russel h holland financial disclosure report for 2009

8/3/2019 Russel H Holland Financial Disclosure Report for 2009

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. " a ~ ~ 0 : . " . ~ - " l FINANCIAL DISCLOSURE REPORT i n G o v e r ~ e n t A c t o f 1 9 7 8, g~v~O~.O::. 1 FORCALENDARYEAR2009 ( s u . s. c , a p p . 1 o t - tl ~ )L Person Reporting (las t name. ~ middle ini t in l) ~, Court or Org~nL~tion 3. Date of ReportH O L L A N D , H . R u s s e l Dist r ic t of Alaska 05112/2010

4 . T i t l e ( A r { i e l e H I j o d g e ~ i n d i c a t e a ~ t i v e o r s e a / o r s t a t u s ; 5a. Report Type (ch~k appropdat~ type) 6. Repor~ug Periodm a g i s t ra t e j u d g e s i n d i c a t e f u l l - o r p a r t - ti m e ) [ ] N o m i n a t i o n , D a t e 0 l / 0 1 / 2 0 0 9Di s t dc t ,Tu dge (Se n i o r ) [] Initial [] Armuai [] Final to1 2 /31 /2 0 0 9

5 b . [ ] A w a : n d o d R e p o r t7 . C h a m b e r s e r O f ike A ddre s s i & O n the bas is ol the information contained in this Repo rt and anymodit~cations pertaining thereto, it is, in my opinloa, in complianceU~ t ~ d St a t e s D i s t ri c t C ou r t with applicable laws and regulations.2 2 2 W e s t 7 th A ve nuo - Uni t 5 4Ataehorag~, Alaska 99513 f Reviewing Of li~er Date

I M P O R T A N T ] V O T E S : rl, etnst, uctlons accompanying thts form must ~e followetL Complete all parts,checking the NON E box for each part where you have no reporlable inforraatlon. Sign on last pag,"

I . P O S I T I O N S . .,~ o , n . , ~ . ~ t ~ a o . , y ; , , ,p ~ ~ - ~ o I ~ U , ~ ~ , a ,~ a ~ , ~ )~] NONE (No reportable positions.)

POSITION lxIAME OF ORGANIZATION/ENTITY


2/10

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 tP a g eF I ~ A N C I A L 2 o f 1 0 D I S C L O S U R E R E P O R T n O L L A r , r a , H . au g e r 0 5 / ~ 2 / 2 0 t 0

Ill. N ON-INV ESTM ENT IN CO M E. a~p or ~ ~ i,~,,,,l ,~ ~o~e; , e e ~ , ~ . 1 7 - 2 4 o / ~ g ~ , ,~ a o , ~ )A. Filers Non-Investment Income[] NONE (No reportable non-investment income.)

D A T E SOURCE AND TYPE ~ N C O M E(y ou r s , no t spo u sz s)L2,

3.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - l f yon were married during any port ion o f the report ing year, complete this sect lor~( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t fo r h o n o r a r i a . )

N O N E ( N o reportable non-investment income.)D A T E SOURCE AND TYPE

1 .2.

3.

4.

I V . R E IM B U R S E M E N T S - ~,~pon~,~, t~dVn~,o ,~. ~t~rt~e~( I n c l u d e ~ t h a . + e t o s l u r u s e a n d d ~ p e n d e n t c h i l d r e n : s e e p p . 2 . % 2 7 o f f d i n g i n s t r u c t i o n s . )

[] N o / q E ( N o reportable reimbursements . )SOURCE DATES LOCATION PURPOSE ITEMS pAID OR PROVIDED

1 .2.3.4.5.


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I~amef P e r s o n ~ e p o r ~ n g I D a ~ e o f ~ e p o r t|PageF~CI~3 of 10 DISCLOS~ ~PORT~ H OLL~, H. Russel " [

05/I~010

~ N O ~ ~ o mpo~able g~s.)SO~CE DESC~ON

1 .2,3.4.

~ N O ~ ~ o repo~able lia6ilities.)C~D~OR DESerTION V A L ~ C O DE

I.2.3.4.5.


4/10

I~amef Person Reporting Date of ]ReportF IN A N C IA L D I SC L O S U R E R E P O R T I H O L L A N D , H . gusse l 0 5 / 1 2 / 2 0 1 0age 4 of 10H O N E ~ o repo~able income, ~sets, or ~a~actions.)

