCIAL DISCLOSURE REPORT .... .... D nteofR ortlPage 12 of 65I~ N ONE ~o reportable income, assets, or transactions.)

De~dption of A~ts ~ Income during Gross value at ~d T~n~efions during ~ng pe~od(including ~sl ~s~) ~ repo~ng period ofr~oning periodPlace "(X)" after each ~t ~mount [ T~e (e.g., Value [ Value T~ge (e.g., Date Value Gain [ ]dentiW ofexempt ~om prior disclosure Code 1 I div., rent, C~e 2 ~ M e~od buy, ~11, m~:d~ [ C~e 2 C~e 1 ~ buyer/~ll~~ A - U ) ] )tint.) (J-P) ~ C~e3 red--priori) ~. (J-P) ~(A-H) (ifprivat

137. JACOBS ENGR GROUP None J

138. JOHNSON & JOHNSON A Dividend K T BUY 05/t8/09 J

139. JOHNSON & JOHNSON B U ~ 05t19/09 J1 4 0 . J O HN SO N CO N T RO L S I N C A Dividend S o ld 09/2t/09 J A1 4 1 . J PM O R G A N C H A S E & C O A Dividend K Ti42. J U N I PER N E T WO RK S I N C None J T B U Y 06/02/09 J143. K.IMBERLY-CLARK CORP A D iv idend S o ld 05/19/09 J A( p a r t )144. KIMBERLY-CLARK CORP S o l d 05 /21 /09 J A

145. KINDER MORGAN MANAGEMENT N o n e S o ld 09/11/09: J BLLC (part)146. KINDER MORGAN MANAGEMENT S o l d 09114/09 J BLLC (pan)147. KINDER MORGAN MANAGEMENT S o ld 09/15/09 J AL L C148. KRAFT FOODS INC CL A A Dividend J T S o ld 04/17/09 J A(part)149. K_RAFT FOODS INC CL A S o l d 1]/18 /09 J A

(part)150. KRAFT FOODS INC CL A S o l d 1 li19/09 J A( p a r t )15t. LOOPNET INC N o n e J T

1 5 2 . L O WE S CO M PA N I E S IN C A Dividend K T BU Y 1 0 1 2 1 / 0 9 J1 5 3 . M ARAT HO N O I L CO RP CO M A Dividend J T S o ld 02/04/09 J A(part)


13/65

FINANCIAL DISCLOSURE REPORT [ Name of P ..... R e p o r t i n g D a t e o f R e p o r tPage 13 of 65 WARDLAW, K I M M . 6 / 2 8 / 2 0 1 0VII. IN V E S T M E N T S a nd T R U S T S -

NONE (No reportable income, assets or transactions.)

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

(1~-~ ~ ( I ) (2 ) (1 ) ( 2 )


14/65

FINANCIAL DISCLOSURE REPORT N .... fPersoo Reporting DateofRepol2Page 14 of 65 WARDLAW, K I M M . 6 / 2 8 / 2 0 1 0

V I I . 1 N V E S T M E N T S a n d T R U S T S - ~~om~, ~ol.e, t ...... a o . s (Includes those of spouse and dependent children; se e p p . 3 4 - 6 0 of filing insttuction~O[] NONE income, assets, or transaction.N o reportable. . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . X . . . . . . . . . . . . . . . . . . . . . . . . ~ . . . . . . .. . . . . . . .. . . c. D .Descri~ion of A~cts I n c o m e d u r in g Gross value al end T~sactions during re~ng peri~(including trust a~e~) repoaing period o f r e p o a i n g p e r i o d

e x e m p t ~ o m p r i o r d i s c lo s u r e C~e 1 div. , rent, C o d e 2 ~ Method b u y , s e l l , m~d&~ ~ Code 2 [ Co de I [ buyeaseller(A-H) [ orim.) ( J - P ) Code3 r e d e m p l i o n ) ~ ( J - P ) ~ (A-H) ] (ifprivale

171. NATIONAL GRID PLC - SP ADR None J T BU Y I 1 2 3 / 0 9 J1 72 . N AT I O N AL I N ST RU M E N T S CO RP A Dividend J T1 7 3 . N ES T LE N A M S P O N A D R A Dividend J T

! 1 7 4 . N I N T EN D O C O LT D A D R UN S P O N A Dividend J T1 7 5 . N O K t A C O R P S P O N S O R E D A D R A Dividend J Ti 7 6 . N O RD ST RO M I N C A Dividend J T S o ld 1 0 1 2 0 / 0 9 J A(part)1 7 7 . N O R D STR O M IN C So ld 10/21/09 J A(part)1 7 8 . N O RD ST RO M I N C S o ld 10/22/09 J A(part)1 7 9 . N O RD ST RO M I N C S o ld 10/27/09 J A(part)1 : g O . N O RD ST RO M I N C S o ld 10/28/09 .I A(part)1 8 1 . N O R F O LK S O UT I tER N C O R P A Dividend J T BU Y 06/11/09 J182. NUCOR CORP A Dividend J T

1 8 3 . O M N I C O M GR O UP I N C A Dividend J T S o ld 05/18/09 J A( p a r t )184. OMNICOM GROUP INC S o ld 06/01/09 J A(part)1 8 5 . P A Y C H EX I N C A Dividend K T S o ld 06/17/09 J A( . p a r t )1 8 6 . PEPSICO INC A Dividend K T BU Y 0 1 / 0 9 1 0 9 J

1 8 7 . PEPSICO INC BU Y 01/13/09 J


15/65

FINANCIAL DISCLOSURE REPORT [ Narae of P ..... Reporting Date of Repor~Page 1 5 of 65

] W A R D L A W , K I M I V 1 .6 / 2 8 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i .... e, value, ~, ..... tions (Includes those of .w ..... nd dependent children; seepp. 34-60 of fillng instructionx.)NONE ~o reportable income, assets, o~ transaction.)

Description of A~els lncom d~ing G~ss v~ue at end ~ Transactions during rcpo~ing ~riod(including ~st a~els) reposed period of reporting period~ ) ~ (2) O) ~ (2) ~ (~) ~-- ..... {3) (~)Place "(X)) after each ~ A m o u n t T~e (e.g,, Value [ Value T~ (e.g., Da) Value Gain Identi~ ofexempt ~om prior disclosure Code I div., r~nt, C od 2 ) Method buy, sell, m~d~ ]Codc 2 Code I(A-H) o~int.) (J-P) [ Cod e 3 ~dCmpfion) ~ (J-P) (A -H) (if private

188. PHILIP MORRIS INTERNATIONAL ~C A Difidend J T B U Y 06/23/09 J

189. PI~ACLE WEST CAPITAL CO~ None S o ld 0~/20!09 J A

1 9 0 . POLYCOM INC None J T Sold 1 0 / 0 2 1 0 9 J A(part)1 9 1 . P O T A S H C a R P O F S A S K A T C H E W A N A Dividend J 1I N C U S S1 9 2 . PRO.CTER & GAMBLE CO A Dividend K T BU Y 05/19/09 J

1 9 3 ~ PRO CT E R & G AM B L E CO BU Y 05/20/09 J94 . PROCTER & GAMBLE CO B U Y 05/21/09 J

1 9 5 . PRO G RE SSI VE CO RP O HI O None J T1 9 6 . Q U A L C O M M IN C A Dividend K T BU Y 11/08/09

1 9 7 . QUA LC O M M 1N C BU Y tl/19/091 9 8 , RIO TINTO PLC ADR SPON A Dividend J T199. SAP AG SPON ADR A Div idend J T S o l d I 1/19/09 J A(part)200. SARA 1,EE caRP A Div ideod S o l d 06/11/09 J A(pan)201. SARA LEE CORP S o ld 06/23/09 J A(part)202. SARA LEE CORP S o l d 06/24/09 .~ A

[ (part)203. SARA LEE CaRP S o ld 06/25/09 J A

204. S C H L U M B E R G E R L T D A Dividend K T BU Y 10/19/09 J

}. Income Gala Co~tcs: A ~$1,000 or less B 251,001 - 52,500 c..- =$2,501 - $5,0D)) D =$5,001 - $15,000 E =$15,001 - $50,000(See Columns B | and D4) F =$50,00 ] - $ 100,000 G =S 10 0,0 l) 1 - $ 1 ,0 00,0 00 H ] = $ 1 ,0 00 ,0 01 - $ 5. 00 0 0 00 H2 =More than S5


16/65

FIN A N C IA L D ISC L OS U R E R E POR T N~,.e of P ....Reporting Date of ReportPage 1 6 of 65 WARDLAW, R I M M . 6 / 2 8 / 2 0 1 0

VII. INVESTMENTS and TRU STS - in ....... I ne. tr ......ions (Includes those of sp ..... nd dependent children; seeptx 34-60 of f!li,,g instruetion&)[] NONE reportable income, assets, or transactions.)( ~ V o

A. B. C. D.Description otAssets Income during Gro ss x alue at end Transactions during reporting p~rio d(including trust assct~) r~.portiug period of reporting p~riod

Place "(X)" after each asset Amount Type (e.g., ! Value " Type (e,g., ] Date Val~e Gain ] identity ofexempt from prior disclosure Code 1 div., rent. i Code 2 M,~hod buy, sell, Imm/dd/yy i Code 2 Code I buy~dscllerC o d e 3 redemption) [ O-) I (A-rl) [ (ifprivateA - H ) or int.) i (.l-p) i p. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .il ......: w ! ......... ...........................205. SCHLUMBERGER LTD B U Y 10/29/09 J

206. SCHWAB CHARLES A Div idend K T BUY 05/18/09 J

207. SCHWAB CHARLES BUY 05/19/09 J

208. SCHWAB CHARLES BUY 09/18/09



211, SHIRE PLC ADR A Dividend K T B U Y 02/05/09 J

212. SHIRE PLC ADR B U Y 0~18/09

2]3. SHIP, E PLC ADR BUY 03/04t09 J

214. SHIRE PLC ADR B U Y 06/04/09 J

215. SOUTHWEST AIRLINES CO A D iv idend S o ld 11/05/09 J A(part)

216. SOUTHWEST AIRLINES CO S o l d I 1/06/09 J A

217, SPECTRA ENERGY CORP A Dividend J T

218. SSGA MONEY MARKET FUND A Dividend K T B uy 01/02/09 J

219. SSGA MONEY MARKET FUND S o l d 12/08/09 J A(part)220. SUNCOR ENERGY INC A Dividend J T B uy 08/03/09 J

221. TARGET CORP A Dividend K T


17/65

N a m e o f P e r s o n R e p o r t i ng D a t e o f R e p o r tFINANCIALpag 17 of 6~ DISCLOSU RE REPORT [

~ON~ (No reportable income, assets, or transactionsO

~scription o f Assets I n c o m e d u r in g Gros~ valu~ at ~d Tr~sa~tions during ~po~ing ~riod

P l a c e " ( X ) " a f t e r e a c h ~ s e t ]Amo unt ~ T~e (e.g,, Va ue Va ue T y p e ( e . g ., [ D a te Value G a i n ]dcnti~ ofe x e m p ~ ~ o m p r io r d i~ S o s u re ~ Co de I ~ di ..... n t, C o d e 2 M e t h o d b u y , s e ! l , /m~d~vy [ Code 2 Co~ 1 buyer/~ller(A-H) [ o r i n t . ) { J - l ) C~e 3 r e d e m p l i o n ) I (J-P) ( A - H } ( i f p r i v a t e !

