michael r barrett financial disclosure report for 2010

8/3/2019 Michael R Barrett Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. I01-111)

1. Person Repor t ing ( las t name, f i r s t, middle ini t ia l )Barret t , Michael R.

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

U .S. D is tr ic t J udge - A ct ive

7. Chambers or Office AddressPotter Stewart US Courthouse100 East 5th Street, Room 239Cincinna t i , Ohio 45202

2. Court or OrganizationU.S. Distr ict Co urt

5a. Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] AmendedReport8. On the bas i s of the informat ion contained in th is Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

Reviewing Off icer Date

3. D a t e o f R e p o r t5/3/2011

6. Repor t ing Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followevL Complete all parts,checking the NONE box for each pa rt where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of f!l ing instructions.)D N O N E (No reportableposit ions.)

POSITION1. Trustee2. Par tne r3.

4.

NAME OF ORGANIZATION/ENTITY~ T r us tO l d W a l n u t C o m p a n y

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)[~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 13

N a m e o f P e r so n R e p o r t i n gBarrett , Michael R.

Date of Report5/3/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( S c p o n i n g i n d i v i d u a l a n d spouse; seepp. 17 -24 o f il ling instructions.)A. Filers Non-Investment Income

~] (No reportable income.)ONE non- investmentDATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours, n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during anyportion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)~ N O N E (N o reportable non-investment income.)

D A T E ~ SOURCE AND TYPE1.2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children," see pp . 25-27 offiling instructions.)

N O N E (No reportable reimbursements.)SOURCE D A T E ~ S LOCATION

1.2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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Iame of Person Reportinga g e F I N A N C I A L 3 o f 1 3 D I S C L O S U R E R E P O R T Iarret t , M i c h a e l R .V . G I F T S . a n c i u d e s those to spouse and dependent children; see pp. 28-31 of JJling instructions.)

N O N E ( N o reportable gifts.)SOURCE DESCRIPTION

1 .2.

3.

4.

5.

D a t e o f R e p o r t5/3/2011

VALUE

V I . L I A B I L I T I E S . a n c lu d e s , h o s e o / s p o u s e a n d dependent children; see p p . 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5~

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 o f 13



V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse a nd depen dent children; see pp. 34-60 of f i ling instructions. )~ N O N E income, a ssets, or transactions.)N o reportable

A. B. C. D.Description of Assets Incom e during G ross va lue at end Transactions during reporting period(including trust assets) report ing period O f r e p o r t in g p e r i o d

(i ) (2) (1) (2) (1 ) (2) (3) (4) (5 ]Place "(X)" after each asset A mo u n t Type (e.g., Va l u e Value T y p e { ~ e . g ., D a t e Va l u e Gain Identity of

exempt from prior disclosure Code 1 d i v . , r e n t ~ C O d e 2 Method buy, sel l , m m /d d/yy C ode 2 Code 1 buyer/seller(A-H) o r i n t . ) : ( J - P ) Code 3 redemption) ( J - P ) (A-H) (if private(Q-W} t r a n s a c t i o n ~

1 . US Bank IRA Account2. - Am . Centu ry Sm. Cap (mutua l fund)3. - Am . Centu ry Equ i ty Income (mutua l fund)4. - Blackrock Bas ic Va lue Fund Inc . (mura lfun d )5. - Ea ton Vance La rge Cap CI A (m uta l fund)6. - Fidelity Ad International Discovery (mutalfun d )7. - Fidelity Ad International Discovery(mutua l fund)

- Fidelity Investment Tr . Ad Intl Discovery(mutua l fund)9. - Nuv een In f la t ion Pro Sec (bond)

1 0 . - Nuveen Core Bond Fd (bond)1 1 . - Nuveen La rge Cap (muta l fund)1 2 . - Nuveen Mid C ap (muta l fund)1 3 . - Nuveen Mid Cap Va lue (muta l fund)1 4 . - Nuveen Rea l Es ta te Sec . Fund (muta l fund)1 5 . - Nuv een Sma l l Cap Se lec t (muta l fund)1 6 . - N u v e e n S m a l l C a p V a l u e ( m u t a l f u n d )1 7 . - Laudus R osen In te rna t iona l (muta l fund)