A, B. C. D.D ~ cf ip f lo n o f A ~ In.me d~g ~ o ~ v ~ u e a t ~ d T~io~ ~ng ~ug p~Onclud~ ~st ~se~) ~g p~iod of ~o~g

0) (~) (~ ) ( 2 ) 0) (2 ) (3) ~ (~) (5 )Fl~ "~)" ~ ~h ~ A m o u r T ~ ( e . g ., V~ V a l u e T~ (e.~, ~ Value O a~ I d ~ f iW o f( A - H ) o r i n ~ ) ( J - P ) C o d e 3 ~e~fion) ( J - P ) (A -~ (ifp~v~

1. C M S E n e r ~ A Div idend J T2. Nor~om, ~e. A Div idend K T3. R owan C om pan i~ None J T4. MS Liquid Asset Fund (formerly MSDW None K T(Individual Liquid....)5. Talkee taa , Alaska, Lot N o n e K W6. ChilL, m, Alaska, Lot N o n e J W7. Fir s t Nat io n a l B an k Alask a A In terest L T

8. MS Trus t Bank ( formerly MSDW Individual A Div idend K TLiquid Asset A/C)9. Bank of Am erica / Por tl and , Oregon A Interest J TI0 . Pepsico A D i v i de nd J T1 1 . Frankl in Value Mark I I Var iable Annui ty A Div idend K TContract12 , FhstNafiottal Bank Alaska / Saving~ A Interest J T13 . Bank of Am erica Inves tment A/C Nat ions A D i v i de nd J TCash Reserves Dai ly1 4 . Yum B rands ( formerly Tr i -Global A Div idend J TRestaurant)15 . Frankl in Income Fund C D i v i de nd L T

16 . MS Global Infrastruoture A D i v i de nd Sold 1 t/! 9/09 2[ A ! see Note, Part V III17 . Merril l Lynch [was Dean WiRer Liqu id A Interest Closed 11/20 /09 J A see Note , Par tV IIIAsset] (IRA A/C)

I . Incoa m G a in C ode s : A = $ 1 , 0 1 1 0 o r lc m s B ~$1 ,001 - $2500 C = $2 ,501 - $5 .000 D - - - $ 5 . 0 0 1 - $ 1 5 . 0 0 0 E -$15 .001 - $50 , 000( ~ C o h m n s B l ~ a d D 4 ) F ~$ 5 0 , 0 0 ! - $ t 0 0 . O O 0 G = $ 1 ( 1 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 HI =$ 1,000.001 - $5,000.000 H2 ~More than

2 . V alue C odes $ ~$15,000 or Icss K = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0 L =~50 ,001 - $100 ,000 M ~$100 ,00I - $7.50 ,000(Se e Colmr~r~ CI a nd D 3) N ,,~2~0 ,0 01 - $5 00 ,00 0 O ~$500 .001 - $1 ,0~0 ,000 PI -- -$1,000.001 - $S,000.000 P2 ---$5,~10,001 - $2f,000,0001~ =$2~,000,001 - $50,000,000 P 4 ~ M o r e ~ x $ 5 0 . 0 0 0 . 0 0 0

3. Vatu Method ~ Q =Apptai .~[ R ~Cost (Real Estate Only) S = As s e ss me nt T =C ash Marke t(S ee Coh t r~ C2) LI ~Book Vaht~ V . ~ O t h ~ W = E~f ima ted


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i a 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 tFINANCIAL DISCLOSURE REPORTPage 5 of 10N O N E ~ o r~ortable income, ~sets, or tra~actio~.)

D~p~on of As~ ~ d ~ g G ~ v M u ~ a t ~d ~tio~ ~ ~g ~od

pia~)"aRer~ch~s~ ~o~t ~ T~(g., V~v V M u T~ e ( e . g . , D a t e V ~ u * G~ Id~of

~ o r i n c ) ( ~ - P ) C ~ e 3 ~ e m p f i o n ) ( J - P ) (A-~ (ifp~1 8 . C ~ c o S y s t ~ s , ~ c . A D i ~ d e n d ~ TI9 . Pfizer A D i v i de nd J T20 . Hewlct t Pack ar d A D i v i d e n d J T