2 2 2. T HE WA L T D I SN E Y CO A Dividend K T BU Y 0 2 1 2 6 / ~ 9223. T1TA N IU M META LS CO R PO R A TIO N No ne J T

224. T R A N S O C E A N L T D None J T BU Y 0 5 / 2 0 1 0 9

225. T Y co E L E CT RO N I CS L T D A Dividend J . T BU Y 0 5 1 2 7 / 0 922& T Y C O E ~ C I R O N I C S L r D BU Y 07/1~/09~27, T Y CO E g E CT RO ~ I CS L T D BU Y 07/16/0922g, D~ ILEVER NV NY S H R B A Dividend J T229. U N I O N PACI F I C CO RP A Dividend K T BU Y 01/13/09 J~30. I.JNION PACIFIC CORP Sold 06/11!09 J( p a r t )~ 3 1. U N I T E D PAR CE L SE RVI CE I N C ~ L B A Dividend J 7 " So l d 05/19/09 I A232. UN1TEDHEALTH GROUP INC None J T BU Y 09/03/09 J2 3 3. U N I T E D H~ ~L T H G RO U P I N C BU Y 11/03/09 J2 3 4. U N t T E D HE AL T H G RO U P I N C BU Y l 1/04/09 J2 3 5. U N I T E D HE AL T H G RO U P I N C U U Y : 1 1 / 0 5 / 0 9236. UN ITED TE~2HNOLOGII";S CORP A Dividend J T Sold 02/26109 J A{ p a r t )237_ uNITED "rF.cHNoI_OGmSCO~P So~d 02/27/09 J a( p a r t )2 3 8. U RB A N O U T F I TT E RS I N C None J T


18/65

Name of Person Reporting Date o~ ReportFINANCIAL DISCLOSURE REPORT1,.,W A R D L A W K 1 MPage 1 8 of 6~

M. 6/28/20t0

V I I . I N V E S T M E N T S a n d T R U S T S - income, valtte, t ..... tions anclud~ those of sp .....nd dependent hildrenseep~ 34-60 of filing instrucaons.)~ ~ONE ~o reportable income, assets, or transactions.)

A . T B. C, D.De.rip,ion of A~ets Income d~g Gross value a~ end Tr~ctions during revering period

(including trot assets) . reposing p~ of repoaing pe~od .

exempt ~om prior disclosure i Code I ~ div., ren~ Code 2 Me~od buy, ~11, /m~d~yy [ CMe 2 ~e 1 ~ bayert~ller( A - H ) or int.) (J-P) Code3 ~dempfion) ~ ~ (J-P) (A-H) ~ (if private~_ ............ (Q-W) [ ~

23 9. VIS A INC C L A A Di~dend J T B U Y 0~26/09 J240. VISA ~C CL A B U Y 05119fl~ J

~41. visa I~C C~ ~ B ~Y 08/~1109 J~ 2 4 2 . V U L C A N M A T E R I A L S C O A Dividend J T BU Y 08/10/09

243. ~ L C A N M A T E R I A L S C O So]d 09/16/09 J A(p~)

~ 4 5 ~ WAL-MA~qSTO~S INC " None B U Y 05120/09 J246. WA L -M ART ST O RE S IN C S o ld 0 6 1 0 3 1 0 9 J A247. W E L L S F A R G O & C O None S o ld 01/23/09 J A(part)248. W E L LS FA R Go & C O S o ld 01130/09 J A(parO249. W E L L S F A R G O & C O S o ld 02/02/09 J A250. WI L L I AM S CO S I N C A Dividend S o ld 03/26/09 J A2 5 1 . "ZYMoGENETICS INC None S o ld 03/06/09 J A( p a r t )252. ZYM6~ENET1CS INC .... Sold 03/09/09 J A

253, TRusr # l254. ~tlbank Money Market Act A hUerest K T

2 5 ~ .

.................................................................................................... J


19/65

Name of Person Reporting Dale of ReportF IN A N C IA L D IS CL O SU R E REPORT] W A R D L A W , K 1Mage 1 9 of 65 6 / 2 8 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . .. . e, value, tr .... cth, ns (Includes those of sp ....... d d e p e n d e n t c h i ld r e n ; s e e p p . 34-60 of filing inst,uctions.)NONE (No reportable income, assets, or transactions.)

D e s c r i pt io n o f A ~ e t s i I n c o m e d u r in g Gross value al end .~ 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 c l u d i n g t r u s t a s s e t s ) j r e p o r t i n g p e r i o d|Amount l Type(e.g., Value i Value T y p e ( e . g . , Date i Valu~ [ Gain I d e n t i t y o f~ l . ~ o ~ < r o n . . . . . ~ .... , t C o d o l I air, rent, Code2 i Melhod buy, sell, Imm/a~yy iCode2 [Code] buyer/sellere x e m p t f r o m p r io r d i s c l o s u r e, (AH)3 o r i n t . ) 0 - P ) i(QW) ~ Code3

r e d e m p l i o n ):i ! [ ( J - P ) j ( A - H ) . transaction) (if private

256. Abbott Labs Corn Stock A Dividend K T257. Air Prod & ChemicaLs Corn Stock None So l d 03/06/09 J258. Amgen Inc. Corn Stock None K |"259. Anadarko Petroleum Co rn Stock A Dividend K T260. Applied Materials Corn S tock A Dividend S o ld 1 2 ! 0 4 / 0 9 K2 61 . A v ery Den ni so n C o r n S t o ck A D ividend S o ld 07/23/09 J262. Bershire t~iathaway None K T263. Best Buy A Dividend K T264. BHP Billiton Corn Stock None K T

265. Biogen IDEC Corn Stock None K T266. Broadcom Corp Corn Stock None K T S o ld 1 2 ! 0 4 / 0 9 J(part)267. Burlington Santa Fe Corn Stock A Dividend So l d 12/04/09 K E268. Chevron Corp Corn Stock A Dividend K "1"269. Cisco Syslems Corn Stock None K 3"270. Citicorp Corn Stock A Dividend So l d 12/04/09 J271. Colgate-Palmolive Com Stock A Dividend S o ld 04/17/09 ! K C

272. Coming Inc Corn Stock A Dividend K T

(See CoI~ans B I and I )4) F =$50,~ 1 - $ 100,~0 G = $100,001 - $ 1,000.0~ H l =S ] ,000,O01 - SS,~0,0O0 H2 =More than


20/65

N a m e o f P e r s o n ]R e p o r t i n g

I

D a t e o f ] R g p o r tFINANCIAL D IS C L OS U R E REPORT. 1 , W A R D L A W , K I M lV l .ag e 20 of 65 6 / 2 8 / 2 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . co m e , , u l~ e . ~ ..... t l o n s ( I n c l u d e s t h o s e of sp . . . . . . d dependent children; see pp. 34-60 of filing ins~uctions.)N O N E ~ o reportable income, assets, or ~ansactions.)

Description of Asse~ ~ Income ~ng Gross value al end I Tran~cfions during reposing(including ~sl asseis) [ reposing ~riod ......... o f r e p o s i n g . _ _ p e r i o d . . . . . . ~ .......... .................P l a c e " ( X ) " a f t e r ~ h a s s e t j A m o u n t ] T y p e ( e . g . , Value ~ Value ] T y p e ( e . g ., Date I Value Gain Id~tily of~om ~ or disclosure ~. Code(A.H)ldie. ~nt, C o d e 2 [ ~ " M e t h o d [ b u y , ~ 1 1 , m~d~ ~ Code 2 ~ Codeemp ~ ~ 0r i n t . ) O - P ) C o d 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~ - IQ-W) [ ~ t ~ n s a c l i o n )

273. Costco Co W A Dividend K274, CVS Caremark Corn Stock A Dividend K T

275. Danaher Co~ C orn St~k A Dividend K T276. Dentsply Int! Corn St~k A D ividend S o ld 07/16/09 K B

~ 277. The Wult Disney Co. Corn Stock A Dividend K T2~8. Ebay Corn Stock None J 7 1 So l d 07/16/09 J(pa~)279. FPL Group Corn Stock A Dividend K T280. Fo~ne B~n~ Corn St~k A Dividend J2 8 1 . GE Corn St~k A Dividend K T Bu y ~/17/09 K

282. Gilead Sciences Corn St~k None K T Bu y 0 3 1 2 5 1 0 9 K283. Goldman Sachs Group Corn Stock A Dividend K284. Home Depot lnc Com Stock A Dividend K T285. IBM Corn Stock A Dividend K T286. Intel Cnrp Corn Stock A Dividend K T287. Johllson & Jolul$on (,.om Slock A Dividend K T

" 2 8 8 . Lockheed Martin Co rn Stock A Dividend K T2 8 9 . Medtronic Inc. Corn Stock A Dividend K T

1. Income Gain C o des: A .~$1.000 or less B =$1,001 - $2,50tl C "" $2,501 - $5,000 D ~$5.001 -5|5,00D E =SIS .001 - $50.000(See Columns B I and D4} F =$50,001 - $100.001) G ~SI00.00I - $1,000,000 H I = $ 1, 00 0. (I t} l - $5 .0 00 .0 00 H 2 = M o re lh an $5 .0 00 ,0 00

2. Value Codes J .~SI 5,000 o r less K ~$15,001(See Columns CI and D3) N = $250.001 $500.000 O ~5 50 0, 00 1 - $ 1 .0 ~1 ,1 10 0 P I = S I ,( ~O 0. 00 1 - $5 ,0 00 ,0 00 P2 -55.000,001 - $25.000.000

P3 =$25.000,001 - $50,1)00,0(J0 P4 ~Mote than $50.1/00,000


21/65

]Namef P e r s o n R e p o r t i n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT] W A R D L A W , K I M M .