Div idend N TJ T

J T

K T

K T

J T B u y( add l )S ol d

J T B u y

J T

K T

J Y

J T

J T

J T

J T

J T

J T

05/12/10 J

05/18/10 J

05/18/10 J

1: inc om e Ga in Code s :( See Col umns B t and I ) 4 )

2. Va lu e C odes(See C o lu mns C I and D3)

3.Value Method Codes(Scc C o lu mn C 2)

A =$~,000 orless .... c = $ 2 , 5 0 1 - $ s , o o o D = $ 5 , 0 m - $ 1 5 , 0 0 0F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 G = $ 10 0 ,0 01 - $ 1 ,0 00 0 00 H I = $1 10 0 0,0 0 1 ~ $5 ,0 0 0 ;0 0 0 H 2 = M o r e t h an $ 5 , 0 0 0 , 0 00

J = $ 1 5 i0 0 0 o r l e s s K - - $ 1 5 ; 0 0 1 - $ 5 0 , 0 0 0 L = $ 5 0 ,0 0 1 : $ 1 0 0 ,0 0 0 M =$ 1 0 0 ,0 0 1 - $ 2 5 0 ~ 0 0 0N = $ 2 5 0 , 0 0 1 - $ 5 0 0 ,0 0 0 O = $ 5 0 0 ,0 0 1 ~ $1 , 0 0 0 ,0 0 0 P 1 = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 P 2 = $5 ,0 00 ,0 01 - $ 25 ,0 00 00 0P 3 = $ 2 5 , 0 0 0 , 0 0 1 - $ 5 0 ; 0 0 0 , 0 0 0 P 4 = M o r e th a n $ 5 0 , 0 0 0 , 0 0 0

Q = A p p r a is a l R V C o s t ( R e a l E s t a t e O n l y ) S = A s s e s s m e n t T = C a s h M a r k e tU = B o o k V a l ue V = O t h er W = E s t i m a t ed

E=$15,001 - $50,000


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N a m e of Person Repor t ingB a r re t t , M i cha e l R .

D a t e o f R e p o r t5/3/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , ~ e , v a l u e , t ransact ions (Includes those of spouse and dependent chi ldren; see pp. 34-60 of f! l ing instruct ions.)N O N E ( N o 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 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 o n s d u r n g r e p o r t i n g p e r i o d( i n c l u d in g t r u s t a s s e t s ) r e p o r t i n g p e r o d o f r e p o r t i n g p e r i o d

(~) (2) O) (2) (l ~Amount T y p e ( e , g ., Value Value T y p e ( e . g .,

M eth o d b u y . s e ll .C o d e 3 r e d e m p t i o n )( Q -W )

Place "(X)" after each asset(2) (3) (4") (5 )

D a t e Value G a i n I d e n t i ty o fm m / d d / y y C od e 2 C od e 1 buye r / se l l e r

( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

1 8 . - Laud us Ro sen In te rn a t io n a l Mktermas ters Sold 05/I 2/10(mutua l fund)1 9 . - T. Ro we Pr ic e Mid Cap Value (muta l fun d l J T20 . - T . Rowe P r ice Va lue Fund (mura l fund) K T21 . - T . Row e Pr ice Equ i ty (mutua l fund) J T22 . - F i r s t Am er ican T reasmy (cash account ) L T23 . Proc te r & Gamble (common s tock) D Dividend L T Sold 09 /07/10(part)24 . Old Walnut Co. (Partnership) D Dividend N T25 . W este rn Sou the rn Li f e Ins . C o . N o n e K W

M

26 . J .M. Smucke r (Comm on s tock) A Dividend J T27. St . Mart in Assoc ia t ion N o n e J W28 . Michael R. Barrett Foundation B Dividend K T29 . - P r o c te r & G a m b l e ( C o m m o n S t o c k) K T30 . - First American Treasury (cash) J T31 . U S B a n k A g e n c y A c c o u n t D Dividend P1 T