21 . B o e i n g C o . A D i v i d e n d I T

22 . No r thr im B an k A D i v i d e n d K T

23 , Agil~nt T~x~hnologie~ A D i v i d e n d J T

24 . Caterpi! lar, Inc. A D i ~ d v n d ] T25 . M~ife A D i v i d e n d ~ T

26 . T~t #1 ~ 2~"~ou~54, inclusive]: ~o Note, P~ ~

27 . -MS ~d-Cap Gro~h C (fo~[y MSDW A D i~ d e n d S o ld 11/06/09 K C~l~ig ~w~)~. --~S Ufilifi~ F~ C A Di~dend S o l d 1 1 / 0 ~ 0 9 K B

2 9 . - MS B a nk ( fo r m e rl y MS D W A c ti v e A s se ts B Interest M TMoney Trust)3 0. -E MC C o rp . Sto ck No n e Sold 11116/09 K A

3 1. - Ame r i c a n I nc ome F u nd A D iv idend So ld 11/12/09 K A3 2 . --Uni t Van Kampcn CoherdSteeas PElT C D i v i de nd Sold 07 /23109 K A(new name)3 3 . -Geaera l Elec t r ic Capi ta l Corp. (bond) A Interest Ma0ared 11/06 /09 K A****R*R.7 (04)3 4. - -Geaera l El~t r ic Capi ta l Corp. (bond) A Interest Matured 11109/09 K A****G59 ( 05)

1 . I n o o r a e ~ i n C od ~ s : A =$ 1 # 0 0 o r le s s B = $ 1 , 0 0 t - $ 2 , S 0 0 = , $ 2 , 5 0 1 - $ 5 , 0 0 0 D = $ 5 , 0 0 1 - 1 5 , 0 0 0(S ee Cohmms g I and IM) F = $50 , 001 - $100 , 000 O --$ I0 0,0 01 . $ 1 o 00 0,0 ~0 H I = $ t.O 00 ,O 01 - $ 5,0 0~ 00 0 H 2 = M o t ~ Ih a n $ 5 , 0 0 0 ,~ 0 02. Va lue Cod~ I ~ 15# 00 o leas K = $15#01 - $50 , 000 L ~1;50,00I - $ 100.000 M = ~100 , 001 . $250 , 000(S ~ Coimans C l sad D3) N = $250 , 001 - $$00 , 000 O ~$ 50 0,0 01 - $ 1.0 00 ,0 00 P I = $!,0 00 ,0 01 - $ 5.0 ~0 ,0 00P~ =$25,00~,001 - $fi0,000.0~0 P4 = Mor t ha a3, Valur Method ~0d, ss Q =Ap~ralssl R --Cost (Real Eslat Oaly) S =Assessment T =C ash Marke t

(S C o h m ~ C ~ ) 1 L 1 = n o o k V ah~o V m O t h er W = E s t i m a t ed


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FINANCIAL DISCLOSURE REPORT s~ . e o f pe r son Re pe r t~g Date of ReportP a g e 6 o f 1 0 I ~ O I Z ~ A r o , I ~. R n ~ s ~ 0 5 / 1 2 1 2 0 1 0

V II. IN V E S T M E N T S a n d T R U ST S - ~ m ~ ,t,,.~ N O ~ ~ o reportable income, ~sets, or tra~actio~.)

A, B. l C. D.~fip~on O~ ~me d~ng [ G r o ~ ~ u e a t ~ d T~sa~fi~ d~ ~o~g ~od(i~l~ing ~ ~se~) ~g ~ offing p~

0) (2)PI~ "(~" ~ ~ ~t ~o~t ~ (e.g.,exert ~m ~or ~l~ C~ 1 ~v., ~ C ~ e 2 M~ ~y, sdl, ~d~(A-~ or ~) (J-~ C o ~ 3 r~pfion) ( J - P ) ( A - ~ ( i f p h v a ~

3 5 , --Cateapil lar Finance Servioe (bond) A Interest l T****0 *C O3 6. --Cateq3il lar Finance Sexvico (bond) A Interest K T* * * * L C23 7. --Lane County G/O Bond C Interest Matu red [0 6/0 1/0 9 L B

3 8 . --Gabel l i Global C Div idend K T B uy 09/04/09 K( a d d q )3 9. -Weste rn Bank Puer to Rico CD A Interest J T40 . --New South Federal Savings Bank CD A Interest J T41 . --Coca Cola Co. A Div idend K T see Note, Part VIII