Page 2 1 of 65 6 / 2 8 / 2 0 1 0

N O N E (No reportable income, assets, or transactions.)A . B. C.De~fiption o f A~ets l n c o m ~ d u r in g G~ss v~ue at end Tv~cfio~ during ~po~ing(including ~st ~ets) ] rep~ing period of repo~ng period

V ~ l u ~e x e m p t ~ o m p r i o r d i s c lo s u r e } C o d e I t! div., r~t, C o d e 2 le~od b u y , ~ 1 1 , imm/d~ ! Code 2 : Code 1 buyer/seller~ ( A - H ) I orint.) ( J - P ) C o d e 3 r e d e m p t i o n ) ] (J-P) , (A-H) ( i f p r i ~ a t e

290 . l ic~so~ CoO. Corn Stock A ~ivldend ~ T ~u y 05/~t092 9 1 . Oracle CoO A ~ividend K T

2 9 2 . Pepsico lnc Co rn Stock A Dividend K 272 9 3 . Prt~:tor & Gamble Co m Stock A Dividend K T294, Qualeomm Inc. Corn Stock A Dividend K T2 9 5 . Royal Dutch ADIt Corn Stock B Dividend K T296. SE1 Investments A Dividend K T297. Sempra Energy Corn Stock A Dividend K T298. Smith Intl Coin Stock A Dividend J T

299. Sysco Corp Corn Stock A Dividend Sold 10/30/09300. Ta;ge! Cot"l) Corn Stock A Dividend K T Bu y 06/16/093 0 1 . Teva Pharm AD R Corn SIcok None K T Snld 07/16/09(part)302. Transocean Inc Co rn Stock None K T3 0 3 . US Bancorp Corn Stock A Dividend K T3 0 4 1 Verizol~ C oin Stock A Dividend K T3 0 5 . Vodafone AD R A Dividend K T3 0 6 . Vttlcan Materials Corn Slock A Dividend J T


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FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tPage 22 of 65 W A g D ~ A W , K I M M . 6 / 2 8 / 2 0 1 0V I I. INV E S T M E N T S a n d TRU STS -~ N O N E (No reportable income, assets, or transactions.). . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. ~ - . . . . . . . . . . . . . . .. . . . . . . . . . . . . . ~ ..... ~ ..... c. i D .

I~scription of Assets ~ lncome d~ing Gro~ value at end [ T~ctions ~ng ~ing ~od(including ~st asmls)

~~i~ ...............~ .......... ~i~ -~ ~ (1) ~T (3) ~ (4) [ (5)Place "(X)" a~er each as~l ~ A m o unt Type (e.g,, Value = Value T~e (e,g., Date Value ~ Gain] ldentiw of

exempt ~m prior disclo~re [ Code I dN., r~t, Code 2 Meth~ buy, sell, m~d~)~ [ Code 2 ~ Code 1 buyer/seller~!(A H )

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

redemption)~ (J-P)~l (AH)~[ ~ s a c t i o n ) ( i f P f i v a t e

307 . Zimmer Ho ldings C o rn S to ck N o ne K T308. DFA Emerging Markets Fund A Dividend Sold 1 0 1 3 0 / 0 9 K B309. DFA Large Cap Int l Fund C Dividend S o ld 10/30/09 M310. DFA US Micro Cap Fund A Dividend So l d 1 0 1 3 0 / 0 9 K311. 1Shares MSCI Index Fund B Dividend M T B uy 1 0 1 3 0 / 0 9 M312. 1Shares Small Cap Index Fund A Dividend L T B uy 10/30/09 L313. Powershares Clean Energy Fund A Dividend J T314. Vanguard Emerging Market Fund A Dividend K T B uy 10/30/09 K315. CapitalTmst A ccount

3 16 . A B B O TT L A B O RA T O R hE S B Dividend So ld 05/15/09 L A( p a r t )317. A I~B O TT LA B O RA TO R IES S o ld 05/18/09 L A318. ADOB E SYSTEMS INC None L T BU Y 10/14/09 K319, A D b B E S Y S T E M S I N C BU Y 10/30/09 K320. AETNA INC None BU Y 09/16/09 K321. AET NA i NC BU Y 09/17/09 K322. A ETNA INC So ld 02/26/09 J A( p a r t )323. AE TN A I N C Sold 05/19/09 K A(pan)

Col u m n C2 ) U =B~k Value V =Ofl~er w =Estimated


23/65

Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT] WARDLAW, KIM M.

6/2812010Page 23 of 65VII. I N V E S T M E N T S a n d T R U S T S - i . c o , ~ , v o ~ , ,. , , . . . s .e ~ o , ~ a . d . ~ . ~ , ~ o . ~ o / . ~ . . . . . . ~ d ~ . . , ~,~,~ ~ ~ . ~4-~0 ~ f m~ i~ .~ .~

N O N E (No reportable income, assets, or transactiom)A . B. C. D.

Descfiplion of As~ts ,~ Income d~mog Gro~ value at end T~sactio~ dur ing reposing per iod(including ~st assets) . ~ reining period of reporting periodPlace "(X)" a~er each assel Amount ~ T~e (e.g., Value Value Type (g., [ Date [ Value Gain Identity o f[ Code 1 div., rent, C o de 2 Metho d buy, sefi, ~m~d~ Code 2 Code 1 buyerlsellerexempt from prior disclosure i (A-H) ? or int.) (J-P) C~e 3 redemption) [ ~ (J-P) (A-It) (ifprivate

324. AE~A ]NC S o ld 10/08109 J A

325. AE~A 1NC S o l d 10109/09 J A(part)

326. AETNA INC Sold 10/12/09 J A

327. AE~A ~C S o l d 10/13/09 J(pa~)328. AETNA INC S o l d 10]14/09 J A(p~t)329. AE+NA INC S o l d 10/15109 J A(pa~)~30. AEtnA ~C Sold 10116/09 J A

(part)331. AETNA INC S o l d 10/19/09 J A(par0

; 332. AETNA INC Sold 10/20109 J A

] 333. AFLAC INC None Sold 01/22i09 K A~334. AGILENT TECHNOLOGIES None M T S o l d 10/05/09 K AN C

(part)335. A1R PRODUCTS & CHEMICALS 1NC C Div idend M T

336. ALBERTO CULVER CO A Div idend L T BUY 09/16/09 J

337. ALBERTO CULVER CO BUY 09/17/09 Jr338. ALBERTO CULVER CO BUY 109/18/09 J

33 9. ALBERTO CULVER CO BUY 09/21/09 J

(See Cohlmn C2) U - Bo o k V alue V =Other W =E st~ated


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FIN A N C IA L D ISC L OS U R E R E POR T s .... r P e . o u a ~ p o . i .g r ~ a , e o f ~ e p o -[Page 24 of 65

WARDLAW, K I M M . 6 / 2 8 / 2 0 1 0

VII. INVEST MEN TS a n d TRU STS - i~ ....... t ~ . , 1 ~ . . . . . . ao.~ a-,,~,~o~ o/~ ...... ~NONE ~o reportable income, assets, or transactiom.)

A. ~ B. C.~[ D.Des~ption ofA~ t~ Income during Gross value at end t Tr~sa~tions ~ng re~ng ~iod(including ~sl as~ts) reposing period .... 2.( rep~ngE~.?~

Place "(X)" after each asset Amount T~e (e.g., Value Value T~ (e.g., ] Da~ I Value Gain Id~ti~ ofexempt ~om prior discl .... [ Code I ! di ......K C~ 2 Metho d buy, sell, I m~yy ~ Code 2 I Code 1 buyer/sellcr

I(~t) ~ o rint:) (J-P)C~e3 redemption) [ [ (J-P) [ (A-H) (ifprivate(Q- W ) [ ~ t~n~ction)

341. ALBERTO CULVER CO BUY

342. ALBERTO CULVER CO B U Y 09/24109, J

343. ALBERTO CULVER CO B U Y 09/25/09 J

[ 3~. ALBERTO CULVER CO B U Y 09128~09 J

345. A L B E R T O C U L V E R C O BU Y 0 9 / 2 9 1 0 9 J3 4 6 . A L B E R T O c u L v E R C O B U Y 09/30/09 J347. A L B E R T O C U L V E R C O BU Y 1 0 / 0 1 / 0 9 ~ J348. ALBERTO CULVER CO B U Y 11/13/09 J

349. A L B E R T O C U L V E R C O B U Y 11/16/09 J

350. A L B E R T O C U L V E R C O BU Y 11/17/09 J351. A LLEGEN Y T EC H N O L O GI ES 1N C C Dividend M T BU Y 01/05/09 J352. ALLEGENY TECHNOLOGIES INC B U Y 01/06/09 J

353. AL L E G E N Y T E CHN O L O G IE S I N C BU Y 01/07/09 K354. ALLEGENY TECHNOLOGIES INC B U Y 01i08/09 J

355, AL L E G E N Y T E CHN O L O G IE S I N C BU Y 1 1 1 / 0 9 / 0 9 J356. AL L E G E N Y T E CHN O L O G IE S I N C BU Y 10/29/09 K

357. AL L E G E N Y T E CHN O L O G IE S I N C BU Y 10/30/09 K

(S et " C ol um trs B | a nd D4 1 F =$ 50 ,0 01 - 5 10 0, 00 0 G =5 t00,001 - $1.000,000 HI =$l.000,00l - $5.0~.000 H2 =More than SS,0OO.000 [2. Value Codes ) =$15.000 o1" 1~ K "515.001 - $50.000 L =S 50,001 - $100,000 M =S I00.001 - $250,/~0 i

(See Columns C I and I131 N =$250,00! - $500,01~ O =$500.001 - $1.000.00f) PI =$1,000.001 - $5,000,000 P2 ~.$5.000,001 - $ 25,000,000


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FINANCIAL DISCLOSURE REPORT I N ....f Pc .... Reporting t Date of ReportPage 25 of 65] W A R D L A W , K I M M . ]

6128/2010

Vll. I N V E S T M E N T S a n d T R U S T S - ~ c o m e , ~ ,1 . e , tr ..... ,ions (Includes those of s~ .......d d epend ent eh i ldre . ; see pp.~ NO N E (No reportable income, assets, or transacliom.)~. - ...................... ~ . - . . . . . . . . . . . . . . . . . . . . . . . . ~ ..................D~fiption of A~ts ~ncom during G r o ~ s v M u e a t e n d Ten,actions darin g re~ng ~fiod

( i ~ ] u d i n g ~ s t a s s e t s ) r c p o ~ i n g p e r i o ~ o f r e p o ~ i n g~~;[ ......2 ~ . . . .;~ ~ ........~ .........3~ .............2;---~ "~--[


26/65

Page 26 of 65 [ W A R D L A W , K 1 M I ~ L 6 / 2 8 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i ~ e o m e , * . a ~ n e , ,, .... a o , s (Includes those ofsp . . . . . . d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 a f f i l i n g i n s t r a c t i o n ~ )---] NONE ( No reportable income, assets, or transactions.)