32 . - First American Treasury (Cash) O T33 . - Nuveen Core Bond (bonds) J T34 . - Nuv een ln f la tion (bonds) J T

(See Columns B 1 and D4) F =$50 ,001 - $100,000 G =$1 00,001 - $1 ,000,0002. V alue C odes J = $15,000 or less K =$15,001 - $50,000

(See C o lu mns C I and D3) N =$250,001 - $ 500,000 O =$500,001 - $1 ,000,000P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppra i sa l R =Cost (Real Estate Only)

(See C o lu mn C 2) U =Book Va lu e V - O t h cr

C =$2,501 - $5 ,000H I =$1,000,001 - $5,000,000L =$50,001 - $ 100,000P 1 =$ 1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D =$5,001 - $15,000H2 =M ore than $5,000~000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C ash Mark e t

E =$t5,001 - $50,000


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~ ame o f P e r s o n R e p o r t i n gB a r re t t , M i cha e l R .

Date of Repor t5/3/201 l

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , value, transactions (Includes those of spouse and depettdent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r ip t o n o f A s s e t s I n c o m e d u r i n g( 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(1) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,

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

Gross value at end Transactions during reporting period

Value Value Type (e.g., D a t e V a lu e G ain Identity ofCode 2 Method buy, sel l , mm/dd/yy Code 2: Code 1 buyer/seller

( J - P ) Code 3 redemption) (J-P) (A-H) (if private(Q-W) t r a n s a c t i o n )

35 . - Abbot t Labs (Comm on s tock)36 . - Proc te r & Gamble (common s tock)

L T

M T B u y 09/07/10 M

37 . - E a t o n V a n c e L g C a p V a l u e ( m u t u a l fu n d ) T

38 . - Fidelity Ad. Int l Disc. (mutual fund)

39 . - N u v e e n L g . C a p V a l u e ( m u t u a l f u n d )JJ

T Bu y( add l )T

05/12/10 J

4 0. -Nuveen Mid Cap Va lue (mutua l fund T4 1. - Nuv een Rea l Es ta te Sec. Fund (mutua lfund T4 2. - Nuveen Sma l l Cap . Se lec t (mutua l fund) T

4 3. - Laudus In t l Make tmas te r s (mutua l fund) Sold 10/19/10 J4 4. - Laudus Int l Marketmasters Fd Select(mutual)4 5. - Laudus R osen ln t ! (mutua l fund)

T Buy 1 0/19/1 0 JSold 05/12/10 J

4 6. - T . Rowe P r ice Mid Cap (mutua l fund) T4 7. - T . Rowe P r ice Va lue (mutua l fund) T48. Trust# 1 D Dividend N T

4 9. - First American Treasury (cash)50 . - Nuveen Tota l Re tu rn (bond)

K TK T

Bu y 08/05/10 J( add l )

51 . - A m g e n , I n c. ( C o m m o n s t o c k ) T

: i . ih~ 0meGain C odes :(See C o lu mns Bl and D4 )

2 . Va lu e C odes(See C o lu mns C I and D3)

3.Value Method Codes(See C o lu mn C 2)

A = $ i i 0 0 0 6 ~ l e s s= $ 5 0 , 0 0 1 - $ 10 0 , 0 0 0=$15.000 or tess

N = $ 2 5 0 , 0 0 1 - $ 5 0 0 , 0 0 0P3 =$25,000,001 - $50,000.000Q =A ppra i sa lU =Book Va lu e

B=$1,001 - $2,500G =$100,001 - $ 1,000,000K=$15,001 - $50,000O~$500,001 - $1,000,000R =Cost (Real Estate Only)V =O ther

C=$2,501 - $5,000HI =$1,000,001 - $5,000;000L=$50~001 - $100,000P I -$ t ,000,001 - $5,000;000P 4 More than $50,000,000S =Assessmen tW =Es t ima ted

D=$5,001- $15,000H2 ~More~a~$5~ooo;oooM~$100,001- $250,000P2 =$5 , 000 , 001 i ~$25 , 000 , 000T = C a s h M a r k e t

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gBarrett , Michael R.