42 . --General E lec t r ic Co. A Div idend Sold I 1 /12 /09 J A

43 , --General E lec t r ic Co. A D i v i de nd Sold 11/12 /09 J A

44 , - G o o g le , In c . A D i v i de nd K T4 5. --In te l C orp . A D i v i d e n d J T

46 . - - Johns on & J o lms on A D i v i d e n d K T Buy 09/04109 J(addl)4 7 . - - M i c r o s o f t C o r p . A D i v i d e n d J T

4 8. -McKesson Corp . A D i v i de nd K T4 9. - 3 M C o m p an y A D i v i de nd K T se~ Note, Part VIII

5 0. -Mo nsa nto C o. A D i v i de nd K T see Note , Par t V III

5 1 , - -Novart i s AG AD R A D i v i de nd J T


7/10

FINA!NCIAL DISCLOSURE REPORT Name ~fPersonReperting D a t e o r R q m r tP age 7 of 10 H O L L A N D , I L R u s ~ e l 05112 /2010VII. INVESTMENTS and TRUSTS -

NO~ ~o r~ortable i~ome, ~sets, or ~a~tio~3A. B. C. D.

~s~fi~ of A~ In,me d~g ~s value ~ ~d T~a~i~ ~g ~o~g p~d~(in~g ~t ~) ~ng p~ ofr~ng0) ~3 0) ~) 0) (2) (3) O) (5 )Pl~ "~" ~ ~ch ~ ~o~t T~ (e,g,, V a l u ~ V a l u e T~ (~.g,, D a t e V~ue ~in Id~fi~ of

~x~pt ~m ~or disclo~ (A-~ or ~t) (J-P) C~ 3 ~ption) (J-P) (A-~ (if p~w~

52 . --Proc tor & Gamble A D i v i d en d K T B uy 09/04 /09 J( a d d i )53 . --Eaton V ance / Muni . Bond B Interest K T B uy 05/15 /09~ K54 . - E x d o n C o r p , A D i v i d en d J T Bu y I 1/12/09 J

: 5 5 . C o m c a s t C o r p . . A D i v i de nd .t T56 , One Point , ~c /a Por t land Teadte r s Cr .Union A Interest J T- savings A/C57 . CoIum bia Convexfibte See. , f /ba Nat ions A D i v i de nd K " TConvertible S~c.58 . Met Life- w h o l e llfe A Interest I T5 9. Met Li fe - whole l i f e A Interest J T6 0. A m p i c e Fin a n c i a l L i f e - w ho le l i f e A Interest L T

6 i . A m e r ica n G e n e r a l - w ho le l i f e A Interest K T6 2. Am er ican Genera l - whole l i fe A Interest K T63 . Canada L i fe - whole l if e A Interest J T64 . MONY - whole l ife A Interest J T6 5 . M a ss a o lh u s e tt s Mu t u al - f l ex i bl e r et ir e m e n t D D i v i de nd L Tannui ty66 . W e l l s F ar go & C o . A D i v i de nd J T67 . Nationwide Annuity [formerly AIG C D i v i d en d M T See Note , Par t V IIIA n n ~ t y ]6 8 . B a n k o f A m e r i c a - M a n a g e d P o r t f o l i o A D i v i d e n d L T


8/10

7 2 . V ~ r i g y None 2" T

73 . B an k o f Amer ica - Fr an k l in Or eg o n T ax D In terest M TFreo74 . N u v c m P r e m i u m I n c o m e A D i v i d e n d Sold 11/19109 J A se e Not e , Pa r t V III

75 . N u v e e n P r e m i u m I n c o m o A D i v i d e n d S o l d 11119/09 J A se e Not e , Pa r t V III76 . M S D W I s h a re s C a n a d a I n d e x A D i v i d e n d l T

77 . PLMCO Al l Asse t I Al l Autho r ity B D i v i d e n d K T B u y ! 11/17/09 K

78 . Bl a c kroc k G l oba l A l l oc a t i on ( IRA a c c ou n 0 A D i v i d e n d J T B u y I 1 / 2 0 1 0 9 J se e Not e , Pa r t V III79 . C o l o m b i a C a s h R e s e r v es D a i ly ( I R A A In terest J T O p o n 11/20109 J see No te , Par t V III