A . !- ~. c. D . " . . . . . . . . .. . . . . . . . .. . . . . .D e s c r i p t i o n o f A s s e l s i I n c o m e d u r in g G ro s s v a l u e a t e n d T r a n s a c t i o n s d a 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 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 o i- r e po rt i n g p e ri o dP l a c e " ( X ) " a f t e r e a c h a s ~ t Amo unt ] Type (e.g., Value [ Value T y p e ( e . g . , D a t e Value Gain I I d e n t i t y o fexemplfrompriordiselosare Code l I di ...... t, Code2 i M e th o d buy, sell, m m / d d ,, ~ y i C o d e 2 Codel [ buyedseller(A-!t) i o r i a t 0 ( . I - p ) ;i C o d e 3 r e d e m p t i o n ) [ ( J - P ) IA-H) [ trans~etion)(ifprivate

] 3 75 , A M ER I C A N T O WER C O R P C L A None M T3 76 . A M E R IC A N W A T E R W O R K S C Dividend M T B U Y 08/13/09 M

3 77 . A M E R IC A N W A T E R W O R K S BU Y 08il4/09 K3 7 8 , A MER IC A N W A T ER W O R K S B U Y 08/17/09 J

3 7 9 . A MER IC A N W A T ER W O R K S B U Y 08/t8/09 J

380. A MER IC A N W A T ER W O R K S BU Y 08/24/09 J

3 8 1 . A M E R IC A N W A T E R W O R K S B U Y 08/25/09

3 8 2 . APPLE INC None K T383. AT&T INC D Dividend J T S o ld 01/09/09 J A(part)384. AT&T INC So l d tl/20/09 L A(part)3 8 5 . AT&T INC So l d I1/23/09 L C(part)3 8 6 . B AE SY ST E M S PL C SPO N AD R B Dividend K .l" BU Y 12/02/09 J

~ 3 8 7 . B AE SY ST E M S PL C SPO N AD R BU Y 12/03/09 K3 8 8 . B A E SY STE MS PL C SPO N A D R So ld 10/29/09 K A(part)3 8 9 . B A K E R H U G H E S IN C A Dividend (part)Suit 05/13/09 J A3 9 0 . B A K E R H U G H E S IN C S o ld 05/18/09 J A3 9 1 . B A N K O F N E W Y O R K M E L L O N C O R P A Dividend K T BU Y 06/17;09 K

}.IncomeGainCodes: A~$1,000orless B:$},(gll -$2,500 C~=$2,501 -$5,000 D=$5,001 -$15,000 E=$15,001 -$50,000


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FINANCIAL DISCLOSURE REPORT ~ m ~ o f P e r s o n R e p o r t i n g D a t e o f R e p o r tPage 27 of 65 W A R D L A W , K I I V ! M . 6 / 2 8 / 2 0 1 0

VII. INV E S TME N TS an d TRUSTS - i . . . . e , ~ . ~ .... c ~ o n s a ~ , # ~ s ~ h o ~ o f . .. . . . . ~ ~d~t ~,~ ~ ~r . ~4-~0 o ~ i~ ~ , ~ , io ~ . ~ . ~~ N O N E ~ o reportable income, assets or transactions.)~ .............. k.- ..... ~ , c. D .l D~ription of A ssets Income during G~ss va~ at ~d "[~cfions during rcpo~ng ~od~ (includ~g t~st ~ts) reposing priod z o f r e p o n l n g

(~) (2) (~) (2) (I) (2) (3)~ Place "(X)" af~ each as~t A m o u m T~e (~.g., Valu~ Valuc T~ (e.g., D a l e Value Gain I d c n t i W[ e x e m p l ~ o m p r i o r d i s c l o s u r e Code I d i v . , r e n L C o d e 2 Meth~ buy, sell, mm!d~ Code 2 [ Co~ ] buyer/sell~[ ( A - H ) o r i n t . ) ( J - P ) Code3 r~emption) ~ (J-P) ~ (A-Ill ] ( i f p r i v a t e

3 9 2. B A R ~ C K G O L D C O R P U S $ B Dividend M T So l d 01/09/09 ff A(pan)393. B A R R I C K G O L D C O R P U S $ So l d 09/02/09 K D(pan)394. BA X T ER I N T ER N A T I O N A L I N C C Div~end M T3 9 5 . B A Y A R E A T O L L A U T H F I SA N F R A N D Interest N TCA SF 5.0% 04/01/34396. BER K S H I RE H A T H A WA Y I N C C L A None L T3 9 7 . B E ST B U Y I N C A Dividend K T398. B IO GE N ID EC 1N C N o ne BU Y 02/03/09 K399. BI O GEN 1D EC I N C BU Y 02/04/09 K

400, BI O GEN I D EC [ N C BU Y 02/05/09 K

401. B I O G E N I D E C I N C B U Y 02/06/09 J402. BIOGEN IDEC INC BU Y 02/18/09 J403, BI O GEN I D EC 1N C BU Y 02/26/09 J404. BIOGEN 1DEC 1NC BUY 04/20/09 J

405. ~ I O G E N I D E C I N C BU Y 08/]0/09 J406. B I O G E N I D E C I N C Sold 10/30/09 J A(part)407. BIOGEN IDEC INC S o L d ~ 1 1 / 0 2 / 0 : ) K A( p a r t )408_ BIOGEN 1DEC INC S o ld 11/03/09 J A(part)

1. lnconte Gait, Codes: A =$1,000 Or I:is B -$1,001 - $2.500 C -$2,501 - 55.01.a.~ D =$5,001 - $15,000 E =515.001 - $50,000


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N a m e o f P e r s o n R e p o r t i ng I D a t e o f R e p o r tPageFINANCIAL28 of 65 DISCLOSU RE REPORT [ WARDLAW, K I M M.[ 6 / 2 8 / 2 0 ] 0

V l I . I N V E S T M E N T S a n d T R U S T S -i~ .... ~ value, t ..... tlons (lnetudesthose of sp ...... d d~endent chitdren; see~ $4MO o/fitlng instrua~ns.)NONE ~o reportable income, a ssets, or transactions,)

D e s c r i pt io n o f A ~ e t s(including ~st "Pla~ "(X)" afl~ each

e x e m p t ~ o m p r i o r d i s c l o s u r c C~e I [ d i v . , r e n t , C o d ~ 2 M e t ho d buy, sell, m~d~ ~ C~e 2 Code l b u y e r / s e l l e r, [ (A - H ) ~ orim.) ( J - P ) C~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 ) ~ tr~ction)

409, B]~ IDEC ]NC S o ld 1/04/09 ] A410. B I O G E N I D E C I N C S o ld 11/05/09 K A411. B I ~ E N 1 D E C I N C S o ld 11/06/09 K A412. B O E 1 N G C O A Dividend K T BU Y 11/02/09 K413. B OEING C O BU Y 11/19/09 J414. B O E I N G CO S o ld 03/04/09 J A( p a r t )415. B O E I N G CO S o ld 0 6 / 2 _ 3 / 0 9 K A(part)416. B R O A D C O M C O R P None K T B U Y 02/19/09 K417. B R O C A D E C O M M U N I C A T IO N S S Y S None K T B U Y 01/07/09 .IIlqC4 1 8 . B R O C A D E C O M M U N I C A T IO N S S Y S BU Y 101/08/09 J419. I 3RO CAD E CO M M U N I CAT I O N S SY S BU Y 01/09/09 JIN C420. B R O C A D E C O M MU N IC A TIO N S SY S B U Y 01/13/09 JI - N C421. B R O C A D E C O M M U N I C A T IO N S S Y S B U Y 01/t4/09 J422. B U RK E G A O G L E T HO RPE PWR E SF D l r ~ t c r e s t M T7.0% 0 I/01/23423. C A P U B W K S L E A S E R E V B O N D S A None So l d 05/01/09 M AA M B A C424. CA ST DEPT W TR RES Q 5.0% 3/1/17 1 3 Interest S o ld 05/01/09 L A425. CA ST DWR PWRSUPPLY REV 5.0% D I n t e r e s t M T BUY 01/08/09 M05/01/21

: I. lncoJ~t Gain Codes: A =$1,000 or less .............. B =$i .00 [ - $2,500 c =$2.501 - s5.000 D =$5.001 - $15,000 E = $15.001 - $50.000i (See Columns BI t rod D4) F =$50,001 - $ 100,0(10 G =$ 10 0,0 01 - $1 .0 [~ O,0 00 H I = $1 ,0 00 ,1 ~01 - $5 ,0 00 .9 0~) H 2 = Mo re th an $5 .0 01 1.0 002. Value C~rdes J ~$ I 5,000 or less K =$ I ~,001 - $50.1i00 L =$50,00| - $100,000 M =$100,001 . $250.000, (See Columns C I and D3) N -$250,001 - $500,000 O ~$500,001 - $ I,t)01),000 P I = 5 1, 00 0. 00 1 - $5 ,0 00 ,0 00 P 2 = $ 5, 00 0, 00 1 - $2 5, 00 0. 00 0

(See Column C2)P3 ~-S25,000,001 - 550,000,000 P4 =More Ih~n $50,000,000

3 Value M e t h o d Ctv3es Q =Apprai~l R ~Cost (Real Eslalc Only) S ~A~sessm~n! T =C~sh M arketU = Bo o k V alue V ~()lher W =Estimated


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N a m e o r P e r s o n R e p o r t in g [ D a t e o f R e p o r tF IN A N C IA L D I SC L O SU R E R E POR TI W A R D L A W , K 1M M .age 29 of 65 6 / 2 8 / 2 o 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - income., v a l u e , tr ..... rions ( I n c l u d e s t h o s e of s pous e and dependent children; see p p . 3 4 - 6 0 o f f i l i n g instructions.)NONE (No reportable income, assets or transactions.)