D a t e o f R e p o r t5/3/2011

V I I . IN V E S T M E N T S a nd T R U S T S - in c ~ m e ~ v a ~ u e ~ t r a n s a ct i~ n s a n c l u d e s th ~ s e ~ f s p ~ u s e a n d d e p e n d e n t c h i l d re n ; s e e p p .3 4 ~ 6 ~ ~ f ~ l in g i n s tr u c t i~ n s . )~ NONE income, a ssets , o r t ransact ions .)N o reportable

A. B.Description of Assets Incom e dunng G ross v alue at end(including trust assets) reporting period of repo rting perio d

(1) (2) (1) (2)Place "(X)" after each asset A mo un t T yp e (e.g ., Value

exempt from prior disclosure Code 1 div., rent, Code 2

Transac t ions dur ing r epo r t ing pe r iod

(2 ) (3) (4) (5 )

( A - H ) or in t . ) (J-P) C o d e 3 r e d e m p t i o n )( Q -W )

52 . - Apache Corp . (Common s tock) J T53. - Apple, Inc. (Common stock) K T

54 . - B a n k o f A m e r ic a ( C o m m o n s t o c k ) J T55 . - B o e i n g C o . ( C o m m o n s t o ck ) J T56 . - Cin ta s Corp . (Common s tock) J T57 . - Cicso Sys tems (Com mon s tock) J T58 . - DuPont E1 De Nem ours (Common s tock) J T59 . - E x x o n M o b i l C o r p . ( C o m m o n S t o ck ) J T60 . - H i l lenbrand Inc . (Common s tock) J T61 . - H i l l R o m H o l d i ng s ( C o m m o n s t o ck ) J T62 . - ln te l Corp . (Com mon s tock) J T63 . - Morgan Stan ley (Com mon s tock) J T64 . - Motoro la , Inc. (Comm on s tock) J T65 . - O m n i c o m G r o u p (C o m m o n s t o ck ) J T66 . - Peps ico , Inc. (Comm on s tock) J T67 . - P r o c te r & G a m b l e ( C o m m o n s t o c k ) J T68 . - S ta rbucks (Com mon s tock) J T

( J = P ) (A-H) (if privatetransaction)

1. In co m e G ain C odes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5 ,000(See C o lu mns B 1 and IM) F =$50,001 - $100,000 G =$100,001 - $ i ,000,000 H 1 =$1,000,001. $51000,0002. V alue C odes J = $ 15,000 or less K =$15,001 - $50,000 L =$50~001 ~ $100,000( see Col umns CI and D 3) N =$250 ,001 - $500 ,000 O :$ 50 0,0 0t - $ 1,0 00 ,0 00 P t = $1 ,0 00 ,0 0l - $ 5,0 00,0 00

P3 =$25,000,00I - $50,000,000 P4 =More than $50;000~0003. Value Method Codes Q =A ppra i sa l R :Cost (Real Estate Only) S =Assessment(See C o lu m n C 2) U = Book V alue V = O ther W = Estim ated

D =$5,001 - $15,000 E =$15,001 7 $~0000H2 =More than $5,000,000M =$100,001 r $250,000 ...........P2 =$5,000,001 - $25~000,000 ,T =C ash Mark e t


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D a t e o f R e p o r t5/3/2011

V I I . I N V E S T M E N T S a n d T R U S T S --income, ~alac, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

Descr ip t ion o f Asse t s( inc lud ing t rus t a s se t s )

Place "(X)" after each assetexempt from prior disclosure

I n c o m e d u r i n gr epo r t ing pe r iod

(1) (2)Amount Type (e.g.,C o d e 1 div . , ren t ,(A-H) or in t . )

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 s i n g p e r i 0 f fo f r e p o r t i n g p e r i o d