L Income G a i~ Code s : A =$1,~30 o r l e~ B = $1 ,001 - $2 ,500 C = $2 ,501 - $5 ,000 D( S e t C o [ u m ~ B I m ~ l IM ) F ~$50,001 - $100,000 G =$100,001 - $1,0O0,000 H I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 H -2 ~Mo re tit an $ 5,0 00 ,00 02 . V a h m C o d t a " J = $ 1 5 , 0 0 0 o r l e ~ K~$15,001 -$50,000 L--$50~001 -$10~,000(Se e Colunms Cl a nd D$) N =$250,001 - $500.000 O =$500.001 - $1,000,000 P I = $ 1, 0~ 0,0 01 - $5 .0 ~0 ,0 00 P 2 = $5 ,0 00 ,0 01 - $ 25 ,0 00 .0 00P3 =$25,000,001 - $50,000.000 P4 =More t l~t t $50,000,000

3. Value Method Code~ Q =Aplntisal R = C os t (Re a l Es t at e Only) S = A s s e ~ m e n t T =C ash Marke t( S e e C o lm m C 2 ) U ~Book Va lue V = O t h e r W = F~t ima ted


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F I NANCIAL DI S CL O SURE RE P O RT ~ a m . o t ~ ~ n R . p o ~ ,a ~ g W t ~ o f H ~ O o ~ tP a g e 9 o f 1 0 H O L L A N D , H . R u s se i 0 5 / 1 2 / 2 0 1 0

VHL ADDITIONAL INFORMATION OR EXPLANATIONS. a,~n

Part VII, I~. 16: Items at Ins. 16, 74, and 75 were IRA account assots; assots wvre sold and proooeds rolled into another IRA account: Blaclcrook Global Allocatioaat 1n.78,Pac t VII , ln . 17: Th i s IRA cash account was c losed and funds t rans forred to C olumbia Cash R csvrvvs Dai ly (an IRA account ) a t In . 79 .Par t V II, In . 26 : TRUST #1: ins . 53 & 54 arc now t rus t acqu is it ions .Par t V I~ , In . 41: Coca-Cola: Consol idated acqu is i tions (Ins . 52 & 53 o n previous repor t ) .Par t V II, In . 49: 3M Company : Consol idated acqu is i t ions (Ins . 61 & 62 on previous repor t ) .Par t V II, In . 50: Monsanto C o.: Consol idated acqu is i t ions (Ins . 63 & 64 on pr~vions repor t ) .Par t V II, In . 67: Now: Nafionwido Annui ty ( re t ied over f rom AIG Annui ty , In . 80 on previous repor t ) .Par t V II , Ins . 74 & 7 5: I t ems at Ins . 16 , 74 , and 75 were IRA account asset s ; asset s so ld and proceeds ro l l ed in to another IRA account : Blacktcck GlobalAllocation at In.78.Par t V II , In . 78: Asset s f rom other IRA accounts (Ins . 16 , 74 , and 75) were so ld and proceeds ro i l ed in to Blackrock Global Al locat ion (IRA account ) oPar t VII , In . 79: An IRA account ; Merr i ll Lynch account a t In .17 was c losed and funds t rans ferred to Colum bia Cash Reserves D ai ly .


10/10

FINANCIAL DISCLOSURE REPORT ~ N a m e o f Person Report ing D a t e o f l ~ o r tP a g e 1 0 o f 1 0 H O L L A N D , I L R u s s el 0 5 1 1 2 /2 0 1 0

IX. CERTIFICATION.I c e r ti f y t h a t a H i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , f f a n y ) i sa c c u r a te , t r u e ~ a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e li e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d . be c a u s e i t m e t a p p l i ca b le s t a t u t e ryp r o v i s io n s p e r m i t t i n g n o n - d i s c lo s u r e .I f u r t h e r c e r ti f y t h a 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 h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w it h t h e p r o v i s io n s o r s U . S .C . a p p . 5 0 I e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c ia l C o n f e r e n c e r e g u l a t i o n s .

N O T E : A N Y IN D I V I D U A L W H O K N O W IN G L Y A N D W I L F U L L YA 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 )

FILING INSTRUCTIONSM a i l s igne d o r i g i na l a nd 3 a dd i t iona l c op i e s t o :

C o m m i tt e e o n F i n a n ci a l D i s c lo s u r eA d m i n i st r a ti v e O f f i ce o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g to n , D . C . 2 0 5 4 4

russel h holland financial disclosure report for 2009

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