A. i B. C. : D.D e s c r i p t io n o f A s s e t s ! l n o m e d u r in g i Gross value at end i 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(including 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 d ( t) (~-) [ O) (4) ( 5 3

Value ] Valuel a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y p e (e . g . , , T y p e ( e . g ., Date ! Value G a i n I d l l t i l 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 re C o d e 1 d v, rent, C o d e 2 M e h o d buy, sell, i r ~ r n d d d ]y y C o d e 2 C o d e 1 buyer/selleri(AH) o r i n t . ) ( J - P ) Code3 r e d e m p t i o n ) ! [ (J-P) (A-If) ( i f p r i v a t e

426. CA ST ECON KECOV A FG1C 5.25% C Interest So l d 0 4 1 0 3 1 0 9 ] M B711/13427. CA ST GO 6.25% 09-01-12 C Interest L T

428, CA ST GO N ATL 5.0% 06/01/15 C Interest M T B U Y 0 7 / 2 4 1 0 9 M429. CA ST GO SF 5.0% 10/01/29 None M T. B U Y 10/09/09 M

430. CA ST U N I V SY ST E M WI D E RE V SE R A E Interest N TAMBA C 5.0% 11-01-17431. CA STW D JOHN MUIR HLTH W/1 5% E Interest N TO8/15/2021432. CA STWD ST JOSEPHS HLTH FSA 4.5% D Interest N T07/01/18433. CALIFORNIA ST 5% 9/01/2031 None So l d 01/27/09 M A434. CALIFOR NIA ST RE F 5% 3/01/2020 None So l d 0 1 / 2 " 1 / 0 9 N A

435. CAL I F O RN I A ST G / O B D S SE R 5% C Interest M T BU Y 08/06/09 M11/01/201343 6 . C A MEC O C OR P US $ A Dividend M T B U Y 01/28/09 J

, 437 C A M E C O C O R P U S $ B U Y 01/29/09 J438. CAM E CO C O RP I JS$ BU Y 04/27/09 J439. CAMECO CORP US$ BUY 04/28/09 K

4 4 0. CAMECO CORP US$ B U Y 05/01/09 J

441. C A M E C O C O R P U S $ BU Y 105/04/09 J442. CAM PB E L L SO U P CO A Dividend S o ld 01/13/09 K C(part)


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FINANCIAL DISCLOSURE REPORT , ~ e o r e e . o . ~ e ~ , o . i. g D ~ t e o r a o ~ . .Page 3 0 of 65 WARDLAW, K 1 M M . 6 / 2 8 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i. ~ m ~ , ~ , , ...... ,~ (Includes those of sp ...... d dependent children; see pp. 34-60 of f!llng instruction~.)

N O N E (No reportable income, assets, or transactions.)

Des~ption of Assets I I n c o m e d u r in g ~ Gro~ valne at end [ Transactions during reining ~riod(including ~st a~ets) ~_ repo~ng period ~ o f r e p o s i n g p e r i o d ~f r o m p r i o r d i s c lo s u r e ." : )

m~/ buys/miler- - . - ( i f p r i v a t e~saefion)

~ 43 . C A MP B ELL S O U P C O So l d 0M19/09 K B~. CANADIAN NATU~L ~SOURCES A Di~dend M TL T D U S $~45. C A N O N ~ C A D R A Dividend K T446. CAILDINAL HEALTH INC A Dividend S o ld 08/03/09 K A(part)447. CARD I N AL HE AL T H I N ( ; S o ld 08/04/09 K A448. CARNIVAL COILP COMMON PAIRED None K T S o ld 05/19109 J AS T O C K (part)4 4 9. CARN I VAL CO RP CO M M O N PA I l L E D S o ld 05/20/09 K AS T O C K (part)45 0. C ELG ENE C OR P None L T B O Y 01/08/09 K451. CE L G E N E CO RP BU Y 01/13/09

452. C E NT RA L V L Y C O G E N C A R S O N - IC E None M T BU Y 08/07/093.5/,, 07/01/201445 3 . C ER NER C OR P None M T BU Y 03/05/09454. C E R N E R C O R P BU Y 03/18/09 K455. C E R N E R C O R P S o ld 10/08/09 K D(part)456. C E R N E R C O R P S o ld 10/21/09 J C(part)457. C E R N E R C O R P So ld !0/22/09 J C(part)458. C H E V R O N C O R P B Dividend L T BU Y 02/12/09 K459. CHEVRON t .:ORP BU Y 09/17/09 J i

1. Income Gain Codes: A =$1.000 or


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FINANCIAL DISCLOSURE REPORT r~ ..... fP ..... R e p o r t i n g I D a t e o f R e p o r ~ ]Page 3 1 of 65 WARDLAW, K I M M . 6 / 2 8 ] 2 0 1 0VII, INVESTMENTS and TRU STS - in ....... t u , , t r a n s a c t io n s ( I n c lu d e s t h o s e of ,p . . . . . . d d e p e n d e n t c h i ld r e n ; s e e p S . 34-60 of finng ins~aetion~)

N O N E (No reportable income, assets, or transactions,)A. C.De~ption o f A~ets ~ 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 d Tractions ~fing re~ing period(including ~st assets) reining ~6o d o f r e p o r t i n g p e r i o d

Place "(X)" a~ each asse~ ~ A m o u n t T yp e ( e , g . , " V al u e Value " l y ~ ( e . g . , ~ ~t Date ~ Value G~a Id~tity o fexempt ~om p6or di~losure ~ C o d e I d i v . , r e n t , C o d e 2 M e t h o d buy, sell, mmtdat~ ~ Co de 2 Co de I buyerl~ller[ {A-H) ~ orinl.) ( J - P ) C~e 3 r~emption) ~ [ (J:l) ( A - H ) ( i f p r i v a t e

460. cisco SYSTEMS ~C None M T

461, CITIGROUP INC A Dividend S o ld 02/17/09 J A

462. CITIZENS PPTY INS CO RP FL A 1 6.0% D Interest M T BU Y 05/01/09 M06/01/2016463. C LEA R W A T ER F L WT R iS WR B 5 . 0% C Inlerest M T BU Y 05/15/09 M12/011184 6 4 ~ CO AST CM N T Y CO L L E G E D I ST CAL I F D Interest So l d 05/07/09 N DSER B 5% 8/01/20214 6 5, C O C A - C O L A C O C Dividend L T4 66. CO L G AT E -PAL M O L I VE CO A Dividend K T BU Y 05/20/091 J4 67 . CO L G AT E -PAL M O L I VE CO BU Y 05/21/09 J468. COLd;ATE-PAL MOLIVE CO B U Y 05/22/09 J

4 69 . CO M CA ST CO RP CL A B Dividend K "~" BU Y 11/03/09 K4 7 0 , CO M CA ST CO RP CL A S o ld 01/09/09 K A( p a r Q471. CO M CAST CO RP CL A S o ld 08/04/09 K A(pan)472. CO M CAST CO RP CL A S o ld 08/05/09 J A(part)

473. CO M CAST CO RP CL A S o ld 08/06/09 J A(part)474. CO M CAST CO RP CL A S o ld 08/07/09 J A(part)475. CO M CAST CO RP CL A S o ld 08/10/09 J A(part)476. CO M CAST CO RP CL A S o ld 08/12/09 J A(pan)


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]6/28/2010

~] (No reportable income, assets, orONE transactior~.)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 n n g G r o s s v a l u e 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 li n g p e r i o d

( 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 o f r e p o a i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s s e t :Amount I Type (e.g., Value --1 Value T y p e ( e . g . , ! Date Value Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i sc l o s u r e ! C o d e I i ~ d i v . , r e n t , C o d e 2 [ M e th o d buy. sell, [ m m / d d . Jy y ] C o d e 2 [ C o d e 1 b u y e r ! s e l l e r( A - H ) ~. 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 f p r i v a t e3_ ........... L . . . . . . . . . . . ~ ......... L ...................

4 7 7. CO M CAST C O RP CL A S o ld 12/07/09 K A(parl)478. CONOCOPHILL1PS A Dividond S o ld 04/20/09 K A479. C O S T A M ES A C A P F A A 5 % 10/1 / t2 B interest So l d 0 6 1 0 8 / 0 9 M A480. cosTcowHOLESALE CORP A Dividend L T481. CU CA M O N G A CO CA CO P WT R F G I C B Interest S o ld 04/21/09 L A5% 09/01/19482. DA NA H ER C OR P A Dividend M T BU Y 10/t4/09 K .483. DAVITA INC None M T484. DELL INC None S o ld 0 1 1 0 9 / 0 9 J A

i 8 5 ~ D ELT A P ET R O LEUM C O R P None So l d 01/08/09 J A486. DnLTA PETROLEUM COR.P S o ld 03/06/09 J A( p a r t )487. DELTA PETROLEUM CORI: (part)Skl 03/10]09 J A488. D ELT A P ET R O LEUM C O R P So l d 03/11/09 J A489. D I A M O N D O F F S H O R E D R I LLI N G 1N C A Dividend J T BU Y 0 9 / 2 2 / O 9 J490. D I SCO VE RY CO M M U N I CAT I O N S I N C None K T B U Y 05/20/09 JC L A491. D I SCO VE RY CO M M U N I CAT I O N S I N C B U Y 05/21/09 JC L A4 9 2. E AST WE ST B A N CO RP I N C A Dividend So l d 03/02/09 J A(part)493. EAST WEST BANCO RP IN(: Sold 03/03/09 J A(part)

A =$ 1,0O0 o r tess =$1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $ I2. Value Codes J $t5.0(~) or less K =$1.~,~1 - $50,0~0 L =$50,001 - $100,000 M =SI00,00I - S250,~

(See Columns C I and D3) N =$ 250,0 01 - S 500.0~ O =$ 500,001 - 51,000,0~ PI =$1,0~,001 - $5,0~,0~ P2 =S5,000,00~ - S25,~0,000


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FINANCIAL DISCLOSURE REPORT] N a , . e o f P . .. ..

a , , p o . i . gPage 33 of 65 W A R D L A W , K I~ M . 6/28/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~.co.,...~.., ~ ....... n o . ~ O n c l u a e s ,h o a e of.g ...... d dependent children;N O N E (No reportable income, assets, or transactions.)

A. ~ Income d~ing ~ Gross ~alue at cud Tran~ctions during reportiug ~riode s c r i p ti o n o f A s s e t s i rel~mg ~5~5 .......... i_.... ~[.~}2~. ~.~ ...............Place "(X)" aft ..... h~sc, ~ A m o u n t T~e (e.g., Value Valuc r,e (e_g., t Date I Value Gain ld~ti~ ofe x e m p t ~ o m p r i o r d i s c l o s u r e ~ C o d e I d i e . , r e n t, C o d e 2 Me~od b u y , s e l l , ]~Gd~ ~ Code 2 ~ Code 1 buyer/~llcr1A - H ) 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 - H ) ( i f p r i v a t e

494. E A ST W E S T B A N C O R P IN C So ld 03/04/(~ J A(paa)4 9 5. E AST WE ST B A N CO RP 1 N C So l d 03/10/09 J A496. E B A Y I N C None L T BU Y 01/06/09 K497. E B A Y IN C So ld 10/05/09 J A(part)498. E C O L A B I N C A Dividend L T BU Y 03/31/09 J499. ED I S O N I N T ER Iq A T I O N A L B Dividend L T BU Y 01/15/09 J500. EDISON IN TER_NA TIO NA L BU Y 01/16/09 K501. ED ISO N IN TER N A TIO N A L BU Y 0]/20/09 K502. E L C E N T RO C A A U T H W T R A M B A C A B Interest MATURITY 10/01/09 K A4.8% I 0/01/0950 3 . E M E RSO N E L E CT RI C CO C Dividend M T BU Y 05/21/09 J5 04. ENER G IZER H O LDING S INC None K q " So l d 11/02/09 K A( p a r 1 )5 0 5. E O G R E S O U R C E S I N C A Dividend L T BU Y 03/26/09 K5 1 ) 6 . E O G R E S O U R C E S I N C BU Y 8/12 K507. A M ER I C A N F UN D S EUR O P A C 1F 1C E Dividend P1 T B uy 6/15 LGR O WT H F UN D C L I ;250 8 . E X X O N M O B I L CO RP B Dividend K T S~ld 06/12/09 J D(part)5 09. FEDEX C OR P A Dividend L T BU Y 06/04/09 J510. FED EX CORP BU Y 06/05/09 J