(1) (2) 11 ) (2) (3) ~ (4) (5 )V a l u e Value Type (e.g., Date Value I Gain . Identity of

C o d e 2 M e th o d b u y , s e ll; m m / d d / y y Code 2 Code 1 buye r /ge l l e r(J -P) Code3 r e d e m p t i o n ) (J-P) (A~ : (ifprivate

( Q - W ) vtansaenon)

69 . - Texas Ins t rument (Com mon s tock)70 . - US Bancorp (Com mon s tock)7 1. - Uni ted Hea l th Group (Comm on s tock)72 . - Three M Co. (Comm on s tock)73 . o A mer ica Move l (Fore ign s tock)74 . No v ar t is AG AD R (Fo re ig n s to ck)

JJ

T

T7 5. - Sch lumberge r Ltd . (Fore ign s tock)76 . - Am er ican Centu ry Sm. Cap (mu tua l fund)7 7 . - Ba rc lays Ipa th Dow Jones AIG (mutua lfun d )7 8. - Blackrock Capi ta l (mutua l fund) K T79 . - Ea ton Vance Lg . Cap Va lue (mutua l fund)80 . o Nuveen M id Cap Gro wth (mutua l fun d )81. - Nuveen Mid C ap Va lue (mutua l fund)82 . - Nuv een R.E . Sec (mutua l fund83 . - Nuv een Sin . Cap Se lec t (mutua l fund)84 . - I sha re s Msci Emerg ing Mkts Index(mutua l fund)8 5 . o L a u d u s I n t l M a r k e t m a s t e rs ( m u t u a l f u n d )

1. I nc om e Ga in Code s : A =$1 ,000 0~ ! ~ s B =$1;001 - $2,500(See Columns BI and 104) F =$50,001 - $100,000 G =$100,001 - $i,000,0002. V alue C odes J = $ 15,000 or tess K =$15,001 - $50,000(See C o lu mns C I and D3) N =$250 ,001 - $5~0 ,000 O =$500,001 - $ 1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppra i sa l R =Cost (Real Estate Only)(See C o lu nm C 2) U =Book Va lu e V = O t h er

C =$2,501 - $5 ,000 D =$5,001 - $15,000 E =$15,00 t - $50,000H1 = Sl,000,001 ~ *5,0001000 H2 --M0re thafi S5i000;000L =$50;001 ~ $100,000 M =$100 00 i ~ $250 000P t - -$ 1 , 0 0 0 ; 0 0 1 - $ 5 , 0 0 o ~ 0 o o n - - s S ~ 0 O r , 0 0 i - $ 2 ~ , 0 0 0 1 0 0 0P4 =More than $50;000~000S =Assessmen t T =C ash Mark e tw =Es t ima ted


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FINANCIAL DISCLOSURE REPORTPage 9 of 13 Ia m e o f P e r s o n R e p o r t i n gBarrett , Michael R. D a t e o f R e p o r t5/3/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transact ions (htcludes those o f spouse and d ependent chi ldren; see pp. 34-60 of fi l ing instructions.)

86 .87 .

88 .89 .

90 .

91 .92 .

93 .

94 .95 .96 .

97 .

98 .99 .

100.

101.

102.

N O N E ( N o reportable income, assets, or transactions.)

Description of Assets Income dur ing(including trust assets) reporting period

(1 ) (2 )Place "(x)" after each asset A m ou n t Ty pe (e . g .,

exempt from prior disclosure

Gross value at end Transactions during reporting periodof reporting period

( 1 ) ( 2 ) (1 ) (2) (3) (4) (5 )Value V al ue T ype (e.g., Date V a lu e G a i n Identity of

Method b uy , sell, m ngdd /y y Code 2 Code 1 : : buyer/sellerCode 3 redemption) (J-P) (A -H ) (if private(Q-W) trausaction)

- L a ndu s R os e n In t l (mu tu a l fu nd )

- T. R ow e P r ice In t l Grow th (mu tu a l fu nd ) TSold 08/05 /

i i inc0me Ga in C odes : A =$1,000 or less( See Col umns BI and D 4) F =$50,001 - $100,000