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[--] NONE (No reportable income, assets, or transactions.)A. B. C. ~ D.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 Gross value at end [ T r a n s a c t i o n s d u r i n g r e p o r ti n g p e r i o d( 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 o f r e p u r t in g p e r i o d

(1) (:z) (I) (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 un t T y p e ( e . g . , Value Value i T y p e ( e . g ., D a t e Value 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 sc l o s u r e C o d e 1 d i v : , r e n t , C o d e 2 M e t ho d [ buy, sell, m m / d d / y y C o d e 2 C o d e 1 buyerlseller( A - H ) o r i n t . ) ( J - P ) : Code 3 i 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 ) 1 [ t r a n s a c t i o n )

5 11. FEDEX C OR P B U Y )6/17/09 K5 12. FIR S T S OLA R INC None L T B U Y 02/26/09 K5 13. FIR S T S OLA R INC B U Y 11/04/09 J514. FIR S T S O L A R IN C S o ld 05/26/09 K D(part)515. FL W TR PCR SE R A SF 4.75% 01/15/25 C Interest M "1" BU Y 01/09/09 M516. F L ST B O ARD O F E D G O SE R B 5 .0% D Interest M T B U Y ~ 0 2 / 1 1 / 0 9 M06101/2023517. F L U O R C O R P A Dividend K T S o ld 1 0 1 2 9 / 0 9 J518. F L U O R C O R P S o ld 1 1 1 0 2 1 0 9 J C( p a r t )5 1 9 . FLUOR CORP S o l d I 1 / 0 3 / 0 9 J C(part)520. F L U O R C O R P S o ld 11/04/09 J C(part)52]. F L U O R C O R P S o ld 11/05/09 J C(part)522. F L U O R C O R P S o ld 11/06/09 J C

( p a n )523. FOOTHILL-DE AN Z A CC 1997 FING None S o ld 05/08/09 L CPROJ FSA 4.9% 6/1111524. FREMONT CA U ttSD FGIC 5% 9/1/16 D Interest S o ld 05/07/09 I 4 E525. GENENTECH INC None S o ld 01/09/09 J A(pan)526. GENENTECH INC S o ld 02/03/09 K A(part)527. GE N E N TE CH IN C So ld 02/13/09 L A(part)

1. lnco m Gain C o des: A =$1,000 o r less B "$1,001 - $2.500 C -$2.501 - $5.000 D =$5,001 - $ I S.000 E =$15,001 - $50.000(See (~olumns B I and D4) F ~=$50,001 - $ I (}0,000 G = $ I DO,001 - $ 1,000,000 H I ~S 1 ,0 00 ,0 0 | - $ 5 ,0 00 ,0 00 H 2 =M o re th an $ 5, 00 0, 00 0

2. Value C o des | =$15,000 o r less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000(See Columns C I and D3) N =$ 250.0 01 - $ 500,00 0 O =$ 500,001 - $ 1.0 00.000 PI =$1.000.001 - $5,000,000 P2 =$5.000.001 - $25,000,000P3 -$25,000,001 - $50,000.000 P4 =More than $50.000.000

3 Value Met lz~d Codes Q =Appraisal R =(.~sl (Real Estate Only) S =Assessment T =Cash Markel(See Column C2) U : Bo o k V alue V =Olher W ~Estimated


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FINANCIAL DISCLOSURE REPORTPage 35 of 65 6 / 2 8 / 2 0 1 0V I I . I N V E S T M E N TS and T R U S T S - ~ , , e o , , ,e , . . t, , ., , .. .. .. a o , , . O n c t . a e s , n o s e o f s p o u s e a n d d e ~ n , ~ e m[ NONE ( 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 G r o s s v a l u e 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 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 o f r e p o r t i n g p e r i o d

Placc"(X)"aftcrcachassct ]Amount] Tyge(e.g-, V a h ~ e Value T y p e ( e . g . , Date [Value]Gain 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 sc l o s u r e C o d e 1 i d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d c t ~ y y C o d e 2{ A - H ) ! o r i u t , ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) [ (A -II)1 ( i f p r i v a t ei ( Q - W ) ! I u a n s a c t i o n )

52 8. G E N E N T E CH I N C S o ld 02/17/09 J A(part)529. GENENTECH I-NC S o ld 0 2 / 1 8 1 0 9 J A(part)53 0. G E N E N T E CH I N C S o ld 02/19/09 L D53 1. G E N E RAL E L E C T RI C CO D Dividend K T S o ld 05/20/09 J A(part)53 2. G E N E RAL E L E C T RI C CO S o ld 05/21/09 J A(part)53 3. G E N E RAL E L E C T RI C CO S o ld 11/02/09 L A" (part)534. G E N E RAL M I L L S I N C A Dividend M T B U Y 04!17/09! J5 3 5 . GENERAL MILLS ][NC B U Y 1t/18/09 J "5 3 6 . G E N E RAL M I L L S I N C B U Y 11/19/09 K

5 3 7 . G E N E RAL M I L L S I N C B U Y 11/20/09 K5 3 8 . GE N E RA L MILL S IN C B U Y 11/23/09 J5 3 9 . GENPACT krD None K T B U Y 10/30/09 .1540. GF;NIACT LTD B U Y 11/02/09 J5 4 1 . GEN PA CT LTD B U Y 1 1 / 0 3 1 0 9 J5 4 2 . GENPA CT LTD BU Y 11/04/09 J5 , : 1 3 . GENPA CT LTD BU Y 11/05/09 J

5 4 4 . GENPACT LTD BU Y 11/06/09 J


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6/28/2010Page 36 of 65VI I. INVEST ME N T S a n d T R U S T S -/,, . . . . . . . ~ u e , transactions (Includes those of sp ..... n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o / f! ll n g i n s tr u e t i o n ~ )D NONE income, assels, or lransactiom.)N o reportable................................ ~ ............................T---~. --- C. D.

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 in 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 r u s t a s s e t s ) i r e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d~ii; .......... 73 - . . . . . . . . . . . .ii7--l ~) ~ l ) . . . . . . . . . .. .i3-- ~-~ 7i;~P l a c e " I X ) " a f te 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 l 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 re C o d e 1 d i v . , r e n t , C o d e 2 / M e th o d b u y , s e l l ; m m / d d / y y Code 2 [ Code I buyer/seller( A H ) o r i n t . ) ( J ~ P ) / Code3 r e d e m p t i o n ) ( J - P ) [ ( A - H ) ( i f p r i v a t e/ fO-W) t r a n s a c t i o n ). . . .. . . . .. . . . .. . . .. . . . ~_ _ ,_ :_ _ _ ~ . . . .. . . . .. . . .. . . . .. . . . ..54 5. GE N PAC T L T D BU Y 11/09/09

54 6. GE N PAC T L T D S o ld 12/14/09 J A(pan)54 7 . G E N PACT L T D So l d 12/15/09 J A

54 8 . G E N PACT L T D So l d 12/16/09 J A( p a r t )5 4 9 . G E N P A C T LTD So l d 12/17/09 J A( p a r t )550 . G E N PACT L T D S o ld 12/18/09 J A(pan)551. G O L D E N ST AT E T O B ACCO RE F D G D Interest N T4.5% 06/01/2027552. G O L D E N ST T O B ACCO ST APPRO P C Interest M TA.MBA C 5.0% 06-01-145 5 3. G O L D M A N s Q u A R E T R E A S u R y S A C H S F IN A N C I A L A Dividend L T

i 554 . G O L D M AN SACHS F I N AN CI AL Sold I 1/24/09 L AS Q U A R E T R E A S U R Y (part)555. ( 3 O L D M AN SACHS G RO U P I N C B Dividend M T BU Y 04/14i09 J5 5 6 . G OLDMA N S A C H S G R OU P INC So l d 0 9 / 0 3 1 0 9 J A( p a r t )5 5 7 . G OOG LE INC C L A None M T So l d 09/02/09 K A(part)5 5 8. FIA NES B R A NDS INC None J T So l d 11/16/09 J A(pan)559. FIA N E S B R A N D S IN C S o ld 1 2 1 0 8 1 0 9 J A(parl)5 6 0. H A N E S B R A N D S I N C Sold 12/09/09 l A(part)5 6 1. H A N E S B R A N D S I N C So l d 12/11/09 J A(pan)


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FINANCIAL DISCLOSURE REPORT N .... f P .... R e p o r t i n g D m , e o f R e p o r tPage 37 of 65 W A R D L A W , K I M M . 6/28/2010VII. I N V E S T M E N T S a n d T R U S T S -i.co~e, ~ t u . , r . . . . . . , ~ . s (In clu des t hose of sp ou se a n d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 o f f i ~ n g i n s t r u c t l o . ~ )~ NONE income, a~wets, or transactions.)N o reportable

D e s c ~ p t i o n o f A s s e ~ ~ Income d~mg] G r o s s v a l u e a t e n d ~ Tmn~efions daring reposing ~riod

Place "(X)" a~ ..... h ~sel [A . . .. . t ~ Type (e.g., l Value [ Value [ T.e (e.g., Date ] Value Gain I d e n t i t y o fex~pt from prior ~sclosure ,,~ C~e(A_H)I I[d i o r . . . . . .n t J ~ ~~Codeo.p)2,I MelhOdcode 3: redemption)buy ~I1,m n ~ d & ) ) " ~ C o d e ( j . p )2 Code(A.H)l buys/seller(if private

[62. HANESB~NDS ~C So l d 12/14/09 I A(paa)563. HANESB~NDS INC S o ld ]2/18/09 J A(part)5~. HANES~NDS INC S o ld ]~3]/09 J A(pan)5 6 5 . H A ~ I S C O T X C H R I ST U S H L T H A 4 B Interest M T B U Y 07/21/09 MFSA A RC SF VA R 07/01/31566. HAWA II ST GO SER D T 5.0% ] 1/01/19 None M T BU Y 1 / 1 2 1 0 9 M567 . HE I N E KE N N V A D R A Dividend So l d 08/27/09 J A(part)568 . HE I N E KE N N V A D R S o ld 0 8 / 2 8 1 0 9 K D( p a ~ t )569. HE IN E K E N N V A D R So ld ) 8 1 3 1 / 0 9 K C( p a r ~ )57 0 . HE I N E KE N N V AD R S o ld 09/01/09 J C(part)571. HE IN E K E N N V A D R So ld 1 0 9 / 0 2 / 0 9 J C57 2. HE WL E T T -PACK ARD CO A Dividend L T57 3. HU D SO N CI T Y B A N CO RP I N C A Dividend K T So l d 05/05/09 J A(part)574. ILLINOIS TOOL WORKS INC C Dividend M T575. IND LOCAL PUB IMPNATL-RE PREREF C Interest M T BU Y 05/15/09 M5.5% 07/01/2014576. INTEL CORP None S o ld 0 1 1 2 2 / 0 9 K A577. 1NII~RNATIONAL BU SINESS C Dividend M T BU Y 03/31/09 JMACHIN ES CORP578. IRON MOU NTAIN INC None M T


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Ia m e o f P e r s o n R e p o r t i ng D a t e o f R e p o r tP a g e F I N A N C I A L 3 8 o f 6 5 D I S C L O S U R E R E P O R T ] WARDLAW, K IWI M. 6 / 2 8 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - . ,c o , . . , ~ , , ~ . ~ , ~ , . . . . tions [InCludes those of sp ...... d dependent children; see pp. 34-60 of filing instrt, ctions~)

HONE (No reportable income, assets, or transaction.~.)

Description of Asses I n c o m e d u r in 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 r u s t a s s e t s ) r e p o x a i n g p e r i o d ofreporling period

e x e m p t f r o m p r i o r d i s l o s u r e Code 1 ! div.,rent, Code2 I M e th o d ! b u y , s e l l , m m ! d d / y y Code2 Code I buyer/sdler(A-H) i o r i n t . . ) ( J - P ) ~ Code3 i r e d e m p t i o n ) ( , I - P ) [(A-It) (ifpriuate, ( Q - W )

! 579. JABIL CIRC UIT INC A D ividend So ld 01/14/09 J A[ ( p a r t )i 580. JABIL CIRCU YI" INC So l d 0]/15/09 J A, (part)j 581. JABIL CIRCUIT INC So l d 01/16/09 J A(part)! 582. JABIL CIRC UIT INC Sold 03/06/09 J A~ p a r t )

583. JA B 1L C IR C U IT IN C So ld ! 0 3 / 0 9 1 0 9 J A(part)584. JABIL CIRCUIT INC S o ld 03/10/09! J A(part)585. JABIL CIRCUIT INC S o ld 03/I 1/09 J A(part)586. JA B IL CIRC U IT IN C So ld 0 3 1 1 2 / 0 9 J A587. J A C O B S E N G R G R O U P None

588. J O HN SO N & J O HN SO N C Dividend M I BU Y 05/19/09 M589. J O HN SO N & J O HN SO N BU Y 1 0 1 2 9 / 0 9 J590. J O HN SO N CO N T RO L S I N C A Dividend So l d 09/21/09 K A5 9 1 . J PM O RG AN CHA SE & CO C Dividend M T592. JUNIPER NETWORKS ]NC N o n e J T B U Y 05/21/09 J

593. JUNIPER NETWORKS INC BUY 05 / 22 / 09 J

594 . JUNIPER NETWORKS INC B U Y 06/05/09 J

595. KI M B E RL Y -CL ARK CO RP B Dividend So l d 05/18/09 J A


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FINANCIAL DISCLOSURE REPORT name of Person Reporting Date of ReportPage 3 9 of 65 WARDLAW, K | M M . 6 f 2 8 / 2 0 1 0V II. INVESTMENTS and TRUST S - ~ ........t..,t ......,io.~ a.a.,t.~ , h o s . o / ~ p o . , , a , a ~ , ~ , ~ , ~ ~ , , ,; ~ , ~ . ~ - ~ o

NONE ~o reportable income, assets, or transactions.,)Descnptton of A ssets ~ lncome during ~ G~ss value at trod ~ T~sacfions during reposing p~

(inc~ding ~st assets) ] r~o~ing period ~ of~po~ing pefod ~(1)~ ............... (2) ~ ........ G) : ........... (_) ~--~ ............. (~) : ........ ] (2) (3) (4) {5)

Place "(~)" at~ each ~set ~Amoun~ "1"~ (e.g., ~: Value Value ~ type (e.g., ~ Date Value Gain Idenli~ of .exempt from prior di~l .... [ C~el di ......., ~ C ode2 Method ~ buy, sell, ~m~ ~Code2 Co~l buyer/~ller(A-H) or int.) ~ (J-P] Cod e 3 ~ redemption) (J-P) ~ (A-H) (if private

596. KIMBE~Y-CLA~ CORP S o l d 05/19/09 K A

597. KIMBE~Y-CLA~ CORP S o l d 05/20!09 K A

598. KINDER MORGAN MANAGEMENT - N o n e S o ld 09/10/09 J BLLC (part)599. KINDER MORGAN MA/qAGEMENT S o l d 09/t1/09 K DLLC (part)600. KINDER MORGAN MANAGEMENT S ol d 09/14 /09 3 DLLC (part)601, KINDER MORGAN MANAGEMENT S o ld 09/15/09 J BLLC602, KRAFT FOODS INC CL A D Dividend K T S o l d 01 /09 /09 J A

(part)603. KRAFT FOODS |NC CL A S ol d 04/17/09 J A( p a r t )604. KJ~.AFT FOODS INC CL A S o ld 11/18/09 K A(part)605. KRAFT FOODS INC CL A S o l d 11/19/09 K A(part)606. LA CA DWAP FSA 5.25% 07-01-20 C lnleresl L T

607. LA C A H A R BO R S ER C 5 . 0% 08/01/26 A Interest M T BU Y 06/26/09 Mi 6 0 8 . LA CA USD GO FG1C 5~;, 711/16 Sold 07/21/09 N DInterest

609. LA CA U SD GO SE R 1 5.0% 07/I)1/2024 C Interest M T B U Y 02/05/09 M6 t0 . L A C O C A M TA A M B A C C 5 % 7/ 1/ 20 D Interest C A LLED 11/06/09 M AS E C U R611. LA C O C A M T A F S A S F 5 % 7 /1 /19 D Interest CALLED 11/06/09 M AS E C U R612. L A C O C A M T A S A L E S T A X R E V D None M T BU Y 07/24/09 M5.0% 07/01/16

( See ~2~olu~l|nS B I ,~lld D4) F =$50,001 - $100,000 G =$100.[101 - $1Jg~}.000 H I = $ I , ~ q O 0 , ( . ( . ( . ( ~ 1 - $ 5 , r i O 0 . 0 0 ( I H2 = Mor than $5,000,0002. Vahle I~(~les J ,S l 5,000 o r I$n K =$15,001 - $50,000 L =$5t;,001 - $100,000 M =$100,001 - $250,000(See 7olumns C I nnd D3)

P . t N = 5 2 5 0 , 0 0 1 ~ $ 2 5 , 0 0 0 . t ) t ) l - $ 5 0 0 . 0 0 0 . $ 5 0 , 0 0 0 . 0 O t l( ) " . , $ 5 ( 1 0 . 0 t ) I - $ 1 , 0 ( R ) . 0 [ ) I~ p4PI ~,Mole=$1,0t)0d)0 llho, n $ 50.000,000- $5,001)1000P2 =S$~000.001


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FIN A N C IA L D ISC L OS U R E R E POR T N .... f P e r s o n R e p o r t i n g D a t e o f l : ~ e p n r ~Page 40 of 65 W A R D L A W , K I M M . 6 / 2 8 / 2 0 1 0

~ONE (No reportable income, assets, or transactio~.)

D e s c r i p t io n o f A s s e t s ~ lncom~ ~ing Gro~ value at end Tr~sacfions during reposing ~riod(including ~mt a~cls) re~,ing period of r~o~ing periodO). f ~2) ~ (~) O) (2 )

e x e m p t @ o r e p r i o r d i ~ l o s u m div., ~n~ C o d e 2 Mth~ b u y , ~ 1 1 , m~d~ ,o r i r a . ) ( J - P ) C o d e 3 r e d e m p t i o n ) I ~ 0-P) [ (A-H) ( i f p r i v a t e( Q - W )61 3. LO O PN BT ~C None ~ T614. L O S A N G E L E S C N TY C A P U B W K S D Interest N "1"F1NG AU TH AMBA C 5% 06/01/2021615. L O U I SI AN A ST L E ASE RE V 5 .0 % None M T BU Y 1/12/09 M ,03/01/16616. L O WE S CO M PAN I E S I N C B Dividend M T BU Y 08/03/09 J617. LO W ES C O MPA N IES 1N C B U Y 08i04/09 J

618. L O WE S CO M PAN I E S I N C B U Y 1 0 / 2 1 1 0 9 K

619, L O WE S CO M PAN I E S I N C S o ld 01/09/09 K A(part)6 2 0 . MA HL TH & ED MIT 6.0% 07101/36 C Interest M T621. M A H L T H E DU H A R V A R D U N I V A S F C Interest M T5.5% 11/15/36

i 622 . M A ST D E V B O ST O N CO I .L SE R Q I SF None M T BU Y 05]13/09 M5.0% 07/01/20256 23: M A R A T H O N O I L C O R . P C O M B Diyidend K T S o ld 02/04/09 K A(part)624. MA RA THO N O IL C O R P C O M So ld 02/05/09 J A(part)625. M A R A T H O N O I L C O R P C O M S o ld 02/12]09 K A(part)626. MASS GO SER B 5.0% 07/01123 None M T BU Y 0 5 1 2 1 / 0 9 M627. M A X I M I N T EGR A T ED P R O D S 1N C B Dividend K T BU Y 0 1 1 2 2 / 0 9 J628. MA X IM IN TEGR A T ED PR O D S IN C BU Y 01/23109 J :629. M A X I M I N T EGR A T ED P R O D S I N C BU Y 01/26/09 J ]


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FINANCIAL DISCLOSU RE REPORT N a m e a t V e . a ~ , a ~ p o ~ . t i n g r , ~ , t ,~ a t " a e ~ , . tPage 4 1 of 65 W A a O L A W , m ~ n M . 6 / 2 8 / 2 0

NONE ~o reportable income, ~sets, or transactions.)A . ~ ~ . ~ C . ~~sc~ption of As~Is Income d~ing Gross value at end ~ Tmn~ctions during repo~ing periodof rep~ing period

Pla~ "(X)" a~ each ~sset ] Amount ~ Type (e.g. , Value ~ Value T~e (e.g., mm/d~Y~ I Value Gain Identity ofexempt from prior di~losure [ Code 1 ~~ (A-H) ] div.,r~C~e2 j Meth~ boy, sell, Code2 Code I buy~isell~

]orint.) o-P)

Ic~e3 red~ption) ~, (J-P) (A-tt) (if private(Q-W) tr~sacfion)

630. " M A X I M ~ T E G ~ T E D P R O D S ~ C B U Y 01/27/09631. MAXIM INTEGRATED PRODS INC B U Y 01/28/09 J

632. M C D O N A L D S C a R P C Dividend L T S o ld 01/09/09 K D( p a r t )633. M CD O N AL D S CO RP So l d 01/28/09 K D(part)6 3 4 ~ M C D O N A L D S C a R P Sold 05/21/09 J C(part)635. MCDONALDS CaRP Sold 06/17/09 K D(part)636. M E CKL E N B U RG CN T Y N C C O P A 5 .0 % B Interest M T BU Y 0 1 / 3 0 1 0 9 M02/01/27 -6 3 7. MEDTR ON IC INC B Dividend L q- BU Y 03/12/09 J638. M E D T RO N ] C I N C B U Y 03/13/09 J639. M E D T RO N I C I N C B U Y 04/20/09 J640. M E RCK & CO I N C B Dividend M T BU Y 05/19/09 K641. M E R C K & C O I N C BU Y 05/20/09 K642. M E RCK & CO I N C BU Y 05/21/09 J64 3. MERCK & CO INC B U Y 06/03/09 J

64 4 MERCK & CO INC B U Y 06/18/09 J

64 5. MERCK & CO INC B U Y 06/23/09 J

646. M E RCK & CO I N C BU Y ] 1 / 2 0 / 0 9 K


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FINANCIAL DISCLOSURE REPORT r ~ m e o fPage 42 of 65 W A R D L A W , K 1 i M .