2. V alue C odes J = $15,000 or less(See C o lu mns C I and D3) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. V alue Method C odes Q -A ppraisa l

(See C o lu nm C 2) U =Book Va lu c

C =$2,501 - $5 ,000 D =$5,001 - $15,000B =$1;001 - $2,500 ::G = $100,001 - $1 ,000,000 ~i --$i;0001001 ~ $~i000;000 H2 =M0re tha~ $5,000,000K =$15,001 - $50,000 L =$50!06i ~ $100,000 M =$100,00! :$250,000O =$500,001 . $1 ,000,000 PI--$iI000~D0i ~ $5;000 000 P2 =$5,000;001 -$25,000;000

P4 =More thart $50~000;000R =Cost (Real Estate Only) S =Assessmen t T =C ash Mark e tV = O t h er W =Estimated

E =$15,001 - $50,000


10/13

FINANCIAL DISCLOSURE REPORTPage 10 o f 13 Ia m e o f P e r s o n R e p o r t in gBarrett , Michael R. D a t e o f R e p o r t5/3/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Descr ip t ion o f Asse 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( inc lu d in g tru s t a s se ts ) rep o r tin g p e rio d of repor t ing per iod

(1) (2) (l) (2) (1 ) (2) (3)P l a c e " ( X ) " a f t e r e a c h a s s e t Amount T y p e ( e . g ., Value Value T y p e ( e . g . , D a t e Valueexempt from prior disclosure Code 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 , mm/d d /yy Co d e 2(A-H) o r i n t . ) ( J - P ) C o d e 3 redemption) O - P )

(Q-W)

Transac t ions dur ing r epo r t Jng pe r iod

(4 ) (5 )Gain Identity of

Code 1 buyer/seller( A - H ) (if privatet r a n s a c t i o n )

103.1 0 4 .105.106.

107.

108.

109.I10 .111.112.113.

114.

115.116.

117.

118.

119.

1: Income Gain Codes: A =$i1000 0r less B=$1,001~ $2,500 c =$2,501 - $5 ,000 D =$S.001 - $15,000(See C o lu mns BI and 134 ) F = $50,001 - $100,000 G =$100,001 - $1 ,000,000 H i =$ 1, 00 0,0 01 ~ $5 00 0 0 00 H 2 = Mo re th an $ 5, 00 0, 00 02. Va lu e C odes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100;000 M =$100,001 - $250,000

( See Columns C I and D3) N =$ 250,00 ] - $500,000 O =$500,001 - $ 1,000,000 P 1 =$ i ,000~001 - $5 ,000,000 P2 =$5,000,001 - $25,000,000P3 =$25,000,00i - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =A ppra sal R =Cost (Real Estate Only) S =Assessmen t T =C ash Mark e t

(See C o lu mn C 2) U =Book Va lu e V =O ther W =Es t ima ted

E =$15.001 - $50.000


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N a m e o f P e r s o n R e p o r t in gBarrett , Michael R.

D a t e o f R e p o r t5/3/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ (No reportab le income, assets , o rONE transactions.)

A. B, C. D.Descr ip t ion o f Asse 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 s i n g p e r i o d

exempt from prior disclosure Code 1 div., rent, Code 2( A - H ) o r i n t . ) ( J - P )Method buy. sell , m m /dd /yy C od e 2 Code 1 buyer/sellerCode 3 redemption) ( J - P ) (A-H) (if private(Q-W) t r a n s a c t i o n )

120.

121.