I6/28/2010

NONE ~o reportable income, assets, or transactions,)

D e s c r i p t io n o f A ~ s e t s ~ lncome during ~ Gross value at end ) Tran~ctio~s during r~ing ~riod(incl~ing ~st a~ts) [ re~ing ~riod :: of reposing p~odP 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~e (e.g., Value ~: Value T~ (e.g., [ Date [ Value Gain ~ i d e n t i t y o fexempt ~om prior di~losure C~1 d i v . , r e n t , C o d e 2 ~ M e th o d buy, sell, ~ ~!d~" ~ Code 2 C~e I buyeff~tler( A - H ) orim.) O - P )

~Code3 r e d e m p t i o n ) i ~ (J-P) I(A-H) ~ (ifpfivate

6 4 7. M E R C U R Y G E N E R A L C O ~ B D ividend So ld 10/29/09 K A648. M E T RO WT R SO CA G O SE R A 5% D Interest So l d 0 5 1 0 7 / 0 9 N E3/I/17

i 4 9 . M I C H M UN B D A U T H S ER 09B None M T BU Y 05/01t09 MDETROIT SD NTS 6:0% 01120/2010650. M1CROCHIP TECHNO LOGY INC C Dividend L T6 5 1. MIC R OS OFT C O R P C Dividend M " 1 BU Y 06/24/09 K6 5 2. MIC R OS OFT C O R P So l d 03/31/09 K A(part)653. MIC R O S O FT C O R P S o ld 0 5 , r 2 1 / 0 9 J A(part)6 5 4. M O N S A N T O C O A Dividend L T BU Y 0 5 1 1 3 / 0 9 K655. M O N S A N T O C O BU Y 11/30/09 L

656. M O N S A N T O C O S o ld 10/28/09 J A(part)657. MO N SA N TO C O So ld 10/29/09 .! A(part)658. M O N T ER EY C A C O P S N A T I VI D A D B lnterest S o ld 04/21/09 K AMED MI~IA 4.75/o g/1117659. N AT I O N AL G Rl D PL C - SP AD R None K T BU Y I 1 / 2 3 / 0 9 K660. N A T I O N A L GR I D P LC - S P A D R BU Y 11/24/09 J

661. N A T I O N A L I N S T R UM EN T S C O R P A Dividend K T662. NC ST GO SER A 5.0% 03/01/14 None M "1" B U Y 1 0 1 0 7 1 0 9 M663. N E ST L E N AM SPO N AD R B Dividend L T S o ld 0 9 ! 0 2 / 0 9 1 J C(part)


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FI.NANCIAL D ISCLOSURE REPORT N .... ~ . ~ . . . . a e p o r t i n g Iage 43 of 65 WARDLAW, K I M M . 6 / 2 8 / 2 0 1 0VII. IN VESTME N TS and T RU ST S - i ~ . . . .. . . t ~ e , , ..... ,~ a,,.~,~ ,~o~ o/~o~ ~ ~ .d ~ , ~ i~ ,~ . : ~ ~ . ~ 4 - ~ 0~ NONE ~o reportable income, assets, or transactions.)........................ A~ ................... ~ B. C. : D .Description ofA ~s ~ Income during G r o s s v a l u e a ~ e n d T~cfions during re~ing(inciu~ng ~sl asst,) [ r~ffing period of rep~ing ped~_

ex empt ~om prior di~losure Code 1 ~ d i v . , ~ e n l , C o d e 2 ~ M ~ h o d " buy, ~ll, [ m ~d ~ C~e 2 ~ Cod e 1(A-H) ~ o r i n t . ) ( J - P ) [ C~3 I r e d e m p f i o u ) ( J - P ) ~ (A-n) ~ ( i f p r i v a t e

6~. NEST~ NAM SPON ADR S o ld 1 0 1 0 2 ~ 9 J C(pa~)665. A M E R IC A N F U N ~ S N E W W O R L D D Dividend N T Bu y 0 6 1 1 5 1 0 9 KF~D CL F26 6 6. N I N T EN D O C O LT D A D R UN S P O N A Dividend K T B U Y 06]11/09 J667. NmT~O CO ETD ADR UNSPON BU Y 10/30/09 J668. NINTENDO CO LTD ADR UNSPON B U Y 11/02/09 J

669. NINTENDO CO LTD ADR UNSPON BUY 11/03/09

670. N I N T EN D O C O LT D . A D R UN S P O N So l d 12/08/09 $ A(part)671. N O KI A CO RP SPO N SO RE D AD R A Dividend So l d 10/29/09 ~ A672. N O RD ST RO M I N C B Dividend J T S o ld 10/20/09 J " A(part)6 " 7 3 . N O RD ST RO M I N C S o ld 10/21/09 J A(par06 7 4. NOR DS TR OM INC So l d 10/22/09 K B(part)675. NORDSTROM INC (part)Sld 10/23/09 J A

~ 7 6. NOR DS TR O M I NC Sold 10/26/09 J A(part)677. NORD STROM IN(." So l d 110/27/09 J A(part)6 7 8. NOR DS TR O M INC So l d 10/28/09 J A(part)67 9. N O RF O L K SO U T HE RN C O RP A Dividend K T BU Y 06/11/09 J68 0. N O RF O L K SO U T HE RN C O RP BU Y 06/12/09 J


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FIN A N C IA L D ISC L OS U R E R E POR T [ Name of Person ReportingIPage 44 of 65 ] W A R D L A W , K I S i M . 6 / 2 8 / 2 0 1 0

V l l. I N V E S T M E N T S a n d TR U STS - ~.eo,.~. value, ~, .... , io . ~ a . . t u a e ~ , h o ~ e o ~ ...... ~ ~,NONE (No reportable income, assets, or transactions.)

A. B. C, D.Description of Assets [ inco me during Gro ss value a! end Transactions during reporting period{including trust assets) [yp~rti?g p~rio~d of reporting period

Pl~ce "(X)" after each asmt Amount[ Type (e.g., Value Value Type (e.g., Date i Value Gain Identity of[ Code 1 | div., ~nt, mn#dd/yy C ode 2 C odexempt from prior disclosure C o de 2 Metho d buy, sell, buyer/sellcr(A-H) [ or int.) 0-P) C o d e 3 redemption) (J-P) (A-H) (if private(Q- W ) i tran.~.cfiont

681. NUCOR CORP B Div idend L T

682. OMNICOM GROUP INC A Div idend K T S o ld 05/15/09 J A(part)683. OMNICOM GROUP INC S o l d 05118/09 K A

(part)684. OMNICOM GROUP INC S o ld 0M 22/09 J(part)685. OMNICOM GROUP INC S o l d 05/26109 J A

i (part)686. OMNICOM GROUP INC S o k [ 05/29109 J A(par0687. OF~INICOM GROUP INC S o l d 06/01109 J A

(part)688. OR ST DEPT OF ADMIN COPS 5.0% D Interest M T BUY 02ll 1/09 M05/01/2018689. PALOS VERDES CA LIBR DIST 5.0% B Interest S o l d 06/08/09 M B8/1116690. PAYCHEX ]NC C Div idend L T B U Y 08/04109691~ PAYCHEX INC B U Y 12/04109 J

6 9 2 . P A Y C H EX I N C BU Y 12/07/09 K693. PAYCHEX IN(? S o ld 01/09/09 J A(part)694. PAYCHEX INC S ol d 06/17/09 J A(part)695. PAYCHF.X INC S ol d 06/18/09 .I A(part)696. PAYCHEX INC S ol d 11t02109 L A

(part)697. PEPSICO INC C Div idend M T B U Y 0t/08109 J


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FINANCIAL DISCLOSURE REPORT N . .. . oft ..... Reporting [ D a t e o f R e p o r tPage 45 of 65 W A R D L A W , K I M M.I

6 / 2 8 ; / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i~co~.e, va~e, , , . . . . . , io . s a . . ~ u a ~ , h o s . o ~ o . . . . . a a ~ p ~ . a ~ . , ,. i ta . ~ . ~~ NONE (No reportable income, assets, or transaction.)

~ . ] ~ . . . . . . ~T .......................................... n .De~ption of A~ets I Income d~ng Gross value at ~d "]r~tio~ during r~po~ng ~od(including Imst ~ts) i reposing p~riod of reporting ~riodPlace "(X)" aRer e~h asset A mount Ty~ (e.g., Value Value T~ (e.g., ! Date ! Value ] Gain ld~ti~ of1 [ div.,rent, Code2 ~ M*thod buy,~ll, im~ddt~Cod2 Codlxempt from prior digitate buyer/sell~(A-H) ~ o ~int.) ( J - P ) Cod3 r e d e m p t i o n ) ~ ~ (J-P) [ {A -H) ( i f p r i v a t e.......................................... ..................... .................................

698. PEPSICO IN C BU Y 01/13109~ J6 9 9 . PHOENIX AZ CIVIC IMPROV WTR A None M T B ~Y 05114/09 M5.0% 071017~. PHILIP MORRIS INTERNATIONAL 1NC B Dividend K T BU Y 10/29/097 01 . PI N N ACL E W E ST CAPI T AL CO RP None S o ld 01/16/09 J A(part)7 02. P H qN A C LE WES T C A P I TA L C O R P S o ld 01/20/09 J A(part)7 03 . PI N N ACL E W E ST CAPI T

kim m wardlaw financial disclosure report for 2009

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