122.123.

i i ~0me Gf i i n C~de~i : A =$1 ;000 o r le ss(See Co lum ns BI and D4 ) F =$ 50 ,001 - $ 1 0 0 , 0 0 0

2. Va lu e C odes J =$15,000 or less(See C o lu mns C 1 and D3) N =$250 ,001 - $500 ,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppra i sa l(See C o lu mn C 2) U =Book Va lu c

B =$1 ,001 - $2 ,500 C =$ 2 ,501 - $5 ,000G =$100 ,001 - $1 ,000 ,000 H 1 =$ t ,000,001 - $5,000,000K = $15,001 - $50,000 L =$50,001 -$ 100,000O =$ 500 ,0 01 ~ $ 1,0 00,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00

P4 =More than $50,000,000R =Cost (Rcal Estate Only) S =AsscssmentV = O t h er W =Estimated

D = $ 5 ,001 -$ 1 5 ,000 E = $ 1 5,001 -$ 50 ,000H 2=Mor et h an$ 5 , 000 , 000M-$ 100 , O01-$ 250 , 000P 2=$5,000,001 - $25,000,000T =C ash Mark e t


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N a m e o f P e r so n R e p o r t i n gB a r re t t , M i cha e l R .


VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a.dicatepart of report.)PAR T VII . Inves tments and T rus ts :1 . Lines 9 & 34 - Nu veen In f la t ion Pro Sec (Bond) , fo rmer ly known a s F i r s t Amer ican In f la t ion Pro Sec .

2 . Lines 10 & 33 - Nu veen Core Bond Fun d (Bond) , fo rmer ly known a s F i r s t Am er ican Core Bond Fu nd .3 . Line 50 - Nuveen To ta l Re tu rn Bond (Bond) , fo rmer ly known a s F i r s t Amer ican Tota l Re tu rn Bond .4 . Lines 11 & 39 - Nuveen La rge Cap (Mutua l Fund) , fo rmer ly known a s F i r s t Amer ican La rge Cap .5 . Lines 12 , 40 & 80 - Nuv een Mid Cap (Mutua l Fund) , fo rmer ly known a s F i r s t Am er ican Mid C ap .6 . Lines 13 & 81 - N uveen Mid C ap Va lue (Mutua l Fund) , fo rmer ly known a s F i r s t Amer ican Mid Cap Va lue .7 . Lines 14 , 41 & 82 - N uveen Rea l Es ta te Sec . Fund (Mutua l Fund) , fo rmer ly known a s F i r s t Amer ican Rea l Es ta te Sec. Fund .8 . Lines 15 , 42 & 83 - Nu veen Sma l l Cap Se lec t (Mutua l Fund) , fo rmer ly known a s F i r s t Amer ican Sma l l Cap Se lec t Fund .9 . Line 16 - Nuveen Sma l l Cap Va lue (Mutua l Fund) , fo rmer ly known a s F i r s t Am er ican Sma l l Cap Va lue Fund .10 . Line 77 - iPa th Dow Jones /Am er ican In te rna t iona l Group Com mod i ty Index Fund changed i t s name to Ba rc lay s iPa th Dow Jones Com mod i ty Index Fund .11 . Line 78 - Blackrock Fundamen ta l Fund merged wi th a couple o f funds r e su l t ing in a new fund nam ed Black . rock Capi ta l Apprec ia t ion Fund .


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Nam e of Person Repor t ingBarrett, Michael R.


IX. CERTIFICATION.

I cer t i fy that a l l i n fo rmat ion g iven above ( inc lud ing in format ion per t a in ing to my spouse and minor o r dependen t chi ld ren , i f any ) i sa c c u r a t e , t r u e , a n d c o m p le t e t o th e b e s t o f m y k n o w le d g e a n d b e l i e f , a n d th a t a n y i n f o r m a t io n n o t r e p o r t e d w a s w i th h e ld b e c a u se i t m e t a p p l i c a b l e s t a tu to r yp r o v i s io n s p e r m i t t i n g n o n - d i sc lo su r e .

I f u r t he r c e r ti f y t ha t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d ho n o r a r i a a n d t he a c c e p t a n c e o f g i f t s w h i c h ha v e b e e n r e p o r t e d a r e i ncompliance with the provis ions of 5 U.S .C . app. 501 e t . seq . , 5 U.S .C . 7353 , and Judicia l Conference regula t ions .

Signature: S/M ichael R. Barrett

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I FI E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

michael r barrett financial disclosure report for 2010

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